Santa Cruz City Council
September 27, 2022

CITY OF SANTA CRUZ
809 Center Street
Santa Cruz, California 95060

CITY COUNCIL AGENDA
Regular Meeting – September 27, 2022
12:00 P.M. CLOSED SESSION, ZOOM/COURTYARD CONFERENCE ROOM 2:30 P.M. CONSENT AND GENERAL BUSINESS, ZOOM/COUNCIL CHAMBERS 5:45 P.M. ORAL COMMUNICATIONS, ZOOM/COUNCIL CHAMBERS
IMPORTANT NOTICE:

Pursuant to California Government Code 54953(e)(1)(A) and (C), and the City of Santa Cruz’s resolution authorizing continued virtual participation in public meetings given the COVID-19 pandemic, meetings of the Santa Cruz City Council are being conducted with a hybrid format, providing both in-person and virtual participation in order to promote social distancing and protect the health and safety of attendees, staff, and Councilmembers.

In order to minimize exposure to COVID-19, the meeting may be viewed remotely, using any of the following sources:
 Click on Zoom link (no time delay): https://zoom.us/j/94684401344  Online at http://www.cityofsantacruz.com/government/city-council/council-meetings  Online at Watch – Community Television of Santa Cruz County  Comcast Channel 25
Or: Call any of the numbers below. If one is busy, try the next one.  1-833-548-0276 (Toll Free)
 1-833-548-0282 (Toll Free)
 1-877-853-5247 (Toll Free)
 1-669-900-9128
 Enter the meeting ID number: 946 8440 1344
 When prompted for a Participant ID, press #.
 Press *9 on your phone to “raise your hand” when the Mayor calls for public comment.  It will be your turn to speak when the Mayor calls on you. Press *6 to unmute yourself.

The timer will then be set.

Correspondence to be included in the agenda packet must be received by 5:00 pm on Monday, September 26th.

September 27, 2022 City Council 2
PLEASE NOTE:

Requests for extra speaking time on items other than Oral Communications must be made by 5:00 p.m. on Sunday, September 25th by emailing the Mayor and the City Clerk.

Approval will be confirmed via email.
[email protected] [email protected]
The City of Santa Cruz does not discriminate against persons with disabilities. Out of consideration for people with chemical sensitivities we ask that you attend fragrance free. Upon request, the agenda can be provided in a format to accommodate special needs. Additionally, if you wish to attend this public meeting and will require assistance such as an interpreter for American Sign Language, Spanish, or other special equipment, please call the City Clerk’s Department at 420-5030 at least five days in advance so that we can arrange for such special assistance, or email [email protected]. The Cal-Relay system number: 1-800-735-2922.

Si desea asistir a esta reunión pública y necesita ayuda - como un intérprete de lenguaje de señas americano, español u otro equipo especial - favor de llamar al Departamento de la Secretaría de la Ciudad al 420-5030 al menos cinco días antes para que podamos coordinar dicha asistencia especial o envié un correo electrónico a [email protected]. El número del sistema Cal-Relay es: 1-800-735-2922.

Closed Session
12:00 PM
Closed Session

1. Conference with Labor Negotiators (Government Code §54957.6) SEIU Temporary Employees
SEIU Service Employees
Supervisors, OE3
City Negotiator - Lisa Murphy

2. Public Employee Performance Evaluation (Government Code §54957) 1) City Manager
2) City Attorney

3. Conference With Legal Counsel – Liability Claims (Government Code §54956.95)
1) Claimant: Jose A. Talamantes Haro
2) Claimant: Serafin G. Ruiz
Claims against the City of Santa Cruz
September 27, 2022 City Council 3
Closed Session (continued)

4. Conference with Legal Counsel – Anticipated Litigation (Government Code §54956.9(d)(2)
Significant exposure to litigation (1 potential case to be discussed)

5. Conference with Legal Counsel - Existing Litigation (Government Code §54956.9(d)(1))
City of Santa Cruz v. Regents of the University of California, et al. (Santa Cruz County Superior Court Case No. 22CV00373)
September 27, 2022 City Council 4
City Council
2:30 PM
Call to Order
Roll Call
Presentations

6. Downtown Library and Affordable Housing Project Quarterly Update

7. Unified Animal Model Ordinance Update

8. Fire Prevention Week
Presiding Officer's Announcements
Statements of Disqualification
Additions and Deletions
City Attorney Report on Closed Session
Council Meeting Calendar

9. The City Council will review the meeting calendar attached to the agenda and revise it as necessary.

September 27, 2022 City Council 5
Council Memberships in City Groups and Outside Agencies

10. The Presiding Officer will provide Councilmembers with the opportunity to update Council on any external committee meetings that occurred since the last Council meeting.

Consent Agenda

11. Minutes of the September 13, 2022 City Council Meeting Minutes (CC) Motion to approve as submitted.

12. Liability Claims Filed Against the City of Santa Cruz (FN) Motion to reject the liability claims of a) Jose A. Talamantes Haro and b) Serafin G. Ruiz, based on staff recommendation.

13. Fire Management Employee Association Tentative Agreement for a Successor Memoranda of Understanding (HR)
Resolution adopting a tentative agreement with the Fire Management Employee Association.

14. City of Santa Cruz Firefighters IAFF Local 1716 Tentative Agreement for a Successor Memoranda of Understanding (HR)
Resolution adopting a tentative agreement with the City of Santa Cruz Firefighters IAFF Local 1716.

15. Executive Employees Compensation and Benefits Plan (HR) Resolution adopting the Compensation and Benefits Plan for Executive Unrepresented Employees.

16. Mid-Management Association of the City of Santa Cruz Tentative Agreement for a Successor Memorandum of Understanding (HR) Resolution approving a tentative agreement with the Mid-Management Association of the City of Santa Cruz effective September 17, 2022 through August 29, 2025.

September 27, 2022 City Council 6
Consent Agenda (continued)

17. Caterpillar 325 Excavator – Award Contract (PW)
Motion to approve the purchase from the Refuse Fund of one Caterpillar 325 Excavator in the amount of $327,000.00 from Peterson Tractor Co. (San Leandro, CA).

18. San Lorenzo River Lagoon Culvert Project Grant Forbearance Agreement (PW)
Motion to approve the Forbearance Agreement by and between the Resource Conservation District of Santa Cruz County and the City of Santa Cruz, which is a condition of the grant agreement funding the San Lorenzo River Lagoon Culvert Project (c601403), and authorize the City Manager to execute the agreement in a form approved by the City Attorney.

19. Striping Improvements at Atlantic Avenue and La Fonda Avenue (m400029) (PW)
Motion to approve the design and installation of traffic striping at Atlantic Avenue (between Seabright Avenue and 4th Avenue) and La Fonda Avenue (between Holway Drive and Soquel Avenue).

20. Santa Cruz Mid-County Groundwater Agency Sustainable Groundwater Management Grant – Local Project Sponsor Agreement (WT) Motion authorizing the City Manager to execute a Local Project Sponsor Agreement between the Santa Cruz Mid-County Groundwater Agency (Grantee) and the City of Santa Cruz (Local Project Sponsor) for the Department of Water Resources Sustainable Groundwater Management Act Implementation Grant in a form approved by the City Attorney and authorize the City to proceed with the work contemplated in the Local Project Sponsor Agreement within the specified grant-approved amounts.

September 27, 2022 City Council 7
Consent Agenda (continued)

21. Intertie 1: Santa Cruz-Scotts Valley – Award of Professional Services Agreement (WT)
Motion authorizing the City Manager to execute an agreement in a form to be approved by the City Attorney with Kennedy Jenks (Santa Clara, CA) for Engineering Design Services for the Intertie 1: Santa Cruz-Scotts Valley Project and to authorize the Water Director to execute future contract amendments within the approved budget.

End Consent Agenda
General Business

22. Single-Use Tobacco Waste (CM)
1) Receive an informational tobacco product waste presentation from the County of Santa Cruz, commentaries by local stakeholders, and provide staff direction on the next steps; and
2) Establish and direct work to the Health in All Policies (HiAP) Subcommittee to bring back recommendations to Council at a future date.
5:45 PM
Oral Communications Announcement – Community members may address the Council for two minutes or less about any matter not on the agenda. 30 minutes is allocated for Oral Communications. No extra time for groups will be granted.

Oral Communications
Adjournment
September 27, 2022 City Council 8

INFORMATION ITEMS PREVIOUSLY DISTRIBUTED TO CITY COUNCILMEMBERS ADDENDUM TO CITY COUNCIL AGENDA – SEPTEMBER 27, 2022

23. Economic Development Department: Sycamore/La Playa Affordability Term Extension - 9/7/22 (EDFYI 001)

MAYOR'S PROCLAMATIONS
ADDENDUM TO CITY COUNCIL AGENDA – SEPTEMBER 27, 2022

24. Proclaiming the days of September 9–14, 2022 as “Mäider Arostéguy and Delegates from the City of Biarritz, France, Days” and encouraging all citizens to join in welcoming them all with warmth and appreciation for their message of peace and goodwill.

25. Proclaiming August 21, 2022 as “Ron Inouye Retirement Day” and encouraging all his coworkers and citizens to join in expressing heartfelt appreciation for his sixteen years of dedicated and exemplary service and numerous contributions to the Santa Cruz Police Department and the City of Santa Cruz and wishing him well in his retirement.

26. Proclaiming August 20, 2022 as “Matthew Mulvihill Retirement Day” and encouraging all his coworkers and citizens to join in expressing heartfelt appreciation for his twenty years of dedicated and exemplary service and numerous contributions to the Santa Cruz Police Department and the City of Santa Cruz and wishing him well in his retirement.

27. Proclaiming the month of September 2022 as “Childhood Cancer Awareness Month” and encouraging all citizens to join in honoring Jacob’s Heart Children’s Cancer Support Services for its 24 years of outstanding support to our community and acknowledging its contributions to Childhood Cancer Awareness Month.

September 27, 2022 City Council 9

28. Proclaiming September 15–October 15, 2022 as “National Hispanic Heritage Month” and calling on all residents to join in recognizing the lasting contributions that Latinx have made, and continue to make, to strengthen the fabric of American society and the ongoing support that community organizations continue to provide to our Latinx community.

29. Proclaiming September 17, 2022 as “Senderos Fiestas Patrias Day” and encouraging all citizens to join in this observance.

30. Proclaiming September 18, 2022 as “Monterey Bay National Marine Sanctuary Day” and encouraging all citizens to join in commending those at the Monterey Bay National Marine Sanctuary for their unwavering efforts during the last thirty years to preserve the oceanic environment off of California’s Central Coast and all the agencies, local jurisdictions, businesses, environmental organizations, and individuals whose support has helped protect it and its incredibly rich marine ecosystem for future generations.

31. Proclaiming September 20, 2022 as “Paul Lee Day” and encouraging the people of Santa Cruz to join in celebrating his birthday and his significant accomplishments for the Santa Cruz community.

September 27, 2022 City Council 10
Advisory Body Appointments
The following position is vacant. Council will make the appointment at a future meeting.

Commission for the Prevention of Violence
Against Women
One opening
Public Hearing
If, in the future, you wish to challenge in court any of the matters on this agenda for which a public hearing is to be conducted, you may be limited to raising only those issues which you (or someone else) raised orally at the public hearing or in written correspondence received by the City at or before the hearing.

Any person seeking to challenge a City Council decision made as a result of a proceeding in which, by law, a hearing is required to be given, evidence is required to be taken, and the discretion in the determination of facts is vested in the City Council, shall be required to commence that action either 60 days or 90 days following the date on which the decision becomes final as provided in Code of Civil Procedure Section 1094.6 Please refer to code of Civil Procedure 1094.6 to determine how to calculate when a decision becomes “final.” The 60-day rule applies to all public hearings conducted pursuant to the City’s Zoning Ordinance, Title 24, Santa Cruz Municipal Code. The 90-day rule applies to all other public hearings.

City Council Agenda Legislative History Addendum
No information was submitted.

City staff is responsible for providing the City Clerk with such documentation and information for the Legislative History Addendum. The information will be on file in the City Clerk’s Department.

The Addendum is a listing of information specific to City Council business, but which does not appear on a Council meeting agenda. Such entities would include, but not be limited to: Court decisions, Coastal Commission Appeals of City Council actions, Closed Session Agreements/Settlements, which are public record, Association of Monterey Bay Area Governments, Local Agency Formation Commission.

DOWNTOWN LIBRARY
& AFFORDABLE HOUSING PROJECT
CITY COUNCIL UPDATE September 27, 2022

6.1 AGENDA
◼ Highlights of Recent Efforts to Date
◼ Update on Design & Community Feedback
◼ Farmers' Market Update
◼ Budget Update
◼ Project Schedule Update
◼ Next Steps

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.2 HIGHLIGHTS OF RECENT EFFORTS TO DATE
 Project Application submitted by Affordable Housing Developer- For the Future Housing  Community Presentation on Planning Application Design held on 9.21.2022  Phase 1 Cultural Resources Inventory, Draft Report Under Review  Phase I/II Environmental Site Work Completed, Draft Report Under Review  Traffic Impact Analysis Underway, Near Completion
 Received Finalized Arborists Report and Report Addendum  Library Design Team Completed 100% Design Development Set  Received Notice did not Receive round 1 funding for State Library Grant, round 2 forthcoming

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.3 HIGHLIGHTS OF RECENT EFFORTS TO DATE
 Arborist Report Overview:
• 9 of 12 trees on Site classified as Heritage Trees ( > 14" dia.) • All 12 trees are exotic (non- native ) exhibit myriad detrimental conditions & conflict with the construction footprint • Detrimental conditions observed included: restricted growing areas, severe pruning, structural weaknesses & evidence of past failures, limb & stem decay, buried root collars( may disguise root disease and resulting decay) • 2 trees may be viable for transplant-only one is designated a Heritage tree, but relocation is not recommended • City Arborist has reviewed independent arborist's report and concurred with findings and recommendations • As part of the Application process a Heritage Tree Removal Permit application will be submitted for consideration • Arborist Report will be posted to project page along with other informational reports

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.4 AGENDA
◼ Highlights of Recent Efforts to Date
◼ Update on Design & Community Feedback
◼ Farmers' Market Update
◼ Budget Update
◼ Project Schedule Update
◼ Next Steps

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.5 CONCEPTUAL DESIGN EVOLUTION

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.6 SCHEMATIC DESIGN

6.7 SCHEMATIC DESIGN

6.8 UPDATE ON DESIGN

6.9 UPDATE ON DESIGN

6.10 UPDATE ON DESIGN
 Library Gross Area-38,069 sqft.
 Library Rooftop Patio -3,240 sqft.

Library Total 41,309 sqft.
 Bicycle Parking-258 (combination of locked enclosures & racks)  Parking Stall Count -243 stalls
 Housing Unit Count-124 units
 Daycare + Play Area-1,905 sqft.
 Commercial Space -9,598 sqft.

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.11 UPDATE ON DESIGN

6.12 UPDATE ON DESIGN

6.13 UPDATE ON DESIGN

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.14 UPDATE ON DESIGN

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
 Information is being updated on an ongoing basis on our project webpage  www.cityofsantacruz.com/mixeduselibrary
 Design Presentation from the Community Meeting on 9/21 is available now  Expecting video and compiled feedback posted by end of this week, along with the questions and answers raised in the meeting
 Planning Application Documentation will be posted for Public Review

6.15 COMMUNITY FEEDBACK- meeting overview

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
 Planning Staff, Project Staff, & Affordable Housing Partner & Architect team presented
 Approximately 65 participants, webinar format with Q&A  46+ responses to 8 survey questions
 Majority of Responses Positive
 Facilitated Q & A for about 45 minutes
 Questions varied on different elements across the project design

6.16 COMMUNITY FEEDBACK- meeting overview

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
 Survey Questions

1. Have you previously provided input or participated in project programming meetings?

2. Which of the program goals (New Library, Affordable Housing, Childcare, Active Commercial, Replacement Parking) do you believe is most beneficial to the community?

3. What aspect of the project are you most excited about?

4. What aspect of the project are you least excited about?

5. Would you or someone you know enjoy living here?

6. Have you or anyone you know in Santa Cruz struggled to find childcare?

7. Does the design (as presented) meet your expectations?

8. What additions or changes to the project design or layout do you believe would help attract residents, tenants?

6.17 COMMUNITY FEEDBACK- meeting overview

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
 What aspect of the project are you most excited about?  Majority responses focused on housing and library responses included:
• New library and lots of housing.
• Truly affordable housing
• Living roof & meeting spaces
• Library & green spaces
• Variety of affordable housing options with studio, 1-,2-, and 3-bedroom units • The glass exterior
• Pleased to see trees out front
• Vibrant library, affordable housing, convenient childcare • Well-lit library
 Does the design meet your expectations?
• 34 Yes/exceeds expectations
• 13 No, does not meet
• 1 Unsure

6.18 AGENDA
◼ Highlights of Recent Efforts to Date
◼ Update on Design & Community Feedback
◼ Farmers' Market Update
◼ Budget Update
◼ Project Schedule Update
◼ Next Steps

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.19 FARMERS' MARKET UPDATE

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
 MOU submitted to Farmers' Market
Board – July 2022
Objectives:
• Permanent location and structure
• Improved site and enhanced community
space
• Year-round operation and expansion with
special events
• $1.775M budgeted for initial phase
and commitment for future financial
support

6.20 FARMERS' MARKET UPDATE

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
Key Benchmarks/Highlights:
• MOU submitted to Farmers' Market Board –
July 2022
• Presentation on Design and Layout of
proposed future market to Farmers' Market
Board – August 2022
• Feedback on design and MOU – September
2022
• Board consideration of MOU – October 2022

6.21 AGENDA
◼ Highlights of Recent Efforts to Date
◼ Update on Design & Community Feedback
◼ Farmers' Market Update
◼ Budget Updates (since May 2022 Council update)
◼ Project Schedule Update
◼ Next Steps

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.22 BUDGET UPDATE-housing

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
Secured to date:
 $3.60M –LHTF
 $1.55M -PLHA
 $2.00M -Congressional earmark
for housing/library
components
 $240K- CCCE(Central Coast Community Energy)
 $7.39M
To Be Secured (by Developer following entitlements):
• Super NOFA application
• Tax Credits: approximately $43M
• Conventional perm. Loan $78M
• AHP(Affordable Housing Program) funds

6.23 BUDGET UPDATE-housing

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
 Unix Mix Overview & Affordability Level:
• 124 units
-31 3-bedrooms
-31 2-bedrooms
-48 1-bedrooms
-13 studios
-1 2-bedroom manager's unit
• Affordability levels in project (finalized for funding applications) *30% AMI (Area Medium Income- 32k-$46K/yr)
-27 units (22% of total units) will be 30% of AMI
-Rents range from $749-$1,068/month
*50% AMI ($54K-$77K/yr)
-80 units (65% of total units) will be 50% of AMI
-Rents range from $1,294-$1,877/month
*60% AMI ($65K-$93K/yr)
-16 units (13% of total units) will be 60% of AMI
-Rents range from $1,566-$2,281/month

6.24 BUDGET UPDATE-parking
*Parking Financing – Based on Current Design of 243 parking spaces  Estimated Debt Service $1.1Mannually
 Estimated Financing amount needed for construction
$14.5M-reduced based on space count reduction
• Determine best financing options based on interest rate:
• Traditional Parking District Bonds Vs. Direct Loan Financing • Funding will be secured as design progress is made and construction timeline is determined at most affordable option • Debt service will be supported by:
• Existing Parking District Revenues
• Revenues from New Facility
• Financial model being updated, will be brought back to Council

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.25 BUDGET UPDATE-library

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT
 Received updated cost estimates on 100% DD Library TI Design  Base Estimate Down $625k from previous estimate
 100% DD Base + Alts is down $830k
 Base + Alts = $24,719,031, for Library TI (down from 50% DD estimate of $25,549,734)  Change in Building height on 1st floor primary driver of cost reduction

6.26 AGENDA
◼ Highlights of Recent Efforts to Date
◼ Update on Design & Community Feedback
◼ Farmers' Market Update
◼ Budget Updates
◼ Project Schedule Update
◼ Next Steps

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.27 PROJECT SCHEDULE UPDATE

CONSTRUCTION PHASE

2. Grading and Underground Utilities

3. Shell and Core Construction

1. Site Clearing

4. Interiors Construction

5. Site Work and Landscape

DESIGN & PERMITTING PHASE

3. Design Development

4. Construction Documents

2. Schematic Design

5. Entitlement

6. Permitting

7. Contractor Selection
Q4

TEAM BUILDING PHASE

2. AH Developer Selection

3. Master Architect Selection
Q1 Q2

1. Program Delivery Analysis

4. Communications Planning
2020 2021 2022
Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2
2023 2024 2025
Q3 Q4 Q1 Q2

1. Concept Design
We are here, expecting to move through
entitlement to the end of the year and begin
Construction Documents in Q1 2023

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.28 PROJECT SCHEDULE UPDATE

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.29 AGENDA
◼ Highlights of Recent Efforts to Date
◼ Update on Design & Community Feedback
◼ Farmers' Market Update
◼ Budget Update
◼ Project Schedule Update
◼ Next Steps

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.30 NEXT STEPS
 Project Design Application Planning Process
• Targeting December Council Meeting for Entitlements Approval  Begin Next Design Phases
 Finalize Farmers' Market MOU
 Finalize Farmers' Market Design at Lot 7
 2nd Project Community Meeting November
 Apply for Housing Funding January 2023

DOWNTOWN LIBRARY &

AFFORDABLE HOUSING PROJECT

6.31 DOWNTOWN LIBRARY
& AFFORDABLE HOUSING PROJECT
CITY COUNCIL UPDATE September 27, 2022

6.32 United Animal Ordinance
Animal Services and Regulations
in Santa Cruz County

ERIKA SMART

INTERIM GENERAL MANAGER
WWW.SCANIMALSHELTER.ORG

TODD STOSUY

FIELD SERVICES MANAGER
September 27, 2022

7.1 County of Santa Cruz
City of Capitola
City of Santa Cruz
City of Scotts Valley
City of Watsonville

MEMBER JURISDICTIONS
WWW.SCANIMALSHELTER.ORG 7.2
Unified Animal
Ordinance
Advantages

1. CREATES A UNIFORM

AND CONSISTENT

REGULATORY,

ENFORCEMENT, AND

APPEAL PROCESS

SCHEME THROUGHOUT
THE COUNTY.

2. RESULTS IN LESS

CONFUSION AND

INEFFICIENCIES FOR

SCCAS STAFF AND THE
PUBLIC.

WWW.SCANIMALSHELTER.ORG 7.3
Outreach conducted to obtain feedback
and address questions and concerns
Director to the Board of the California Rodeo
Watsonville Fairgrounds CEO and Board
Santa Cruz County Board of Supervisors
Members of:
• Farm Bureau
• Horseman’s Association
• Livestock Association
• 4-H Club
• Santa Cruz County Coalition of Family Farms and Homesteads WWW.SCANIMALSHELTER.ORG 7.4
General Provisions
Chapter 6.04 (General Provisions)
Adds sections relating to:
• Interference with an animal control officer in the performance of their duties.
• Staking out or tying an animal.
• Keeping animals with communicable diseases.
• Maintenance of fowl, goats, rabbits, and guinea pig.
• Spaying or neutering of adopted animals.

WWW.SCANIMALSHELTER.ORG 7.5
Licensing &
Regulations of
Animal Breeding
Chapter 6.08 (Licensing)
• Adds an animal facility license and male Old English Game, male Game Bird or male Game Cock facility license to the code.
• Adds non-commercial rabbits to microchip section.

Chapter 6.10 (Regulations of Animal Breeding)
• Amended to include non-commercial rabbits.
• Adds requirements on the care of feral cats.

WWW.SCANIMALSHELTER.ORG 7.6
Animal Control
Chapter 6.12 (Animal Control)
Adds sections relating to:
• Tethering dogs.
• Safety requirements for animals in parked motor vehicles. • Dead animals in public places.
• Animal Control Officers present at rodeos and similar events. • Food poisoning of animals.
• Injuring wildlife.
• Restrictions on male Old English Game, male Game Bird or male Game Cock. • More enforceable excessive animal noise section.

WWW.SCANIMALSHELTER.ORG 7.7
Wild & Dangerous
Animals
Chapter 6.14 (Waterfowl & Pigeons)
Adds regulations concerning the feeding, sale
and release of waterfowl and pigeons.

Chapter 6.17 (Wild Rodents & Vermin)
Adds prohibiting the feeding of wild rodents
and vermin.

Chapter 6.19 (Regulation of Dangerous
Animals)
Adds new standalone chapter to address the
regulation of dangerous animals.

WWW.SCANIMALSHELTER.ORG 7.8
Administrative
Appeals
Chapter 6.26 Administrative Appeals
Adds new chapter to address appeals:
• Appeal provisions set forth in other chapters have been removed and consolidated here.
• Appeal provisions have been updated to provide for administrative appeals before hearing officers rather than the Animal Nuisance Abatement Appeals Commission.
• Addresses costs for administrative appeals.

WWW.SCANIMALSHELTER.ORG 7.9
Recommendations
Consider and approve the United Animal Ordinance
to create a uniform and consistent regulatory,
enforcement, and appeal process scheme
throughout the entire County.

WWW.SCANIMALSHELTER.ORG 7.10
Thank You!
Questions and Comments
Contact:

[email protected]
[email protected]
www.scanimalshelter.org
WWW.SCANIMALSHELTER.ORG 7.11
- Rob Oatey, Fire Chief

8.1 Objectives:
 Fire Prevention Practices
 Emergency Preparedness

8.2 Fire Prevention Week
October 9th – 15th, 2022

8.3 History of Fire Prevention Week
◼ Marks the anniversary of the Great Chicago
fire of October 8-9, 1871
◼ Since 1922, National Fire Protection Agency
(NFPA) has sponsored public observance of
Fire Prevention Week.
◼ In 1925 President Calvin Coolidge declared
Fire Prevention Week an official national
observance

8.4 History of Fire Prevention Week
◼ Observed annually on the Sunday through
Saturday containing October 9th anniversary
of the Chicago Fire
◼ Focus on fire safety awareness, sponsored by
NFPA

8.5 History of Fire Prevention Week

8.6 Fire Prevention Week - 2022
Theme 2022

8.7 Fire Prevention Week - 2022
“Fire won’t wait. Plan your escape.”
◼ Protect your loved ones. Plan your home fire
escape!
◼ Have a home fire escape plan for everyone in
your home. Some people may need help
waking up or getting outside. Plan for your
abilities!
◼ Different homes have different plans. Know
what to do and where to go if there is a fire!

8.8 Fire Prevention Week - 2022
“Fire won’t wait. Plan your escape.”
◼ Know at least two ways out of every room.
◼ Have a clear path to your exits!
◼ Have an outside meeting place a safe distance
form your home where everyone should
meet. Call 911!
◼ Practice your home fire drill at least twice a
year!

8.9 Fire Prevention Week - 2022
“Fire won’t wait. Plan your escape.”

8.10 Emergency Preparation
Make yourself and your family prepared for ANYTHING

8.11 Emergency Preparedness

8.12 Emergency Preparedness

8.13 Emergency Preparedness

8.14 Emergency Preparedness

8.15 Emergency Preparedness
 Create/join a neighborhood Firewise group
 Create/join a local Community Emergency Response Team (CERT)
 Sign up for notification service (CodeRED)
 Develop an evacuation plan
 Develop a family communication plan (single point of
contact)
 Evaluate your home/property for potential hazards and utility controls
 Create a “GO Bag” for home, office, car(s) (i.e. first aid kit, clothes, medications, documents, food/water, flashlight, AM/FM radio)

8.16 CodeRED
Sign up for alerts by visiting
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8.17 Firewise

8.18 Questions

8.19 Meeting Type
Holiday
Jewish Holiday
Regular Meeting
Special Meeting
Study Session (will be added as scheduled)
Budget Hearing
DATE Location Meeting Type
October 4/5
Council Chambers/Zoom Closed Session ‐ Closed to the Public Council Chambers/Zoom Council Regular Meeting ‐ Open to the Public Council Chambers/Zoom Closed Session ‐ Closed to the Public Council Chambers/Zoom Council Regular Meeting ‐ Open to the Public November 11
Council Chambers/Zoom Closed Session ‐ Closed to the Public Council Chambers/Zoom Council Regular Meeting ‐ Open to the Public November 24
November 25
November 29 Council Chambers/Zoom Special Meeting ‐ Open to the Public December 18/19
Council Chambers/Zoom Closed Session ‐ Closed to the Public Council Chambers/Zoom Council Regular Meeting ‐ Open to the Public December 25
City Council Meeting Calendar for 2022
December 13
City Hall Closure ‐ Thanksgiving Day
City Hall Closure ‐ Day After Thanksgiving Day
Please note: Meeting times are not final and are likely to change City Hall Closure ‐ Veteran's Day (observed)
December 27 Meeting Cancelled ‐ CITY COUNCIL DARK
City Hall Closure ‐ Christmas Day
Hanukkah (City observed ‐  sundown to sundown)
Yom Kippur (City observed ‐  sundown to sundown)
November 15
October 11
October 25

9.1 Council Membership in City Groups and Outside Agencies (2022) Councilmembers may provide direction, request additional information or that a topic raised be agendized for future Council action. The Presiding Officer may request oral updates from Council Ad Hoc Committees.

City Council Standing Committees Councilmember Assigned Staff Community Programs Watkins, Brown, Kalantari-Johnson Tiffany Wise-West Public Safety Watkins, Golder, Cummings Emeline Nguyen
City Council Ad Hoc Committees Councilmember Assigned Staff Council Ad Hoc Budget and Revenue Committee Brown, Watkins, Brunner Laura Schmidt Oversized Vehicles Ordinance Ad Hoc Committee Golder, Kalantari-Johnson, Brunner Brian Borguno Charter Amendment Committee Meyers, Golder, Watkins
Beach Flats Parking Subcommittee Cummings, Brown, Brunner Brian Borguno Health in All Policies Committee Brunner, Kalantari-Johnson, Watkins Tiffany Wise-West External Governmental Agencies/ Intergovernmental
Coordinating Committees Councilmember Assigned Staff
Association of Monterey Bay Area Governments
(AMBAG)
Cummings, Brown (alternate) Lee Butler
City–Santa Cruz City Schools Committee Watkins, Golder, Kalantari-Johnson Tony Elliot City Select Committee Brunner Matt Huffaker
Library Financing Authority Brunner, Watkins (alternate) Matt Huffaker Homelessness 2x2 Committee Watkins, Brunner Lee Butler
Monterey Bay Air Resources District (City Nominee) Brown Tiffany Wise-West Central Coast Community Energy Policy Board
Central Coast Community Energy Operations Board
Meyers, Brunner (alternate)
Mark Dettle, Tiffany Wise-West (alternate)
Mark Dettle
Santa Cruz County Integrated Waste Management Local
Task Force
Golder, Cummings (alternate)
Bob Nelson, Leslie
O’Malley (staff
alternate)
Santa Cruz County Consolidated Redevelopment
Successor Agency Oversight Board
Meyers Bonnie Lipscomb
Santa Cruz Metropolitan Transit District Board (METRO) Meyers, Kalantari-Johnson Claire Gallogly Santa Cruz County Regional Transportation
Commission (RTC)
Brown, Golder (alternate) Nathan Nguyen
Claire Gallogly
(alternate)
Santa Cruz Mid-County Groundwater Agency Councilmember Meyers, Water Commissioner David Baskin, Water Commissioner Doug Engfer (alternate)
Rosemary Menard

10.1 External Governmental Agencies/ Intergovernmental
Coordinating Committees Councilmember Assigned Staff
Santa Margarita Groundwater Agency Water Commissioner Doug Engfer, Former Water Commissioner David Baskin (citizen alternate)
Rosemary Menard
Joint Powers Authorities/City Groups Staff Appointments Agency Contact Information Santa Cruz County Animal Services
Authority
Laura Schmidt, Bernie Escalante Santa Cruz County Animal Services Authority 2200 7th Avenue
Santa Cruz, CA 95062
https://www.scanimalshelter.org/
Santa Cruz Public Libraries Matt Huffaker Santa Cruz Public Libraries 117 Union Street
Santa Cruz, CA 95060
https://www.santacruzpl.org/
Santa Cruz Regional 9-1-1 Laura Schmidt Santa Cruz Regional 9-1-1 495 Upper Park Rd.

Santa Cruz, CA 95065
(831) 471-1000
External Community Organizations Councilmember/Staff Agency Contact Information Area Agency on Aging (AAA) Advisory
Council
Brown, Brunner (Council alternate), Rita
Hester (citizen alternate)
Seniors Council, Clay Kempf
234 Santa Cruz Ave.

Aptos, CA 95003
Phone: (831) 688-0400
Climate Action Task Force Cummings, Dr. Tiffany Wise-West (staff) Dr. Tiffany Wise-West [email protected]
Cowell Working Group Meyers, Tony Elliot (staff) CWG Facilitated by Save the Waves Criminal Justice Council Cummings, Kalantari-Johnson (alternate), Bernie Escalante
Criminal Justice Council of Santa Cruz County
[email protected]
Downtown Management Corporation Meyers, Cummings, Bonnie Lipscomb (staff) Downtown Management Corporation [email protected]
337 Locust Street,
Santa Cruz, CA 95060
Santa Cruz County Youth Action Network
Kalantari-Johnson
[email protected]
United Way of Santa Cruz County
4450 Capitola Rd, Ste 106
Capitola, CA 95010
Santa Cruz Community Farmers’ Market Watkins, Brunner (alternate) Bonnie Lipscomb (staff)
Mr. Nesh Dillon Executive Director SCCFM
P.O. Box 8189
Santa Cruz, CA 95061
Visit Santa Cruz County Watkins, Brunner, Bonnie Lipscomb (staff) Visit Santa Cruz County 303 Water Street, Suite 100
Santa Cruz, CA 95060
800-833-3494 or 831-425-1234
Community Action Board (CAB) Kalantari-Johnson, Eve Bertram, UCSC Professor (alternate)
Community Action Board of Santa Cruz
County, Inc.
406 Main St. STE 207
Watsonville, CA 95076
831-763-2147

10.2 MINUTES ARE UNOFFICIAL UNTIL APPROVED BY COUNCIL
City of Santa Cruz
809 Center Street
Santa Cruz, California 95060

MINUTES OF A CITY COUNCIL MEETING
September 13, 2022
12:30 PM
Mayor Brunner opened the City Council Closed Session at 12:31 p.m. in a public meeting in Council Chambers and Zoom, for the purpose of announcing the agenda, and receiving public testimony.

Roll Call

Present: Councilmembers Kalantari-Johnson, Golder, Brown, Meyers; Vice Mayor Watkins; Mayor Brunner.

Absent: Councilmember Cummings.

Staff: City Manager M. Huffaker, Assistant City Manager L. Schmidt, City Attorney T. Condotti, Director of Human Resources L. Murphy, Finance Director E. Cabell, Deputy City Clerk Administrator J. Wood, City Clerk Administrator B. Bush.

Closed Session
Mayor Brunner announced that given the current state of employee contract negotiations, that she was looking for a motion to add an urgency item to Closed Session agenda for discussion related to labor negotiations for all bargaining groups, as the need to discuss came up after the agenda packet was published.

MOTION: Councilmember Golder moved, seconded by Vice Mayor Watkins, to add Conference with Labor Negotiators (Government Code §54957.6) for all bargaining units as an urgency item to the Closed Session Agenda.

ACTION: The motion carried with the following vote.

AYES: Councilmembers Kalantari-Johnson, Golder, Meyers, Brown; Vice Mayor Watkins; Mayor Brunner.

NOES: None.

ABSENT: Councilmember Cummings.

DISQUALIFIED: None.

11.1 September 13, 2022 CITY COUNCIL MINUTES 6210
Public Comment
Mayor Brunner opened the public comment period at 12:33 p.m. The following people spoke:

Juan Molina spoke regarding item 1.

Brenda Whitley spoke regarding Conference with Labor Negotiators.

Unidentified person spoke regarding Conference with Labor Negotiators.

Eric Bumgarner spoke regarding Conference with Labor Negotiators.

Jeff Huff spoke regarding Conference with Labor Negotiators.

Unidentified person spoke regarding Conference with Labor Negotiators.

Andy Shatney spoke regarding Conference with Labor Negotiators.

Corinna Harrison spoke regarding Conference with Labor Negotiators.

Mayor Brunner closed the public comment period at 12:50 p.m.

Closed Session

1. Public Employee Performance Evaluation (Government Code §54957) City Manager

2. Conference With Legal Counsel – Liability Claims (Government Code §54956.95) Claimant: Brandon Michael Oldham
Claims against the City of Santa Cruz

3. Conference with Legal Counsel - Anticipated Litigation (Government Code §54956.9(d)(2))
Significant exposure to litigation (1 potential case to be discussed).

11.2 September 13, 2022 CITY COUNCIL MINUTES 6211
Closed Session (continued)
Conference with Labor Negotiators (Government Code §54957.6) SEIU Temporary Employees
SEIU Service Employees
Mid Managers, OE3
Supervisors, OE3
Fire Management
Fire, IAFF
Police Management
Police Officers Association
Executives
City Negotiator - Lisa Murphy
At this time, the meeting was closed to the public. (See page 6214 for a report on Closed Session.)

11.3 September 13, 2022 CITY COUNCIL MINUTES 6212
City of Santa Cruz
809 Center Street
Santa Cruz, California 95060

MINUTES OF A CITY COUNCIL MEETING
September 13, 2022
2:00 PM
Call to Order – Mayor Brunner called the meeting to order at 2:09 p.m. in Council Chambers.

Roll Call

Present: Councilmembers Kalantari-Johnson, Golder, Brown, Meyers; Vice Mayor Watkins; Mayor Brunner.

Absent: Councilmember Cummings.

Staff: City Manager M. Huffaker, Assistant City Manager L. Schmidt (via Zoom), City Attorney T. Condotti, Director of Public Works M. Dettle (via Zoom), Chief of Police B. Escalante (via Zoom), Director of Information Technology K. Morgan (via Zoom), Fire Division Chief R. Young (via Zoom), Water Director R. Menard (via Zoom), Building Maintenance Worker I A. Bryant, Sustainability and Climate Action Manager T. WiseWest, Deputy City Clerk Administrator J. Wood, City Clerk Administrator B. Bush.

Presentations

4. Mayoral Proclamation Declaring September as Childhood Cancer Awareness Month
Mayor Brunner read a proclamation declaring September as Childhood Cancer Awareness Month. Valeria Vasquez with Jacob’s Heart spoke.

5. Mayoral Proclamation Declaring September as Hispanic Heritage Month Mayor Brunner read a proclamation declaring September as Hispanic Heritage Month. Gabriela Cruz, Executive Director of Senderos, Isabel Contreras, Founder of Mi Gente, and Daniel Nane Alejandrez, Founder of Barrios Unidos, spoke.

11.4 September 13, 2022 CITY COUNCIL MINUTES 6213
Presentations (continued)

6. Mayoral Proclamation Declaring September 17, 2022 as “Senderos Fiestas Patrias Day”
Mayor Brunner read from a proclamation declaring September 17, 2022 as “Senderos Fiestas Patrias Day.”

7. Sister City Biarritz Mayoral Delegation Welcome and Proclamation Anita Wood, Chair of the Sister Cities Committee, and Doug Hull, Chair of the Biarritz Subcommittee, introduced the Mayor and delegates from Biarritz, France. Mayor Brunner read from a proclamation welcoming the delegates to Santa Cruz.

8. Mayoral Proclamation Declaring August 21st as Ron Inouye Retirement Day Mayor Brunner read a proclamation declaring August 21st as Ron Inouye Retirement Day.

9. Mayoral Proclamation Declaring August 20th as Matthew Mulvihill Retirement Day
Mayor Brunner read a proclamation declaring August 20th as Matthew Mulvihill Retirement Day.

10. Mayor's Cup - Beach Clean-up Award
Building Maintenance Worker I A. Bryant spoke and presented the Beach Cleanup Award to Councilmember Golder.

Presiding Officer's Announcements
Statements of Disqualification – None.

Additions and Deletions – None.

11.5 September 13, 2022 CITY COUNCIL MINUTES 6214
City Attorney Report on Closed Session
Conference with Labor Negotiators (Government Code §54957.6) SEIU Temporary Employees
SEIU Service Employees
Mid Managers, OE3
Supervisors, OE3
Fire Management
Fire, IAFF
Police Management
Police Officers Association
Executives
City Negotiator - Lisa Murphy
Council received a status report from and gave direction to the City Negotiator, and took no reportable action.

Public Employee Performance Evaluation (Government Code §54957) City Manager
Council received a status report and took no reportable action.

Conference With Legal Counsel – Liability Claims (Government Code §54956.95) Claimant: Brandon Michael Oldham
Claims against the City of Santa Cruz
Council received a status report, took up under agenda item 20, and took no reportable action.

Conference with Legal Counsel - Anticipated Litigation (Government Code §54956.9(d)(2))
Significant exposure to litigation (1 potential case to be discussed).

Council received a status report and took no reportable action.

11.6 September 13, 2022 CITY COUNCIL MINUTES 6215
City Manager Report

11. The City Manager provided a report and updates on the City's business and events of interest.

City Manager M. Huffaker provided updates on the Live Oak Library reopening, the San Lorenzo Park restoration and Benchlands closure, the Objective Standards amendments, the District and At-Large Mayor election in November, upcoming community meetings, and the status of the Loch Lomond Reservoir.

Council Meeting Calendar

12. The City Council reviewed and did not revise the meeting calendar attached to the agenda.

City Clerk Administrator B. Bush reminded Council and staff of the special meeting scheduled for Thursday, September 22nd.

Consent Agenda
Councilmembers Brown and Golder and Vice Mayor Watkins commented on item 16.

Mayor Brunner opened the public comment period. There were no speakers. Mayor Brunner closed the public comment period.

MOTION: Vice Mayor Watkins moved, seconded by Councilmember Brown, to approve the Consent Agenda.

ACTION: The motion carried with the following vote.

AYES: Councilmembers Kalantari-Johnson, Golder, Brown, Meyers; Vice Mayor Watkins; Mayor Brunner.

NOES: None.

ABSENT: Councilmember Cummings.

DISQUALIFIED: None.

13. Resolution Authorizing the City to Continue Teleconferenced Public Meetings Pursuant to Assembly Bill 361 (CA)
Resolution No. NS-30,035 was adopted authorizing legislative bodies of the City of Santa Cruz to continue the use of teleconferenced meetings pursuant to Assembly Bill 361.

11.7 September 13, 2022 CITY COUNCIL MINUTES 6216
Consent Agenda (continued)

14. Resolution Amending the 2022 Council Meeting Calendar (CC) Resolution No. NS-30,036 was adopted amending the 2022 Council meeting calendar to cancel the November 8th and 22nd regular meetings and add November 15th as a regular meeting, and rescinding Resolution No. NS-29,895.

15. Minutes of the August 23, 2022 City Council Meeting (CC) Motion carried to approve as submitted.

16. Resolution Supporting Local Measures K (Santa Cruz High School District Bond) and Measure L (Santa Cruz Elementary School Bond) on the November 8, 2022 Ballot (CN)
Resolution No. NS-30,037 was adopted supporting local Measures K (Santa Cruz High School District Bond) and Measure L (Santa Cruz Elementary School Bond) on the November 8, 2022 ballot.

17. Support for California Proposition 1, Right to Reproductive Freedom Amendment (CN)
Motion carried to:
 Adopt Resolution No. NS-30,038 expressing the Santa Cruz City Council’s support and endorsement of California Proposition 1, Right to Reproductive Freedom Amendment; and
 Authorize the Mayor to send a letter to state legislators on behalf of the City Council in support of California Proposition 1.

