City Council and Authorities Concurrent
October 24, 2023

EXHIBIT D

CUSTODIAL AND SERVICE AGREEMENT

Custodial Agreement

This Custodial Agreement is made and entered into as of MONTH DAY, YEAR (the “Effective Date”) by and between Principal Bank® (“Custodian”) and the undersigned Santa Clara Stadium Authority (“Owner”) as owner(s) in regard to the custody of certain assets of the Owner.

1. The Account. The Owner hereby appoints the Custodian as its agent to receive, hold and deal with, subject to the terms hereof, certain assets of the Owner (the “Account”). The Account shall consist of those assets, which the Owner notifies the Custodian shall be included in the Account, together with the income, proceeds and profits thereon. The Custodian agrees to (a) safely keep such assets separate from the assets of other trust accounts and (b) deposit such assets at depositories or agent depositories of the Custodian; provided, however, that the records of the Custodian at all times show that such assets are held on behalf of the Owner, notwithstanding registration in a nominee name as provided for in Section 8 (Registration of Securities).

2. Investment Managers. The Custodian shall act upon written direction from the Owner or from one or more investment managers duly appointed in writing by the Owner (each, an “Investment Manager”), unless otherwise specified herein. Any direction given by the Owner or from an Investment Manager may be given directly to the Custodian. The Owner shall furnish the Custodian with a written list of the names, signatures, and extent of authority of all persons authorized to direct the Custodian and otherwise act on behalf of the Owner under the terms of this Custodial Agreement and shall cause such Investment Manager to furnish the Custodian with a written of list the names and signatures of the persons who are authorized to represent such Investment Manager under this Custodial Agreement.

3. Responsibilities of the Custodian. The Custodian shall with respect to assets held under this Custodial Agreement:
(a) Invest and reinvest them as instructed by the Owner or Investment Manager, including in cash or other short-term investment vehicles or instruments as the Owner or Investment Manager considers advisable;
(b) Collect the income thereon and their proceeds upon sale, redemption or maturity; (c) From time to time, on the written direction of Owner, make disbursements out of the Account to such persons, in such manner, in such amounts, and for such purposes as may be specified in such written direction. The Custodian shall be under no liability for any disbursement made by it pursuant to such direction;
(d) Endorse, assign and deliver assets as directed by the Owner in writing; (e) As instructed by the Owner or Investment Manager, make, execute, acknowledge and deliver any and all certificates of ownership, documents of transfer, or other declarations necessary or appropriate to carry out the custodianship duties and powers; (f) Deliver proxy and other materials for securities held in the Account, including offers to tender or exchange such securities, to the Owner or otherwise as the Owner may direct in writing; (g) Provide monthly to the Owner an itemized statement showing the funds and securities held in the Account as of the last day of the month and all debits, credits, and transactions in the Account since the date of the last statement. Owner consents to receiving this information electronically;
(h) Utilize agents other than persons on its regular payroll and delegate to them such ministerial and other non-discretionary duties as it sees fit and to rely upon such information furnished by such agents;
(i) Decline to accept any asset which it deems to be unsuitable or inconsistent with its custodial operations;

Non-ERISA Custodial Agreement
September 2022 | Created on: 09/11/2023 10:08 AM

(j) Invest money or assets of the Account in any registered investment company to which the Custodian or an affiliate of the Custodian provides services and receives compensation for providing such services as such investment may be directed by Owner or an agent of Owner; (k) Invest available cash in the Account, pending disbursement or investment, in a cash management vehicle as designated by the Owner. Owner understands and agrees that cash management vehicles made available by the Custodian may include deposit accounts of the Custodian or an affiliate, and that such deposit vehicles are specifically authorized for use in the Account;
(l) With respect to valuation of assets held in the Account: (A) Obtain the fair market value of publicly traded assets, including securities issued by the Owner, where such assets have a readily ascertainable market value; (B) Rely on pricing direction received from the Owner to the extent any securities issued by the Owner are or become thinly traded and/or a readily ascertainable market value is not available;
(m) Rely on pricing direction received from the Owner or its authorized agent for any non-publicly traded assets, including non-publicly traded securities issued by the Owner.

4. Sub-Custodians. The Custodian may at its discretion appoint and remove sub-custodians, which may be an affiliate of the Custodian, to carry out such of the provisions of this Custodial Agreement as the Custodian may from time to time direct. The Custodian shall be liable for the acts or omissions of a sub- custodian to the same extent as if the action or omission were performed by the Custodian itself, taking into account the facts and circumstances and the established local market practices and laws prevailing in the particular jurisdiction in which the Owner elects to invest.

5. Directions. The Custodian’s duties with respect to assets will be that of custodian only. Upon receipt of oral directions as confirmed in writing, or written instructions from the Owner or Investment Manager, the Custodian agrees to execute necessary orders to effect such purchases, sales, subscriptions or exchanges of assets as directed. The Custodian shall be under no duty to review or recommend the purchase, retention, sale or other disposition of any asset purchased, retained, sold or otherwise disposed of at the instruction from the Owner or Investment Manager, or to take or omit any other action with respect to assets except in accordance with this Custodial Agreement. The Custodian shall not be liable for any loss or depreciation to assets resulting from any investments made upon the instruction from the Owner or Investment Manager.

6. Statements. If, within ninety (90) days after the Custodian mails to the Owner a statement with respect to the Account, the Owner has not given the Custodian written notice of any exception or objection thereto, the statement shall be deemed to have been approved. In such cases, the Custodian shall not be liable for any matters in such statements, except with respect to any acts or transactions as to which the Owner shall set forth in a written statement claiming negligence, willful misconduct or lack of good faith on the part of the Custodian which is filed with the Custodian during such ninety (90) day period.

7. Special Investments. As a matter of convenience, the Custodian may include in its reports the value of assets for which it does not maintain custody, including but not limited to investments in common or collective funds not administered by the Custodian, limited partnerships, and unregulated investment funds (each, a "Special Investment"). The Custodian may account for a Special Investment by means of "shadowed" recordkeeping in order to include the Special Investment's value on a composite statement for the Account that includes all of the Account's other investments. The Owner directs the Custodian to report those assets solely as a recordkeeping item on the account statements. The Custodian is not responsible for the accuracy of the information provided by the asset's custodian or other source, and does not certify that any information provided by the custodian or other source is true or correct, notwithstanding any subsequent statement to the contrary regarding the Special Investment.

8. Registration of Securities. The Custodian, in its sole discretion, may cause any or all of the securities under its custody and control pursuant to this Custodial Agreement to be registered in its name as the Custodian, or in the name of its nominee. The Custodian agrees to maintain such records as may be necessary to identify such securities as being a part of the assets held under this Custodial Agreement.

Non-ERISA Custodial Agreement
September 2022 | Created on: 09/11/2023 10:08 AM

9. Compensation. The Custodian shall be entitled to be reimbursed for its expenses and to compensation for its services as is written and specified in Exhibit B of the ‘Agreement for Services between the Santa Clara Stadium Authority (“Owner”) and Principal Bank (“Custodian”). Such expenses and compensation, to the extent they are not paid by the Owner, shall be paid out of the assets held under this Custodial Agreement. The Custodian may also pay other expenses out of assets held under this Custodial Agreement as directed by the Owner.

10. Security Interest. To the extent not prohibited by applicable law, the Owner hereby agrees that Custodian shall have a continuing lien and security interest in any asset then held by the Custodian for the benefit of the Owner if the Custodian or any of its affiliates or agents: (a) advances financial assets to the Owner for any purpose; or (b) incurs expenses, charges, taxes, assessments, claims, liabilities or other indebtedness in connection with the performance of this Custodial Agreement.

11. Payment from the Account. In the event that any payment or disbursement is made from the Account pursuant to the Custodial Agreement and such payment or disbursement is not presented for payment for a period of no less than six (6) months following the date of issue, the Custodian may redeposit the funds in the Account unless otherwise directed by the Owner. The Custodian will follow the Owner’s direction, which may include redepositing the funds in the Account or placing the funds in the unclaimed property account in accordance with state unclaimed property laws.

12. Limitation of Liability. The duties and obligations of the Custodian shall be limited to those expressly set forth in this Custodial Agreement. With respect to the performance of its duties under this Custodial Agreement, the Custodian is not a “fiduciary” as that term is defined in the Employee Retirement Income Security Act of 1974 (ERISA) and amendments thereto or any other fiduciary laws. The Custodian shall not be liable for any acts, failures to act, actions, or decisions made by any prior fiduciary, custodian, or trustee. The Custodian may decline to perform any action under this Custodial Agreement if, in the Custodian’s reasonable opinion, such action would contravene applicable law, and the Custodian shall incur no liability for such determination.

13. Consequential Damages. Notwithstanding any other provision set forth herein, in no event shall the Custodian be liable for any indirect, consequential, special, incidental, or punitive damages of any kind whatsoever (including, without limitation, lost profits) with respect to the services provided pursuant to this Custodial Agreement, regardless of whether the Custodian has been advised of the possibility of such damages.

14. Force Majeure. Notwithstanding anything to the contrary in this Custodial Agreement, except as required by applicable law, the Custodian shall not be responsible or liable for its failure to perform under this Custodial Agreement or for any losses to the Account resulting from any event beyond the reasonable control of the Custodian, its agents or sub-custodians, including but not limited to nationalization, strikes, expropriation, devaluation, seizure, eminent domain or similar action by any governmental authority, de facto or de jure; or enactment, promulgation, imposition or enforcement by any such governmental authority of currency restrictions, exchange controls, levies or other charges affecting the Owner’s property; or the breakdown, failure or malfunction of any utilities, telecommunications systems, or computer systems; or any order or regulation of any banking or securities industry, including changes in market rules and market conditions affecting the execution of settlement transactions; or poor or incomplete data provided by the Owner; or acts or war, terrorism, insurrection or revolution; pandemic; or acts of God; or any similar event, or any other unusual circumstances not reasonably within the control of the Custodian.

15. Survival. The provisions of Section 9 (Compensation), Section 10 (Security Interest), Section 12 (Limitation of Liability), Section 13 (Consequential Damages), and Section 14 (Force Majeure) shall survive the termination or expiration of this Custodial Agreement.

Non-ERISA Custodial Agreement
September 2022 | Created on: 09/11/2023 10:08 AM

16. Authority of Signers. Each individual signing this Custodial Agreement represents and warrants that she or he has, individually or in concert with the other persons signing this Custodial Agreement on behalf of the same entity, the authority to sign this Custodial Agreement and thereby bind that entity to the terms and conditions of this Custodial Agreement. The Custodian may absolutely rely upon any and all such directions, instructions, or notices and shall be fully protected in acting in accordance therewith.

17. Communication. If a provision of this Custodial Agreement requires that a communication or document be provided by or to the Custodian in writing or written form, that requirement may also be satisfied by a facsimile transmission, electronic mail or other electronic transmission of text (including electronic records attached thereto), if the Custodian reasonably believes such communication or document has been signed, sent or presented (as applicable) by any person or entity authorized to act on behalf of the Owner. If this Custodial Agreement requires that a communication or document be signed, an electronic signature satisfies that requirement. Any electronic mail or other electronic transmission of text will be deemed signed by the sender if the sender’s name or electronic address appears as part of, or is transmitted with, the electronic record. The Custodian will not incur any liability to anyone resulting from actions taken in good faith reliance on such communication or document. Nor shall the Custodian incur any liability in executing instructions from any person or entity authorized to act on behalf of the Owner prior to receipt by it of notice of the revocation of the written authority of such person or entity.

18. Enforceability. If any provisions of this Custodial Agreement are held invalid or unenforceable, such invalidity or unenforceability shall not affect any other provision, and this Custodial Agreement shall be construed and enforced as if such provisions had not been included.

19. Amendment. This Custodial Agreement may be amended from time to time by an instrument in writing executed by the parties hereto, or their successors in interest.

20. Assignment. No assignment of this Custodial Agreement shall be made by either party without written consent of the other.

21. Governing Law. This Custodial Agreement and all transactions hereunder shall be governed by, interpreted, construed and enforced in accordance with the laws of the State of California.

22. Successors and Assigns. This Custodial Agreement shall bind the successors and assigns of Owner and shall bind the successors and assigns of the Custodian.

23. Counterparts. This Custodial Agreement may be executed in counterparts, each of which shall be deemed an original.

Non-ERISA Custodial Agreement
September 2022 | Created on: 09/11/2023 10:08 AM

IN WITNESS WHEREOF, the undersigned have executed this Custodial Agreement to be effective as of the Effective Date.

SANTA CLARA STADIUM AUTHORITY SAMPLE - Signer Block for PFG Entity Signed Signed
Name Name
Business
Title
Busines
s Title

Account Number: ACCOUNT NUMBER
File Number(s): FILE NUMBER

Account Agreement Acceptance – PCS
September 2022 | Created on: 09/11/2023 10:08 AM

The attached agreements, disclosures and account setup documentation (“Account Documentation”) contain information specific to the services that Santa Clara Stadium Authority (the “Owner”) has selected Delaware Charter Guarantee & Trust Company, conducting business as Principal Trust Company®, or Principal Bank®, as the case may be (collectively referred to herein as “Principal® Custody Solutions”) to provide services as Trustee/Custodian under the governing Trust/Custody Agreement, executed by Principal® Custody Solutions and the Owner for the ACCOUNT NAME (the “Account”).

Principal® Custody Solutions Account
Acceptance Agreement

Account Agreement Acceptance – PCS
September 2022 | Created on: 09/11/2023 10:08 AM

Acceptance

Owner Name (“Owner”): Santa Clara Stadium Authority
Account Name (the “Account”): ACCOUNT NAME
Account Number(s): ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER

The undersigned individuals represent that they are duly authorized to take action on behalf of the Owner and Principal® Custody Solutions, respectively. The parties certify that they are executing this Acceptance to signify receipt of, and agreement to the terms and conditions specified in the Account Documentation listed below, as of the effective date specified on each document.

ACCOUNT DOCUMENTATION (only checked items apply):

[X] Definitions and Disclosure Statement

[X] Fee Schedule (consisting of):
- Fee Acknowledgement
- Fee Summary

[X] Investment Alternative Options Disclosure of Fee Arrangements

[X] Sweep Investment Direction for Cash Balances

Accepted:

Santa Clara Stadium Authority SAMPLE - Signer Block for PFG Entity Owner name

Name (please print) Name (please print)

Title (please print) Title (please print)
X X
Signed Signed

Date

Definitions and Disclosure Statement – Non-ERISA-NonRetirement March 2023 | Created on: 09/11/2023 10:08 AM

Definitions and Disclosure Statement

Definitions
“Revenue from Fund Asset-Based Fees” are fees paid to Principal Bank® or Principal Trust Company® (collectively, “Principal® Custody Solutions”) by the institution providing the investment option (“Fund Company”) for Investment Alternative Options (“Investment Alternatives”) listed on the most current Investment Alternative Options Direction, Disclosure, and Acknowledgement (“IAO”). The revenue being disclosed represents only those fees received by Principal® Custody Solutions from the Fund Company for certain shareholder services performed by Principal® Custody Solutions either directly or through a supplier. Changes to such fees will be disclosed on the account statements and periodically updated fee disclosure documents.

Any such fees are part of the Investment Alternative’s expense ratio and do not result in an increased payment by the Account. Ongoing Revenue from Fund Asset-Based Fees are stated as annual rates and are calculated by the Fund Company's manager pursuant to its established practice and procedure. Certain Investment Alternatives may also pay one-time Revenue from Fund Asset-Based Fees to Principal ® Custody Solutions
which are calculated based on the value of funds invested by an individual who was not previously an investor in the Investment Alternative and are calculated in accordance with the Fund Company's procedures. Revenue from Fund Asset-Based Fees may be paid by the fund company from one or more sources and under one or more programs (including, but not limited to, sub-transfer agency fees, 12b-1 fees, shareholder and administrative services fees, and distribution related fees) provided for in the prospectuses or other governing documents of the Investment Alternative.

“Allocation of Asset-Based Fees”
Principal
® Custody Solutions may hire external third parties whose responsibilities may include collecting Revenue from Fund Asset Based Fees on its behalf. As disclosed in the IAO, Principal® Custody Solutions may either retain these fees as revenue or may allocate these fees to the affected accounts. However, when Principal® Custody Solutions uses an external third party to collect these fees, Principal® Custody Solutions covers the cost of the third party’s services through a portion of the fees so collected, and the amount allocated to affected accounts will be net of the amount payable to the external third party.

General Disclosures
Investments such as mutual funds, common or group trust funds (i) are not endorsed or guaranteed by Principal
® Custody Solutions or any affiliates thereof; (ii) are not deposits or other obligations of Principal® Custody Solutions or any affiliates thereof; (iii) are not insured by the FDIC, the Federal Reserve Board or any other government agency; and (iv) involve investment risks, including possible loss of principal.

Neither Principal
® Custody Solutions nor any affiliates thereof can assure that the investment objectives of any Investment Alternative will be achieved. Past performance is no guarantee of future results. Investment return and principal value may fluctuate so that upon redemption, an investment in an Investment Alternative may be worth more or less than its original cost.

As a result of different and varied transaction rounding policies employed by providers of Investment Alternatives, there may be minor valuation differences in Principal ® Custody Solutions’ records and the records
of an Investment Alternative provider for transactions between and among various Investment Alternatives.

Where Principal® Custody Solutions receives Revenue from Fund Asset-Based Fees, the dollar amount of the compensation is calculated under the Fund Company’s procedures for such payments, which procedures may vary from provider to provider. As a result, certain minor differentials may exist between the fees payable by the Investment Alternatives and the fees otherwise payable by the Account. Principal ® Custody Solutions
reserves the right to disposition any differentials.

In accordance with agreements with Fund Companies, Principal ® Custody Solutions receives next day
settlement privileges with respect to purchases and redemptions of shares. Notwithstanding the foregoing, the funds may delay settlement of any trade in accordance with the terms of the prospectus or other governing

Definitions and Disclosure Statement – Non-ERISA-NonRetirement March 2023 | Created on: 09/11/2023 10:08 AM

documents, and any such delay would delay Principal® Custody Solutions’ ability to affect trades involving a Non-Proprietary Investment Option (as defined in the Non-Proprietary Investment Options section of this Statement).

Principal® Custody Solutions and any affiliates thereof do not exercise investment discretion or render investment advice with respect to the Account unless a written agreement is in place to provide discretionary investment management with a separate fee arrangement and disclosures.

For the fees and expenses charged by mutual funds, common or group trust funds, exchange-traded funds (ETFs), and other electronically traded Investment Alternatives, please review the prospectus or common investment fund agreement for that investment and appropriate share class/rate level. For information regarding fees applicable to any investments included in the Account other than those listed in the IAO or fees from other sources, please see the Account agreements. Certain mutual funds may impose redemption fees or other trading restrictions on shares of the funds that are transferred or exchanged out of the funds before the applicable minimum holding period. Please read each fund’s prospectus for more information about the fund and any applicable redemption fees. In addition, certain common or group trust funds may impose withdrawal restrictions with respect to Owner-initiated transactions involving the fund which Principal ® Custody Solutions is
obligated to honor. Please read each Investment Alternative’s governing documents for more information about the investment and any applicable withdrawal restrictions.

From time to time, Principal Custody Solutions may receive Revenue from Fund Asset-Based Fees from a Fund Company that may be an affiliate of Principal Custody Solutions as compensation or reimbursement for the solicitation and distribution of money market mutual funds.

Principal Funds (“Proprietary Mutual Funds”)
The compensation the affiliates of Principal
® Custody Solutions receive is based on the Investment
Alternatives the Owner has chosen. Affiliates of Principal® Custody Solutions receive compensation from the products and Investment Alternatives they manufacture, including Proprietary Mutual Funds.

The Proprietary Mutual Funds can pay fees for various services provided to the Proprietary Mutual Fund, including fees payable to Principal® Custody Solutions or any of its affiliates for investment advisory services, which are set forth in the prospectuses for such Investment Alternatives. Proprietary Mutual Fund fees and expenses are stated in the Annual Funds Operating Expenses sections of the Summary Prospectus and in the Management Agreement section of the Statement of Additional Information. However, Principal® Custody Solutions will receive no fees for investment management, investment advisory or similar services rendered to the Account with respect to Account assets invested in such Proprietary Mutual Funds, except as permitted by applicable law. The entity providing investment advisory services may voluntarily waive its fee and/or reimburse the Proprietary Mutual Fund for certain of its expenses in order to reduce expense ratios, which may affect the amount shared with or credited to Principal® Custody Solutions or its affiliates thereof. The Proprietary Mutual Funds incur transaction costs and expenses in their operations and in trading securities, and include these costs into the expense ratios of the Proprietary Mutual Funds. To the extent that Principal® Custody Solutions assists with any activities contemplated by these transaction costs and expenses, including securities transactions effected through a registered broker/dealer affiliate, the Proprietary Mutual Funds may pay Principal
® Custody Solutions for these activities.

The Owner understands that in order to invest in a Proprietary Mutual Fund: (a) it cannot directly or indirectly control and it cannot directly or indirectly be controlled by Principal® Custody Solutions or an affiliate thereof; (b) it cannot be an officer, director, partner, or employee (or relative thereof) of Principal® Custody Solutions or an affiliate thereof; and (c) it cannot directly or indirectly receive any compensation or other consideration for a personal account in connection with the investment of assets in any Proprietary Mutual Fund.

The Owner acknowledges that it has received a copy of the current prospectus for each of the Proprietary Mutual Funds which contains a disclosure of all services provided by an affiliate of Principal ® Custody
Solutions to the Proprietary Mutual Funds and of all applicable fees paid to Principal® Custody Solutions or affiliates thereof as compensation for providing such services to the Proprietary Mutual Funds. The Owner received a copy of the current fee schedule applicable to the Account. A current prospectus for any Principal Funds Distributor, Inc. funds is available at https://www.principalam.com or by calling Principal Funds Investor Services at 1-800-222-5852.

Definitions and Disclosure Statement – Non-ERISA-NonRetirement March 2023 | Created on: 09/11/2023 10:08 AM

Non-Proprietary Investment Options
The principal distributors of certain mutual funds, common or group trust funds, exchange-traded funds (ETFs), and other electronically traded Investment Alternatives unaffiliated with Principal® Custody Solutions or any affiliates thereof (“Non-Proprietary Investment Options”) have made certain of their funds available to the Owner as Investment Alternatives under the Account. These Non-Proprietary Investment Options incur transaction costs and expenses in their operations and in trading securities and include these costs into the expense ratios of their respective Non-Proprietary Investment Options. To the extent that Principal® Custody Solutions assists with any activities contemplated by these transaction costs and expenses, the Non- Proprietary Investment Options may pay Principal® Custody Solutions for these activities. Collective trust funds trusteed by SEI Trust Company that carry the Principal name are nonetheless non-proprietary investments.

Alternative Notification of Securities Transactions under 12 CFR §151.100 Whenever securities transactions (commonly known as trades) are initiated, and Principal ® Custody Solutions
places those securities transactions in the Owner’s account, 12 CFR §151.70 requires Principal® Custody Solutions to inform the Owner of its right to receive a separate notification containing details of those security transactions. Principal
® Custody Solutions can comply by forwarding to the Owner, at no charge, copies of each trade confirmation or, in the absence thereof, written notification of the details that would have been contained therein. Alternatively, the Owner may determine that in lieu of receiving separate trade confirmations, the periodic account statements provided to the Owner by Principal® Custody Solutions adequately informs the Owner of the account trade activity. This alternative reporting is allowed pursuant to 12 CFR §151.100.

