City of Santa Paula
City Council
MAYOR JENNY CROSSWHITE
VICE MAYOR ANDY SOBEL
COUNCILMEMBER RICHARD ARAIZA
COUNCILMEMBER CARLOS JUAREZ
COUNCILMEMBER LESLIE CORNEJO
CITY COUNCIL REGULAR MEETING OF THE
SANTA PAULA CITY COUNCIL
WEDNESDAY, MARCH 16, 2022
6:30 PM - City Council Regular Meeting
SANTA PAULA CITY HALL
970 VENTURA STREET
SANTA PAULA, CA 93060
JULIE LATSHAW, CITY CLERK
DAN SINGER, CITY MANAGER
JOHN C. COTTI, CITY ATTORNEY
Spare Copies of staff reports or other written documentation relating to each item of business referred to on this agenda are on file in the Office of the City Clerk and are available for public inspection. If you have any questions regarding any agenda item, contact the City Clerk at (805) 933-4208.
City of Santa Paula - City Council - City Council Regular Meeting 1
BRINGING ITEMS BEFORE THE CITY COUNCIL
You are invited to participate in all Regular City Council meetings. Agendas are posted in the front of Santa Paula City Hall, 970 Ventura Street, Santa Paula, 72 hours in advance of the scheduled meetings. The City Council's regular meetings start at 6:30 p.m. the first and third Wednesday of each month in the City Hall Council Chambers located at 970 Ventura Street in Santa Paula.
HOW TO PARTICIPATE IN PERSON DURING THE MEETING: If you wish to speak at a City Council meeting, please fill out a Public Comment Form noting your name and address and submit the form to the City Clerk. Include the Agenda item number, when appropriate. Public comments are limited to 3 minutes.
1. Items Not on the Agenda: If you wish to discuss an item which is not scheduled on the Agenda, you may address the City Council during Public Comment. Please realize that due to the limitations placed on the City Council by provisions of the California Government Code, the City Council ordinarily cannot take action on any item that is not on the agenda. Because of these restrictions, expect that matters that you identify during public comment will be referred to staff or considered on a future agenda.
2. Agenda Items: Items being considered by the City Council may appear on the Consent Calendar, as an Action Item, or as a Public Hearing. Public comments on each type of item are handled differently, as explained below:
a. For items appearing on the Consent Calendar, please submit a Public Comment Form before the Council takes action on the Consent Calendar. Items that receive a Public Comment Form may be pulled from the Consent Calendar by the Mayor and discussed separately by the City Council.
b. For items appearing as an Action Item, the Mayor will announce the Agenda item and request the staff report, the staff member responsible will give a brief summary of the report; the City Council will have an opportunity to ask questions of staff; members of the public will be given an opportunity to comment on the item and ask additional questions (all members of the public should speak directly into the microphone at the speaker’s platform); and the City Council will discuss the item and then take appropriate action.
c. For items on which a Public Hearing is scheduled, the Mayor will open the public hearing and receive the staff report; members of the public will be given an opportunity to comment on the item and ask additional questions (all members of the public should speak directly into the microphone at the speaker’s platform); the City Council will discuss the item; and the Mayor will close the public hearing after City Council action.
HOW TO PARTICIPATE BEFORE THE MEETING: Members of the public are encouraged to submit email correspondence on any agenda item by sending an email to [email protected]. All public correspondence received by 3:00 p.m. (PT) on the meeting date will be provided to the legislative body before the meeting. Public Comments received after 3:00 p.m. will be provided to the legislative body the next day.
Your Participation in this meeting is in the public domain; meetings are cablecast; minutes of this meeting will reflect your participation in this meeting and are posted on the city’s website.
PLEASE NOTE: Be advised that if you bring a legal challenge to an action, you may be limited to raising only those issues you or someone else raised at the meeting described in this Agenda, or in written correspondence delivered to the City Council at or before the meeting.
Any action is subject to the ninety-day time period set forth in Code of Civil Procedure § 1094.6.
In compliance with the Americans with Disabilities Act, if you need special assistance to City of Santa Paula - City Council - City Council Regular Meeting 2
1. CALL TO ORDER
REMINDER: in order to minimize distractions during public meetings, all personal communication devices should be turned off or put in a non-audible mode.
2. INVOCATION
3. FLAG SALUTE
4. ROLL CALL
5. CLOSED SESSION REPORT
6. PRESENTATIONS
6.A NEW EMPLOYEE INTRODUCTIONS
Presented By: Dan Singer
6.B POLICE DEPARTMENT REPORT
Presented By: Travis Walker
7. PUBLIC COMMENT
At this time, members of the public may comment on any item not appearing on the agenda that is within the subject-matter jurisdiction of the City Council. A Public Comment Form must be submitted to the City Clerk prior to the beginning of the Public Comment period in order to be recognized to speak. Individuals submitting Public Comment Forms after the beginning of the Public Comment period will not be allowed to speak at this time, but may be recognized to speak by the Mayor at the conclusion of the meeting. Individual Councilmembers may briefly respond to Public Comments or ask questions for clarification. The City Council may direct staff to report to the City Council on the item at a later meeting. For items appearing on the Agenda, the public will be invited to make comments at the time the item comes up for City Council consideration. If a member of the public wishes to address a Consent Calendar item, please submit a Public Comment Form for that item. It may then be discussed separately by the Council, and the public will be invited to make comments at that time. At all times, please use the microphone and write your name and address on the Public Comment Form provided.
8. CITY COUNCIL REPORTS
9. CITY MANAGER REPORTS
participate in this meeting, please contact the City Clerk at (805) 933-4208. Notification 48 hours before the meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting. (28 CFR 35, 102-35.104 ADA Title II). Written materials distributed to the City Council within 72 hours of the City Council meeting are available for public inspection immediately upon distribution in the City Clerk’s office.
REGULAR MATTERS - COUNCIL CHAMBERS
City of Santa Paula - City Council - City Council Regular Meeting 3
10. CONSENT CALENDAR
Background information has been provided to the City Council on all matters listed under the Consent Calendar and these items are considered to be routine by the City Council and are normally approved by one motion. If discussion is requested by a Councilmember on any item, or a member of the public wishes to comment on an item, that item may be removed from the Consent Calendar for separate action.
10.A APPROVAL OF MINUTES - REGULAR CITY COUNCIL MEETING - MARCH 2, 2022
RECOMMENDATION:
Staff recommends City Council approve:
1. Regular City Council Minutes - March 2, 2022
Presented By: Julie Latshaw
10.B FEBRUARY 2022 WARRANTS AND CERTIFICATIONS
RECOMMENDATION:
Staff recommends that the City Council:
Review and accept the "Certification of Accounts Payable" for the accounts payable payment cycles for February 2022, starting check number 330021 and ending check number 330285.
Review and accept the "Certification of Salaries" for the pay period ending dates January 28th, 2022 through February 11th, 2022.
Presented By: Christy Ramirez
10.C PUBLIC SAFETY DISPATCHER JOB DESCRIPTION AMENDMENT RECOMMENDATION:
Approve the amended Job Description for Public Safety Dispatcher.
Presented By: Travis Walker
10.D INVESTMENT POLICY UPDATE
RECOMMENDATION:
Staff recommends the City Council approve the proposed Investment Policy updates to be in line with industry standards.
Presented By: Christy Ramirez
11. PUBLIC HEARING
Verification of posting notice by City Clerk
Declaration of conflicts (if any)
Declaration of ex parte contacts (if any)
Open public hearing
Staff presentation
Discussion and action
City of Santa Paula - City Council - City Council Regular Meeting 4 Close public hearing
11.A
A RESOLUTION ESTABLISHING FEES FOR HOME OCCUPATION
PERMITS AND SPECIAL EVENT PERMITS IN ACCORDANCE WITH
SANTA PAULA MUNICIPAL CODE §16.230 HOME OCCUPATION PERMITS AND § 115 SPECIAL EVENT PERMITS
RECOMMENDATION:
It is recommended that the Santa Paula City Council:
1. Open the Public Hearing;
2. Consider testimonial and written evidence;
3. Based upon the evidence, adopt Resolution No. 7390 to recover City personnel and service costs by amending fees for Special Event and Business Home Occupation permitting;
4. Provide direction to staff regarding the process for review of annual financial support for City Cosponsored events.
Presented By: James Mason
11.B
AMENDMENT TO CHAPTER 16.44 OF THE SANTA PAULA MUNICIPAL CODE TO ALLOW ELECTRIFIED SECURITY FENCES IN COMMERCIALLIGHT INDUSTRIAL (C-LI), LIGHT INDUSTRIAL (LI), AND INDUSTRIAL (I) ZONES.
RECOMMENDATION:
That the City Council:
1. Open the public hearing;
2. Receive testimonial and documentary evidence; and
3. Adopt an ordinance amending Chapter 16.21 of the Santa Paula Municipal Code (“SPMC”) to permit Electrified Security Fences within the Commercial-Light Industrial (C-LI), Light Industrial (LI), and Industrial (I) zoning districts, subject to specified restrictions; and finding the ordinance exempt from CEQA.
Presented By: James Mason
12. ACTION ITEMS
12.A iBANK LOAN APPLICATION
RECOMMENDATION:
Staff recommends that the City Council:
1. Authorize the City Manager or designee to pursue three (3) million dollars City of Santa Paula - City Council - City Council Regular Meeting 5 in financing for street improvements associated with the Harvard Boulevard Water and Sewer Pipeline Replacement and Paving Rehabilitation Project and City-Wide Pedestrian Safety Improvements Project, funded by the California Infrastructure and Economic Development Bank (iBank) to be repaid with Measure T funds over the course of ten years.
2. Adopt Resolution 7387 authorizing the submission of an application to the California Infrastructure and Economic Development Bank ("iBank") for financing a capital improvement project, authorizing the incurring of an obligation payable to iBank for the financing of a capital improvement project if iBank approves said application, declaration of official intent to reimburse certain expenditures from the proceeds of an obligation, and approving certain other matters in connection therewith.
Presented By: Christy Ramirez
12.B FEDERAL LEGISLATIVE ADVOCACY SERVICES
RECOMMENDATION:
1. Authorize the City Manager to enter into an agreement with Merchant McIntyre Associates for Federal legislative advocacy services for a term of sixmonths in a form approved by the City Attorney.
Presented By: Jonathan Royas
13. ITEMS FOR FUTURE AGENDAS
13.A FUTURE AGENDA ITEMS
RECOMMENDATION:
Staff recommends City Council Review Future Agenda Items.
Presented By: Dan Singer
14. ADJOURNMENT
State of California )-
County of Ventura )- ss
City of Santa Paula )-
I declare under penalty of perjury that I posted this City Council Agenda on the bulletin board near the front door of City Hall, 970 Ventura Street, Santa Paula, California.
On_________________ at______________Signed:_________________________ Julie Latshaw
City Clerk
City of Santa Paula - City Council - City Council Regular Meeting 6 City of Santa Paula - City Council - City Council Regular Meeting 7
CITY OF SANTA PAULA
CITY COUNCIL – REGULAR MEETING
MARCH 2, 2022, 6:30 PM
MINUTES
REGULAR MATTERS - COUNCIL CHAMBERS
1. CALL TO ORDER
Mayor Crosswhite called the meeting to order at 6:31 pm.
2. INVOCATION
Rev. Maddie Sifantus provided the Invocation.
3. FLAG SALUTE
Councilmember Juarez led the flag salute.
4. ROLL CALL
Members Present: Councilmember Leslie Cornejo, Councilmember Carlos Juarez, Councilmember Rick Araiza, Vice Mayor Andy Sobel and Mayor Jenny Crosswhite.
5. PRESENTATIONS
5.A ARBOR DAY PROCLAMATION / TREE CITY USA PRESENTATION Mayor Crosswhite presented the Arbor Day Proclamation to Vanessa Olmos and the Parks and Recreation Commission in recognition of their work on Santa Paula Proud and Santa Paula Beautiful Day, and a Tree City USA plaque from Parks and Recreation to Gary Nasalroad for his work with America in Bloom.
5.B VENTURA COUNTY FIRE DEPARTMENT REPORT
Fire Chief Gary Monday provided the Ventura County Fire Department Report for the last quarter of 2021.
5.C FINANCE DEPARTMENT UPDATE
Christy Ramirez, Finance Director provide the FY 2021/2022 Third Quarter Activity Report for the Finance Department.
6. PUBLIC COMMENT
John Bravo was called to speak about street repair concerns. 8 Constance Leshin was called to speak asking City Council to oppose the reopening of the wastewater treatment plant.
Richard Rudman was called to speak announcing activities at the Farmers Market.
7. CITY COUNCIL REPORTS
Councilmember Cornejo reported on 2x2 meeting with Santa Paula Unified School District; new Athens management team; Property Business Improvement District; and meeting with Police Chief Walker.
Vice Mayor Sobel reported on Economic Development Collaborative; Social Services Coalition; Clean Power Alliance; and Finance Committee meeting.
Councilmember Juarez reported on Ventura County Regional Energy Alliance; Lions Club Speech Contest; 2x2 with Santa Paula Unified School District; Parks & Recreation Commission; and Senior Advisory Committee.
Councilmember Araiza reported on Solid Waste Franchise ad hoc committee with Mayor; tour of Harding Park; Little League and Softball season opening; Farmers Market; Fire Safe Council Retired Chiefs meeting; Fire Foundation meeting.
Mayor Crosswhite reported on Solid Waste Franchise meeting; Clean Power Alliance; Farmers Market; Young Professionals Group mixer; Ventura Regional Sanitation District Meeting; Finance Subcommittee; ACT Core Team and Las Piedras Youth Center reopening; and County meeting with El Buen Pastor Church.
8. CITY MANAGER REPORTS
City Manager reported on Community Choice Aggregation discussion; Finance Subcommittee meeting; 2x2 with Santa Paula Unified School District; Social Justice meeting; and Athens meeting. City Manager announced upcoming events in Spring: tree planting event, projects and activities, and affordable housing project.
9. CONSENT CALENDAR
Motion: Approve 9) CONSENT CALENDAR.
Moved by Carlos Juarez, seconded by Leslie Cornejo
Vote: Motion carried 5-0
Yes: Jenny Crosswhite, Andy Sobel, Carlos Juarez, Richard Araiza, and Leslie Cornejo.
9.A EXTEND APPROVAL TO HOLD VIRTUAL CITY COUNCIL, COMMISSION,
COMMITTEE, BOARD AND OTHER CITY BODIES, MEETINGS
PURSUANT TO AB 361
RECOMMENDATION:
Staff recommends that the City Council:
1. Extend Approval to hold Virtual City Council, Commission, Board, and other City Bodies Meetings Pursuant to AB 361.
9.B APPROVAL OF MINUTES
9 RECOMMENDATION:
Staff recommend City Council approve the following minutes:
1. City Council Regular Minutes - February 16, 2022.
9.C NOTICE OF COMPLETION FOR THE MILL PARK BUILDING REPAIRS RECOMMENDATION:
1. Accept the work performed by JTEC Corporation.
2. Authorize staff to file the Notice of Completion with the County Recorder.
10. ACTION ITEMS
10.A MID-YEAR FISCAL REPORT
Motion: Approve as amended, Resolution No. 7386, Amending the City’s Operating and CIP Budget for FY 2021/22, adding an additional $2,000 to Property Taxes-Secured.
Moved by Jenny Crosswhite, seconded by Andy Sobel
Vote: Motion carried 5-0
Yes: Jenny Crosswhite, Andy Sobel, Carlos Juarez, Richard Araiza, and Leslie Cornejo.
11. ITEMS FOR FUTURE AGENDAS
11.A FUTURE AGENDA ITEMS
City Manager Dan Signer reported the Harvard Blvd bid will likely be postponed to April. City Manager Dan Singer announced March 28th is secured as the date for the Special City Council meeting for Ri-Nu wastewater treatment facility discussion at the Community Center.
12. CLOSED SESSION
The City Council may move into a closed session pursuant to applicable law, including the Brown Act (Government Code §54950, et seq.) for the following purpose:
City Attorney John Cotti reported there was no anticipated reportable action on Closed Session items, and if there is reportable action, that information will be reported out after Closed Session.
Council moved into Closed Session at 7:56 pm.
12.A CONFERENCE WITH LEGAL COUNSEL - ANTICIPATED LITIGATION RECOMMENDATION:
Pursuant to Government Code section 54956.9(d)(2) - February 11, 2022, Letter from attorney Jason Dominguez concerning the California Voting Rights Act
12.B CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION 10 RECOMMENDATION:
Pursuant to Government Code section 54956.9(d)(1) - Ventura County Fire Protection District, et al, v. Santa Clara Waste Water Company, et al, Ventura County Superior Court Case No. 56-2016-00484523-CU-PO-VTA
12.C CONFERENCE WITH LABOR NEGOTIATOR
RECOMMENDATION:
Pursuant to Government Code section 54957.6 - City Representative: City Manager Dan Singer, City Attorney John C. Cotti; Unrepresented Employees: Executive Management Group
13. CLOSED SESSION REPORT
City Attorney John Cotti reported there was no reportable action on items 12A, 12B and 12C.
14. ADJOURNMENT
Mayor Crosswhite adjourned the meeting at 9:10 pm.
ATTEST:
_____________________________
Julie Latshaw
City Clerk
11 To: Honorable Mayor and Members of the City Council
From: Christy Ramirez, Finance Director
Subject: FEBRUARY 2022 WARRANTS AND CERTIFICATIONS
Date: March 16, 2022
Agenda Item: 10.B
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
Staff recommends that the City Council:
Review and accept the "Certification of Accounts Payable" for the accounts payable payment cycles for February 2022, starting check number 330021 and ending check number 330285.
Review and accept the "Certification of Salaries" for the pay period ending dates January 28th, 2022 through February 11th, 2022.
Presented by: Christy Ramirez, Finance Director
BACKGROUND:
This is the certification (separation of duties between the "preparer from the reviewer") Presented in the attached documents:
a. CERTIFICATION OF ACCOUNTS PAYABLE CHECKS by check number range and dates. It also discloses any voided checks.
b. EXPENSE REPORTS showing the amounts and funds accounts payable came from The "Check Report" depicts the following columns:
c. AP-ACCOUNTS PAYABLE for vendors (non-City staff) by the vendor number, vendor name, payment date, payment amount and check number (entitled 'number') d. PY-PAYROLL for benefit payments, insurance, retirement, etc. Benefits payable on behalf of City staff.
e. Bank Code Summary by payment type
f. Fund Summary by fund the accounts payable utilized
12 CERTIFICATION OF SALARIES
This is the certification (separation of duties between "preparer" and the "reviewer") of salaries and benefits (payroll checks) by fund. It lists salary (payroll) issued checks by beginning and ending check number payroll ending dates January 28th, 2022 through February 11th, 2022.
ANALYSIS:
See the attachments for expense breakdown by respective fund.
STRATEGIC PLAN:
FISCAL IMPACTS:
OPTIONS:
Receive and file February 2022 Certifications of Accounts Payable Checks and Certifications of Salaries.
ATTACHMENTS:
FEBRUARY 2022 WARRANTS AND CERTIFICATIONS.pdf
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To: Honorable Mayor and Members of the City Council
From: Travis Walker, Chief of Police
Subject: PUBLIC SAFETY DISPATCHER JOB DESCRIPTION AMENDMENT Date: March 16, 2022
Agenda Item: 10.C
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
Approve the amended Job Description for Public Safety Dispatcher.
Presented by: Travis Walker, Chief of Police
BACKGROUND:
With the assistance of the Human Resource Department, the Santa Paula Police Department conducted a review of the job announcement for the position of Public Safety Dispatcher and found it necessary to update some functional duties and industry standard requirements.
ANALYSIS:
The Public Safety Dispatcher position is a vital role within the police department and its function is to receive and process routine and emergency calls for service to our community among other various functions. After a review of the job announcement for Public Safety Dispatcher, it was found to be in need of some modernization to the position requirements and in some of the verbiage within the job announcement itself. The requirement for typing of 25 words per minute was found to be subpar and not consistent with the industry standard of 35 words per minute. After our evaluation, the typing requirement was increased to 35 words per minute to keep up with the high demand for information being relayed to our personnel during calls for service and emergency situations to more efficiently serve the community.
STRATEGIC PLAN:
Not Applicable
FISCAL IMPACTS:
None
OPTIONS:
1. Approve the request for updated position
45 2. Reject the request for updated position
3. Provide Staff with additional information and direction ATTACHMENTS:
Public Safety Dispatcher Job Description (Amended).docx 46 Description
Receives and processes routine and emergency calls and alarms; dispatches Police as required; enters, retrieves, and uses data from various automated law enforcement information systems; coordinates with other emergency service providers as appropriate; adheres to applicable policies, procedures, and work methods associated with assigned duties.
Supervision received:
Immediate and/or general direction from the Police Communications Supervisor Examples of Duties
Essential functions:
Functions may include, but are not limited to, the following:
Independently receives and evaluates 911, police emergency and business calls; transfers calls to appropriate parties; dispatches police units to emergency or nonemergency locations; handles inquiries and complaints regarding services from the public
Obtain complete and accurate information from individuals in emergency situations, including those who are emotionally distraught, angry, or difficult to understand; remain calm and make rapid and sound independent judgments in stressful emergency situations; communicate tactfully and effectively with the public, public safety personnel and others
Operates computer consoles for call input, dispatching and continuous update of suspect information and officer locations; enters call information in written or computerbased format; logs and fills out call forms Maintains records of radio calls; operates multi-channel radio systems; monitors other channels while maintaining radio traffic on main channels; maintains radio contact with mobile and portable units; recognized units from other agencies and assists them with City units or supplies requested information
Responds to officer-initiated radio traffic and requests and disseminates suspect information from roll call boards, prior calls, and bulletins; assists public safety personnel in the field by relaying information; keeps command staff and field supervisors apprised of emergency situations and dispatches additional personnel and equipment as necessary
Maintains and accesses business and premise history and index files for emergency and other necessary contacts; handles in-house and radio paging, crime-stopper, animal control and other after-hours phone lines
Receives non-emergency calls for information and directs callers to the proper person, department, or agency
47 During non-business hours, receives emergency and non-emergency calls for nonsafety departments such as, Animal Control, street maintenance, public utilities, park maintenance, building maintenance, graffiti control, crime prevention, and City Hall Prepares records and reports, such as stolen vehicle reports, tow truck requests, etc Makes DOJ entries in a timely, accurate manner as per DOJ mandates, missing persons, stolen vehicles, PPT’s repo’s, firearms, and all types of stolen property Establishes positive working relationships with co-workers, employees within the department, outside agencies, representatives of community organizations, state/local agencies and associations, City management, and the public; works as part of a team, yet may work independently; mentors and assists other dispatchers in the techniques and procedures of dispatching, operating radio equipment, and operating CAD equipment
Communicate clearly and concisely, orally and in writing Occasional functions:
Provides court testimony related to calls as required Participates in updating public safety procedures manuals, computer aided dispatch system and service area maps
Participates in the Quality Improvement process by evaluating calls and providing feedback to Dispatchers, a variety of training courses, and/or certification sessions May represent the Police Department and the City’s dispatching services on various work groups, interview panels and committees
May assist other staff as needed and with overflow work as assigned Qualifications:
High school diploma or equivalent
Highly Desired:
One year of public safety dispatch experience
License/Certification:
Type a minimum of 35 wpm
Possession of POST Public Safety Dispatcher Basic Certificate Possession of POST Communications Training Certificate or enrollment in the 40-hour course within 6 months of hire
Valid California driver’s license with a good driving record at time of appointment 48 Supplemental Information
Knowledge of:
Police department and communication center operations, policies, and procedures Pertinent federal, state, and local laws, codes, and regulations Law enforcement and emergency service procedures for responding to and handling reported incidents
Techniques of questioning for both emergency and non-emergency calls Automated law enforcement information systems and procedures, standard law enforcement information, communication, terminology, record keeping methods and techniques
Related clerical duties such as typing, filing, and indexing Dispatch reports and documentation
Modern office equipment and software including fax machines, closed circuit surveillance systems, computers, copiers, and windows-based applications including Outlook
Ability to:
Support the City’s goal of providing professional, reliable, and consistent customer service by building and maintaining positive working relationships with co-workers, other City employees, and the public using principles of good customer service Memorize codes, names, locations, and other detailed information Act quickly and calmly in emergencies
Communicate clearly and concisely, both orally and in writing. Interpret and apply federal, state, and local policies, procedures, laws, and regulations. Exercise sound independent judgement within established guidelines Use computer technology and applications in the performance of daily duties Operate keyboards, including typewriters and computer terminals at a typing speed of 35 words per minute
Follow oral and written instructions
Read and interpret street maps
Learn City dispatching codes, policies, procedures, and equipment Pass pre-employment screening, background investigation, psychological evaluation, physical and drug test
49 Skills:
A detailed oriented approach to tasks
Methods and techniques of receiving, prioritizing, and dispatching emergency and nonemergency calls for service Strong verbal and written communication skills. Proper usage of the English language, including spelling, grammar, and punctuation
Methods and techniques of computer aided dispatch, including associate systems and radio equipment
Methods and techniques of telephone etiquette
Work environment, physical demands, and behavior requirements:
Environmental Conditions:
Typical office environment with computer systems, office equipment, phone system and radio equipment.
Physical Conditions:
Essential functions may require, in the performance of daily activities, sitting for prolonged periods of time and intermittently walk, stand, bend, squat, twist and reach while performing duties. Manual dexterity to use standard office equipment. Vision to read handwritten, printed materials, and computer screens. Hearing and speech to communicate over the telephone, in person and on radio systems.
Work is done in an office environment with moderate noise levels, and a controlled temperature condition. Incumbent will interact with upset staff and/or public. Incumbent will be required to work evenings, weekends, and holidays and participate in after hour on-call assignments and work unusual and prolonged work schedules, as necessary.
Behavior Requirements:
Dependable, prompt, regular attendance. Professional telephone and email etiquette, including returning voicemails and emails promptly. Ability to cooperate with the public and co-workers. Tolerance for the stress of multiple simultaneous, possible conflicting demands.
Ability to plan, organize, and prioritize tasks with an attention to detail. 50 To: Honorable Mayor and Members of the City Council
From: Christy Ramirez, Finance Director
Subject: INVESTMENT POLICY UPDATE
Date: March 16, 2022
Agenda Item: 10.D
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
Staff recommends the City Council approve the proposed Investment Policy updates to be in line with industry standards.
Presented by: Christy Ramirez, Finance Director
BACKGROUND:
On May 6, 2020, the City Council approved an investment policy in order to establish strategies, practices and procedures to be used in investing public funds in a prudent manner, which provided the maximum security while meeting daily cash flow needs and conforming to all statutes governing the investment of public funds. The policy also identified practices that enhanced opportunities for a prudent and systematic investment of public funds. The policy is intended to guide the investment of City funds toward the goals of safety, liquidity and yield.
ANALYSIS:
City staff, along with the City's investment advisory firm, Chandler Asset Management, and the Council's Finance Committee, has reviewed the investment policy and proposed changes to the following sections:
Title Page
Section 6.0 Designation of Authority
Section 9.1.5 U.S. Agencies
Section 9.1.6 State Municipal Securities
Section 9.1.7 California Local Agency Municipal Securities Section 9.1.12 Asset-Backed Security
Section 9.1.15 Money Market and Mutual Funds
Section 9.1.19 Supranationals
Section 9.2 Unauthorized Investments
Section 12.0 Diversification
Section 15.1 Investment Strategy
Section 15.2 Benchmark
Along with these changes, various glossary changes are recommended, as noted in redline 51 version of the Investment Policy, attached to this report.
STRATEGIC PLAN:
FISCAL IMPACTS:
There are no direct fiscal impacts related to the recommended action. Staff believes the updated Investment policy will serve in it's goal to best guide the investment of City funds toward the goals of safety, liquidity and yield.
OPTIONS:
1. Council may reject the Investment Policy changes and provide further direction to staff.
ATTACHMENTS:
Investment Policy_Redlined.pdf
52 Investment Policy
Approved XX/XX/XXXX
For Fiscal Year 2021/2022 or Calendar Year 2022 Commented [CM1]: CAM recommends adding date of approval and delineate for what year the IP is for, fiscal or calendar year.
53 City of Santa Paula
Investment Policy
Table of Contents
1.0 Purpose .................................................................................................................... 3
2.0 Policy ........................................................................................................................ 3
3.0 Scope ....................................................................................................................... 3
3.1 Funds Included by this Policy............................................................................. 3
3.2 Pooling of Funds ................................................................................................ 4
3.3 Investments Held Separately ............................................................................. 4
4.0 Prudence .................................................................................................................. 4
5.0 Objectives................................................................................................................. 4
5.1 Safety................................................................................................................. 4
5.2 Liquidity.............................................................................................................. 5
5.3 Yield (Return on Investment).............................................................................. 5
6.0 Delegation of Authority ............................................................................................. 5
7.0 Ethics and Conflicts of Interest ................................................................................. 6
8.0 Authorized Financial Institutions and Broker/Dealers ............................................... 6
8.1 Authorized Financial Institutions......................................................................... 6
8.2 Authorized Broker/Dealers ................................................................................. 7
9.0 Authorized and Suitable Investments ....................................................................... 7
9.1 Authorized Investment Types............................................................................. 7
9.2 Unauthorized Investments ............................................................................... 12
10.0 Collateralization................................................................................................ 12
11.0 Safekeeping and Custody ................................................................................ 12
12.0 Diversification................................................................................................... 13
13.0 Maximum Maturities ......................................................................................... 13
14.0 Internal Control................................................................................................. 14
15.0 Performance Standards ................................................................................... 14
16.0 Investment Reporting ....................................................................................... 15
17.0 Investment Policy Adoption.............................................................................. 15
18.0 Exceptions........................................................................................................ 15
19.0 Glossary........................................................................................................... 17 Deleted: 12
Deleted: 13
Deleted: 13
54 City of Santa Paula
Investment Policy
3 1.0 Purpose
It is the purpose of the City’s investment policy to establish strategies, practices and procedures to be used in investing public funds in a prudent manner, which will provide the maximum security while meeting daily cash flow needs and conforming to all statutes governing the investment of public funds.