18. Skypark Sidewalk Easement – Authorization of Grant to the City of Scotts Valley (ED)
Resolution No. NS-30,039 was adopted authorizing the City Manager to negotiate and execute a grant of easement and agreement in a form approved by the City Attorney, to the City of Scotts Valley for sidewalk purposes at Cityowned property known as Skypark (APN 022-721-09).

11.8 September 13, 2022 CITY COUNCIL MINUTES 6217
Consent Agenda (continued)

19. Cal Fire Vegetation Management - Grant Acceptance, Authorization, and Appropriation (FD)
Motion carried to:
 Adopt Resolution No. NS-30,040 authorizing the City Manager to apply for, accept, and appropriate funds from the Cal Fire Vegetation Management Grant to conduct vegetation management activities in the Moore Creek/Highway 9 Corridor; and
 Adopt Resolution No. NS-30,041 amending the FY 2023 budget to appropriate a $150,000 grant from CalFire's Vegetation Management Program and hire a contractor to perform vegetation management activities.

20. Liability Claim Filed Against the City of Santa Cruz (FN) Motion carried to reject the liability claim of Brandon Michael Oldham, based on staff recommendation.

21. Caterpillar 930M Wheel Loader – Award Contract (PW) Motion carried to award a contract for the 48-month lease to purchase agreement of one new 930M Wheel Loader from Peterson Cat (San Leandro, CA) in the amount of $214,050.

22. Highway Safety Improvement Program (HSIP) Cycle 11 Grant Applications (PW) Motion carried to authorize the City Manager to apply for, accept, and appropriate funds from the California Department of Transportation Highway Safety Improvement Program (HSIP) Cycle 11 for the projects proposed in this report.

11.9 September 13, 2022 CITY COUNCIL MINUTES 6218
Consent Agenda (continued)

23. Wastewater Treatment Facility UV Disinfection System Replacement Project (c401504) – Notice of Completion (PW)
Motion carried to accept the work of GSE Construction Company, Inc. (Livermore, CA) and authorize the filling of the Notice of Completion for Wastewater Treatment Facility UV Disinfection System Replacement Project (c401504).

24. Water Supply Augmentation Planning (WT)
Motion carried authorizing the City Manager to execute the Fourth Amendment to the Professional Services Agreement for Phase 2 Recycled Water Facility Planning Study in the amount of $358,282 with Kennedy Jenks Consultants (San Francisco, CA) in a form to be approved by the City Attorney.

End Consent Agenda
General Business

25. Parks and Recreation Commission Appointment (CC)
City Clerk Administrator B. Bush spoke.

Mayor Brunner opened the public comment period. There were no speakers.

Mayor Brunner closed the public comment period.

Councilmember Kalantari-Johnson nominated Jorge Leonardo Cruz.

By consensus, Jorge Leonardo Cruz was appointed to the Parks and Recreation Commission, with a term ending January 31, 2024.

11.10 September 13, 2022 CITY COUNCIL MINUTES 6219
Public Hearing

26. Adoption of the Climate Action Plan 2030 (CM)
Sustainability and Climate Action Manager T. Wise-West gave a presentation and responded to Councilmember questions.

Mayor Brunner opened the public comment period. The following people spoke.

Unidentified person
Unidentified person
Unidentified person
Susan Cavalieri
James Mulherin
Unidentified person
Elise Casby
John Golder
Unidentified person
Unidentified person
Beverly Deschaux
Candace Brown
Jennie Dusheck
Mayor Brunner closed the public comment period.

MOTION: Councilmember Meyers moved, seconded by Vice Mayor Watkins, to adopt Resolution No. NS-30,042 adopting the Initial Study/Negative Declaration and approving the Climate Action Plan 2030 including the California Environmental Quality Action (CEQA) Project Review Checklist.

ACTION: The motion carried with the following vote.

AYES: Councilmembers Kalantari-Johnson, Golder, Brown, Meyers; Vice Mayor Watkins; Mayor Brunner.

NOES: None.

ABSENT: Councilmember Cummings.

DISQUALIFIED: None.

Recess - The City Council recessed at 4:50 p.m. to the 5:30 p.m. session.

11.11 September 13, 2022 CITY COUNCIL MINUTES 6220
City Council
5:30 PM
Call to Order – Mayor Brunner called the meeting to order at 5:30 p.m. in Council Chambers.

Roll Call

Present: Councilmembers Kalantari-Johnson, Golder, Brown, Meyers; Vice Mayor Watkins; Mayor Brunner.

Absent: Councilmember Cummings.

Staff: City Manager M. Huffaker, City Attorney T. Condotti, Assistant City Manager L. Schmidt (via Zoom), Director of Planning and Community Development L. Butler (via Zoom), Business Liaison R. Unitt (via Zoom), Deputy City Clerk Administrator J. Wood, City Clerk Administrator B.

Bush.

Oral Communications Announcement - The Mayor provided a brief announcement about Oral Communications.

Oral Communications
At 5:32 p.m. Mayor Brunner opened Oral Communications for members of the public who wished to speak regarding items not listed on the City Council agenda.

Unidentified person spoke regarding 333 Locust Street, which was agendized at an August meeting.

Unidentified person spoke regarding speaking time and feels flying the queer flag is a misuse of public property.

Unidentified person spoke, requesting that Council extend the temporary outdoor dining permits.

Ian McCrae spoke, requesting the outdoor dining permits be extended.

Curtis Rutherford spoke about the services he provides the community and how he is being harassed.

Nathan Van Zandt spoke, requesting Council agendize extending the outdoor dining spaces.

11.12 September 13, 2022 CITY COUNCIL MINUTES 6221
Oral Communications (continued)
Max Turigliatto spoke regarding the temporary outdoor dining permits.

Unidentified person spoke regarding the Benchlands encampment.

Elise spoke regarding the Benchlands encampment.

Brandon Padilla spoke regarding outdoor dining in Santa Cruz, requesting Council extend the temporary permits.

At 5:55 p.m. Mayor Brunner closed Oral Communications.

Business Liaison R. Unitt responded to Councilmember questions.

Public Hearing

27. Amendments to Municipal Code Titles 6, 12, 13, 15, 16 and 24 Related to Objective Development Standards for Multi-Family Housing, New Mixed Use Zoning Districts, Development Review Process Changes, Street Trees, Right-ofWay Improvements, and the Water Efficient Landscape Ordinance; Associated Updates to the Zoning Map; and Establish In-Lieu Fees for Street Tree Removals (File No. FP20-0002) and Additional Modifications to Municipal Code Title 24 to Clarify and Update Various Code Sections, Remove Obsolete Sections and References, Streamline Application Processes, and Bring the Zoning Ordinance into Conformity with State Law (File Nos. A22-0002 and A22-0003) (PL) MOTION: Councilmember Brown moved, seconded by Mayor Brunner, to continue this item after the next City Council is seated, and to:
1) Direct staff to return at the time this item is considered with draft ordinance amendments to Section 24.12.185 to include the following provisions:
 There should be no Design Permit public hearings for projects proposing no variation from Objective Standards only for projects for 25 units or less.
 A Zoning Administrator hearing shall be required for projects from 26 to 50 units and no more than five variations.
 A Planning Commission hearing shall be required for projects with over 50 units or more than 5 variations.

11.13 September 13, 2022 CITY COUNCIL MINUTES 6222
Public Hearing (continued)

27. Amendments to Objective Standards (File Nos. A22-0002 and A22-0003) (PL) (continued)
MOTION (continued):
2) Direct staff to return at the time this item is considered with draft ordinance amendments to require that for all zoning districts proposed for amendments, approval by right for housing and mixed-use projects will be allowed only for developments with 3 to 50 units. A special use permit shall be required for all developments over 50 units.
3) Direct staff to return at the time this item is considered with draft ordinance amendments for Section 24.16.020 to add the following:
a. Projects with a base density of 50 or more units shall have a 25% inclusionary requirement.
b. Projects with a base density of 100 or more units shall have an inclusionary requirement of 30%.
4) Direct staff to coordinate a series of public meetings to consider different components of the Objective Standards before making a final decision on the recommended ordinance amendments.

Mayor Brunner opened the public comment period. The following people spoke.

Unidentified person
Unidentified person
John Golder
Candace Brown
Bryan Shields
Unidentified person
James Hollomon
Mayor Brunner closed the public comment period.

Director of Planning and Community Development L. Butler responded to Councilmember questions.

11.14 September 13, 2022 CITY COUNCIL MINUTES 6223
Public Hearing (continued)

27. Amendments to Objective Standards (File Nos. A22-0002 and A22-0003) (PL) (continued)
ACTION: The motion failed with the following vote.

AYES: Councilmember Brown.

NOES: Councilmembers Kalantari-Johnson, Golder, Meyers; Vice Mayor Watkins; Mayor Brunner.

ABSENT: Councilmember Cummings.

DISQUALIFIED: None.

MOTION: Vice Mayor Watkins moved, seconded by Councilmember Golder, to continue this item to a date certain on November 15, 2022.

ACTION: The motion carried with the following vote.

AYES: Councilmembers Kalantari-Johnson, Golder, Meyers; Vice Mayor Watkins; Mayor Brunner.

NOES: Councilmember Brown.

ABSENT: Councilmember Cummings.

DISQUALIFIED: None.

Adjournment - The City Council adjourned at 6:35 p.m.

Respectfully Submitted:

Julia Wood, Deputy City Clerk Administrator
Attest:

Bonnie Bush, City Clerk Administrator
Approved:

Sonja Brunner, Mayor

11.15 City Council

AGENDA REPORT
DATE: 09/13/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Finance
SUBJECT: Liability Claims Filed Against the City of Santa Cruz (FN) RECOMMENDATION: Motion to reject the liability claims of a) Jose A. Talamantes Haro and b) Serafin G. Ruiz, based on staff recommendation.

DISCUSSION: I. Claims to be rejected:
a. Claimant: Jose A. Talamantes Haro
Date of occurrence: 3/26/2022
Date of claim: 8/16/22
Amount of claim: Unspecified
Claimant seeks compensation for damages to his vehicle and compensation for injuries allegedly caused by an accident involving a City employee.

Represented by legal counsel
b. Claimant: Serafin G. Ruiz
Date of occurrence: 4/15/22
Date of claim: 8/16/22
Amount of claim: $7,780.00
Claimant seeks reimbursement for expenses related to their main water line which was allegedly damaged by a water meter replacement.

Represented by legal counsel
FISCAL IMPACT: No fiscal impact.

Prepared By:

Ross Brandon
Risk & Safety Manager
Submitted By:

Elizabeth Cabell
Finance Director
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

None.

12.1 City Council

AGENDA REPORT
DATE: 09/19/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Human Resources
SUBJECT: Fire Management Employee Association Tentative Agreement for a Successor Memoranda of Understanding (HR)
RECOMMENDATION: Resolution adopting a tentative agreement with the Fire Management Employee Association.

BACKGROUND: The Memorandum of Understanding (MOU) with the Fire Management Employee Association (Union) will expire on September 30, 2022. The Union and the City have met and conferred in good faith according to the Meyers-Milias-Brown Act regarding wages, hours, and other terms and conditions of employment.

DISCUSSION: The Union and the City have been meeting and conferring on a successor MOU. As a result the Union and the City have reached a Tentative Agreement on a successor MOU for a term of three years with the following cost-of-living adjustments: 3.25% salary increase in year one with increases to longevity and the Division Chief salary schedule, 3% salary increase in year two and a 5% salary increase in year three. For Council approval is a summary of the Tentative Agreement reached with the Union. The total value of the agreement is equivalent to a 12% increase over three years.

The terms of the MOU will be implemented the October 1, 2022, with the final MOU to be brought before the City Council for adoption at a later meeting.

FISCAL IMPACT: Additional appropriations in FY 2023 are not anticipated to be needed.

Year 2 and Year 3 expenditures will be included in future budgets.

Prepared/Submitted By:

Lisa Murphy
Deputy City Manager/Human
Resources Director
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. RESOLUTION.DOCX

2. TENTATIVE AGREEMENT.PDF

13.1 RESOLUTION NO. NSRESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA CRUZ APPROVING A

TENTATIVE AGREEMENT WITH THE FIRE MANAGEMENT EMPLOYEE

ASSOCIATION
WHEREAS, representatives of the City of Santa Cruz and Fire Management Employee Association (Union) have met and conferred in good faith to bargain for successor agreement; and
WHEREAS, the Tentative Agreement with the Union has been entered into by the respective parties and duly ratified by the Union’s members; and WHEREAS, the terms of the Tentative Agreement are attached as Exhibit A.

NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Cruz, that the City Council hereby approves the Tentative Agreement for the Fire Management Employee Association effective October 1, 2022.

BE IT FURTHER RESOLVED that the City will prepare the Memorandum of Understanding to include the Tentative Agreement and bring it before the City Council for adoption at a later City Council meeting.

PASSED AND ADOPTED this 27th day of September, 2022, by the following vote:

AYES:

NOES:

ABSENT:

DISQUALIFIED:

APPROVED_________________________
Sonja Brunner, Mayor
ATTEST:___________________________
Bonnie Bush, City Clerk Administrator

13.2

RESOLUTION NO.

EXHIBIT A

TOTAL TENTATIVE AGREEMENT BETWEEN

CITY OF SANTA CRUZ

AND FIRE MANAGEMENT ASSOCIATION

FOR A SUCCESSOR MOU
IN ACCORDANCE WITH GROUND RULE 7
September 14, 2022
Item Proposal MOU Section
Term
The City proposes a 3 year (3) year Term
effective October 1, 2022 through October 10,
2025 (or the first day of the pay period after
Council approves an MOU in open session,
whichever is later)
Section 1.00
Structural compensation
increases
Effective October 1, 2022, or the first day of the
pay period after Council approves an MOU in open
session, whichever is later, a 3.25% COLA
Effective September 30, 2023, the Fire
Management Association members will receive a
3% COLA.

Effective September 28, 2024, the Fire
Management Association members will receive a
5% COLA.

Effective October 1, 2022, or the first day of the
pay period after Council approves an MOU in open
session, whichever is later, Division Chiefs will
receive an additional 2% salary increase.

Section 12.03
Longevity Effective October 1, 2022, or the first day of the pay period after Council approves an MOU in open
session, whichever is later, upon completion of 17
years of continuous regular service, employees
shall receive an additional 2% longevity pay. Upon
completion of 22 years of continuous regular
service, employees shall receive an additional 2%
longevity pay.

Section 12.06
Bilingual Pay Effective October 1, 2022, or the first day of the pay period after Council approves an MOU in open
session, whichever is later, a 2% of base salary
bilingual pay when the city certifies an employee
as qualified, and the position requires the use of
bilingual language skills.

13.3

Salary Rates Upon
Appointment
Incorporating Side Letter 7/8/2009
Promoted employees shall receive a minimum six
percent (6%) increase. If such increase does not result in them being placed at least at the first step of the new classification’s salary range they will be placed at the first step of the new classification’s salary range. If such increase results in them being placed within the salary range of the new classification but between existing
steps, they will be placed at the next higher step in the new range.

Section 12.01.01
Sick Leave Incentive
Program
The City would like to meet at a future date to
address the Constructive Receipt issue in a
separate proposal.

Section 14.04
Operational
Compensation/Emergency
Callback
Effective October 1, 2022, or the first day of the
pay period after Council approves an MOU in open
session, whichever is later, Battalion Chiefs, and
Division Chiefs may choose, in lieu of operational
compensation payment to have operational
compensation hours worked converted to a
compensatory time bank at an equal rate of time
for the hours worked. Employees compensatory
time bank shall not exceed 120 hours. The use of
compensatory time off shall be in accordance with
fire department policy 4-13 vacation selection
process for shift personnel. Employees must
receive payment for all accrued and unused
compensatory time at the time of employment
separation or at the end of each calendar year
Section 12.05
Clean-up language The City will propose non-substantive changes to update MOU.

Various
Tentative Agreements This agreement includes all signed Tentative Agreements.

Various
Date: ___________________ Date: ____________________
__________________ _________________________
Tim Davis Robert Davis, President
City of Santa Cruz Fire Management
_______________________ _________________________
Lisa Murphy, Human Resources Director Robert Young

13.4 City Council

AGENDA REPORT
DATE: 09/15/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Human Resources
SUBJECT: City of Santa Cruz Firefighters IAFF Local 1716 Tentative Agreement for a Successor Memoranda of Understanding (HR)
RECOMMENDATION: Resolution adopting a tentative agreement with the City of Santa Cruz Firefighters IAFF Local 1716.

BACKGROUND: The Memorandum of Understanding (MOU) with City of Santa Cruz Firefighters IAFF Local 1716 (Union) will expire on September 16, 2022. The Union and the City have met and conferred in good faith according to the Meyers- Milias-Brown Act regarding wages, hours, and other terms and conditions of employment.

DISCUSSION: The Union and the City have been meeting and conferring on a successor MOU. As a result the Union and the City have reached a Tentative Agreement on a successor MOU for a term of three years with the following cost-of-living adjustments: 3.43% salary increase, a $50 per pay period contribution to a retiree health trust, and including various increases to the Marine Safety Officer classification, 3% salary increase in year two and a 5% salary increase in year three. The total value of the agreement is equivalent to a 12% increase over three years.

For Council approval is a summary of the Tentative Agreement reached with the Union. The terms of the MOU will be implemented the September 17, 2022, with the final MOU to be brought before the City Council for adoption at a later meeting.

FISCAL IMPACT: Additional appropriations in FY 2023 are not anticipated to be needed.

Year 2 and Year 3 expenditures will be included in future budgets.

Prepared/Submitted By:

Lisa Murphy
Deputy City Manager/Human
Resources Director
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. RESOLUTION.DOCX

2. TENTATIVE AGREEMENT.PDF

14.1 RESOLUTION NO. NSRESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA CRUZ APPROVING

A TENTATIVE AGREEMENT WITH THE CITY OF SANTA CRUZ FIREFIGHTERS IAFF LOCAL 1716
WHEREAS, representatives of the City of Santa Cruz and City of Santa Cruz Firefighters IAFF Local 1716 (Union) have met and conferred in good faith to bargain for successor agreement; and
WHEREAS, the Tentative Agreement with the Union has been entered into by the respective parties and duly ratified by the Union’s members; and WHEREAS, the terms of the Tentative Agreement are attached as Exhibit A.

NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Cruz, that the City Council hereby approves the Tentative Agreement for the Fire Management Employee Association effective September 17, 2022.

BE IT FURTHER RESOLVED that the City will prepare the Memorandum of Understanding to include the Tentative Agreement and bring it before the City Council for adoption at a later City Council meeting.

PASSED AND ADOPTED this 27th day of September, 2022, by the following vote:

AYES:

NOES:

ABSENT:

DISQUALIFIED:

APPROVED_________________________
Sonja Brunner, Mayor
ATTEST:___________________________
Bonnie Bush, City Clerk Administrator

14.2 14.3

14.4 14.5
City Council

AGENDA REPORT
DATE: 09/15/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Human Resources
SUBJECT: Executive Employees Compensation and Benefits Plan (HR) RECOMMENDATION: Resolution adopting the Compensation and Benefits Plan for Executive Unrepresented Employees.

BACKGROUND: The Compensation and Benefits Plan establishes the compensation, benefits, and terms and conditions of employment for Executive Unrepresented Employees (Executives).

The Executive group are at-will, are exempt from the Fair Labor Standards act, and serve at the pleasure of the City Manager.

DISCUSSION: Consistent with tentative agreements reached with Firefighters IAFF Local 1716 and Fire Management Association, for Council approval is a three-year agreement for compensation increases for the Executives. The increases are as follows: year one a 4% salary increase; year two a 3% salary increase, and in year three a 5% salary increase. In addition, the Police and Fire Chiefs, when promoting from within, have to pay more towards PERS. In an effort to rectify this issue, both will be brought to parity with the other executives by contributing 12% towards PERS. Finally, to bring parity with the Fire Chief, the Police Chief longevity schedule will match the Fire Chief. The total value of the cost-of-living adjustments (COLAs) is twelve percent.

FISCAL IMPACT: Additional appropriations in FY 2023 are not anticipated to be needed.

Year 2 and Year 3 expenditures will be included in future budgets.

Report Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. RESOLUTION.DOCX

2. EXECUTIVES COMPENSATION PLAN.DOCX

15.1 RESOLUTION NO. NSRESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA CRUZ

APPROVING A COMPENSATION AND BENEFITS PLAN FOR EXECUTIVE

UNREPRESENTED EMPLOYEES
WHEREAS, the Executive Unrepresented Employees are at will, are exempt from the Fair Labor Standards act and serve at the pleasure of the City Manager; and WHEREAS, Title 2 of the California Code of Regulations, section 570.5 requires the governing body must approve and adopt a pay schedule detailing the pay rates for each position; and
WHEREAS, the Compensation and Benefits Plan has been entered into by the respective parties and agreed upon by the Executive Unrepresented Employees which lists all classifications, salaries and benefits; and
WHEREAS, the terms of the Compensation and Benefits Plan for salary increases are as follows: Year One a 4% salary increase; Year Two a 3% salary increase, and in Year Three a 5% salary increase and are attached as Exhibit A.

NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Cruz, that the City Council hereby approves Executive Employees Compensation and Benefits Plan effective October 1, 2022.

PASSED AND ADOPTED this 27th day of September 2022, by the following vote:

AYES:

NOES:

ABSENT:

DISQUALIFIED:

APPROVED_________________________
Sonja Brunner, Mayor
ATTEST:___________________________
Bonnie Bush, City Clerk Administrator

15.2 City of Santa Cruz
Compensation and Benefits Plan
Assistant City Manager, Department Directors,
Deputy City Manager, Chiefs of Police & Fire

Effective October 1, 2022
Purpose and Intent
This Compensation and Benefits Plan (Plan) is intended to establish compensation, benefits and terms and conditions of employment for Assistant City Manager, Deputy City Manager, Department Directors and the Chiefs of Police and Fire. The City Manager has the authority to hire the Assistant City Manager, Deputy City Manager, Department Directors and the Chiefs, and to adjust their compensation consistent with this Plan. These positions are exempt from the Fair Labor Standards Act (FLSA), are at will employees, serve at the pleasure of the City Manager and can be terminated with or without notice or cause and with no rights of appeal. 1) SALARY SCHEDULE
a) This Plan covers positions in the job classes and salary schedule set forth in Attachment A, incorporated in and made a part of this document.
b) Longevity: Directors, Assistant City Manager & Deputy City Manager: 2.5% base pay increase following 10 full years of employment. Police Chief: 2.5% completion of 10 years, 2% completion of 15 years, 2% completion of 20 years, and 2% completion of 25 years.

Fire Chief: 2.5% completion of 10 years, 2% completion of 15 years, 2% completion of 20 years and 2% completion of 25 years. It is understood that the longevity pay will be considered as “additional compensation” for the purposes of PERS and tax computations. 2) MANAGEMENT VACATION
In the first full pay period in January of each year, employees will be credited with 80 hours of vacation time. The ability to cash out vacation will be limited to 20 hours and shall occur in the last full pay period of December. Employees who do not use all of their Management Vacation prior to the first full pay period in January of each year will only be credited at the start of the subsequent year with sufficient hours to maintain an 80 hour balance. Upon separation, employees shall receive the value of their unused accrued management vacation. This benefit will be pro-rated for new hires. 3) VACATION
a) Vacation Accrual:

Years of Employment Vacation Hours
Up to five years 80 Hours
Six to ten years 120 Hours
Eleven years or more 120 Hours plus 8 hours for each year of service after 10 yrs. To a maximum of 160 hours
b) The City Manager has the authority to place a new employee at a specific accrual rate. c) Upon termination, payment will be made for all accumulated vacation to the separation date, at a rate equal to 100% of the current hourly pay rate.

15.3 Compensation and Benefits Plan 2
d) Vacation Cap: Accumulation of vacation time shall not exceed twice the annual rate of accrual without prior authorization. The vacation cap shall be extended to three times the annual rate, expiring on December 22, 2023.
4) SICK LEAVE
Sick leave will accrue at a rate of 8 hours per month. Assistant City Manager, Deputy City Manager and Department Directors are entitled to the same benefits as the MidManagement MOU Section 14.00. Police Chief is entitled to the same benefits as the Police Management MOU Section 11.00. Fire Chief is entitled to the same benefits as the Fire Management MOU Section 14.00.
5) OPTIONAL MANAGEMENT BENEFIT
The City will contribute $1,300 for employees with less than 10 years of service and $1,500 for employees with 10 or more years of service. Payment for this benefit shall be made on the last pay date in July of each year for the previous years’ service. In lieu of direct payment, employees may select one of the following options for use of this benefit: 1) payment to deferred compensation or 2) purchase of additional vacation leave, not to exceed the Vacation Accrual Limit. This benefit will be pro-rated for new hires and terminated employees.
6) VEHICLE ALLOWANCE
Employees shall receive a vehicle allowance in the amount of $107 per month. In lieu of a vehicle allowance, the City will provide the Fire Chief and Police Chief with a vehicle. 7) SPECIAL PROJECT/ASSIGNMENT PAY
A special project/assignment is a specific and unique assignment which exceeds the normally assigned duties and responsibilities of the employee’s job classification. An employee, so assigned by the City Manager, shall receive 5% of his/her base pay while actually working on the project or in the assignment. Special project pay does not affect, nor is it included in sick and vacation or other leaves of absence. These assignments will be included in PERS computations.
8) FLEXIBLE SPENDING ARRANGEMENT CONTRIBUTIONS
a) Employees are entitled to the same benefits as the Mid-Management MOU Section 16.00 – Benefits.
b) Medical & Dental: Employees are eligible to enroll in a CalPERS medical plan, Dental and Vision Plan. The City makes a contribution on behalf of each qualified employee based on 90% of the cost of the highest medical premium between the Blue Shield Access+HMO and PERSChoice PPO. Employees will make an additional contribution of $50.00 per pay period towards the cost of health care benefits. Vision & Dental: employees are entitled to the same benefits as the Mid-Management MOU Sections 16.02 & 16.03 c) Cash Out: Employees who can verify to the City’s satisfaction that: they have equivalent health coverage for medical, which will remain in effect until the next enrollment date; will receive $200 month.
9) FLEXIBLE SPENDING ACCOUNTS
The City offers a Healthcare Spending Account with an annual election limit of $2,400 and a Dependent Care Spending Account with annual election limit of $5,000.

15.4 Compensation and Benefits Plan 3
10) RETIREMENT
a) CalPERS Retirement Benefits for Classic Members:
i) Non-Sworn Tier 1: For all eligible employees hired on or before May 11, 2012: Benefit of 2.0% @ 55 with the single highest year option. The employee’s contribution amount is 12% of reportable salary (7% employee share + 5% employee paid employer share).

The employee contribution from pay is on a pre-tax basis pursuant to 414(h)(2). ii) Non-Sworn Tier 2: For all eligible employees hired on or after May 12, 2012, Benefit of 2% @ 60 with employees highest three year average. The employee’s contribution amount is 12% of reportable salary (7% employee share + 5% employee paid employer share). The employee contribution from pay is on a pre-tax basis pursuant to 414(h)(2).
iii) Police Sworn Tier 1: For all eligible employees hired on or before September 2, 2011:

Benefit of 3% @ 50 with the single highest year option. The employee’s contribution amount is 12% of reportable salary (9% employee share + 3% employee paid employer share). The employee contribution from pay is on a pre-tax basis pursuant to 414(h)(2).
iv) Police Sworn Tier 2: For all eligible employees hired on or after September 3, 2011:

Benefit of 3% @ 55 with the employees highest three year average. The employee’s contribution amount is 12% of reportable salary (9% employee share + 3% employee paid employer share). The employee contribution from pay is on a pre-tax basis pursuant to 414(h)(2).
v) Fire Tier 1: For all eligible employees hired on or before September 2, 2011: Benefit of 3% @ 50 with the single highest year option. The employee’s contribution amount is 12% of reportable salary, (9% employee share + 3% employee paid employer share). The employee contribution from pay is on a pre-tax basis pursuant to 414(h)(2). vi) Fire Tier 2: For all eligible employees hired on or after September 3, 2011: Benefit of 3% @ 55 with employees highest three year average. The employee’s contribution amount is 12% of reportable salary (9% employee share + 3%) employee paid employer share). The employee contribution from pay is on a pre-tax basis pursuant to 414(h)(2).
b) CalPERS: NEW Members:
i) Individuals that have never been a member of any public retirement system prior to January 1, 2013, or
ii) Individuals who moved between retirement systems with more than a six month break in service; and
iii) In compliance with the California Public Employees’ Pension Reform Act of 2013, (PEPRA), new members will receive a Local Miscellaneous benefit formula of 2% @ 62, Sworn/Safety (Police & Fire) will receive a benefit of 2.7% @ 57. Employees will contribute 50% of the normal cost as determined by CalPERS (12.25% for sworn and

6.75% for Misc.). Final compensation, for purposes of calculating the retirement benefit, is calculated on the highest average pensionable compensation earned by a member during a period of 36-consecutive months. This is also referred to as the 3- year average. The employee contribution from pay is on a pre-tax basis pursuant to 414(h)(2).

15.5 Compensation and Benefits Plan 4
In addition to the required employee contribution, Chief Police and Chief Fire Sworn members will contribute an additional 5.0%, and Miscellaneous will contribute an additional 5.0%.
11) HOLIDAYS
Eleven, eight (8) hour holidays and Two, four (4) hour holidays per calendar year as defined by the City Council. The four (4) hour holidays are granted only when Christmas Day or New Year’s Day is on a Tuesday-Saturday.

Accrual and Usage rules are in accordance with those in Section 12.00 of the midmanagement MOU. 12) FLOATING HOLIDAYS:

The Assistant City Manager, Deputy City Manager, Department Directors, and Chiefs shall accrue up to twenty-four hours of floating holidays per fiscal year in accordance with the Mid-Management MOU Section 12.02.
13) INSURANCE
The City provides long-term disability insurance as well as term life insurance in the amount of $25,000.

Adopted: 2/9/16
Amended: 6/28/16
Adopted: 10/8/19
Adopted: 10/1/2022

15.6 Compensation and Benefits Plan 5

ATTACHMENT A

ASSISTANT CITY MANAGER, DEPARTMENT DIRECTORS, DEPUTY

CITY MANAGER, CHIEFS OF POLICE & FIRE

JOB CLASSES AND SALARY SCHEDULE
EFFECTIVE OCTOBER 1, 2022
Positions & Salary Schedule Effective October 1, 2022
POSITION Minimum Maximum
Assistant City Manager $ 15,814 $ 20,182
Chief of Police $ 15,814 $ 20,182
Chief of Fire $ 15,814 $ 20,182
Director of Public Works $ 15,148 $ 19,327
Director of Water $ 15,148 $ 19,327
Director of Planning $ 14,418 $ 18,394
Director of Finance $ 14,418 $ 18,394
Director of Human Resources $ 14,418 $ 18,394
Director of Information Technology $ 14,418 $ 18,394
Director of Libraries $ 14,418 $ 18,394
Director of Parks & Recreation $ 14,418 $ 18,394
Director of Economic Development $ 14,418 $ 18,394
Deputy City Manager I $ 14,418 $ 18,394
Deputy City Manager II $ 15,148 $ 19,327
Salary: Cost of Living Adjustment (COLA)

1. COLA: Cost of Living Adjustment shall be as follows:
 Effective October 1 2022, employees will receive a cost of living increase of 4.0%  Effective September 30, 2023 employees will receive a cost of living increase of

3.0%.
 Effective September 28, 2024, employees will receive a cost of living increase of

5.0%.

P:\Labor Relations\Unions\Executives\2022_Santa Cruz Management Comp Plan.docx

15.7 City Council

AGENDA REPORT
DATE: 09/16/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Human Resources
SUBJECT: Mid-Management Association of the City of Santa Cruz Tentative Agreement for a Successor Memorandum of Understanding (HR) RECOMMENDATION: Resolution approving a tentative agreement with the MidManagement Association of the City of Santa Cruz effective September 17, 2022 through August 29, 2025.

BACKGROUND: The Memorandum of Understanding (MOU) with the Mid-Management Association (Union) expired on August 19, 2022. The Union and the City have met and conferred in good faith according to the Meyers- Milias-Brown Act regarding wages, hours, and other terms and conditions of employment. As a result the Union and the City have reached a Tentative Agreement on a successor MOU.

DISCUSSION: The Union and the City have been meeting and conferring on a successor MOU and have reached an agreement. In summary, the major terms of the new MOU include the following; three year term, with the following cost-of-living adjustments: a 4.0% in year one; 3% in year two and a 5% in year three.

FISCAL IMPACT: Additional appropriations in FY 2023 are not anticipated to be needed.

Year 2 and Year 3 expenditures will be included in future budgets.

Prepared/Submitted By:

Lisa Murphy
Deputy City Manager/Human
Resources Director
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. RESOLUTION.DOCX

2. TENTATIVE AGREEMENT - MID MANAGEMENT.PDF

16.1 RESOLUTION NO. NSRESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA CRUZ APPROVING A

TENTATIVE AGREEMENT WITH THE MID-MANAGEMENT EMPLOYEE

ASSOCIATION
WHEREAS, representatives of the City of Santa Cruz and Mid Management Employee Association (Union) have met and conferred in good faith to bargain for successor agreement; and WHEREAS, the Tentative Agreement with the Union has been entered into by the respective parties and duly ratified by the Union’s members; and WHEREAS, the terms of the Tentative Agreement are attached as Exhibit A; NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Cruz, that the City Council hereby approves the Tentative Agreement for the Mid Management Employee Association for a successor Memorandum of Understanding effective September 17 2022, expiring August 29, 2022.

PASSED AND ADOPTED this 27th day of September, 2022, by the following vote:

AYES:

NOES:

ABSENT:

DISQUALIFIED:

APPROVED: ______________________________
Sonja Brunner, Mayor
ATTEST: ________________________________
Bonnie Bush, City Clerk Administrator

16.2 16.3

16.4 City Council

AGENDA REPORT
DATE: 09/14/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Public Works
SUBJECT: Caterpillar 325 Excavator – Award Contract (PW) RECOMMENDATION: Motion to approve the purchase from the Refuse Fund of one Caterpillar 325 Excavator in the amount of $327,000.00 from Peterson Tractor Co. (San Leandro, CA).

BACKGROUND: The Public Works Department Resource Recovery Division has a vehicle replacement schedule built into the current refuse rates. This fiscal year one hydraulic excavator meets or exceeds the recommended replacement criteria and is programmed for exchange. This vehicle is a vital piece of equipment to the Recourse Recovery Facility (RRF).

DISCUSSION: The Santa Cruz RRF receives approximately 50,000 tons of refuse, 15,000 tons of fill material, 15,000 tons of wood and construction debris, and also excavates and processes approximately 20,000 cubic yards of native soil for Landfill operations every year. The hydraulic excavator is a very essential piece of equipment for the Landfill operations in allowing staff to safely generate garbage cover material, correcting steep slopes, building stockpiles, loading quarry trucks, and continued maintenance on methane pipes.

The existing excavator Cat 330C tractor was purchased in April 2003 and has approximately 6,205 hours. This tractor is a Tier Zero non-compliant emission motor and needs a complete rebuild on its hydraulic system. While the 10,000 hour point is a typical replacement time for heavy equipment, this machine has passed far beyond its life expectancy. The 325 excavator will be up fitted to handle the heavy construction needs of the waste industry. At this time, staff recommends replacing the 2003 Caterpillar 330C hydraulic excavator while it is still in working condition and has some residual trade-in value. Because this is an essential piece of equipment for daily Landfill operations, we need a reliable replacement as soon as possible.

Staff requests that City Council approve the purchase of a new Caterpillar 325 hydraulic excavator from Peterson Tractor of San Leandro, CA. Peterson has a new Caterpillar 325 hydraulic excavator with the features we need, available for delivery. The excavator in question is equipped with a Caterpillar automatic exhaust regeneration system, Tier 4 Final with 80% reduction in NOX emissions. This excavator includes a heavy duty undercarriage that is built to handle the waste industries harsh environment. This tractor will have an automatic engine idle shutdown system that significantly reduces idle time, overall operating hours and fuel consumption. Peterson Tractor’s service facility is capable of performing any repair or overhaul on any machine they represent and includes a 48 month/ 4,000 hour powertrain + hydraulics +

17.1 tech warranty. Since all other RRF heavy equipment is Caterpillar brand, the purchase of this 325 Excavator Hydraulic Caterpillar Excavator will make the servicing, maintenance, repairs and obtaining parts more efficient.

Section 3.08.170 of the Municipal Ordinance allows the City to use cooperative purchasing agreements when is in the best interest of the City to do so. The City is one of over 50,000 member agencies of Sourcewell (formally known as National Joint Powers Alliance, NJPA).

Sourcewell conducts national competitive solicitations for common products and is able to obtain greater discounts that the City could obtain on its own. The National Joint Powers Alliance (NJPA/SOURCEWELL) and the Caterpillar Governmental Merchandise Program (GMP) obtain competitively bid contracts which can be used by participating member municipal agencies, including the City. The quoted price for this excavator is $327,000 including the NJPA discount of 21% and the GMP discount of 3.4% off the Caterpillar list price, NJPA freight pricing, dealer prep, 4-year or 4,000-hour power train warranty and 9.25% sales tax.

FISCAL IMPACT: The full purchase price for the 325 excavator is $327,000, including sales tax. Funds for FY 2023 purchase of the RRF equipment are included in the approved Refuse Enterprise Fund budget. These funds are only available for use in the Refuse Fund activities.

There is no impact to the General Fund.

Prepared By:

Eduardo A. Silva
Resource Recovery
Supervisor, Landfill
Operations
Submitted By:

Mark R. Dettle
Director of Public Works
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. Meeting Date: - Agenda Item Caption: Caterpillar 325 Excavator – Award Contract (PW)

17.2 City Council

AGENDA REPORT
DATE: 09/14/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Public Works
SUBJECT: San Lorenzo River Lagoon Culvert Project Grant Forbearance Agreement (PW)
RECOMMENDATION: Motion to approve the Forbearance Agreement by and between the Resource Conservation District of Santa Cruz County and the City of Santa Cruz, which is a condition of the grant agreement funding the San Lorenzo River Lagoon Culvert Project (c601403), and authorize the City Manager to execute the agreement in a form approved by the City Attorney.

BACKGROUND: A number of factors over the past decades have increased the need to develop a comprehensive approach to better manage the flooding, environmental and public safety issues caused by high water levels in the lower San Lorenzo River (SLR) when the river mouth is shoaled (closed) in the summer and fall seasons.

Management of the river mouth is a complex issue due to the overlay of many factors including the number of regulatory agencies involved, the dynamic natural environment, water quality concerns, the significant biological habitat, localized flooding impacts and critical public safety concerns of beach goers. To address these competing factors the City of Santa Cruz (City) initiated creation of an Interim Management Program (IMP) in 2013 to develop a cohesive and science-based approach to managing the lagoon’s water level without the frequent need for mechanical breaching. The IMP was developed by the City in partnership with the regulatory agencies who have regulatory authority over the lagoon which include the California Department of Fish and Wildlife, the California Coastal Commission, the Army Corps of Engineers, the California Regional Water Quality Control Board, NOAA National Marine Fisheries and US Fish and Wildlife. The IMP and accompanying Mitigated Negative Declaration in accordance with CEQA was completed and adopted by the City Council at its meeting of June 9, 2015.

The centerpiece of the IMP is installation of a lagoon water height level control system in the form of a head-driven culvert (culvert). The culvert will allow the passive, continual slow draining of the lagoon’s water and will maintain a uniform water level during the summer and fall months of 5’ NGVD29 – a level which the agencies determined is protective of the habitat provided by the lagoon, but also is low enough as to prevent the majority of the flooding impacts caused by higher lagoon levels. The lagoon management actions and the culvert project received approval and permits from the regulatory agencies in 2015/2016 and again in 2022. The permitting agencies uniformly support the project and are invested in its construction, as the

18.1 culvert will provide fisheries habitat condition improvements by stabilizing the water surface levels and mostly eliminating the need for mechanical breaching of the lagoon.

At its meeting of March 14, 2017, the Santa Cruz City Council authorized acceptance of a grant from the Wildlife Conservation Board in the amount $459,000 to fund the San Lorenzo River Lagoon Culvert Project (c601403), approved design plans for the project, and authorized staff to bid the project. Subsequently, only one qualifying bid was received in the amount of $1,464,100, which was subsequently rejected and the grant award declined. The Public Works Department submitted a revised grant application to the Wildlife Conservation Board in 2018 in the amount of $2,215,000. The grant application reflected significant project design improvements. At its meeting of April 4th, 2019, the Wildlife Conservation Board’s Streamflow Enhancement Program approved the grant application and awarded the City of Santa Cruz the $2,215,000 grant (Grant). At its meeting of May 14, 2019 the City Council authorized the City Manager to accept the Grant.

At its meeting of June 23, 2020, the City Council approved the plans and specifications for the San Lorenzo River Lagoon Culvert Project, authorized staff to advertise for bids, authorized the City Manager to execute a contract, and authorized the Director of Public Works to execute change orders within the approved project budget. At its meeting of June 8, 2021, the City Council awarded the contract to Syblon Reid Engineering and construction is currently underway with completion expected in October of 2022.

DISCUSSION: An in-kind match condition of the Grant is the dedication of a total of approximately 0.5 cubic feet per second (cfs) of instream flows during the low flow season in two cold-water tributaries in the lower watershed (Pogonip and Redwood Creeks) to benefit anadromous salmonoid habitat. This dedication will involve the City of Santa Cruz riparian water rights and will be formalized via the 20-year forbearance agreement (Agreement) between the City of Santa Cruz and the Resource Conservation District (SCRCD). The SCRCD Board of Directors approved the Forbearance Agreement at its meeting of September 14, 2022. The Water Department shall provide the monitoring and reporting requirements included in the Agreement, the Parks Department shall provide access to the diversion points lands, and the Public Works Department shall implement and completion of the Grant Agreement.

FISCAL IMPACT: There is no impact to the General Fund.

Prepared By:

Scott Ruble
Principal Management
Analyst
Submitted By:

Mark R. Dettle
Director of Public Works
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. FORBEARANCE AGREEMENT.DOCX

18.2

AGREEMENT FOR THE FORBEARANCE OF WATER

IN THE POGONIP CREEK AND REDWOOD CREEK SYSTEMS

FOR FISHERIES ENHANCEMENT IN THE SAN LORENZO RIVER LAGOON

SANTA CRUZ, CALIFORNIA
THIS AGREEMENT is made and entered into as of this ___ day of __________, 2022, by and between the Resource Conservation District of Santa Cruz County (“RCD”) and the City of Santa Cruz (“City”) for the forbearance of use of decreed water in the Pogonip Creek and Redwood Creek systems.

RECITALS
WHEREAS, the City’s Water Department (“Water Department”) was formed to provide clean, safe and reliable drinking water to the residents of the City of Santa Cruz, and the Water Department’s Watershed Section and its Water Resources Management workgroup’s responsibilities include environmental regulatory compliance and natural resource management; and WHEREAS, the City of Santa Cruz has a long history of proactive natural resource stewardship, with watershed protection becoming an increasingly important part of the Water Department’s operations in the late 1990’s due to the 1996 amendments to the Safe Drinking Water Act and the Endangered Species Act listings of several local species such as steelhead, coho, tidewater goby and the California red-legged frog; and
WHEREAS, the Water Department’s Watershed Section oversees operations of the City’s nearly 4,000 acres of watershed lands and engages in natural resource management planning both within and beyond those limits to the extent that it supports the Department’s mission; and WHEREAS, Pogonip Creek and Redwood Creek are karst derived streams which originate and flow through Pogonip Open Space Preserve. Pogonip is a City-owned park which operates under the jurisdiction of the City’s Parks & Recreation Department (“Parks Department”).

