with respect to any information provided by the Recipient or the City for use in any disclosure document utilized in connection with any of the transactions contemplated by this Agreement, except those arising from the gross negligence or willful misconduct of the Indemnified Persons. The Recipient and the City must also provide for the defense and indemnification of the Indemnified Persons in any contractual provision extending indemnity to the Recipient or the City in any contract let for the performance of any work under this Agreement, and must cause the Indemnified Persons to be included within the scope of any provision for the indemnification and defense of the Recipient or the City in any contract or subcontract. To the fullest extent permitted by law, the Recipient and the City each, individualluy and only on behalf of themselves, agree to pay and discharge any judgment or award entered or made against Indemnified Persons with respect to any such claim or action, and any settlement, compromise or other voluntary resolution. The provisions of this section survive the term of this Agreement.
C.3.19 Independent Actor.
The Recipient, the City, and their agents and employees, if any, in the performance of this Agreement, shall act in an independent capacity and not as officers, employees, or agents of the State Water Board.
C.3.20 Integration.
This Agreement constitutes the complete and final agreement between the parties. No oral or written understanding or agreement not incorporated in this Agreement shall be binding on either party.
C.3.21 Leveraging Covenants.
(a) Notwithstanding any other provision hereof, the Recipient covenants and agrees that it will comply with the Tax Covenants set forth in Exhibit F of this Agreement. (a) The Recipient and the City covenant to furnish such financial, operating and other data pertaining to the Recipient or the City as may be requested by the State Water Board to: (i) enable the State Water Board to cause the issuance of Bonds and provide for security therefor; or (ii) enable any underwriter of Bonds issued for the benefit of the State Water Board to comply with Rule 15c2-12(b)(5). (b) The Recipient and the City each further covenant to provide the State Water Board with copies of all continuing disclosure documents or reports that are disclosed pursuant to (i) the continuing disclosure undertaking or undertakings made in connection with any outstanding System Obligation, (ii) the terms of any outstanding System Obligation, or (iii) a voluntary disclosure of information related to an outstanding System Obligation. The Recipient and the City must disclose such documents or reports to the State Water Board at the same time such documents or reports are submitted to any dissemination agent, trustee, nationally recognized municipal securities information repository, the Municipal Securities Rulemaking Board's Electronic Municipal Market Access (EMMA) website or other person or entity.
C.3.22 No Discrimination.
(a) The Recipient and the City each must comply with Government Code section 11135 and the implementing regulations (Cal. Code Regs, tit. 2, § 11140 et seq.), including, but not limited to, ensuring that no person is unlawfully denied full and equal access to the benefits of, or unlawfully subjected to discrimination in the operation of, the Project or System on the basis of sex, race, color, religion, ancestry, national origin, ethnic group identification, age, mental disability, physical disability, medical condition, genetic information, marital status, or sexual orientation as such terms are defined under California law, for as long as the Recipient retains ownership or possession of the Project. (b) If Project Funds are used to acquire or improve real property, the Recipient must include a covenant of nondiscrimination running with the land in the instrument effecting or recording the transfer of such real property.
Exhibit C
654
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
(c) The Recipient and the City each must comply with the federal American with Disabilities Act of 1990 and implementing regulations as required by Government Code section 11135(b). (d) The Recipient's and the City's obligations under this section shall survive the term of this Agreement.
(e) During the performance of this Agreement, the Recipient, the City, and their contractors and subcontractors must not unlawfully discriminate, harass, or allow harassment against any employE?e or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, sexual orientation, physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, denial of family care leave, or genetic information, gender, gender identity, gender expression, or military and veteran status.
(f) The Recipient, the City, and their contractors and subcontractors must ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment.
(g) The Recipient, the City, and their contractors and subcontractors must comply with the provisions of the Fair Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov.
Code, §12990, subds. (a)-(f) et seq.;Cal. Code Regs., tit. 2, § 7285 et seq.) Such regulations are incorporated into this Agreement by reference and made a part hereof as if set forth in full. (h) The Recipient, the City, and their contractors and subcontractors each must comply with all applicable federal civil rights regulations, including statutory and national policy requirements. (2 CFR § 200.300). This includes, to the greatest extent practicable and to the extent permitted by law, the requirement to respect and protect the freedom of persons and organizations to engage in political and religious speech. (Executive Order 13798).
(i) The Recipient, the City, and their contractors and subcontractors must give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement.
U) The Recipient and the City each must include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this Agreement.
C.3.23 No Third Party Rights.
The parties to this Agreement do not create rights in, or grant remedies to, any third party as a beneficiary of th is Agreement, or of any duty, covenant, obligation, or undertaking established herein.
C.3.24 No Obligation of the State.
Any obligation of the State Water Board herein contained shall not be an obligation, debt, or liability of the State and any such obligation shall be payable solely out of the moneys encumbered pursuant to this Agreement.
C.3.25 Notice.
Upon the occurrence of any of the following events, the Recipient and the City each must provide notice as set forth below.
Exhibit C
655
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
(a) Within 24 hours of the following, the Recipient must notify the Division by phone at (916) 327-9978 and by email to [email protected] and [email protected] and
[email protected]:
i. The seizure of, or levy on, any Revenues securing this Agreement; ii. Any discovery of any potential tribal cultural resource and/or archaeological or historical resource. Should a potential tribal cultural resource and/or archaeological or historical resource be discovered during construction or Project implementation, the Recipient must ensure that all work in the area of the find will cease until a qualified archaeologist has evaluated the situation and made recommendations regarding preservation of the resource, and the Division has determined what actions should be taken to protect and preserve the resource.
The Recipient must implement appropriate actions as directed by the Division. (b) Within five (5) business days, the Recipient or the City must notify the Division by phone at (916) 327-9978; by email to [email protected] [email protected] and [email protected] and [email protected]; and by mail to the contact address set forth in Section 4 of this Agreement of the occurrence of any of the following events:
i. Bankruptcy, insolvency, receivership or similar event of the Recipient or the City, or actions taken in anticipation of any of the foregoing; ii. Change of ownership of the Project or the System or change of management or service contracts, if any, for operation of the System; iii. Loss, theft, damage, or impairment to Project, the Revenues or the System; iv. Failure to meet any debt service coverage test in Exhibit B of this Agreement; v. Draws on the Reserve Fund;
vi. Listed Events and Events of Default, except as otherwise set forth in this section; vii. Failure to observe or perform any covenant or comply with any condition in this Agreement;
viii. An offer from a public entity to purchase the Project or the System or any portion thereof, or any of the real or personal property related to or necessary for the Project;
ix. A proceeding or action by a public entity to acquire the Project or the System by power of eminent domain;
x. lncurrence of a System Obligation or other Material Obligation by the Recipient or the City; or
xi. A default, event of acceleration, termination event, modification of terms, or other similar event under the terms of a System Obligation or other Material Obligation of the Recipient or the City, any of which reflect financial difficulties. (c) Within ten (10) business days, the Recipient or the City must notify the Division by phone at (916) 327-9978, by email to [email protected] and [email protected] and [email protected], and by mail to the contact address set forth in Section 4 of this Agreement of the following events:
i. Material defaults on Material Obligations, other than this Obligation; ii. Unscheduled draws on material debt service reserves or credit enhancements, reflecting financial difficulties;
iii. Substitution of credit or liquidity providers, if any or their failure to perform; iv. Any litigation pending or threatened with respect to the Project or the Recipient's or the City's technical, managerial or financial capacity to operate the System or Exhibit C
656
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
the Recipient's continued existence, or any judgment or court order relating to such litigation that has a significant effect on the Project or the System; v. Circulation of a petition to repeal, reduce, or otherwise challenge the rates for services of the System;
vi. Consideration of dissolution, or disincorporation, or any other event that could materially impair the Revenues;
vii. Adverse tax opinions, the issuance by the Internal Revenue Service or proposed or final determinations of taxability, Notices of Proposed Issue (IRS Form 5701- TEB) or other material notices of determinations with respect to the tax status of any tax-exempt bonds;
viii. Rating changes on outstanding System Obligations, if any; ix. Enforcement actions by or brought on behalf of the State Water Board or Regional Water Board; or
x. Any investigation by the District Attorney, California State Auditor, Bureau of State Audits, USEPA's Office of Inspector General, the Internal Revenue Service, Securities and Exchange Commission, a grand jury, or any other state or federal agency, relating to the Recipient's or the City's financial management, accounting procedures, or internal fiscal controls;
(d) The Recipient or the City must notify the Division promptly by phone at (916) 327-9978, by email to [email protected] and
[email protected] and [email protected], and by mail to the contact address set forth in Section 4 of this Agreement of any of the following events:
i. The discovery of a false statement of fact or representation made in this Agreement or in the application to the Division for this financial assistance, or in any certification, report, or request for reimbursement made pursuant to this Agreement, by the Recipient or the City, their employees, agents, or contractors; ii. Any substantial change in scope of the Project. The Recipient must undertake no substantial change in the scope of the Project until prompt written notice of the proposed change has been provided to the Division and the Division has given written approval for the change;
iii. Cessation of all major construction work on the Project where such cessation of work is expected to or does extend for a period of thirty (30) days or more; iv. Any circumstance, combination of circumstances, or condition, which is expected to or does delay Completion of Construction for a period of ninety (90) days or more;
v. Discovery of any unexpected endangered or threatened species, as defined in the federal Endangered Species Act. Should a federally protected species be unexpectedly encountered during construction of the Project, the Recipient agrees to promptly notify the Division. This notification is in addition to the Recipient's obligations under the federal Endangered Species Act; vi. Any Project monitoring, demonstration, or other implementation activities required in Exhibit A or Exhibit D of this Agreement, if any; vii. Any public or media event publicizing the accomplishments and/or results of this Agreement and provide the opportunity for attendance and participation by state representatives with at least ten (10) working days' notice to the Division; viii. Any allegation of research misconduct involving research activities that are supported in whole or in part with EPA funds under this Project, as required by Exhibit C.4.3(xxvii);
ix. Any events requiring notice to the Division pursuant to the provisions of this Agreement;
x. Completion of Construction of the Project, and actual Project Completion; Exhibit C
657
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
xi. The award of the prime construction contract for the Project; xii. Initiation of construction of the Project.
C.3.26 Operation and Maintenance; Insurance.
The Recipient agrees to ensure that all portions of the System are sufficiently and properly staffed, operated, and maintained during the Useful Life of the Project in accordance with all applicable state and federal laws, rules, and regulations. The City agrees to sufficiently and properly staff, operate and maintain all portions of the System during the Useful Life of the Project in accordance with all applicable state and federal laws, rules, and regulations.
The Recipient will procure and maintain or cause to be maintained insurance on the System with responsible insurers, or as part of a reasonable system of self-insurance, in such amounts and against such risks (including damage to or destruction of the System) as are usually covered in connection with systems similar to the System. Such insurance may be maintained by a self-insurance plan so long as such plan provides for (i) the establishment by the Recipient of a separate segregated self-insurance fund in an amount determined (initially and on at least an annual basis) by an independent insurance consultant experienced in the field of risk management employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program.
In the event of any damage to or destruction of the System caused by the perlls covered by such insurance, the net proceeds thereof shall be applied to the reconstruction, repair or replacement of the damaged or destroyed portion of the System. The Recipient must begin such reconstruction, repair or replacement as expeditiously as possible, and must pay out of such net proceeds all costs and expenses in connection with such reconstruction, repair or replacement so that the same must be completed and the System must be free and clear of all claims and liens. If such net proceeds are insufficient to reconstruct, repair, or restore the System to the extent necessary to enable the Recipient to pay all remaining unpaid principal portions of the Payments, if any, in accordance with the terms of this Agreement, the Recipient must provide additional funds to restore or replace the damaged portions of the System.
The Recipient agrees that for any policy of insurance concerning or covering the construction of the Project, it will cause, and will require its contractors and subcontractors to cause, a certificate of insurance to be issued showing the State Water Board, its officers, agents, employees, and servants as additional insured; and must provide the Division with a copy of all such certificates prior to the commencement of construction of the Project.
C.3.27 Permits, Subcontracting, and Remedies.
The Recipient must procure all permits, licenses and other authorizations necessary to accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices necessary and incidental to the due and lawful prosecution of the work. Signed copies of any such permits or licenses must be submitted to the Division before any construction begins. r
Neither the Recipient nor the City may contract or allow subcontracting with excluded parties. Neither the Recipient nor the City may contract with any party who is debarred or suspended or otherwise excluded from or ineligible for participation in any work overseen, directed, funded, or administered by the State Water Board program for which this funding is authorized. For any work related to this Agreement, neither the Recipient nor the City may contract with any individual or organization on the State Water Board's List of Disqualified Businesses and Persons that is identified as debarred or suspended or otherwise excluded from or ineligible for participation in any work overseen, directed, funded, or administered by the State Water Board program for which funding under this Agreement is authorized.
The State Water Board's List of Disqualified Businesses and Persons is located at http://www.waterboards.ca.gov/water issues/programs/enforcemenUfwa/dbp.shtml Exhibit C
658
C.3.28 Professionals.
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
The Recipient and the City each agree that only licensed professionals will be used to perform services under this Agreement where such services are called for. All technical reports required pursuant to this Agreement that involve planning, investigation, evaluation, design, or other work requiring interpretation and proper application of engineering, architectural, or geologic sciences, shall be prepared by or under the direction of persons registered to practice in California pursuant to Business and Professions Code, sections 5536.1, 6735, 7835, and 7835.1. To demonstrate compliance with California Code of Regulations, title 16, sections 415 and 3065, all technical reports must contain a statement of the qualifications of the responsible registered professional(s). As required by these laws, completed technical reports must bear the signature(s) and seal(s) of the registered professional(s) in a manner such that all work can be clearly attributed to the professional responsible for the work.
C.3.29 Prevailing Wages.
The Recipient and the City each agree to be bound by all applicable provisions of State Labor Code regarding prevailing wages. The Recipient and the City must monitor all agreements subject to reimbursement from this Agreement to ensure that the prevailing wage provisions of the State Labor Code are being met.
In addition, the Recipient and the City each agree to comply with the Davis-Bacon provisions incorporated by reference in Section 3 of this Agreement.
C.3.30 Public Funding.
This Project is publicly funded. Any service provider or contractor with which a Recipient contracts must not have any role or relationship with the Recipient, that, in effect, substantially limits the Recipient's ability to exercise its rights, including cancellation rights, under the contract, based on all the facts and circumstances.
C.3.31 Responsibility for Work.
The Recipient shall be responsible for all work and for persons or entities engaged in work performed pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and providers of services. The Recipient shall be responsible for responding to any and all disputes arising out of its contracts for work on the Project. The State Water Board will not mediate disputes between the Recipient or the City and any other entity concerning responsibility for performance of work.
C.3.32 Related Litigation.
Under no circumstances may the Recipient or the City use funds from any reimbursement under this Agreement to pay costs associated with any litigation the Recipient or the City pursues against the State Water Board or any Regional Water Quality Control Board. Regardless of the outcome of any such litigation, and notwithstanding any conflicting language in this Agreement, the Recipient agrees to repay all of the disbursed funds plus interest in the event that the Recipient does not complete the project.
C.3.33 Rights in Data.
The Recipient and the City each agree that all data, plans, drawings, specifications, reports, computer programs, operating manuals, notes, and other written or graphic work produced in the performance of this Agreement are subject to the rights of the State as set forth in this section. The State shall have the right to reproduce, publish, and use all such work, or any part thereof, in any manner and for any purposes whatsoever and to authorize others to do so. If any such work is copyrightable, the Recipient and the City may copyright the same, except that, as to any work which is copyrighted by the Recipient or Exhibit ·c
659
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
the City, the State reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, and use such work, or any part thereof, and to authorize others to do so, and to receive electronic copies from the Recipient and the City upon request.
C.3.34 State Water Board Action; Costs and Attorney Fees.
Any remedy provided in this Agreement is in addition to and not in derogation of any other legal or equitable remedy available to the State Water Board as a result of breach of this Agreement by the Recipient or the City, whether such breach occurs before or after completion of the Project, and exercise of any remedy provided by this Agreement by the State Water Board shall not preclude the State Water Board from pursuing any legal remedy or right which would otherwise be available. In the event of litigation involving the parties hereto arising from this Agreement, it is agreed that each party shall bear its own costs and attorney fees.
C.3.35 Timeliness.
Time is of the essence in this Agreement.
C.3.36 Unenforceable Provision.
In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby.
C.3.37 Venue.
Any action arising out of this Agreement shall be filed and maintained in the Superior Court in and for the County of Sacramento, California.
C.3.38 Waiver and Rights of the State Water Board.
Any waiver of rights by the State Water Board with respect to a default or other matter arising under this Agreement at any time shall not be considered a waiver of rights with respect to any other default or matter. Any rights and remedies of the State Water Board provided for in this Agreement are in addition to any other rights and remedies provided by law.
C.4 MISCELLANEOUS STATE AND FEDERAL REQUIREMENTS
C.4.1 Russian Sanctions.