Secondly, this document will identify policies that enhance opportunities for a prudent and systematic investment of public funds. This policy is intended to guide the investment of City funds toward the goals of safety, liquidity and yield.
2.0 Policy
It is the policy of the City of Santa Paula, hereafter referred to as the “City”, to invest public funds not required for immediate day-to-day operations, also referred to as idle funds, in safe and liquid investments having acceptable rates of return while conforming to all state statutes and this City's Investment Policy.
California Government Code Section 53646 (a)(2) states that the City Treasurer may annually submit an investment policy to the City Council for consideration at a public meeting. This investment policy conforms to all pertinent existing laws of the State of California, including California Government Code Sections 53600 et seq. Any conflict between this City Investment Policy and California Government Code Section 53600 et. seq., shall be interpreted in favor of the California Government Code.
3.0 Scope
This investment policy applies to all financial assets and investment activities of the City. These funds are reflected in the City’s audited Comprehensive Annual Financial Report (CAFR). If the City invests funds on behalf of another agency and, if that agency does not have its own policy, the City’s investment policy shall govern the agency’s investments. Any additional funds that may be created from time to time shall also be administered within the provisions of this policy and comply with the California State Government Code. This policy covers the investment activities of idle funds under the direct authority of the City.
3.1 Funds Included by this Policy
General Fund
Enterprise Funds
Special Revenue Funds
Debt Service Funds
Capital Project Funds
Fiduciary Funds
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4 3.2 Pooling of Funds
Except for cash in funds prohibited from pooling as described in Section
3.3, the City shall consolidate cash balances from all funds to maximize investment earnings. Investment income shall be allocated to various funds in accordance with generally accepted accounting principles.
3.3 Investments Held Separately
In some instances, investments cannot be included in the City's investment pool. These may include investments of bond proceeds. In such cases the funds will be held separately when required by law, contract or other authority.
4.0 Prudence
The City Treasurer is authorized to make investment decisions on behalf of the City investing public funds subject to the prudent investment standard. The Prudent Investor Standard of the California Government Code Section 53600.3 states, “when investing, reinvesting, purchasing, acquiring, exchanging, selling or managing public funds, a trustee shall act with care, skill, prudence and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the anticipated need of the [City], that a prudent person in a like capacity and familiarity with those matters would use in the conduct of funds of a like character and with like aims, to safeguard the principal and maintain the liquidity needs of the [City]”. The standard of prudence to be used by investment officials shall be applied in the context of managing the overall portfolio.
Trustees are those persons authorized to make investment decisions on behalf of a local agency. Trustees or City investment officials, acting in accordance with written procedures, the investment policy and exercising due diligence, shall be relieved of personal responsibility for an individual security's credit risk changes or market price changes, provided deviations from expectations are reported in a timely manner and appropriate action is taken to control adverse developments.
5.0 Objectives
Section 53600.5 of the California Government Code outlines the primary objectives of a trustee investing public money. The primary objectives, in order of priority, of the City’s investment activities shall be:
5.1 Safety
Safety of principal is the foremost objective of the investment program.
Investments by the City shall be undertaken in a manner that seeks to ensure preservation of capital in the overall portfolio and reduce both 56 City of Santa Paula
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5 credit and market risk. The type of investment instruments and diversification of investments are critical components to ensuring investment portfolio safety.
5.2 Liquidity
The City's investment portfolio will remain sufficiently liquid to enable the City to meet all operating requirements which might be reasonably anticipated. Liquidity also refers to the ability to convert an investment to cash without loss of principal and minimal loss of interest.
5.3 Yield (Return on Investment)
The City’s investment portfolio shall have the objective of attaining a comparative performance measurement or an acceptable rate of return throughout budgetary and economic cycles. These measurements should be commensurate with the City’s investment risk constraints identified in the Investment Policy and the cash flow characteristics of the portfolio.
Return on investment becomes a consideration only after the basic requirements of safety and liquidity have been met.
The City Treasurer shall strive to maintain the level of investment of all idle funds as close to 100% as possible. While the objectives of safety and liquidity must first be met, it is recognized that investment assets represent a potential source of significant revenues. It is to the benefit of the City that these assets be managed to produce optimum revenues consistent with State statutes and local policies.
6.0 Delegation of Authority
Authority to manage the City’s investment program is derived from the California Government Code Sections 53600 through 53609. The management of idle cash and the investment of funds identified in paragraph 3.1 is the responsibility of the City Treasurer (Treasurer). The Treasurer may be elected or appointed by the City Council. Management responsibility for the investment program is hereby delegated to the Treasurer as directed by the City Council. Under this authority granted by the City Council, no person may engage in an investment transaction covered by the terms of this policy unless directed by the Treasurer.
In the execution of this delegated authority, the Treasurer may establish accounts with qualified financial institutions and brokers/dealers for the purpose of effecting investment transactions in accordance with this policy. 57 City of Santa Paula
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6 Transactions, including wiring instructions, must be identified in advance and approved in writing by the Treasurer or designee. All investment transactions in excess of $250,000 (except for deposits or withdrawals from the Local Agency Investment Fund, Ventura County Investment Pool or Other Pools) shall also require the signature of the City Manager or his/her designee.
The City may engage the services of one or more external investment advisers, who are registered under the Investment Advisers Act of 1940, to assist in the management of the City’s investment portfolio in a manner consistent with the City’s objectives. External investment advisers may be granted discretion to purchase and sell investment securities in accordance with this investment policy. The City Council may renew the authority annually and may revoke the authority at any time.
7.0 Ethics and Conflicts of Interest
All participants in the City's investment process shall act responsibly as custodians of the public trust. Elected officials and employees involved in the investment process shall refrain from personal business activity that could conflict with proper execution of the investment program or which could impair or create the appearance of an impairment of their ability to make impartial investment recommendations and decisions. Investment officials and employees shall make all disclosures appropriate under the Fair Political Practices Act and shall seek and follow the advice of the City Attorney and the Fair Political Practices Commission whenever there is a question of personal, financial or investment positions that could represent potential conflicts of interest.
8.0 Authorized Financial Institutions and Broker/Dealers Investments shall be purchased only through well-established, financially sound institutions. All financial institutions and broker/dealers who desire to become qualified vendors for investment transactions will be given a copy of the City's investment policy and certification form. The completion and submission of the certification form by a broker-dealer or financial institution shall constitute proof that it has received the City’s Statement of Investment Policy, read it, and intends to comply with it. Qualified financial institutions and Broker/dealers must provide current audited financial statements and meet the applicable criteria established in Sections 8.1 or 8.2 of this policy.
8.1 Authorized Financial Institutions
The City shall only deposit public monies in financial institutions that have:
(1) at least $500 million in total assets; (2) a core capital-to-total assets Commented [CM2]: CAM recommends adding language
permitting the engagement with external investment advisors 58 City of Santa Paula
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7 ratio of at least five percent; (3) favorable ratings from a recognized financial institution rating service, as determined by the City Treasurer; (4) a federal or a state charter; or are eligible institutions per the California Government Code and (5) a branch office within Ventura County, and/or a 50 mile radius of the City.
Under no circumstances shall the City’s deposits in a financial institution exceed the total shareholders’ equity of that institution.
8.2 Authorized Broker/Dealers
The City will only utilize investment services of financial institutions and security broker/dealers selected by credit worthiness who are authorized to provide investment services in the State of California. These may include primary dealers or regional dealers that qualify under Securities and Exchange Commission Rule 15C3-1 (uniform new capital rule).
All financial institutions and broker-dealers for investment transactions must supply the following to the City as appropriate:
Current audited financial statements
Proof of Financial Industry Regulatory Authority (FINRA) certification, Proof of State of California registration
Trading resolution
Completed City of Santa Paula broker-dealer questionnaire, which contains a certification of having read, understood and agreeing to comply with the City’s Investment Policy and depository contracts
9.0 Authorized and Suitable Investments
All investments and deposits of the City shall be made in accordance with California Government Code, Sections 16429.1, 53600-53609, and 53630-53686 et seq., and as further limited in this policy.
The City is empowered by statute to invest in the following types of securities:
9.1 Authorized Investment Types
9.1.1 California State Treasurer's Local Agency Investment Fund (LAIF) as authorized by Gov. Code Section 16429.1(b).
9.1.2 Ventura County Investment Pool — Ventura County Treasurer's Investment Pool as authorized by Gov. Code Section 53684. 59 City of Santa Paula
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8 9.1.3 Other Pools — Shares of beneficial interest issued by a joint powers authority organized in the State of California pursuant to Gov. Code Section 6509.7 that invests in the securities and obligations authorized in Gov. Code Section 53601 subdivisions (a) to (q), inclusive. Each share shall represent an equal proportional interest in the underlying pool of securities owned by the joint powers authority. Purchases are limited to those pools that seek to maintain a constant net asset value and are rated in the highest category by a nationally recognized statistical-rating organization (NRSRO). To be eligible under this section, the joint powers authority issuing the shares shall have retained an investment adviser that meets all of the following criteria: (1) The adviser is registered or exempt from registration with the Securities and Exchange Commission; (2) the adviser has not less than five years of experience investing in the securities and obligations authorized in subdivisions (a) to (q), inclusive, of [Gov.
Code] section 53601; and (3) the adviser has assets under management in excess of five hundred million dollars
($500,000,000). Gov. Code § 6509.7(a).
9.1.4 U.S. Government — United States Treasury bills, notes, & bonds, or certificates of indebtedness, or those for which the full faith and credit of the United States Government are pledged for the payment of principal and interest.
9.1.5 U.S. Agencies — Federal agency or United States government senior debt- sponsored enterprise obligations, participations, or other instruments, including those issued by or fully guaranteed as to principal and interest by federal agencies or United States government-sponsored enterprises. No more than 30% of the portfolio may be invested in any single Agency/GSE issuer. The maximum percent of agency callable securities in the portfolio will be 20%..
9.1.6 State Municipal Securities — Registered treasury notes or bonds issued by any of the 50 United States, including bonds payable solely out of the revenues from a revenue producing property owned, controlled, or operated by a state or by a department, board, agency, or authority of any state. Securities eligible for investment under this paragraph shall be rated in the rating category of at least “AA” or “A-1” (for short-term securities), their respective equivalents, or higher by a NRSRO. A maximum of 30 percent of the City’s portfolio may be invested in State and local municipal securities.
Commented [CM3]: CAM recommends adding max issuer
and callable language to be in line with industry best practices 60 City of Santa Paula
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9 9.1.7 California Local Agency Municipal Securities — Bonds, notes, warrants or other evidence of debt issued by a local agency or municipality located within the State of California, including debt securities issued by the City. Securities eligible for investment under this paragraph shall be rated in a rating categories at least “AA” or “A-1”, their respective equivalents, or higher by a NRSRO.
A maximum of 30 percent of the City’s portfolio may be invested in State and local municipal securities.
9.1.8 Non-Negotiable Certificates of Deposit (CDs) — Non-negotiable deposits in a state or national bank, savings association or federal association, federal or state credit union in the State of California as authorized by CGC Section 53652. In accordance with CGC Section 53635.2, to be eligible to receive City deposits, a financial institution shall have received an overall rating of not less than “satisfactory” in its most recent evaluation by the appropriate federal financial supervisory agency of its record of meeting the credit needs of California’s communities. CDs are required to be collateralized as specified under Gov. Code Section 53630 et seq.
The Treasurer, at his/her discretion, may waive the
collateralization requirements for any portion that is covered by federal deposit insurance. Deposits in excess of the Federal Deposit Insurance Corporation (FDIC) or National Credit Union Administration (NCUA) insured shall be secured pursuant to California Government Code Section 53651 and 53652. The City shall have a signed agreement with any depository accepting City funds per Gov. Code Section 53649. In accordance with CGC Section 53638, any deposit shall not exceed that total
shareholder’s equity of any depository bank, nor shall the deposit exceed the total net worth of any institution. A maximum of 20 percent of the City’s portfolio may be invested in CDs.
9.1.9 Negotiable Certificates of Deposit – Negotiable CDs issued by a nationally or state chartered bank or a state or federal savings and loan association, a state or federal credit union, or by a federally- or state-licensed branch of a foreign bank. Negotiable CDs issued with maturities in excess of one year must be rated in a rating category of “A”, the equivalent or higher by a NRSRO.
Negotiable CDs with maturities under one year must be rated in a rating category of “A-1,” the equivalent, or higher by a NRSRO.
Purchases of negotiable CDs may not exceed 30 percent (in combination with CDs purchased through a deposit placement service) of the City's portfolio.
Deleted: .
Commented [CM4]: CAM recommends adding max percent
for Muni's to be in line with industry best practices
61 City of Santa Paula
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10 9.1.10 Placement Service Deposits — The City may deposit a portion of its funds with commercial bank, savings bank, savings and loan association, or credit union that uses a private sector entity that assists in the placement of federally insured deposits. The selected depository for placement services must be: a nationally or state chartered commercial bank, savings bank, savings and loan association, or credit union in California. Further, the selected depository institution may submit the funds to a private sector entity that assists in the placement of certificates of deposit with one or more commercial banks, savings banks, savings and loan associations, or credit unions that are located in the United States, for the City’s account. The full amount of the principal and the interest that may be accrued during the maximum term of each certificate of deposit shall at all times be insured by the FDIC or the NCUA. The selected depository institution shall serve as a custodian for each certificate of deposit that is issued with the placement service for the City’s account. Purchases of placement service deposits may not exceed 30 percent (in combination with negotiable CDs) of the City’s portfolio.
9.1.11 Medium-Term Corporate Notes — Medium term notes issued by corporations organized and operating within the United States or by depository institutions licensed by the United States or any state and operating within the United States that are rated in a rating category of “AA”, the equivalent or higher by a NRSRO and issued by an issuer rated at least “A” or the equivalent by an NRSRO. Purchases of medium term notes may not exceed 30 percent of the City's portfolio.
9.1.12 Asset-Backed Security – Any mortgage pass-through security, collateralized mortgage obligation, mortgage-backed or other paythrough bond, equipment leaseback certificate, consumer receivable pass-through certificate, or consumer receivablebacked bond. Eligible securities must be rated in a rating category, by a NRSRO, of “AA”, the equivalent or higher. No more than 20 percent of the City's portfolio may be invested in this type of security.
9.1.13 Commercial Paper — Commercial paper of "prime" quality of the highest ranking or of the highest letter and number rating as provided for by a NRSRO. The entity that issues the commercial paper shall meet all of the following conditions in either paragraph (1) or paragraph (2) below:
Deleted: , and the issuer of the security must be rated in a rating category of “A”, the equivalent or higher rating for its debt as provided by a NRSRO
Commented [CM5]: CAM recommends removing the issuer
rating requirement to be in line with AB 1770
62 City of Santa Paula
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11 1. The entity meets the following criteria: (A) is organized and operating in the United States as a general corporation. (B) has total assets in excess of five hundred million dollars
($500,000,000). (C) has debt other than commercial paper, if any, that is rated in a rating category of “A”, the equivalent or higher by a NRSRO.
2. The entity meets the following criteria: (a) is organized within the United States as a special purpose corporation, trust, or limited liability company. (b) Has program wide credit
enhancements including, but not limited to, over collateralization, letters of credit, or surety bond. (c) Has commercial paper that is rated in a rating category of “A-1” or the equivalent or higher by a NRSRO.
Eligible commercial paper shall have a maximum maturity of 270 days or less. No more than 25 percent of the City’s portfolio may be invested in eligible commercial paper, and the City may purchase no more than 10 percent of the outstanding commercial paper of any single issuer.
9.1.14 Bankers’ Acceptances — Bills of exchange or time drafts drawn on and accepted by a commercial bank, otherwise known as bankers' acceptances. Eligible bankers' acceptances are restricted to issuing financial institutions with short-term paper rated in the highest category by a NRSRO. Purchases of bankers' acceptances shall have a maximum maturity of 180 days or less, and no more than 40 percent of the City's portfolio.
9.1.15 Money Market and Mutual Funds — Shares of beneficial interest issued by diversified management companies that are money market funds registered with the Securities and Exchange Commission under the Investment Company Act of 1940 (15 U.S.C. Sec. 80a-1 et seq.). Such funds must carry the highest rating of at least two of the three largest national rating agencies.
All such investments shall be placed only in money market or mutual funds intended to maintain constant net asset value and that invest solely in U.S. Treasuries and Federal Agency obligations and repurchase agreements invested in such
obligations. Investment in Money Market or Mutual Funds shall not exceed 20% of the portfolio or more than 20 percent in any one fund.
Deleted: 10
Commented [CM6]: CAM recommends updating language
to be in line with best practices
63 City of Santa Paula
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12 9.1.16 Sweep account for the investment of overnight funds when the funds are swept into investments authorized by this policy.
9.1.17 Passbook accounts maintained solely to provide for ongoing operational needs shall be subject to the requirements of this policy.
9.1.18 Bonds, notes, or other forms of indebtedness issued by the City, including bonds payable solely out of the revenues from a revenue producing property owned, controlled, or operated by the City or by a department, board, agency, or authority of the local agency.
9.1.19 Supranationals: Issues are that are US dollar denominated senior unsecured unsubordinated obligations issued or unconditionally guaranteed by the International Bank for Reconstruction and Development, International Finance Corporation, or InterAmerican Development Bank. The securities are rated in a rating category of “AA” or its equivalent or better by a NRSRO. No more than 30% of the total portfolio may be invested in these securities.
No more than 10% of the portfolio may be invested in any single issuer.
9.2 Unauthorized Investments
Investments not specifically authorized herein are disallowed. Additionally, Section 53601.6 of the California Government Code disallows the following: inverse floaters, range notes, or interest-only strips that are derived from a pool of mortgages. Futures, options, all leveraged purchases, reverse repurchases, and speculations on interest rates are specifically not allowed by this policy. Investment in any security that could result in a zero interest accrual if held to maturity is prohibited. Under a provision sunsetting on January 1, 2026, securities backed by the U.S.
Government that could result in a zero- or negative-interest accrual if held to maturity are permitted. .
10.0 Collateralization
Investments in certificates of deposit, sweep accounts and passport accounts shall be fully insured up to the limit set by the Federal Deposit Insurance Corporation or National Credit Union Administration. Investments in certificates of deposit, sweep accounts and passport accounts in excess of the FDIC or NCUA limit shall be properly collateralized as required by law.
11.0 Safekeeping and Custody
Commented [CM7]: CAM recommends including
Supranational securities in the Authorized investments section Commented [CM8]: CAM recommends including language
on negative or zero interest bonds backed by the US
government to be in line with SB 998
64 City of Santa Paula
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13 All security transactions entered by the City shall be conducted on a delivery-vs.- payment (DVP) basis. Securities owned by the City, (except the collateral for certificates of deposit in banks and/or savings and loans) shall be held by a thirdparty custodian/safekeeping account designated by the City Treasurer and evidenced by safekeeping receipts. Said securities shall be held in a manner that establishes the City’s right of ownership. The only exception to the foregoing shall be depository accounts and security purchases made with: LAIF, time certificates of deposit and money market mutual funds held directly with issuing institution, since the purchased securities are not deliverable.
The third-party custodian/safekeeping account shall annually provide a copy of their most recent report of internal controls and provide periodic statements of the securities owned by the City listing the specific instrument, rate, maturity and other pertinent information.
12.0 Diversification
The City recognizes that investment risks can result from the issuer defaults, market price changes, or various technical complications leading to temporary liquidity. To minimize the City’s exposure to these types of risk, the portfolio should be diversified among several types of institutions, instruments, and maturities. The Treasurer shall minimize default risk by prudently selecting only instruments and institutions, which at the time of placement have been evaluated for their financial viability and compliance with this policy. No individual transaction shall be undertaken that jeopardizes the total capital position of the overall portfolio.
The portfolio instrument composition shall be diversified to the extent feasible to avoid incurring unreasonable and avoidable risks regarding specific security types indicated in Section 9 of this investment policy. No more than five percent (5%) of the value of the City's portfolio will be placed with any single issuer, except for the U.S. Treasury/Federal agency securities, authorized pools, mutual funds, Supranationals and collateralized investments.
13.0 Maximum Maturities
To the extent possible, the Treasurer will attempt to match investments with anticipated cash flow requirements and investments shall have a maturity no more than five (5) years from the date of purchase.
For the purpose of these investments, the compliance with the investment percentage(s), in regards to the total investment portfolio, shall be calculated on Deleted: ten
Deleted: 10
Commented [CM9]: CAM recommends updating the issuer
limitation to 5% with the noted expections
65 City of Santa Paula
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14 the date the investment is acquired. If the percentage is legally compliant on the date of purchase, then compliance with the law shall have been met.
14.0 Internal Control
The City Treasurer shall establish and maintain a system of appropriate internal controls to ensure compliance with policies and procedures. The controls should be designed to prevent losses of public funds arising from fraud, error, or imprudent actions by employees and officers of the City. The following procedures shall generally be followed:
Proper documentation obtained from confirmation and cash disbursement wire transfers is required for each investment transaction. Timely bank reconciliation is conducted to ensure proper handling of all transactions
The investment portfolio and all related transactions are reviewed and balanced to appropriate general ledger accounts by the Finance Department at a minimum on a quarterly basis.
15.0 Performance Standards
15.1 Investment Strategy
The investment portfolio shall be designed to attain a market-average rate of return throughout budgetary and economic cycles, taking into account the City’s risk constraints, the cash flow characteristics of the portfolio, and state and local laws, ordinances or resolutions that restrict investments.
The City may elect to sell a security prior to its maturity and record a capital gain or loss in order to manage the quality, liquidity or yield of the portfolio in response to market conditions or City’s risk preferences. If a security owned by the City is downgraded to a level below the requirements of this policy, making the security ineligible for additional purchases, the following steps will be taken:
• Any actions taken related to the downgrade by the investment manager will be communicated to the Treasurer in a timely manner. • If a decision is made to retain the security, the credit situation will be monitored and reported to the City Council.
The Treasurer shall periodically, but no less than quarterly, review the portfolio to identify investments that do not comply with this investment policy and establish protocols for reporting major and critical incidences of noncompliance to the City Council.
15.2 Benchmark
Deleted: The City’s overall
Commented [CM10]: CAM recommends updating language
on Investment Strategy to be in line with industry best practices and including downgrade language
Deleted: investment strategy is passive. The City intends to hold its investments to maturity and will therefore generally follow buy and hold strategy. A buy and hold strategy requires that the portfolio be kept sufficiently liquid to preclude the undesirable sale of investments prior to maturity.
Occasionally, the City Treasurer may find it advantageous to sell an investment prior to maturity, such as when the return for an alternative investment would significantly exceed the loss on the current investment. The sale of investments prior to maturity should be only on an exception basis and only when it is clearly favorable to do so. To further provide for liquidity, investments will be made only in readily marketable securities actively traded in the secondary market.¶
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15 The Treasurer shall monitor and evaluate the portfolio’s performance relative to the chosen market benchmark(s), which will be included in the Treasurer’s quarterly report. The Treasurer shall select an appropriate, readily available index to use as a market benchmark. The duration of the portfolio will generally be approximately equal to the duration (typically, plus or minus 20%) of a Market Benchmark, an index selected by the City based on the City’s investment objectives, constraints and risk tolerances. . The benchmarks and investment performance will be reviewed by the Treasurer and City Manager as market conditions warrant or when the benchmarks are not met for a consecutive one-year period.
16.0 Investment Reporting
As suggested in California Government Code Section 53607, the investment report shall be submitted to the City Council on a quarterly basis by the Treasurer. The Treasurer shall review and render monthly and quarterly investment reports and include the following:
The monthly report shall include an accounting of all receipts, disbursements and fund balances.
The quarterly report shall include an itemized listing of portfolio investments by type, date of maturity, yield to maturity, issuer, par value, dollar amount invested, book value and current market value if applicable. The source of the market values will be cited.
The quarterly report will include a statement of compliance of the portfolio with the City's investment policy or an explanation as to why the portfolio is not in compliance per California Government Code Section 53646(b)(2). The quarterly report shall include a statement of compliance that the investment portfolio has the ability to meet the City's expenditure requirements for the next six months, or provide an explanation as to why sufficient money shall, or may, not be available, per California Government Code Section 53646 (b)(3).
17.0 Investment Policy Adoption
The City's investment policy shall be adopted by resolution by the City Council.
The policy may be reviewed annually by the City Council and any modifications to the investment policy must be approved by the City Council.
18.0 Exceptions
Occasionally, exceptions to some of the requirements specified in this investment policy may occur for pooled investments because of events subsequent to the purchase of investment instruments. State law is silent as to how exceptions Deleted: The City
Commented [CM11]: CAM recommends including language
on benchmark evaluation and duration
Deleted: shall use the LAIF apportionment rate and the 2- year U.S. Treasury Note as useful benchmarks to measure whether or not the City’s portfolio net yields are matching or surpassing the market yields
67 City of Santa Paula
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16 should be corrected. Exceptions may be temporary or more lasting; they may be self-correcting or require specific action. If specific action is required, the Treasurer should determine the course of action that would correct exceptions to move the portfolio into compliance with State law and City policy. Disclosure of exceptions lasting more than 183 days shall be done in the quarterly investment report immediately following the 183 days. Decisions to correct exceptions should not expose the assets of the portfolio to undue risk and should not impair the meeting of financial obligations as they fall due. Any subsequent investments should not extend existing exceptions.
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17 19.0 Glossary
Asset-Backed Securities (ABS): Securities whose income payments and hence value is derived from and collateralized (or "backed") by a specified pool of underlying assets which are receivables. Pooling the assets into financial instruments allows them to be sold to general investors, a process called securitization, and allows the risk of investing in the underlying assets to be diversified because each security will represent a fraction of the total value of the diverse pool of underlying assets. The pools of underlying assets can comprise common payments credit cards, auto loans, mortgage loans, and other types of assets. Interest and principal is paid to investors from borrowers who are paying down their debt.
Banker’s Acceptance: A money market instrument created to facilitate international trade transactions. It is highly liquid and safe because the risk of the trade transaction is transferred to the bank which “accepts” the obligation to pay the investor.
Benchmark: A comparative base for measuring the performance or risk tolerance of the investment portfolio. A benchmark should represent a close correlation to the level of risk and the average duration of the portfolio’s investments.
Bond Indenture (or Trust Indenture): Written agreement specifying the terms and conditions for issuing bonds, stating the form of the bond being offered for sale, interest to be paid, the maturity date, call provisions and protective covenants, if any, collateral pledged, the repayment schedule, and other terms. It describes the legal obligations of a bond issuer and the powers of the bond trustee, who has the responsibility for ensuring that interest payments are made to registered bondholders.
Broker-Dealer: A person or a firm who can act as a broker or a dealer depending on the transaction. A broker brings buyers and sellers together for a commission. They do not take a position. A dealer acts as a principal in all transactions, buying and selling for his own account.
Buy and Hold Strategy: Investments in which management has the positive intent and ability to hold each issue until maturity.
CALLABLE: A callable security gives the issuer the option to call it from the investor prior to its maturity. The main cause of a call is a decline in interest rates. If interest rates decline, the issuer will likely call its current securities and reissue them at a lower rate of interest.
Commented [CM12]: CAM recommends updating language
including additional terminology in the glossary
69 City of Santa Paula
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18 Certificate of Deposit (CD): A time deposit with a specific maturity evidenced by a Certificate. Large-denomination CDs are typically negotiable.
City Treasurer: The City Treasurer is elected through 2020 and appointed by the City Manager beginning in 2021.
Collateralization: To secure a debt in part or in full by pledge of collateral, asset pledged as security to ensure payment or performance of an obligation. Also refers to securities pledged by a bank to secure deposits of public monies.
Collateralized Mortgage Obligations (CMO: Classes of bonds that redistribute the cash flows of mortgage securities (and whole loans) to create securities that have different levels of prepayment risk, as compared to the underlying mortgage securities.
Commercial Paper: The short-term unsecured debt of corporations.
Coupon: The rate of return at which interest is paid on a bond.
Credit Risk: The risk that principal and/or interest on an investment will not be paid in a timely manner due to changes in the condition of the issuer.
Current Yield: The interest paid on an investment expressed as a percentage of the current price of the security.
Custody: Safekeeping services offered by a bank, financial institution or trust company, referred to as the “custodian.” Service normally includes the holding and reporting of the customer’s securities, the collection and disbursement of income, securities settlement and market values.
Delivery versus Payment: A type of securities transaction in which the purchaser pays for the securities when they are delivered either to the purchaser or custodian. It ensures that securities are deposited in an eligible financial institution prior to the release of funds.
Disallowed Investments: Prohibited investments include any investments not specifically authorized within this policy, inverse floaters, range notes, interestonly strips that are derived from a pool of mortgages; futures, option, all leveraged purchases, reverse repurchases, and speculations on interest rates.
Diversification: Dividing investment funds among a variety of securities offering independent returns.
Duration: A measure of the sensitivity of the price (the value of principal) of a fixed-income investment to a change in interest rates. Duration is expressed as a 70 City of Santa Paula
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19 number of years. Rising interest rates means falling bond prices, while declining interest rates mean rising bond prices.
Federal Agency Obligation: A debt instrument issued by one of the federal agencies. Federal agencies are considered second in credit quality and liquidity only to U.S. Treasuries.
Federal Deposit Insurance Corporation (FDIC): The federal agency that insures bank deposits up to $250,000 per deposit at participating banking institutions. To increase consumer confidence in the banking system, the previous $100,000 insurance limit was temporarily increased to $250,000 in 2008, extended to 2013, and then permanently increased on July 21, 2010 with the passage of the Wall Street Reform and Consumer Protection Act.
