St. Helena City Council
June 14, 2022

Report to the City Council
Regular City Council - 14 Jun 2022
Agenda Section: CONSENT ITEMS
Subject: Fiscal Year 2021 Annual Comprehensive Financial Report and Independent Auditor’s Report on Internal Control Over Financial Reporting.

CEQA
Determination:

Not a CEQA project
Prepared By: Mandy Kellogg, Asst. Administrative Services Director Reviewed By: April Mitts, Administrative Services Director Approved By: James C. McCann, Interim City Manager

BACKGROUND
The City of St. Helena has undergone the fiscal year audit and issued its Annual Comprehensive Financial Report for fiscal year ended June 30, 2021. The City publishes an annual report to fully disclose its financial information, as well as to comply with state and federal requirements and bond covenants.

The financial audit and the preparation of the financial statements takes place over several months, beginning just after the end of the fiscal year and continuing through the time the books are closed and the Comprehensive Annual Financial Report is published. Staff coordinates with the auditor to ensure that the work is completed accurately and timely.

The City contracts for an annual independent audit of its financial statements. In January 2020 the City issued an RFP for professional auditing services upon expiration of the existing contract for auditing services. On April 28, 2020, the City signed a threeyear Professional Services Agreement with Brown Armstrong Accountancy Corporation to prepare the City’s annual audited financial statements through FY 2022 with an option to extend the contract for an additional three years. The Comprehensive Annual Financial Report is available on the City of St. Helena’s website at:

Agenda Item #7.7.

https://www.cityofsthelena.org/sites/default/files/fileattachments/finance/page/2231/june _30_2021_audited_financials.pdf

DISCUSSION

ANNUAL COMPREHENSIVE FINANCIAL REPORT OVERVIEW
The City of St. Helena’s Annual Comprehensive Financial Report consists of three sections:

1. Introductory Section: provides general information on the government’s structure and the letter of transmittal.

2. Financial Section, which contains the following:
o Independent auditor’s report
o Management discussion and analysis (MD&A) - The MD&A provides a simple narrative introduction, overview, and analysis of the basic financial statements.
o Basic financial statements
o Fund financial statements
o Notes to the financial statements
o Required Supplemental Information
o Optional Supplementary Information

3. Statistical Section: presents detailed information as a context for understanding information in the financial statements, note disclosures, and required supplementary information.

INDEPENDENT AUDITOR’S REPORT ON INTERNAL CONTROL OVER FINANCIAL

REPORTING
In addition to producing the City’s Annual Comprehensive Financial Report, it is the responsibility of the independent auditor to provide to the City of St. Helena a report on internal control over financial reporting and a report on compliance with other matters based on the audited financial statements (Attachment 1). The Report on Internal Control and Other Matters identifies deficiencies in internal control that the auditor considers to be either material weaknesses and/or significant deficiencies. Additionally, the auditor performed tests of the City’s compliance with certain provisions of laws, regulations, contracts, and grant agreements.

A deficiency in internal control exists when the design or operation of a control does not allow management or employees in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis.

A material weakness is a deficiency, or combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the City’s financial statements will not be prevented, or detected and corrected on a timely basis.

Agenda Item #7.7.

A significant deficiency is a deficiency, or combination of deficiencies, in internal control less severe than a material weakness, yet important enough to merit attention by those charged with governance.

For the FY 2020-21 audit, the Independent Auditor's Report on Internal Control Over Financial Reporting disclosed no material weaknesses, significant deficiencies, or instances of noncompliance.

Overview of Audited Financial Statements
All Funds: City of St. Helena's Net Position
The following chart shows the net position at the end of FY 20/21 compared to FY 19/20.
 The net position at the end of FY 20/21 was $79.8 million, an increase of $7.2 million from FY 19/20.
 Business-type activities, which is water and wastewater, increased by $3.9 million and governmental activities also increased by $3.3 million.

Agenda Item #7.7.

All Funds: Changes in the City of St. Helena's Revenues and Expenses The following chart shows a comparison of all funds of revenues and expenditures from FY 19/20 to FY 20/21.
 Revenues increased overall by 18.0% to $33.9 million.  Expenses increased overall by 12.5% to $27.2 million.

Agenda Item #7.7.

Governmental Activities: Revenues
The following chart shows a comparison of Governmental Activity revenues from FY 19/20 to FY 20/21.
 Overall revenues increased by 14.5% to $21.3 million.  The most significant increase in Operating Grants & Contributions is related to COVID Relief funds and Public Assistance received for recovery expenses related to the LNU Lightning Complex and Glass Fire.
 The large increase in Property Tax is related timing of payments received in the prior year that are recorded as deferred revenue.
 The City continued to see a decline in Transient Occupancy Tax revenues as a result of ongoing impacts from the pandemic, whereas Sales Tax revenues showed signs of recovery.

Agenda Item #7.7.

Governmental Activities: Expenses
The following chart shows a comparison of Governmental Activity expenses from FY 19/20 to FY 20/21.
 Overall revenues increased by 13.1% to $18.6 million.  The most significant increase in General Government is related to expenses incurred during the LNU Lightning Complex and Glass Fire, increased insurance premiums, and an increase in planning contracts related to the Zoning Code Update and Housing Element Update.
 The increase in Public Safety is due to increased overtime expenses associated with the Fire Department strike team response.

Agenda Item #7.7.

Governmental Funds
The following chart shows a comparison of the Governmental Fund balances from FY 19/20 to FY 20/21.
 The General Fund Balance on the left side of the chart and reported on page 17 of the audited financial statements includes Funds 101, 283, 286, 287, 289, and 593. This balance has increased to $11.4 million as of June 30, 2021.  The General Fund Balance shown in the center of the chart is Fund 101 only.

This balance increased to $10.5 million as of June 30, 2021.  The Affordable Housing Trust Fund was moved to a major fund during FY 20/21 due to the increased activity associated with the CDBG grant-funded acquisition project at 723 Hunt Avenue. This balance decreased slightly to $1.9 million as of June 30, 2021.
 The Non-Major Fund Balance increased 2.9% to $11.8 million as of June 30, 2021.

Agenda Item #7.7.

General Fund: Budget vs. Actuals
The following chart shows a comparison of the General Fund budgeted revenues and expenses to actual revenues and expenses for FY 20/21.
 General Fund Revenues exceeded budgeted amounts by $2.3 million. Estimates were conservative and based on a slow recovery from the impacts of the COVID19 pandemic and shelter-in-place orders which took effect in March 2020.

However, actual revenues received showed economic recovery started sooner than anticipated.
 General Fund actual expenditures were less than adopted expenditures by $3.0 million. The primary reason for the savings was due to contracts not being expended for projects that continued into the following fiscal year.

Agenda Item #7.7.

Business-Type Activities: Revenues and Expenses
The following chart shows a comparison of the business-type activities from FY 19/20 to FY 20/21.
 Revenues increased by 24.5% to $12.6 million. The increase was attributed to a scheduled rate increase in November 2021 and water overuse penalties assessed during Phase II of the water emergency.
 Expenses increased by 9.7% to $8.6 million. The increase was primarily due to contracts for services related to the water emergency.

Agenda Item #7.7.

Capital Assets
At the end of fiscal year 2021, the City had invested $56.9 million in a broad range of capital assets. This was a net increase of $3.3 million, which was primarily related to the addition of W-26: Upper York Creek Dam after the project was completed.

Debt
At the end of fiscal year 2021 Governmental Activities had $10.6 million in long-term debt liabilities and Business-type Activities had $14.6 million. The overall debt decreased by 1.5% from the prior year. The minimal decline was a result of the regular debt payments that were made during the fiscal year.

FISCAL IMPACT
None.

RECOMMENDED ACTION
Staff recommends the City Council receive accept the Comprehensive Annual Financial Report of the City of St. Helena for Fiscal Year Ended June 30, 2021.

Agenda Item #7.7.

Report to the City Council
Regular City Council - 14 Jun 2022
Agenda Section: CONSENT ITEMS
Subject: Adoption of Resolution Making Findings and Determinations under AB 361 for the Continuation of Virtual Meetings
CEQA
Determination:

Not a CEQA project
Prepared By: Ethan Walsh, City Attorney
Reviewed By: April Mitts, Administrative Services Director Approved By: James C. McCann, Interim City Manager

BACKGROUND
On March 17, 2020, in the face of the COVID-19 pandemic, Governor Gavin Newsom issued Executive Order N-29-20 suspending certain provisions of the Ralph M. Brown Act in order to allow for local legislative bodies to conduct their meetings completely telephonically or by other electronic means.

The provisions in the Brown Act that were suspended by the Governor’s Executive Order are contained at Government Code Section 54953(b)(3) and require that when teleconferencing is used, outside of a statewide emergency, that the following occur:
• An agenda is required to be posted at all locations, including any teleconference locations
• Each teleconference location must be identified on the actual agenda • Each teleconference location shall be accessible to the public • A quorum of the legislative body must be in the jurisdiction With the Governor’s Executive Order, the four above requirements were suspended. This allowed City Council and all other meetings of legislative bodies of the City to be conducted by Zoom with councilmembers, commission members, committee members, and staff all joining from remote locations.

Agenda Item #7.8.

The suspension of certain Brown Act provisions was further extended by the Governor on June 11, 2021 through the issuance of Executive Order N-08-21, which continued to allow for complete virtual meetings until September 30, 2021.

With the Governor’s Executive Order expiring at the end of September 2021, the State Legislature adopted Assembly Bill 361. On September 16, 2021, the Governor signed AB 361, which allowed legislative bodies to meet virtually provided there was a state of emergency declared by the Governor, and either (1) state or local officials have imposed or recommended measures to promote social distancing; or (2) the legislative body determines by majority vote that meeting in person would present imminent risks to the health and safety of attendees, subject to certain ongoing findings by the legislative body.

AB 361 also preserves many of the provisions of the earlier executive orders, including the suspension of the four teleconferencing requirements noted above, while also adding new requirements to the management of remote and teleconference public meetings in order to better achieve the levels of transparency that the Brown Act demands.

Specifically, AB 361 imposes two new rules on remote public meetings:

1. Local governments and agencies hosting teleconference meetings in lieu of traditional in-person public meetings must permit direct public comment during the teleconference, and must leave open the opportunity for public comment until the comment period for a given item is closed during the ordinary course of the meeting. The opportunity to make public comment must be of a sufficient duration so as to allow actual public participation. The City already complies with this requirement, so it presents no change to our current practice.

2. Any action by the governing body during a public teleconference meeting must occur while the agency is actively and successfully broadcasting to members of the public through a call-in option or an internet-based service option. If a technical disruption within the agency’s control prevents members of the public from either viewing the meeting of the public agency, or prevents members of the public from offering public comment, the agency must cease all action on the meeting agenda until the disruption ends and the broadcast is restored. Action taken during an agency-caused disruption may be challenged as a violation of the Brown Act.

The City Council held its first virtual meeting based on the conditions set forth in AB 361 on October 12, 2021. In order to continue to qualify for AB 361’s waiver of in-person meeting requirements, the City Council must, within every 30 days of its first meeting under AB 361, make findings that (a) state or local officials recommend measures to promote social distancing, or that (b) an in-person meeting would constitute an imminent risk to the safety of attendees. State officials at Cal-OSHA have, through the adoption of certain regulations, recommended measures to promote social distancing throughout the State. Additionally, Napa County Public Health Officer Dr. Karen Relucio has, through a memo dated September 27, 2021, recommended the continuance of virtual meetings at the present time as a means of promoting social distancing in order to minimize the spread and transmission of COVID-19 in Napa County.

Agenda Item #7.8.

It is important to note that AB 361 does not require the City to continue with virtual meetings, but simply gives the Council that option. If at any time the City Council desires to return to in-person meetings, the Council can agendize that topic for discussion and direct staff to initiate the transition back to in-person or hybrid meetings; however, at this time City staff is recommending adoption of the resolution to allow City Council and all other Commission, Committee, and other Brown Act meetings to continue to be held remotely in order to ensure social distancing consistent with the recommendations of State and local officials.

At the September 28, 2021 regular City Council meeting, the City Council had a discussion item and considered whether to meet in person or continue virtual meetings.

It was the consensus of the City Council to continue with the Zoom meeting platform until staff is relocated to Napa Valley College.

The City Council determined at the May 10, 2022 City Council meeting to return to inperson meetings starting with the June 7, 2022 Planning Commission meeting.

The City Council determined at the May 24, 2022 City Council meeting to postpone inperson meetings until the second meeting in July.

DISCUSSION
The City Council held its first virtual meeting based on the conditions set forth in AB 361 on October 12, 2021. The City Council reconsidered and adopted findings by resolution to continue meeting virtually on November 23, 2021, December 14, 2021, January 11, 2022, February 8, 2022 and March 8, 2022, March 22, 2022, April 26, 2022 and May 24, 2022. This is being reconsidered on June 14, 2022.

The enclosed resolution makes the necessary findings for the City Council and all subordinate legislative bodies of the City that are subject to the Brown Act to continue with virtual meetings for the time being. City staff will return to the City Council with a resolution every 30 days to allow for the continuance of virtual meetings for so long as Council and staff believes that virtual meetings are necessary.

FISCAL IMPACT
There is no fiscal impact.

RECOMMENDED ACTION
Approve the Attached Resolution Making Findings and Determinations Under AB 361.

ATTACHMENTS
Attachment 1 - Resolution AB361
Agenda Item #7.8.

CITY OF ST. HELENA
RESOLUTION NO. 2022-

RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
ST. HELENA MAKING FINDINGS AND
DETERMINATIONS UNDER AB 361 FOR THE

CONTINUATION OF VIRTUAL MEETINGS
WHEREAS, the Ralph M. Brown Act (Gov. Code § 54950 et seq.) generally requires local agencies meeting via teleconference, including through other virtual or electronic means to, among other things, provide public access at each location in which members of the legislative body are teleconferencing; and WHEREAS, the Legislature recently enacted Assembly Bill 361 (AB 361), which amended Government Code section 54953 to allow local agencies to meet fully virtually, without fully adhering to the rules otherwise applicable to teleconferencing, during a proclaimed state of emergency if state or local officials have imposed or recommended measures to promote social distancing; and
WHEREAS, the Governor issued a proclamation declaring a state of emergency on March 4, 2020 due to the COVID-19 pandemic, pursuant to section 8625 of the California Emergency Services Act, and this proclaimed state of emergency currently remains in effect; and
WHEREAS, state or local officials continue to recommend measures to promote social distancing to prevent the spread of COVID-19, and in particular, Cal-OSHA regulation 3205 recommends physical distancing in the workplace generally and regulates a “close contact,” defined as being within 6 feet of another under certain circumstances, and Napa County Health Officer Dr. Karen Relucio has recommended that local public agencies refrain from holding in person public meetings, as a means of promoting social distancing; and
WHEREAS, the continuation of virtual meetings will allow for full participation by members of the public and compliance with the recommendations of state and local officials with regard to social distancing; and
WHEREAS, the City Council of the City of St. Helena desires that all City legislative bodies continue to hold virtual meetings pursuant to AB 361 and Government Code section 54953(e).

NOW, THEREFORE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ST. HELENA AS FOLLOWS:

Agenda Item #7.8.

SECTION 1. The above recitals are true and correct and are incorporated herein by this reference.

SECTION 2. The City Council has reconsidered the circumstances of the state of emergency.

SECTION 3. As stated in the recitals, state or local officials continue to recommend measures to promote social distancing.

SECTION 4. The City Council and all other legislative bodies of the City of St.

Helena who are required to hold public meetings shall continue to meet virtually in accordance with Government Code section 54953(e) and without compliance with section 54953(b)(3), based upon the findings and determinations hereby made by the City Council.

Approved at a Regular Meeting of the St. Helena City Council on June 14, 2022, by the following vote:

Mayor Geoff Ellsworth:

Vice Mayor Paul Dohring:

Council Member Anna Chouteau:

Council Member Lester Hardy:

Council Member Eric Hall:

APPROVED: ATTEST:
______________________ ________________________
Geoff Ellsworth, Mayor Cindy Tzafopoulos, City Clerk
Agenda Item #7.8.

Report to the City Council
Regular City Council - 14 Jun 2022
Agenda Section: CONSENT ITEMS
Subject: Consideration and Proposed Approval of a Resolution approving an Employment Agreement with Dr. April Mitts and Ratifying the City Manager’s Appointment to serve as the Assistant City Manager
CEQA
Determination:

Not a CEQA project
Prepared By: James C. McCann, Interim City Manager
Reviewed By: James C. McCann, Interim City Manager
Approved By: James C. McCann, Interim City Manager

BACKGROUND
At the February 22, 2022 City Council meeting, Council noted that there are many critical needs, initiatives, and projects before the City and that it is imperative to ensure that organizational capacity exists to assist the City Manager with the delivery of these important items while concurrently focusing on high quality day-to-day management of municipal matters. At this time Council directed staff to explore the efficacy and financial feasibility of an Assistant City Manager position.

My May 24, 2022 staff report to the City Council (see Attachment 3) recommended that the Council create and authorize the filing of an Assistant City Manager position. The City Council authorized the creation of this position and its filing at the May 24, 2022 regular meeting. I believe that it is in the best interests of the organization and the City of St. Helena to have our Administrative Services Director April Mitts assume this important position; I wish to appoint her and seek the Council’s ratification of this action.

DISCUSSION
As outlined in the May Council report, the Assistant City Manager position will add much needed high-level staff capacity to directly address City Council’s Goal 3 of your Work Plan to “Enhance Organizational Performance…”. Filing this position will substantially Agenda Item #7.9.

expand our capabilities to address priorities and deliver projects, initiatives, and services in a more timely, thoughtful, strategic, and coordinated fashion. The Assistant City Manager will work directly with the City Manager and City Council to advance Council and community goals and priorities. This additional capacity will facilitate success on critical needs and provide oversight and management of important programs and initiatives.

Ms. Mitts has been with the City of St. Helena for almost eight years; seven of which she served as our Finance Director until being elevated to the broad position she presently holds as Administrative Services Director last year. She was an Administrative Analyst with a Southern California city for six years in between management positions with private sector companies and a non-government organization.

While with St. Helena, Dr. Mitts (she holds a Doctorate in Public Administration from University of La Verne) has been responsible for all aspects of municipal finance and budgeting, has developed and implemented utility rate studies and structures, managed Human Resources and Information Technology services, developed for Council consideration numerous financial policies, and is the City’s Risk Manager. April is fluent in all aspects of the City’s municipal functions and a highly adaptable and responsible member of the executive team. Ms. Mitts takes the lead on a highly diverse range of assignments within the Administrative Services Department and outside of the Departments formal range of responsibilities.

In her Administrative Analyst role prior to joining St. Helena, April had substantial exposure to planning for and implementation of Information Technology systems, broad contract negotiation and procurement responsibilities, served as the City representative to other governmental agencies, and had direct involvement with labor negotiations and municipal policy development and implementation.

In addition to the Doctorate that she earned, April also holds a Masters of Arts in Organizational Management from University of Phoenix and a Bachelor of Arts in Political Science from Cal Poly, Pomona. April is an active member with the California Society of Municipal Finance Officials, the Government Finance Officers Association, the Municipal Management Association of Northern California, and the International City/County Management Association. She has obtained training innumerous areas including, but not limited to, human resources, finance, conflict resolution, and emergency operations management and meets all other requirements for the Assistant City Manager position.

She is highly respected by the City Council, community members and City staff and by colleagues throughout the region and State. April is a highly talented workhorse with unending enthusiasm, drive, and tenacity—perfect traits for an Assistant City Manager! She works extremely effectively with executive and management staff and communicates easily and well with our general staff in the nine City departments. I am confident that she will thrive in this new opportunity and will deliver much-needed results and advancements for the organization and community. This new assignment will allow April to bring her talents to new areas, to grow professionally in our organization, and to directly Agenda Item #7.9.

assist the new City Manager in addressing the City Council’s Goals and Work Plan assignments.

The range of duties and assignments of the Assistant City Manager are outlined in the recently adopted job description. However, the assigned duties will vary and change over time to meet specific needs of the organization as determined by the City Manager. It is expected that the Assistant City Manager will initially be involved in: providing oversight and direction to advance critical Capital Projects, driving the General Obligation Bond forward (preliminary results show it has been approved by voters at the June 7th election), providing oversight and management to Climate Action efforts, evaluating organizational needs and recommending changes, labor negotiations, and communication strategy development and implementation.

FISCAL IMPACT
Funding for this position can be absorbed in the remainder of the FY 2021/22 adjusted budget and has been included in the draft FY 2022/23 budget.

RECOMMENDED ACTION
Staff recommends the City Council adopt the attached resolution.

ATTACHMENTS
Attachment 1 - Resolution Approving ACM Agreement
Attachment 2 - Employment Agreement AMitts ACM
Attachment 3 - May 24, 2022 Staff Report
Agenda Item #7.9.

CITY OF ST. HELENA
RESOLUTION NO. 2022-____
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ST.

HELENA APPROVING AN EMPLOYMENT AGREEMENT WITH
DR. APRIL MITTS AND RATIFYING THE CITY MANAGER’S

APPOINTMENT TO SERVE AS THE ASSISTANT CITY
MANAGER.

RECITALS
WHEREAS, at the February 22, 2022 City Council meeting, Council noted that there are many critical needs, initiatives, and projects before the City and that it is imperative to ensure that organizational capacity exists to assist the City Manager with the delivery of these important items while concurrently focusing on high quality day-today management of municipal matters. At this time Council directed staff to explore the efficacy and financial feasibility of an Assistant City Manager position; and WHEREAS, at the May 24,2022 City Council meeting, Interim City Manager McCann recommended that the Council create and authorize the filing of an Assistant City Manager position, and the City Council authorized the creation of this position and its filing at the May 24, 2022 regular meeting; and
WHEREAS, the City Manager believes it is in the best interests of the organization and the City of St. Helena to have the City’s Administrative Services Director April Mitts assume this important position based on her education, knowledge, skills, and abilities; and
WHEREAS, Interim City Manager McCann wishes to appoint Dr. April Mitts as the Assistant City Manager and seeks the Council’s ratification of this action.

RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:

1. Approve and authorize the City Manager to enter into an employment agreement effective June 20, 2022 with Dr. April Mitts to serve as the City’s Assistant City Manager.

Approved at a Regular Meeting of the St. Helena City Council on June 14, 2022, by the following vote:

Agenda Item #7.9.

Mayor Ellsworth: ________
Vice Mayor Dohring: ________
Councilmember Chouteau: ________
Councilmember Hall: ________
Councilmember Hardy: ________
APPROVED: ATTEST:
___________________________ ___________________________ Geoff Ellsworth, Mayor Cindy Tzafopoulos, City Clerk
Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

EMPLOYMENT AGREEMENT FOR ASSISTANT CITY MANAGER
Between
CITY OF ST. HELENA AND DR. APRIL MITTS
THIS EMPLOYMENT AGREEMENT (the Agreement) is entered into as of June 15, 2022, between THE CITY OF ST. HELENA, a municipal corporation (City), and Dr. April Mitts (Assistant City Manager), collectively “the Parties”.

RECITALS
WHEREAS, City desires to employ Dr. April Mitts as Assistant City Manager for the City of St. Helena.

WHEREAS, Dr. April Mitts desires to serve as Assistant City Manager of the City of St. Helena beginning on June 20, 2022.

WHEREAS, Dr. April Mitts has the necessary education, experience, skills and expertise to serve as the City’s Assistant City Manager; and WHEREAS, The City Manager, as appointing power, and April Mitts desire to agree in writing to the terms and conditions of Dr. April Mitts’ employment as the Assistant City Manager.

NOW, THEREFORE, in consideration of the above recitals, promises and conditions contained herein, the Parties agree as follows:

AGREEMENT

1. Powers and Duties of the Assistant City Manager
a) Assistant City Manager shall have the powers and shall perform the functions and duties specified in the job description and in state and federal law, the St.

Helena Municipal Code, and the ordinances and resolutions of City, as well as to perform other legally permissible and proper duties and functions as the City Manager may from time-to-time assign.
b) Assistant City Manager shall perform her duties to the best of her ability in accordance with the professional and ethical standards of the profession and shall comply with the laws of the State of California, the Municipal Code of the City, and Ordinances and Resolutions of the City, and as they may be amended. c) Assistant City Manager shall not engage in any activity which is or may become a conflict of interest, prohibited contract, or which may create an incompatibility of office as defined under California law. Prior to performing any services under the Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

Agreement and annually thereafter, Employee must complete disclosure forms required by law.
d) Assistant City Manager shall report to the City Manager who has authority to dismiss, discipline, and give direction to the Assistant City Manager. e) Assistant City Manager shall devote full time to the performance of her duties; the Assistant City Manager shall notify the City Manager of any outside employment, which employment shall not interfere with the Assistant City Manager’s City job duties, pose a conflict of interest, or be inappropriate for a City employee. f) Assistant City Manager shall maintain all applicable certifications and licenses required for the Assistant City Manager, as a condition of her employment, including a valid California Driver’s License unless it is not possible because of a documented medical reason.

2. Term
The Agreement is effective June 20, 2022, and will continue in effect until terminated as provided herein. As stated in Section 3, Assistant City Manager’s employment is for no defined term or period, and may be terminated by the City Manager at any time pursuant to Section 4. For purposes of Section 4 and Government Code Section 53260 only, Director’s employment shall be deemed to have an unexpired term of three (3) months in the event of involuntary termination without cause pursuant to Section 4 (c).

3. At-Will Employment
a) The Parties recognize and affirm that: (1) the Assistant City Manager is an “at will” employee whose employment may be terminated by the City Manager at any time with or without cause, (2) there is no express or implied promise made to the Assistant City Manager for any form of continued employment, and (3) upon termination of the Agreement, the Assistant City Manager understands that she has no right to any further employment, in any capacity, with the City. Ther Agreement is the sole and exclusive basis for an employment relationship between the Assistant City Manager and the City.
b) Termination for cause means termination based upon a breach of any of the terms of this Agreement, malfeasance of any nature occurring during the course and scope of the Employee's duties as Assistant City Manager; or a conviction, plea bargain, or personal adverse State or federal determination against Employee individually involving any felony, intentional tort, crime of moral turpitude, violation of statute or law constituting forfeiture of office, misconduct in office for personal gain, misuse of public funds for personal benefit, conflict of interest resulting in conviction, or any other incompatible activity or conflict of interest.

Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

4. Termination of Agreement
The Agreement may be terminated as follows:
a) By Mutual Agreement. The City Manager and Assistant City Manager may terminate this Agreement at any time by mutual written agreement. b) Termination by City. The City Manager may, in her or his sole and unrestricted discretion, terminate this Agreement with or without cause at any time upon written notice to the Assistant City Manager.
c) Severance. Subject to the limitations of Government Code Sections 53260 and 53261, if the City Manager terminates this Agreement without cause while the Assistant City Manager is still willing and able to perform the duties of Assistant City Manager, the Assistant City Manager shall be entitled to three (3) months’ base salary, less applicable deductions, plus applicable accrued leaves as provided in this Agreement together with any extension of benefits required under California and federal law. No time served by the Assistant City Manager after notice of the termination shall be debited from the period of severance pay.

Eligibility for such severance payment is expressly conditioned upon Assistant City Manager’s execution, and non-revocation, of a written agreement for (i) a waiver and release of any and all claims against City, (and its officers, elected officials, employees, etc.) to the full extent permitted by law, and (ii) a covenant not to sue. (An appropriate written agreement will be prepared by the City Attorney and furnished to Employee.) However, in the event the Assistant City Manager is terminated for cause, the Assistant City Manager shall be entitled to only the compensation earned and accrued and such termination benefits and payments as may be required by law, but shall not be entitled to any severance benefits.
d) Resignation by Assistant City Manager. Nothing in this Agreement shall prevent, limit or otherwise interfere with the right of Assistant City Manager to resign at any time from her position as Assistant City Manager. Assistant City Manager may terminate this Agreement by submitting written notice of her resignation to City. As a courtesy, Assistant City Manager shall give the City thirty (30) days written notice of her intention to resign. e) Rights and Remedies of Director upon Termination. Nothing in this Agreement is intended to, or does, confer upon Assistant City Manager any due process right to a hearing or other administrative process pertaining to termination, before or after a decision by the City to terminate her employment, except as may be required under California or federal law. Director may appeal a determination of for cause termination to the City Council for the sole purpose of qualifying for severance pay; the City Council shall not have the authority to Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

overturn the termination.
f) Resignation in Lieu of Termination. If the Assistant City Manager is terminated without cause, the Assistant City Manager shall have the opportunity to resign in lieu of being terminated. In such an event, any public announcement issued by the City will state that the Assistant City Manager resigned, and Assistant City Manager would remain eligible for severance as provided in subsection (c) above.
g) Administrative Leave. The City Manager may place the Assistant City Manager on administrative leave with or without pay pending investigation of any allegations of misconduct.

5. Compensation and Benefits.
(a) City agrees to pay Assistant City Manager for her services pursuant to the City’s publicly available salary schedule for the Director. Effective June 20, 2022, the Assistant City Manager’s shall be placed at Step B of the Assistant City Manager salary schedule (currently $181,406). Salary for the Assistant City Manager shall be payable in installments at the same time as other employees of City are paid and subject to all applicable payroll taxes and withholdings.

Such salary may be adjusted from time to time at the sole discretion of the City Manager within the publicly available salary schedule. The Assistant City Manager shall be an “exempt” employee under all applicable state and federal labor laws, including, but not limited to, the Federal Labor Standards Act and the regulations of the California Industrial Welfare Commission. (b) Performance Review. The City Manager shall evaluate the Assistant City Manager’s performance by December 20, 2022, and at least annually thereafter. (c) CalPERS. CalPERS. Employee shall continue to be included in the City's Miscellaneous Plan with the California Public Employees' Retirement System ("CalPERS") as a PEPRA Member (2%@62), as described in the Unrepresented Compensation Program. Employee shall contribute the total “employee contribution,” and any applicable cost sharing requirements applicable to City Department Heads as set forth in the Unrepresented Compensation Program (currently 1% cost sharing). The City must comply with the requirements of law and CalPERS rules and regulations governing the CalPERS retirement program and makes no promises regarding any particular level of benefits that will be provided under that program. (d) The City participates in Social Security; the employee contribution (currently

6.2%) will be deducted from the Director’s gross pay.

Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

(e) Assistant City Manager shall be entitled to all benefits, rights and privileges accorded to Department Heads as set forth in the Unrepresented Compensation Program, as may be amended from time to time, except as otherwise provided in this Agreement or as they may conflict with the Assistant City Manager’s status as an “At-will” employee. If there is any conflict between this Agreement and any resolution or policy fixing compensation and benefits for City Department Heads or other unclassified employees, this Agreement shall control.
(f) Assistant City Manager shall receive full vacation accrual of that which a regular full-time employee accumulates in accordance with the full-time vacation entitlement schedule in accordance with the City’s Unrepresented Compensation Program for Department Heads and Mid-Managers. The maximum amount of accrued vacation may not exceed 380 hours. (g) Assistant City Manager shall receive full accruals that Departments Heads receive for personal convenience holidays (floating holidays) in accordance with City’s Unrepresented Compensation Program for Department Heads and MidManagers. (h) Assistant City Manager shall receive five (5) days of executive leave awarded January 1st and five (5) additional days of executive leave awarded on July 1st of each full year. Floating holidays and executive leave must be used in the year accrued or the time shall be forfeited.
(i) Assistant City Manager shall be entitled to twelve (12) days sick leave each year in accordance with the City’s Unrepresented Compensation Program for Department Heads and Mid-Managers.
(j) For purpose of calculating vacation accruals, personal convenience holidays, and sick leave payout; shall be based on the Assistant City Manager’s initial date of hire with the City which is November 5, 2014.
(k) Vehicle Allowance. Assistant City Manager will receive a vehicle allowance of $200 per month.
(l) Communications. Assistant City Manager will have the use of a City cellular phone and iPad pursuant to policies established by the City. (m) Professional Development and Training. City shall pay for Assistant City Manager’s annual training and membership to essential professional associations.
(n) Hours of Work. The Assistant City Manager is an exempt employee but is expected to engage in those hours of work that are necessary to fulfill the Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

obligations of the Assistant City Manager position. If mutually agreed to between the City Manager and the Assistant City Manager, the Assistant City Manager may have a modified work schedule, such as 4/10 or 9/80 or have the opportunity to telecommute as deemed appropriate by the City Manager.

6. Return of City Property
In the event of termination, any City equipment or property will be promptly returned to the City. In addition, any and all finished and unfinished documents, data, reports and materials are the property of the City and shall be promptly delivered to the City Manager. Assistant City Manager shall keep all information acquired through their position in the strictest confidence.

7. Indemnification
To the extent required by, and in accordance with the terms, conditions, and limitations of the Government Claims Act (Gov't Code §§ 810 et seq.), City shall defend, save harmless, and indemnify the Assistant City Manager against any tort, professional liability claim or demand or other legal action, whether groundless or otherwise, arising out of an alleged act or omission occurring in the performance of Assistant City Manager’s duties as Assistant City Manager. City will determine whether to compromise and settle any such claim or suit and the amount of any settlement or judgment rendered thereon. Notwithstanding the foregoing, such indemnification shall be limited as stated in paragraph 8 below.

8. Limitations/Reimbursements
Notwithstanding any other provision in this Agreement, and in accordance with California Government Code Sections 3511.1, 3511.2, 53243, 53243.1 and 53243.2, the following limitations apply to City’s obligations to Assistant City Manager:
(a) In the event the Assistant City Manager is placed on paid leave pending an investigation, Assistant City Manager shall reimburse such pay to City if he is subsequently convicted of a crime that constitutes “abuse of office or position” as defined in Government Code Section 53243.4. (b) In the event City pays for the Assistant City Manager legal criminal defense, she shall fully reimburse such funds to the City if he is subsequently convicted of a crime that constitutes “abuse of office or position” as defined in Government Code Section 53243.4.
(c) If this contract is terminated, any cash settlement related to the termination that Assistant City Manager may receive from City must be fully reimbursed to City if she is subsequently convicted of a crime that constitutes “abuse of office or position” as defined in Government Code Section 53243.4.

Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

9. Attorney’s Fees
In the event of any mediation, arbitration or litigation to enforce any of the provisions of this Agreement, each party shall bear its own attorney's fees and costs.

10. Jurisdiction and Venue
This Agreement shall be construed in accordance with the laws of the State of California, and the Parties agree that venue shall be in Napa County, California.

11. Notices
Any notices required by this Agreement shall be in writing and either given in person or by first class mail with postage prepaid and addressed as follows:

TO CITY: City Manager
City of St. Helena
1572 Railroad Avenue
St. Helena, CA 94574
TO EMPLOYEE: April Mitts
Last home address on file with the City

12. Entire Agreement
Ther Agreement is the final expression of the complete agreement of the parties with respect to the matters specified herein and supersedes all prior oral or written understandings. However, the Agreement may be amended or altered by the City Manager at any time. Any such amendments or alterations must be in writing, signed by Assistant City Manager and the City Manager and approved by the City Council.

13. Severability
If any provision of this Agreement is found to be unenforceable by judgment or court order, the remainder of the Agreement shall remain in full force and effect, as if the unenforceable provision had never been included.

14. Assignment
Assistant City Manager may not assign or transfer any rights granted or obligations assumed under this Agreement.

Agenda Item #7.9.

April Mitts Employment Agreement
City of St. Helena

15. Informed and Voluntary Agreement
Assistant City Manager acknowledges that she has had the opportunity to receive legal representation and advice in connection with this Agreement and that he voluntarily enters into this Agreement fully informed about the rights and obligations he assumes and waives by entering into this Agreement.

16. Agreement Subject to Council Ratification
As stated in Municipal Code Section 2.12.060(B)(2), this Agreement is subject to ratification by the City Council at a regular meeting.

IN WITNESS WHEREOF, City and the Assistant City Manager have entered into and executed this Agreement as of the 14 day of June 2022.

CITY OF ST. HELENA ASSISTANT CITY MANAGER
A Municipal Corporation
By: ______________________ By: ____________________
James McCann Dr. April Mitts
Approved as to Form:

By: _____________________
Ethan Walsh
City Attorney
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Agenda Item #7.9.

Report to the City Council
Regular City Council - 14 Jun 2022
Agenda Section: CONSENT ITEMS
Subject: Consideration and Proposed Approval of a Resolution approving an Employment Agreement with Mandy Kellogg
and Ratifying the City Manager’s Appointment to serve as the Administrative Services Director.

CEQA
Determination:

Not a CEQA project
Prepared By: James C. McCann, Interim City Manager
Reviewed By: April Mitts, Administrative Services Director Approved By: James C. McCann, Interim City Manager

BACKGROUND
With the appointment of April Mitts, the City’s Administrative Services Director to the newly created Assistant City Manager position, there is a need fill the Administrative Services Director position and opportunity to advance Mandy Kellogg, our existing Assistant Administrative Services Director to this department head position.

DISCUSSION
Ms. Kellogg has been with the City of St. Helena for thirteen years and has held the Assistant Administrative Services Director position since June of 2021. She was the City’s Finance Manager for 5 years and has held numerous positions in the Administrative Services, Finance and Human Resources departments over the years. Mandy has tremendous hands-on experience and familiarity with the functions of St. Helena’s Administrative Services Department and the financial functions of the City. She has great depth and proven skills in financial planning and controls as well has a highly advanced grasp on municipal budgeting and forecasting. She is deeply knowledgeable of the City’s Capital Improvement Program and the funding strategies for operations and capital projects. Mandy is conversant with utility rate development and implementation of rate structures. She has experience in management of Human Resources and Information Technology services and is experienced in labor negotiations, labor contract and Agenda Item #7.10.

personnel management. Mandy is the City’s lead on most grants through local, state and federal programs and is viewed as expert in CDBG and FEMA grant processes.

Ms. Kellogg holds a Bachelor of Arts from Sacramento State University and expects to complete a Master of Public Administration from Sonoma State University in Spring 2023.

Mandy is an active member with the California Society of Municipal Finance Officials and Government Finance Officers Association. Ms. Kellogg has completed professional certificate programs in the fields of government accounting, community leadership, and emergency operations management and meets all other requirements for the Director position. She is well respected among City personnel and fellow municipal financial colleagues and has been an effective mentor and leader of staff. She is correctly viewed as a highly capable, hardworking, professional and highly confidential member of the City team. She will be a strong Director and a valuable member of the Executive Team.

FISCAL IMPACT
Funding for this position is included in the FY 2021/22 adopted budget.

RECOMMENDED ACTION
Staff recommends the City Council adopt the attached resolution.

ATTACHMENTS
Attachment 1 - Resolution Approving ASD Agreement
Attachment 2 - Employment Agreement MKellogg
Agenda Item #7.10.

CITY OF ST. HELENA
RESOLUTION NO. 2022-____
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ST.

HELENA APPROVING AN EMPLOYMENT AGREEMENT WITH
MANDY KELLOGG AND RATIFYING THE CITY MANAGER’S

APPOINTMENT TO SERVE AS ADMINISTRATIVE SERVICES
DIRECTOR.

RECITALS
WHEREAS, with the appointment of April Mitts, the City’s Administrative Services Director to the newly created Assistant City Manager position, there is a need to fill the Administrative Services Director position and opportunity to advance Mandy Kellogg, the City’s current Assistant Administrative Services Director to this department head position; and
WHEREAS, Ms. Kellogg has been with the City of St. Helena for thirteen years and has held the Assistant Administrative Services Director position since June of 2021.

She was the City’s Finance Manager for 5 years and has held numerous positions in the Administrative Services, Finance and Human Resources departments over the years; and
WHEREAS, the City Manager believes it is in the best interests of the organization and the City of St. Helena to have the City’s Assistant Administrative Services Director Mandy Kellogg assume the role of Administrative Services Director based on her education, knowledge, skills, and abilities.

RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:

1. Approve and authorize the City Manager to enter into an employment agreement effective June 20, 2022 with Mandy Kellogg to serve as the City’s Administrative Services Director.

Approved at a Regular Meeting of the St. Helena City Council on June 14, 2022, by the following vote:

Agenda Item #7.10.

Mayor Ellsworth: ________
Vice Mayor Dohring: ________
Councilmember Chouteau: ________
Councilmember Hall: ________
Councilmember Hardy: ________
APPROVED: ATTEST:
___________________________ ___________________________ Geoff Ellsworth, Mayor Cindy Tzafopoulos, City Clerk
Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

EMPLOYMENT AGREEMENT FOR ADMINISTRATIVE SERVICES DIRECTOR Between
CITY OF ST. HELENA AND MANDY KELLOGG
THIS EMPLOYMENT AGREEMENT (the Agreement) is entered into as of June 15, 2022, between THE CITY OF ST. HELENA, a municipal corporation (City), and Mandy Kellogg (Administrative Services Director), collectively “the Parties”.

RECITALS
WHEREAS, City desires to employ Mandy Kellogg as Administrative Services Director for the City of St. Helena.

WHEREAS, Mandy Kellogg desires to serve as Administrative Services Director of the City of St. Helena beginning on June 20, 2022.

WHEREAS Mandy Kellogg has the necessary education, experience, skills and expertise to serve as the City’s Administrative Services Director; and WHEREAS, The City Manager, as appointing power, and Mandy Kellogg desire to agree in writing to the terms and conditions of Mandy Kellogg’s employment as the Administrative Services Director.

NOW, THEREFORE, in consideration of the above recitals, promises and conditions contained herein, the Parties agree as follows:

AGREEMENT

1. Powers and Duties of the Administrative Services Director a) Director shall have the powers and shall perform the functions and duties specified in the job description and in state and federal law, the St. Helena Municipal Code, and the ordinances and resolutions of City, as well as to perform other legally permissible and proper duties and functions as the City Manager may from time-to-time assign.
b) Director shall perform her duties to the best of her ability in accordance with the professional and ethical standards of the profession and shall comply with the laws of the State of California, the Municipal Code of the City, and Ordinances and Resolutions of the City, and as they may be amended. c) Director shall not engage in any activity which is or may become a conflict of interest, prohibited contract, or which may create an incompatibility of office as defined under California law. Prior to performing any services under the Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

Agreement and annually thereafter, Employee must complete disclosure forms required by law.
d) Director shall report to the City Manager who has authority to dismiss, discipline, and give direction to the Administrative Services Director. e) Director shall devote full time to the performance of her duties; the Director shall notify the City Manager of any outside employment, which employment shall not interfere with the Director’s City job duties, pose a conflict of interest, or be inappropriate for a City employee.
f) Director shall maintain all applicable certifications and licenses required for the Administrative Services Director, as a condition of her employment, including a valid California Driver’s License unless it is not possible because of a documented medical reason.

2. Term
The Agreement is effective June 20, 2022, and will continue in effect until terminated as provided herein. As stated in Section 3, Director’s employment is for no defined term or period, and may be terminated by the City Manager at any time pursuant to Section 4.

For purposes of Section 4 and Government Code Section 53260 only, Director’s employment shall be deemed to have an unexpired term of three (3) months in the event of involuntary termination without cause pursuant to Section 4 (c).