WHEREAS, the City proposed to dedicate a total of approximately 0.5 cfs of summer instream flows in the Pogonip Creek and Redwood Creek cold water tributaries to the San Lorenzo River as part of its grant proposal to the California Wildlife Conservation Board (“WCB”) for the grant proposal titled “Addressing Limiting Factors in the San Lorenzo River Lagoon: A Bottom Up Approach to Enhancing Stream Flow” (the “Grant”); and
WHEREAS, the WCB accepted the City’s Grant proposal on April 4, 2019, and executed a Grant Agreement with the City on or about September 11, 2019 (“Grant Agreement”) a copy of which is attached hereto and incorporated herein by this reference as Exhibit A; and

18.3

WHEREAS, Paragraph 2 of the Work Plan in the Grant Agreement states:

As in-kind match for this Agreement Grantee [the City] will dedicate a total of approximately

0.5 cfs of instream flows during the low flow season in two important cold-water tributaries in the lower watershed (Pogonip and Redwood Creeks) to benefit anadromous salmonid habitat.

This dedication will involve the City of Santa Cruz’ riparian water rights and will be formalized via a 20-year forbearance agreement between the City of Santa Cruz and the Resource Conservation District of Santa Cruz County, or other eligible entity; and WHEREAS, Task 3.1 of the Grant Agreement:

Task 3.1 – Forbearance Agreement. Grantee [the City] will work with the Resource Conservation District of Santa Cruz County, or other eligible entity, to draft and enter into a forbearance agreement to voluntarily forbear diversion for a minimum of 20 years, a total of approximately 0.5 cfs of instream flows in Pogonip Creek and Redwood Creek during the low flow season (June – October); and
WHEREAS, task 3.2 of the Grant Agreement states:

Task 3.2. Monitoring of Instream Flows. Grantee [the City] will conduct all monitoring activities pertaining to the instream dedication, as outlined in the Project’s Monitoring, Assessment and Reporting Plan, including adding gaging locations on Pogonip and Redwood creeks and adding temperature data loggers upstream of Redwood Creek and downstream of Pogonip Creek on the mainstem of San Lorenzo River. Grantee [the City] will include a summary of instream flow monitoring activities, data collected, analysis and results/findings in the Post-Project Monitoring and Operational Report (refer to Task 1); and WHEREAS, the Grant Agreement requires that long-term maintenance and management of the various project components under the Grant will be conducted by the City Public Works Department, Water Department and/or the City Manager’s Office; and
WHEREAS, the RCD is a special district organized under state law, with no enforcement or regulatory functions, that works closely with individuals, groups and agencies to conserve and restore the County’s natural resources. The RCD has agreed to enter into this Forbearance Agreement to track the City’s compliance with the terms and conditions of the Grant Agreement.

NOW, THEREFORE, in consideration of the terms and conditions herein, the parties agree as follows:

18.4

AGREEMENT

1. Definitions.
a. “Forbearance Requirement” means the City’s agreement pursuant to the Grant Agreement to voluntarily divert, for a minimum of 20 years, a total of approximately

0.5 cfs of instream flows in Pogonip Creek and Redwood Creek during the low flow season (June 1st– October 31st). The parties acknowledge that instream flows might be slightly higher or lower in any given year depending on natural hydrologic variability.

b. “Monitoring and Reporting Requirements” means the City’s agreement pursuant to the Grant Agreement to monitor and report instream flow monitoring activities, data collected, analysis and results/findings as required by the Grant Agreement.

2. Term. The term of this Agreement shall commence on the date first noted above and shall end on December 31, 2042 unless earlier terminated as provided herein or amended pursuant to this Agreement. This Agreement may be renewed or extended by the parties by a written agreement.

3. Budget Contingency Clause. This Agreement is contingent upon the availability of sufficient funding from the funding sources, including the WCB and City for the services covered by this Agreement and the Grant Agreement. Should such funding become unavailable or be reduced, this Agreement may become null and void at the request of either party with no liability occurring to either party, provided however, no such termination shall take place in the event termination would violate the terms and conditions of the Grant Agreement.

4. City’s Obligations. The City shall, at its sole cost and expense, comply with the Forbearance Requirement and the Monitoring and Reporting Requirements set forth in in the Grant Agreement. Compliance with the Grant Agreement remains the sole responsibility of the City.

The RCD undertakes no responsibilities to the City or any third party, other than as expressly set forth in this Agreement.

5. Adaptive Management. The City acknowledges that Exhibit F to the Grant Agreement provides that if project objectives under the Grant Agreement are not being met, the City will take actions to adaptively manage the project in order to address obstacles or other barriers to success. In addition, the City will assume responsibility for locating additional funding sources, including potentially General Funds and Enterprise Funds, to complete the project and achieve project objectives as intended.

6. City Department Roles. The City’s Public Works Department shall have primary responsibility for facilitating implementation and completion of the Grant Agreement. The City’s Water

18.5

Department shall provide the monitoring and reporting requirements included in this Agreement, including reporting to the RCD and filing statements of use with the State Water Resources Control Board. The City’s Parks Department shall provide reasonable access to diversion points and lands for the limited purpose of ensuring the City’s compliance with this Agreement, including such access reasonably necessary for water monitoring and measurement activities.

7. RCD’s Responsibility. The RCD’s sole responsibility is to track the City’s compliance with the Forbearance Requirement and the Monitoring and Reporting Requirements under the Grant Agreement by accepting the following information from the City: Annually, prior to July 1st during the term of the Grant, the City shall provide a Statement of Water Diversion and Use to the State Water Resources Control Board with a copy to the RCD and the Instream Flow Dedication Monitoring Report. Annually, prior to July 1, the City shall certify in writing to the RCD that it has complied with the Forbearance Requirement and the Monitoring and Reporting Requirements for the previous year.

8. Compensation: The City is not required to pay the RCD for its tracking responsibility set forth above. However, the City and RCD agree to negotiate in good faith on RCD compensation if the RCD’s role expands over time beyond the RCD’s tracking responsibility described herein.

9. Termination. Either party may terminate this Agreement in the event that the other party fails to abide by the material terms and conditions of this Agreement or the Grant Agreement without taking action required under the Grant Agreement (Exhibit F) to adaptively manage the Project to address obstacles or other barriers to success. Prior to terminating this Agreement, the terminating party will provide the other party with written notice. If the RCD is the terminating party, it will provide the City with the opportunity to propose an adaptive management plan as contemplated under Exhibit F to the Grant Agreement. Any adaptive management plan proposed by the City must be approved by the WCB.

10. City Water Rights. This Agreement does not result in any waiver, relinquishment, modification, or change in the City water rights, except as expressly provided in the Grant Agreement.

11. Notices. All notices, approvals, acceptances, demands, or requests authorized or required under this Agreement, to be effective shall be in writing and shall be delivered by personal delivery or U.S. mail (first class postage prepaid), or by commercial overnight delivery to the party to whom the notice is directed at the address of such party as follows:

RCD:

Resource Conservation District of Santa Cruz County
Attn: Lisa Lurie
Executive Director

18.6

820 Bay Ave #136
Capitola, CA 95010

CITY OF SANTA CRUZ
City of Santa Cruz Water Department
Attn: Chris Berry
Watershed Compliance Manager
123 Jewell St.

Santa Cruz, CA 95060
WITH A COPY TO:

City of Santa Cruz Parks & Recreation Department
Attn: Tony Elliott
Director
323 Church Street
Santa Cruz, CA 95060

12. Indemnification. To the fullest extent permitted by law, the City shall indemnify, protect, and hold harmless the RCD, and its Board, officers, agents, employees and representatives, from and against any and all claims, demands, damages, losses, costs, expenses, and liability of any nature (Claims) arising out of or incident to the Agreement or the Grant Agreement and/or the City’s performance of, or failure to observe or perform, any obligations of this Agreement or the Grant Agreement.

13. Auditors. The auditors of the State of California have the right to examine the records of the RCD relating to this Agreement.

14. Successors and Assigns. The provisions of this Agreement shall apply to and bind the successors and assigns of the parties hereto. The City shall not make any assignment or transfer of this Agreement or any right or interest therein until approved in writing by the WCB and the RCD.

15. Amendment. This Agreement shall not be modified except in writing executed by the City and the RCD, with approval from the WCB.

16. Entire Agreement. This Agreement sets forth the entire agreement of the parties as to the transaction described herein.

17. Counterparts. The Parties may execute this Agreement in two or more counterparts, which shall, in the aggregate, be deemed an original but all of which, together, shall constitute one and the same instrument. A scanned, electronic, facsimile or other copy of a party’s signature shall be accepted and valid as an original.

18.7

18. Warranty of Authority. The signatories to this Agreement warrant and represent that each is authorized to execute this Agreement and that their respective signatures serve to legally obligate their respective representatives, agents, successors and assigns to comply with the provisions of this Agreement.

IN WITNESS THEREOF, the parties hereto have executed this Agreement as of the day and year first above written
Resource Conservation District of City of Santa Cruz
Santa Cruz County
___________________________ _________________________
Jim McKenna, Board President Matt Huffaker, City Manager

AGREE MENT APPROVE D AS
__________________________
City Atto rne y, City of Santa Cruz

18.8

EXHIBIT A

GRANT AGREEMENT ATTACHED

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18.11 18.12

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18.15 18.16

18.17 18.18

18.19 18.20

18.21 18.22

18.23 18.24

18.25 18.26

18.27 18.28

18.29 18.30

18.31 18.32

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18.35 18.36

18.37 City Council

AGENDA REPORT
DATE: 09/14/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Public Works
SUBJECT: Striping Improvements at Atlantic Avenue and La Fonda Avenue (m400029) (PW)
RECOMMENDATION: Motion to approve the design and installation of traffic striping at Atlantic Avenue (between Seabright Avenue and 4th Avenue) and La Fonda Avenue (between Holway Drive and Soquel Avenue).

BACKGROUND: Public Works staff regularly evaluate improvements that can be made as a component of the street reconstruction design process to the existing multi-modal system to improve access and safety for pedestrians, bicyclists, transit, and other roadway users. Many of the bike buffers, green markings, improved pedestrian islands and crossings on the roadways today are a result of this process.

Staff has evaluated the following locations for traffic striping improvements:
• Atlantic Avenue (between Seabright Avenue and 4th Avenue) • La Fonda Avenue (between Holway Drive and Soquel Avenue) DISCUSSION: Atlantic Avenue is a residential street that connects to Seabright Beach and Santa Cruz Harbor. Staff has received several requests from residents to reduce speeding and increase stop yield compliance. Staff has developed a striping improvement plan and is included in the attachments to this report.

La Fonda Avenue is a critical street as it connects to Harbor High School and De Laveaga Elementary. The Active Transportation Plan (ATP) lists several improvements for La Fonda Avenue and staff has developed a striping improvement plan based on the ATP projects list. A graphic of the proposed improvement is included in the attachments.

Staff sent notifications to owners and tenants affected by parking removal as a result of the proposed traffic striping improvements at La Fonda Avenue. Staff received an appeal to remove parking adjacent to 410 La Fonda Avenue. At its May 16, 2022 meeting, staff presented the parking change to the Transportation and Public Works Commission (TPWC). Upon review and discussion, TPWC denied the appeal.

19.1 All traffic striping improvements were designed based on the California Manual on Uniform Traffic Control Devices (CAMUTCD) and the National Association of City Transportation Officials (NACTO) Urban Street Design Guide.

Policy Support:

All traffic striping improvements are in alignment with and will assist to implement components of the General Plan, Climate Action Plan, and Active Transportation Plan (project No. 241). The General Plan calls for a “citywide interconnected system of safe, inviting, and accessible pedestrian ways and bikeways” (Goal M4). The Climate Action Plan includes the transportation objective to meet an 80% reduction in greenhouse gas (GHG) emissions by 2050, which will be accomplished largely by providing low-carbon transportation options that rival the efficiency and safety of the automobile.

FISCAL IMPACT: The traffic striping improvements at La Fonda Avenue and Atlantic Avenue will be funded through the City Street Restriping – Maintenance (m400029) budget.

There is no impact to the General Fund.

Prepared By:

Dan Estranero
Associate Professional
Engineer
Submitted By:

Mark R. Dettle
Director of Public Works
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. ATLANTIC AVENUE STRIPING IMPROVEMENT PLAN.PDF

2. LA FONDA AVENUE STRIPING IMPROVEMENT PLAN.PDF

19.2 19.3

19.4 19.5

19.6 19.7

19.8 City Council

AGENDA REPORT
DATE: 09/14/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Water
SUBJECT: Santa Cruz Mid-County Groundwater Agency Sustainable Groundwater Management Grant – Local Project Sponsor Agreement (WT) RECOMMENDATION: Motion authorizing the City Manager to execute a Local Project Sponsor Agreement between the Santa Cruz Mid-County Groundwater Agency (Grantee) and the City of Santa Cruz (Local Project Sponsor) for the Department of Water Resources Sustainable Groundwater Management Act Implementation Grant in a form approved by the City Attorney and authorize the City to proceed with the work contemplated in the Local Project Sponsor Agreement within the specified grant approved amounts.

BACKGROUND: The City of Santa Cruz is a member agency of the joint powers agency responsible for the Santa Cruz Mid-County Groundwater Agency (MGA), a local groundwater basin that is the sole water source for the Soquel Creek Water District as well as the basin supporting the City’s Beltz wellfield. The MGA was created following the passage of the 2014 Sustainable Groundwater Management Act (SGMA) and is responsible for development and implementation of a Groundwater Sustainability Plan (GSP). The GSP, submitted prior to the deadline January 31, 2020, includes a variety of projects and management actions (PMAs) that are designed to support achieving groundwater sustainability in the basin by 2040 and to maintain sustainability for an additional 50 years.

State funding for the development of GSPs in critically over-drafted basins such as the MidCounty Basin has been an important source of financial resources to support GSP development and, the initial PMA implementation funding is the 2021 Sustainable Groundwater Management (SGM) Grant Program: SGMA Implementation Round 1 Grant pursuant to the California Drought, Water, Parks, Climate, Coastal Protection, and Outdoor Access For All Act of 2018 (Proposition 68) (Pub. Resource Code, § 80000 et seq.), with additional funds for this grant program through the California Budget Act of 2021 (Stats. 2021, ch. 240, § 80).

In February 2022 City Council adopted a resolution supporting an application to the California Department of Water Resources (DWR) Sustainable Groundwater Management Grant Program to support implementation of the PMAs. Also in February 2022, the MGA submitted a grant funding proposal to DWR and was subsequently awarded $7.6 million.

In September 2022, MGA entered into an Agreement with DWR under which MGA will be the Grantee to receive funds authorized under the SGMA Implementation Grant. The Grant

20.1 Agreement presents the work as five distinct Components, each with a scope of work, budget, and schedule. The Components and the implementing Member Agencies are as follows:

Component 1: Cunnison Lane Groundwater Well
Implementing Agency: Soquel Creek Water District
Component 2: Aquifer Storage and Recovery (ASR) in the Beltz Well Field Implementing Agency: City of Santa Cruz
Component 3: Park Avenue Transmission Main/Bottleneck Improvements Implementing Agency: Soquel Creek Water District
Component 4: Technical Development of GSP Projects and Management Actions Implementing Agencies: Soquel Creek Water District and City of Santa Cruz Component 5: Sustainable Groundwater Management Evaluation and Planning Implementing Agencies: MGA and County of Santa Cruz
MGA, as Grantee, will receive and administer the distribution of Grant funds to each local project sponsor pursuant to the Grant Agreement and in accordance with the terms and conditions set forth herein.

DISCUSSION: The City will be the lead agency for implementing the entirely of Component 2, a new ASR well with an award amount of $1.65million, and a portion of Component 4, groundwater modeling work that will inform longer-term evaluation and implementation of the PMAs with an implementation value of $950,000. While this is a zero-match grant, any additional funds required to complete the various components would be the responsibility of the member agencies as appropriate.

FISCAL IMPACT: The Round 1 Grant includes projects and programs that will fund approximately $2.6 million in activities that will have a direct benefit to the Water Department and will replace Water Enterprise-funding for this work.

Prepared/Submitted By:

Rosemary Menard
Water Director
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. LOCAL PROJECT SPONSOR AGREEMENT.DOCX

20.2 -1-

LOCAL PROJECT SPONSOR AGREEMENT BETWEEN

SANTA CRUZ MID-COUNTY GROUNDWATER AGENCY (GRANTEE) AND

CITY OF SANTA CRUZ (LOCAL PROJECT SPONSOR)

FOR THE DEPARTMENT OF WATER RESOURCES

SUSTAINABLE GROUNDWATER MANAGEMENT ACT (SGMA) IMPLEMENTATION GRANT FOR THE COMPONENTS TITLED:

Component 2 (All Tasks): Aquifer Storage and Recovery, Beltz Well Field Component 4 (Selected Tasks): Technical Development of GSP Project and Management Actions This Local Project Sponsor Agreement is entered into force on the date of execution by and between the Santa Cruz Mid-County Groundwater Agency (referred to herein as “MGA” or “Grantee”), and the City of Santa Cruz (referred to herein as the “Local Project Sponsor” or “City”). The City and MGA are individually referred to herein as a “party” and collectively referred to herein as the “parties.”
Recitals
A. MGA is a Groundwater Sustainability Agency established in 2016 under California’s Sustainable Groundwater Management Act (SGMA) for the Santa Cruz Mid-County Groundwater Basin (the “Basin”). A Joint Powers Agreement is in place among the four Member Agencies, which are the Central Water District, City of Santa Cruz, County of Santa Cruz, and Soquel Creek Water District. Each Member Agency has delegated a senior level executive staff member to administer and manage the MGA (“Executive Staff”).

B. MGA developed a Groundwater Sustainability Plan (GSP) approved by the State of California in 2021. The GSP identifies Projects and Management Actions (PMAs) to achieve groundwater sustainability in the Basin. MGA Member Agencies will conduct activities associated with planning, development, and construction to implement the PMAs consistent with the GSP.

C. In February 2022, MGA submitted a grant funding proposal to the California Department of Water Resources’ (DWR) Sustainable Groundwater Management Grant Program for SGMA implementation funding. DWR awarded $7.6 million to MGA for SGMA implementation including the PMAs in the funding proposal.

D. In September 2022, MGA entered into an Agreement with the State of California (Department of Water Resources) [Agreement Number 4600014636] (referred to herein as the “Grant Agreement”) under which MGA will be the Grantee to receive funds authorized under the SGMA Implementation Grant (the “Grant”). The Grant Agreement, and any subsequent amendments thereto, are incorporated herein by reference and is attached hereto as Attachment A to this Local Project Sponsor Agreement.

E. The Grant Agreement presents the work to be conducted as five distinct “Components”, each with a scope of work, budget, and schedule. The Components and the implementing Member Agencies are as follows:

20.3 2
Component 1: Cunnison Lane Groundwater Well
Implementing Agency: Soquel Creek Water District
Component 2: Aquifer Storage and Recovery in the Beltz Well Field Implementing Agency: City of Santa Cruz
Component 3: Park Avenue Transmission Main/Bottleneck Improvements Implementing Agency: Soquel Creek Water District
Component 4: Technical Development of GSP Projects and Management Actions Implementing Agencies: Soquel Creek Water District and City of Santa Cruz Component 5: Sustainable Groundwater Management Evaluation and Planning Implementing Agencies: MGA and County of Santa Cruz
F. MGA, as Grantee, will receive and administer the distribution of Grant funds to each local project sponsor pursuant to the Grant Agreement and in accordance with the terms and conditions set forth herein.

NOW THEREFORE, the parties agree as follows:

1. The above recitals are incorporated herein by reference.

2. The term Local Project Sponsor refers to the implementing agency of the specific Component(s) identified in this Local Project Sponsor Agreement and in the Grant Agreement. All work to be completed by Local Project Sponsor is referred to in this Local Project Sponsor Agreement as “Component” and is defined as a group of activities as set forth in the Attachment A, the Grant Agreement Exhibit A (Work Plan).

3. The term of this Local Project Sponsor Agreement begins upon execution and ends three (3) years following the final payment unless otherwise terminated or amended as provided in this Local Project Sponsor Agreement or the Grant Agreement. All work to be performed by the Local Project Sponsor shall be completed by APRIL 30, 2025, in accordance with the schedule set forth in the Grant Agreement and no funds may be requested after JUNE 30, 2025.

4. The Local Project Sponsor agrees to be bound to perform and abide by all of the provisions applicable to MGA set forth in the Grant Agreement as if the Local Project Sponsor had signed the Grant Agreement in the place and stead of MGA. MGA shall have all rights of the Department of Water Resources, “State,” or “Division” conferred under the Grant Agreement with respect to the Local Project Sponsor in connection with this Local Project Sponsor Agreement.

5. The Local Project Sponsor shall be solely responsible for compliance with the requirements of the Grant Agreement and implementation of the Component 2, and responsible only for the City’s specified tasks in the implementation of Component 4 detailed in Exhibit B, since Soquel Creek Water District is also responsible as an implementing agency for other tasks related to Component 4, including but not limited to environmental review, design, permitting, project management, oversight, compliance, construction, operation and maintenance. Any review or approval of plans, specifications, bid documents, or other

20.4 3
construction documents by MGA or the State is solely for the purpose of proper administration of funds by MGA or the State and shall not be deemed to relieve or restrict the applicable responsibilities of the Local Project Sponsor under this Agreement.

6. The Local Project Sponsor agrees to:
a) Faithfully and expeditiously perform or cause to be performed all work and tasks associated with the Component, in accordance with Exhibit A (Workplan), Exhibit B (Budget) and Exhibit C (Schedule) attached to the Grant Agreement. b) Accept and agree to comply with all terms, provisions, conditions, and written commitments of the Grant Agreement, including all documents incorporated by reference therein, and to fulfill all assurances, declarations, representations, and statements made by MGA in the application, documents, amendments, and communications filed in support of its grant application. c) Comply with all applicable California laws and regulations.

7. The Local Project Sponsor shall perform the work and provide the documentation required of MGA pertinent to the Component in a timely manner as set forth in the Grant Agreement. Notwithstanding the foregoing, any documents or information required to be submitted to the State Department of Water Resources, agents of the Department of Water Resources, or agents of the State (each, a “State Representative”), shall not be submitted by the Local Project Sponsor to a State Representative, but rather shall be submitted to MGA who in turn will submit the documents to the appropriate State Representative.

8. The Local Project Sponsor acknowledges that paragraph 5 of the Grant Agreement (Basic Conditions) establishes the State shall have no obligation to disburse money for the Component until the Local Project Sponsor has satisfied all the applicable conditions specified in paragraph 5.

9. Subject to receipt of Grant funds from the Department of Water Resources as a result of a particular request for disbursement of Grant funds by the Local Project Sponsor and subject to the other terms and conditions set forth herein, MGA shall remit to the Local Project Sponsor such disbursement it receives from Department of Water Resources as a result of such request, up to a total amount not to exceed the Component(s) as shown below. Additional detail on the Component 4 sub-tasks and budgets are presented in Attachment B to this Local Project Sponsor Agreement. Any additional costs in excess of the Grant award amount related to the Components 2 is the sole responsibility of the City of Santa Cruz. The City agrees to pay 50% of all costs in excess of the Grant award amount related to the completion of Component 4 unless another cost share allocation is agreed upon in writing by the Executive Staff representative of both implementing agencies (i.e., General Manager of Soquel Creek Water District and Director of City of Santa Cruz Water Department).

Component Grant Award Amount
Local Project Sponsor
(City of Santa Cruz)
Grant Award Amount
Component 2: Aquifer Storage and
Recovery in the Beltz well field $1,650,000 $1,650,000
Component 4: Technical
Development of GSP Projects and
Management Actions $1,900,000 $950,000

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10. In order to receive disbursement of grant funds, the Local Project Sponsor shall submit to MGA quarterly invoices for eligible project costs as defined in paragraph 7 of the Grant Agreement (Eligible Project Costs) in a form required by MGA. Supporting documentation as described in paragraph 8 of the Grant Agreement (Method of Payment) shall accompany each invoice. The documentation required by this paragraph shall be sent to:

Santa Cruz Mid-County Groundwater Agency
Attn: Administrator
5180 Soquel Drive, Aptos, CA 95073
or such other address as MGA may provide.

11. The Local Project Sponsor shall apply Grant funds only to Eligible Project Costs in accordance with applicable provisions of the law and Exhibit B (Budget) of the Grant Agreement. Eligible Project Costs include the reasonable cost of studies, engineering, design, land and easement acquisition and associated legal fees, preparation of environmental documentation, environmental mitigations, monitoring, and project construction. Costs incurred after DECEMBER 17, 2021, may be eligible for reimbursement.

The Local Project Sponsor acknowledges that Eligible Project Costs related to the Project are limited to those set forth in paragraph 7 of the Grant Agreement.

12. Notwithstanding any other provision of this Local Project Sponsor Agreement, no disbursement shall be required to be made by MGA at any time or in any manner which is in violation of, or in conflict with, federal or state laws, rules, or regulations, or which may require any rebates to the Federal Government, or any loss of tax-free status on state bonds, pursuant to any Federal statute or regulation. Any and all money disbursed to MGA under the Grant Agreement shall be deposited in a non-interest bearing account and shall be used solely to pay Eligible Project Costs, as identified in paragraph 7 of the Grant Agreement.

13. The Local Project Sponsor acknowledges the requirements and processes defined the Grant Agreement Item 8 (Method of Payment) pertaining to reimbursement requests for Project costs incurred.

14. The Local Project Sponsor acknowledges its responsibility to comply with the applicable provisions of the Grant Agreement Exhibit D -- Standard Conditions.

15. This Local Project Sponsor Agreement is subject to and conditioned upon the approval of the Grant Agreement and any subsequent amendments of the Grant Agreement. The Local Project Sponsor shall not be entitled to, and MGA shall have no obligation to make any disbursement of Grant funds as set forth herein if MGA does not receive Grant funds from the Department of Water Resources for the Component. Further, if MGA is required to refund any disbursement made to the Local Project Sponsor to the Department of Water Resources due to a violation of the Grant Agreement by the Local Project Sponsor, the Local Project Sponsor shall refund to MGA such disbursement amount plus any interest or penalties required to be paid by MGA to the Department of Water Resources, as well as for any reasonable expenses incurred by MGA (e.g., personnel time, postage) due in connection with the coordination of such refund.

20.6 5

16. For the useful life of construction and implementation projects and in consideration of the funding made by State, the Local Project Sponsor agrees to ensure, perform or cause to be performed the commencement and continued operation of the Project (herein also referred to as “Component”), and shall ensure, perform or cause the Project to be operated in an efficient and economical manner; shall ensure, perform or cause to be performed all repairs, renewals, and replacements necessary to the efficient operation of the same are provided; and shall ensure, maintain or cause the same to be maintained in as good and efficient condition as upon its construction, ordinary and reasonable wear and depreciation excepted. The State or MGA shall not be liable for any cost of such maintenance, management, or operation. The Local Project Sponsor or its successors may, with the written approval of State, transfer this responsibility to use, manage, and maintain the Project. Under the Grant Agreement, “useful life” means the period during which an asset, property, or activity is expected to be usable for the purpose it was acquired or implemented; “operation costs” include direct costs incurred for material and labor needed for operations, utilities, insurance, and similar expenses, and “maintenance costs” include ordinary repairs and replacements of a recurring nature necessary for capital assets and basic structures and the expenditure of funds necessary to replace or reconstruct capital assets or basic structures. Refusal of the Local Project Sponsor to ensure or provide operation and maintenance of the Project in accordance with this provision may, at the option of State or MGA, be considered a breach of this Agreement and may be treated as default under Grant Agreement Paragraph 10, “Default Provisions.” The maintenance obligation herein shall survive the term of this Agreement.

17. The Local Project Sponsor agrees to provide all required reports as specified in paragraph 12 of the Grant Agreement (Submission of Reports) and Exhibit F (Report Formats and Requirements), according to a format and schedule as specified by MGA. This pertains to the quarterly Progress Report, Component Completion Report, Deliverable Due Date Schedule, and Post-Performance Reports. The Local Project Sponsor agrees to prepare and submit Post-Performance Reports. Post-Performance Reports shall be submitted to State within ninety (90) calendar days after the first operational year of a project has elapsed. This record keeping and reporting process shall be repeated annually for a total of three (3) years after the project begins operation. The Local Project Sponsor shall provide annual written notification to MGA of the Post-Performance Report submittal.

18. The Local Project Sponsor agrees to promptly notify MGA, in writing, if any of the items or matters listed in Grant Agreement paragraph 16 (Notification of State) occur.

19. MGA may hire a third party to provide administrative services for the benefit of the Local Project Sponsor in the administration of the Grant Agreement. The Local Project Sponsor shall be liable and agrees to reimburse MGA for reasonable administrative costs incurred by MGA that are not reimbursed under the Agreement and that are attributable to the Component, including the Local Project Sponsor’s breach of this Local Project Sponsor Agreement. MGA agrees to provide grant administrative services for the term specified in the Grant Agreement. In the event the term of the Grant Agreement is extended by MGA to accommodate the Local Project Sponsor, MGA shall be reimbursed by the Local Project Sponsor for any additional administrative costs that are solely attributable to grant administration occurring beyond the end date of the initial term.

20. The Local Project Sponsor acknowledges the provisions of paragraph D8 of Exhibit D under the Grant Agreement (CEQA). Activities funded under this Local Project Sponsor

20.7 6
Agreement, regardless of funding source, must be in compliance with the California Environmental Quality Act (CEQA) (Pub. Resources Code, § 21000 et seq.) Any work that is subject to CEQA and funded under this Agreement shall not proceed until documents that satisfy the CEQA process are received by MGA, the State’s Project Manager and the State has completed its CEQA compliance review. Work funded under this Agreement that is subject to environmental review shall not proceed until and unless approved by the Department of Water Resources. Such approval is fully discretionary and shall constitute a condition precedent to any work for which it is required. If CEQA compliance by the Local Project Sponsor is not complete at the time the State signs this Agreement, once State has considered the environmental documents, it may decide to require changes, alterations, or other mitigation to the Project; or to not fund the Project.

Should the State decide to not fund the Project, this Agreement shall be terminated in accordance with paragraph 10 of the Grant Agreement.

21. The Local Project Sponsor acknowledges the provisions of paragraph D11 (Competitive Bidding and Procurements) of Exhibit D to the Grant Agreement and that the Local Project Sponsor’s contracts with other entities for the acquisition of goods and services and construction of public works with funds provided by State under this Funding Agreement must be in writing and shall comply with all applicable laws and regulations regarding the securing of competitive bids and undertaking competitive negotiations. If the Local Project Sponsor does not have a written policy to award contracts through a competitive bidding or sole source process, the Department of General Services’ State Contracting Manual rules must be followed and are available at:
https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-ServicesResources-List-Folder/State-Contracting.

22. The Local Project Sponsor agrees to be bound by all the provisions of the Labor Code regarding prevailing wages and shall monitor all contracts subject to reimbursement from this Agreement to assure that the prevailing wage provisions of the Labor Code are being met. Current Department of Industrial Relations (DIR) requirements may be found at:
http://www.dir.ca.gov/ lcp.asp. For more information, please refer to DIR’s Public Works Manual at: http://www.dir.ca.gov/dlse/PWManualCombined.pdf. The Local Project Sponsor affirms that it is aware of the provisions of section 3700 of the Labor Code, which requires every employer to be insured against liability for workers’ compensation or to undertake self-insurance, and the Local Project Sponsor affirms that it will comply with such provisions before commencing the performance of the work under this Agreement and will make its contractors and subcontractors aware of this provision.

23. The Local Project Sponsor acknowledges the provisions of Exhibit D, paragraph 36 of the Grant Agreement (Retention) and agrees that disbursement of Grant funds may be withheld by the State and/or MGA to satisfy the retention requirements set forth therein.

Notwithstanding any other provision of this Grant Agreement, State may, for the Project, withhold ten percent (10%) of the funds requested by the Local Project Sponsor for reimbursement of Eligible Project Costs. The Local Project Sponsor will be eligible for the release of retention when the Project is complete and the Local Project Sponsor has met requirements of Paragraph 12 of the Grant Agreement (Submissions of Reports) including the requirement that the “Final Report” is submitted to and approved by State. Retained funds will be paid to the Local Project Sponsor through MGA.

24. To the fullest extent allowed by law, each party (“indemnifying party”) to this Local Project Sponsor Agreement agrees to indemnify, defend, and hold the other party and

20.8 7
its respective officials, officers, directors, agents, and employees harmless from and against any and all judgments, losses, claims, damages or liabilities, joint or several (”Claims”), but only in proportion to and to the extent such Claims result from or arise out of the negligent acts or omissions, or willful misconduct of the indemnifying party, its officials, officers, directors, agents, and/or employees relating to the Local Project Sponsor Agreement or the Grant Agreement. Each party further agrees to defend, indemnify, and hold the State of California harmless pursuant to the terms of the Grant Agreement.

25. In the event the Local Project Sponsor violates any provision of this Local Project Sponsor Agreement that, in MGA’s judgment, could result in a violation of the Grant Agreement, MGA may take (but is not required to take) any and all appropriate measures to attempt to prevent any such violation or to mitigate any damages MGA would incur as a result thereof, including but not limited to performing any work required of the Local Project Sponsor hereunder, and in such case, the Local Project Sponsor shall be liable for any costs of MGA incurred in connection with such measures.

26. To enable MGA to confirm the Local Project Sponsor’s compliance with this Local Project Sponsor Agreement, upon request by MGA, the Local Project Sponsor shall provide MGA with: (i) any requested documentation; and (ii) access to any work sites or other areas associated with the Project for the purpose of making observations or conducting any necessary tests or studies.

27. MGA and the State reserve the right to conduct an audit during the term of the Grant and for a period of three years after final payment with respect to all matters connected with this Local Project Sponsor Agreement as specified in the Grant Agreement, Exhibit D, paragraph 5 (Audits). All records of MGA, the Local Project Sponsor, or its contractors or subcontractors shall be preserved for this purpose for at least three (3) years after project completion or final billing, whichever comes later. The Local Project Sponsor agrees to compensate MGA for any costs incurred in complying with this provision related to the Project and shall return any audit disallowances to MGA.

28. The parties may, pursuant to mutual agreement, expand the scope of work to be performed by the Local Project Sponsor hereunder, but in any event modifications to the terms of this Agreement shall be valid only if made in writing and executed by MGA and the Local Project Sponsor.

29. The Local Project Sponsor shall not assign, delegate or otherwise transfer any of its duties, obligations, rights or interest under this Local Project Sponsor Agreement without prior written consent of MGA, which consent may be given or withheld by MGA in its reasonable discretion. Any attempted assignment or transfer without such consent shall be void.

30. Subject to the provisions of the paragraph immediately below, all terms and conditions of this Agreement shall be binding upon, inure to the benefit of, and be enforceable by, MGA and the Local Project Sponsor and their respective legal representatives, successors and permitted assigns.

31. A waiver of any provision of this Agreement in any given instance shall not constitute a waiver of (i) such provision in future instances or (ii) any other provision of this Agreement.

20.9 8

32. This Local Project Sponsor Agreement, together with the Grant Amendment, constitutes the entire understanding of MGA and the Local Project Sponsor concerning the subject matter hereof and supersedes all prior and contemporaneous agreements, correspondence, representations or understandings between MGA and the Local Project Sponsor relating to the subject matter hereof, whether written or oral.

33. This Local Project Sponsor Agreement may be executed in counterparts, each of which when taken together shall constitute the entire Agreement. Any signature delivered by a party by facsimile or other similar method of electronic transmission shall be deemed to be an original signature hereto.

34. This Local Project Sponsor Agreement shall be governed by and construed in accordance with the laws of the State of California. In the event any dispute arises between the parties to this agreement concerning the matters contained in this agreement, the parties agree to pursue nonbinding mediation as a means to resolve the dispute before resorting to arbitration or litigation.

35. Local Project Sponsor and/or its contractors and subcontractors, as applicable, shall provide all insurance coverage required under the Grant Agreement. The Local Project Sponsor shall require its contractors or subcontractors to name the State, its officers, agents and employees as additional insureds on their liability insurance for activities undertaken pursuant to this Agreement. MGA shall have no responsibility to secure insurance protection against loss or damage relating to Local Project Sponsor’s Components identified in the Grant Agreement.

36. MGA shall not serve as a surety for the Local Project Sponsor’s Component(s). MGA makes no guarantees, warranties, or representations that awarded Grant funds will be sufficient to meet expenses incurred by the Local Project Sponsor for the Component(s).

MGA does not guarantee or warrant the plans and specifications for the Component(s).

37. Whenever it is provided in this Agreement that MGA or Local Project Sponsor shall give notice to the other, said notice shall be given by delivering a copy of said notice to the other party personally, or by mailing first class mail, postage prepaid, through the U.S.

Postal Service, or by a nationally-recognized overnight courier, a copy of said notice at the following addresses:

A. Address for the Local Project Sponsor:

City of Santa Cruz Water Department
212 Locust St, Santa Cruz, CA 95060
B. Address for MGA:

Santa Cruz Mid-County Groundwater Agency
5180 Soquel Drive, Aptos, CA 95073
IN WITNESS WHEREOF MGA and the City of Santa Cruz have executed this Local Project Sponsor Agreement the day and year first written below by their duly authorized representatives, having full authority to so act for and on behalf of the parties hereto.

20.10 9
Santa Cruz Mid-County Groundwater Agency (MGA)
By: ______________________________________ Date: ___________________ Dr. Thomas LaHue
Board Chair
City of Santa Cruz (City)
By: ______________________________________ Date: ___________________ Matt Huffaker
City Manager
APPROVED AS TO FORM:

By: ______________________________________
Justin A. Graham
MGA Counsel
APPROVED AS TO FORM:

By: ______________________________________
Barbara H. Choi
Senior Deputy City Attorney

20.11 Attachment A
DWR GRANT AGREEMENT #4600014636

20.12 Attachment B
Implementing Agency Grant Award Amounts and Task
Component 4: Technical Development of GSP Project and Management Actions TASK: DATA GAP ANALYSES AND ANALYTICAL TOOLS
Sub-Task Description
Lead
Implementing
Agency
Estimated
Cost1
Grant
Amount2
Sub-Task 1: Develop Objectives and
Project Components to Analyze
Soquel Creek
WD $100,000 $100,000
Sub-Task 2: Groundwater Modeling
(assume 8-12 simulations)
City of Santa
Cruz $750,000 $750,000
Sub-Task 3: Hydraulic Modeling and
WQ Modeling
Soquel Creek
WD $300,000 $300,000
Sub-Task 4: Water Quality and
Regional Compatibility/Optimization
Soquel Creek
WD $150,000 $150,000
Sub-Task 5: Economic and Financial
Analysis/Modeling
Soquel Creek
WD $200,000 $200,000
Sub-Task 6: Needs Assessment
(Env./CEQA; Permitting; Water Rights
and Use Agreements; Interagency
Agreements)
City of Santa
Cruz $200,000 $200,000
Sub-Task 7 (if applicable):

Development Activities from Sub-Task
6 Soquel Creek
WD $100,000 $100,000
TASK: RECOMMENDATIONS AND IMPLEMENTATION/WORK PLAN
Develop Recommendations and
Implementation/Work Plan
Soquel Creek
WD $100,000 $100,000
Total $1,900,000 $1,900,000
City of Santa Cruz Led Tasks Total $950,000 $950,000
Soquel Creek Water District Led Tasks Total $950,000 $950,000

1. Estimated costs are based upon the best estimates of staff at Soquel Creek Water District and City of Santa Cruz provided in February 2022. Actual costs may vary.

2. The Component 4 grant award is $1,900,000; increasing or decreasing the Component 4 total grant amount is subject to approval by the Department of Water Resources (DWR) through a Grant Agreement amendment. Task/Sub-Task budget amount changes do not require DWR approval but requires written approval by the Executive Staff representative of both implementing agencies (i.e., General Manager of Soquel Creek Water District and Director of City of Santa Cruz Water Department).

20.13 City Council

AGENDA REPORT
DATE: 09/15/2022
AGENDA OF: 09/27/2022
DEPARTMENT: Water
SUBJECT: Intertie 1: Santa Cruz-Scotts Valley – Award of Professional Services Agreement (WT)
RECOMMENDATION: Motion authorizing the City Manager to execute an agreement in a form to be approved by the City Attorney with Kennedy Jenks (Santa Clara, CA) for Engineering Design Services for the Intertie 1: Santa Cruz-Scotts Valley project and to authorize the Water Director to execute future contract amendments within the approved budget.

BACKGROUND: In December 2021, Scotts Valley Water District (SVWD) and the City of Santa Cruz Water Department collaborated on a grant application for funding from the California Department of Water Resources (DWR) 2021 Urban and Multi-Benefit Drought Relief Program.

SVWD served as the applicant for the Regional Drought Resiliency Project (Project) that included two project components: an intertie between the drinking water systems of the City of Santa Cruz and SVWD, and a replacement groundwater well in Scotts Valley for SVWD. In March 2022, SVWD received a Letter of Commitment from DWR for grant funding of up to $9,449,783 with a zero matching funds requirement for the Project.

The grant funding will support the design and construction of a treated water intertie between the City of Santa Cruz and the SVWD. The intertie will be bi-directional and include a pump station, making it possible to share treated drinking water in emergency situations, such as the relatively recent CZU Lightning Complex fire, and also to potentially support conjunctive use of surface water and groundwater resources, and a possible future regional aquifer storage and recovery project.

In June 2022, City Council authorized the City Manager to execute the Implementation Construction Agreement between the City of Santa Cruz and SVWD, which defined roles of each partner agency. The City of Santa Cruz will assume the lead role on the intertie, managing the design, construction, and other contracts to complete the project; SVWD is the lead on their replacement well.

With ongoing interest in conjunctive use and regional opportunities, the intertie was evaluated as a programmatic component of the Santa Cruz Water Rights Project Final Environmental Impact Report (EIR) that was certified by City Council in December 2021. A goal of the Water Rights Project was to broaden the Place of Use in the City’s San Lorenzo River surface water rights and permits, in order to enable potential future opportunities for regional collaboration through projects such as water transfers and exchanges.

21.1 Analysis of the Intertie 1 project under the California Environmental Quality Act (CEQA) will tier from the analysis of the Santa Cruz Water Rights Final EIR. Pending further analysis, it is expected that an addendum to the Water Rights Final EIR will be prepared to satisfy the requirements of CEQA.

DISCUSSION: Design documents for the project are already 70% complete as Intertie 1 was included in a prior 2013 package of regional interconnection projects designed by Kennedy Jenks. That same year the project was deferred due to a reduction in grant funding. Now that the project is being resumed, for design continuity and schedule purposes, staff recommends a sole source selection of Kennedy Jenks to provide a continuation of design services.

An updated scope of work and fee proposal has been negotiated with Kennedy Jenks to reflect changes from the 2013 project. Kennedy Jenks will provide professional engineering and technical services necessary to complete the design of the intertie pipeline and pump station and other related design services and construction phase support. These services include conducting additional planning analyses to confirm water quality and hydraulic performance as well as designing approximately 1,000 lineal feet of additional pipeline so that the previously designed pipeline may be connected directly to one of the City’s water storage tanks. Additionally, proposed services include engineering services during construction of the pipeline and pump station.

Finalization of design, acquisition of right of way, and permitting will take approximately 10 months (August 2023), bidding and construction would occur from September 2023 to March 2025.

Costs for design services are expected to be reimbursed to the full amount allowable by the Multi-Benefit Drought Relief grant program. Any non-grant reimbursed costs associated with the intertie component of the project will be shared equally by the City and SVWD.