Federal Reserve System: The central bank of the United States which consists of a seven-member Board of Governors, 12 regional banks, and 5,700 commercial banks that are members.
Fiduciary Funds: Funds held in a trustee or agency capacity for outside parties.
Interest Rate: The annual yield earned on an investment, expressed as a percentage.
Liquidity: Refers to the ability to rapidly convert an investment into cash without a substantial loss of value.
Laddered Portfolio: Bond investment portfolio with securities in each maturity range (e.g. monthly) over a specified period (e.g. five years).
Leverage: Investing with borrowed money with the exception that the interest earned on the investment will exceed the interest paid on the borrowed money.
Local Agency Investment Fund (LAIF): A voluntary investment program offering participating agencies the opportunity to participate in a major portfolio which daily invests hundreds of millions of dollars, using the investment expertise of the State Treasurer's Office investment staff at no additional cost to the taxpayer. Investment in LAIF, considered a short-term investment, is readily available for cash withdrawal daily.
Market Risk: Defined as market value fluctuations due to overall changes in the general level of interest rates. Adverse fluctuation possibilities shall be mitigated by limiting the maximum maturity of any one security to five years, structuring the portfolio based on historic and current cash flow analysis, and eliminating the need to sell securities prior to maturity. Also, avoiding the purchase of long-term securities for the sole purpose of short-term speculation mitigates market risk. 71 City of Santa Paula
Investment Policy
20 Market Value: The price at which a security is trading and could presumably be purchased or sold on a specific date.
Maturity: The date the principal or stated value of an investment becomes due and payable.
Modified Duration: The percent change in price for a 100-basis point change in yields. Modified duration is the best single measure of a portfolio’s or security’s exposure to market risk.
Money Market Fund: A type of safe investment comprising a variety of shortterm securities with high quality and high liquidity. The fund provides interest to shareholders and must maintain a stable net asset value (NAV) of $1 per share.
Mortgage Pass-Through Securities: A securitized participation in the interest and principal cash flows from a specified pool of mortgages. Principal and interest payments made on the mortgages are passed through to the holder of the security.
Municipal Securities: Securities issued by state and local agencies to finance capital and operating expenses.
Mutual Fund: An entity which pools the funds of investors and invests those funds in a set of securities which is specifically defined in the fund’s prospectus.
Mutual funds can be invested in various types of domestic and/or international stocks, bonds, and money market instruments, as set forth in the individual fund’s prospectus. For most large, institutional investors, the costs associated with investing in mutual funds are higher than the investor can obtain through an individually managed portfolio.
Nationally Recognized Statistical Rating Organization (NRSRO).
A credit rating agency that the Securities and Exchange Commission in the United States uses for regulatory purposes. Credit rating agencies provide assessments of an investment's risk. The issuers of investments, especially debt securities, pay credit rating agencies to provide them with ratings. The three most prominent NRSROs are Fitch, S&P, and Moody's.
National Credit Union Administration (NCUA): An independent federal agency that insures deposits at federally insured credit unions, currently up to $250,000.
Negotiable Certificates of Deposit: Typically large-denomination Certificates of Deposit that can be transferred, bought, sold, or exchanged. 72 City of Santa Paula
Investment Policy
21 Nominee: Registered owner of a stock or bond if difference from the beneficial owner, who acts as holder of record for securities and other assets. Typically, this arrangement is done to facilitate the transfer of securities when it is inconvenient to obtain the signature of the real owner, or the actual owner may not wish to be identified. Nominee ownership simplifies the registration and transfer of securities.
Non-Negotiable Certificates of Deposit: Certificates of Deposit that cannot be transferred, bought, sold, or exchanged.
Pooled Investments: Grouping of resources for the advantage of the participants.
Principal: The original cost of a security. It represents the amount of capital or money that the investor pays for the investment.
Portfolio: Collection of securities held by an investor.
Primary Dealer: A group of government securities dealers who submit daily reports of market activity and positions and monthly financial statements to the Federal Reserve Bank of New York and subject to its informal oversight. Primary dealers include Securities and Exchange Commission (SEC) registered securities broker-dealers, banks and a few unregulated firms.
Prime Commercial Paper: Short-term IOU, or unsecured money market obligation, issued by prime rated commercial firms and financial companies, with maturities from 2 days up to 270 days. A promissory note of the issuer used to finance current obligations and is a negotiable instrument.
Principal: (1) The face amount of par value of a debt instrument. (2) One who acts as a dealer buying or selling for his own account.
Prudent Investor Standard: An investment standard that all investments should be made with care, skill, prudence and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the anticipated needs of the agency, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of funds of a like character and with like aims, to safeguard the principal and maintain the liquidity needs of the agency.
Safekeeping: A service to customers rendered by banks for a fee whereby securities and valuables of all types and descriptions are held in the bank’s vault for protection.
73 City of Santa Paula
Investment Policy
22 Secondary Market: A market is made for the purchase and sale of outstanding issues following the initial distribution.
Sweep Account: Short-term income fund into which all un-invested cash balances from the non-interest-bearing checking account are automatically transferred daily.
Supranational: A Supranational is a multi-national organization whereby member states transcend national boundaries or interests to share in the decision making to promote economic development in the member countries.
Third-Party Custodian: Corporate agent, usually a commercial bank, who, acting as trustee, holds securities under a written agreement for a corporate client and buys and sells securities when instructed. Custody service includes securities safekeeping, and collection of dividends and interest. The bank acts only as a transfer agent and makes no buy-sell recommendations.
Treasury Bills: A non-interest bearing discount security issued by the U.S.
Treasury to finance the national debt. Most bills are issued to mature in three months, six months, or one year.
Treasury Bonds: Long-term coupon-bearing U.S. Treasury securities issued as direct obligations of the U.S. Government and having initial maturities of more than 10 years.
Treasury Notes: Medium-term coupon-bearing U.S. Treasury securities issued as direct obligations of the U.S. Government and having initial maturities of from two to 10 years.
Trustee: (1) All governing bodies of local agencies or persons authorized (city investment officials) to make investment decisions on behalf of those local agencies investing public funds pursuant to this chapter are trustees and therefore fiduciaries subject to the prudent investor standard. (2) A financial institution with trust powers that acts in a fiduciary capacity for the benefit of the bondholders in enforcing the terms of the bond contract.
Total Rate of Return: A measure of a portfolio’s performance over time. It is the internal rate of return, which equates the beginning value of the portfolio with the ending value; it includes interest earnings, realized and unrealized gains, and losses in the portfolio.
U.S. Agencies: Federal agency securities and/or Government-sponsored enterprises.
74 City of Santa Paula
Investment Policy
23 U.S. Government Securities: Securities issued by the U.S. Government and its agencies which are either directly or indirectly backed by the full faith and credit of the United States. U.S. Government securities include Treasury Bills, Notes and Bonds. Agency securities include those issued by the Federal National Mortgage Association, Federal Home Loan Bank, and similar agencies.
Yield to Maturity: The rate of annual income return on an investment expressed as a percentage, adjusted for any discounts, and spread over the period from the date of purchase to the date of maturity.
75 To: Honorable Mayor and Members of the City Council
From: James Mason, Community & Economic Development Director Subject:
A RESOLUTION ESTABLISHING FEES FOR HOME OCCUPATION
PERMITS AND SPECIAL EVENT PERMITS IN ACCORDANCE WITH
SANTA PAULA MUNICIPAL CODE §16.230 HOME OCCUPATION
PERMITS AND § 115 SPECIAL EVENT PERMITS
Date: March 16, 2022
Agenda Item: 11.A
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
It is recommended that the Santa Paula City Council:
1. Open the Public Hearing;
2. Consider testimonial and written evidence;
3. Based upon the evidence, adopt Resolution No. 7390 to recover City personnel and service costs by amending fees for Special Event and Business Home Occupation permitting;
4. Provide direction to staff regarding the process for review of annual financial support for City Cosponsored events.
Presented by: James Mason, Community & Economic Development Director BACKGROUND:
Home Occupancy Permits
All business providing goods and/or services within the City of Santa Paula are required to obtain a business license. Businesses are identified within three specific categories: i) businesses with a non-Santa Paula location, ii) businesses operating at a commercial brick and mortar Santa Paula location and iii) businesses operating from a home occupancy in a residential location. Home-based businesses are required to get a Home Occupancy permit.
As identified in the Santa Paula Municipal Code § 16.230 the purpose and intent of home occupation for businesses is as follows:
(A)The City recognizes that an occupant of a residential property has a limited right to conduct non-obtrusive business from a residence, and that the average neighbor generally will prefer to have that business conducted in such a fashion that neighbors are unaware of its existence.
This chapter is established to allow such home occupations to exist, provided the residential character of residential neighborhoods is maintained and further provided safeguards are 76 established to prevent the use of home occupations from transforming the use of a residence into a commercial use or a residential neighborhood into a commercial one.(B) Home occupations encourage and promote efforts to reduce traffic congestion and the generation of pollutants by allowing and recognizing changing work environments, including telecommuting and work-at-home options. Such businesses are allowed in the City subject to the regulations of this chapter.
Home occupation provides a low-barrier to entry for entrepreneurs and business start-ups and as a result, plays an important role in economic development and business vitality within the community. It is crucial for businesses to meet licensing requirements before even starting a business. In addition to protecting businesses legally, a business license adds credibility and allows businesses to apply for government financial assistance. As a result, the home occupancy permit process should maintain predictability and affordability (while addressing City cost recovery) to encourage businesses to follow requisite processes.
Special Events
The City of Santa Paula Parks and Recreation Department receives an average of twenty-five special event permits annually requiring the use of City facilities, including parks, streets and buildings. A special event is any scheduled or planned non-emergency event occurring within the City of Santa Paula which can reasonably be expected to require increased or modified emergency or non-emergency services or support by the City government and personnel.
Special events are regulated to ensure the applicant provides the required infrastructure and safety measures to ensure public health and safety and mitigate impacts to the community.
Applications are required for all events that plan to utilize City facilities. Events are classified in two categories:
Major Event - An activity which entails more than 50 participants and/or spectators, and which significantly affects City personnel, resources, services, facilities, traffic circulation, or impacts the community and/or its citizens.
Minor Event - An activity for a small and/or specialized group of less than 50 participants and/or spectators that does not add special burden on City personnel, resources, services, facilities, traffic circulation, or impacts the community and/or its citizens.
Individuals and organizations wishing to hold an event in City-owned facilities or on public rights-of-way are required to obtain a Special Event Permit from the City’s parks and Recreation Department. Review of the Special Event Permit application by City Departments and Ventura County Fire Protection is required before approval of an event. The application review ensures the event will be held safely with minimum disruption to the surrounding community; and that the cost of the event is borne by its sponsors.
In accordance with California Constitution. art. XI, § 7, the City may charge reasonable fees and charges for certain municipal services under its authority. As noted in Section 36.19 of the Santa Paula Municipal Code, the City Council intends to recover 100% of all costs associated with providing municipal services.
City Cosponsored Events
The City of Santa Paula currently has several annual community events in which the City partners with local organizations. In an effort to support activities and events that are important 77 to the community the City has provided funding support for specific events. Annual events that have been supported by the City include: Labor Day Parade, Christmas Parade, Fourth of July, and Veteran’s Recognition Events.
ANALYSIS:
Home Occupancy Permit Fee Amendment
The Home Occupancy Fee was originally assessed as a five-year permit. As a result the fee was calculated at $581. However, in researching the actual staff resources required to process the permit, staff is recommending the fee be reestablished at $129.00 for the five-year permit. The fully burdened hourly rate for one-hour of Community & Economic Development staff time. Additionally, businesses will be required to annually obtain a business license. The review of a Home Occupancy Permit requires staff to determine that the operation does not detrimentally impact the residential neighborhood location and that it complies with the performance standards outline in SPMC §16.230.060. Should there be any questions or concerns regarding the compatibility of the business use in a residential neighborhood the business operation will be inspected by Building & Safety staff to ensure compliance with the Municipal Code at an additional fee of $109.00, as identified in the 2017 Fee Schedule.
Special Event Fee Amendment
On June 6, 2011 the City Council adopted Resolution No 6735 (Attachment B) which approved the fees for special events based on the fully burdened hourly rates for personnel.
The Resolution in Section 2 states that the fees are to be automatically adjusted annually to adjust the costs in administering City services. Staff reviewed the fees for special events, the fully burdened hourly rates and the resources required to process special event permits. As a result, the following amendments to fees are recommended.
Major Event increase from $250.00 to $346.00
The review and processing of a Major Special Event application requires a minimum of onehour of fully burdened hourly rate for each of the following departments: Parks & Recreation ($130.00), Finance ($87.00) and Community & Economic Development ($129.00). In addition applications are routed and reviewed by the Police Department, Public Works and Ventura County Fire.
Minor Event increase from $63.00 to $130.00.
The review and processing of a Minor Special Event application requires minimum of onehour of fully burdened hourly rate by staff from the: Parks & Recreation Department ($130.00).
Late application fee (less than 60-days) $87.00
In an effort to process complete applications, given a shorter time schedule and the potential conflicts with other events and activities ,the fully burdened hourly impact will be a minimum of one-hour of Finance Department staff time to ensure business licenses and application forms are complete prior to the event.
Late application fee (less than 30-days) $217.00
In an effort to process complete applications, given a shorter time schedule and the potential conflicts with other events and activities ,the fully burdened hourly impact will be a minimum of one-hour each of Finance Department, and Parks & Recreation staff time to ensure business 78 licenses and application forms are complete prior to the event.
City Cosponsored Events Annual Process and Funding Review The City of Santa Paula has several annual events that are cosponsored by the City and local organizations. Pursuant to SPMC § 30.06 a resolution to authorize the use of municipal funds must be formally requested of the City Council. Currently the City participates in partnerships with community organizations to conduct the Labor Day Parade, the Holiday Parade and several Veterans' Recognition Events. In order to identify the scope of each event, outline the related impacts to municipal resources and determine the level of City support, staff recommends that applications for events requesting City financial support be submitted on or before March 1 of each year for City Council's review and consideration for the following fiscal year budget. Doing so will allow the Council to weigh the financial impacts to the City of such sponsorships in time to inform event organizers of the City's level of support prior to annual events.
STRATEGIC PLAN:
This action is consistent with the Council's adopted Strategic Plan under A.3:
A. Arts Culture and Entertainment
3. Establish funds and formalize transparent policies and procedures for City event support (street fairs, parades, events, concerts, etc.).
The identification of clear fee structures and application guidelines will provide clarity of costs and processes for special event applicants and move the City closer to completing this objective.
FISCAL IMPACTS:
Updates to fees will assist in the cost recovery for review and management of special events.
The goal of the amendments is to ensure cost recovery for the expenditures of staff time and City resources. The following fees amendments are recommended:
Special Event Fees
Late Application Fee (less than 60-days) $87.00
Late Application Fee (less than 30-days) $217.00
Home Occupancy Fees
Home Occupancy Permit 129.00
OPTIONS:
The following alternatives to Staff’s recommendation are available to the City Council:
1. Continue the hearing in order to obtain further information;
2. Approve Staff’s recommendation to adopt Resolution No. 7390, but with amendments to the proposed ordinance; or
3. Deny Staff’s request and direct staff to prepare a Resolution of Denial.
ATTACHMENTS:
79 ATTACHMENT A Resolution No. 7390 (fee amendments)-c1.docx ATTACHMENT B Resolution No. 6735 (Establishment of Special Event Fees).pdf ATTACHMENT C Fully Burdened Hourly rates.docx
80 ATTACHMENT A
RESOLUTION NO. 7390
A RESOLUTION ESTABLISHING FEES FOR SPECIAL EVENTS AND BUSINESS
HOME OCCUPATION IN ACCORDANCE WITH SANTA PAULA MUNICIPAL CODES § 115 SPECIAL EVENT PERMITS AND §16.230 HOME OCCUPATION PERMITS BE IT RESOLVED by the Council of the City of Santa Paula as follows:
SECTION 1: The City Council finds as follows:
A. The City Council may establish fees for services under various provisions of California law including, without limitation, Business & Professions Code § 16000; Government Code §§ 36936.1, 43000, 54344, 65104, 65456, 65874, 65909.5, 65943, 66013, 66014, 66451.2; and Health & Safety Code §§ 510, 17951, 17980.1, 19852.
B. The fees established herein represent the estimated costs of administrating Special Events and for Business Home Occupation for permittees including, without limitation, actual staff time and overhead based on the average hourly salary of the staff enforcing the Santa Paula Municipal Code as more completely set forth in attached Exhibit "A," which is incorporated by reference ("Calculations").
C. Pursuant to Government Code § 66016, the City made data available regarding the cost, or estimated cost, of providing services for various fees ten (10) days before the public hearing held on March 16 2022.
D. On March 16 2022, the City Council heard public testimony and considered evidence in a public hearing held and noticed in accordance with Government Code § 66016.
E. At the recommendation of the City Manager, the City Council believes that it is in the public interest to establish the recommended fees to recover the City's costs.
F. The Fees attached as Exhibit "A" and incorporated into this Resolution as if fully set forth, are approved and adopted.
SECTION 2: The City Council does hereby set fees for the use of the Home Occupations and Special Events permits as set forth in Exhibit A. The City Council hereby determines that the fees established herein do not exceed the reasonable cost of providing the service.
SECTION 3: Unless otherwise revised, the fees established by this Resolution will be automatically adjusted on an annual basis at the beginning of each fiscal year based on the average percentage change over the previous calendar year to the City's costs for administering the services set forth in Exhibit "A." The first fee adjustment cannot be made before a minimum of ten (10) months after the effective date of this Resolution. 81 SECTION 4: This Resolution is exempt from review under the California Environmental Quality Act (Cal. Pub. Res. Code §§ 21000, et seq.; "CEQA") and CEQA regulations (Cal.
Code Regs. tit. 14, §§ 15000, et seq.) because it establishes, modifies, structures, restructures, and approves rates and charges for meeting operating expenses; purchasing supplies, equipment, and materials; meeting financial requirements; and obtaining funds for capital projects needed to maintain service within existing service areas. This Resolution, therefore, is categorically exempt from further CEQA review under Cal. Code Regs. tit. 14, § 15273.
SECTION 5: This Resolution will become effective immediately upon adoption and will remain effective unless repealed or superseded.
SECTION 6: The City Clerk will certify to the passage and adoption of this Resolution; will enter the same in the book of original Resolutions of said City; and will make a minute of the passage and adoption thereof in the record of proceedings of the City Council of said City, in the minutes of the meeting at which the same is passed and adopted.
PASSED AND ADOPTED this 16th day of March 2022.
______________________________
Jenny Crosswhite, Mayor
______________________________
Julie Latshaw, City Clerk
APPROVED AS TO CONTENT:
_______________________________
Dan Singer, City Manager
APPROVED AS TO FORM:
82 _______________________________
John Cotti, City Attorney
83 EXHIBIT A
ADDED SPECIAL EVENT COSTS CHARGE RATE
APPLICATION FEES ONE-TIME FEE
Late Application Fee (less than 60-days) 87.00
Late Application Fee (less than 30-days) 217.00
BUSINESS HOME OCCUPANCY COSTS
Home Occupancy Permit 129.00
84 85
86 87
88 ATTACHMENT B
FULLY BURDENED HOURLY RATE SCHEDULE
FROM
CITY OF SANTA PAULA MASTER FEE SCHEDULE
JANUARY 3, 2017
89 To: Honorable Mayor and Members of the City Council
From: James Mason, Community & Economic Development Director Subject:
AMENDMENT TO CHAPTER 16.44 OF THE SANTA PAULA MUNICIPAL
CODE TO ALLOW ELECTRIFIED SECURITY FENCES IN
COMMERCIAL-LIGHT INDUSTRIAL (C-LI), LIGHT INDUSTRIAL (LI), AND INDUSTRIAL (I) ZONES.
Date: March 16, 2022
Agenda Item: 11.B
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
That the City Council:
1. Open the public hearing;
2. Receive testimonial and documentary evidence; and
3. Adopt an ordinance amending Chapter 16.21 of the Santa Paula Municipal Code (“SPMC”) to permit Electrified Security Fences within the Commercial-Light Industrial (CLI), Light Industrial (LI), and Industrial (I) zoning districts, subject to specified restrictions; and finding the ordinance exempt from CEQA.
Presented by: James Mason, Community & Economic Development Director BACKGROUND:
The proposed Development Code text amendments would allow the use of electrified security fencing within the Industrial, Light-Industrial and Commercial-Light industrial Zoning Districts (I, L-I, C-LI).
These Development Code Amendments are being initiated by the Community and Economic Development Director as authorized by Chapter 16.208 Development Code Amendments of the Santa Paula Municipal Code (SPMC). Pursuant to findings herein, this request is made on the basis that physical, economic, and/or other conditions in the city have changed over time, thereby necessitating provisions to allow for amendments to the Development Code text in accord with the procedures outlined in Chapter 16.208.
This chapter stipulates that Development Code text amendments may be adopted by ordinance of the City Council acting on a recommendation from the City Planning Commission. On February 22, 2022 the Planning Commission adopted Resolution No. 3831 recommending that the City Council adopt amendments to Chapter 16.21 of the Santa Paula 90 Municipal Code. If the City Council adopts the proposed ordinance, Electrified Security Fences would be permitted only within the Commercial-Light Industrial (C-LI), Light Industrial (LI), and Industrial (I) zoning districts and must comply with the standards and regulations contained in new subsection (A) of Section 16.44.030. Of the more significant changes, the ordinance, consistent with state law, would replace the term “Electric Fence” with the term “Electrified Security Fence” is defined as follows:
" Electrified Security Fence " means any fence, barrier or enclosure partially or totally surrounding a building, field or yard, carrying any electrical pulse or charge through any part, section or element thereof. The Electrified Security Fences may, but is not required to, interface with a monitored alarm device in a manner that enables the alarm system to transmit a signal intended to summon the business, a monitoring service, or both the business and a monitoring service, in response to an intrusion or burglary.
BACKGROUND:
The Santa Paula Municipal Code has historically prohibited the use of electrified fences within city limits. However, due to vandalism and security concerns raised by community businesses in industrial zoning districts, staff has initiated these amendments to the Municipal Code to permit electrified fencing in alignment with approved language in existing state law (Civil Code Section 835, as amended by Assembly Bill 358 (“AB 358”)).
Civil Code Section 835 prohibits a property owner from installing and operating an “electrified security fence” in a residential zone or if prohibited by local ordinance.
AB 358 amended Civil Code Section 835, effective January 1, 2022, to clarify that an “electrified security fence may interface with a monitored alarm device in a manner that enables the alarm system to transmit a signal intended to summon the business, a monitoring service, or both the business and a monitoring service, in response to an intrusion or burglary”.
The purpose of this code amendment is to give businesses within industrial zoning districts the ability to utilize best practices in property security systems to secure and protect their businesses, assets and employees. In addition, the use of monitored electrified barriers allows the business owner/property owner to self-monitor and contact public safety when necessary, which will reduce police department responses to false alarms.
ANALYSIS:
Amendments to the Development Code must demonstrate consistency with the Santa Paula 2040 General Plan Land Use and the City’s development policies. 2040 GENERAL PLAN.
The City Council adopted the General Plan 2040 Update in March 2020. The proposed text amendment is consistent with the following elements, policies, and objectives of the General Plan.
The proposed ordinance is consistent with the goals, policies, and objectives of the 2040 General Plan. Consistent with Police Services and Utilities Policy PSU 1.1 (Police protection) and Economic Development Policy EDD 3.1 (Monitor fiscal conditions), the proposed ordinance is intended to conserve law enforcement resources by deterring property crime and 91 promote the maintenance and development of industrial and mixed commercial uses. Nothing in the proposed ordinance would create an inconsistency with the goals, policies and objectives of the 2040 General Plan.
The proposed ordinance will not adversely affect surrounding properties because the ordinance would prohibit Electrified Security Fences in residential zones and require any permitted fence to be completely surrounded by a non-electric perimeter fence with no vegetation between the two fences. Additionally, Electrified Security Fences must be located at least 10 feet from any street property line or five feet from a separated sidewalk, at least 6 feet from property on which a residential use is permitted, and at least 25 feet from an outdoor area used for storage, use, or handing of hazardous materials. Electrified Security Fences will only be energized during hours when the general public has no legal access to the protected property.
The proposed ordinance promotes public health, safety, and general welfare and serve the goals and purposes of the General Plan by enhancing the security of industrial and commercial facilities, thereby attracting more outside and long term economic investment in the City and improving the health, safety, and welfare of all residents.
ENVIRONMENTAL REVIEW (CEQA):
The City reviewed the proposed ordinance’s environmental impacts pursuant to the California Environmental Quality Act (Public Resources Code §§ 21000, et seq., “CEQA”), the regulations promulgated thereunder (14 California Code of Regulations §§15000, et seq., the “CEQA Guidelines”), and the City’s Environmental Guidelines (“Santa Paula Guidelines”).
CEQA Guidelines and Santa Paula Guidelines collectively referred to as “CEQA Regulations”.
State CEQA Guidelines sections 15378(b)(2) and 15378(b)(5) provide that ongoing administrative activities and organizational or administrative activities of governments that will not result in direct or indirect physical changes in the environment do not constitute a “project” as defined by the State CEQA Guidelines (Cal. Code Regs., tit. 14, § 15000 et seq.).
Alternatively, even if the proposed text amendments were a “project” they are exempt from CEQA under CEQA Guidelines section 15601(b)(3)’s “common sense” rule that CEQA only applies to projects that have the potential for causing a significant effect on the environment.
Here, it can be seen with certainty that there is no possibility that the proposed permitted construction and operation of electrified security fences in the C-LI, L-I, and I zones will have a significant effect on the environment.
PUBLIC NOTIFICATION:
A notice of public hearing was published in the Santa Paula Times in compliance with state law.
STRATEGIC PLAN:
None
FISCAL IMPACTS:
The installation and operation of electric fencing will require inspections that will be included in the standard development project Building & Safety and Fire Department inspection. The applicant is required to submit annual verification of inspection by a licensed electrician to the 92 City.
OPTIONS:
The following alternatives to Staff’s recommendation are available to the City Council:
1. Continue the hearing in order to obtain further information;
2. Approve Staff’s recommendation to adopt Ordinance No. 1314, but with amendments to the proposed ordinance; or
3. Deny Staff’s request and direct staff to prepare a Resolution of Denial.
ATTACHMENTS:
ATTACHMENT A: Ordinance No. 1314 and code text amendments (Electrified Fences Ord.)FINAL-c1.docx
ATTACHMENT B: ELECTRIC SECURITY FENCE APPLICATION draft.docx 93 ATTACHMENT A
ORDINANCE NO. 1314
ALLOWANCE OF ELECTRIC SECURITY FENCING IN
INDUSTRIAL ZONES (C-LI, L-I AND I)
94 ORDINANCE NO. 1314
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA
PAULA AMENDING CHAPTER 16.44 OF THE SANTA PAULA
MUNICIPAL CODE TO ALLOW ELECTRIFIED SECURITY FENCING IN
THE COMMERCIAL-LIGHT INDUSTRIAL (C-LI), LIGHT INDUSTRIAL (LI), AND INDUSTRIAL (I) ZONES; AND FINDING THE ORDINANCE EXEMPT
FROM CEQA
The City Council of the City of Santa Paula does ordain as follows:
SECTION 1: The City Council finds and declares that:
A. Existing state law (Civil Code Section 835) prohibits a property owner from installing and operating an “electrified security fence” in a residential zone or if prohibited by local ordinance;
B. Section 16.44.030 of the Santa Paula Municipal Code (SPMC) currently prohibits electrified fences anywhere in the City;
C. Assembly Bill 358 (“AB 358”) amends existing state law, effective January 1, 2022, to clarify that an “electrified security fence may interface with a monitored alarm device in a manner that enables the alarm system to transmit a signal intended to summon the business, a monitoring service, or both the business and a monitoring service, in response to an intrusion or burglary”;
D. The City has seen a recent increase in the theft of equipment, vehicles, and other property stored at industrial sites; and
E. Given that the permitted types of fences appear to be inadequate to prevent trespassing and other property crimes, it is in the public interest to adopt an ordinance to no longer prohibit electric fences in the City’s industrial zones, subject to certain restrictions.
SECTION 2: General Plan Findings – Pursuant to SPMC § 16.208.050, the City Council makes the following findings:
A. The proposed ordinance is consistent with the goals, policies, and objectives of the 2040 General Plan. Consistent with Police Services and Utilities Policy PSU
1.1 (Police protection) and Economic Development Policy EDD 3.1 (Monitor fiscal conditions), the proposed ordinance is intended to conserve law enforcement resources by deterring property crime and promote the maintenance and development of industrial and mixed commercial uses. Nothing in the proposed ordinance would create an inconsistency with the goals, policies and objectives of the 2040 General Plan.
95 B. The proposed ordinance will not adversely affect surrounding properties because the ordinance would prohibit electric fences in residential zones and require any electric fence to be completely surrounded by a non-electric perimeter fence with no vegetation between the two fences. Additionally, electric fencing must be located at least 10 feet from any street property line or five feet from a separated sidewalk, at least 25 feet from property on which a residential use is permitted, and at least 25 feet from an outdoor area used for storage, use, or handing of hazardous materials. Electrified security fences will only be energized during hours when the general public has no legal access to the protected property.
C. The proposed ordinance promotes public health, safety, and general welfare and serve the goals and purposes of the General Plan by enhancing the security of industrial and commercial facilities, thereby attracting more outside and long term economic investment in the City and improving the health, safety, and welfare of all residents.
SECTION 3: Environmental Assessment. The City reviewed the proposed ordinance’s environmental impacts pursuant to the California Environmental Quality Act (Public Resources Code §§ 21000, et seq., “CEQA”), the regulations promulgated thereunder (14 California Code of Regulations §§15000, et seq., the “CEQA Guidelines”), and the City’s Environmental Guidelines (“Santa Paula Guidelines”). CEQA, CEQA Guidelines and Santa Paula Guidelines collectively referred to as “CEQA Regulations”.