3. At-Will Employment
a) The Parties recognize and affirm that: (1) the Director is an “at will” employee whose employment may be terminated by the City Manager at any time with or without cause, (2) there is no express or implied promise made to the Director for any form of continued employment, and (3) upon termination of the Agreement, the Director understands that she has no right to any further employment, in any capacity, with the City. Ther Agreement is the sole and exclusive basis for an employment relationship between the Director and the City. b) Termination for cause means termination based upon a breach of any of the terms of this Agreement, malfeasance of any nature occurring during the course and scope of the Employee's duties as Administrative Services Director; or a conviction, plea bargain, or personal adverse State or federal determination against Employee individually involving any felony, intentional tort, crime of moral turpitude, violation of statute or law constituting forfeiture of office, misconduct in office for personal gain, misuse of public funds for personal benefit, conflict of interest resulting in conviction, or any other incompatible activity or conflict of interest.

Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

4. Termination of Agreement
The Agreement may be terminated as follows:
a) By Mutual Agreement. The City Manager and Director may terminate this Agreement at any time by mutual written agreement.
b) Termination by City. The City Manager may, in her or his sole and unrestricted discretion, terminate this Agreement with or without cause at any time upon written notice to the Director.
c) Severance. Subject to the limitations of Government Code Sections 53260 and 53261, if the City Manager terminates this Agreement without cause while the Director is still willing and able to perform the duties of Administrative Services Director, the Director shall be entitled to three (3) months’ base salary, less applicable deductions, plus applicable accrued leaves as provided in this Agreement together with any extension of benefits required under California and federal law. No time served by the Director after notice of the termination shall be debited from the period of severance pay. Eligibility for such severance payment is expressly conditioned upon Director’s execution, and non-revocation, of a written agreement for (i) a waiver and release of any and all claims against City, (and its officers, elected officials, employees, etc.) to the full extent permitted by law, and (ii) a covenant not to sue. (An appropriate written agreement will be prepared by the City Attorney and furnished to Employee.) However, in the event the Director is terminated for cause, the Director shall be entitled to only the compensation earned and accrued and such termination benefits and payments as may be required by law, but shall not be entitled to any severance benefits. d) Resignation by Director. Nothing in this Agreement shall prevent, limit or otherwise interfere with the right of Director to resign at any time from her position as Administrative Services Director. Director may terminate this Agreement by submitting written notice of her resignation to City. As a courtesy, Director shall give the City thirty (30) days written notice of her intention to resign.
e) Rights and Remedies of Director upon Termination. Nothing in this Agreement is intended to, or does, confer upon Director any due process right to a hearing or other administrative process pertaining to termination, before or after a decision by the City to terminate her employment, except as may be required under California or federal law. Director may appeal a determination of for cause termination to the City Council for the sole purpose of qualifying for severance pay; the City Council shall not have the authority to overturn the termination.
f) Resignation in Lieu of Termination. If the Director is terminated without cause, Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

the Director shall have the opportunity to resign in lieu of being terminated. In such an event, any public announcement issued by the City will state that the Director resigned, and Director would remain eligible for severance as provided in subsection (c) above.
g) Administrative Leave. The City Manager may place the Director on administrative leave with or without pay pending investigation of any allegations of misconduct.

5. Compensation and Benefits.
(a) City agrees to pay Director for her services pursuant to the City’s publicly available salary schedule for the Director. Effective June 20, 2022, the Director’s shall be placed at Step C of the Administrative Services Director salary schedule (currently $150,394). Salary for the Director shall be payable in installments at the same time as other employees of City are paid and subject to all applicable payroll taxes and withholdings. Such salary may be adjusted from time to time at the sole discretion of the City Manager within the publicly available salary schedule. The Director shall be an “exempt” employee under all applicable state and federal labor laws, including, but not limited to, the Federal Labor Standards Act and the regulations of the California Industrial Welfare Commission.
(b) Performance Review. The City Manager shall evaluate the Director’s performance by December 20, 2022, and at least annually thereafter. (c) CalPERS. CalPERS. Employee shall continue to be included in the City's Miscellaneous Plan with the California Public Employees' Retirement System ("CalPERS") as a Classic Tier One Member (2%@55), as described in the Unrepresented Compensation Program. Employee shall contribute the total “employee contribution,” and any applicable cost sharing requirements applicable to City Department Heads as set forth in the Unrepresented Compensation Program (currently 1% cost sharing). The City must comply with the requirements of law and CalPERS rules and regulations governing the CalPERS retirement program and makes no promises regarding any particular level of benefits that will be provided under that program. (d) The City participates in Social Security; the employee contribution (currently

6.2%) will be deducted from the Director’s gross pay.
(e) Director shall be entitled to all benefits, rights and privileges accorded to Department Heads as set forth in the Unrepresented Compensation Program, as may be amended from time to time, except as otherwise provided in this Agreement or as they may conflict with the Director’s status as an “At-will” employee. If there is any conflict between this Agreement and any resolution or Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

policy fixing compensation and benefits for City Department Heads or other unclassified employees, this Agreement shall control.
(f) Director shall receive full vacation accrual of that which a regular full-time employee accumulates in accordance with the full-time vacation entitlement schedule in accordance with the City’s Unrepresented Compensation Program for Department Heads and Mid-Managers. The maximum amount of accrued vacation may not exceed 380 hours.
(g) Director shall receive full accruals that Departments Heads receive for personal convenience holidays (floating holidays) in accordance with City’s Unrepresented Compensation Program for Department Heads and MidManagers. (h) Director shall receive five (5) days of executive leave awarded January 1st and five (5) additional days of executive leave awarded on July 1st of each full year.

Floating holidays and executive leave must be used in the year accrued or the time shall be forfeited.
(i) Director shall be entitled to twelve (12) days sick leave each year in accordance with the City’s Unrepresented Compensation Program for Department Heads and Mid-Managers.
(j) For purpose of calculating vacation accruals, personal convenience holidays, and sick leave payout; shall be based on the Director’s initial date of hire with the City which is February 17, 2009.
(k) Vehicle Allowance. Director will receive a vehicle allowance of $200 per month. (l) Communications. Director will have the use of a City cellular phone and iPad pursuant to policies established by the City.
(m) Professional Development and Training. City shall pay for Director’s annual training and membership to essential professional associations. (n) Hours of Work. The Director is an exempt employee but is expected to engage in those hours of work that are necessary to fulfill the obligations of the Director position. If mutually agreed to between the City Manager and the Director, the Director may have a modified work schedule, such as 4/10 or 9/80 or have the opportunity to telecommute as deemed appropriate by the City Manager.

6. Return of City Property
Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

In the event of termination, any City equipment or property will be promptly returned to the City. In addition, any and all finished and unfinished documents, data, reports and materials are the property of the City and shall be promptly delivered to the City Manager. Director shall keep all information acquired through their position in the strictest confidence.

7. Indemnification
To the extent required by, and in accordance with the terms, conditions, and limitations of the Government Claims Act (Gov't Code §§ 810 et seq.), City shall defend, save harmless, and indemnify the Director against any tort, professional liability claim or demand or other legal action, whether groundless or otherwise, arising out of an alleged act or omission occurring in the performance of Director’s duties as Administrative Services Director. City will determine whether to compromise and settle any such claim or suit and the amount of any settlement or judgment rendered thereon. Notwithstanding the foregoing, such indemnification shall be limited as stated in paragraph 8 below.

8. Limitations/Reimbursements
Notwithstanding any other provision in this Agreement, and in accordance with California Government Code Sections 3511.1, 3511.2, 53243, 53243.1 and 53243.2, the following limitations apply to City’s obligations to Director:
(a) In the event the Director is placed on paid leave pending an investigation, Director shall reimburse such pay to City if he is subsequently convicted of a crime that constitutes “abuse of office or position” as defined in Government Code Section 53243.4.
(b) In the event City pays for the Director legal criminal defense, she shall fully reimburse such funds to the City if he is subsequently convicted of a crime that constitutes “abuse of office or position” as defined in Government Code Section 53243.4.
(c) If this contract is terminated, any cash settlement related to the termination that Director may receive from City must be fully reimbursed to City if she is subsequently convicted of a crime that constitutes “abuse of office or position” as defined in Government Code Section 53243.4.

9. Attorney’s Fees
In the event of any mediation, arbitration or litigation to enforce any of the provisions of this Agreement, each party shall bear its own attorney's fees and costs.

10. Jurisdiction and Venue
Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

This Agreement shall be construed in accordance with the laws of the State of California, and the Parties agree that venue shall be in Napa County, California.

11. Notices
Any notices required by this Agreement shall be in writing and either given in person or by first class mail with postage prepaid and addressed as follows:

TO CITY: City Manager
City of St. Helena
1572 Railroad Avenue
St. Helena, CA 94574
TO EMPLOYEE: Mandy Kellogg
Last home address on file with the City

12. Entire Agreement
Ther Agreement is the final expression of the complete agreement of the parties with respect to the matters specified herein and supersedes all prior oral or written understandings. However, the Agreement may be amended or altered by the City Manager at any time. Any such amendments or alterations must be in writing, signed by Director and the City Manager and approved by the City Council.

13. Severability
If any provision of this Agreement is found to be unenforceable by judgment or court order, the remainder of the Agreement shall remain in full force and effect, as if the unenforceable provision had never been included.

14. Assignment
Director may not assign or transfer any rights granted or obligations assumed under this Agreement.

15. Informed and Voluntary Agreement
Director acknowledges that she has had the opportunity to receive legal representation and advice in connection with this Agreement and that he voluntarily enters into this Agreement fully informed about the rights and obligations he assumes and waives by entering into this Agreement.

16. Agreement Subject to Council Ratification
Agenda Item #7.10.

Mandy Kellogg Employment Agreement
City of St. Helena

As stated in Municipal Code Section 2.12.060(B)(2), this Agreement is subject to ratification by the City Council at a regular meeting.

IN WITNESS WHEREOF, City and the Administrative Services Director have entered into and executed this Agreement as of the 14 day of June 2022.

CITY OF ST. HELENA ADMINISTRATIVE SERVICES

DIRECTOR
A Municipal Corporation
By: ______________________ By: ____________________
James McCann Mandy Kellogg
Approved as to Form:

By: _____________________
Ethan Walsh
City Attorney
Agenda Item #7.10.

Report to the City Council
Regular City Council - 14 Jun 2022
Agenda Section: PUBLIC HEARINGS
Subject: Discussion of Potential Activities and Projects for Inclusion in the 2022 Community Development Block Grant (CDBG)
Applications; and (1) Consideration of Approval of a
Resolution Approving Applications for Funding, and (2) the Execution of a Grant Agreement and any Amendments thereto from the 2021-2022 Funding Year of the State CDBG Program.

CEQA
Determination:

Not a CEQA project
Prepared By: Mandy Kellogg, Asst. Administrative Services Director Reviewed By: April Mitts, Administrative Services Director Approved By: James C. McCann, Interim City Manager

BACKGROUND
On April 19, 2022, the California Department of Housing and Community Development (Department) announced the availability of approximately $30 million in funding available through the federal Small Cities Community Development Block Grant Program (CDBG) for the 2022 funding year. CDBG funds are provided as grants to Non-Entitlement Jurisdictions. The objectives of the CDBG program are to develop viable communities by the provision of decent affordable housing, by a suitable living environment, and to expand economic opportunities, principally for the benefit of low- and moderate-income (LMI) persons, families, households, and neighborhoods.

Funding awarded through this Notice of Funding Availability (NOFA), Attachment A, will have a 36-month expenditure and liquidation period. Awards will be limited to $1.5 million per jurisdiction, including all applications submitted under this 2022 NOFA.

There will be no Multifamily Housing, Housing Infrastructure, and Community Development (CD) Project funding in this NOFA. The Department will continue to fund down the Over-the-Counter (OTC) waiting list from the 2019-2020 NOFA.

Agenda Item #8.1.

Capital Improvement Projects - The Department will not accept any new CD OTC capital improvement (Project) applications for the 2022 funding round. As part of the CDBG redesign, the Department implemented OTC applications for capital improvement Projects for multifamily housing, infrastructure, and public facilities in the 2019-2020 NOFA. This solicitation was oversubscribed and, in response to stakeholder feedback, those applications that were not funded were placed on a waitlist. The Department will continue to fund down the existing waitlist of shovel-ready Projects through the 2022 program year if the funds from this NOFA are undersubscribed.

Application deadlines are as follows:

Program Application Due Date
Community Development Competitive Programs June 20, 2022 3:00 PM Economic Development July 18, 2022 3:00 PM
Project/Activity Selection
In order to be considered eligible, a suggested project/activity must meet one or more of the three National Objectives listed in CDBG Federal Statutes:
• Benefit to low- and moderate-income persons;
• Prevention or elimination of slums and blight; or
• Meeting an urgent community need which poses an immediate threat to the health and welfare of the community (State designates when the “urgent need” objective is allowed for a NOFA).

The benefit to low- and moderate-income persons is the most predominately used National Objective. In order to benefit low- or moderate-income persons, the project/activity must either benefit an area that is comprised of at least 51% low- or moderate-income households, or the program benefits individually qualified households (i.e., each participating household is income certified).

Eligible jurisdictions may apply for a maximum of three applications, with one project or program per application and one application per activity, with total funding not-to-exceed $1,500,000. When applying for Community Development and Economic Development activities, the combined maximum may not exceed $1,500,000. In addition to meeting one of the three National Objectives, the project/activity must also fall under one of the categories listed below:

1. Housing and Community Development (CD) Activities - The maximum grant award for all Community Development Activities is $1.5 million per Jurisdiction. Pursuant to 24 CFR §570.482, eligible activities and maximum grant award amounts for funding the CDBG program include, but are not limited to:
o Housing Assistance to single-family units
▪ Single Family (1-4 units) Homebuyer Assistance (maximum grant of $500,000): assistance with loans for down-payment or closing costs.

Agenda Item #8.1.

▪ Single Family (1-4 units) Housing Rehabilitation (maximum grant of $500,000): loans for repairs and improvements of owner-occupied units.
o Non-housing community development activities
▪ Public Services (maximum grant of $500,000): (Please note that rental subsistence payments are being allowed in this NOFA) Examples include rental subsistence, employment services, crime prevention and public safety, child care, health services, substance abuse services, fair housing counseling, education programs, energy conservation, services for senior citizens, services for homeless persons, welfare services, down payment assistance, and recreational services benefiting low- and moderate-income persons. ▪ Planning and Technical Assistance (maximum grant of $250,000):

The product must show a connection to assisting with an eligible CDBG activity that, if implemented, meets a National Objective.

Product(s) are submitted to the State at the time of completion. The grant requires a five percent cash match to be expended prior to expenditure of CDBG funds. Examples include studies, analysis, and data gathering.

2. Economic Development Activities - The maximum grant award for all Economic Development Activities is $1.5 million per Jurisdiction. o Business Assistance and Microenterprise Assistance - (maximum grant of $750,000): Examples include financing of working capital, furniture, equipment, and property repairs/improvements.
o Infrastructure in Support of Businesses (maximum grant amount of $1,500,000)
o Economic Development Planning and Technical Assistance (maximum grant amount of $250,000)

DISCUSSION
After release of the 2022 NOFA, staff carefully reviewed amendments to the project funding eligibility. One notable change is that there will be no Multifamily Housing, Housing Infrastructure, and Capital Improvement Project funding in this NOFA. Due to the substantial amount of projects submitted in these categories under the 2019-20 NOFA, HCD continues to fund down projects on the waiting list. HCD has indicated that once funding of the waiting list is complete then funds may become available in these categories, which could be as early as the 2023 NOFA cycle. In addition, rental subsistence payments are being allowed.

On May 24, 2022, staff presented the following project ideas during a public hearing to be included in the 2022 NOFA application period:

1. Housing Assistance - Housing Rehabilitation Program (maximum grant amount up to $500,000): The funding will be used to continue the Owner-Occupied Rehabilitation (OOR) Program to assist low-income homeowners whose primary residence is in need of repairs, improvements, or reconstruction necessary to meet Agenda Item #8.1.

federal, state, or local building codes and for correction of all health and safety deficiencies. The program would be managed in collaboration with the Napa Housing Authority.

2. Planning and Technical Assistance (maximum grant amount up to $250,000):

The funding will be used to conduct a sites feasibility analysis to compare various properties in the City for their affordable housing development potential.

3. Public Services - Rental Subsistence Program (maximum grant amount up to $500,000): The City would partner would UpValley Family Centers to identify lowto moderate-income households that are in need of rental assistance.

4. Economic Development (proposed grant amount of $500,000): Sewer Lateral Replacement Project associated with Downtown Streetscape.

During the presentation, City Council was informed that total proposed funding requests for all four projects exceed the allowable maximum amount funding request of $1.5 million and therefore not all projects with the proposed amounts could be included in the funding request. After City Council discussed the proposed projects a recommendation was made to present two different resolutions at the subsequent public hearing on June 14th as follows:

1. Include all four projects to submit applications for funding with reduced funding requests so that the total aggregate amount would not exceed $1.5 million.

2. Only include three of the four projects, with the proposed maximum funding requests with a total aggregate amount of $1.5 million. The three projects selected would be based on the probability of application approval.

Following the May 24, 2022 meeting, staff learned that only three applications may be submitted during this funding period. Based on the direction provided by City Council on May 24, 2022, and recognizing the three application restriction, staff is making the following recommendations for activities to be included in the 2022 NOFA applications:

1. Housing Assistance - Housing Rehabilitation Program: Funding request of $500,000

2. Public Services - Rental Subsistence Program: Funding request of $500,000

3. Economic Development - Sewer Lateral Replacement Project: Funding request of $500,000
The Planning and Technical Assistance application was excluded after consulting with City's Building and Planning Director based on two primary factors: (1) a feasibility analysis and comparison of sites for new affordable housing had previously been prepared by Vernazza Wolfe Associates Inc. in 2015 and (2) the City is currently in the process of updating its Housing Element which will show how the City will accommodate its Regional Housing Needs Allocation (RHNA), including housing for low and very-low income categories.

FISCAL IMPACT
Agenda Item #8.1.

If awarded, an approved CDBG application is 100% grant-funded, including the costs to administer the grant.

RECOMMENDED ACTION
Recommendation of Approval of a Resolution Approving Applications for Funding and the Execution of a Grant Agreement and any Amendments thereto from the 2021-2022 Funding Year of the State CDBG Program.

ATTACHMENTS
Resolution 2022- Authorizing Submittal of CDBG Grant Application Attachment A - NOFA-CDBG-2022-NOFA-Final
Agenda Item #8.1.

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APPENDIX D
Resolution of the Governing Body
Applicants are required to use this Resolution in content and form.

RESOLUTION NO. __

A RESOLUTION APPROVING AN APPLICATION FOR FUNDING AND THE

EXECUTION OF A GRANT AGREEMENT AND ANY AMENDMENTS
THERETO FROM THE 2021-2022 FUNDING YEAR OF THE STATE CDBG

PROGRAM
BE IT RESOLVED by the ___________________________ of the of _____________ as follows:

SECTION 1:

The __________________________ has reviewed and hereby approves the submission to the State of California of one or more application(s) in the aggregate amount, not to exceed, of $ ______________ for the following CDBG activities, pursuant to the January 2022 CDBG NOFA:

List activities and amounts (activity totals should include Activity Delivery dollars and General Administration associated with the activity) Activity (i.e. Public Services, Housing
Rehabilitation)
Dollar Amount Being Requested for
the Activity
Note: Similar to the above, any Colonia or Native American Set-Aside activities must be included separately in the Resolution.

SECTION 2:

The hereby approves the use of Program Income in an amount not to exceed $ __________ for the CDBG activities described in Section 1.

Department of Housing and Community Development
Revised 10/15/21 2022 CDBG NOFA
Agenda Item #8.1.

APPENDIX D
SECTION 3:

The acknowledges compliance with all state and federal public participation requirements in the development of its application(s).

SECTION 4:

The hereby authorizes and directs the (title of designated official) _________________, or designee*, to execute and deliver all applications and act on the behalf in all matters pertaining to all such applications.

SECTION 5:

If an application is approved, the (title of designated official) _________________, or designee*, is authorized to enter into, execute and deliver the grant agreement (i.e., Standard Agreement) and any and all subsequent amendments thereto with the State of California for the purposes of the grant.

SECTION 6:

If an application is approved, the (title of designated official) _________________, or designee, is authorized to sign and submit Funds Requests and all required reporting forms and other documentation as may be required by the State of California from time to time in connection with the grant.
* Important Note: If the designee is signing any application, agreement, or any other document on behalf of the designated official of the City/County, written proof of designee authority to sign on behalf of such designated official must be included with the Resolution, otherwise the Resolution will be deemed deficient and rejected.

Additionally, do not add limitations or conditions on the ability of the signatory or signatories to sign documents, or the Resolution may not be accepted. If more than one party’s approval is required, list them as a signatory. The only exception is for county counsel or city attorney to approve as to form or legality or both, IF such approval is already part of the standard city/county signature block as evidenced by the signed Resolution itself. Inclusions of additional limitations or conditions on the authority of the signer will result in the Resolution being rejected and will require your entity to issue a corrected Resolution prior to the Department issuing a Standard Agreement.

Department of Housing and Community Development
Revised 10/15/21 2022 CDBG NOFA
Agenda Item #8.1.

APPENDIX D
PASSED AND ADOPTED at a regular meeting of the ________________________ of the ___________ of ___________ held on ________ by the following vote:

Instruction: Fill in all four vote-count fields below. If none, indicate “0” for that field.

AYES: _____ NOES: _____
ABSENT: _____ ABSTAIN: _____
Authorized Signature Date
Signer's Title

STATE OF CALIFORNIA
I, __________________, City/County Clerk of the City/Countof the of ______________ , State of California, hereby certify the above and foregoing to be a full, true and correct copy of a resolution adopted by said
on this ___ day of ____________ , 20 .
,
of the of , State of California
By:

Note: The attesting officer cannot be the person identified in the Resolution as the authorized signer.

Department of Housing and Community Development
Revised 10/15/21 2022 CDBG NOFA
Agenda Item #8.1.