FISCAL IMPACT: The estimate for design and construction phase services for Kennedy Jenks is $1,016,022. Funds are available in the Water Department’s Capital Investment Program budget within project c702205, Intertie 1: Santa Cruz-Scotts Valley.

Prepared By:

Heidi Luckenbach
Deputy Water Director /
Engineering Manager
Submitted By:

Rosemary Menard
Water Director
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. CONTRACT AGREEMENT.PDF

21.2 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 1

PROFESSIONAL SERVICES AGREEMENT FOR
INTERTIE 1: SANTA CRUZ-SCOTTS VALLEY
THIS AGREEMENT for professional services is made by and between the City of Santa Cruz (“City”) and Kennedy Jenks (“Consultant”) (each is referred to individually as a “Party” and collectively, as the “Parties”) as of ____________, 20__ (the “Effective Date”).

NOW, THEREFORE, in consideration of each other’s mutual promises, the Parties hereto agree as follows:

SECTION 1: SCOPE OF WORK
Consultant will furnish services as defined and described in the Scope of Work, attached hereto as Exhibit A and incorporated herein.

SECTION 2: RESPONSIBILITIES OF CONSULTANT
All work performed by Consultant, or under Consultant’s direction, shall be rendered in accordance with the generally accepted practices, and to the standards of, Consultant's profession. Consultant represents and warrants that Consultant: (i) is fully experienced and properly qualified to perform the work and services provided for herein, (ii) has the financial capability required for the performance of the work and services, and (iii) is properly equipped and organized to perform the work and services in a competent, timely, and proper manner, in accordance with the requirements of this Agreement.

Consultant shall not undertake any work beyond the Scope of Work set forth in Exhibit A unless such additional work is approved in advance and in writing by City. The cost of such additional work shall be reimbursed to Consultant by City on the same basis as provided for in Section 4.

If, in performing the work, it is necessary to conduct field operations, security and safety of the job site will be the Consultant's responsibility excluding, the security and safety of any facility of City within the job site which is not under the Consultant's control.

Consultant shall meet with Rosemary Menard, Director of the Water Department, hereinafter called "Director", or other designated and authorized City personnel, or third parties as necessary, on all matters connected with carrying out of Consultant’s services described in Exhibit A. Such meetings shall be held at the request of either Party. Review and City approval of completed work shall be obtained monthly, or at other intervals as may be mutually agreed upon during the course of this Agreement. Review, approval, or acceptance of Consultant’s work by City or others shall not relieve Consultant from responsibility for errors and omissions in Consultant’s work.

SECTION 3: RESPONSIBILITIES OF THE CITY
City shall make available to Consultant all necessary data and information in the City's possession and shall actively assist Consultant in obtaining such information from other agencies and individuals as needed. Consultant is entitled to reasonably rely upon the accuracy and completeness of such data and information, provided that Consultant shall provide City prompt written notice of any known defects in such data and information.

The Director may authorize a staff person to serve as his or her representative. The work in progress shall be reviewed at such intervals as may be mutually agreed upon between the Parties. The City will be the sole judge of acceptable work, provided that such approval will not be unreasonably withheld or delayed. If the work is not acceptable, City will inform Consultant of the changes or revisions necessary to secure approval.

21.3 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 2
SECTION 4: FEES AND PAYMENT
For services actually performed, the City will compensate Consultant at the rates set forth in the Fee Schedule detailed in Exhibit B and in accordance with the terms set forth therein. Payment for Consultant's services in carrying out the entire the Scope of Work shall be made within the budget limit, or limits shown, upon Exhibit B. Such payment shall be considered the full compensation for all personnel, materials, supplies, and equipment used by Consultant in the Scope of Work. Markups shall not be charged for any approved sub-consultants or subcontractors.

Consultant agrees that the payments to Consultant specified in this Section 4 will constitute full and complete compensation for all obligations assumed by Consultant under this Agreement. Where conflicts regarding compensation may occur, the provisions of this section apply.

Variations from the budget for each task which are justified by statements indicating personnel time expended and submittal of a revised budget are only allowed with prior City approval; however, in no event shall the total fee charged for the Scope of Work set forth in Exhibit A exceed the budget of $1,016,022 without advance written City authorization in the form of an amendment or change order.

Invoices shall detail the time worked by each class of employee on each task and the expenses incurred for which billing is made. Invoices shall indicate the percentage completion of each work task as identified in the Scope of Work in Exhibit A and the overall percentage of completion of the total required services. Unless otherwise specified in the fee schedule, payments shall be made monthly by the City within 30 days based on itemized invoices from the Consultant which list the actual costs and expenses.

All invoices shall contain the following affidavit signed by Consultant (if individual) or by a principal of Consultant’s firm (if Consultant is an entity):
"I hereby certify [or as principal of Consultant] that the charge of (Insert invoice amount) as summarized above and shown in detail on the attachments is a fair and reasonable use of public funds, is in accordance with the terms of Agreement dated (Insert Agreement Date), and has not been previously paid."
SECTION 5: TRAVEL REIMBURSEMENT POLICY
OPTION 1: NO REIMBURSEMENT
The City shall not be responsible for any travel, meal, or lodging reimbursements to Consultant and/or Consultant’s employees.

SECTION 6: CHANGES IN WORK
City may negotiate changes in the Scope of Work. No changes in the Scope of Work shall be made without the written approval of City and Consultant. Any change requiring compensation in excess of the sum specified in Exhibit B shall be approved in advance in writing by the City. Only City’s authorized representative(s) is authorized to approve changes to this Agreement on behalf of City.

SECTION 7: TIME OF BEGINNING AND SCHEDULE FOR COMPLETION Consultant shall begin work as specified in a written authorization (e.g. Notice to Proceed) to perform services. The written authorization to perform work shall not be issued until after this Agreement has been approved and authorized by the City.

The Work Schedule for completion of the work shall be as shown upon Exhibit C. In the event that major changes are ordered, the schedule for completion as stated in Exhibit C may be adjusted by City so as to allow Consultant a

21.4 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 3
reasonable period of time within which to complete any additional work which may be required as a result of the ordered changes.

Neither party will be held responsible for delay or default caused by declared emergencies, natural disasters, or any Force Majeure event which is beyond the party's reasonable control. Consultant will, however, make all reasonable efforts to remove or eliminate such a cause of delay or default and will, upon the cessation of the cause, diligently pursue performance of its obligations in this Agreement.

The City reserves the right to obtain the item(s) and/or services covered by this Agreement from another source during any on-going suspension of service due to the circumstances outlined above.

Consultant acknowledges that it is necessary for Consultant to complete its work on or before the completion date set forth in Exhibit C in order to allow the City to achieve its objectives for entering into this Agreement. The Parties therefore agree that time is of the essence in the performance of this Agreement.

SECTION 8: TERMINATION
The City may terminate the Agreement for convenience by providing written notice to Consultant not less than 10 calendar days prior to an effective termination date.

The City or Consultant may terminate the Agreement for cause by providing written notice to the other party not less than 30 calendar days prior to an effective termination date.

The City may, at its option, allow Consultant to cure its failure to perform within 15 business days (or longer period authorized in writing by the City) from the date of the City’s termination notice. The termination shall be become effective if Consultant has not cured within such time period to the City’s satisfaction.

Consultant may terminate this Agreement for cause if the City fails to cure a material default in performance within a period of 30 calendar days (or such longer period agreed to by the Consultant), from date of the Consultant’s written termination notice specifying the default in performance.

Upon notice of termination by either the City or Consultant, the Consultant will immediately act to not incur any additional obligations, costs or expenses, except as may be reasonably necessary to terminate its activities. The City’s only obligation to the Consultant will be just and equitable payment for services authorized by, and received to the satisfaction of, the City up to and including the effective date of termination less any amounts withheld. All finished or unfinished work or documents procured or produced under the Agreement will become property of the City upon the termination date. In the event of Consultant’s failure to perform pursuant to the Agreement, the City reserves the right to obtain services elsewhere and Consultant will be liable for the difference between the prices set forth in the terminated Agreement and the actual cost to the City. Termination of the Agreement pursuant to this paragraph shall not relieve the Consultant of any liability to City for additional costs, expenses, or damages sustained by City due to failure of the Consultant to perform pursuant to the Agreement. City may withhold any payments to Consultant for the purpose of set-off until such time as the exact amount of damages due City from Consultant is determined. After the effective date of termination, Consultant will have no further claims against the City under the Agreement. No other compensation will be payable for anticipated profit on unperformed services.

SECTION 9: INSURANCE
Prior to the beginning of and throughout the duration of the Agreement, Consultant will maintain and comply with the Insurance Requirements as set forth in Exhibit D. Consultant will insure the City against claims for

21.5 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 4
injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder. The insurance coverages required shall not in any way limit the liability of the Consultant.

SECTION 10: INDEMNIFICATION
Consultant agrees, to the fullest extent permitted by law, to indemnify, defend, and hold harmless the City, its officials, officers, employees, agents, and volunteers (collectively, “Indemnitees”) from and against any and all liability, claim, action, loss, injury, damage, judgment, or expense, including attorneys’ fees and costs (“Losses”) caused by or resulting from the negligence, recklessness, or willful misconduct of Consultant, Consultant’s officers, employees, agents, or subcontractors in any way related to this Agreement. Consultant’s duty to indemnify and hold harmless Indemnitees shall not apply to the extent such Losses are caused by the sole or active negligence or willful misconduct of Indemnitees, as determined by an adjudicatory body or court of competent jurisdiction. The obligation to defend shall arise regardless of any claim or assertion that Indemnitees caused or contributed to the Losses.

In the event this Agreement involves the performance of design professional services by Consultant, Consultant’s officers, employees, agents, or subcontractors, Consultant’s costs to defend Indemnitees shall not exceed the Consultant’s proportionate percentage of fault per Civil Code §2782.8. This section shall survive the termination or expiration of this Agreement.

SECTION 11: EQUAL EMPLOYMENT OPPORTUNITY/NON-DISCRIMINATION POLICIES City’s policies promote a working environment free from abusive conduct, discrimination, harassment, and retaliation; and require equal opportunity in employment for all regardless of race, religious creed (including religious dress and grooming practices), color, national origin (including language use restrictions), ancestry, religion, disability (mental and physical), medical condition, sex, gender (including gender identity and gender expression), physical characteristics, marital status, age, sexual orientation, genetic information (including family health history and genetic test results), organizational affiliation, and military or veteran status, or any other consideration made unlawful by local, State or Federal law. City requires Consultant to comply with all applicable Federal and State and local equal employment opportunity laws and regulations, and Consultant is responsible for ensuring that effective policies and procedures concerning the prevention of abusive conduct, discrimination, harassment, and retaliation exist in Consultant’s business organization. The City’s current Equal Employment Opportunity and Non-Discrimination policies to which this Section applies may be viewed at http://www.codepublishing.com/CA/SantaCruz/?SantaCruz09/SantaCruz0983.html and http://www.cityofsantacruz.com/home/showdocument?id=59192.

SECTION 12: LEGAL ACTION/ATTORNEYS’ FEES
If any action at law or in equity is brought to enforce or interpret the provisions of this Agreement, the prevailing party shall be entitled to reasonable attorneys’ fees in addition to any other relief. The laws of the State of California, with jurisdiction in the Santa Cruz County Superior Court, shall govern all matters relating to the validity, interpretation, and effect of this Agreement and any authorized or alleged changes, the performance of any of its terms, as well as the rights and obligations of Consultant and the City.

SECTION 13: AMENDMENTS
This Agreement may not be amended in any respect except by way of a written instrument which expressly references and identifies this particular Agreement, which expressly states that its purpose is to amend this particular Agreement, and which is duly executed by the City and Consultant. Consultant acknowledges that no such amendment shall be effective until approved and authorized by the City’s authorized representative. No representative of the City is authorized to obligate the City to pay the cost or value of services beyond the scope of services set forth in Exhibit A.

21.6 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 5
Such authority is retained solely by the City Manager, Director, or their designee. Unless expressly authorized by the City Manager or Director, Consultant’s compensation shall be limited to that set forth in Exhibit B, Fee Schedule.

SECTION 14: MISCELLANEOUS PROVISIONS

1. Project Manager. Director reserves the right to approve the project manager assigned by Consultant to said work.

No change in assignment may occur without prior written approval of the City.

2. Consultant Services Only. Consultant is employed to render professional services only and any payments made to Consultant are compensation solely for such professional services.

3. Independent Contractor. In the performance of this Agreement, it is expressly understood that Consultant, including each of Consultant’s employees, agents, subcontractors or others under Consultant’s supervision or control, is an independent contractor solely responsible for its own acts and omissions, and shall not be considered an employee of the City for any purpose. Consultant agrees to comply with AB5, codified at Labor Code section 2750.3, and shall indemnify, defend and hold harmless the City, its officials, officers, employees, and agents against any claim or liability, including attorneys’ fees and costs, arising in any manner related to this Agreement that an employee, agent or others under Consultant’s supervision or control was misclassified.

4. Consultant Not an Agent. Except as City may specify in writing, Consultant shall have no authority, express or implied, to act on behalf of City in any capacity whatsoever as an agent. Consultant shall have no authority, express or implied, pursuant to this Agreement to bind City to any obligation whatsoever.

5. Subcontractors. Consultant shall obtain prior approval of the City prior to subcontracting of any work pursuant to this Agreement. If at any time, the City determines any subcontractor is incompetent or unqualified, Consultant will be notified and will be expected to immediately cancel the subcontract. Consultant shall require and verify that all subcontractors maintain insurance meeting all of the requirements stated herein, including naming the City of Santa Cruz, its officers, officials, employees, agents, and volunteers as additional insureds. Any modification to the insurance requirements for subcontractors must be agreed to by the City in writing.

6. Assignment. This Agreement shall not be assigned without first obtaining the express written consent of the Director or after approval of the City Council. Neither party may assign this Agreement unless this Agreement is amended in accordance with its terms.

7. Conflicts of Interest. Consultant owes City a duty of undivided loyalty in performing the work and services under this Agreement. Consultant covenants (on behalf of Consultant and Consultant’s employees, agents, representatives, and subcontractors) that there is no direct or indirect interest, financial or otherwise, which would conflict in any manner or degree with the performance of services required under this Agreement. Consultant acknowledges and agrees to comply with applicable provisions of conflict of interest law and regulations, including the Political Reform Act, Section 1090 of the Government Code, and the City’s conflict of interest code. Consultant will immediately advise City if Consultant learns of a conflicting financial interest of Consultant during the term of this Agreement.

8. City Property. The work, or any portion, of Consultant in performing this Agreement shall become the property of City. The Consultant may be permitted to retain copies of such work for information and reference in connection only with the provision of services for the City. All materials and work product, whether finished or unfinished, shall be delivered to City upon completion of contract services or termination of this Agreement for any reason. Unless otherwise provided herein, Consultant agrees that all copyrights which arise from creation of project-related documents and materials pursuant to this Agreement shall be vested in the City and Consultant waives and relinquishes all claims to copyright or other intellectual property rights in favor of City. Any work

21.7 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 6
product related to this Agreement shall be confidential, not to be used by the Consultant on other projects or disclosed to any third party, except by agreement in writing by the City, or except as otherwise provided herein.

9. Intellectual Property and Indemnity. Consultant represents to City that, to the best of Consultant’s knowledge, any Intellectual Property (including but not limited to: patent, patent application, trade secret, copyright and any applications or right to apply for registration, computer software programs or applications, tangible or intangible proprietary information, or any other intellectual property right) in connection with any services and/or products related to this Agreement does not violate or infringe upon any Intellectual Property rights of any other person or entity.

To the fullest extent permitted by law, Consultant agrees to indemnify, defend, and hold harmless City, its officials, officers, employees, and agents, from any and all claims, demands, actions, liabilities, damages, or expenses (including reasonable attorneys’ fees and costs) arising out of a claim of infringement, actual or alleged, direct or contributory, of any Intellectual Property rights in any way related to Consultant’s performance under this Agreement or to the City’s authorized intended or actual use of Consultant’s product or service under this Agreement. This provision shall survive termination or expiration of this Agreement.

If any product or service becomes, or in the Consultant’s opinion is likely to become, the subject of a claim of infringement, the Consultant shall, at its sole expense: (i) provide the City the right to continue using the product or service; or (ii) replace or modify the product or service so that it becomes non-infringing; or (iii) if none of the foregoing alternatives are possible even after Consultant’s commercially reasonable efforts, in addition to other available legal remedies, City will have the right to return the product or service and receive a full or partial refund of an amount equal to the value of the returned product or service, less the unpaid portion of the purchase price and any other amounts, which may be due to the Consultant. City shall have the right to retrieve its data and proprietary information at no charge prior to any return of the product or termination of service.

10. Confidentiality.
a. Consultant shall not acquire any ownership interest in data and information (“City Data”) received by Consultant from City, which shall remain the property of the City. Certain information may be considered confidential (“Confidential Information”). Confidential Information shall mean all non-public information or proprietary materials (in every form and media) disclosed or made available directly or indirectly through any means of communication, either verbally or in writing, to Consultant in connection with this Agreement. Unless otherwise required by law, Consultant shall not, without City’s written permission, use or disclose City Data and/or Confidential Information other than in the performance of the obligations under this Agreement. As between Consultant and City, all City Confidential Information shall remain the property of the City. Consultant shall not acquire ownership interest in the City’s Confidential Information.
b. Consultant shall be responsible for ensuring and maintaining the security and confidentiality of City Data and Confidential Information, protect against any anticipated threats or hazards to the security or integrity of City Data and Confidential Information, protect against unauthorized access to or use of City Data and Confidential Information that could result in substantial harm or inconvenience to City or any end users; and ensure the proper return and/or disposal of City Data and Confidential Information upon termination of this Agreement with notice to the City.
c. Consultant shall take appropriate action to address any incident of unauthorized access to City Data and Confidential Information, including addressing and/or remedying the issue that resulted in such unauthorized access, notifying City as soon as possible of any incident of unauthorized access to City

21.8 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 7
Data and Confidential Information, or any other breach in Consultant’s security that materially affects City or end users; and be responsible for ensuring compliance by its officers, employees, agents, and subcontractors with the confidentiality provisions hereof. Should confidential and/or legally protected City Data be divulged to unauthorized third parties, Consultant shall comply with all applicable federal and state laws and regulations, including but not limited to California Civil Code sections 1798.29 and 1798.82 at Consultant’s sole expense. Consultant shall not charge City for any expenses associated with Consultant’s compliance with these obligations.
d. Consultant shall defend, indemnify and hold harmless City, its officials, officers, employees and agents against any claim, liability, loss, injury or damage (including attorneys’ fee and costs) arising out of, or in connection with, the unauthorized use, access, and/or disclosure of City Data and/or Confidential Information by Consultant and/or its agents, employees or sub-contractors, excepting only loss, injury or damage caused by the sole negligence or willful misconduct of the City. This provision shall survive the termination or expiration of this Agreement.

11. Consultant's Records. Consultant shall maintain accurate accounting records and other written documentation pertaining to the costs incurred relating to this Agreement for examination and audit by the City, State, or federal government, as applicable, during the period of this Agreement, and for a period of at least five years from the date of the final City payment for Consultant's services, unless otherwise stated herein. If Consultant engages a subcontractor to perform work related to this Agreement with a cost of $10,000 or more over a 12 month period, such subcontract shall contain these same requirements. This provision shall survive the termination of this Agreement.

12. California Public Records Act. City is a public agency subject to the disclosure requirements of the California Public Records Act (“CPRA”). If Consultant’s proprietary information is contained in documents or information submitted to City, and Consultant claims that such information falls within one or more CPRA exemptions, Consultant must clearly mark such information “Confidential and Proprietary,” and identify the specific lines containing the information. In the event of a request for such information, City will make best efforts to provide notice to Consultant prior to such disclosure. If Consultant contends that any documents are exempt from the CPRA and wishes to prevent disclosure, it is required to obtain a protective order, injunctive relief or other appropriate remedy from a court of law in Santa Cruz County before the City is required to respond to the CPRA request. If Consultant fails to obtain such remedy within the time the City is required to respond to the CPRA request, City may disclose the requested information without any liability to Consultant.

Consultant further agrees that it shall defend, indemnify and hold City harmless against any claim, action or litigation (including but not limited to all judgments, costs, and attorney’s fees) that may result from denial by City of a CPRA request for information arising from any representation, or any action (or inaction), by the Consultant.

13. Compliance with Laws. All activities of Consultant, its employees, subcontractors and/or agents will be carried out in compliance with all applicable federal, state, and local laws and regulations.

14. Licensure. Consultant warrants that Consultant, its subcontractors and/or agents (if any) has/have complied with any and all federal, state, and local licensing requirements and agrees to provide proof of a current City of Santa Cruz Business Tax Certificate if:
• Consultant, its subcontractor(s) and agent(s) or its business is/are located in the City of Santa Cruz; • Will perform actual work in the City of Santa Cruz for 6 or more days annually; or • Will use company vehicles to deliver within the City of Santa Cruz for 6 or more days annually.

For additional information and licensing requirements, view the City’s Business Licenses and Permits webpage or call the Revenue and Taxation division at 831/420-5070.

21.9 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 8

15. Living Wage. Every contract for services to the City for $10,000 or more, is subject to City of Santa Cruz Living Wage Ordinance number 2000-25. If applicable, Consultant agrees to comply with the requirements of the Living Wage ordinance as provided in Santa Cruz Municipal Code Chapter 5.10.

16. Prevailing Wages for Public Work. To the extent that the work or services to be performed under this Agreement may be considered a “public work” (construction, alteration, demolition, or repair work) pursuant and subject to Labor Code section 1720 et seq., Consultant (and any subconsultant performing the work or services) shall conform to any and all prevailing wage requirements applicable to such work/and or services under this Agreement. Consultant (and any subconsultant) shall adhere to the prevailing wage determinations made by the Director of Industrial Relations (DIR) pursuant to California Labor Code Part 7, Chapter 1, Article 2, applicable to the work, if any. All workers employed in the execution of a public works contract (as such term is defined California Labor Code section 1720 et seq. and section 1782(d)(1)) must be paid not less than the specified prevailing wage rates for the type of work performed. (CA Labor Code sections 1720, 1774 and 1782.)
To the extent applicable to the scope of work and services under this Agreement, Consultant agrees to be bound by the state prevailing wage requirements, including, but not limited to, the following:
a. If a worker is paid less than the applicable prevailing wage rate owed for a calendar day (or any portion thereof), Consultant shall pay the worker the difference between the prevailing wage rate and the amount actually paid for each calendar day (or portion thereof) for which the worker(s) was paid less than the prevailing wage rate, as specified in Labor Code section 1775; b. Consultant shall maintain and make available payroll and worker records in accordance with Labor Code sections 1776 and 1812;
c. If Consultant employs (and/or is legally required to employ) apprentices in performing the work and/or services under this Agreement, Consultant shall ensure compliance with Labor Code section 1777.5; d. Consultant is aware of the limitations imposed on overtime work by Labor Code sections 1810 et seq. and shall be responsible for any penalties levied in accordance with Labor Code section 1813 for failing to pay required overtime wages;
e. Consultant shall post a copy of the applicable wage rates at each jobsite at a location readily available to its workers.
f. Any failure of Consultant and/or its subconsultant to comply with the above requirements relating to a public work project shall constitute a breach of this Agreement that excuses the City’s performance of this Agreement at the City’s sole and absolute option and shall be at the sole risk of Consultant. Consultant on behalf of itself and any subconsultant, agree to indemnify, defend and hold harmless the City and its officials, officers, employees, and agents from and against any and all claims, liabilities, losses, costs, expenses, attorney’s fees, damages, expenses, fines, financial consequences, interest, and penalties, of any kind or nature, arising from or relating to any failure (or alleged failure) of the Consultant and any subconsultant to pay prevailing wages or to otherwise comply with the requirements of prevailing wage law relating to a public work.
g. Consultant acknowledges that it and/or any subconsultant may not engage in the performance of any contract for public work unless currently registered with the DIR and qualified to perform public work pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)].

21.10 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 9

17. Storm Water Requirements. To the extent applicable to the Scope of Work under this Agreement, Consultant, Consultant’s employees, subcontractors, and agents are required to abide by the applicable City of Santa Cruz Storm Water Best Management Practices (BMPs) for the duration of the work. The City’s mandatory Storm Water BMPs, which are listed according to the type of work, operations, or business, are located on the City website at: https://www.cityofsantacruz.com/government/city-departments/public-works/stormwater/bestmanagement-practices

18. Dispute Resolution. The Parties agree to attempt in good faith to resolve through negotiation any dispute, claim or controversy arising out of or relating to this Agreement. Either party may initiate negotiations by providing written notice in letter form to the other party, setting forth the subject of the dispute and the relief requested. Promptly upon such notification, the Parties shall meet at a mutually agreeable time and place in order to exchange relevant information and perspective, and to attempt to resolve the dispute. In the event that no resolution is achieved, and if, but only if, the parties mutually agree, then prior to pursuing formal legal action, the parties shall make a good faith effort to resolve the dispute by non-binding mediation or negotiations between representatives with decision-making power, who, to the extent possible, shall not have had substantive involvement in the matters of the dispute. To the extent that the dispute involves or relates to a public works project, the Parties agree to attempt to resolve the dispute by complying with the claims process as set forth in Public Contract Code sections 9204(e), 20104-20104.6, but without waiving the requirements of the California Tort Claims Act, Gov’t Code section 800 et seq. unless otherwise agreed to by the Parties.

19. Force Majeure. Neither party hereto shall be considered in default in the performance of its obligation hereunder to the extent that the performance of any such obligation is prevented or delayed by an act of God, natural disaster, pandemic, acts of terrorism, war, or other peril, which is beyond the reasonable control of the affected party and without the negligence of the respective Parties. Each party hereto shall give notice promptly to the other of the nature and extent of any Force Majeure claimed to delay, hinder or prevent performance of the services under this Agreement. Each Party will, however, make all reasonable efforts to remove or eliminate such a cause of delay or default and will, upon the cessation of the cause, diligently pursue performance of its obligations in this Agreement. In the event either party is prevented or delayed in the performance of its respective obligation by reason of such Force Majeure, there may be an equitable adjustment of the schedule and Consultant compensation based on City’s sole discretion.

20. Complete Agreement. This Agreement, along with any attachments, is the full and complete integration of the Parties’ agreement with respect to the matters addressed herein, and that this Agreement supersedes any previous written or oral agreements between the Parties with respect to the matters addressed herein. Unless otherwise stated, to the extent there is any conflict between this Agreement and any other agreement (written or oral), the terms of this Agreement shall control.

21. Severability. The unenforceability, invalidity or illegality of any provision(s) of this Agreement shall not render the other provisions unenforceable, invalid or illegal.

22. Waiver. Waiver by any party of any portion of this Agreement shall not constitute a waiver of the same or any other portion hereof.

23. Governing Law. This Agreement shall be governed by and interpreted in accordance with California law.

24. Contract Interpretation. Each party acknowledges that it has reviewed this Agreement and that the normal rule of construction to the effect that any ambiguities are to be resolved against the drafting party shall not be employed in the interpretation of this Agreement.

21.11 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 10

25. MacBride Principles/Peace Charter. City of Santa Cruz Resolution NS-19,378 (7/24/90) encourages all companies doing business in Northern Ireland to abide by the MacBride Principles and Peace Charter.

26. Notices. If either party shall desire or is required to give notice to the other such notice shall be given in writing, via email and concurrently delivered by overnight Federal Express (or priority U.S. Mail), addressed to recipient as follows:

To CITY:

City of Santa Cruz Water Department
Rosemary Menard, Water Director
212 Locust St, Ste A
Santa Cruz, CA 95060
[email protected]
(831) 420-5200
To CONSULTANT:

Kennedy Jenks
Donald Ervin, Sr. Engineer
2350 Mission College Blvd., Suite 700
Santa Clara, CA 95054
[email protected]
(650) 852-2821
Changes to the above information shall be given to the other party in writing ten (10) business days before the change is effective.

27. Counterparts. The Parties may execute this Agreement in two or more counterparts, which shall, in the aggregate, be deemed an original but all of which, together, shall constitute one and the same instrument. A scanned, electronic, facsimile or other copy of a party’s signature shall be accepted and valid as an original.

28. Warranty of Authority. The signatories to this Agreement warrant and represent that each is authorized to execute this Agreement and that their respective signatures serve to legally obligate their respective representatives, agents, successors and assigns to comply with the provisions of this Agreement. [SIGNATURES ON FOLLOWING PAGE]

21.12 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 11
Approved As To Form:

By: _____________________________ Date: __________________ Office of the City Attorney

CITY OF SANTA CRUZ
By: _____________________________ Date: __________________ Matt Huffaker
City Manager

CONSULTANT
By: _____________________________ Date: __________________ Printed: ___________________________ Title: __________________ Technical Review By:

By: _____________________________ Date: __________________ Heidi Luckenbach, Water Director/ Engineering Manager

WATER DEPARTMENT
By: _____________________________ Date: __________________ Rosemary Menard
Water Director

21.13 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 12
EXHIBIT A: SCOPE OF WORK

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Exhibit A
Scope of Work
for
Engineering Design Services to Finalize Design of
SCWD and SVWD Intertie Pipeline and Pump Station
Project Understanding and Background
The design of the Santa Cruz Water Department (SCWD) – Scotts Valley Water District (SVWD) Intertie Pipeline and Pump Station was initiated in 2012 and was recently awarded grant funding by the California Department of Water Resources (DWR) because the pipeline can provide significant benefits for drought mitigation and regional water management. Kennedy Jenks developed the design of the pipeline and associated pump station to about a 70% level of completion in 2013 but the designs were not completed.

Scope of Work
Kennedy Jenks will provide professional engineering and technical services necessary to complete the design of the intertie pipeline and pump station and other related design services and to support construction. These services include conducting additional planning analyses to confirm water quality and hydraulic performance as well as designing approximately 1,000 lineal feet of additional pipeline so that the previously designed pipeline may be connected directly to the Pasatiempo Tank(s) rather than SCWD’s existing piping system in Sims Road. Additionally, proposed services include engineering services during construction of the pipeline and pump station. The work involves completing the following tasks.

Engineering Services During Design and Construction Bid/Award  Task 1: Project Management and Quality Control (Design Phase)  Task 2: Meetings
 Task 3: Public Outreach Support
 Task 4: Basis of Design Documentation
 Task 5: Surveying, Potholing and Geotechnical Investigation  Task 6: Engineering Support for CEQA
 Task 7: Pipeline and Pump Station Design
 Task 8: Permit & Electrical Service Support
 Task 9: Support During Bidding
 Task 10: Grant Administration Support (Design Phase)
Engineering Services During Construction
 Task 11: Project Management and Quality Control (Construction Phase)  Task 12: Meetings
 Task 13: Submittal Review
 Task 14: Responses to Requests for Information
 Task 15: Design Clarifications
 Task 16: Change Proposal Support

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 Task 17: Site Visits
 Task 18: Startup Assistance
 Task 19: Assistance at Substantial Completion
 Task 20: Grant Administration Support (Construction Phase)  Task 21: Record Drawings
 Task 22: As-Requested Services
The following are detailed descriptions of the proposed tasks.

Engineering Services During Design and Construction Bid/Award Kennedy Jenks will provide professional engineering services during the design and construction bid/award phase of the project as follows:

Task 1: Project Management and Quality Control (Design Phase) Kennedy Jenks will manage and coordinate its services during the project design and construction bid/award phases. This includes managing in-house staff and subconsultants, monitoring services provided and the related budget, and informing SCWD’s project manager of progress and technical issues as they arise.

Task 1.1: Project Setup and Health & Safety
Under this task, Kennedy Jenks will establish a Project account in its project documentation and accounting system to organize project documentation and track Project costs. Additionally, will negotiate and prepare agreements with subconsultants and prepare a Health Appraisal and Recognition Plan (HARP) for field activities.

Task 1.2: Project Oversight and Subconsultant Management This task involves overseeing and managing work tasks performed by Kennedy Jenks in coordination with activities of Kennedy Jenks’ subconsultants and SCWD. It also involves managing Kennedy Jenks’ subconsultants, preparing an initial project schedule and as needed, preparing project schedule updates. This task includes up to four (4) hours to support SCWD’s internal project approvals and includes preparation of PowerPoint slides and other materials for use by SCWD’s staff to brief senior SCWD management on the project status.

Task 1.3: Project Quality Control Plan
This task includes preparing a Project Quality Plan (PQP) based on SCWD’s standard template and providing a copy to SCWD’s project manager. It also includes holding a Concept and Criteria Review (C&CR) meeting internal to Kennedy Jenks toward the beginning of providing design services. The meeting involves a presentation, review and discussion of the project concepts and services to be provided between the project team members and members of Kennedy Jenks’ senior staff.

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Task 1.4: Project Accounting and Progress/Status Activity Reporting Kennedy Jenks will monitor the Project account in its project accounting system and prepare and electronically submit invoices for services to SCWD as well as monthly reports on progress using SCWD’s standard templates. Services include the use of SCWD’s standard templates for summarizing invoicing and activities during the then-current and next billing periods, and an Earned Value Analysis Report. Invoicing for services shall generally be grouped by task and subtask as presented in this Scope of Work. Additionally, Kennedy Jenks will maintain a project decision log which will be submitted monthly concurrent with invoices.

Deliverables:

1. Project schedule and updates, as needed

2. Project Quality Plan (PQP)

3. Monthly invoices and invoice summaries

4. Monthly Earned Value Analysis Reports
Task 2: Meetings
This task includes web-based Microsoft Teams meetings between Kennedy Jenks and SCWD’s project team. Kennedy Jenks will prepare and distribute an agenda prior to each meeting and a summary after each meeting concludes using SCWD’s standard meeting agenda and summary templates. The agendas and summaries will be provided in electronic form for SCWD’s review and records.

Kennedy Jenks shall prepare for and participate in the following meetings with SCWD. The meetings will be attended by up to three (3) Kennedy Jenks staff except as noted.

1. Project Kick-off Meeting

2. Bi-Weekly Check-in Calls

3. Draft Basis of Design Technical Memorandum (BOTM) Review Meetings

4. 70% Design Review Meetings

5. 95% Design Review Meetings
Task 2.1: Project Kick-off Meeting
Kennedy Jenks shall schedule, prepare for, and conduct one (1) virtual Project Kick-off Meeting with SCWD’s Project Manager, others identified by SCWD’s Project Manager, and up to three (3) Kennedy Jenks team members. For budgeting purposes, the meeting is anticipated to have a 3-hour duration. Agenda topics are anticipated to include confirmation of Project stakeholders; planned roles and responsibilities of SCWD and Kennedy Jenks staff; project scope, schedule, and budget; project controls processes; deliverables; milestones and other key dates; and key technical issues.

Task 2.2: Bi-Weekly Check-in Calls
Kennedy Jenks shall prepare for and conduct bi-weekly check-in calls with SCWD’s Project Manager and others identified by SCWD’s Project Manager. Each call will generally include a review of progress; discussion of items requiring feedback; discussion of outstanding issues requiring resolution; and a review of the status of scope, schedule and budget as

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appropriate. For the purposes of this scope of work and the related budget, a total of twenty (20) bi-weekly meetings during the project design phase are assumed. The calls are anticipated to have a 45-minute duration on average and will be attended by up to two (2) Kennedy Jenks staff. The project budget includes a total of sixty (60) hours for these services which includes effort for meeting preparation and the preparation of meeting agendas and summaries.

Task 2.3: Draft Basis of Design Technical Memorandum (BOTM) Review Meetings
Kennedy Jenks shall prepare for and hold two (2) meetings with SCWD related to the Draft BOTM. The first meeting will be held approximately one (1) week after submittal of the Draft BOTM during which Kennedy Jenks will review the recommendations included in the document.

The second meeting will be held toward the end of SCWD’s review period during which Kennedy Jenks will facilitate a discussion of SCWD’s comments on the report. SCWD will be provided twenty (20) business days to review and comment on the Draft BOTM. For budgeting purposes, each meeting is anticipated to be virtual and have a 2-hour duration.

Task 2.4: 70% Design Review Meetings
Kennedy Jenks shall prepare for and hold two (2) meetings with SCWD related to the 70% Design documents. The first meeting will be held approximately one (1) week after submittal of the 70% Design documents during which Kennedy Jenks will provide an overview of the document content. The second meeting will be held toward the end of SCWD’s review period.

During the meeting Kennedy Jenks will facilitate a discussion of SCWD’s comments on the 70% Design documents, update SCWD’s project team on the overall status of the project including the preparation of permit support documents for SCWD’s use with permit applications it prepares and the Kennedy Jenks’ preparation of other permit applications, facilitate the making of key decisions that will allow the project to continue to progress, and record next steps and follow-up action items/communications. For budgeting purposes, each meeting is anticipated to be virtual and have a 2-hour duration.

Task 2.5: 95% Design Review Meetings
Kennedy Jenks shall prepare for and hold two (2) meetings with SCWD related to the 95% Design documents. The first meeting will be held approximately one (1) week after submittal of the 95% Design documents during which Kennedy Jenks will provide an overview of the documents submitted as part of the 95% Design. The second meeting will be held toward the end of SCWD’s review period. During the meeting Kennedy Jenks will facilitate a discussion of SCWD’s review comments related to the documents, update SCWD’s project team on the overall status of the project including the preparation of permit support documents for SCWD’s use with permit applications it prepares and Kennedy Jenks’ preparation of other permit applications, facilitate the making of key decisions that will allow completion of the project design, and record next steps and follow-up action items/communications. For budgeting purposes, each meeting is anticipated to be virtual and have a 2-hour duration.

Deliverables:

1. Meeting Agendas

2. Meeting Summaries

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Task 3: Public Outreach Support
Kennedy Jenks will support SCWD’s public outreach efforts related to the project. This will include preparing project descriptions, figures, and other supporting materials required for public outreach and community meetings for SCWD’s use. In addition, Kennedy Jenks’ Project Manager will accompany SCWD’s Project Manager at up to two (2) in-person community meetings of durations up to three (3) hours to support SCWD’s Project Manager. Services will include preparing agendas and summaries for the community meetings attended by Kennedy Jenks’ Project Manager for SCWD’s use and distribution. Kennedy Jenks will provide up to forty (40) hours of services related to this task.

Task 4: Basis of Design Documentation
Since the original design documents for the intertie pipeline and pump station, estimated at 70% complete, were prepared in 2013, the design basis for the documents needs to be evaluated to confirm that it is reflective of current conditions which include reduced per capita demands, changes in planned operational strategies and infrastructure, current building and design codes, and other factors. Completion of the following tasks will culminate in the preparation of a brief Basis of Design Technical Memorandum (BOTM) to document current and anticipated future pipeline and pump station capacities, fire flow objectives, controls schemes, and operational considerations like dealing with stagnant water. The BOTM will include documentation that may be used to validate selection of the intertie alignment along La Madrona Drive for the California Environmental Quality Act (CEQA) environmental document related to services provided in Task 6 – Engineering Support for CEQA.

Task 4.1: Review Existing Documents and Summarize Design Criteria This task will include reviewing the following documentation and identifying information applicable to completing and documenting the design and CEQA permitting of the intertie pipeline and pump station along with identifying information that needs updating or developing to complete the design and permitting:
 Plans and specifications for the pipelines and pump stations prepared by Kennedy Jenks in 2013 and submitted to the California Department of Public Health for a previous grant application. These plans and specifications document the design of the following two pipelines and pump stations:

1. Intertie No. 1 and its associated pump station interconnecting the SCWD and SVWD water distribution systems (the pipeline and pump station of current interest), and

2. Intertie No. 2 and its associated pump station interconnecting the SVWD and the San Lorenzo Valley Water District (SLVWD) water distribution systems.

Subsequent to preparing the 2013 plans and specifications, Kennedy Jenks completed the design of the Intertie No. 2 pipeline and pump station, and these improvements were constructed as part of a separate project. The 2013 plans documenting the design of both the Intertie No. 1 and No. 2 pipelines and pump stations include fifty (50) drawing sheets as follows:
o 3 General Sheets
o 25 Civil Sheets
o 3 Architectural Sheets

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o 7 Structural Sheets
o 5 Mechanical Sheets
o 7 Electrical Sheets
 SCWD comments on the 2013 pipeline and pump station plans and specifications  Geotechnical Report for Regional Water Systems Emergency Interties No. 1 and 2 prepared by Haro, Kasunich & Associates (HKA) from December 2013 (2013 Geotechnical Report)
 Hydraulic model results from SCWD conducted in 2021 and for SVWD conducted in 2013
 Pasatiempo Tank #1 and #2 and Sims Road water pipeline record drawings  Other documents from SCWD’s, SVWD’s and Kennedy Jenks’ files related to the intertie pipeline and pump station designs such as the pipeline routing alternatives considered, the building code version used for the basis of design, pump selection, opinion of the probable cost of construction (OPCC), SCWD/SVWD fire flow standards, fire hydrant spacing, and SCWD instrumentation and controls (I&C) system assumptions  SCWD’s Design Submittal Checklists for the Santa Cruz Water Program dated June 2018
 SCWD’s CAD Production Manual (CAD Manual) dated April 2020 Deliverables:

1. Summary technical memorandum of the existing documentation and the identification of documentation and project elements that need to be updated, completed, or developed to complete the design of the intertie pipeline and pump station

2. Documentation of up to two (2) alternative pipeline alignments sufficient for the CEQA environmental document

3. Summary of key assumptions used in the 2013 design related to code/building standards, electrical and I&C design, mechanical design, structural and architectural design, and other design-related standards and criteria for the Task 4.4 Basis of Design Technical Memorandum.

Task 4.2: Hydraulic Modeling
This task is to conduct hydraulic modeling to assess expected performance of the intertie pipeline under SCWD and SVWD operating conditions. The modeling is intended to identify potential issues/bottlenecks or other limitations that could affect intended project/intertie performance. SCWD has conducted static and fire flow modeling on the intertie pipeline that is documented in a technical memo prepared by HDR dated December 17, 2021, which will be the starting point for the analysis. Additionally, an existing model of the SVWD water distribution system will be utilized. Services exclude modeling of the existing intertie between the SVWD and San Lorenzo Valley Water District (SLVWD) water distribution systems and modeling of the SLVWD water distribution system. This task includes:
 Updating the existing calibrated model that includes the intertie extension to the Kite Hill tank, to be provided by SCWD, to include the proposed intertie booster pump station.  Merging the updated SCWD model with the existing model of the SVWD water distribution system.

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 Using the updated and merged models to evaluate the following anticipated operating scenarios:

1. SVWD delivering 1 million gallons per day (MGD) to SCWD in summer months (June to October)

2. SCWD transferring 2 MGD to SVWD during winter/low-demand period (1 MGD for SVWD demands for in-lieu conjunctive use and 1 MGD for ground water injection)

3. SCWD delivering 2 MGD during Spring/Summer (March, April, May, June). Similar to Scenario 2 but with reduced system demands and would assume activation of the intertie between SVWD and SLVWD (Intertie No. 2) to deliver 1 MGD for SVWD, and 1 MGD for SLVWD. No modeling of the SLVWD system is included.

4. Fire flows for the intertie when the intertie is pressurized but not conveying water.

5. Extended period simulation for water age for one of the above scenarios to evaluate dead-end pipeline conditions.

Services exclude modeling beyond that described. Additional modeling can be conducted under Task 22 – As-Requested Services as authorized by SCWD.

Deliverables:

1. Summary of hydraulic modeling results including key demand assumptions for the Task

4.4 Basis of Design Technical Memorandum.

Task 4.3: Desktop Water Quality/Corrosion Evaluation
Kennedy Jenks will evaluate the water quality characteristics of surface water from the SCWD Graham Hill Water Treatment Plant blended with ground water from SVWD. Water quality data for each water will be collected by the agencies and provided to Kennedy Jenks. This shall include, but not necessarily be limited to, pH, oxidation-reduction potential (ORP), dissolved oxygen, chlorine residual, calcium, temperature, total dissolved solids (TDS), specific conductivity, alkalinity, chloride concentration, sulfate concentration, disinfection byproducts (TTHM and HAAs), orthophosphate, and polyphosphate.