State CEQA Guidelines sections 15378(b)(2) and 15378(b)(5) provide that ongoing administrative activities and organizational or administrative activities of governments that will not result in direct or indirect physical changes in the environment do not constitute a “project” as defined by the State CEQA Guidelines (Cal. Code Regs., tit. 14, § 15000 et seq.). Alternatively, even if the proposed text amendments were a “project” they are exempt from CEQA under CEQA Guidelines section 15601(b)(3)’s “common sense” rule that CEQA only applies to projects that have the potential for causing a significant effect on the environment. Here, it can be seen with certainty that there is no possibility that the proposed permitted construction and operation of electrified security fences in the C-LI, L-I, and I zones will have a significant effect on the environment.
SECTION 4: Section 16.44.030 of the Santa Paula Municipal Code, entitled “Electric, Barbed Wire, and Razor-Edged Fences,” is hereby amended in in its entirety to read as follows:
“(A)Electrified Security Fences. Electrified Security Fences are permitted only within the C-LI, LI, and I zones and must comply with the standards and regulations contained in this Subsection. In the event of a conflict between this Subsection and any other provision of this Code, the provisions of this Subsection shall control.
96 (1) Definitions. For the purposes of this Subsection, the following definitions shall apply unless the context clearly indicates or requires a different meaning. “Barrier” means any “fence” or “wall” as those terms are defined in this Code. “Electrified Security Fence" means any fence, barrier or enclosure partially or totally surrounding a building, field or yard, carrying any electrical pulse or charge through any part, section or element thereof. The Electrified Security Fence may, but is not required to, interface with a monitored alarm device in a manner that enables the alarm system to transmit a signal intended to summon the business, a monitoring service, or both the business and a monitoring service, in response to an intrusion or burglary.
(2) Application.
Electrified Security Fences may be erected around the entire perimeter of the property.
It is unlawful for any person to install, maintain, or operate an Electrified Security Fence in violation of this Subsection.
(3) Conflicts with other laws and standards.
In the event of any conflict between this Subsection and any state or federal law, rule or regulation, the requirement that establishes the higher standard of safety or accessibility shall govern. Failure to comply with such standard shall be a violation of this Subsection.
To the extent that the construction of an Electrified Security Fence does not conflict with the requirements of this Subsection, such fence shall be constructed and installed in conformance with the specifications set forth in IEC Standard 60335-2-76.
(4) Electrified Security Fence installation permit.
(a) The installation of an Electrified Security Fence requires an approved installation permit. Installation permit applications shall be filed with the Building Division. Installation permit applications must include the following:
1. Site plan indicating the location of the Electrified Security Fence and perimeter fence.
2. Schematics and load calculations indicating and/or displaying the:
a. Location of the power source;
b. Materials used for the fence construction;
c. Location of the regulating and monitoring equipment, and 97 d. Location of emergency access, Key Box and cut-off switch.
(b) The installation permit application fee shall be set by resolution of the City Council. The fee shall be paid by the applicant at the time of filing the application.
(5) Electrified Security Fence operational permit.
(a) The operation of an Electrified Security Fence requires a valid operational permit. Operational permit applications shall be filed with the Community and Economic Development Department.
(b) An operational permit is valid for one (1) year. The date of the expiration of the operational permit shall be provided to the applicant after the approval of the permit.
(c) A written application shall be submitted to the Community and Economic Development Department on forms furnished for that purpose.
No applications may be accepted unless and until the permit fee has been paid. Operational permit applications must include the following:
1. The name and address of the establishment and business telephone number of the applicant, the name and titles and twentyfour-hour emergency telephone numbers of the primary response person and an alternate.
2. The name and address of the person who owns the establishment and, if different, the name and address of the person(s) who operate the establishment or any portion thereof.
3. Certification from a qualified person with expertise in evaluating the safety of electric fences stating that the Electrified Security Fence installation is currently operating in conformity with its safety requirements.
4. A notarized statement by the applicant stating that the Electrified Security Fence is in compliance with the requirements of this Subsection.
5. Proof of liability insurance, as required by this Subsection. (d) Operational permit application fees shall be set by resolution of the City Council.
(e) Renewal applications and applications filed following permit revocation shall include all of the information required by this Subsection. 98 (B) Permit revocation.
(1) If an Electrified Security Fence is found to not be in compliance with this Subsection, the Community and Economic Development Department may revoke the operational permit.
(2) Upon permit revocation, the Electrified Security Fence applicant shall receive a statement from the Community and Economic Development Department describing the reason for the revocation.
(3) Unless otherwise provided by this Subsection, after revocation an applicant may apply for a new operational permit.
(C) Appeals.
An interestedperson may appeal to the City Council a decision of the Community and Economic Development Department made pursuant to this Subsection. (D) Liability insurance.
The owner of the Electrified Security Fence and the property owner(s), if different, are each required to carry General Liability Insurance in a minimum amount of one million ($1,000,000) dollars in the aggregate. Further, proof of insurance shall be required as a condition precedent to secure an operational permit as required in this Subsection and upon each subsequent annual renewal. A failure to maintain proof of insurance for the permitted year shall be grounds for denial or revocation of the operational permit. Proof of minimum coverage amounts maintained for the preceding year must be provided with each application for operational permit renewal. Failure to maintain coverage for the entire previous year shall result in a denial of any permit renewal for five (5) years from the date of operational permit expiration or revocation. Proof of insurance shall be underwritten by an organization licensed and authorized to do business in the State of California. (E) Electrification
(1) No Electrified Security Fence shall be installed or operated with a power source other than a storage battery not exceeding twelve (12) volts direct current, charged primarily with a solar panel; provided, however, in case of inclement weather or other conditions that inhibit the ability of the solar panel to fully recharge the battery, a charging device may be utilized for such purpose, if connected in a manner that ensures that the charging device cannot provide a source of power directly to the fence. In no case shall an Electrified Security Fence be connected to any other electric power source.
(2) AC current shall not be used to energize any Electrified Security Fence. (3) All ground system cables shall be properly insulated. 99 (4) The controller ground system shall not be connected to any plumbing systems in or out of use and shall be at least fifty (50) feet from other utility and buried water pipes.
(5) The fence controller ground wire shall not touch any buildings on site. (6) The fence controller and its ground system shall be at least fifty (50) feet away from radio and buried telephone wires.
(7) A lightning diverter (commonly referred to as a lightning arrestor) shall be installed between the fence and the fence controller. (8) A cut-off switch shall be installed capable of disconnecting the fence from the controller in case of emergencies, electrical storms, etc. A Key Box shall be installed to provide secure access to the cut-off switch. The Key Box shall be illuminated to a minimum one (1) foot candle. (9) Each energizer shall be connected to its own ground system and must not be connected to any other ground system(s).
(10) Two (2) or more energizers shall not be connected to the same fence unless the use of multiple energizers does not increase the overall charge transmitted on the fence and adequate access is provided to the cut-off switch for each energizer.
(11) All cabling (i.e. wire) and connectors shall be of the same material (e.g. steel, copper, etc.).
(F) Perimeter barrier.
No Electrified Security Fence shall be installed or operated unless it is completely surrounded by a non-electric perimeter barrier that is not less than six (6) feet in height. The perimeter barrier shall be separated from the Electrified Security Fence as specified in Annex CC of IEC Standard 60335- 2-76, with the exception of gate openings. The area between the perimeter barrier and the Electrified Security Fence shall be kept clear of landscaping, shrubbery, and other fences or material of any kind. The lowest part of the perimeter barrier shall be constructed to follow the natural terrain to prevent penetration of the perimeter barrier at ground level. No part of a perimeter barrier shall be allowed to be in contact with the Electrified Security Fence.
Perimeter barriers shall be one of the following: a wood privacy fence, a chain link fence with wood or plastic slats inserted into each weave of the fence, wrought iron with approved steel mesh installed between rungs, masonry wall, or an equivalent perimeter barrier.
(G) Location.
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(1) The Electrified Security Fence must be located at least 10 feet from any street property line or 5 feet from a separated sidewalk. (2) Electrified Security Fences are prohibited for use on property zoned exclusively residential. When abutting a property zoned to allow a residential use, exclusively or not, a perimeter barrier consisting of a minimum six (6) foot high solid wooden fence or block wall shall require a minimum twelve (12) inch setback for the electrified security fence. Any other perimeter barrier proposed adjacent to a property zone exclusively residential is required to have an approved mesh installed, as reviewed and approved by the Community and Economic Development Department, as a secondary protective barrier, be a minimum of six (6) feet in height, and require a minimum twelve (12) inch setback for an Electrified Security Fence.
(3) Electrified Security Fences are prohibited within twenty-five (25) feet of any outdoor area utilized for the storage, use, or handling of Hazardous Materials as defined in the 2019 California Fire Code.
(H) Height.
An Electric Fence shall be not less than eight (8) feet in height. (I) Signage.
Electrified Security Fences shall be clearly identified by warning signs. The warning signs shall conform to the following requirements:
(1) All warning signs shall include text that reads: "Warning Electric Fence". The text shall be printed in English and Spanish. All lettering shall be a minimum of one (1) inch high.
(2) The size of the warning signs shall be a minimum of four (4) inches by eight (8) inches and be viewable from both the interior and exterior of the protected property.
(3) The warning signs shall consist of a yellow background with black inscriptions and must be kept in good condition to ensure visibility. (4) There shall be a minimum of one (1) warning sign posted on the Electrified Security Fence every thirty (30) linear feet. The signs shall be visible to a person standing outside the perimeter barrier. (J) Hours of activation.
An Electrified Security Fence shall only be energized during the hours when the general public does not have legal access to the protected property and shall be maintained by an automatic timer.”
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SECTION 5. Upon the effective date of this Ordinance, the provisions hereof shall supersede any inconsistent or conflicting provisions of the Santa Paula Municipal Code.
SECTION 6. If any section, subsection, subdivision, sentence, clause, phrase, or portion of this Ordinance for any reason is held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Ordinance. The City Council hereby declares that it would have adopted this Ordinance, and each section, subsection, subdivision, sentence, clause, phrase, or portion thereof, irrespective of the fact that any one or more sections, subsections, subdivisions, sentences, clauses, phrases, or portions thereof be declared invalid or unconstitutional.
SECTION 6. The City Clerk shall certify as to the passage and adoption of this Ordinance and shall cause a summary thereof to be published within fifteen (15) days of the adoption and shall post a certified copy of this Ordinance, including the vote for and against the same, in the Office of the City Clerk, in accordance with Government Code Section 36933.
PASSED, APPROVED, AND ADOPTED this 16th day of March, 2022. ________________________________
Jenny Crosswhite, Mayor
ATTEST:
______________________
Julie Latshaw, City Clerk
Approved as to form by:
___________________________
John Cotti, City Attorney
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ATTACHMENT B
DRAFT
ELECTRIC FENCE
APPLICATION
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ELECTRIC FENCE APPLICATION
Fences must be inspected annually by a licensed electrician and filed with the City on or before December 15.
CONTRACTOR NAME: ________________________________________________________________ CONTACT PERSON: ________________________________ TITLE: __________________________ CONTRACTOR ADDRESS: ____________________________________________________________ CITY: _____________________________ STATE: _______________________ ZIP: _____________ TEL#: _____________________ FAX#: _______________ Email: ______________________________ Will the contractor retain ownership & maintenance responsibility of the electrified fence? Yes No If not, who will have ownership & maintenance responsibility? _____ Property Owner _____ Business PROPERTY OWNER: __________________________________________________________________ CONTACT PERSON: ________________________________ TITLE: __________________________ MAILING ADDRESS: __________________________________________________________________ CITY: _____________________________ STATE: _______________________ ZIP: _____________ TEL#: _____________________ FAX#: __________________ Email: __________________________ NAME OF BUSINESS (being secured): _____________________________________________________ CONTACT PERSON: ________________________________ TITLE: __________________________ MAILING ADDRESS: __________________________________________________________________ CITY: _____________________________ STATE: _______________________ ZIP: _____________ TEL#: _____________________ FAX#: __________________ Email: __________________________ BUSINESS LOCATION: ________________________________________________________________ DAYS / HOURS BUSINESS OPEN: ______________________________________________________ Application materials required:
Completed application form
Application fee
Site sketch, drawn to scale, identifying the location of the electrified fence, non-electrified perimeter fence, gates, charging equipment, Knox box and warning signs. The distance between the electrified fence and perimeter fence shall also be shown.
Plan showing the height of the electric fence. (Show any changes in height) Plan showing the height and materials of the non-electrified perimeter fence. Specifications for the fence electrification (See Section 16.44 Santa Paula Municipal Code) Information on Knox box model that will be installed
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REQUIRED CONTRACTOR’S SIGNATURE
I, ________________________________, as, _____________ of_________________________, Name Title Company Name
being first duly sworn, affirm and say that the information contained in this application is correct, that I have read the operation restrictions listed above and agree to abide by the regulations of the City of Santa Paula. __________________________________ ________________
Contractor signature Date
_________________________________
Print Name
Notarization for Contractor’s Signature
State of _____________________
County of ___________________
The foregoing instrument was acknowledged before me this _____, day of __________, 20____, by ___________________________________, who is personally known to me or has produced _________________________________ as identification and who did / did not take an oath.
NOTARY PUBLIC
_____________________________ _____________________________ Signature Print Name
Commission No.: ____________________ Commission Expires: __________________ 105
REQUIRED ELECTRIFIED FENCE OWNER’S SIGNATURES/AFFIRMATIONS:
I, ________________________________, as, _____________ of _________________________, Name Title Company Name
being first duly sworn, affirm and say that I have read the operation restrictions listed above and agree to abide by the regulations of the City of Santa Paula.
_________________________________ ________________
Electrified Fence Owner signature Date
_________________________________
Print Name
Notarization for Electrified Fence Owner’s Signature State of _____________________ County of ___________________ The foregoing instrument was acknowledged before me this _____, day of __________, 20____, by ___________________________________, who is personally known to me or has produced _________________________________ as identification and who did / did not take an oath.
NOTARY PUBLIC
_____________________________ _____________________________ Signature Print Name
Commission No.: ____________________ Commission Expires: __________________. 106
REQUIRED PROPERTY OWNER SIGNATURE:
I, ________________________________, as, _____________ of _________________________, Name Title Company Name
being first duly sworn, affirm and say that I am the owner of the property described above. _________________________________ ________________
Property Owner signature Date
_________________________________
Print Name
Notarization for Property Owner’s Signature
State of _____________________ County of ___________________ The foregoing instrument was acknowledged before me this _____, day of __________, 20____, by ___________________________________, who is personally known to me or has produced _________________________________ as identification and who did / did not take an oath.
NOTARY PUBLIC
_____________________________ _____________________________ Signature Print Name
Commission No.: ____________________ Commission Expires: __________________ 107
To: Honorable Mayor and Members of the City Council
From: Christy Ramirez, Finance Director
Subject: iBANK LOAN APPLICATION
Date: March 16, 2022
Agenda Item: 12.A
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
Staff recommends that the City Council:
1. Authorize the City Manager or designee to pursue three (3) million dollars in financing for street improvements associated with the Harvard Boulevard Water and Sewer Pipeline Replacement and Paving Rehabilitation Project and City-Wide Pedestrian Safety Improvements Project, funded by the California Infrastructure and Economic Development Bank (iBank) to be repaid with Measure T funds over the course of ten years.
2. Adopt Resolution 7387 authorizing the submission of an application to the California Infrastructure and Economic Development Bank ("iBank") for financing a capital improvement project, authorizing the incurring of an obligation payable to iBank for the financing of a capital improvement project if iBank approves said application, declaration of official intent to reimburse certain expenditures from the proceeds of an obligation, and approving certain other matters in connection therewith.
Presented by: Christy Ramirez, Finance Director
BACKGROUND:
On December 15, 2021, the City Council approved the plans and specifications for Harvard Boulevard Water and Sewer Pipeline Replacement and Paving Rehabilitation Project (Project). Staff was directed to return to Council with additional information on an iBank loan application via the Infrastructure State Revolving Fund (ISRF) Program in order to fund paving, sidewalk, curb ramp and crosswalk construction costs associated with the Project and crosswalk safety improvement costs, including three locations on Main Street and three locations on SR 150, associated with the City-Wide Pedestrian Safety Improvements Project.
The ISRF Program directly provides low-cost public financing to state and local government entities. ISRF financing is available in amounts ranging from $50,000 to $25 million with loan terms for the useful life of the project up to a maximum of 30 years. Eligible applicants must be located in California and include any subdivision of a local government, including cities, counties, special districts, assessment districts, joint powers authorities and nonprofit 108
organizations sponsored by a government entity.
City staff is currently engaging in discussions with iBank personnel to provide the necessary paperwork needed for their review and subsequent invitation to apply for the program. A template of the full application is included as Attachment A to this report. Staff recommends the City Council adopt the attached resolution which is required prior to taking the project to the iBank Board for approval.
ANALYSIS:
Extensive portions of the City’s streets will be affected by the water and sewer main replacement along Harvard Boulevard, and a comprehensive program of paving rehabilitation is projected to occur in coordination with the completion of water and sewer work. This effort has been identified as occurring in coordination with the required utility work, and associated roadway repairs have been programmed and identified in project plans.
Further investigation and review during the design process identified pedestrian safety improvements that would be required to occur in conjunction with the pavement rehabilitation, which include disabled accessible curb ramps and crosswalk improvements. Current standards for pedestrian and disabled access compliance, together with existing field conditions require the reconstruction of the majority of the pedestrian access ramps at street intersections. These curb ramps were predominantly constructed prior to the passage of the Americans with Disabilities Act (ADA), and thus do not comply with related accessibility standards. Upgrading curb ramps to be accessible is both compliant with state and federal law and consistent with improving pedestrian safety at intersections.
Additional considerations for pedestrian safety and accommodation include the upgrading of the existing lighted crosswalks at Isbell Middle School on Harvard Boulevard, the replacement of a damaged crosswalk beacon at Laurie Lane, and the replacement of existing lighted crosswalks at six (6) other locations in the City. These crosswalk upgrades will utilize Rectangular Rapid Flashing Beacons (RRFBs), which have become the standard for improving pedestrian safety and visibility for drivers. As the City reviews opportunities to improve safety and driver awareness, there is a need for consistency of driver expectation and experience throughout the City and better safety conditions for pedestrians and the traveling public.
STRATEGIC PLAN:
The Project supports the currently adopted Strategic Plan in achieving the following goals:
Economic Development
Objective 10: Create a welcoming environment to attract “drive-by” or “pass-through” traffic by identifying or building out key locations, access points and traffic circle islands where murals, landscaping, wayfinding signage or decorative fencing can be utilized.
The improved roadway surface and safety improvements will potentially attract drive-by and pass-through traffic to visit the Harvard Boulevard business corridor.
The rehabilitation of Harvard Boulevard improves the quality of the visitor experience in this business corridor for drive-by and local resident traffic alike. 109
Infrastructure, Transportation & Mobility
Objective 1: Improve and maintain pedestrian systems through a Sidewalk Maintenance Plan, which includes expanded efforts on annual sidewalk maintenance, repair, and ADA improvements.
The project will provide repairs and upgrades to curb ramps for disabled access throughout the project corridor.
FISCAL IMPACTS:
Traditionally the Measure T Committee has recommended, and Council has adopted a 30% allocation of Measure T funds to Street projects. This amounts to approximately $900,000 of Measure T funds allocated to street projects annually since total Measure T funds have exceeded $3M annually for the past three years.
Assuming both revenues and the allocation percentage of Measure T funds remain consistent over the next 10 years, there would be sufficient funding from the Measure T funds to repay the loan amount which is estimated to be just under $400,000 per year, or less than half of the traditional 30% allocation. Below is a table of projected Measure T Funds.
Measure T Revenue 30% Streets Loan Repayment Remaining Available $3,000,000 $900,000 $390,000 $510,000
The table above includes very conservative revenue projections. Staff has attached an amortization schedule as Attachment B to this staff report to demonstrate the repayment plan.
A ten year repayment plan is strongly recommended as Measure T funds are scheduled to sunset in 2036.
Council had previously asked for clarification on any penalties for paying earlier than 10 years. iBank representatives have clarified that while there is no early payoff penalty, pre-payment is not allowed in the first 10 years. Council also asked for clarification on what asset would be utilized as collateral for the loan. Staff is recommending the use of City Hall for the simplicity of appraisal purposes, assuming the value is returned at $3m.
OPTIONS:
In addition to the recommended action, the Council has available to it the following alternative options:
1. Decline pursuing the iBank Loan financing option and provide staff with additional direction. Such action would delay the remaining capital improvement programs that were temporarily tabled until additional funding was identified.
ATTACHMENTS:
iBank Loan Application and Addendums.pdf
DRAFT Amortization Schedule.pdf
Resolution No. 7387 iBank ISRF Loan_3.9.22.docx
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[Name of Applicant] Page 1 11/18/2015
CALIFORNIA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK
INFRASTRUCTURE STATE REVOLVING FUND LOAN PROGRAM
FINANCING APPLICATION
PART I. APPLICANT INFORMATION
1. Legal name of Applicant:
2. Type of Applicant:
City County
General Law Charter State Agency
Assessment District Mello-Roos Community Facilities District Special District Joint Powers Authority
School District Charter School
Other Public Agency, specify: Non-profit Organization, provide name of Governmental Entity Sponsor (required):
3. Mailing address of Applicant:
Street:
City, Zip:
4. Mailing address of the Governmental Entity Sponsor (required only if Applicant is a non-profit organization):
Street:
City, Zip:
5. In what jurisdiction(s) is the Project located?
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6. Contact information:
Applicant:
Name: Title:
Address (if different):
Street:
City, Zip:
Telephone:
Fax:
E-mail:
Governmental Entity Sponsor (required only if Applicant is a non-profit organization):
Name: Title:
Address (if different):
Street:
City, Zip:
Telephone:
Fax:
E-mail:
6. Additional contact information: consultants, advisors, engineers, attorneys, and others affiliated with the project.
Name: Title:
Address:
Street:
City, Zip:
Telephone:
Fax:
E-mail:
Name: Title:
Address:
Street:
City, Zip:
Telephone:
Fax:
E-mail:
PART II. FINANCING REQUESTED
1. Financing amount requested:
2. IBank origination fee included in financing: Yes No
3. Financing term requested: years
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[Name of Applicant] Page 3 11/18/2015
4. Source of financing repayment:
Enterprise Fund, specify:
Special Fund, specify:
General Fund Lease
Assessment District/Mello-Roos Tax
Other, specify:
Special Taxes / Property Related Assessments, specify:
Voter Approved General Obligation Debt
PART III. PROJECT INFORMATION
1. Project Name:
2. Project Location/Address:
Street:
City, Zip:
3. Project Category (please reference IBank Criteria, Priorities, and Guidelines Document) City Street County Highway
Defense Conversion Drainage and Flood Control
Educational Facility Environmental Mitigation Measures
Military Infrastructure Parks and Recreational Facility Port Facility Power or Communications Facility
Public Safety Facility Public Transit
Sewage Collection and Treatment Solid Waste Collection and Disposal State Highway Water Treatment and Distribution
Industrial, Utility, and Commercial Educational, Cultural, and Social
4. Detailed description of Project. (An environmental report, such as CEQA, capital improvement plan or feasibility study, or other such reports containing a detailed description of the Project. If the funding request is limited to a portion of the project, please identify as appropriate. Attach as Exhibit 1.)
Type of Permit Date Submitted Date Received Expiration Date 113
[Name of Applicant] Page 4 11/18/2015
5. Complete the attached Project Sources and Uses of Proceeds Table as Exhibit 2. Attach cost estimates, bids, and construction contracts, if available. [Label and attach as Exhibits 2a, 2b, 2c, etc.] Attachment: Yes No
6. Provide documentation demonstrating commitment(s) for Project funding sources other than IBank’s, such as resolutions, commitment letters, grant agreements, loan agreements, contracts, etc. [Label and attachment as Exhibit 3—if multiple documents, label and attach as Exhibits 3a, 3b, 3c, etc.] Attachment: Yes No
7. Is land acquisition a component of the Project?
No
Yes Provide a copy of the purchase agreement as Exhibit 4. Include a description of the land acquired or to be acquired (current owner, address, assessor’s parcel number, purchase date or expected purchase date, cost or estimate), and identify the funding source for the land below:
8. Provide a Project timeline as Exhibit 5. Include specific Project milestones such as preliminary engineering report, all required permits, design, engineering, land/right-of-way acquisition, preparation of bid documents, awarding of construction contract, construction start date, construction completion date, and date the project will become operational.
Attachment: Yes No
9. Private Activity
Will any entity, including a governmental entity other than the Applicant, use or directly benefit from any portion of the Project other than as a member of the general public? (For example, will a private entity or a federal agency operate, or lease space in the proposed project?
No
Yes Describe the entity that will use or otherwise benefit from the Project. Provide a copy of any agreement with such private entity, or federal agency. [Label and attach as Exhibit 6]
10. Will the loan finance more than 5% of the private activity costs? No
Yes Explain:
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[Name of Applicant] Page 5 11/18/2015
11. Business Relocation
Will the proposed Project facilitate the relocation of a private sector business from one area of the State to another?
No
Yes Provide a justification to support the move:
12. Non-Profit Applicants
Explain the affiliation between the non-profit and the public entity Sponsor (City, County, State Agency, Special District, JPA, etc.) of the proposed project.
13. Project Impact
A. Describe the economic benefits to the community and/or the State resulting from this project:
B. Provide the following:
1) The total number jobs created and average wage. ___________/__________ 2) The total number of jobs retained and average wage.
___________/__________Describe the environmental impact to the community that will result from this project.
14. Useful Life
Provide evidence of the useful life of the Project. [Label and attach as Exhibit 7] PART IV. FINANCIAL INFORMATION
Note: Information required in this part that was previously provided to IBank need not be resubmitted.
1. Provide complete copies of the five (5) most recent fiscal year-end audited financial statements, if not already provided, as well as applicable revenue projections and cash flows. [Label and attach as Exhibits 8a, 8b, 8c, etc.]
2. Provide the current year’s adopted budget as Exhibit 9.
No
Yes
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[Name of Applicant] Page 6 11/18/2015
3. Are there any events that have occurred since the date of the last financial statement that could materially affect revenues or overall financial condition of the Applicant? No
Yes Explain:
4. In the table below, list all outstanding financing obligations (debts, notes, capital leases, etc.) secured by the source of repayment for the requested financing. Attach as Exhibit 10 one copy of all financing documents (e.g., official statement along with any underlying loan agreements, lease agreements, or indentures, etc.).[Label and attach as Exhibits 10a, 10b, 10c, etc.]
Name of Lender Date of Debt
Outstanding
Balance
(as of )
Maximum
Annual Debt
Service/Lease
Payment
$ $
$ $
$ $
$ $
5. Provide a description of any off-balance-sheet debt obligations, including capital leases and other contractual obligations:
6. Has the Applicant defaulted on any debt or other obligation including, but not limited to, bonds, leases, or loans within the last five years?
No
Yes Specify the date(s) and circumstances:
7. Attach as Exhibit 11 the current Capital Improvement Plan. Explain below any expected Plan for future debt issuance:
8. Does the Applicant have an Inter-fund Transfer Policy? No
Yes Attach a copy of the policy as Exhibit 12.
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PART V. LOAN PROCEEDS
1. Will the loan proceeds pay current staff to perform direct work for the Project? 1 Yes No
2. Will the loan proceeds pay for any general administration or overhead costs? Yes No
3. Have such costs already incurred?
No
Yes Explain:
4. Does the Project include prevailing wages as required by IBank Criteria? Yes No
5. Will loan proceeds finance preliminary costs?
Yes No
A) Are such costs greater than 20% of the total loan amount? Yes No
B) Have any costs already incurred?
No
Yes V Explain: II
PART VI. LEGAL INFORMATION
1. Describe the composition of the Applicant’s governing body, including the number of positions, term, and selection/appointment process:
2. Describe any pending or anticipated litigation and/or contractual disputes that may negatively impact the loan repayment source, or the ability of the Applicant to enter into or repay the IBank loan:
3. Describe any past, present, or potential issues or controversies that may impact the Project:
1 ISRF Loan proceeds cannot be used to pay overtime
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4. For any applicant that is a Charter City, attach as Exhibit 13 the completed Charter City Questionnaire, and a copy of the City’s Charter including all addendums and supplements thereto.
5. For any applicant that is a School District, Special District, or Joint Powers Authority (JPA), provide the statutory citation of formation authority or attach a copy of all formation documents and amendments as Exhibit 14.
No
Yes
6. For any applicant that is a Non-Profit provide as Exhibit 15, a copy of the following:
a. Articles of Incorporation, together with all amendments. b. Certificate of Status/Good Standing.
c. Bylaws, together with all amendments.
d. 501 (c)(3) Determination Letters(s) from IRS, and any related documents and correspondence with/from IRS.
e. All Form 990s for the last three years.
f. All Form 990-Ts for the last three years
g. Capital Campaign brochures, form of pledge cards and related materials, if any.
I acknowledge that:
All information submitted to the California Infrastructure and Economic Development Bank (IBank) is true and correct at the time of submission, and such information does not contain any untrue or misleading statement of a material fact or omit to state any material fact necessary to make the statements contained herein not misleading.
AUTHORIZED SIGNATURE PRINT NAME AND TITLE DATE
Please tell us how you heard about IBank and the ISRF Program. 118
[Name of Applicant] Page 9 11/18/2015
Application Checklist
(Complete and submit with the Financing Application)
IBank
Staff
Use
INDICATE
WHETHER OR
NOT EACH
DOCUMENT IS
ATTACHED TO
THIS
APPLICATION
APPLICATION EXHIBITS
Date
Rec’d
YES NO N/A
Application Signed and Dated
Exhibit 1 Study, Plan, or Other Report with Detailed Project Description
Exhibit 2 Sources and Uses of Proceeds Table
Exhibit 2a Detailed cost estimates, bids, and construction contracts, that support Exhibit. Label each Exhibit a, b, c, etc.
