If two (2) or more employees have the same seniority, the order of seniority shall be determined by the employees’ examination results and ranking on the respective eligibility list upon which the employees were subsequently hired.
5.5 Employee Options
Employees laid off shall have any of the following choices:
(a) Displacing the employee in the same department and in the same or clearly comparable classification as determined by the Director of Human Resources as having the least seniority in that classification. This option shall be exercised before any other option.
(b) Taking a voluntary demotion within the department to a classification in which the employee had prior regular status, thus displacing the employee who has the least seniority in that classification. Employees who exercise this option shall be placed on an eligibility list for reinstatement to the higher classification for a period of five (5) years. Ranking on the reinstatement list shall be by the employee's seniority in the higher classification. All employees on the list, who are still employed by the City of Stockton, shall be reinstated to the higher classification before any new promotions can be made to that classification.
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If the change as listed above requires Civil Service approval, the Association and the City agrees to not object to this change in the duration of the reemployment list.
If the employee is in a probationary status in the higher classification, the probationary status shall resume upon reinstatement with full credit for previous time served in that classification.
5.6 Health and Welfare Benefits During Layoff
Regular status employees who are laid off will have an option of maintaining their existing health and welfare benefits for thirty-six (36) months (the thirty-six (36) months runs concurrently with any COBRA benefits) from the date of layoff, provided timely payments of the premiums by the employee are made to the City, according to City regulations, and provided the employee otherwise meets the requirements of Federal and State regulations.
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SECTION 6. REEMPLOYMENT
6.1 Reemployment
When an employee in the classified service whose performance evaluation conducted by the employing department reflects that the employee is performing duties satisfactorily and whose position is abolished, is laid off due to lack of funds or on an authorized leave of absence and is ready to report for duty when a position is open, the Civil Service Commission shall cause the name of the employee in the appropriate class to be placed on the reemployment list as follows:
(a) Except as otherwise provided in subsection (b) below, the Civil Service Commission shall cause the name of each employee laid off in accordance with these rules to be placed on the reemployment list for the appropriate class for reemployment within two (2) years thereafter when vacancies occur.
(b) An employee who receives a notice of layoff and exercises the option to demote to a previously held lower classification shall be placed on the reemployment list for the position from which the employee demoted, as provided for in subsection (a), above, and remain on the list either until the employee is appointed to the position or the employee declines appointment to the position. The reemployment rights granted by this subsection are applicable only to employees who demote to a previously held lower classification after receiving a notice of layoff.
The reemployment list for any class shall be established by a Civil Service resolution as needed.
In filling vacancies, eligibles on the reemployment lists take precedence over eligibles on any other list for the same rank in the department for which the lists apply.
An employee who waives reemployment to a fulltime position three (3) times shall have their name removed from this reemployment list unless mutually agreed to by the Department and employee.
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SECTION 7. DISCIPLINE
Disciplinary action, including discharge, suspension, reduction in pay, demotion, or other employment penalty may be taken against any employee for cause.
The appointing authority may discharge, suspend, or demote any employee in the classified service provided the City Charter provisions and the Rules and Regulations of the Civil Service Commission and any applicable provisions of law are followed. Such provisions allow the employee suspended, demoted, or discharged to appeal such action.
The employee may take any one (1) of the following actions:
(a) File no appeal.
(b) File an appeal with the Civil Service Commission within ten (10) working days of written notification of the action. (Such filing will foreclose use of the grievance procedure).
(c) File a grievance as provided for in Section 8.5 within ten (10) working days of written notification of the action.
If the employee fails to do (b) or (c) above within the prescribed time frames, these rights will have been waived.
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SECTION 8. GRIEVANCE PROCEDURES
8.1 Definition
A grievance is any dispute which involves the interpretation or application of those rules, regulations, and resolutions which have been, or may hereafter be, adopted by the City Council to govern personnel practices and working conditions, including such rules, regulations, and resolutions as may be adopted by either the City Council or the Civil Service Commission to affect Memoranda of Understanding which result from the meeting and conferring process.
8.2 Filing Deadline
No grievance involving demotion, suspension, discharge, or other employment penalty will be entertained unless it is filed in writing with the Director of Human Resources within ten (10) working days of the time at which the affected employee received written notification of such action. All other grievances must be filed within thirty (30) calendar days from the time the employee knew or had reason to know of the facts giving rise to the grievance.
8.3 Grievance Processing
(a) Step 1 - Departmental Review. Any employee claiming to have a grievance may discuss the complaint with such management official in the department where employed as the department head may designate. If the issue is not resolved within the department within ten (10) working days from the day of presentation or if the employee elects to submit the grievance directly to the Association recognized as the representative of that employee's classification, the procedures hereinafter specified may be invoked. (b) Step 2 - Director of Human Resources Review. If the employee is not satisfied with the response at Step 1, then the employee may appeal the grievance to the Director of Human Resources within ten (10) working days of the receipt of written response at Step 1. Such appeal must state with particularity; 1) the specific policy, rule, or provision which is alleged to have been violated; 2) the statement of facts comprising the violation; and 3) the requested remedy. The Association may file and process grievance(s) on behalf of the specifically named employee.
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except for the resolution of compensation complaints, may be processed under the following two (2) paragraphs which has not first been filed and investigated in accordance with this paragraph unless the Director of Human Resources fails to respond within the time limit. (c) Step 3 - City Manager Review. Within ten (10) calendar days of the receipt of the Step 2 response, the grievance may be appealed to the City Manager or their designee. Such referral shall be in writing, detailing the specific issues involved in the referral together with a statement of the resolution desired. The City Manager shall designate a personal representative who shall not be the Director of Human Resources to investigate the merits of the complaint, to meet with the complainant, and if the complainant is not the Association, to meet also with the officials of the Association, and to settle the grievance or to make recommendations to the City Manager. A written response to the appeal will be provided within thirty (30) calendar days of the date of appeal.
(d) Step 4 - Arbitration. If the grievant or the Association is dissatisfied with the response at Step 3, or if the City Manager fails to respond within the time limit, the matter may, within ten (10) working days, be referred to an arbitrator mutually selected by the parties, or if the parties are unable to mutually agree, from a list of seven (7) arbitrators provided by the State Conciliation Service. The arbitrator shall be chosen by the alternative strike method, with first choice being determined by lot. The fees and expenses of the arbitrator and of a court reporter shall be shared equally by both parties. Each party, however, shall bear the cost of its own presentation, including preparation and post hearing briefs, if any.
(e) Effect of Decision. Decisions of arbitrators on matters properly before them shall be final and binding on the parties hereto except as provided otherwise herein.
8.4 Scope of Arbitration
No arbitrator shall entertain, hear, decide, or make recommendations on any dispute unless such dispute involves a position in a unit represented by the Association and unless such dispute falls within the definition of a grievance as set forth in section 8.1.
Proposals to add to or change this Memorandum of Understanding or written agreements or addenda supplementary hereto shall not be arbitrable and no proposal to modify, amend, or terminate this Memorandum of Understanding, nor EXHIBIT 1
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any matter or subject arising out of or in connection with such proposal, may be referred to arbitration under this Section. No arbitrator selected pursuant to this section shall have the power to amend or modify this Memorandum of Understanding or written agreements or addenda supplementary hereto or to establish any new terms or conditions of employment.
No change in this Memorandum of Understanding or interpretations thereof (except interpretations resulting from arbitration proceedings hereunder) will be recognized unless agreed to by the City Manager and the Association.
8.5 Other Provisions
If the Director of Human Resources, in pursuance of the procedures outlined above, or the City Manager, in pursuance of the provisions outlined above, resolve a grievance which involves suspension or discharge, they may agree to payment for lost time or to reinstatement with or without payment for lost time, but in the event the dispute is referred to arbitration and the arbitrator finds that the City had cause to take the action complained of, the arbitrator may not substitute their judgment for the judgment of Management and if they find that the City had such right, they may not order reinstatement and may not assess any penalty upon the City.
All complaints involving or concerning the payment of compensation shall be initially filed in writing with the City Manager. Only complaints, which allege the employee is not being compensated in accordance with the provisions of this Memorandum of Understanding, shall be considered as grievances. Any other matters of compensation are to be resolved in the meeting and conferring process and if not detailed in the Memorandum of Understanding which results from such meeting and conferring process shall be deemed withdrawn until the meeting and conferring process is next open for such decision. No adjustment shall be retroactive for more than thirty (30) days from the date upon which the complaint was filed.
The provisions of this Section shall not abridge any right to which an employee may be administered in a manner that would abrogate any power which, under the City Charter, may be within the sole province and discretion of the Civil Service Commission.
All grievances of employees represented by the Association shall be processed under this section. If the City Charter requires that differing options be available to the employee, no action under paragraph (d) of subsection 8.3 above shall be taken unless it is determined that the employee is not availing themselves of such EXHIBIT 1
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option.
No action under paragraph (d) of subsection 8.3 above shall be taken if action on the complaint or grievance has been taken by the Civil Service Commission, or if the complaint or grievance is pending before the Civil Service Commission.
If any award by an arbitrator requires action by the City Council or the Civil Service Commission before it can be placed in effect, the City Manager and the Director of Human Resources will recommend to the City Council or the Civil Service Commission, as appropriate, that it follow such award.
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SECTION 9. LEAVES
9.1 Vacation
(a) Vacation Allowance. All employees in this unit shall accrue vacation leave with pay in accordance with the following schedule (employees shall accrue vacation leave on a twice monthly basis):
Less than 1½ years continuous employment ...................... 120 hours/year After 1½ years up to 7 1/2 years......... ……………………… 148 hours/year After 7½ years up to 15 years............................................. 188 hours/year After 15 years up to 25 years.............................................. 229 hours/year Seven (7) additional hours hence for each completed year of service in excess of twenty-five (25) years.
(b) Vacation Carryover Allowance. Effective July 1, 2012, the following maximum vacation accruals shall take effect. Employees reaching the maximum hours provided here shall stop accruing additional vacation hours until they are below the caps listed here. No vacation hours may be added to sick leave balances without exception.
For employees who on July 1, 2012 have vacation balances that exceed their maximum shall have until June 30, 2013 to use sufficient vacation to get under the maximum allowed. If an employee does not reduce their balance below the maximum by June 30, 2013, they shall retain their existing earned vacation, but shall not earn any additional vacation until they are under the maximum vacation accrual allowed.
The maximum number of vacation hours that employees on a 40 hour workweek shall accrue is as follows:
Under 1.5 years 200 hours
1.5 – 7.5 years 320 hours
7.5 – 15 years 360 hours
15 – 25 years 400 hours
25 years 408 hours
26 years 416 hours
27 years 424 hours
28 years plus 7 hours each additional year
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Employees reaching the maximum hours provided here shall stop accruing additional vacation hours until they are below the caps listed here. No vacation hours may be added to sick leave balances without exception. (c) Vacation Allowance for Separated Employees. An eligible employee separating from City service for any reason who has unused vacation time shall be paid for such vacation time up to the effective date of the last day of employment with the City. Payment for unused vacation shall be made at the final rate of pay. Payment for the unused vacation hours shall be paid post separation date at no later than the second regularly scheduled pay period pay date following separation.
9.2 Sick Leave
(a) Accrual. All regular status employees, except provisional, temporary, and part-time employees, each shall accrue sick leave at the rate of eight (8) hours for full month of service. All regular status employees, except provisional, temporary, and part-time employees, working less than a full month shall accrue sick leave while off duty on authorized sick leave; provided, however, an employee shall not accrue sick leave during any leave or leaves of absence without pay granted to the employee. (b) Usage. Employees are entitled to sick leave pay for those days which the employee would normally have worked, to a maximum of sick leave hours accrued.
An employee may use sick leave for preventive medical, dental, optical care, illness, injury, or exposure to contagious disease, which incapacitates them from performing their duties. This includes disabilities caused or contributed to by pregnancy, miscarriage, abortion, childbirth, and recovery therefrom.
(c) Family Sick Leave. Employees may utilize fifty percent (50%) of their annual accrued sick leave to attend to cases of illness or injury in the employee's immediate family, except in instances where the employee is on approved FMLA or CFRA leave.
For the purpose of this section, immediate family is defined as the employee's parents, spouse, registered domestic partner, mother-in-law, father-in-law, child, stepchild, brother, sister, brother-in-law, sister-in-law, legal dependent, grandparent, and grandchild.
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(d) Procedures for Requesting and Approving Sick Leave. When the requirement for sick leave is known to the employee in advance of their absence, the employee shall request authorization for such sick leave from the department head prior to such absence. In all other instances, the employee shall notify their supervisor as promptly as possible of their absence.
Before an employee may be paid for the use of accrued sick leave, they shall complete and submit to their department head a signed statement, on a prescribed form, stating the dates and hours of absence, the exact reason, and such other information as is necessary for their request to be evaluated.
If an employee does not return to work prior to the preparation of the payroll, other arrangements may be made with the approval of the department head.
(e) Doctor's Certificate or Other Proof. If an employee's illness results in an absence from work for more than three (3) consecutive days, then a doctor's certificate or other reasonable proof of illness will be required by the department head.
The Police Chief may make such sick leave usage reviews and may require such physician's documentation as they deem necessary to ensure proper use of the sick leave benefit. In addition, the City may monitor and control the appropriate use of sick leave by employees and if reasonable cause is articulated, can limit use of sick leave and require additional verification. (f) Use of Sick Leave while on Vacation. An employee who is injured or who becomes ill while on vacation may be paid for sick leave in lieu of vacation provided that the employee:
(1) was hospitalized during the period for which sick leave is claimed, or (2) received medical treatment or diagnosis and presents a statement indicating disabling illness or injury signed by a physician covering the period for which sick leave is claimed.
(g) Payment for Unused Sick Leave for Unit Employees. Effective February 17, 2012, all sick leave shall have no cash value upon separation of employment and employees shall not be allowed to cash out unused sick leave. Employees may be eligible to convert unused sick leave for CalPERS service credit at retirement based on the PERS contract provisions applicable to their employment.
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(h) CalPERS Service Credit for Unused Sick Leave. Employees shall be eligible for CalPERS service credit for any unused sick leave at retirement not otherwise compensated for in (i) below. Employees hired after the City amends its CalPERS contract to eliminate service credit for unused sick leave shall not be eligible for this service credit.
(i) Sick Leave Retention Benefit. After subtracting the equivalent of one full year of service credit (2080 hours), which may be applied to CALPERS service credit, any balance remaining upon separation shall be paid as follows to employees who have remained in City service until the dates specified:
(1) Separation prior to July 1, 2014, no payment of unused sick leave at separation shall occur for separating employees before this date; (2) Separation between July 1, 2014 and June 30, 2015, payment of unused sick leave which the employee held on February 16, 2012 shall be paid at thirty-five percent (35%) of its cash value to separating employees between these dates; and
(3) Separation after July 1, 2015, payment of unused sick leave which the employee held on February 16, 2012 shall be paid at fifty percent (50%) of its cash value to separating employees after this date. (4) Service credit for unused sick leave shall be in accordance with PERS regulations.
9.3 Other Leaves With Pay
(a) Bereavement Leave. In the event of a death in the immediate family of an employee, the employee shall, upon request, be granted up to three (3) days bereavement leave with pay without charge to the employee’s accumulated sick leave credits or vacation eligibility. The City Manager may grant an additional three (3) days bereavement leave upon request which shall be charged against the employee's accumulated sick leave credits in cases where extensive travel time is required to attend the funeral. For the purposes of this section, immediate family is defined as the employee’s parents, spouse, registered domestic partner, mother-in-law, father-in-law, child, stepchild, brother, sister, brother-in-law, sister-in-law, grandparent, and grandchild.
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as defined above, the employee's department head may grant up to three (3) days bereavement leave upon request which shall be charged against the employee's accumulated sick leave credits.
(b) Court Appearance. Upon approval by the department head, an employee, other than a provisional, part-time, or temporary employee, shall be permitted authorized absence from duty for appearance in court because of jury service, in obedience to subpoena or by direction of proper authority, in accordance with the following provisions:
Said absence from duty will be compensated for actual hours the employee serves on the jury or testifies as a witness in a criminal case, other than a defendant, including necessary travel time. As a condition of receiving such full pay, the employee must remit to the City, through the employee's department head, within fifteen (15) days after receipt all fees received except those specifically allowed for mileage and expenses. Jury duty or witness duty appearances shall be considered in terms of actual hours spent from arrival time until the time released from Court. If an employee is not due to appear for jury duty or as a witness until afternoon court session, they will be expected to work their usual morning schedule. If an employee is required to appear for morning court session and is released before noon and not required to return to court in the afternoon, they shall work the remainder of their usual afternoon schedule.
Said absence from duty will be without pay when the employee appears in private litigation to which the City of Stockton is not a party.
Any fees allowed, except for reimbursement of expenses incurred, shall be remitted to the City Treasurer through the employee's department.
Notwithstanding the foregoing, attendance in court in connection with an employee's official duties or on behalf of the City of Stockton in connection with a case in which the City of Stockton is not a party, together with travel time necessarily involved, shall not be considered absent from duty within the meaning of this Section.
(c) Court Appearance Pay while in Off Duty Status. When an employee is required by proper authority to appear in court during off-duty hours, said employee shall receive compensation of three (3) hours at time and onehalf (1-1/2) or actual time worked at the appropriate rate, whichever is greater.
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(d) Military Leave. An employee of the City who is a member of the National Guard or Naval Militia or a member of Reserve Corps or Force of the Federal Military, Naval or Marine Service and is ordered to duty shall be granted leave with pay while engaged therein, provided the leave does not exceed thirty (30) calendar days in any calendar year.
All regular status employees in the service of the City shall be allowed leave of absence without pay for the duration of a national emergency who have been inducted into the Army, Navy, Marine Corps, Air Force, or any other branch of the Military Service of the United States or the State of California.
Said employees shall be reinstated in the service, except as hereinafter stated, providing they are physically fit as shown by a medical examination by the City Physician or other physician appointed to make a medical examination.
In the case of a probationary employee having served their minimum probationary period of twelve (12) months at the time of induction, it shall be optional with the department head and the City Manager to grant regular status to said employee before induction.
All probationary employees inducted into the Military Service not having served the minimum probationary period of twelve (12) months, or having served the minimum probationary period of twelve (12) months but not having received regular status shall be allowed leave of absence without pay for the duration of a national emergency, but said employees shall be placed at the head of the eligible list for such position in the order of their seniority of employment and when appointed to a vacant position, they must be physically fit as above specified and shall serve the balance of their probationary period before attaining the status of a regular employee.
Two or more regular status employees granted military leave of absence without pay from the same position shall be reemployed according to their seniority of employment providing they are physically fit as above specified. (e) Management Time Leave. The City shall provide forty (40) hours of paidmanagement time leave each fiscal year. The management leave of forty (40) hours may not carry over from fiscal year to fiscal year, be used for sellback purposes, or paid for any unused management leave upon separation of City employment.
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9.4 Workers' Compensation Leave
Whenever any member of this unit is disabled, whether temporarily or permanently, by injury or illness arising out of and in the course of their duties, they shall become entitled, regardless of their period of service with the City, to a leave of absence while so disabled without loss of salary, in lieu of temporary disability payment, if any, which would be payable for the period of such disability but not exceeding one (1) year, or until such earlier date as they are retired on permanent disability pension.
If injury is claimed to be job related, or a recurrence of a previous job-related sickness or injury, it must be verified with a written physician's statement, otherwise disability leave will not be allowed. Any absence not so approved will be charged to sick leave if verification is not received.
(a) Forms and Procedures. Workers’ compensation processing shall be consistent with City procedures and in accordance with state workers’ compensation regulations. An employee who sustains a work-related injury or illness shall immediately inform their supervisor no matter how minor an on-the-job injury may appear. An employee who sustains a work-related injury or illness is required to seek medical care at facilities designated by the City, unless they have filed a pre-designation of personal physician prior to sustaining the work-related injury or illness. The City shall furnish the association the appropriate form for distribution. For a list of City designated medical care facilities and/or physicians, please contact Human Resources.