On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. "Economic Sanctions" refers to sanctions imposed by the U.S. government in response to Russia's actions in Ukraine, as well as any sanctions imposed under state law. The EO directs state agencies to terminate contracts with, and to refrain from entering any new contracts with, individuals or entities that are determined to be a target of Economic Sanctions. Accordingly, should the State Water Board determine Recipient is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this Agreement. The State Water Board shall provide Recipient advance written notice of such termination, allowing Recipient at least 30 calendar days to provide a written response. Termination shall be at the sole discretion of the State Water Board.
The Recipient and the City each, individually and only on behalf of themselves, represent that the Recipient and the City are not a target of economic sanctions imposed in response to Russia's actions in Ukraine imposed by the United States government or the State of California. Both the Recipient and the Exhibit C
660
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-11 O
City are required to comply with the economic sanctions imposed in response to Russia's actions in Ukraine, including with respect to, but not limited to, the federal executive orders identified in California Executive Order N-6-22, located at https://www.gov.ca.gov/wp-content/uploads/2022/03/3.4.22-RussiaUkraine-Executive-Order.pdf and the sanctions identified on the United States Department of the Treasury website (https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-andcountrv-information/ukraine-russia-related-sanctions). The Recipient and the City are required to comply with all applicable reporting requirements regarding compliance with the economic sanctions, including, but not limited to, those reporting requirements set forth in California Executive Order N-6-22 for all recipients with one or more agreements with the State of California with an aggregated value of Five Million Dollars ($5,000,000) or more. Notwithstanding any other provision in this Agreement, failure to comply with the economic sanctions and all applicable reporting requirements may result in termination of this Agreement.
For recipients with an aggregated agreement value of Five Million Dollars ($5,000,000) or more with the State of California, reporting requirements include, but are not limited to, information related to steps taken in response to Russia's actions in Ukraine, including but not limited to:
1. Desisting from making any new investments or engaging in financial transactions with Russian institutions or companies that are headquartered or have their principal place of business in Russia;
2. Not transferring technology to Russia or companies that are headquartered or have their principal place of business in Russia; and
3. Direct support to the government and people of Ukraine.
C.4.2 State Cross-Cutters.
The Recipient and the City each, individually and only on behalf of themselves, represent that, as applicable, they comply and covenant to maintain compliance with the following for the term of the Agreement:
i. The California Environmental Quality Act (CEQA), as set forth in Public Resources Code 21000 et seq. and in the CEQA Guidelines at Title 14, Division 6, Chapter 3, Section 15000 et seq. ii. Water Conservation requirements, including regulations in Division 3 of Title 23 of the California Code of Regulations.
iii. Monthly Water Diversion Reporting requirements, including requirements set forth in Water Code section 5103.
iv. Public Works Contractor Registration with Department of Industrial Relations requirements, including requirements set forth in Sections 1725.5 and 1771.1 of the Labor Code. v. Volumetric Pricing & Water Meters requirements, including the requirements of Water Code sections 526 and 527.
vi. Urban Water Management Plan requirements, including the Urban Water Management Planning Act (Water Code,§ 10610 et seq.).
vii. Urban Water Demand Management requirements, including the requirements of Section 10608.56 of the Water Code.
Exhibit C
661
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
viii. Delta Plan Consistency Findings requirements, including the requirements of Water Code section 85225 and California Code of Regulations, title 23, section 5002. ix. Agricultural Water Management Plan Consistency requirements, including the requirements of Water Code section 10852.
x. Charter City Project Labor Requirements, including the requirements of Labor Code section 1782 and Public Contract Code section 2503.
xi. The Recipient agrees that it will, at all times, comply with and require its contractors and subcontractors to comply with directives or orders issued pursuant to Division 7 of the Water Code.
xii. Regulations in Division 4 of Title 22 of the California Code of Regulations, including but not limited to California Waterworks Standards in Chapter 16, and Lead and Copper regulations in Chapter 17.5.
C.4.3 Federal Requirements and Cross-Cutters for SRF Funding.
The Recipient and the City each, individually and only on behalf of themselves, acknowledge, warrant compliance with, and covenant to continuing compliance with the following federal terms and conditions for the Useful Life of the Project:
i. Unless the Recipient has obtained a waiver from US EPA on file with the State Water Board or unless this Project is not a project for the construction, alteration, maintenance or repair of a public water system or treatment work, the Recipient shall not purchase "iron and steel products" prpduced outside of the United States on this Project. Unless the Recipient has obtained a waiver from USE PA on file with the State Water Board or unless this Project is not a project for the construction, alteration, maintenance or repair of a public water system or treatment work, the Recipient hereby certifies that all "iron and steel products" used in the Project were or will be produced in the United States. For purposes of this section, the term "iron and steel products" means the following products made primarily of iron or steel: lined or unlined pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges, pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and construction materials. "Steel" means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may include other elements.
ii. The Recipient must include in full the Wage Rate Requirements (Davis-Bacon) language incorporated by reference in Section 3 of this Agreement in all construction contracts and subcontracts.
iii. The Recipient must comply with the signage requirements set forth in Exhibit A. iv. The Recipient shall notify the State Water Board and the USEPA contact of public or media events publicizing the accomplishment of significant events related to this Project and provide the opportunity for attendance and participation by federal representatives with at least ten (10) working days' notice.
v. The Recipient and the City each shall comply with applicable EPA general terms and conditions found at EPA General Terms and Conditions effective October 1, 2022 or later I US EPA. vi. No Recipient may receive funding under this Agreement unless it has provided its Unique Entity Identifier, assigned by the System for Award management, to the State Water Board.
Exhibit C
662
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-11 O
vii. The Recipient represents and warrants that they and their principals are not excluded or disqualified from participating in this transaction as such terms are defined in Parts 180 and 1532 of Title 2 of the Code of Federal Regulations (2 CFR). If a Recipient is excluded after execution of this Agreement, the Recipient shall notify the Division within ten (10) days and shall inform the Division of the Recipient's exclusion in any request for amendment of this Agreement. The Recipient shall comply with Subpart C of Part 180 of 2 CFR, as supplemented by Subpart C of Part 1532 of 2 CFR. Such compliance is a condition precedent to the State Water Board's performance of its obligations under this Agreement. When entering into a covered transaction as defined in Parts 180 and 1532 of 2 CFR, the Recipient shall require the other party to the covered transaction to comply with Subpart C of Part 180 of 2 CFR, as supplemented by Subpart C of Part 1532 of 2 CFR.
viii. To the extent applicable, the Recipient and the City shall disclose to the State Water Board any potential conflict of interest consistent with USEPA's Final Financial Assistance Conflict of Interest Policy at https://www.epa.gov/grants/epas-final-financial-assistance-conflict-interestQ.Q!l.gy. A conflict of interest may result in disallowance of costs. ix. USEPA and the State Water Board have the right to reproduce, publish, use and authorize others to reproduce, publish and use copyrighted works or other data developed under this assistance agreement.
x. Where an invention is made with Project Funds, US EPA and the State Water Board ,retain the right to a worldwide, nonexclusive, nontransferable, irrevocable, paid-up license to practice the invention owned by the Recipient. The Recipient must utilize the lnteragency Edison extramural invention reporting system at http://iEdison.gov and shall notify the Division when an invention report, patent report, or utilization report is filed.
xi. The Recipient agrees that any reports, documents, publications or other materials developed for public distribution supported by this Agreement shall contain the Disclosure statement set forth in Exhibit A
xii. The Recipient acknowledges that they are encouraged to follow guidelines established under Section 508 of the Rehabilitation Act, codified at 36 CFR Part 1194, with respect to enabling individuals with disabilities to participate in its programs supported by this Project. xiii. The Recipient, the City, and their employees, contractors and subcontractors and their employees warrants that it will not engage in severe forms of trafficking in persons, procure a commercial sex act during the term of this Agreement, or use forced labor in the performance of this Agreement. The Recipient must include this provision in its contracts and subcontracts under this Agreement. The Recipient and the City must inform the State Water Board immediately of any information regarding a violation of the foregoing. The Recipient and the City understand that failure to comply with this provision may subject the State Water Board to loss of federal funds.
The Recipient and the City agree to compensate the State Water Board for any such funds lost due to its failure to comply with this condition, or the failure of its contractors or subcontractors to comply with this condition. The State Water Board may unilaterally terminate this Agreement if the Recipient that is a private entity is determined to have violated the foregoing. xiv. The Recipient and the City each certify to the best of its knowledge and belief that:
a. No federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient or the City, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into Exhibit C
663
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. b. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with this Agreement, the Recipient and the City shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions, and notify the State Water Board.
The Recipient and the City shall require this certification from all parties to any contract or agreement that the Recipient or the City enter into and under which the Recipient or the City incur costs for which it seeks reimbursements under this Agreement. xv. The Recipient and the City each must comply with the following federal non-discrimination requirements:
a. Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race, color, and national origin, including limited English proficiency (LEP). b. Seqtion 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons with disabilities.
c. The Age Discrimination Act of 1975, which prohibits age discrimination. d. Section 13 of the Federal Water Pollution Control Act Amendments of 1972, which prohibits discrimination on the basis of sex.
e. 40 CFR Part 7, as it relates to the foregoing.
xvi. If the Project relates to construction of a publicly owned treatment works, where the Recipient or the City contract for program management, construction management, feasibility studies, preliminary engineering, design, engineering, surveying, mapping, or architectural related services, the Recipient and the City each shall ensure that any such contract is negotiated in the same manner as a contract for architectural and engineering services is negotiated under chapter 11 of title 40, United States Code, or an equivalent State qualifications-based requirement as determined by the State Water Board.
xvii. If the Project relates to construction of a publicly owned treatment works, the Recipient certifies that it developed and is implementing a fiscal sustainability plan for the Project, except as set forth in Exhibit D, that includes an inventory of critical assets that are a part of the Project, an evaluation of the condition and performance of inventoried assets or asset groupings, a certification that the Recipient has evaluated and will be implementing water and energy conservation efforts as part of the plan, and a plan for maintaining, repairing, and, as necessary, replacing the Project and a plan for funding such activities. xviii. Executive Order No. 11246. The Recipient shall include in its contracts and subcontracts related to the Project the following provisions:
"During the performance of this contract, the contractor agrees as follows:"(a) The contractor will not discriminate against any employee or applicant for employment because of race, creed, color, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, creed, color, or national origin. Such action shall include, but not be limited to the following:
employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the contracting officer setting forth the provisions of this nondiscrimination clause.
Exhibit C
664
City' of Santa Paula & Santa Paula Utility Authority
Agreement No.: 02201018
Project No.: C-06-8577-110
"(b) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, creed, color, or national origin. "(c) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the agency contracting officer, advising the labor union or workers' representative of the contractor's commitments under Section 202 of Executive Order No. 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.
"(d) The contractor will comply with all provisions of Executive Order No. 11246 of Sept. 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. "(e) The contractor will furnish all information and reports required by Executive Order No. 11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.
"(f) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations, or orders, this contract may be cancelled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive Order No. 11246 of Sept 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order No. 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. "(g) The contractor will include the provisions of Paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order No. 11246 of Sept. 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the contracting agency may direct as a means of enforcing such provisions including sanctions for noncompliance: Provided, however, That in the event the contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the contracting agency, the contractor may request the United States to enter into such litigation to protect the interests of the United States."
xix. The Recipient and the City each agree to comply with the requirements of USEPA's Program for Utilization of Small, Minority and Women's Business Enterprises. xx. Procurement Prohibitions under Section 306 of the Clean Air Act and Section 508 of the Clean Water Act, including Executive Order 11738, Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans; 42 USC § 7606; 33 USC § 1368. Except where the purpose of this Agreement is to remedy the cause of the violation; neither the Recipient nor the City may procure goods, services, or materials from suppliers excluded under the federal System for Award Management: http://www.sam.gov/ . xxi. Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as amended; 42 USC §§4601-4655. The Recipient must comply with the Act's implementing regulations at 49 CFR 24.101 through 24.105.
Exhibit C
665
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
xxii. The Recipient agrees that if its network or information system is connected to USEPA networks to transfer data using systems other than the Environmental Information Exchange Network or USEPA's Central Data Exchange, it will ensure that any connections are secure. xxiii. All geospatial data created pursuant to this Agreement that is submitted to the State Water Board for use by USE PA or that is submitted directly to US EPA must be consistent with Federal Geographic Data Committee endorsed standards. Information on these standards may be found at www.fgdc.gov.
xxiv. If the Recipient is a water system that serves 500 or fewer persons, the Recipient represents that they have considered publicly-owned wells as an alternative drinking water supply. xxv. The Recipient and the City each, individually and only on behalf of themselves, represent that they are not a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and it is not a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months. xxvi. The Recipient and the City each agree to immediately notify the Project Manager in writing about any allegation of research misconduct involving research activities that are supported in whole or in part with EPA funds under this Project, including fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results, or ordering, advising, or suggesting that subordinates engage in research misconduct. xxvii. The Recipient and the City each agree to comply with, and require all contractors and subcontractors to comply with, EPA's Scientific Integrity Policy, available at https://www.epa.gov/osa/policy-epa-scientific-integrity, when conducting, supervising, and communicating science and when using or applying the results of science. For purposes of this condition scientific activities include, but are not limited to, computer modelling, economic analysis, field sampling, laboratory experimentation, demonstrating new technology, statistical analysis, and writing a review article on a scientific issue.
Neither the Recipient nor the City shall suppress, alter, or otherwise impede the timely release of scientific findings or conclusions; intimidate or coerce scientists to alter scientific data, findings, or professional opinions or exert non-scientific influence on scientific advisory boards; knowingly misrepresent, exaggerate, or downplay areas of scientific uncertainty; or otherwise violate the EPA's Scientific Integrity Policy. The Recipient and the City each must refrain from acts of research misconduct, including publication or reporting, as described in EPA's Policy and Procedures for Addressing Research Misconduct, Section 9.C, and must ensure scientific findings are generated and disseminated in a timely and transparent manner, including scientific research performed by contractors and subcontractors.
xxviii. The Recipient and the City each agree to comply with the Animal Welfare Act of 1966 (7 USC 2131-2156). The Recipient and the City also agree to abide by the "U.S. Government Principles for the Utilization and Care of Vertebrate Animals used in Testing, Research, and Training," available at http://grants.nih.gov/grants/olaw/references/phspol.htm#USGovPrinciples. xxix. The Recipient and the City each certify that no Project Funds will be used on:
a. Video surveillance or telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities), telecommunications equipment produced by Hytera Communications Corporation, Exhibit C
666
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);
b. Telecommunications or video surveillance services produced by such entities; c. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country; or
d. Other telecommunications or video surveillance services or equipment in violation of£ CFR 200.216.
xxx. BABA
The Recipient acknowledges that funds received under this Agreement are subject to the Build America Buy America (BABA) requirements of Public Law 117-58 (the Infrastructure Investment and Jobs Act, also known as the Bipartisan Infrastructure Law (BIL), signed into law on November 15, 2021 ), which are in addition to "iron and steel products" requirements described in section C.4.3 (i) above. Specifically, unless (1) the Recipient has requested and obtained a waiver from USE PA on file with the State Water Board pertaining to the Project or the Project is otherwise eovered by a general applicability waiver, as confirmed in writing by the State Water Board; or (2) the State Water Board and, to the extent the Project is co-funded by any other agency using federal funds subject to BABA requirements, each such agency has advised the Recipient in writing that the BABA requirements are not applicable to the Project, the Recipient shall ensure and certifies that, as these terms are defined within and made applicable by Public Law 117-58:
(a) all iron and steel used in the Project are produced in the United States; (b) the manufactured products used in the Project are produced in the United States; and (c) the construction materials used in the Project are produced in the United States.
The Recipient must comply and require its contractors and subcontractors to comply with all applicable BABA requirements and reporting and must inform the State Water Board immediately of any information regarding a violation of the foregoing.
Based on representations made by the Recipient and corresponding evidence on file with the State Water Board, the Project qualifies for the "Adjustment Period Waiver of Section 70914(a) of P.L. 117-58, Build America, Buy America Act, 2021 for SRF Projects that have Initiated Design Planning", found at EPA- SRF - Final Waiver -Adjustment Period September 2022 - Signed.pdf. This waiver applies to projects that have initiated project design planning prior to May 14, 2022, the statutory effective date of the BABA requirements, and permits the use of nondomestic manufactured products and construction materials that would otherwise be prohibited under the BABA requirements. This program waiver does not waive the iron and steel requirements under BABA. Sections 70917(a) and (b) of BIL provide a savings provision for existing statutory requirements that meet or exceed BABA requirements, such as the "iron and steel products" requirements applicable to SRF funded projects referenced in section C.4.3 (i) above, which will continue to apply as part of BABA requirements.
Exhibit C
667
None.
City of Santa Paula & Santa Paula Utility Authority
· Agreement No.: 02201018
Project No.: C-06-8577-110
EXHIBIT D - SPECIAL CONDITIONS
Exhibit D
668
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: 02201018
Project No.: C-06-8577-110
EXHIBIT E- PAYMENT SCHEDULE
See the attached preliminary Payment Schedule. The final Payment Schedule will be forwarded to the Recipient after all disbursements have been paid and construction of the Project has been completed.