Exhibit 3 Documentation Demonstrating Commitment of Other Project Funding Sources (includes Applicant’s
contribution). Label each Exhibit a ,b, c, etc.
Exhibit 4 Real Estate Purchase Agreement
Exhibit 5 Project Timeline
Exhibit 6 Project Benefit Information
Exhibit 7 Useful Life Exhibit
Exhibit 8 Five (5) Years Audited Financial Statements [and any applicable revenue projections and cash flows]. Label
each Exhibit a, b, c, etc.
Exhibit 9 Current Year Adopted Budget
Exhibit 10 Outstanding Financing Documents. Label each Exhibit a, b, c, etc.
Exhibit 11 Current Capital Improvement Plan
Exhibit 12 Interfund Transfer Policy/Reimbursement Agreement Exhibit 13 Charter City Information and Questionnaire
Exhibit 14 Districts Formation Documents and Amendments Exhibit 15 Non-Profit Applicants Exhibits. Label each Exhibit a, b, c, etc.
119
[Name of Applicant] Exhibit 2 07/16/2015 ver.
Exhibit 2
SOURCES AND USES OF PROCEEDS TABLE
(NOTE: Attach as Exhibit 2a detailed cost estimates, bids, and construction contracts, etc. to support data provided in the table.)
PROJECT USES
PROJECT FUNDING SOURCES
Estimated
Life of the
Project
IBANK [Applicant] Other Other Other TOTAL
Land Acquisition $ $ $ $ $ $
Building
Construction/Renovation $ $ $ $ $ $
Construction Contingency $ $ $ $ $ $
Machinery/Equipment $ $ $ $ $ $
Engineering/Architectural/
Design/Permits/Environmental $ $ $ $ $ $
IBank Origination Fee: $ $ $ $ $ $
Other: $ $ $ $ $ $
Other: $ $ $ $ $ $
TOTAL $ $ $ $ $ $
Please provide the justification in determining the useful life of the Project:
120
Rev. 7/24/2015
CALIFORNIA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK
INFRASTRUCTURE STATE REVOLVING FUND PROGRAM
FINANCING APPLICATION ADDENDUM
GENERAL FUND DEBT
121
[Name of Applicant] Page 1 Rev. 7/24/2015
CALIFORNIA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK
INFRASTRUCTURE STATE REVOLVING FUND PROGRAM
GENERAL FUND FINANCING APPLICATION ADDENDUM
PART I. LEASE INFORMATION
1. Will the Project being financed be the subject of the lease? Yes
No--Describe the facility(ies) to be leased:
Address Use
Year
Built
Square
Feet
Construction
Type
2. Explain the essential services each leased facility provides to the community.
3. Attach a current preliminary title report for each proposed leased facility as Exhibit GFL-1.
4. Complete the attached Comprehensive Environmental Survey for each proposed leased facility; include as Exhibit(s) GFL-2a, GFL-2b, GFL-2c, etc.
5. If the leased facility is not the Project to be financed, include documentation of the current fair market value of the proposed leased facility or facilities (e.g., an appraisal of the leased property performed by an independent appraiser, or insurance information to document the value of the improvements along with land valuation documentation obtained from an independent professional) as Exhibit GFL3. 122
[Name of Applicant] Page 2 Rev. 7/24/2015
GENERAL FUND LEASE ADDENDUM CHECKLIST
(Applicant, please complete this General Fund Addendum Checklist and submit with the Financing Application.)
INCLUDED
APPLICATION CONTENT
YES NO
N/
A
Exhibit GFL-1 Current Preliminary Title Report
Exhibit GFL-2 Comprehensive Environmental Survey(s) (Use attached form.)
Exhibit GLF-3 Facility Valuation Documentation
Exhibit GFL-4 Pre-acquisition Site Assessment or Environmental Survey 123
[Name of Applicant] Page 3 Rev. 7/24/2015
Exhibit GFL-2
COMPREHENSIVE ENVIRONMENTAL SURVEY
Address or location of subject property (ies):
Street:
City, Zip:
The purpose of this questionnaire is to provide information about the past and present ownership and uses of the real property upon which the California Infrastructure and Economic Development (IBank) will rely for security in deciding whether to extend credit. Please respond fully to all questions, including attaching supporting documentary evidence where appropriate (Label as Attachment 1, 2, 3, etc., as appropriate). If the questionnaire is not completely filled out, or if questions are left unanswered, a Phase I Environmental Assessment may be required.
If space is inadequate to answer, please attach additional pages as needed.
1. History of the property
a. List the present and previous owner(s)/occupant(s) (if different than owner), the time period of each owner or occupant of the property (start with present and include a twenty year history if possible), and use of property:
Owner(s)
Dates of
Ownership
Occupant(s) (if
different) Use of Property
b. Were any of the uses of property a disposal facility, a dumpsite, storage for or involving use of chemicals, hazardous waste, or toxic materials? (Includes but not limited to gasoline station, motor repair facility, commercial printing facility, dry cleaners, junkyard, etc.)
No Yes
Explain:
c. If applicable what was the date of last transfer of ownership? 124
[Name of Applicant] Page 4 Rev. 7/24/2015
2. Present and previous use(s) of the adjacent (bordering) properties a. List the present and previous uses of the adjacent properties.
Location Current Use Prior Use (include dates)
North
South
East
West
b. Were any of the uses of adjacent property a disposal facility, a dumpsite, storage for or involving use of chemicals, hazardous waste, or toxic materials? (Includes but not limited to gasoline station, motor repair facility, commercial printing facility, dry cleaners, junkyard, etc.)
No Yes
Explain:
3. Proposed use of the property
a. Discuss the proposed use of the property.
b. Was a pre-acquisition site assessment or environmental survey performed? No
Yes Attach a copy of the assessment/survey as Exhibit GFL-4. 125
[Name of Applicant] Page 5 Rev. 7/24/2015
TO BE COMPLETED BY OWNER/OCCUPANT
USE ADDITIONAL PAPER IF NECESSARY
Chemicals
4a. Are there currently any damaged or discarded automotive or industrial batteries, pesticides, paints, or other chemicals in individual containers >5 gal (19 L) in volume or 50 gal (190L) in the aggregate, stored on or used at the property or at the facility?
If yes, explain:
Yes No
4b. Did you observe evidence or do have any prior knowledge that previously there have been any damaged or discarded automotive or industrial batteries, pesticides, paints, or other chemicals in individual containers >5 gal (19 L) in volume or 50 gal (190L) in the aggregate, stored on or used at the property or at the facility?
If yes, explain:
Yes No
5a. Are there currently any industrial drums (typically 55 gal (208L)) or sacks of chemicals located on the property or at the facility?
If yes, explain:
Yes No
5b. Did you observe evidence or do you have any prior knowledge that there have been any industrial drums (typically 55 gal (208L)) or sacks of chemicals located on the property or at the facility?
If yes, explain:
Yes No
Dirt, Pits or Ponds
6. Did you observe evidence or do you have any prior knowledge that fill dirt has been brought onto the property that originated from:
a. a contaminated site?
b. an unknown origin?
If yes, explain:
Yes No
Yes No
7a. Are there currently any pits, ponds, or lagoons located on the property in connection with waste treatment or waste disposal?
If yes, explain:
Yes No
7b. Did you observe evidence or do you have any prior knowledge that previously there have been any pits, ponds, or lagoons located on the property in connection with waste treatment or waste disposal? If yes, explain:
Yes No
8a. Is there currently any stained soil on the property? If yes, explain:
Yes No
126
[Name of Applicant] Page 6 Rev. 7/24/2015
8b. Did you observe evidence or do you have any prior knowledge that previously there has been any stained soil on the property? If yes, explain:
Yes No
Tanks
9a. Are there currently any registered or unregistered storage tanks (above or underground) located on the property?
If yes, explain:
Yes No
9b. Did you observe evidence or do you have any prior knowledge that previously there have been any registered or unregistered storage tanks (above or underground) located on the property?
If yes, explain:
Yes No
Pipes
10a. Are there currently any vent pipes, fill pipes, or access ways indicating a fill pipe protruding from the ground on the property or adjacent to any structure located on the property?
If yes, explain:
Yes No
10b. Did you observe evidence or do you have any prior knowledge that previously there have been any vent pipes, fill pipes, or access ways indicating a fill pipe protruding from the ground on the property or adjacent to any structure located on the property?
If yes, explain:
Yes No
Drains
11a. Are there currently any flooring, drains, or walls located within the facility that are stained by substances other than water or are emitting foul odors? If yes, explain:
Yes No
11b. Did you observe evidence or do you have any prior knowledge that previously there have been any flooring, drains, or walls located within the facility that are stained by substances other than water or are emitting foul odors?
If yes, explain:
Yes No
Water
12. If the property is served by a private well or non-public water system, is there evidence or do you have prior knowledge:
a. that contaminants have been identified in the well or system that exceed guidelines applicable to the water system?
If yes, explain:
b. that the well has been designated as contaminated by any government environmental/health agency?
If yes, explain:
Yes No
Yes No
127
[Name of Applicant] Page 7 Rev. 7/24/2015
Hazardous Substances
13. Does the owner or occupant of the property have any knowledge of complaints, citations, environmental liens or governmental notification relating to past or recurrent violations of environmental laws with respect to the property or any facility located on the property?
If yes, explain:
Yes No
14. Has the owner or occupant of the property been informed of the:
a. past existence of hazardous substances or petroleum products, including lead-based paints, with respect to the property or any facility located on the property?
If yes, explain:
b. current existence of hazardous substances, petroleum products, including lead-based paints with respect to the property or any facility located on the property?
If yes, explain:
Yes No
Yes No
Environmental Violations
15. Has the owner or occupant of the property been informed of the:
a. past experience of environmental violations with respect to the property or any facility located on the property?
If yes, explain:
b. current existence of environmental violations with respect to the property or any facility located on the property?
If yes, explain:
Yes No
Yes No
16. Does the owner or occupant of the property have any knowledge of any environmental site assessment of the property or facility that indicated the presence of hazardous substances, including lead-based paints, or petroleum products on, or contamination of, the property or recommended further assessment of the property?
If yes, explain:
Yes No
17. Does the owner or occupant of the property know of any past, threatened, or pending lawsuits or administrative proceedings concerning a release or threatened release of any hazardous substance or petroleum products involving the property by any owner or occupant of the property? If yes, explain:
Yes No
18a. Does the property discharge waste water on or adjacent to the property, other than storm water, into a storm water system?
If yes, explain:
Yes No
18b. Does the property discharge waste water on or adjacent to the property, other than storm water, into a sanitary sewer system?
If yes, explain:
Yes No
128
[Name of Applicant] Page 8 Rev. 7/24/2015
19. Did you observe evidence or do you have any prior knowledge that any hazardous substances, including or petroleum products, unidentified waste materials, tires, automotive or industrial batteries or any other waste materials have been dumped above grade, buried and/or burned on the property?
If yes, explain:
Yes No
20. Is there a transformer, capacitor, or any hydraulic equipment for which there are any records indicating the presence of PCB’s?
If yes, explain:
Yes No
Signatures: This document may be signed in counterparts. The information contained herein is intended for the use of the California Infrastructure and Economic Development Bank and should not be relied on by the borrower or any other party to the transaction.
I have reviewed my responses above and hereby attest that they are true and correct.
Owner/Occupant: Date:
I have reviewed the above responses and I hereby attest that I have no additional knowledge that is contrary to this information.
Borrower: Date:
129
Legal Name of Applicant
CALIFORNIA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK
INFRASTRUCTURE STATE REVOLVING FUND PROGRAM
FINANCING APPLICATION ADDENDUM
FEES & CHARGES
SPECIAL FUNDS & TAXES
130
Legal Name of Applicant
CALIFORNIA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK
INFRASTRUCTURE STATE REVOLVING FUND PROGRAM
FEES, CHARGES, SPECIAL FUNDS AND TAXES
FINANCING APPLICATION ADDENDUM
PART I. PROPOSED SOURCE(S) OF REPAYMENT
1. District Type:
2. Source(s) of Repayment:
(Please check all that apply)
Fees & Charges Special Fund
Water
Irrigation
Sewer/Wastewater
Public Works
Flood Control
Utilities
Community Services
Airport
Other, specify:
Lighting
Park
Solid Waste
Public Safety
Fire Protection
Port/Harbor
School
Public Services
Name
Other Taxes (other than assessments)
Specify:
Water Enterprise Fund
Sewer/Wastewater Enterprise
Solid Waste Enterprise Fund
Other: specify
Special, specify:
Property
3. What lien position does the Applicant request for IBank's loan? If the IBank loan is not requested to be in a senior position or senior lien position on parity with existing debt, describe why IBank should consider a subordinate lien position, and why a subordinate position is necessary or desired by the Applicant:
131
Legal Name of Applicant
PART II. APPLICANT'S LEGAL AUTHORITY
1. Authority to operate the system. Attach as Exhibit FC-1.
2. Authority to collect funds for each proposed source of repayment. Attach as Exhibit FC-2.
3. Authority to pledge each proposed source of repayment and to do so for the entire term of the loan. Attach as Exhibit FC-3.
4. Authority to adopt a resolution making the findings necessary for the financing of Infrastructure Projects under the ISRF Program as required by CA Government Code section 63041. Attach as Exhibit FC-4.
5. Authority to enter into a loan agreement and other related documents. Attach as Exhibit FC-5.
6. Authority to enter into, and to timely perform, obligations in accordance with a loan agreement with IBank (such as covenants to increase rates or changes, to maintain a minimum debt service coverage, and to provide annual audits and surveillance reports). Attach as Exhibit FC-6.
If the requested information is found in a system capital improvement plan, master plan or any other system-planning document, submit a copy of the plan and reference the page(s) of the document that provide the information requested. Attach as Exhibit FC-7.
PART III. SYSTEM INFORMATION
1. Water projects - Provide detailed information about the supply of water, including the source, terms of the supply contract, status of water rights, storage, transmission, treatment, distribution, and age and capacity of the system.
For water systems that purchase water, provide a copy of the water purchase contract. Attach as Exhibit FC-8.
2. Sewer projects - Provide detailed information about the collection, transmission, treatment and sludge disposal system and procedures, age and capacity of the system.
No
Yes Submit a copy of the ordinance or adopted resolution. Attach as Exhibit FC-9.
3. Solid waste projects - provide detailed information about the system collection and disposal processes and procedures, contracts and haulers, the status of landfill(s), and the age and capacity of the system.
For solid waste systems that have disposal contracts or contracts with haulers, provide a copy of each contract. Attach as Exhibit FC-10a and 10b, respectively. 132
Legal Name of Applicant
4. Describe the service area:
Provide a map of the enterprise service area as Exhibit FC-11.
5. Complete the following tables:
a. Current and historical system user distribution:
NUMBER OF USERS
Current Fiscal
Year - 4*
Current Fiscal
year - 3*
Current Fiscal
Year - 2*
Current Fiscal
Year - 1*
Current Fiscal
Year
Fiscal Year
Residential
Commerical
Industrial
Other
TOTAL
*Year - 1 = Year prior to current fiscal year; Y - 1 through Y - 4 are 1 - 4 years prior to current fiscal year.
b. Current system usage and revenues:
SYSTEM USAGE AND GROSS REVENUES
as of enter date
Annual Usage
(per unit type) % of Usage Annual Gross Revenues % of Total Revenues Residential
Commercial
Industrial
Other
TOTAL 100% 100%
133
Legal Name of Applicant
c. Ten (10) largest current users and their percentage of system use and revenue.
TEN LARGEST SYSTEM USERS
as of enter date
User % of System
Use
% of System
Revenues
Customer Class
(Residential/Commercial/Industrial/
Other)
1. 2.
3. 4.
5. 6.
7. 8.
9. 10.
TOTAL 100% 100%
d. Describe the rate-setting process, including the approval process and adherence to Proposition 218, the length of time necessary to implement adjustments, and the history of obtaining requested rate increases over the past five (5) years:
RATE INCREASES OVER THE PAST FIVE YEARS
Date Adopted Date Effective Percent of Increase
e. Provide the historical monthly average system rates per residential unit over the last four (4) years and current rate information:
CURRENT AND HISTORICAL AVERAGE MONTHLY USER CHARGE PER RESIDENTIAL UNIT Previous Fiscal
Year - 4*
Previous Fiscal
year - 3*
Previous Fiscal
Year - 2*
Previous Fiscal
Year - 1*
Current Fiscal
Year
Fiscal Year
Residential
*Year - 1 = Year prior to current fiscal year; Y - 1 through Y - 4 are 1 - 4 years prior to current fiscal year. 134
Legal Name of Applicant
f. Provide the projected average monthly user charge per residential unit over the next five (5) years (include any adopted or anticipated rate increases):
PROJECTED AVERAGE MONTHLY USER CHANGE PER RESIDENTIAL UNIT Current Fiscal Year
+1*
Current Fiscal year
+2*
Current Fiscal Year
+3*
Current Fiscal Year
+4*
Fiscal Year
Residential
*Year +1 = Year prior to current fiscal year; Y +1 through Y +4 are 1 - 4 years after current fiscal year.
COMPARABLE RATES
as of
System Name: System Name: System Name: System Name: System Name:
Location: Location: Location: Location: Location:
Residential Unit
6. Describe the expected increases or decreases in demand for service over the next five (5) years:
7. Describe the enterprise system's current capital improvement plan and expected plan for financing any capital improvements (e.g., future debt issuance), including how the system capacity is expected to meet future aggregate customer demand and peak daily demand:
8. Are there any pending or threatened enforcement actions, including warnings, orders, violations or fines, by any regulatory agency against the Applicant with regard to the system? No Yes Describe and indicate the current status:
135
Legal Name of Applicant
PART IV. FINANCIAL INFORMATION
1. Provide an aging of system accounts receivable for each proposed source of revenue to be pledged. Attach as Exhibit FC-12, FC-12a, FC-12b, etc.
2. Discuss the billing process and term's offered to users.
3. Provide the monthly accounts receivable information below:
ACCOUNTS RECEIVABLE AGING
as of
Current Over 30 Over 60 Over 90 Over 120 Total
Annual
Receipts
Percent
4. Explain collection practices and/or policies addressing accounts receivable that are greater than 90 days past due.
5. Has there been a system operating deficit during any of the prior three (3) fiscal years? No Yes Describe any and all operating deficits and the action taken by the governing body to eliminate or balance the operating deficits:
6. Does the Applicant have a debt service reserve fund for outstanding debt of the system? No Yes Provide an explanation if any debt service reserve fund has not been funded at its required level during the last three (3) fiscal years below. Include the amount and circumstances of any deficits, any withdrawals, and the corresponding replenishment schedule. Attach as Exhibit FC-13.
136
Legal Name of Applicant
7. Does the Applicant have a rate stabilization fund?
Describe below any withdrawals from and deposits to the rate stabilization fund made over the last three (3) years, the circumstances necessitating any withdrawals, and the corresponding replenishment schedule. Attach as Exhibit FC-14.
No Yes
8. Provide a copy of the rate study or similar report, along with resolutions, presentations, and meeting minutes for existing rates and charges for the last five years. Attach as Exhibit FC-15.
9. Has any assessment, standby charge, or rate or charge levied by the Applicant been subject to an initiative or a majority protest, or is any appeal or protest expected, or threatened pursuant to Proposition 218? No Yes Explain:
10. Does the Applicant wish IBank to consider revenues from adopted rate increases (implemented, or not yet implemented) and/or system expansions in its analysis?
Provide an independent feasibility study, or an engineer's report pertaining to the proposed Project and the system, including all assumptions. For system expansions only, also include in this report a "worse case" scenario analysis for the fiscal impact of the loan on rates for existing rate payers, assuming that there are no new system rate payers and existing rate payers' fees will fully finance the Project debt. Attach as Exhibit FC-16.
No Yes
11. Is the Applicant a recipient of any grants, loans or other financial assistance for the operation of the system? If so, describe impacts on the proposed financing and provide copies. Attach as Exhibit FC-17.
No Yes Describe:
137
Legal Name of Applicant
IBank
Staff
Use
APPLICANTINDICATE
WHETHER OR
NOT EACH
DOCUMENT IS
ATTACHED TO
THIS ADDENDUM.
ADDENDUM EXHIBITS
Date
Rec'd YES NO N/A Place an "X" in the corresponding box.
Exhibit FC-1 Authority to Operate System
Exhibit FC-2 Authority to Collect Proposed Revenue Stream Exhibit FC-3 Authority to Pledge Proposed Revenue Stream Exhibit FC-4 Authority to Adopt Resolution
Exhibit FC-5 Authority to Enter into Loan Agreement and Related Documents Exhibit FC-6 Authority to Enter into, and to Timely Perform, Obligations Exhibit FC-7 System Capital Improvement Plan, Master Plan, other System Planning Document Exhibit FC-8 Water Purchase Contract
Exhibit FC-9 Hook-up Ordinance
Exhibit FC-10 Disposal/Hauler Contracts
Exhibit FC-11 Map of Service Area
Exhibit FC-12 Aging Accounts Receivable for the Proposed Source of Revenue Additional Exhibits label a, b, c, etc.
Exhibit FC-13 Debt Service Reserve Fund Funding Schedule Exhibit FC-14 Rate Stabilization Fund Replenishment Schedule Exhibit FC-15 Rate Study, Resolutions, Presentations, Meeting Minutes for the last Five Years Exhibit FC-16 Adopted Rate Increases: Resolution, Staff Report, and Independent Feasibility Study/Rate Study/Engineer's Report
Exhibit FC-17 Grants, Loans or Financial Assistance Documentation
FEES & CHARGES
SPECIAL FUNDS & TAXES
ADDENDUM CHECKLIST
(Complete and submit with the Financing Application)
138
$3,000,000
3.00% Loan or Lease Lease
0.30%
5/15/2022 Fiscal Year Ends June 30
First Interest Only Pmt Date 2/1/2024
First Principal Pmt Date 8/1/2023
10 Amortization Period 9
- -
Payment
Date
Ending Principal
Balance
Principal
Component
Interest
Component
Base Rental
Payment
Additional
Rental
Payment
Total Payment
Total Payment
Fiscal Year
Ending June 30
15-May-2022 $3,000,000.00
1-Feb-2024 $154,000.00 $154,000.00 $154,000.00 $154,000.00 1-Aug-2023 $2,704,698.43 $295,301.57 $45,000.00 $340,301.57 $9,000.00 $349,301.57 1-Feb-2024 $40,570.48 $40,570.48 $40,570.48 $389,872.05 1-Aug-2024 $2,400,537.81 $304,160.62 $40,570.48 $344,731.09 $8,114.10 $352,845.19 1-Feb-2025 $36,008.07 $36,008.07 $36,008.07 $388,853.26 1-Aug-2025 $2,087,252.37 $313,285.44 $36,008.07 $349,293.50 $7,201.61 $356,495.12 1-Feb-2026 $31,308.79 $31,308.79 $31,308.79 $387,803.90 1-Aug-2026 $1,764,568.37 $322,684.00 $31,308.79 $353,992.79 $6,261.76 $360,254.54 1-Feb-2027 $26,468.53 $26,468.53 $26,468.53 $386,723.07 1-Aug-2027 $1,432,203.85 $332,364.52 $26,468.53 $358,833.05 $5,293.71 $364,126.75 1-Feb-2028 $21,483.06 $21,483.06 $21,483.06 $385,609.81 1-Aug-2028 $1,089,868.40 $342,335.46 $21,483.06 $363,818.51 $4,296.61 $368,115.12 1-Feb-2029 $16,348.03 $16,348.03 $16,348.03 $384,463.15 1-Aug-2029 $737,262.88 $352,605.52 $16,348.03 $368,953.55 $3,269.61 $372,223.15 1-Feb-2030 $11,058.94 $11,058.94 $11,058.94 $383,282.09 1-Aug-2030 $374,079.20 $363,183.68 $11,058.94 $374,242.63 $2,211.79 $376,454.42 1-Feb-2031 $5,611.19 $5,611.19 $5,611.19 $382,065.60
1-Aug-2031 $374,079.20 $5,611.19 $379,690.38 $1,122.24 $380,812.62 $380,812.62
$3,000,000.00 $576,714.14 $3,576,714.14 $46,771.41 $3,623,485.55 $3,623,485.55 City of Santa Paula
Total Payments:
Applicant/Project Name
Loan Amount
Interest Rate
Annual Fee
Funding Date
Loan Years
iBank Draft Amortization Schedule
139
RESOLUTION NO. 7387
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA PAULA
AUTHORIZING THE SUBMISSION OF AN APPLICATION TO THE CALIFORNIA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK (“IBANK”) FOR
FINANCING A CAPITAL IMPROVEMENT PROJECT, AUTHORIZING THE
INCURRING OF AN OBLIGATION PAYABLE TO IBANK FOR THE FINANCING OF A
CAPITAL IMPROVEMENT PROJECT IF IBANK APPROVES SAID APPLICATION,
DECLARATION OF OFFICIAL INTENT TO REIMBURSE CERTAIN EXPENDITURES
FROM THE PROCEEDS OF AN OBLIGATION, AND APPROVING CERTAIN OTHER
MATTERS IN CONNECTION THEREWITH
The City Council of the City of Santa Paula does resolve as follows:
SECTION 1: The City Council finds and declares as follows:
A. The California Infrastructure and Economic Development Bank (“IBank”) administers a financing program to assist local governments with the financing of eligible projects in accordance with Section 63000 et seq. of the California Government Code (the “Act”);
B. IBank created the Infrastructure State Revolving Fund Program (“ISRF Program”) pursuant to the provision of the Act;
C. IBank has instituted an application process for financing under its ISRF Program; D. IBank’s Criteria, Priorities and Guidelines for the Selection of Projects for Financing under the ISRF Program, dated February 23, 2016, and as may thereafter be amended from time to time (the “Criteria”), establishes requirements for the financing of projects under the ISRF Program;
E. The City of Santa Paula (“Applicant”) desires to submit an application (“Financing Application”) to IBank under the ISRF Program for financing and refinancing the costs of Harvard Boulevard Roadway Rehabilitation and City-Wide Pedestrian Safety Improvements (“Project”) in an amount not to exceed $3,000,000; F. The Act and the Criteria require the Applicant to make, by resolution of its governing body, certain findings prior to a project being selected for financing by IBank;
G. The Applicant expects to incur or pay certain expenditures in connection with the Project from its Measure T Fund that are reimbursable with the proceeds of tax exempt bonds or other tax exempt securities under Federal Tax Law (defined below) prior to incurring indebtedness for the purpose of financing costs associated with the Project on a long-term basis (the “Reimbursement Expenditures”); 140
H. the Applicant reasonably expects that a financing arrangement (“Obligation”) in an amount not expected to exceed $3,000,000 will be entered into under and memorialized by one or more financing agreements and related documents (collectively, the “Financing Agreement”) and that certain proceeds of such Obligation will be used to reimburse the Applicant for Reimbursement Expenditures incurred or paid prior to incurring the Obligation; and I. the Applicant acknowledges that IBank funds the ISRF Program, in part, with the proceeds of tax exempt bonds and, as such, has certain compliance obligations that may require it to have the Applicant enter into one or more new financing agreements to replace the Financing Agreement (collectively, the “Replacement Agreement”) on terms and conditions substantially identical to the original Financing Agreement.
SECTION 2: The City Council of the City of Santa Paula hereby approves confirms, ratifies, and affirms all actions of the Applicant’s representatives, employees and officers heretofore taken in connection with, or with respect to, submitting the Financing Application, and the consideration and approval of the Obligation and the Financing Agreement, if IBank approves the Financing Application and the Obligation, and in connection therewith the City Council of the City of Santa Paula finds and certifies:
a. The Project facilitates the effective and efficient use of existing and future public resources so as to promote both economic development and conservation of natural resources;
b. The Project develops and enhances public infrastructure in a manner that will attract, create, and sustain long-term employment opportunities; c. That the Project is consistent with the General Plan of the City of Santa Paula, and the General Plan of the County of Ventura;
d. The proposed financing is appropriate for the Project; e. The Project is consistent with the Criteria; and
f. It has considered (i) the impact of the Project on California’s land resources and the need to preserve such resources; (ii) whether the Project is economically or socially desirable; and (iii) whether the project is consistent with, and in furtherance of the State Environmental Goals and Policy Report (as defined in the Criteria).
SECTION 3: The Applicant hereby declares its official intent to use proceeds of the Obligation to reimburse itself for the Reimbursement Expenditures with the proceeds of tax exempt bonds or other tax exempt securities issued under the provisions of the Internal Revenue Code of 1986, as amended, and those Treasury Regulations implementing such provisions (collectively, “Federal Tax Law”). This resolution is made solely for purposes of establishing compliance with applicable requirements of Federal Tax Law and its date is controlling for purposes of reimbursement under Federal Tax Law.
This resolution does not bind the Applicant to make any expenditure, incur any indebtedness, or proceed with the Project.
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SECTION 4: All of the Reimbursement Expenditures were made no earlier than 60 days prior to the date of this Resolution. The Applicant will allocate proceeds of the Obligation to pay Reimbursement Expenditures within eighteen (18) months of the later of the date the original expenditure was paid or the date the Project was placed in service or abandoned, but in no event more than three (3) years after the original expenditure was paid.
SECTION 5: The City Manager and his or her designee is hereby authorized and directed to act on behalf of the Applicant in all matters pertaining to the Financing Application, and if IBank approves the Financing Application and the Obligation, the execution of related financial documents, including but not limited to the authority to: the authority to make payments from general fund revenues and other legally available sources of funds for the repayment of the Obligation and to provide covenants relating to the Obligation and as to any security or collateral securing the Obligation.