9.5 Leaves of Absence
Employees shall not be entitled to leaves of absence as a matter of right, but only in accordance with the provisions of law and the City of Stockton Municipal Code.
Unless otherwise provided, the granting of a leave of absence also grants to the employee the right to return to a position in the same classification or equivalent classification as the employee held at the time the leave was granted.
The granting of any leave of absence shall be based on the presumption that the employee intends to return to work upon the expiration of the leave.
All approval authority over leaves of absence exercised by the department head under this Section shall be subject to review by the City Manager, whose ruling shall be final. Employees on authorized leaves of absence without pay shall not be entitled to payment by the City of the premiums for their health and dental insurance, except as provided hereinafter.
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The entitlement to City payment of premium shall end on the last day of the month in which the employee was paid except those employees on an authorized leave of absence may continue enrollment in the City health and dental insurance plan by prepayment of the monthly premium during the authorized leave of absence.
Authorized absence without pay which exceeds thirty (30) consecutive calendar days, except military leave, shall not be included in determining salary adjustment rights, based on length of employment. Periods of time during which an employee is required to be absent from their position by reason of an injury or disease for which they are entitled to and currently receiving Workers' Compensation benefits shall be included in computing length of service for the purpose of determining that employee's salary adjustments.
9.6 Leave of Absence Without Pay
(a) Purpose and Length. Only employees occupying regular status positions on a permanent basis are eligible for leaves of absence without pay, under the provisions of this Section.
An appointing authority may grant leave of absence without pay for personal reasons, up to a maximum of twelve (12) months, with approval of the Director of Human Resources.
Leaves of absence without pay on account of illness or injury, which are not job incurred, may be granted for a maximum period of twelve (12) months with approval of the Director of Human Resources. This includes disabilities caused or contributed to by pregnancy, miscarriage, abortion, childbirth, and recovery therefrom.
Such a leave will be granted only after all accrued sick leave credits have been used and shall be substantiated by a physician's statement. (b) Application for and Approval of Leaves of Absence Without Pay. In order to receive leave without pay, an employee must submit a request on the prescribed form to the department head and the City Manager, describing the reasons for the request and all other information required for the department head, or their representative, to evaluate the request. Leaves without pay may be canceled by the department at any time.
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9.7 Absence Without Official Leave (AWOL)
(a) Refusal of Leave or Failure to Return After Leave. Failure to report for duty or failure to report for duty after a leave of absence request has been disapproved, revoked, or canceled by the department or City Manager, or at the expiration of a leave, shall be considered an absence without leave. (b) Voluntary Resignation. Any employee in this bargaining unit absent without leave for two (2) or more consecutive scheduled days or absent an aggregate of sixteen (16) hours in any calendar month without a satisfactory explanation as approved by the Director of Human Resources shall be deemed to have voluntarily resigned from the City of Stockton except if the absence is due to a verified illness or injury.
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SECTION 10. DAYS AND HOURS OF WORK
10.1 Workweek
The normal workweek for Police Unit employees is defined as either the traditional workweek consisting of 8 hours per day, 5 days per week; the alternate 9/80 work schedule consisting of 9-hour work days Monday through Thursday, an 8-hour workday on Friday with every other Friday off; or the 4/10 schedule consisting of 10 hour work days. Where operational requirements of a department require deviations from the present schedule, the Police Chief and/or City Manager may institute alternate work schedules, consistent with provisions of the State Law.
SPMA will meet and confer with the City on any proposed changes in work schedule.
10.2 Meal Periods
Phase shift employees normally receive a one-half (½) hour meal with pay each day.
Other Police Service Management Unit employees will normally receive a one (1) hour meal period without pay.
10.3 Work Furloughs
The existing furlough hours will be placed in a furlough bank. The furlough bank may be carried over from one fiscal year to the next. There shall be no cash value provided for any furlough hours.
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SECTION 11. OVERTIME
11.1 Eligibility
Police Management employees shall not be eligible for overtime for extra hours worked to perform duties of their assigned positions with the following exceptions:
(a) When assigned to cover the shift of another employee in a comparable position.
(b) When assigned to work due to an emergency situation as required by their department.
(c) When assigned to work on special projects, events, and/or critical incidents as required by the department.
(d) For any hours worked as a result of exceptions (a) through (c), extra hours shall only be compensated at overtime rates if that employee works more than forty (40) hours within the same workweek. It is understood that, notwithstanding the additional compensation provided under this section, all employees in the bargaining unit are FLSA exempt.
(e) For the purposes of subsection (d), furlough hours taken, holiday hours taken, observed holidays when the City is closed, bereavement leave, jury duty leave, and sick leave, shall be considered as time worked. Vacation leave, or other time taken as compensated time off not specifically identified above shall not be considered as time worked.
11.2 Authorization
The Chief of Police must personally approve any overtime pay for Police Management Unit employees.
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SECTION 12. HOLIDAYS
12.1 Holidays Observed by the City
(a) Effective upon the first full pay period following ratification for this Memorandum of Understanding by Stockton Police Management Association and approval by the City Council on its regular Agenda in accordance with the Ralph M. Brown Act, employees shall receive the following holidays on full pay for any one (1) holiday, unless otherwise provided in this Section. The City observes the following holidays on the dates indicated:
(1) New Year’s Day .............................................................. (January 1) (2) Martin Luther King’s Birthday ...................(Third Monday in January) (3) Lincoln's Birthday .............................. (Second Monday in February) (4) Washington's Birthday............................(Third Monday in February) (5) Cesar Chavez’ Day..(March 31 - Floating for Non-Patrol Lieutenants) (6) Memorial Day..................................................(Last Monday in May) (7) Independence Day.................................................................(July 4) (8) Labor Day ............................................(First Monday in September) (9) Columbus Day......................................(Second Monday in October) (10) Veteran's Day............................................................ (November 11) (11) (Thanksgiving.................................. (Fourth Thursday in November) (12) Day following Thanksgiving.................. (Fourth Friday in November) (13) Christmas Day........................................................... (December 25) (14) Birthday Holiday
(b) Birthday Holiday Leave. For positions that observe holidays, the department head, with due consideration for the wishes of the employee, may authorize the birthday holiday to be taken within sixty (60) calendar days, beginning on the day of the employee’s birthday.
(c) For positions that observe holidays, the FLOATING holiday must be used by December 31 of each year and does not carry forward into the subsequent year. There is no cash value for any unused floating holiday hours. Employees have not earned and cannot use the floating holiday until the actual holiday occurs (March 31).
(d) For employees on a Monday through Friday workweek or a 9/80 work schedule, if holidays fall on a Sunday, the following Monday shall be observed. If holidays fall on Saturday, the proceeding Friday shall be EXHIBIT 1
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observed.
For employees in the Police Department on a ten (10) hour shift schedule, holidays that fall on Saturday or Sunday shall be observed on Saturday or Sunday respectively.
In order to receive Holiday Pay the employee must be in a paid status the day before and the day after the holiday.
12.2 Holiday Compensation
(a) Captains. Captains shall receive a five percent (5%) holiday in lieu add pay.
This additional compensation is for employees who are normally required to work on an approved holiday because they work in positions that require scheduled staffing without regard to holidays.
When the Police Department Administrative offices are closed on a regularly scheduled work day, Captains shall use the appropriate number of hours from their personal leave time to take the day off. However, at the sole discretion of the Chief or designee, Captains may be scheduled to work on a day when the Police Department Administrative offices are closed. In the event a Captain is scheduled to work on a day when the Police Department Administrative offices are closed, they will not be required to use vacation leave and will be paid for actual hours worked at straight time. (b) Non-Patrol Lieutenants. Non-Patrol Lieutenants who are not assigned to the traditional 10-plan Field Operations/Patrol shift schedule and observe City Holidays shall be entitled to take each holiday off with full pay for any one (1) holiday listed in 12.1 above. FLOATING holiday must be used by December 31 of each year and does not carry forward into the subsequent year. There is no cash value for any unused floating holiday hours.
Employees have not earned and cannot use the floating holiday hours until the actual holiday occurs (March 31).
(c) Patrol Assignments. Police Lieutenants assigned to the traditional 10-plan Field Operations/Patrol shift schedule shall receive a five percent (5%) holiday in lieu add pay. If Police Lieutenants work on a holiday, actual hours worked will be paid at time and one half (1½) for the work shift.
These members who are permitted to take a holiday off that falls on a regularly schedule work day shall use appropriate leave hours equivalent to the number of hours of their scheduled shift.
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SECTION 13. COMPENSATION AND ALLOWANCES OTHER THAN BASE SALARY
13.1 Retirement Contribution Supplement
(a) Public Employees’ Retirement System (PERS). For Classic Members, the City shall contribute an amount equal to nine percent (9%) of the employee's current base salary and other compensation as qualified by State law toward PERS benefits. Such amounts will be applied to the employee's individual account in accordance with Government Code section 20691. (b) PERS Contribution. Classic Members shall continue to pay nine percent (9%) toward the employer contribution of PERS. This section shall not be construed to permit employees to receive a “double” EPMC benefit, as employees already receive the EPMC benefit pursuant to section 13.1(d).
Effective July 1, 2016, all employees (regardless of status under the PEPRA) shall pay an additional three percent (3%) toward the employer contribution of PERS. For example, Classic Members will pay a total of twelve percent (12%) (nine percent (9%) plus three percent (3%)). The parties recognize that this contribution satisfies the provision of California Government Code 20516.5(b).
(c) As soon as practicable, the City will modify its contract with CalPERS to provide for a twelve percent (12%) additional Member Contribution over and above Normal Contribution for classic members and a three percent (3%) additional Member Contribution over and above Normal Contribution for PEPRA members. Upon completion of the contract amendment process (including employee vote), the additional payment in Section 13.1(b) shall cease.
(d) Employer Paid Member Contribution Converted to Pay Rate During the Final Compensation Period. The City will make application to PERS to provide California Government Code section 20692 (Employer Paid Member Contributions Converted to Pay Rate during the Final Compensation Period) as an additional PERS benefit, to be effective upon adoption by the Stockton City Council and the PERS Administration Board.
At the beginning of employee’s last year of employment, the employee will pay their employees’ nine percent (9%) benefit cost through an automatic payroll deduction. The City will increase the base salary for those employees by the same nine percent (9%) for the last twelve (12) months EXHIBIT 1
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of employment. The Internal Revenue Service (IRS) Code 414H(2), whereby employee contributions shall be tax deferred (not subject to taxation until time of constructive receipt) will be concurrently implemented with PERS California Government Code section 20692.
(e) Military Service Credit. The City will provide military service credit pursuant to the provisions of California Government Code section 21024, formerly Section 20930.3 at the employee's expense.
(f) Credit for Unused Sick Leave. The City will provide PERS California Government Code section 20965 (Credit for Unused Sick Leave) as added PERS benefits.
(g) Fourth Level of 1959 Survivor Benefits. The City provides PERS California Government Code section 21574 (Fourth Level of 1959 Survivor Benefits) as an additional retirement benefit, to be effective upon adoption by the Stockton City Council and the added PERS Administrative Board. (h) Service Retirement Plan Formula for Employees Hired on or before July 1, 2012. The City’s service retirement contract with PERS for safety members of this unit hired on or before July 1, 2012 is 3% at Age 50. (i) Service Retirement Plan Formula for Unit Employees Hired on or after August 16, 2013. The City contracted with PERS to provide a new second tier retirement program for persons hired on or after August 16, 2013 and employees hired after that date will receive only those optional benefits as provided for in that tier. Such employees shall pay nine percent (9%) of the employees’ current base salary towards the employee’s contribution towards PERS and any other compensation as qualified by state law towards PERS retirement benefits through a payroll deduction. (j) PERS Benefits for Employees hired on or after January 1, 2013. (1) Employees with Reciprocity. Employees hired on or after January 1, 2013, who had service under another CalPERS agency or public retirement system with reciprocity prior to January 1, 2013, and a break in service of less than six (6) months and are considered classic employees by PERS AB340, shall be subject to the PERS pension formula of 3% at 50 with only the optional pension enhancements and the other provisions of the retirement tier they were hired under. Employees shall pay the employee’s statutory employee’s contribution for these benefits of nine percent (9%).
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(2) Employees without Reciprocity. Employees hired on or after January 1, 2013, shall be subject to the AB340 PERS pension formula of
2.7% at 57 with only the optional pension enhancements and the other provisions of the retirement tier they were hired under.
Employees shall pay fifty percent (50%) of the City’s normal cost rate for the 2.7% at 57 as determined by CalPERS.
13.2 Uniform Allowance
Effective July 1, 2016, employees in this unit shall receive as annual compensation, a uniform allowance in the amount of twelve hundred dollars ($1,200.00).
One-half (1/2) of the annual value of uniform allowance shall be paid to eligible employees during the months of April and October.
13.3 Mileage Reimbursement for Private Vehicle Use
For authorized use of a private vehicle an employee in this unit will be reimbursed for actual mileage at the current rate established for other employees.
13.4 Police Vehicles
Members of SPMA shall be assigned a police vehicle due to the need for emergency response and command status at all times. This vehicle shall be taken home at night, with the manager maintaining radio contact and monitoring radio traffic until parked. The take-home radius shall be the same distance as the alternative work site radius (sixty (60) miles for out-of-town training) measured from the central point of the City.
13.5 Communication Devices
Members of SPMA shall be provided a communication device that will work as a cell phone, connect to the internet, and have the ability for two-way and group electronic communication with other police management, the communication center, and other emergency management personnel throughout the City in an appropriately encrypted manner.
13.6 Certificate Incentive Pay
(a) The City shall pay six percent (6%) of the top step in rank for employees EXHIBIT 1
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who attain a P.O.S.T. Supervisory Certificate.
(b) The City shall pay an additional five percent (5%) for a total of eleven percent (11%) of top salary step in rank for employees who attain a P.O.S.T.
Management Certificate or higher, upon completion of two (2) continuous years of service in rank and upon completion of a management course.
13.7 Longevity Increment Pay
(a) Effective July 1, 2012, the longevity increment shall be effective the first pay period following the anniversary date of hire of the employee as follows:
(1) The City shall pay three-quarters of one percent (.75%) of top salary step in rank for longevity pay, upon completion of twelve (12) years of continuous service as a public safety member of the Stockton Police Department.
(2) The City shall pay an additional one and three-quarters percent (1.75%) for a total of two and one-half percent (2.5%), upon completion of eighteen (18) years of continuous service as a public safety member of the Stockton Police Department.
(3) The City shall pay an additional two percent (2%) for a total of four and one-half percent (4.5%), upon completion of twenty-four (24) years of continuous service as a public safety member of the Stockton Police Department.
(4) Members of the bargaining unit promoting from the SPOA bargaining unit will be placed at the level of longevity appropriate to their years of service.
(5) For the limited purpose of defining continuous service under this Section of the Memorandum of Understanding, continuous service shall include leaves without pay for less than one (1) year as long as the public safety officer did not withdraw their contribution from PERS.
13.8 CalPERS Reportability
The City makes no representation as to whether any of the compensation or payments in this Memorandum of Understanding are subject to CalPERS service credit or pensionable income. Any determination by CalPERS to not fully credit the EXHIBIT 1
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compensation and/or service time provided under this Memorandum of Understanding is outside of the City’s control.
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SECTION 14. INSURANCE PLANS
14.0 Reopener Clause for Health Insurance
The Association agrees at the City’s request to meet and confer on any changes that are within the mandatory scope of bargaining in any City proposals related to its City sponsored medical plans that may be related to the implementation of the Affordable Care Act (ACA).
14.1 Health Insurance and Related Benefits
(a) Health and Welfare Benefits. Employees in this bargaining unit shall have a choice of enrolling themselves and their eligible dependents in any City sponsored health the plan that the City shall offer to regular status employees. Each plan shall offer an employee only, employee plus one (1) and employee plus two (2) or more dependents coverage. The City shall offer two (2) or more medical plans to regular status employees. (b) Eligibility. Employees shall become eligible for medical, dental, and vision insurance on the first day of the month following date of hire. An eligible employee and eligible dependent may be enrolled in a City offered medical plan either as a subscriber in a City offered medical plan or, as the dependent spouse/registered domestic partner or another eligible City employee, but not both. If an employee is also eligible to cover their dependent child, the child will be allowed to enroll as a dependent on only one (1) employee plan (i.e., an employee and their dependent cannot be covered by more than one (1) City-offered health plan). (c) City Contribution Toward the Cost of Insurance Programs. (1) Effective July 1, 2022, the City shall contribute the following:
a. The City shall contribute up to $697.00 per month toward the cost of the monthly premium for employee-only
medical/dental/vision plan coverage.
b. The City shall contribute up to $1,265.00 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. The City shall contribute up to $1,685.00 per month toward EXHIBIT 1
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the cost of the monthly premium for employee plus two (2) or more dependents medical/dental/vision plan coverage.
(2) Effective July 1, 2023, City shall contribute the following:
a. The City shall contribute up to $711.00 per month toward the cost of the monthly premium for employee-only
medical/dental/vision plan coverage.
b. The City shall contribute up to $1,290.00 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. The City shall contribute up to $1,719.00 per month toward the cost of the monthly premium for employee plus two (2) or more dependents medical/dental/vision plan coverage.
(3) Effective July 1, 2024, City shall contribute the following:
a. The City shall contribute up to $725.00 per month toward the cost of the monthly premium for employee-only
medical/dental/vision plan coverage.
b. The City shall contribute up to $1,316.00 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. The City shall contribute up to $1,753.00 per month toward the cost of the monthly premium for employee plus two (2) or more dependents medical/dental/vision plan coverage.
(4) These contributions are based on full-time employment; regular parttime employees shall receive a prorated contribution based on their percentage of full-time employment. Insurance plan premiums that exceed the City's monthly contribution shall be paid by the employee through payroll deductions. The City shall maintain its IRS 125 Plan to allow for employee contributions for medical, vision, and dental to be pre-tax premium conversion.
(d) Plan Rules. Employees may insure themselves and their eligible dependents under the medical, vision, and dental plans provided by the City, in accordance with the rules and regulations applicable to the selected EXHIBIT 1
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Plan.
Benefits in the Plan shall be in accordance with the Plan document. (e) The City will keep SPMA informed as to changes to actuarial methods employed by its actuary which materially affect the rates, and permit the opportunity for SPMA to discuss such changes. SPMA will meet and confer with the City mid-term regarding further plan changes.
(f) If legally permissible, the City agrees to make Medicare contributions for employees hired in 1985 to 1986 who are not currently covered by Medicare, provided that such payments shall be on a going forward basis only, and such unit members shall be required to pay the employee matching contribution to Medicare. To the extent legally permissible, Unit members may contribute to Medicare to purchase credit retroactively provided such unit members do so at their own expense, including both the employee and employer share. The City entered into a Section 218 Medicare-Only Agreement with the Social Security Administration for this purpose, with an effective date of August 1, 2014.
14.2 Life Insurance
Each employee in this unit will receive group life insurance coverage paid for by the City of Stockton equal to a value of fifty thousand dollars ($50,000). In addition, employees shall have the opportunity to purchase additional voluntary life insurance through their union or through the City’s IRS 125 plan vendor.
14.3 Long Term Disability Insurance
The City will contribute the existing premium amount (currently $24.50 per month) for each employee in this unit to purchase long term disability benefits through their association.
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SECTION 15. SALARY PLAN
15.1 Salary
(a) Cost of Living Adjustment (COLA)
(1) Effective July 1, 2022, employees will receive a ten percent (10%) increase to base pay (comprised of a 2% COLA and a 8% Market Adjustment).
(2) Effective July 1, 2023, employees will receive a three percent (3%) increase to base pay (comprised of a 2% COLA and a 1% Market Adjustment).