By signing the Acceptance Page, the Owner agrees that the periodic statements provided by Principal® Custody Solutions are adequate notification and that the Owner does not wish to receive separate trade confirmations. If the Owner wishes to receive separate trade confirmations, it should provide such request in writing to Principal® Custody Solutions.

Class Actions
Principal® Custody Solutions or its agent(s) shall automatically opt-in to class action lawsuits related to securities held in an open account for which it acts as custodian of which it receives timely electronic notification through its normal electronic system dedicated for such action and can respond therein.

Such action shall not be deemed to constitute the exercise of investment discretion or other authority over such securities and is undertaken at the direction of the Owner (either express or implied by continued utilization of Principal
® Custody Solutions’ services) for the timely servicing of the account. Principal® Custody Solutions shall not be liable for its failure to opt-in to any action because of untimely/unreasonable notice or non-standard response procedures. Caution: This service might not be available for certain non-US class action lawsuits.

Principal® Custody Solutions reserves the right to revise its policy/procedures on class actions from time to time without notice.

Global Investments
Purchases, sales, and holding of securities traded on a non-US or foreign exchange (“Global Investing”), whether at the account owner’s direction or through an investment manager, are handled through a sub- custodial arrangement with The Bank of New York Mellon. Tax servicing related to Global Investing is performed by The Bank of New York Mellon and Principal® Custody Solutions’ agent, GlobeTax, under separate written agreements. Initiation of Global Investing constitutes consent to release relevant account information to The Bank of New York Mellon and GlobeTax. Global Investing requires additional information/forms/agreements and Principal
® Custody Solutions will have no liability for losses caused by delays in account set-up or transaction processing in the absence of all required information/forms/agreements.

Shareholder Meeting/Rights/Actions/Notices and Votes
As directed trustee/custodian, Principal® Custody Solutions will direct matters requiring shareholder action to the party named by the Owner. Principal® Custody Solutions or its agent(s) will act in accordance with commercially reasonable standards in distributing notices and soliciting/casting votes and will have no liability

Definitions and Disclosure Statement – Non-ERISA-NonRetirement March 2023 | Created on: 09/11/2023 10:08 AM

for failure to vote/act without direction. Principal® Custody Solutions will have no liability for the applicable party’s failure to timely vote/act. Principal® Custody Solutions will not forward notices for irregular/predatory/non-traditional shareholder matters routinely ignored by commercial custodians or their agents in the normal course of business. Such inaction will not be deemed to constitute the exercise of investment discretion or other authority over such securities and is undertaken at the direction of the Owner for the timely servicing of the account. Principal® Custody Solutions reserves the right to revise its policy/procedures on shareholder actions from time to time without notice.

Definitions and Disclosure Statement – Non-ERISA-NonRetirement March 2023 | Created on: 09/11/2023 10:08 AM

Shareholder Communications Act Disclosure
The Securities and Exchange Commission adopted the Beneficial Owner Information Disclosure Rule #14b-2 (the “Rule”) in 1986 as part of its effort to improve communications between publicly held companies and beneficial owners of the securities registered in the name of certain nominees.

Under the Rule, Principal® Custody Solutions is required to contact each customer for whom Principal® Custody Solutions holds securities and determine whether the Owner authorizes Principal® Custody Solutions to provide the Owner’s name, address and share position to the issuer of the securities the Owner owns. For the Owner’s protection, the Rule prohibits the requesting company from using the Owner’s name and address for any purpose other than corporate communications.

Please complete the authorization below by checking one of the alternatives. [_] Principal® Custody Solutions is authorized to release the Employer’s name, address and share position (Consents to disclosure).
[_] Principal® Custody Solutions is NOT authorized to release the Employer’s name, address and share position (Objects to disclosure).

Note: Under the Rule, Principal® Custody Solutions is required to treat a non-response as a “Consents to disclosure” response.

Note: Notwithstanding the Owner’s above election under the Shareholder Communications Act, if the Account holds securities of a foreign company domiciled in a European Union country, then pursuant to the European Union’s Shareholder Rights Directive II regulation, the Owner’s name, address, and the share position the Account holds must be disclosed if requested by the issuer of the securities.

Regulation R Limitations (Non-ERISA Custody accounts only) Regulation R restricts Principal® Custody Solutions from executing certain customer-initiated trades in non- employee benefit plan custody accounts (“Restricted Trades”).

Regulation R includes a list of exemptions that allow a bank to conduct specified security transactions without being registered as a broker/dealer. Transactions that fall outside of the exemptions must be performed by a registered broker/dealer.

Principal
® Custody Solutions is permitted to execute Restricted Trades involving Exempt Investments. “Exempt Investments” are defined as any trades involving registered mutual funds and government issued securities.

Principal® Custody Solutions is permitted to execute Restricted Trades not involving Exempt Investments on an accommodation basis. With respect to the custody accounts it services, Principal® Custody Solutions, defines accommodation trading as follows:
1). Trades that involve investing cash deposits/income
• Purchase - invest a cash deposit (new business initial funding activity) • Purchase - invest additional cash deposits in an existing account 2). Trades that involve raising cash for obligations
• Sale - to raise cash for expenses (e.g., to pay a debt obligation, to cover an overdraft) • Sale - to raise cash for account transition to another custodian 3). Trades that involve charitable gifts
• Sale - to liquidate asset gifts received in-kind from donors • Buy - to invest cash gifts received directly from donors (similar to #1 above) 4). Trades that involve special account circumstances
• Trades to rebalance a portfolio on a periodic basis based on an established allocation • Purchase – to invest funds from a pledged asset maturity in a statutory account • Sale – to liquidate assets after an external investment manager has been terminated Customers will be notified by their Relationship Manager when the trading practices of a non-employee benefit plan custody account falls outside of the exemptions under Regulation R.

Capitalized terms not defined herein will have the meanings ascribed to them in the governing documents.

Fee Acknowledgement
September 2022 | Created on: 09/11/2023 10:08 AM

Fee Acknowledgement

Effective Date: EFFECTIVE DATE
Owner name (“Owner”): Santa Clara Stadium Authority
Account name (“Account”): ACCOUNT NAME
Principal account numbers: ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER
Billing Frequency: Quarterly
Method of Payment: Invoice Client

Throughout this Fee Acknowledgement references to Principal® Custody Solutionsi shall include Principal® Bank and/or Principal® Trust Company, as applicable. This Fee Acknowledgement and the Fee Summary incorporated herein together constitute the Fee Agreement.

The Summary Number PROPOSAL NUMBER dated PROPOSAL DATE describes fees and payment to Principal® Custody Solutions with regard to each Account. Subsequent Fee Summaries provided to you will constitute an amendment to this Fee Agreement and will supersede previous Fee Summaries.

With direction from you, we will change the method of payment and/or billing frequency. A method of payment or billing frequency will be effective with the next billing cycle occurring after our receipt of your direction.

Owner Acknowledgement
Fees and expenses described in this Fee Agreement, together with any fees described in other agreements and/or disclosures, constitute amounts payable to Principal® Custody Solutions for services provided to the Owner on the Account. Principal® Custody Solutions shall be paid the fees as described in the Fee Summary at the time such services are rendered. If such fees are not paid by the Account, such payment shall be made by the Owner. Principal® Custody Solutions may deduct fees due for services rendered directly from the Account assets. Fees for services rendered shall be payable upon presentation of invoices by Principal® Custody Solutions and may be subject to late payment penalties. Past due fees may be deducted from the Account assets. Principal, in its sole discretion, may suspend services during any period in which any unpaid amounts are 60 days overdue or may deduct such amounts from the account(s).

Owner understands that if Principal® Custody Solutions fees are based on the market value of the Account, those fees will be affected by asset pricing. When Principal® Custody Solutions is unable to price an asset using its usual pricing sources, Principal® Custody Solutions will rely on the Owner to supply a price. If the Owner is unable to supply a price for the asset, Principal® Custody Solutions will continue to reflect the last known price (and fees will be based on that price) for the asset until the Owner provides an alternative price and fees will be based on that market value.

Should there be any material change to the Account's structure or asset base, or should the Owner fail to transfer any assets scheduled for receipt to Principal® Custody Solutions within 60 days of the Effective Date of this Fee Agreement, Principal® Custody Solutions reserves the right to redefine fees and/or service conditions.

Principal® Custody Solutions shall be entitled to charge additional fees for any additional services requested by the Owner or any revisions to reports, forms, and documents resulting from (i) inaccurate or incomplete information supplied by the Owner, (ii) untimely payments of contributions or reimbursement of fees and expenses, (iii) retroactive amendment of the Trust, (if applicable) (iv) failure of the Owner to timely notify Principal® Custody Solutions of any error in reports, forms and documents prepared by Principal® Custody Solutions. If the Owner requests a rerun of an allocation or report due to incorrect or untimely information being furnished, the Owner shall bear the extra costs attributable to such reallocations or new reports.

Principal® Custody Solutions is entitled to prompt reimbursement of all extraordinary out-of-pocket expenses incurred in the performance of its services on behalf of the Account including, but not limited to, fees for legal process, outside legal fees, and courier services.

On a Quarterly basis, Principal® Custody Solutions will send an invoice to the Owner for fees and expenses due with respect to the Account. The invoice will denote Account fees to be "billed" that are payable by the Owner and/or Account fees to be "deducted" that have been deducted from Account assets held in the Account. Such amounts, if billed, shall be due not later than 30 days following the billing date. Additional services not detailed in this Fee Agreement may be negotiated by and between Principal® Custody Solutions

Fee Acknowledgement
September 2022 | Created on: 09/11/2023 10:08 AM

and the Owner at normal prevailing rates. Principal® Custody Solutions retains the right to revise its Fee Summary from time to time.

If the Owner wishes to have the Account pay any fees or expenses, or wishes to be reimbursed by the Account for any fees or expenses previously paid by the Owner, the Owner shall be responsible for determining which fees and expenses may properly be paid or reimbursed by the Account and provide appropriate written direction certifying this to Principal® Custody Solutions.

iCustody and trust services are provided by Principal Bank®, Member FDIC, and/or Principal Trust Company®.

These services are provided under the trade name Principal® Custody Solutions. Principal Trust Company is a trade name of Delaware Charter Guarantee & Trust Company. Principal Bank and Principal Trust Company are members of the Principal Financial Group®, Des Moines, IA 50392.

Investment Alternative Options Disclosure of Fee Arrangements September 2022 | Created on: 09/11/2023 10:08 AM

Investment Alternative Options
(Direction, Disclosure, and Acknowledgement)

Effective Date: EFFECTIVE DATE
Owner Name (“Owner”): Santa Clara Stadium Authority
Account Name (“Account”): ACCOUNT NAME
Principal Account Numbers: ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER

The Owner directs the investment of certain contribution types as follows and hereby consents to the fees associated with the selection of such investment alternative(s) that are paid to Principal Bank® or Principal Trust Company® (“Principal® Custody Solutionsi”). You should consider whether the rate level/share classes is the most appropriate for this Plan.

The information provided on this form is as of the current date. Revenue that Principal® Custody Solutions may receive might vary if subsequent fund fees or rate changes occur. Please review the Definitions and Disclosure Statement provided in your document package for a more complete explanation of the revenue that Principal ®
Custody Solutions may be entitled to receive.

Name of Investment Alternative (Fund) and
Share Class
CUSIP Revenue from
Fund Asset-Based
Fees
(basis points)
Allocation of
Asset-Based
Fees
(basis points)

Investment Alternative Options Disclosure of Fee Arrangements September 2022 | Created on: 09/11/2023 10:08 AM

Allocation of Asset Based Fees
Principal shall allocate to the Account revenue sharing amounts (e.g., sub-transfer agency fees and shareholder servicing fees) received pursuant to a 12b-1 plan or otherwise from mutual funds and collective funds for the provision of administrative services to the Account and the funds as reflected above. For existing Accounts transitioning to a revenue share allocating arrangement, this process shall begin with those fees which are accrued after the effective date hereof.

The Owner directs Principal® Custody Solutions to allocate Revenue Sharing received by Principal® Custody Solutions to the Account as soon as reasonably practicable after receipt. The Owner acknowledges that Principal® Custody Solutions is not a fiduciary with respect to the selection of the investment options for the Account and that the Owner has independently selected the funds included as investment options for Account assets. In addition, Principal® Custody Solutions shall have no discretionary authority or investment management responsibility with respect to the assets that are allocated to the Account.

Except as otherwise noted herein, the Owner shall provide written direction to Principal® Custody Solutions for payment of Account expenses, reimbursement of Account expenses paid by the Owner, and/or allocation to Account of Revenue Sharing, in compliance with applicable laws.

To the extent practicable, Principal® Custody Solutions will advise the Owner reasonably in advance of any material change in the revenue sharing amounts provided by any investment used by the Account.

The parties agree that fees may be reviewed from time to time, and if at any time, demographic, investment fund or other changes under the Account result in fees significantly higher or lower than contemplated hereunder, the parties shall cooperate in good faith to establish a revised fee structure or services provided commensurate with then prevailing circumstances. Principal® Custody Solutions may amend or revise the terms of this IAO (including the provisions for Revenue Sharing) in its discretion with advance notice to the Owner. Principal® Custody Solutions shall discontinue payments to the Account immediately if such deposits become prohibited due to a change in applicable law.

Investment and Insurance products are:
• Not Insured by the FDIC or Any Federal Government Agency • Not a Deposit or Other Obligation of, or Guaranteed by, Principal Bank or Any Bank Affiliate • Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested

iCustody and trust solutions are provided by Principal Bank, Member FDIC, and/or Principal Trust Company.

These services are provided under the trade name Principal® Custody Solutions, a division of Principal Bank.

Principal Trust Company is a trade name of Delaware Charter Guarantee & Trust Company. Principal Bank and Principal Trust Company are members of the Principal Financial Group®, Des Moines, Iowa 50392.

Sweep Investment Direction – Non-Proprietary MF – Unbundled

ERISA/NQ
February 2023 | Created on: 09/11/2023 10:08 AM

Sweep Investment Direction
for Cash Balances
(Non-Proprietary Mutual Fund)

Effective Date: EFFECTIVE DATE
Owner name (“Owner”): Santa Clara Stadium Authority
Account name (“Account”): ACCOUNT NAME
Account number(s): ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER

This Direction to Trustee or Custodian (this “Direction”) constitutes a direction to Delaware Charter Guarantee & Trust Company, conducting business as Principal® Trust Company, or Principal® Bank, as the case may be (collectively referred to herein as “Principal® Custody Solutions”), each in its capacity as either trustee or custodian of account or accounts established under various trust or custody agreements, to take the actions specified below.

The Owner directs Principal® Custody Solutions to systematically invest cash received by or held in the account(s) indicated above (including all related accounts) in the following short-term investment vehicle:

Sweep Investment Vehicle Name Asset-Based Fees Paid by Fund* (basis points)
CUSIP-Ticker
_ _

*Please review the Definitions and Disclosure Statement provided in your document package for a more complete explanation of the revenue Principal® Custody Solutions may be entitled to receive.

The Owner hereby acknowledges receipt of the current prospectus for the investment vehicle listed above, which includes the investment advisory and other fees charged to or paid by the mutual fund, as well as Principal® Custody Solutions’ Notice of Fee Arrangements documents and attachments thereto.

The Owner understands that it may change this direction at any time and that it shall continue in effect until revoked or modified by an authorized representative of the Owner by written notice to Principal® Custody Solutions.

Authorized Signers Certification
October 2022 | Created on: 09/11/2023 10:08 AM

Effective Date: EFFECTIVE DATE
Owner Name (“Owner”): Santa Clara Stadium Authority
Account Name (the “Account”): ACCOUNT NAME
Principal® Custody Solutions Account Number(s): ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER

Certification of Authorized Signers:

As ______________________________ of the Owner, I hereby certify the following and agree to the Terms and Conditions set forth below:

1. The individual(s) listed below have been authorized by resolution of the Owner and has/have the authority to act on behalf of the Owner. The authorized individual(s) (“Authorized Signers”) may act with respect to th e Authorized Activities designated below on behalf of the Owner, wherever the Owner has responsibility with respect to the Account, in accordance with the governing t rust or custody agreement, executed between Principal® Bank or Principal® Trust Company (as applicable) (“Principal® Custody Solutions”) and the Owner;

2. The signatures that appear on each “Authorized Signer Information” block are true and correct signatures of all Authorized Signers authorized to act on behalf of the Owner with respect to the “Authorized Activities” designated below.

Name (please print) Title (please print)
X

Signature Date

Authorized Signers Certification

Authorized Signers Certification
October 2022 | Created on: 09/11/2023 10:08 AM

Terms and Conditions:

Transaction Requests
Principal® Custody Solutions will accept transaction requests which are delivered to Principal ® Custody Solutions in accordance with its pre-established wire operating and security procedures.

Principal® Custody Solutions’ security procedures include a callback from Principal® Custody Solutions to verify any outgoing wire transfer that is not processed according to pre-established instructions from Owner (“non-repetitive”). Callbacks will be made to an individual that Principal® Custody Solutions reasonably believes to be one of the Authorized Signers established by Owner on the Account, using the contact information on file. No transaction request will be accepted if (i) the person requesting and/or verifying the transaction does not present proper authentication, and/or (ii) the transaction details cannot be verified to Principal® Custody Solutions’ satisfaction.

Principal® Custody Solutions will accept transaction requests that it reasonably believes to be from Authorized Signers by letter, facsimile, or e-mail. However, in order to prevent fraud related activity, Principal® Custody Solutions prohibits the use of public, non- firewall protected e-mail domain names (e.g., aol, hotmail, gmail, yahoo, etc.) as a method for submitting transaction requests.

Owner agrees that the procedures described in this section are commercially reasonable and that it will be bound by any transaction request that Principal® Custody Solutions accepts in good faith while following these procedures. If the Owner declines to follow these procedures or Principal® Custody Solutions’ other standard operating and security procedures, Owner agrees to be bound by any payment order issued in its name and accepted by Principal® Custody Solutions, whether or not authorized.

Additional Owner Contacts
The Owner may also direct Principal® Custody Solutions in writing to communicate for Account purposes with (but not accept direction from), and to provide Account reports and other Account information to, designated employees of the Owner.

Amendment and Revocation
Until this Authorization is revoked or amended by means of a revised Authorized Signers Certification exhibit for the Account, which is provided to Principal® Custody Solutions by the Owner, Principal® Custody Solutions may accept the authority of and rely upon the instructions provided by, documents signed by, or requests for information made by such Authorized Signer. Principa l® Custody Solutions will not be required to verify the accuracy of any information or direction by an Authorized Signer, and will not incur any liability to anyone resulting from actions taken in good faith reliance on such information or direction from an Au thorized Signer.

Please note that Principal® Custody Solutions is required to obtain and screen certain information requested in this Authorization in order to verify that the Owner does not transact business with, on behalf of, or for the benefit of, countries, entities, or individuals that are (i) subject to economic sanctions, or (ii) on other propriety lists we are responsible for screening against. While we respect the privacy of our clients, as United States- based organizations, Principal Bank® and Principal Trust Company® are subject to laws and regulations related to economic sanctions imposed by the United States and administered and enforced by the United States Department of the Treasury’s Office of Foreign Assets Control. Per company policy, we must also ensure customers are not on other proprietary lists. As part of our Global Sanctions Program, authorized signer information is screened against relevant economic sanctions and government lists, as well as other proprietary lists, at the time the account is opened, upon receipt of new customer data or changes to existing customer data, at the commencement of a servicing relationship, and each time there is an update to the applicable economic sanctions program or proprietary list. We appreciate your understanding and assistance in providing us this information.

Authorized Signers Certification
October 2022 | Created on: 09/11/2023 10:08 AM

Authorized Signer Information Authorized Activity

FIRST LAST NAME
[_] All Account Activity and Direction
OR
[_] Asset Pricing - Non-publicly Traded Securities
Provide Valuation to Principal
[_] Corporate Action Processing Direction
Proxy Voting, Tenders & Other Corporate Actions
[_] Cash Processing Direction
[_] Trade Processing Direction
[_] In-Kind Processing Direction
[_] Benefit Payment Processing Direction
[_] Fee and Expense Processing Direction
[_] Other:

This authorized signer may act:
[_] Individually
[_] Jointly, _____ (If left blank, two signatures will be required) signatures required with respect to the authorized activity indicated above.
(If no election is made, Individually will be assumed)
Full legal name (please print)
_
Committee membership (indicate as applicable)
TITLE
Title (please print)

MM/DD/YYYY
Date of birth

STREET ADDRESS, CITY, STATE, ZIP CODE
Home address

COUNTRY
Country of Citizenship (List all countries where you have citizenship)
_
E-mail Address
_
Phone Number

Signature

Authorized Signers Certification
October 2022 | Created on: 09/11/2023 10:08 AM

Authorized Signer Information Authorized Activity
_
[_] All Account Activity and Direction
OR
[_] Asset Pricing - Non-publicly Traded Securities
Provide Valuation to Principal
[_] Corporate Action Processing Direction
Proxy Voting, Tenders & Other Corporate Actions
[_] Cash Processing Direction
[_] Trade Processing Direction
[_] In-Kind Processing Direction
[_] Benefit Payment Processing Direction
[_] Fee and Expense Processing Direction
[_] Other:

This authorized signer may act:
[_] Individually
[_] Jointly, _____ (If left blank, two signatures will be required) signatures required with respect to the authorized activity indicated above.
(If no election is made, Individually will be assumed)
Full legal name (please print)
_
Committee membership (indicate as applicable)
_
Title (please print)
_
Date of birth
_
Home address
_
Country of Citizenship (List all countries where you have citizenship)
_
E-mail Address
_
Phone Number

Signature

Authorized Agents Direction
November 2022 | Created on: 09/11/2023 10:08 AM

Authorized Agents Direction

Effective Date: EFFECTIVE DATE
Owner Name (“Owner”): OWNER NAME
Account Name (“Account”): ACCOUNT NAME
Principal® Custody Solutions Account Number(s): ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER

Authorized Agents
The Owner authorizes and directs Principal Bank® or Principal Trust Company®i (as applicable) (“Principal® Custody Solutions”) as Directed Trustee/Custodian of the Account, to accept and comply with directions provided to Principal ® Custody Solutions in writing by agents of the Owner (“Agentsii”) with respect to the Account and to provide Account information to, and respond to Account inquiries from, such Agents. The Agents may act with respect to the Authorized Activities designated below on behalf of the Owner, in accordance with the agreements governing services for the Account executed between Principal ® Custody Solutions and the Owner.

The Owner certifies to Principal® Custody Solutions that it has entered into a separate written agreement with the Agent(s) indicated below. This separate agreement specifies the terms of the Agent’s authorization(s) to act in connection wit h the Account, including the responsibility to control and monitor which of the Agent’s employees are authorized to provide direction, request or submit information, or make inquiries to Principal® Custody Solutions on behalf of the Account. Upon request by Principal® Custody Solutions, the Owner will cause its Agents to provide Principal® Custody Solutions with an incumbency certificate listing the individuals who are authorized to direct Principal® Custody Solutions. Principal® Custody Solutions shall have no duty to verify the authority of an employee of the Agent to act in connection with the Account and may rely on information an employee of the Ag ent provides.