Exhibit E 669
California CWSRF Payment Schedule Principal is paid over: 30 Years Project No. 8577-110 - Santa Paula Utility Authority Interest rate: 2.60000% Agreement D220I018 - based on Actual + Projected Disbursements City of Santa Paula Advanced Water Treatment Facility
Ref Due Date Interest Interest TotalP and I Total Ending CPI Nnm Date Received Principal Payment Rate% Payment Payment Payment Balance Interest 7/31/2027 455,960.92 2.600 528,840.00 984,800.92 984,800.92 19,884,039.08 0.00 2 7/31/2028 467,815.90 2.600 516,985.02 984,800.92 984,800.92 19,416,223.18 0.00 3 7/31/2029 479,979.12 2.600 504,821.80 984,800.92 984,800.92 18,936,244.06 0.00 4 7/31/2030 492,458.57 2.600 492,342.35 984,800.92 984,800.92 18,443, 785.49 0.00 5 7/31/2031 505,262.50 2.600 479,538.42 984,800.92 984,800.92 17,938,522.99 0.00 6 7/31/2032 518,399.32 2.600 466,401.60 984,800.92 984,800.92 17,420, 123.67 0.00 7 7/31/2033 531,877.70 2.600 452,923.22 984,800.92 984,800.92 16,888,245.97 0.00 8 7/31/2034 545,706.52 2.600 439,094.40 984,800.92 984,800.92 16,342,539.45 0.00 9 7/31/2035 559,894.89 2.600 424,906.03 984,800.92 984,800.92 15,782,644.56 0.00 10 7/31/2036 574,452.16 2.600 410,348.76 984,800.92 984,800.92 15,208,192.40 0.00 11 7/31/2037 589,387.92 2.600 395,413.00 984,800.92 984,800.92 14,618,804.48 0.00 12 7/31/2038 604,712.00 2.600 380,088.92 984,800.92 984,800.92 14,014,092.48 0.00 13 7/31/2039 620,434.52 2.600 364,366.40 984,800.92 984,800.92 13,393,657.96 0.00 14 7/31/2040 636,565.81 2.600 348,235.11 984,800.92 984,800.92 12,757,092.15 0.00 15 7/31/2041 653,116.52 2.600 331,684.40 984,800.92 984,800.92 12,103,975.63 0.00 16 7/31/2042 670,097.55 2.600 314,703.37 984,800.92 984,800.92 11,433,878.08 0.00 17 7/31/2043 687,520.09 2.600 297,280.83 984,800.92 984,800.92 10,746,357.99 0.00 18 7/31/2044 705,395.61 2.600 279,405.31 984,800.92 984,800.92 10,040,962.38 0.00 19 7/31/2045 723,735.90 2.600 261,065.02 984,800.92 984,800.92 9,317,226.48 0.00 20 7/31/2046 742,553.03 2.600 242,247.89 984,800.92 984,800.92 8,574,673.45 0.00 21 7/31/2047 761,859.41 2.600 222,941.51 984,800.92 984,800.92 7,812,814.04 0.00 22 7/31/2048 781,667.75 2.600 203,133.l 7 984,800.92 984,800.92 7,031,14629 0.00 23 7/31/2049 801,991.12 2.600 182,809.80 984,800.92 984,800.92 6,229,155.17 0.00 24 7/31/2050 822,842.89 2.600 161,958.03 984,800.92 984,800.92 5,406,312.28 0.00 25 7/31/2051 844,236.80 2.600 140,564.12 984,800.92 984,800.92 4,562,075.48 0.00 26 7/31/2052 866,186.96 2.600 118,613.96 984,800.92 984,800.92 3,695,888.52 0.00 27 7/31/2053 888,707.82 2.600 96,093.IO 984,800.92 984,800.92 2,807,180.70 0.00 28 7/31/2054 911,81422 2.600 72,986.70 984,800.92 984,800.92 1,895,366.48 0.00 29 7/31/2055 935,521.39 2.600 49,279.53 984,800.92 984,800.92 959,845.09 0.00 30 7/3112056 959,845.09 2.600 24,955.97 984,801.06 984,801.06 0.00 0.00 20,340,000.00 9,204,027.74 29,544,027.74 29,544,027. 74 0.00 Page I of! 2/27/2023
670
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
EXHIBIT F-TAX CERTIFICATE
F.1 Purpose.
The purpose of this Exhibit F is to establish the reasonable expectations of the Recipient regarding the Project and the Project Funds, and is intended to be and may be relied upon for purposes of Sections 103, 141 and 148 of the Code and as a certification described in Section 1.148-2(b)(2) of the Treasury Regulations. This Exhibit F sets forth certain facts, estimates and circumstances which form the basis for the Recipient's expectation that neither the Project nor the Bond Funded Portion of the Project Funds is to be used in a manner that would cause the Obligation to be classified as "arbitrage bonds" under Section 148 of the Code or "private activity bonds" under Section 141 of the Code.
F.2 Tax Covenant.
The Recipient agrees that it will not take or authorize any action or permit any action within its reasonable control to be taken, or fail to take any action within its reasonable control, with respect to the Project which would result in the loss of the exclusion of interest on the Bonds from gross income for federal income tax purposes under Section 103 of the Code.
F.3 Governmental Unit.
The Recipient is a state or local governmental unit as defined in Section 1.103-1 of the Treasury Regulations or an instrumentality thereof (a "Governmental Unit") and is not the federal government or any agency or instrumentality thereof.
F.4 Financing of a Capital Project.
The Recipient will use the Project Funds to finance capital expenditures it has incurred or will incur for the construction, reconstruction, installation or acquisition of the Project in accordance with the terms of this Agreement. Such expenditures shall not have previously been financed with the proceeds of any other issue of indebtedness except for interim financing by the Recipient, the date of maturity, prepayment or redemption of which is within thirty (30) days of the date of disbursement of Project Funds under this Agreement. All Project Funds shall be allocated to expenditures by the Recipient within thirty (30) days of the date of disbursement, including (if at all) Project Funds allocated to repay interim financing of the Recipient. For purposes of this Section F.4, "interim financing" means notes, commercial paper, loans, lines of credit and other forms of shortterm borrowing.
F.5 Ownership and Operation of Project.
The Recipient exclusively owns and, except as provided in Section F.12 hereof, operates the Project.
F.6 Temporary Period.
The Recipient reasonably expects that at least eighty-five percent (85%) of the Bond Funded Portion of the Project Funds will be allocated to expenditures for the Project within three (3) years of the earlier of the effective date of this Agreement or the date the Bonds are issued ("Applicable Date"). The Recipient has incurred, or reasonably expects that it will incur within six (6) months of the Applicable Date, a substantial binding obligation (i.e., not subject to contingencies within the control of the Recipient or a related party) to a third party to expend at least five percent (5%) of the Bond Funded Portion of the Project Funds on Project Costs. The completion of acquisition, construction, improvement and equipping of the Project and the allocation of the Bond Funded Portion of the Project Funds to Project Costs will proceed with due diligence.
Exhibit F
671
F.7 Working Capital.
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: 02201018
Project No.: C-06-8577-110
No operational expenditures of the Recipient or any related entity are being, have been or will be financed or refinanced with Project Funds.
F.8 Expenditure of Proceeds.
The Bond Funded Portion of the Project Funds shall be used exclusively for the following purposes: (i) Reimbursement Expenditures (as defined in Section F.20 below), (ii) Preliminary Expenditures (as defined in Section F.20 below) in an aggregate amount not exceeding twenty percent (20%) of the Bond Funded Portion of the Project Funds, (iii) capital expenditures relating to the Project originally paid by the Recipient on or after the date hereof, (iv) interest on the Obligation through the later of three (3) years after the Applicable Date or one (1) year after the Project is placed in service, and (v) initial operating expenses directly associated with the Project in the aggregate amount not more than five percent (5%) of the Bond Funded Portion of the Project Funds.
F.9 Private Use and Private Payments.
No portion of the Project Funds or the Project is being, has been or will be used in the aggregate for any activities that constitute a Private Use (as defined below). No portion of the principal of or interest with respect to the Payments will be secured by any interest in property (whether or not the Project) used for a Private Use or in payments in respect of property used for a Private Use, or will be derived from payments in respect of property used for a Private Use. "Private Use" means any activity that constitutes a trade or business that is carried on by persons or entities, other than a Governmental Unit. The leasing of the Project or the access by or the use of the Project by a person or entity other than a Governmental Unit on a basis other than as a member of the general public shall constitute a Private Use. Use by or on behalf of the State of California or any of its agencies, instrumentalities or subdivisions or by any local Governmental Unit and use as a member of the general public will be disregarded in determining whether a Private Use exists. Use under an arrangement that conveys priority rights or other preferential benefits is generally not use on the same basis as the general public. Arrangements providing for use that is available to the general public at no charge or on the basis of rates that are generally applicable and uniformly applied do not convey priority rights or other preferential benefits. For this purpose, rates may be treated as generally applicable and uniformly applied even if (i) different rates apply to different classes of users, such as volume purchasers, if the differences in rates are customary and reasonable; or (ii) a specially negotiated rate arrangement is entered into, but only if the user is prohibited by federal law from paying the generally applicable rates, and the rates established are as comparable as reasonably possible to the generally applicable rates. An arrangement that does not otherwise convey priority rights or other preferential benefits is not treated, nevertheless, as general public use if the term of the use under the arrangement, including all renewal options, is greater than 200 days. For this purpose, a right of first refusal to renew use under the arrangement is not treated as a renewal option if (i) the compensation for the use under the arrangement is redetermined at generally applicable, fair market value rates that are in effect at the time of renewal; and (ii) the use of the financed property under the same or similar arrangements is predominantly by natural persons who are not engaged in a trade or business.
F.10 No Sale, Lease or Private Operation of the Project.
The Project (or any portion thereof) will not be sold or otherwise disposed of, in whole or in part, to any person who is not a Governmental Unit prior to the final maturity date of the Obligation. The Project will not be leased to any person or entity that is not a Governmental Unit prior to the final maturity date of the Obligation. Except as permitted under Section F.12 hereof, the Recipient will not enter any contract or arrangement or cause or permit any contract or arrangement to be entered with persons or entities that are not Governmental Units if that contract or arrangement would confer on such persons or entities any right to use the Project on a basis different from the right of members of the general public. The contracts or arrangements contemplated by the preceding sentence include but are not limited to management contracts, take or pay contracts or put or pay contracts, and capacity guarantee contracts.
Exhibit F
672
F.11 No Disproportionate or Unrelated Use.
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: D2201018
Project No.: C-06-8577-110
No portion of the Project Funds or the Project is being, has been, or will be used for a Private Use that is unrelated or disproportionate to the governmental use of the Project Funds.
F .12 Management and Service Contracts.
The Recipient represents that, as of the date hereof, it is not a party to any contract, agreement or other arrangement with any persons or entities engaged in a trade or business (other than Governmental Units) that involve the management or operation of property or the provision of services at or with respect to the Project that does not comply with the standards of the Treasury Regulations, Revenue Procedure 97-13, as modified by Revenue Procedure 2001-39 and IRS Notice 2014-67, or Revenue Procedure 2017-13, as applicable. The Recipient represents that it will not be party to any such contract, agreement or arrangement with any person or entity that is not a Governmental Unit for the management of property or the provision of services at or with respect to the Project, while the Obligation (including any obligation or series thereof issued to refund the Obligation, as the case may be) is outstanding, except: (a) with respect to any contract, agreement or arrangement that does not constitute "private business use" of the Project under Code §141 (b}, or (b) with respect to any contract, agreement or arrangement that complies with (i) Revenue Procedure 97-13, 1997-1 C.B. 632, as amended by Revenue Procedure 2001-39, 2001-2 C.B. 38, and as amplified by Notice 2014-67, with respect to contracts entered into before August 18, 2017 and not materially modified or extended after August 18, 2017, or (ii) Revenue Procedure 2017-13, with respect to contracts entered into or materially modified or extended on or after August 18, 2017, or (c) with respect to any contract, agreement or arrangement that does not give rise to use of the Bond Funded Portion of the Project Funds or the Project by a non-Governmental Unit of more than the amount of such non-qualified use permitted by the Code, or (d) in the event that the Recipient receives an opinion of counsel, satisfactory to the State Water Board and the Bank and expert in the issuance of state and local government bonds the interest on which is excluded from gross income under Section 103 of the Code ("Nationally-Recognized Bond Counsel"), that such contract, agreement or arrangement will not adversely affect the exclusion of the interest on the Obligation from gross income for federal income taxation purposes.
F.13 No Disposition of Financed Property.
As of the date hereof, the Recipient does not expect to sell or otherwise dispose of any portion of the Project, in whole or in part, prior to the final maturity date of the Obligation.
F.14 Useful Life of Project.
As of the date hereof, the Recipient reasonably expects that the economic useful life of the Project, commencing at Project Completion, will be at least equal to the term of this Agreement, as set forth in Exhibit A hereto.
F.15 Payments.
Payments generally are expected to be derived from assessments, taxes, fees, charges or other current Revenues of the Recipient in each year, and such current Revenues are expected to equal or exceed the Payments during each payment period. Any amounts accumulated in a sinking fund or bona fide debt service fund to pay Payments (whether or not deposited to a fund or account established by the Recipient) will be disbursed to pay Payments within thirteen months of the initial date of accumulation or deposit. Any such fund used for the payment of Payments will be depleted once a year except for a reasonable carryover amount not exceeding the greater of earnings on such fund or one-twelfth of the Payments in either case for the immediately preceding year.
F.16 No Other Replacement Proceeds.
The Recipient will not use any of the Bond Funded Portion of the Project Funds to replace or substitute other funds of the Recipient that were otherwise to be used to finance the Project or which are or will be used to acquire securities, obligations or other investment property reasonably expected to produce a yield that is materially higher than the yield on the Bonds.
Exhibit F
673
F.17 No Sinking or Pledged Fund.
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: 02201018
Project No.: C-06-8577-110
Except as set forth in Section F.18 below, the Recipient will not create or establish any sinking fund or pledged fund which will be used to pay Payments on the Obligation within the meaning of Section 1.148-1 (c) of the Treasury Regulations. If any sinking fund or pledged fund comes into being with respect to the Obligation before the Obligation has been fully retired which may be used to pay the Payments, the Recipient will invest such sinking fund and pledged fund moneys at a yield that does not exceed the yield on the Bonds.
F.18 Reserve Amount.
The State Water Board requires that the Recipient maintain and fund a separate account in an amount equal to one (1) year of debt service with respect to the Obligation (the "Reserve Amount") as set forth in Exhibit B. The Recipient represents that the Reserve Amount is and will be available to pay debt service with respect to the Obligation, if and when needed. The Reserve Amount consists·solely of revenues of the Recipient and does not include any proceeds of any obligations the interest on which is excluded from gross income for federal income tax purposes or investment earnings thereon. The aggregate of the Reserve Amount, up to an amount not exceeding the lesser of (i) ten percent of the aggregate principal amount of the Obligation, (ii) the maximum annual debt service with respect to the Obligation, or (iii) 125 percent of the average annual debt service with respect to the Obligation, will be treated as a reasonably required reserve fund.
F.19 Reimbursement Resolution.
The "reimbursement resolution" adopted by the Recipient is incorporated herein by reference.
F.20 Reimbursement Expenditures.
Reimbursements are disallowed, except as specifically authorized in Exhibit B or Exhibit D of this Agreement. To the extent so authorized, a portion of the Bond Funded Portion of the Project Funds may be applied to reimburse the Recipient for Project Costs paid before the date hereof, so long as the Project Cost was (i) not paid prior to sixty (60) days before the Recipient adoption of a declaration of official intent to finance the Project, (ii) not paid more than eighteen (18) months prior to the date hereof or the date the Project was placed-in-service, whichever is later, and (iii) not paid more than three (3) years prior to the date hereof (collectively, "Reimbursement Expenditures"), unless such cost is attributable to a "preliminary expenditure." Preliminary expenditure for this purpose means architectural, engineering, surveying, soil testing and similar costs incurred prior to the commencement of construction or rehabilitation of the Project, but does not include land acquisition, site preparation and similar costs incident to the commencement of acquisition, construction or rehabilitation of the Project. Preliminary expenditures may not exceed 20% of the Bond Funded Portion of the Project Funds.
F.21 Change in Use of the Project.
The Recipient reasonably expects to use all of the Bond Funded Portion of the Project Funds and the Project for the entire stated term to maturity of the Obligation. Absent an opinion of Nationally-Recognized Bond Counsel to the effect that such use of the Bond Funded Portion of the Project Funds will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code, the Recipient will use the Bond Funded Portion of the Project Funds and the Project solely as set forth in this Agreement.
F.22 Rebate Obligations.
If the Recipient satisfies the requirements of one of the spending exceptions to rebate specified in Section 1.148-7 of the Treasury Regulations, amounts earned from investments, if any, acquired with the Bond Funded Portion of the Project Funds will not be subject to the rebate requirements imposed under Section 148(f) of the Code. If the Recipient fails to satisfy such requirements for any period, it will notify the State Water Board and the Bank immediately and will comply with the provisions of the Code and the Treasury Regulations at such time, including the payment of any rebate amount calculated by the State Water Board or the Bank.
Exhibit F
674
F.23 No Federal Guarantee.