(3) Effective July 1, 2024, employees will receive a three percent (3%) increase to base pay (comprised of a 2% COLA and a 1% Market Adjustment).
(b) Lump Sum Payment
Each employee who we employed in the bargaining unit as of January 1, 2024 will receive a $5,000 lump sum non-pensionable bonus (subject to applicable withholdings) to be paid by the second scheduled payday in the same month.
15.2 Salary Equivalents
Any monthly, daily, or hourly rate of pay may be converted into any equivalent rate of pay or to any other time bases only when in the judgment of the City Manager, such a conversion is advisable. In determining equivalent amounts on different time bases the City shall provide tables or regulations for the calculation of payment for service of less than full-time, and for use in converting monthly salaries to hourly rates, as well as for calculating hourly rates.
15.3 Salary Step After Military Leave
All employees who have been granted military leave, upon their return to the City service, are entitled to the automatic salary advancements within the range scale of the established wage schedule of their classifications for the period they were in the military service.
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15.4 Salary Step When Salary Range is Increased
Whenever the monthly schedule of compensation for a class is revised, each incumbent in a position to which the revised schedule applies shall be entitled to the step in the revised range which corresponds to the employee's step held in the previous range, unless otherwise specifically provided by the City Manager.
15.5 Salary Step After Promotion or Demotion
When an employee is promoted from a position in one rank to a position in a higher rank and at the time of promotion is receiving a salary equal to, or greater than, the minimum rate for the higher rank, that employee shall be entitled to a step in the salary range of the higher rank which is at least five percent (5%) above the employee’s current base salary, except that the next step shall not exceed the maximum salary of the higher rank. Add pays are not included in the calculation of base salary for purposes of this section. When an employee is promoted into another bargaining unit, the new bargaining unit’s salary on promotion rules shall apply.
When an employee is demoted, whether such demotion is voluntary or otherwise, that employee's compensation shall be adjusted to the salary prescribed for the rank to which demoted.
15.6 Salary on Reinstatement
If a former employee is reinstated in the same position previously held or to one carrying a similar salary range, their salary shall not be higher than their salary at the time of their separation unless there has been an increase within the salary range.
15.7 Acting Pay
Any employee who is assigned, in writing, to work in a higher paid classification and who performs a majority of the duties of that higher position, shall receive the rate of pay in a step of the higher classification which would have been received if the employee had been promoted into that classification.
15.8 Special Assignment Pay
The City Manager may approve additional compensation in an amount up to but not to exceed ninety percent (90%) of the department head’s salary when an employee is assigned, in writing, by the department head and with the approval of EXHIBIT 1
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the City Manager, to perform additional duties and responsibilities for the duration of the special assignment.
15.9 Management Incentive Pay – Special Assignment Differential Effective July 1, 2014, due to the unique nature of their job, non-patrol Lieutenants who are not assigned to the traditional 10-plan Field Operations/Patrol shift schedule, and are assigned to schedules that regularly observe holidays off shall receive a Management Incentive Pay/“Special Assignment” differential equal to five percent (5%) of the employee’s current base pay.
While not all-inclusive, examples of these Lieutenant assignments where Management Incentive Pay would apply include non-patrol positions with the Professional Standards Section Commander, Chief of Staff to the Office of Chief of Police, Traffic Section Commander, Strategic Operations Section Commander, Crimes versus Person/Property Section Commander, Special Investigations Section Commander, Personnel Section Commander, Training Section Commander.
15.10 Bi-Weekly Pay Period
The City and the Association agree to move to bi-weekly pay as soon as it is administratively possible within the City. The parties understand that this may not be administratively possible until the City implements a new payroll system.
15.11 Salary Step Advancement
Unit members will be required to serve six (6) months at each applicable salary step before advancing to the next step.
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SECTION 16. SEPARABILITY OF PROVISIONS
In the event that any provisions of this Memorandum of Understanding are declared by the court of competent jurisdiction to be illegal or unenforceable, that provision of the Memorandum of Understanding shall be null and void but such nullification shall not affect any other provisions of this Memorandum of Understanding, all of which other provisions shall remain in full force and effect.
SECTION 17. PRACTICES AND EXISTING MEMORANDA OF UNDERSTANDING Continuance of working conditions and practices not specifically authorized by ordinance or by resolution of the City Council is not guaranteed by this Memorandum of Understanding.
SECTION 18. SCOPE OF AGREEMENT
Except as otherwise specifically provided herein, this Memorandum of Understanding fully and completely incorporates the understanding of the parties hereto and constitutes the sole and entire agreement between the parties on any and all matters subject to meeting and conferring. Neither party shall, during the term of this Memorandum of Understanding, demand any change therein nor shall either party be required to negotiate with respect to any matter; provided that nothing herein shall prohibit the parties from changing the terms of this Memorandum of Understanding by mutual agreement.
SECTION 19. DURATION OF AGREEMENT
Upon its adoption by the Stockton City Council, this Memorandum of Understanding shall be effective as of the date of execution unless otherwise indicated herein, and shall remain in full force and effect up to and including the 30th day of June 2025.
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SECTION 20. MAINTENANCE OF OPERATIONS
(a) It is recognized that the need for continued and uninterrupted operation of City services is of paramount importance. Therefore, the Association and each employee represented thereby agrees to not cause, authorize, engage in, encourage, or sanction a work stoppage, slowdown, refusal of overtime work, refusal to operate designated equipment (provided such equipment is safe and sound), or picketing other than informational picketing, against the City or the individual or concerted failure to report for duty or abstinence from the full and faithful performance of the duties of employment, including compliance with the request of another labor organization or bargaining unit to engage in such activity in an attempt to induce a change in wages, hours, and other terms and conditions of employment.
(b) An employee shall not be entitled to any wages or City paid benefits whatsoever if the City Council, by majority vote, determines to its satisfaction, that the employee is, or has, engaged in any activity prohibited by subsection (a) of this section. The City may take other action that it deems appropriate.
(c) If the City Council, by majority vote, determines to its satisfaction, that subsection (a) of this section has been violated by the Association, the City may take such remedial action as it deems appropriate.
(d) The Association recognizes the duty and obligation of its representatives and members to comply with the provisions toward inducing all employees in this unit to fully and faithfully perform their duties. In the event of any activity prohibited by subsection (a) hereinabove, the Association agrees to take supererogatory steps necessary to assure compliance with this Memorandum of Understanding.
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SECTION 21. BANKRUPTCY
Stockton Police Management Association (hereinafter “SPMA”), which is defined for the purposes of this section as including without limitation Stockton Police Management Association’s members, bargaining unit members, officials, attorneys, and affiliates, agrees that this Memorandum of Understanding shall supersede the terms of all prior Memorandums of Understanding, side letters, and any other agreements between the parties as to the subjects covered herein. SPMA further agrees that it has entered into this agreement voluntarily, and that it shall file no claims in the City’s bankruptcy case based upon the terms of any agreements that precede this Memorandum of Understanding, or based upon the negotiated terms of this agreement. Nothing herein shall limit claims based up violation of this agreement.
SPMA further agrees that it will not oppose the City’s eligibility for chapter 9 relief. SPMA agrees to support any plan of adjustment the provisions of which, as to SPMA, are consistent with this Memorandum of Understanding.
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APPENDIX A. COLA AND MARKET ADJUSTMENTS
Year 1- Effective 7/1/22;
Year 2- Effective 7/1/23;
Year 3- Effective 7/1/24
Steps
1 2 3 4 5 6
Police Captain 11,314.08 11,893.36 12,502.69 13,143.49 13,817.19 14,523.78 COLA and MA year 1 (10%) 1,131.41 1,189.34 1,250.27 1,314.35 1,381.72 1,452.38 Year 1 - Monthly Salary 12,445.49 13,082.70 13,752.96 14,457.84 15,198.91 15,976.15 COLA and MA year 2 (3%) 373.36 392.48 412.59 433.74 455.97 479.28 Year 2 - Monthly Salary 12,818.85 13,475.18 14,165.55 14,891.58 15,654.87 16,455.44 COLA and MA year 3 (3%) 384.57 404.26 424.97 446.75 469.65 493.66 Year 3 - Monthly Salary 13,203.42 13,879.43 14,590.52 15,338.33 16,124.52 16,949.10 Police Lieutenant 9,806.50 10,309.96 10,837.77 11,392.75 11,976.32 12,589.96 COLA and MA year 1 (10%) 980.65 1,031.00 1,083.78 1,139.27 1,197.63 1,259.00 Year 1 - Monthly Salary 10,787.15 11,340.95 11,921.55 12,532.02 13,173.96 13,848.95 COLA and MA year 2 (3%) 323.61 340.23 357.65 375.96 395.22 415.47 Year 2 - Monthly Salary 11,110.77 11,681.18 12,279.20 12,907.98 13,569.18 14,264.42 COLA and MA year 3 (3%) 333.32 350.44 368.38 387.24 407.08 427.93 Year 3 - Monthly Salary 11,444.09 12,031.61 12,647.57 13,295.22 13,976.25 14,692.35 EXHIBIT 1
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IN WITNESS WHEREOF this Memorandum of Understanding was ratified by a membership vote of the Association on _____________, and by an affirmative vote of the Stockton City Council on _____________.The parties hereto have executed this Memorandum of Understanding this ____ day of ____________, 2022.
Stockton Police Management Association City of Stockton ___________________________________ ___________________________________ Timothy Swails Harry Black
President City Manager
___________________________________ _______________________________ Kyle Pierce Allison U. Dichoso
Vice President Director of Human Resources
Approved as to form: Approved as to form:
Goyette & Associates, Inc. Lori M. Asuncion, Acting City Attorney By: By:
___________________________________ _______________________________ Rafael Ruano Marci A. Arredondo
Labor Representative for Association Deputy City Attorney By:
_______________________________
Burke Dunphy
Negotiator for the City
ATTEST:
_______________________________
Eliza Garza
City Clerk
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON
FIRE UNIT
MEMORANDUM OF UNDERSTANDING
The Stockton Firefighters' Local 456, International Association of Firefighters and representatives of the City of Stockton have met and conferred in good faith regarding wages, hours, and other terms and conditions of employment for employees in the representation unit identified in Section 1 of this Memorandum of Understanding, have exchanged freely information, opinions, and proposals, and have endeavored to reach agreement on all matters relating to the employment conditions and employer employee relations of such employees.
This Memorandum of Understanding is entered into pursuant to the Meyers Milias Brown Act (Government Code sections 3500 3511) (“MMBA”) and has been jointly prepared by the parties.
This Memorandum of Understanding shall be presented to the Stockton City Council as the joint recommendations of the undersigned regarding wages, hours, and other terms and conditions of employment for the period commencing July 1, 2022 and ending on June 30, 2025. This agreement shall supersede all other existing agreements on the matters set forth herein.
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TABLE OF CONTENTS
SECTION 1. RECOGNITION .........................................................................................1
1.1 City Recognition.........................................................................................1
1.2 Union Recognition......................................................................................1 SECTION 2. UNION RIGHTS ........................................................................................2
2.1 Union Membership Dues and Payroll Deductions......................................2
2.2 Use of City Facilities ..................................................................................3
2.3 Advance Notice..........................................................................................3
2.4 Attendance At Meetings By Employees/Release Time ..............................4
2.5 New Hire Employee Orientation and Information Requirements................4 SECTION 3. COMPLIANCE WITH LAWS......................................................................5
3.1 Non-Discrimination/Equal Employment......................................................5
3.2 Concerted Labor Activity............................................................................5 SECTION 4. PROBATION .............................................................................................6
4.1 Purpose......................................................................................................6
4.2 Original Entrance Positions........................................................................6
4.3 Retention/Rejection of Probationer ............................................................6
4.4 Promotional Positions ................................................................................6 SECTION 5. LAYOFF.....................................................................................................7
5.1 Layoff Scope..............................................................................................7
5.2 Notice of Layoff..........................................................................................7
5.3 Precedence By Employment Status...........................................................7
5.4 Employee Options......................................................................................8 SECTION 6. REEMPLOYMENT ....................................................................................9 SECTION 7. DISCIPLINE…………………………………………………………………….10
SECTION 8. GRIEVANCE PROCEDURES .................................................................11
8.1 Definition..................................................................................................11
8.2 Filing Deadline .........................................................................................11 EXHIBIT 2
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8.3 Grievance Processing..............................................................................11
8.4 Scope of Arbitration .................................................................................12
8.5 Other Provisions ......................................................................................12 SECTION 9. LEAVES...................................................................................................14
9.1 Vacation Leave ........................................................................................14
9.2 Sick Leave ...............................................................................................16
9.3 Other Leaves With Pay ............................................................................18
9.4 Workers' Compensation Leave ................................................................20
9.5 Leaves of Absence ..................................................................................21
9.6 Leaves of Absence Without Pay ..............................................................22
9.7 Absence Without Official Leave (AWOL) .................................................23 SECTION 10. DAYS AND HOURS OF WORK .............................................................24
10.1 Workweek ................................................................................................24
10.2 Shift Trades..............................................................................................24
10.3 Staffing.....................................................................................................24 SECTION 11. OVERTIME............................................................................................25
11.1 Fair Labor Standards Act (FLSA) Agreement ..........................................25
11.2 Compensatory Time.................................................................................27 SECTION 12. HOLIDAYS ............................................................................................28 SECTION 13. COMPENSATION AND ALLOWANCES OTHER THAN BASE SALARY........................................................................................................................30
13.1 PERS Benefits for Employees Hired On Or Before 12/28/2012...............30
13.2 PERS Benefits for Employees Hired On Or After 12/29/2012 and Before 01/01/2013 ..............................................................................................31
13.3 PERS Benefits for Employees Hired On Or After 01/01/2013 .................31
13.4 Education Incentive Pay ..........................................................................32
13.5 HAZ/MAT Assignment .............................................................................32
13.6 EMT Certification .....................................................................................32
13.7 Paramedic Certification............................................................................33 EXHIBIT 2
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13.8 Uniform Allowance ...................................................................................33
13.9 Contagious Disease.................................................................................34
13.10 Acting Pay ..............................................................................................34
13.11 Call-Back Pay.........................................................................................34
13.12 Deputy Fire Marshal Series....................................................................34
13.13 Fire/Engineer Operator...........................................................................35
13.14 Administrative Positions .........................................................................35
13.15 Longevity Pay.........................................................................................35
13.16 Wellness-Fitness Program .....................................................................35
13.17 CalPERS Reportability ...........................................................................36
13.18 Lapse of Certification..............................................................................36 SECTION 14. INSURANCE PLANS..............................................................................37
14.0 Reopener Clause For Health Insurance ...................................................37
14.1 Health Insurance And Related Benefits....................................................37
14.2 Life Insurance ..........................................................................................38
14.3 Long Term Disability Insurance............................................................... 39
14.4 Retiree Medical Trust.............................................................................. 39 SECTION 15. SALARY PLAN......................................................................................41
15.1 Salary Ranges .........................................................................................41
15.2 Salary Upon Appointment ........................................................................41
15.3 Salary Equivalents ...................................................................................41
15.4 Salary Step Plan-Sworn Ranks................................................................41
15.5 Salary Step After Military Leave...............................................................43
15.6 Salary Step When Salary Range is Increased .........................................43
15.7 Salary Step After Promotion or Demotion ................................................43
15.8 Salary on Reinstatement..........................................................................43
15.9 Salary Adjustments ..................................................................................44
15.10 Bi-Weekly Pay Period ........................................................................... 44
15.11 Lump Sum Payment ............................................................................. 44 EXHIBIT 2
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SECTION 16. SEPARABILITY OF PROVISIONS.........................................................45 SECTION 17. PRACTICES AND EXISTING MEMORANDA OF UNDERSTANDING ..45 SECTION 18. SCOPE OF AGREEMENT .....................................................................45 SECTION 19. DURATION OF AGREEMENT ...............................................................45 SECTION 20. MAINTENANCE OF OPERATIONS.......................................................46 APPENDIX A. City Of Stockton's New Medical Response Squad.................................47 APPENDIX B. COLA AND MARKET ADJUSTMENTS .................................................48 EXHIBIT 2
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SECTION 1. RECOGNITION
1.1 City Recognition
The City Manager, or any person or organization duly authorized by the City Manager, is the representative of the City of Stockton, hereafter referred to as the "City," in employer employee relations as provided in Resolution No. 32,538, adopted by the City Council on August 4, 1975.
1.2 Union Recognition
The Stockton Firefighters' Local 456 (formerly Local 1229), International Association of Firefighters, hereafter referred to as the "Union," is the recognized employee organization for the Firefighters' Unit (“Fire Unit”), certified pursuant to Resolution No. 32,548, adopted by the City Council on August 11, 1975.
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SECTION 2. UNION RIGHTS
2.1 Union Membership Dues and Payroll Deductions
(a) In accordance with the Senate Bill (SB) 866, the parties agree to the following process for making, cancelling, or changing payroll deductions for Union Membership dues deductions.
(b) As certified in writing by the Union to the City in a manner consistent with the requirement of (SB) 866 the City will deduct the monthly Union membership dues, initiation fees, general assessments and payments for membership benefits programs sponsored by the Union from the salary or wages of all bargaining unit employees, and pay such amounts to the union. (1) All employee requests to cancel or change membership dues deductions shall be directed to the Union.
(2) The City shall rely upon written notification from the Union for any and all employee requests to cancel or change payroll deductions for membership dues.
(3) The Union is responsible to obtain and maintain voluntary written authorization for membership dues deductions.
(4) Membership dues deductions shall automatically renew unless written notice is provided by the authorized representative of the Union certifying a change in membership dues.
(5) The City shall honor any changes to membership dues deduction amounts provided by the Union.
(6) The Union is not required to provide a copy of individual employee authorizations to the City unless a dispute arises about the existence or terms of the authorization.
(7) Deduction notifications will be provided to [email protected]. (8) Changes and/or cancellations received by the City prior to the 15th of the month will be processed no later than the first pay period of the second month. Example: Union notifies the City on January 15th, the deductions will be effective no later than the first full pay period in March. The parties recognize there is a lapse in time due to pay period EXHIBIT 2
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processing constraints. The City will make every effort to process earlier if possible.
(c) Hold Harmless Provision. The Union shall indemnify, defend, and hold the City harmless against any claims made and/or any suit against the City which may arise as a result of its deductions for membership dues or other programs sponsored by the Union.
2.2 Use of City Facilities
The Union shall be allowed by the City department in which it represents employees use of space on available bulletin boards for communications having to do with official Union business, such as times and places of meetings, provided such use does not interfere with the needs of the department.
Any representative of the Union shall give notice to the Fire Chief or the Fire Chief’s designated representative when contacting Department employees on City facilities during the duty period of the employees, provided that solicitation for membership or other internal Union business shall be conducted during the non-duty hours of all employees concerned. Prearrangement for routine contact may be made with the Fire Chief or the Fire Chief’s designated representative and when made shall continue until revoked by the Fire Chief.
City buildings and other facilities may be made available for use by City employees and the Union or their representatives in accordance with such administrative procedures as may be established by the City Manager or department heads concerned.
Members of the Union are prohibited from using City equipment and/or time for their personal use.
2.3 Advance Notice
Except in cases of emergency, the Union shall be given reasonable advance written notice of the proposed change to any ordinance, resolution, rule, or regulation to be adopted by the City that relates to matters within the scope of representation and shall be given the opportunity to negotiate, if requested, with the management representatives designated by the City Manager.
In cases of emergency which constitute an imminent threat to the City’s financial and/or other resources, the City may immediately implement any emergency measures the City deems necessary to prevent the public business and/or the City’s operations from being financially or otherwise impaired and deal with the emergency at hand. At the earliest practicable date thereafter, the Union shall be provided with the notice described above and be given an opportunity, if requested, to negotiate EXHIBIT 2
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changes to the content of said notice with the management representatives designated by the City Manager.