Name (please print) Title (please print)
X

Signature Date

Authorized Agents Direction
November 2022 | Created on: 09/11/2023 10:08 AM

Authorized Agents Direction
Authorized Agent Information Authorized Activity
AGENT/FIRM NAME _ Asset Pricing - Non-publicly Traded Securities Provide Valuation
to Principal® Custody Solutions
_ Corporate Action Processing Direction
Proxy Voting, Tenders & Other Corporate Actions
_ Cash Processing Direction
_ Trade Processing Direction
_ In-Kind Processing Direction
_ Benefit Payment Processing Direction
_ Other:

Name of Entity (please print)

ADDRESS
Address
For Entity:

TIN
Taxpayer Identification Number

STATE/COUNTRY
State/Country of Registration or
Incorporation

Transaction Requests
Principal® Custody Solutions will accept transaction requests which are delivered to Principal ® Custody Solutions in accordance with its pre-established wire operating and security procedures.

Principal® Custody Solutions’ security procedures include a callback from Principal® Custody Solutions to verify any outgoing wire transfer that is not processed according to pre-established instructions from the Agent (“non-repetitive”). Callbacks will be made to an individual that Principal® Custody Solutions reasonably believes to be one of the authorized Agents established by the Owner on the Account, using the contact information on file. No transaction request will be accepted if the person requesting and/or ve rifying the transaction does not present proper authentication and/or the transaction details cannot be verified to Principal ® Custody Solutions’ satisfaction.

Principal® Custody Solutions will accept transaction requests that it reasonably believes to be from Agents by letter, facsimile, or e - mail. However, in order to prevent fraud related activity, Principal® Custody Solutions prohibits the use of public, non-firewall protected e-mail domain names (e.g., aol, hotmail, gmail, yahoo, etc.) as a method for submitting transaction requests.

The Owner agrees that the procedures described in this section are commercially reasonable and that it will be bound by any transaction request that Principal® Custody Solutions accepts in good faith while following these procedures. If the Agent fails to follow these procedures or Principal® Custody Solutions’ other standard operating and security procedures, the Owner agrees to be bound by any payment order issued in its name and accepted by Principal ® Custody Solutions, whether or not authorized.

Amendment and Revocation
Until this authorization is revoked or amended by means of a revised Authorized Agents Direction exhibit for the Account, which is provided to Principal® Custody Solutions by the Owner, Principal® Custody Solutions may accept the authority and rely upon the instructions provided by, documents signed by, or requests for information made by such authorized Agents. Principal ® Custody Solutions will not be required to verify the accuracy of any information or direction by an authorized Agent, and will not incur any liability to anyone resulting from actions taken in good faith reliance on such information or direction from an Agent.

Authorized Agents Direction
November 2022 | Created on: 09/11/2023 10:08 AM

* Please note that Principal® Custody Solutions is required to obtain and screen certain information provided above in order to ensure that the Employer does not transact business with, on behalf of, or for the benefit of, countries, entities, or individuals that are subject to economic sanctions, as well as other propriety lists we are responsible for screening against. While we respect the privacy of our clients, as a U.S.-based corporation, Principal
® Custody Solutions is subject to laws and regulations related to economic sanctions imposed by the United States and administered and enforced by the U.S. Department of the Treasury’s Office of Foreign Assets Control. Per Principal® Custody Solutions policy, we must also ensure customers are not on other proprietary lists. As part of Principal® Custody Solutions Global Sanctions Program, authorized agent information is screened against relevant economic sanctions and government lists, as well as other proprietary lists, at the time the Account is opened, upon receipt of new customer data or changes to existing customer data, at the commencement of a servicing relationship, and each time there is an update to the applicable economic sanctions program or proprietary list. We appreciate your understanding and assistance in providing us this information.

iDirections to either Principal Bank or Principal Trust Company shall also be deemed to be a direction to either entity’s affiliates, as applicable.
ii Agents include the named party and its agents and affiliates.

Alternative Assets Direction & Acknowledgement
September 2022 | Created on: 09/11/2023 10:08 AM

Effective Date: EFFECTIVE DATE
Owner Name (“Owner”): OWNER NAME
Account Name (the “Account”): ACCOUNT NAME
Account Number(s) (the “Accounts”): ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER
Investment
Fiduciary:

This Direction to Trustee or Custodian (this “Direction”) constitutes a direction to Delaware Charter Guarantee & Trust Company, conducting business as Principal Trust Company®, or Principal Bank®, as the case may be (collectively referred to herein as “Principal® Custody Solutions”), each in its capacity as either trustee or custodian of Account or Accounts established under various trust or custody agreements, to take the actions specified below.

The Owner/Investment Fiduciary hereby direct Principal® Custody Solutions, as Trustee/Custodian of the Account(s) to purchase and/or hold alternative assets in the form of LLC or LP hedge or pooled funds, or non-LP, non-LLC pooled funds (“Alternative Assets”), as permitted by the Account’s governing documents, until such time as the Owner/Investment Fiduciary direct Principal® Custody Solutions to sell or distribute the Alternative Assets.

The Owner/Investment Fiduciary certify that the Account’s governing documents permit the Account to purchase/hold Alternative Assets. The Owner/Investment Fiduciary also agree that the Account(s) may not hold an asset in the form of a general partnership, joint venture, sole proprietorship, Principal® Custody Solutions member-managed shares in a member-managed LLC, or a controlling interest (greater than 50%) of an asset. The Owner/Investment Fiduciary acknowledge the following:

1. Principal® Custody Solutions as Directed Trustee/Custodian. Principal® Custody Solutions has no investment discretion over Alternative Assets but is strictly a directed trustee or custodian. Principal® Custody Solutions will not be responsible for taking any action except upon written direction of the Owner/Investment Fiduciary, and will not be liable for any action, or failure to act, that is taken upon such written direction.

2. Prohibited Transactions and Self-Dealing. The purchase and/or holding of Alternative Assets is not a prohibited transaction as defined in Sections 406 of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) and 4975 of the Internal Revenue Code (the “Code”), if applicable, and is not otherwise an act of self-dealing. Principal® Custody Solutions is not responsible for any consequences, including prohibited transactions, resulting from Alternative Assets of the Account being treated as “plan assets” under ERISA.

3. Tax Filing and Reporting Requirements. Principal® Custody Solutions is not responsible for filing any information returns or reports that may be required in connection with Alternative Assets. The Owner/Investment Fiduciary, not Principal® Custody Solutions, is responsible for determining if Alternative Assets may create income to the Account, including unrelated debt- financed income and unrelated business taxable income, as those terms are defined in Sections Direction and Acknowledgement for
Purchasing/Holding Alternative Assets

Alternative Assets Direction & Acknowledgement
September 2022 | Created on: 09/11/2023 10:08 AM

511 through 515 of the Code. The Owner/Investment Fiduciary will review the appropriate ERISA Form 5500 reporting requirements as to the Alternative Assets. Owner will consult with its own advisor or attorney regarding these issues. If Alternative Assets result in taxable income to the Account, the Owner is responsible for arranging preparation of the tax return for Principal® Custody Solutions’ signature.

4. Valuation. Principal® Custody Solutions will utilize the value provided on the evidence of ownership documentation to establish the initial value to be reflected on the trust statement. For subsequent valuations, Principal® Custody Solutions shall use the value provided by the Owner/Investment Fiduciary as the fair market value of Alternative Assets. Principal® Custody Solutions may rely on any such value provided. If Principal® Custody Solutions does not receive an updated value, Principal® Custody Solutions will continue to use the most recent value that it has been provided until the Owner/Investment Fiduciary provides direction otherwise. Principal® Custody Solutions will not independently value any Alternative Assets.

5. Release. The Custodian’s/Trustee’s protections, including but not limited to, rights to indemnification for its taking or refraining from taking any action in accordance with any direction of the Owner/Investment Fiduciary with respect to the purchase, holding, or sale of Alternative Assets shall be determined by the underlying custody/trust agreement in effect between the parties.

6. Liquidity. Notwithstanding the investment direction, sufficient liquid funds will be available in the Account to invest in other assets, make distributions and provide for other cash needs of the Account. If Alternative Assets require future contractual payments, these payments shall be made solely by/from the Account.

7. Controlled Foreign Corporation. Principal® Custody Solutions is not responsible for any consequence that may result from the investments qualifying as a “controlled foreign corporation” as that term is defined in Section 957 of the Code.

8. Trust Reporting. Alternative Assets will be accounted for and reported consistent with industry standards to accurately reflect realized and unrealized gain/loss. • For LP acquired through transition:
i. Shares may need to be adjusted to equal cost to conform with Principal® Custody Solutions standards
ii. Units and cost will equal capital calls, less capital distributions iii. Fair market value will reflect the market value on the partnership statement • For new LP purchased:
i. Units and cost will equal capital calls, less capital distributions ii. Fair market value will reflect the market value on the LP statement

Alternative Assets Direction & Acknowledgement
September 2022 | Created on: 09/11/2023 10:08 AM

Notice: Principal® Custody Solutions will forward to the Owner/Investment Fiduciary communications regarding Alternative Assets, including proxies and corporate actions, for appropriate action by the Owner/Investment Fiduciary.

The Owner represents and warrants that legal counsel has been engaged to act on behalf of the Owner/Investment Fiduciary with respect to the transaction contemplated hereunder and has reviewed all of the matters covered in this document.

Owner If Owner is acting as own Investment Fiduciary, please initial here: ______ By Date:

Print Name

Signature
Title:

Investment Fiduciary

By Date:

Print Name

Signature
Title:

Principal Custody Solutions Electronic Signature Agreement December 2022 | Created on: 09/11/2023 10:08 AM

Effective Date: EFFECTIVE DATE
Owner Name (“Owner”): OWNER NAME
Account Name (the “Account”): ACCOUNT NAME
Principal Account Number(s): ACCOUNT NUMBER and all related sub accounts File Number(s): FILE NUMBER

This Electronic Signature Agreement (“ESA”) is entered into between Delaware Charter Guarantee & Trust Company, conducting business as Principal Trust Company®, or Principal Bank®, as the case may be (collectively referred to herein as “Principal® Custody Solutions”) and Owner in order to allow Owner to submit electronic signatures on certain Owner documents. Federal and state laws generally recognize the acceptance of electronic signatures as legal and enforceable for most transactions. Principal Custody Solutions recognizes the validity of electronic signatures and the efficiency that can be gained from conducting business transactions electronically. However, in order to accept electronic signatures that are generated by Owner outside the control of Principal Custody Solutions, Principal Custody Solutions requires that Owner sign and agree to the terms of this ESA.

Pursuant to this ESA, Owner agrees that Owner will only submit electronic signatures to Principal Custody Solutions that are generated using (i) an Approved Electronic Signature Tool, as outlined below, and (ii) an electronic signature process or system that complies with applicable federal, state, and local laws regarding the execution and transmission of electronic documents and signatures, including but not limited to the Uniform Electronic Transactions Act (“UETA”) and the Electronic Signatures in Global and National Commerce Act (“ESIGN”).

Approved Electronic Signature Tools:

Owner understands that Principal Custody Solutions maintains a list of electronic signature tools that are known to Principal Custody Solutions to include features and capabilities that demonstrate compliance with the terms of this ESA and applicable laws (“Approved Electronic Signature Tools”). Owner understands and agrees that Principal Custody Solutions will only accept electronic signatures that are generated with an Approved Electronic Signature Tool and that otherwise comply with the terms of this ESA.

Principal Custody Solutions agrees to provide Owner with a complete list of Approved Electronic Signature Tools upon request. In the event Owner utilizes an electronic signature tool not considered an Approved Electronic Signature Tool, Owner may submit Owner’s preferred electronic signature tool to Principal Custody Solutions and Principal Custody Solutions, in its sole discretion, may consider adding the electronic signature tool to the list of Approved Electronic Signature Tools. Owner agrees that Principal Custody Solutions has the final decision on the list of Approved Electronic Signature Tools.

At the time of the execution of this ESA, Approved Electronic Signature Tools include, but may not be limited to, AdobeSign and DocuSign.

Electronic Signature Requirements:

Owner agrees and warrants that any electronic signature submitted to Principal Custody Solutions will use an electronic signature process or system that:

1. Demonstrates the authenticity of the person who receives and executes any document and proof of delivery, receipt, and signature by the person who receives and executes the document;

Electronic Signature Agreement

Principal Custody Solutions Electronic Signature Agreement December 2022 | Created on: 09/11/2023 10:08 AM

2. Demonstrates the executed document has not been tampered with during the signature and delivery process; and

3. Generates a document or set of documents that demonstrate compliance with the terms in (1) and (2) above (“Proof of Compliance”).

Owner agrees to provide Principal Custody Solutions with Proof of Compliance at the time of delivering the electronically signed document to Principal Custody Solutions. Should consent of the signor of any electronic documents be required by law, Owner agrees to obtain such consent (i) in advance of the execution of the electronic signature and (ii) in the same or similar manner as the electronic transaction to reasonably demonstrate that the signor can access information in the electronic form that will be used to provide the information that is subject to the consent. Owner agrees to take commercially reasonable efforts to ensure data security is in compliance with law.

Additional Requirements
Owner understands and agrees that Principal Custody Solutions may have additional policies and practices regarding the acceptance of signatures that require documents to be manually or “wet” signed regardless of Owner’s electronic signature capabilities and, notwithstanding the terms of this ESA, Owner agrees to provide Principal Custody Solutions with a manual or “wet” signature should one be requested.

Owner understands and agrees that electronic signatures accepted pursuant to this ESA must still comply with other agreements governing Owner’s submission of signatures to Principal Custody Solutions including but not limited to an authorized signers certification.

Indemnification
Owner agrees to indemnify and hold harmless Principal Custody Solutions, its officers, directors, and employees from any and all loss, expense, cost of litigation, including attorney’s fees, or damage as a result of any claim or demand made against Principal Custody Solutions arising out of or related to Owner’s use of electronic signatures as set forth in this ESA. In addition, Owner agrees to indemnify and hold harmless Principal Custody Solutions its officers, directors, and employees from any and all loss, expense, cost of litigation, including attorney’s fees, or damage resulting from Owner’s negligent or unauthorized acts as related to electronic signatures delivered to Principal Custody Solutions pursuant to this ESA.

Principal Custody Solutions Electronic Signature Agreement December 2022 | Created on: 09/11/2023 10:08 AM

ACCEPTED BY:

SAMPLE - Signer Block for PFG Entity

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Title (please print)
X
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Signed: ___________________________
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Title: _____________________________

Agreement with Principal Bank/Exhibit E-Notice of Exercise of Option Page 1 Rev. 07-01-18

EXHIBIT E

NOTICE OF EXERCISE OF OPTION TO EXTEND AGREEMENT

AGREEMENT TITLE:

CONTRACTOR:

DATE:

Pursuant to Section __ of the Agreement referenced above, the Santa Clara Stadium Authority hereby exercises its option to extend the term under the following provisions:

OPTION NO. # of #

NEW OPTION TERM
Begin date:

End date:

CHANGES IN RATE OF COMPENSATION

Percentage change in CPI upon which adjustment is based:

Pursuant to Section ___ of the Agreement the rates of compensation are hereby adjusted as follows:
(use attachment if necessary)

MAXIMUM COMPENSATION for New Option Term:

For the option term exercised by this Notice, Authority shall pay Contractor an amount not to exceed the amount set forth above for Contractor’s services and reimbursable expenses, if any.

The undersigned signing on behalf of the Santa Clara Stadium Authority hereby certifies that an unexpended appropriation is available for the term exercised by this Notice, and that funds are available as of the date of this signature.

Approved as to Form:

Dated:

GLEN R. GOOGINS
Stadium Authority Counsel
JŌVAN D. GROGAN
Executive Director
Santa Clara Stadium Authority
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax: (408) 241-6771

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-1253 Agenda Date: 10/24/2023

REPORT TO STADIUM AUTHORITY BOARD

SUBJECT
Informational Report on July 2, 2023 Concacaf Gold Cup at Levi’s Stadium and Event-Related Impacts - Deferred from September 26, 2023

BOARD PILLARS
Enhance Community Engagement and Transparency
Ensure Compliance with Measure J and Manage Levi’s Stadium

BACKGROUND
Through the Management Agreement for Levi’s Stadium, the Forty Niners Stadium Management Company LLC (Stadium Manager) is responsible for managing and operating Levi’s Stadium on behalf of the Stadium Authority for Non-National Football League (Non-NFL) Events such as concerts, Non-NFL sporting events, and non-ticketed special events and responsible for marketing and booking Non-NFL events. The Stadium Manager’s management of Non-NFL Events includes pre -event planning, ticket sales, and event day operations (including ticketing, entrance screening, staffing, event security, and Stadium parking/tailgating management), among other duties.

As the local jurisdiction, the City of Santa Clara is responsible for pre-event public safety plans, road closures, neighborhood protection, law enforcement activities (inside and outside of the stadium), and permit issuance for items such as pyrotechnical displays (fireworks) and temporary structures.

On July 2, 2023, Levi’s Stadium hosted its first doubleheader professional soccer event. The Concacaf Gold Cup began with an initial match between Jamaica and St. Kitts/Nevis and a second match between Qatar and Mexico, scheduled to occur at 4:00 p.m. and approximately 6:00 p.m., respectively.

Execution on pre-event logistics, development of public safety plans and decisions related to parking and tailgating for the July 2 Concacaf Gold Cup event aligned to the above segregation of responsibilities. Additionally, pre-event intelligence elevated public safety concerns related to the second match between Qatar and Mexico, specifically the potential for unruly fan behavior. This information influenced staffing as well as safety/security procedures implemented for the event, including the following measures to mitigate potential incidents:
· Limiting alcohol sales to one drink per customer per transaction for the second match · Pouring purchased beverages into recyclable plastic cups to limit potential projectiles within the stadium
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Tailgating, mobile vendors, and traffic congestion related to the event impacted nearby streets and the community. Within the perimeter of the stadium and inside the venue, a heavy volume of patrons entering the facility prior to the second match, unruly fan behavior, and a series of fights immediately preceding and following the conclusion of the event created additional challenges. One incident involved a stabbing of a patron -the suspect in which was subsequently arrested.

On July 5, 2023, Mayor Gillmor and Councilmember Watanabe submitted a Written Petition (Council Policy 030) to schedule a Special Meeting to receive a detailed report from the Stadium Manager and staff, including the City’s Police Department, to discuss the operations inside the Stadium and outside in the surrounding community and issues related to the July 2, 2023 event (Attachment 1).

On July 11, 2023, the Council took action to schedule a Special Meeting in September to discuss the matters outlined in the submitted Written Petition. This report responds to the Council’s direction.

DISCUSSION
The City’s Police Department will provide a presentation on the following topics:
· General public safety planning for Levi’s Stadium events · July 2, 2023 event overview
The Stadium Authority is requesting Statements of Qualifications (SOQ) for an external review of event entry/security procedures and neighborhood impacts at Levi’s Stadium. The assessment and recommendations resulting from this scope of work will assist the Stadium Authority and Stadium Manager in their respective planning and coordination efforts for future events at Levi’s Stadium.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(b)(5) in that it is a governmental organizational or administrative activity that will not result in direct or indirect changes in the environment.

FISCAL IMPACT
There is no fiscal impact associated with this report aside from administrative staff time.

COORDINATION
This report was coordinated between the City’s Police Department and the Executive Director and Stadium Authority Counsel’s Offices.

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]> or at the public information desk at any City of Santa Clara public library.

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23-1253 Agenda Date: 10/24/2023

RECOMMENDATION
Note and file the informational report on the July 2, 2023 Concacaf Gold Cup at Levi’s Stadium.

Prepared by: Christine Jung, Assistant to the Executive Director Approved by: Jōvan D. Grogan, Executive Director

ATTACHMENTS

1. Written Petition Submitted by Major Gillmor and Councilmember Watanabe City of Santa Clara Printed on 10/20/2023Page 3 of 3
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City of Santa Clara
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1500 Warburton Avenue
Santa Clara, CA 95050
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23-1091 Agenda Date: 10/24/2023

REPORT TO COUNCIL

SUBJECT
Public Hearing: Continuance from October 10, 2023 for Action on Tentative Parcel Map, Rezone, Architectural Review to Add a Second-Story Accessory Dwelling Unit and Create Two Separate Lots Each with an Existing Residence and a New Detached Garage on the Property Located at 1365 Main Street and 1070 Lewis Street.

COUNCIL PILLAR
Promote and Enhance Economic, Housing and Transportation Development

BACKGROUND
On December 23, 2021, the property owner submitted formal applications requesting to rezone the property at 1365 Main Street and 1070 Lewis Street from R1-6L to PD-Planned Development, an Architectural Review of the proposed second-story accessory dwelling unit (ADU), and a Tentative Parcel Map to subdivide one parcel into two parcels to create a separate lot for 1070 Lewis Street.

The proposed project includes interior and exterior alterations, an addition, and construction of two new parking garages and a new ADU.

Currently, two houses at 1365 Main Street and 1070 Lewis Street sit on a 9,386 square-foot, L- shaped lot located on the northwest corner of the block bound by Lewis Street to the north and Main Street to the west. A rezone of the property to PD is required to allow unique development standards for site and building design that are not otherwise allowed in standard zoning districts, to maintain the proposed two detached single-family dwelling units and construct two detached garages and an ADU on two proposed substandard sized lots (“Project”) as shown on the Development Plans (Attachment 8).

The project was referred to the Historical and Landmarks Commission (HLC) for the review of a Mills Act agreement and Major Significant Property Alteration (SPA) permit, as the residence at 1365 Main Street is a listed resource on the Historical Resource Inventory (HRI). The residence at 1070 Lewis Street is not listed on the HRI. The HLC reviewed the proposal and recommended approval (vote: 5- 0-1) at the Historical and Landmarks Commission meeting on May 17, 2023. The HLC staff report, which is an attachment of the Planning Commission staff report provides an analysis of the SPA (Attachment 1).

The project was presented before the Planning Commission at a publicly noticed meeting on August 23, 2023. The Planning Commission staff report (Attachment 1) provides an analysis of the project’s conformance with the General Plan, Zoning, and of the project’s consistency with the Secretary of interior Standards (SIS) for Rehabilitation of a historical resource at 1365 Main Street. The Planning Commission unanimously recommended approval of the project (7-0-0).

DISCUSSION
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At the August 23, 2023 Planning Commission meeting, staff presented an overview of the proposal; site conditions; the proposed land subdivision; the project’s consistency with General Plan, Zoning, SIS evaluation, and future Mills Act contract; and its conformance with the California Environmental Quality Act (CEQA). The applicant then made a presentation highlighting the timeline for development, project scope, historic treatment plan, and architectural compatibility to the Craftsman Bungalow architectural style.

One member of the public provided comment suggesting the addition of conditions of approval for the rezone to maintain and preserve the existing residences on site so that new owners would not adversely alter the look and feel of the neighborhood. Following public comments, the Planning Commission discussed the project and entitlements under their purview. The Planning Commission then concluded deliberations and adopted resolutions to unanimously approve the Major SPA permit and recommended approval of the rezone from R1-6L to PD to allow the development of two new single-family lots, two new garages, and a second-story ADU as shown on the development plans.

Pursuant to Santa Clara Code Section 17.05.110, the proposed Tentative Parcel Map application is referred directly to the City Council for consideration and was not discussed at the Planning Commission. The Tentative Map was deemed complete by the City’s Subdivision Committee on March 29, 2023. The proposed lots conform to the General Plan land use designation of Very Low Density Residential. While Architectural Review may be processed administratively, it has been incorporated into the proposed Council action to provide a single, cohesive planning entitlement process.