City of Santa Paula & Santa Paula Utility Authority
Agreement No.: 02201018
Project No.: C-06-8577-110
The Recipient will not directly or indirectly use any of the Bond Funded Portion of the Project Funds in any manner that would cause the Bonds to be "federally guaranteed" within the meaning of Section 149(b) of the Code, taking into account various exceptions including any guarantee related to investments during an initial temporary period until needed for the governmental purpose of the Bonds, investments as part of a bona fide debt service fund, investments of a reasonably required reserve or replacement fund, investments in bonds issued by the United States Treasury, investments in refunding escrow funds or certain other investments permitted under the Treasury Regulations.
F.24 No Notices or Inquiries from IRS.
Within the last 10 years, the Recipient has not received any notice of a final action of the Internal Revenue Service that determines that interest paid or payable on any debt obligation of the Recipient is or was includable in the gross income of an owner or beneficial owner thereof for federal income tax purposes under the Code.
F.25 Amendments.
The provisions in this Exhibit may be amended, modified or supplemented at any time to reflect changes in the Code upon obtaining written approval of the State Water Board and the Bank and an opinion of NationallyRecognized Bond Counsel to the effect that such amendment, modification or supplement will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code.
F.26 Reasonable Expectations.
The Recipient warrants that, to the best of its knowledge, information and belief, and based on the facts and estimates as set forth in the tax covenants in this Exhibit, the expectations of the Recipient as set forth in this Exhibit are reasonable. The Recipient is not aware of any facts or circumstances that would cause it to question the accuracy or reasonableness of any representation made in the provisions in this Exhibit.
F.27 Assignment.
The Recipient consents to any pledge, sale, or assignment to the Bank or a trustee for the benefit of the owners of the Bonds, if any, at any time of any portion of the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement and the right to make all related waivers and agreements in the name and on behalf of the State Water Board, as agent and attorney-in-fact, and to perform all other related acts which are necessary and appropriate under this Agreement, if any, and the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement to Payments (but excluding the State Water Board's rights to Additional Payments and to notices, opinions and indemnification under each Obligation).
Exhibit F
675
Documents Transmitted back to Adobe by the Recipient:
Steps:
1. Once the Adobe notification has been received, the Recipient will open Adobe. The Recipient must checkmark the box to agree to the Consumer Disclosure. Click on [Accept]
2. The Recipient will need to download the (PDF) documents by selecting the corresponding radio button. Ensure to save the documents to the desired location. . - . - " : -w 1 /6 e ® ~
3. Once you have saved the documents to the desired location, the Recipient will proceed with generating the required closing documents. For the documents to be edited, you must save your file in Word format. Click on [File-Export To-Microsoft Word - Word Document] M1aosoft Word • l!'lord Document
4. Once the Recipient has completed the closing documents, the file must be saved as "Adobe PDF" for their respective digital signatures to be entered.
5. The Recipient will select [Certificates] from the tools field and using your mouse, click and drag to draw the area where you would like the signature to appear. A dialogue message box will display your Digital ID press [Continue] and click on [Sign]. [Save] , Certificates
Adobe Acrobat
Using your mouse. click and drag to draw the area where you would lib the signature to appear. Once you finish dragging out the desired area, you will be taken to the next step of the signing process.
0 Do not show this message again
OK
676
6. The Recipient will attach the signed documents to Adobe by clicking the [Click to Attachment] and downloading the signed document(s).
Click to Attach ...
7. Once the closing document(s) have been attached, the Recipient will click on the [Click to Sign] button.
By signing. I agree to the tenns of this agreement and to do business electronically with CUck to Sign CAL.EPA -State Water Resources Control Board.
677
Indian Wells
(760) 568-2611
I Nine
(949) 263-2600
Los Angeles
(213) 617-8100
Manhattan Beach
(310) 643-8448
IMlk
BEST BEST & KRIEGER~
ATTORNEYS AT LAW
3390 University Avenue, 5th Floor, P .0. Box 1028, Riverside, CA 92502 Phone: (951) 686-1450 I Fax: (951) 686-3083 I www.bbklaw.com [CLOSING DATE]
State Water Resources Control Board
Division of Financial Assistance
Attn: Koreenia Harmon
1001 I Street
Sacramento, CA 95814
Ontario
(909) 989-8584
Sacramento
(916) 325-4000
San Diego
(619) 525-1300
Walnut Creek
(925) 977-3300
Washington, DC
(202) 785-0600
Re: Santa Paula Utility Authority ("Recipient") Construction Installment Sale Agreement - Advanced Water Treatment Facility Project No. 8577-110 ("Project"), Agreement Number: ____ _
Ladies and Gentlemen:
We serve as City Attorney to the City of Santa Paula (the "City") in connection with the Project. This opinion is delivered to the State Water Resources Control Board ("State Water Board") at the request of the City. In connection therewith, we have examined the laws pertaining to the City, originals of the Construction Installment Sale Agreement, dated , 2022, by and among the Recipient, the City of Santa Paula, and the State Water Board ("Agreement"), the City's rate-setting Ordinance No. 1286, adopted on November 20, 2019, the City's debt management policy, documents related to each of the Material Obligations as set forth in the Agreement, and such other documents, legal opinions, instruments and records, and have made such investigation oflaw and fact, as we have considered necessary or appropriate for the purpose of this opinion (collectively, the "City Documents").
The opinions expressed herein are based on an analysis of existing statutes, regulations, rulings and court decisions and cover certain matters not directly addressed by such authorities.
Such opinions may be affected by actions taken or omitted or events occurring after the date hereof.
We have not undertaken to determine, or to inform any person, whether any such actions or events are taken or do occur.
In our examination, we have assumed, without independent investigation, the authenticity of all documents submitted to us as originals, of all documents submitted to us as certified or photostatic copies and the authenticity of the originals of such latter documents and the accuracy of the statements and representations contained in such documents. In addition, we have assumed the authority of and due execution by each of the parties to the documents other than the City.
As used in this opinion, the phrase "to the best of our knowledge based upon reasonable investigation" means knowledge as we have obtained from (i) the representations and warranties 65283.00011\40188484.2
678
IMlk
BEST BEST & KRIEGER~
ATTORNEYS AT LAW
State Water Resources Control Board
[CLOSING DATE]
Page2
contained in each document covered by this opinion and delivered by the City, (ii) the incumbency and signature certificate of the City, and (iii) knowledge of facts or other infonnation currently known to lawyers in this office who have performed legal services for the City.
Based on the foregoing, we are of the opinion that:
(a) The City is a municipal corporation and general law city organized and existing under the laws of the State of California and has the requisite legal right, power, and authority to execute and deliver the Agreement and carry out and consummate all transactions contemplated therein.
(b) The City Documents have been duly adopted at meetings of the City which were called and held pursuant to law with all public notice required by law and at which a quorum was present and acting when the City Documents were adopted. The City Documents are in full force and effect and have not been amended, modified, supplemented, or rescinded, nor has the rate-setting resolution been challenged or the rates become subject of a referendum or initiative or other similar process. ( c) To the best of our knowledge based upon a reasonable investigation, all proceedings required by law or under the ordinances of the City to be taken by the City in connection with the authorization of the Agreement and the transactions contemplated by and related thereto, and all such approvals, authorizations, consents or other orders of or filings or registrations with such public boards or bodies, if any, as may be legally required to be obtained by the City prior to the date hereof with respect to all or any of such matters have been taken or obtained and are in full force and effect, except that no opinion is expressed as to any approvals, obligations or proceedings which may be required under any federal securities laws or state blue sky or securities laws. ( d) To the best of our knowledge based upon a reasonable investigation, the execution and delivery of the Agreement and the consummation of the transactions therein will not conflict with or constitute a breach of or default (with due notice or the passage of time or both) under (i) the statutes creating the City or any amendments thereto, (ii) the ordinances or by laws of the City, (iii) any bond, debenture, note or other evidence of indebtedness, or any material contract, agreement or lease to which the City is a party or by which it or its properties are otherwise subject or bound or (iv) any applicable law or administrative regulation or any applicable court or administrative decree or order. ( e) [To the best of our knowledge and based upon a reasonable investigation, the City has sufficient property rights in the Project property for the purposes contemplated 65283.00011\40188484.2
679
l~lk BEST BEST & KRIEGER~
ATTORNEYS AT LAW
State Water Resources Control Board
[CLOSING DATE]
in the Agreement and the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 ( 42 U.S.C. 4601) are inapplicable to the Project.
The City has all property rights to access, construct, operate, and maintain the Project, which shall extend at least for the useful life of the Project.] (f) To the best of our knowledge based upon a reasonable investigation, there is no action, suit, proceeding, inquiry or investigation before or by any court of federal, state, municipal or other governmental authority pending or threatened against or affecting the City's System, as defined in the Agreement, or the assets, properties or operations of the City relating to its System which, if determined adversely to the City or its interests would result in any material change in the assets or financial condition of the City, the City's System or the financial condition thereof, and the City is not in default with respect to any order or decree of any court or any order, regulation, or demand of any federal, state, municipal, or other governmental agency which default might have consequences that would materially and adversely affect the financial condition of the City or its System. (g) Without having undertaken any independent investigation as to the accuracy or completeness of such information and without having undertaken any review of any financial or statistical infonnation contained therein, no facts have come to our attention which lead us to believe that the City's authorized representative has made any untrue statement of a material fact or omitted or omits to state a material fact or has made misleading statements in the Agreement.
(h) The Agreement has been duly authorized, executed, and delivered, and assuming due authorization, execution and delivery of the Agreement by the State Water Board, constitutes legal, valid, and binding obligation of the City enforceable against the City in accordance with its terms, subject to the laws relating to bankruptcy, insolvency, reorganization, or creditors' rights generally and to the application of equitable principles, if equitable remedies are sought.
Our opinion is further qualified by the following:
(a) We express no opinion with respect to the laws of any state or jurisdiction other than California and the United States regarding the enforceability of any transaction mentioned herein or the interpretation, authorization, execution, validity, enforceability or effect of any of the documents mentioned herein; provided further that we express no opinion with respect to California or federal tax and securities law. 65283.00011\40188484.2
680
l~lk BEST BEST & KRIEGER~
ATTORNEYS AT LAW
State Water Resources Control Board
[CLOSING DATE]
Page4
(b) As City Attorney to the City in this matter, we have not rendered financial advice to the City and do not represent by this opinion, or otherwise, that we reviewed or made any assessment about, nor do we express any opinion about, the financial ability of the City to pay debt service or amounts due under the Agreement.
The opinions set forth in this letter are limited only to those matters expressly set forth herein. This letter is furnished by us as City Attorney to the City. Other than the City, no attorneyclient relationship has existed or exists between our firm and you in connection with the Agreement or by virtue of this letter. Our engagement with respect to the Agreement has terminated as of the date hereof, and we disclaim any obligation to update this letter. This letter is delivered to you, is solely for your benefit and is not to be relied upon for any other purpose or by any other person without our written consent.
We bring to your attention the fact that our conclusions are an expression of professional judgment and are not a guarantee of a result.
Sincerely,
65283.00011\40188484.2
681
lndlanWells
(760) 568-2611
Irvine
(949) 263-2600
Los Angeles
(213) 617-8100
Manhattan Beach
(310) 643-8448
IMlk
BEST BEST & KRIEGER:!
ATTORNEYS AT LAW
3390 University Avenue, 5th Floor, P.O. Box 1028, Riverside, CA 92502 Phone: (951) 686-1450 I Fax: (951) 686-3083 I www.bbklaw.com [CLOSING DATE]
State Water Resources Control Board
Division of Financial Assistance
Attn: Austin Anthony
1001 I Street
Sacramento, CA 95814
Ontario
(909) 989-8584
Sacramento
(916) 325-4000
San Diego
(619) 525-1300
Walnut Creek
(925) 977-3300
Washington, DC
(202) 785-0600
Re: Santa Paula Utility Authority ("Recipient") Construction Installment Sale Agreement - Advanced Water Treatment Facility Project No. 8577-110 ("Project"), Agreement Number: ____ _
Ladies and Gentlemen:
We serve as General Counsel to the Recipient in connection with the Project. This opinion is delivered to the State Water Resources Control Board ("State Water Board") at the request of the Recipient. In connection therewith, we have examined the laws pertaining to the Recipient, originals of the Construction Installment Sale Agreement, dated , 2022, by and among the Recipient, the City of Santa Paula, and the State Water Board ("Agreement"), the Recipient's authorized representative Resolution No. 7398, adopted on May 4, 2022, the Recipient's reimbursement Resolution No. 7399, adopted on May 4, 2022 (collectively, the "Recipient Resolutions"), documents related to each of the Material Obligations as set forth in the Agreement, and such other documents, legal opinions, instruments and records, and have made such investigation of law and fact, as we have considered necessary or appropriate for the purpose of this opinion.
The opinions expressed herein are based on an analysis of existing statutes, regulations, rulings and court decisions and cover certain matters not directly addressed by such authorities.
Such opinions may be affected by actions taken or omitted or events occurring after the date hereof.
We have not undertaken to determine, or to inform any person, whether any such actions or events are taken or do occur.
In our examination, we have assumed, without independent investigation, the authenticity of all documents submitted to us as originals, of all documents submitted to us as certified or photostatic copies and the authenticity of the originals of such latter documents and the accuracy of the statements and representations contained in such documents. In addition, we have assumed the authority of and due execution by each of the parties to the documents other than the Recipient. 65283.00011\40131250.4
682
IMlk
BEST BEST & KRIEGER~
ATTORNEYS AT LAW
State Water Resources Control Board
[CLOSING DATE]
Page2
As used in this opinion, the phrase "to the best of our knowledge based upon reasonable investigation" means knowledge as we have obtained from (i) the representations and warranties contained in each document covered by this opinion and delivered by the Recipient, (ii) the incumbency and signature certificate of the City, and (iii) knowledge of facts or other information currently known to lawyers in this office who have performed legal services for the Recipient.
Based on the foregoing, we are of the opinion that:
(a) The Recipient, a joint powers authority organized and existing under and by virtue of article s 1 through 4 of chapter 5 of division 7 of title 1 (commencing with section 6500) of the California Government Code, as amended, and that certain Joint Exercise of Powers Agreement, dated as of November 19, 2009 to establish the Recipient, has the requisite legal right, power, and authority to execute and deliver the Agreement and carry out and consummate all transactions contemplated therein. (b) The Recipient Resolutions have been duly adopted at meetjngs of the Recipient which were called and held pursuant to law with all public notice required by law and at which a quorum was present and acting when the Recipient Resolutions were adopted. The Recipient Resolutions are in full force and effect and have not been amended, modified, supplemented, or rescinded, nor has the rate-setting resolution been challenged or the rates become subject of a referendum or initiative or other similar process. (c) To the best of our knowledge based upon a reasonable investigation, all proceedings required by law or under the ordinances or bylaws of the Recipient to be taken by the Recipient in connection with the authorization of the Agreement and the transactions contemplated by and related thereto, and all such approvals, authorizations, consents or other orders of or filings or registrations with such public boards or bodies, if any, as may be legally required to be obtained by the Recipient prior to the date hereof with respect to all or any of such matters have been taken or obtained and are in full force and effect, except that no opinion is expressed as to any approvals, obligations or proceedings which may be required under any federal securities laws or state blue sky or securities laws. (d) To the best of our knowledge based upon a reasonable investigation, the execution and delivery of the Agreement and the consummation of the transactions therein will not conflict with or constitute a breach of or default (with due notice or the passage of time or both) under (i) the statutes creating the Recipient or any amendments thereto, (ii) the ordinances or by laws of the Recipient, (iii) any bond, debenture, note or other evidence of indebtedness, or any material contract, agreement or lease to which the Recipient is a 65283.0001 l\40131250.4
683
l~lk BEST BEST & KRIEGER~
ATTORNEYS AT LAW
State Water Resources Control Board
[CLOSING DATE]
party or by which it or its properties are otherwise subject or bound or (iv) any applicable law or administrative regulation or any applicable court or administrative decree or order. (e) [To the best of our knowledge and based upon a reasonable investigation, the Recipient, as lessee of the System (as defined in the Agreement), has sufficient property rights in the Project property for the purposes contemplated in the Agreement and the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601) are inapplicable to the Project. The Recipient has all property rights to access, construct, operate, and maintain the Project, which shall extend at least for the useful life of the Project.]
(f) [To the best of our knowledge based upon a reasonable investigation, there is no action, suit, proceeding, inquiry or investigation before or by any court of federal, state, municipal or other governmental authority pending or threatened against or affecting the System that is leased to the Recipient, as defined in the Agreement, or the assets, properties or operations of the Recipient relating to its System which, if determined adversely to the Recipient or its interests would result in any material change in the assets or financial condition of the Recipient, the System or the financial condition thereof, and the Recipient is not in default with respect to any order or decree of any court or any order, regulation, or demand of any federal, state, municipal, or other governmental agency which default might have consequences that would materially and adversely affect the financial condition of the Recipient or the System.]
(g) Without having undertaken any independent investigation as to the accuracy or completeness of such infonnation and without having undertaken any review of any financial or statistical information contained therein, no facts have come to our attention which lead us to believe that the Recipient's authorized representative has made any untrue statement of a material fact or omitted or omits to state a material fact or has made misleading statements in the Agreement.