2.4 Attendance at Meetings By Employees/Release Time
Release Time Related to Meet and Confer. City employees who are official representatives of the Union shall be given reasonable time off with pay, in accordance with the MMBA, to attend meetings with City management representatives where matters within the scope of representation or grievances related to this unit are being considered. The use of official release time for this purpose shall be reasonable and shall not interfere, as determined by the City, with the performance of City services. Such employee representatives shall request an excused absence, prior to the scheduled meeting, whenever possible. Except by mutual agreement, the number of employees excused for release time related to meeting with City management on meet and confer and grievance matters shall not exceed three (3) per recognized bargaining unit.
2.5 New Hire Employee Orientation and Information Requirements (a) In accordance with Assembly Bill (AB) 119, the City shall provide the Union i) not less than ten (10) days’ notice in advance of new hire employee orientation, and ii) within thirty (30) days of hire or by the first pay period of the month following hire a list containing the following information on file from the City’s Human Resources database system:
(1) Name;
(2) Job title;
(3) Department;
(4) Work location;
(5) Personal cellular telephone numbers, including work and home; (6) Personal email addresses as provided by new hire employee; and (7) Home address.
The above information shall be updated and provided to the Union at least every one-hundred and twenty (120) days for all bargaining unit members.
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SECTION 3. COMPLIANCE WITH LAWS
3.1 Non-Discrimination/Equal Employment
The City and the Union agree that there shall be no discrimination of any kind on the basis of age (over 40), race, color, religion (creed), national origin (ancestry), military or veteran status, physical and mental disability, medical condition, genetic information, marital status, sexual orientation, sex (gender based including, pregnancy, childbirth, breastfeeding or related medical conditions), gender identity/expression, political affiliation, legitimate Union activity, or on any other basis prohibited by applicable Federal and State law against any employee or applicant for employment. In addition, the Union shall cooperate with the City, to the extent authorized by Federal and State laws and regulations, in furthering the City’s objective of promoting equal employment opportunities.
3.2 Concerted Labor Activity
(a) Employees covered by this Memorandum of Understanding will have the right to join and to participate in the activities of the Union for purposes of representation under the MMBA, and will also have the right to refrain from participation of any such activities.
(b) Employees covered by this Memorandum of Understanding have the right to be free from interference, intimidation, restraint, coercion, discrimination, or reprisal for protected concerted labor activity, under the MMBA. (c) Peaceful Performance of Memorandum of Understanding. Employees are free from participating in protected activities or refraining from protected activities.
Employees covered in this Memorandum of Understanding shall not engage in concerted activity in violation of the MMBA.
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SECTION 4. PROBATION
4.1 Purpose
The probationary period shall be utilized for closely observing the employee's work, for securing the most effective adjustment of the employee to their position, and for eliminating any probationary employee whose performance does not meet the required standards of work.
4.2 Original Entrance Positions
All original entrance sworn positions shall be subject to a probationary period of eighteen (18) months. The probationary period for entrance sworn positions shall not be extended.
4.3 Retention/Rejection of Probationer
The Director of Human Resources shall notify the appointing authority at least four (4) weeks prior to the termination of any probationary period. At the end of the probationary period, if the service of the probationary employee has been satisfactory to the appointing authority, the appointing authority shall file with the Director of Human Resources a statement in writing to such effect and stating that the retention of such employee is desired. During the probationary period an employee may be rejected at any time by the appointing authority.
4.4 Promotional Positions
All promotional Fire Department appointments shall be subject to a probationary period of twelve (12) months. The probationary period for Fire Department promotional positions shall not be extended.
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SECTION 5. LAYOFF
Any employee may be laid off by the appointing authority in the event of the abolition of their position by the City Council or if a shortage of work or funds requires a reduction in personnel. The appointing authority shall have the power to determine, after consideration of work requirements and the efficiency and conduct of individual employees and their length of service, the order in which employees shall be laid off.
5.1 Layoff Scope
(a) Layoffs shall be within departments of the City.
(b) The departments of the City are defined as follows:
(1) Administrative Services Department
(2) City Attorney
(3) City Auditor
(4) City Clerk
(5) City Manager
(6) Community Development Department
(7) Community Services
(8) Economic Development
(9) Fire Department
(10) Human Resources Department
(11) Information Technology Department
(12) Municipal Utilities Department
(13) Police Department
(14) Public Works Department
5.2 Notice of Layoff
The City will give advance written notice of at least one (1) pay period to employees who will be laid off.
5.3 Precedence by Employment Status
No regular status employee shall be laid off while employees working in an extra help, seasonal, temporary, provisional, or probationary status are retained in the same classification as such regular status employee. The order of layoff among employees not having regular status shall be according to the following categories, as listed in ascending order:
(a) Extra Help
(b) Provisional
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(c) Temporary
(d) Probationary
Layoffs shall be by job classification according to the length of time served in that class with the employee having the least amount of time served in the class to be laid off first. For the purpose of this procedure, part time classes shall be considered as separate from and shall be laid off prior to regular full time classes. The following provisions shall apply in computing total continuous service:
(a) Time spent on military leave shall count as service if the leave was taken subsequent to entry in the Department.
(b) Time worked in an extra help, seasonal, provisional, temporary, grant, or other limited term status shall not count as service for any other class. (c) Time worked in a regular status or probationary status shall count as service time.
If two (2) or more employees have the same seniority, the order of seniority shall be determined by the employees’ examination results and ranking on the respective eligibility list upon which the employees were subsequently hired.
5.4 Employee Options
Employees laid off shall have the following choices:
(a) Displacing the employee in the same department and in the same or clearly comparable classification as determined by the Director of Human Resources as having the least (total service) seniority. This option shall be exercised before any other option.
(b) Taking a voluntary demotion within the department to a classification in which the employee had prior regular status, thus displacing the employee working in that classification who has the least (total service) seniority.
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SECTION 6. REEMPLOYMENT
When an employee in the classified service whose performance evaluation conducted by the employing department reflects that the employee is performing duties satisfactorily is laid off due to lack of funds or their position is abolished or they are on an authorized leave of absence and are ready to report for duty when a position is open, the Civil Service Commission shall cause the name of the employee in the appropriate class to be placed on the reemployment list.
As provided below, the Civil Service Commission shall cause the name of each employee laid off in accordance with these rules to be placed on the reemployment list for the appropriate class for reemployment thereafter when vacancies occur. (a) Laid off employees who separate from City of Stockton employment will be placed on the reemployment list for two (2) years.
(b) An employee who receives a notice of layoff and exercises the option to demote to a previously held lower classification shall be placed on the reemployment list for the position from which the employee demoted, as provided for above, and remain on the list as long as the employee remains an employee of the City or only for a period of two (2) years from the date of separation due to the layoff, whichever is longer, or until the employee declines appointment to the position. The reemployment rights granted by this subsection (b) are applicable only to employees who demote to a previously held lower classification after receiving a notice of layoff.
The reemployment list for any class shall be established by a Civil Service resolution, as needed. The order in which names shall be placed on the reemployment list for any class shall be by seniority, which means “last laid off, first rehired.” An employee who waives reemployment three (3) times shall have their name removed from the reemployment list, unless mutually agreed to by the Department and employee.
If the above listed changes require Civil Service approval, the Association agrees to not object to the changes in duration of reemployment lists consistent with this section.
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SECTION 7. DISCIPLINE
Disciplinary action, including discharge, suspension, reduction in pay, demotion, or other employment penalty may be taken against any employee for cause.
The appointing authority may discharge, suspend, or demote any employee in the classified service provided the City Charter provisions, the Civil Service Commission Rules and Regulations, and any applicable provisions of law are followed. Such provisions allow the employee discharged, suspended, demoted, or reduced in pay to file an appeal to the Civil Service Commission for such disciplinary action. The employee may take any one (1) of the following actions:
(a) File no appeal.
(b) File an appeal with the Civil Service Commission within ten (10) business days of receipt of written notification of the disciplinary action. Such filing will foreclose the use of the grievance procedure.
(c) File a grievance as provided for in Section 8.2, below, within ten (10) business days of receipt of written notification of the disciplinary action.
If the employee fails to do (b) or (c) above, within the prescribed time frames, those rights will have been waived.
Lesser forms of disciplinary actions such as written reprimands and transfers for purposes of punishment that do not involve loss of pay may be appealed in accordance with the Fire Department’s “Fire Fighters Procedural Bill of Rights (FBOR) Informal Discipline Appeal Procedure.”
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SECTION 8. GRIEVANCE PROCEDURES
8.1 Definition
A grievance is any dispute which involves the interpretation or application of those rules, regulations, and resolutions which have been, or may hereafter be, adopted by the City Council to govern personnel practices and working conditions, including such rules, regulations, and resolutions as may be adopted by either the City Council or the Civil Service Commission to affect Memoranda of Understanding which result from the meeting and conferring process.
8.2 Filing Deadline
No grievance involving demotion, suspension, discharge, or other employment penalty will be entertained unless it is filed in writing with the Director of Human Resources within ten (10) business days of the time the affected employee received written notification of such action.
For purposes of filing appeals and grievances, business days include City of Stockton Office Hours according to the City-Wide calendar published each year.
8.3 Grievance Processing
(a) Step 1 - Departmental Review. Any employee claiming to have a grievance may discuss the matter with such management official as the Fire Chief may designate. If the issue is not resolved by the Department within seven (7) working days from the day of presentation, or if the employee elects to submit the grievance directly to the Union’s recognized representative, the procedures set forth in Step 2, below, may be invoked.
(b) Step 2 - Director of Human Resources Review. Any employee or official of the Union may notify the Director of Human Resources in writing that a grievance exists, stating the particulars of the grievance and, if possible, the nature of the determination desired. The Director of Human Resources shall have twenty (20) working days in which to investigate the issues, meet with the complainant, and attempt to reach a satisfactory resolution of the problem. No grievance may be processed under the following two (2) paragraphs which has not first been filed and investigated in accordance with this paragraph, except for the resolution of compensation complaints.
(c) Step 3 - City Manager Review. Any grievance that has not been resolved by the procedures set forth above may be referred to the City Manager by the complainant or by the Director of Human Resources. Such referral shall be in writing, detailing the specific issues involved in the referral together with a EXHIBIT 2
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statement of the resolution desired. The City Manager shall designate a personal representative, who shall not be the Director of Human Resources, to investigate the merits of the complaint, to meet with the complainant, and, if the complainant is not the Union, to meet also with the officials of the Union to settle the grievance or to make recommendations to the City Manager. (d) Step 4 - Arbitration. If the grievance is not resolved at Step 3, either the Union or the City may require that the grievance be referred to an impartial arbitrator who shall be designated by mutual agreement between the Union and the City Manager. The fees and expenses of the arbitrator and a court reporter shall be shared equally by both parties. Each party, however, shall bear the cost of its own presentation, including preparation and post hearing briefs, if any. (e) Effect of Decision. Decisions of arbitrators on matters properly before them shall be final and binding on the parties, except as otherwise provided herein.
8.4 Scope of Arbitration
No arbitrator shall entertain, hear, decide, or make recommendations on any dispute unless such dispute involves a position in a unit represented by the Union and unless such dispute falls within the definition of a grievance as set forth in Section 8.1, above.
Proposals to add to or change this Memorandum of Understanding or written agreements or addenda supplementary hereto shall not be arbitrable and no proposal to modify, amend, or terminate this Memorandum of Understanding, nor any matter or subject arising out of or in connection with such proposal, may be referred to arbitration under this section. The arbitrator selected pursuant to this section shall not have the power to amend or modify this Memorandum of Understanding or written agreements or addenda supplementary hereto or to establish any new terms or conditions of employment.
No changes in this Memorandum of Understanding or interpretations thereof (except interpretations resulting from arbitration proceedings hereunder) will be recognized unless agreed to by the City Manager and the Union.
8.5 Other Provisions
If the Director of Human Resources or the City Manager, in pursuance of the procedures outlined above, resolve a grievance which involves suspension or discharge, they may agree to payment for lost time or to reinstatement with or without payment for lost time, but in the event the dispute is referred to arbitration and the arbitrator finds that the City had cause to take the action complained of, the arbitrator may not substitute their judgment for the judgment of management and if the arbitrator finds that the City had such right, they may not order reinstatement and may not assess any penalty upon the City.
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All complaints alleging that the City is not compensating employees in accordance with the provisions of this Memorandum of Understanding shall be filed as grievances directly with the City Manager. Any other matters of compensation are to be resolved in the meeting and conferring process, and if not detailed in the Memorandum of Understanding which results from such meeting and conferring process, shall be deemed withdrawn until the meeting and conferring process is next open for such decision. No adjustment shall be retroactive for more than one-hundred and eighty (180) days from the date upon which the complaint was filed.
The provisions of this section shall not abridge any rights to which an employee may be entitled under the City Charter or Civil Service Rules and Regulations, nor shall it be administered in a manner that would abrogate any power which, under the City Charter, or Civil Service Rules and Regulations may be within the sole province and discretion of the Civil Service Commission.
All grievances of employees in units represented by the Union shall be processed under this section. If the City Charter or Civil Service Rules and Regulations require that another option be available to the employee, no action under Section 8.3(d), above, shall be taken unless it is determined that the employee is not utilizing such option.
No action under Section 8.3(d), above, shall be taken if action on the complaint or grievance has been taken by the Civil Service Commission, or if the complaint or grievance is pending before the Civil Service Commission.
If any award by an arbitrator requires action by the City Council or the Civil Service Commission before it can be placed in effect, the City Manager and the Director of Human Resources will recommend to the City Council or the Civil Service Commission, as appropriate, that it follow such award.
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SECTION 9. LEAVES
9.1 Vacation Leave
(a) Accrued Vacation Allowance. All regular status employees, excluding provisional, temporary, and part-time employees, shall accrue vacation leave as follows:
(1) 40-hour workweek employee:
Under 1.5 years 80 hours
1.5 – 7.5 years 108 hours
7.5 – 15 years 144 hours
15 – 25 years 189 hours
25 plus years additional 7 hours each year
(2) 56-hour workweek employee:
Under 1.5 years 120 hours
1.5 – 7.5 years 162 hours
7.5 – 15 years 216 hours
15 – 25 years 283.5 hours
25 plus years additional 10.5 hours each year
(b) Maximum Vacation Accrual. Effective June 30, 2012, the following maximum vacation accruals shall take effect. Employees reaching the maximum hours provided here shall stop accruing additional vacation hours until they are below the caps listed here. No vacation hours may be added to sick leave balances without exception. Employees shall accrue vacation on a twice-monthly basis. (1) The maximum number of vacation hours that employees on a 40-hour workweek shall accrue are as follows:
Under 1.5 years 120 hours
1.5 – 7.5 years 240 hours
7.5 – 15 years 280 hours
15 – 25 years 320 hours
26 years 328 hours
27 years 336 hours
28 years 344 hours
29 years 352 hours
29 plus years 7 hours each additional year
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(2) The maximum number of vacation hours that employees on a 56-hour workweek shall accrue are as follows:
Under 1.5 years 300 hours
1.5 – 7.5 years 360 hours
7.5 – 15 years 420 hours
15 – 25 years 480 hours
26 years 492 hours
27 years 504 hours
28 years 516 hours
29 years 528 hours
29 plus years 7 hours each additional year
(c) Longevity Vacation Allowance
(1) This program is eliminated as of July 1, 2011. Employees with accrued longevity vacation allowance balances as of June 30, 2011 will have those balances frozen and cashed out upon separation at the employee’s rate of pay on June 30, 2011.
(2) Annual longevity vacation allowance accrual credited on January 1, 2011 shall be reduced by fifty percent (50%).
(d) Scheduling
(1) 48/96 Shift Schedule. The 48/96 Shift Schedule for line fire suppression employees shall continue indefinitely with the contingency that the Fire Chief shall retain the ability to discontinue, change, or otherwise alter the work schedule consistent with their management responsibility to control and direct all Stockton Fire Department’s members and divisions. The following provisions shall apply, as long as the 48/96 Shift Schedule remains in effect:
a. A minimum of four (4) shifts of Accrued Vacation must be scheduled per year. The four (4) shift minimum is not required to be scheduled contiguously.
b. Any Accrued Vacation that is not scheduled contiguous with the required four (4) shifts will be scheduled by mutual agreement of the employee and the Fire Chief.
(e) Vacation Allowance for Separated Employees. Employees separating from City service for any reason who have unused vacation time shall be paid for such vacation time up to the effective date of the last day of employment with the City. Payment for unused vacation shall be made at the final rate of pay.
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no later than the second regularly scheduled pay period pay date following separation. Prior to separation from City service, the City does not provide to employees any vacation cash out or sell back for accrued but unused vacation hours.
9.2 Sick Leave
(a) Accrual. All regular status employees on a forty (40) hour workweek schedule, except provisional, temporary, and part-time employees, shall accrue sick leave at the rate of eight (8) hours for each full month of service. All regular status employees on a fifty-six (56) hour workweek schedule, except provisional, temporary, and part-time employees shall accrue sick leave at a rate of twelve (12) hours for each month of service. All regular status employees, except provisional, temporary, and part-time employees, working less than a full month shall accrue sick leave on a prorated basis. Unused sick leave shall accumulate from year to year. Employees shall continue to accrue sick leave while off duty on authorized sick leave, provided, however, an employee shall not accrue sick leave during any leave or leaves of absence without pay granted to the employee.
(b) Usage. Employees are entitled to sick leave pay for those days that the employee would normally have worked, to a maximum of sick leave hours accrued by the employee.
An employee may use sick leave for preventive medical, dental, optical care, and for illness, injury, or exposure to contagious disease, which incapacitates them from performing their duties. This includes disabilities caused or contributed to by pregnancy, miscarriage, abortion, childbirth, and recovery therefrom.
(c) Family Sick Leave. Employees may utilize fifty percent (50%) of their annual accrued sick leave to attend to cases of illness or injury in the employee's immediate family, except in instances where the employee is on approved FMLA or CFRA leave.
Such leave shall be restricted to the employee's parents, spouse, registered domestic partner, mother-in-law, father-in-law, child, stepchild, legal dependent, brother, sister, brother-in-law, sister-in-law, grandparent, and grandchild.
(d) Procedures for Requesting and Approving Sick Leave. The employee shall notify the Chief's Operator, or if unavailable, the shift Telecommunications Supervisor at the Emergency Communications Division (ECD) at the earliest reasonable time, but not later than 0645 hours of the day scheduled for duty.
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their absence, the employee shall request in writing authorization for such sick leave from the Fire Chief prior to such absence.
Before an employee may be paid for the use of accrued sick leave, they shall complete and submit to the Fire Chief a signed statement, on a prescribed form, setting forth the dates and hours of absence, the exact reason, and such other information as is necessary for the request to be evaluated. If an employee does not return to work prior to the preparation of the payroll, other arrangements may be made with the approval of the Fire Chief. (e) Doctor's Certificate or Other Proof. If an employee's illness results in an absence from work for more than two (2) consecutive shifts, a doctor's certificate or other reasonable proof of illness may be required by the Fire Chief.
The Fire Chief or designee may make such sick leave usage reviews and may require such physician's documentation as they deem necessary to ensure proper use of the sick leave benefit. In addition, the Fire Chief may monitor and control the appropriate use of sick leave by employees and if reasonable cause is articulated, can limit use of sick leave and require additional verification.
(f) Use of Sick Leave While on Vacation. An employee who is injured or who becomes ill while on vacation may be paid for sick leave in lieu of vacation leave provided that the employee:
(1) Was hospitalized during the period for which sick leave is claimed, or (2) Received medical treatment or diagnosis and presents a statement indicating disabling illness or injury signed by a physician covering the period for which sick leave is claimed.
(g) Accessibility and Reporting. All officers and members of the Department on leave for sickness shall be available by telephone or at their home for consultation with the Fire Chief or the Fire Chief’s designee. Exceptions to this rule shall only be made with the permission of the attending physician and Fire Chief.
All officers and members of the Department on leave for sickness for extended periods of time will make weekly progress reports by telephone to the Fire Chief’s office.