The second-story ADU as proposed on the development plans would typically be reviewed at the Development Review Hearing. Staff is referring the architectural review for City Council consideration. The proposed one-bedroom ADU is set above the proposed detached garage at 1070 Lewis Street. At 22 feet and nine inches, the ADU exceeds the maximum allowable height of 18 feet; however, approval of the PD would allow the current height and second-story level ADU as proposed.

The ADU design is consistent with the City’s Single-Family Design Guidelines by proposing a compatible Craftsman architectural style and form as the historic resource at 1365 Main Street.

Privacy from second-story windows is also addressed with no window proposed at the south and east elevation.

ENVIRONMENTAL REVIEW
The action being considered for the Rezone and Architectural Review is categorically exempt from the California Environmental Quality Act (CEQA) pursuant to CEQA Guidelines Section 15301 (Class 1 -- Existing Facilities), in that the project involves the repairs and alterations to a historic single- family residence and pursuant to CEQA Guidelines Section 15331 (Class 31 -- Historical Resource Restoration/Rehabilitation), in that the project concerns the renovation of a property in a manner consistent with the Secretary of the Interior’s Standards.

The action being considered for the parcel map is categorically exempt from CEQA pursuant to CEQA Guidelines Section 15315 (Class 15 -- Minor Land Divisions) , in that the project involves the subdivision of urbanized land into fewer than five parcels and is served by existing municipal facilities.

FISCAL IMPACT
There is no fiscal impact to the City for processing the requested application other than administrative City of Santa Clara Printed on 10/20/2023Page 2 of 4
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time and expense typically covered by processing fees paid by the applicant.

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

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> or at the public information desk at any City of Santa Clara public library. Furthermore, public outreach for the project is consistent with City Council Resolution No. 17-8456, regarding public outreach policy.

On September 29, 2023, the notice of public hearing for this item was also posted in three conspicuous places within 300 feet of the project site and was mailed to property owners within 300 feet of the project site boundaries in the Old Quad District. The Planning Division did not receive public comment during the preparation of this staff report.

ALTERNATIVES

1. Deny the Rezone from R1-6L-Single-Family Residential to PD-Planned Development.

2. Deny the Tentative Parcel Map to subdivide one parcel into two parcels.

3. Deny the Architectural Review of the proposed second-story ADU as proposed on 1070 Lewis Street.

RECOMMENDATION

1. Determine that the project is categorically exempt from CEQA pursuant to Class 1 (Existing Facilities), Class 15 (Minor Land Divisions) and Class 31 (Historical Resource Restoration/Rehabilitation).

2. Adopt a resolution to approve a Rezone from R1-6L-Single-Family Residential to PD-Planned Development based on findings and conditions of approval.

3. Adopt a resolution to approve a Tentative Parcel Map to subdivide one parcel into two parcels, subject to findings and conditions of approval.

4. Adopt a resolution to approve an Architectural Review of the proposed second-story ADU and exterior and interior alterations as proposed on 1070 Lewis Street and 1365 Main Street, subject to findings and conditions of approval.

Reviewed by: Andrew Crabtree, Director of Community Development Approved by: Jōvan D. Grogan, City Manager

ATTACHMENTS

1. Planning Commission Staff Report of August 23, 2023

2. Resolution Recommending Approval of Rezone

3. Resolution Recommending Approval of Tentative Parcel Map

4. Resolution Recommending Approval of Architectural Review

5. Conditions of Approval - Rezone and Architectural Review

6. Conditions of Approval - Tentative Parcel Map

7. Tentative Parcel Map
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8. Development Plan
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23-499 Agenda Date: 8/23/2023

REPORT TO PLANNING COMMISSION

SUBJECT
Action on a Major Significant Property Alteration Permit and Recommendation for Rezoning to Planned Development for Property Located at 1365 Main Street and 1070 Lewis Street Applicant/Owner
: Mark Robson/Pear Street Investments, LLC
General Plan: Very Low Density Residential
Zoning: R1-6L - Single-family Residential
Site Area: 9,386 square foot lot
Existing Site Conditions:

The two houses at 1365 Main Street and 1070 Lewis Street are currently situated on a single 9,386 square-foot L-shaped lot that has frontages on Lewis Street to the north and Main Street to the west.

Surrounding Land Uses
:

The site is bordered by single-family residences in all directions. The surrounding land uses are primarily single-family, with one multi-family property located north of Lewis Street.

Issues:

Consistency with Zoning Ordinance and Single-Family Design Guidelines.

Staff Recommendation
:

That Planning Commission adopt a resolution approving the Major Significant Property Alternation Permit and adopt a resolution recommending that the City Council approve the Rezone to Planned Development for the property located at 1365 Main Street and 1070 Lewis Street, subject to findings and conditions of approval.

BACKGROUND
On December 23, 2021, the property owner submitted formal applications requesting to rezone the property at 1365 Main Street and 1070 Lewis Street from R1-6L to PD-Planned Development, and for granting of a Tentative Parcel Map to subdivide one parcel to two parcels to create a separate lot for 1070 Lewis Street. The proposed project includes interior and exterior alterations, an addition, and construction of two new parking garages and a new Accessory Dwelling Unit (ADU).

The project was referred to the Historical and Landmarks Commission (HLC) for the review of a Mills Act agreement and Major Significant Property Alteration, as the residence at 1365 Main Street is a listed resource on the Historical Resource Inventory (HRI). The residence at 1070 Lewis Street is not listed on the HRI. The HLC reviewed the proposal and recommended approval (vote: 5-0-1) at the regular Historical and Landmarks Commission meeting on May 17, 2023 (See Attachments 1 and 2).

DISCUSSION
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The proposed project includes splitting one 9,836 square-foot lot into two lots (5,359 square-feet and 4,027 square-feet) through the Tentative Map process and rezoning from R1-6L - Single-Family Residential to PD - Planned Development to allow unique development standards for setbacks, lot size, lot width and a two-story ADU. The project will include interior and exterior alterations and a rear addition to the house at 1365 Main Street, demolition of all accessory structures, construction of a new detached garage at 1365 Main Street, and construction of a new detached ADU above a two-car garage at 1070 Lewis Street.

Major Significant Property Alteration:

Because the residence at 1365 Main Street is listed on the HRI, significant alterations of the property require granting of a Major Significant Property Alteration (SPA) Permit per Santa Clara City Code (SCCC) 18.106.050. As part of the project, the applicant is proposing an approximately 460 square foot addition (21 by 22 feet) at the southeast corner of the house. As part of this addition, the existing shed roof extension at the east façade will be removed and replaced with a new, gabled roof covering both the addition and existing east section of the house. The applicant will also be removing non- original additions at the front and rear of the house, and reconfiguring the interior space. The resulting residence will have four bedrooms and three bathrooms.

Other exterior alterations to 1365 Main Street include:
 North façade: Three double-hung multi-lite windows will be added to the extension.  West façade: One of the four multi-pane windows to the south will be removed and the remaining three will be centered on the wall. The gaps on each side will be filled in. The existing door will be replaced with a new door.
 South façade: Four vertical casement windows will be removed and the area will be filled in to match adjacent stucco. The center three double-hung windows will be replaced with two new, double-hung windows to meet egress code requirements. An existing pair of double-hung windows will be replaced with one larger double-hung window also required for egress. An additional two double-hung windows will be added at the extension of the house.  East façade: Two sets of double windows and a new door will be added.

According to SCCC Section 18.106.050(c)(3), the Planning Commission will approve or deny the SPA permit following review and recommendation from the HLC and based on the findings in SCCC Section 18.106.050(d) stated below and contained within the attached resolution (Attachment 4):
(1) The alterations shall be designed to the essential character, features, and defining elements that make the HRI property significant;
(2) The project proposals shall not have a significant adverse effect on the integrity of the HRI property;
(3) The alterations must be compatible with the existing structure or district; and (4) The alterations must be consistent with the Secretary of the Interior’s Treatment Standards.

On May 8, 2023, an architecture firm, TreanorHL, prepared a project compliance review for the Secretary of the Interior’s Standards for Rehabilitation (Standards) and concluded that the proposed project appears to be compliant with the Standards . The project fully complies with Standards 1-7, and 9-10, and provisionally complies with Standard 8, which relates to the discovery of archaeological resources, based on mitigations included within the project. The project includes a Window Assessment and Treatment Plan to guide the property owner and contractors in the proper City of Santa Clara Printed on 8/18/2023Page 2 of 4
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23-499 Agenda Date: 8/23/2023
techniques for construction of the addition according to the Standards. With implementation of the recommended mitigation measures, potential impacts to the historic significance of the property would be reduced to a level of less-than-significant. The project includes limited excavation, but mitigation measures such as work stoppage and investigation are included as conditions to address Standard 8.

Rezoning:

Amendments to a property’s zoning designation can be requested consistent with SCCC Section

18.112.020. The proposed PD - Planned Development zoning for the property is intended to accommodate development that is consistent with the City’s General Plan land use designation of Very Low Density Residential, compatible with the existing community, and utilizes imaginative planning and design concepts that are otherwise restricted in other zone districts. The proposed PD zoning provides flexibility and variation in development standards from the R1-6L Single-Family Zoning District standards by allowing for reduced front and side yard building setbacks, reduced lot width and area, increased lot coverage and a new detached two-story ADU. These allowances are appropriate to allow a typical amount of development on the lot as the lot size is small and substandard compared to a typical single-family residential lot in a conventional zoning district.

The proposed rezoning would allow preservation of the established single-family residential development character for this block by restricting the use on each lot to a single-family residence and an ADU consistent with the pattern of development in the neighborhood. The rezoning would also conserve property values, protect and improve the existing character and stability of the area in question, and will promote the orderly and beneficial development in that the proposal would preserve the existing residential unit on the project site, and allow for additional individual ownership opportunities in the neighborhood.

According to SCCC Sections 18.112.030 and 18.112.040, the Planning Commission shall hold a public hearing on any proposed rezoning and make a recommendation to the City Council.

Conclusion:

Approval of this project would provide an opportunity to retain high quality residential units and allow individual ownership. Staff finds that the proposed project adheres to the Secretary of the Interior’s Standards for Rehabilitation with mitigation measures to repair and replace deteriorated windows.

Standard conditions will provide mitigation for any archaeological discovery. With evaluation of the original features of the HRI resource and the use of the Window Assessment and Treatment Plan, the exterior alteration of the resource will be consistent with the Standards.

ENVIRONMENTAL REVIEW
The action being considered is categorically exempt from the California Environmental Quality Act (CEQA) per CEQA Guidelines Section 15301 - Class 1 Existing Facilities, in that the project involves the repairs and alterations to a historic single-family residence and per Section 15331 - Class 31 Historical Resource Restoration/Rehabilitation, in that the project concerns the renovation of a property in a manner consistent with the Secretary of the Interior’s Standards.

FISCAL IMPACT
There is no fiscal impact to the City for processing the requested application other than administrative time and expense typically covered by processing fees paid by the applicant.

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

PUBLIC CONTACT
On August 11, 2023, a notice of public hearing of this item was posted in three conspicuous locations within 300 feet of the project site and mailed to property owners within 300 feet of the project site. No public comments have been received at the time of preparation of this report.

RECOMMENDATION
1) Adopt a resolution to approve the Major Significant Property Alteration (SPA) Permit based on the findings, the historical evaluation, the treatment plan, and recommendation from the HLC; and
2) Adopt a resolution to recommend the City Council approve a rezone from R1-6L-Single-Family Residential to PD-Planned Development based on findings and conditions of approval.

Reviewed by: Andrew Crabtree, Director of Community Development Approved by: Jōvan D. Grogan, City Manager
City Manager

ATTACHMENTS

1. Historical and Landmarks Commission Staff Report of May 17, 2023

2. Historical and Landmarks Commission Meeting Minutes of May 17, 2023

3. Resolution Recommending Approval of the Rezone

4. Resolution Approving a Major Significant Property Alteration

5. Conditions of Approval

6. Development Plan
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23-357 Agenda Date: 5/17/2023

REPORT TO HISTORICAL AND LANDMARKS COMMISSION

SUBJECT
Consideration of a Mills Act Contract and Major Significant Property Alteration Permit at 1365 Main Street.

BACKGROUND
On December 23, 2021, the owner submitted a formal application requesting to rezone the property at 1365 Main Street and 1070 Lewis Street from R1-6L to PD-Planned Development, and a Tentative Parcel Map to subdivide one parcel to two parcels to create a separate lot for 1070 Lewis Street. The development includes interior and exterior alterations, addition, and construction of two new parking garages, and a new ADU. The project is referred to the Historical and Landmarks Commission (HLC) for the review of a Mills Act agreement and Major Significant Property Alteration, as the residence at 1365 Main Street is a listed resource on the Historical Resource Inventory (HRI). The residence at 1070 Lewis Street is not listed on the HRI.

DISCUSSION
The two houses at 1365 Main Street and 1070 Lewis Street sit on a 9,386 square-foot L-shaped lot located on the northwest corner of the block bound by Lewis Street to the north and Main Street to the west.

The one-story over basement single-family Craftsman bungalow at 1365 Main Street is square in form and clad in stucco. The wood-frame building has a cross gabled roof with two shed roofs over the east and west facades all clad in asphalt shingles. While the house at 1365 Main Street underwent alterations, many of the character defining features have been retained. Major exterior alterations include the stucco cladding over the horizontal wood siding, the east and west additions, and new windows and doors.

The one-story over basement vernacular house at 1070 Lewis Street is rectangular in form and clad in wood clapboard siding. The wood-frame building is capped by an asphalt shingle-clad cross gable roof with a low slope roof over the front porch. The north (front) façade features a low sloped-roofed partial-width porch supported by square wood columns sheltering the main entrance. A historic assessment was prepared by TreanorHL and is attached to this report. The assessment concluded that this residence does not appear eligible for local listing since it does not have any significance under the City of Santa Clara criteria.

Project Description:

The proposed project includes splitting one lot into two lots and rezoning from Single-Family Residential to Planned Development to allow unique development standards for setbacks, lot size, lot width and a second-story Accessory Dwelling Unit (ADU). The project will include interior and exterior alterations and a rear addition to the house at 1365 Main Street, demolition of all accessory City of Santa Clara Printed on 5/12/2023Page 1 of 3
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structures, construction of a new detached garage at 1365 Main Street, and construction of a new detached ADU above a two-car garage at 1070 Lewis Street.

The addition at 1365 Main Street will extend to the east and a new roof cover the addition and the east section of the existing house. The interior alteration will remove nonoriginal addition in the front and rear of house and the proposed floor plan will include four bedrooms and three bathrooms. The existing shed roof extension at the east façade will be demolished, but the section under the existing north-facing gable roof and the basement access will remain. The addition is roughly square in form (approximately 22 feet by 21 feet) and will expand from the southeast corner. Both the addition and the east half of the house will receive new gabled roofs.

Other exterior alterations to 1365 Main Street include:
 North façade: Three double-hung multi-lite windows will be added to the extension.  West façade: One of the four multi-pane windows to the south will be removed and the remaining three will be centered on the wall. The gaps on each side will be infilled. The existing door will be replaced with a new door.
 South façade: The group of four windows to the west will be removed and the area will be infilled. The group of four vertical casement windows will be removed and the area will be infilled to match adjacent stucco. The center three double-hung windows will be replaced with two new double-hung windows to meet egress code requirements. The pair of double-hung windows will be replaced with one larger double-hung window required for egress. At the extension, two double-hung windows will be added.
 East façade: Two sets of double windows and a new door will be added.

The Secretary of the Interior’s Standard (SIS) evaluation was prepared by TreanorHL and it concludes that the proposed project appears to be compliant with the Secretary of the Interior’s Standards for Rehabilitation (the Standards). The project complies with Standards 1-7, and 9-10; provisionally complies with Standard 8. As the project complies with all Standards, it would not cause potential impacts to the historic significance of the property. The project plans include a Window Assessment and Treatment Plan in the SIS evaluation to guide the property owner and contractors in the proper techniques for construction of the addition according to the SIS for Rehabilitation. With implementation of recommended mitigation measures, the impacts would be reduced to a level of less-than-significant. The project includes limited excavation, but appropriate mitigation measures such as stop work and investigation would be conditioned to address Standard 8.

Mills Act:

The applicant is requesting approval of a Historic Preservation Agreement (Mills Act Contract) for the property including the adoption of a 10-Year Rehabilitation and Maintenance Plan associated with this historic preservation agreement. An updated DPR form in the SIS evaluation was prepared my Lorie Garcia of Beyond Buildings on December 2, 2021. The draft Mills Act agreement is attached to this report along with the 10-year preservation plan. Some of the notable work that would be performed under this Plan include repair and replacement of exterior windows, termite fumigation, adding HVAC, interior paint, and foundation replacement.

Conclusion:

Staff finds that the proposed project adheres to the Secretary of the Interior’s Standards for Rehabilitation with mitigation measures to repair and replacement of deteriorated windows. Standard City of Santa Clara Printed on 5/12/2023Page 2 of 3
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conditions will apply to implement protection mitigation for any uncovered archaeological discovery.

With evaluation of the original features of the HRI resource and the Treatment Plan, the exterior alteration of the resource is consistent with the SIS evaluation for Rehabilitation. The 10-year preservation plan will preserve the integrity of the historic resource. Given the historic integrity and the proposed 10-Restoration and Maintenance Plan, staff supports the proposed Mills Act Preservation Agreement for the property.

ENVIRONMENTAL REVIEW
The proposed project is categorically exempt from the California Environmental Quality Act (CEQA) per CEQA Guidelines Section 15301 - Class 1 Existing Facilities, in that the project involves the repairs and alterations to a historic single-family residence and per Section 15331 - Class 31 Historical Resource Restoration/Rehabilitation, in that the project concerns the renovation of a property in a manner consistent with the Secretary of the Interior’s Standards.

PUBLIC CONTACT
On May 4, 2023, a notice of public hearing of this item was posted in three conspicuous locations within 300 feet of the project site and mailed to property owners within 300 feet of the project site.

No public comments have been received at the time of preparation of this report.

RECOMMENDATION
Staff recommends the Historical and Landmarks Commission find that the residence will retain sufficient integrity as a significant example of Craftsman Bungalow style architecture through the construction of the proposed addition, subject to the procedures outlined in the Treatment Plan, and recommend approval of the following:
1) That, based upon the analysis and findings of the historical evaluation, the Commission forward a recommendation to the City Council for approval of the Mills Act Contract application, including the adoption of a 10-Year Rehabilitation and Maintenance Plan associated with this historic preservation agreement; and,
2) That, based upon the analysis and findings of the historical evaluation, the Commission forward a recommendation of approval for issuance of a Major Significant Property Alteration (SPA) Permit to the Planning Commission for the proposed addition, subject to the procedures outlined in the Treatment Plan attached.

Prepare by: Steve Le, Senior Planner
Reviewed by: Rebecca Bustos, Principal Planner
Approved by: Lesley Xavier, Planning Manager

ATTACHMENTS

1. SIS Analysis and Treatment Plan with DPR Form for 1365 Main Street

2. Historic Assessment with DPR Form for 1070 Lewis Street

3. Draft Mills Act Agreement

4. Development Plan
City of Santa Clara Printed on 5/12/2023Page 3 of 3
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TreanorHL, 1365 Main Street, Santa Clara, CA, Window Survey and Assessment, February 8, 2023

1365 MAIN STREET
SANTA CLARA, CA 95050

CONDITION ASSESSMENT AND

TREATMENT PLAN

APN 269-05-082
CITY OF SANTA CLARA PROJECT #PLN 21-15422

PREPARED FOR THE CITY OF SANTA CLARA

PRIMARY PROJECT CONTACT:

Tom Halaszynski, Architect
2321 Tice Valley Blvd.

Walnut Creek, CA 94595
408-761-2710
[email protected]

May 5, 2023

TABLE OF CONTENTS

INTRODUCTION
PURPOSE 1 METHODOLOGY 1

EXISTING CONDITIONS
EXISTING CONDITIONS DEFINITIONS 2 EXISTING CHARACTER DEFINING FEATURES AND EVALUATION 2 GENERAL FEATURE CONDITION TO PRESERVE THE RESIDENCE 5

TREATMENT
TREATMENT RECOMMENDATIONS 7

REHABILITATION DESIGN RECOMMENDATIONS
GENERAL RECOMMENDATIONS 9 SPECIFIC CONDITIONS AND RECOMMENDATIONS 13

CONCLUSION
CONCLUSION 17

APPENDIX

CONDITIONS BY ELEVATION/PLAN A

DPR FORM, LORI GARCIA, BEYOND BUILDINGS B

SECRETARY OF STANDARDS, COMPLIANCE ASSESSMENT, TRENOR HL C

WINDOW SURVEY AND ASSESSMENT, TRENOR HL D

SITE VISIT REPORT, GOUVIS ENGINEERING E

SCDC ARCHITECTURAL DESIGN PLANS F

1 PURPOSE
This report has been prepared for the City of Santa Clara Planning to establish the existing conditions and treatment recommendations regarding the main residence at 1365 Main Street, Santa Clara, CA 95050.

The property consists of a .22-acre parcel with two single-family homes, two independent garage structures, and an accessory building. The property will be subdivided. Only the main house at 1365 Main Street is of historical value. The accessory and detached garage structures will be demolished. A garage with an ADU above will be built on the parcel for 1070 Lewis Street. A new single story detached garage will be built at 1365 Main Street.

The main house at 1365 Main Street meets criterion for local significance within the City of Santa Clara being part of the area known as the ‘Old Quad’ neighborhood.

The property is on the City of Santa Clara’s historically significant properties list. It is a nice example of the vernacular Craftsman, cross gable architectural style.

The subject property is owned by Pear Street Investments, the current property consists of one parcels. The historic home will be renovated to maintain its historic character and a new detached garage will be added.

This report includes a conditions assessment and treatment recommendations based on the conditions observed.

METHODOLOGY
Robson Homes architectural staff has conducted several site visits to 1365 Main Street, Santa Clara, California. Photo documentation of all existing interior and exterior conditions have been performed for evaluation of existing historic conditions as needed. Robson Homes architectural staff worked to prepare:
x Accurate field measurements.
x Digital images were collected as part of the field survey. x DPR form prepared by consultant and has been reviewed, DPR FORM, LORI GARCIA,

BEYOND BUILDINGS, APPENDIX B
x And a Secretary of the Interior Standards Compliance Review has been prepared and reviewed, SECRETARY OF STANDARDS, COMPLIANCE ASSESSMENT, TRENOR HL,

APPENDIX C
x A window survey and assessment has been prepared by TRENOR HL and reviewed,

WINDOW SURVEY AND ASSESSMENT, APPENDIX D
x An evaluation of the building structure by a qualified structural engineer has been performed and reviewed, SITE VISIT REPORT, GOUVIS ENGINEERING, APPENDIX E x A local historic architect has evaluated the historic character of the existing structure and prepared plans with proposed modifications to the existing structure, SCDC

ARCHITECTURAL PLANS, APPENDIX F

2 This condition, assessment and treatment recommendation report has been prepared upon review of the above consultant documents. Based on these consultant documents, an in-house evaluation of the homes initial historic character and significant elements were assessed and treatment recommendations have been prepared as part of this report.

3 EXISTING CONDITION DEFINITIONS
Unknown (U)
The assembly or feature was not accessible for assessment or not enough information is available to make an evaluation. Unknown conditions which are observed in the field during construction shall be evaluated by the historic architect and the Robson restoration team for historical value and context. Upon review of the existing condition appropriate repairs or remediations will be developed which are compatible with the character of the building. These actions will be reviewed by the historic architect.