SECTION 6: If the Financing Application and the Obligation is approved by IBank, the City Manager and his or her designee is authorized to negotiate, enter into and sign financing documents and any amendments thereto, including, but not limited to the Financing Agreement and the Replacement Agreement, with IBank for the purposes of financing the Obligation.
SECTION 5. Effective Date. This Resolution shall take effect immediately upon its adoption.
PASSED AND ADOPTED this 16th day of March, 2022
__________________________
Jenny Crosswhite, Mayor
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ATTEST:
____________________________
Julie Latshaw, City Clerk
APPROVED AS TO FORM:
____________________________
John C. Cotti, City Attorney
APPROVED AS TO CONTENT:
_____________________________
Dan Singer, City Manager
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To: Honorable Mayor and Members of the City Council
From: Jonathan Royas, Management Analyst
Subject: FEDERAL LEGISLATIVE ADVOCACY SERVICES
Date: March 16, 2022
Agenda Item: 12.B
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
1. Authorize the City Manager to enter into an agreement with Merchant McIntyre Associates for Federal legislative advocacy services for a term of six-months in a form approved by the City Attorney.
Presented by: Jonathan Royas, Management Analyst
BACKGROUND:
On November 15th, 2021, President Biden signed the Bipartisan Infrastructure Law – a oncein-a-generation $1.2 trillion-dollar investment into our nation’s infrastructure and communities.
Broadly, the bill provides funding for the nation’s roads, bridges, and public transportation infrastructure, with a strong focus on climate change mitigation, resilience, and equity. It also contains funding for a network of electric vehicle chargers, broadband internet, cybersecurity, clean water, and airports. In addition, the measure will make significant investments in California, including:
$25.3 billion for federal-aid highway apportioned programs and $4.2 billion for bridge replacement and repairs over five years
$9.45 billion over five years to improve public transportation options across the state $384 million over five years to support the expansion of an electric vehicle charging network in the state and the opportunity to apply for $2.5 billion in grant funding dedicated to EV charging
A minimum of $100 million to help provide broadband coverage across the state $84 million over five years to protect against wildfires and $40 million to protect against cyberattacks
$3.5 billion over five years to improve water infrastructure across the state and ensure clean, safe drinking water for California communities
$1.5 billion for infrastructure development for airports over five years Another bill working its way through Congress could provide additional support for cities. The Build Back Better Act includes nearly $2 trillion in proposed funding for workforce development, climate resiliency, affordable housing, and other key city priorities. Negotiations 144
on the Build Back Better Act are ongoing and an exact timeline for the bill’s vote is still unclear.
Lastly, California Governor Gavin Newsom unveiled his proposed 2022-23 State Budget, building on the state’s efforts to address the COVID-19 pandemic, homelessness, wildfires, and drought. California’s economy grew substantially in the past year, despite the ongoing pandemic, resulting in a projected $45.7 billion surplus. A vast majority of the surplus allocation is expected to be one-time investments, many of which are investments for cities through the expansion of existing programs, a notable shift from previous budgets. In total, the Governor’s plan lays out billions in new spending on California’s biggest challenges including:
COVID-19, climate change, homelessness, the cost of living, and keeping our streets safe.
As a result, a considerable amount of federal and state funds will be available to assist cities such as Santa Paula. In an effort to bolster our efforts to obtain federal and state funds to impact our community, staff researched legislative advocacy firms who can represent our interests to respective government agencies and lawmakers in Sacramento, CA and Washington, D.C.
ANALYSIS:
Many local governments rely on the expertise of state and federal legislative advocacy firms to represent their respective government agencies in Sacramento, CA and Washington D.C.
Typical services includes legislative monitoring and analysis, state budget advocacy, grant coordination, advocacy, and most recently, Congressionally Directed Spending (CDS) requests in the Senate or Community Project Funding (CPF) in the House (formerly known as earmarks). While Congress placed a moratorium on the practice in 2010, in 2021 Congress reintroduced both programs of which local governments have been the beneficiaries.
Legislative advocacy services are also essential in identifying funding opportunities, grant applications and other special programs for which the City may qualify.
It should be noted, in 2021, staff submitted two CDS project requests to Senator Feinstein, one of which drew attention from the Senator's office for the Harvard Boulevard Water/Sewer and Pavement Project, however, staff was unsuccessful in securing support for the project. In addition, staff also submitted two CPF projects to Congresswoman Brownley's office, ultimately ending in no support for either project.
As such, in an effort to put the needs of Santa Paula at the forefront and maintain a competitive edge for the upcoming CDS and CPF funding cycles, staff posted a competitive Request for Qualifications (RFQ) (Exhibit A) for Federal Funding and Legislative Advocacy services on February 10, 2022. The objective of the RFQ was to solicit a firm to assist the City of Santa Paula in securing an unprecedented amount of federal support. The RFQ was posted online at the City’s procurement website and eBidBoard.com. The RFQ provided an overview of the federal legislative advocacy services the City desired, which included the following scope of services:
1. Develop Funding Strategies:
Function as an extension of Santa Paula’s professional staff.
Conduct an in-depth Resource Inventory via conference calls to determine and document the City’s strengths and needs, and to get to know our programs, priorities, and people.
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Plan and implement a comprehensive federal legislative strategy, matching the City’s strengths and priority needs with federal programs.
Assess internal capabilities and capacity to determine how best to leverage our strengths and address any gaps in critical areas including: staffing, technology, community needs, partnership development, and more.
Develop proposal themes and write and produce background materials that provide a compelling, persuasive presentation of the City’s priorities to potential federal funders.
Prepare a comprehensive Federal Funding Legislative Strategy and specific Action Plan so the City’s leadership can review and assess specific funding opportunities firsthand, and evaluate your strategies to secure that funding.
2. Implement Funding Strategies:
Schedule substantive discussions with Members of Congress, Congressional staff, and agency officials in D.C. and California to highlight the City’s funding objectives.
Generate quality third-party support letters.
Ensure the City’s projects make the priority list of our Congressional champions.
3. Win Congressionally Directed Spending:
Help the City establish working relationships with key Congressional staff and Appropriations Committee staff to learn their criteria for award worthy funding requests — long before request forms are publicly available. Drive the City’s CDS requests through every step of the legislative process —subcommittee, full committee, floor action, conference committee — until it’s signed into law by the President.
Manage the development of each funding request from start to finish. This includes the creation of timelines and deadlines management, and clarification of writing roles and responsibilities.
Develop and/or improve program design and specific application components.
Support all administration needs including federal submission portal requirements, forms, reporting, and compliance (as needed).
Finalize the funding request(s): provide multi-level reviews to ensure clarity, cohesiveness, and editorial input. Check budgets for cost-effectiveness, completeness, and accuracy.
Three firms downloaded the RFQ, and three firms responded. The firms were Merchant McIntyre Associates (Exhibit B), Kiley & Associates (Exhibit C) and Sustainable Strategies DC (S2) (Exhibit D).
The evaluation of three proposals was not limited to price alone. Some of the criteria used in the assessment of the proposals included the following:
Overall ability to provide the services based upon the responses to the RFQ Technical qualifications and experience of key members of the firm Experience with similarly sized governmental agencies in providing the types of services outlined in this RFQ
Capability of handling all aspects of the engagement as defined, as well as providing support and technical assistance
Fees and charges related to the level of work proposed
Reference checks with local municipalities
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Below is a summary of the proposals received, along with their average annual cost for a proposed one-year term:
Firm Location Average Annual Price
Merchant McIntyre Associates Washington, D.C. / California $72,000.00 Kiley & Associates Washington, D.C. $52,800.00
Sustainable Strategies DC (S2) Washington, D.C. $84,000.00 One item of note is Merchant McIntyre Associates pricing proposal which affords staff the ability to enter into an initial six-month agreement at a discounted monthly retainer of $6,000 a month or $36,000 for a six-month period. If staff is pleased with Merchant McIntyre Associates performance during this initial six-month engagement, we could then decide whether to retain Merchant McIntyre Associates for an additional period of one year at the same discounted monthly retainer.
The proposals were reviewed by a panel composed of staff from the City Manager’s Office in addition to members of the Executive staff. After considering all three proposals, staff recommends that the City Council approve an agreement with Merchant McIntyre Associates based on the firm’s experience, availability of their staff to discuss legislative matters with City Councilmembers and City staff as issues arise, and their ability to provide the City with an initial trial period to evaluate their services. In addition, Merchant McIntyre Associates helped the City of Napa secure $1.8 million in the FY22 appropriations bills which Congress is anticipated to approve in the next couple of weeks.
STRATEGIC PLAN:
Approval of this item moves the City closer obtaining funding to support several of Council’s two-year Strategic Plan objectives.
FISCAL IMPACTS:
On March 2, 2022, the City Council adopted mid-year budget Resolution 7386, which allocated $30,000 toward legislative advocacy services from a portion of the City's first tranche of ARPA funds. While this is sufficient funding for the current fiscal year, should the Council support a 6-month agreement with Merchant McIntyre of $36,000 as suggested, an additional allocation of second tranche stimulus funds or a budget adjustment for next fiscal year would become necessary. If Council approves this contract award, staff will return at year end for a budget allocation request of $6,000 in FY 22/23.
OPTIONS:
The Council has the following available alternative options to staff’s recommendations:
1. Do not authorize the City Manager to enter into an initial six month agreement with Merchant McIntyre Associates as recommended by staff. This could cause the ability of the City to obtain and secure federal and state funds to remain "status quo" during a period when federal and state programs are flush with funding opportunities for local governments.
2. Direct staff to pursue an agreement with one of the other two qualified firms and/or recirculate the RFQ. 147
ATTACHMENTS:
Exhibit A - RFQ Federal Funding.pdf
Exhibit B - Merchant McIntyre Associates.pdf
Exhibit C - Kiley & Associates.pdf
Exhibit D - Sustainable Strategies DC S2.pdf
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EXHIBIT A
RFQ Federal Funding
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City of Santa Paula
Request for Qualifications –Support Services in
obtaining/securing Federal Funding
Due on February 24, 2022
Background of City of Santa Paula:
Santa Paula is the geographical center of Ventura County, situated in the rich agricultural Santa Clara River Valley. The City is surrounded by rolling hills and rugged mountain peaks in addition to orange, lemon and avocado groves. In fact, Santa Paula is referred to as the "Citrus Capital of the World." Besides the architectural treasures that line the historic streets, Santa Paula is home to many pieces of high-quality public art in the form of murals honoring our heritage and sculptures and monuments. Art, history and culture continue to thrive and grow in Santa Paula.
As of 2018, Santa Paula’s total population is around 31,138. The population is around 81% Hispanic and 16% White, the median age of residents is 33 years old, and the median household income is $55,090.
Objective:
The City of Santa Paula aims to secure an unprecedented amount of federal support on a regular basis.
Proposals must be received via e-mail delivery by 4:00pm on Thursday, February 24, 2022. Submitted proposals will remain valid for three months after the submission deadline date
Scope of Work:
1. Develop Funding Strategies:
A. Function as an extension of Santa Paula’s professional staff:
- Conduct an in-depth Resource Inventory via conference calls to determine and document the City’s strengths and needs, and to get to know our programs, priorities, and people.
- Plan and implement a comprehensive federal legislative strategy, matching the City’s strengths and priority needs with federal programs.
- Assess internal capabilities and capacity to determine how best to leverage our strengths and address any gaps in critical areas including: staffing, technology, community needs, partnership development, and more.
- Develop proposal themes and write and produce background materials that provide a compelling, persuasive presentation of the City’s priorities to potential federal funders. 150
B. Prepare a comprehensive Federal Funding Legislative Strategy and specific Action Plan so the City’s leadership can review and assess specific funding opportunities firsthand, and evaluate your strategies to secure that funding.
2. Implement Funding Strategies:
A. Schedule substantive discussions with Members of Congress, Congressional staff, and agency officials in D.C. and California to highlight the City’s funding objectives.
B. Generate quality third-party support letters.
C. Ensure the City’s projects make the priority list of our Congressional champions.
3. Win Congressionally Directed Spending:
A. Help the City establish working relationships with key Congressional staff and Appropriations Committee staff to learn their criteria for award worthy funding requests — long before request forms are publicly available. Drive the City’s CDS requests through every step of the legislative process —subcommittee, full committee, floor action, conference committee — until it’s signed into law by the President.
B. Manage the development of each funding request from start to finish. This includes the creation of timelines and deadlines management, and clarification of writing roles and responsibilities.
C. Develop and/or improve program design and specific application components.
D. Support all administration needs including federal submission portal requirements, forms, reporting, and compliance (as needed).
E. Finalize the funding request(s): provide multi-level reviews to ensure clarity, cohesiveness, and editorial input. Check budgets for cost-effectiveness, completeness, and accuracy.
RFQ Requirements:
Your proposal should specifically address the following topics in the same order as presented. Please refrain from submitting general marketing materials which do not explicitly serve this purpose.
Proposalsshould not exceed fifteen (15) pages in length. 1) Executive Summary – Include legal name and corporate structure, including primary contact information. Identify the use ofsubcontractors and any pending litigation against the Proposer.
2) Qualifications and Experience – This section shall identify the key personnel assigned to the services. Provide information on the training experience, and specialized skills of each person.
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3) Scope of Work Approach- The proposal should set forth a detailed work plan, including an explanation of the methodology for providing the services required in this Request for Proposal (RFQ).
4) Pricing –Pricing should contain itemized pricing. The total maximum annual price should contain all direct and indirect costs. The proposal should include the anticipated number of hours and distribution by staff classification. The proposal should also include a schedule of rates by professional staff classifications for services. 5) References –provide a list of the most significant engagements performed in the last three (3) years that are similar to the engagement described in the RFP. Indicate the scope of work, dates, and contact information for the client.
The RFQ must be signed by a company officer empowered to bind the Proposerto the provisions of this RFQ and any contract awarded pursuant to it.
SELECTIONCRITERIA ANDEVALUATION OF PROPOSALS
Your proposal will be evaluated in accordance with your responses to the Proposal Requirements.
Proposals will be evaluated for specificity, completeness, relevant experience and qualifications of personnel, and proposed fees. A selection committee comprised of City staff will evaluate the proposals received.
PROPOSALDELIVERY:
Proposals must be received at the e-mail addresses below by 4:00PM on Thursday, February 24,2022.
Jonathan Royas, Management Analyst [email protected]
Patricia Zavala, Accountant [email protected]
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City of Santa Paula
Request for Qualifications- Support Services in obtaining/securing Federal Funding
Due on February 24,2022
Addendum No.1
RFQ Addenda and Clarifications in Written Comments
All comments and questions from proposers must be submitted in writing and received by no later than 5:00 P.M. on Monday, February 22, 2022 (“Addenda Due Date”), and must be submitted via the following approved written methods addressed Patricia Zavala, Purchasing Agent:
• At [email protected]
Any questions raised verbally shall not be addressed by the City. Submittal of written comments or questions shall not be considered by the City unless submitted in an approved method on or before the Addenda Due Date. Written comments or questions received via approved method within the time prescribed herein will be addressed by the City’s issuance of an addendum to this RFQ. Notwithstanding anything else herein, if it becomes necessary for the City to revise any part of this RFQ, or to provide clarification or additional information after this RFQ has been issued, a written addendum will be posted and published on the City’s website, http://www.spcity.org. In the event posting on the website is not practicable due to technical difficulties, the addendum will be emailed to each bidder that submits a bid.
It shall be the responsibility of the proposers to maintain current, up to date email addresses with the City if any addenda are to be emailed in the event posting on the website is not practicable due to technical difficulties. All addenda shall become part of the RFQ.
Pre-contractual Expenses:
The City shall not be responsible for, under any circumstances, any claims of expenses necessary for the proposer to receive, evaluate, complete and deliver the proposal. The proposer should also not include any pre-contractual expenses or fees in the proposal.
Conflicts of Interest:
The proposer affirms that to the best of his or her knowledge, there exists no actual or potential conflict between the firm’s business or financial interests, and either the services to be provided under the Agreement, or any commissioner, officer, employee, or agent of the City. For the duration of the Agreement, the proposer shall refrain from undertaking any work for any individual, business, or legal entity, in which direct conflicts of interest regarding the services to be provided thereunder or herein may arise.
The proposer must include a signed Non-Collusion Affidavit form with the proposal. The Non-Collusion Affidavit Form is included as Attachment No.1.
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Attachment No.1
NON-COLLUSION AFFIDAVIT FORM
Must be executed by proposer and submitted with the proposal I, __________________________________ (name) hereby declare as follows:
I am ______________________________ of _________________________, (Title) (Company)
the party making the foregoing proposal, that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived, or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from proposing; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any other proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the agreement of anyone interested in the proposed agreement; that tall statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative hereto, or paid, and will not pay, any fee to any corporation, partnership, company, association, organization, proposal depository, or to any member or agent thereof to effectuate a collusive or sham proposal.
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Proposer Signature: _______________________________________ Proposer Name: _______________________________________
Proposer Title: ______________________________________
Company Name: _______________________________________
Address: _______________________________________
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EXHIBIT B
Merchant McIntyre Associates
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February 23, 2022
Mr. Jonathan Royas, Ms. Patricia Zavala
City of Santa Paula, CA
970 Ventura Street
Santa Paula, California 93060
Dear Mr. Royas and Ms. Zavala,
On behalf of Merchant McIntyre Associates (“MM”), we are enthusiastic about the possibility of serving as Santa Paula's federal government relations agency to maximize the City's federal support by achieving your funding objectives for the Crosstown Pipeline, Harvard Blvd water, sewer, and road construction, Mesa Tank, AWTF (advanced reverse osmosis treatment facility), bike and pedestrian trail improvements, and other priority needs.
We’re enthusiastic because this is the type of work that gets us up in the morning! Long story short, we founded MM to serve cities exactly like Santa Paula. Since the City is likely evaluating other federal government relations firms, please note this important fact: Both MM principals and co-founders will be involved on a daily basis in the work our team performs for Santa Paula. Further, Mark McIntyre is regularly in SoCal, an easy drive to the City.
Merchant McIntyre is the leading federal government relations agency that serves exclusively cities, other local governments, and nonprofits. Unlike other Washington-based agencies, we focus 24/7 on winning federal funding. To help cities secure major federal support, we forecast, identify, write, submit, mobilize Congressional support for, win, and comply with Congressionally Directed Spending (earmarks) and federal grants.
Within the federal government!s $6.8 trillion annual budget, there is significant funding available for the City!s priorities through multiple federal agency grant programs and Congressionally Directed Spending. Further, the $1.9 trillion American Rescue Plan Act and $1.2 trillion Bipartisan Infrastructure Bill feature billions of dollars in new funding for local governments like Santa Paula.
This is in addition to the annual programs already scheduled.
MM has extensive experience securing federal funding for local governments (most recently, clients have received grant awards of $1.9 million, $1.25 million, $1 million, and $1 million with several more grant awards pending). Further, MM professionals have been tracking the Bipartisan Infrastructure Bill since it’s inception. We’re now beginning to see new grant programs announced that are perfect funding targets for Santa Paula.
MM also develops and executes strategies to win Congressionally Directed Spending (CDS). In the FY22 appropriations cycle, MM secured 19 CDS projects ranging from $91K to $7.2 million.
Merchant McIntyre professionals regularly meet with Congressional staff and federal program officers at USDA, DOT, EDA, DOJ, DOL, FEMA, and other federal agencies to gather invaluable intel about how to win federal funding. Specifically, we learn about the funding priorities of Members of Congress and the competitive preference priorities that program officers are using to score applications. In his 156
famous book The Art of War, Sun Tzu wrote, “Infiltration is always more effective than assault.” Merchant McIntyre will infiltrate the Congress and the federal agencies in the best sense of the word to win funding for the City.
Merchant McIntyre’s greatest strength is our ability to integrate effective funding strategies with comprehensive legislative tactics. This one-two punch has been essential to achieving success on behalf of cities and other local governments. (Key members of our senior team have been working together since 1994.)
As we begin discussions with a prospective client, we look for three fundamental values to support a working relationship:
First, we must believe in what our client is doing. To do our best work, we must share our clients' enthusiasm for their mission. It would add significance to our lives to help Santa Paula’s leaders and professional staff serve your constituents by maximizing federal support for the City.
Second, we believe that our work should be enjoyable – fun both for the client and for us. This happens best when there is a strong sense of partnership. Our hope is that we can embark on a true partnership with the City of Santa Paula – one characterized by open, honest communication and fruitful work. We look forward to this. We will always tell you the truth, especially when it’s difficult.
Third, the relationship must be mutually beneficial. You must be able to see measurable results based on well-defined objectives. The bottom line is the return on investment! After all, Santa Paula’s leadership is accountable to your citizens. We appreciate this accountability. Indeed, we’re motivated by it.
The City of Santa Paula has a great story to tell in D.C. Humbly, Merchant McIntyre has a documented record of success. Together, we can help the City achieve your federal objectives.
We would be both gratified and humbled to be chosen to serve as your federal government relations agency -- indeed, this is the kind of work that gets us up in the morning! Sincerely,
Mark D. McIntyre
Principal & Co-Founder
P.S. There’s a reason we have previously sent you letters about MM’s services. We know we can be effective for your city!
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Executive Summary
Merchant McIntyre is the leading federal funding agency that serves exclusively local governments and other nonprofits. Merchant McIntyre performs the lion’s share of the work to forecast, identify, help write, submit, mobilize Congressional support for, win, and comply with federal grants and Congressionally Directed Spending (CDS), also known as “earmarks.” Legal name and corporate structure: Merchant McIntyre & Associates, LLC is a limited partnership.
Our agency hasthree partners — Brent Merchant, Mark McIntyre, Brent Merchant, and Katie Peterson.
MM’s corporate structure is so flat, you can slide it under a door. We have a cohesive, collaborative team of approximately 20 professionals with a clear reporting structure up through Brent, Mark, and Katie. All partners provide strategic oversight for every client, and are deeply involved in the actual client work. This enables our agency to serve local governments with the highest level of expertise, efficiency, accountability — and success!
Further, please note that both Mark McIntyre and Brent Merchant will be involved in the day-to-day work on behalf of Santa Paula. You have Merchant McIntyre’s full attention! Since Santa Paula will be evaluating other potential agencies, ask yourself this question: who will be doing the work at those other places –– the Varsity or the Junior Varsity?
Merchant McIntyre possesses the federal funding expertise in-house to serve Santa Paula successfully.
We will not need to use subcontractors on behalf of the City.
Per your question, Merchant McIntyre does not have any pending litigation.
Below we’ve provided our primary contact information.
Mark McIntyre
Principal and Co-Founder
Merchant McIntyre Associates
1634 I Street NW Washington DC 20006
Phone: 202-657-7556
Email: [email protected]
Qualifications and Experience
We’ve provided resumes of the key federal funding professionals who will comprise the core MM team serving the City of Santa Paula.
As stated earlier, Principal and Co-Founder Mark McIntyre travels every month to SoCal. Therefore, MM’s work with Santa Paula will feature the highest level of accountability.
Brent W. Merchant
Co-Founder and Principal
Professional Background
Brent Merchant has secured more than $100 million of federal support for cities and other local governments to fund industrial parks, economic development, downtown revitalization, water and wastewater infrastructure, surface transportation, public safety, law enforcement, technology, parks and recreation.
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Brent is Merchant McIntyre’s internal economic development wizard. In fact, he’s been told by EDA regional staff that he wins the most grant awards from their agency.
Brent has extensive experience serving in the federal government. He spent 7 years as senior staff at the Department of Energy where he was named to the position of Deputy Chief of Staff to the Secretary of Energy. In that role, Brent advised the Secretary on policy, operational, regulatory, and legislative issues. Brent also served as Senior Advisor to the Deputy Secretary of Energy focusing on policy, project management, and operational issues throughout the Department.
Brent began his career working as an aide to Senator Spencer Abraham in his native Michigan.
Relevant Experience
Principal and Co-Founder (Current), Merchant McIntyre Associates. 2012-current. • Direct and manage all functions of a leading government relations firm in Washington, DC. • Provide oversight of all operational aspects of the firm, including finances, personnel, contracts. • Lead the client service and client experience activities of the firm. • Manage economic development and infrastructure-focused grant projects for the firm.
Account Director, Russ Reid. 2011-2012.
• Managed dozens of client accounts focused on securing large government grants for infrastructure, economic development, health, education, and social service projects.
Director of Government Relations, LPB Energy Management. 2009-2011. • Created the Washington, DC office for a leading energy data management company. • Devised and executive federal lobbying and contracting strategies. • Directed all LPB interactions with federal agency officials, Members of Congress, and staff.
Deputy Chief of Staff and Senior Advisor to the Secretary, US Department of Energy. 2001-2009. • Managed operational and staff issues in the Office of the Secretary of Energy. • Advised the Secretary of Energy on policy, regulatory, legislative, and operational issues across the Department of Energy complex.
• Served as the Secretary’s liaison to the 17 members of the National Laboratory complex.
Education
• Hope College (Holland, MI). Bachelor of Arts, Political Science. 2001 Relevant Courses
• Instructor and Presenter, Georgetown University McDonough School of Business New Strategies Initiative. 2019-2021.
• Member, National Institute of Lobbying and Ethics.
Awards and Recognition
• National Institute for Lobbying and Ethics 2021 Top Lobbyist Mark D. McIntyre
Co-Founder and Principal
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Professional Background
Known for his federal appropriations acumen and ability as a legislative strategist, in 2020 Mark was named by the National Institute of Lobbying and Ethics as a Top Lobbyist.
Mark currently serves or has previously represented El Paso (TX), State of Indiana, Napa (CA), Manassas Park (VA), Marian (IN), Ontario (OR), Hermiston (OR), Lexington (KY), Pompano Beach (FL), Williamsport (PA), Pleasanton (CA), Belton (TX), Wilmore (KY), Boone (IA), Tamarac (FL), Sedona (AZ), Franklin Park (IL), Louisville (OH), and the Port of Los Angeles. In this capacity, Mark has helped secure more than $300 million dollars in federal support for cities, local governments, and nonprofits.
As a former Presidential speechwriter and award-winning journalist, Mark leads Merchant McIntyre’s production of materials for clients to present to the Congress and the Executive Branch.
Relevant Experience
2012 - present Merchant McIntyre & Associates, LLC (Washington, DC) Co-Founder and Principal
1994 - 2012 Russ Reid Company (Washington, DC)
Founding Director/Senior Vice President
1989 - 1994 Cassidy & Associates (Washington, DC)
Vice President
Account Executive
1986 - 1988 Office of the Vice President (Washington, DC) Chief Speechwriter
1989 Office of the President (Washington, DC)
Speechwriter
1985 - 1986 Congressman Robert L. Livingston (Washington, DC) Press Secretary
Education
• Yale University (New Haven, CT) Bachelor of Arts in English, 1983 Awards and Recognition
• National Institute for Lobbying and Ethics Top Lobbyist, 2020 • Congressional Quarterly Top Lobbyist, 2012
Kathryn E. Peterson, Esq.
Partner and General Counsel
Professional Background
Kathryn “Katie” Peterson has served Merchant McIntyre since its inception, successfully leading the firm's efforts to secure significant federal funding and regulatory relief for our clients. As a Partner, Katie develops comprehensive federal funding strategies and supports clients in their advocacy efforts 160
on Capitol Hill and before the Administration. She is focused on delivering results for local governments, healthcare providers, and institutions of higher education.
Katie has helped secure more than $150 million in federal funding for MM clients.
In addition to her leadership and client services role, Katie serves as Merchant McIntyre's General Counsel. She helps direct the firm's overall operations and manages the firm's internal legal matters including compliance with the Lobbying Disclosure Act and other federal regulations.
Prior to joining Merchant McIntyre, Katie worked as a Congressional Affairs Specialist at the U.S.
Food and Drug Administration. In this role, she handled legislative portfolios on a variety of healthcare issues and led components of the agency'simplementation of the Affordable Care Act. She also advised Members of Congress and their staff on FDA actions, policies, and issues and helped prepare the FDA Commissioner and other senior FDA officials to testify at Congressional hearings.
Katie also has experience in the legislative branch at both the federal and state level.
Relevant Experience
2014 - present Merchant McIntyre & Associates, LLC (Washington, DC) Partner and General Counsel
2012 - 2013 U.S. Food and Drug Administration (Silver Spring, MD) Congressional Affairs Specialist
Office of Legislation, Office of the Commissioner
2010 United States Senate (Washington, DC)
Legislative Aide, The Honorable Bill Nelson (D-FL)
2009 Florida Senate (Melbourne, FL)
Constituent Advocate, The Honorable Thad Altman (R-24)
Relevant Training and Education
• Washington & Lee University School of Law (Lexington, VA) Juris Doctor, 2014 Virginia Law License: 90440 (active)
• Stetson University (DeLand, FL) B.A., Political Science and German, cum laude, 2011 Awards and Recognition
• National Institute for Lobbying and Ethics 2021 Top Lobbyist Julia M. Angelotti
Vice President and Director of Legislative Strategy
Professional Background
Julia Angelotti serves as Vice President and Director of Legislative Strategy and has extensive experience with the Congressional appropriations process and federal grants programs. At MM, she leverages nearly a decade on Capitol Hill to plan and execute successful funding strategies. 161
Prior to joining Merchant McIntyre, Julia served as Deputy Chief of Staff and Legislative Director to Congresswoman Elise Stefanik, the third-ranking House Republican. Julia previously served as Rep.
Robert Wittman!s Senior Advisor and Rep. Frank Wolf’s Appropriations Legislative Assistant.
Julia is a federal legislative expert with a specialty in appropriations.
Relevant Experience
2019 - present Merchant McIntyre & Associates, LLC (Washington, DC) Vice President and Director of Legislative Strategy
2017 - 2019 U.S. House of Representatives (Washington, DC) Deputy Chief of Staff and Legislative Director, The Honorable Elise M.