Additionally, SCWD will prepare up to three blends of the source waters (e.g., 50/50, 25/75, 75/25) and collect water quality data for the blends. Kennedy Jenks will evaluate up to three water blends for resultant key conservative and non-conservative water quality constituents. A Rothberg-Tamburini-Winsor (RTW) water quality model will be used as needed to determine blended water quality. Data regarding disinfectant residual and corrosion inhibition, including corrosion control treatment requirements, will be collected on both water sources and provided to Kennedy Jenks.

Water quality and key corrosion indices (e.g. Langelier Saturation Index (LSI), Carbonate Precipitation Potential (CCPP), and Larson Index) will be developed for each blend and compared to water quality characteristics recommended for protection of infrastructure due to corrosion. Analysis will include developing chloride-to-sulfate mass ratios (CSMRs) to assess lead release potentials and Pourbaix diagrams for pH/ORP will be assessed to evaluate the effect of pH and ORP on corrosion potential and scale stability. Additionally, Kennedy Jenks will consider potential impacts that changes in source water may have in the distribution systems (e.g., disruption of pipe scale and/or biofilms). Kennedy Jenks will also review existing data on disinfection byproducts provided by SCWD and water age estimates developed as part of the

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hydraulic modeling under Task 4.2 and provide an opinion regarding potential impacts that blending source waters may have on disinfection byproducts.

If warranted, Kennedy Jenks will provide recommendations for an enhanced sampling program to be implemented during intertie operations to support updates to SCWD’s State Water Resources Control Board, Division of Drinking Water (DDW) permit for a new source water under Task 8.

Deliverables:

1. Summary technical memorandum of the water quality data for SCWD water and SVWD water, data analysis and modeling results, disinfection byproducts, and corrosion prevention recommendations when blending waters for the Task 4.4 Basis of Design Report.

Task 4.4: Basis of Design Technical Memorandum Preparation The summaries and documentation prepared under Tasks 4.1 through 4.3 will be concisely summarized in a Draft BOTM that will be submitted to the SCWD for review. Copies of the summaries and documentation prepared under Task 4.1 through 4.3 will be incorporated into the BOTM as appendices. One round of comments on the draft BOTM from the SCWD will be incorporated into the final BOTM. It is assumed that comments from all SCWD reviewers will be provided as tracked changes in one (1) .DOC file.

Deliverables:

1. Draft BOTM (electronic; .DOC and .PDF)

2. Final BOTM (electronic; .PDF)
Task 4.5: Basis of Design Technical Memorandum Updates
As indicated in Task 7, Kennedy Jenks will use the BOTM to prepare the 70% Design documents. As the project design progresses to 95% and 100% complete, Kennedy Jenks will revisit the BOTM and prepare updates as appropriate to document revisions resulting from the design progression. These updates will be prepared as amendments to the original Final BOTM and submitted concurrent with the 95% and 100% Design deliverables. The project budget includes a total of twenty (20) hours to prepare up to two (2) BOTM amendments.

Deliverables:

1. BOTM Amendments (electronic; .DOC and .PDF)
Task 5: Surveying, Potholing and Geotechnical Investigation Kenney Jenks will engage C2G Consultants (C2G) to perform topographical and property boundary surveying. Additionally, C2G will engage a potholing subcontractor and coordinate

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potholing of critical existing utilities. Kennedy Jenks will also engage HKA to provide geotechnical engineering consultation.

Task 5.1: Surveying
Kennedy Jenks will coordinate the work of its surveying subconsultant, C2G, who will conduct a topographical and property boundary survey for the planned alignment of the pipeline extension between Sims Road and the SCWD Pasatiempo Tank which is on private property. C2G will review available information including location of survey monuments and existing easement descriptions, conduct a field survey program, and provide survey results in AutoCAD on the same datum as the survey it previously conducted for the intertie pipeline and pump station.

This will include depicting existing easements along the planned alignment of the pipeline extension. C2G will also conduct additional field surveying as needed to supplement the survey it previously conducted for the pipeline and pump station. Additional support related to property acquisition such as metes and bounds descriptions can be provided under Task 22 – AsRequested Services as authorized by SCWD.

Task 5.2: Potholing
Kennedy Jenks’ surveying subconsultant, C2G, will contract with a potholing subcontractor to pothole existing utilities along the pipeline alignment. Utilities shall include storm drains and other utilities crossing the alignment and communication and gas lines running parallel to the alignment. Kennedy Jenks will incorporate the findings from the potholing into the design drawings. The budget allows for potholing existing utilities at up to twenty-eight (28) locations over a 3-day period. Services include traffic control and pavement patching.

Task 5.3: Geotechnical Investigation
Kennedy Jenks will coordinate the work of its geotechnical subconsultant, HKA, who will conduct a geotechnical investigation of the planned alignment of the pipeline extension from Sims Road up to the SCWD Pasatiempo Tank(s) which is on private property. HKA will conduct a prework site visit, review available geotechnical information, place a call to Underground Service Alert (USA), utilize an independent utility locator to check for existing utilities at boring hole locations, conduct a field exploration program consisting of up to two (2) borings to depths of 20 feet or sampler refusal and related sampling and laboratory work, conduct geotechnical analyses, and prepare a supplement to its 2013 Geotechnical Report. The supplement will include HKA’s seismic design recommendations based on the 2019 California Building Code (CBC).

HKA will also conduct soil sampling and analysis to support an assessment of the risk of soil contamination by lead paint and other potential contaminants near the Pasatiempo Tank. These services will include hand-augering three (3) borings to depths of 5 to 10 feet (or refusal) to collect soil samples and analyzing the samples for petroleum hydrocarbons, BTEX, pesticides, PCBs, and heavy metals. Findings will be documented in the supplement to HKA’s 2013 Geotechnical Report. This sampling and analysis will supplement a high-level evaluation of potential hazardous materials to be conducted by SCWD’s CEQA Consultant independent of the services provided by Kennedy Jenks.

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Task 6: Engineering Support for CEQA
Kennedy Jenks will provide engineering support to SCWD and its CEQA consultant on an asneeded basis during the CEQA process and preparation of a Negative Declaration for the intertie project. This is anticipated to primarily include review of the project description, preparation of exhibits to support permitting and related public outreach. Up to ten (10) hours of effort is budgeted for this task.

Task 7: Pipeline and Pump Station Design
Using the prior design prepared for the CDPH grant application, Kennedy Jenks will prepare plans and technical specifications suitable for public bidding of the construction of the following three items:

1. Approximately 8,100 linear feet of pipeline along La Madrona Drive between Sims Road and the new Pump Station located about 650 feet north of the junction of La Madrona Drive and Silverwood Road and approximately 140 linear feet of pipeline between the new Pump Station to a connection to SVWD’s distribution system

2. Pump Station including architectural, structural, electrical and instrumentation and controls

3. New pipeline extension of approximately 1,000 feet between Sims Road and the Pasatiempo Tank
The design of Items 1 and 2 above were brought to about a 70% level of completion in 2013.

Related existing plans and technical specifications will be reviewed for completeness and items that need completing, updating, or developing will be identified and summarized under Task 4.1.

Additional drawings will be prepared to show the pipeline between Sims Road and the Pasatiempo Tank(s). The design will be developed in three phases with interim submittals as follows:

Task 7.1: 70% Design
Under this task, Kennedy Jenks will perform engineering analyses and prepare related documentation needed to revise the design of the previously designed pipeline and pump station to address the items identified in the BOTM developed under Task 4.4. Additionally, Kennedy Jenks will revise the existing plans as needed to incorporate revisions to address the items identified in the BOTM, conform to the SCWD’s CAD Production Design Manual (CAD Manual) dated April 2020, and generally comply with SCWD’s Design Submittal Checklists for 30% and 60% Designs related to pump station and pipeline projects. Services will include preparing a process and instrumentation diagram for the pump station and developing the design of the new pipeline extending between Sims Road and the Pasatiempo Tank to a 70% level of completion utilizing survey and geotechnical data collected as part of Task 5. For budgeting purposes, revisions of the plans to conform to SCWD’s CAD Manual are assumed to include those related to the title sheet, drawing borders, and sheet numbering (sheet types and related file naming/structuring).

Services will also include editing the existing technical specifications as needed to incorporate revisions to address the items identified in the BOTM and generally conform to SCWD’s Design Submittal Checklists for 30% and 60% Designs. In addition, services will include reviewing SCWD’s standard Division 0 and Division 1 specifications for coordination of the technical

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specifications and to identify suggestions for tailoring the Division 1 specifications for the project. Suggested Division 1 revisions will be provided as comments and tracked revisions in a .DOC version of the specifications prepared and provided by SCWD.

Further, services will include preparing an Opinion of Probable Construction Cost (OPCC) equivalent to a Class 3 Estimate as defined by AACE International and a conceptual construction schedule. The purpose of the schedule will be to determine an allowable duration for construction.

Deliverables:

1. 70% Design Plans

2. 70% Design Technical Specifications

3. Suggested revision to SCWD’s standard Division 1 specifications

4. Class 3 OPCC

5. Conceptual Construction Schedule
Task 7.2: 95% Design
This task will include the developing the plans and technical specifications to a 95% level of completion. The documents will reflect SCWD’s comments on 70% Design documents provided to Kennedy Jenks. They will also reflect design elements related to encroachment permit requirements (County of Santa Cruz, City of Scotts Valley, and Caltrans) and PG&E’s requirements for the new electrical service for the pump station. The documents will generally comply with SCWD’s Design Submittal Checklists for 90% Designs related to pump station and pipeline projects.

Additionally, Kennedy Jenks will incorporate the revisions to SCWD’s standard Division 1 specifications proposed as part of the 70% Design and accepted by SCWD. The 95% Design submittal will include a copy of SCWD’s standard Division 0 and revised Division 1 specifications.

Kennedy Jenks will review the OPCC prepared for the 70% Design and update it as appropriate to reflect the additional detail included in the 95% Design documents. The 95% Design OPCC will be a Class 2 Estimate as defined by AACE International. Additionally, the conceptual construction schedule developed for the 70% Design will be reviewed and updated as appropriate.

Kennedy Jenks will prepare and provide written responses to comments on the 70% Design documents received from SCWD as part of the 95% Design submittal. Further, as appropriate, Kennedy Jenks will provide an amendment to the BOTM prepared under Task 4.5.

Deliverables:

1. 95% Design Drawings

2. 95% Design Technical Specifications

3. SCWD Standard Division 0 Specifications

4. Project-specific Division 1 Specifications

5. Class 2 OPCC

6. Update to Conceptual Construction Schedule

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7. Responses to 70% Design Comments

8. BOTM Amendment (see Task 4.5)
Task 7.3: Final Design
This task will include developing the plans and technical and front-end (Division 0 and 1) specifications to a 100% level of completion, applying a professional engineer’s signed seal to the documents, and generally preparing the documents for the SCWD’s use in soliciting bids for construction of the project. The documents will reflect SCWD’s comments on the 95% Design documents provided to Kennedy Jenks. As needed, they will also reflect revisions to design elements related to encroachment permit requirements and PG&E’s requirements for the new electrical service for the pump station.

Kennedy Jenks will review the OPCC prepared for the 95% Design and update it as appropriate to coordinate with the Final Design documents. The Final Design OPCC will be a Class 2 Estimate as defined by AACE International. Additionally, the conceptual construction schedule will be reviewed and updated as appropriate.

Kennedy Jenks will prepare written responses to comments on the 95% Design documents received from SCWD as part of the Final Design submittal. Further, as appropriate, Kennedy Jenks will provide an amendment to the BOTM prepared under Task 4.5.

Deliverables:

1. Final Design Drawings

2. Final Design Technical Specifications

3. Final Design Standard Division 0 and 1 Specifications

4. Class 2 OPCC

5. Update to Conceptual Construction Schedule

6. Responses to 95% Design Comments

7. BOTM Amendment (see Task 4.5)
Task 8: Permit & Electrical Service Support
This task includes supporting SCWD in its pursuit of the following permits and applications:

Task 8.1: Water Board Division of Drinking Water Permit Services relate to SCWD’s pursuit of an updated/amended water supply permit from the State Water Resources Control Board, Division of Drinking Water (DDW) to incorporate a new source of supply from SVWD. This task will include preparing a Draft and Final Engineering Report and Operations Plan to evaluate operational and water quality and/or corrosion effects to SCWD using the analyses conducted in Tasks 4.2 and 4.3. This task includes up to two (2) 1-hour phone calls or virtual meetings with SCWD and DDW staff attended by up to two (2) Kennedy Jenks staff to coordinate preparing the updated/amended permit and confirm the required content for the reports. Services include preparing brief email-based meeting summaries.

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Task 8.2: PG&E Electrical Service
Services including preparing an application for a new PG&E Electrical Service for the new pump station and related coordination. This task will include up to two (2) 1-hour coordination calls with PG&E, one (1) field meeting with PG&E of up to six (6) hours duration (including travel time) and preparing an online PG&E application for a new power service. Up to twenty-five (25) hours of effort is budgeted for this task.

Task 9: Support During Bidding
Kennedy Jenks will provide up to forty (40) hours of support to SCWD on an as-needed basis during construction bidding, bid review, contract award, and issuance of Notice to Proceed (NTP) for construction. Bidding support will include attending one (1) in-person combined prebid meeting and site walk coordinated and led by SCWD, responding to contractor questions, assisting SCWD with preparing up to three (3) addenda, and attending one (1) virtual bid opening. Kennedy Jenks will review an agenda for the pre-bid meeting prepared by SCWD and provide comments. Additionally, Kennedy Jenks will provide a high-level overview of the construction scope of work during the pre-bid meeting. Additional support related to preparing conformed construction documents may be provided under Task 22 – As-Requested Services as authorized by SCWD.

Task 10: Grant Administration Support (Design Phase)
Kennedy Jenks will provide support to SCWD and the entity it selects to assist with administration of the DWR grant that will be used to fund the design phase of the project.

SCWD anticipates engaging Regional Water Management Foundation, Community Foundation Santa Cruz County (CFSCC) to assist with grant administration. Kennedy Jenks’ services will include facilitating monthly coordination meetings of up to 1-hour duration between SCWD, SVWD, CFSCC, and Kennedy Jenks and preparing a summary for each meeting in an e-mail format. As the design engineer of record, services will also include reviewing and signing claims for grant funding reimbursement and related substantiating documentation prepared by CFSSC.

Additionally, Kennedy Jenks will address questions regarding grant funding reimbursement as it pertains to the project design posed by SCWD, SVWD, and CFSCC. Further, Kennedy Jenks will supplement its invoicing for services with documentation as needed for CFSCC’s compliance with quarterly grant disbursement request requirements and reporting. The project budget includes a total of sixty (60) hours for these services.

Deliverables:

1. Coordination call summaries (electronic, email format)

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Engineering Services During Construction
Kennedy Jenks will provide professional engineering services during the construction phase of the project as follows:

Task 11: Project Management and Quality Control (Construction Phase) Kennedy Jenks will manage and coordinate its services during the project construction phase.

This includes managing in-house staff and subconsultants, monitoring services provided and the related budget, and informing SCWD’s project manager of progress and technical issues as they arise.

Task 11.1: Project Oversight and Subconsultant Management This task involves overseeing and managing work tasks performed by Kennedy Jenks in coordination with activities of Kennedy Jenks’ subconsultants and SCWD. It also involves managing Kennedy Jenks’ subconsultants. This task includes up to four (4) hours to support SCWD’s internal project approvals during the project construction phase and includes preparation of PowerPoint slides and other materials for use by SCWD’s staff to brief senior SCWD management on the project status.

Task 11.2: Project Accounting and Progress/Status Activity Reporting Kennedy Jenks will monitor the Project account in its project accounting system during the project design phase and prepare and electronically submit invoices for services to SCWD as well as monthly reports on progress using SCWD’s standard templates. Services include the use of SCWD’s standard templates for summarizing invoicing and activities during the thencurrent and next billing periods, and an Earned Value Analysis Report. Invoicing for services shall generally be grouped by task and subtask as presented in this Scope of Work.

Deliverables:

1. Monthly invoices and invoice summaries

2. Monthly Earned Value Analysis Reports
Task 12: Meetings
Kennedy Jenks will participate in the following meetings with SCWD and, as appropriate, construction contractor:
 Pre-Construction Meeting
 Construction Progress Meetings
 As-Needed Project-Specific Meetings
Task 12.1: Preconstruction Conference
Kennedy Jenks will participate in one (1) virtual/web-based Pre-construction Meeting with SCWD and the Contractor with up to two (2) Kennedy Jenks team members. For budgeting purposes, the meeting is anticipated to have a 3-hour duration. It is assumed that SCWD or its Construction Management (CM) Team will schedule and lead the meeting and develop the

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meeting agenda and summary. The meeting is anticipated to include discussions of the construction team’s roles and responsibilities; project scope, schedule, and constraints; project control processes; deliverables; milestones and other key dates; and key technical issues. With the allocated budget, Kennedy Jenks will provide comments on the meeting agenda prepared by SCWD or its designate, an overview of the project construction scope, and address projectrelated questions during the meeting.

Task 12.2: Construction Progress Meetings
Kennedy Jenks will attend virtual/web-based construction progress meetings scheduled, led, and facilitated by SCWD or its CM Team. It is assumed the meetings will be weekly throughout the construction duration (assumed to be sixteen (16) months) and that SCWD or its CM Team will prepare related agendas and summaries. For budgeting purposes, it is assumed meetings will be of 1-hour average duration and attended by up to two (2) Kennedy Jenks staff.

Task 12.3: As-Needed Project-Specific Meetings
This task includes Kennedy Jenks’ attendance at virtual/web-based meetings convened by SCWD or its CM Team that are held in addition to the regularly scheduled Bi-Weekly Check-In Calls and Construction Progress Meetings to address project-specific issues. This may include meetings with various project stakeholders such as the County of Santa Cruz, City of Scotts Valley, SVWD, Caltrans, etc.; or meetings with the Contractor to address specific construction issues that require a forum outside of routine construction progress meetings. It is assumed SCWD will prepare related meeting agendas and summaries. The allocated budget allows for a total of twenty (20) hours of Kennedy Jenks’ staff time.

Deliverables:

1. Written Comments on Agenda for Pre-Construction Conference Prepared by SCWD Task 13: Submittal Review
Kennedy Jenks will receive, log, and review the construction submittals prepared by the contractor and forwarded by SCWD. Kennedy Jenks will provide SCWD written comments and a recommended review disposition on each submittal in the form of a shop drawing review letter (SDRL) for SCWD’s (or its CM Team’s) distribution to the contractor within an average of fifteen (15) working days of receipt of a submittal from SCWD. The allocated budget provides for the review of up to a combined total of one hundred eighty (180) submittals, including resubmittals allowing an average review time of five (5) hours for each submittal for receiving, logging, and reviewing and preparing an SDRL. Reviews shall be limited to submittals related to the project technical design developed by Kennedy Jenks and its subconsultants. It is expected that SCWD or its CM Team will review submittals related to specification Divisions 0 and 1.

Deliverables:

1. Shop Drawing Review Letters (SDRLs): One (1) electronic copy for each submittal/resubmittal (Adobe .PDF format).

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Task 14: Responses to Requests for Information
Kennedy Jenks will receive, log, and respond to requests for information (RFIs) related to the technical design of the planned improvements. This includes requests generated by the Contractor (“formal” RFIs) and requests and inquires generated by SCWD and/or its CM Team (“informal” RFIs). Responses to formal RFIs will be formally documented whereas responses to informal RFIs may or may not be documented (responses may be verbal or by e-mail). RFI responses shall be provided to SCWD or its CM Team for dissemination to the Contractor within an average of ten (10) working days of receipt of an RFI. This scope of work and the related budget includes addressing up to eighty (80) RFIs with an allotted average handling time of five (5) hours each for receiving, logging, reviewing, and preparing a response.

Deliverables:

1. RFI Responses: One (1) electronic copy for each RFI (Adobe .PDF format) Task 15: Design Clarifications
Under this task, as needed, Kennedy Jenks will prepare documentation to clarify, amend, or supplement the technical design presented in the contract documents. Additionally, Kennedy Jenks will develop the design and details of possible additional construction work not included in the construction contract that may be determined desirable or necessary after construction commences. Kennedy Jenks will provide the related documentation to SCWD or its CM Team for distribution to the Contractor as a Change Order, Work Change Directive, Field Order, or other document of SCWD’s choosing. The budget allocated for this task provides for preparing documentation for up to five (5) design clarifications allowing up to twelve (12) hours to process and prepare designs, narratives, and sketches or drawings as necessary to support each clarification.

Deliverables:

1. Design Clarification Memorandums: One (1) electronic copy for each memorandum (Adobe pdf format).

Task 16: Change Proposal Support
As requested, Kennedy Jenks shall assist SCWD or its CM Team in the evaluation of Change Proposals related to the project technical design prepared and submitted by the Contractor.

Assistance will include reviewing notices and correspondence related to the Change Proposals, assessing whether the Change Proposal scope of work is part of the initial construction contract scope of work, and providing a written assessment of the purported change. Additionally, as requested, Kennedy Jenks will assist SCWD and its CM Team by providing a high-level assessment of the validity of the monetary value of the Change Proposal. It is assumed that SCWD and its CM Team will take primary responsibility for evaluating and responding to Change Proposals. This task provides as-needed support to assist in the review of up to four (4) Change Proposals allowing for an average of four (4) hours for each. It is assumed that each Change Proposal will pertain to only one (1) change in the construction contract scope of work.

Deliverables:

1. One (1) written assessment of each Change Proposal (electronic, Adobe .PDF format)

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Task 17: Site Visits
Kennedy Jenks staff (up to two (2)) will make up to four (4) visits to the project construction site.

Visits will be coordinated with SCWD or its CM Team and durations will average approximately six (6) hours each including travel to, from, and around the site. During the visits, Kennedy Jenks will observe the general quality and progress of the work, assess general adherence of the construction to the contract documents, conduct code-required observations of structural construction in accordance with Chapter 17 of the California Building Code (CBC), and review and discuss specific construction issues with SCWD, its CM Team, and/or Contractor. For each site visit, Kennedy Jenks shall prepare a site observation memorandum documenting the areas visited and summarizing general observations as they relate to conformance of the construction to the design documents. Kennedy Jenks’ observations will not be exhaustive and therefore not considered an inspection of the work performed by the Contractor, in whole or in part, and shall be considered supplemental to SCWD’s or its CM Team’s observations.

Deliverables:

1. Site observation memorandum: One (1) for each site visit (electronic, Adobe .PDF format)
Task 18: Startup Assistance
Prior to pump station startup, Kennedy Jenks will review the startup and testing plan for the pump station prepared by the contractor and provide written comments on the plan to SCWD or its CM Team. In addition, K/J will assist SCWD or its CM Team with observation of the Contractor’s startup of the new facilities and provide related assistance. Assistance will be provided via telephone or onsite, as necessary. This scope of work includes an allowance of thirty-two (32) hours total of startup assistance. This includes one (1) Kennedy Jenks team member being onsite for up to two (2) days during startup to assist with startup observation, troubleshooting, and system adjustments.

Deliverables:

1. Comments on Contractor’s Pump Station startup and testing plan (electronic, Adobe .PDF format)
Task 19: Assistance at Substantial Completion
Services include assisting SCWD or its CM Team with assessments of the completeness of construction at Project Substantial Completion. This includes accompanying SCWD or its CM Team during one (1) onsite assessment of the construction completion at project substantial completion and assisting with the preparation of one (1) corrective work item list (punch list).

The scope of work includes an allowance of up to ten (10) hours total for assisting with the onsite assessment and preparing a corrective work item list.

Deliverables:

1. Corrective Work Item List (Punch List): One (1) electronic copy (electronic, Adobe .PDF format)

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Task 20: Grant Administration Support (Construction Phase) Kennedy Jenks will provide support to SCWD and the entity it selects to assist with administration of the DWR grant that will be used to fund the construction phase of the project.

SCWD anticipates this entity to be CFSCC. Services will include facilitating monthly coordination meetings of up to 1-hour duration between SCWD, SVWD, CFSCC, and Kennedy Jenks and preparing a summary for each meeting in an e-mail format. As the design engineer of record, services will include reviewing and signing claims for grant funding reimbursement and related substantiating documentation prepared by CFSSC. Additionally, Kennedy Jenks will address questions regarding grant funding reimbursement as it pertains to the project construction posed by SCWD, SVWD, and CFSCC. Further, Kennedy Jenks will supplement its invoicing for services with documentation as needed for CFSCC’s compliance with quarterly grant disbursement requests and reporting. The project budget includes a total of sixty (60) hours for these services.

Deliverables:

1. Coordination call summaries (electronic, email format) Task 21: Record Drawings
Kennedy Jenks will prepare Record Drawings of the Plan sheets originally prepared by the Kennedy Jenks team for the Project. The Record Drawings shall reflect changes to the 100% bid documents made through construction as marked/noted by the Contractor, SCWD, and/or its CM Team on a set of As-Built Mark-Ups. Services exclude researching RFIs, design clarifications, change orders, etc. issued for the Project to determine the changes to be captured on the Record Drawings. Kennedy Jenks shall provide one (1) electronic copy of the Record Drawing set. The allocated budget is based on an assumed 2-hour average of combined engineering and drafting effort to prepare each sheet of the Record Drawings.

Deliverables:

1. Draft Record Drawings (electronic, Adobe .PDF format)

2. Final Record Drawings (electronic, Adobe .PDF format) Task 22: As-Requested Services
Kennedy Jenks understands that additional services may be required for the project. These services will be provided on a cost reimbursable basis when authorized by SCWD. A total of $60,000 is assumed for these services for budgeting purposes. Additional services could include:
 Additional hydraulic modeling scenarios
 Additional meeting support
 Additional geotechnical services during construction
 Additional construction oversight/observation
 Preparation of responses to additional submittals and/or RFIs and/or design clarifications  Assistance with preparation of Operations and Maintenance Manuals  Assistance with Operator Training

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Assumptions
The Scope of Work is based on the following assumptions:
 Combined duration of services related to the project Design and Bidding/Award phases will not exceed ten (10) months.
 Duration of services related the project Construction phase will not exceed sixteen (16) months.
 Unless otherwise noted, all deliverables will be electronic, .PDF format. Final design drawings will also be provided in AutoCAD 2018 format. Services exclude providing hardcopies of deliverables.
 Unless otherwise noted, SCWD and other stakeholders will provide comments on each draft and interim deliverable within twenty (20) business days of receiving the deliverable.
 Comments generated by SCWD and other stakeholders regarding each deliverable will be provided to Kennedy Jenks as a single, consolidated set of comments in a tabular format and/or a single .DOC file with comments/revisions tracked. Disparities between comments will be resolved by SCWD prior to the SCWD providing the comments to Kennedy Jenks.
 SCWD will provide templates for invoicing, earned value, schedule, risk register, and quality management plan for use in managing the project.  The entity SCWD selects to assist with DWR grant management will provide templates required for grant administration specific to Kennedy Jenks’ services for Kennedy Jenks’ completion. The grant management entity will transfer/integrate the information Kennedy Jenks provides into grant-required documentation and transmit the documentation to DWR. Kennedy Jenks shall rely upon the grant management entity to prepare documentation that is correct and accurate and that complies with grant requirements.

Quarterly reporting will include 1) estimated work percent completed, 2) work accomplished during the reporting period, 3) work anticipated for the next reporting period, 4) meeting held or attended, 5) list of deliverables submitted during the reporting period, and 6) invoice projections for the next two quarters.  Unless otherwise indicated, meetings will be held as web-based video/conference calls using Microsoft Teams.
 SCWD will lead and coordinate public outreach efforts.  SCWD and SVWD will provide Innowyze calibrated model files and any associated documentation and shall confirm proper model operation before providing a copy of each model to Kennedy Jenks. Services exclude modeling of the SLVWD system.  Modeling is limited to the intertie pipeline and excludes services related to modeling either the existing SCWD or SVWD systems.
 Services exclude the preparation of traffic control plans. Bid documents will require the construction contractor to prepare and submit traffic controls plans to the authorities having jurisdiction for approval and finalization of encroachment permits.  SCWD will provide copies of its standard Division 0 and 1 specifications as .DOC documents.
 SCWD will provide copies of record drawings for the Pasatiempo tank(s) and Sims Road water pipeline as .PDF documents.
 Conceptual construction schedules prepared by Kennedy Jenks will be general in nature (showing only major, high-level activities) and based on estimates of construction durations. Their purpose is to determine an allowable construction contract duration.

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 Services exclude support related to encroachment permits from the County of Santa Cruz, City of Scotts Valley, and Caltrans.
 Services include attending one (1) in-person combined pre-bid meeting and site walk.  Services exclude construction management (e.g., construction contract administration) and construction inspection.
 Services exclude training on the operation of the constructed equipment/processes. It is assumed contractor-required training will be sufficient.  Construction submittal review excludes the review of construction schedule updates, schedules at values, bills/lists of materials, progress reports, erosion control plans, and similar documents related to Specification Divisions 0 and 1 that are not related to the technical aspects of the project design. It is assumed these types of submittals will be reviewed by SCWD or its designated construction management consultant.  Services exclude geotechnical engineering services during construction including soils sampling and testing.
 Services exclude surveying during construction.
 Services exclude materials sampling and testing during construction, e.g., concrete sampling/testing, pull testing of post-installed anchor bolts, etc.  Services exclude preparing operation and/or maintenance manuals.  SCWD will obtain rights of access and generally facilitate access to privately owned properties for the purposes of surveying and geotechnical exploration and coordination of property rights documentation prior to these activities.  Property rights needs at the Pump Station site will involve acquisition of an easement from the Scotts Valley Fire District and not property subdivision and purchase.  Services exclude appraising, negotiating and/or acquiring rights to real property and real property purchases.
 SCWD will notify owners of private utilities to mark the utilities prior to subsurface exploratory drilling or otherwise confirm the absence of utilities at planned borehole locations.

21.34 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 13
EXHIBIT B: FEE SCHEDULE

21.35 Proposal Fee Estimate
CLIENT Name:

PROJECT Description:

Proposal/Job Number: Date:

Santa Cruz Water DepartmentEngineering Design Services to Finalize Design of SCWD and SVWD Intertie Pipeline and Pump Station 9/14/2022
September 1, 2022 Rates KJ Sub Sub KJ KJ KJ
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Hourly Rate: $295 $275 $275 $275 $275 $275 $250 $250 $250 $250 $250 $225 $225 $225 $205 $190 $190 $190 $170 $170 $140 $140 $140 $160 $160 $160 $145 $130 $120 $115 $105 Hours Fees Fees Fees Fees 10% Fees Engineering Services During Design and Construction Bid/Award Task 1: Project Management & Quality Control (Design Phase)T1.1: Project Setup and Health & Safety 5 2 14 2 4 27 $5,275 $5,275 $5,275 T1.2: Project Oversight and Subconsultant Management 1 45 13 10 1 10 1 5 1 10 6 10 2 1 114 $27,861 $27,861 $27,861T1.3: Project Quality Control Plan 2 10 2 2 2 2 2 6 2 27 $6,320 $6,320 $6,320 T1.4: Project Accounting & Progress/Status Activity Reporting 32 10 6 22 71 $14,801 $14,801 $14,801 Task 1 - Subtotal 3 92 2 26 11 1 11 1 5 1 12 26 10 12 1 26 238 $54,258 $54,258 $54,258 Task 2: MeetingsT2.1: Project Kickoff Meeting 5 5 7 17 $3,955 $3,955 $3,955 T2.2: Bi-Weekly Check-in Calls 20 40 60 $15,500 $15,500 $15,500T2.3: Draft Basis of Design Report (BODR) Review Meeting 6 8 2 4 10 30 $6,870 $6,870 $6,870 T2.4: 70% Design Review Meetings 6 8 2 4 10 30 $6,870 $6,870 $6,870 T2.5: 95% Design Review Meetings 6 8 2 4 10 30 $6,870 $6,870 $6,870 Task 2 - Subtotal 43 69 6 12 37 167 $40,065 $40,065 $40,065 Task 3: Public Outreach SupportT3.1: Public Outreach Support 20 66 8 40 $8,440 $8,440 $8,440 Task 3 - Subtotal 20 6 6 8 40 $8,440 $8,440 $8,440
Task 4: Basis of Design DocumentationT4.1: Review Existing Documents and Summarize Design Criter 4 4 4 8 10 6 2 10 10 12 18 12 8 108 $23,380 $23,380 $23,380 T4.2: Hydraulic Modeling 1 8 12 118 23 8 170 $31,955 $31,955 $31,955T4.3: Desktop Water Quality/Corrosion Evaluation 1 32 2 52 6 4 97 $19,675 $19,675 $19,675T4.4: Basis of Design Technical Memorandum Preparation 2 3 4 3 3 3 2 3 3 2 24 3 6 61 $11,735 $11,735 $11,735 T4.5: Basis of Design Technical Memorandum Updates 2 4 2 2 2 8 20 $4,200 $4,200 $4,200 Task 4 - Subtotal 6 11 8 4 32 30 15 9 2 13 12 17 121 18 16 84 32 26 456 $90,945 $90,945 $90,945 Task 5: Surveying and Geotech InvestigationT5.1: Surveying 56 6 17 $3,770 $24,600 $3,770 $24,600 $28,370 T5.2: Potholing 2 2 4 $840 $39,500 $840 $39,500 $40,340 T5.3: Geotechnical Investigation 22 6 2 12 $2,480 $17,550 $2,480 $17,550 $20,030 Task 5 - Subtotal 96 2 6 10 33 $7,090 $17,550 $64,100 $7,090 $81,650 $88,740 Dwg Sht Row Phase Group Task Row Jan 13 Water Env Assoc. Proj. Costs Comm. Charges G:\BusDev\ClientFiles\Santa_Cruz-City\AllSubmittals\B22XX_SCWD_Intertie_w_SVWD\Negotiations\V2\SCWD+SVWD-Intertie-ProposalFeeEstimate-091422 - Negotiations.xlsm © 2019 Kennedy/Jenks Consultants, Inc.

Exhibit B

21.36 Proposal Fee Estimate
CLIENT Name:

PROJECT Description:

Proposal/Job Number: Date:

Santa Cruz Water DepartmentEngineering Design Services to Finalize Design of SCWD and SVWD Intertie Pipeline and Pump Station 9/14/2022
September 1, 2022 Rates KJ Sub Sub KJ KJ KJ C portbs +Classification: Total La b
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Task 7: Pipeline and Pump Station DesignT7.1: 70% Design 20 17 10 4 37 13 33 4 40 22 29 14 20 54 56 17 36 18 28 7 18 18 19 64 10 19 624 $118,899 $118,899 $118,899T7.2: 95% Design 17 11 7 3 30 10 23 3 28 16 18 11 19 34 38 11 23 11 18 4 11 11 12 41 6 12 427 $82,515 $82,515 $82,515T7.3: Final Design 7 3 2 1 11 4 8 1 9 6 5 5 8 10 12 3 7 3 5 1 3 3 3 12 2 3 138 $27,320 $27,320 $27,320 Task 7 - Subtotal 44 30 19 8 79 28 64 8 77 44 52 30 47 98 106 30 66 31 50 12 32 32 34 116 18 35 1189 $228,734 $228,734 $228,734 Task 8: Permit & Electrical Service SupportT8.1: Water Board Permit 4 16 44 8 72 $13,700 $13,700 $13,700T8.2: PG&E Electrical Service 2 16 7 25 $5,130 $100 $10 $5,130 $110 $5,240 T8.3: County of Santa Cruz Encroachment Permit
T8.4: City of Scotts Valley Encroachment PermitT8.5: Caltrans Encroachment Permit Task 8 - Subtotal 4 2 16 16 44 8 7 97 $18,830 $100 $10 $18,830 $110 $18,940 Task 9: Support During BiddingT9.1: Support During Bidding 2 6 8 4 4 4 12 40 $8,330 $100 $10 $8,330 $110 $8,440 Task 9 - Subtotal 2 68 4 4 4 12 40 $8,330 $100 $10 $8,330 $110 $8,440 Task 10: Grant Administration Support (Design Phase)T10.1: Grant Administration Support (Design Phase) 33 9 18 60 $14,385 $14,385 $14,385 Task 10 - Subtotal 33 9 18 60 $14,385 $14,385 $14,385
Engineering Services During Design and Construction
Bid/Award
(Task 1 through Task 10) - Subtotal 9 249 40 25 8 32 245 68 3 94 12 111 61 53 75 237 116 138 161 30 66 89 57 15 32 32 34 128 8 44 61 2330 $472,997 $17,550 $64,100 $200 $20 $472,997 $81,650 $220 $554,867 G:\BusDev\ClientFiles\Santa_Cruz-City\AllSubmittals\B22XX_SCWD_Intertie_w_SVWD\Negotiations\V2\SCWD+SVWD-Intertie-ProposalFeeEstimate-091422 - Negotiations.xlsm © 2019 Kennedy/Jenks Consultants, Inc. 21.37 Proposal Fee Estimate
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Task 11: Project Management & Quality Control (Construction Phase)T11.1: Project Oversight and Subconsultant Management 31 31 $8,613 $8,613 $8,613 T11.2: Project Accounting & Progress/Status Activity Reporting 46 32 78 $16,330 $16,330 $16,330 Task 11 - Subtotal 77 32 109 $24,943 $24,943 $24,943
Task 12: MeetingsT12.1: Preconstruction Meeting 4 6 10 $2,600 $2,600 $2,600 T12.2: Bi-Weekly Check-in Calls
T12.2: Construction Progress Meetings 69 69 139 $36,372 $36,372 $36,372T12.3: As-Needed Project-Specific Meetings 5 15 20 $5,125 $5,125 $5,125 Task 12 - Subtotal 78 90 169 $44,097 $44,097 $44,097
Task 13: Submittal Review T13.1: Submittal Review 45 2 2 31 6 11 15 75 18 300 126 270 900 $175,986 $175,986 $175,986 Task 13 - Subtotal 45 2 2 31 6 11 15 75 18 300 126 270 900 $175,986 $175,986 $175,986 Task 14: Responses to Requests for InformationT14.1: Responses to Requests for Information 20 5 3 8 30 5 30 30 30 60 60 120 400 $81,038 $81,038 $81,038 Task 14 - Subtotal 20 5 3 8 30 5 30 30 30 60 60 120 400 $81,038 $81,038 $81,038 Task 15: Design ClarificationsT15.1: Design Clarifications 5 3 12 8 8 7 7 10 60 $13,405 $13,405 $13,405 Task 15 - Subtotal 5 3 128 8 7 7 10 60 $13,405 $13,405 $13,405 Task 16: Change Proposal SupportT16.1: Change Proposal Support 2 1 7 6 16 $3,925 $3,925 $3,925 Task 16 - Subtotal 21 7 6 16 $3,925 $3,925 $3,925
Task 17: Site VisitsT17.1: Site Visits 12 12 12 12 48 $10,740 $1,200 $120 $10,740 $1,320 $12,060 Task 17 - Subtotal 12 12 12 12 48 $10,740 $1,200 $120 $10,740 $1,320 $12,060 Task 18: Startup AssistanceT18.1: Startup Assistance 16 16 32 $7,280 $1,000 $100 $7,280 $1,100 $8,380 Task 18 - Subtotal 16 16 32 $7,280 $1,000 $100 $7,280 $1,100 $8,380 G:\BusDev\ClientFiles\Santa_Cruz-City\AllSubmittals\B22XX_SCWD_Intertie_w_SVWD\Negotiations\V2\SCWD+SVWD-Intertie-ProposalFeeEstimate-091422 - Negotiations.xlsm © 2019 Kennedy/Jenks Consultants, Inc. 21.38 Proposal Fee Estimate
CLIENT Name:

PROJECT Description:

Proposal/Job Number: Date:

Santa Cruz Water DepartmentEngineering Design Services to Finalize Design of SCWD and SVWD Intertie Pipeline and Pump Station 9/14/2022
September 1, 2022 Rates KJ Sub Sub KJ KJ KJ C portbs +Classification: Total La b
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Hourly Rate: $295 $275 $275 $275 $275 $275 $250 $250 $250 $250 $250 $225 $225 $225 $205 $190 $190 $190 $170 $170 $140 $140 $140 $160 $160 $160 $145 $130 $120 $115 $105 Hours Fees Fees Fees Fees 10% Fees Dwg Sht Row Phase Group Task Row Jan 13 Water Env Assoc. Proj. Costs Comm. Charges Task 19: Assistance at Substantial CompletionT19.1: Assistance at Substantial Completion 10 10 $2,500 $100 $10 $2,500 $110 $2,610 Task 19 - Subtotal 10 10 $2,500 $100 $10 $2,500 $110 $2,610 Task 20: Grant Administration Support (Construction Phase) T20.1: Grant Administration Support (Construction Phase) 40 8 12 60 $15,040 $15,040 $15,040 Task 20 - Subtotal 40 8 12 60 $15,040 $15,040 $15,040
Task 21: Record DrawingsT21.1: Record Drawings 14 1 14 2 3 2 1 3 13 8 5 8 35 108 $19,671 $19,671 $19,671 Task 21 - Subtotal 14 1 14 2 3 2 1 3 13 8 5 8 35 108 $19,671 $19,671 $19,671 Task 22: As-Requested ServicesT22.1: As-Requested Services 24 60 85 108 30 307 $60,000 $60,000 $60,000 Task 22 - Subtotal 24 60 85 108 30 307 $60,000 $60,000 $60,000 Engineering Services During Construction
(Task 11 through Task 22) - Subtotal 227 83 7 4 227 34 74 16 55 107 6 77 85 360 208 523 8 5 8 75 32 2218 $458,625 $2,300 $230 $458,625 $2,530 $461,155 All Tasks Total 9 475 122 32 12 32 472 102 3 168 28 166 168 59 152 322 476 346 684 30 66 89 57 15 40 37 42 203 8 76 61 4549 $931,622 $17,550 $64,100 $2,500 $250 $931,622 $81,650 $2,750 $1,016,022 G:\BusDev\ClientFiles\Santa_Cruz-City\AllSubmittals\B22XX_SCWD_Intertie_w_SVWD\Negotiations\V2\SCWD+SVWD-Intertie-ProposalFeeEstimate-091422 - Negotiations.xlsm © 2019 Kennedy/Jenks Consultants, Inc. 21.39 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 14
EXHIBIT C: WORK SCHEDULE