Poor (P)
The building feature or element is in poor condition. The element is deteriorated, damaged or missing. The feature or components of the feature have deteriorated more than 30% of the component. The parts or element shows signs of imminent failure. The component is no longer performing the intended purpose.

Fair (F)
The building feature or element is in fair condition. There are signs of failure in part or the whole of the building component. The parts or component are performing their intended purpose but show signs of failure due to deferred maintenance or damage.

Good (G)
The building feature or element is in good condition. The element is structurally sound and performing the intended purpose and does not show signs of failure. Good components can still require maintenance but do not show signs of failure.

EXISTING CHARACTER DEFINING FEATURES & EVALUATION
The character defining features of the building will be discussed in this section and recommendations shall be made to rehabilitate these components in later sections.

The significant components defining the character of this building based on consultant reports include:

1. Roof form and shape

2. Roof eave size and characteristics

3. Eaves and rafter tails

4. Decorative barge board

5. Knee braces

6. Windows, window frames and window trim

7. Entrance

8. Stucco

4 Roof form and shape
The roof form is a defining feature of architectural character of this building. The cross gable creates a repetitive roof pitch and element tying the front and side elevations together. The cross gable is in good condition. Specific components of the roof form are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit. No treatment recommendations are required to maintain the roof form and shape unless additional changes are proposed.

Roof eave size and characteristics
The roof eave size is a unique defining characteristic of the vernacular Craftsman. The roof eaves are open, and the rafter tails are exposed. The rafter tails are in good overall condition protected from rain and sun by a gutter. Specific components of the roof eaves are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit. See the TREATMENT RECOMMENDATIONS Wood and Paint sections for how to maintain and rehabilitate the roof eave as needed.

Decorative bargeboard
Decorative bargeboards consist of a four plane barge with a floating trim wrapping under each knee brace. This unique historic element appears original and in good condition overall. The bargeboard ends typically show signs of dry rot and are in poor condition. Specific components of the decorative barge are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit.

General recommendations shall be made for field evaluation by the contractor and painter during construction. The top flat surface of the floating trim shall be checked for dry rot and repairs made on an as needed basis prior to painting the surface. See the TREATMENT RECOMMENDATIONS Wood and Paint sections for how to maintain and rehabilitate the decorative bargeboard as needed.

Knee braces
The knee braces are a historic feature common for the vernacular Craftsman, cross gable architectural style. The knee braces are in good overall condition. Specific components of knee braces are addressed in the attached CONDITIONS BY ELEVATION/PLAN exhibit. General recommendations are made for the contractor and painter during construction. The top flat surface of each brace shall be check for dry rot and repairs made on an as needed basis prior to painting the surface. See the TREATMENT RECOMMENDATIONS Wood and Paint sections for how to maintain and rehabilitate the knee braces feature as needed.

Windows, window frames and window trim
A detailed survey and assessment was performed for every existing and proposed window for the project by Treanor HL. Any additional window assessment of existing and proposed window features would be repetitive. Specific components of entrance features are evaluated in the attached WINDOW SURVEY AND ASSESSMENT by Treanor HL. The window conditions vary from poor to good. See the TREATMENT RECOMMENDATIONS Wood and Paint sections for how to rehabilitate existing windows to remain. See treatment recommendation in the WINDOW SURVEY AND ASSESSMENT REPORT.
5 Regarding window trim, the existing exterior window trim at windows shall be removed and salvaged for reuse at new windows, when feasible. If the trim is in poor condition upon removal, the profile and size of the trim shall be matched and replaced.

Entrance
The entrance is a defining feature of architectural character of this building. The opening and dropped beam and bead board ceiling are part of the buildings historic character and should be restored. Specific evaluation of other entrance features are made in the attached CONDITIONS BY ELEVATION/PLAN exhibit. The entrance is in overall good condition.

Stucco
The stucco was added to this building in the 1940s. Various remodels were performed since the structure was built. The stucco texture and patching were consistent based on site observations. The stucco will be retained as part of the proposed restoration and will be repaired to match existing where required. The stucco as an assembly is in fair condition.

Stucco has minor cracking. Specific evaluation of stucco elements/locations are made in the attached CONDITIONS BY ELEVATION/PLAN exhibit.

GENERAL FEATURE CONDITION TO PRESERVE THE RESIDENCE
There are several general features of the building which require maintenance to preserve and enhance the historic character defining features of the building.

The general features requiring evaluation for the preservation and the enhancement of the historic character features include:

1. Site

2. Structure

3. Roof

4. Stucco (addressed previously)

5. Gutters and downspouts

6. Flashings

7. Mechanical, electrical and plumbing
See the GENERAL RECOMMENDATIONS section for recommended actions to address common issues and provide strategies. These recommendations will help preserve the historic building.

Site
The overall site features have little historic value. Due to time, planters have a tendency to build up organic material over time around the perimeter of the building. This puts older buildings at increased risk for water damage, dry rot and insect infestations. The site is in fair condition.

6 Structure
Older buildings often have structural issues related to settlement and structural deterioration.

A survey was performed of the visually accessible portions of the structure by Gouvis Engineering of the existing structure. The existing structure is in fair condition based on an observation of the subfloor/partial basement area and the attic. The condition of bearing walls is unknown. Additional recommendations and repair work will likely be required as demolition of interior work occurs. The structural engineer will prepare structural drawings and calculations to the city for the home addition, interior remodel and new garage. Specific components of the structure are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit.

Roof
The roof form is a defining feature of architectural character of this building. The cross gable creates a repetitive roof pitch and element tying the front and side elevations together. The existing composition shingles are 30 plus years old. The existing composition shingle roof is in poor condition. It may be difficult to match the existing roof material. More importantly, however, the roofing material should be replaced. Specific components of the roof are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit.

Gutters and Downspouts
The existing gutters and downspouts are in poor condition. The downspouts are undersized at most location based on the gutter size. New gutters were added within the last 20 years, but the downspouts were not replaced. The gutters are not historical significant elements, but are required for general protection of the historic building façade and roof eaves from rain and splash up. Specific components of the gutters and downspouts are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit.

Flashings
The roof and gable flashings are poor with minimal use and are generally missing. Specific components of the flashing are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit.

Mechanical, electrical and plumbing
The mechanical, electrical and plumbing systems are in poor condition. These systems are in need of replacement to prevent failure and support habitable use of the structure. Specific components of the mechanical, electrical, and plumbing are evaluated in the attached CONDITIONS BY ELEVATION/PLAN exhibit.
7 TREATMENT RECOMMENDATIONS FOR CHARACTER DEFINING

FEATURES
The treatment recommendations outlined below are intended to preserve the character defining elements of the original structure. Recommendations will prolong the useful life of the historic elements and preserve the overall character of the building. All damaged or deteriorated historic elements shall be repaired when possible. If replacement is required historic elements shall be replaced in-kind. Historic element treatment recommendations are covered first. Then general building recommendations are covered.

Historic Element Treatments
Wood - Roof Eaves, Decorative Bargeboard, Knee Braces, and Window Trim Extra care is required in the treatment of the buildings wood features. During rehabilitation decorative wood features should be evaluated visually by the painter and through the use of an awl or equivalent tool. A visual inspection involves:

1. Looking for missing wood and voids in wood components

2. Identifying potential issues visually:
a. Paint pealing;
b. Wood cracking;
c. Wood or paint is discolored.

All horizontal planed woods and woods showing potential signs of decay should also be tested.

Testing wood with an awl involves establishing a base line for testing. To establish a base line, consistent pressure is applied on wood trim in good condition and observing the depth of penetration if any. When the awl with consistent pressure penetrates deeper than the baseline test area, the area should be marked with paint for repair. The edge of damaged wood should be marked with paint as well.

Most rotted wood repairs can be made with filler or epoxy. Care should be taken to match preserved elements shape, size, and character. Damaged wood material should be removed until sound supporting wood can be found. Follow the exterior filler/epoxy manufacturer’s instruction. All wood filler should be sanded smooth, primed, and painted upon repair/restoration.

Areas where sound wood does not exist to support the epoxy/filler, the wood should be patched using the same decay resistant wood species with similar graining as the original. This work requires an experienced exterior trim carpenter. Below are the standard steps:

1. Remove the damaged section: If a splice is deemed appropriate, the next step is to remove the damaged section of wood. This can be done using a saw or other cutting tool, and care should be taken to ensure that the cut is clean and straight. 8 2. Prepare the new section of wood: The new section of wood should be prepared to match the existing wood as closely in profile, species, and graining as possible. This may involve planing or sanding the wood to the correct thickness and shaping it to match the existing wood's profile.

3. Cut the splice: The splice should be cut into the new section of wood using a scarf joint or other appropriate method. The splice should be cut at an angle to ensure that it fits tightly and securely into the existing wood.

4. Apply adhesive: Once the splice has been cut, an adhesive should be applied to the surfaces of the splice and the existing wood. This will help to ensure a strong and secure bond between the two pieces of wood.

5. Install the splice: The splice should be installed into the existing wood, with care taken to ensure that it fits tightly and securely. Clamps or other devices may be used to hold the splice in place while the adhesive dries.

6. Finish the repair: Once the adhesive has dried, the repair can be finished by sanding or planing the wood to the correct profile and applying any necessary finishes or coatings.

Should a visible structural element or a larger historic element need repair vs. replacement, the use of concealed and covered fasteners is acceptable. The additional steps are outlined below:

1. Choose the appropriate fasteners: The type of mechanical fasteners you choose will depend on the type of wood you're working with and the specific repair you're making.

For example, screws may be more appropriate for some repairs than nails.

2. Determine the placement of the fasteners: The placement of the fasteners is critical to ensuring that the repair is effective and minimally intrusive. Fasteners should be placed in areas where they will not be highly visible and where they will not compromise the structural integrity of the wood.

3. Pre-drill holes: To avoid splitting the wood, it's important to pre-drill holes for the fasteners. The holes should be slightly smaller than the diameter of the fastener.

4. Install the fasteners: The fasteners should be installed carefully and securely, without over-tightening or damaging the wood.

5. Finish the repair: Once the fasteners have been installed, the repair can be finished by sanding or planing the wood to the correct profile and applying any necessary finishes or coatings.

Should a visible structural element or a larger historic element need replacement, these steps are outlined below:

1. At demolition, multiple profiles should be preserved of the wood element to be replaced. Photos including a scale should be used to document the wood profile and shape prior to removal and after removal.

2. A matching piece of wood for the trim should be milled based on the historic profile.

3. Prime and install replacement historic piece of trim during reconstruction.

9 TREATMENT RECOMMENDATIONS FOR GENERAL FEATURES
Paint
Paint can in historic buildings conceal or diminish historic elements when excess paint has been applied. The historic wood details are not so fine in nature that the existing paint should be removed and the building repainted. Instead the building should be prepped for painting similar to any building being repainted. The main difference being an extra level of care should be utilized to prepare the building for new paint. The following steps are recommended:

1. Clean all exterior surfaces by wiping them down thoroughly.

2. Remove all loose paint to reach a sound substrate.

3. Sand all surfaces to create a good bond and a smooth finish.

4. Clean all exterior surfaces by wiping them down thoroughly.

5. Fill voids and prepare all surfaces for priming, taking care to follow appropriate protocols for wood, stucco, gutters, or other materials.

6. Apply an appropriate primer based on the material of the surface.

7. Paint with an exterior-approved paint to enhance the historic character of the building.

It is important to note that this process should be carefully evaluated and colors selected based on its compatibility with the historic fabric of the building, as well as its effectiveness in preserving historic elements. Working with a preservation expert or professional contractor experienced in historic restoration is recommended to ensure that the treatment options are appropriate and do not cause damage to the historic fabric of the structure.

Caution
Working with lead-based paint can pose a serious health hazard, so it is important to take appropriate precautions when dealing with it. Here are some cautions to add to the recommended treatment option:

1. Since the building was built before 1978, it is likely to contain lead-based paint, which can pose a health risk if it is disturbed. Before beginning any work on the building, it is recommended to have a certified lead inspector test for lead and follow all necessary lead-safe work practices.

2. If lead-based paint is present, workers should wear appropriate personal protective equipment, such as respirators and disposable coveralls, to prevent the inhalation or ingestion of lead dust.

3. The sanding, scraping, or otherwise disturbing of lead-based paint can create lead dust, which is toxic if inhaled or ingested. It is important to take measures to minimize the creation of dust, such as using wet sanding methods or a HEPA vacuum to capture dust.

4. Proper containment measures should be used to prevent lead dust from spreading beyond the work area. This may include plastic sheeting or other barriers.

5. All waste and debris generated from the work should be handled as hazardous waste and disposed of properly in accordance with applicable regulations. 10 6. Workers should wash their hands and clean their clothing and equipment thoroughly after working with lead-based paint.

7. It is important to work with a contractor or professional who is experienced in working with lead-based paint to ensure that all necessary precautions are taken and that the work is done safely.

Gutters and downspouts
Based on observations, gutters were added or modified multiple times in the homes history, gutters are necessary to protect the structure from water damage in this climate area. Based on the available limited information and resources, below are the recommended treatment options for the historic house gutters:

1. Since gutters are deemed necessary, select a gutter material and style that is compatible with the historic character of the building. Bonderized painted metal gutters are appropriate if carefully evaluated and installed in a way that is compatible with the historic fabric of the building.

2. The gutter installation should be in a way that is compatible with the historic fabric of the building and does not cause damage to the structure. This may involve working with a professional contractor experienced in historic restoration. A decision on the appropriate treatment of barge board ends and gutters should be determined by the architect of record. There were multiple solutions visible on the building.

3. Trees, shrubbery should be cut back from the gutters and downspouts. Gutter debris, gutters, and downspouts should be removed regularly as part of future maintenance.

4. Gutters and downspouts and diverters should be utilized to direct water away from the building to protect the building and the historic character of the building.

Stucco
Stucco finish is consistent, some cracking is visible. Stucco was applied over existing siding material down to finish hard surfaces or earthen grade.

Here are some additional guidelines for working with a later addition of stucco:

1. Compatibility: The stucco contractor should ensure that the new stucco material is compatible with any existing stucco on the house. Since the existing stucco is in good condition, the contractor can match the new stucco to the existing stucco in terms of texture and color.

2. Texture and finish: If an alternative texture and finish is desired, the style selected should take into account the overall style of the house when determining the texture and finish of the new stucco. The entire house can be treated with a finish coat of stucco to achieve a cohesive texture and finish.

3. Color: The stucco color should complement the existing color scheme of the house. If the house has a more neutral color palette, a warm beige or light brown may be appropriate for the stucco. If the house has more vibrant colors, the stucco color should be chosen to complement those colors.
11 4. Repairs: the existing stucco is in need of repair based on penetrations, repairs required, etc. At these locations, the stucco contractor should use a matching stucco mixture to ensure a seamless repair. The contractor should also be careful to match the texture and finish of the surrounding stucco if the original texture is being maintained.

5. Protection: To protect the stucco from the elements, the stucco contractor may recommend adding an admixture and finish to the stucco. The addition of acrylic paints and additives will reduce cracking and enhance the longevity of the stucco.

A stucco contractor who has experience working with historic buildings and understands the unique challenges of stucco repair will be best equipped to handle a project like this.

Site
The site surrounding the building has no historic elements or significance. Multiple improvements have damaged the historic character of the building and should be changed.

Below are some site specific treatment recommendations for the historic building:

1. Landscaping: Remove landscaping plants against or on the structure. Consider landscaping options that will enhance the historic building. This could include planting trees, shrubs, or flowers that are historically appropriate for the area or that complement the architectural style of the building.

2. Hardscaping: Remove hardscape elements that drain toward the historic building. Add hardscaping elements like walkways, patios, or seating areas that will enhance the use of the site and complement the building's historic character. Consider using materials that are historically appropriate, such as brick, stone, or concrete pavers.

3. Drainage: Ensure that drainage away from the building is carefully addressed to prevent water damage. Area drains and slopes away from the building should be added as needed. Consider installing gutters and downspouts, or other drainage solutions to channel water away from the building and into appropriate drainage areas.

4. Lighting: Consider adding lighting to the site to enhance the building's historic character and improve safety and security. Use fixtures and styles that are historically appropriate and complement the architectural style of the building.

All of these site recommendations should be tailored to meet the unique needs and character of the historic building and the site on which it is located while also ensuring that the site is functional and safe for the future residents.

12 Roof
The existing roof is an asphalt composition shingle roof. Asphalt composition shingles have traditionally been considered a suitable replacement for traditional wood shake roofs on historic homes. They can provide a similar aesthetic while offering the benefits of modern roofing technology, such as improved durability and fire resistance to protect the life safety of the occupants.

The existing asphalt composition is in poor condition and no longer protects the structure from water damage in multiple locations. Roof materials should be selected to replicate historically appropriate wood shake materials.

It is also important to consider the long-term maintenance and repair needs of any roofing material. Asphalt composition shingles will still require periodic maintenance and may eventually need to be replaced.

Working with a professional contractor experienced in historic restoration and roofing is recommended to ensure that the selected materials and installation methods are appropriate and compatible with the historic fabric of the property.

13 SPECIFIC CONDITIONS AND RECOMMENDATIONS

Photo 2
Phase: Struct. Design/Construction
Comments: In the remodeled area,
wood piers and plates are bearing
directly on soil. Current standards call
for a minimum of 8 inches clearance
between soil and wood framing. Some
piers are unsupported. Shore and
provide a concrete footing/piers as
required by structural engineer.

Photo 3
Phase: Demolition/Construction;
Plumbing, Electrical, and HVAC
Comments: The current plumbing
system is failing. The entire system
needs replacement. In addition, the
electrical and HVAC system are
inadequate for modern living and
require full replacement.

Photo 1
Phase: Struct. Design/Construction
Comments: Structural floor sheathing
is failing in some location. During
demolition, material and locations
should be evaluated for decay.

Decayed or failing 1 x 6 sheathing to be
removed between joists and replaced
with an equivalent thickness exterior
grade plywood with an appropriate
span rating. Structural engineer should
provide a detail.

14 Photo 4
Phase: Design/Demolition/
Construction
Comments: This awkward floor
transition is in the existing Family
Room due to an earlier remodel. To
eliminate this trip and fall hazard, the
lower floor should be furred and
sheathed to the same level as the
higher floor. The interior door
threshold will be removed for the same
reason.

Photo 5
Phase: Design/Demolition/
Construction
Comments: The current electrical
service appears to be 100 to 125 AMPs.

This is likely inadequate, but should be
verified with a licensed electrician. If
so, it is recommended the electrical
service be located to a less visible
location on the South Elevation of the
building.

Photo 6
Phase: Demolition/Construction
Comments: Termite damage is evident.

Upon completion of wall plaster
demolition, all exposed wood framing
members should be evaluated,
replaced as needed, and the structure
treated as needed.

15 Photo 7
Phase: Demolition/Construction
Comments: Termite damage is evident.

Upon completion of wall plaster
demolition, all exposed wood framing
members will be evaluated, replaced as
needed, and the structure treated as
needed.

Photo 8
Phase: Demolition/Construction
Comments: Water damage is evident.

Upon completion of paneling
demolition, all exposed framing
members will be evaluated and
replaced as needed.

Roof replacement will elevate any
future issue.

Photo 9
Phase: Design/Construction, Windows
1-7, Additional recommendations
Comments: Window trim and putty has
a specific profile. Window repair and
glazer should maintain the same flat
ogee trim/putty profile.

16 Photo 10
Phase: Design/Construction, Windows
1-7, Additional recommendations
Comments: Original window
eye/bracket assembly to lodge window
open during hot days appears intact in
multiple locations, see photo 11 as
well. Clean, repair, and replace as
needed.

Photo 11
Phase: Design/Construction, Windows
1-7, Additional recommendations
Comments: Original window
eye/bracket assembly to lodge window
open during hot days appears intact in
multiple locations, see photo 10 as
well. Clean, repair, and replace as
needed.

17 CONCLUSION
The recommendations outlined in this report are intended to guide the repair and restoration of character defining elements of the building. Overall, the structure and its elements are in good to fair condition. All character defining elements will be repaired when possible rather than replaced. Any element damaged or deteriorated beyond repair will be replaced in-kind. Specific building exterior elevation components and recommendations regarding the design, demolition, and construction are attached in Appendix A, CONDITIONS BY ELEVATION/PLAN.

APPENDIX A

Phase: Construction
Comments: Downspouts should not extend past
bargeboard. Run downspouts inside of
bargeboard. Remove excess electrical equipment.

Phase: Design/Construction
Comments: Add note. Remove TV antenna and
exhaust vents from front of house. Vents to
be relocated to rear elevation.

Phase: Design
Comments: The crown termination is
unclear. A return or termination design
needs to be developed.

Phase: Design
Comments: Window on porch is not original
and should be removed.

Phase: Design/Construction
Comments: Adjust note. Floodlight and
circuit to be removed. New compatible
fixture to be selected at ceiling.

Phase: Design/Construction
Comments: Adjust note. Remove handrail
and mailbox. Patch stucco as needed.

Phase: Pre-construction
Comments: The porch ceiling height and trim
varies. During construction, evaluate structure
and conditions. Retain the bead board and crown
at front of porch.

Phase: Design/Construction
Comments: Add/Note. These attic vent
elements appear original. Retain by
cleaning and repainting as needed.

Phase: Design/Construction
Comments: The gutter passes the barge. Develop
repair detail. Bargeboard end needs restoration.

Extend bargeboard and crown to original location.

Phase: Design/Construction
Comments: Add note. Replace/repair vent screen as
needed. This prevents rodent intrusion. Unless screens can be repaired. Stucco needs to be removed, an
matching vent installed, and the stucco patched at
multiple locations. Stucco is delaminating due to
moisture. Either patch stucco, or remove stucco, add a
weep screed to prevent moisture wicking/entrapment
Phase: Design/Construction
Comments: Add note. The wall finish jogs and an old
porch ledge is exposed. Remove ledge, fur wall, and
adjust windows. New window trim should match
addition to differentiate between old and new.

Phase: Design/Construction
Comments: Existing concrete slopes toward house.

Add drainage if possible, Slope planter away from
house.

Phase: Design/Construction
Comments: Add note. Remove and relocate
irrigation, surface mounted electrical to side yard.

Adjust water line as needed.

Phase: Design/Construction
Comments: Add/Note. Conduit is exposed on
the building. Reroute conduit to inside wall.

Note electrical panel requires an upgrade.

Phase: Construction
Comments: Gutters and downspouts are loose
and in poor condition in multiple locations.

Replace system.

Phase: Design/Construction
Comments: Add note. Exterior conduit to
be removed. Patch stucco as required.

Phase: Design/Construction
Comments: Add note Remove AC. Remove
AC unit and wiring during construction.

Patch stucco.

Phase: Design/Construction
Comments: New locations for utilities. Wall penetrations when utilities are moved should be flashed. Add note,
Remove stucco, add flashing at new wall penetrations.

Phase: Design
Comments: Existing gable end vents are not shown
on architectural drawings. Add to drawing. These
vents are not original and were added with the
stucco for ventilation of the attic.

Phase: Design/Pre-construction
Comments: Add note: All MEP penetrations to be
evaluated and abandoned wire/pipe penetrations
to removed during demolition. Remove and patch
stucco as needed.

Phase: Design/Construction
Comments: Adjust note. Replace existing basement
access doors.

Phase: Design/Construction
Comments: The stairs and the porch enclosure
were part of an addition and will be removed and
replaced with a compatible stair and railing.