STATE OF CALIFORNIA - BUSINESS, CONSUMER SERVICES AND HOUSING AGENCY GAVIN NEWSOM, Governor

DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT

DIVISION OF FEDERAL FINANCIAL ASSISTANCE
2020 W. El Camino Avenue, Suite 200, 95833
P.O. Box 952054
Sacramento, CA 94252-2054
(916) 263-2771
www.hcd.ca.gov
April 19, 2022
MEMORANDUM FOR: All Potential Applicants
FROM: Geoffrey M. Ross, Deputy Director
Division of Federal Financial Assistance
SUBJECT: 2022 Community Development Block Grant Program Notice of Funding Availability
The California Department of Housing and Community Development (Department) is pleased to announce the release of this Notice of Funding Availability (NOFA) for approximately $30 million in federal funds for the 2022 Community Development Block Grant (CDBG) program. The Department is also releasing an amendment to the State of California Final CDBG Program Guidelines to change the requirement for housing element compliance from the time of application to the time of award of funding.

Funding for this NOFA is available to the state from the United States Department of Housing and Urban Development (HUD), pursuant to the Housing Community Development Act of 1974, as amended and 24 Code of Federal Regulation (CFR) Part 570 Subpart I “State Community Development Block Grant Program”. These regulations require the state to make funds available to units of general local government in the state’s non-entitlement areas. Units of general local government are defined by HUD as political subdivisions of the state, which in California are towns, cities, and counties.

Only non-federally recognized Tribes can receive funding through applications submitted by non-entitlement cities and counties. No direct funding from the Department can be provided to Tribes, Tribal Designated Housing Entities, or nonprofits.

CDBG funds are provided as grants for a wide range of activities directed toward Economic Development (ED), improvement of community facilities and infrastructure, neighborhood revitalization, and public services. All CDBG activities must meet one of the following National Objectives: benefit low- and moderate-income persons; aid in the prevention or elimination of slums and blight; or meet certain urgent community needs.

This NOFA provides detailed information on the application process for CDBG funding.

The critical priority for this funding is to ensure all eligible persons receive equitable access to services, and are served with dignity, respect, and compassion regardless of circumstance, ability, or identity, which includes marginalized populations, including but not limited to, Black, Native and Indigenous, Latinx, Asian, Pacific Islanders and other people of color, immigrants, people with criminal records, people with disabilities, people with mental health and substance abuse vulnerabilities, people with limited English

ATTACHMENT A
Agenda Item #8.1.

CDBG 2022 Notice of Funding Availability
April 6, 2022

proficiency, people who identify as transgender, people who identify as LGBTQ+, and other individuals that may not traditionally access mainstream support. Additionally, the Department expects eligible Applicants to plan for how this funding will reduce disparities and increase racial equity in their communities.

Applications for CDBG funding under this NOFA will be accepted via the Department’s online grant application and management system, Grants Network, supported by eCivis.

Profile set-up instructions and other technical assistance can be found on the webpage under Training and Technical Assistance at eCivis Grants Network User.

NOFA Deadlines
Housing and Community Development Programs
Community Development Competitive
Programs Applications Due
June 20, 2022, at 3:00 p.m.

Pacific Daylight Time (PDT)
There will be no Multifamily Housing, Housing Infrastructure, and Community Development Project funding in this NOFA. The Department will continue to fund down the Over-the-Counter (OTC) waiting list from the 2019-2020 NOFA.

Economic Development Projects and Programs
Economic Development Applications Due July 18, 2022, at 3:00 p.m. PDT Applications in partnership with non-federally recognized Tribes Non-Federally Recognized Tribes August 19, 2022, at 3:00 p.m. PDT To receive CDBG program NOFA FAQs, emails, and other information and updates, please subscribe to the Federal Programs listserv. If you have any questions, please submit them to [email protected].

All activities in this NOFA are subject to availability of funds and continuing HUD and legislative authority.

Attachment
NOFA Release April 19, 2022
Application Submittal Start Date: April 20, 2022
Agenda Item #8.1.

Community Development Block Grant Program
2022 Notice of Funding Availability
Gavin Newsom, Governor
State of California
Lourdes M. Castro Ramírez, Secretary
Business, Consumer Services and Housing Agency
Gustavo Velasquez, Director
California Department of Housing and Community Development 2020 W. El Camino Avenue, Suite 500, Sacramento, CA 95833 Telephone: (916) 263-2771
Website: https://www.hcd.ca.gov/grants-funding/active-funding/cdbg.shtml Community Development Block Grant Program email: [email protected] April 6, 2022
Agenda Item #8.1.

CONTENTS
I. Overview .......................................................................................................................... 1 A. Notice of Funding Availability ........................................................................................... 1 B. Tentative Timeline............................................................................................................ 1 C. What is new in this NOFA ................................................................................................ 2 D. Authorizing Legislation..................................................................................................... 3 E. Definitions........................................................................................................................ 4 II. Program Requirements................................................................................................... 4 A. Eligible Applicants............................................................................................................ 4 B. Restrictions on Multiple Activities in the Same Political Districts....................................... 5 C. Allocation and Funding .................................................................................................... 5 D. State Allocations .............................................................................................................. 6 E. Special Allocations........................................................................................................... 7 F. Federal Limits .................................................................................................................. 7 G. Activity Delivery ............................................................................................................... 8 H. Insufficient Demand ......................................................................................................... 9 I. Eligible Activities .............................................................................................................. 9 J. Activity Limits................................................................................................................... 9 III. Application Requirements .............................................................................................10 A. National Objectives.........................................................................................................10 B. Milestones ......................................................................................................................12 C. Conditions.......................................................................................................................13 IV. Application Threshold and Initial Requirements..........................................................13 A. Threshold Requirements.................................................................................................14 B. Application and Activity Requirements ............................................................................18 V. Application Review ........................................................................................................21 VI. Award Recommendations .............................................................................................22 VII. Application Submission.................................................................................................22 A. Workshops......................................................................................................................22 B. Disclosure of application..................................................................................................23 VIII. Appeal Criteria and Process..........................................................................................24 A. Appeal process and deadlines.........................................................................................24 B. Appeal decisions .............................................................................................................24 C. Effectiveness ..................................................................................................................24 IX. Awards announcement and grant implementation.......................................................25 A. Awards announcements..................................................................................................25 B. Standard Agreements .....................................................................................................25 X. Federal program requirements ......................................................................................25 A. Federal Cross-Cutting Requirements..............................................................................25 B. Relocation plan requirement............................................................................................26 C. Procurement ...................................................................................................................27 D. False, Fictitious or Fraudulent Claims .............................................................................27 E. Detecting, Preventing, and Reporting Fraud ...................................................................27 F. Combatting Fraud ...........................................................................................................27 Agenda Item #8.1.

APPENDICES
Appendix A: Non-Entitlement CDBG Jurisdictions Census and American Community Survey Data Need Scoring
Appendix B: Housing Element and Growth Control Requirements Appendix C: Citizen Participation, Public Hearings, and Public Information FileRequirements
Appendix D: Sample Resolution of Governing Body
Appendix E: IDIS Matrix - CDBG Eligibility Activity Codes and National Objectives
Appendix F: Accessing CDBG Income Limits by Country and HUD Low/Moderate-Income Area Benefit Data
Appendix G: Determining Service Area
Appendix H: CDBG Income Survey Information
Appendix I: State Objective Criteria and Scoring
Appendix J: 2021 CDBG Application Certifications and Statement of Assurances
Appendix K: Sample DRAFT Standard Agreement
Appendix L: Scoring Matrix
Appendix M: Program Expectations for Economic Development Activities Appendix N: Racial Equity
Note – Appendices are located in eCivis in the ‘Files’ tab on the Department under each specific program solicitation
Agenda Item #8.1.

California Department of Housing and Community Development 1 CDBG 2022 NOFA – April 6, 2022
I. Overview
A. Notice of Funding Availability
The California Department of Housing and Community Development (Department) announces the availability of approximately $30 million in funding available through the federal Small Cities Community Development Block Grant Program (CDBG) for the 2022 funding year. CDBG funds are provided as grants to Non-Entitlement Jurisdictions. The objectives of the CDBG program are to develop viable communities by the provision of decent affordable housing, a suitable living environment, and to expand economic opportunities, principally for the benefit of Low- and Moderate-Income (LMI) persons, families, households, and neighborhoods. LMI is defined as neighborhoods, families, households, and individuals whose income does not exceed 80 percent of the county median income, as adjusted by the United States Department of Housing and Urban Development (HUD) for family household size.

All applications will be reviewed for completeness and compliance with state and federal requirements. Only complete and compliant applications will be eligible for application review, approval, and potential funding.

B. Tentative Timeline
The timeline below identifies deadlines for the 2022 program year application process.

NOFA Deadlines
Housing and Community Development Programs
Community Development Competitive
Programs Applications Due
June 20, 2022, at 3:00 p.m. Pacific Daylight
Time (PDT)
There will be no Multifamily Housing, Housing Infrastructure, and Community Development Project funding in this NOFA. The Department will continue to fund down the Over-the-Counter (OTC) waiting list from the 2019-2020 NOFA.

Economic Development Projects and Programs
Economic Development Applications Due July 18, 2022, at 3:00 p.m. PDT Applications in partnership with non-federally recognized tribes Non-federally recognized Tribes August 19, 2022, at 3:00 p.m. PDT NOFA Release April 19, 2022
Application Submittal Start Date: April 20, 2022
Agenda Item #8.1.

California Department of Housing and Community Development 2 CDBG 2022 NOFA – April 6, 2022
Undersubscribed ED OTC and Competitive program funds remaining at the close of the 2022 CDBG NOFA will be rolled into the CD OTC waitlist of projects submitted under the 2019 Housing and Non-Housing OTC applications in the 2019-2020 NOFA.

Applications submitted before the application start date or after the respective due date or closing date will not be accepted. There will be no exceptions. The Department recommends Applicants plan to submit their application(s) well before the final due or closing date to provide opportunity for troubleshooting if needed.

Each application will be digitally time stamped upon submittal.

C. What is new in this NOFA

1. Resolution
The Department-approved resolution form provided within the appendices of the NOFA MUST BE used. Applications that are submitted with resolutions that are not on the Department-mandated form will be disqualified. If a governing body must prepare a separate resolution concurrently that conforms to its local standard, it may do so in addition to preparing the resolution form provided by the Department.

This is an internal control to prevent and detect fraud as required by HUD. This resolution also allows Standard Agreements to be executed without delay that can result when a resolution is not acceptable to the Department.

2. Capital Improvement Projects
The Department will not accept any new CD OTC capital improvement (Project) applications for the 2022 funding round. As part of the CDBG redesign, the Department implemented OTC applications for capital improvement Projects for multifamily housing, infrastructure, and public facilities in the 2019-2020 NOFA.

This solicitation was oversubscribed and, in response to stakeholder feedback, those applications that were not funded were placed on a waitlist.

The Department will continue to fund down the existing waitlist of shovel-ready Projects through the 2022 program year if the funds from this NOFA are undersubscribed.

3. Workshops
Workshops will be conducted virtually via Zoom. The schedule and registration information will be posted to the CDBG webpage. Training and Technical Assistance are also available on the CDBG webpage.

Agenda Item #8.1.

California Department of Housing and Community Development 3 CDBG 2022 NOFA – April 6, 2022
In addition to the standard NOFA workshop, the Department will also be offering a series of trainings covering several topics that have been identified as a need for Applicants. Applicants are highly encouraged to attend the CDBG NOFA Workshops and any CDBG trainings as they detail specific issues, changes, solutions, guidance, and federal and state rules pertaining to CDBG Programs.

An Applicant that opts out of any of the CDBG trainings will not be exempt from knowing the federal and state rules pertaining to the CDBG program.

4. Appeal Period
Appeals period changed from five (5) days to ten (10) days.

D. Authorizing Legislation

• 24 Code of Federal Regulations (CFR) §570.480 et. seq, Federal CDBG Regulation • 24 CFR Part 58 Environmental Review Procedures
• 2 CFR Part 200 Uniform Grant Administration Requirements • Health & Safety Code (HSC) §§50825-50834, State of California CDBG program • 2020-2024 State of California Consolidated Plan
• 2022-2023 State of California Annual Action Plan (Currently being drafted) • CDBG Guidelines, California Department of Housing and Community Development If there are changes to federal or state statutes or regulations, other laws governing the CDBG program, or funding is modified by Congress, HUD, the Department, or the State Legislature, these changes may become effective immediately and apply to funded activities under this NOFA.

Note: The Housing and Community Development Act of 1974 (HCDA) is codified as Title 42 U.S.C. §5301, et. seq.: thus, those citations are interchangeable and cite the same statute language. For example, the citation of HCDA 105(a)(22) and 42 U.S.C. §5305(a)(22) are references to the same statute language. For the purposes of this NOFA, we will use the 42 U.S.C. §5301 citations for references to the federal statutes.

In administering this NOFA, if there is a conflict between the federal statutes or regulations and state statutes or guidelines, the federal statutes and regulations shall prevail. All activities in this NOFA are subject to availability of funds and continuing HUD and California legislative authority. The Department reserves the right, at its sole discretion and at any time, to rescind, suspend or amend this NOFA and any or all its provisions. The Department will notify interested parties through listserv emails and by posting notification on the Department website if the Department rescinds, suspends, or amends this NOFA. This NOFA is not a commitment of funds to any Activity or Applicant.

Agenda Item #8.1.

California Department of Housing and Community Development 4 CDBG 2022 NOFA – April 6, 2022
E. Definitions
Except as otherwise defined herein, all defined terms have the meaning set forth in 42 U.S.C. §5302(a) and the State CDBG Guidelines.

II. Program Requirements
All Program Requirements, Application, Application Threshold, and Initial Requirements set forth in sections II-IV must be met. Failure to include all of the requirements will result in disqualification.

A. Eligible Applicants
ONLY Non-Entitlement Units of General Local Government such as cities, counties and municipalities are eligible to apply. Federally recognized Tribes, non-federally recognized Tribes, and nonprofits may receive assistance by entering into a subrecipient agreement, Memorandum of Understanding, or contract with an eligible Applicant.

1. Non-Entitlement Status federally
CDBG program funds are provided as grants to Non-Entitlement Jurisdictions.

These Jurisdictions are encouraged to partner with federally – and nonfederally recognized Tribes, districts, agencies, nonprofit service providers, and other community organizations, whenever appropriate, to prepare and submit applications for CDBG funding, and to administer and complete CDBG funded Programs and Projects.

Incorporated cities located in an urban county as defined by 42 U.S.C. §5302(a)(6) must formally elect to be excluded from participation in the urban county entitlement status. HUD and the Department must be notified that the city has elected to be excluded from the urban county participation as per 24 CFR §570.307(g) for it to be eligible for the state CDBG program. Only eligible activities from eligible Applicants will be scored and ranked.

2. Housing Element Compliance
As per HSC §50829, the Applicant must submit a draft and adopted housing element to the Department in accordance with the requirements listed in Government Code (GC) §65580, et seq. and GC §65585 (see Appendix B) prior to an award being granted. Applicants that fail to comply with the procedural requirements (i.e., GC §65585) of the Housing Element Law are ineligible for funding through the state CDBG program. Eligibility cannot be restored until the Applicant has met such procedural requirements.

Agenda Item #8.1.

California Department of Housing and Community Development 5 CDBG 2022 NOFA – April 6, 2022

3. Growth Control Limitations
Applicants that have adopted growth controls, including, but not limited to restrictions on residential building permits and residential buildable lots, that do not meet the exception criteria in HSC §50830 (b) and (c) are ineligible for funding as per HSC §50830. Applicants intending to apply for CDBG funds are required to submit a signed 2022 CDBG Application Certifications and Statement of Assurances that certifies the Applicant has not adopted any residential growth controls, or that adopted residential growth controls meet the applicable exception criteria. Failure to submit executed Application Certifications and Statement of Assurances will result in Applicant ineligibility.

4. Application Submittal
Applicants must meet the following requirements when the application is submitted to be eligible to apply for funding under this NOFA:
• An eligible Applicant may apply on its own behalf
• An eligible Applicant may apply on behalf of one or more other eligible Applicants
• Two or more eligible Applicants, which share a program, may submit a joint application
• An eligible Applicant may apply on behalf of an eligible subrecipient including a non-federally recognized Tribe or nonprofit.

B. Restrictions on Multiple Activities in the Same Political Districts In addition to Activity and application limits identified in the NOFA, an eligible nonentitlement Applicant may apply for activities in service areas within or outside of the Applicant's Jurisdiction when the Applicant is applying for funds set aside by the California State Legislative for nonfederally recognized Tribes (HSC §50831) or Colonia’s as defined in Restrictions on Multiple Activities in the Same Political Districts.

Applications for eligible activities outside the Applicant's Jurisdiction must include a legally binding agreement, acceptable to the Department, with the city or county in which the eligible Activity is located. Applicants may not apply to both the state CDBG program and to a CDBG program administered by an Urban County or other entitlement entity during the same program year.

C. Allocation and Funding
Funds will be allocated according to federal regulations found in 24 CFR §570 and state statute, as found in HSC §50827, et seq. For more information, please Agenda Item #8.1.

California Department of Housing and Community Development 6 CDBG 2022 NOFA – April 6, 2022
reference the CDBG Guidelines. The tables below include the estimated percentage of funding available for set-asides and funding caps for the 2022 allocations. The amount of total funding available and the allocations of those funds are only estimates and are subject to change without notice. Funding awarded through this NOFA will have a 36-month expenditure and liquidation period.

NOTE REGARDING DRAW DOWN OF GRANT FUNDS:

Pursuant to both federal and state law all CDBG costs must be:
(1) necessary
(2) reasonable
(3) there can be no duplication of benefit
(4) CDBG funds cannot be used to supplant local or state resources (5) Applicant must guard against fraud and (6) ineligible uses of CDBG funds Awards will be limited to $1.5 million per Jurisdiction, including all applications submitted under this 2022 NOFA, except jurisdictions applying on behalf of a Colonia or a non-federally recognized Tribe which may additionally apply for funds under those set-asides.

D. State Allocations

1. Economic Development (ED)
Per state statute, 30 percent of the annual allocation, less state operating funds, must be set aside for ED projects and programs.

NOTE: the Department is piloting the availability of advancing funds for ED Loans/Grants with CDBG-CV awards and may offer
advances for this purpose to 2022 CDBG Applicants at a later date, at the Department’s discretion and pending successful deployment of the pilot.

2. Housing and Housing-Related Infrastructure
Per state statute, 51 percent of the annual allocation, less state operating funds, must be used by the Department to make grants to eligible cities or counties for the purpose of providing or improving housing opportunities for persons and families of low or moderate income or for purposes directly related to the provision or improvement of housing opportunities for persons and families of low or moderate income, including, but not limited to, the construction of infrastructure.

Agenda Item #8.1.

California Department of Housing and Community Development 7 CDBG 2022 NOFA – April 6, 2022
Per federal statute, no more than 15 percent of the annual allocation may fund public services.

3. Capital Non-Housing Projects
These funds will be applied to applications carried over from the 2019-2020 NOFA waitlist.

E. Special Allocations

1. Colonias
Per HUD agreement, 5 percent of the annual allocation. The Colonias allocation is exempt from the $1.5 million per Jurisdiction limit. Eligible Activity includes housing assistance, infrastructure, planning, and public services.

2. Non-Federally Recognized Tribes
Per state statute, 1.25 percent of the annual allocation. The non-federally recognized Tribe allocation is exempt from the $1.5 million per Jurisdiction limit.

Eligible activities include housing assistance, infrastructure, planning, and public services.

F. Federal Limits

1. Program Administration
The Department can use 3 percent of total funding for administration costs.

2. General Administration
Applicants may request up to a flat 7 percent of the total 2022 CDBG grant funding requested per Activity for General Administration (GA). GA costs may include, but are not limited to, the following categories:
• Salaries, wages, and related costs of the Grantee's staff engaged in activities associated with the general administration of the CDBG program, including general management, general legal services, accounting, and auditing • Travel costs incurred in carrying out the general management of the program • Administrative services performed under third-party contracts, including contracts for such services as general legal services, accounting services, and ad services
Agenda Item #8.1.

California Department of Housing and Community Development 8 CDBG 2022 NOFA – April 6, 2022
• Costs for goods and services related to the general management of the program, including rental and maintenance of office space, insurance utilities, office supplies, and rental or purchase of office equipment • Costs incurred in providing information and resources to individuals, families, and households in the LMI group, and to citizen organizations participating in the planning, implementation, or assessment of the Grantee's program
• Administrative funding can also be used for fair housing activities in compliance with the requirements of state CDBG Guidelines §103. If a cost cannot be associated with one of the above listed groups and cannot be associated with direct project costs, the Department will, upon the Grantee's request, decide whether it is an administrative cost, an Activity Delivery cost, or an ineligible cost according to 24 CFR §§570.489 and 570.482 • Completion of the NEPA Environmental Review Record for General Administration Activities (GA NEPA)
The calculation for General Administration should be the amount of the Activity expenses plus Activity Delivery expenses multiplied by 7 percent. (Activity + Activity Delivery) * 0.07 = Max GA
Applicants may elect to assign more funds to Activity costs and take less than the 7 percent as GA allocation. GA for PI funds is 17 percent of annual receipts.

For project budgets with both grant award and PI as funding sources, please identify how much GA will be from each source to ensure that GA stays within the program caps.

Note: The above allocations and limits do not total the amount available. These allocations and limits overlap, and applications may be counted against multiple allocations and/or limits. Please see the application solicitations for the available funding for each application type.

G. Activity Delivery
Activity Delivery (AD) costs are those costs directly related and necessary to successfully complete a specific Activity. AD covers the cost of staff directly carrying out the Activity, in addition to equipment and supplies that are necessary to carry out the Activity. Eligible costs include:
• Salaries of Grantee or subrecipient staff carrying out Activity • Activity Specific Environmental Review Costs (not for General Administration) • Loan underwriting costs
Agenda Item #8.1.