Stefanik (R-NY)
2014 - 2017 U.S. House of Representatives (Washington, DC) Senior Advisor, The Honorable Robert J. Wittman (R-VA)
2010 - 2014 U.S. House of Representatives (Washington, DC) Appropriations Legislative Assistant, The Honorable Frank R. Wolf (R-VA) Relevant Training and Education
• George Mason University (Fairfax, VA) Master of Public Policy, 2013 • Virginia Tech (Blacksburg, VA) B.A., Communication and Marketing, cum laude, 2011 Relevant Courses/Professional Development Activities in Last 5 Years • Member, National Institute for Lobbying & Ethics (NILE) • Member, Women in Government Relations (WGR)
• Stennis Congressional Staff Fellow, 2017-2018
Brandon A. Bookout
Federal Grants Director
Professional Background
Brandon Bookout currently serves as Federal Grants Director at Merchant McIntyre Associates. He joined Merchant McIntyre as an intern and played his way onto the team full-time with his relentless work ethic and strong communication skills.
Brandon aligns upcoming federal funding opportunities with the priority needs of cities local and nonprofit institutions. Brandon leads the onboarding process for every new MM client, plans for, conducts, and drives the follow-up action items for client Resource Inventories.
Brandon’s work is critical to developing award-worthy Congressionally Directed Spending requests.
Before joining MM, Brandon served as a Municipal Consultant, where he planned and executed several economic development projects. Notably, Brandon led the development of five-year park master plans for the City of Winchester (IN) and Town of Gaston (IN) and assisted in the development and 162
organization of the Indiana Automotive Council, a partnership between Indiana automotive manufacturers and the Indiana Economic Development Corporation.
Relevant Experience
2018 - present Merchant McIntyre & Associates, LLC (Washington, DC) Federal Grants Director
2016 - 2020 Augusta Consulting, LLC (Muncie, IN)
Municipal Consultant
2017 - 2018 Conexus Indiana (Indianapolis, IN)
Economic Development Assistant
2016 - 2017 Barnes and Thornburg, LLP (Indianapolis, IN) Fellow
Education
• Indiana University (Bloomington, IN). Bachelor of Science, Finance; Bachelor of Arts, Brand Development and Merchandising, 2019.
Scope of Work Approach
Washington, D.C. is a one-industry town: hot air. Merchant McIntyre takes a different approach: we listen. We engage our ears and our brains before we engage our mouths.
Therefore, we will begin our service to Santa Paula by conducting an in-depth Resource Inventory via a series of conference calls with City leadership and staff to determine and document Santa Paula’s strengths and needs, and to get to know your programs, priorities, and people.
Based on the Resource Inventory, we will develop a comprehensive Federal Legislative Strategy and specific Action Plan consisting of specific tactics to secure federal funding and further Santa Paula’s priorities with Members of Congress, Congressional staff, and Congressional committees of jurisdiction.
The objective of this strategy is to achieve the highest ROI for Santa Paula.
The primary reason Merchant McIntyre has consistently achieved the federal funding and legislative objectives for our clients is because of our strategic thinking. All of us are former Congressional and/or Executive Branch staffers. Because of that training, we thoroughly understand the legislative and federal funding processes. This enables us to plan and implement successful strategies.
Merchant McIntyre takes a comprehensive “leave no stone unturned” approach that starts with a thorough review of federal funding needs with Santa Paula’s leadership. Based on information gathered on City priorities, MM would immediately want to seek funding for the Crosstown Pipeline, Harvard Blvd water, sewer, and road construction, Mesa Tank, AWTF (advanced reverse osmosis treatment facility), bike and pedestrian trail improvements, and more.
Merchant McIntyre is constantly tracking and advocating for Congressional appropriations and other legislative proposals that could potentially benefit or hurt our municipal clients. This enables us to 163
help shape spending levels to maximize funding for our municipal clients, and protect them from harmful budget cuts.
For example, at the beginning of the pandemic Merchant McIntyre produced a 10-page summary of all relevant grant funding in the CARES Act one day before the Congress actually passed the 885-page legislation. That was on a Friday. On Monday we began working with clients on specific proposals to pursue and win funding from the CARES Act for their priority projects. (Our clients are still winning money from that legislation). MM would utilize our knowledge and strategic thinking to help Santa Paula secure significant funding from the recently passed $1.2 trillion Bipartisan Infrastructure Bill (BIB).
MM!s Scope of Work for the City of Santa Paula:
1. Develop Funding Strategies:
A. We would truly function as an extension of Santa Paula’s professional staff.
B. Specifically, to help the City maximize its federal support, MM will:
- Conduct an in-depth Resource Inventory via zoom callsto determine and document the City’s strengths and needs, and to get to know your programs, priorities, and people.
- Plan and implement a comprehensive federal legislative strategy, matching the City’s strengths and priority needs with federal funding programs and appropriations accounts.
- Assess internal capabilities and capacity to determine how best to leverage your strengths and address any gaps in critical areas including staffing, technology, community needs, partnership development, and more.
- Develop proposal themes and write and produce background materials that provide a compelling, persuasive presentation of the City’s priorities to potential federal funders.
C. MM will prepare a comprehensive Federal Funding Legislative Strategy and specific Action Plan so the City’s leadership can review and assess specific funding opportunities firsthand, and evaluate MM’s strategies to secure that funding. (This will also help enable California Consulting to see federal grant programs long before they!re publicly announced.)
2. Implement Funding Strategies:
A. Schedule substantive discussions with Members of Congress, Congressional staff, and agency officials in D.C. and California to highlight the City’s funding objectives.
B. Generate quality third-party support letters.
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C. Ensure the City’s projects make the priority list of your Congressional champions.
3. Win Congressionally Directed Spending:
A. In the context of Congressional appropriations, Merchant McIntyre’s job is to serve as your “staff to the Congressional staff” to make it easy for your Members to support every Santa Paula funding request.
Toward that end, MM will help the City establish working relationships with Members of Congress, key Congressionalstaff, and Appropriations Committee staff to learn their criteria for award-worthy funding requests — long before request forms are publicly available.
B. Manage the development of each funding request from start to finish. This includes the creation of timelines and deadlines management, and clarification of writing roles and responsibilities. We provide successful Congressionally Directed Spending applications, templates, and/or abstracts from previous award winners.
C. Merchant McIntyre subject matter experts will develop and/or improve program design and specific application components.
D. Support all administration needs including federal submission portal requirements, forms, reporting, and compliance.
E. Finalize the funding request(s): provide multi-level reviews to ensure clarity, cohesiveness, and editorial input. Check budgets for cost-effectiveness, completeness, and accuracy.
MM will drive the City’s CDS requests through every step of the legislative process — subcommittee, full committee, floor action, conference committee — until it’s signed into law by the President.
This should give you confidence:
Given MM’s monthly retainer, we invite you to calculate the ROI for these selected examples of relevant federal funding that Merchant McIntyre has helped win using our approach described above:
Surface Transportation
o $14.1 million to construct a multimodal greenway.
o $12 million for a roadway extension project.
o $11.4 million for roadway improvements and to create a clearly delineated bicycle and pedestrian facilities and trails.
o $7.2 million for bridge maintenance and improvements. o $4 million to construct an overpass.
o $3.12 million for a pedestrian mall and streetscape improvements. o $1.4 million for highway safety improvements.
o $1.35 million for streetscape improvements and to construct pedestrian walkways. 165
o $950K to upgrade and widen a main roadway.
o $900K to plan the construction of a downtown plaza and overpass. o $150K to construct ADA accessible trails.
Water/Wastewater
o $6.1 million to extend a water line.
o $5 million to connect a 1.2 million gallon per day raw water supply. o $2.7 million for water and wastewater infrastructure to generate economic development. o $2 million in emergency funding for a flood control project. o $1.3 million for water infrastructure improvements.
o $500K to upgrade stormwater infrastructure.
o $500K for wastewater infrastructure improvements.
o $500K for sewer system upgrades.
o $300K for sewer replacement.
Economic and Community Development
o $2.48 million to construct an economic innovation development center. o $1.8 million to support a new health sciences and paramedic training program. o $1.46 million to support the development of an industrial park. o $1.4 million to expand a commercial truck training program. o $1.4 million to plan and implement local workforce development strategies that promote new, sustainable job opportunities.
o $1 million to construct new affordable housing for people experiencing homelessness. o $469K to purchase new distance learning equipment amid the pandemic. o $150K to expand a recreation center.
o $100K to provide needed training and technical assistance to local businesses.
Public Safety and Law Enforcement
o $1.5 million to upgrade and consolidate emergency communications systems. o $700K for first responder technology and communications. o $446K to purchase law enforcement equipment.
o $413K to fund the hiring of two new school resource officers. o $367K to purchase and install a new source capture exhaust extraction system. o $363K for the development of a program to address domestic violence. o $350K for a new fire engine.
o $105K to improve wildfire prevention, response, and recovery. o $100K to purchase a new school safety alert system.
o $53K to purchase 30 state-of-the-art body cameras and enact a training/use policy.
Community Health and Wellness
o $2.2 million to renovate a nursing school building.
o $1 million to expand substance abuse treatment services in a rural area. o $922K to purchase new telemedicine equipment.
o $900K to improve access and quality of healthcare in an underserved area. o $350K to provide high-quality child care services to low-income student-parents. o $150K to make park facilities improvements and construct an ADA-accessible trail. o $150K for the development of a recreation center.
o $100K for a pilot project to provide fresh, locally grown produce to low-income residents. 166
Pricing
We opened Merchant McIntyre Associates to assist local governments exactly like the City of Santa Paula. MM’s typical minimum retainer for the scope of work described here is $8,000/month for a period of one year. This retainer is all-inclusive — there are no “hidden fees.” The City leadership will always have budget certainty when working with MM.
Since 1994, Merchant McIntyre Associates has never billed clients on an hourly basis. If we billed on an hourly basis, our monthly fee would be much higher! We work on a monthly retainer basis so that we never have to watch the clock in service to our clients.
Since this would be a new initiative for the City, and because we appreciate your budget constraints, we propose an initial six-month agreement at a discounted monthly retainer of $6,000. The four deliverables during this period are:
1. Conduct a Resource Inventory to identify specific federal funding objectives and potential funding requests for the City.
2. Submit a significant, award-worthy Congressionally Directed Spending request(s) to both the House and the Senate.
3. Arrange substantive Congressional and Executive Branch meetings with Members and Congressional staff who have jurisdiction over the funding MM targets for Santa Paula.
4. Support the City in all facets of the federal funding process, including planning, partnership development, writing, budget development, proposal submission, administrative requirements, and compliance.
Of course, the fifth “deliverable” is that you will get to evaluate Merchant McIntyre’s strategic thinking and added value.
If the City’s leadership is pleased in every respect with Merchant McIntyre Associates during this initial six-month engagement, you may then decide whether to retain MM for a period of one year at the same discounted monthly retainer.
Our objective is to deliver the highest possible ROI so City Manager Dan, Jonathan, the Executive Directors, and your City Council exchange high-fives and say, "Let's do that again!" References
We’ve attached three relevant client references, as you requested. Please let us know if you have trouble reaching anyone because we’re happy to have you speak with any MM client since 1994.
We ask only that checking references be the last step in Santa Paula’s decision-making process.
Believe it or not, potential clients have previously called us and said, “All of your references checked out with flying colors... your clients really like you... we would love to retain Merchant McIntyre... but we haven’t identified a budget.”
That seems backward, and a waste of our clients ’time. If Santa Paula becomes a client, we will protect you the same way!
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City of Napa
955 School Street
Napa, CA 94559
Contact: Liz Habkirk, Assistant City Manager
(707) 285-7813, [email protected]
Note: We’ve provided the City of Napa as a reference so you can get a sense of our work both with them and the California Congressional delegation.
The City of Napa retained Merchant McIntyre Associates to maximize federal funding for a variety of initiatives including water and wastewater infrastructure, community development, public safety, law enforcement, and public health.
In the first 30 days of our partnership, MM conducted a Resource Inventory to identify specific projects and determine how they align with federal funding opportunities. Soon after conducting the Resource Inventory, MM produced a comprehensive Federal Funding Strategy and Grants Grid featuring $39.5 million in potential funding opportunities.
The first target MM submitted was for the National Endowment for the Arts ’Our Town grant program.
Through this application, the City requested funding for operational and artistic support for Napa’s Lighted Arts Festival, a free celebration of creative arts, technology and lights, and supports innovative techniques using light and light technologies as a growing art medium.
MM collaborated with the City of Napa to secure a $1.8 million Congressionally Directed Spending award for the Public Safety Radio and Communication (PSRC) Upgrade Project. Through MM’s advocacy efforts, this project was championed by Congressman Thompson and funded in the Commerce, Justice, and Science (CJS) Appropriations Bill.
In addition to winning federal funding, MM has complemented the work of Napa officials to develop and promote a legislative platform to drive the City’s policy agenda on a regional and national level.
Beyond these accomplishments, Merchant McIntyre has the following federal funding applications pending:
• NEA Our Town: $75,000
• FEMA Assistance to Firefighters (AFG): $100,184
• FEMA Fire Prevention and Safety (FP&S): $31,800
East Central Indiana Regional Planning District
1208 White River Blvd, Suite 136
Muncie, IN 47303
Contact: Bill Walters, Executive Director
(765) 713-7000, [email protected]
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Note: We’re providing ECI as a reference because 1) Santa Paula has similar funding priorities and 2) like Santa Paula, ECI is USDA rural-eligible.
Merchant McIntyre serves as ECI’s full-service Washington legislative and federal funding agency. In this role, MM handles all aspects of ECI’s federal representation — pursuing significant competitive and discretionary grants, strengthening relationships with the Indiana Congressional delegation, contacting federal agencies when ECI’s grant applications are under consideration, advancing ECI’s policy and regulatory interests, and leading the coalition's annual Washington Fly-In.
ECI is now working with Merchant McIntyre to develop a regional strategy to win federal funding that enhance economic development and improve the quality of life in East Central Indiana.
Since ECI had never won a federal grant prior to Merchant McIntyre’s representation, our approach was to start small... build ECI’s credibility at the federal level... and then begin hitting home runs by winning large grants.
Working with Merchant McIntyre, ECI has won grant awards of $68,000 and $88,000 from the Department of Agriculture, and a $75,000 award from the Economic Development Administration.
The EDA grant is funding an I-69 Corridor Economic Impact Analysis, with the aim of developing an action plan for the widening, modernization, and safety improvements along the I-69 corridor. The co-applicant is Ball State University. This now positions ECIfor a RAISE grant in the $10 million- $25 million range when the project is shovel ready.
Recently, ECI was awarded a second EDA grant of $320K to fund an economic development response to COVID-19, featuring helping local businesses find financing, retain employees, and recover from the pandemic.
ECI is currently working on a third EDA grant of $1.3 million to improve a major intersection at the entrance of the Park One Industrial Park.
Merchant McIntyre currently has the following grants either in the pipeline or on the drawing boards for ECI:
• $10 million to fund the ongoing expansion of the I-69 Corridor. (source: Department of Transportation)
• $100,000 to support training and technical assistance services to small businesses and entrepreneurs in rural East Central Indiana.
(source: Department of Agriculture)
City of Pompano Beach
100 West Atlantic Blvd.
Pompano Beach, FL 33060
Contact: Greg Harrison, City Manager
(954) 786-4601, [email protected]
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Note: You will enjoy Greg. Like Dan, he’s a seasoned, professional City Manager.
A Merchant McIntyre client since 2015, we’ve helped Pompano Beach realize millions of dollars in budget relief. We’re providing Greg as a reference because he can speak to our multi-faceted approach to federal funding.
Our first success was to negotiate a modification to the City’s DOJ Community Oriented Policing Services (COPS) award. This modification to Pompano’s initial grant award saved nine School Resource Officer positions and resulted in $1.2 million in budget relief for the City.
MM also assisted the City in preparing the $11.4 million award-winning application to DOT’s BUILD (formerly TIGER, now RAISE) program.
Under MM’s leadership, Pompano Beach has developed strong working relationships with the Florida Congressional delegation. Together, we’ve deepened the Pompano Beach’s influence with key Members of Congress and senior staff through regular trips to Washington to advocate on behalf of issues important to the City.
MM led the City’s advocacy efforts to ensure direct funding for local governments was included in the $1.9 trillion American Rescue Plan Act. Pompano Beach received approximately $24 million to address the financial impact of COVID-19 in the City.
Most recently, MM helped Pompano Beach secure $600K in Community Project Funding for a highway fencing project.
Beyond these accomplishments, the City is now pursuing:
• $801,000 for the design and construction of the resilient infrastructures in Wahoo Bay Park, including the fabrication and installation of SEAHIVES, the purchase of underwater cameras, and to conduct relevant environmental studies.
(source: Department of the Interior)
• Approximately $20 million for surface transportation through the Bipartisan Infrastructure Law.
(source: Department of Transportation)
Conclusion
For all the reasons described in this proposal, Merchant McIntyre Associates would welcome the opportunity to help the City of Santa Paula achieve an unprecedented amount of federal funding.
Humbly, our goal is to serve you as a transformative partner. # # # #
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EXHIBIT C
Kiley & Associates
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Kiley &
Associates
636 North Carolina Ave SE
Washington, D.C. 20003
(202) 544-6897
February 23, 2022
Mr. Jonathan Rojas, Ms. Patricia Zavala
City of Santa Paula
970 East Ventura Street
Santa Paula, California 93060
Re: Request for Qualifications – Support Services in obtaining/securing Federal Funding Dear Mr. Rojas and Ms. Zavala,
Kiley & Associates is pleased to respond to the City of Santa Paula’s Request for Qualifications –Support Services in obtaining/securing Federal Funding.
Kiley & Associates was founded in 2009 and provides legislative advocacy analyses for cities, states, and communities. We deliver political strategy from both an industry and government perspective through a solution-driven and tailored approach. We have a proven track record of successful engagement between local government, state, and federal entities to achieve community goals. In this RFQ we provide written response to the five specific topic areas requested.
We look forward to discussing any–and all–facets of this proposal. Please feel free to contact me at (202) 544-6897, or [email protected].
Very Respectfully,
- Signed -
Gregory T. Kiley
President
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2 Kiley & Associates, Washington, DC Federal Advocacy Services 1) Executive Summary
Kiley & Associates, LLC is located at 636 North Carolina Ave SE, Washington, D.C. 20003.
President Gregory Kiley can be contacted at (202) 544-6897, email: [email protected] .
Kiley & Associates has no pending or past litigation and will not be using any subcontractors for this proposal.
2) Qualifications and Experience
Kiley & Associates provides strategic federal advocacy, advisory and assistance efforts. We provide our clients solution driven outcomes through the use of economic development planning and positioning, White House, Congressional and Federal government situational awareness and due diligence. We identify and develop new opportunities, improve operations, and implement strategies to secure desired results. We have in-depth knowledge and a record of success in a variety of practice areas, including infrastructure, transportation, energy and defense.
Kiley & Associates has an established, proven track record of navigating multiagency, multidimensional, complex issues. Recent efforts include work on managing interrelations between municipalities, states and the federal government, infrastructure funding, American Rescue Plan guidance, Federal Emergency Management Administration reimbursements for cities, cyber threats to our nation’s infrastructure and electrical grid, environmental risks to public health, and the Department of Defense’s strategic basing decision-making to name a few.
Kiley & Associates utilizes a team approach to provide client service. Santa Paula’s issues and initiatives will be addressed directly by our highly experienced senior staff. Our team has strong ties at the federal level with both the legislative and executive branches. Every member of our team has developed professional working relationships with Republican and Democratic Members of the Senate and House, as well as with their personal staffs, and the staffs of key Senate and House committees. Further, we have key allies within the White House staff and across the Biden Administration. To be successful, we act as an extension of our client’s professional staff on the ground in Washington, DC.
Kiley & Associates’ size, structure and personalized approach allows us to provide proactive, cost-effective representation to all our clients.
Key personnel assigned to the City of Santa Paula would include the following members:
Gregory T. Kiley–President, Kiley & Associates
Gregory Kiley is President of Kiley & Associates, LLC, a Washington, D.C.-based policy development and advocacy firm. Since retiring from federal service, he has consulted to federal, state and local governments, and industry and non-profit entities on national security policy and processes. He has written for the Center for Strategic and International Studies (CSIS) among others, focusing on national security and economics. He has authored studies on defense 173
3 spending, the U.S. shipbuilding industry, the costs of insourcing defense-related services sector jobs, and U.S. strategy in the Asia Pacific region. Recent consulting efforts include U.S. Air Force strategic basing decision-making, community relations with the Department of Defense, and interrelations between states and the federal government.
Prior to working in the private sector, Mr. Kiley served 25 years in the federal government, concentrating on defense and national security. He spent six years as a senior professional staff member for the Senate Armed Services Committee (SASC). As lead staff for two SASC subcommittees, his oversight portfolio included all military air and ground systems, military logistics and readiness, and the defense budget. His responsibilities included coordinating and conducting congressional hearings, developing and drafting legislation, and negotiating and staffing passage of annual National Defense Authorization Acts and supplemental spending bills.
Mr. Kiley began his professional career in the U.S. Air Force, culminating as a senior pilot, flying C-130 aircraft and deploying throughout the world. He also held positions as a wing plans officer, maintenance officer, and information management officer.
Mr. Kiley is a graduate of the U.S. Air Force Academy, University of Maryland’s Graduate School of Public Affairs and Massachusetts Institute of Technology’s Seminar XXI program.
Mr. Kiley lives in Washington, D.C. with his wife and daughters.
Jayson J. Braude–Chief Counsel, Kiley & Associates
Jayson Braude is the Chief Counsel to Kiley & Associates. Jayson Braude grew up in the Los Angeles area and is the Grandson of former United States Congressman Glenn Anderson.
Jayson worked for United States Senators Kent Conrad and Sherrod Brown in Washington, D.C.
After law school, Mr. Braude worked as Legislative Counsel for United States Congresswoman Janice Hahn, where he staffed the Congresswoman on the House Transportation and Infrastructure Committee. He then became the District Director for Congresswoman Nannette Diaz Barragán in her San Pedro office. Mr. Braude has more than ten years of experience in government affairs and maintains contacts all over Capitol Hill and throughout federal, state, and local agencies.
Mr. Braude is a graduate of the UC Santa Barbara and received his law degree from Southwestern Law School in Los Angeles. He is a member of the Washington Bar and resides in Washington, D.C.
Kimberly J. VanWyhe–Vice President, Kiley & Associates
Kimberly VanWhye is Vice President of Kiley & Associates, focusing on business development and policy and strategy development. Ms. VanWyhe’s professional experience includes working on multiple political campaigns on both the state and federal level, working for the Alaska State Legislature as well as working for the Cohen Group, a defense-oriented consulting firm founded by former Secretary of Defense William Cohen. She then served as the Director of Energy Policy 174
4 at the American Action Forum, a D.C. think tank focusing on economic, domestic and fiscal policy issues.
Ms. VanWyhe is also the Policy Director for Building Cyber Security, a non-profit organization leading Cyber Physical standards development, education, certifications and labeling authority, advancing the physical security, safety, and privacy in public and private sectors.
Ms. VanWyhe received her BA in Political Science from St. John’s University in 2004 and received her MBA in International Business with a concentration in consulting and holds a certification in Global Oil and Gas Management from the Thunderbird School of Global Management
Ms. VanWyhe was raised in Fairbanks, Alaska and currently resides in Washington, D.C.
Experience
The following examples demonstrate over a decade of Kiley & Associates experience providing services of a similar type and scope as described in the scope of services. 2019-Present. City of Carson, California
• Provided guidance and counsel to the Mayor and City Council on various matters related to COVID-19, including updates on federal policy and federal grant opportunities. • Organized a Federal Small Business Administration virtual meeting to educate Carson business owners on the Paycheck Protection Program.
• Coordinated meetings between Carson Council members, the FAA, and the Long Beach Airport regarding noise complaints from residents.
• Facilitated meetings with FEMA and the United States Treasury to ensure Carson was receiving their fair share of the of municipal funding from the American Rescue Plan. • Renewed the City’s relationship with United States Senator Dianne Feinstein and helped the City apply for earmarks and Community Improvement Projects (CIPs) with her office, which includes the potential of over a million dollars for parks funding within the City.
• Helped Carson secure earmarks for transit programs that Congresswoman Barragán will be submitting for Congressional approval. Worked with the Federal Communications Commission to promote the Emergency Broadband Benefit to Carson residents, which will provide them up to $50 per month towards broadband service for eligible households and a one-time discount of up to $100 to purchase a computer or tablet. 175
5 • At the request of the City, approached the U. S. Postal Service in Washington, D.C. to investigate long running postal problems within the City of Carson with a goal to improve mail service for Carson residents.
• Worked with the City to explore renewable energy opportunities, including electric vehicle charging throughout Carson and solar power at City Hall and other City owned buildings.
• Brought in the United States Army Corps of Engineers and the United States Environmental Protection Agency to help the City with the problem at the Domínguez Channel.
2019-Present. City of South Gate, California
• Developed a federal funding and policy agenda for the Mayor, Council and City department heads. Created federal government agendas and provided federal outreach and funding opportunities. Provide the City with relevant hearing schedules and grant announcements.
• Arranged for City officials to meet with federal officials on the COVID-19 Funeral Assistance program which provided thousands of dollars for families in the City who lost a loved one.
• Provided the City with Congressional and White House updates detailing legislative action in Washington.
• Initiated a dialogue for the City with Union Pacific Railroad regarding trash and homelessness along a neglected rail line.
• Worked with the City to secure earmarks for $1.5 million in road improvements to Garfield Avenue, of which Congresswoman Barragán will be submitting to the House Committee on Transportation and Infrastructure for approval. • Worked with South Gate, Los Angeles County Metro, and Congress for millions of dollars in funding for the West Santa Ana Branch light rail line. Started a dialogue between the City and the office of recently appointed United States Senator Alex Padilla. • Worked with the City and the EPA to keep the South Gate Superfund sites at the forefront of the agencies’ federal priorities.
• Worked closely with the City and federal officials after the January 2020 Delta Airlines Fuel Release over Southeast Los Angeles. Facilitated a Zoom call between the White House and the City of South Gate. South Gate Councilwoman Denise Diaz also participated on this extremely informative and crucial White House conversation with Intergovernmental Affairs Director Eduardo Cisneros.
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6 • Engaged with the United States Conference of Mayors, providing South Gate a seat at the table for numerous federal decisions.
2020-Present. City of Lynwood, California
• Organized meetings for the City and the Port of Los Angeles regarding the shipping backlog and the supply chain issues currently impacting the region, traffic, and the environment.
• Worked with the U.S. Department of Housing and Urban Development to find over one million dollars that the City was awarded. Worked with EPA to bring in senior White House officials to the City for a tour and meetings.
• Started an engagement for former Lynwood Mayor Aide Castro with the United States Conference of Mayors during her time in office, including outreach to the White House and Congress.
• Worked with Congressional officials and the City to ensure Lynwood is maximizing COVID-19 FEMA reimbursements and implementing American Rescue Plan Act (ARPA) funding for maximum usage.
• Helped the City with numerous matters related to compliance and accounting of the ARPA. Worked with the City to push for Federal legislation that allows for 30% of ARPA recovery funding to be spent on transportation projects or community projects.
This legislation allows local officials additional flexibility to spend their own funds and extends the spending deadline by an additional two years. 2020-Present. University of Alaska, Fairbanks
• Developing legislative strategy and outreach plan with FAA and Congress to assist the University in developing their unmanned aerial systems (UAS) platforms. Effort includes assisting University with COVID-19 response strategy and planning. 2020-Present. Global Technical Systems
• Provide strategic business development and federal policy outreach advice and assistance.
• Assist in the development of marketing plans, business strategies, public relations and advertisement and in the preparation of appropriate presentation materials to market GTS products with the federal government.
• In legislative support, K&A focus effort on the executive branch with regards to the advancement of GTS’s position on bases and installations. K&A also assist in advancing efforts in the House and Senate Authorizations and Appropriations Committees. GTS is on nation’s forefront in alternate energy storage, domestically177 7 sourced microelectronics and 5G network fielding and integration. Kiley & Associates’ support is foundational to growth strategy for this billion-dollar entity. 2019-2021. Territory of Guam
• Developing and implementing legislative strategy to assist local company with Shipyard development as well as assisting with United States Visa issues. Effort involves outreach on national level, affecting National Security Strategy, through local outreach to Guam Governor’s office and its state senators.
2014-2020. State of New Mexico
• Drafted State’s strategic engagement plan for the Governor’s Office of Military Base Planning and Support.
• Helped secure additional basing of 32 F-16 aircraft and accompanying support personnel.
• Provided biweekly updates on federal legislative and policy activities of direct relevance to the State.
• Supported and enhanced value of State’s federal military installations. 2016-2021. State of Florida
• Provided Governor’s economic development council strategic planning and guidance support. Helped the State secure over $250 million in additional military construction funding over five years.
• Authored community engagement plan for relief from adverse encroachment to mission and environmental issues.
• Assisted in development of Florida Space Coast federal outreach and engagement plans.
2015-2019. State of Indiana
• Drafted State’s strategic engagement and economic development plan. Worked with local communities, military installations, State leadership to build consensus, and prioritize federal engagements.
• Coordinated Federal outreach activities with Congressional delegation. 178
8 3) Scope of Work Approach
Kiley & Associates will collaborate with the City of Santa Paula to develop their federal legislative priorities. A partnership would include:
• Coordinating with the City to obtain federal funding via earmarks and working closely with the City’s current grant writing company, California Consulting, with which we have a strong working relationship.
• Raising Santa Paula’s profile with the California House and Senate Federal delegation, House and Senate Appropriations Committees, federal agencies, and the Biden Administration.