Phase: Design/Construction
Comments: Add/Note. The wood trim
around the door and the horizontal wood
trim are from a prior remodel. Remove
corner trim and horizontal trim. Patch
stucco.






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Resolution/ 1365 Main Street and 1070 Lewis Street - Rezone Page 1 of 4 Rev. Rev: 11/22/17
RESOLUTION NO. __________

A RESOLUTION OF THE CITY OF SANTA CLARA ,
CALIFORNIA APPROVING A REZONING FROM R1-6L –

SINGLE-FAMILY RESIDENTIAL TO PD - PLANNED
DEVELOPMENT OF THE PROPERTY LOCATED AT 1365 MAIN
STREET AND 1070 LEWIS STREET, SANTA CLARA ,

CALIFORNIA

PLN21-15422 (Rezoning)

BE IT RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

WHEREAS, On December 23, 2021, Mark Robson on behalf of Pear Tree Investments, LLC (the “Owner”) submitted a formal application requesting to rezone the property at 1365 Main Street and 1070 Lewis Street (“Project Site”) from R1-6L to PD -Planned Development, and a Tentative Parcel Map t o subdivide one parcel to two parcels to create a separate lot for 1070 Lewis Street. The development includes an Architectural Approval to a listed historical resource at 1365 Main Street for interior and exterior alterations, addition, and construction of two new parking garages, and a new second-story accessory dwelling unit (ADU) at 1070 Lewis Street; WHEREAS, the two houses at 1365 Main Stree t and 1070 Lewis Street sit on a 9,386 square - foot, L-shaped lot located on the northwest corner of the block bound by Lewis Street to the north and Main Street to the west;
WHEREAS, the Project Site is currently zoned as R1-6L – Single-family Residential; WHEREAS, the Project Site has a Gener al Plan land use des ignation of Ve ry Low Density Residential;
WHEREAS, a rezone of the property to PD is required to allow creative development standards for site and building design, that are not otherwise allowed in standard zoning districts, to maintain the proposed two detached single -family dwelling units and construct two detached garages and an ADU on two proposed substandard size d lots (“Project”) as shown on the Development Plans, attached as Exhibit “Development Plans.”;

Resolution/ 1365 Main Street and 1070 Lewis Street - Rezone Page 2 of 4 Rev. Rev: 11/22/17
WHEREAS, the proposed Tentative Parcel Map would subdivide a 9,386 square -foot L-shape parcel into two substandard lots of 5,359 square feet and 4,027 square foot; WHEREAS, the Project proposes a second -story ADU above the proposed detached two-car garage at 1070 Lewis Street;
WHEREAS, the proposed project is categorically exempt from the California Environmental Quality Act (CEQA) pursuant to CEQA Guidelines Section 15301 (Class 1 -- Existing Facilities), in that the project involv es the repairs and alterations to a historic single -family residence an d pursuant to CEQA Guidelines Section 15331 (Class 31 -- Historical Resource Restoration/Rehabilitation), in that the project concerns the renovation of a property in a manner consistent with the Secretary of the Interior’s Standards; WHEREAS, the Project was reviewed and recommended for approval by the Historical and Landmarks Commission at the regular Historical and Landmarks Commission meeting o n May 17, 2023;
WHEREAS, the Project was reviewed and recommended for approval of th e Rezone by the Planning Commission on August 23, 2023;
WHEREAS, on September 29 , 2023, notice of this item was po sted in three conspicuous locations within 300 feet of the project site and mailed to proper ty owners within 300 feet of the project site; and
WHEREAS, on October 10, 2023 , the City C ouncil held a duly noticed public hearing to consider the Rezoning, Architectural Approval, and Tentative Pa rcel Map, at which time all interested persons were given an opportunity to provide testimony and present e vidence, both in support of and in opposition to the proposed rezoning.

NOW THEREFORE, BE IT FURTHER RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

1. That the City Council hereby finds that the above Recitals are true and correct and by this reference makes them a part hereof.

Resolution/ 1365 Main Street and 1070 Lewis Street - Rezone Page 3 of 4 Rev. Rev: 11/22/17

2. That the City Council hereby rezones the Project Site, as shown on Exhibit “Development Plans” and conditioned in Exhibit “Conditions of Approval”, incorporated herein by this reference, from R1-6L-Single-family Residential to PD-Planned Development to allow creative development standards for site and building design, that are not otherwise allowed in standard zoning districts, to construct the proposed two d etached single-family dwelling units, two detached garages and an ADU on two proposed substandard sized lots.

3. Pursuant to SCCC Code Section 18.112.050, the City Council determines that the following findings exist in support of the rezoning:

A. The existing zon ing is inappropriate or inequitable, in that th e substandard lot size makes compliance with the R1-6L zoning standards impractical for residential development of this type.

B. The proposed zone change will conserve property values, protect or im prove the existing character and stability of the area i n question, and will promote the orderly and beneficial development of such area in that the proposal would rehabilitate and expand the existing residential unit on the Project Site in a manner compatible with surrounding properties.

C. The proposed zone change is required by public necessity, public conveni ence, or the general welfare of the City in that the proposed zone change would facilitate the maintenance and preservation of the existing house on the Pr oject Site in proximity to transit facilities along El Camino Real.

D. The proposed zone change wou ld allow imaginative planning and design concepts to be utilized that would otherwise be restricted in other zoning districts, in that the proposed zone change would allow for the preservation of the existing historic resource at 1365 Main Street house on a smaller parcel, and that would facilitate the expansion, new construction of two detached garages and a new ADU in a manner that complies with t he policies and intent of the General Plan envisioned for this area.

4. Effective date. This resolution shall become effective immediately.

Resolution/ 1365 Main Street and 1070 Lewis Street - Rezone Page 4 of 4 Rev. Rev: 11/22/17

I HEREBY CERTIFY THE FOREGOING TO BE A TRUE COPY OF A RESOLUTION PASSED

AND ADOPTED BY THE CITY COUNCIL AT A REGULAR MEETING THEREOF HELD ON THE 10th DAY OF OCTOBER, 2023 BY THE FOLLOWING VOTE:

AYES: COUNCILORS:

NOES: COUNCILORS:

ABSENT: COUNCILORS:

ABSTAINED: COUNCILORS:

ATTEST:

NORA PIMENTAL, MMC

ASSISTANT CITY CLERK

Attachments Incorporated by Reference:

1. Conditions of Approval

2. Development Plans

Resolution/1365 Main Street and 1070 Lewis Street - Tentative Parcel Map Page 1 of 4 Rv. Rev: 11/22/17
RESOLUTION NO. _________

A RESOLUTION OF THE C ITY OF SANTA CLARA,

CALIFORNIA, APPROVING THE TENTATIVE PARCEL MAP
FOR THE PROPERTY LOCATED AT 1365 MAIN STREET AND
1070 LEWIS STREET, SANTA CLARA

PLN21-15422 (Tentative Parcel Map)
BE IT RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

WHEREAS, On December 23, 2021, Mark Robson on behalf of Pear Tree Investments, LLC (the “Owner”) submitted a formal application requesting to rezone the property at 1365 Main Street and 1070 Lewis Street (“Project Site”) from R1-6L to PD -Planned Development, and a Tentative Parcel Map t o subdivide one parcel to two parcels to create a separate lot for 1070 Lewis Street. The development includes an Architectural Approval to a listed historical resource at 1365 Main Street for in terior and exterior alterations, addition, and construction of two new parking garages, and a new second-story accessory dwelling unit (ADU) at 1070 Lewis Street; WHEREAS, the two houses at 1365 Main Street and 1070 Lewis Street sit on a 9,386 square - foot, L-shaped lot located on the northwest corner of the block bound by Lewis Street to the north and Main Street to the west;
WHEREAS, the Project Site is currently zoned as R1-6L – Single-family Residential; WHEREAS, the Project Site has a Gener al Plan land use des ignation of Ve ry Low Density Residential;
WHEREAS, a rezone of the property to PD is required to allow creative development standards for site and building design, that are not otherwise allowed in standard zoning districts, to maintain the proposed two detached single -family dwelling units and construct two detached garages and an ADU on two proposed substandard size d lots (“Project”) as shown on the Development Plans, attached as Exhibit “Development Plans.”; WHEREAS, the proposed Tentative Parcel Map would subdivide a 9,386 square -foot L-shape parcels in to two substandard lots of 5,359 square-foot and 4,027 square foot; Resolution/1365 Main Street and 1070 Lewis Street - Tentative Parcel Map Page 2 of 4 Rv. Rev: 11/22/17
WHEREAS, the proposed project is categorically exempt from the California Environmental Quality Act (CEQA) per CEQA Guidelines Section 15301 – Class 1 Existing Facilities, in that the project involves the repairs and alterations to a historic single -family residence and per Section 15331 – Class 31 Historical Resource Restoration/Rehabilitation, in that the project concerns the r enovation of a property in a manner consistent with the Secretary of the Interior’s Standards;
WHEREAS, the proposed parcel map is exempt per CE QA Sec tion 15315, Mi nor Land Divisions of the California Environmental Quality Act, in that the project involves the subdivision of urbanized land into fewer than five parcels and is served by existing municipal facilities.

WHEREAS, the Project was reviewed and recommended for approval by the Historical and Landmarks Commission at the regular Historical and Landma rks Commission meeting o n May 17, 2023;
WHEREAS, the Project was reviewed and recommended for approval of the Rezone by the Planning Commission on August 23, 2023;
WHEREAS, on September 29 , 2023, notice of this item was po sted in three conspicuous locations within 300 feet of the project site and mailed to property owners within 300 feet of the project site; and
WHEREAS, on October 10, 2023 , the City C ouncil held a duly noticed public hearing to consider the Rezoning, Architectural Approval, and Tentative Parcel Map, at which time all interested persons were given an opportunity to provide t estimony and present evidence, both in support of and in opposition to the proposed rezoning.

NOW THEREFORE, BE IT FURTHER RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

1. That this Resolution incorporates, and by this reference makes a part hereof, that certain Vesting Tentative Parcel Map, attached hereto as Exhibit “Tentative Parcel Map”.

Resolution/1365 Main Street and 1070 Lewis Street - Tentative Parcel Map Page 3 of 4 Rv. Rev: 11/22/17

2. Tentative Parcel Map Findings. Pursuant to California Gove rnment Code Sectio ns 66426 and 66 428 and Section 17.05.400(f) of SCCC, the City Council finds and determines that:

A. The Tentative Parcel Map is consistent with the objectives, policies, general land use an d programs specified in the City’s Gene ral Plan in that the propo sed Tentative Parcel Map would creates tracts of land suitable to support residential development consistent with the General Plan designation for the site.

B. The design and impr ovements of the proposed subdivision are consistent with the City’s General Plan in that the Tentative Parcel Map is subject to the conditions set forth in Exhibit “Conditions of Approval – Tentative Parcel Map”, attached hereto and incorporated by this reference.

C. The site is physic ally suitable for the proposed type of devel opment in t hat site surrounding by one- and two-story single-family residential uses, and the site is accessed via local transit and transportation corridors served by existing municipal facilities.

D. The site is physically suitable for the proposed density of development in that the site is located in an urbanized area and allows for redevelopment consistent with the height, uses and development similar to the surrounding area.

E. The design of the subdivi sion and type of improvements are not likely to cause serious health problems in that the proposed use is for residential development in an area surrounded by residential development and does not p ropose the use of hazardous chemicals or materials.

F. The design of the subdivision and type of improveme nts are not likely to cause substantial environmental damage and will not substantially or unavoidabl y injure fish or wildlife or their habitat in th at the project is located in a n urbanized setting, on a previously developed site.

Resolution/1365 Main Street and 1070 Lewis Street - Tentative Parcel Map Page 4 of 4 Rv. Rev: 11/22/17
G. The design of the su bdivision and type of improvements will not conflict with easements acquired by the public at large or use of property within the proposed subdivisio n in that, the project is desi gned to avoid encroachments and conflicts with public easements in the site design.

H. The Tentative Parcel Map provides, to the extent feasible, for future passive or natural heating or cooling opportunities, in that it woul d a llow flexibility in the development standards to maximize the benefits of green building standards for site and building design.

3. Based on the findin gs set forth in this Resolution and the evidence in the Staff Report and such other evidence as rece ived at the publ ic hearings on this matter, the City Council hereby approves the Tentative Parcel Map, subs tantially in the form on file as shown in the “Tentative Parcel Ma p” attached hereto, subject to conditions o f app roval attached as “Conditions of Approval” and hereby incorporated by this reference.

4. Effective date. This resolution shall become effective immediately.

I HEREBY CERTIFY THE FOREGOING TO BE A TRUE COPY OF A RESOLUTION PASSED

AND ADOPTED BY THE CITY COUNCIL AT A REGULAR MEETING THEREOF H ELD ON THE 10th DAY OF OCTOBER, 2023 BY THE FOLLOWING VOTE:

AYES: COUNCILORS:

NOES: COUNCILORS:

ABSENT: COUNCILORS:

ABSTAINED: COUNCILORS:

ATTEST: __________________________

NORA PIMENTEL, MMC

ASSISTANT CITY CLERK

Attachments incorporated by reference:

1. Conditions of Approval – Tentative Parcel Map

2. Tentative Parcel Map
Resolution/ 1365 Main Street and 1070 Lewis Street – Architectural Review Page 1 of 4 Rev. Rev: 11/22/17
RESOLUTION NO. __________

A RESOLUTION OF THE CITY OF SANTA CLARA, CALIFORNIA

APPROVING THE ARCHITECTURAL REVIEW OF THE

PROPOSED SECOND-STORY ACCESSORY DWELLING UNIT

AND EXTERIOR AND INTERIOR ALTERATIONS TO THE
PROPERTIES LOCATED AT 1070 LEWIS STREET AND 1365

MAIN STREET, SANTA CLARA, CALIFORNIA

PLN21-15422 (Architectural Review)

BE IT RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

WHEREAS, On December 23, 2021, Mark Robson on behalf of Pear Tree Investments, LLC (the “Owner”) submitted a formal application requesting to rezone the property at 1365 Main Street and 1070 Lewis Street (“Project Site”) from R1-6L to PD-Planned Development, and a Tentative Parcel Map to subdivide one parcel to two parcels to create a separate lot for 1070 Lewis Street.

The development includes an Architectural Approval to a listed historical resource at 1365 Main Street for interior and exterior alterations, addition, and construction of two new parking garages, and a new second-story accessory dwelling unit (ADU) at 1070 Lewis Street; WHEREAS, the two houses at 1365 Main Street and 1070 Lewis Street sit on a 9,386 square - foot, L-shaped lot located on the northwest corner of the block bound by Lewis Street to the north and Main Street to the west;
WHEREAS, the Project Site is currently zoned as R1-6L – Single-family Residential; WHEREAS, the Project Site has a General Plan land use designation of Very Low Density Residential;
WHEREAS, a rezone of the property to PD is required to allow creative development standards for site and building design, that are not otherwise allowed in standard zoning districts, to maintain the proposed two detached single-family dwelling units and construct two detached garages and an ADU on two proposed substandard sized lots (“Project”) as shown on the Development Plans, attached as Exhibit “Development Plans.”;
Resolution/ 1365 Main Street and 1070 Lewis Street – Architectural Review Page 2 of 4 Rev. Rev: 11/22/17
WHEREAS, the proposed Tentative Parcel Map would subdivide a 9,386 square -foot L-shape parcel into two substandard lots of 5,359 square feet and 4,027 square feet; WHEREAS, the Project proposes a second -story ADU above the proposed detached two -car garage at 1070 Lewis Street;
WHEREAS, the proposed project is categorically exempt from the California Environmental Quality Act (CEQA) pursuant to CEQA Guidelines Section 15301(Class 1 -- Existing Facilities), in that the project involves the repairs and alterations to a historic single -family residence and pursuant to CEQA Guidelines Section 15331 (Class 31 -- Historical Resource Restoration/Rehabilitation), in that the project concerns the renovation of a property in a manner consistent with the Secretary of the Interior’s Standards; WHEREAS, the Project was reviewed and recommended for approval by the Histori cal and Landmarks Commission at the regular Historical and Landmarks Commission meeting on May 17, 2023;
WHEREAS, the Project was reviewed and recommended for approval of the Architectural Review by the Planning Commission on August 23, 2023;
WHEREAS, on September 29, 2023, notice of this item was posted in three conspicuous locations within 300 feet of the project site and mailed to property owners within 300 feet of the project site; and
WHEREAS, on October 10, 2023, the City Council held a duly noticed public hearing to consider the Rezoning, Architectural Approval, and Tentative Parcel Map, at which time all interested persons were given an opportunity to provide testimony and present evidence, both in support of and in opposition to the proposed rezoning.

NOW THEREFORE, BE IT FURTHER RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

1. That the City Council hereby finds that the above Recitals are true and correct and by this reference makes them a part hereof.

Resolution/ 1365 Main Street and 1070 Lewis Street – Architectural Review Page 3 of 4 Rev. Rev: 11/22/17

2. The City Council makes the following findings regarding the proposed architectural design of the Project:

A. That any off -street parking areas, screening strips and other facilities and improvements necessary to secure the purpose and intent of Chapter 18.76 of the City Code and the General Plan of the City are a part of the proposed development, in that the Project provides the required two covered parking spaces for each residence and provides area surfaced with all-weather materials for parking of vehicles.

B. That the design and loca tion of the proposed development and its relation to neighboring developments and traffic is such that it will not impair the desirability of investment or occupation in the neighborhood, will not unreasonably interfere with the use and enjoyment of neighboring developments, and will not create traffic congestion or hazard, in that proposed project would not intensify the use of the property that would cause increased traffic congestion or hazard as the property would continue to be utilized as a single -family residence and provide two covered parking spaces onsite;
C. That the design and location of the proposed development is such that it is in keeping with the character of the neighborhood and is such as not to be detrimental to the harmonious development contemplated by Chapter 18.76 and the General Plan of the City, in that the Project design is in keeping with the character of the existing block and the larger Old Quad neighborhood in that the Project will have a two-story scale and massing similar to the surrounding single-family homes; D. That the granting of such approval will not, under the circumstances of the particular case, materially affect adversely the health, comfort or general welfare of persons residing or working in the neighborho od of the Project and will not be materially detrimental to the public welfare or injurious to property or improvements in such neighborhood, in that the project is subject to the California Building Code and City Resolution/ 1365 Main Street and 1070 Lewis Street – Architectural Review Page 4 of 4 Rev. Rev: 11/22/17
Code requirements, which serve to regulate new construction to protect public health, safety and general welfare.

E. That the proposed development, as set forth in the plans and drawings, is consistent with the City’s Community Design Guidelines, in that the rear addition at 1365 Main Street is compatible in material and Craftsman architectural style as the exterior of the historical house; the proposed second -story ADU is compatible with the Craftsman architectural style as the historical resource at 1365 Main Street; and the second-story ADU is designed with no egress windows on the east and south side to prevent privacy impact to adjacent neighbor.

3. That based upon the development plans and architectural review of the Project, the City Council hereby provides architectural approval of the Project.

4. Effective date. This resolution shall become effective immediately.

I HEREBY CERTIFY THE FOREGOING TO BE A TRUE COPY OF A RESOLUTION PASSED

AND ADOPTED BY THE CITY COUNCIL AT A REGULAR MEETING THEREOF HELD ON THE 10th DAY OF OCTOBER, 2023 BY THE FOLLOWING VOTE:

AYES: COUNCILORS:

NOES: COUNCILORS:

ABSENT: COUNCILORS:

ABSTAINED: COUNCILORS:

ATTEST:

NORA PIMINTEL, MMC

ASSISTANT CITY CLERK

Attachments incorporated by reference:

1. Conditions of Approval

2. Development Plans

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

CONDITIONS OF REZONE AND ARCHITECTURAL APPROVAL

In addition to complying with all applicable codes, regulations, ordinances and resolutions, the following conditions of approval are recommended:

GENERAL
G1. If relocation of an existing public facility becom es necessary du e to a conflict with the developer's new improvements, then the cost of said relocation shall be borne by the developer.

G2. Comply with all applicable codes, regulations, ordinances and resolutions.

ATTORNEY’S OFFICE
A1. The Developer agrees to defend and i ndemnify and hold City, its officers, agents, employees, officials and representatives free and harmless from and against any and all claims, losses, damages, attorneys' fees, injuries, costs, and liabilities arising from any suit for damages or for equitable or injunctive relief which is filed by a third party against the City by reason of its approval of developer's project.

COMMUNITY DEVELOPMENT
P1. It shall be the developer's responsibility through his engineer to provide written certification that the dra inage design for the subject property will prevent flood water intrusion in the event of a storm of 100 -year return period. The developer's engineer shall verify that the site will be protected from off -site water intrusion by designing the on-site grading and storm water collection system using the 100 -year hydraulic grade line elevation provided by the City's Engineering Department or the Federal Flood Insurance Rate Map, whichever is more restrictive. Said certification shall be submitte d to the City Building Inspection Division prior to issuance of building permits.

P2. In the event historic/prehistoric artifacts or human remains are discovered during ground disturbing activities, the following measures will be implemented: In compliance wit h State law (Se ction 7050.5 of the Health and Safety Code and Section 5097.94 of the Public Resources Code), in the event human remains are encountered during grading and construction, all work within 25 feet of the find will stop and the Santa Clara Count y Coroner’s office will be notified. If the remains are determined to be Native American, the Coroner will notify the Native American Heritage Commission to identify the “Most Likely Descendant” (MLD). The City, in consultation with the MLD, would then prepare a plan for treatment, study and reinternment of the remains.

P3. In compliance with State law (Section 7050.5 of the Health and Safety Code and Section 5097.94 of the Public Resources Code), in the event that historical artifacts are found, all work within 50 feet o f the find will stop and a qualified archaeologist will examine the find. All significant artifacts and samples recovered during construction would be cataloged and curated by a qualified archaeologist and placed in an appropriate curation facility. The archaeologist must then submit a plan for evaluation of the resource to the City of Santa Clara Planning Division for approval. If the evaluation of the resource concludes that the found resource is eligible for the California Register of Historic Resources, a mitigation plan must be submitted to the City of Santa Clara Planning Division for approval. The mitigation plan must be completed before earthmoving or construction activities can recommence within the designated resource area.

P4. The following measures are included in the project to reduce the potential for nuisances related to construction:
a. Construction activities shall be limited to the hours between 7:00 AM and 6:00 PM, Monday through Friday, and between the hours of 9:00 AM to 6:00 PM on Saturday. No construction activities shall occur on Sundays or holidays.

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

b. Equip all internal combustion engine -driven equipment with intake and exhaust mufflers that are in good condition and appropriate for the equipment. c. Locate stationary noi se generating e quipment as far as possible form adjacent residential properties.
d. Acoustically shield stationary equipment located near existing residential properties.
e. Utilize “quiet” air compressor s and other stationary noise sources where technology exists.
f. The contrac tor shall prepare a construction plan identifying the schedule for major noise -generating construction activities. The construction plan shall identify a procedure for coordinating w ith adjacent residential land uses so that construction activities can be scheduled to minimize noise disturbance.

P5. No portion of th e homes shall b e sectioned off such that a resident does not have full access to all common areas of the residence.

P6. Any changes t o the number of exterior entrances to the residentia l structures shall require Planning approval.

P7. Developer shall implement the proposed Treatment Plan for 1365 Main Street throughout the construction process.