California Department of Housing and Community Development 9 CDBG 2022 NOFA – April 6, 2022
• Architectural and engineering design costs
• Labor compliance review costs
Supplies, equipment, uniforms necessary to carry out a specific CDBG Activity AD must be cost reasonable and directly tied to completion of an Activity that meets a National Objective.

H. Insufficient Demand
If there is insufficient demand for an identified allocation, the Department will make awards first to any unfunded applications submitted on behalf of non-federally recognized Tribes, then to projects on the 2019-2020 NOFA OTC waitlist in the order listed and that can meet the timeliness of federal funds requirements.

I. Eligible Activities
For a complete list of eligible activities allowed under the HCDA, go to 42 U.S.C. §5305. CDBG program activities should be in predominantly residential areas or should serve predominantly residential areas to be eligible.

J. Activity Limits
Jurisdictions will submit one application per Activity. Each Jurisdiction can submit up to three (3) applications during this NOFA cycle. Each Activity must have a unique application with a complete budget, National Objective, scope of work, and milestone timeline. There will be no “combo” activities or applications accepted in this NOFA. Each application will have a stand-alone Standard Agreement for that Activity. Applicants are encouraged to review the sample draft Standard Agreement in Appendix K as a sample of the applicable terms and conditions required for CDBG funded activities.

1. Housing and Community Development (CD) Activities
The maximum grant award for all CD Activities is $1.5 million per Jurisdiction. Per Jurisdiction limits do not apply to Colonia and Native American set-asides. The below limits are new grant awards limits per Activity. Program Income (PI) included in an activity budget does not count against the Jurisdiction maximum grant award. Total Activity budgets may exceed the award limits when PI is budgeted to the Activity; however, the new grant award, per Activity, shall not exceed the maximums below. Per-Activity limits do not apply to Colonia and Native American set-asides.

Agenda Item #8.1.

California Department of Housing and Community Development 10 CDBG 2022 NOFA – April 6, 2022
Pursuant to 24 CFR §570.482, eligible activities and maximum grant award amounts for funding the CDBG program include, but are not limited to:
a) Housing assistance to single-family units
• Single Family (1 - 4 units) Homebuyer Assistance - up to $500,000 • Single Family (1 - 4 units) Housing Rehabilitation - up to $500,000 b) Non-housing CD activities
• Public services - up to $500,000 (Please note that rental subsistence payments are being allowed in this NOFA)
• Planning & Technical Assistance (including Housing Planning, public services Planning and Non-housing Planning) - up to $250,000

2. Economic Development Activities
The maximum total Jurisdiction grant award for ED activities is $1.5 million.

When applying for ED and CD activities, the combined maximum may not exceed $1.5 million. Applicants may apply for up to $750,000 maximum to be used for Business.

Assistance and/or Microenterprise Assistance. These maximums do not include PI. PI may be included in addition to the new program award. The below limits are new grant awards limits per Activity. Per-Activity limits do not apply to Colonia and Native American set-asides.

ED activities and grant awards include:
a) Business Assistance and Microenterprise Assistance (including both MicroFinancial Assistance and Technical Assistance)- up to $750,000 b) Infrastructure in Support of Business- up to $1.5 million c) Economic Development Planning and Technical Assistance- up to $250,000.

III. Application Requirements
A. National Objectives
CDBG funded activities must meet one of three National Objectives:
• Benefit LMI persons
• Aid in the prevention or elimination of slums or blight • Meet an urgent need
At least 70 percent of the funds awarded must benefit LMI individuals or households.

No Activity or portion of a program assisted by these funds may exclude from its benefits the lowest income-eligible group. Individual activities shall meet one of the following National Objectives:

Agenda Item #8.1.

California Department of Housing and Community Development 11 CDBG 2022 NOFA – April 6, 2022

1. Low- to Moderate-Income
Persons, households, and/or neighborhoods benefiting from LMI activities must meet HUD’s LMI requirements. HUD updates income limits annually. Applicants will be notified via a news blast email and information will be posted on the Department’s website when the HUD Adjusted Median Family Income (HAMFI) limits and low- to moderate-income areas (LMA) are updated. Applicants are required to use the updated income limits as soon as they are available. The LMI National Objective consists of the following categories:
a. Low-moderate Income Limited Clientele
Low- to moderate-income Limited Clientele (LMC), as defined by income limits or presumed benefit, refers to persons who earn 80 percent or less of HAMFI for the county of residence, as updated annually by HUD. Presumed benefit LMC refers to persons who, as a category, are typically low income. • Seniors
• Persons with a disability
• People experiencing homelessness
• Abused children and battered spouses
• Illiterate adults
• Persons living with acquired immunodeficiency syndrome (AIDS) • Migrant farmworkers
b. Low- To Moderate-Income Area (LMA)
LMA is identified using census tracts and block groups. LMA may also be identified through an income survey. See Appendix H for additional information regarding CDBG income surveys, which:
• Are based on the American Community Survey using Census Geographies.
• Contain at least 51 percent of households in the area earning at 80 percent or below HAMFI to meet LMA.
• Must be contiguous and the area should be mapped to show eligibility. • Must be an Activity with public benefit for the area, such as streets and sidewalks, sewer/water Infrastructure, community facilities, or park improvements.
• Should be determined to be LMA eligible from the map application at HUD’s Low- and Moderate-Income Summary Data Application page.

Instructions for HUD’s mapping application are available to assist in using the map application.
c. Low- to Moderate-Income Housing (LMH)
LMH as defined by household income limits is a household earning 80 percent or less of HAMFI.

Agenda Item #8.1.

California Department of Housing and Community Development 12 CDBG 2022 NOFA – April 6, 2022
d. Low- to Moderate-Income Jobs (LMJ)
LMI Job Creation or Retention Activities (LMJ)
• LMJ is based on the number of full-time equivalent jobs created or retained.
• Must create or retain jobs, and 51 percent of those jobs must be for LMI persons.
• To meet the public benefit requirements for LMJ activities, for every $35,000 spent, one full-time equivalent job must be created/retained.

2. Slums and Blight on an area basis (SBA) and on a spot basis (SBS) • Areas must be geographically defined and publicly identified as slums or blighted, typically by a council or board resolution before the Activity is considered.
• Activities must aid in the prevention or elimination of slums or blight as described in 24 CFR §570.483(c)(1-2).

3. Urgent Need
For the purposes of this NOFA, no Urgent Need applications will be accepted through the NOFA application process without prior Department approval. If you have a program or a project that meets the criteria of Urgent Need, as established at 24 CFR §570.483(d) and you believe your proposed project or program must use Urgent Need as a National Objective to be program eligible, please contact your Department representative for further instructions.

Special requirements apply to Urgent Need. Please contact the Department for more information.

B. Milestones
All CDBG program-funded activities must be implemented according to the milestones defined in the Standard Agreement. Applicants must include at least five milestones per Activity application. Milestone One and the Final Milestone will be prepopulated and cannot be edited by Applicants:
• Milestone One: Activity Initiation. Must be completed no later than 60 days from contract execution
• Milestone Two: First draw of grant funds
• Milestone Three: 50 percent completion
• Milestone Four: Final draw of grant funds
• Final Milestone: Activity closeout (must be completed no later than 90 days after the Expenditure Deadline)
Agenda Item #8.1.

California Department of Housing and Community Development 13 CDBG 2022 NOFA – April 6, 2022
Additional milestones are optional, though encouraged for best practice of Activity implementation. Milestones may be adjusted for delays in application review and Standard Agreement execution. Applicants are encouraged to evaluate feasibility of meeting milestones and build time for unexpected delays into milestone schedules. Milestones may not extend beyond the expenditure deadline of an award. All milestones proposed by Applicants are subject to the review and approval of the Department.

TIP: The Department realizes that these milestone dates are estimates.

Instead of using an actual date for all optional milestones, please put a time frame.

For example:

Milestone Two: Activity initiation. 60 days from contract execution Milestone Three: First draw of grant funds: 90 days from contract execution
These milestones can be updated by your CDBG representative if changes are needed to be made.

C. Conditions
Applicants and awardees acknowledge that the funding opportunities referenced in this NOFA, and all obligations of the Department herein, are expressly subject to and conditioned upon the ongoing availability of funds, as well as the continued authority of the Department to operate the CDBG program. In the event that funds are not available, the CDBG program or act under this NOFA is eliminated, or in anyway restricted, the Department shall have the option, at its sole discretion, to amend, rescind, suspend, or terminate this NOFA and any associated funding pursuant to the provision set forth immediately above.

This NOFA is not a commitment of funds to any Activity or Applicant.

IV. Application Threshold and Initial Requirements
All applications are required to pass threshold requirements. Applications that do not meet threshold will not move on to scoring, or in the case of ED OTC, will not be reviewed for award and immediately disqualified.

The Department strongly recommends a careful review of the application and application instructions PRIOR to beginning the application.

Agenda Item #8.1.

California Department of Housing and Community Development 14 CDBG 2022 NOFA – April 6, 2022
A. Threshold Requirements
The following threshold requirements must be met at the time of application:

1. The Applicant must be an eligible nonentitlement jurisdiction.

2. The Applicant must demonstrate to the satisfaction of the Department that it is compliant with the financial management requirements of 2 CFR §200.

3. The Applicant must provide the Department with its most recent single audit (as submitted to the State Controller’s Office), if applicable. If the Applicant had or has single audit findings identified in the audit, they must include the remediation plan/agreement; the Applicant will be deemed ineligible for funding through the state CDBG program until the findings are resolved or a remediation plan or agreement is established. Any and all single audit findings are included in this evaluation.

This requirement is not limited to federal funds administered by the Department.

If an Applicant is not subject to single audit requirements, the Applicant is not required to submit an audit.

If an Applicant is not required to submit an annual single audit, they must provide certification that they are not required to submit.

4. Pursuant to 24 CFR §578.25, acceptable evidence of site control is a deed or lease. Absent a current deed or lease, an Applicant may use assessor’s parcel information to establish ownership for Applicant or subrecipient-owned sites. If grant funds will be used for acquisition, acceptable evidence of site control will be a purchase agreement. Site control must be maintained through the operation period of the Activity. Activities are expected to last one year.

5. Must have documented site control for that year. If site control is expected to expire during the open Activity period, the Applicant must document that either an alternative site will be made available or that the Activity operators intend to extend or renew the lease on the existing site.

6. Applicants must include the Jurisdiction name, initial all pages, sign, and submit the Certifications and Statement of Assurances (Appendix J) with their application to meet threshold. Please review the Statement and confirm compliance with each requirement. Failure to comply with the certifications and assurances may result in disqualification, recapture of federal funds, and debarment.

Agenda Item #8.1.

California Department of Housing and Community Development 15 CDBG 2022 NOFA – April 6, 2022

7. Pursuant to 24 CFR §570.486, applications must follow CDBG Public Participation regulations. Applicants must provide documentation that the Citizen Participation requirements have been met. Documentation must include proof of public noticing, information provided during the public hearing or public meeting, and public comments received during the public participation, including Jurisdiction responses to comments. Additional information about public participation requirements can be found in Appendix C.

8. The application includes a completed Authorizing Resolution using the required Department-approved Authorizing Resolution form and approved by the Applicant’s governing board. The Authorizing Resolution designates a person or persons responsible for, and authorized to, execute all documents related to the application of CDBG funds.

Please see Appendix D for instructions for completing the resolution along with a resolution form.

If a governing body must prepare a separate resolution concurrently that conforms to its local standard, it may do so in addition to preparing the resolution form provided by the Department. Applicants must submit their approved resolutions on the form provided by the Department by the application due date. The Department will NOT accept resolutions after this time.

9. Applicant must submit the required Government Agency Taxpayer ID (TIN) Form found in the Files tab of each program solicitation. Submitted TIN forms must include DUNS numbers and accurate payment information to be complete and must not have been signed more than one (1) year before submission.

10. CDBG budgets found in the Grants Network portal are required at application submission. Required budget information includes direct costs only. Direct costs for Activity, GA, Program Income, and ‘Other’, if applicable, must be completed and clearly identified. Do not include any information on indirect cost, match, or cost share.

11. In addition, Applicants are required to upload their Sources and Uses for all funds applicable to the CDBG Activity. The application will guide Applicants that are using multiple funding sources to finance their Activity to upload a comprehensive Activity Sources and Uses.

12. Based on the 50 percent rule, Applicants with one or more current and open CDBG Standard Agreements (SAs), for which the expenditure deadline established in the agreement(s) has not yet passed, shall be ineligible to apply for any additional Agenda Item #8.1.

California Department of Housing and Community Development 16 CDBG 2022 NOFA – April 6, 2022
CDBG funds for the same type of Activity(ies) included in those open CDBG SAs, unless the Applicant has expended at least 50 percent of CDBG funds previously awarded, including PI, for that Activity, or unless a waiver to the rule has been approved by the Department’s Director, as allowed at HSC §50833(f).

13.This includes PI only SAs approved for the same type of Activity(ies). For SAs awarded prior to 2018, Applicants will be required to provide their most recent Request for Funds and documentation to document compliance with the 50 percent rule requirement. For awards managed through Grants Network, a screenshot of the grand administration screen at the time of submittal of the application will work as documentation for compliance with the 50 percent rule.

14. Pursuant to 24 CFR Part 5, all CDBG Applicants are required to verify they and their principals, or any/all persons, contractors, consultants, businesses, subrecipients, etc., that are conducting business with the Applicant are not presently debarred, proposed for debarment, suspended, declared ineligible, or voluntarily excluded from participation in the covered transaction or in any proposal submitted in connection with the covered transaction. Applicants and their partners, contractors, consultants, and subrecipients must register with the System for Award Management (SAM) to do business with the U.S. government and have debarment checks that return a registration status of “Active” and “No Active Exclusion Records” under the Exclusion Summary.

15. The Department will not award any CDBG program funds to Applicants and Applicant partners, including contractors, subrecipients, and consultants that are debarred, suspended, proposed for debarment, and declared ineligible, voluntarily excluded from participation, or that are unregistered in SAM from federally assisted programs. Applicants are not required to perform debarment checks on individual Applicant or partner employees or individual persons unless that person is acting as a contractor, consultant, subrecipient, or program partner and will be receiving payment directly from CDBG funds. Debarment information must be complete to qualify.

16. The Applicant must demonstrate, to the satisfaction of the Department, that it is meeting the State Objectives as described in Appendix I.

17. Pursuant to the National Environmental Policy Act of 1969 (NEPA), Environmental Standards must be met. Applicant must demonstrate compliance by submission of fully complete, current, and applicable Environmental Review Record forms and supporting documentation. Required NEPA process, training, and current forms are available on the HUD Exchange under the ‘Formats’ option. Additional HUD guidance can be found at the Orientation to Environmental Reviews page also on the HUD Exchange.

Agenda Item #8.1.

California Department of Housing and Community Development 17 CDBG 2022 NOFA – April 6, 2022

18. NEPA Level of Review worksheet must include the Determination of Level of Review Worksheet.

19. If Applicants intend to use CDBG funding for GA Activities, a GA NEPA review will also be required at application submission, specifying the applicable exemption in 24 CFR §58.34(a).

20. For ED Business Assistance and CD housing assistance activities that operate as a program but, as per HUD, require site specific environmental reviews for NEPA clearance, only a GA NEPA review is required at application. Applicants using a Tiered Review process are strongly encouraged to submit their Tier 1 review at application.

ED APPLICATIONS ONLY
The Applicant must demonstrate capacity and experience to operate an ED Activity. Capacity and experience may be documented through one of the following commitments:
a. The Applicant has hired staff that are able to dedicate capacity to the operation of a CDBG-funded ED Activity.

These staff must have at least:
• Three years of CDBG ED experience; or
• Five years of commercial underwriting experience plus two years of general CDBG experience.
b. The Applicant has a draft contract or subrecipient agreement with a qualified consultant or nonprofit ED group with direct experience in CDBG ED implementation. The agreement must be fully executed, and a copy provided to the Department within 30 days of receipt of the Standard Agreement. Final contracts and/or subrecipient agreements must be with the same entities as proposed in draft at the time of the application.

Substitutions will invalidate the application and cancel the award.

The Applicant commits to partnering with the Small Business Development Centers or a similar organization that has direct experience in CDBG ED program design, implementation, and commercial underwriting. This commitment will be a resolution, memorandum of understanding, or similar formal statement and will be required at application.

Agenda Item #8.1.

California Department of Housing and Community Development 18 CDBG 2022 NOFA – April 6, 2022
B. Application and Activity Requirements
At time of application submission, all applications must comply with and provide documentation of HUD’s federal cross cutting requirements found at 24 CFR §570.600, et seq, and summarized in section X Federal Program Requirements of this NOFA, and state overlays.

State overlay areas are as follows:

1. Application verification
Applicants must certify upon submission that their application is true and correct to the best of their knowledge: the required application input fields, attachment uploads, and budgets. Selecting an input field or uploading a blank document to circumvent the application requirements invalidates the application certification and will result in immediate disqualification. Applicants that intentionally input false information or that intentionally upload blank documents will have their good standing with the Department revoked and may be determined to be ineligible for other Department funding. Intentionally providing false information is fraud.

Applicants that rely on consultants or grant writers to prepare the CDBG application are strongly encouraged to review the application for completeness and correctness prior to submittal. It is also strongly encouraged to give plenty of time for submitting prior to the cutoff date and at least several hours prior to the cutoff time.

If an input field, upload requirement, or application component is not functioning correctly, or if there are system outages or other system failures prior to submittal, please contact [email protected] as soon as possible prior to the cutoff time to document the issue so that applications are not disqualified due to technical difficulties. Failure to contact the Department with system issues will not exempt Applicants from application verification requirements.

2. Gap funding and duplication of benefits
CDBG is intended to provide stop-gap funding for crucial infrastructure, public safety, housing, and social service projects. CDBG funds may not be obligated to Activities that are documented to already have sufficient funding for the Activity as described, or that have identified multiple funding sources for the same costs, resulting in a duplication of benefits and overfunding of the Activity. CDBG funds must be “but-for” funding for every Activity and may not be used to supplant local Agenda Item #8.1.

California Department of Housing and Community Development 19 CDBG 2022 NOFA – April 6, 2022
or state resources. CDBG grant funds cannot be used to replace funds that have been budgeted and/or expended from another funding source for the same Activity. Pre-agreement costs are eligible provided that the initial funding for those costs is identified as a temporary funding source (such as a loan from a local fund wherein the loan is float funding the CDBG Activity pre-agreement costs but must be repaid so that the temporary loaned funds may be used as originally intended) and that the costs are budgeted to be part of the CDBG Activity.

3. Good standing
The Applicant, and any co-Applicant, together with all respective affiliates, must be in good standing with the Department (i.e., are current on all loan and/or grant obligations, have a satisfactory past performance history in all their prior dealings with the Department, and are in full compliance with all Department contracts and reporting requirements). Applicants not meeting the foregoing requirements shall be ineligible to apply for or receive funding under this NOFA.

4. Article XXXIV
Applicants engaging in low-income housing project activities that are subject to Article XXXIV of the California Constitution must show that the project approval process complies with Article XXXIV requirements. The state statutes implementing Article XXXIV can be found at HSC §37000. Exceptions to Article XXXIV can be found at HSC §37001.

5. Racial equity
Applicants should prioritize the advancement of racial equity in all CDBG programs and across systems and units of government in the Jurisdiction. The Department asks Applicants to be leaders in the community, facilitating partnerships among service organizations, housing providers, units of government, businesses, the homelessness response system, and other partners to promote racial equity practices.

All Applicants must identify the work performed to ensure racial equity in access to programs, projects, and activities funded with CDBG resources. Applicants must commit to analyzing disproportionality in access to housing, access to services, quality of service provision, and desired outcomes in Programs and Projects and affirmatively further equitable access, quality of service provision and outcomes for protected classes, including but not limited to Black, Native and Indigenous, Latino/Latina/ Latinx, Asian, Pacific Islanders, and other people of color who have been historically marginalized and are disproportionately impacted by housing segregation, poverty, and homelessness.

Agenda Item #8.1.

California Department of Housing and Community Development 20 CDBG 2022 NOFA – April 6, 2022
Applicants cannot simply rely on delivering a standardization of services to address equity. Applicants must commit to reviewing their current policies and procedures and examining available data to ensure all eligible persons receive equitable services, and support, and are served with dignity, respect, and compassion regardless of circumstances, ability, or identity. See Appendix N for Racial Equity Resources and Tools.

When applying for 2022 CDBG funds, Applicants should consider:
• What are the community’s racial demographics and the demographics of those experiencing homelessness, housing, and economic insecurity? • What are the outcomes of the CDBG programs based on race? What are the requirements for all sub-grantees to look at data to determine racial disparities and then put a plan in place to address them? • How do underserved and marginalized communities learn about and access the CDBG program? What marketing and communication strategies are used to increase equitable access to CDBG programming?
• How does the grant-making process include prioritization for programs that are addressing the disproportionate impacts that housing insecurity, homelessness, economic insecurity, lack of access to equitable health care, and COVID-19 has on communities of color, particularly Black, Latinx, Asian, Pacific Islander, and Native and Indigenous communities? • How are the voices of Black, Latinx, Asian, Pacific Islander, and Native and Indigenous communities and those having lived with the experience of housing insecurity, homelessness and economic insecurity being centered in a meaningful, sustained way in creating effective approaches to addressing these challenges? How are they involved in the funding decision-making process?
• How are these funds accessible to smaller and non-traditional organizations that have historically been serving communities of color but may not have previously participated formally in government grant programs? How would these funds address the capacity of organizations that are led by Black, Latinx, Asian, Pacific Islander, and Native and Indigenous people? • Provide a list of partner organizations that are addressing racial equity in the housing and homeless response system, the ED sector, and the health care sector and describe how you partner with them.