(h) Return to Duty. Upon availability for return to duty, the employee shall notify the Chief's Operator, or, if unavailable, the shift Telecommunications Supervisor at the ECD at the earliest reasonable time, but not later than 1800 EXHIBIT 2
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hours on the day prior to their next scheduled duty period. Sick leave may be granted for any period of time approved by the Fire Chief. (i) Payment for Unused Sick Leave for Unit Employees. Effective February 17, 2012, except as set forth below all sick leave shall have no cash value upon separation of employment and employees shall not be allowed to cash out unused sick leave. Employees may be eligible to convert unused sick leave for CalPERS service credit at retirement based on the CalPERS contract provisions applicable to their employment.
(j) CalPERS Service Credit for Unused Sick Leave. Employees hired on or before December 28, 2012 shall be eligible to convert up to two thousand and eighty (2,080) hours of unused sick leave not otherwise compensated for in (k) below to CalPERS service credit at retirement. Employees hired after this date will not be eligible to convert sick leave to service credit, in accordance with the City’s CalPERS contract to eliminate service credit for unused sick leave after this date. Service credit for unused sick leave shall be in accordance with CalPERS regulations.
(k) Sick Leave Retention Benefit. After subtracting the equivalent of one (1) full year of service credit two thousand and eighty (2080 hours), which may be applied to CalPERS service credit, any balance remaining upon separation which the employee held on February 16, 2012, shall be paid at fifty percent (50%) of its cash value.
9.3 Other Leaves with Pay
(a) Bereavement Leave. In the event of a death in the immediate family of an employee, the employee shall, upon their request, be granted up to three (3) days bereavement leave with pay and without charge to their accumulated sick leave or vacation leave. The City Manager may grant an additional two (2) days bereavement leave upon request, which shall be charged against the employee's accumulated sick leave credits in cases where extensive travel is required to attend the funeral. For the purposes of this section, “immediate family” shall be restricted to the employee’s parents, spouse, registered domestic partner, mother-in-law, father-in-law, child, stepchild, brother, sister, brother-in-law, sister-in-law, grandparent, and grandchild.
In the event of the death of a person not immediately related to an employee, as defined above, the employee's department head may grant up to three (3) days leave upon request, which shall be charged against the employee's accumulated sick leave credits.
(b) Court Appearance. Upon approval by the Fire Chief, an employee, other than a provisional or temporary employee, shall be permitted authorized absence EXHIBIT 2
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from duty for appearance in court for jury service, in obedience to a subpoena, or by direction of proper authority in accordance with the following provisions:
(1) Such absences from duty will be compensated for actual hours the employee serves on the jury or testifies as a witness in a criminal case, other than as a defendant, including necessary travel time. This shall include the time from when the employee is ordered to appear until the time the employee is released from the court. As a condition of receiving such pay, the employee must remit to the City, within fifteen (15) days after receipt, all fees received, except those specifically allowed for mileage and expenses. The employee shall remit such fees to the City through the employee's department head.
(2) Attendance at court or at a deposition while in an on-duty status in connection with an employee's official duties or on behalf of the City in connection with a case in which the City is a party, together with travel time necessarily involved, shall be considered and paid as hours worked.
(3) Other absences from duty for attendance at court or at depositions shall be without pay.
(4) On-duty employees shall return to work immediately upon release from court.
(5) Attendance at court or at a deposition while in an off-duty status in connection with an employee's official duties or on behalf of the City in connection with a case in which the City is a party, together with travel time, where such travel is to a location outside of San Joaquin County, shall be considered in terms of actual hours spent performing those duties and paid as hours worked.
(6) For the purpose of computing any travel time to be reimbursed by the City in accordance with this section for attendance at court or at a deposition while in an off-duty status, such travel time shall be deemed to commence from the San Joaquin County Courthouse.
(c) Maternity Leave. Time off of work for pregnancy, childbirth, and related medical conditions will be covered as required by State and Federal law and applicable City policy. Employees may use sick leave, leave without pay, annual leave, or a combination of these benefits, depending on the nature of the case and the time medically required to recuperate. Generally, a six (6) week recovery period after delivery is medically indicated. (d) Military Leave. An employee of the City who is a member of the National EXHIBIT 2
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Guard or Naval Militia or a member of the Reserve Corps or Force of the Federal Military, Naval, or Marine Service and is ordered to duty shall be granted leave with pay while engaged therein, provided the leave does not exceed thirty (30) calendar days in any calendar year.
All regular status employees in the service of the City who have been inducted into the Army, Navy, Marine Corps, Air Force, or any other branch of the Military Service of the United States or the State of California shall be allowed leave of absence without pay for the duration of a national emergency. Except as hereafter stated, said employees shall be reinstated into City service, provided they are physically fit as shown by a medical examination by the City Physician or other physician appointed to make a medical examination.
In the case of a probationary status employee having served their minimum probationary period of eighteen (18) months at the time of induction, it shall be optional with the Fire Chief and the City Manager to grant regular status to said employee before induction.
All probationary status employees inducted into Military Service not having served the minimum probationary period of eighteen (18) months or having served the minimum probationary period of eighteen (18) months but not having received regular status shall be allowed leave of absence without pay for the duration of a national emergency. Following such leave, said employees shall be placed at the head of the eligible list for such position in the order of their seniority of employment and when appointed to a vacant position, they must be physically fit, as above specified, and shall serve the balance of their probationary period before attaining regular status.
Two (2) or more regular status employees granted military leave of absence without pay from the same position shall be reemployed according to their seniority of employment, provided they are physically fit, as above specified.
9.4 Workers' Compensation Leave
Whenever an employee is disabled, whether temporarily or permanently, by injury or illness arising out of and in the course of their duties, they shall become entitled, regardless of their period of service with the City, to leave of absence, while so disabled, without loss of salary, in lieu of temporary disability payment, if any, which would be payable for the period of such disability but not exceeding one (1) year or until such earlier date as they are retired on permanent disability pension.
If the injury is claimed to be job-related or a recurrence of a previous job-related sickness or injury, it must be verified with a written physician's statement. Otherwise, disability leave will not be allowed. Any absence not so approved will be charged to sick leave if verification is not received within three (3) days of the initial absence.
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The company officer should originate a "Supervisor's Report of Accident" form (Form 78).
(a) Notification to Department. The employee should notify the Chief’s Operator or, if unavailable, the shift Telecommunications Supervisor at the ECD at the earliest reasonable time, but not later than 0645 hours of the day scheduled for duty.
(b) Accessibility and Reporting. All officers and members of the Department on leave for injury (job-related or non-job-related) shall be available at their homes or by telephone for consultation with the Fire Chief or the Fire Chief’s designee(s). Exceptions to this rule shall only be made with the permission of the attending physician and the Fire Chief.
All officers and members of the Department on leave for injury (job-related or non-job-related) for extended periods of time will make weekly progress reports by telephone to the Fire Chief’s office.
(c) Return to Duty. Upon availability for return to duty, employees shall notify the Chief's Operator, or if unavailable, the shift Telecommunications Supervisor at the ECD at the earliest reasonable time, but not later than 1800 hours on the day prior to their next scheduled duty period.
(d) Forms and Procedures. Workers’ compensation processing shall be consistent with City procedures and in accordance with State workers’ compensation regulations. An employee who sustains a work-related injury or illness shall immediately inform their supervisor no matter how minor an onthe-job injury may appear. An employee who sustains a work-related injury or illness is required to seek medical care at facilities designated by the City unless they have filed a pre-designation of personal physician prior to sustaining the work-related injury or illness. For a list of City designated medical care facilities and/or physicians, please contact Human Resources.
9.5 Leaves of Absence
Employees shall not be entitled to leaves of absence as a matter of right, but only in accordance with the provisions of law and the Stockton Municipal Code. Unless otherwise provided, the granting of a leave of absence also grants to the employee the right to return to a position in the same classification or equivalent classification as the employee held at the time the leave was granted. The granting of any leave of absence shall be based on the presumption that the employee intends to return to work upon the expiration of the leave.
All approval authority over leaves of absence exercised by the Fire Chief under this section shall be subject to review by the City Manager, whose ruling shall be final.
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Employees on authorized leaves of absence without pay shall not be entitled to payment by the City of the premiums for their health and dental insurance, except as provided hereafter.
The entitlement to City-paid premiums shall end on the last day of the month in which the employee was paid except employees on an authorized leave of absence may continue enrollment in the City health and dental insurance plans by prepayment of the monthly premium during the authorized leave of absence.
Authorized absences without pay that exceed thirty (30) consecutive calendar days, except military leave, shall not be included in determining salary adjustment rights, based on length of employment. Periods of time during which an employee is required to be absent from their position by reason of an injury or disease for which they are entitled to and currently receiving Workers' Compensation benefits shall be included in computing length of service for the purpose of determining that employee's salary adjustments.
9.6 Leaves of Absence Without Pay
(a) Purpose and Length. Only employees occupying positions on a regular status basis are eligible for leaves of absence without pay under the provisions of the section.
An appointing authority may grant leaves of absence without pay for personal reasons up to a maximum of twelve (12) months with the approval of the Director of Human Resources.
Leaves of absence without pay on account of illness or injury, which are not job incurred, may be granted for a maximum period of twelve (12) months with the approval of the Director of Human Resources. This includes disabilities caused or contributed to by pregnancy, miscarriage, abortion, childbirth, and recovery therefrom.
Such a leave will be granted only after all accrued sick leave has been used and shall be substantiated by a physician's statement.
(b) Application For and Approval of Leaves of Absence Without Pay. In order to receive leave without pay, an employee must submit a request on the prescribed form to the Fire Chief and the City Manager. The request shall set forth the reasons for the request and all other information required for the Fire Chief or the Fire Chief’s representative to evaluate the request. Leaves without pay may be canceled by the Fire Department at any time.
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9.7 Absence Without Official Leave (AWOL)
(a) Denial of Leave Request or Failure to Return After Leave. Failure to report for duty or failure to report for duty after a leave of absence request has been disapproved, revoked, or canceled by the Department or City Manager or at the expiration of a leave shall be considered an absence without leave. (b) Voluntary Resignation. Any employee in this bargaining unit absent without leave for two (2) or more shifts in any calendar month without a satisfactory explanation as approved by the Director of Human Resources shall be deemed to have voluntarily resigned from employment with the City.
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SECTION 10. DAYS AND HOURS OF WORK
10.1 Workweek
The regularly scheduled workweek for each member of the Fire Unit assigned to fire suppression duties shall average fifty six (56) hours over a twelve (12) week period.
The regularly scheduled workweek for each member of the Fire Unit assigned to work in the Department’s administrative offices, the Fire Prevention Bureau, or the Division of Training shall be forty (40) hours. Other work periods may be declared by the Fire Chief for some or all members of the Fire Unit when dictated by operational requirements of the Fire Department.
All working shifts will commence at 0800 hours, with the exception of the employees assigned to work in the Fire Administration Office, Fire Prevention Bureau employees, and Division of Training employees, whose hours shall be determined by the Fire Chief.
10.2 Shift Trades
Fire Unit employees will be allowed to trade shifts. Shift trade privileges shall be determined and administered by the Fire Chief or the Fire Chief’s designee in accordance with Article J, Section 2 of the Fire Department Procedures Manual, which provides for Fire Unit employees to have up to a maximum of nine (9) uncompleted shift trades at any one time and that the period during which shifts are to be traded and paid back shall not exceed twelve (12) months.
Employees who have traded their shift with another employee shall not be eligible to work any overtime for the period that would have been their normal work hours.
10.3 Staffing
The City has management rights to determine staffing and the City will comply with applicable CalOSHA laws.
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SECTION 11. OVERTIME
11.1 Fair Labor Standards Act (FLSA) Agreement
(a) “24-hour shift employees” means fire suppression employees assigned to a Section 7(k) exemption FLSA work schedule.
(b) “Day shift employees” means Fire Unit employees assigned to work a conventional 40-hour workweek, such as a Monday through Friday 5/8 work schedule, a 9/80 work schedule, and/or a 4/10 work schedule (e.g. fire prevention, training division, etc.). “Day shift employees” also includes firefighters and fire recruits assigned to the fire training academy. (c) 24-hour Shift Employees.
(1) Employees currently assigned to a twenty-four (24) day work period will be paid overtime rate for hours worked in excess of one hundred and eighty-two (182) hours in a 24 day work period.
(2) Premium FLSA Pay. Fire unit employees on a 7(k) exemption work schedule currently receive three point one six (3.16) hours per pay period for Premium FLSA Pay to compensate for ten (10) hours of scheduled overtime between the FLSA maximum of 182 and 192 hours in a 24 day work period.
(d) For Day Shift employees, overtime shall be paid at the rate of time and one half (1-½) for all hours of actual time worked in excess of forty (40) hours in a seven (7) day work period.
(e) Hours worked shall include all actual time worked. Bereavement Leave, Jury Duty Leave, Industrial Illness or Injury Leave (4850) taken within the work period when 4850 leave begins or ends, and Sick Leave shall also count as actual time worked. Vacation leave or other time taken as compensated time off shall not be considered as actual time worked. Holiday hours taken and observed holidays where the City is closed shall be considered as time worked for unit employees in Administrative assignments where holidays are observed only.
(f) Notwithstanding subparagraph “e” above, effective as soon as administratively possible but no later than the second full pay period following adoption of this agreement by the City Council, vacation leave taken within the work period shall also count as actual time worked. The parties agree that the cost value EXHIBIT 2
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of this modification is approximately thirty-five one-hundredths percent (0.35%) of salary for the bargaining unit. During the final year of this MOU, the parties agree to evaluate the economic and operational impacts of this change and will negotiate over modifications to or continuation of this structure as part of successor contract negotiations.
(g) Work Out of Classification. Employees assigned to work overtime in a position or classification other than the position or classification to which they are permanently appointed will be paid overtime at the hourly rate attached to the position or classification in which they are performing such overtime work.
Individual premium pay to which an employee is regularly entitled shall be included when computing overtime for work performed in a position or classification to which the employee does not hold a permanent appointment. (h) Training Time. The time spent by an employee for job-related training in which participation is required by the City as a condition of continued employment shall be considered as hours worked. Said training time shall be viewed as hours worked in lieu of the employee’s normally scheduled shifts for that period. Employees shall participate in such training programs during their normally scheduled hours of work when provided by the City during those hours, unless there is a particular hardship or schedule conflict which precludes the employee’s attendance, in which event approval to obtain such training during off-duty hours must be requested and obtained in advance from the Fire Chief or the Fire Chief’s designated representative. (i) Rank for Rank Relief. In providing relief, Fire Unit employees may work in a rank lower than the rank which they currently hold but may not provide relief by working in a rank above their current rank, except in extraordinary circumstances.
(j) Continuing Education for Paramedics. Upon prior approval of the Fire Chief the City will compensate members of the Fire Unit at their straight time rate for time spent, in an off-duty status, in continuing education necessary to maintain their certification, up to twenty-four (24) hours or less in a two (2) year certification period.
(k) Conflict Resolution. The City and the Union will cooperate with each other to promptly resolve any disagreement that may arise during the term of this Memorandum of Understanding regarding compliance with the FLSA. Any dispute involving the interpretation or application of the FLSA may be referred to the City Manager by the complaining party or by the Director of Human Resources. Such referral will be in writing, detailing the specific issue(s) involved in the referral together with a statement of the resolution desired. The EXHIBIT 2
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City Manager will designate a personal representative, who shall not be the Director of Human Resources, to investigate the merits of the dispute, meet with the complaining party, and attempt to settle the dispute. The availability of this procedure shall not be deemed to limit or foreclose the rights of an employee to seek relief in such other forums as the law provides. (l) Calculation of Pay While in Fire Academy. While enrolled in the Fire Academy, newly appointed firefighters shall have their pay calculated on a 40-hour workweek and overtime shall be paid in accordance with 11.1(d) above (this will not include FLSA pay based on a 56-hour workweek as a Paramedic add pay be due).
11.2 Compensatory Time
(a) Definition. As used in this section, the term Compensatory Time refers to that time which an employee is entitled to be absent from duty with pay for hours worked in addition to or in excess of their normal work schedule. (b) Use. Such compensatory time must be taken during the same work period in which it is earned in accordance with Section 11.1 above. The accrual of compensatory time and the date upon which such time will be taken must be authorized by the Fire Chief or the Fire Chief’s designated representative prior to both the performance of the hours worked and the compensatory absence from duty. In the event the employee determines that they are unable to take accrued compensatory time during the same work period in which it is earned, pay for such time shall be provided at straight time or time and one half (1-½) depending upon the number of hours worked by the employee during the work period consistent with Section 11.1 above.
(c) Department Policy. Compensatory time for sworn 40-hour personnel shall be provided in accordance with the Department’s Policy and Procedures, Article J, Section 3B.
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SECTION 12. HOLIDAYS
(a) Effective upon the first full pay period following ratification of this Memorandum of Understanding by the Fire Unit and approval by the City Council on its regular agenda in accordance with the Ralph M. Brown Act, employees shall receive the following holidays on full pay for any one (1) holiday, unless otherwise provided in this section.
The City observes the following holidays on the dates indicated:
(1) New Year’s Day .........................................................................(January 1) (2) Martin Luther King’s Birthday............................. (Third Monday in January) (3) Lincoln’s Birthday..........................................(Second Monday in February) (4) Washington’s Birthday ......................................(Third Monday in February) (5) Cesar Chavez Day.................................................(March 31 - FLOATING) (6) Memorial Day.............................................................(Last Monday in May) (7) Independence Day........................................................................... (July 4) (8) Labor Day .......................................................(First Monday in September) (9) Columbus Day ............................................... (Second Monday in October) (10) Veterans’ Day ...................................................................... (November 11) (11) Thanksgiving.............................................. (Fourth Thursday in November) (12) The day following Thanksgiving...................... (Fourth Friday in November) (13) Christmas Day ..................................................................... (December 25) (14) Birthday Holiday
(b) Effective July 1, 2021, 0.41% will be added to the suppression classifications on the salary schedule for the Birthday Holiday.
(c) Effective August 1, 2011, the differential for Administrative Captain and Other Administrative Positions in Sections 13.12 and 13.14 will be increased by 6.34%. (d) Except for employees in administrative assignments who observe holidays, employees in this bargaining unit receive the dollar value of the holidays listed above (as noted in their salary ranges) in lieu of observing holidays.
For positions that observe holidays, the FLOATING holiday must be used by December 31 of each year and does not carry forward into the subsequent year.
There is no cash value for any unused floating holiday hours. Employees have not earned and cannot use the floating holiday until the actual holiday occurs (March 31). (e) For positions that observe holidays, in order to receive Holiday Pay the employee must be in a paid status the day before and the day after the holiday. (f) Birthday Holiday Leave. For positions that observe holidays, the department head, with due consideration for the wishes of the employee, may authorize the birthday EXHIBIT 2
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holiday to be taken within sixty (60) calendar days beginning on the day of the employee’s birthday.
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SECTION 13. COMPENSATION AND ALLOWANCES OTHER THAN BASE SALARY
13.1 Public Employee Retirement System Benefits for Unit Employees hired on or before December 28, 2012
(a) The City shall continue providing bargaining unit employees hired on or before December 28, 2012 with the California Public Employees’ Retirement System (CalPERS) 3% at 50 local safety pension formula based on the single highest year.
(b) Additional CalPERS Benefits.
(1) The City shall continue providing the following optional pension benefits and enhancements: Sick Leave Conversion up to 2,080 hours (Government Code Section 20965), Survivor Benefit Level 4 (Government Code Section 21574), Post-Retirement Survivor Allowance to Continue After Remarriage (Government Code Section 21635), Continuation of Death Benefits After Remarriage (Government Code Section 21551), and Military Service Credit as Public Service and for Retired Persons at the employees’ expense (Government Code Sections 21024 and 21027).