(h) The Agreement has been duly authorized, executed, and delivered, and assuming due authorization, execution and delivery of the Agreement by the State Water Board, constitutes legal, valid, and binding obligation of the Recipient enforceable against the Recipient in accordance with its terms, subject to the laws relating to bankruptcy, insolvency, reorganization, or creditors' rights generally and to the application of equitable principles, if equitable remedies are sought.
Our opinion is 'further qualified by the following:
65283.00011\40131250.4
684
IMlk
BEST BEST & KRIEGER~
ATTORNEYS AT LAW
State Water Resources Control Board
[CLOSING DATE]
Page4
(a) We express no opinion with respect to the laws of any state or jurisdiction other than California and the United States regarding the enforceability of any transaction mentioned herein or the interpretation, authorization, execution, validity, enforceability or effect of any of the documents mentioned herein; provided further that we express no opinion with respect to California or federal tax and securities law. (b) As General Counsel to the Recipient in this matter, we have not rendered financial advice to the Recipient and do not represent by this opinion, or otherwise, that we reviewed or made any assessment about, nor do we express any opinion about, the financial ability of the Recipient to pay debt service or amounts due under the Agreement.
The opinions set forth in this letter are limited only to those matters expressly set forth herein. This letter is furnished by us as General Counsel to the Recipient. Other than the Recipient, no attorney-client relationship has existed or exists between our firm and you in connection with the Agreement or by virtue of this letter. Our engagement with respect to the Agreement has terminated as of the date hereof, and we disclaim any obligation to update this letter. This letter is delivered to you, is solely for your benefit and is not to be relied upon for any other purpose or by any other person without our written consent.
We bring to your attention the fact that our conclusions are an expression of professional judgment and are not a guarantee of a result.
Sincerely,
65283.00011\40131250.4
685
Water Boards
State Water Resources Control Board
May 16, 2023
SINGLE AUDIT REPORTING
N
, ~ J ARED B LUMENFELD l
~
~~ SECRETARY FOR
El~VI NM NT L PROTECTION
Your financing agreement may be funded with Federal Capitalization Grants, from Federal Catalog 66.458. If your financing agreement is funded with Federal Capitalization Grants, you will be bound by the rules and regulations set forth in the Office of Management and Budget (OMB) Circular A-133. This requirement includes the submission of a single or program audit if you expend amounts of $750,000 or more of Federal funds during a fiscal year. The receipt of the funds may be either direct or via a pass-through entity as the State Water Resources Control Board. The Single Audit Report must be submitted to the State Controller's Office (SCO) and to the State Water Resources Control Board, Division of Financial Assistance within nine months after the end of your fiscal year.
If you have any questions regarding the Single Audit Report, please contact Ms. Xia Lao (916) 319-0163 or email at [email protected].
F ELICIA M ARCUS , CHAIR I EI LEEN S OBECK, EXECUTIVE DIRECTOR 1001 I Street, Sacramento, CA 958 14 I Mailing Address: P.O. Box 100, Sacrament o , CA 95812-0100 I www.waterboards.ca.gov 0 RECYC L ED PAPER 686
California Environmental Quality Act (CEQA) Determination City of Santa Paula (Applicant)
City of Santa Paula Advanced Water Treatment Facility (Project) Project Number: C-06-8577-110
As the Deputy Director for the State Water Resources Control Board (State Water Board), Division of Financial Assistance, I have been delegated the authority to approve and execute the financing agreement for projects that are routine and non-controversial.
The execution of the financing agreement is an action that is subject to CEQA. The authority to make this CEQA determination necessarily accompanies the delegation to approve and execute the financing agreement for this Project. I hereby find the following:
1. The Applicant is the CEQA Lead Agency and the State Water Board is a Responsible Agency under CEQA. The Applicant approved a Notice of Exemption (NOE) for the Project on October 12, 2020, and filed an NOE with the Ventura County Clerk on October 12, 2020 and the Governor's Office of Planning and Research, State Clearinghouse (No. 2020110084) on November 05, 2020.
2. This Project is categorically exempt under the CEQA Guidelines, California Code of Regulations, title 14, division 6, chapter 3, article 19, sections 15301 and 153030. The Project involves the operation, repair, and maintenance of an existing facility, involving negligible expansion of existing use. The Project includes the construction of limited numbers of new, small facilities or structures.
3. The Project will not result in any significant adverse water quality impacts.
A final copy of the NOE and record of financing approval for the Project are available to the general public at the State Water Board, Division of Financial Assistance at 1001 I Street, 16th Floor, Sacramento, CA 95814.
J Oe Ka rkos~ Elig lly signed by Joe Karkoski
I\: @ate: 2023.04.19 12:12:07-07'00'
Joe Karkoski, Deputy Director
Division of Financial Assistance
C/DWSRF CEQA Determination Resp. 1
Date
Rev. 7/2021
687
EXHIBIT C
General Counsel Opinion SPUA & COSP
State Revolving Fund Loan Agreement for City of Santa
Paula Advanced Water Treatment Facility
688
65283.00011\40131250.4
Indian Wells
(760) 568-2611
Irvine
(949) 263-2600
Los Angeles
(213) 617-8100
Manhattan Beach
(310) 643-8448
Ontario
(909) 989-8584
Sacramento
(916) 325-4000
San Diego
(619) 525-1300
Walnut Creek
(925) 977-3300
Washington, DC
(202) 785-0600
3390 University Avenue, 5th Floor, P.O. Box 1028, Riverside, CA 92502 Phone: (951) 686-1450 | Fax: (951) 686-3083 | www.bbklaw.com [CLOSING DATE]
State Water Resources Control Board
Division of Financial Assistance
Attn: Austin Anthony
1001 I Street
Sacramento, CA 95814
Re: Santa Paula Utility Authority (“Recipient”) Construction Installment Sale Agreement - Advanced Water Treatment Facility Project No. 8577-110 (“Project”), Agreement Number: ___________,
Ladies and Gentlemen:
We serve as General Counsel to the Recipient in connection with the Project. This opinion is delivered to the State Water Resources Control Board (“State Water Board”) at the request of the Recipient. In connection therewith, we have examined the laws pertaining to the Recipient, originals of the Construction Installment Sale Agreement, dated _________, 2023, by and among the Recipient, the City of Santa Paula, and the State Water Board (“Agreement”), the Recipient’s authorized representative Resolution No. 7398, adopted on May 4, 2022, the Recipient’s reimbursement Resolution No. 7399, adopted on May 4, 2022 (collectively, the “Recipient Resolutions”), documents related to each of the Material Obligations as set forth in the Agreement, and such other documents, legal opinions, instruments and records, and have made such investigation of law and fact, as we have considered necessary or appropriate for the purpose of this opinion.
The opinions expressed herein are based on an analysis of existing statutes, regulations, rulings and court decisions and cover certain matters not directly addressed by such authorities.
Such opinions may be affected by actions taken or omitted or events occurring after the date hereof.
We have not undertaken to determine, or to inform any person, whether any such actions or events are taken or do occur.
In our examination, we have assumed, without independent investigation, the authenticity of all documents submitted to us as originals, of all documents submitted to us as certified or photostatic copies and the authenticity of the originals of such latter documents and the accuracy of the statements and representations contained in such documents. In addition, we have assumed the authority of and due execution by each of the parties to the documents other than the Recipient. 689
65283.00011\40131250.4
State Water Resources Control Board
[CLOSING DATE]
As used in this opinion, the phrase "to the best of our knowledge based upon reasonable investigation" means knowledge as we have obtained from (i) the representations and warranties contained in each document covered by this opinion and delivered by the Recipient, (ii) the incumbency and signature certificate of the City, and (iii) knowledge of facts or other information currently known to lawyers in this office who have performed legal services for the Recipient.
Based on the foregoing, we are of the opinion that:
(a) The Recipient, a joint powers authority organized and existing under and by virtue of article s1 through 4 of chapter 5 of division 7 of title 1 (commencing with section 6500) of the California Government Code, as amended, and that certain Joint Exercise of Powers Agreement, dated as of November 19, 2009 to establish the Recipient, has the requisite legal right, power, and authority to execute and deliver the Agreement and carry out and consummate all transactions contemplated therein. (b) The Recipient Resolutions have been duly adopted at meetings of the Recipient which were called and held pursuant to law with all public notice required by law and at which a quorum was present and acting when the Recipient Resolutions were adopted. The Recipient Resolutions are in full force and effect and have not been amended, modified, supplemented, or rescinded, nor has the rate-setting resolution been challenged or the rates become subject of a referendum or initiative or other similar process. (c) To the best of our knowledge based upon a reasonable investigation, all proceedings required by law or under the ordinances or bylaws of the Recipient to be taken by the Recipient in connection with the authorization of the Agreement and the transactions contemplated by and related thereto, and all such approvals, authorizations, consents or other orders of or filings or registrations with such public boards or bodies, if any, as may be legally required to be obtained by the Recipient prior to the date hereof with respect to all or any of such matters have been taken or obtained and are in full force and effect, except that no opinion is expressed as to any approvals, obligations or proceedings which may be required under any federal securities laws or state blue sky or securities laws. (d) To the best of our knowledge based upon a reasonable investigation, the execution and delivery of the Agreement and the consummation of the transactions therein will not conflict with or constitute a breach of or default (with due notice or the passage of time or both) under (i) the statutes creating the Recipient or any amendments thereto, (ii) the ordinances or by laws of the Recipient, (iii) any bond, debenture, note or other evidence of indebtedness, or any material contract, agreement or lease to which the Recipient is a 690
65283.00011\40131250.4
State Water Resources Control Board
[CLOSING DATE]
party or by which it or its properties are otherwise subject or bound or (iv) any applicable law or administrative regulation or any applicable court or administrative decree or order. (e) To the best of our knowledge and based upon a reasonable investigation, the Recipient, as lessee of the System (as defined in the Agreement), has sufficient property rights in the Project property for the purposes contemplated in the Agreement and the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601) are inapplicable to the Project. The Recipient has all property rights to access, construct, operate, and maintain the Project, which shall extend at least for the useful life of the Project.
(f) To the best of our knowledge based upon a reasonable investigation, there is no action, suit, proceeding, inquiry or investigation before or by any court of federal, state, municipal or other governmental authority pending or threatened against or affecting the System that is leased to the Recipient, as defined in the Agreement, or the assets, properties or operations of the Recipient relating to its System which, if determined adversely to the Recipient or its interests would result in any material change in the assets or financial condition of the Recipient, the System or the financial condition thereof, and the Recipient is not in default with respect to any order or decree of any court or any order, regulation, or demand of any federal, state, municipal, or other governmental agency which default might have consequences that would materially and adversely affect the financial condition of the Recipient or the System.
(g) Without having undertaken any independent investigation as to the accuracy or completeness of such information and without having undertaken any review of any financial or statistical information contained therein, no facts have come to our attention which lead us to believe that the Recipient’s authorized representative has made any untrue statement of a material fact or omitted or omits to state a material fact or has made misleading statements in the Agreement.
(h) The Agreement has been duly authorized, executed, and delivered, and assuming due authorization, execution and delivery of the Agreement by the State Water Board, constitutes legal, valid, and binding obligation of the Recipient enforceable against the Recipient in accordance with its terms, subject to the laws relating to bankruptcy, insolvency, reorganization, or creditors’ rights generally and to the application of equitable principles, if equitable remedies are sought.
Our opinion is further qualified by the following:
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65283.00011\40131250.4
State Water Resources Control Board
[CLOSING DATE]
(a) We express no opinion with respect to the laws of any state or jurisdiction other than California and the United States regarding the enforceability of any transaction mentioned herein or the interpretation, authorization, execution, validity, enforceability or effect of any of the documents mentioned herein; provided further that we express no opinion with respect to California or federal tax and securities law. (b) As General Counsel to the Recipient in this matter, we have not rendered financial advice to the Recipient and do not represent by this opinion, or otherwise, that we reviewed or made any assessment about, nor do we express any opinion about, the financial ability of the Recipient to pay debt service or amounts due under the Agreement.
The opinions set forth in this letter are limited only to those matters expressly set forth herein. This letter is furnished by us as General Counsel to the Recipient. Other than the Recipient, no attorney-client relationship has existed or exists between our firm and you in connection with the Agreement or by virtue of this letter. Our engagement with respect to the Agreement has terminated as of the date hereof, and we disclaim any obligation to update this letter. This letter is delivered to you, is solely for your benefit and is not to be relied upon for any other purpose or by any other person without our written consent.
We bring to your attention the fact that our conclusions are an expression of professional judgment and are not a guarantee of a result.
Sincerely,
692
65283.00011\40188484.2
Indian Wells
(760) 568-2611
Irvine
(949) 263-2600
Los Angeles
(213) 617-8100
Manhattan Beach
(310) 643-8448
Ontario
(909) 989-8584
Sacramento
(916) 325-4000
San Diego
(619) 525-1300
Walnut Creek
(925) 977-3300
Washington, DC
(202) 785-0600
3390 University Avenue, 5th Floor, P.O. Box 1028, Riverside, CA 92502 Phone: (951) 686-1450 | Fax: (951) 686-3083 | www.bbklaw.com [CLOSING DATE]
State Water Resources Control Board
Division of Financial Assistance
Attn: Austin Anthony
1001 I Street
Sacramento, CA 95814
Re: Santa Paula Utility Authority (“Recipient”) Construction Installment Sale Agreement - Advanced Water Treatment Facility Project No. 8577-110 (“Project”), Agreement Number: ___________,
Ladies and Gentlemen:
We serve as City Attorney to the City of Santa Paula (the “City”) in connection with the Project. This opinion is delivered to the State Water Resources Control Board (“State Water Board”) at the request of the City. In connection therewith, we have examined the laws pertaining to the City, originals of the Construction Installment Sale Agreement, dated _________, 2023, by and among the Recipient, the City of Santa Paula, and the State Water Board (“Agreement”), the City’s rate-setting Ordinance No. 1286, adopted on November 20, 2019, the City’s debt management policy, documents related to each of the Material Obligations as set forth in the Agreement, and such other documents, legal opinions, instruments and records, and have made such investigation of law and fact, as we have considered necessary or appropriate for the purpose of this opinion (collectively, the “City Documents”).
The opinions expressed herein are based on an analysis of existing statutes, regulations, rulings and court decisions and cover certain matters not directly addressed by such authorities.
Such opinions may be affected by actions taken or omitted or events occurring after the date hereof.
We have not undertaken to determine, or to inform any person, whether any such actions or events are taken or do occur.
In our examination, we have assumed, without independent investigation, the authenticity of all documents submitted to us as originals, of all documents submitted to us as certified or photostatic copies and the authenticity of the originals of such latter documents and the accuracy of the statements and representations contained in such documents. In addition, we have assumed the authority of and due execution by each of the parties to the documents other than the City.
As used in this opinion, the phrase "to the best of our knowledge based upon reasonable investigation" means knowledge as we have obtained from (i) the representations and warranties 693
65283.00011\40188484.2
State Water Resources Control Board
[CLOSING DATE]
contained in each document covered by this opinion and delivered by the City, (ii) the incumbency and signature certificate of the City, and (iii) knowledge of facts or other information currently known to lawyers in this office who have performed legal services for the City.
Based on the foregoing, we are of the opinion that:
(a) The City is a municipal corporation and general law city organized and existing under the laws of the State of California and has the requisite legal right, power, and authority to execute and deliver the Agreement and carry out and consummate all transactions contemplated therein.
(b) The City Documents have been duly adopted at meetings of the City which were called and held pursuant to law with all public notice required by law and at which a quorum was present and acting when the City Documents were adopted. The City Documents are in full force and effect and have not been amended, modified, supplemented, or rescinded, nor has the rate-setting resolution been challenged or the rates become subject of a referendum or initiative or other similar process. (c) To the best of our knowledge based upon a reasonable investigation, all proceedings required by law or under the ordinances of the City to be taken by the City in connection with the authorization of the Agreement and the transactions contemplated by and related thereto, and all such approvals, authorizations, consents or other orders of or filings or registrations with such public boards or bodies, if any, as may be legally required to be obtained by the City prior to the date hereof with respect to all or any of such matters have been taken or obtained and are in full force and effect, except that no opinion is expressed as to any approvals, obligations or proceedings which may be required under any federal securities laws or state blue sky or securities laws. (d) To the best of our knowledge based upon a reasonable investigation, the execution and delivery of the Agreement and the consummation of the transactions therein will not conflict with or constitute a breach of or default (with due notice or the passage of time or both) under (i) the statutes creating the City or any amendments thereto, (ii) the ordinances or by laws of the City, (iii) any bond, debenture, note or other evidence of indebtedness, or any material contract, agreement or lease to which the City is a party or by which it or its properties are otherwise subject or bound or (iv) any applicable law or administrative regulation or any applicable court or administrative decree or order. (e) To the best of our knowledge and based upon a reasonable investigation, the City has sufficient property rights in the Project property for the purposes contemplated 694
65283.00011\40188484.2
State Water Resources Control Board
[CLOSING DATE]
in the Agreement and the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601) are inapplicable to the Project.