The Department will require Applicants to submit related racial and ethnic data metrics of their CDBG programming on a quarterly reporting basis.

Agenda Item #8.1.

California Department of Housing and Community Development 21 CDBG 2022 NOFA – April 6, 2022
V. Application Review
All applications that pass threshold will be reviewed for Activity eligibility. Activities that do not meet program eligibility requirements will be disqualified.

The Department reserves the right, at its sole discretion, to suspend, amend, or modify the provisions of this NOFA at any time, including, without limitation, the amount of funds available hereunder. This includes, but is not limited to, authorizing an increase in funding to any Applicant after the Department makes an award under this NOFA.

Qualifying competitive applications will be scored according to the evaluation criteria outlined in the application under the Readiness Section. Scores include two components:

A. Needs score
Needs score use publicly available data from the U.S. Census Bureau's American Community Survey to measure poverty, housing, and ED needs. These statistics are used to rank all eligible Non-Entitlement Jurisdictions and the rankings are translated into numeric scores. Need scores summarize the severity of a community's need for a specific Activity relative to other communities. The Department prepares the need scores and will provide the scores as Appendix A to this NOFA.

B. Activity readiness
Activity readiness is an indicator of Applicant preparedness for Activity implementation.

Applicants are expected to have necessary contracts and subrecipient agreements in place at the time of application submittal. Fully executed contracts and agreements will score higher than draft contracts and agreements. Applicants that will not be using contracts or subrecipient providers to carry out the Activity and will instead use Applicant staff must clearly document that staff have the experience and capacity necessary to successfully complete the Activity. Documentation will include position description(s) for the identified staff, resumes, or Curriculum Vitae for each staff person involved in the implementation of the Activity, organizational chart, and estimated workload.

Applications will be ranked based on highest score. Applicants will be notified of their point score, and the Final Point Score and Awardee List will be posted to the CDBG webpage.

Agenda Item #8.1.

California Department of Housing and Community Development 22 CDBG 2022 NOFA – April 6, 2022
VI. Award Recommendations
Applications that are eligible, complete, and that satisfy readiness requirements may be recommended for funding. Applicants recommended for award will officially be notified of awards through the eCivis Grants Network. The award notification will include instructions for accepting or declining the award, as well as an executable Standard Agreement. Applicants that are not recommended for awards or that fail threshold will be officially notified via email that their application was not awarded or failed to pass threshold. The Final Award List will be posted on the CDBG webpage.

Applicants may request a copy of their application reviews after the review has been completed and the Applicant has been notified of the results.

VII. Application Submission
A. Workshops
The Department is conducting a series of application workshops that began in January 2022. These workshops will include training on:
• Resolutions: What is required and why
• How to complete the correct level of Environmental Review • How to pull a debarment check
• How to complete the eCivis Budget
• How to pick the correct National Objective
• How to pick the correct Matrix Code
• How to write a narrative
• How to address racial equity in your CDBG funded projects and programs • How to complete the 2022 NOFA Application
• 2022 NOFA review
Applicants are strongly encouraged to attend these virtual workshop sessions. If they are unable to attend the virtual workshop, Applicants are strongly encouraged to review these workshops on the CDBG website. This website also provides Training and Technical Assistance materials on the CDBG program, the CDBG Redesign, using Grants Network, and preparing a CDBG program application in Grants Network.

Please visit the Department’s website for upcoming information.

B.Submission Process
Applicants must follow instructions in this NOFA, the online application, and the CDBG program Guidelines. The Department strongly encourages Applicants to have Agenda Item #8.1.

California Department of Housing and Community Development 23 CDBG 2022 NOFA – April 6, 2022
all required documents on hand when completing the application. Failure to follow instructions and submit all required documentation will result in disqualification. Once submitted, applications must stand on their own. It is the Applicant’s responsibility to ensure that the submitted application is clear, complete, and accurate. Department staff may request clarifying information but are unable to accept any new documentation that would provide an unfair advantage over other applications. It is strongly recommended that all documents be reviewed and saved to their own electronic files PRIOR to submission.

The CDBG Application and all required attachments must be submitted to the Department through the eCivis Grants Network Portal. Applicants must certify that all information is true and complete to the best of their knowledge, under penalty of perjury Per 83 FR 5848 “Any person who knowingly makes a false claim or statement to HUD may be subject to civil or criminal penalties under 18 U.S.C. §287, 1001 and 31 U.S.C. §3729.’’
Applicants that do not have an account with eCivis should log into the eCivis portal.

Use the “Create an account” option to initiate a profile. See the available training onthe CDBG webpage to learn how to open an account. There is no cost associated with an eCivis account.

C. Applicant Responsibility
It is the duty and responsibility of each Applicant to review the provisions, requirements, and limitations of all funding sources applied for and obtained for a particular project, program, or activity in order to ensure that each and every requirement of those funding sources is compatible with all Department program requirements and restrictions. Incompatibility of funding sources will result in the denial or cancellation of an award, or may result in the placement of conditions or limitations on an award, all as determined by Department in its sole and absolute discretion.

D. Disclosure of application
Information provided in the Application will become public record available for review by the public pursuant to the California Public Records Act (GC §6250, et. seq). As such, the Department may disclose any materials provided by the Applicant to any person making a request under this Act. The Department cautions Applicants to use discretion in providing information not specifically requested, including, but not limited to, bank account numbers, personal phone numbers, home addresses, or other personally identifying information. By providing this information to the Department, the Applicant is waiving any claims of confidentiality, and consents to the Department’s disclosure of the Applicant’s material upon receipt of a Public Records Act request.

Agenda Item #8.1.

California Department of Housing and Community Development 24 CDBG 2022 NOFA – April 6, 2022
VIII. Appeal Criteria and Process
A. Appeal process and deadlines
In order to lodge an appeal, Applicants must submit to the Department a written appeal by the filing deadline set forth below, which states all relevant facts, arguments, and evidence upon which the appeal is based. Furthermore, the Applicant must provide a detailed reference to the area(s) of the Application that provide clarification and substantiation for the basis of the appeal. No new or additional information will be accepted if this information would result in a competitive advantage to an Applicant. Once the written appeal is submitted to the Department, no further information or materials will be accepted or considered thereafter.

All Appeals must be submitted to the Department via email at [email protected],
PLEASE do not send Appeals to Department staff directly.

Emails to the email address listed above will be accepted so long as the email time stamp is prior to the appeal deadline.

Filing Deadline: Appeals must be received by the Department no later than ten (10) business days from the date the Department notifies the Applicant that their application has failed to meet eligibility, threshold, or has failed to score high enough in readiness to qualify for award. Late appeals will not be reviewed.

B. Appeal decisions
It is the Department’s intent to render its decision in writing within fifteen (15) business days of receipt of the Applicant’s written appeal. All decisions rendered shall be final, binding, and conclusive, and shall constitute the final action of the Department with respect to the appeal.

C. Effectiveness
If the applicable statutes and/or Guidelines governing the CDBG program contain an existing process for appealing decisions of the Department with respect to NOFA awards, then this section shall be inapplicable, and such existing authority shall govern all appeals.

Agenda Item #8.1.

California Department of Housing and Community Development 25 CDBG 2022 NOFA – April 6, 2022
IX. Awards announcement and grant implementation
A. Awards announcements
The Department anticipates awards will be announced no later than September 2022.

OTC awards will be announced as applications are approved for funding. Until awards are announced, the CDBG staff will not be able to discuss applications or the status of applications.

Within 60 days from the award announcement date, unsuccessful Applicants will have the opportunity to request an interview with Department staff to discuss their application. Applications and agreements are public information and are available for reviewupon request.

B. Standard Agreements
Successful Applicants (awardees) will enter into a Standard Agreement with the Department. A draft sample Standard Agreement is included as Appendix K to this NOFA. The Standard Agreement contains all the relevant state and federal requirements, Activity performance and management requirements, and disbursement requirements. A condition of award will be that a Standard Agreement must be executed by the awardee within 30 days (contracting period) of the awardee’s receipt of the Standard Agreement(s). Failure to execute and return the Standard Agreement(s) to the Department within the contracting period will result in award cancellation. Award cancellations are final.

In order to ensure that the Standard Agreements are being sent to the correct individual, Applicants MUST complete ALL required sections of the profile section of the application.

X. Federal program requirements
A. Federal Cross-Cutting Requirements
The CDBG program is administered under the rules and regulations promulgated primarily in 24 CFR §570.600, et seq. These primary regulations are known as the federal cross-cutting requirements and form the basis of the programmatic requirements. The Department incorporates all federal cross-cutting requirements into the state CDBG program, and the regulations in Part 570 are translated into required actions on the part of all Grantees of the state CDBG program.

Agenda Item #8.1.

California Department of Housing and Community Development 26 CDBG 2022 NOFA – April 6, 2022
This following is a summary of the federal cross-cutting requirements:
• Environmental Standards (based on National Environmental Policy Act of 1969 [NEPA])
• Labor Standards (Davis-Bacon and related laws)
• Achieving a HUD National Objective
• Public participation requirements
• Fair Housing and Affirmatively Furthering Fair Housing • Equal Opportunity and Non-Discrimination in federal Grant Programs • Federal Procurement Guidelines
• National Flood Insurance Program compliance
• Relocation and displacement requirements
• Employment and Contracting Opportunities Section 3 Compliance • Lead-based paint requirements
• No use of debarred, ineligible, or suspended contractors or sub-recipients • Uniform Administrative Requirements and Cost Principles • Conflict of interest prohibitions
• Compliance with the Architectural Barriers Act and the Americans with Disabilities Act
• Compliance with Eligibility Restrictions for certain resident aliens • Federal reporting requirements
• Grant and subrecipient monitoring requirements
B. Relocation plan requirement
Applicants engaging in project-specific activities that may or will cause the temporary or permanent relocation and displacement of persons, property, or businesses must provide a project-specific relocation plan as part of the application. The plan must meet the standards established in the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA). Applicants must successfully demonstrate that they have met URA requirements prior to the start of the project or displacement Activity. Applicants should include relocation costs in project budgets.

Applicants must provide General Information Notices to persons who may be displaced if the Activity in the grant application is funded. This plan must outline how the Grantee will enforce and manage the project’s temporary relocation and displacement activities and estimate what relocation benefits will be required so those costs can be included in the project’s development budget.

Agenda Item #8.1.

California Department of Housing and Community Development 27 CDBG 2022 NOFA – April 6, 2022
C. Procurement
Pursuant to 24 CFR §570.489(g), all Grantees must comply with federal procurement requirements. The Department will review the Grantee’s procurement documents for services (i.e., administrative sub-contractor, DavisBacon consultant, etc.) at time of monitoring or upon request.

Requirements for federal procurement can be found at 2 CFR §200.317-326.

Applicants are responsible for meeting all federal procurement standards for goods and services funded through federal programs. Failure to meet procurement requirements may result in disqualification, recapture of federal funds, and debarment.

D. False, Fictitious or Fraudulent Claims
Warning: Any person who knowingly makes a false claim or statement to HUD or the Department may be subject to civil or criminal penalties under 18 U.S.C. §287, 1001 and 31 U.S.C. §3729.

E. Detecting, Preventing, and Reporting Fraud
Fraud is a white-collar crime that has a devastating effect on the CDBG program because the CDBG program beneficiaries are victims of this crime when the CDBG program is abused. The Department wants to stop any criminal assault on the CDBG program it administers, and in doing so all CDBG funds go to people it was designed to help and improve their living conditions.

F. Combatting Fraud
The HUD Office of Inspector General (OIG) is committed to protecting HUD’s programs, operations, and beneficiaries from dishonest individuals and organizations.

HUD cannot combat fraud alone; they rely on Department and CDBG NOFA Applicants to combat CDBG program fraud.

HUD also relies on Applicants for, and people receiving, HUD benefits, such as:
tenants receiving rental assistance, borrowers with HUD insured loans, or citizens having their communities restored using HUD grants.

Agenda Item #8.1.

California Department of Housing and Community Development 28 CDBG 2022 NOFA – April 6, 2022
The HUD OIG Hotline number is 1-800-347-3735. This is the primary means to submit allegations of fraud, waste, abuse, mismanagement, or Whistleblower related matters for the CDBG program to the OIG.

HUD OIG accepts reports of fraud, waste, abuse, or mismanagement in the CDBG program from HUD employees, anyone administering the CDGB program, anyone working in the CDBG program, contractors, and the public.

You can report mismanagement or violations of law, rules, or regulations by HUD employees or program participants.

Fraud, Waste and Abuse in the CDBG program and its operation may be reported in one of the following four (4) ways:

1. By email to: [email protected]

2. By phone: Call toll free: 1-800-347-3735

3. By fax: 202-708-4829

4. By mail: - Department of Housing & Urban Development Office of Inspector General Hotline Manager
400 Virginia Avenue, SW, Suite 120
Washington, DC 20024
Agenda Item #8.1.

Report to the City Council
Regular City Council - 14 Jun 2022
Agenda Section: OLD BUSINESS
Subject: Discussion and direction regarding the process and appointments to boards, commissions, committees, and ad hoc assignments
CEQA
Determination:

Not a CEQA project
Prepared By: Cindy Tzafopoulos, City Clerk
Reviewed By: April Mitts, Administrative Services Director Approved By: James C. McCann, Interim City Manager

BACKGROUND
At the May 24, 2022 regular City Council meeting, Council Member Hardy requested a discussion item regarding appointments to boards, commissions, committees, and ad hoc assignments. Council Member Hardy made a motion that unanimously passed to agendize the appointment process for this June 14, 2022 regular Council meeting.

DISCUSSION
Per the request of the City Council, staff has provided Municipal Code Section 2.08.010 and City Council Rules of Procedure for the Conduct of Council Meetings & Standards of Conduct Section 2.25 for discussion and direction. The municipal code section and complete rules of procedure are attached to the staff report. Below includes excerpts for ease of review:

Municipal Code Section 2.08.010 Mayor’s term of office and duties.

A. As determined by the electors in the general municipal election held on November 2, 1976, the city shall have an elected mayor who shall serve a two-year term of office. Except where the City Council may provide otherwise by ordinance that the instruments described in subsections (A)(1), (2) and (3) of this section be signed by an officer other than the Mayor, the Mayor shall sign:

Agenda Item #9.1.

1. All warrants drawn by the City Treasurer.

2. All written contracts and conveyances made or entered into by the City.

3. All instruments requiring the City Seal.

B. The Mayor may administer oaths and affirmations, take affidavits, and certify them under his hand.

C. The Mayor may acknowledge the execution of all instruments executed by the city and required to be acknowledged.

D. The Mayor, with the approval of the City Council, shall make all appointments to boards, commissions, and committees unless otherwise specifically provided by state law. (emphasis added)
City Council Rules of Procedure for the Conduct of Council Meetings & Standards of Conduct Section 2.25 Appointments to Committees and Boards The City Clerk posts a Notice of Vacancy in the City designated posting locations, the City’s website and sends a Media Release to the St. Helena Star advertising vacancies to Commissions, Committees and Boards.

Applicants must submit a completed application to the City Clerk and shall be interviewed by the Council at a special meeting prior to a regular meeting.

Applicants are requested to list references on their applications and individual Council Members may contact those references as part of the interview process.

Council Members contacting references should disclose this information during the appointment process.

Council reviews applicants for appointments to Commissions, Committees and Boards based on interviews and qualifications. Council shall rank all applicants from highest to lowest and appoint by ballot process. Mayor shall nominate applicants and appointments are subject to approval by the majority of Council. (emphasis added)
Depending on the qualifications of the applicants and the needs of the City, there may be times when the City Council does not appoint an applicant who has applied. If an applicant is not appointed, the City Clerk will automatically readvertise for the vacant position(s) to seek additional applicants.

The Council has traditionally followed these processies for appointment to ad hoc groups as well.

Staff polled other cities to inquire about their nomination and/or appointment process.

Below is a summary of other policies with the full policy attached, if available.

Agenda Item #9.1.

Practices by other agencies (Attachment 4):

Councilmember Hardy has requested this item be set for the Council’s agenda to permit discussion of the Council’s procedures and practices regarding appointments to advisory groups. This agenda item will allow Council to determine whether interest exists for clarification or change to the existing procedures and to provide direction to staff for action.

Staff recommends the City Council hear the interest and request from Council Member Hardy, examine and discuss the current and potential alternate nomination Agenda Item #9.1.

or appointment process to Boards, Committees, Commissions, and ad hoc assignments and provide direction to staff.

FISCAL IMPACT
There is no fiscal impact.

RECOMMENDED ACTION
Discussion and direction.

ATTACHMENTS
Attachment 1 - Municipal Code Section 2.08.010 Mayor's term of office and duties Attachment 2 - 2021-63 Rescinding Resolution 2019-18 Adopting Rules of Procedures Attachment 3 - Nomination Examples from Napa and Yountville Attachment 4 - Neighboring Cities Nomination Examples
Agenda Item #9.1.











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Agenda Item #9.1.

CITY OF ST. HELENA
RESOLUTION NO. 2021- 63
RESCINDING RESOLUTION NO. 2019- 18 ADOPTING RULES OF

PROCEDURE FOR THE CONDUCT OF COUNCIL MEETINGS AND CITY

COUNCIL STANDARDS OF CONDUCT, AND RE-ESTABLISHING

RULES OF PROCEDURE FOR THE CONDUCT OF COUNCIL

MEETINGS AND RE-ESTABLISHING CITY COUNCIL STANDARDS OF

CONDUCT

RECITALS
A. WHEREAS, City Council Rules of Procedure for the Conduct of Council Meetings are established to provide an effective environment for the City Council to provide leadership; and
B. WHEREAS, City Council Standards of Conduct are established to provide guidance to Council Members to assist in fully understanding the role and scope of the responsibilities of office; and
C. WHEREAS, City Council reviews City Council Rules of Procedure for the Conduct of Council Meetings and reviews City Council Standards of Conduct and revise as deemed necessary; and
D. WHEREAS, on May 11, 2021 the City Council adopted a new Council Vision and Council Mission; and
E. The City Council Rules of Procedure for the Conduct of Council Meetings & Standards of Conduct have been updated to include the new Council Vision and Council Mission.

RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:

1. Resolution No. 2019- 18 Adopting Rules of Procedure for the Conduct of Council Meetings is hereby rescinded; and

2. City Council Rules of Procedure and Standards of Conduct are adopted and hereby made part of this resolution. Attached hereby as Exhibit A.

Approved at a Regular Meeting of the St. Helena City Council on May 11, 2021, by the following vote:

Agenda Item #9.1.

Mayor Geoff Ellsworth: Yes
Vice Mayor Paul Dohring: Yes
Council Member Anna Chouteau: Yes
Council Member Lester Hardy:

Council Member Eric Hall
APPROVED:

C
Ce orth, Mayor
Yes
Yes
ATTEST:

I ..: v i (
Agenda Item #9.1.

Exhibi A- City Council Rules o Pmcedure and S andards of Conduct Agenda Item #9.1.

Exhibit A

CITY COUNCIL

RULES OF PROCEDURE FOR THE

CONDUCT OF COUNCIL

MEETINGS
E'

STANDARDS OF CONDUCT
Agenda Item #9.1.

TABLE OF CONTENTS

1. PURPOSE .................................................................................................... 4

1. 1 Council- Manager Form of Government .............................................. 4

1. 2 City Council Vision and City Council Mission ..................................... 4

2. RULES OF PROCEDURE FOR THE CONDUCT OF
COUNCIL MEETINGS ............................................................................... 5

2. 1 Regular Meeting ................................................................................ 5 22 Special, Emergency, and Adjourned Meetings .................................. 5

2. 3 Regular Meeting Agenda ................................................................... 6

2. 4 Public Testimony and Comments Before the Council ........................ 7

2. 5 Roll Call and Voice Votes .................................................................. 8

2. 6 Consent Items ............................................................................. 9

2.7 Reports ....................................................................................... 9

2. 8 Closing Time of Council Meetings ..................................................... 9

2.9 Old Business ................................................................................. 9

2. 10 New Business ........................ ....................................................... 9

2. 11 Office of the Mayor ...................................................................... 10

2. 12 Office of Mayor Pro Tempore (Vice Mayor) ................................ 10

2. 13 Action by the Council ................................................................... 10

2. 14 Adoption by Majority Vote ........................ ................................... 11

2. 15 Discussion ................................................................................... 11

2. 16 Ratification of Actions .................................................................. 11

2.17 Procedural Motions ........................ ............................................. 11

2. 18 Withdrawal of Motion ................................................................... 12

2. 19 Duty to Vote ........................ ........................................................ 13

2.20 Introduction and Passage of Ordinance ........................ .............. 13

2.21 Closed Sessions ........................ ................................................. 13 222 Quorum ....................................................................................... 14 223 Telephonic Attendance Of Council Members At Council Meetings...................................................................................... 14

2.24 Public Hearings ........................................................................... 16

2.25 Appointments to Committees and Boards ................................... 16

2. 26 Rosenberg' s Rules of Order: Simple Parliamentary Procedures for the 21 st Century ..................................................................... 17 2 Agenda Item #9.1.

3. CITY COUNCIL STANDARDS OF CONDUCT ......................................... 17

3. 1 Policy Purpose ............................................................................... 17

3.2 Ethics ............................................................................................. 17

3.3 Code of Ethics and Conduct .......... ................................................ 20

3.4 Enforcement and Sanctions ............................................................. 25

3. 5 I mplementation .............. ................................................................ 29 Exhibit—Rosenberg's Rules of Order. Simple Parliamentary Procedures for the 2151 Century
3 Agenda Item #9.1.

PURPOSE
The purpose for establishing City Council Protocols is to provide an effective environment for the City Council to provide leadership. The protocols may be amended by resolution adopted by a majority vote of the Council Members and should be reviewed on a regular basis to ensure that the document remains helpful to the Council by providing a framework for effective leadership.