(2) The City shall continue providing such other CalPERS benefits as set forth in the City’s contract with CalPERS as of the date of the execution of this Memorandum of Understanding.
(c) Employer Paid Member Contribution (EPMC). The City shall continue contributing an amount equal to nine percent (9%) of the employee’s current base salary and other qualifying compensation as determined by state law toward the employee contribution for CalPERS benefits. Such amounts will be applied to the employee’s individual account in accordance with Government Code Section 20691.
(d) EPMC Payrate Conversion. The City will cease paying the nine percent (9%) EPMC at the beginning of an employee’s last year of employment, and the employee pays their nine percent (9%) employee contribution on a pre-tax basis through an automatic payroll deduction. The base salary for those employees will be increased by that same nine percent (9%) for the last twelve (12) months of employment in accordance with Government Code section 20692. Instead of applying these section 20692 provisions each pay period, employees may select the option for a one-time retroactive application at the time of their retirement for the entire twelve month period prior to the effective date of retirement. Employees who wish to select this option, shall indicate this EXHIBIT 2
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on the City’s EPMC Authorization form provided by Human Resources. (e) CalPERS 20516 Cost Sharing for the Employer’s Pick Up of the Employee’s Nine Percent (9%) CalPERS Contribution. Employees hired on or before December 28, 2012 agree to continue sharing the cost of the CalPERS 3% at 50 local safety pension formula plan by contributing nine percent (9%) of the employee’s current base salary (employee contribution) and other compensation as qualified by CalPERS towards the employer’s share of cost for CalPERS pension on a pre-tax basis. If CalPERS determines that the maximum contribution through a CalPERS Section 20516 amendment is less than nine percent (9%) and/or some or all of the contributions sunset at a specific time in the future, the parties agree that the City shall deduct the percentage up to nine percent (9%) not covered by the CalPERS amendment process through a payroll deduction. If legislation is enacted and becomes effective during the term of this agreement requiring employees under the CalPERS retirement system to pay all or part of the employee’s share of retirement contribution, thus reducing or eliminating EPMC, the parties agree that as soon as administratively possible, consistent with CalPERS regulations, to convert the employee’s contribution to the employer’s share under the Section 20516 cost share contract amendment to the employee’s share towards retirement for the percentage required by the new legislation.
13.2 Public Employee Retirement System Benefits for Unit Employees hired on or after December 29, 2012 and before January 1, 2013
The City shall continue providing bargaining unit employees hired on or after December 29, 2012 and before January 1, 2013, and bargaining unit employees hired on or after January 1, 2013 who qualify as “classic” members, with the CalPERS 3% at 55 local safety pension formula based on the three (3) year final compensation period and no optional or enhanced benefits except for statutorily required enhancements. Employees shall continue contributing nine percent (9%) on a pretax basis toward the employee contribution for the pension benefit and are not subject to the Government Code Section 20516 Cost Sharing provision in Section 13.1 (e) above.
13.3 Public Employee Retirement System Benefits for Employees hired on or after January 1, 2013
The City shall continue providing bargaining unit employees hired on or after January 1, 2013, without reciprocity (i.e., “new” members) the CalPERS 2.7% at 57 local safety pension formula based on the three (3) year final compensation period and no optional or enhanced benefits except for statutorily required enhancements.
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and are not subject to the Government Code Section 20516 Cost Sharing provision in Section 13.1 (e) above.
13.4 Education Incentive Pay
(a) Employees who satisfy the educational and service requirements for an intermediate education certification shall receive three percent (3%) of the top step of rank for sworn Fire Unit employees.
(b) Employees who satisfy the educational and service requirements for an advanced education certification shall receive five percent (5%) of the top step rank for sworn Fire Unit employees.
13.5 HAZ/MAT Assignment
The City shall pay five percent (5%) of the top step of rank for sworn Fire Unit employees actively assigned to the HAZ/MAT response team. This section applies to a total certified and assigned complement of twenty-one (21) employees. The Fire Chief or their designee shall ensure that employees with HAZ/MAT certification are assigned to back fill vacancies on the HAZ/MAT response team due to events such as vacation or sick leave and that such employees receive the five percent (5%) temporary add pay while working the vacant assignment.
13.6 Emergency Medical Technician Certification
It is the policy of the Stockton Fire Department that all sworn employees assigned to line fire suppression activities and working in the rank of Battalion Chief and below shall maintain a current San Joaquin County Emergency Medical Technician (“EMT”) certification or face disciplinary procedures detailed below.
Each member shall secure EMT certification within one (1) year of commencement of employment and maintain that certification throughout their career while assigned to line fire suppression activities. In the event a new member does not have EMT certification upon employment, the member shall be provided Emergency Aid Responder (“EAR”) training and certification by the Department’s Division of Training prior to being placed on line.
All periodic re-certifications of EMT certification shall be prepared for and executed during on-duty training sessions conducted by the Division of Training. If a member fails to re-certify after one (1) attempt, the Division of Training shall provide additional resources to assist the member to prepare for a second attempt at re-certification in accordance with State regulations. The Division of Training’s resources will include the following: study guides, textbooks, remedial lectures on deficiencies, and a list of local courses offered by other agencies. If the member fails the second attempt or EXHIBIT 2
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the member’s EMT certification expires, the member must obtain EAR certification, which shall comply with State law. The non-EMT member will be provided EAR training and certification by the Division of Training prior to assignment to line fire suppression activities.
Members whose certification lapses shall have eighteen (18) months to complete an EMT re-certification process. During this time frame, the member shall not trade shifts or work overtime without permission of the Fire Chief. The member shall be reduced one (1) pay grade until EMT re-certification is achieved.
A member may attempt re-certification at any time and from any jurisdiction within the State of California. If the member fails to either (1) regain EMT certification within the eighteen (18) month “correction period” or (2) fails to obtain EAR certification within thirty (30) days of loss of EMT certification, the City may take appropriate disciplinary action pursuant to Rule XII of the Stockton Civil Service Rules and Regulations for Police and Fire Employees, up to and including termination.
Any disputes that result from this agreement shall be handled in accordance with the current Memorandum of Understanding grievance procedures.
13.7 Paramedic Certification
(a) The City shall pay Fire Unit employees who are assigned to Paramedic duties and possess a valid Paramedic certificate as follows:
(1) Paramedic Firefighter Step I: Six percent (6%) above top step of current applicable rank.
(2) Paramedic Firefighter Step III: Eight and one-half percent (8.5%) above top step of current applicable rank.
(3) Paramedic Firefighter Step V: Nine percent (9%) above top step of current applicable rank.
(4) Paramedic Engineer: Six percent (6%) above Engineer top step. (5) Paramedic Fire Captain: Six percent (6%) above Fire Captain top step.
13.8 Uniform Allowance
Employees in this unit shall receive a uniform allowance in the amount of nine hundred and fifty dollars ($950.00). One-half (1/2) of the annual value of uniform allowance shall be paid to eligible employees during the months of April and October.
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13.9 Contagious Disease
The City shall make available, at no cost to the employee, screenings for all strains of hepatitis, hepatitis B vaccinations, and shall monitor employees’ exposure to tuberculosis.
13.10 Acting Pay
An employee who is assigned in writing to work in a higher paid classification and who performs a majority of the duties of that higher position shall receive the rate of pay in a step of the higher classification which would have been received if the employee had been promoted into that classification.
13.11 Call-Back Pay
An employee called back to work to assist with a multiple alarm fire or other emergency situation after they have worked a scheduled shift and have departed from the work site shall earn three (3) hours of call-back at the regular hourly rate of pay or time and one-half (1-½) of their regular rate of pay for time worked, whichever is greater.
The above provision shall not apply to employees called back due to an operator error that does not result in the employee being assigned for the day or an employee’s participation in official meetings called by authorized personnel of the Stockton Fire Department. In such instances, the employee will be compensated on an hourly basis.
13.12 Deputy Fire Marshal Series
(a) Employees assigned as Deputy Fire Marshals and are designated as administrative positions shall be paid as follows:
(1) Deputy Fire Marshal I: Two and one-half percent (2.5%) above Firefighter top step
(2) Deputy Fire Marshal II: Five percent (5%) above Firefighter top step (3) Deputy Fire Marshal III: Seven and one-half percent (7.5%) above Firefighter top step
(4) Deputy Fire Marshal IV: Ten percent (10%) above Firefighter top step (5) Fire Captain (FM III): Ten percent (10%) above Fire Captain top step EXHIBIT 2
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13.13 Fire/Engineer Operator
Employees assigned as Fire/Engineer Operators shall be paid five percent (5%) above the Engineer top step.
13.14 Administrative Positions
(a) Administrative Captain. Employees assigned as Administrative Captains shall be paid at a rate that is thirteen point three three percent (13.33%) above the amount paid to Captains assigned to fire suppression duties. Note: The FLSA rate was 3.33% so this rate is not increasing.
(b) Administrative Firefighter. Fire Unit employees assigned as an Administrative Firefighter shall be paid at the rate of eight point three three percent (8.33%) of top step of rank of Firefighter with pay increases of two and one-half percent (2.5%) per year to a maximum of thirteen point three three percent (13.33%).
Note: The FLSA rate was 3.33% so this rate is not increasing. (c) Administrative Firefighter/Engineer. Fire Unit employees assigned as an Administrative Firefighter/Engineer shall be paid at the rate of eight point three three percent (8.33%) of top step of rank of Firefighter/Engineer with pay increases of two and one-half percent (2.5%) per year to a maximum of thirteen point three three percent (13.33%). Note: The FLSA rate was 3.33%, so this rate is not increasing.
13.15 Longevity Pay
(a) Grandfathered Longevity Tier One: Employees hired on or before June 30, 2011, who by July 1, 2012 have attained fifteen (15) years of continuous employment with the City shall receive an additional one and one quarter percent (1.25%) of top step pay for their classification. (b) Grandfathered Longevity Tier Two: Employees hired on or before June 30, 2011 who by July 1, 2012 have attained twenty-two (22) years of continuous employment with the City shall receive an additional eight and three-quarters percent (8.75%) of top step pay for their classification. Effective July 1, 2016, the City agrees to continue the Tier Two longevity pay for the eligible members at the 8.75% rate, rather than the previously negotiated rate of four and threequarters (4.75%) based on the association’s agreement in prior Memoranda of Understanding to redirect City HRA contributions to buy back this benefit.
13.16 Wellness-Fitness Program
The purpose of the Department’s Wellness-Fitness Program is to develop, promote, enhance, and maintain the wellness and fitness of members of the Department. The EXHIBIT 2
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program will be based upon medical testing guidelines established by the International Association of Fire Fighters (IAFF) Joint-Labor Management Wellness Fitness Initiative.
(a) Participation in the Wellness-Fitness Program is mandatory for the program’s testing, evaluations, and daily physical training requirements. (b) Annual physicals under the program shall be required. The City will contract with an Occupational Health Provider of its choosing to perform these annual physicals.
(c) All information obtained from the medical evaluations is confidential, and the City will only have access to information regarding work restrictions necessary to determine whether appropriate accommodations can be made. (d) The Union and management will continue to collaborate on the Department’s Wellness-Fitness Program to enhance and maintain the wellness and fitness of members of the Department.
13.17 CalPERS Reportability
The City makes no representation as to whether any of the compensation or payments in this Memorandum of Understanding are subject to CalPERS service credit or pensionable income. Any determination by CalPERS to not fully credit the compensation and/or service time provided under this Memorandum of Understanding is outside of the City’s control.
13.18 Lapse of Certification
An employee receiving an add pay under Section 13 of this Memorandum of Understanding, whose certification lapses will not be eligible for the add pay and will be subject to reassignment. Reinstatement of the add pay will commence upon recertification.
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SECTION 14. INSURANCE PLANS
14.0 Reopener Clause for Health Insurance
The Association agrees at the City’s request, to meet and confer on any proposed changes within the mandatory scope of bargaining that relate to the implementation and regulatory compliance of the Affordable Care Act (ACA) for the City sponsored medical plans.
14.1 Health Insurance and Related Benefits
(a) Choice of Health Plans. Employees in this bargaining unit shall have a choice of enrolling themselves and their eligible dependents in any of the City sponsored medical, dental, and vision plans. Each plan shall offer an Employee only, Employee plus one and Employee plus two or more dependents coverage. The City shall offer two (2) or more medical plans to regular status employees.
(b) Eligibility. Employees shall become eligible for Medical, Dental, and Vision insurance on the first day of the month following date of hire. An eligible employee and eligible dependent may be enrolled in a City offered medical plan either as a subscriber in a City offered medical plan or as the dependent spouse/registered domestic partner or another eligible City employee, but not both. If an employee is also eligible to cover their dependent child, the child will be allowed to enroll as a dependent on only one (1) employee plan (i.e., an employee and their dependent cannot be covered by more than one (1) City-offered health plan).
(c) City Contribution Towards the Cost of Insurance Programs. (1) Effective July 1, 2022, the City shall contribute the following:
a. Up to $697 per month toward the cost of the monthly premium for employee-only medical/dental/vision plan coverage.
b. Up to $1,265 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. Up to $1,685 per month toward the cost of the monthly premium for employee plus two (2) or more dependents
medical/dental/vision plan coverage.
(2) Effective July 1, 2023, the City shall contribute the following:
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a. Up to $711 per month toward the cost of the monthly premium for employee-only medical/dental/vision plan coverage.
b. Up to $1,290 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. Up to $1,719 per month toward the cost of the monthly premium for employee plus two (2) or more dependents
medical/dental/vision plan coverage.
(3) Effective July 1, 2024, the City shall contribute the following:
a. Up to $725 per month toward the cost of the monthly premium for employee-only medical/dental/vision plan coverage.
b. Up to $1,316 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. Up to $1,753 per month toward the cost of the monthly premium for employee plus two (2) or more dependents
medical/dental/vision plan coverage.
These contributions are based on full-time employment; regular part-time employees shall receive a prorated contribution based on their percentage of full-time employment. Insurance plan premiums that exceed the City's monthly contribution shall be paid by the employee through payroll deductions. The City shall maintain its IRS 125 Plan to allow for employee contributions for medical/vision/dental to be pre-tax premium conversion. (d) Plan Rules. Employees may insure themselves and their eligible dependents under the medical, vision, and dental plans provided by the City, in accordance with the rules and regulations applicable to the selected Plan. Benefits in the Plan shall be in accordance with the Plan document.
14.2 Life Insurance
The City shall provide each employee group term life insurance coverage with a face value of fifty thousand dollars ($50,000.00). In addition, employees shall have the opportunity to purchase additional voluntary life insurance through their union or through the City’s IRS 125 vendor.
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14.3 Long Term Disability Insurance
The City shall provide to each bargaining unit member seventeen dollars ($17.00) per month for the purpose of purchasing Long Term Disability Insurance. It is the Union’s responsibility for purchasing such insurance for its represented employees or otherwise investing such payments pursuant to this section as it deems appropriate.
14.4 Retiree Medical Trust
The City acknowledges the Union’s intent to participate in a Retiree Medical Trust (hereinafter the “Trust”) for the benefit of current and future Fire Unit members. The City agrees to cooperate with the Union to facilitate payroll deductions from Fire Unit members to be contributed to the Trust.
The Trust shall be and remain separate and apart from any Employer health insurance funding program.
Within two pay periods following receipt of written notification from the Union of its entry into the Trust, but no sooner than March 1, 2023, eligible regular status employees covered by this Agreement shall contribute to the Trust an amount equal to a uniform flat dollar amount per month for each month of employment, which the employer shall deduct through a payroll deduction. This contribution amount shall be included in the above-referenced notice to the City. Individuals who attain regular status in the second pay period of a month shall have the full amount deducted from their initial check; individuals separating from employment in the first pay period of a month shall also have the full amount deducted from their final check.
To the extent authorized by law, all contributions shall be made on a pre-tax basis.
The employee assumes full responsibility and liability for tax consequences related to contributions to and/or withdrawals from the Trust. There shall be no employee election or option to take the contribution amount in cash. The Union has the right to alter the amount of salary deduction during the course of this Agreement, on a uniform basis, for all employees covered by the Agreement, subject to approval of its members according to the Union’s bylaws and applicable laws. The Union shall provide written notice to the City of any such changes, which will be implemented no later than the second full pay period following receipt of said notice.
The City shall not charge the Union or Fire Unit members for any administrative costs associated with the enrollment of employees in the Trust or for payroll deductions and the transmittal of employee contributions to the Trust, or for any other City actions required by this Section. The Union shall be responsible to pay the Trust for any administrative costs arising between the Union and the Trust from the enrollment of the Union and the Fire Unit members in the Trust.
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The Union agrees, to the fullest extent permitted by applicable law, to indemnify and hold harmless the City and each of its agents, officers, and employees against all costs, expenses, liability, and damages resulting from any misrepresentation, negligent action or inaction, or breach of, the Trust, or any rules, policies, or procedures established by the Trust’s Board of Trustees.
The City provides no guarantee to employees regarding the ultimate length of retiree medical benefit payout. Employees who participate in the Trust assume the entire risk from any investment gains or losses associated with these funds or other decline in value. Nothing contained in this contract shall constitute a guarantee by the City that assets of the Trust will be sufficient to pay any benefit to any person or to make any other payment during an employee’s life expectancy after retirement. All payments, in the form of employee contributions, to the Trust are defined contributions only. Payments to be paid from the Trust are limited to the remaining assets in the Trust and governed by the Board of Trustees and the current Plan. The parties understand that the above provisions shall in no way obligate the City to incur any additional costs or obligations beyond those already set forth in this contract.
The City’s obligation to provide pre-tax deposits would remain subject to Internal Revenue Service rules as they may be revised in the future. Should the Internal Revenue Service later determine that these contributions are no longer permissible on a pre-tax basis, the City shall cease deducting such amounts from employee compensation.
Participation in the Trust shall be the complete and sole responsibility of the union.
The City shall not be involved in the Trust’s design, its administration, or in the benefits paid, nor shall the City have any responsibility for any actions of the Trust or its trustees, or of the Union with respect to the Trust. The City has no fiduciary duty with respect to the Trust.
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SECTION 15. SALARY PLAN
15.1 Salary Ranges
The salary ranges for all employees in this unit shall be as set forth in the City’s Salary Schedule. The rates of pay set forth in the City’s Salary Schedule represent the standard rates of pay for full time employment for each classification, unless the schedule specifically indicates otherwise. The Salary Schedule on the City of Stockton’s Human Resources Site shall provide salary rates for the classifications in the Fire Unit.
15.2 Salary Upon Appointment
Except as herein otherwise provided, the entrance salary for a new employee entering the classified service shall be the minimum salary for the class to which the employee is appointed. When circumstances warrant, the City Manager may approve an entrance salary that is more than the minimum salary for the class. Such a salary may not be more than the maximum salary for the class to which that employee is appointed.
15.3 Salary Equivalents
Any monthly, daily, or hourly rate of pay may be converted into any equivalent rate of pay or to any other time bases only when, in the judgment of the City Manager, such a conversion is advisable. In determining equivalent amounts on different time bases the City shall provide tables or regulations for the calculation of payment for service of less than full time, and for use in converting monthly salaries to hourly rates, as well as for calculating hourly rates.
15.4 Salary Step Plan-Sworn Ranks
(a) There shall be nine (9) salary steps for the classification of Firefighter. There shall be six (6) salary steps in each range for the classifications of Firefighter/Engineer and Fire Captain.
(b) The first step shall be the minimum rate and shall be the normal hiring rate for the class. (In a case where a person possesses unusual qualifications, the City Manager may authorize appointment above the first step after receiving the recommendation of the department head. The same provisions shall apply to hourly paid and part-time employees.)
(c) If a department head recommends to withhold increases to salary steps two (2) through nine (9) because an employee has not achieved the level of performance required, notice must be received by the City Manager at least EXHIBIT 2
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four (4) weeks in advance of the employee's eligibility date. The affected employee shall be furnished a copy of the department head's recommendation.