21.40 KENNEDY JENKS
Santa Cruz Water District
Intertie and Pump Station
Conceptual Schedule
9/2/2022
10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 10/3 10/10 10/17 10/24 10/31 11/7 11/14 11/21 11/28 12/5 12/12 12/19 12/26 1/2 1/9 1/16 1/23 1/30 2/6 2/13 2/20 2/27 3/6 3/13 3/20 3/27 4/3 4/10 4/17 4/24 5/1 5/8 5/15 5/22 5/29 6/5 6/12 6/19 6/26 7/3 7/10 7/17 7/24 7/31 8/7 8/14 8/21 8/28 Design & Bid/Award 45 wks
NTP 10/11Task 1 ‐ Project ManagementTask 2 ‐ Meetings
T2.1: Project Kick‐off Meeting
T2.2: Bi‐Weekly Check‐in CallsT2.3: Draft Basis of Design TM Reivew Meetings T2.4: 70% Design Review Meetings
T2.5: 95% Design Review Meetings
Task 3 ‐ Public Outreach SupportTask 4 ‐ Basis of Design Documentation T4.1: Review Existing Docs & Summarize Design Criteria
T4.2: Hydraulic Modeling
T4.3: Desktop Water Quality/Corrosion Eval
T4.4: Prepare BOTM 12/2
SCWD Review
Final BOTM 1/13
T4.5: BOTM Updates
Task 5 ‐ Surveying, Geotech Investigation
T5.1: SurveyingT5.2: Geotech Investigation
Task 6 ‐ Engineering Support for CEQA
As‐Needed Support
Task 7 ‐ Pipeline and Pump Station Design
T7.1: 70% Design 2/24
Pipeline Extension to Pasatiempo Tank
Update of Existing Bid Documents
SCWD Review
T7.2: 95% Design 5/5
Entire ProjectSCWD Review
T7.3: Final Design 6/23
Entire Project
Task 8 ‐ Permit & Elec Service Support
T8.1: Water Board Permit
T8.2: PG&E Electrical Service
Task 9 ‐ Support During Bidding
As‐Needed Support 7/11
Council Approval to Award 8/8
Task 10 ‐ Grant Administration Support (Design Phase)
All Services
Construction
NTPSubmittalsProcurementMobilizationPipeline Construction Road ResurfacingPump Station Construction
Systems tests
Cleanup & Demobilitation
2022 2023
Oct ‐ 22 Nov ‐ 22 Dec ‐ 22 Jan‐ 23 Feb ‐ 23 Mar ‐ 23 Apr ‐ 23 May ‐ 23 Jun ‐ 23 Jul ‐ 23 Aug ‐ 23 G:\BusDev\ClientFiles\Santa_Cruz‐City\AllSubmittals\B22XX_SCWD_Intertie_w_SVWD\Negotiations\SCWD.IntertieNo.1‐ConceptualSchd_090222.xlsx2022‐09‐02‐Negotiations Page 1 of 3 Exhibit C

21.41 KENNEDY JENKS
Santa Cruz Water District
Intertie and Pump Station
Conceptual Schedule9/2/2022Design & Bid/Award
NTPTask 1 ‐ Project Management
Task 2 ‐ Meetings
T2.1: Project Kick‐off Meeting
T2.2: Bi‐Weekly Check‐in Calls
T2.3: Draft Basis of Design TM Reivew Meetings
T2.4: 70% Design Review Meetings
T2.5: 95% Design Review Meetings
Task 3 ‐ Public Outreach Support
Task 4 ‐ Basis of Design Documentation
T4.1: Review Existing Docs & Summarize Design Crit
T4.2: Hydraulic ModelingT4.3: Desktop Water Quality/Corrosion EvalT4.4: Prepare BOTM SCWD Review
Final BOTM
T4.5: BOTM Updates
Task 5 ‐ Surveying, Geotech Investigation
T5.1: SurveyingT5.2: Geotech Investigation
Task 6 ‐ Engineering Support for CEQA
As‐Needed Support
Task 7 ‐ Pipeline and Pump Station Design
T7.1: 70% Design
Pipeline Extension to Pasatiempo Tank
Update of Existing Bid Documents
SCWD Review
T7.2: 95% Design
Entire ProjectSCWD Review
T7.3: Final Design
Entire Project
Task 8 ‐ Permit & Elec Service Support
T8.1: Water Board PermitT8.2: PG&E Electrical Service
Task 9 ‐ Support During Bidding
As‐Needed Support
Council Approval to Award
Task 10 ‐ Grant Administration Support (Design Phase
All Services
Construction
NTPSubmittalsProcurementMobilizationPipeline ConstructionRoad Resurfacing Pump Station Construction
Systems tests
Cleanup & Demobilitation
58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 1059/4 9/11 9/18 9/25 10/2 10/9 10/16 10/23 10/30 11/6 11/13 11/20 11/27 12/4 12/11 12/18 12/25 1/1 1/8 1/15 1/22 1/29 2/5 2/12 2/19 2/26 3/4 3/11 3/18 3/25 4/1 4/8 4/15 4/22 4/29 5/6 5/13 5/20 5/27 6/3 6/10 6/17 6/24 7/1 7/8 7/15 7/22 7/299/4 Sep ‐ 23 Oct ‐ 23 Nov ‐ 23 Dec ‐ 23 Feb ‐ 24 Mar ‐ 24 Apr ‐ 24 May ‐ 24 Jun ‐ 24 Jul ‐ 24 2023 2024
Jan ‐ 24
G:\BusDev\ClientFiles\Santa_Cruz‐City\AllSubmittals\B22XX_SCWD_Intertie_w_SVWD\Negotiations\SCWD.IntertieNo.1‐ConceptualSchd_090222.xlsx2022‐09‐02‐Negotiations 21.42 Page 2 of 3

KENNEDY JENKS
Santa Cruz Water District
Intertie and Pump Station
Conceptual Schedule9/2/2022Design & Bid/Award
NTPTask 1 ‐ Project Management
Task 2 ‐ Meetings
T2.1: Project Kick‐off Meeting
T2.2: Bi‐Weekly Check‐in Calls
T2.3: Draft Basis of Design TM Reivew Meetings
T2.4: 70% Design Review Meetings
T2.5: 95% Design Review Meetings
Task 3 ‐ Public Outreach Support
Task 4 ‐ Basis of Design Documentation
T4.1: Review Existing Docs & Summarize Design Crit
T4.2: Hydraulic ModelingT4.3: Desktop Water Quality/Corrosion EvalT4.4: Prepare BOTM SCWD Review
Final BOTM
T4.5: BOTM Updates
Task 5 ‐ Surveying, Geotech Investigation
T5.1: SurveyingT5.2: Geotech Investigation
Task 6 ‐ Engineering Support for CEQA
As‐Needed Support
Task 7 ‐ Pipeline and Pump Station Design
T7.1: 70% Design
Pipeline Extension to Pasatiempo Tank
Update of Existing Bid Documents
SCWD Review
T7.2: 95% Design
Entire ProjectSCWD Review
T7.3: Final Design
Entire Project
Task 8 ‐ Permit & Elec Service Support
T8.1: Water Board PermitT8.2: PG&E Electrical Service
Task 9 ‐ Support During Bidding
As‐Needed Support
Council Approval to Award
Task 10 ‐ Grant Administration Support (Design Phase
All Services
Construction
NTPSubmittalsProcurementMobilizationPipeline ConstructionRoad Resurfacing Pump Station Construction
Systems tests
Cleanup & Demobilitation
106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 8/5 8/12 8/19 8/26 9/2 9/9 9/16 9/23 9/30 10/7 10/14 10/21 10/28 11/4 11/11 11/18 11/25 12/2 12/9 12/16 12/23 67wks
Aug ‐ 24 Sep ‐ 24 Oct ‐ 24 Nov ‐ 24 Dec ‐ 24
G:\BusDev\ClientFiles\Santa_Cruz‐City\AllSubmittals\B22XX_SCWD_Intertie_w_SVWD\Negotiations\SCWD.IntertieNo.1‐ConceptualSchd_090222.xlsx2022‐09‐02‐Negotiations 21.43 Page 3 of 3 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 15
EXHIBIT D: INSURANCE REQUIREMENTS
A. CERTIFICATE REQUIREMENTS
The City will be issued a Certificate of Insurance (a Memorandum of Understanding will not be accepted) with the following minimum requirements:
• Certificate(s) will show current policy number(s) and effective dates, • Coverage and policy limits will meet, or exceed, requirements below, • The Certificate Holder will be City of Santa Cruz, Risk Management, 333 Front Street., Suite 200, Santa Cruz, CA 95060,
• Certificate will be signed by an authorized representative, • An endorsement, if required below, will be provided to show the City, its officers, officials, employees, and volunteers as additional insureds, and
• Coverages must be maintained during the term of the Agreement with the City, unless a longer duration is required.

B. MINIMUM SCOPE AND LIMITS OF INSURANCE
Consultant acknowledges that the insurance coverage and policy limits set forth in this section constitute the minimum amount of coverage required. If Consultant maintains broader insurance coverage and/or higher limits than the minimums shown below, the City of Santa Cruz requires and shall be entitled to the broader insurance coverage and/or higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Santa Cruz.

Coverage will be at least as broad as:
• COMMERCIAL GENERAL LIABILITY (CGL): $2,000,000 PER OCCURRENCE; $4,000,000 AGGREGATE Proof of coverage for $2 Million per occurrence including products and completed operations, property damage, bodily injury, personal and advertising injury will be provided on Insurance Services Office (ISO) Form CG 00 01 covering CGL. If a general aggregate limit applies, either the general aggregate limit will apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit will be at least twice the required occurrence limit.
• PROFESSIONAL LIABILITY (ERRORS AND OMISSIONS): $2,000,000 PER OCCURRENCE OR CLAIM, $4,000,000 AGGREGATE.

Consultant will maintain insurance appropriate to Consultant’s profession; with limit no less than $2,000,000 per occurrence or claim, $4,000,000 aggregate. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after date of completion of the services under this Agreement. If coverage is canceled or non-renewed and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date or start of work date, Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work.
• AUTOMOBILE LIABILITY:

Proof of coverage for $1,000,000 provided on ISO Form Number CA 00 01 covering any auto (Code 1), or if Consultant has no owned autos, hired, (Code 8) and non-owned autos (Code 9), per accident for bodily injury and property damage.
• WORKERS’ COMPENSATION AS REQUIRED BY THE STATE OF CALIFORNIA, WITH STATUTORY LIMITS, AND EMPLOYER’S LIABILITY INSURANCE: $1,000,000 per accident for bodily injury or disease.

21.44 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 16
The Worker’s Compensation policy must be endorsed with a waiver of subrogation in favor of the City for all work performed by the Consultant and its employees. (Not required if Consultant provides written verification it has no employees) - If Contractor has no employees, Contractor shall complete and sign a Workers’ Compensation Exemption Declaration and Release of Liability
• CONTRACTORS’ POLLUTION LIABILITY and/or ASBESTOS POLLUTION LIABILITY (CPL) (if project involves environmental hazards) with limits no less than $2,000,000 per occurrence or claim, and $4,000,000 policy aggregate.

1. If the services involve lead-based paint or asbestos identification / remediation, the Pollution Liability shall not contain lead-based paint or asbestos exclusions. If the services involve mold identification / remediation, the Pollution Liability shall not contain a mold exclusion and the definition of “Pollution” shall include microbial matter including mold.

2. The Automobile Liability policy shall be endorsed to include Transportation Pollution Liability insurance, covering hazardous materials to be transported by Contractor pursuant to the Agreement.

This coverage may also be provided on the Contractors Pollution Liability policy.

C. OTHER INSURANCE PROVISIONS
The insurance policies are to comply with the following provisions:
• ADDITIONAL INSURED STATUS
The City, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds on the CGL CPL, and automobile insurance (if transporting hazardous materials) policy(ies) with respect to liability arising out of work or operations performed by or on behalf of Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage will be provided in the form of an endorsement to Consultant’s insurance at least as broad as ISO Form CG 20 10 11 85, or if not available, through the addition of both CG 20 10 CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 (if a later edition is used). • PRIMARY COVERAGE
For any claims related to this Agreement, Consultant’s insurance coverage will be primary insurance as respects the City, its officers, officials, employees, agents, and volunteers. Any insurance or selfinsurance maintained by the City, its officers, officials, employees, agents, or volunteers will be excess of Consultant’s insurance and will not contribute with it. • NOTICE OF CANCELLATION
Each insurance policy required above shall state that the coverage shall not be canceled, except with notice to the City.
• WAIVER OF SUBROGATION
Consultant hereby grants to the City a waiver of any right to subrogation, except as otherwise not applicable, which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss, including attorney’s fees under such insurance. Consultant agrees to obtain any endorsement that may be necessary to effectuate this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. • EXCESS LIABILITY/UMBRELLA INSURANCE POLICIES
The excess/liability policies will provide similar coverage as the primary CGL policy with no new exclusions - Excess liability insurance must follow form the terms, conditions, definitions, and exclusions of the underlying CGL insurance. The excess/umbrella policy must also be written on a primary and noncontributory basis for an additional insured, and that it will apply before any other insurance that is

21.45 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 17
available to such additional insured which covers that person or organization as a named insured, and we will not share with that other insurance.

The policy regarding Limits of Insurance regarding Aggregates must provide that the aggregate limits if applicable shall apply in the same manner as the aggregate limits shown in the Schedule of the Underlying Insurance.
• SELF-INSURED RETENTIONS
Self-insured retentions must be declared to and approved by the City. City may require Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related expenses.

The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City.
• ACCEPTABILITY OF INSURERS
Insurance is to be placed with insurers with a current A.M. Best’s rating of no less than A: VII, unless otherwise acceptable to the City.
• CLAIMS MADE POLICIES
If any of the required policies provide coverage on a claims-made basis:

1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.

2. Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.

3. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. • VERIFICATION OF COVERAGE
Consultant will furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL,CPL, and automobile Policy(ies) listing all policy endorsements to be approved by the City before work commences. However, failure to obtain the required documents prior to the work beginning will not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.

D. SUBCONTRACTORS
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors.

E. SPECIAL RISKS/CIRCUMSTANCES
City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances and provide notice to Consultant.

21.46 City of Santa Cruz Professional Services Agreement for Intertie 1: Santa Cruz-Scotts Valley September 2022 Page 18
EXHIBIT E: GRANT AGREEMENT TERMS & CONDITIONS

21.47 California Department of Water Resources
Urban And Multibenefit Drought Relief Grant Agreement Number 4600014630 Terms and Conditions – Applicable to Contractors & Subcontractors Item Description DWR
Agreement
Item
ACCOUNTING: Contractors and subcontractors shall maintain books, records, and other documents pertinent to their work in accordance with generally accepted accounting principles and practices. Records are subject to inspection by the State at any and all reasonable times.

D.1.A.

ACKNOWLEDGEMENT OF CREDIT AND SIGNAGE: Contractors and subcontractors shall include appropriate acknowledgement of credit to the State for its support when promoting the Project or using any data and/or information developed under this Grant agreement. Signage shall be posted in a prominent location at Project site(s) (if applicable) and shall include the Department of Water Resources color logo and the following disclosure statement: “Funding for this project has been provided in full or in part from the Budget Act of 2021 and through an agreement with the State Department of Water Resources.”
D.2.

AUDITS: Pursuant to Government Code §8546.7, the Grantee shall be subject to the examination and audit by the State for a period of three (3) years after final payment under this Grant Agreement with respect to all matters connected with this Grant Agreement. All records of the contractor or subcontractors shall be preserved for this purpose for at least three (3) years after receipt of the final disbursement under this Agreement.

D.5.

CONFLICT OF INTEREST: All participants are subject to State and Federal conflict of interest laws. Failure to comply with these laws, including business and financial disclosure provisions, will result in the application being rejected and any subsequent contract being declared void. Other legal action may also be taken. Applicable statutes include, but are not limited to, Government Code, §1090 and Public Contract Code, §10410 and §10411, for State conflict of interest requirements.

D.12.

DRUG-FREE WORKPLACE CERTIFICATION: Contractors and subcontractors hereby certify, under penalty of perjury under the laws of State of California, compliance with the requirements of the Drug-Free Workplace Act of 1990 (Government Code §8350 et seq.) and have or will provide a drug-free workplace.

D.15 plus
A-C.

INDEMNIFICATION (ADDITIONAL INSURED): Contractors and subcontractors shall name the State, its officers, agents, and employees as additional insured on their liability insurance for activities undertaken pursuant to this Agreement.

D.20.

INSPECTION OF PROJECT BY STATE: The State shall have the right to inspect the work being performed at any and all reasonable times during the term of the Grant Agreement. This right shall extend to any subcontracts, and contractor shall include provisions ensuring such access in all its contracts or subcontracts entered into pursuant to the Grant Agreement with State.

D.23.

Exhibit E

21.48 California Department of Water Resources
Urban And Multibenefit Drought Relief Grant Agreement Number 4600014630 Item Description DWR
Agreement
Item
LABOR CODE COMPLIANCE: Contractors and subcontractors agree to be bound by all the provisions of the Labor Code regarding prevailing wages and shall monitor all contracts subject to reimbursement from this Agreement to assure that the prevailing wage provisions of the Labor Code are being met. Current Department of Industrial Relations (DIR) requirements may be found at: http://www.dir.ca.gov/ lcp.asp. For more information, please refer to DIR’s Public Works Manual at: https://www.dir.ca.gov/ dlse/PWManualCombined.pdf. The contractor(s) and subcontractor(s) affirms that it is aware of the provisions of section 3700 of the Labor Code, which requires every employer to be insured against liability for workers’ compensation or to undertake selfinsurance, and the contractor and subcontractor affirms that it will comply with such provisions before commencing the performance of the work under this Agreement D.24.

NONDISCRIMINATION: During the performance of this Grant Agreement, the contractors or subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex (gender), sexual orientation, race, color, ancestry, religion, creed, national origin (including language use restriction), pregnancy, physical disability (including HIV and AIDS), mental disability, medical condition (cancer/genetic characteristics), age (over 40), marital status, and denial of medial and family care leave or pregnancy disability leave.

The Grantee and its contractors or subcontractors shall ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. The Grantee and its contractors or subcontractors shall comply with the provisions of the California Fair Employment and Housing Act (Government Code §12990) and the applicable regulations promulgated there under (Cal.Code of Regs, Title 2, §11000 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing the California Fair Employment and Housing Act are incorporated into this Agreement by reference. The Grantee and its contractors or subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. The contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Grant Agreement.

D.26.

PERFORMANCE BOND: Construction shall not be authorized to begin until each contractor has furnished a performance bond in favor of the Grantee in the following amounts: faithful performance (100%) of contract value, and labor and materials (100%) of contract value. This requirement shall not apply to any contract for less than $25,000.00. Any bond issued pursuant to this paragraph must be issued by a Californiaadmitted surety. (Pub. Contract Code, § 7103; Code Civ. Proc., § 995.311.) D.28.

SUSPENSION OF PAYMENTS: This agreement may be subject to suspension of payments or termination, or both if the State determines that: contractors or subcontractors have made a false certification, or if contractors or subcontractors violates the certification by failing to carry out the requirements noted in this Grant agreement.

D.37.

TRAVEL: Only ground transportation and lodging are eligible for grant reimbursement.

Per diem costs will not be eligible for grant reimbursement. Any reimbursement for necessary travel shall be at rates not to exceed those set by the California Department of Human Resources. These rates may be found at:
http://www.calhr.ca.gov/employees/Pages/travel-reimbursements.aspx. Reimbursement will be at the State travel amounts that are current as of the date costs are incurred. No travel outside of the project sponsor’s service area shall be reimbursed unless prior written authorization is obtained from the State.

D.44.

21.49 City Council

AGENDA REPORT
DATE: 09/14/2022
AGENDA OF: 09/27/2022
DEPARTMENT: City Manager
SUBJECT: Single-Use Tobacco Waste (CM)
RECOMMENDATION:
1) Receive an informational tobacco product waste presentation from the County of Santa Cruz, commentaries by local stakeholders, and provide staff direction on the next steps; and 2) Establish and direct work to the Health in All Policies (HiAP) Subcommittee to bring back recommendations to Council at a future date.

BACKGROUND: On April 27, 2021, the City Council adopted Resolution No. NS-29,807 recognizing that tobacco waste is a public health and environmental threat to the City and Santa Cruz residents. The resolution focused on the negative impacts of cigarette butts, from littering, toxic chemicals, and health equity to harmful waste in addition to developing policies and requesting the Mayor to write a letter to local legislative representatives to encourage the California State Legislature to ban plastic cigarette filters.

On March 22, 2022, the motion carried to direct the Mayor to send a letter of support for AB 1690, the California Smoking Waste Pollution Prevention Act. AB 1690 was introduced by Assemblymember Luz Rivas, seeking to ban the sale of single-use smoking products like cigarette filters, non-biodegradable products, and non-rechargeable vaping devices to help reduce the exposure of hazardous materials to the environment.

The City Council recognized the importance of this issue and requested that an informational presentation from the County of Santa Cruz be presented, and commentaries by local stakeholders in August. However, due to summer schedules, the item is being brought back in September.

DISCUSSION: The City of Santa Cruz takes pride in caring for its beautiful and natural habitat – beaches, oceans, rivers, marine and wildlife. The Council prioritizes protecting public health and supporting the health and wellness of the environment by taking steps to advance policies to mitigate, reduce and/or eliminate toxic waste in our community. Thus, Council plans to continue to have a meaningful discussion on ways to address the issue of tobacco waste that could eventually make a more significant impact across the State.

22.1 Staff recommends that work relating to single-use tobacco waste be directed to the Health in All Policies (HiAP) subcommittee as it aligns with HiAP’s objectives. Adopted in January 2020, HiAP focuses on advancing equity, public health, and sustainability to address critical issues like single-use tobacco waste in the City. As outlined in the HiAP Guide for State and Local Governments:

Five Key Elements of HiAP:

1. Promotes health, equity, and sustainability. Incorporates these into policies, programs, processes and government decision making. Equity is essential for positive health outcomes.

2. Supports inter-sectoral collaboration. Breaks down silos, builds new and lasting partnerships, and increases government efficiency.

3. Benefits multiple partners. Co-benefits and ‘win-wins’ reduce redundancies and make effective use of scarce resources.

4. Engages stakeholders. This will ensure that work is responsive to community needs and creates impactful change.

5. Creates structural or procedural change. Puts in place tools that institutionalize upstream processes to address health, equity and sustainability.

Following Council’s direction, staff will work with the HiAP subcommittee, the County of Santa Cruz, and other stakeholders to bring recommendations back at a future meeting.

FISCAL IMPACT: The direction of the policy is forthcoming so fiscal impact is to be determined.

Prepared By:

Emeline Nguyen
Principal Management
Analyst
Submitted By:

Laura Schmidt
Assistant City Manager
Approved By:

Matt Huffaker
City Manager
ATTACHMENTS:

1. TOOLKIT.PDF

2. PROS AND CONS.DOCX

3. BUSINESS LIST.PDF

22.2 April 2022
A Public Health and Environmental Toolkit

TOBACCO

PRODUCT WASTE

22.3 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 2 This toolkit is provided for educational purposes only and is not to be construed as legal opinion or as a substitute for obtaining legal advice from an attorney. The Public Health Law Center provides information and legal technical assistance on issues related to public health, but does not provide legal representation. Readers with questions about the application of the law to specific facts are encouraged to consult legal counsel familiar with the laws of their jurisdictions.

The toolkit was made possible by funds received from Grant Number 19-10229 with the California Department of Public Health, California Tobacco Control Program, and the American Lung Association in California. The Public Health Law Center provides information and legal technical assistance on issues related to public health. The Center does not provide legal representation or advice. This document should not be considered legal advice.

The toolkit was prepared by the Public Health Law Center at Mitchell Hamline School of Law, St. Paul, Minnesota. The Public Health Law Center wishes to thank the following people for their review of this document: Liz Hendrix, Adebayo Akintunde, Kara Waples, Tonia Hagaman, Beth Olagues, Monica Wilkinson, Mayra Miranda, and April Roeseler, all of the California Department of Public Health, California Tobacco Control Program. We also would like to thank Efraim Lopez, Adelita Serena, Ethan Kissock, and Amanda Simpson of the Sierra Club’s Environmental Justice in Tobacco Control Project, for providing input and feedback on this document.

Suggested citation: Public Health Law Center, Tobacco Product Waste: A Public Health and Environmental Toolkit, Law and Policy Partnership to End the Commercial Tobacco Epidemic (2022).

Copyright © 2022 Public Health Law Center
April 2022

22.4 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 3 Table of Contents
INTRODUCTION 4
Tobacco Product Waste: An Overview 5
Tobacco Product Waste is a Growing Environmental Threat 5 Tobacco Product Waste is an Environmental Justice Concern 7 POLICY OPTION #1: SALES RESTRICTIONS 12
POLICY OPTION #2: HAZARDOUS WASTE REGULATION 16
POLICY OPTION #3: INCORPORATING ENVIRONMENTAL JUSTICE PRINCIPLES 21 APPENDIX: RESEARCH FINDINGS FOR TOBACCO PRODUCT WASTE POLICY OPTIONS 26 April 2022

22.5 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 4 Introduction
Tobacco product waste — the trash and pollution associated with discarded and used commercial tobacco products — is gaining attention as an environmental justice concern throughout California. As the findings and research outlined in this document explain, tobacco product waste, which includes cigarette filters; e-cigarette components, such as cartridges, batteries, and plastic casings; cigar tips; plastic packaging; and other forms of tobacco trash, is damaging to the environment and is disproportionately concentrated in and around where tobacco products are sold. The plastic from cigarette butts and other tobacco products does not biodegrade, but instead breaks apart into toxic-laden microplastics that find their way into the water that we drink and the food that we eat. This policy toolkit is intended for communities in California that are ready to address tobacco product waste through education, advocacy, and ultimately, policy change. While this document was created for California communities, its lessons are applicable to jurisdictions across the United States that are looking to address the damage and cost of tobacco product waste.

April 2022

22.6 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 5 How to Use This Resource
This document has five components. The first component is a policy brief that provides an overview of the problems associated with tobacco product waste. Three separate policy components and a robust compilation of findings follow the policy brief. Each proposed policy would reduce the incidence and impact of tobacco product waste by regulating tobacco sales.

The proposed polices are intended to enhance a strong tobacco retail licensing scheme by providing other controls to minimize the environmental health harms caused by tobacco product waste.

While the legal concepts behind the sample policies are found throughout California environmental and commercial tobacco laws, these “model” tobacco waste ordinances represent new applications of old doctrines, and strategies within this document should only be implemented in communities working closely with legal counsel. The outlined provisions are intended to be used by communities that already license and regulate the sale of tobacco products, but are also ready to address their significant environmental and environmental justice impacts. The structure of sections below aligns with those in the Comprehensive Tobacco Retailer Licensing (”TRL”) Ordinance, updated by the Public Health Law Center in July 2020, and the text generally relies on defined terms in that document.

If your community would like to learn more about the policies in this document, please contact the Public Health Law Center for individualized technical assistance.

Tobacco Product Waste: An Overview
Commercial tobacco1 product waste is a danger to the environment and community health. This document presents options for policies that can be paired with comprehensive commercial tobacco retail licensing to address tobacco product pollution. For more information on the reasoning behind comprehensive policy action on tobacco product waste, please the Public Health Law Center’s publication Tobacco Product Waste: Frequently Asked Questions.

Tobacco Product Waste is a Growing Environmental Threat Cigarette butt waste did not become a seemingly insurmountable problem until the 1950s, when cigarette companies began adding a plastic cellulose acetate filter to cigarettes.2 The
tobacco industry called the cigarette butt a “filter,” so-named to give the impression that it was filtering out chemicals and thus made a safer cigarette. We now know that “filters” were developed mainly as a marketing ploy,3
and in fact make cigarettes more dangerous by allowing
for easier inhaling, encouraging more frequent puffing, and giving consumers a false sense that April 2022

22.7 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 6 by using these products they are reducing their health risks.4 Along with this new feature came a new ubiquitous problem: the phenomenal growth of plastic tobacco pollution litter.

Plastic cigarette butts are not biodegradable — they break down into microplastics that remain in natural environments, including rivers, lakes and oceans, and accumulate in marine life.5 Microplastic accumulation can cause starvation and death in aquatic creatures such as turtles and birds by reducing their urge to eat.6 Microplastics also make their way into the food and water humans consume, exposing them to chemicals that have been linked to reproductive harm, obesity, organ problems, and developmental delays in children.7 Studies show that cigarette butts, which are toxic to marine life in small quantities,8 are the most littered item found in trash cleanups.9
Butts also leach harmful chemicals such as
nicotine, arsenic, heavy metals, and polycyclic aromatic hydrocarbons into soil and water in amounts sufficient to harm the environment.10 Smoked and unsmoked cigarette butts are toxic to plants.11 And littered butts release air pollutants for days after they have been discarded, affecting local air pollution levels.12 Recognizing their large contribution to the plastics problem, the California Ocean Protection Council has called for the statewide prohibition on all cigarette butts as a core method of addressing plastic pollution in coastal and marine ecosystems.13 In the past decades, other tobacco waste in addition to waste from cigarette butts has proliferated and spread. This waste includes plastic packaging for all sorts of tobacco products, such as plastic tips for cigarillos14 and the mixed plastic, metal, and chemical waste from new products such as discarded cartridges and disposable e-cigarettes.15 All of these products present different harms to the environment, depending on the toxic materials that were made to manufacture them (or were produced during their use) that linger on in their discarded leftovers and enter the environment.16
Even if disposed of correctly, these products would be a danger to the environment. For example, e-cigarettes containing nicotine residue are classified as hazardous waste or household hazardous waste throughout the United States, and California’s hazardous waste regulators consider the batteries used in the devices to be electronic waste — hazardous waste that cannot be disposed of as regular trash.17 The toxic contaminants that accumulate in used cigarette butts do not stop being a problem if they are disposed of in a landfill, as such facilities still pose risks to aquifers and other water resources.18 Moreover, recycling is not a viable solution. The waste from tobacco products generally cannot be recycled by municipal recycling programs, and likely cannot be recycled profitably using existing technology. The one company offering a cigarette butt recycling take-back program, funded by the tobacco industry, does not actively collect butts at any location in California, April 2022

22.8 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 7 and no municipal recyclers will accept these contaminated plastics for their programs.19 Most tobacco product packaging is likely to be unrecyclable in its current form as well, as it often is a combination of metals, paper, and plastic that cannot be easily separated or profitably reclaimed.

Further, many e-cigarettes are mixed acute hazardous waste and e-waste, 20 and unless their
batteries can be safely removed, recycling them is especially difficult and complicated under applicable California laws designed to keep communities and ecosystems safe.

Tobacco Product Waste is an Environmental Justice Concern Tobacco product retailing, and tobacco product waste, are also environmental justice issues.

The tobacco industry has intentionally and aggressively targeted communities of color with their products for decades,21 meaning that the density of retailers in these communities is higher than in other areas,22 leading to more tobacco litter together with more tobacco sales locations and users.

In urban areas, tobacco product waste accumulates around where such products are sold and consumed.23 Research has shown that litter from flavored tobacco products (e-cigarette cartridges and menthol cigarette butts) also accumulates at high schools in different proportions based on the socio-economic demographics of the students.24 Research from the U.S. Food and Drug Administration shows that vape shops are in closer proximity to schools, and more densely distributed and closer to schools, in school districts with high proportions of Asian, and Black or African American students.25 Toxic discharges from these businesses and products are likely to disproportionately impact the communities with a high concentration of vape shops and tobacco retailers.

As a result of the targeting of certain communities through higher retailer density and exposure, the tobacco industry also burdens these communities with increased pollution.

Importantly, communities of color and low-income communities are also the same communities that bear a disproportionate burden of health effects from pollution from substandard housing,26 industrial pollution sited in their neighborhoods,27 air pollution disproportionately caused by the economic activity of wealthy Americans,28 and air pollution from all sources.29 Tobacco product waste contributes highly toxic pollution to an already unacceptable baseline.

Much like secondhand smoke’s correlation to children’s elevated blood lead levels,30 secondhand tobacco product waste loads certain neighborhoods with a disproportionately high exposure to ambient nicotine, benzene, and heavy metals. People are exposed to this pollution through thirdhand smoke residue,31 leaching water pollution from e-waste32 and conventional tobacco product waste,33 or from lingering emissions off-gassing from used April 2022

22.9 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 8 tobacco products.34 In addition, the accumulation of trash causes psychological harm to community members, harming the health of residents of industry-targeted communities.35 These harms impact people regardless of whether they use tobacco products, and they continue to impact people and other forms of life for years after the products have been used.

California state and local agencies are legally required to address environmental justice concerns36 and to direct resources and funding towards disadvantaged communities (as that term is defined in state law), to ensure equitable access to resources, and to promote health equity.37 Dealing with disproportionate impacts of tobacco products and their waste serves to advance racial and economic justice that is important to all California communities. We hope this resource serves as a useful tool to California communities in advancing racial and environmental justice and combating the legacy of harm caused by tobacco products.

April 2022

22.10 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 9 Endnotes
1 The Public Health Law Center recognizes that traditional and commercial tobacco are different in the ways they are planted, grown, harvested, and used. Traditional tobacco is and has been used in sacred ways by Indigenous communities and tribes for centuries. Comparatively, commercial tobacco is manufactured with chemical additives for recreational use and profit, resulting in disease and death. For more information, visit: http://www.keepitsacred.itcmi.org.

When the word “tobacco” is used throughout this document, a commercial context is implied and intended. 2 U.S. Dep’t of Health & Hum. Servs., Risks Associated with Smoking Cigarettes with Low Machine Measured Yields of Tar and Nicotine, Smoking and Tobacco Control at 1 (2001), https://cancercontrol.cancer.gov/brp/tcrb/monographs/13/ m13_complete.pdf.
3 Karen Evans-Reeves, The ‘Filter Fraud’ Persists: The Tobacco Industry is Still Using Filters to Suggest Lower Health Risks While Destroying the Environment, Tobacco Control (2021), https://doi.org/10.1136/tobaccocontrol-2020-056245. 4 Min-Ae Song et al., Cigarette Filter Ventilation and its Relationship to Increasing Rates of Lung Adenocarcinoma, 109 Journal of the Nat’l Cancer Inst. 12 (2017), https://pubmed.ncbi.nlm.nih.gov/28525914/#:~:text=Altered%20puffing%20and%20inhalation%20may,to%20and%20including%20a%20ban. 5 Dannielle S. Green et al., Cigarette Butts Have Adverse Effects on Initial Growth of Perennial Ryegrass (gramineae: Lolium perenne L.) and White Clover (leguminosae: Trifolium repens L.), 182 Ecotoxicology & Env’t Safety 109418 (2019). 6 Elizabeth Royte, We Know Plastic Is Harming Marine Life. What About Us?, Nat’l Geographic (June 2018), https://www. nationalgeographic.com/magazine/2018/06/plastic-planet-health-pollution-waste-microplastics. 7 Consumer Reps., You’re Literally Eating Microplastics. How You Can Cut Down Exposure to Them, Wash. Post (Oct. 7, 2019), https://www.washingtonpost.com/health/youre-literally-eating-microplastics-how-you-can-cut-down-exposure-to-them/2019/10/04/22ebdfb6-e17a-11e9-8dc8-498eabc129a0_story.html. 8 Elli Slaughter et al., Toxicity of Cigarette Butts, and Their Chemical Components, to Marine and Freshwater Fish, San Diego State Univ. (Feb. 4, 2011), https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3088407/pdf/tobaccocontrol40170.pdf. 9 Truth Initiative, Why Are Cigarette Butts the Most Littered Item on Earth? (Aug. 20, 2018), https://truthinitiative.org/ research-resources/harmful-effects-tobacco/why-are-cigarette-butts-most-littered-item-earth. 10 Hiroshi Moriwaki et al., Waste on the Roadside, “Poi-sute” Waste: Its Distribution and Elution Potential of Pollutants into Environment, 29 Waste Mgmt. 1192 (2009).
11 Green, supra note 5.
12 Nat’l Inst. Standards & Tech., Butt Emissions: Study Finds Even Extinguished Cigarettes Give Off Toxins (May 18, 2020), https://www.nist.gov/news-events/news/2020/01/butt-emissions-study-finds-even-extinguished-cigarettes-givetoxins; Dustin Poppendieck et al., Measuring Airborne Emissions from Cigarette Butts: Literature Review and Experimental Plan Final Report to U.S. Food and Drug Administration under Interagency Agreement #244-15-9012, Nat’l Inst. Standards & Tech. (Oct. 2016), https://www.researchgate.net/publication/313967399_Measuring_Airborne_Emissions_from_ Cigarette_Butts_Literature_Review_and_Experimental_Plan_Final_Report_to_US_Food_and_Drug_Administration_under_Interagency_Agreement_244-15-9012_Measuring_Airborne_Emi (“The emission rates from cigarette butts into air may be minimal for some heavy chemicals (e.g., metals, tobacco-specific nitrosamines), but may be significant for more volatile chemicals (e.g., nicotine, pyridine, benzene)”); Dustin Poppendieck et al., Influence of Temperature, Relative Humidity, and Water Saturation on Airborne Emissions from Cigarette Butts, Sci. Total Env’t, Apr. 10, 2020. 13 Holly Wyer, Action Item: Discussion and Possible Endorsement of Recommendations to Address Plastic Pollution in California’s Coastal and Marine Ecosystems, Ocean Prot. Council (Feb. 16, 2021), https://www.opc.ca.gov/webmaster/ftp/ pdf/agenda_items/20210216/Item_4_Plastic_Pollution_Recommendations_Staff_Rec_Revised_and_Endorsed_FINAL_20210323.pdf.

April 2022

22.11 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 10 14 Leah Henry, Cigarette Butts and Cigar Tips: Flicked but not Forgotten, Nat’l Oceanic & Atmospheric Admin. (Jul. 23, 2015), https://marinedebris.noaa.gov/cigarette-butts-and-cigar-tips-flicked-not-forgotten (“Plastic cigar tips accounted for 37% of the total trash collected.”). 15 Jeremiah Mock & Yogi H. Hendlin, Notes from the Field: Environmental Contamination from E-Cigarette, Cigarette, Cigar, and Cannabis Products at 12 High Schools — San Francisco Bay Area, 2018–2019, 68 Morbidity & Mortality Wkly. Rep. 897 (Oct. 11, 2019).
16 While the ingredients put into commercial tobacco products are themselves toxic, the products of partial combustion from cigarettes and e-cigarettes can be additive and more toxic than the sum of their parts. For more information on thirdhand smoke research and dangers in California, see https://thirdhandsmoke.org. 17 Dep’t Toxic Substances Control, Managing Hazardous Waste, State Cal. (Sept. 2016), https://dtsc.ca.gov/discarded-battery-management-fact-sheet. 18 See, e.g., Amlan Ghosh et al. TCLP Underestimates Leaching of Arsenic from Solid Residuals under Landfill, 38 Environ. Sci.

Technol. 4677-82 (2004), https://pubs.acs.org/doi/10.1021/es030707w. 19 See, e.g., Renee Cho, Recycling in the U.S. Is Broken. How Do We Fix It?, Columbia Climate School: State of the Planet (Mar. 13, 2020), https://news.climate.columbia.edu/2020/03/13/fix-recycling-america. 20 “Acute” here means that nicotine is fatal to humans in low doses, according to the EPA. For more information on the legal status of acute hazardous waste and e-waste see the Center’s earlier publication: Tobacco Product Waste:

Frequently Asked Questions (2020), https://www.publichealthlawcenter.org/sites/default/files/resources/TobaccoProduct-Waste-CA-FAQ.pdf. 21 Valerie B. Yerger et al., Racialized Geography, Corporate Activity, and Health Disparities: Tobacco Industry Targeting of Inner Cities, 18 J. Health Care for Poor & Underserved 10 (2007); Joseph G. Lee et al., A Systematic Review of Neighborhood Disparities in Point-of-Sale Tobacco Marketing, 105 Am. J. Pub. Health 8 (2015); Andrew B Seidenberg et al., Storefront Cigarette Advertising Differs by Community Demographic Profile, 24 Am. J. Health Promotion 26 (2010); Lisa Henriksen et al., Targeted Advertising, Promotion, and Price for Menthol Cigarettes in California High School Neighborhoods, 14 Nicotine Tobacco Rsch. 116 (2012); Elissa Resnick et al., Cigarette Pricing Differs by U.S. Neighborhoods — A BTG Research Brief, Bridging the Gap (2012), http://www.bridgingthegapresearch.org/_asset/d49910/btg_tobacco_brief_FINAL_011113.pdf. 22 Danlin Yu et al., Tobacco Outlet Density and Demographics: Analysing the Relationships with a Spatial Regression Approach, 124 Pub. Health 412 (2010) (“the spatial regression results indicate that tobacco companies attempt to promote physical availability of tobacco products to geographic areas with disadvantageous socio-economic status. In New Jersey, the percentage of Hispanics seems to be the dominant demographic factor associated with tobacco outlet distribution, followed by median household income and percentage of African Americans.”); Daniel Rodriguez et al., Predictors of Tobacco Outlet Density Nationwide: A Geographic Analysis, 22 Tobacco Control 349 (2013); Joseph G. L.

Lee et al., Inequalities in Tobacco Outlet Density by Race, Ethnicity, and Socioeconomic Status, 2012, USA: Results from the ASPiRE Study, 71 J. Epidemiol Cmty. Health 487 (2017).
23 Maacah Marah & Thomas E. Novotny, Geographic Patterns of Cigarette Butt Waste in the Urban Environment, 20 Tobacco Control i42 (2011), https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3088466/pdf/tobaccocontrol42424.pdf. 24 Mock, supra note 15.
25 P. Dilip Venugopal et al., Socioeconomic Disparities in Vape Shop Density and Proximity to Public Schools in the Conterminous United States, 2018, 21 Health Promotion Prac. 9S (2020). 26 Shriver Ctr. on Poverty L., Poisonous Homes: The Fight for Environmental Justice in Federally Assisted Housing, Earthjustice (June 2020), https://www.povertylaw.org/wp-content/uploads/2020/06/environmental_justice_report_final-rev2.pdf.

April 2022

22.12 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 11 27 Env’t Just. for All, Life at the Fenceline: Understanding Cumulative Health Hazards in Environmental Justice Communities, https://ej4all.org/life-at-the-fenceline (last visited May 27, 2021). 28 Christopher W. Tessum et al., Inequity in Consumption of Goods and Services Adds to Racial-Ethnic Disparities in Air Pollution Exposure, 116 Procs. Nat’l Acad. Scis. U.S. 6001 (2019) (“Blacks and Hispanics on average bear a ‘pollution burden’ of 56% and 63% excess exposure, respectively, relative to the exposure caused by their consumption.”) 29 Ihab Mikati et al., Disparities in Distribution of Particulate Matter Emission Sources by Race and Poverty Status, 108 Am. J.

Pub. Health 480 (2018) (“For [particulate matter] of 2.5 micrometers in diameter or less, those in poverty had 1.35 times higher burden than did the overall population, and non-Whites had 1.28 times higher burden. Blacks, specifically, had 1.54 times higher burden than did the overall population.”). 30 Env’t L. Pol’y Clinic, Issue Brief: Smoking & Lead Exposure in NC Children, Duke Univ. (2019), https://tobaccopreventionandcontrol.ncdhhs.gov/shs/Documents/SmokingandLeadIssueBrief-ELPC-061419.pdf. 31 Thomas F. Northrup et al., Thirdhand Smoke: State of the Science and a Call for Policy Expansion, 131 Pub. Health Reps. 233 (2016), https://journals.sagepub.com/doi/pdf/10.1177/003335491613100206. 32 Daniel Hsing Po Kang et al., Potential Environmental and Human Health Impacts of Rechargeable Lithium Batteries in Electronic Waste, 47 Env’t Sci. Tech. 5495 (2013); Hye-Bin Choi et al., The Impact of Anthropogenic Inputs on Lithium Content in River and Tap Water, 10 Nature Commc’ns 5371 (2019), https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6890772. 33 Moriwaki, supra note 10; Slaughter, supra note 8.
34 Nat’l Inst. Standards & Tech., supra note 12.
35 Carl A. Latkin & Aaron D. Curry, Stressful Neighborhoods and Depression: A Prospective Study of the Impact of Neighborhood Disorder, 44 J. Health & Soc. Behav. 34 (2003); see also Liam Downey & Marieke Van Willigen, Environmental Stressors: The Mental Health Impacts of Living Near Industrial Activity, 46 J. Health & Soc. Behav. 289 (2005); see also Tara L. Bennett, Perceived Health Effects of Litter and Trash by Inner City Residents (June 2012) (Undergraduate Honors Thesis, Ohio State University) (https://kb.osu.edu/bitstream/handle/1811/51932/Tara_Bennett_Honors_Thesis. pdf?sequence=1&isAllowed=y).
36 See, e.g., Cal. Gov’t Code § 65040.12 (2019), http://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?sectionNum=65040.12.&lawCode=GOV; Cal. Pub. Res. Code § 30107.3 (2019), http://leginfo.legislature.ca.gov/faces/ codes_displaySection.xhtml?lawCode=PRC&sectionNum=30107.3; Cal. Pub. Res. Code § 30013 (2016), http://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=PRC&sectionNum=30013. 37 See, e.g., Cal. Health & Safety Code § 39711 (2014), http://leginfo.legislature.ca.gov/faces/codes_displaySection. xhtml?sectionNum=39711.&lawCode=HSC; Cal. Pub. Res. Code ch. 2 (2014), http://leginfo.legislature.ca.gov/faces/ codes_displayText.xhtml?lawCode=PRC&division=44.&title=&part=1.&chapter=2.&article=; Cal. Water Code § 79505.5 (2003), http://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?sectionNum=79505.5.&lawCode=WAT.