The protocols set forth herein are not intended to limit the inherent power and general legal authority of the Ciry Council. Any of the protocols herein may be waived by a majority vote of the Council Members when it is deemed that there is good cause to do so based upon the particular facts and circumstances.

1. 1 Council-Manager Form of Government
The City of St. Helena operates according to the Council-Manager form of government which vests authority in an elected Ciry Council which, in tum, hires an appointed executive, the City Manager. The City Council is composed of five members elected from the City on a nonpartisan basis to serve overlapping four-year terms. The Mayor is elected at-large to serve a two-year term as presiding officer at City Council meetings and as the official head of the City for legislative and ceremonial purposes. The City Manager is appointed by the City Council and serves at the pleasure of that body.

The City Council is the City' s legislative and policy-making body. Acting as a whole, the City Council is responsible for setting the direction of City policy and for adopting ordinances, resolutions and other orders as necessary for governing the City. The City Manager is responsible for the overall administration of the City, which includes implementation of the general policies set by the City Council in addition to the day-to-day operation of all City functions. The City Manager, with the help of the Staff, provides the City Council with the information needed to fulfill its policy-making role.

The Council- Manager form of government separates legislative and executive responsibilities in a manner similar to state and federal governments. This system provides " checks and balances" of both policy and administrative branches of government by limiting the power of each.

1. 2 City Council Vision and City Council Mission
Council Vision
St. Helena strives to be a diverse, inclusive, family-friendly, economically and environmentally sustainable community which prudently manages all of its resources, continues to improve its infrastructure, ensures its water security, provides a full range of housing, business, cultural and recreational Agenda Item #9.1.

opportunities and cherishes its historic, small-town character, beautiful natural environment and high quality of life.

Council Mission
The City of St. Helena is dedicated to serving its citizens by:

Promoting a culture of equity, diversity and inclusion
Supporting thriving families and ensuring the health and wellbeing of our youth
Ensuring our long-term economic sustainability and focusing on new and diverse sources of revenue
Preventing, preparing for, and mitigating fire and other local emergencies
Improving and maintaining City infrastructure
Updating our water management policies to ensure an adequate water supply
Responding innovatively to climate change challenges and adopting environmentally sustainable best practices
Preserving our historic, small-town, rural character
Expanding recreational, active transportation and cultural opportunities Facilitating innovative, well- designed housing for residents of all backgrounds, ages and income levels
Encouraging full civic participation and ongoing communication Strengthening regional collaboration with other public entities and building partnerships with local service providers and stakeholders See Resolution Number2021-_, dated May 11, 2021.)

2. RULES OF PROCEDURE FOR THE CONDUCT OF COUNCIL MEETINGS

2. 1 Regular Meeting
The Council shall hold a Regular Meeting on the second and fourth Tuesday of each month, except that the Council may by motion at a Regular Meeting and with adequate public notice, either cancel that meeting or reschedule it to some other date.

Regular Meetings shall be held at the Vintage Hall Board Room, 465 Main Street, St. Helena, and shall begin at 6: 00 p. m. If it is necessary to hold a closed session prior to the start of a Regular Meeting, the closed session may begin earlier than the normal starting time to allow the Regular Meeting to begin at 6:00 p. m. The closed session shall begin in an open meeting and the Council shall adjourn to closed session.

Agenda Item #9.1.

2.2 Special, Emergency, and Adjourned Meetings
a) Special Meetings. The Mayor or the Vice Mayor in the Mayor's absence or a majority of the members of the Council or the City Manager may at any time call a Special Meeting. At least twenty-four hours before a Special Meeting, written notice of the meeting stating its time and place and the subjects to be considered shall be ( a) delivered to the Mayor and each Councilmember personally or by any other means; ( b) posted on the Council's principal bulletin board, City website and place of ineeting; and c) emailed to the agenda subscribers. Only those items of business specified in the notice may be considered at a Special Meeting called in this manner.
b) Emergency Meeting. The Council may hold an Emergency Meeting in emergency situations as set forth in the City's Municipal Code and State Law.
c) Adjourned Meeting. A properly called Regular, Special, or Emergency Meeting may be adjourned to a time and place specified. A copy of the notice of adjournment shall be posted as specified on the door of the place where the meeting was held within twenty-four hours after the time of the adjournment. Further notice need not be given of an adjourned session of a properly called Regular, Special, or Emergency Meeting.

2. 3 Regular Meeting Agenda
a) Setting and Posting of Agenda. The agenda of business to come before the Council at a Regular Meeting shall normally be closed at the end of eighteen business days preceding the meeting. Under State Law the agenda for a Regular Meeting must be posted at least seventy-two ( 72) hours prior to the scheduled convening of the Regular Meeting, and no items may be added to the agenda fewer than seventy-two (72) hours prior to the meeting except as may be allowed by State Law. The City Council endeavors to publish the meeting agenda at least ten days prior to the meeting.
b) Placing Items on the Council Agenda. Each City Council agenda shall specifically provide for a discussion of Future Agenda Items. Any Council Member may request that an item be considered on a future agenda during that portion of the City Council meeting and, upon agreement by a second Council Member concurring that Staff time and City resources should be expended on the item, the item shall be placed on the soonest practical regularly scheduled Council meeting as determined by the City Manager. A member of the public may request that an item be placed on a future agenda during Public Forum or through other communicafion with a Council Member. Staff reports may not be prepared on Council Member requested items until Council discussion has occurred and direction provided by the Council unless Staff otherwise determines. If Council action is contemplated, proposed action shall be included in the Staff report. The City Agenda Item #9.1.

Manager may also add any item of business to a future agenda in his or her sole discretion.
c) Agenda Packet Distribution. Each Councilmember shall be furnished a copy of the agenda and the package of agenda material by 5: 00 p. m., on the Friday eleven days preceding a Regular Meeting, and the agenda and agenda materials shall be available for public inspection and distribution or copying at that time. Each Councilmember may opt out from receiving a paper agenda and instead receive and review the agenda electronically on a City issued iPad. Any agenda materials not included in the agenda package by 5:00 p. m., that Friday shall be separately identified, and the Council may by majority vote continue such agenda item until the following meeting to allow for proper study of the materials.
d) Order of Agenda. The business of the Council shall be taken up for consideration in substantially the following order except as may be otherwise ordered:

1. Call to Order

2. Pledge of Allegiance

3. Roll Call

4. Public Forum

5. Reports by Staff and City Council, Future Agenda Items and AB 1234 Reports

6. Presentations and Public Recognitions
Staff Briefing

8. Consent Items and Items Removed from Consent

9. Public Hearings

10. Old Business

11. New Business

12. Items likely to be placed on the next or future meeting agenda.

13. Adjournment
e) A copy of the agenda and the package of agenda materials shall be made available for public inspection at City Hall and at the St. Helena Public Library at or near the time they are circulated to the City Council.

2.4 Public Testimony and Comments Before the Council
a) Addressing the Council Generally. Each person addressing the Council may give his or her name and address ( optional) in an audible tone of voice for the record. Each person' s comments are limited to four minutes except as provided in section (b) regarding land use Public Hearings. In the further interest of time, speakers may be asked to limit their comments to Agenda Item #9.1.

new materials and not repeat what a prior speaker said. Organized groups may choose a single spokesperson who may speak for the group. Speakers may not concede their allotted time to another speaker. The Mayor may extend time for the speaker.
b) Addressing Council at Land Use Public Hearings. An applicant appellant at a land use Public Hearing shall be permitted to address the Council for 15 minutes following the Staff report. If there is a spokesperson for the opposition, the spokesperson shall be permitted to speak for 15 minutes. All other speakers are limited to four minutes each. Applicant shall first be permitted five minutes at close of public comments for rebuttal.

If the applicant is the appellee the appellant shall have 15 minutes, the applicant appellee shall have 15 minutes, the appellant five minutes, and the applicant appellee five minutes.
c) Presentation by Spokesperson. Whenever any group of persons wishes to address the Council on the same subject matter, it shall be proper for the Mayor to request that a spokesperson be chosen by the group to address the Council, and, in case additional matters are to be presented at the time by any other member of the group, to limit the number of persons so addressing the Council so as to avoid unnecessary repetition before the Council.
d) Irrelevant Testimony. The Mayor shall rule out of order any testimony not relevant to the agenda item then under discussion.
e) Protocol. The purpose of public testimony is for Councilmembers to benefit from the views of the public. Comments from the public should be directed towards the Council. Councilmembers and Staff should avoid entering into a dialogue with members of the public who may address the Council. Questions raised by members of the public may be referred to Staff.
f) Public Comment on Agendized Items. Members of the public are entitled to speak on any item on the agenda during a Public Hearing on the subject matter opened by the Mayor. Each person is entitled to speak on any agenda item only once at any meeting, and the right to speak at the appropriate time waives any further right to address the Council on that item at that meeting. Participation in debate on any item before the Council shall be limited to members of the Council, although Councilmembers may ask members of the public for additional information.
g) Public Comment on Non-Agendized Items. Members of the public are entitled to speak on matters of municipal concern not on the agenda, during consideration of that portion of the meeting agenda entitled "Public Forum" when that item is called by the Mayor. Each person is entitled to speak on non- agendized items only once at any meeting. Brief questions by Councilmembers for clarifications may be posed and answered, and Councilmembers may make requests that items be placed on future e
Agenda Item #9.1.

agendas, but in accordance with State Law, no substantive discussion may take place unless and until the matter properly appears on the agenda.

2.5 Roll Call and Voice Votes
A roll call vote shall be taken on the approval of the Consent Calendar, the introduction of ordinances, and the adoption of ordinances, resolutions, and orders for the payment of money. Roll call votes shall be entered in the minutes of the Council showing those members voting yes, those voting no, and those abstaining or absent.

Any other motion may be passed by voice vote provided, however, that any Councilmember may request a roll call vote on any items to be voted on.

2. 6 Consent Items
Those items on the agenda considered routine by the City Manager shall be grouped together under "Consent Items" and the recommended actions approved by a single vote of the Council. At the request of any Councilmember or any other person, a Consent Item shall be considered separately following approval of the remaining "Consent Items." Items approved under the heading "Consent Items" will appear in the Council minutes in their proper form, as if approved item by item.

2.7 Reports
Under the agenda heading " Reports" the City Manager, other City Staff, and Councilmembers may make reports on matters not on the agenda. Also at this time, Councilmembers or Staff may identify issues or agenda items that need to be addressed by the City Attomey during the meeting, and may propose future agenda items.

2.8 Closing Time of Council Meetings
Council meetings shall adjourn by 9: 00 p. m. However, the Council may by majority vote extend the meeting up to an additional thirty minutes (9: 30 p. m.) if the Council deems such extension necessary. A unanimous Council vote shall be required to extend the meeting past 9: 30 p. m. and adjourn by 10:00 p.m. Otherwise, the meeting shall be adjourned to another day acceptable to the Council, or unfinished business may be continued to the next regular meeting.

2. 9 Old Business
Old Business" will include uncompleted items carried over from a prior meeting agenda and placed under this agenda heading for consideration.

2. 10 New Business
0 Agenda Item #9.1.

The Council shall not consider any resolution, motion, or matter which does not affect the conduct of the business of the City of St. Helena or its corporate powers or duties as a municipal corporation nor shall the Council consider any resolution or motion supporting or disapproving any legislation or action pending in the Legislature of the State of California, the Congress of the United States or before any officer or agency of the State or Nation unless such proposed legislation or action, if adopted, will affect the conduct of the municipal business or the powers and duties of the City of St. Helena or its officers or employees as such.

2. 11 Office of the Mayor
The Mayor shall preside at meetings of the Council, shall be entitied to vote on all matters, and shall be considered a Councilmember for all purposes, including the determination of whether a quorum is present. The Mayor will recognize members that wish to speak.

The Mayor shall have the following powers:
a) To rule motions in or out of order, including any motion patently offered for obstructive or dilatory purposes;
b) To enforce the Council' s rules regarding public testimony and to determine whether a speaker has gone beyond reasonable standards of courtesy in his or her remarks and to entertain and rule on objections from other members on this ground;
c) To ensure that the public has reasonable opportunity to be heard; d) To entertain and answer questions of parliamentary law or procedure; e) To call a brief recess at any time;
f) To adjourn in an emergency;
g) To appoint a Vice Mayor subject to Council approval who shall serve during the term of the Mayor, and becomes the Mayor Pro Tempore in the Mayor's absence.

2.12 Office of Mayor Pro Tempore
A Councilmember who serves as Mayor pro tempore shall be entitled to vote on all matters and shall be considered a Councilmember for all purposes, including the determination of whether a quorum is present. In the Mayor's absence, the Mayor pro tempore shall have the Mayor's powers and duties. If the Mayor should become physically or mentally unable to perform the duties of his or her office, the other Councilmembers may by unanimous vote declare the Mayor is incapacitated and confer the Mayor's powers and duties on the Mayor pro tempore.

When the Mayor declares that he or she is no longer incapacitated, and a majority of the Council concurs, the Mayor shall resume the exercise of his or her powers and duties. If both the Mayor and the Mayor pro tempore are absent from a fG7
Agenda Item #9.1.

meeting, the Council may elect from among its members a temporary chair to preside at the meeting.

2.13 Action by the Council
Action by the Council shali be by motions made and voted upon. A motion shall require a second. The Mayor and any other Councilmember may make or second a motion. A substantive motion is out of order while another substantive motion is pending.

2.14 Adoption by Majority Vote
A motion shall be adopted by a majority of the votes cast, a quorum being present, unless otherwise required by these rules or the laws of Califomia. Resolutions, orders for the payment of money, and all ordinances require at least three votes for passage.

2.15 Discussion
The City Council shall address an agenda item as follow:
a)
b)
c)
d)
e)
Staff shall introduce the agenda item and present the Staff report.

City Council shall ask questions of Staff.

The Mayor will invite public comment on the item.

Having received all public testimony, the Council will deliberate on the matter.

If appropriate, the Mayor will entertain a motion, including any motion proposed by the Mayor.
f) If a motion has received a second, the Mayor shall state the motion and if any Council Member wishes for the discussion, open for additional Council discussion.
g) The Mayor shall preside over the discussion according to the following general principles:

1. The maker of the motion is entitled to speak first;

2. A person who has not spoken on the issue shall be recognized before someone who has already spoken;

3. To the extent possible, the discussion shall altemate between opponents and proponents of the measure.

2. 16 Ratification of Actions
Agenda Item #9.1.

To the extent permitted by law, the Council may ratify actions taken on its behalf but without its prior approval. A motion to ratify is a substantive motion.

2. 17 Procedural Motions
a) In addition to substantive proposals, the following procedural motions, and no others, shall be in order. Unless othervuise noted, each motion is debatable, may be amended, and requires a majority of the votes cast, a quorum being present, for adoption. b) To Adjoum. The motion may be made only at the conclusion of action of a pending substantive matter; it cannot interrupt deliberation of a pending matter.
c) To Take a Brief Recess.
d) Call to Follow the Agenda. The motion must be made at the first reasonable opportunity, or the right to make it is waived for the outof-order item in question. e) To Suspend the Rules. The motion requires for adoption a vote of a majority of the quorum of the Council. The Council may not suspend provisions of the rules that are state requirements imposed by law on the Council.
f) To Divide a Complex Motion and Consider It by Paragraph. g) To Call the Previous Question. The motion is not in order until every member has had an opportunity to speak once.
h) To Continue an Item to a Future Meeting Certain.
i) To Refer to Staff for Action.

Q) To Amend. An amendment to a motion must be pertinent to the subject matter of the motion. An amendment is improper if the amended motion has the same effect as rejection of the original motion. A motion may be amended, and that amendment may be amended, but no further amendments may be made until the last amendment is disposed of by a vote.
k) To Reconsider. The motion must be made by a member who voted with the prevailing side, and only at the meeting during which the original vote was taken, including any continuation of that meeting through adjournment to a time and place certain, or at the next Regular Meeting unless intervening actions taken based on the original action make such reconsideration impracticable. The motion cannot interrupt deliberation on a pending matter, but is in order at any time before final adjournment of the meeting.

I) To Rescind or Repeal a Previous Action. A motion to rescind or repeal a previous action is not in order if the rescission or repeal is 12 Agenda Item #9.1.

forbidden by law or made inappropriate by virtue of actions taken in accordance with the previous action.
m) To call for a Straw Vote. The Mayor, at the Mayor's discretion, may call for a Straw Vote among members on any item prior to inviting public testimony or Council comment.

2.18 Withdrawal of Motion
A motion may be withdrawn by the introducer at any time before a vote, with or without the consent of any " seconder' of the motion. However, any other Councilmember may ask to be considered the introducer of the motion and, if again seconded, debate may continue without further interruption.

2. 19 Duty to Vote
Every member must vote on every item unless prevented from doing so by virtue of an actual or potential conflict of interest under applicable State Law. Any member who believes he or she has a conflict or potential conflict of interest must announce such at the initiation of discussion or when such conflict or potential conflict becomes apparent, and shall refrain from any part in the debate, deliberations, or voting on that issue, except as allowed by State Law.

2.20 Introduction and Passage of Ordinance
A proposed ordinance shall be deemed to be introduced on the date the subject matter is first voted on by the Council. The Mayor shall read the title of the ordinance, after which a roll cail vote shall be taken to introduce the ordinance.

The City Clerk shall then read the ordinance in its entirety unless such reading is waived by a separate motion adopted by unanimous vote of the Councilmembers present. An ordinance, other than an urgency, may not be passed within five days of its introduction or alteration. Corrections of typographical or clerical errors are not alterations.

2. 21 Closed Sessions
a) The Council may hold closed sessions only as provided for by law and according to the provisions herein.
b) As part of any regular or special City Council meeting as appropriate, the City Council, the City Attomey, and relevant Staff may discuss and agree upon the need for any future closed sessions, including the legal authority for the closed session and the nature of the matter to be discussed, in adequate detail to meaningfully inform the public while maintaining required confidentiality and any applicable attorney-client privilege. Where the City Manager and City Attorney agree that the 13 Agenda Item #9.1.

nature of a matter requires consideration in closed session, the requirement for prior open session discussion shall not apply. c) The City Council agenda for any regular or special Council meeting shall include general information about closed sessions as follows:

The City Council will convene in open session at the
stated time, but will then adjourn to address any closed sessions items listed on the agenda. The public is
invited to address the Council with comment on any
listed closed session item immediately prior to
Council's adjournment into closed session or
consistent with any other provisions permitting public
comment. The Council will reconvene in Public
Session at 6:00 p. m. or at the first Council meeting
following any closed session. At that time, if
appropriate and as required under the Brown Act, any
actions taken during the preceding closed session will
be announced by the City Attorney or Mayor. if
necessary, the Council may reconvene in closed
session to continue discussion of listed items following the completion of open session business.
d) The City Council agenda for any regular or special Council meeting at which the Council will adjourn to closed session shall provide notice of that closed session as provided for under the Brown Act and shall include a narrative description of the legal authority for the closed session and the nature of the matter to be discussed in adequate detail to inform the public while maintaining required confidentiality or any applicable attorney-client privilege. Reporting out of closed session shall be consistent with the requirements of Brown Act, and may be of greater detail than required when the disclosure of such detail is not inconsistent with maintaining required confidentiality and any applicable attorney-client privilege.

2.22 Quorum
A majority of the actual membership of the Council, including the Mayor but excluding vacant seats, shall constitute a quorum. A member who has withdrawn from a meeting without being excused by majority vote of the remaining members present shall be counted as present for purposes of determining whether or not a quorum is present.

2.23 Telephonic Attendance Of Council Members At Council Meetings a) The City Council Procedures provisions concerning Telephonic Attendance shall apply to all Boards and Commissions as well as the City Council. Requests by Council Members to attend a Council meeting via telephonic appearance are actively discouraged. 14 Agenda Item #9.1.

Telephonic attendance shall only be permitted in the event of extraordinary events such as a medical, family or similar emergency requiring a Council Member's absence. In addition, at least a quorum of the Council must participate from a location within the City Govemment Code Section 54953( b)( 3)).
b) If these two threshold requirements are met, the Council Member who will be appearing telephonically must ensure that:

1. The meeting agenda identifies the teleconference location and is posted at that location in an area that is accessible and visible 24 hours a day for at least 72 hours prior to the meeting.

2. The teleconference location is open and fully accessible to the public, and fully accessible under the Americans with Disabilities Act, throughout the entire meeting. These requirements apply to private residences, hotel rooms, and similar facilities, all of which must remain fully open and accessible throughout the meeting, without requiring identification or registration.

3. The teleconference technology used is open and fully accessible to all members of the public, including those with disabilities.

4. Members of the public who attend the meeting at the
teleconference location have the same opportunity to address the Council from the remote location that they would if they were present in Council Chambers.

5. The teleconference location must not require an admission fee or any payment for attendance.

6. If the Council Member determines that any or all of these requirements cannot be met, he or she shall not participate in the meeting via teleconference.
c) Approved Teleconference Guidelines for Council Members:

1. One-week advance written notice must be given by the Council Member to the City Clerk's office; the notice must include the address at which the teleconferenced meeting will occur, the address the Council packet should be mailed to, who is to initiate the phone call to establish the teleconference connection, and the phone number of the teleconference location. Cellular telephones shall not be used to participate in teleconferenced meetings.

2. The Council Member is responsible for posting the Council agenda in the remote location, or having the agenda posted by somebody at the location and confirming that posting has occurred.

The City Clerk will assist, if necessary, by faxing or mailing the agenda to whatever address or fax number the Council Member requests; however, it is the Council Member's responsibility to 15 Agenda Item #9.1.

ensure that the agenda arrives and is posted. If the Council Member will need the assistance of the City Clerk in delivery of the agenda, the fax number or address must be included in the one-week advance written notice above.