(d) The second step shall be paid upon the employee’s satisfactory completion of the Fire Academy and upon the written recommendation of the department head.
(e) The third step shall be paid upon the satisfactory completion of six (6) months of service at the second step upon the written recommendation of the department head.
(f) The fourth step shall be paid upon the satisfactory completion of six (6) months of service at the third step upon the written recommendation of the department head.
(g) The fifth step shall be paid upon the satisfactory completion of one (1) year of service at the fourth step upon the written recommendation of the department head.
(h) The sixth step shall be paid upon the satisfactory completion of one (1) year of service at the fifth step and written recommendation of the department head. (i) The seventh step shall be paid upon the satisfactory completion of one (1) year of service at the sixth step and upon the written recommendation of the department head.
(j) The eighth step shall be paid upon the satisfactory completion of one (1) year of service at the seventh step and upon the written recommendation of the department head.
(k) The ninth step shall be paid upon the satisfactory completion of six (6) months of service at the eighth step and upon the written recommendation of the department head.
(l) As an exception to the foregoing, employees promoted to the rank of Fire Captain shall be eligible for step increases upon the satisfactory completion of six (6) months’ service in each step of the Fire Captain Salary range. Also, employees holding the rank of Firefighter/Engineer shall be subject to step increase intervals of one (1) year. However, the Firefighter/Engineer rank shall be limited to six (6) salary steps. Regardless of an employee's length of service, step advancements may be made upon recommendation of the department head, but not above Step No. 6 of the Firefighter/Engineer and Fire Captain Salary ranges, and not above Step No. 9 of the Firefighter salary range.
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(m) Salary step increases shall be effective the first day of the pay period following appointment or revision. If the date of appointment or revision is the first day of a pay period, salary step increases shall be as of that date. (n) Changes in an employee's salary because of promotion, demotion, postponement of salary step increase, or special merit increase will set a new salary anniversary date for that employee.
(o) Salary range adjustments for the classification will not set a new salary anniversary date for employees serving in that classification.
15.5 Salary Step After Military Leave
All employees who have been granted military leave shall, upon their return to the City service, be entitled to the automatic salary advancements within the range scale of the established wage schedule of their classifications for the period they were in the military service.
15.6 Salary Step When Salary Range is Increased
Whenever the monthly schedule of compensation for a class is revised, each incumbent in a position to which the revised schedule applies shall be entitled to the step in the revised range which corresponds to the employee's step held in the previous range, unless otherwise specifically provided by the City Manager.
15.7 Salary Step After Promotion or Demotion
When an employee is promoted from a position in one rank to a position in a higher rank and at the time of promotion is receiving a salary equal to, or greater than, the minimum rate for the higher rank, that employee shall be entitled to a step in the salary range of the higher rank which is at least five percent (5%) above the current base pay salary on the salary schedule of the current base pay rate the employee has been receiving, except that the new step shall not exceed the maximum salary of the higher rank. Add pays are not included in the calculation of base salary for the purposes of this section. When an employee is promoted into another bargaining unit, the new bargaining unit’s salary after promotion rules shall apply.
When an employee is demoted, whether such demotion is voluntary or otherwise, that employee's compensation shall be adjusted to the salary prescribed for the rank to which demoted.
15.8 Salary on Reinstatement
If a former employee is reinstated to the same position previously held or to one carrying a similar salary range, their salary shall not be higher than their salary at the EXHIBIT 2
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time of their separation unless there has been an increase within the salary range.
15.9 Salary Adjustments
(a) Effective July 1, 2022, all bargaining unit classifications will receive a nine point six five percent (9.65%) increase to base pay (comprised of a two percent (2%) COLA and a seven point six five percent (7.65%) Market Adjustment). (b) Effective July 1, 2023, all bargaining unit classifications will receive a three percent (3%) increase to base pay (comprised of a two percent (2%) COLA and a one percent (1%) Market Adjustment).
(c) Effective July 1, 2024, all bargaining unit classifications will receive a three percent (3%) increase to base pay (comprised of a two percent (2%) COLA and a one percent (1%) Market Adjustment).
15.10 Bi-Weekly Pay Period
The City and the Association agree to move to bi-weekly pay period as soon as it is administratively possible within the City. The parties understand that this may not be administratively possible until the City implements a new payroll system.
15.11 Lump Sum Payment
Each employee who is employed in the bargaining unit as of January 1, 2024 will receive a five thousand ($5,000) lump sum non-pensionable bonus (subject to all applicable withholdings) to be paid by the second scheduled payday in the same month.
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SECTION 16. SEPARABILITY OF PROVISIONS
In the event that any provisions of this Memorandum of Understanding are declared by a court of competent jurisdiction to be illegal or unenforceable, that provision of the Memorandum of Understanding shall be null and void but such nullification shall not affect any other provisions of this Memorandum of Understanding, all of which other provisions shall remain in full force and effect.
SECTION 17. PRACTICES AND EXISTING MEMORANDA OF UNDERSTANDING Continuance of working conditions and practices not specifically authorized by ordinance or by resolution of the City Council is not guaranteed by this Memorandum of Understanding.
This Memorandum of Understanding shall supersede all existing Memoranda of Understanding between the City and the Union.
SECTION 18. SCOPE OF AGREEMENT
Except as otherwise specifically provided herein, this Memorandum of Understanding fully and completely incorporates the understanding of the parties hereto and constitutes the sole and entire agreement between the parties on any and all matters subject to meeting and conferring.
SECTION 19. DURATION OF AGREEMENT
All provisions of this Memorandum of Understanding shall be effective as of the date of execution unless otherwise indicated herein, and shall remain in full force and effect up to and including June 30, 2025.
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SECTION 20. MAINTENANCE OF OPERATIONS
(a) It is recognized that the need for continued and uninterrupted operation of City services is of paramount importance. Therefore, the Union and each employee represented thereby agrees that from the date of execution of this Memorandum of Understanding, through and inclusive of June 30, 2025, the Union or any person acting on its behalf, or each employee in a classification represented by the Union, shall not cause, authorize, engage in, encourage, or sanction a work stoppage, slowdown, refusal of overtime work, refusal to operate designated equipment (provided such equipment is safe and sound), or picketing (other than informational picketing), against the City or the individual or concerted failure to report for duty or abstinence from the full and faithful performance of the duties of employment (including compliance with the request of another labor organization or bargaining unit to engage in such activity) in an attempt to induce a change in wages, hours, and other terms and conditions of employment.
(b) An employee shall not be entitled to any wages or City paid benefits whatsoever if the City Council, by majority vote, determines to its satisfaction that the employee is or has engaged in any activity prohibited by subsection (a) of this section. In addition, the City may take other action that it deems appropriate. (c) If the City Council, by majority vote, determines to its satisfaction that subsection (a) of this section has been violated by the Union, the City may take such remedial action as it deems appropriate.
(d) The Union recognizes the duty and obligation of its representatives and members to comply with the provisions of this Memorandum of Understanding and to make every effort toward inducing all employees in this unit to fully and faithfully perform their duties.
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APPENDIX A: City of Stockton’s New Medical Response Squad At such time when the department is sufficiently staffed to allow for the staffing of a Medical Response Squad, without incurring additional mandatory overtime within the department, the parties agree to reopen negotiations solely for the purpose of meeting and conferring over any negotiable impacts associated with adding a new Medical Response Squad.
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APPENDIX B. COLA and Market Adjustments
Year 1- Effective 7/1/22;
Year 2- Effective 7/1/23;
Year 3- Effective 7/1/24
Steps
1 2 3 4 5 6 7 8 9
Fire Captain 7,257.16 7,630.30 8,021.79 8,434.05 8,867.15 9,323.48 - - - COLA and MA year 1 (9.65%) 700.32 736.32 774.10 813.89 855.68 899.72 - - - Year 1 - Monthly Salary 7,957.47 8,366.62 8,795.89 9,247.93 9,722.83 10,223.19 - - - COLA and MA year 2 (3%) 238.72 251.00 263.88 277.44 291.68 306.70 - - - Year 2 - Monthly Salary 8,196.20 8,617.62 9,059.77 9,525.37 10,014.51 10,529.89 - - - COLA and MA year 3 (3%) 245.89 258.53 271.79 285.76 300.44 315.90 - - - Year 3 - Monthly Salary 8,442.08 8,876.15 9,331.56 9,811.13 10,314.95 10,845.78 - - - Fire Captain - Admin 6,839.34 7,191.06 7,560.07 7,948.68 8,356.90 8,787.04 - - - COLA and MA year 1 (9.65%) 660.00 693.94 729.55 767.05 806.44 847.95 - - - Year 1 - Monthly Salary 7,499.34 7,885.00 8,289.62 8,715.73 9,163.34 9,634.99 - - - COLA and MA year 2 (3%) 224.98 236.55 248.69 261.47 274.90 289.05 - - - Year 2 - Monthly Salary 7,724.32 8,121.55 8,538.31 8,977.20 9,438.24 9,924.04 - - - COLA and MA year 3 (3%) 231.73 243.65 256.15 269.32 283.15 297.72 - - - Year 3 - Monthly Salary 7,956.05 8,365.19 8,794.46 9,246.52 9,721.38 10,221.76 - - - Fire Captain (22 years) 7,892.16 8,297.95 8,723.68 9,172.04 9,643.02 10,139.28 - - - COLA and MA year 1 (9.65%) 761.59 800.75 841.84 885.10 930.55 978.44 - - - Year 1 - Monthly Salary 8,653.75 9,098.70 9,565.52 10,057.14 10,573.58 11,117.72 - - - COLA and MA year 2 (3%) 259.61 272.96 286.97 301.71 317.21 333.53 - - - Year 2 - Monthly Salary 8,913.36 9,371.66 9,852.48 10,358.86 10,890.78 11,451.25 - - - COLA and MA year 3 (3%) 267.40 281.15 295.57 310.77 326.72 343.54 - - - Year 3 - Monthly Salary 9,180.76 9,652.81 10,148.06 10,669.62 11,217.51 11,794.79 - - - Fire Captain (22 years) -
Admin 7,437.78 7,820.28 8,221.59 8,644.18 9,088.13 9,555.90 - - - COLA and MA year 1 (9.65%) 717.75 754.66 793.38 834.16 877.00 922.14 - - - Year 1 - Monthly Salary 8,155.53 8,574.94 9,014.97 9,478.34 9,965.14 10,478.05 - - - COLA and MA year 2 (3%) 244.67 257.25 270.45 284.35 298.95 314.34 - - - Year 2 - Monthly Salary 8,400.20 8,832.19 9,285.42 9,762.69 10,264.09 10,792.39 - - - COLA and MA year 3 (3%) 252.01 264.97 278.56 292.88 307.92 323.77 - - - EXHIBIT 2
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Year 3 - Monthly Salary 8,652.20 9,097.15 9,563.98 10,055.57 10,572.01 11,116.16 - - - Fire Fighter 4,772.67 5,018.13 5,276.35 5,547.28 5,833.26 6,133.15 6,448.09 6,779.23 7,127.75 COLA and MA year 1 (9.65%) 460.56 484.25 509.17 535.31 562.91 591.85 622.24 654.20 687.83 Year 1 - Monthly Salary 5,233.23 5,502.37 5,785.52 6,082.60 6,396.17 6,725.00 7,070.33 7,433.42 7,815.57 COLA and MA year 2 (3%) 157.00 165.07 173.57 182.48 191.89 201.75 212.11 223.00 234.47 Year 2 - Monthly Salary 5,390.23 5,667.45 5,959.08 6,265.07 6,588.06 6,926.75 7,282.44 7,656.43 8,050.04 COLA and MA year 3 (3%) 161.71 170.02 178.77 187.95 197.64 207.80 218.47 229.69 241.50 Year 3 - Monthly Salary 5,551.93 5,837.47 6,137.86 6,453.03 6,785.70 7,134.55 7,500.91 7,886.12 8,291.54 Fire Fighter - Admin 4,497.55 4,728.93 4,972.30 5,227.68 5,497.26 5,779.93 6,076.79 6,388.91 6,717.41 COLA and MA year 1 (9.65%) 434.01 456.34 479.83 504.47 530.49 557.76 586.41 616.53 648.23 Year 1 - Monthly Salary 4,931.56 5,185.27 5,452.13 5,732.15 6,027.75 6,337.69 6,663.20 7,005.44 7,365.64 COLA and MA year 2 (3%) 147.95 155.56 163.56 171.96 180.83 190.13 199.90 210.16 220.97 Year 2 - Monthly Salary 5,079.51 5,340.82 5,615.69 5,904.12 6,208.58 6,527.82 6,863.10 7,215.60 7,586.61 COLA and MA year 3 (3%) 152.39 160.22 168.47 177.12 186.26 195.83 205.89 216.47 227.60 Year 3 - Monthly Salary 5,231.89 5,501.05 5,784.16 6,081.24 6,394.84 6,723.66 7,068.99 7,432.07 7,814.21 Fire Fighter (22 years) 5,457.22 5,738.03 6,032.67 6,343.68 6,669.81 7,012.30 7,372.41 7,751.42 - COLA and MA year 1 (9.65%) 526.62 553.72 582.15 612.16 643.64 676.69 711.44 748.01 - Year 1 - Monthly Salary 5,983.84 6,291.75 6,614.82 6,955.84 7,313.44 7,688.99 8,083.85 8,499.43 - COLA and MA year 2 (3%) 179.52 188.75 198.44 208.68 219.40 230.67 242.52 254.98 - Year 2 - Monthly Salary 6,163.35 6,480.50 6,813.26 7,164.52 7,532.84 7,919.66 8,326.36 8,754.42 - COLA and MA year 3 (3%) 184.90 194.42 204.40 214.94 225.99 237.59 249.79 262.63 - Year 3 - Monthly Salary 6,348.25 6,674.92 7,017.66 7,379.45 7,758.83 8,157.25 8,576.15 9,017.05 - Fire Fighter (22 years) -
Admin 5,142.71 5,407.38 5,684.42 5,978.27 6,285.68 6,608.51 6,947.94 7,305.18 - COLA and MA year 1 (9.65%) 496.27 521.81 548.55 576.90 606.57 637.72 670.48 704.95 - Year 1 - Monthly Salary 5,638.98 5,929.20 6,232.96 6,555.17 6,892.25 7,246.23 7,618.42 8,010.13 - COLA and MA year 2 (3%) 169.17 177.88 186.99 196.66 206.77 217.39 228.55 240.30 - Year 2 - Monthly Salary 5,808.15 6,107.07 6,419.95 6,751.83 7,099.01 7,463.62 7,846.97 8,250.44 - COLA and MA year 3 (3%) 174.24 183.21 192.60 202.55 212.97 223.91 235.41 247.51 - Year 3 - Monthly Salary 5,982.39 6,290.28 6,612.55 6,954.38 7,311.98 7,687.53 8,082.38 8,497.95 - Fire Fighter Engineer 6,355.55 6,681.67 7,026.03 7,386.21 7,765.86 8,164.98 - - - COLA and MA year 1 (9.65%) 613.31 644.78 678.01 712.77 749.41 787.92 - - - Year 1 - Monthly Salary 6,968.86 7,326.45 7,704.04 8,098.97 8,515.27 8,952.91 - - - COLA and MA year 2 (3%) 209.07 219.79 231.12 242.97 255.46 268.59 - - - Year 2 - Monthly Salary 7,177.92 7,546.24 7,935.17 8,341.94 8,770.73 9,221.49 - - - EXHIBIT 2
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON 50
COLA and MA year 3 (3%) 215.34 226.39 238.05 250.26 263.12 276.64 - - - Year 3 - Monthly Salary 7,393.26 7,772.63 8,173.22 8,592.20 9,033.85 9,498.14 - - - Fire Fighter Engineer -
Admin 5,989.48 6,296.89 6,621.48 6,960.99 7,318.84 7,694.81 - - - COLA and MA year 1 (9.65%) 577.98 607.65 638.97 671.74 706.27 742.55 - - - Year 1 - Monthly Salary 6,567.47 6,904.54 7,260.45 7,632.72 8,025.11 8,437.36 - - - COLA and MA year 2 (3%) 197.02 207.14 217.81 228.98 240.75 253.12 - - - Year 2 - Monthly Salary 6,764.49 7,111.68 7,478.27 7,861.70 8,265.86 8,690.48 - - - COLA and MA year 3 (3%) 202.93 213.35 224.35 235.85 247.98 260.71 - - - Year 3 - Monthly Salary 6,967.43 7,325.03 7,702.61 8,097.55 8,513.84 8,951.20 - - - Fire Fighter Engineer (22
years) 6,911.65 7,266.30 7,640.82 8,032.50 8,445.37 8,879.42 - - - COLA and MA year 1 (9.65%) 666.97 701.20 737.34 775.14 814.98 856.86 - - - Year 1 - Monthly Salary 7,578.63 7,967.50 8,378.16 8,807.63 9,260.35 9,736.28 - - - COLA and MA year 2 (3%) 227.36 239.02 251.34 264.23 277.81 292.09 - - - Year 2 - Monthly Salary 7,805.99 8,206.52 8,629.50 9,071.86 9,538.16 10,028.37 - - - COLA and MA year 3 (3%) 234.18 246.20 258.88 272.16 286.14 300.85 - - - Year 3 - Monthly Salary 8,040.16 8,452.72 8,888.38 9,344.02 9,824.30 10,329.22 - - - Fire Fighter Engineer (22
years) - Admin 6,513.56 6,847.87 7,200.86 7,570.07 7,959.23 8,368.11 - - - COLA and MA year 1 (9.65%) 628.56 660.82 694.88 730.51 768.07 807.52 - - - Year 1 - Monthly Salary 7,142.12 7,508.69 7,895.74 8,300.59 8,727.30 9,175.63 - - - COLA and MA year 2 (3%) 214.26 225.26 236.87 249.02 261.82 275.27 - - - Year 2 - Monthly Salary 7,356.39 7,733.95 8,132.61 8,549.60 8,989.12 9,450.90 - - - COLA and MA year 3 (3%) 220.69 232.02 243.98 256.49 269.67 283.53 - - - Year 3 - Monthly Salary 7,577.08 7,965.97 8,376.59 8,806.09 9,258.79 9,734.43 - - - Fire Fighter Trainee 4,772.67 - - - - - - - -
COLA and MA year 1 (9.65%) 460.56 - - - - - - - -
Year 1 - Monthly Salary 5,233.23 - - - - - - - -
COLA and MA year 2 (3%) 157.00 - - - - - - - -
Year 2 - Monthly Salary 5,390.23 - - - - - - - -
COLA and MA year 3 (3%) 161.71 - - - - - - - -
Year 3 - Monthly Salary 5,551.93 - - - - - - - -
EXHIBIT 2
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CITY OF STOCKTON 51
IN WITNESS WHEREOF this Memorandum of Understanding was ratified by a membership vote of the Association on the ______ day of_________, 2022 and by an affirmative vote of the Stockton City Council on _______________. The parties hereto have executed this Memorandum of Understanding this _______day of ___________,2022 .
STOCKTON PROFESSIONAL
FIRE FIGHTERS’ LOCAL UNION 456,
International Association of Fire Fighters City of Stockton ___________________________________ _________________________________
MARIO GARDEA HARRY BLACK
President City Manager
___________________________________
MICAH MORI
Fire Unit Representative
___________________________________ _________________________________ SCOTT WATKINS ALLISON U. DICHOSO
Fire Unit Representative Director of Human Resources
Approved as to form: Approved as to form:
RAINS LUCIA STERN, PC LORI M. ASUNCION, Acting City Attorney By: By:
________________________________ _________________________________ TIMOTHY TALBOT MARCI A. ARREDONDO
Attorney for the Association Deputy City Attorney
By:
_________________________________
BURKE DUNPHY
Negotiator for the City
ATTEST:
_________________________________
ELIZA GARZA
City Clerk
EXHIBIT 2
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON
FIRE SERVICES MANAGEMENT UNIT
MEMORANDUM OF UNDERSTANDING
The Stockton Firefighters’ Local 456, International Association of Firefighters and representatives of the City of Stockton have met and conferred in good faith regarding wages, hours and other terms of conditions of employment for employees in the representation unit identified in Section 1 of this Memorandum of Understanding, have exchanged freely information, opinions, and proposals, and have endeavored to reach agreement on all matters relating to the employment conditions and employer-employee relations of such employees.