• Coordinating with the dedicated points of contact on identifying and refining Santa Paula’s top projects and policy priorities for their federal agenda (i.e. securing federal money for infrastructure projects, water and sewer projects, roadway expansion, transit, street repairs, housing, agriculture, tourism, and policymaking). • Working with the City to prepare a Federal funding strategy and action plan for specific goals and projects within the City of Santa Paula, including an in-depth resource inventory to determine the City’s top priorities.
• Generating support letters for grant funding requests from Santa Paula’s Federal and California State elected leaders, along with key members of the local community. • Targeting key allies and influential lawmakers, Congressional committees, and White House policy makers.
• Representing the City of Santa Paula at Congressional and Executive Branch meetings and hearings.
• Tracking news articles and press releases on issues that will impact local governments and Santa Paula.
• Protecting Santa Paula’s interests by changing laws or federal regulations. • Coordinating an annual trip for Santa Paula elected officials and staff to Washington, D.C. to meet with and/or brief the Congressional delegation, White House officials, and key staff in the federal agencies.
• Helping with issues that have a federal nexus, which include providing comments on federal regulations; connecting local officials to federal agency professionals. • Engaging regularly with coalitions such as the National League of Cities and the United States Conference of Mayors on behalf of the City of Santa Paula. 179
9 4) Pricing
ANNUAL RATE MONTH MONTHLY RATE
$52,800 JANUARY $4,400
FEBRUARY $4,400
MARCH $4,400
APRIL $4,400
MAY $4,400
JUNE $4,400
JULY $4,400
AUGUST $4,400
SEPTEMBER $4,400
OCTOBER $4,400
NOVEMBER $4,400
DECEMBER $4,400
We charge a monthly retainer for our services. The above pricing includes all direct and indirect costs. If needed, any pre-approved travel will be billed separately at cost.
We anticipate a minimum of 40 hours per month. The hours will be distributed between staff depending on the need of the City, and any additional hours are included in the monthly retainer. 5) References
Ernie Hernandez, City Manager, City of Lynwood. Federal advisory, advocacy and assistance efforts. Dates of Engagement: 2020-Present. Cell Number: 562-209-2410 Email:
[email protected]
John Raymond, Assistant City Manager, City of Carson. Federal advisory, advocacy and assistance efforts. Dates of Engagement: 2019-Present. Cell Number: 760-902-1903 Email:
[email protected]
Denise Diaz, Councilmember, City of South Gate. Federal advisory, advocacy and assistance efforts. Dates of Engagement: 2019-Present. Cell Number: 323-667-7688 Email:
[email protected]
Michael Flad, Assistant City Manager, City of Jurupa Valley and former City Manager of South Gate. Federal advisory, advocacy and assistance efforts. Dates of Engagement: 2019-Present.
Cell Number: 818-632-3110; Email: [email protected] 180
EXHIBIT D
Sustainable Strategies DC S2
181
1 Sustainable Strategies DC
Response to
City of Santa Paula, California
Support Services in Obtaining/Securing Federal Funding
Request for Qualifications
Primary Contact:
Ashley Badesch
Partner & Director of Western Practice
Sustainable Strategies DC
783 N. Lafayette St,
Denver, CO 80218
Phone: (303) 981-4477
Email: [email protected]
Submission Date:
Thursday February 24, 2022
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2 Executive Summary:
Sustainable Strategies DC (S2) is a strategic consulting and grant-writing firm based in Washington, DC, and Denver, CO, with a strong track record helping localities create and implement strategies to secure resources for infrastructure, community health, arts and culture, historic preservation, economic development, parks and recreation, and more. S2 has been highly successful in identifying and securing federal, state, and foundation grant proposals. To provide the City of Santa Paula with first-rate federal grant consulting services, we will draw on our over 50 years of combined professional experience representing local governments; proven methodology for federal grant-seeking; substantial experience in Washington, DC working with Congress and federal agencies; full menu of funding services; and solid experience working in the Western region.
Our team is notable because we regularly assist clients throughout all stages of the funding process, including planning for grants, grant-writing, and advocacy services. As strategic consultants, S2 routinely creates and implements “Resource Roadmaps” for local government and non-profit clients across the country. A “Resource Roadmap” is a robust, strategic game plan for identifying and pursuing the resources needed for your priority projects. Our approach to working with the City of Santa Paula would include development and implementation of a Resource Roadmap delivered through an ongoing retainer relationship. Ongoing funding services through a retainer relationship will provide S2 with an opportunity to work closely and consistently with your staff and to apply our proven skills in helping Santa Paula secure significant federal resources. This approach will also enable Santa Paula to set a firm annual budget for services, effective metrics for performance, and annual evaluation of outcomes to ensure that the services provided are resulting in real value.
S2's personnel resources consist of its six full-time employees and multiple contract grantwriters.
Three employees are upper management (Matt Ward, CEO; Andrew Seth, President; Ashley Badesch, Partner) and three are senior associates or associates (Sarah Marin, Client Services Manager and Senior Associate; Suzie Kazar, Senior Associate and Grant Writer; and Rhea Rao, Associate and Grant Writer). Five of S2's employees are based in its Washington, D.C. office.
Ashley Badesch helms S2's Western Practice located in Denver, Colorado. S2 does not utilize subcontractors and there is no pending litigation against our firm. 183
3 Qualifications and Experience:
Project Lead:
Ashley Badesch, Partner: Ashley Badesch serves as a Partner and Director of Sustainable Strategies DC’s Western Practice, based in Denver, CO. Prior to joining Sustainable Strategies DC in 2014, Ashley worked at the Center for International Policy. She received her J.D., magna cum laude, from Georgetown University Law Center. She received her Master of Public Policy with a focus in Environmental Policy from the University of Virginia Frank Batten School of Leadership and Public Policy and a Bachelor of Arts in Spanish and Minor in Philosophy from the University of Virginia. Ashley will serve as the Project Lead for S2’s work with the City of Santa Paula.
Project Support:
Suzie Kazar, Senior Associate & Grant-Writer: Suzie Kazar serves as a Senior Associate and Grantwriter for Sustainable Strategies DC, assisting clients on their grant proposals and other needs. She is a recent graduate of the University of Wisconsin – Madison, where she received her Bachelor’s degree in journalism, geography, and environmental studies. Prior to joining the team, Suzie worked at the University of Wisconsin – Madison’s Office of Sustainability, serving the Green Labs and Communications student teams. Suzie Kazar will directly support Ashley in serving Santa Paula, assisting with the compiling the Resource Roadmap, grant-writing, and advocacy.
Client Services Support
Sarah Marin, Client Services Manager & Senior Associate: In addition to grant-writing and associate responsibilities, Sarah Marin manages client outreach and communications for S2, including weekly client alerts containing upcoming grant opportunities and memos with key steps necessary for submission of proposals. Sarah is a recent graduate of the George Washington University where she received her bachelor’s degree in International Affairs with focuses in International Environmental Studies and Global Public Health and a minor in Sustainability. Prior to joining the team, she worked at Justice and Sustainability, LLC where she served as a Project Coordinator. Sarah Marin will support S2’s work with Santa Paula by providing client services (S2 Client Alerts, S2 Spotlight, scheduling assistance, etc.), as well as providing support as a grantwriter and senior associate.
Additional Team Members:
Matt Ward, CEO: Prior to the launch of Sustainable Strategies DC, Matt was a partner and Sustainable Communities practice group leader at The Ferguson Group (TFG). He joined TFG in 2005 after being a partner at the Washington, DC law firm Spiegel & McDiarmid, where he provided advocacy consulting on sustainability issues to communities for more than a decade. He is a co-founder of the National Brownfields Coalition and the Brownfield Communities Network, and he has served as national policy director to a number of organizations including the National Association of Local Government Environmental Professionals, the National Association of Towns and Townships, the Climate Communities coalition, the Mayors Automotive Coalition, the Manufacturing Alliance of Communities, and the American Waterfront Revitalization Coalition.
Matt received his B.A., magna cum laude, from American University and his J.D. from the University of Virginia. Matt’s published work as a co-author includes: Unlocking Brownfields:
Keys to Community Revitalization; the Roadmap for Auto Community Revitalization; Smart Growth is Smart Business; Smart Growth for Clean Water; Recycling America’s Gas Stations:
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4 The Value and Promise of Revitalizing Petroleum Contaminated Properties; Profiles of Local Clean Air Innovation: Empowering Communities to Meet the Air Quality Challenges of the 21st Century; Revitalizing Mothballed Brownfields; Profiles of Business Leadership on Smart Growth:
New Partnerships Demonstrate the Economic Benefits of Reducing Sprawl; HUD CDBG Brownfields Funding: A Building Block for Community Development; and Building a Brownfields Partnership from the Ground Up: Local Government Views on the Value and Promise of National Brownfields Initiatives. Matt served as a city councilman and planning commission member in his hometown of Charles Town, WV for more than a decade.
Andrew Seth, President: Prior to his role as the President of Sustainable Strategies DC, Andrew Seth was a partner and the Director of Coalitions at The Ferguson Group. He is the Executive Director of the Climate Communities coalition, and directed the American Waterfront Revitalization Coalition. He previously served as a project manager on environmental issues at the International City/County Management Association, where he directed the Local Government Environmental Assistance Network. Prior to joining ICMA, Andrew was a member of the government affairs team at Spiegel & McDiarmid. He began his environmental career at the conservation non-profit American Rivers. Andrew received his B.S., summa cum laude, from Salisbury State University and a M.S. in Resource Administration and Management from the University of New Hampshire. Andrew’s published work as a co-author includes: Smart Growth is Smart Business; Profiles of Local Clean Air Innovation: Empowering Communities to Meet the Air Quality Challenges of the 21st Century; Profiles of Business Leadership on Smart Growth:
New Partnerships Demonstrate the Economic Benefits of Reducing Sprawl; Empowering Local Government Climate Action: A Blueprint for President Obama and the 111th Congress; and Empowering Local Clean Energy Action: Federal Policy Agenda for 2011.
Rhea Rao, Associate & Grant-Writer: Rhea Rao serves as an Associate and Grantwriter for Sustainable Strategies DC, assisting clients on their grant proposals and other needs. She is a recent graduate of the George Washington University where she received her Bachelor’s degree in International Affairs with concentrations in International Environmental Studies and Global Public Health, alongside a minor in Sustainability. Prior to joining the team, Rhea worked at the Public Leadership Education Network, where she served as a Program Assistant. Rhea Rao will support S2’s work with Santa Paula, assisting with compiling the Resource Roadmap, grant-writing, and advocacy, as needed.
Qualifications for Core Team Members:
Ashley Badesch’s (Project Lead) qualifications include extensive experience with:
• Monitoring federal, state, and foundation grant opportunities to identify grants that align with funding needs of local government clients.
• Preparation of Resource Roadmaps that outline a detailed funding agenda for communities to pursue to effectively leverage federal, state, and foundation funds. • Coordinating with department heads to plan for grant applications and provide strategic consulting on development of competitive projects for funds. • Drafting of successful federal, state, and philanthropic grant applications. • Helping local government clients to develop strong relationships with their US Members of Congress, federal agency officials, and state agency officials to advance funding goals. 185
5 Resource Roadmapping in Action: Ashley Badesch began working with the City of Glenwood Springs, CO, (population 9,915) as the Project Lead for identifying, securing, and leveraging grant funds in August of 2016. Ashley traveled to Glenwood Springs to conduct a Community Assessment, meeting with department heads for various City departments to discuss priority funding needs ranging from transportation infrastructure to public safety to parks and recreation.
Following the Community Assessment, Ashley developed a Resource Roadmap to identify promising federal, state, and foundation resources and outline key information including deadlines, funding ranges, matching levels, eligibility thresholds, and competitiveness factors. Ashley presented this Roadmap to the core team and set a monthly call time to begin implementation.
Over several years of working with the City, Ashley has leveraged over $12 million into top priority projects. One example of Ashley’s success in leveraging grant funds into a top priority project is Ashley’s work with the City in the redevelopment of vacant and contaminated properties at the confluence of the Colorado and Roaring Fork Rivers (“the Confluence Area”). Ashley kicked off this project by helping the City to secure a no-cost brownfields assessment of a former wastewater treatment site from the State of Colorado. This assessment helped the City to secure a $200,000 US Environmental Protection Agency (EPA) Brownfield Area-Wide Planning grant to create a comprehensive plan for equitable, sustainable development of the Confluence Area. The City was able to transform the resulting planning document into briefing sheets and graphics that brought the story to life for grant funders, surrounding communities, residents, elected officials, and state and federal agencies. Ashley worked with City staff to break down the plan with cost estimates for specific project phases to prepare to pursue funding. Ashley then wrote several successful grants to leverage additional funds into this area, including $1+ million to develop a pedestrian plaza with outdoor seating and streetscaping improvements along the 7th Street restaurants and retail corridor. Ashley also assisted in preparing for negotiations with the Union Pacific Railroad to reduce the cost of extinguishing an easement necessary for a transportation infrastructure upgrade to improve mobility and connectivity in the Confluence Area.
Suzie Kazar’s (Project Support) qualifications include:
• Assisting in the preparation of Resource Roadmaps that identify ways to leverage funds for community revitalization.
• Assisting in the drafting of successful federal, state and philanthropic grant applications. • Assisting with helping clients to develop strong relationships with their US Members of Congress, federal agency officials, and state agency officials.
Some of Suzie’s recent grant successes working with local government clients include:
• $5.1 million in U.S. EDA Disaster Supplemental grant funding to repair the City of Huntington, West Virginia’s floodwall to prevent destruction in the case of a 100-year flood. • $600,000 in U.S. EPA Brownfields Assessment grant funding to conduct assessments on multiple brownfield sites in the economically distressed City of Johnstown, Pennsylvania. • $149,600 in Colorado Department of Public Health & the Environment (CDPHE) Recycling Resources Economic Opportunity Infrastructure Grant to support a new recycling center in downtown Glenwood Springs, CO.
• $99,792 in Florida Department of Health Emergency Medical Services (EMS) grant funding to establish a community paramedicine program in Martin County, Florida. 186
6 Sarah Marin (Client Services Management) qualifications include:
• Extensive experience with managing client service relationships with our local government clients, including through developing S2 Spotlight newsletters to track upcoming grant opportunities, S2 Client Alerts to provide local government clients with detailed information on what it will take to pursue relevant funding opportunities, and S2 Policy Alerts to provide insight into key legislative issues, such as the federal Appropriations bills and other information most relevant to our local government clients. • Drafting of successful federal, state, and philanthropic grant applications. • Preparation of Resource Roadmaps that outline a detailed funding agenda for communities to pursue to effectively leverage federal, state, and foundation funds. • Helping local government clients to develop strong relationships with their US Members of Congress, federal agency officials, and state agency officials to advance funding goals.
Some of Sarah’s recent grant successes working with local government clients include:
• $1.3 million in FEMA SAFER grant funding to
• $900,000 in NPS Land and Water Conservation Funds to establish a universal playground at Sayre Park in the City of Glenwood Springs, Colorado.
• $840,750 in FEMA Pre-Disaster Mitigation Grant funding to address existing and future streambank failure and channel incision risks in Hopewell, Virginia. • $750,000 in NPS Paul Bruhn Historic Revitalization Subgrant funding to create a grant program to preserve historic structures throughout the City of Wheeling, West Virginia. • $250,000 in DOJ COPS Hiring Grant funding to hire two new police officer positions in the City of Ranson, West Virginia.
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7 Scope of Work Approach:
We understand that Santa Paula is interested in pursuing federal funding to support water infrastructure, transportation infrastructure, parks and recreation, arts and culture, equity and economic development, public health and safety, and other community priorities. S2 proposes the following approach to working with the City of Santa Paula, its multiple departments, and partners:
Develop Funding Strategies:
S2 will function as an extension of Santa Paula’s professional staff. The team will conduct an indepth review of Santa Paula’s 2040 General Plan, other relevant plans, and project information prior to generating an agenda for a two-day strategy session in Santa Paula. We will work with the City of Santa Paula to assemble a team of key stakeholders that includes municipal staff from across agencies, local elected officials, economic development representatives, and external stakeholders to attend the scheduled meetings. Our staff will then spend two days meeting with your staff and key stakeholders to assess assets and barriers to securing and leveraging funding for local initiatives and community needs, including economic development, technology, green infrastructure, resiliency, staffing, partnership development, parks and recreation, public health, revitalization projects, and more. We will work to identify Santa Paula’s top funding priorities and to understand the City of Santa Paula’s current approach to seeking funding to assess areas for improvement that will help Santa Paula to achieve community goals more effectively.
The community assessment and strategy session will subsequently inform the development of a “Resource Roadmap,” which is a written strategic plan to identify the best approachesforsecuring funding to advance community priorities. The Resource Roadmap will align key projects with the best sources of funding and other assistance from federal sources, including the Infrastructure Investment and Jobs Act, Congressionally Directed Spending, consolidated appropriations, and other forthcoming funding sources. The Resource Roadmap will describe key information for each funding opportunity, including eligible uses offunds, typicalfunding ranges, required matching and leveraging levels, deadlines, key competitiveness factors, points of contact, and next action steps for each priority project and funding source. This deliverable will become Santa Paula’s actual “roadmap” for prioritizing projects, planning, budgeting grant matches, and conducting the strategic advocacy program. It can be revisited when priorities change, or new sources of federal funding become available.
Implement Funding Strategies:
Sustainable Strategies DC provides a full suite of services in tracking funding opportunities, public-private partnership facilitation and building, advocacy to agencies and legislative officials, organization of stakeholder support, development of materials, and other strategic services including:
• Conducting monthly conference calls to provide updates on grant opportunities; • Communicating with Santa Paula staff between monthly conference calls to advance grant proposals;
• Organizing meetings in Washington, DC, for Santa Paula’s elected leaders and staff tomeet with senior federal leaders who can help support the community’s priorities; • Bringing federal, state and foundation leaders to Santa Paula to tour your projects and strengthen relationships;
• Drafting letters of support for local, regional, state, and federal partners; 188
8 • Regularly updating the funding agenda to include new projects and grant opportunities; A critical strategy S2 employs for securing funding resources and pushing key policy goals for local government clients is to organize and conduct a visit for community leaders to the federal and state capitals each year, and more often as needed. S2 will work with Santa Paula to develop a summary of its Resource Roadmap priorities, briefing sheets on each key project, and information about specific funding sources that are being, or will be, sought that year. We will set up meetings with your elected congressional and state representatives, with key staff in the White House and Office of the Governor, and with federal and state agency staff running the funding programs that Santa Paula is interest in or has already applied for. These meetings will help foster the relationships needed for effective funding advocacy.
S2 will also take a lead role in organizing trips for federal and state officials to visit Santa Paula and meet with community leaders, tour proposed projects, and celebrate success with groundbreakings/ribbon-cuttings to further build these relationships and the funders’ understanding of your community and projects. We will also work to organize broad stakeholder support across the community, region, and state. This includes generating letters of support from third party officials and organizations to champion your priority projects. Formulating these letters will help advance these city initiatives and further bolster the importance of priority projects to Congressional officials.
S2 is also prepared to provide limited federal grant writing services for up to five (5) grants annually. Note that many federal grants are administered through state agencies, and it is not possible at this time to distinguish what is “federal” and what is not. If selected, S2 will work with you to identify opportunities to apply for. Our federal grant writing services include:
• Assisting with registering for SAM.gov, Grants.gov, and other federal grantportals as necessary.
• Conducting grant review of proposals that experienced Santa Paula staff prepare; • Full-service grant writing, including complete drafting of narrative responses and attachments for review by the City of Santa Paula;
• Submitting grants through Grants.gov or other means; and • Assisting Santa Paula staff as needed with overcoming grants management challenges with the federal and state agencies.
Win Congressionally Directed Spending:
Sustainable Strategies DC has extensive experience in pursuing funding opportunities through Congressionally Directed Spending requests in the Senate or Community Project Funding requests in the House (formerly known as earmarks). The S2 Team has represented various municipal clients seeking earmark funds for years before the Congress placed a moratorium on the practice in 2010. In this first year of the reintroduced Congressionally Directed Spending funds, S2 secured more than $25 million for its clients. This has included:
• $2,925,000 in Homeland Security Appropriations, Pre-Disaster Mitigation Account for the City of Huntington, WV to support Fourpole Creek Pump Station design and engineering.
• $1,001,000 in CJS Appropriations, Cops Law Enforcement Technologies Account for the City of Wheeling, WV to support the Wheeling Law Enforcement Technology Program. 189
9 • $1 million in THUD Appropriations, Local Transportation Priorities Account for the City of Glenwood Springs, CO to construct the South Bridge project. • $1 million in Interior & Environment Appropriations, STAG Account for the Town of Minturn, CO for water tank replacement.
• $1 million in THUD Appropriations, HUD EDI Account for the City of Charleston, WV to support its low barrier shelter.
• $1 million in Labor-HHS-Education appropriations, Employment and Training Administration Account for Catalyst Connection to support a worker training program. • $1 million in THUD Appropriations, HUD EDI Account for the West Virginia Land Stewardship Corporation RAISE Pilot Program.
• $1 million CJS Appropriations, Office of Justice Programs Byrne Account for the City of Charleston, WV to support the Crisis Intervention Team. • $1 million in THUD Appropriations, HUD EDI Account for the City of Wheeling, WV to support Wheeling Artisan Center upgrades.
• $750,000 in Homeland Security Appropriations, Pre-Disaster Mitigation Account for the City of Hopewell, VA to support the Cattail Creek channel crossing project. • $750,000 in CJS Appropriations, Cops Law Enforcement Technologies Account for the City of Charleston, WV to support the Eyes and Ears Law Enforcement Safety Project. • $656,000 in THUD Appropriations, Transit Infrastructure Account for the Town of North Hempstead, NY to support senior transit buses.
• $620,000 in THUD Appropriations, HUD EDI account for Grow Ohio Valley to support the Wheeling Food Hub.
• $535,000 in THUD Appropriations, Local Transportation Priorities Account for the City of Frederick, MD to support the Frederick East Street Rails with Trails Liberty Road Bridge Crossing.
• $500,000 in THUD Appropriations, HUD EDI Account for the Braxton County Commission, WV to address blighted, abandoned, and dilapidated buildings. • $500,000 in CSJ Appropriations, Cops Law Enforcement Technologies Account for the City of Lorain, OH to support police department technology and equipment upgrades. • $500,000 in Interior Appropriations, Historic Preservation Fund Account for the West Virginia State Preservation Office to support the home of Charles Washington. • $500,000 in Labor-HHS-Education Appropriations, Employment and Training Administration Account for the City of Charleston, WV to support the Hope Center workforce development initiative, including equipment and curriculum development. • $500,000 in CSJ Appropriations, Office of Justice Programs Byrne Grant for the City of Lorain, OH to support its Community Policing Initiative. • $500,000 in Labor-HHS-Education Appropriations, HRSA Account for the City of Wheeling WV, to support facilities and equipment for the Ohio Valley Medical Center. • $300,000 in Financial Services Appropriations, SBA Account for Advantage Valley to support the FASTER WV initiative.
• $480,000 in THUD Appropriations, HUD EDI Account for the Town of North Hempstead to support the New Cassel building renovations project. • $368,000 in Labor-HHS-Education Appropriations for the Connecticut Council for Family Service Agencies to improve mental healthcare accessibility and equity for Connecticut children.
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10 • $300,000 in Labor-HHS-Education, SAMHSA Account for the City of Charleston, WV to support mental health and substance use prevention and treatment services, including outreach and wraparound services.
• $250,000 in Financial Services Appropriations, SBA Account for the City of Lorain, OH to support a Small Business Community Navigator program. • $250,000 in THUD Appropriations, HUD EDI Account for the Keith Albee Theater to support sprinkler system upgrades.
• $218,000 in CJS Appropriations, Cops Law Enforcement Technologies Account for the City of Huntington, WV to support the NIBIN Database Entry Terminal. • $167,000 in Labor-HHS-Education Appropriations; Employment and Training Administration Account for Generation West Virginia to support a technology skills training program.
• $150,000 in Interior & Environment Appropriations, Historic Preservation Fund Account for the City of Wheeling, WV to support the Wheeling Center Market.
To achieve this success, S2 took the employed the following strategies:
• Meetings and Calls: S2 set up calls with individual clients to identify and prioritize key projects and programs that would be competitive for the various categories of Congressionally Directed Spending and Community Project Funding. S2 advised clients on shaping appropriate requests and reached out to participating Members of Congress to ensure that these projects align with the delegation’s funding requirements. • Project Drafting and Submission: S2 drafted individual applications for Congressionally Directed Spending and Community Project funding requests in consultation with clients, Members of Congress, and the various appropriations subcommittees that are earmarking their bills.
• Advocacy: Following submission, S2 performed advocacy services for Congressionally Directed Spending and Community Project funding requests by drafting briefing sheets and talking points as well as setting up meetings with relevant Members of Congress. S2 also wrote thank you letters and press releases to help ensure that all Congressionally Directed Spending and Community Project funding requests were included in the final appropriations packages.
S2 is committed to working with the Santa Paula Team throughout the earmarking process. Each Congressional request will be managed from start to finish, including creation of timelines and deadlines management, identifying priority projects to present to Congressional members, and creating and submitting the application.
S2 employs a full-time, professional Client Services Manager, Sarah Marin, to ensure that various important tasks are conducted for effective client service. Ms. Marin conducts various activities such as ensuring that contracts are in place, paperwork is finished, Grants.gov and SAM.gov accounts are working, monthly meetings and calls are scheduled and conducted effectively, Resource Roadmaps, Congressionally Directed Spending requests, and other vital reports are drafted and completed, visits are well-planned, and troubleshooting takes place. Santa Paula will receive all that attention and service from Sarah, who will help ensure that your professional grantwriting and strategic consulting team can be most effective. 191
11 Pricing:
Based upon similar work with other communities, S2 estimates a flat fee of $7,000/month ($84,000 annual retainer) for the ongoing funding services scope of work including resource roadmap development, funding strategy implementation, congressionally directed spending submission, and limited federal grant writing services for up to five (5) grants. Santa Paula would be charged limited out-of-pocket costs associated with our services, which are expected to include reasonable travel costs (airfare, lodging, per diem).
Staff Distribution:
Ashley Badesch will support over 50% of S2’s work with Santa Paula, and Ashley’s work with Santa Paula will represent approximately 15% of her total work. As Project Lead, Ashley will take the lead on coordinating the Community Assessment, developing the Resource Roadmap, hosting monthly calls, working directly with Santa Paula staff, drafting grant applications, organizing advocacy for pending grants, and all other work with the City of Santa Paula.
Suzie Kazar will support 30% of S2’s work with Santa Paula, and Suzie’s work with Santa Paula will represent approximately 10% of her total work.
Sarah Marin will support 10% of S2’s work with Santa Paula, and Sarah’s work with Santa Paula will represent approximately 5% of her total work.
Rhea Rao will support 10% of S2’s work with Santa Paula, and Rhea’s work with Santa Paula will represent approximately 5% of her total work.
Matt Ward will support S2’s work with Santa Paula as needed (up to 5% of S2’s total work with Santa Paula), including any work in which Matt is highly specialized (brownfields, environmental legal issues, public-private partnerships, etc.). Matt’s work with Santa Paula will represent up to 5% of his total work.
Andrew Seth will support S2’s work with Santa Paula as needed (up to 5% of S2’s total work with Santa Paula), and Andrew’s work with Santa Paula will represent up to 5% of his total work.
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12 References
The S2 team has represented and conducted work for hundreds of local governments over the years (including work with multi-locality coalitions) and is actively conducting efforts for about three dozen clients now. Among those, here are three representative clients for which we have completed work of similar scope:
City of Glenwood Springs, CO
• City Manager Debra Figueroa, (970) 384-6441, [email protected] • Represented as Assistant Borough Manager in Carlisle from 2014-16 and as City Manager in Glenwood Springs from 2017-present
• Developed Resource Roadmap, provides ongoing grant-writing and advocacy services City of Dubuque, IA
• Assistant City Manager Teri Goodmann, (563) 580-0690, [email protected] • Represented since 2009
• Developed Resource Roadmap, provides ongoing one-off grant-writing and advocacy services
City of Huntington, WV
• Executive Director of Huntington Municipal Development Authority Cathy Burns, (304) 544-7216, [email protected]
• Represented from 2016-2019 as City Manager of Huntington, 2019-present as HMDA Director
• Developed Resource Roadmap, provides ongoing grant-writing and advocacy services 193
13 Signature of Company Officer
I certify that Sustainable Strategies DC will comply with the provisions of the RFQ, and any contract awarded pursuant to it.
Andrew Seth
President
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Santa Paula City Council Tentative Agenda Schedule
Updated 3/10/2022
* In light of recent County Planning Department determinations on this project application, Council may wish to discuss the timing of this Special Meeting.
DEPARTMENT MEETING
DATE Monday, March 28, 2022
CDD 3/28/2022 Ri-Nu Project Application Discussion *
Wednesday, April 6, 2022
Fire 4/6/2022 Parks & Recreation Department Report
PW Surplus Vehicles
PW Non-Profit Grant Awards
PW Canyon Booster Station Design PSA
CDD Record Map East Area 1
PD AB 481 Military Equipment Policy - Ordinance
PW Harvard Blvd. Project Contract Award
Wednesday, April 20, 2022
PW 4/20/2022 SWFA with Athens Services
Finance Citywide User Fee Study- Award of Contract
Admin Council Compensation Discussion
Admin PBID Renewal
HR Parks & Recreation Organization Changes
PW PMP Annual update & Spring Pavement Fund Allocation
STUDY SESSION TOPICS
Admin No Smoking Ordinance
CDD Cultural Arts Council
Admin Homelessness Discussion
FUTURE AGENDA ITEMS
Admin SoCal Edison discussion on rates
CDD Franchise esVolta – Public Hearing
CDD Housing Element Adoption
CDD Inclusionary Housing DIF
P&R Teague Park Restroom Construction Contract
Admin Harvest at Limoneira Project Update
CM Community Choice Aggregation Discussion
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