April 2022

22.13 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 12 Policy Option #1: Sales Restrictions
Tobacco Waste and Ending All Commercial Tobacco Product Sales The most effective way to address tobacco product waste is to adopt a policy prohibiting the sale of all tobacco products,1
while preserving Indigenous peoples’ rights to use sacred tobacco. Eliminating the source of the problem by removing harmful products from the market has the resulting benefit of preventing pollution and health harms and is generally more efficient and effective than allowing harm to occur and remediating it after the fact.

Prohibiting the sale of all tobacco products, as some California jurisdictions have already done,2 would greatly reduce tobacco product waste in the relevant community’s environment.

By keeping new tobacco product waste from being introduced into their communities, jurisdictions could also more easily comply with state requirements to prevent trash from escaping into rivers, lakes, and the ocean.3 Comprehensive policies would thus save governments costs both in terms of public health expenditures4 and pollution capture technology that may be required in coming years.5
The following sections define certain
types of particularly damaging products, including single-use tobacco products, and propose a comprehensive sales restriction that would cover a wide range of products that include cigarettes with filters, cigar tips, a wide range of packaging, and e-cigarettes that are not refillable. Communities could effectively limit the sale of most products by adopting this provision, or alternatively, they could adopt portions of the proposed language to address the most pernicious products in their communities, such as cigarettes with cellulose acetate filters.

Section I. FINDINGS.

Note: See Appendix for sample findings tailored to accompany the policies set forth below. The findings section is part of the ordinance and legislative record, but it usually does not become codified in the municipal code. An ordinance based on this draft should include findings of fact — data, statistics, relevant epidemiological information, for instance — that support the purposes of the ordinance, as well as any legal precedent that directly supports the ordinance.

In addition to serving an educational purpose and reflecting community support for the ordinance, the findings can also serve a legal purpose. If challenged in court, the findings are an admissible record of the factual determinations made by the legislative body when considering the ordinance. Courts will generally defer to legislative determinations of factual issues, which often influence legal conclusions. A list of findings supporting this model ordinance appears in the Appendix. Jurisdictions may select findings from that list to include or adjust, along with additional findings on local or regional conditions, outcomes, and issues that help make the case for the policy.

April 2022

22.14 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 13 Section II. [ article/section ] of the [ county/city ] Code is hereby amended to read as follows:

Sec. [ _______ (*1) ]. DEFINITIONS. The following words and phrases, whenever used in this [ article/chapter ], shall have the meanings defined in this section unless the context clearly requires otherwise:

Note: The definitions and sections below are meant to supplement those found in the Comprehensive Tobacco Retailer Licensing (”TRL”) Ordinance and any jurisdiction that does not already have a comprehensive TRL policy with sufficient definitions may want to consult both models to choose which elements of each is appropriate for that community. (A) “Mixed hazardous waste product” means any tobacco product that contains liquid for use in an electronic smoking device in combination with electronic waste, subject to 22 California Code of Regulations § 66261.9 and related regulations, into a single product that cannot be classified and disposed of only as acute hazardous waste, non-acute hazardous waste, or universal waste alone without disassembly by a waste management entity.

Note: For more information on how nicotine and electronic waste (e-waste) are hazardous waste under California law, please see the Public Health Law Center’s publication Tobacco Product Waste: Frequently Asked Questions. For a state agency discussion of e-waste as a specific waste stream, see the California Department of Toxic Substances Control page on e-waste. And for some discussion of why these products are unlikely to be recyclable, please see the Center’s commentary on how tobacco product waste likely cannot be mitigated by reformulating products.
(B) “Single-use tobacco product” means any tobacco product incorporating a mouthpiece or filter made of any material, including, but not limited to, plastic, cellulose acetate or other fibrous plastic material, or any organic or biodegradable material. “Single-use tobacco product” includes, but is not limited to, tobacco products generally recognized or labeled as filtered cigarettes, filtered little cigars, filtered cigars, cigarillos, and cigars with tips, snus in oral pouches, and tips, mouthpieces, or filters for tobacco products sold separately. “Single-use tobacco product” also includes electronic smoking devices that are mixed hazardous waste products, including cartridges that are not designed to be refilled. “Single-use tobacco product” does not include tobacco or nicotine products that are used to fill other tobacco products (e.g., loose tobacco or electronic smoking substances sold in containers used to refill electronic smoking devices), pipes used with loose tobacco, hookahs used with shisha, nor does it include cigarettes or cigars without filters or tips.

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22.15 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 14 Note: The definition of “single-use tobacco product” above would cover a wide range of tobacco products that are made of plastic and contribute to plastic pollution in the environment.

Because the proposed definition includes filters made of biodegradable materials, it also ensures that plastic filters are not simply replaced with other materials that may or may not be truly biodegradable and would still leach toxins and chemicals into the environment. (C) “Unrecyclable packaging” means any separable and distinct material component made partially or entirely of plastic, including, but not limited to, plastic-coated paper or plasticcoated paperboard, paper or paperboard with plastic added during the manufacturing process, and multilayer flexible packaging containing plastic, foil, or combinations thereof, used for the containment, protection, handling, delivery, or presentation of goods by the producer for the user or consumer, ranging from raw materials to processed goods. “Unrecyclable packaging” does not include packaging that is entirely made of cardboard, paper, or a routinely recycled metal such as aluminum.

Note: This definition draws from the proposed definition of “packaging” contained in Assembly Bill 1080, which would have imposed a comprehensive regulatory scheme on producers, retailers, and wholesalers of single-use packaging, with a focus on plastic single-use products.

Although the bill has not been passed, the definition of “packaging” was used as a basis for the definition of “unrecyclable packaging” in this model.

Sec. [ _______ (*3) ]. SALE OF TOBACCO WASTE PRODUCTS PROHIBITED. (A) TOBACCO PRODUCT WASTE SALES PROHIBITION. It shall be unlawful for any tobacco retailer to sell any:
(1) Single-use tobacco product.

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22.16 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 15 (2) Tobacco product packaged for retail sale in unrecyclable packaging. This prohibition does not apply to child-resistant packaging.
(3) Mixed hazardous waste product.

Note: According to federal law, all child-resistant liquid nicotine packaging is likely to be unrecyclable because federal standards require it to be single-use, and the container will have leftover nicotine solution even after it has been used by an end consumer. Without cleaning the container with a method consistent with federal hazardous waste law, these containers remain contaminated and are unlikely to be recyclable. The exception to prohibition (B) above allows for the sale of electronic smoking solution refill containers that comply with federal law, and normally will have to be disposed of as hazardous waste or household hazardous waste.

Removing that exception would likely make the sale of all electronic smoking substances such as e-liquids impracticable in the jurisdiction, though retailers could still sell electronic smoking devices without such substances so long as the electronic smoking devices did not fall within the definition of single-use tobacco products.
(B) BURDEN OF PROOF. A tobacco retailer bears the burden of proof to show with clear and convincing evidence that any tobacco product it offers for sale is not prohibited by [ subsection (A) ]. Statements that a product or packaging is “recyclable” without further proof and detail are not sufficient evidence to make such a showing.

Endnotes
1 Doug Blanke, The Tobacco End Game: Still A Priority in the Age of COVID-19?, Public Health Law Center (June 30, 2020), https://www.publichealthlawcenter.org/blogs/2020-06-30/tobacco-end-game-still-priority-age-covid-19. 2 Manhattan Beach, Cal., Ordinance 20-0007 (Feb. 18, 2020); Beverly Hills, Cal. Ordinance 19-O-2783 (June 4, 2019). 3 Cal. Water Bds., Storm Water Program — Trash Implementation Program (May 25, 2021), https://www.waterboards. ca.gov/water_issues/programs/stormwater/trash_implementation.html. The state’s Trash Amendments under the Clean Water Act become binding on California localities through their MS4 municipal separate storm sewer system permits by December 2030 at the latest.
4 Off. on Smoking & Health, Extinguishing the Tobacco Epidemic in California, Ctrs. for Disease Control & Prevention (Mar. 24, 2021), https://www.cdc.gov/tobacco/about/osh/state-fact-sheets/california/index.html; Stanton A. Glantz, California’s Tobacco Control Program Generates Huge Health Care Savings, Ctr. for Tobacco Control Rsch. & Educ. (Feb. 13, 2013), https://tobacco.ucsf.edu/california%E2%80%99s-tobacco-control-program-generates-huge-health-care-savings. 5 Barbara Healy Stickel et al., Waste in Our Water: The Annual Cost to California Communities of Reducing Litter That Pollutes Our Waterways, Nat’l Res. Def. Council (Aug. 2013), https://www.nrdc.org/sites/default/files/oce_13082701a.pdf.

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22.17 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 16 Policy Option #2: Hazardous Waste Regulation
Another potential policy option seeks to enhance existing hazardous waste and tobacco retail licensing schemes with other controls to minimize the environmental health harms caused by tobacco waste. The provisions below provide definitions and outline potential policy approaches that would impose requirements for hazardous waste tracking, handling, and signage that apply to many other hazardous products. Jurisdictions pursuing these types of policies should consult with their local hazardous waste regulators, fire safety authorities, and legal counsel to ensure that the suggested policies accomplish their aims, namely the imposition of stricter requirements on those selling particularly dangerous products in the jurisdiction.

Section I. FINDINGS.

Note: See Appendix for sample findings tailored to accompany the policies set forth below. The findings section is part of the ordinance and legislative record, but it usually does not become codified in the municipal code. An ordinance based on this draft should include findings of fact — data, statistics, relevant epidemiological information, for instance — that support the purposes of the ordinance, as well as any legal precedent that directly supports the ordinance.

In addition to serving an educational purpose and reflecting community support for the ordinance, the findings can also serve a legal purpose. If challenged in court, the findings are an admissible record of the factual determinations made by the legislative body when considering the ordinance. Courts will generally defer to legislative determinations of factual issues, which often influence legal conclusions. A list of findings supporting this model ordinance appears in the Appendix. Jurisdictions may select findings from that list to include or adjust, along with additional findings on local or regional conditions, outcomes, and issues that help make the case for the policy.

Section II. [ article/section ] of the [ county/city ] Code is hereby amended to read as follows:

Sec. [ _______ (*1) ]. DEFINITIONS. The following words and phrases, whenever used in this [ article/chapter ], shall have the meanings defined in this section unless the context clearly requires otherwise:

Note: The definitions and sections below are meant to supplement those found in the Comprehensive Tobacco Retailer Licensing (”TRL”) Ordinance and any jurisdiction that does not already have a comprehensive TRL policy with sufficient definitions may want to consult both models to choose which elements of each is appropriate for that community.

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22.18 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 17 (A) “Electronic smoking substance container” means any receptacle holding a substance that may be aerosolized or vaporized by an electronic smoking device, whether or not the substance contains nicotine.
(B) “Mixed hazardous waste product” means any tobacco product that contains liquid for use in an electronic smoking device in combination with electronic waste, subject to 22 California Code of Regulations § 66261.9 and related regulations, into a single product that cannot be classified and disposed of only as acute hazardous waste, non-acute hazardous waste, or universal waste alone without disassembly by a waste management entity.

Note: For more information on how nicotine and electronic waste (e-waste) are hazardous waste under California law, please see the Center’s publication Tobacco Product Waste: Frequently Asked Questions. For a state agency discussion of e-waste as a specific waste stream, see the California Department of Toxic Substances Control page on e-waste. And for some discussion of why these products are unlikely to be recyclable, please see the Center’s commentary on how tobacco product waste likely cannot be mitigated by reformulating products.

Sec. [ _______ (*2) ]. GENERAL REQUIREMENTS AND PROHIBITIONS. (A) HAZARDOUS WASTE COMPLIANCE AND TRAINING. No tobacco retailer may sell any electronic smoking device without first:
(1) registering with the California Environmental Reporting System (CERS); (2) obtaining an EPA identification number as a hazardous waste generator under applicable federal and state law; and
(3) completing a training program from the [ city/county ] Certified Unified Program Agency (CUPA) that details the tobacco retailer’s duties in storing, handling, and disposing of hazardous waste tobacco products
Tobacco retailers shall pay all costs for obtaining and maintaining the necessary CERS registration, EPA identification number, and any periodic mandated trainings or other requirements.

Note: This first substantive portion of the draft tobacco product waste policy uses the defined term “electronic smoking device” found in the Comprehensive Tobacco Retailer Licensing Ordinance, and a hazardous waste compliance and training policy should be coupled with a definition such as the one available in that document to assure comprehensiveness and clarity.

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22.19 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 18 By stocking products, retailers will have them on hand and will need to dispose of them at times. Tobacco retailers that dispose of e-cigarettes or other electronic tobacco products, such as heated cigarettes, must comply with California and federal hazardous waste laws. Obtaining an EPA identification number is the first step in compliance with the requirements of both federal and state law. When a tobacco retailer disposes of tobacco products that qualify as hazardous waste, the retailer is a “hazardous waste generator” under applicable laws and must store, handle, and transport the hazardous waste consistent with federal and state standards.

The applicable rules are often complicated and compelling retailers to know their duties and undergo government training could help improve compliance rates. Because creating and administering a training program will burden CUPA staff, it is a reasonable cost-allocation policy to require retailers to bear the costs for this additional regulatory burden. (B) HAZARDOUS MATERIALS COMPLIANCE. No tobacco retailer may store any electronic smoking substance container, bulk nicotine, or other chemicals used in manufacturing or preparing electronic smoking device substances without first:
(1) certifying to the [ city/county ] that it is in compliance with this subsection and the requirements of California Health and Safety Code Chapter 6.95 applicable to any hazardous materials, regardless of the amount of nicotine on premises and regardless of whether the nicotine is contained in consumer products or not; and (2) completing a training program from the [ city/county cupa/fire department/responsible agency ] that details the tobacco retailer’s duties in placarding, storing, planning, and preparing for emergencies consistent with hazardous materials requirements.

Consistent with the California Health and Safety Code, the [ city/county ] requires tobacco retailers selling electronic smoking devices and products containing nicotine to comply with all placarding, storing, planning and emergency preparation standards in Health and Safety Code Chapter 6.95 regardless of the amount of nicotine on premises and regardless of whether it is contained in consumer products or not.

Tobacco retailers shall pay all costs of compliance and periodic mandated trainings.

Note: California law sets minimum standards for hazardous materials release response plans and inventory. In addition, the law explicitly does not preempt stronger standards at the local level, stating: “the Legislature does not intend to preempt any local actions, ordinances, or regulations that impose additional or more stringent requirements on businesses that handle hazardous materials.” See California Health and Safety Code § 25500(b). As a result, local governments may go further than state law and treat nicotine-containing products as hazardous materials even in small quantities and even if they are classified as consumer products. Treating April 2022

22.20 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 19 these products as hazardous materials is consistent with federal regulations established by agencies such as the Pipeline and Hazardous Materials Safety Administration, and would help to prevent dangerous conditions should a tobacco retailer have an emergency such as a fire, potentially exposing first responders to toxic releases of nicotine and bulk chemicals. (C) HAZARDOUS WASTE SIGNAGE. No tobacco retailer may sell electronic smoking devices without first posting a sign, visible to customers, provided by the Department, that states:

E-liquid is a deadly poison and e-cigarettes can explode and catch fire. E-cigarettes and nicotine e-liquid are hazardous waste under California law and should not be disposed of in the regular trash. These products must be disposed of as household hazardous waste at [ name of household hazardous waste facility in jurisdiction ].

April 2022

22.21 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 20 Note: Jurisdictions may require businesses to disclose factual and uncontroversial information in order to correct misunderstandings consumers may have about a product. Since e-cigarette companies have told their customers that their products are regular trash when they are actually either hazardous waste or household hazardous waste under California law, it is within a local jurisdiction’s authority to require a truthful statement correcting the misunderstanding.

It is best to ground any signage requirements in factual statements that do not advocate for the government’s position but only provide noncontroversial information.

The Public Health Law Center would be happy to provide individualized technical assistance and feedback on drafting language other than this sample if there are additional/different factual issues that need to be highlighted. Note that requiring certain statements at tobacco retailers can run afoul of both First Amendment precedents as well as federal statutory preemption, so it is important to consult with an attorney before finalizing any language for a required disclosure. For more information on this topic, please consult this flowchart and webinar. Any statement that can be viewed as advocating for users to seek help quitting may be more likely to elicit First Amendment legal challenges, and all warning signs should be reviewed by local legal counsel before being adopted.

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22.22 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 21 Policy Option #3: Incorporating Environmental Justice
Principles
The environmental justice movement arose in response to a clear statistical reality: African American, Latino, Asian and Pacific Islander, and American Indian/Alaska Native people disproportionately live, work, and play in the areas that shoulder the highest burden of pollution and exposure to environmental toxins. In fact, a 1987 report by the United Church of Christ’s Commission for Racial Justice entitled, “Toxic Wastes and Race in the United States,” showed that race, more than any other factor, corresponded with the location of hazardous waste facilities.1
That reality continues to this day, and holds true when considering exposure to tobacco retailers and tobacco product waste.

In the case of Tobacco Retail Licensing (TRL), environmental injustice also occurs as a result of the disproportionate retailer density in communities of color and low-income communities— the same communities that already experience a disproportionate amount of pollution from other sources. Studies have shown that tobacco product waste clusters where tobacco products are sold and consumed, so neighborhoods with high retail density are also subject to high exposure to toxic tobacco waste. The model language provided below addresses this disproportionate retailer density in two ways. First, it does so on a basis that prohibits further retailer siting in communities that already have a higher retailer density than others. California law already recognizes and attempts to remedy disproportionate exposure to pollution,2 and the provisions below draw from existing definitions. Second, the provisions below attempt to address disproportionate retailer density by setting a density cap on the number of retailers that can be located in a specific geographic subset of a particular jurisdiction.

Note that the Public Health Law Center’s Comprehensive Tobacco Retailer Licensing (”TRL”) Ordinance contains provisions that would limit the density of tobacco retailers in a variety of ways, but the provisions below go further by addressing disproportionate retailer density within smaller geographic areas within a jurisdiction, rather than jurisdiction wide. The proposed language draws from a policy enacted in 2015 in San Francisco, which is covered more extensively in this case study.

Section I. FINDINGS.

Note: See Appendix for sample findings tailored to accompany the policies set forth below. The findings section is part of the ordinance and legislative record, but it usually does not become codified in the municipal code. An ordinance based on this draft should include findings of fact — data, statistics, relevant epidemiological information, for instance — that support the purposes of the ordinance, as well as any legal precedent that directly supports the ordinance.

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22.23 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 22 In addition to serving an educational purpose and reflecting community support for the ordinance, the findings can also serve a legal purpose. If challenged in court, the findings are an admissible record of the factual determinations made by the legislative body when considering the ordinance. Courts will generally defer to legislative determinations of factual issues, which often influence legal conclusions. A list of findings supporting this model ordinance appears in the Appendix. Jurisdictions may select findings from that list to include or adjust, along with additional findings on local or regional conditions, outcomes, and issues that help make the case for the policy.

Section II. [ article/section ] of the [ county/city ] Code is hereby amended to read as follows:

Sec. [ _______ (*1) ]. DEFINITIONS. The following words and phrases, whenever used in this [ article/chapter ], shall have the meanings defined in this section unless the context clearly requires otherwise:

Note: The definitions and sections below are meant to supplement those found in the Public Health Law Center’s Comprehensive Tobacco Retailer Licensing Ordinance and any jurisdiction that does not already have a comprehensive TRL policy with sufficient definitions may want to consult both models to choose which elements of each are appropriate for that community. (A) “Disadvantaged communities” means any of the following:
(a) Any census tract with a Pollution Burden Percentile over 50, as indicated in the CalEnviroScreen 4.0 Mapping tool;
(b) Geographic areas disproportionately affected by environmental pollution and other hazards that can lead to negative public health effects, exposure, or environmental degradation;
(c) Geographic areas with concentrations of people that are of low income, high unemployment, low levels of homeownership, high rent burden, sensitive populations, or low levels of educational attainment;
(d) Geographic areas with an annual median household income that is less than 80 percent of the statewide annual median household income; or (e) Geographic areas that were historically redlined, or experienced intentional, systematic discriminatory disinvestment due to the population’s racial or ethnic makeup.

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22.24 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 23 Note: This definition of disadvantaged communities integrates the California Environmental Protection Agency’s Office of Environmental Health Hazard Assessment’s (OEHHA) mapping tool that helps communities identify areas that experience a disproportionate share of the state’s pollution burdens.3
While the CalEnviroScreen mapping tool does not currently include tobacco product waste as a specific source of pollution, it does take into account population characteristics such as asthma, cardiovascular disease, and low-birth-weight infants, which are all associated with commercial tobacco use. The definition is also based on definitions in California Health and Safety Code § 39711 and Water Code § 79505.5 (and similar to Govt. Code § 65302, which governs local land use planning). Together, these laws and tools help local governments identify areas that have experienced inter-generational barriers to wealth and power, in order to better allocate government aid and resources to them. The “disadvantaged communities” designation (and similar definition in the planning statute) helps guide local governments in their periodic planning and, within a tobacco retail licensing ordinance, can also be used to combat decades of tobacco industry targeting by preventing continued siting of tobacco retailers in communities that already experience disproportionate burdens of pollution from all sources.
(B) “District” means [ the electoral districts in the [ city/county ] ] [ subsets of [ city/county ] ] that are roughly equal in population.

Note: This definition of “district” draws on San Francisco’s retailer density law, which uses electoral districts to set caps on a district-by-district basis, rather than on a City-wide basis.

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22.25 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 24 Larger jurisdictions may already have electoral districts within their boundaries, and those districts could be used as a basis for setting density caps as provided below. Other geographic breakdowns can take the form of voting precincts, which could similarly be used to set geographic boundaries.

Sec. [ _______ (*5) ]. LIMITS ON ELIGIBILITY FOR A TOBACCO RETAILER LICENSE. (A) DISADVANTAGED COMMUNITIES. No license may be issued, and no existing license may be renewed, to authorize tobacco retailing within a disadvantaged community.

If any person submits evidence suggesting a license was or will be issued within a disadvantaged community, the license will be suspended until the tobacco retailer has demonstrated by clear and convincing evidence that the area does not meet the definition of disadvantaged community, and the [ city council/board of supervisors ] solicits and considers oral and written public comment regarding the tobacco retailer’s submission before taking final action. A tobacco retailer who has made a sufficient showing under this section shall not be required to make another showing on this issue for 12 months, or until its next permit application, whichever comes first.

Note: Local governments in California are already required to identify and plan for policies to reduce the unique and compounded health harms, including pollution exposure, to disadvantaged communities as defined by state law (see California Government Code § 65302).

One significant problem for health equity and environmental justice is that the mostpolluting industries tend to concentrate in low-income communities with fewer resources to reject the establishment of such facilities. The above prohibition on tobacco retailers within disadvantaged communities would directly address this issue by capping the number of retailers in such neighborhoods at zero. Studies show that tobacco product waste clusters where tobacco products are sold and consumed. Thus, by eliminating retail outlets in lowincome neighborhoods, a jurisdiction can decrease tobacco pollution in these neighborhoods while also pushing back on the tobacco industry’s systemic targeting of low-income people to recruit new users. If a jurisdiction wanted to phase in this type of policy more slowly, it could add a “hardship waiver” system (or a limited number of license renewals) to allow existing retailers in these neighborhoods to continue retailing only for the time necessary to recover reasonable sunk costs and transition to another type of business or different location.

Sec. [ _______ (*) ]. POPULATION AND DENSITY.
(A) DENSITY CAP. No license may issue, and no existing license may be renewed, in any district that has [ _______ ] or more tobacco retailers.

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22.26 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 25 (B) CITY COUNCIL REVIEW. The Department shall assess the density cap set in subparagraph (A) every two years to evaluate whether to recommend to the [ city council/county board of supervisors ] an amendment to this [ chapter/article ] to reduce the number of permitted tobacco retailers reasonably necessary to advance the public health purposes this [ chapter/article ] seeks to achieve.

Note: The two provisions above, which set a cap on the number of tobacco retailers in any one district and prohibit licenses to retailers in a district where that cap has been exceeded, are based on San Francisco’s retailer density law. That law similarly sets a cap on the number of retailers in any one supervisorial district at 45 retailers per district, which was slightly above the lowest number of retailers that existed in any one supervisorial district at the time of policy enactment. Jurisdictions could choose to follow San Francisco’s lead by setting a cap that corresponds to the fewest number of retailers in any one district. Alternatively, jurisdictions could choose to set a number that takes into account other density-related concepts. For example, a jurisdiction could set a cap that would ensure that in even in the most densely populated areas, retailers are not located adjacent to one another or near schools or youthpopulated areas. See the Public Health Law Center’s Comprehensive Tobacco Retailer Licensing (”TRL”) Ordinance for more ideas on density and proximity-related concepts.

Endnotes
1 United Church of Christ Commission for Racial Justice, Toxic Wastes and Race in the United States: A National Report on the Racial and Socio-Economic Characteristics of Communities with Hazardous Waste Sites (1987), https://www.nrc.gov/ docs/ML1310/ML13109A339.pdf.
2 See, e.g., California Health and Safety Code § 39711; California Water Code § 79505.5, and California Govt. Code § 65302. 3 The CalEnvrioScreen mapping tool is available at the California Office of Environmental Health Hazard Assessment’s CalEnviroScreen website: https://oehha.ca.gov/calenviroscreen.

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22.27 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 26 Appendix: Research Findings for Tobacco Product Waste
Policy Options
Section I. FINDINGS.

Whereas, the [ city council/board of supervisors ] finds that tobacco products and tobacco product waste are a significant and growing source of toxic pollution, causing negative environmental and social impacts, as evidenced by the following:

Harms Resulting from Tobacco Product Waste
Whereas, the discarded waste of cigarette butts is an urgent environmental and public health issue, as evidenced by the following:
{ In the United States, more than 249 billion cigarettes were consumed in 2017;1 { Of the 34.1 million current smokers as of 2019,2
nearly 75 percent of smokers reported
having littered cigarette butts in the past and even tobacco industry research has found that an estimated 65 percent of cigarettes ended up as litter;3 { In addition to cigarette butts, plastic packaging, plastic tips for cigars and cigarillos, disposable electronic cigarettes (e-cigarettes) and their cartridges, and lithium batteries are also commonly littered;4
{ Data shows that in 2017, nearly 2.5 million cigarette butts were removed from coastlines worldwide, with over 200,000 cigarette butts removed in California alone;5 { Cigarette butts account for nearly 38 percent of all collected litter from U.S. roadways6 and are
also the most collected litter item in retail areas, storm drains, and parks and playgrounds;7 { For 34 years, cigarette butts were the most common littered item found during Ocean Conservancy’s annual International Coastal Cleanup;8
{ Whereas, cigarette butts account for 34 percent of the total litter collected in California;9 Whereas, cigarette butts continue to pollute soil, water, and air for days to years after they are littered, as evidenced by research showing that:
{ Cigarette ash and cigarette butts are sources of concentrated toxic metal that readily leaches into rainwater,10 causing millions of tons of toxic metal pollution in the environment annually;11 April 2022

22.28 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 27 { U.S. Food and Drug Administration (FDA) researchers concluded “Environmental impacts from [ cigarette butt ] litter could occur due to the leaching of toxic chemicals, and aquatic systems and organisms may be the most vulnerable to these potential impacts”;12 { The same FDA study showed that “of the 98 identified [ cigarette butt ] leachate chemicals, one-third were very toxic and 10 percent were toxic to aquatic organisms due to acute and chronic toxicity.… [and among the 98] 25 are included in FDA’s list of harmful or potentially harmful constituents in tobacco products and tobacco smoke”;13 { While cigarette butts are most ecotoxic immediately after smoking and discard, the butts continue to be highly toxic to the environment causing soil pollution for years after use and littering;14
{ If cigarette butts do not leach toxic chemicals to surface waters, they can still offgas dangerous pollutants for weeks after they have been smoked, with emissions rates of furfural, styrene, ethylbenzene, 2-methyl-2-cyclopenten-1-one, limonene, naphthalene, triacetin, and nicotine increasing with increased ambient temperature;15 { Even 24 hours after being littered, used cigarette butts continue to release up to 14 percent of the nicotine that comes off of a burning cigarette;16 { Cigarette filters are made of non-biodegradable plastic that breaks down into microplastics in the environment.17
{ Marine microplastics can be ingested by organisms, including organisms consumed by humans, and may accumulate up the food chain.18
Whereas, tobacco product waste is a significant source of plastic pollution in the environment, as evidenced by the following:
{ 98 percent of cigarette butts are made of cellulose acetate, a type of plastic, and are not biodegradable, and thus persist in natural environments;19 { A used cigarette butt can shed more than 100 plastic microfibers per day and eventually breaks apart into 15,000 plastic microfibers, releasing toxic compounds and posing an additional risk to life beyond the chemicals from cigarette butt leachate;20 { Research has demonstrated plastic microfibers are the most prevalent plastic waste found in the stomachs of sea turtles,21 and sea turtle mortality rises with the amount of plastic they consume;22
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22.29 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 28 Whereas the California State Legislature has recognized microplastic water pollution and ocean plastics are urgent issues that call for both statewide and local action, as evidenced by the following:
{ In 2018 California lawmakers adopted a new drinking water standard, requiring the California Water Resources Control Board to establish the world’s first health guidelines for microplastics in drinking water;23
{ As part of the legislature’s plan, local governments will have to test for microplastics in drinking water for at least four years, and the state will provide guidance on testing and how microplastics are defined;24
{ California lawmakers have required the Ocean Protection Council to create a Statewide Microplastics Strategy and report to the legislature on the strategy and progress made in both 2021 and 2025;25
{ The California Ocean Protection Council has identified cigarette butts as a core method of addressing plastic pollution in coastal and marine ecosystems, and are investigating the efficacy of a statewide prohibition on the sale of cigarette butts to address this problem.26 { The California Ocean Protection Council and Ocean Science Trust produced a report on microplastics that found: “True source reduction of plastic materials may be the most effective precautionary strategy to reduce and prevent microplastic pollution, given lack of feasible microplastic cleanup strategies.”27
{ Whereas, leading international legal and environmental justice organizations also have similarly determined: “The most effective recommendation is simple: immediately reduce the production and use of plastic. Stopping the expansion of petrochemical and plastic production and keeping fossil fuels in the ground is a critical element to address the climate crisis.”28 Whereas, tobacco product waste is also a source of toxic chemicals and metals that harm ecosystem health, as evidenced by the following:
{ A study found that cigarette butts can be a source for the contamination of heavy metals in water, potentially leaching into marine life and disrupting the food chain;29 { FDA researchers have studied the issue of cigarette butts as they harm the environment and found that butts “pose a major litter and hazardous waste problem that raises concerns about their potential environmental, public health, social and economic impacts;”30 April 2022

22.30 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 29 Whereas, cheap disposable tobacco products have the potential to cause the most waste by volume and toxicity, as evidenced by the following:
{ Under federal law, the liquid nicotine found in e-cigarettes is an acute hazardous waste product,31 the electronics and battery inside are hazardous e-waste under state and federal law,32 and disposing of these hazardous wastes legally is an expensive and costly burden imposed on local governments and schools by the tobacco industry;33 { Disposable e-cigarettes pose a greater environmental threat than refillable e-cigarettes because they can only be used for about 400 puffs before the entire e-cigarette must be replaced;34
{ E-cigarettes may qualify as both e-waste and biohazard waste (if there is residual nicotine), and it is estimated that users discard 99 billion pounds of e-waste globally each year;35 { In 2015, over 58 million e-cigarettes and refills were sold in the United States in grocery and convenience stores (excluding vape shops and online); 19.2 million of those were single-use e-cigarettes;36
{ As the lithium-ion batteries in e-cigarettes degrade, they release toxic heavy metals that can leak into soil and water;37
{ Lithium-ion batteries are at high risk for thermal runaway, fire, and explosion;38 { The U.S. Fire Administration has studied e-cigarette fires and explosions and determined that:
] “The shape and construction of electronic cigarettes can make them (more likely than other products with lithium-ion batteries) behave like ‘flaming rockets’ when a battery fails;”39 and ] “As long as lithium-ion batteries continue to be used in e-cigarettes, severe injuries will continue to occur. As the number of e-cigarettes in use increases, the number of severe injuries from lithium-ion battery explosions and fires will likely continue to increase.”40 Whereas, e-cigarette products are rarely discarded properly, harming the environment, as evidenced by the following:
{ In one poll, 51 percent of young e-cigarette users reported disposing of pods or empty e-cigarettes in the trash, 17 percent in a regular recycling bin not designed for e-waste, and 10 percent just throwing them on the ground;41
{ E-cigarette waste will not biodegrade, even under severe conditions, instead, e-cigarettes will eventually break down into microplastics, toxic metals, and chemicals;42 April 2022

22.31 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 30 { E-cigarette maker JUUL Labs Inc. has been sued by the state of California for, among other things, misleading consumers by instructing them to throw their products “in a regular trash can”43 when they are actually hazardous wastes that cannot be disposed of as regular trash in California;
{ Other e-cigarette companies also do not give directions on how to properly and safely dispose of their products;44
{ When polled on how they dispose of these devices, only 15 percent of young people who used them reported proper recycling of e-cigarettes;45
{ Improperly-disposed-of e-cigarettes are a leading cause of fires in the waste management system, putting staff and facilities in grave danger;46 Whereas, nicotine and cigarette butts can have sublethal effects on wildlife that nonetheless harm overall survival, as evidenced by the following:
{ House finches that use littered cigarette butts in their nest are able to kill off parasites with the toxic nicotine, but scientists also observed the butts caused genotoxicity in baby birds and breeding pairs that may impact long-term survival;47 { Low-level nicotine toxicity found in nature is shown to make mice less able to defend themselves against predators, demonstrating neurotoxic damage that reduces survival;48 April 2022

22.32 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 31 { Exposure to cigarette butt leachate caused mice to have significantly reduced body weight and damaged lung tissue;49
{ The European Chemicals Agency has determined that nicotine significantly reduces the growth and fecundity of aquatic invertebrates at nominal environmental concentrations, harming their long-term survival;50
Whereas, tobacco product waste contaminates water supplies and human food sources, as evidenced by the following:
{ Toxins from cigarette butts have been shown to bioaccumulate in species eaten by humans, such as rainbow trout;51
{ Toxins from cigarette butts also bioaccumulate in commodity crops, thereby causing nicotine contamination in these crops;52
{ Plastic particles from sources like degraded cigarette butts are found in cultured oysters;53 { Nicotine metabolites are detectable in 51 percent of U.S. drinking water sources;54 Fire Risk Posed by Tobacco Products
Whereas, smoking and smoldering cigarette butts remain a leading cause of structure fires and fire deaths and disasters, and lowering smoking levels has a salutary impact on the number of fires in the U.S.;55
Whereas, between 2012 and 2017, an average of 47 wildfires in California each year were traced back to smoking;56
Whereas, the July 2020 Clay Fire, which burned 730 acres and required the efforts of eight fire departments and numerous agencies and power companies to manage, was ignited by a cigarette butt;57
Whereas, these significant fire impacts happen even though California adopted fire safety standards for cigarettes beginning in 2007;58
Harms Caused by Nicotine Ingestion
Whereas, research indicates that children playing in parks or playgrounds are more likely to ingest cigarettes if they are littered and accessible, and human and pet exposures to cigarette butts are frequent due to the ubiquitous nature of this litter;59 April 2022

22.33 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 32 Whereas, researchers determined “From 2013 to 2017, an estimated 4745 poisoning cases related to e-liquids among children under age five were treated in US hospital emergency departments,”60 and in 2018 alone, 885 children under 5 were admitted to hospitals for poisoning from nicotine e-liquids;61
Whereas, tobacco products containing nicotine are responsible for more than 10,000 telephone calls to poison control centers in the United States each year, and data also shows:
{ Over 80 percent of tobacco-related poison exposures involved young children;62 { The vast majority of calls involving children 5 and younger were related to conventional cigarettes (as opposed to chewing tobacco, e-cigarettes, snuff, cigarette butts, etc.);63 Social and Environmental Justice Harms
Whereas, tobacco product waste distribution mirrors the industry targeting of specific demographic groups, unduly burdening specific communities as evidenced by the following:
{ In a 2019 study conducted of San Francisco area high schools, cigarette butts, little cigar plastic wrappers, and mouthpiece litter were most likely to be found at schools with larger low-income student populations;64
{ Data shows a higher density of tobacco retailers and marketing of tobacco products in predominantly African American neighborhoods,65 leading to increased tobacco product waste in these areas;66
{ Analysis from U.S. Food and Drug Administration scientists shows that vape shops are more densely distributed, and nearer to schools, in school districts with higher proportions of Asian and Black or African American populations,67 meaning that these communities are more exposed to nicotine products, tobacco product advertising, and the environmental exposure to wastes from these products and businesses;
Whereas, nicotine and e-cigarette products confiscated or collected by schools are a hazard to staff health, and these products are hazardous waste when discarded by schools; Whereas, the costs of hazardous waste management and disposal are a significant burden on schools caused by the tobacco industry’s targeting of new replacement users; Whereas, the distribution of littered tobacco product waste is inequitable and harms the most vulnerable populations:

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22.34 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 33 { Researchers in San Diego found that cigarette butts clustered where the products were bought and used, with the highest concentrations around bars and convenience stores;68 { Researchers in the Bay Area found that flavored tobacco products accumulated in different high school parking lots and discarded products correlated with the socioeconomic status of the school population, with more e-cigarette waste found on the grounds of schools with a higher-income student population and more flavored little cigar and menthol cigarette waste at schools with low-income populations;69
Whereas, LGBTQ+ communities have a higher prevalence of adult tobacco use and youth tobacco use than the general population. This is at least partially due to tobacco ads targeted specifically at LGBTQ+ people;70
Whereas, there is also a higher density of tobacco retailers in communities with people who identify as members of the LGBTQ+ community;71
April 2022

22.35 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 34 Whereas, overall, waste-related environmental exposure is stronger in disadvantaged population subgroups in the US,72 and disposing of tobacco products at hazardous waste sites will continue to disproportionately harm environmental justice communities as evidenced by the following:
{ Studies show that hazardous waste facilities are disproportionately located near and in communities and neighborhoods with greater populations of racial and ethnic minorities;73 { Hazardous waste sites and landfills are most commonly found in or near African American/Black communities and neighborhoods;74
Tobacco Product Production and Upstream Harm to the Natural and Human Environments
Whereas, the deforestation related to the tobacco industry’s farming of the tobacco causes significant harm to the environment as evidenced by the following:
{ Land clearance for cultivation and the burning of wood and charcoal for curing tobacco as well as the paper needed for cigarette wrapping, packaging matches and print advertisements, are major contributors to deforestation;75 { Curing of the tobacco leaf is dependent on the burning of trees—one tree’s worth of wood is used to cure an estimated 300 cigarettes, resulting in the annual loss of billions of trees;76 { The significant deforestation and burning of trees result in large quantities of CO2 being released into the atmosphere contributing to global climate change;77 { Deforestation has a negative effect on land quality and biodiversity — it promotes soil degradation which may not then be used to support the growth of other crops or vegetation, and industrial agriculture depends on overuse of agricultural chemicals;78 Whereas, tobacco is often grown without rotation of other crops making it more vulnerable to pests and diseases, and as a result tobacco growers use large amounts of chemical pesticides and fertilizers,79
Whereas, industrial tobacco production causes significant harm to human health and the environment as evidenced by the following:
{ Human Rights Watch found that children who work in the U.S. tobacco fields reported that pesticides sprayed into adjacent fields drifted onto them and caused vomiting and other serious poisoning symptoms;80
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22.36 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 35 { Children in the U.S., Indonesia, and Zimbabwe working in the tobacco fields described symptoms indicative of acute nicotine poisoning from dermal exposure;81 { Tobacco production predominantly occurs in countries with few environmental or occupational regulations causing workers to be at risk for pesticide poisoning;82 { Chemicals such as DDT, which are banned in the U.S. are commonly used in other tobacco producing countries;83
Whereas, in 2018, 948,327 pounds of toxic chemicals were released from U.S. tobacco facilities;84 The Burden on and Responsibility of Local Government
Whereas, picking up tobacco product waste is expensive for local governments, as evidenced by the following:
{ Researchers estimate that, annually, mid-sized cities can spend up to $6 million per city related to cigarette waste clean-up;85
{ Researchers determined that the 30 biggest cities in the U.S. would be paying between $4.7 and $90 million per year to clean up all the cigarette butt waste littered in their communities;86
{ In California, the annual costs of cleaning up cigarette butts in large cities are estimated (mean estimates) to be:
] $4,195,867 for San Francisco;
] $3,908,981 for San Jose;
] $7,066,021 for San Diego;
] $19,703,611 for Los Angeles;87
Whereas, the costs of cigarette butts go beyond direct cleanup costs, and San Francisco’s own estimate of $7,487,916 of direct costs for cleanup do not include the additional costs borne because of environmental and tourism damage from cigarette butt waste prevalence;88 Whereas, FDA analysis and numerous state-authority guidance documents confirm how schools throughout the country have a legal duty to comply with hazardous waste law when discarding confiscated and collected nicotine and e-cigarette products due to their status as hazardous waste;89
April 2022

22.37 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 36 Whereas, California municipalities and counties have duties to uphold and enforce the state’s strong environmental laws:
{ Under the 2015 Trash Amendments, when fully implemented, jurisdictions in California with municipal stormwater permits will be required by California’s Clean Water Act standards to prevent or capture all trash before it is diverted to rivers, lakes, or the ocean;90 { Stormwater trash collection technology, though available, is more expensive and complicated than eliminating or controlling solid waste before it is littered and washed into the stormwater system;91
{ California counties and cities that are designated Certified Unified Program Agencies and Participating Agencies share responsibility with the state over enforcement of hazardous waste standards and oversight of waste generators;92
Public support for policy intervention
Whereas, California adults recognize the environmental threat caused by tobacco product waste and support policy intervention, as evidenced by the following:
{ 90.3 percent of adults in CA agree that cigarette butts damage the environment;93 { 90.3 percent of adults in CA agree that cigarette butts are poisonous to children, pets, and wildlife;94
{ 57.4 percent of California adults support a government policy to ban the sale of filtered cigarettes;95
{ 67.9 percent of California adults support a government policy to ban single‑use tobacco products in order to reduce litter waste;96
{ 75.8 percent of adults in California agree that the tobacco industry should be held responsible for the negative impact of tobacco product waste on the environment;97 Evidence supporting the need for policy intervention
Whereas, upstream approaches that influence product use and demand are necessary to meaningfully impact the accumulation of tobacco product waste, as evidenced by the fact that even when appropriate waste receptacles are available, people who smoke still discard their tobacco product waste into the environment;98
Whereas, deposit and return systems have the potential to increase the number of toxic or electronic devices that are collected by responsible businesses for legal disposal as e-waste;99 April 2022

22.38 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 37 Whereas, California has take-back systems for both rechargeable batteries and mobile telephones, and requiring e-cigarette retailers to take back and legally dispose of their hazardous wastes is consistent with the values of [ name of jurisdiction ]; 100
Whereas, [ local school district ] has incurred hazardous waste disposal costs from e-cigarettes and other nicotine wastes in the amount of [ insert amount, if available ] over the past [ time period ];
Whereas, [ local household hazardous waste facility ] has disposed of [ quantity ] of e-cigarette waste in the past [ time period ] at a cost to the [ household hazardous waste operator ] of [ amount ];
Whereas, sales prohibitions of the tobacco products and tobacco product packaging that causes the worst impacts to the environment will reduce the costs of cleanup of littered and hazardous waste incurred by the [ city/county ] in the future; Whereas, the [ city/county ] must comply with state standards for capture of trash before it flows to state waters, and limiting the sources of littered pollution is a cost-effective way of managing the problem with limited costs in infrastructure and government staff time spent on trash cleanup;
Whereas, tobacco retailers whose products pollute neighborhoods targeted by the tobacco industry have no right to perpetuate a tobacco product waste nuisance on communities targeted by the tobacco industry;
NOW THEREFORE, it is the intent of the [ city council/board of supervisors ], in enacting this ordinance, to recognize and declare tobacco product waste a public health and environmental threat to the residents of the [ city/county ], to advance policies that reduce or eliminate toxic tobacco product waste in the community, to encourage responsible tobacco retailing and discourage violations of hazardous waste laws, and to encourage the reduction of social and environmental injustices resulting from tobacco retailing.