BUILDING DIVISION

BD1. Prior to overall construction permit application, submit to the Santa Clara Building Division, 2 copies of an addressing diagram request, to be prepared by a licensed architect or engineer. The addressing diagram(s) shall include all proposed streets and all building floor plans. The addressing diagram(s) shall conform to Santa Clara City Manager Directive #5; Street Name and Building Number Changes, and Santa Clara Building Division Address Policy For Residential and Commercial Developments. The addressing diagram(s) shall indicate all unit numbers to be based off established streets, not alleys nor access-ways to garages. Allow a minimum of 10 working days for initial staff review. Please note city staff policy that existing site addresses typically are retired. Provide digital pdf printed from design software, not scanned from printed paper sheet.
a. Any building or structure that is demolished shall have its address retired and a new address/s shall be issued for the project.

BD2. The construction permit application drawings submitted to the Santa Clara Building Division shall include a copy of the latest Federal Emergency Management Agency (FEMA) Flood Zone Map:
https://msc.fema.gov/portal/home. The project drawings shall indicate how the project complies with the Santa Clara Flood Damage Prevention Code. a. FEMA Flood Zone map designations and requirements are based on the map in effect at date of Building Permit issuance.

BD3. The construction permit application drawings submitted to the Santa Clara Building Division shall include Santa Clara Valley Urban Runoff Pollution Prevention Program Low Impact Development (LID) practices http://www.scvurppp-w2k.com/nd_wp.shtml. All projects that disturb more than one acre, or projects that are part of a larger development that in total disturbs

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

more than one acre, shall comply with the Santa Clara Valley Urban Runoff Pollution Prevention Program Best Management Practices (BMP):
http://www.scvurppp-w2k.com/construction_bmp.shtml, and shall provide a Storm Water Pollution Prevention Plan (SWPPP) by a certified Qualified SWPPP Developer (QSD). All site drainage and grading permit applications submitted to the Santa Clara Building Division shall include a city of Santa Clara "C3" data form, available on this web page:https://www.santaclaraca.gov/our- city/departments-g-z/public-works/environmental-programs/stormwater-pollution- prevention and will be routed to a contract consultant for review.

BD4. No California construction code review is being done at this time. The construction permit application drawings submitted to the Santa Clara Building Division shall include an overall California Building Code analysis, including; proposed use and occupancy of all spaces (19' CBC Ch. 3), all building heights and areas (19' CBC Ch. 5), all proposed types of construction (19' CBC Ch. 6), all proposed fire and smoke protection features, including all types of all fire rated penetrations proposed (19' CBC Ch. 7), all proposed interior finishes fire resistance (19' CBC Ch. 8), all fire protection systems proposed (19' CBC Ch. 9), and all means of egress proposed (19' CBC Ch. 10). -Noncombustible exterior wall, floor, and roof finishes are strongly encouraged.  During construction retaining a single company to install all fire rated penetrations is highly recommended.
 The grade level lobbies shall be min.1 hour rated all sides and above.  All stair shafts shall be min. 1 hour rated.
 All elevator shafts shall be min. 1 hour rated.
 All trash chute shafts shall be min. 1 hour rated.
 Recommendation: provide a minimum of two trash chutes; one for recyclables, one for trash, each trash chute to be routed down to a grade level trash collection room.
 Any trash rooms shall be min. 1 hour rated all sides and above.

BD5. The overall project construction permit application shall include the geotechnical, architectural, structural, energy, electrical, mechanical, and plumbing drawings and calculations. Prior to the issuance of the overall project construction permit, a conditions of approval review meeting must be held in city hall, which meeting must be attended by the on-site field superintendent(s). The meeting will not be held without the attendance of the on-site field superintendent(s). The on-site grading permit shall be a separate permit application to the Building Division.

BD6. Temporary Certificates of Occupancy will not be routinely issued, and will be considered on a very limited basis only when there is a clear and compelling reason for city staff to consider a TCO. A TCO will be approved only after all applicable City staff have approved in writing; Planning, P.W./ Engineering, Fire Prev., Santa Clara Water, Silicon Valley Power, and any other applicable agencies such as the Santa Clara County Health Dept., with the Building Division being the final approval of all TCO.'s.

BD7. See Title 15 of the Santa Clara City Code for any amendments to the California Building Codes.

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

BD8. This project is subject to the provisions of the City of Santa Clara 2022 Reach Code, effective January 2022 See Ordinance No. 2034 and/or Title 15 of the Santa Clara City Code.
a. Chp. 15.36 – Energy Code for “all electric” provisions for new construction. b. Chp. 15.38 – Green Building Code for additional Electric Vehicle Charging requirements for new construction.

ENGINEERING
E1. Obtain site clearance through Public Works Department prior to issuance of Building Permit. Site clearance will require payment of applicable development fees. Other requirements may be identified for compliance during the site clearance process. Contact Public Works Department at (408) 615-3000 for further information.

E2. All work within the public right-of-way and/or public easement, which is to be performed by the Developer/Owner, the general contractor, and all subcontractors shall be submitted within a Single Encroachment Permit to be reviewed and issued by the City Public Works Department. Issuance of the Encroachment Permit and payment of all appropriate fees shall be completed prior to commencement of work, and all work under the permit shall be completed prior to issuance of occupancy permit.

E3. Submit public improvement/Encroachment Permit plans prepared in accordance with City Public Works Department procedures which provide for the installation of public improvements directly to the Public Works Department. Plans shall be prepared by a Registered Civil Engineer and approved by the City Engineer prior to approval and recordation of subdivision map and/or issuance of building permits.

E4. Existing non-standard or non-ADA compliant frontage improvements shall be replaced with current City standard frontage improvements as directed by the City Engineer or his designee.

E5. Damaged curb, gutter, and sidewalk within the public right-of-way along property’s frontage shall be repaired or replaced (to the nearest score mark) in a manner acceptable to the City Engineer or his designee. The extents of said repair or replacement within the property frontage shall be as directed by the City Engineer or his designee.

E6. Each parcel shall have separate sanitary sewer, water, electric, and gas service laterals, and separate cable, phone, and internet service connections.

E7. After City Council approval of the Tentative Map, submit the Subdivision Map, prepared by a Licensed Land Surveyor or a Registered Civil Engineer with Land Surveyor privileges to the Engineering Department. The submittal shall include a title report, closure calculations, and all appropriate fees.

E8. Traffic improvements must comply with the City of Santa Clara Standard Specifications for Public Works Construction.

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

E9. Improvements within 10 feet of a driveway must be less than 3 feet or greater than 10 feet per City Standard Detail TR-9.

STREET DIVISION
Landscape
L1. No cutting of any part of public trees (City street trees), including roots, shall be done without securing prior approval of the City Arborist. Tree trimming/removal shall be done in accordance to the City of Santa Clara Tree Preservation/City Arborist specifications and with direct supervision of a certified arborist (Certification of International Society of Arboriculture).

Solid Waste
SW1. This property falls within the City’s exclusive franchise hauling area. The applicant is required to use the City’s exclusive franchise hauler and rate structure for any hired debris boxes. Prior to the issuance of a Public Works clearance, the project applicant shall complete and sign the Construction and Demolition (C&D) / Waste Management Rules and Regulations Form.

SW2. All refuse from all residential within the city shall be collected at least once a week, unless otherwise approved in writing (SCCC 8.25.120). Garbage service level required for residential developments shall be no less than twenty (20) gallons per unit.

Stormwater
ST1. The applicant shall incorporate Best Management Practices (BMPs) into construction plans. Include the SCVURPPP Countywide Construction BMPs Plan Sheet with the plans.

WATER
W1. New Potable Water Services: For each parcel that will be served by an onsite fire suppression system (e.g. fire sprinklers), the project shall be required to upgrade the existing potable water service to a 1” service and meter.

W2. Utility Separations: All new potable water services shall maintain a minimum of 10’ separation from sewer laterals.

W3. Encroachment Permit: Prior to issuance of Building Permits, the applicant shall submit an encroachment permit application and design plans for construction of water utilities that comply with the latest edition of the Water & Sewer Utilities Water Service and Use Rules and Regulations, Water System Notes, and Water Standard Details and Specifications. In addition, prior to the City's issuance of Occupancy, the applicant shall construct all public water utilities per the approved plans. The Water & Sewer Utilities will inspect all public water utility installations and all other improvements encroaching public water utilities.

W4. Utility Design Plans: Utility Design Plans shall indicate the pipe material and the size of existing water, recycled water and sewer main(s). The plans shall show the nearest existing fire hydrant and the two nearest existing water main line gate valves near the project area. The plans shall show meter and backflow configurations to scale and per City of Santa Clara Water & Sewer Utilities

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

Standard Details. Note that all new water meters and backflow prevention devices shall be located behind the sidewalk in a landscape area. Fire hydrants should be located two feet behind monolithic sidewalk if sidewalk is present; two feet behind face of curb if no sidewalk is present, per City Std Detail 18. The plans shall provide the profile section details for utilities crossing water, sewer, or recycled water mains to ensure a 12” minimum vertical clearance is maintained.

W5. Utility Separations: Applicant shall adhere to and provide a note indicating that all horizontal and vertical clearances comply with State and local regulations. The applicant shall maintain a minimum 12” of vertical clearance at water service crossing with other utilities, and all required minimum horizontal clearances from water services: 10' from sanitary sewer utilities, 10’ from recycled water utilities, 8' from storm drain utilities, 5' from fire and other water utilities, 3' from abandoned water services, 5' from gas and electric utilities, and 5’ from the edge of the propose or existing driveway. For sanitary sewer, water, and recycled water utilities, the applicant shall maintain a minimum horizontal clearance of 10' from existing and proposed trees. If applicant installs tree root barriers, clearance from tree reduces to 5' (clearance must be from the edge of tree root barrier to edge of water facilities). No structures (fencing, foundation, biofiltration swales, etc.) allowed over sanitary sewer, potable water and/or recycled water utilities and easements.

W6. City Standard Meters and Backflows: All proposed meters and backflows for all water services shall meet the current City of Santa Clara Water & Sewer Utilities Standard Details. Plans shall show meter and backflow configurations to scale.

W7. Existing Services: The applicant must indicate the disposition of all existing water and sewer services and mains on the plans. If the existing services will not be used, then the applicant shall properly abandon these services to the main per Water & Sewer Utilities standards and install a new service to accommodate the water needs of the project. The applicant shall bear the cost of any relocation or abandonment of existing Water Department facilities required for project construction to the satisfaction of the Director of Water and Sewer Utilities.

W8. On-Site Storm Drain Treatment: Prior to issuance of Building Permit, the applicant shall submit plans showing any onsite storm water treatment system.

The plan shall include a section detail of the treatment system. No water, sewer, or recycled water facilities shall be located within 5-feet of any storm water treatment system.

W9. Prior to issuance of Building Permits, the applicant shall submit plan details for all water features (including but not limited to fountains and ponds) designed to include provisions for operating the system without City potable water supply and capable of being physically disconnected from source of potable water supply during City declared water conservation periods, to the satisfaction of the Director of the Water & Sewer Utilities. Decorative water features may be permanently connected to the City’s recycled water supply.

W10. Easements: Prior to City’s issuance of Building or Grading Permits, the applicant shall provide a dedicated water utility easement around the backflow prevention device onsite. The water utility easement for the water services and all other public water appurtenances shall be a minimum 15 feet wide and be adjacent to the public right-of-way without overlapping any public utility easement.

Additionally, the applicant shall submit plans defining existing easements so

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

Water Division can verify if there are any conflicts with proposed easements and water utilities.

W11. Underground Fire Permit: Prior to issuance of Building Permits, applicant shall submit an underground fire permit unless otherwise waived by the Fire Department. If fire flow information is needed, applicant shall coordinate with Water and Sewer Utilities Department, for fire flow information at (408)615-2000.

A dedicated fire service line, with an approved backflow prevention device, shall be used for on-site fire hydrants. Fire service lines required for commercial and industrial use shall be sized appropriately per fire flow demand and code requirements.

W12. Water Shortage Response Actions: Pursuant to the City of Santa Clara’s Urban Water Management Plan, during times of drought or water shortage, the City implements water shortage response actions in accordance with the level of water shortage declared. All construction activities and all new irrigation connections are subject to the Water Shortage Response Actions in effect at the time of construction and connection of the irrigation service.

W1.

POLICE
PD1. Address numbers shall be c learly visible from the street and shall be a minimum of six (4) inches in height and a color contrasting with the background material. Numbers shall be illuminated during hours of darkness. Where multiple units/buildings occupy the same property, all unit/building addresses shall be clearly visible. If that is not possible, a sign listing all addresses shall be posted at the main entrance or front of the property.

FIRE
F1. Fire apparatus access roadways shall be provided so that all portion of an exterior wall of the first story of the buildings are located more than 150 feet from fire apparatus access as measured by an approved route around the exterior of the building. Ariel access roadways shall be located a minimum of 15 feet and a maximum of 30 feet from the protected building, or the project team will be required to mitigate the lack of compliance. If these conditions can not be met the project team will be required to complete an Alternative materials, design and methods of construction and equipment application. The required mitigation measure will be determined by the Fire Department.

F2. At time of Building Permit application provide documentation to show the minimum required fire-flow for the building based on the construction type and square footage in accordance with the California Fire Code, Appendix B, Table B105.1 can be met. A 75% reduction in fire-flow is allowed with the installation of a automatic fire sprinkler system designed in accordance with California Fire Code § B105.2. The resulting fire-flow shall not be less than 1,500 gallons per minute (or 1,000 gallons per minute for NFPA 13 fire sprinkler systems) minute for the prescribed duration.

F3. At time of Building Permit application, the required number, location and distribution of fire hydrants for the building based on the California Fire Code, Appendix C, Table C102.1 shall be incorporated into the construction documents.

The required number of fire hydrants shall be based on the fire-flow before the reduction.

F4. At time of Building Permit application, construction documents for proposed fire apparatus access, location of fire lanes and construction documents and

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

hydraulic calculations for fire hydrant systems shall be submitted to the Fire Prevention and Hazardous Materials Division.

F5. Prior to the start of construction, fire protection water supplies shall be installed and made serviceable prior to the time of construction or prior to combustible materials being moved onsite, unless an approved alternative method of protection is approved by the Fire Prevention and Hazardous Materials Division.

F6. At time of Building Permit application, construction documents for the fire department apparatus access roads are required submitted to the Fire Prevention and Hazardous Materials Division. Access roadways shall be provided to comply with all of the following requirements:
a. Fire apparatus access roadways shall be provided for every facility, building, or portion of a building hereafter constructed or moved when any portion of an exterior wall of the first story of the building is located more than 150 feet from fire apparatus access as measured by an approved route around the exterior of the building.
b. Fire apparatus access roadways shall have a “minimum” width of a fire apparatus access roadway for Engines is 20 feet. The “minimum” width of roadways for aerial apparatus is 26 feet. Ariel access roadways shall be located a minimum of 15 feet and a maximum of 30 feet from the protected building and the sides of the building requiring access shall be approved by the Fire Department. Trees, overhead wiring, etc. shall not conflict with any means of fire department access.
c. Fire access roadways shall have a “minimum” unobstructed vertical clearance of not less than 13 feet 6 inches. Aerial apparatus access roads may require additional vertical clearance.
d. Fire access roadways shall All fire department access roadways shall be an all-weather surface designed to support the imposed load of fire apparatus with a gross vehicle weight of 75,000-pounds. e. Fire apparatus access roadways shall have a “minimum” inside turning radius for fire department access roadways shall be 36 feet or greater. f. Dead-end fire apparatus access roadways in excess of 150 feet in length shall be provided with approved provisions for turning around. g. Traffic calming devices are not permitted on any designated fire access roadway, unless approved by the Fire Prevention & Hazardous Materials Division.
h. All Fire Department Access roadways shall be recorded as an Emergency Vehicle Access Easement (EVAE) on the final map. No other instruments will be considered as substitutions such as P.U.E, Ingress/Egress easements and/or City Right-of-Ways.
i. All gates installed on designated fire department access roads are required to electrically automatic powered gates. Gates shall be provided with an emergency battery power supply, or shall be a fail-safe design, allowing the gate to be pushed open without the use of special knowledge or equipment. To control the automatic gates a detector/strobe switch shall be installed to allow emergency vehicles (e.g., fire, police, ems) to flash a vehicle mounted strobe light towards the detector/strobe switch, which in turn overrides the system and opens the gate. The gates shall be equipped with a TOMAR Strobe Switch or 3M OPTICOM Detector to

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

facilitate this override. Said device shall be mounted at a minimum height of seven feet (7’) above the adjacent road surface and is subject to an acceptance test witnessed by the Fire Department prior to final approval of the project.

F7. Provisions shall be made for Emergency Responder Radio Coverage System (ERRCS) equipment, including but not limited to pathway survivability in accordance with Santa Clara Emergency Responder Radio Coverage System Standard.

F8. Prior to issuance of a Building Demo Permit, Steps 1 through 3 summarized below must be addressed during the planning phase of the project. Submit Phase II environmental documents:
a. Step 1 – Hazardous Materials Closure (HMCP): This is a permit is issued by the Santa Clara Fire Department, Fire Prevention & Hazardous Materials Division. Hazardous materials closure plans are required for businesses that used, handled or stored hazardous materials. While required prior to closing a business this is not always done by the business owner, and therefore should be part of the developer’s due diligence. The hazardous materials closure plans demonstrate that hazardous materials which were stored, dispensed, handled or used in the facility/business are safely transported, disposed of or reused in a manner that eliminates any threat to public health and environment. b. Step 2 – Site Mitigation: Site mitigation is the cleanup or management of chemical contaminants in soil, soil vapor or groundwater. The type and extent of contamination on site(s) governs which of the regulatory agencies noted below will supervise the cleanup.
 Santa Clara Fire Department, Fire Prevention & Hazardous Materials Division (CUPA)
 Department of Toxic Substances Control (DTSC)
 State Water Resources Control Board
 Santa Clara County, Department of Environmental Health. c. Step 3 – Community Development, Building Division Demolition Application: For the majority of projects within the City of Santa Clara, Steps 1 and/or 2 described above need to be completed prior to proceeding to demolition application in order to avoid permit approval delays. The purpose of a demolition permit is to ensure that the parcel is clear of debris and other health hazard material (lead, asbestos, etc.) and that the utility connections have been plugged and sealed.” If the project intends to contract with a State or County Agency for onsite/offsite environmental remediation activities the following documentation shall be provided to the Fire Prevention & Hazardous Materials Division prior to issuance of a Building Permit for demolition or grading:
 Oversight agency case number; and
 Oversight mangers contact name, phone number.

PARKS & RECREATION
PR1. The new construction for the ADU on 1070 Lewis St. is not subject to City Code Chapter 17.35.

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of PD Rezone and Architectural Approval

PR2. Dwelling Unit Tax. The addition of 2 bedrooms to an existing two-bedroom single family home is subject to the dwelling unit tax in the amount of $10.00.

I:\PLANNING\2021\Project Files Active\PLN21-15422 1365 Main St (PD_ Mills Act)\PC\Conditions of PD Rezone Approval.doc

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of Tentative Parcel Map Approval

CONDITIONS OF TENTATIVE PARCEL MAP APPROVAL

In addition to complying with all applicable codes, regulations, ordinances and resolutions, the following conditions of approval are recommended:

GENERAL
G1. If relocation of an existing public facility becomes n ecessary due to a conflict with the developer's new improvements, then the cost of said relocation shall be borne by the developer.

G2. Comply with all applicable codes, regulations, ordinances and resolutions.

ATTORNEY’S OFFICE
A1. The Developer agrees to d efend and i ndemnify and hold City, its officers, agents, employees, officials and representatives free and harmless from and against any and all claims, losses, damages, attorneys' fees, injuries, costs, and liabilities arising from any suit for damages or for equitable or injunctive relief which is filed by a third party against the City by reason of its approval of developer's project.

COMMUNITY DEVELOPMENT
P1. Comply with all conditions under the Planning approval under, PLN21-15422.

ENGINEERING
E1. Obtain site clearance through Public Works Department prior to issuance of Building Permit. Site clearance will require payment of applicable development fees. Other requirements may be identified for compliance during the site clearance process. Contact Public Works Department at (408) 615-3000 for further information.

E2. All work within the public right-of-way and/or public easement, which is to be performed by the Developer/Owner, the general contractor, and all subcontractors shall be included within a Single Encroachment Permit issued by the City Public Works Department. Issuance of the Encroachment Permit and payment of all appropriate fees shall be completed prior to commencement of work, and all work under the permit shall be completed prior to issuance of occupancy permit.

E3. Submit public improvement plans prepared in accordance with City Public Works Department procedures which provide for the installation of public improvements.

Plans shall be prepared by a Registered Civil Engineer and approved by the City Engineer prior to approval and recordation of parcel map and/or issuance of building permits.

E4. Existing non-standard or non-ADA compliant frontage improvements shall be replaced with current City standard frontage improvements as directed by the City Engineer or his designee.

E5. Damaged curb, gutter, and sidewalk within the public right-of-way along property’s frontage shall be repaired or replaced (to the nearest score mark) in a manner acceptable to the City Engineer or his designee. The extents of said

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of Tentative Parcel Map Approval

repair or replacement within the property frontage shall be at the discretion of the City Engineer or his designee.

E6. After City Council approval of the Tentative Map, submit 10 copies of the Subdivision Map, prepared by a Licensed Land Surveyor or a Registered Civil Engineer with Land Surveyor privileges to the Engineering Department. The submittal shall include a title report, closure calculations, and all appropriate fees.

WATER
W1. New Potable Water Services: For each parcel that will be served by an onsite fire suppression system (e.g. fire sprinklers), the project shall be required to upgrade the existing potable water service to a 1” service and meter.

W2. Utility Separations: All new potable water services shall maintain a minimum of 10’ separation from sewer laterals.

W3. Encroachment Permit: Prior to issuance of Building Permits, the applicant shall submit an encroachment permit application and design plans for construction of water utilities that co mply with the latest edition of the Water & Sewer Utilities Water Service and Use Rules and Regulations, Water System Notes, and Water Standard Details and Specifications. In addition, prior to the City's issuance of Occupancy, the applicant shall construct all public water utilities per the approved plans. The Water & Sewer Utilities will inspect all public water utility installations and all other improvements encroaching public water utilities.

W4. Utility Design Plans: Utility Design Plans shall indicat e the pipe material and the size of existing water, recycled water and se wer main(s). The plans shall show the nearest existing fire hydrant and the two nearest existing water main line gate valves near the project area. The plans shall show meter and back flow configurations to scale and per City of Santa Clara Water & Sewer Ut ilities Standard Details. Note that all new water meters and backflow prevention devices shall be located behind the sidewalk in a landscape area. Fire hydrants should be located two feet behind monolithic sidewalk if sidewalk is present; two feet behind f ace of curb if no sidewalk is present, per City Std Detail 18. The plans shall provide the profile section details for utilities crossing water, sewer, or recycled water mains to ensure a 12” minimum vertical clearance is maintained.

W5. Utility Separations: Applicant shall adhere to and provide a note indicating that all horizontal and vertical clearances comply with State and local regulations. The applicant shall maintain a minimum 12” of vertical clearance at water service crossing with other utilities, an d all required minimum horizontal clearances from water services: 10' from sanitary sewer utilities, 10’ from recycled water utilities, 8' from storm drain utilities, 5' from fire and other water utilities, 3' from abandoned water services, 5' from gas and electric utilities, and 5’ from the edge of the propose or existing driveway. For sanitary sewer, water, and recycled water utilities, the applicant shall maintain a minimum horizont al clearance of 10' from existing and proposed trees. If applicant installs tree root barriers, clearance from tree reduces to 5' (clearance must be from the edge of tree root barrier to edge of water facilities). No structures (fencing, foundation, biofil tration swales, etc.) allowed over sanitary sewer, potable water and/or r ecycled water utilities and easements.