The Council Member must ensure that the location will be publicly accessible while the meeting is in progress.

4. The Council Member must state at the beginning of the Council meeting that the 72-hour posting requirement was met at the location and that the location is publicly accessible. The Council Member also must describe the location. Furthermore, the City Clerk will provide Council with a quarterly report detailing the telephone charges associated with teleconferenced meetings.

2.24 Public Hearings
Public Hearings shall be scheduled and notice published without any action required by the City Council, excepting that the Council may, if it so desires, scheduled a Public Hearing on an item of interest for a date certain. In order to accommodate members of the public responding to a noticed Public Hearing, such Hearings will, to the extent practicable, begin at 6:00 p.m. At the time designated for the Public Hearing, or soon after as is practicable, the Mayor shall direct the attention of the Council Members to the Staff report and Staff may respond to questions from Council members, after which the Mayor shall formally open the Public Hearing and members of the public shall be ailowed to speak in accordance with the rules set forth elsewhere in these Rules of Procedure. When the allotted time expires, or when no one wishes to speak who has not done so, the Mayor shall declare the hearing closed.

Following the close of the Public Hearing, the Council may discuss or take action on the matter in accordance with these rules. The Mayor may in his or her discretion allow questions and/or comments from the public after close of Public Hearing.

2.25 Appointments to Committees and Boards
The City Clerk posts a Notice of Vacancy in the City designated posting locations, the City's website and sends a Media Release to the St. Helena Star advertising vacancies to Commissions, Committees and Boards.

Applicants must submit a completed application to the City Clerk and shall be interviewed by the Council at a special meeting prior to a regular meeting.

Applicants are requested to list references on their applications and individual Council Members may contact those references as part of the interview process.

Council Members contacting references should disclose this information during the appointment process.
16 Agenda Item #9.1.

Council reviews applicants for appointments to Commissions, Committees and Boards based on interviews and qualifications. Council shall rank all applicants from highest to lowest and appoint by ballot process. Mayor shall nominate applicants and appointments are subject to approval by the majority of Council.

Depending on the qualifications of the applicants and the needs of the City, there may be times when the City Council does not appoint an applicant who has applied. If an applicant is not appointed, the City Clerk will automatically readvertise for the vacant position( s) to seek additional applicants.

2.26 Rosenberg' s Rules of Order: Simple Parliamentary Procedures for the 21 st Century
All procedural matters not otherwise provided for in or controlled by state law or by any ordinance, resolution, rule or regulation of the City shall be governed by Rosenberg' s Rules of Order: Simple Parliamentary Procedures forthe 2151 Century attached as Exhibit). However, no ordinance, resolution, or other action of the Council shall be invalidated or the legality thereof otherwise affected by the failure or omission of the Council to observe or follow such rules. Certain procedures relating to motions, agenda item discussion, debate, and courtesies contained in Rosenberg's Rules of Order. Simple Parliamentary Procedures for the 215 Century are incorporated into this document, except to the extent they are modified by this Protocol document.

3. CITY COUNCIL STANDARDS OF CONDUCT

3. 1 Policy Purpose
The St. Helena City Council adopts this Code of Ethics and Conduct to assure that all elected and appointed officials, while exercising their office, conduct themselves in a manner that will instill public confidence and trust in the fair operation and integrity of St. Helena's City government.

3. 2 Ethics
The citizens and businesses of St. Helena are entitled to have fair, ethical and accountable local government. To this end, the public should have full confidence that their elected and appointed officials:

Comply with both the letter and spirit of the laws and policies affecting the operations of government;
Are independent, impartial and fair in their judgment and actions; Use their public office for the public good, not for personal gain; and Conduct public deliberations and processes openly, unless required by law to be confidential, in an atmosphere of respect and civility. 17 Agenda Item #9.1.

Therefore, members of the City Council, City Treasurer, and City Clerk and of all Boards, Committees and Commissions shall conduct themselves in accordance with the following ethical standards:
a) Act in the Public Interest. Recognizing that stewardship of the public interest must be their primary concem, members will work for the common good of the people of St. Helena and not for any private or personal interest, and they will assure fair and equal treatment of all persons, claims and transactions coming before them.
b) Comply with both the spirit and the letter of the Law and City Policy. Members shall comply with the laws of the nation, the State of Califomia and the City of St. Helena in the performance of their public duties.
c) Conduct of Members. The professional and personal conduct of members while exercising their office must be above reproach and avoid even the appearance of impropriety. Members shall refrain from abusive conduct, personal charges or verbal attacks upon the character or motives of other members of Council, Boards, Committees and Commissions, the Staff or public.
d) Respect for Process. Members shall perform their duties in accordance with the processes and rules of order established by the City Council.
e) Conduct at Public Meetings. Members shall prepare themseives for public issues, listen courteously and attentively to all public discussions before the body, and focus on the business at hand.
f) Decisions Based on Merit. Members shall base their decisions on the merits and substance of the matter at hand, rather than on unrelated considerations. When making adjudicative decisions ( those decisions where the member is called upon to determine and apply facts peculiar to an individual case), members shall maintain an open mind until the conclusion of the hearing on the matter and shall base their decisions on the facts presented at the hearing and the law.
g) Communication. Members shall publicly disclose substantive information that is relevant to a matter under consideration by the pody which they may have received from sources outside of the public decisionmaking process. 8 Agenda Item #9.1.

h) Conflict of Interest. In order to assure their independence and impartiality on behalf of the common good and compliance with conflict of interest laws, members shall use their best efforts to refrain from creating an appearance of impropriety in their actions and decisions. Members shall not use their official positions to influence government decisions in which they have ( a) a material financial interest, ( b) an organizational responsibility or personal relationship which may give the appearance of a conflict of interest, or (c) a strong personal bias.

A member who has a potential conflict of interest regarding a particular decision shall disclose the matter to the City Attorney and reasonably cooperate with the City Attorney to analyze the potential conflict. If advised by the City Attomey to seek advice from the Fair Political Practices Commission ( FPPC) or other appropriate state agency, a member shall not participate in a decision unless and until he or she has requested and received advice allowing the member to participate. A member shall diligently pursue obtaining such advice. The member shall provide the Mayor and the City Attorney a copy of any written request or advice, and conform his or her participation to the advice given. In providing assistance to members, the City Attorney represents the City and not individual members.

In accordance with the law, members shall disclose investments, interests in real property, sources of income, and gifts; and if they have a conflict of interest regarding a particular decision, shall not, once the conflict is ascertained, participate in the decision and shall not discuss or comment on the matter in any way to any person including other members unless otherwise permitted by law.
i) Gifts and Favors. Members shall not take any special advantage of services or opportunities for personal gain, by virtue of their public office that is not available to the public in general. They shall refrain from accepting any gifts, favors or promises of future benefits which might compromise their independence of judgment or action or give the appearance of being compromised.
j) Confidential Information. Members must maintain the
confidentiality of all written materials and verbal information provided to members which is confidential or privileged. Members shall neither disclose confidential information without proper legal authorization, nor use such information to advance their personal, financial or other private interests. k) Use of Public Resources. Members shall not use public resources which are not available to the public in general ( e.g., City Staff time, l9
Agenda Item #9.1.

equipment, supplies or facilities) for private gain or for personal purposes not otherwise authorized by law.

I) Representation of Private Interests. In keeping with their role as stewards of the public interest, members of Council shall not appear on behalf of the private interests of third parties before the Council or any Board, Committee, Commission or proceeding of the City, nor shall members of Boards, Committees and Commissions appear before their own bodies or before the Council on behalf of the private interests of third parties on matters related to the areas of service of their bodies. m) Advocacy. Members shall represent the official policies or positions of the City Council, Board, Committee or Commission to the best of their ability when designated as delegates for this purpose. When presenting their individual opinions and positions, members shall explicitly state they do not represent their body or the City of St. Helena, nor wili they allow the inference that they do. Councilmembers and Board, Committee and Commission members have the right to endorse candidates for all Council seats or other elected offices. It is inappropriate to mention or display endorsements during Council meetings, or Board, Committee and Commission meetings, or other official City meetings.
n) Policy Role of Members. Members shall respect and adhere to the council-manager structure of St. Helena City government as outlined in the St. Helena City Code. In this structure, the City Council determines the policies of the City with the advice, information and analysis provided by City Staff, Boards, Committees and Commissions, and the public. Except as provided by the City Code, members shali not interfere with the administrative functions of the City or the professional duties of City Staff; nor shall they impair the ability of Staff to implement Council policy decisions.
o) Independence of Boards, Committees and Commissions.

Because of the value of the independent advice of Boards, Committees and Commissions to the public decision-making process, members of Council shall refrain from using their position to unduly influence the deliberations or outcomes of Board, Committee and Commission proceedings. p) Positive Work Place Environment. Members shall support the maintenance of a positive and constructive work place environment for City employees and for citizens and businesses dealing with the City. Members shall recognize their special role in dealings with City employees to in no way create the perception of inappropriate direction to Staff. 20 Agenda Item #9.1.

3. 3 Code of Ethics and Conduct
The Code of Ethics and Conduct are designed to describe the manner in which elected and appointed officials should treat one another, City Staff, constituents, and others they come into contact with while representing the City of St. Helena. a) Elected and Appointed Officials' Conduct with Each Other in Public Meetings
Elected and appointed officials are individuals with a wide variety of backgrounds, personalities, values, opinions, and goals. Despite this diversity, all have chosen to serve in public office in order to preserve and protect the present and the future of the community. In all cases, this common goal should be acknowledged even though individuals may not agree on every issue.

1. Honor the role of the chair in maintaining order
It is the responsibility of the chair to keep the comments of inembers on track during public meetings. Members should honor efforts by the chair to focus discussion on current agenda items. If there is disagreement about the agenda or the chair's actions, those objections should be voiced politely and with reason, following procedures outlined in parliamentary procedure.

2. Practice civility and decorum in discussions and debate Difficult questions, tough challenges to a particular point of view, and criticism of ideas and information are legitimate elements of debate by a free democracy in action. Free debate does not require nor justify, however, public officials to make belligerent, personal, impertinent, slanderous, threatening, abusive, or disparaging comments.

3. Avoid personal comments that could offend other members If a member is personally offended by the remarks of another member, the offended member should make notes of the actual words used and call for a" point of personal privilege" that challenges the other member to justify or apologize for the language used. The chair will maintain control of this discussion.

4. Demonstrate effective prob/em-solving approaches
Members have a public stage and have the responsibility to show how individuals with disparate points of view can find common ground and seek a compromise that benefits the community as a whole.

Agenda Item #9.1.

b) Elected and Appointed Officials' Conduct with the Public in Public Meetings
Making the public feel welcome is an important part of the democratic process. No signs of partiality, prejudice or disrespect should be evident on the part of individual members toward an individual participating in a public forum. Every effort should be made to be fair and impartial in listening to public testimony.

1. Be we/coming to speakers and treat them with care and gentleness.
a. While questions of clarification may be asked, the official' s primary role during public testimony is to listen.

2. Be fairand equitab/e in allocating public hearing time to individual speakers.
a. The chair will determine and announce limits on speakers at the start of the public hearing process.

3. Practice active listening
a. It is disconcerting to speakers to have members not look at them when they are speaking. It is fine to look down at documents or to make notes, but reading for a long period of time or gazing around the room gives the appearance
of disinterest. Members shall try to be conscious of facial expressions, and avoid those that could be interpreted as smirking," disbelief, anger or boredom.

4. Maintain an open mind
a. Members of the public deserve an opportunity to influence the thinking of elected and appointed officials.

5. Ask for clarification, but avoid debate and argument with the public
a. Only the chair — not individual members — can interrupt a speaker during a presentation. However, a member can
ask the chair for a point of order if the speaker is off the topic or exhibiting behavior or language the member finds disturbing.
c) Elected and Appointed Officials' Conduct with City Staff Governance of a City relies on the cooperative efforts of elected officials, who set policy, appointed officials who advise the elected, and City Staff who implement and administer the Council' s policies. Therefore, every effort should be made to be cooperative and show mutual respect for the contributions made by each individual for the good of the community. 22 Agenda Item #9.1.

1. Treat all Staff as professionals
a. Clear, honest communication that respects the abilities, experience, and dignity of each individual is expected.

Poor behavior towards Staff is not acceptable.

2. Do not disrupt City Staff from theirjobs
a. Elected and appointed officials should not disrupt City Staff while they are in meetings, on the phone, or
engrossed in performing their job functions in order to have their individual needs met. Do not attend City Staff meetings unless requested by Staff — even if the elected or appointed official does not say anything, his or her presence implies support, shows partiality, may intimidate Staff, and hampers Staff' s ability to do theirjob objectively.

3. Never publicly criticize an individual employee
a. Elected and appointed officials should never express concerns about the performance of a City employee in
public, to the employee directly, or to the employee's
manager. Comments about Staff performance should only
be made to the City Manager through private
correspondence or conversation. Appointed officials
should make their comments regarding Staff to the City
Manager or the Mayor.

4. Do not get involved in administrative functions
a. Elected and appointed officials acting in their individual capacity must not attempt to influence City Staff on the making of appointments, awarding of contracts, selecting of consultants, processing of development applications, or granting of City licenses and permits.

5. Do not solicit political support from Staff
a. Elected and appointed officials should not solicit any type of political support ( financial contributions, display of posters or lawn signs, name on support list, etc.) from City Staff. City Staff may, as private citizens with constitutional rights, support political candidates but all such activities must be done away from the workplace.

6. No Attorney-Client Relationship
a. Members shall not seek to establish an attorney-client relationship with the City Attorney, including his or her Staff and attorneys contracted to work on behalf of the City. The City Attomey represents the City and not individual
23 Agenda Item #9.1.

members. Members who consult with the City Attorney
cannot enjoy or establish an attorney-client relationship with the attomey.
d) Council Conduct with Boards, Committees and Commissions The City has established several Boards, Committees and Commissions as a means of gathering more community input. Citizens who serve on Boards, Committees and Commissions become more involved in government and serve as advisors to the City Council. They are a valuable resource to the City' s leadership and should be treated with appreciation and respect.

1. Respect Role of Liaison to City's Boards,
Commitfees and Commissions
Several of the City's Boards, Committees and Commissions have a Council Member who serves as its Council liaison. The City Council will collectively review and approve liaison appointments annually. Council Members serving as liaisons should act as an advisor and resource to committee/board/commission members and the committee/board/commission' s Staff liaison when issues regarding process, procedure, attendance, interpersonal or public relations arise.

2. Respect that Boards, Committees and Commissions serve the community, not individua/ Councilmembers
The City Council appoints individuals to serve on Boards, Committees and Commissions, and it is the responsibility of Boards, Committees and Commissions to follow policy
established by the Council. But Board, Committee and
Commission members do not report to individual
Councilmembers ( whether or not they are serving as liaisons), nor should Councilmembers feel they have the power or right to threaten Board, Committee and Commission members with
removal if they disagree about an issue. Appointment and reappointment to a Board, Committee or Commission should be based on such criteria as expertise, ability to work with Staff and the public, and commitment to fulfilling official duties. A Board, Committee or Commission appointment should not be used as a political " reward."

3. Be respectlul of diverse opinions
A primary role of Boards, Committees and Commissions is to represent many points of view in the community and to provide the Council with advice based on a full spectrum of concerns and perspectives.

Councilmembers may have a closer working relationship with some individuals serving on Boards, Committees and Commissions, but must 2A
Agenda Item #9.1.

be fair and respectful of all citizens serving on Boards, Committees and Commissions.

4. Keep politica/ support away from public forums
Board, Committee and Commission members may offer political support to a Councilmember, but not in a public forum while conducting official duties. Conversely, Councilmembers may support Board, Committee and Commission members who are running for office, but not in an official forum in their capacity as a Councilmember.
e) Elected and Appointed Officials' Conduct With Each Other and the Public in Private Encounters
Continue Respectful Behavior in Private
The same level of respect and consideration of differing points of view that is deemed appropriate for public discussions, and set forth above in subsections ( a) through ( d), should be maintained in private conversations, including telephone calls, texts, e-mails or other forms of communication. Council Members and appointed officials shall refrain from abusive conduct, intimidation, bullying tactics, personal charges, or verbal attacks upon the character or motives of other members or the public.

2. Be Aware of the Insecurity ( Non- Confidentiality) of Written Notes, Texts, Voicemail and E-mail
Technology allows words written or said without much forethought to be distributed wide and far. Would you feel comfortable to have this note faxed to others? How would you feel if this voicemail message was played on a speakerphone in a full office? What would happen if this Email or text message were forvvarded to others? Written notes, voicemail messages, texts and E- mail should be treated as potentially public" communication.

3. Understand that Even Private Conversations can have Public Presence Elected and appointed officials are always on display — their actions, demeanor, fitness, mannerisms, language and timing and form of communication are monitored by people around them that they may not know. Lunch table conversations will be eavesdropped upon, parking lot debates will be watched, late- night e- mails will be questioned and casual comments between individuals before and after public meetings noticed.

3. 4 Enforcement and Sanctions
a) Acknowledgement of Code of Ethics and Conduct
Upon assuming office each Councilmember, and each Board, Committee and Commission Member ("Membe"), shall sign a statement affirming that he or she has been provided with and has read the Code of Ethics and 25 Agenda Item #9.1.

Conduct. Each Councilmember, Board, Committee and Commission Member, shall adhere to the Code of Ethics and Conduct as well as the Council' s Rules of Procedure. Councilmembers who do not sign an acknowledgement that they have read and understand the Code of Ethics and Conduct shall be ineligible for intergovernmental assignments or Council subcommittees. Board, Committee and Commission members who do not sign an acknowledgement that they have read and understand the Code of Ethics and Conduct are not eligible to hold office. b) Ethics Training for Loca/ Officials
Councilmembers, City Treasurer, City Clerk, Board, Committee and Commission Members shall report annually to the City Clerk with respect to his or her compliance with State or City mandated requirements for ethics training. Councilmembers, City Treasurer, City Clerk, Board, Committee and Commission Members who are out of compliance with State or City mandated requirements for ethics training shall not represent the City on intergovernmental assignments or Council subcommittees and may be subject to sanctions.
c) Behavior and Conduct
The St. Helena Code of Ethics and Conduct expresses standards of ethical conduct expected for members of the St. Helena City Council, Boards, Committees and Commissions. Each Member him or herself has the primary responsibility to assure that he or she understands and satisfies the ethical standards, so that the public can continue to have full confidence in the integrity of govemment. The chairs of Boards, Committees and Commissions and the Mayor and Council have the additional responsibility to intervene when actions of Members that appear to be in violation of the Code of Ethics and Conduct are brought to their attention. Without violating Brown Act serial meeting requirements, individual Members should point out to the offending Member perceived infractions of the Code of Ethics and Conduct. If the offenses continue, then the process under 3. 4(e) 1- 10 shall govern.
d) Council Authority
Under California law, the Council does not have the legal authority to remove Members elected or appointed to the City Council or to otherwise deprive them of their office. However, as provided in Section 3.4(e) 9., a majority of the Councilmembers may remove a Councilmember from any or all Council honorary and/or ceremonial positions and ad-hoc and standing committees, as well as from positions with other govemmental agencies or other organizations they hold by virtue of appointment by the City Council. e) Process to Address Alleged Violation of Code of Ethics and Conduct 26 Agenda Item #9.1.

1. Complaint Where any person has substantial evidence that a Member has materially violated the Code of Ethics and Conduct, he or she may file a written statement with the City Clerk who will then provide it to the City Council, and the affected Member. The name of the complainant shall initially be redacted and kept confidential and not disclosed until it has been determined as provided in Section

3.4(e) 2 that there is substantial evidence that the Member has materially violated the Code of Ethics and Conduct.

Substantial evidence" means evidence that reasonably supports a conclusion. It does not mean simply any evidence, nor does it include mere opinions. It must be reasonable in nature, credible, and of solid value.

2. Hearing Officer. Upon receipt of a Complaint as provided in Section 3.4(e) 1., or upon the direction of the City Council, the Mayor, in consultation with the City Manager, shall make a preliminary determination whether there is substantial evidence to support a conclusion that a Member has materially violated the Code of Ethics and Conduct, thereby warranting the further proceedings below. If the Mayor either submitted the Complaint or is the subject of the Complaint, the Vice Mayor ( and who is not the subject of the complaint) shall make the preliminary determination as provided above.

If the Mayor (or, where the Mayor is disqualified as set forth above, the Vice Mayor) makes the initial determination that there is substantial evidence to support a conclusion that a Member has materially violated the Code of Ethics and Conduct, thereby warranting the further proceedings, he or she, in consultation with the City Manager, shall appoint an independent Hearing Officer to review and investigate the Complaint. If the Mayor either submitted the Complaint or is the subject of the Complaint, the Vice Mayor ( and who is not the subject of the complaint) shall appoint the Hearing Officer as provided above.

In the event both the Mayor and Vice Mayor are disqualified as set forth above or otherwise unable to carry out the duties under this Section, the Council member with the longest tenure shall do so. If two or more Council members have equal tenure, the Council member ( who is not the subject of the Complaint) shall be selected by a process of drawing straws supervised by the City Clerk.

3. Investigation. To the extent reasonably practicable, the Hearing Officer shall investigate and report, within not more than thirty (30) days, as to whether there is substantial evidence in support of an allegation that a Member has materially violated the Code of Ethics and Conduct. If the Hearing Officer concludes that there is not substantial evidence to support an alleged violation, or that the violation was not material, he or she shall so report to the Council and the matter shall be deemed dismissed unless the Council directs that a public hearing be held pursuant to Section 3.4(e) 5. If the Hearing Officer concludes that there is substantial evidence to support an alleged material violation of the Code of Ethics and Conduct, he or she shall issue a report (" Report") to the City Council and the Member. The Hearing Officer shall allow the affected Member a reasonable 27 Agenda Item #9.1.