The City has all property rights to access, construct, operate, and maintain the Project, which shall extend at least for the useful life of the Project. (f) To the best of our knowledge based upon a reasonable investigation, there is no action, suit, proceeding, inquiry or investigation before or by any court of federal, state, municipal or other governmental authority pending or threatened against or affecting the City’s System, as defined in the Agreement, or the assets, properties or operations of the City relating to its System which, if determined adversely to the City or its interests would result in any material change in the assets or financial condition of the City, the City’s System or the financial condition thereof, and the City is not in default with respect to any order or decree of any court or any order, regulation, or demand of any federal, state, municipal, or other governmental agency which default might have consequences that would materially and adversely affect the financial condition of the City or its System. (g) Without having undertaken any independent investigation as to the accuracy or completeness of such information and without having undertaken any review of any financial or statistical information contained therein, no facts have come to our attention which lead us to believe that the City’s authorized representative has made any untrue statement of a material fact or omitted or omits to state a material fact or has made misleading statements in the Agreement.
(h) The Agreement has been duly authorized, executed, and delivered, and assuming due authorization, execution and delivery of the Agreement by the State Water Board, constitutes legal, valid, and binding obligation of the City enforceable against the City in accordance with its terms, subject to the laws relating to bankruptcy, insolvency, reorganization, or creditors’ rights generally and to the application of equitable principles, if equitable remedies are sought.
Our opinion is further qualified by the following:
(a) We express no opinion with respect to the laws of any state or jurisdiction other than California and the United States regarding the enforceability of any transaction mentioned herein or the interpretation, authorization, execution, validity, enforceability or effect of any of the documents mentioned herein; provided further that we express no opinion with respect to California or federal tax and securities law. 695
65283.00011\40188484.2
State Water Resources Control Board
[CLOSING DATE]
(b) As City Attorney to the City in this matter, we have not rendered financial advice to the City and do not represent by this opinion, or otherwise, that we reviewed or made any assessment about, nor do we express any opinion about, the financial ability of the City to pay debt service or amounts due under the Agreement.
The opinions set forth in this letter are limited only to those matters expressly set forth herein. This letter is furnished by us as City Attorney to the City. Other than the City, no attorneyclient relationship has existed or exists between our firm and you in connection with the Agreement or by virtue of this letter. Our engagement with respect to the Agreement has terminated as of the date hereof, and we disclaim any obligation to update this letter. This letter is delivered to you, is solely for your benefit and is not to be relied upon for any other purpose or by any other person without our written consent.
We bring to your attention the fact that our conclusions are an expression of professional judgment and are not a guarantee of a result.
Sincerely,
696
RESOLUTION NO. 7474
A RESOLUTION OF THE BOARD OF DIRECTORS OF THE SANTA PAULA UTILITY
AUTHORITY APPROVING THE CONSTRUCTION INSTALLMENT SALE AGREEMENT
FOR THE ADVANCED WATER TREATMENT FACILITY PROJECT, AND APPROVING
RELATED DOCUMENTS AND OFFICIAL ACTIONS
WHEREAS, the California State Water Resources Board (the “CSWRB”) has approved the application of the Santa Paula Utility Authority (the “Authority”) for financial assistance through its Clean Water State Revolving Fund (the “CWSRF”) program for the planning, design, and construction of its Advanced Water Treatment Facility project (the “Project”) and has authorized funding for the Project, consisting of a loan component in a not to exceed amount of $20,500,000; WHEREAS, the form of Construction Installment Sale Agreement, Advanced Water Treatment Facility Project, Project No. C-06-8577-110, Agreement No. D22021018 between the Santa Paula Utility Authority and the California State Water Resources Control Board (the “Agreement”) prepared by CSWRB, which is incorporated herein by reference, has been presented to the Board of Directors of the Authority (the “Board”) for its review and approval; WHEREAS, the information required to be obtained and disclosed with respect to the Agreement and participation in the CWSRF program by the Board of Directors of the Authority (the “Board”) in accordance with Government Code Section 5852.1 is set forth in Exhibit A attached hereto;
WHEREAS, the Board has previously approved a Debt Issuance and Management Policy which complies with Government Code Section 8855, and the execution and delivery of the Agreement will be in compliance with said policy; and
WHEREAS, the Board desires to approve said transaction in furtherance of the public purposes of the Authority and the City of Santa Paula, and the Board wishes at this time to authorize all proceedings relating to the entering into the Agreement for the purpose of financing the Project.
NOW, THEREFORE, BE IT RESOLVED, BY THE BOARD OF DIRECTORS OF THE SANTA PAULA UTILITY AUTHORITY, AS FOLLOWS:
Section. 1. Authorization to Execute and Deliver Agreement. The Board hereby approves the Agreement and authorizes and directs the Chair of the Board, the Executive Director or Treasurer of the Authority (the “Designated Officers”), for and in the name of the Board, to execute, and deliver the Agreement in substantially the form presented to the Board at this meeting, with such changes, insertions, revisions, corrections, or amendments as are approved by the officer or officers executing the Agreement. The execution of the Agreement by a Designated Officer or Officers constitutes conclusive evidence of such officer’s or officers’ and the Board’s approval of any such changes, insertions, revisions, corrections, or amendments to the form of the Agreement presented to the Board at this meeting; provided that the funding amounts do not exceed the amount recited above.
Section. 2. General Authorization. The Board hereby authorizes and directs the Designated Officers and other officers and agents of the Board, and each of them individually, for and in the name of and on behalf of the Board, to do any and all things and to execute and deliver any and all documents that they may deem necessary or advisable in order to complete the 697
financing of the Project under the Agreement and the CWSRF program, and otherwise to carry out, give effect to, and comply with the terms and intent of this resolution. All actions heretofore taken by such officers and agents that are in conformity with the purposes and intent of this resolution are hereby ratified, confirmed and approved in all respects.
Section 3. Effective Date. This resolution takes effect immediately upon its passage.
PASSED, APPROVED AND ADOPTED, this 6th day of September, 2023.
AYES:
NOES:
ABSENT:
ABSTAIN:
Andy Sobel, Chair
Santa Paula Utility Board
Attest:
Julie Latshaw, CMC, Secretary
Approved as to Form:
Monica Castillo, Interim General Counsel
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Exhibit A
Good Faith Estimates
In accordance with Government Code Section 5852.1, the following information has been obtained and disclosed to the Board in connection with the approval of the Construction Installment Sale Agreement:
(i) The estimated true interest cost of the Construction Installment Sale Agreement (being the rate necessary to discount the amounts payable on the respective principal and interest payment dates to the purchase price received for the Construction Installment Sale Agreement) is 2.60%. (ii) The estimated finance charge of the Construction Installment Sale Agreement (being the sum of all fees and charges paid to third parties) is $75,000.
(iii) The estimated proceeds of the Construction Installment Sale Agreement expected to be received, net of proceeds for finance charges in (ii) above to paid from the principal amount of the Construction Installment Sale Agreement and any reserves or capitalized interest paid or funded with Construction Installment Sale Agreement is $20,340,000
(iv) The estimated total payment amount of the Construction Installment Sale Agreement (being the sum total of all payments the District will make to pay amounts under the Construction Installment Sale Agreement, plus any financing costs not paid from proceeds of the Construction Installment Sale Agreement) to the final maturity thereof is $29,496,915.
The foregoing estimates constitute good faith estimates only, the stated dollar amounts may differ from such good faith estimates due to a variety of factors. 699
To: Honorable Mayor and Members of the City Council
From: Miguel Perez,
Subject: UPDATE ON PILOT PROGRAM FOR SPANISH LANGUAGE
INTERPRETATION AT PUBLIC MEETINGS
Date: September 6, 2023
Agenda Item: 12.D
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
Staff recommends City Council:
1. Receive an update on the pilot program for Spanish language Interpretation at public meetings; and
2. Provide staff direction on whether to extend services at public meetings for FY 2023/24.
Presented by: Miguel Perez, Community Development Technician BACKGROUND:
At the September 21, 2022, City Council meeting, Council approved an allocation of funding from the second tranche of the City’s American Rescue Plan Act (ARPA) to support several programs and projects. One of the programs Council set funds aside for was to explore a pilot program for Spanish interpretation services at public meetings, namely City Council meetings and workshops.
On November 2, 2022, Council directed staff to move forward with a six-month pilot program for offering Spanish interpretation services at City Council meetings beginning with the first regular meeting of 2023.
The Council selected Homeland Language (HLS) to provide experienced interpreters trained in the field for high-quality language interpretation services.
ANALYSIS:
On January 18, 2023, at the first regular City Council meeting, the City began offering Spanish language interpreting services for all City Council meetings for those attending in person, as well as the translation of public comments received at the dais. Additionally, the language interpretation services are broadcast to residents through our Spectrum Channel 10 Public, Educational and Governmental (PEG) access channel via the Secondary Audio program (SAP) function on all televisions for those who wish to view the meetings in Spanish remotely. 700
Currently, staff is unable to monitor the number of residents viewing our local Channel 10 or those using our SAP option.
Below, and attached as Exhibit A, is a summary of HLS's services at Council meetings from January 18, 2023, to May 17, 2023.
Total Appointments (Since January-July) 24 Appointments (12 meetings) Average Duration 131 Minutes
Total Headsets Requested (total) 4
Public Comments Translated (total) 5
Average Cost per Meeting $490
Total Cost for Pilot Period $4949.00
Over the course of the pilot, there have been requests for 4 headsets and translations of 5 public comments. In order to mitigate the costs of renting headsets through HLS ($10 per headset), staff was able to work with our IT Division and broadcast coordinator to install a temporary workstation in the Council Chambers in order to utilize the City owned headsets and receivers, mitigating reoccurring costs associated with headset rentals.
Should Council wish to extend the interpretation program, staff will want to access opportunities to enhance soundproofing or potential relocation of the interpreters behind closed doors to avoid noise distraction during meetings. Furthermore, based on feedback during a recent ad hoc communications committee meeting, staff could work with local community-based groups to spread the word that interpretation services are available at Council meetings. Staff could also explore working with the City Clerk to update the language in the agenda packet to share with residents that interpretation services are available at Council meetings.
STRATEGIC PLAN:
This item is not contained in Council's 2-Year Strategic Plan although it does align with the City's broader vision of inclusivity and accessibility.
FISCAL IMPACTS:
On September 21, 2022, Council amended the operating and CIP budget for FY 2022/23 allocating $10,000 of American Rescue Plan Act (ARPA) funds into GL 412-5-0511-209 for the Pilot Program for Interpretation Services. As of May 17, 2023, the balance available for interpretation services was $5,051 with enough funding to continue service coverage through the present time.
On June 21, 2023, Council budgeted under Department 515, GL 103-5-0515-209 (PROF/CONTR SVCS-OTHER), $10,000 per year in FY2023/24 and FY2024/25 for interpretation services should Council decide to continue with this program post-pilot. If directed, the associated costs illustrated below provide Council an overview of the typical expenses linked to continuing to offer such services.
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Company Cost (2 hours or less) Travel Fee
Homeland Language Services
One Interpreter (2 hour min):
$110.00 per hour x 2 = $220
$0.625
per mile
The average cost incurred for a City Council meeting is $490.00 per meeting, spanning a minimum of four hours with two interpreters and travel costs for each interpreter, averaging approximately $490.00 total per meeting.
OPTIONS:
The Council has the following available alternative options to staff’s recommendations:
1. Do not move forward with interpretation services at Council meetings; or
2. Direct staff to only provide interpreters on a case-by-case basis.
ATTACHMENTS:
Exhibit A- Spanish Interpreting Pilot Program Data.pdf
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Exhibit A - Spanish Interpreting Pilot Program Data
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Spanish Interpretation Overview
Total Appointments (Since January-present) 24 Appointments Average Duration 131 Minutes
Total Headsets Requested (total) 4
Public Comments Translated (total) 5
Average Cost (Per Meeting 4 hour minimum) $490.00
Spanish Interpretation Pilot Program Budget (6-month) $10,000 Remaining Amount (As of 5/17/23) $5,051
*Channel 10 SAP Option began being offered during month of February 2023 Miscellaneous Events
Districting Workshops 2 Workshops (4 headsets requested) Union Oil Building 1 Workshop- 2 more projected
704
To: Honorable Mayor and Members of the City Council
From: Dan Singer, City Manager
Subject: CITY MANAGER DEPARTMENT ORGANIZATION
Date: September 6, 2023
Agenda Item: 12.E
CITY OF SANTA PAULA
MEMORANDUM
RECOMMENDATION:
It is recommended the City Council:
Adopt Resolution 7480, removing the Assistant City Manager position from the adopted Position Control List and establishing a new Deputy City Manager job specification with a corresponding salary at Range 207 within the City’s adopted compensation schedule.
Presented by: Dan Singer, City Manager
BACKGROUND:
In May 17, 2023, the Council participated in a workshop on the outsourcing of various services throughout the City. The purpose of the workshop was to articulate the type, scope and cost of professional services the City uses and relies on. Specific to the City Manager’s Office, contract services were discussed for grant writing, state and federal advocacy efforts, and public relations services. As a part of the workshop, Council had the opportunity to ask questions, challenge assumptions and inquire as to the necessity for certain services.
At the workshop, information was exchanged regarding the value of the services the City was receiving for lobbying efforts, grant writing and public relations services given City staff’s own successes handling such subjects. Council encouraged staff to look more closely at these relationships in advance of the July 1 budget cycle. Due to the short time-frame between the May 17 workshop and the budget hearings in June, staff was unable to complete an analysis on these services. As a result, during the budget adoption process, the City Manager’s budget was left essentially status quo. Staff promised to return to Council with further recommendations on the noted contract services, the use of our Lead for America Fellowship program and/or other staffing options, and the division of responsibilities in continuing to pursue critical Council initiatives.
This report is intended to respond to Council’s request and seek Council’s authorization to modify staffing levels while minimizing contract services in a budget-neutral manner.
ANALYSIS:
705
The City currently pays $78,000 for state and federal advocacy efforts, $42,000 for grant writing services, and $25,000 for public and media relations services and ad-hoc PR requests.
The PR contract was reduced by $19,000 with the bulk of the services being pulled in-house utilizing our Public Information Officer (Management Analyst) and our Fellows.
Two years ago, the City allocated $20,000 to hire a Lead for America Fellow; a full-time position usually secured by a college student or recent college graduate. The fellowship was extremely successful and this past year we worked with the PBID and Chamber of Commerce to secure a second fellow. The City paid $5,000 toward the second fellow while the Chamber and PBID paid the balance of the $20,000 annual expense, or $15,000. The program has been coordinated and supervised by the Management Analyst who also oversees the contracted services discussed above.
The City Manager is now seeking Council support to reclassify the Management Analyst position in exchange for the establishment of a Deputy City Manager (DCM) position within the City Manager’s Office. If approved, the Management Analyst position would be eliminated.
The DCM would have responsibility for the City’s public relations (PIO) efforts; legislative advocacy, lobbying, and policy development; grant writing, research and monitoring; strategic planning and implementation; economic and business vitality in collaboration with the Community & Economic Development Department, and employee enrichment and engagement. The position would also work closely with the new Emergency Preparedness Coordinator on outreach and preparedness efforts and with the Human Resources Administrator to oversee cultural and organizational projects and initiatives aimed at enhancing the workplace experience for our employees. Economic Development would be greatly enhanced through a collaboration with the Community & Economic Development Department who would oversee the more technical and transactional permit and growthrelated development, versus the more relational side of economic vitality. This division of responsibilities is described in the new DCM job definition attached to Resolution 7480, but graphically illustrated on Exhibit C to this report.
It is recommended the DCM position be placed within the Executive Management Group, similar to the Assistant City Manager classification which has gone unfunded and unfilled the past three years. This would allow greater integration of the position into the core cultural and operational directives of the City Manager. Unlike the Assistant City Manager, however, the DCM position would not be over members of the Executive Group. The DCM would have direct oversight of the successful Fellows program, promoting, attracting and selecting future local fellows to serve the City. The DCM may also supervise part-time and contract employees either within the Administration Department or as requested by Executive Group members.
Existing positions within the City Manager’s Office may be assigned to the DCM at a future time.
Looking forward, it is proposed the City would keep the federal advocacy contract, eliminate the grant writing contract, and reduce the public relations services. The cost savings would allow for a second full-time fellow, in addition to the Chamber and PBID fellow, bringing the total annual fellowships to three. One fellow would work with the DCM on strategic planning initiatives, grants, and special projects, while the second fellow would focus on communications, Channel 10 content, media posts and press releases.
Should Council concur with these organizational adjustments, the adoption of a new position title, corresponding job classification and adjusted position control list would be required, as 706
contemplated in the attached adopting Resolution 7480.
STRATEGIC PLAN:
Approval of this item supports City Council's two-year Strategic Plan goal of providing excellent service to the community in a cost-effective manner with an engaged workforce with a focus on continuous improvement and outstanding customer service under Section G.
Operational Excellence. Additionally, this item supports several objectives in the Plan including Section G, Objective #3 - Employee Enrichment - Develop programs around employee retention, engagement, and succession planning and Section G, Objective #6 - Staffing - Develop a staffing augmentation plan.