Endnotes
1 Ctrs. for Disease Control & Prevention, Consumption of Combustible and Smokeless Tobacco — United States, 2000–2015 (2016).
2 See Ctrs. for Disease Control & Prevention, Current Cigarette Smoking Among Adults in the United States, https://www. cdc.gov/tobacco/data_statistics/fact_sheets/adult_data/cig_smoking/index.htm#:~:text=In%202019%2C%20nearly%2014%20of,with%20a%20smoking%2Drelated%20disease (Dec. 10, 2020). 3 Keep Am. Beautiful, Littering Behavior in America: Results of a National Study (2009), https://kab.org/wp-content/uploads/2019/10/NewsInfo_Research_LitteringBehaviorinAmerica_2009Report_Final.pdf.

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22.39 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 38 4 Leah Henry, Cigarette Butts and Cigar Tips: Flicked but not Forgotten, Nat’l Oceanic & Atmospheric Admin. (Jul. 23, 2015), https://marinedebris.noaa.gov/cigarette-butts-and-cigar-tips-flicked-not-forgotten. 5 See Tara Leonard, Tobacco Butts Pack a Poisonous Punch for People and the Ocean, Ocean Conservancy (Aug. 31, 2018), https://oceanconservancy.org/blog/2018/08/31/tobacco-butts-pack-poisonous-punch-people-ocean/. 6 Keep Am. Beautiful, 2009 National Visible Litter Survey and Litter Cost Study (Sept. 18, 2020), https://kab.org/wp-content/uploads/2019/08/News-Info_Research_2009_NationalVisibleLitterSurveyandCostStudy_Final.pdf. 7 Id.
8 Laura Parker, Plastic Food Packaging Now Outpaces Cigarette Butts as Most Abundant Beach Trash, Nat’l Geographic (Sept. 7, 2020), https://www.nationalgeographic.com/science/article/plastic-food-packaging-outpaces-cigarettebutts-most-abundant-beach-trash. 9 Californians Against Waste, Cigarette Litter, https://www.cawrecycles.org/cigarette-litter. 10 Nafiseh Mansouri et al., Genotoxicity and Phytotoxicity Comparison of Cigarette Butt with Cigarette Ash, 27 Env’t Sci. & Pollution Research 40383 (2020), https://link.springer.com/article/10.1007/s11356-020-10080-z. 11 Quentin Chevalier et al., Nano-Litter from Cigarette Butts: Environmental Implications and Urgent Consideration, 194 Chemosphere 125-30 (2017), https://hal-insu.archives-ouvertes.fr/insu-01652616/file/chevalier-chemosphere-2017.pdf. 12 Dilip P. Venugopal et al., No Butts on the Beach: Aquatic Toxicity of Cigarette Butt Leachate Chemicals, 7 Tobacco Regul.

Sci. Grp. 17-30 (2021), https://www.ingentaconnect.com/content/trsg/trs/2021/00000007/00000001/art00002. 13 Id.
14 Giuliano Bonanomi et al., The Fate of Cigarette Butts in Different Environments: Decay Rate, Chemical Changes and Ecotoxicity Revealed by a 5-years Decomposition Experiment, 712 Env’t Pollution 114108 (2020), https://www.researchgate.net/profile/Alessandro-Piccolo/publication/338957329_The_fate_of_cigarette_butts_in_different_environments_Decay_rate_chemical_changes_and_ecotoxicity_revealed_by_a_5-years_decomposition_experiment/ links/5f460d0b299bf13404f7e7f1/The-fate-of-cigarette-butts-in-different-environments-Decay-rate-chemical-changes-and-ecotoxicity-revealed-by-a-5-years-decomposition-experiment.pdf. 15 Dustin Poppendieck et al., Influence of Temperature, Relative Humidity, and Water Saturation on Airborne Emissions from Cigarette Butts, 712 Sci. Total Env’t 136422 (2020), https://www.sciencedirect.com/science/article/abs/pii/ S0048969719364186?via%3Dihub.
16 Nat’l Institute Standards & Tech., Butt Emissions: Study Finds Even Extinguished Cigarettes Give Off Toxins (May 18, 2020), https://www.nist.gov/news-events/news/2020/01/butt-emissions-study-finds-even-extinguished-cigarettes-give-toxins. 17 Tik Root, Cigarette Butts Are Toxic Pollution, Nat’l Geographic (Aug. 9, 2019), https://www.nationalgeographic.com/ environment/article/cigarettes-story-of-plastic.
18 Cal. Ocean Prot. Council & Nat’l Oceanic & Atmospheric Admin. Marine Debris Program, California Ocean Litter Prevention Strategy: Addressing Marine Debris from Source to Sea (June 2018), https://opc.ca.gov/webmaster/_media_library/2018/06/2018_CA_OceanLitterStrategy.pdf. 19 Clifton Curtis et al., Tobacco Industry Responsibility for Butts: A Model Tobacco Waste Act, 26 Tobacco Control 113-7 (2016), https://tobaccocontrol.bmj.com/content/26/1/113.full. 20 Francisco Belzagui et al., Cigarette Butts as a Source of Microfibers to the Environment, in Proceedings of the 2nd International Conference on Microplastic Pollution in the Mediterranean Sea (2020), https://link.springer.com/chapter/10.1007/978-3-030-45909-3_42; Maocai Shen et al., Smoked Cigarette Butts: Unignorable Source for Environmental Microplastic, 791 Journal of the Total Environment 148384 (2021), https://doi.org/10.1016/j.scitotenv.2021.148384.

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22.40 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 39 21 Emily M. Duncan et al., Microplastic Ingestion Ubiquitous in Marine Turtles, Glob. Change Biology (Dec. 4, 2018), https://onlinelibrary.wiley.com/doi/full/10.1111/gcb.14519. 22 Chris Wilcox et al., A Quantitative Analysis Linking Sea Turtle Mortality and Plastic Debris Ingestion, 8 Sci. Reps. 12536 (2018), https://www.nature.com/articles/s41598-018-30038-z. 23 Rachel Becker, Premature or Precautionary? California Is First to Tackle Microplastics in Drinking Water, Cal Matters (Mar. 15, 2021), https://calmatters.org/environment/2021/03/california-microplastics-drinking-water. 24 S.B. 1422, 2018 Leg., Reg. Sess. (Cal. 2018).
25 S.B. 1263, 2018 Leg., Reg. Sess. (Cal. 2018).
26 Holly Wyer, Action Item: Discussion and Possible Endorsement of Recommendations to Address Plastic Pollution in California’s Coastal and Marine Ecosystems, Ocean Prot. Council (Feb. 16, 2021), https://www.opc.ca.gov/webmaster/ftp/ pdf/agenda_items/20210216/Item_4_Plastic_Pollution_Recommendations_Staff_Rec_Revised_and_Endorsed_FINAL_20210323.pdf. 27 Cal. Ocean Sci. Tr., Microplastic Pollution in California (Apr. 2021), https://www.oceansciencetrust.org/wp-content/uploads/2021/05/OST-Microplastics-Report-2pager.pdf. 28 Lisa Anne Hamilton et al., Plastic & Climate: The Hidden Costs of a Plastic Planet, Ctr. for Int’l Env’t L. (May 2019), https://www.ciel.org/wp-content/uploads/2019/05/Plastic-and-Climate-FINAL-2019.pdf. 29 Sina Dobaradaran et al., Association of Metals (Cd, Fe, As, Ni, Cu, Zn and Mn) with Cigarette Butts in Northern Part of the Persian Gulf, 26 Tobacco Control 461 (2016), https://tobaccocontrol.bmj.com/content/26/4/461.info. 30 Venugopal, supra note 12.
31 Env’t Prot. Agency, Frequent Questions about the Management Standards for Hazardous Waste Pharmaceuticals and Amendment to the P075 Listing for Nicotine Final Rule, https://www.epa.gov/hwgenerators/frequent-questions-about-management-standards-hazardous-waste-pharmaceuticals-and#nicotine (last visited May 4, 2021). 32 Public Health Law Center, Tobacco Product Waste: Frequently Asked Questions (2021), https://www.publichealthlawcenter.org/sites/default/files/resources/Tobacco-Product-Waste-CA-FAQ.pdf. 33 Public Health Law Center, Disposing of E-Cigarette Waste: FAQ for Schools and Others (2019), https://www.publichealthlawcenter.org/sites/default/files/resources/Disposing-of-E-Cigarette-Waste.pdf. 34 Yogi Hale Hendlin, Alert: Public Health Implications of Electronic Cigarette Waste, 108 Am. J. Pub. Health 1489 (2018), https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6187764.
35 Id.
36 Id.
37 Id.; see also Hye-Bin Choi et al., The Impact of Anthropogenic Inputs on Lithium Content in River and Tap Water, 10 Nature Commc’ns 5371 (2019), https://www.nature.com/articles/s41467-019-13376-y; see also Max Krause & Timothy Townsend, Hazardous Waste Status of Discarded Electronic Cigarettes, 39 Waste Mgmt. 57 (2015), https://europepmc. org/article/MED/25746178.
38 Michael R. Timpane, Lithium Ion Batteries in the Solid Waste System, Env’t Prot. Agency (Mar. 2018), https://www.epa. gov/sites/production/files/2018-03/documents/timpane_epa_li_slides312_ll_1.pdf. 39 Lawrence A. McKenna Jr., Electronic Cigarette Fires and Explosions in the United States 2009–2016, U.S. Fire Admin. (July 2017), https://www.usfa.fema.gov/downloads/pdf/publications/electronic_cigarettes.pdf. 40 Id.

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22.41 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 40 41 Truth Initiative, A Toxic, Plastic Problem: E-cigarette Waste and the Environment (Mar. 2021), https://truthinitiative.org/ research-resources/harmful-effects-tobacco/toxic-plastic-problem-e-cigarette-waste-and-environment. 42 Id.
43 See Complaint for Permanent Injunction, Abatement, Civil Penalties, and Other Equitable Relief at 69, California v. Juul Labs, Inc. (2009), https://oag.ca.gov/system/files/attachments/press-docs/91186258.pdf. 44 Truth Initiative, supra note 41.
45 Id.
46 See Katie Pyzyk, Calls for E-Cigarette Legislation Increase Amid Growing Fire Hazard to Waste and Recycling Industry, Waste Dive (Sept. 22, 2020), https://www.wastedive.com/news/ecigarette-vape-lithium-battery-hazard-waste-recycling/585094. 47 See Monserrat Suárez-Rodríguez & Constantino Macías Garcia, There Is No Such Thing as a Free Cigarette; Lining Nests with Discarded Butts Brings Short-Term Benefits, But Causes Toxic Damage, 27 J. Evolutionary Biology 2719 (2014), https://onlinelibrary.wiley.com/doi/pdf/10.1111/jeb.12531; see also Monserrat Suárez-Rodríguez et al., Anthropogenic Nest Materials May Increase Breeding Costs for Urban Birds, Frontiers Ecology & Evolution (Feb. 3, 2017), https://www. frontiersin.org/articles/10.3389/fevo.2017.00004/full.
48 Letícia Silva Cardoso et al., The Exposure to Water with Cigarette Residue Changes the Anti-Predator Response in Female Swiss Albino Mice, 25 Env’t Sci. & Pollution Research 8592-607 (2018), https://link.springer.com/article/10.1007/ s11356-017-1150-4.
49 Tigist Tefera Bekele & Frank O. Ashall, Investigation on Toxicity of Leachate of Cigarette Butts Collected from Addis Ababa on Swiss Albino Mice, 3 Nigerian. J. Health & Biomedical Sciences 21-30 (2019), http://ejol.ethernet.edu.et/index.php/ EAJHBS/article/view/1357/1033.
50 Eur. Chems. Agency, Long-Term Toxicity to Aquatic Invertebrates (Oct. 2, 2012), https://www.echa.europa.eu/web/ guest/registration-dossier/-/registered-dossier/15857/6/2/5. 51 Lenard Jason Yabes, Bioaccumulation of Organic Compounds from Smoked Cigarette Litter in the Freshwater Rainbow Trout, Oncorhynchus mykiss (2018) (M.P.H. thesis, San Diego State University) (ProQuest). 52 Dirk Selmar, Uptake of Nicotine from Discarded Cigarette Butts — A So Far Unconsidered Path of Contamination of Plant-Derived Commodities, 238 Env’t Pollution 972-76 (2018), https://www.researchgate.net/profile/Hassan-El-Ramady/ publication/323187505_Uptake_of_nicotine_from_discarded_cigarette_butts_-_A_so_far_unconsidered_path_of_ contamination_of_plant-derived_commodities/links/5a85706faca272c99ac4230b/Uptake-of-nicotine-from-discarded-cigarette-butts-A-so-far-unconsidered-path-of-contamination-of-plant-derived-commodities.pdf. 53 Lisbeth Van Cauwenberghe & Colin R. Janssen, Microplastics in Bivalves Cultured for Human Consumption, 193 Env’t Pollution 65-70 (2014), http://www.expeditionmed.eu/fr/wp-content/uploads/sites/6/2015/02/Van-Cauwenberghe-2014-microplastics-in-cultured-shellfish1.pdf. 54 Michael J. Focazio et al., A National Reconnaissance for Pharmaceuticals and Other Organic Wastewater Contaminants in the United States, 402 Sci. Total Env’t 192-200 (2008), https://pubmed.ncbi.nlm.nih.gov/18433838. 55 Bruce N. Leistikow et al., Fire Injuries, Disasters, and Costs from Cigarettes and Cigarette Lights: A Global Overview, 31 Preventative Med. 91-9 (2000), http://leistikow.ucdavis.edu/SMOKINGFIRES.PDF. 56 Patrick McGreevy, California Wildfires Fuel a New Push to Ban Smoking at State Parks and Beaches, L.A. Times (Aug. 30, 2018), https://www.latimes.com/politics/la-pol-ca-smoking-ban-beaches-20180830-story.html. 57 Cal Fire, Clay Fire (July 30, 2020), https://www.fire.ca.gov/incidents/2020/7/29/clay-fire. 58 Cal. Health & Safety Code Div. 12 (2005), https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?division=12.&part=8.&lawCode=HSC.

April 2022

22.42 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 41 59 Thomas Novotny et al., Tobacco and Cigarette Butt Consumption in Humans and Animals, 20 Tobacco Control i17-i20 (2011), https://tobaccocontrol.bmj.com/content/tobaccocontrol/20/Suppl_1/i17.full.pdf. 60 Joanne T. Chang et al., National Estimates of Poisoning Events Related to Liquid Nicotine in Young Children Treated in US Hospital Emergency Departments, 2013-2017, 6 Injury Epidemiology 10 (2019), https://link.springer.com/content/ pdf/10.1186/s40621-019-0188-9.pdf.
61 Joanne T. Chang & Brian L. Rostron, Electronic Nicotine Delivery System (ENDS) Liquid Nicotine Exposure in Young Children Presenting to US Emergency Departments, 2018, 6 Injury Epidemiology 43 (2019), https://link.springer.com/article/10.1186/s40621-019-0219-6. 62 Baoguang Wang & Brian Rostron, Tobacco-Related Poison Events Involving Young Children in the US, 2001–2016, 3 Tobacco Regul. Sci. 525 (2017), https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6190721. 63 Id.
64 Jeremiah Mock & Yogi H. Hendlin, Notes from the Field: Environmental Contamination from E-Cigarette, Cigarette, Cigar, and Cannabis Products at 12 High Schools — San Francisco Bay Area, 2018–2019, 68 Morbidity & Mortality Wkly Rpt 897-99 (2019), https://www.cdc.gov/mmwr/volumes/68/wr/mm6840a4.htm. 65 Kurt M. Ribisl et al., Disparities in Tobacco Marketing and Product Availability at the Point of Sale: Results of a National Study, 105 Preventive Med. 381-88 (Dec. 2017), https://doi.org/10.1016/j.ypmed.2017.04.010. 66 Maacah Marah & Thomas E. Novotny, Geographic Patterns of Cigarette Butt Waste in the Urban Environment, 20 Tobacco Control i42-i44 (2011), https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3088466/pdf/tobaccocontrol42424.pdf. 67 P. Dilip Venugopal et al., Socioeconomic Disparities in Vape Shop Density and Proximity to Public Schools in the Conterminous United States, 2018, 21 Health Promotion Prac.9S-17S (2020), https://journals.sagepub.com/doi/ pdf/10.1177/1524839919887738.
68 Maacah & Novotny, supra note 66.
69 Mock, supra note 64.
70 Tobacco Free CA, The Story of LGBTQ (Oct. 27, 2020), https://tobaccofreeca.com/story-of-inequity/lgbtq. 71 Id.
72 Marco Martuzzi et al., Inequalities, Inequities, Environmental Justice in Waste Management and Health, 20 Eur. J. Pub.

Health 21-6 (2010), https://academic.oup.com/eurpub/article/20/1/21/611240. 73 Commission for Racial Justice, Toxic Wastes and Race in the United States, United Church of Christ (1987), https:// www.nrc.gov/docs/ML1310/ML13109A339.pdf.
74 Robert D. Bullard et al., Toxic Waste and Race at Twenty 1987–2007, United Church of Christ (Mar. 2007), http:// d3n8a8pro7vhmx.cloudfront.net/unitedchurchofchrist/legacy_url/7987/toxic-wastes-and-race-at-twenty-1987-2007.pdf?1418432785. 75 World Health Org., Tobacco and Its Environmental Impact: An Overview (2017), https://apps.who.int/iris/bitstream/handle/10665/255574/9789241512497-eng.pdf?sequence=1. 76 Mike Muller, Tobacco and the Third World: Tomorrow’s Epidemic?: War on Want Investigation into the Production, Promotion, and Use of Tobacco in the Developing Countries 61 (1978). 77 G. Thomas Farmer, Modern Climate Change Science: An Overview of Today’s Climate Change Science 38 (2015). 78 See Anélia Marais et al., Effects of Monoculture, Crop Rotation, and Soil Moisture Content on Selected Soil Physicochemical and Microbial Parameters in Wheat Fields, Applied & Env’t. Soil Sci. 593623 (2012), https://core.ac.uk/download/ pdf/188793614.pdf; see also Tobacco Atlas, Environment, https://tobaccoatlas.org/topic environment.

April 2022

22.43 www.publichealthlawcenter.org/caltobacco Tobacco Product Waste: A Public Health and Environmental Toolkit 42 79 See Anélia Marais et al., supra note 124.
80 Human Rights Watch, US: Child Workers in Danger on Tobacco Farms (May 14, 2014), https://www.hrw.org/ news/2014/05/14/us-child-workers-danger-tobacco-farms.
81 Margaret Wurth, Historic Commitment to End Worst Forms of Child Labor, Human Rights Watch (Aug. 5, 2020, 10:09 AM), https://www.hrw.org/news/2020/08/05/historic-commitment-end-worst-forms-child-labor. 82 World Health Org., Tobacco and Its Environmental Impact: An Overview (2017), https://apps.who.int/iris/bitstream/handle/10665/255574/9789241512497-eng.pdf?sequence=1. 83 Id.
84 Truth Initiative, Tobacco and the Environment (Mar. 2021), https://truthinitiative.org/sites/default/files/media/ files/2021/03/Truth_Environment%20FactSheet%20Update%202021_final_030821.pdf. 85 John E. Schneider et al., Tobacco Litter Costs and Public Policy: A Framework and Methodology for Considering the Use of Fees to Offset Abatement Costs, 20 Tobacco Control Supp. 1 (Apr. 18, 2011), https://tobaccocontrol.bmj.com/content/20/Suppl_1/i36. 86 John E. Schneider et al., Online Simulation Model to Estimate the Total Costs of Tobacco Product Waste in Large U.S. Cities, 17 Int’l J. Env’t Rsch. & Pub. Health 4705 (2020), https://www.mdpi.com/1660-4601/17/13/4705/htm. 87 Id.
88 John E. Schneider et al., Estimates of the Costs of Tobacco Litter in San Francisco and Calculations of Maximum Permissible Per-Pack Fees, Health Econ. Consulting Grp. LLC (2009), https://sfpublicworks.org/sites/default/files/tobacco_litter_study_hecg_062209%5B1%5D.pdf. 89 FDA Ctr. Tobacco Prods., Tips for Safe Disposal of E-Cigarettes and Nicotine Waste (Apr. 2020), https://digitalmedia.hhs. gov/tobacco/hosted/Tips-ECig-Disposal-508.pdf.
90 Maacah & Novotny, supra note 66.
91 Barbara Healy Stickel et al., Waste in Our Water: The Annual Cost to California Communities of Reducing Litter That Pollutes Our Waterways, Nat’l Res. Def. Council (Aug. 2013), https://www.nrdc.org/sites/default/files/oce_13082701a.pdf. 92 See Dep’t. Toxic Substances Control, https://dtsc.ca.gov/certified-unified-program-agencies-cupa/ (last visited May 4, 2021); Cal. CUPA F., https://calcupa.org (last visited May 4, 2021). 93 California Department of Public Health, California Adult Tobacco Survey (CATS) 2020 (Feb. 2021). 94 California Department of Public Health, California Adult Tobacco Survey (CATS) 2020 (Feb. 2021). 95 Id.
96 Id.
97 Online California Adult Tobacco Survey. Online CATS 2020. Sacramento, CA: California Department of Public Health; February 2021.
98 World Health Org., Tobacco and Its Environmental Impact: An Overview (2017), https://apps.who.int/iris/bitstream/handle/10665/255574/9789241512497-eng.pdf?sequence=1. 99 CalRecycle, Electronic Waste Management (last updated Apr. 2020), https://www.calrecycle.ca.gov/electronics. 100 Id.; CalRecycle, Batteries (last updated Mar. 2020), https://www.calrecycle.ca.gov/reducewaste/batteries.

April 2022

22.44 Tobacco Product Waste Policy Options Chart
September, 2022
1 Policy Pros Cons
Tobacco Product Sales Restrictions
Ban the sale of singleuse cigarette filters
(aka butts)
 High impact source reduction – most littered
item on Santa Cruz streets, parks, and beaches
 Existing enforcement protocols (TRL)
 Places responsibility on the industry
 Helps to meet CA Clean Water Act trash
amendment requirements
 Potential for positive public relations/tourism
impact (family friendly, pro-environment)
 Fiscal savings for city services (storm and
wastewater maintenance, litter collection, etc.)
 Fiscal savings for healthcare-related services if
policy reduces tobacco related disease/death
 Model for the state and country
 Most likely to invite industry pushback including
legal challenges
 Loss of tobacco sales tax revenue
 High impact on tobacco retailers with high
percentage of cigarette sales
 Potential for negative public relations/tourism
impact (anti-business, visitors who want to
purchase filtered cigarettes)
 Does not stop smokers from using or improperly
discarding filtered cigarettes purchased out of
jurisdiction
 No policy precedence specific to cigarettes
Ban the sale of e-cig
devices or single-use
e-cig devices
 Medium impact source reduction
 Largest impact within the legal waste
management system
 Existing enforcement protocols (TRL)
 Places responsibility on the industry
 Less likely to invite industry pushback/legal
challenges
 Policy precedence: 30+ CA jurisdictions,
including the City of Watsonville, ban the sale of
e-cigs
 Majority of these devices are already covered
under the City of Santa Cruz 2018 flavored
tobacco sales ban
 Loss of tobacco sales tax revenue
 High impact on tobacco retailers with high
percentage of e-cig sales
 Does not stop smokers from using or improperly
disposing of e-cig products purchased out of
jurisdiction

22.45 Tobacco Product Waste Policy Options Chart
September, 2022
2 Ban the sale of other
tobacco products that
create plastic waste
(e.g., lighters,
packaging, cigar tips,
etc.)
 Flexible in terms of products included
 Places responsibility on the industry
 Low impact on tobacco retailers
 Interim policy: Puts industry and local tobacco
retailers on notice
 Low impact source reduction
 Does not stop smokers from using or improperly
disposing of products purchased out of jurisdiction
 No policy precedence specific to tobacco products
Hazardous Waste Regulation on Tobacco Products
Require hazardous
waste tracking,
handling, and signage
for nicotine and
electronic waste at
point of sale
 Minimal loss of sales tax revenue
 Places responsibility on the tobacco retailer
 Helps to meet CA Clean Water Act trash
amendment requirements
 Precedence: state and federal laws on the
handling of other hazardous waste materials
 No source reduction
 New and significant enforcement protocols
 Requires cooperation of tobacco retailers for
compliance, training, signage, disposal, etc.
 Cost to tobacco retailers to comply
 Requires cooperation from hazardous waste
agencies
 Cost for city staff training and oversight
Environmental Justice in Tobacco Retailer Location and Density Remedy
disproportionate
exposure to TPW
through density caps
in specific geographic
areas
 Limits location and density of future tobacco
retailers
 Incorporates health equity & environmental
justice
 No change in current sales tax revenue
 May reduce youth tobacco access
 May reduce racial dipartites in tobacco use and
exposure to TPW
 No impact to current source reduction, tobacco
retailer density, or improper disposal
 Minimal responsibility on the industry
 Potential loss in future tobacco sales tax revenue
 Precedence: Many CA jurisdictions have policies
for tobacco retailer density; none based on health
equity and environmental justice

22.46 Tobacco Product Waste Policy Options Chart
September, 2022
3 Other Approaches (not recommended by PHLC)
TPW cleanup tax on
tobacco products
 Provides revenue stream for existing cleanup
efforts
 Puts financial responsibility on the tobacco user
 May lower tobacco purchase rates if tax deters
purchase
 No source reduction
 No responsibility on the industry
 CA Prop 26 requires 2/3 super majority approval
 Keeps responsibility for physical cleanup on
government and voluntary groups
Deposit/Return
programs on e-cig
devices
 Potential solution for more expensive e-cig
devices
 Places responsibility on the retailer and users
 May lower tobacco purchase rates if deposit
deters purchase
 Precedence: local, state, and federal laws on the
handling of other products (paint,
pharmaceuticals)
 No source reduction
 No responsibility on the industry
 Doesn’t work for all tobacco products
 New and significant enforcement protocols
 Requires cooperation of tobacco retailers and users
for proper collection and disposal
 Needs significant staff oversight
 May need to develop hazardous waste protocols
for product return and disposal
 No existing data to show efficacy of such a policy
on e-cigarettes

22.47 Store Name Street Address
88 GAS 1319 OCEAN ST
RITE AID #5979 901 SOQUEL AVE
ARCO/AMPM 1024 WATER ST
US PRO 823 MISSION ST
7 ELEVEN 29795C 2429 MISSION ST
THE GROG SHOP 110 HUBBARD ST
ERNIES LIQUOR 922 SOQUEL AVE
DJ'S MINI MART 833 WATER ST
MISSION LIQUORS 2335 MISSION ST
DISCOUNT CIGARETTES 2106 MISSION ST
OCEAN 76 805 OCEAN ST
LLOYD'S LIQUORS 339 SOQUEL AVE
SANTA CRUZ 2003 MISSION ST
SAFEWAY STORE 799 117 MORRISSEY BLVD
OM GROUP OIL SOQUEL 1516 SOQUEL AVE
OCEAN MARKET & DELI 304 OCEAN ST
BAYSIDE MARINE 333 LAKE AVE STE B
SANTA CRUZ MARKET 214 CALIFORNIA AVE
ROTTEN ROBBIE # 35 1906 MISSION ST
THE JURY ROOM 712 OCEAN ST
BEACH MARKET 120 RIVERSIDE AVE
METRO MARKET 920 PACIFIC AVE
CIRCLE MARKET 508 ERRETT CIR
ONE DOUBLE OH SEVEN CLUB & SMOKING PARLOR 1007 SOQUEL AVE STAR ZONE SMOKE SHOP 531 SEABRIGHT AVE
HERNANDEZ MARKET 525 LAUREL STREET STE 135
U SAVE LIQUORS 930 ALMAR AVE
THE RUSH INN 113 KNIGHT ST
DISCOUNT CIGARETTES 1114 SOQUEL AVE
OM GROUP OIL MISSION 335 MISSION ST
WALGREENS #3158 1718 SOQUEL AVE
NEEDFUL THINGS 823 PACIFIC AVE
88 GAS 2 2202 MISSION ST
PIPELINE 818 PACIFIC AVE
BRADY'S YACHT CLUB 413 SEABRIGHT AVE
QUALITY MARKET 221 RIVERSIDE AVE
7 ELEVEN 14282B 218 CARDIFF PL
DAY'S MARKET 526 SEABRIGHT AVE
7-ELEVEN #14279C 367 OCEAN ST
CIGAR PALACE 1705 MISSION ST
SAFEWAY INC. #2607 2203 MISSION ST
SAV-ON-GASOLINE 1415 OCEAN ST
PUFF-N-PASS 1376 SOQUEL AVE
BEACH LIQUORS 111 BEACH ST
GREEN SMOKE SHOP 411 CEDAR ST
GRAFFIX PLEASURE 809 PACIFIC AVE
SANTA CRUZ CHEVRON 902 MISSION ST
CHEVRON #1720 404 SOQUEL AVE
7-ELEVEN #16346E 602 LAUREL ST
BONESIO LIQUORS 801 PACIFIC AVE
Santa Cruz Tobacco Retailers 2022

22.48 1
Rosemary Balsley
From: Garrett <[email protected]>
Sent: Friday, September 23, 2022 10:48 AM
To: City Council
Subject: 9.27.22 Agenda Item #22 "single use" tobacco waste

9.27.22 Agenda Item #22 "single use" tobacco waste
As a public service I just have to say this:

I personally used to be a smoker and can say it's awful being addicted to a harmful substance.

Cigarette use caused me to have gum surgery that costs $8000, is painful, and disrupts your life for 4-6 months, and although my gums have recovered mostly, tobacco use has put my teeth at increased risk.

I highly recommend the use of Nicorette gum or it's cheaper version at Cosco that delivers pure nicotine.

It is a bit of a misconception that nicotine causes cancer, or for that matter causes material harm.

There is no evidence of this. Harm from cigarettes come from the 100's of other substances in cigarettes. People can chew Nicorette gum with full confidence they will be far healthier as a consequence, then slowly ween off of that use also since, although far cheaper than cigarettes, still costs about $50/month.
------------------------------------------------------------------------------------------------------------------------ -------------
While there is evidence filtered cigarettes are not really obviously safer than unfiltered ones, my understanding is they don't have the same risk profile either. Different kinds of cancer for instance? Saying they are equivalent in this way I don't think is true. I don't see any regard for smokers health here. It seems like mostly the politics of nonsmokers. Unfiltered cigarettes are far harsher on the throat. Laws banning inside smoking and having people smoke out in the cold really does a number on their throats and lungs also (breathing cold, then really hot air isn't fun or I suspect as healthy as smoking in a relatively warm place). While you're all concerned with non-smokers, I don't see that regard for smokers health or individual rights what-so-ever.

As I have spoken of many times, Health in All Policies is the go-to justification for anything including the odious "equity" of the possessed leftists. As usual hi-jacking an

22.49 2
issue, then assigning privilege's to some (non-smokers), and lumping others into a group to discriminate against (all smokers when not all smokers litter). While not the worst example of this defective HiAP policy, it fits.

I believe all policies must be justified on their own merits without HIAP at a minimum, and if they are, who needs HIAP?
In general, and I'm not saying this issue can't.

As far as littering, it would seem to be a small part of littering in general and whatever the city does, it doesn't prevent people from buying filter cigarettes elsewhere if they prefer them. If an issue, it's a bigger issue than you can totally effect or have sufficient authority to completely effect.

Strange there aren't other more pressing issues to discuss regarding city scope specific issues.

I won't say I never littered , but for decades I simply put out cigarettes, then put the butts back in the pack to discard properly later. I doubt cigarettes properly disposed of are any worse than any of the toxic waste put in landfills every day.

It's really nice people comb beaches picking up trash. Now if they could only do something about the seaweed, smell and millions of flies and dog poop. Human poop too! (supposed to be funny)
Garrett Philipp - Westside

22.50 1
Rosemary Balsley
From: Blacow, Ashley <[email protected]>
Sent: Monday, September 26, 2022 4:40 PM
To: City Council
Subject: public comment for September 27 Council meeting on Agenda Item 22 Attachments: Support_Reducing Plastic Pollution from Cigarette Butts_092622.pdf Dear Mayor Brunner and Council members,
On behalf of Oceana and our more than 134,000 members across California please see the attached letter, relating to Agenda Item 22 for tomorrow’s meeting, requesting that the Council draft and ultimately pass an ordinance to prohibit the sale of filtered cigarettes within city limits.

We appreciate your leadership to safeguard coastal resources, including actions to address plastic pollution.

Sincerely,
Ashley Draeger
Pacific Policy and Communications Manager, Oceana
Ashley Blacow-Draeger | Pacific Policy and Communications Manager 99 Pacific Street, Suite 155-C
Monterey, CA 93940
T +1.831.643.9220 | C +1.831.224.7484 | F +1.907.586.4944 E [email protected] | W www.oceana.org

22.51 September 26, 2022
Santa Cruz City Council
809 Center Street
Santa Cruz, CA 95060
RE: Support Reducing Plastic Pollution from Cigarette Butts Dear Mayor Brunner and Council members:

On behalf of Oceana, I am writing to request that the Santa Cruz City Council draft and ultimately pass an ordinance to prohibit the sale of filtered cigarettes within city limits.

An estimated 33 billion pounds of plastic enter the oceans every year. This is roughly equivalent to dumping two garbage trucks full of plastic into the ocean every minute. Cigarette filters are made from a type of plastic that contain toxic chemicals. And cigarette butts are consistently number one on the list of trash items collected on California beaches during annual cleanups, illustrating the pervasiveness of this single-use plastic waste. Additionally, cleanup of cigarette butt litter is a financial burden to local governments and taxpayers.

These filters do not biodegrade but persist in the environment. Filters left behind are a threat to wildlife through ingestion when they can mistake pieces of cigarette butts as food. Plastic ingestion poses serious threats to fish, birds, and other animals who may choke on or starve to death as they feel full but receive no necessary nutrients. For these reasons, Oceana supports a prohibition on the sale of filtered cigarettes. Additionally, such an ordinance is the best policy to advance the commitment made by the City to “reduce or eliminate this toxic waste in our community” per the 2021 Tobacco Waste Resolution adopted on April 27, 2021.

Oceana appreciates your leadership to safeguard coastal resources, including actions to address plastic pollution. The call before you today for additional action to reduce single-use plastic waste is another opportunity to be part of the solution and continue to serve as a leader in addressing the single-use plastics crisis.

On behalf of our more than 134,000 members across California, we look forward to working with you to address single-use plastic pollution from cigarette filters.

Sincerely,
Ashley Draeger
Pacific Policy and Communications Manager

22.52 22.53

22.54 Tobacco Product Waste
(TPW) Policy Options
Tara Leonard, MPH
Santa Cruz County
Tobacco Education & Prevention Program
September 27, 2022

22.55 April 2021: Tobacco Waste
Resolution
NOW, THEREFORE, BE IT RESOLVED, by the City
Council of the City of Santa Cruz as follows:

1. That the City Council of Santa Cruz hereby recognizes and declares tobacco waste a public health and
environmental threat to the residents of the City.

2. That the City Council resolves to advance policy
approaches to reduce or eliminate this toxic waste in our community.

3. That the City Council requests the Mayor to write a letter to our local legislative representatives urging them to encourage the California State Legislature to ban plastic cigarette filters.

PASSED AND ADOPTED this 27th day of April, 2021…

22.56 Bad for Your Body, Bad for the
Planet
• Tobacco butts are the most
littered item on Santa Cruz streets,
parks, and beaches
• Leach dangerous chemicals such
as lead, arsenic, and nicotine
• Toxic to wildlife, marine life,
children, and pets
• Break down into microplastics
• E-cig devices contain plastic, toxic
e-juice and electronic waste

22.57 April 2022: The Santa Cruz
Community Urges Action
On the one-year anniversary of the
Resolution, individuals representing local
environmental groups spoke during Oral
Communications to urge the council to take
action.

22.58 February 2022: TPW in
California: A White Paper
California Tobacco Control
Program (CTCP) published a
comprehensive overview of the
environmental, health, and
social impacts of TPW, and the
tobacco industry’s response.

Cigarette filters have “no benefit in preventing the
adverse health effects of smoking” but are “an
important marketing tool for the tobacco industry.”

22.59 March 2022: Economic Model
Banning the sale of tobacco products will cost
the city in lost tobacco taxes. However, tobacco
product waste already costs the City of Santa
Cruz a lot of money. The state-wide TPW
Economic Model Advisory Committee (EMAC) is
creating a framework to quantify those costs on
California jurisdictions.
anti-litter education * enforcement
* fire prevention * mechanical and
manual cleanup * stormwater and
wastewater management * and
many others

22.60 April 2022: TPW Toolkit
Published by the Public
Health Law Center in
collaboration with the
American Lung Association.

Includes a menu of
recommended TPW policy
options, background
information and model
policy language.

22.61 May 2022: AB 1690 Stalls
The state-wide TPW bill sponsored by Assembly Member
Luz Rivas was significantly narrowed in committee, then moved to the inactive file, so will not move forward.

22.62 Education and Outreach

22.63 Local Tobacco Retailers
There are 50 tobacco retailers
in the City of Santa Cruz. 41
(82%) are gas stations,
grocery stores, convenience
stores, liquor stores, etc.

Nine (18%) are stores where
at least 50% of their annual
gross receipts come from
tobacco-related products,
including vape shops, cigar
stores, or cigarette stores.

22.64 Tobacco Retailer Context
The tobacco retail landscape
is changing at the federal
and state level.

A tobacco retailer workgroup
would help small businesses
transition away from tobacco
products, diversity their
product line, and foster
economic development
through other means.

22.65 TPW Policy Options

22.66 Ban the Sale of Single-use
Cigarette Filters (butts)
Pros
• High impact source reduction – most
littered item on SC streets, parks, and
beaches
• Existing enforcement protocols (TRL)
• Places responsibility on the industry
• Helps to meet CA Clean Water Act
trash amendment requirements
• Potential for positive public relations
and tourism (family friendly,
pro-environment)
• Fiscal savings for city services (storm
and wastewater, litter collection, etc.)
• Fiscal savings for healthcare-related
services if policy reduces tobaccorelated death/disease • Model for the state and country
Cons
• Most likely to invite industry pushback
including legal challenges
• Loss of tobacco sales tax revenue
• High impact on tobacco retailers with
high percentage of cigarette sales
• Potential for negative public relations
and tourism (anti-business, visitors who
want to purchase filtered cigarettes)
• Does not stop smokers from using or
improperly discarding filtered cigarettes
purchased outside the jurisdiction
• No policy precedence specific to
cigarettes

22.67 Ban the Sale of E-cig Devices or
Single-use E-cig Devices
Pros
• Medium impact source reduction
• Largest impact within the legal waste
management system
• Existing enforcement protocols (TRL)
• Places responsibility on the industry
• Less likely to invite industry
pushback/legal challenges
• Precedence: 30+ CA jurisdictions,
including the City of Watsonville
Cons
• Majority of these devices are already
covered under the City of Santa Cruz
2018 flavored tobacco sales ban
• Loss of tobacco sales tax revenue
• High impact on tobacco retailers with
high percentage of e-cig sales
• Does not stop smokers from using
or improperly disposing of e-cig
devices purchased out of jurisdiction

22.68 Ban the Sale of Other Tobacco
Products that Create Plastic Waste
Pros
• Flexible in terms of products included
• Places responsibility on the industry
• Low impact on tobacco retailers
• Interim policy: Puts industry and local
tobacco retailers on notice
Cons
• Low impact source reduction
• Does not stop smokers from using or
improperly disposing of products
purchased out of jurisdiction
• No precedence specific to tobacco
products
Lighters, packaging, cigar tips, etc.

22.69 Require Hazardous Waste
Regulation on Tobacco Products
Pros
• Minimal loss of sales tax revenue
• Places responsibility on the
retailer
• Helps to meet CA Clean Water
Act trash amendment
requirements
• Precedence: state and federal laws
on the handling of other
hazardous waste materials
Cons
• No source reduction
• New and significant enforcement
protocols
• Requires cooperation of tobacco
retailers for compliance, training,
signage, and disposal
• Cost to retailers to comply
• Requires cooperation of
hazardous waste agencies
• Cost for city staff training and
oversight
Tracking, handling, signage for nicotine & electronic waste at point of sale

22.70 Environmental Justice in Tobacco
Retailer Location and Density
Pros
• Limits location and density of future
tobacco retailers
• Incorporates health equity and
environmental justice
• No change in current sales tax
revenue
• May reduce youth tobacco access and
consumption
• May reduce racial disparities in
tobacco use and exposure to TPW
Cons
• No impact to current tobacco retailer
density or improper disposal
• Minimal responsibility on the
industry
• Potential loss in future tobacco sales
tax revenue
• Precedence: Many CA jurisdictions
limit tobacco retailer density, none
explicitly based on health equity and
environmental justice
Remedy disproportionate exposure to TPW through density caps in specific geographic areas

22.71 TPW Cleanup Tax on Tobacco
Products
Pros
• Provides revenue stream for existing
cleanup efforts
• Puts financial responsibility on the
tobacco user
• May lower tobacco use rate if tax
deters purchase
Cons
• No source reduction
• No responsibility on the industry
• CA Prop 26 requires 2/3 super
majority approval
• Keeps responsibility for physical
cleanup on government and voluntary
groups

22.72 Deposit/Return Programs (EPR)
Pros
• Potential solution for more expensive
e-cig devices
• Places responsibility on the retailer
• May lower tobacco use if deposit
deters purchase
• Precedence with paints,
pharmecueticals, mattresses, etc.

Cons
• No source reduction
• No responsibility on the industry
• Doesn’t work for all tobacco products
• New and significant enforcement
protocols
• Requires cooperation of tobacco
retailers and users for proper collection
and disposal
• Needs significant staff oversight
• May need to develop hazardous waste
protocols for product return and
disposal

22.73 Questions?
Tara Leonard, MPH
Santa Cruz County Health Services Agency
Public Health Division
Tobacco Education and Prevention Program

22.74 23.1

23.2