1365 Main Street and 1070 Lewis Street PLN21-15422
Conditions of Tentative Parcel Map Approval

W6. City Standard Meters and Backflows: All proposed meters and backflows for all water services shall meet the current City of Santa Clara Water & Sewer Utilities Standard Details. Plans shall show meter and backflow configurations to scale.

W7. Existing Services: The applicant must indicate the disposition of all existing water and sewer services and mains on the plans. If the existing services will not be used, then the applicant shall properly abandon these services to the main per Water & Sewer Utilities standards and install a new service to accommodate the water needs of the project. The applicant shall bear the cost of any relocation or abandonment of existing Water Department facilities required for project construction to the satisfaction of the Director of Water and Sewer Utilities.

W8. On-Site Storm Drain Treatment: Prior to issuance of Building Permit, the applicant shall submit plans showing any onsite storm water treatment system.

The plan shall include a section detail of the treatment system. No water, sewer, or recycled water facilities shall be located within 5 -feet of any storm water treatment system.

W9. Prior to issuance of Building Permits, the applicant shall submit plan details for all water features (inclu ding but not limited to fountains and ponds) designed to include provisions for operating the system without City potable water supply and capable of being physically disconnected fro m source of potable water supply during City declared water conservation periods, to the satisfaction of the Director of the Water & Sewer Utilities. Decorative water features may be permanently connected to the City’s recycled water supply.

W10. Easements: Prior to City’s issuance of Building or Grading Permits, the applicant shall provide a dedicated water utility easement around the backflow prevention device onsite. The water utility easement for the water services and all other public water appurtenances shall be a minimum 15 feet wide and be adjacent to the public right -of-way without overlapping any public utility easement.

Additionally, the applicant shall submit plans defining existing easements so Water Division can verify if there are any conflicts w ith proposed easements and water utilities.

W11. Underground Fire Permit: Pr ior to issuance of Building Permits, applicant shall submit an underground fire permit unless otherwise waived by the Fire Department. If fire flow information is needed, applicant shall coordinate with Water and Sewer Utilities Department, for fire flow i nformation at (408)615-2000.

A dedicated fire service line, with an approved backflow prevention device, shall be used for on -site fire hydrants. Fire service lines required for commercial and industrial use shall be sized approp riately per fire flow deman d and code requirements.

W12. Water Shortage Response Actions: Pursuant to the City of Santa Clara’s Urban Water Management Plan, during times of drought or water shortage, the City implements water shortage response actions in acco rdance with the level of water shortage declared. All construction activities and all new irrigation connections are subject to the Water Shortage Response Actions in effect at the time of construction and connection of the irrigation service.

I:\PLANNING\2021\Project Files Active\PLN21-15422 1365 Main St (PD_ Mills Act)\CC\Conditions of Tentative Parcel Map Approval - Copy.doc

VICINITY MAP
SITE
PREPARED FOR:

CALIFORNIASAN JOSE • •

ROBSON HOMES

TENTATIVE PARCEL MAP
1365 MAIN STREET
CONSISTING OF A 2 LOT SUBDIVISION INCLUDING A MAXIMUM OF 2 RESIDENTIAL UNITS (2 SINGLE FAMILY UNITS, ACCESSARY DWELLING UNITS & GARAGE)

SANTA CLARA CALIFORNIA

TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã1070 LEWIS ST1070 LEWIS STSANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã1070 LEWIS ST1070 LEWIS STSANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã1070 LEWIS ST1070 LEWIS STSANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã1070 LEWIS ST1070 LEWIS STSANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã1070 LEWIS ST1070 LEWIS STSANTA CLARA, CA 95050
TEL. No. (408) 998-4087DESIGN CORPORATIONSALVATORE CARUSO980 EL CAMINO REAL, # 200, SANTA CLARA, CA 95050FAX. No. (408) 998-4088 ã
1365 MAIN ST1365 MAIN ST,SANTA CLARA, CA 95050

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-1160 Agenda Date: 10/24/2023

REPORT TO COUNCIL

SUBJECT
Action on Recommendation of the Governance and Ethics Committee to Amend Council Policy 030, entitled Adding an Item on the Agenda, to Modify and Clarify Terms for City Council and Public Requests

BACKGROUND
Council Policy 030, entitled "Adding an Item on the Agenda" (Attachment 1) was amended and adopted on October 27, 2020, including approval of a Council Item Request form. The policy was most recently updated by the City Council on October 22, 2022. The stated purpose of the Council Policy 030 (030 Policy) is to establish a straightforward and effective process for members of the City Council and the public to have items within the jurisdiction of the City Council placed on the City Council agenda for consideration.

At the September 11, 2023, Governance and Ethics Committee meeting, the Committee approved the staff recommendations to amend Council Policy 030 and to bring forth the proposed amendments (Attachment 1) to the full Council for consideration. The Committee members expressed the importance of ensuring the amended policy preserves the public's ability to participate in meetings and petition the Council.

DISCUSSION
The proposed amendments to the 030 Policy (Attachment 2) were drafted with the intention of streamlining the public meeting process while maintaining opportunities for both the public and the Council to request topics to be addressed by the City and the City Council at future meetings.

Council Member Referrals
The most significant proposed modification to the City Council referral part of the existing 030 Policy is to formalize the process for Councilmembers consultations with the City Manager (and/or City Attorney, as appropriate) before submitting a written request to agendize an item. These consultations will allow consideration of whether the City is currently addressing the issue or topic or will soon address the topic in some other manner. The consultations will also enable staff to evaluate and provide feedback on resource requirements, legality, timing and prioritization for any proposed 030 action.

After consultations, Councilmembers will reserve the right to proceed with their 030 request. Staff will then assist the Councilmember in phrasing a description of the proposal to be listed on the agenda City of Santa Clara Printed on 10/20/2023Page 1 of 4
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23-1160 Agenda Date: 10/24/2023
for Council consideration.

To prioritize already agendized City business, a further recommendation is to move Council 030 Policy proposals from their current placement (under Written Petitions) to the end of the agenda under City Council Comments. The updated policy also adds guidance on the limited extent to which any 030 item can be presented and discussed and provides a summary of the range of options for City Council actions with respect to any 030 proposal. Options include: no action, referral to staff for analysis and a report at a future meeting, referral to a future Council priority setting meeting, or placement on an agenda for action at a future Council meeting.

Requests from the Public
Under the current policy, members of the public can submit a written request for Council action, which must be listed on a Council agenda for formal Council consideration within the next two Council meetings. Once agendized, the request is listed and heard under the "Written Petition" section of the City Council's regular agenda. A majority vote of the City Council is required to add the item to a future council meeting for action. As an alternative, the policy also provides that a member of the public may address the Council during the Public Presentations section of the agenda, and a request for Council action can be made at that time. In either case, no action can be taken on the substance of the item. Instead, the item can only be referred to staff or for possible action by the Council at a future meeting.

Staff recommends revisions to the policy to add a summary of the various ways the public can petition the City for action. The following options for the public include:
(1) Verbal or written communications with City staff,
(2) Verbal or written communications with one or more elected officials (the Mayor, their District Council representative, or any other member(s) of the City Council), (3) Appearing in-person (or by Zoom) at a City Council meeting during Public Presentations (4) During the public engagement portion of the annual Council Priority Setting sessions.

For those choosing to attend or participate in a City Council meeting, staff recommends that the opportunities to petition the City Council for action be consolidated into the Public Presentations portion of the meeting. During Public Presentations, any member of the public may request the City Council refer an item to City staff or place an item for discussion on a future City Council agenda. The Mayor, as presiding officer, will manage these inquiries, interacting with City staff as appropriate.

Because any such item is not listed for action on the agenda, only a City Council referral to staff, or, if the item is urgent, a proposal to agendize the item for consideration at a future Council meeting, would be in order.

If, upon hearing a petition for action by a member of the public, one or more City Council member desires to sponsor this request, such Council Member(s) would also have the option to follow the 030 Policy referral process described above and submit their own petition in support of the public petition.

Since the Governance Committee meeting, additional revisions have been made to the 030 Policy to eliminate duplicative provisions, improve the headings and organization of the Policy to facilitate use, and provide better clarity for the public on the methods in which it may make requests of the City City of Santa Clara Printed on 10/20/2023Page 2 of 4
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23-1160 Agenda Date: 10/24/2023
Council. Alternatives include direct contact with Council and staff (with contact information of the City Council and City Manager provided) and through the City’s MySantaClara App.

Staff has researched and surveyed other cities and has yet to find a City with a formal public written petition process like the process currently provided in the City’s existing 030 Policy. The public typically addresses its Council/decision making body through the agenda's public comment or presentation portion. Staff’s proposed revisions to the existing 030 Policy go beyond what most jurisdictions provide but also prevents any member of the public from unilaterally requiring an issue be listed on a Council agenda for formal City Council consideration or action that may not be appropriate or timely for such consideration or vote.

Council Priority Settings to be Re-initiated as an Opportunity for Further Public Input. In addition to public input that can be received at individual Council meetings throughout the year, the annual Council Priority Setting sessions (scheduled to resume in February 2024) will include various opportunities for public engagement and input. The Council Priority setting session framework was approved by the City Council on September 19, 2023. The framework includes a robust community engagement process via a citywide community survey targeting residents, businesses, local community groups for feedback on current City priorities. In addition, staff will solicit input from City Boards and Commissions to provide current priorities. A summary of the feedback will be presented to the Council at its annual Council Priority Setting session. Additionally, the proposed framework provides several opportunities for public comment during public presentations to gather feedback on community priorities for the Council to consider.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(a) as it has no potential for resulting in either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment.

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

COORDINATION
This report was coordinated with the City Attorney and City Manager’s Offices.

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]> or at the public information desk at any City of Santa Clara public library.

RECOMMENDATION
Adopt a resolution amending Council Policy 030, entitled Adding an Item on the Agenda, on the terms City of Santa Clara Printed on 10/20/2023Page 3 of 4
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23-1160 Agenda Date: 10/24/2023
presented.

Reviewed by: Maria Le, Assistant to the City Manager and Elizabeth Klotz, City Attorney Approved by: Jōvan D. Grogan, City Manager and Glen Googins, City Attorney

ATTACHMENTS

1. Current Council Policy 030

2. Proposed Amended Council Policy 030 (redline version)

3. Proposed Amended Council Policy 030 (clean version)

4. Resolution
City of Santa Clara Printed on 10/20/2023Page 4 of 4
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City of Santa Clara
Council Policy Manual

ADDING AN ITEM ON THE AGENDA

Revised 10/27/2020 CP 030 Page 1 of 3
Resolution No. 20-8895
PURPOSE To establish a clear, effectiv e, and easily understood process for members of the City Council and the public to have items , within the jurisdiction of the City Council , placed on the City Council agenda for consideration.

POLICY Members of the City Council:

The Mayor or any individual Council member may submit a written request by using the Council Item Request Form to the City Manager’s Office for inclusion of an item on a City Council agenda, provided the request is received two (2) days prior to the public release of the agenda packet. At the meeting where the request is heard, discussion should be limited to whether the item should be added to an agenda and a date, not the merit of the item.

Referral from a Council Committee:

Council Committees may submit a written request to the City Manager’s Office for inclusion of an item on a City Council agenda, provided the request is received two (2) days prior to the public release of the ag enda packet.

Council Committees may bring forward a recommendation to the full City Council by way of the Committee minutes, which are typically prepared within three weeks following the Committee meeting.

Items Referred During a Council Meeting:

By Council action, an item may be referred to the City Manager f or inclusion on a City Council agenda. If the request requires further study of the item from staff, a full analysis shall be prepared at the direction of the Cit y Manager with at le ast thirty (30) cale ndar days prior to the meeting, unless otherwise direc ted by the City Council. If the request requires more than thirty (30) calendar days to prepare, status updates will be provided to the City Council every sixty (60) d ays as an informational memo.

City of Santa Clara
Council Policy Manual

ADDING AN ITEM ON THE AGENDA

Revised 10/27/2020 CP 030 Page 2 of 3
Resolution No. 20-8895
Written Petitions and Public Presentations:

Any member of the public may submit a written request raising any issue or item within the subject matter jurisdiction of the City Council to be heard under the “Written Petition” section of the City C ouncil’s regular agenda within two (2) Council meetings after receiv ed. A fter the initial Written Petition is placed on the agenda, a majority vote of the City Council may add the item to a future Council meeting for action . Any member of the public m ay address the City Council un der the “Public Presentations” section of t he ag enda. If the presentation includes a request of the Council, a majority vote of the City Council may refer the item to the City Manager t o be properly added to a future meeting, in compliance with the Brown Act.

PROCEDURE

FOR WRITTEN

PETITIONS

1. All requests to address the City Council shall be submitted in writing.

Written Petition forms are available for the petitioner’s convenience on the City’s website and in the City Manager’s Office, Ci ty Clerk’s Office, and the Mayor and Council Offi ces. Alt ernatively, a n email may be submitted to [email protected].

2. Once the Written Petition is received by the City Clerk’s Office, it should immediately be forwarded to the City Manager for placem ent on a n agenda within two (2) Council meetings after receipt of the original request from the City Clerk’s Office. All written material (request and any support material) will be submitted on the agenda in the form substantially p rovided by the requester wit hout any staff analysis, including fiscal review, legal review and policy review, until the City Council has had the opportunity to provide direction to the City Manager.

3. At the meeting where the item is first considered, if a majority of the City Counci l suppor ts fu rther study of the item, then a full staff analysis shall be prepared within thirty (30) days, unless otherwise directed by the City Council. Discussion should be limited to whether an item should be added to an agenda and a date, not the merit of the item.

City of Santa Clara
Council Policy Manual

ADDING AN ITEM ON THE AGENDA
Revised 10/27/2020 CP 030 Page 3 of 3
Resolution No. 20-8895

PROCEDURE

FOR WRITTEN

REQUESTS

FROM CITY

COUNCIL

1. Members of the City Council s hall use the Council Item Request Form to submit a written request for inclusion of an item on a future City Council agenda.

2. Once the Council Item Request Form is received b y the City Clerk’s Office, it should immediately be forwarded to the City Manager for placement on a n agenda with in two (2) Council meetings after receipt of the original request from the City Clerk’s Office. All written material (Council Item Request Form and any support material) will be submitted on the agenda in the form substantially p rovided by the requester wit hout any staff analys is, including fiscal review, legal review and policy review, until the City Council has had the opportunity to provide direction to the City Manager.

3. At the meeting where the item is first considered, if a majority of the City Counci l suppor ts fu rther study of the item, then a full staff analysis shall be prepared within thirty (30) days, unless otherwise directed by the City Council. Discussion should be limited to whether an item should be added to an agenda and a date, not the merit of the item.

Attachments: Council Item Request Form

COUNCIL ITEM REQUEST FORM
The Council Item Request F orm is for members of the City Council to submit written requests to the City Manager’s Office for inclusion of an item on a future City Council meeting agenda. At the meeting where th e initial written request is heard, discussion should be limited to whether the item should be added to an agenda and a date, not the merit of the it em. A majority vote of the City Council is required for the item to be added to future Council meeting agenda for action.

CONTACT INFORMATION
Requesting Member of City Council
Contact E-mail
Contact Phone
Today’s Date

WRITTEN REQUEST
I, , hereby request that the following item
be placed on the City of Santa Clara Council and Authorities Concurrent meeting agenda:

Reference: Council Policy 030 – Adding an Item on the Agenda Resolution No. 20-8895
RESOLUTION NO. 20-8895

A RESOLUTION OF THE CITY OF SANTA CLARA, CALIFORNIA
TO REPEAL RESOLUTION NO. 20-8890, AMEND COUNCIL
POLICY 030 ENTITLED "ADDING AN ITEM ON THE AGENDA,"

AND APPROVE THE COUNCIL ITEM REQUEST FORM
BE IT RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

W HEREAS, amending the policy on adding an item on the agenda to establish a clear, effective and easily understood process for members of the City Council and the public to have items within the jurisdiction of the City Council placed on a meeting agenda; W HEREAS, the amended version of the Adding an Item on the Agenda policy expands on the current policy language by clearly stating that, when a written request is first considered, discussion should be limited to whether an item should be added to an agenda and a date, not the merit of the item; and,
W HEREAS, the amended Adding an Item on the Agenda policy, attached hereto as Attachment 1, includes a Council Item Request Form for the City Council's use when requesting an item for inclusion on a Council meeting agenda and adds the procedure for written requests from members of the City Council.

NOW THEREFORE, BE IT FURTHER RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

1. That Resolution No. 20-8890 is hereby rescinded in its entirety.

2. That amended Council Policy 030 entitled "Adding an Item on the Agenda" with the Council Item Request Form, attached hereto as Attachment 1, is hereby approved and adopted, and the City Manager is directed to number (and renumber, as appropriate) the Council Policy Manual such that they are organized in a logical fashion. //
//
//
Resolution/Amending Adding an Item on the Agenda Policy and Approving Council Item Request Form Page 1 of 2 Rev: 11 /22/17

3. Effective date. This resolution shall become effective immediately.

HEREBY CERTIFY THE FOREGOING TO BE A TRUE COPY OF A RESOLUTION PASSED

AND ADOPTED BY THE CITY OF SANTA CLARA, CALIFORNIA, AT A REGULAR MEETING THEREOF HELD ON THE 27T" DAY OF OCTOBER, 2020, BY THE FOLLOWING VOTE:

AYES: COUNCILORS: Chahal, Davis, Hardy, O'Neill, and Watanabe, and Mayor Gillmor
NOES: COUNCILORS: None
ABSENT: COUNCILORS: None
ABSTAINED: COUNCILORS: None
ATTEST:

ORA PIMENTEL, MMC

ASSISTANT CITY CLERK

CITY OF SANTA CLARA
Attachments incorporated by reference:

1. Council Policy 030 entitled "Adding an Item on the Agenda" Resolution/Amending Adding an Item on the Agenda Policy and Approving Council Item Request Form Page 2 of 2 Rev: 11!22/17

City of Santa Clara
Council Policy Manual
Revised 10/27/2020
Resolution No. 20-8895
CP 030 Page 1 of 3

ADDING AN ITEM TO THE AGENDA

PURPOSE The purpose of this Policy is t o establish a clear, effective, and easily understood process for members of the City Council and the public to have items, within the jurisdiction of the City Council, placed on the City Council agenda for consideration.

POLICY/PR
OCESS

FOR CITY

COUNCIL

MEMBERS
Referral from Members of the City Council in Advance of a Meeting:

After consultation with the City Manager (and/or City Attorney, as appropriate), the Mayor or any individual Councilmember may submit a written request by using the Council Item Request Form to the City Manager’s Office for inclusion of an item on a future City Council agenda,.

An item may be referred to the City Manager for inclusion on a City Council agenda during a Council meeting by City Council action.

City of Santa Clara
Council Policy Manual
Revised 10/27/2020
Resolution No. 20-8895
CP 030 Page 2 of 3

PROCEDURE

FOR WRITTEN

REQUESTS

FROM CITY

COUNCIL

POLICY/PROCE
SS FOR

COUNCIL

COMMITTEES

The process for this shall be as follows:

1. Members of the City Council shall use the Council Item Request Form to submit a written request for inclusion of an item on a future City Council agenda.

2. Prior to submitting a Council Item Request from, the Member shall discuss the proposed request with the City Manager (And/or City Attorney, as appropriate) to determine if City staff’s response does not satisfy the Member’s request, the Member shall submit the Council Item Request form for placement on a future City Council agenda.

3. Once the City Clerk’s Office receives the Council Item Request form, it should immediately be forwarded to the City Manager for placement on an agenda, is possible, within two (2) Council meetings after receipt of the original request by the City Clerk’s Office. All written material (Council Item Request Form and any support material) will be submitted on the agenda in the form substantially provided by the requestor without any staff analysis, including fiscal review, legal review and policy review, until the City Council has had the opportunity to provide the direction to the City Manager.

Referrals from Members of the Council at the Council Meeting If an issue arises during a Council meeting that may require future City Council action a City Council member may also request, through a referral, that such item be agendized for future Council consideration.

Such a request may be considered by the Counc il following the “Procedure for Handling Requests at the City Council Meeting” set forth below.

Referral from a Council Committee:

Council Committees may request that an item to be considered for inclusion on a future City Council agenda by formal committee action. Any such request shall be submitted to the City Manager in writing. Provided the request is received two (2) days prior to the public release of the City Council agenda packet the item shall be included for consideration at that City Co uncil meeting in accordance with the “Procedure for Handling Requests at the City Council Meeting” set forth below.

Requests from Members of the Public:

Members of the public may request that an item be added to a City Council Agenda in any of the following ways:

1. Public Presentations: Any member of the public may address the City of Santa Clara
Council Policy Manual
Revised 10/27/2020
Resolution No. 20-8895
CP 030 Page 3 of 3

POLICY/PRO

CESS FOR

MEMBERS OF

THE PUBLIC
City Council under the “Public Presentations” section of the agenda to make a request of the City Council to add an item to a future meeting.

If a member of the public wishes to provide a written petition of their request prior to their appearance at a Council Meeting they may be submitted as follows:
a. Email:

City Council: [email protected]
City Manager: [email protected]
b. MySantaClara App:
www.santaclaraca.gov/services/make-a-service-request
Note: Written Petitions will not be listed on the City Council agenda, and the member must be present at the meeting to present their request.

2. Individual City Councilmembers: Members of the public may directly petition individual City Councilmembers to request that an item be added to a future Council meeting. The Councilmember may then choose to submit the request through the Council referral process outlined in this Policy, above.

3. City Manager and City Departments: Members of the public may also petition the City Manager or City staff for specific action. The City Manager and/or staff may respond, as appropriate, directly to this request, or direct the member of the public to the other methods of petitioning the City outlined above.

City of Santa Clara
Council Policy Manual
Revised 10/27/2020
Resolution No. 20-8895
CP 030 Page 4 of 3

ADDING AN ITEM ON THE AGENDA

PROCEDURE
FOR

HANDLING

REQUESTS

AT THE CITY

COUNCIL

MEETING

1. At the meeting where the request to add an item to a future agenda is heard, Council discussion is limited to whether the item should be added to an agenda and a date, not the merit of the item. Valid considerations that can be discussed include whether the matter is within the City’s jurisdiction, being addressed in some other way, City resource requirements, legality, timing, and prioritization.

2. Council may take the following actions when a request is made:

a. No Action.
b. Refer the request to City staff for further study and a timely report back to Council.
c. Refer the item to a future annual Council Priority Setting session meeting.
d. Placement on a future Council meeting agenda for further consideration or action.

3. At the meeting where the item is first considered, if a majority of the City Council supports further study of the item, then a full staff analysis shall be prepared within thirty (30) days, unless otherwise directed by the City Council. If the request requires more than thirty (30) calendar days to prepare, status updates will be provided to the City Council every sixty (60) days as an informational memo.

City of Santa Clara
Council Policy Manual
Revised 10/27/2020
Resolution No. 20-8895
CP 030 Page 5 of 3

City of Santa Clara
Council Policy Manual
Revised 10/27/2020
Resolution No. 20-8895
CP 030 Page 6 of 3

ADDING AN ITEM ON THE AGENDA

4. Attachments: Council Item Request Form

Revised 10/24/2023 CP 030
Resolution No. 23-