FISCAL IMPACTS:
On a short-term (two-year) basis, the recommended changes are cost-neutral and within the adopted budget. For comparison purposes, those costs would look as follows:
Recent Budgeted
Costs
Recommended
Costs
Management Analyst: $92,176 $ 0
Deputy City Manager: $ 0 $115,128
Additional benefits for associated with DCM
position:
$ 0 $ 7,376
PR Contract: $25,000 $25,000
Grant Writing Contract: $42,000 $ 0
Lobbying Contract: $78,000 $78,000
Fellowship Program: $20,000 $35,000
Total:
$257,176 $260,504
Council allocated $10,000 in one-time ARPA funds for our fellowship program which wasn't required by Lead for America this past year. If those funds are applied this fiscal year to the additional fellow, the recommended costs of the restructuring would be $250,104 and within the adopted budget. Any budget savings would be put towards added public relations services and hiring someone to assist with complex writing assignment, if necessary.
On a long-term basis, once the position of DCM achieves top step in the salary range (or an additional $27,536 on top of the increases listed above), more significant cost reductions in contractual services or one fellow position would be required, if the City Manager Department budget were needing to remain fiscally flat.
OPTIONS:
The Council has authority over the City's position control list and the establishment of job titles and specifications. While this request is within the organizational structure which has existed 707
in Santa Paula over the years, it is at the Council's full discretion whether or not to support the City Manager's recommendations. Council could request the City Manager leave the Assistant City Manager position in place and/or could ask staff to return with other options.
ATTACHMENTS:
Resolution No. 7480.docx
Exhibit A to Resolution No. 7480.docx
Exhibit B - Proposed Salary Schedule and Position Control List.pdf Exhibit C: Economic Development Graphic.png
708
RESOLUTION NO. 7480
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA PAULA
ESTABLISHING A NEW DEPUTY CITY MANAGER CLASSICATION AND SALARY
RANGE, ELIMINATING THE ASSISTANT CITY MANAGER CLASSIFICATION AND AMENDING THE ADOPTED 2023-25 POSITION CONTROL LIST AND SALARY
SCHEDULES
The City Council of the City of Santa Paula does resolve as follows:
SECTION 1: The City Council considered, reviewed and authorizes the City Manager’s recommendation regarding the reorganization of the City Manager’s Office and corresponding amendments to the adopted 2023-25 position control list and salary schedule.
SECTION 2: The City Council creates the new classification of Deputy City Manager (Job Class Code 112), job description attached as Exhibit A, and establishes the annual salary range as set forth below.
Annual Salary Step 01 Step 02 Step 03 Step 04 Step 05
Deputy City
Manager
$117,062.40 $122,928.00 $129,084.80 $135,553.60 $142,334.40 SECTION 3: The City Council eliminates the classification of Assistant City Manager (Job Class Code 110) from the City’s position control list and salary schedule.
SECTION 4: The City Council amends the 2023-25 positions list and salary schedule, as respectively shown in Exhibit B.
SECTION 5: This Resolution will become effective the first full pay period following adoption and will remain effective unless repealed or suspended.
PASSED AND ADOPTED this 6th of September 2023.
________________________________________
Andy Sobel, Mayor
ATTEST:
709
______________________________
Julie Latshaw, City Clerk
APPROVED AS TO FORM:
__________________________________
Monica Castillo, Interim City Attorney
__________________________________
Daniel Singer, City Manager
710
EXHIBIT A
711
CITY OF SANTA PAULA, CALIFORNIA
DEPUTY CITY MANAGER
JOB DEFINITION: Under general administrative direction, provides assistance and support to the City Manager including analyzing and implementing policies and procedures; oversees intergovernmental relations in the areas of service delivery and legislative issues; manages and coordinates programs and activities of economic vitality with the City Manager’s Office and the Community and Economic Development Department; and provides highly responsible and complex administrative support to the City Manager, City Council and Department Heads.
This position is designated as “at-will”, serving at the pleasure of the City Manager, and subject to discharge without notice and right of appeal.
ESSENTIAL DUTIES AND RESPONSIBILITIES
The following duties are typical for this classification. Incumbents may not perform all of the listed duties and/or may be required to perform additional or different duties from those set forth to address business needs and changing business practices.
Provide assistance and support to the City Manager; analyze and implement policies and procedures; assists in the preparation and implement action of the budget and long range goals for the City.
Participate with City Manager in framing Council’s vision and strategies for accomplishing organizational initiatives.
Represents the City’ interest and position before legislative and rule-making authorities at all levels of government; review and analyze legislation for impact on the City; work with legislators to develop or influence legislation; recommend policies and procedures. Maintain communication with other jurisdiction officials to coordinate regional issues and represent the City; serve as liaison with Department Heads, City Council, City Manager and other external agencies.
Represents and supports the City Manager with City Council, employee and citizen group discussions, work sessions and meetings; makes presentations on various projects or issues to the City Council, commissions, or other internal or external agencies or organizations; monitors the pending item list, and keeps the City Manager informed about projects and issues of importance to Council.
712
Oversee public communications and community engagement; ensures that departments are providing a high level of customer service to the community; assist with the development of strategies to improve service levels and efficiencies; resolves difficult and/or complex citizen complaints on behalf of the City Manager and/or City Council Provide the City Manager with accurate and timely information to support decisionmaking and policy direction. Serve as project manager for a variety of special projects; facilitate project activities and resolve problems; develop and submit project reports to the City Manager. Designated as the Public Information Officer (PIO) for the City; coordinates the release of media and public information, and acts as the spokesperson for the City and all departments; manages and participates in the writing of press releases, newsletters and special publications concerning the City or community issues for distribution to the media.
Serve as the City website content manager and establishes policies and standards related to the website; participates in the development and maintenance of the City’s website.
Serve as a resource for the public, community organizations, and the general public; assists in negotiating and resolving significant and controversial issues; responds to and resolves difficult and sensitive citizen inquiries and complaints. Assume management responsibility for assigned services and activities of the economic development program in collaboration with the Community and Economic Development Department, including and attracting increased capital investments and expanding and diversifying employment opportunities; establishes and maintains a private/public partnership for positive long-term economic change.
Analyze existing economic situations relative to business attraction and expansion; reviews modern techniques for business attraction and retention; negotiates and resolves sensitive and controversial issues.
Acts as liaison between the City, Chamber of Commerce, Property Business Improvement District (PBID) and the private sector for business vitality, retention, expansion and attraction.
Develops internal and external communication tools and resources for sharing information and helping prospective businesses and/or developers navigate through the City’s development processing and permitting.
Coordinates contracts and activities to meet the City’s tourism goals; coordinates business assistance programs and special projects, including federal and state grants relating to economic vitality; advocates on federal and state legislation that impacts the City’s business community.
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Coordinate and collaborates with other departments and outside agencies; serves as a liaison with public and private organizations, community groups, and other social organizations; and provides information and serves as a resource. Designs and implements marketing strategies and outreach materials to ensure public exposure to program offerings through print publication design, website editing, social media, e-newsletters, and other applicable mediums; seeks out and assists commercial and industrial prospects for business within the City.
Oversees Lead for America Fellowship Program and coordinates the work of interns assigned to the City.
Assists Human Resources and other departments in developing employee initiatives that align with the City Council strategic plan and goals. In collaboration with the City Manager and other City departments helps promote employee engagement through communication, social media efforts, surveys, newsletters and developing a culture that is consistent with the City’s mission, vision and core values.
Oversees the City’s grant opportunities, including forecasting future grant strategies, supporting City departments in grant applications and tracking and monitoring grant program and awards.
In collaboration with the Emergency Preparedness Coordinator responds to significant emergency situations; gathers, verifies, coordinates, and disseminates meaningful and timely information about the incident to the public and city departments; as the City’s designated Public Information Officer interfaces with the public, media, various agencies and the public to meet the incident-related information needs. Manages, researches, locates and applies for a variety of private and public grants including, but not limited to, Federal Emergency Management Administration (FEMA) and other Homeland Security government agencies.
Assists in overseeing the activities of the City Clerk’s Office including agenda preparation, coordination of meetings, elections and public records requests. Performs related duties as assigned.
MINIMUM QUALIFICATIONS – Any combination of education and experience that would likely provide the required knowledge and abilities is qualifying. A typical way to obtain the knowledge and abilities would be:
Education: A Bachelor’s Degree from an accredited college or university with major course work in public administration, business administration or a related field. A Master’s degree in a related field is desirable.
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Experience: Three years of increasingly responsible administrative and analytical experience within a local government environment
License; Certificates; Special Requirements: A valid class C California driver’s license.
Knowledge of: Organization, operation, and services of the City and of outside agencies as necessary to assume assigned responsibilities; principles, practices, and techniques of public administration and local government administration; Principals and practices of program development and administration; principles and practices of municipal budgeting preparation and finance, and contract administration; principles, practices, methods, and techniques of conducing community and media relations, public information, including public outreach and marketing strategies; operational characteristics, services, and activities of an Economic Development program; economic development incentive and financing methods, trends and practices; business retention and recruitment principles and strategies; operations, services and activities of an office administrative support program; Functions of public agencies, including the role of an elected Council and appointed boards and commissions; rules and procedures governing the notice and conduct of public meetings; pertinent federal, state, and local laws, codes and regulations; research and reporting methods, techniques and procedures; communication techniques used to gather, evaluate and transmit information; written communication techniques for report writing and preparing correspondence, policies and procedures; oral presentation techniques and practices; and modern office procedures, methods and computer equipment and applicable software.
Ability to: Plan, organize and carry out a full range of administrative and analytical assignments from the City Manager with minimal supervision and direction; perform difficult and complex analysis and research on a variety of administrative topics, identify alternatives solutions, projects consequences of proposed actions, and implement recommendations in support of goals; analyze, interpret, summarize and present administrative and technical information and data in an effective manner; prepare clear, concise, comprehensive administrative, financial and technical reports; identify and respond to sensitive community, organizational, and City Council issues, concerns and needs; respond to inquiries or complaints from customers, regulatory agencies, or members of the business community; read and interpret complex data, information and documents; understand the organization and operation of the City and of outside agencies as necessary to assume assigned responsibilities; understand, interpret, explain and apply applicable federal, state and local policies, laws and regulations; communicate effectively both orally and in writing; establish and maintain effective relationships with City officials, employees, representatives from other agencies and the public; exercise good judgement, flexibility, creativity, and sensitivity in response to changing situations and needs; work well under pressure to meet deadlines.
Physical and Environmental Demands
Prolonged sitting, standing, walking, reaching, twisting, turning, kneeling, bending, squatting, and stooping in the performance of daily activities; grasping, repetitive hand movement, and fine coordination in preparing reports and other communications and entering data using a computer. Additionally, the position requires near vision in reading on the computer, and acute hearing is required when providing phone service and communicating in person. The need to lift, drag, and push files weighing up to 25 pounds also is required.
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716
Position
FY23‐24
Proposed
FY24‐25
Proposed Position
FY23‐24
Proposed
FY24‐25
Proposed
CITY MANAGER POLICE
City Manager 1 1 Police Chief 1 1 Admin Secretary/City Clerk 1 1 Police Commander 2 2 Deputy City Manager 1 1 Police Sergeant 6 6 Management Analyst ‐ ‐ Senior Police Officer 7 7 Executive Assistant 1 1 Police Officer 16 16 Human Recources Administrator 1 1 Public Safety Dispatch Supervisor 1 1 Human Resource Analyst 1 1 Public Safety Dispatch Clerk 5 5 HR Technician 1 1 Sr. Records Supervisor 1 1 Chief Technology Officer 1 1 Community Services Officer 2 2 IT Analyst 1 1 Community Services Officer* 0.61 0.61 Department Total 9.00 9.00 Evidence & Property Technician 1 1 Records Technician 2 2
Parks and Recreation Animal Services Coordinator 1 1 Parks and Recreation Director 1 1 Emergency Services Coordinator 1 1 Recreation Supervisor 1 1 Police Cadet* 0.96 0.96 Administrative Assistant 1 1 Secretary II* ‐ ‐ Parks and Facilities Supervisor 1 1 Police Reserves ‐ ‐ Facility Maintenace Worker I 2 2 Executive Assistant 0.80 0.80 Facility Maintenace Worker II 3 3 Department Total 48.37 48.37 Lead Park and Abatement Specialist 1 1 Recreation Program Coordinator 3 3 PUBLIC WORKS Nutrition Coordinator* 0.70 0.70 Public Works Director 1 1 Facility Attendant* 2.16 2.16 Assistant Public Works Director 1 1 Park Abatement Specialist* 2.31 2.31 Management Analyst 1 1 Recreation Leader** 4.72 4.72 Administrative Analyst I 2 2 City Corp Trainee*** 3.38 3.38 Administrative Analyst II 1 1 Administrative Analyst I 0.85 1 Associate Engineer 1 1 Custodian 2 2 Permit Technician 1 1
Department Total 29.12 29.27 Water Operations Superintendent 1 1 Street Maintenance Leadworker 1 1
FINANCE Maintenance Worker I 1 1
Finance Director 1 1 Maintenance Worker II 3 3 Assistant Finance Director 1 1 Fleet Supervisor 1 1 Payroll Specialist 1 1 Mechanic II 2 2 Accountant 2 2 Water System Operator I ‐ ‐ Accounting Specialist 3 3 Water System Operator II 7 7 Customer Service Representative 2 2 Water System Operator III 3 3 Department Total 10 10 Water System Operator IV 2 2 Department Total 29 29
COMMUNITY AND ECONOMIC DEVELOPMENT
Community & Economic Dev Director 1 1 Non‐Departmental Planning & Economic Dev Manager 1 1 Intern*** 0.48 0.48 Chief Building Official 1 1
Code Enforcement Inspector 1 1 FULL TIME EQUIVALENT POSITIONS 137.97 138.12 Assistant Planner/GIS Analyst 1 1
Associate Planner 1 1 * Part Time Community Development Technician 1 1 ** Seasonal (Rec Leaders include seasonal and year round) Permit Technician 1 1
Building Inspector I 1 1 ELECTED/APPOINTED OFFICIALS Community Development Specialist 1 1 Mayor & Councilmembers 5 5 Administrative Analyst I 1 1 Planning Commissioners 5 5 Management Analyst 1 1
Department Total 12 12
Summary of Funded Positions ‐ Full Time Equivalents
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0 % Hourly Hourly Hourly Hourly Hourly Annual Annual Annual Annual Annual Position Hourly-1 Hourly-2 Hourly-3 Hourly-4 Hourly-5 Annual-1 Annual-2 Annual-3 Annual-4 Annual-5 CITY MANAGER 5.0% 100 ‐ 102.93 ‐ ‐ ‐ 214,094.40 ‐ ‐ ‐ ‐ HUMAN RESOURCES ADMINISTRATOR 5.0% 102 61.23 58.31 64.30 67.52 70.90 121,284.80 127,358.40 133,744.00 140,441.60 147,472.00 PARKS & RECREATION DIRECTOR 5.0% 103 64.11 61.05 67.32 70.69 74.23 126,984.00 133,348.80 140,025.60 147,035.20 154,398.40 PLANNING DIRECTOR 5.0% 106 66.26 63.10 69.58 73.06 76.72 131,248.00 137,820.80 144,726.40 151,964.80 159,577.60 FINANCE DIRECTOR/CITY TREASURER 5.0% 107 65.42 62.30 68.70 72.14 75.75 129,584.00 136,073.60 142,896.00 150,051.20 157,560.00 PUB WORKS DIR/CITY ENGINE 5.0% 108 72.50 69.04 76.13 79.94 83.94 143,603.20 150,800.00 158,350.40 166,275.20 174,595.20 POLICE CHIEF 5.0% 109 74.40 70.85 78.12 82.03 86.14 147,368.00 154,752.00 162,489.60 170,622.40 179,171.20 ASSISTANT CITY MANAGER 5.0% 110 72.92 69.44 76.57 80.40 84.42 144,435.20 151,673.60 159,265.60 167,232.00 175,593.60 CHIEF TECHNOLOGY OFFICER 5.0% 111 61.92 58.97 65.02 68.28 71.70 122,657.60 128,793.60 135,241.60 142,022.40 149,136.00 DEPUTY CITY MANAGER New 113 59.10 56.28 62.06 65.17 68.43 117,062.40 122,928.00 129,084.80 135,553.60 142,334.40 ASSISTANT FINANCE DIRECTOR 5.0% 202 48.40 46.09 50.82 53.37 56.04 95,867.20 100,672.00 105,705.60 111,009.60 116,563.20 POLICE COMMANDER 5.0% 205 62.01 59.05 65.12 68.38 71.80 122,824.00 128,980.80 135,449.60 142,230.40 149,344.00 ASSISTANT PUB WORKS DIRECTOR 5.0% 207 59.10 56.28 62.06 65.17 68.43 117,062.40 122,928.00 129,084.80 135,553.60 142,334.40 CHIEF BUILDING OFFICIAL 5.0% 208 45.54 43.37 47.82 50.22 52.74 90,209.60 94,723.20 99,465.60 104,457.60 109,699.20 ASSISTANT POLICE CHIEF 5.0% 209 67.47 64.25 70.85 74.40 78.12 133,640.00 140,337.60 147,368.00 154,752.00 162,489.60 PLANNING COMMISSIONER AP 213 ‐ 50.00 ‐ ‐ ‐ PLANNING MANAGER 5.0% 214 50.79 48.37 53.33 56.00 58.80 100,609.60 105,643.20 110,926.40 116,480.00 122,304.00 WATER OPERATIONS SUPERINTENDENT 5.0% 215 55.17 52.54 57.93 60.83 63.88 109,283.20 114,753.60 120,494.40 126,526.40 132,870.40 PLANNER, ASSISTANT/GIS ANALYST 5.0% 258 33.41 31.81 35.09 36.85 38.70 66,164.80 69,492.80 72,987.20 76,648.00 80,496.00 ENGINEERING TECH. SR. 5.0% 259 34.25 32.61 35.97 37.77 39.66 67,828.80 71,240.00 74,817.60 78,561.60 82,492.80 PLANNER, ASSOCIATE 5.0% 263 37.85 36.04 39.75 41.74 43.83 74,963.20 78,728.00 82,680.00 86,819.20 91,166.40 MANAGEMENT ANALYST 5.0% 265 39.77 37.87 41.76 43.85 46.05 78,769.60 82,721.60 86,860.80 91,208.00 95,784.00 ACCOUNTANT 5.0% 268 34.96 33.29 36.71 38.55 40.48 69,243.20 72,716.80 76,356.80 80,184.00 84,198.40 WATER SUPERVISOR 5.0% 272 37.77 35.97 39.66 41.65 43.74 74,817.60 78,561.60 82,492.80 86,632.00 90,979.20 PURCHASING AGENT 5.0% 273 39.77 37.87 41.76 43.85 46.05 78,769.60 82,721.60 86,860.80 91,208.00 95,784.00 SR. RECORDS SUPERVISOR 5.0% 274 32.83 31.26 34.48 36.21 38.03 65,020.80 68,286.40 71,718.40 75,316.80 79,102.40 ADMINISTRATIVE ANALYST I 5.0% 275 25.10 23.90 26.36 27.68 29.07 49,712.00 52,208.00 54,828.80 57,574.40 60,465.60 RECREATION SUPERVISOR 5.0% 276 32.83 31.26 34.48 36.21 38.03 65,020.80 68,286.40 71,718.40 75,316.80 79,102.40 PARKS & FACILITIES SUPERVISOR 5.0% 277 32.83 31.26 34.48 36.21 38.03 65,020.80 68,286.40 71,718.40 75,316.80 79,102.40 FLEET SUPERVISOR 5.0% 278 32.83 31.26 34.48 36.21 38.03 65,020.80 68,286.40 71,718.40 75,316.80 79,102.40 STREETS MAINTENANCE SUPERVISOR 5.0% 279 32.83 31.26 34.48 36.21 38.03 65,020.80 68,286.40 71,718.40 75,316.80 79,102.40 ADMINISTRATIVE ANALYST II 5.0% 280 31.38 29.88 32.95 34.60 36.33 62,150.40 65,270.40 68,536.00 71,968.00 75,566.40 ASSOCIATE ENGINEER 5.0% 281 44.63 42.50 46.87 49.22 51.69 88,400.00 92,830.40 97,489.60 102,377.60 107,515.20 EMERGENCY SERVICES COORDINATOR 5.0% 282 34.96 33.29 36.71 38.55 40.48 69,243.20 72,716.80 76,356.80 80,184.00 84,198.40 CITY CLERK 5.0% 283 32.83 31.26 34.48 36.21 38.03 65,020.80 68,286.40 71,718.40 75,316.80 79,102.40 CUSTODIAN 5.0% 301 20.95 19.95 22.00 23.10 24.26 41,496.00 43,576.00 45,760.00 48,048.00 50,460.80 CUST SERVICES REP 5.0% 302 20.95 19.95 22.00 23.10 24.26 41,496.00 43,576.00 45,760.00 48,048.00 50,460.80 WATER DISTRIBUTION OPERATOR I 5.0% 304 25.18 23.98 26.44 27.77 29.16 49,878.40 52,374.40 54,995.20 57,761.60 60,652.80 ADMINISTRATIVE ASSISTANT 5.0% 309 21.06 20.05 22.12 23.23 24.40 41,704.00 43,804.80 46,009.60 48,318.40 50,752.00 ANIMAL SERVICES COORDINAT 5.0% 311 22.00 20.95 23.10 24.26 25.48 43,576.00 45,760.00 48,048.00 50,460.80 52,998.40 SR. ADMINISTRATIVE ASST. 5.0% 313 22.11 21.05 23.22 24.39 25.61 43,784.00 45,988.80 48,297.60 50,731.20 53,268.80 WATER DISTRIBUTION OPERATOR II 5.0% 314 26.43 25.17 27.76 29.15 30.61 52,353.60 54,974.40 57,740.80 60,632.00 63,668.80 MECHANIC I 5.0% 315 22.34 21.27 23.46 24.64 25.88 44,241.60 46,467.20 48,796.80 51,251.20 53,830.40 WATER TREATMENT/PROD OPERATOR I 5.0% 318 27.75 26.42 29.14 30.60 32.13 54,953.60 57,720.00 60,611.20 63,648.00 66,830.40 WATER TREATMENT/PROD OPERATOR II 5.0% 320 29.15 27.76 30.61 32.15 33.76 57,740.80 60,632.00 63,668.80 66,872.00 70,220.80 WATER DIST OPERATOR III 5.0% 321 27.75 26.42 29.14 30.60 32.13 54,953.60 57,720.00 60,611.20 63,648.00 66,830.40 LEAD WATER DIST OPERATOR 5.0% 322 30.60 29.14 32.13 33.74 35.43 60,611.20 63,648.00 66,830.40 70,179.20 73,694.40 BUILDING INSPECTOR I 5.0% 323 26.19 24.94 27.50 28.88 30.33 51,875.20 54,475.20 57,200.00 60,070.40 63,086.40 MECHANIC II 5.0% 324 27.97 26.63 29.37 30.84 32.39 55,390.40 58,177.60 61,089.60 64,147.20 67,371.20 WATER DIST WORKER IV 5.0% 325 29.15 27.76 30.61 32.15 33.76 57,740.80 60,632.00 63,668.80 66,872.00 70,220.80 BUILDING INSPECTOR II 5.0% 326 31.82 30.30 33.42 35.10 36.86 63,024.00 66,185.60 69,513.60 73,008.00 76,668.80 ENGINEERING TECH/INSPECTO 5.0% 328 25.80 24.57 27.09 28.45 29.88 51,105.60 53,664.00 56,347.20 59,176.00 62,150.40 SENIOR ACCOUNTING TECHNIC 5.0% 329 23.37 22.25 24.54 25.77 27.06 46,280.00 48,609.60 51,043.20 53,601.60 56,284.80 EQUIPMENT MAINT LEADWORK 5.0% 330 30.15 28.71 31.66 33.25 34.92 59,716.80 62,712.00 65,852.80 69,160.00 72,633.60 FACILITIES MAINT LEADWORK 5.0% 331 24.81 23.62 26.06 27.37 28.74 49,129.60 51,604.80 54,204.80 56,929.60 59,779.20 FAC MAINT WRK I 5.0% 332 20.95 19.95 22.00 23.10 24.26 41,496.00 43,576.00 45,760.00 48,048.00 50,460.80 FAC MAINT WRK II 5.0% 333 23.00 21.90 24.15 25.36 26.63 45,552.00 47,840.00 50,232.00 52,748.80 55,390.40 MAINTENANCE WRK I 5.0% 334 20.95 19.95 22.00 23.10 24.26 41,496.00 43,576.00 45,760.00 48,048.00 50,460.80 MAINTANENCE WRK II 5.0% 335 23.00 21.90 24.15 25.36 26.63 45,552.00 47,840.00 50,232.00 52,748.80 55,390.40 LEAD WATER TREAT & PROD OPERATOR 5.0% 336 30.59 29.13 32.12 33.73 35.42 60,590.40 63,627.20 66,809.60 70,158.40 73,673.60 STREET MAINT LEADWORKER 5.0% 339 24.81 23.62 26.06 27.37 28.74 49,129.60 51,604.80 54,204.80 56,929.60 59,779.20 WASTEWATER LEADWORKER 5.0% 340 24.43 23.26 25.66 26.95 28.30 48,380.80 50,814.40 53,372.80 56,056.00 58,864.00 WASTEWATER COLL WRK I 5.0% 341 20.95 19.95 22.00 23.10 24.26 41,496.00 43,576.00 45,760.00 48,048.00 50,460.80 WASTEWATER COLL WRK I 5.0% 342 23.00 21.90 24.15 25.36 26.63 45,552.00 47,840.00 50,232.00 52,748.80 55,390.40 COMMUNITY DEVELOPMENT TECHNICIAN 5.0% 343 25.80 24.57 27.09 28.45 29.88 51,105.60 53,664.00 56,347.20 59,176.00 62,150.40 RECREATION PROGRAM COORDINATOR 5.0% 344 21.25 20.23 22.32 23.44 24.62 42,078.40 44,200.00 46,425.60 48,755.20 51,209.60 FY 2023/24 SALARY SCHEDULE
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PERMIT TECHNICIAN 5.0% 345 29.35 27.95 30.82 32.37 33.99 58,136.00 61,048.00 64,105.60 67,329.60 70,699.20 ENGINEERING TECH I 5.0% 346 25.48 24.26 26.76 28.10 29.51 50,460.80 52,998.40 55,660.80 58,448.00 61,380.80 ENGINEERING TECH II 5.0% 347 29.49 28.08 30.97 32.52 34.15 58,406.40 61,339.20 64,417.60 67,641.60 71,032.00 LEAD PARK AND ABATEMENT SPECIALIST 5.0% 348 21.25 20.23 22.32 23.44 24.62 42,078.40 44,200.00 46,425.60 48,755.20 51,209.60 ACCOUNTING SPECIALIST 5.0% 349 25.25 24.04 26.52 27.85 29.25 50,003.20 52,520.00 55,161.60 57,928.00 60,840.00 WATER SYSTEMS OPERATOR I 5.0% 350 29.14 27.75 30.60 32.13 33.74 57,720.00 60,611.20 63,648.00 66,830.40 70,179.20 WATER SYSTEMS OPERATOR II 5.0% 351 30.60 29.14 32.13 33.74 35.43 60,611.20 63,648.00 66,830.40 70,179.20 73,694.40 WATER SYSTEMS OPERATOR III 5.0% 352 32.13 30.60 33.74 35.43 37.21 63,648.00 66,830.40 70,179.20 73,694.40 77,396.80 WATER SYSTEMS OPERATOR IV 5.0% 353 33.74 32.13 35.43 37.21 39.08 66,830.40 70,179.20 73,694.40 77,396.80 81,286.40 LEAD WATER SYSTEMS OPERATOR 5.0% 354 35.43 33.74 37.21 39.08 41.04 PUBLIC SAFETY DISP CLERK 5.0% 401 26.12 24.87 27.43 28.81 30.26 51,729.60 54,329.60 57,054.40 59,924.80 62,940.80 PUB SAFETY DISPATCH SUPER 5.0% 402 33.77 32.16 35.46 37.24 39.11 66,892.80 70,241.60 73,756.80 77,459.20 81,348.80 POLICE OFFICER 5.0% 403 38.97 37.11 40.92 42.97 45.12 77,188.80 81,057.60 85,113.60 89,377.60 93,849.60 POLICE SENIOR 5.0% 405 43.63 41.55 45.82 48.12 50.53 86,424.00 90,750.40 95,305.60 100,089.60 105,102.40 POLICE SERGEANT 5.0% 406 50.80 48.38 53.34 56.01 58.82 100,630.40 105,664.00 110,947.20 116,500.80 122,345.60 POLICE RECRUIT 407 ‐ 26.42 ‐ ‐ ‐ 54,953.60 ‐ ‐ ‐ ‐ COMMUNITY SERVICES OFFICE 501 20.16 19.20 21.17 22.23 23.35 39,936.00 41,932.80 44,033.60 46,238.40 48,568.00 EVIDENCE & PROPERTY TECHNICIAN 502 22.33 21.26 23.45 24.63 25.87 44,220.80 46,446.40 48,776.00 51,230.40 53,809.60 RECORDS TECHNICIAN 503 19.95 19.00 20.95 22.00 23.10 39,520.00 41,496.00 43,576.00 45,760.00 48,048.00 IT SUPPORT ANALYST 5.0% 703 36.07 34.35 37.88 39.78 41.77 71,448.00 75,025.60 78,790.40 82,742.40 86,881.60 PAYROLL SPECIALIST 5.0% 704 25.25 24.04 26.52 27.85 29.25 50,003.20 52,520.00 55,161.60 57,928.00 60,840.00 EXECUTIVE ASSISTANT 5.0% 705 23.91 22.77 25.11 26.37 27.69 47,361.60 49,732.80 52,228.80 54,849.60 57,595.20 HUMAN RESOURCES ANALYST 5.0% 706 36.07 34.35 37.88 39.78 41.77 71,448.00 75,025.60 78,790.40 82,742.40 86,881.60 HUMAN RESOURCE TECHNICIAN 5.0% 707 25.25 24.04 26.52 27.85 29.25 50,003.20 52,520.00 55,161.60 57,928.00 60,840.00 RECREATION LEADER II MW-1 801 16.86 16.05 17.71 18.60 19.53 33,384.00 35,068.80 36,836.80 38,688.00 40,622.40 RECREATION LEADER III MW-2 802 17.71 16.86 18.60 19.53 20.51 35,068.80 36,836.80 38,688.00 40,622.40 42,660.80 COMM SERVICE OFFICER MW-1 803 16.86 16.05 17.71 18.60 19.53 33,384.00 35,068.80 36,836.80 38,688.00 40,622.40 NUTRITION COORDINATOR MW-1 804 16.86 16.05 17.71 18.60 19.53 33,384.00 35,068.80 36,836.80 38,688.00 40,622.40 FACILITY ATTENDANT 5.0% 806 18.02 17.16 18.93 19.88 20.88 SENIOR COORDINATOR 5.0% 808 21.25 20.23 22.32 23.44 24.62 SECRETARY II 5.0% 809 22.75 21.66 23.89 25.09 26.35 45,052.80 47,320.00 49,691.20 52,187.20 54,808.00 POLICE RESERVE AP 810 26.70
CITY INTERN MW-1 811 16.86 16.05 17.71 18.60 19.53 PARK ABATEMENT SPECIALIST 5.0% 816 20.02 19.06 21.03 22.09 23.20 POLICE CADET MW-1 818 16.86 16.05 17.71 18.60 19.53 PW FIELD TECHNICIAN MW-1 819 16.86 16.05 17.71 18.60 19.53 CRIMINAL INVESTIGATIVE ANALYST 5.0% 820 38.69 36.84 40.63 42.67 44.81 MECHANIC HELPER MW-1 821 16.86 16.05 17.71 18.60 19.53 RECREATION LEADER I / CITY CORP TRAINEE MW-1 822 ‐ 16.05 ‐ ‐ ‐ CODE ENFORCEMENT INSPECTOR 5.0% 823 29.35 27.95 30.82 32.37 33.99 COUNCILMEMBER EL 900 ‐ 600.00 ‐ ‐ ‐ Notes
10% Engineer's Certificate included in range 108 & 207
Rec Leader III will be adjusted at 5% above Rec Leader II should minimum wage increase SPPOA MOU and City Manager Restructuring pending approval. Rates highlighted subject to approval of Council on 9/6/2023 The law requires the lesser of 3.5 percent and the rate of change in the averages of the two most recent U.S. CPI‐W unless those averages are negative. If negative, no increase or decrease
Minimum wage of $16.05 is based on assumed increase of 3.5%. This change will only become effective if and when California law is changed requiring this increase 719
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Santa Paula City Council Tentative Agenda Schedule
Updated 8/31/2023
DEPARTMENT Wednesday, October 4, 2023 Proposed
Date
Fire Ventura County Fire Department Report 10/4/23
PD Police Department Report 10/4/23
PW Main Street Crosswalk Improvements Project Contract Award 10/4/23 CDD Façade Improvement Program 10/4/23
Admin Council Procedural Guidelines Adoption 10/4/23
PW Sports Park Storm Basin & Well 7 Easements 10/4/23
Finance Travel Policy Update 10/4/23
Wednesday, October 18, 2023
CDD Community Development Department Report 10/18/23
PW Chloride Source Study Report 10/18/23
Finance Year-end and First Quarter Fiscal Review 10/18/23 Admin Review of Flag Policy 10/18/23
STUDY SESSION TOPICS
Admin No Smoking Ordinance
P&R Oil Museum Use Options
Attorney Municipal Code Update Overview October
Attorney Review of Code of Conduct Policy September
FUTURE AGENDA ITEMS
PW Plans & Specifications for 8th Street Streetlight Repair Project PW Citywide Street Maintenance Construction Award (Fall PMP Funding)
Admin SoCal Edison Discussion on Rates
Finance Unclaimed Funds
CDD VCTC Update on Railroad
CDD Cultural Arts Update
CDD ADU Ordinance
Legal Fire MOU Amendment
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