This Memorandum of Understanding is entered into pursuant to the Meyers-Milias-Brown Act (Government Code sections 3500-3511) (“MMBA”) and has been jointly prepared by the parties.
This Memorandum of Understanding shall be presented to the Stockton City Council as the joint recommendations of the undersigned regarding wages, hours and other terms and conditions of employment for the period commencing July 1, 2022, and ending on June 30, 2025. This agreement shall supersede all other existing agreements on the matters set forth herein.
EXHIBIT 3
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CITY OF STOCKTON ii
TABLE OF CONTENTS
SECTION 1. RECOGNITION………………………………………………………….……….1
SECTION 2. UNION SECURITY……………………………………………………….……...2
2.1 Union Membership Dues and Payroll Deductions ........................................ 2
2.2 Use of City Facilities..................................................................................... 3
2.3 Advance Notice ............................................................................................ 3
2.4 Attendance at Meetings by Employees/Release Time ................................. 4
2.5 New Hire Employee Orientation and Information Requirements .................. 4 SECTION 3. NON-DISCRIMINATION/EQUAL EMPLOYMENT .………………………….5
3.1 Non-Discrimination/Equal Employment........................................................ 5 SECTION 4. PROBATION .............................................................................................. 6 SECTION 5. LAYOFF...................................................................................................... 7
5.1 Layoff Scope ................................................................................................ 7
5.2 Notice of Layoff ............................................................................................ 7
5.3 Precedence by Employment Status ............................................................. 7
5.4 Employee Options........................................................................................ 8 SECTION 6. REEMPLOYMENT ..................................................................................... 9 SECTION 7. DISCIPLINE.............................................................................................. 10 SECTION 8. GRIEVANCE PROCEDURES .................................................................. 11
8.1 Definition .................................................................................................... 11
8.2 Filing Deadline............................................................................................ 11
8.3 Grievance Processing ................................................................................ 11
8.4 Scope of Arbitration.................................................................................... 12
8.5 Other Provisions......................................................................................... 12 SECTION 9. LEAVES ................................................................................................... 14
9.1 Vacation Leave........................................................................................... 14
9.2 Sick Leave.................................................................................................. 16
9.3 Other Leaves with Pay ............................................................................... 18
9.4 Workers' Compensation Leave .................................................................. 20 EXHIBIT 3
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9.5 Leaves of Absence..................................................................................... 21
9.6 Leaves of Absence without Pay ................................................................. 22
9.7 Absence Without Official Leave (AWOL).................................................... 22 SECTION 10. DAYS AND HOURS OF WORK ............................................................. 23
10.1 Workweek ................................................................................................ 23
10.2 Shift Trades.............................................................................................. 23
10.3 Staffing..................................................................................................... 23 SECTION 11. OVERTIME............................................................................................. 24
11.1 Overtime Authorization ............................................................................ 24
11.2 Fair Labor Standards Act (FLSA) Agreement .......................................... 24
11.3 Compensatory Time................................................................................. 25
11.4 Fair Labor Standards Act ......................................................................... 25 SECTION 12. HOLIDAYS ............................................................................................. 27 SECTION 13. COMPENSATION OTHER THAN BASE SALARY................................. 29
13.1 PERS Benefits for Unit Employees hired on or before 12/28/2012.......... 29
13.2 PERS Benefits for Unit Employees hired on or after 12/29/2012 and before 01/01/2013.................................................................................... 30
13.3 PERS Benefits for Unit Employees hired on or after 01/01/2013............. 30
13.4 Uniform Allowance ................................................................................... 31
13.5 Certificate Incentive Pay .......................................................................... 31
13.6 Emergency Medical Technician Certification ........................................... 31
13.7 Mileage Reimbursement for Private Vehicle Use..................................... 32
13.8 Longevity Pay .......................................................................................... 32
13.9 Contagious Disease................................................................................. 32
13.10 Specialty Assignment Pay...................................................................... 33
13.11 Acting Pay .............................................................................................. 33
13.12 Call-Back Pay......................................................................................... 33
13.13 Paramedic Certificate Pay...................................................................... 33
13.14 Wellness-Fitness Program ..................................................................... 34
13.15 CalPERS Reportability ........................................................................... 34 EXHIBIT 3
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13.16 Lapse of Certification.............................................................................. 34 SECTION 14. INSURANCE PLANS.............................................................................. 35
14.0 Reopener Clause for Health Insurance .................................................... 35
14.1 Health Insurance and Welfare Related Benefits ...................................... 35
14.2 Long Term Disability................................................................................. 36
14.3 Life Insurance .......................................................................................... 37
14.4 Retiree Medical Trust............................................................................... 37
14.5 Survivors' Medical Benefit........................................................................ 38 SECTION 15. SALARY PLAN....................................................................................... 39
15.1 Salary Ranges.......................................................................................... 39
15.2 Salary Upon Appointment ........................................................................ 39
15.3 Salary Equivalents.................................................................................... 39
15.4 Salary Step After Military Leave ............................................................... 39
15.5 Salary Step When Salary Range is Increased.......................................... 40
15.6 Salary Step After Promotion or Demotion ................................................ 40
15.7 Salary on Reinstatement .......................................................................... 40
15.8 Salary Adjustments .................................................................................. 40
15.9 Bi-Weekly Pay Period............................................................................... 41
15.10 Lump Sum Payment ............................................................................... 41 SECTION 16. SEPARABILITY OF PROVISIONS......................................................... 42 SECTION 17. PRACTICES AND EXISTING MEMORANDA OF UNDERSTANDING .. 42 SECTION 18. SCOPE OF AGREEMENT ..................................................................... 42 SECTION 19. DURATION OF AGREEMENT ............................................................... 42 SECTION 20. MAINTENANCE OF OPERATIONS....................................................... 42 APPENDIX A. COLA AND MARKET ADJUSTMENTS ................................................. 45 EXHIBIT 3
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON 1
SECTION 1. RECOGNITION
1.1 City Recognition
The City Manager, or any person or organization duly authorized by the City Manager, is the representative of the City of Stockton, hereafter referred to as the "City," in employer employee relations as provided in Resolution No. 32,538, adopted by the City Council on August 4, 1975.
1.2 Union Recognition
Pursuant to Resolution No. 36,011, adopted by the Stockton City Council on February 14, 1979, Stockton Firefighters' Local 456 (formerly Local 1229), International Association of Firefighters, is the recognized employee organization representing the Fire Services Management Unit, hereafter referred to as the “Union.” EXHIBIT 3
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CITY OF STOCKTON 2
SECTION 2. UNION SECURITY
2.1 Union Membership Dues and Payroll Deductions
(a) In accordance with the Senate Bill (SB) 866, the parties agree to the following process for making, cancelling, or changing payroll deductions for Union membership dues deductions.
(b) As certified in writing by the Union to the City in a manner consistent with the requirement of (SB) 866, the City will deduct the monthly Union membership dues, initiation fees, general assessments and payments for membership benefits programs sponsored by the Union from the salary or wages of all bargaining unit employees, and pay such amounts to the union. (1) All employee requests to cancel or change membership dues deductions shall be directed to the Union.
(2) The City shall rely upon written notification from the Union for any and all employee requests to cancel or change payroll deductions for membership dues.
(3) The Union is responsible to obtain and maintain voluntary written authorization for membership dues deductions.
(4) Membership dues deductions shall automatically renew unless written notice is provided by the authorized representative of the Union certifying a change in membership dues.
(5) The City shall honor any changes to membership dues deduction amounts provided by the Union.
(6) The Union is not required to provide a copy of individual employee authorizations to the City unless a dispute arises about the existence of terms of the authorization.
(7) Deduction notifications will be provided to [email protected]. (8) Changes and/or cancellations received by the City prior to the 15th of the month will be processed no later than the first pay period of the second month. Example: Union notifies the City on January 15th, the deductions will be effective no later than the first full pay period in March. The parties recognize there is a lapse in time due to pay period processing constraints. The City will make every effort to process earlier EXHIBIT 3
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON 3
if possible.
(a) Hold Harmless Provision. The Union shall indemnify, defend, and hold the City harmless against any claims made and/or any suit against the City which may arise as a result of its deductions for membership dues or other programs sponsored by the Union.
2.2 Use of City Facilities
The Union shall be allowed by the City department in which it represents employees use of space on available bulletin boards for communications having to do with official Union business, such as times and places of meetings, provided such use does not interfere with the needs of the department.
Any representative of the Union shall give notice to the Fire Chief or the Fire Chief’s designated representative when contacting Department employees on City facilities during the duty period of the employees, provided that solicitation for membership or other internal Union business shall be conducted during the non-duty hours of all employees concerned. Prearrangement for routine contact may be made with the Fire Chief or the Fire Chief’s designated representative and, when made, shall continue until revoked by the Fire Chief.
City buildings and other facilities may be made available for use by City employees and the Union or their representatives in accordance with such administrative procedures as may be established by the City Manager or department heads concerned.
Members of the Union are prohibited from using City equipment and/or time for their personal use.
2.3 Advance Notice
Except in cases of emergency, the Union shall be given reasonable advance written notice of the proposed change to any ordinance, resolution, rule, or regulation to be adopted by the City that relates to matters within the scope of representation and shall be given the opportunity to negotiate, if requested, with the management representatives designated by the City Manager.
In cases of emergency which constitute an imminent threat to the City’s financial and/or other resources, the City may immediately implement any emergency measures the City deems necessary to prevent the public business and/or the City’s operations from being financially or otherwise impaired and deal with the emergency at hand. At the earliest practicable date thereafter, the Union shall be provided with EXHIBIT 3
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CITY OF STOCKTON 4
the notice described above and be given an opportunity, if requested, to negotiate changes to the content of said notice with the management representatives designated by the City Manager.
2.4 Attendance at Meetings by Employees/Release Time
Release Time Related to Meet and Confer. City employees who are official representatives of the Union shall be given reasonable time off with pay, in accordance with the MMBA, to attend meetings with City management representatives where matters within the scope of representation or grievances related to this unit are being considered. The use of official release time for this purpose shall be reasonable and shall not interfere, as determined by the City, with the performance of City services. Such employee representatives shall request an excused absence, prior to the scheduled meeting, whenever possible. Except by mutual agreement, the number of employees excused for release time related to meeting with City management on meet and confer and grievance matters shall not exceed three (3) per recognized bargaining unit.
2.5 New Hire Employee Orientation and Information Requirements (a) In accordance with the Assembly Bill (AB) 119, the City shall provide the Union i) not less than ten (10) days’ notice in advance of the new hire employee orientation, and ii) within thirty (30) days of hire or by the first pay period of the month following hire a list containing the following information on file from the City’s Human Resources database system:
(1) Name;
(2) Job title;
(3) Department;
(4) Work location;
(5) Personal cellular telephone numbers, including work and home; (6) Personal email addresses as provided by new hire employee; and (7) Home address.
The above information shall be updated and provided to the Union at least every one-hundred and twenty (120) days for all bargaining unit members.
EXHIBIT 3
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON 5
SECTION 3. NON-DISCRIMINATION/EQUAL EMPLOYMENT
3.1 Non-Discrimination/Equal Employment
The City and the Union agree that there shall be no discrimination of any kind on the basis of age (over 40), race, color, religion (creed), national origin (ancestry), military or veteran status, physical and mental disability, medical condition, genetic information, marital status, sexual orientation, sex (gender based including, pregnancy, childbirth, breastfeeding or related medical conditions), gender identity/expression, political affiliation, legitimate Union activity, or on any other basis prohibited by applicable Federal and State law against any employee or applicant for employment. In addition, the Union shall cooperate with the City, to the extent authorized by Federal and State laws and regulations, in furthering the City’s objective of promoting equal employment opportunities.
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON 6
SECTION 4. PROBATION
All promotional Fire Department appointments shall be subject to a probationary period of twelve (12) months. The probationary period for Fire Department promotional positions shall not be extended.
EXHIBIT 3
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TERM: JULY 1, 2022 – JUNE 30, 2025
CITY OF STOCKTON 7
SECTION 5. LAYOFF
Any employee may be laid off by the appointing authority in the event of the abolition of their position by the City Council or if a shortage of work or funds requires a reduction in personnel. The appointing authority shall have the power to determine, after consideration of work requirements and the efficiency and conduct of individual employees and their length of service, the order in which employees shall be laid off.
5.1 Layoff Scope
(a) Layoffs shall be within departments of the City.
(b) The departments of the City are defined as follows:
(1) Administrative Services Department
(2) City Attorney
(3) City Auditor
(4) City Clerk
(5) City Manager
(6) Community Development Department
(7) Community Services
(8) Economic Development
(9) Fire Department
(10) Human Resources Department
(11) Information Technology Department
(12) Municipal Utilities Department
(13) Police Department
(14) Public Works Department
5.2 Notice of Layoff
The City will give advance written notice of at least one (1) pay period to employees who will be laid off.
5.3 Precedence by Employment Status
No regular status employee shall be laid off while employees working in an extra help, seasonal, temporary, provisional, or probationary status are retained in the same classification as such regular status employee. The order of layoff among employees not having regular status shall be according to the following categories, as listed in ascending order:
(a) Extra Help
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(b) Provisional
(c) Temporary
(d) Probationary
Layoffs shall be by job classification according to the length of time served in that class, except as specified above. For the purpose of this procedure, part time classes shall be considered separate from, and shall be laid off prior to, regular full-time classes. The following provisions shall apply in computing total continuous service:
(a) Time spent on military leave shall count as service if the leave was taken subsequent to entry in the Department.
(b) Time worked in an extra help, seasonal, provisional, temporary, grant, or other limited term status shall not count as service for any other class. (c) Time worked in a regular status or probationary status shall count as service time.
If two (2) or more employees have the same seniority, the order of seniority shall be determined by the employees’ examination results and ranking on the respective eligibility list upon which the employees were subsequently hired.
5.4 Employee Options
Employees laid off shall have the following choices:
(a) Displacing the employee in the same department and in the same or clearly comparable classification as determined by the Director of Human Resources as having the least (total service) seniority. This option shall be exercised before any other option.
(b) Taking a voluntary demotion within the department to a classification in which the employee had prior regular status, thus displacing the employee working in that classification who has the least (total service) seniority.
EXHIBIT 3
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CITY OF STOCKTON 9
SECTION 6. REEMPLOYMENT
When an employee in the classified service, whose performance evaluation conducted by the employing department reflects that the employee is performing duties satisfactorily, is laid off due to lack of funds or their position is abolished or they are on an authorized leave of absence and are ready to report for duty when a position is open, the Civil Service Commission shall cause the name of the employee in the appropriate class to be placed on the reemployment list. Except as otherwise provided in subsection (b) below, the Civil Service Commission shall cause the name of each employee laid off in accordance with these rules to be placed on the reemployment list for the appropriate class for reemployment thereafter when vacancies occur.
(a) Laid off employees who separate from City of Stockton employment will be placed on the reemployment list for two (2) years.
(b) An employee who receives a notice of layoff and exercises the option to demote to a previously held lower classification shall be placed on the reemployment list for the position from which the employee was demoted, as provided for above, and remain on the list as long as the employee remains an employee of the City or for a period of two (2) years from the date of separation due to layoff, whichever is longer, or until the employee declines appointment to the position. The reemployment rights granted by this subsection are applicable only to employees who demote to a previously held lower classification after receiving a notice of layoff.
The reemployment list for any class shall be established by a Civil Service resolution, as needed. The order in which names shall be placed on the reemployment list for any class shall be by seniority, which means “last laid off, first rehired.” An employee who waives reemployment three (3) times shall have their name removed from the reemployment list, unless mutually agreed to by the Department and the employee.
If the changes listed above require Civil Service approval, the Association agrees to not object to these changes in the duration of reemployment lists consistent with this section.
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CITY OF STOCKTON 10
SECTION 7. DISCIPLINE
Disciplinary action, including discharge, suspension, reduction in pay, demotion, or other employment penalty may be taken against any employee for cause.
The appointing authority may discharge, suspend, or demote any employee in the classified service provided the City Charter provisions, the Civil Service Commission Rules and Regulations, and any applicable provisions of law are followed. Such provisions allow the employee discharged, suspended, demoted, or reduced in pay to file an appeal to the Civil Service Commission for such disciplinary action. The employee may take any one (1) of the following actions:
(a) File no appeal.
(b) File an appeal with the Civil Service Commission within ten (10) business days of receipt of written notification of the disciplinary action. Such filing will foreclose the use of the grievance procedure.
(c) File a grievance as provided for in Section 8.2, below, within ten (10) business days of receipt of written notification of the disciplinary action.
If the employee fails to do (b) or (c) above within the prescribed time frames, those rights will have been waived.
Lesser forms of disciplinary actions, such as written reprimands and transfers for purposes of punishment that do not involve loss of pay, may be appealed in accordance with the Fire Department’s “Fire Fighters Procedural Bill of Rights (FBOR) Informal Discipline Appeal Procedure.”
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SECTION 8. GRIEVANCE PROCEDURES
8.1 Definition
A grievance is any dispute which involves the interpretation or application of those rules, regulations, and resolutions which have been, or may hereafter be, adopted by the City Council to govern personnel practices and working conditions, including such rules, regulations, and resolutions as may be adopted by either the City Council or the Civil Service Commission to affect Memoranda of Understanding which results from the meeting and conferring process.
8.2 Filing Deadline
No grievance involving demotion, suspension, discharge, or other employment penalty will be entertained unless it is filed in writing with the Director of Human Resources within ten (10) business days of the time the affected employee received written notification of such action.
For purposes of filing appeals and grievances, the City’s business days/hours are Monday through Friday, 8:00 a.m. to 5:00 p.m., excluding City-recognized holidays.
8.3 Grievance Processing
(a) Step 1 - Departmental Review. Any employee claiming to have a grievance may discuss the matter with such management official as the Fire Chief may designate. If the issue is not resolved by the Department within seven (7) working days from the day of presentation, or if the employee elects to submit the grievance directly to the Union’s recognized representative, the procedures set forth in Step 2, below, may be invoked.
(b) Step 2 - Director of Human Resources Review. Any employee or official of the Union may notify the Director of Human Resources in writing that a grievance exists, stating the particulars of the grievance and, if possible, the nature of the determination desired. The Director of Human Resources shall have twenty (20) working days in which to investigate the issues, meet with the complainant, and attempt to reach a satisfactory resolution of the problem. No grievance may be processed under the following two (2) paragraphs which has not first been filed and investigated in accordance with this paragraph, except for the resolution of compensation complaints.
(c) Step 3 - City Manager Review. Any grievance that has not been resolved by the procedures set forth above may be referred to the City Manager by the complainant or by the Director of Human Resources. Such referral shall be in EXHIBIT 3
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writing, detailing the specific issues involved in the referral together with a statement of the resolution desired. The City Manager shall designate a personal representative, who shall not be the Director of Human Resources, to investigate the merits of the complaint, to meet with the complainant, and, if the complainant is not the Union, to meet also with the officials of the Union to settle the grievance or to make recommendations to the City Manager. (d) Step 4 - Arbitration. If the grievance is not resolved at Step 3, either the Union or the City may require that the grievance be referred to an impartial arbitrator who shall be designated by mutual agreement between the Union and the City Manager. The fees and expenses of the arbitrator and a court reporter shall be shared equally by both parties. Each party, however, shall bear the cost of its own presentation, including preparation and post hearing briefs, if any. (e) Effect of Decision. Decisions of arbitrators on matters properly before them shall be final and binding on the parties, except as otherwise provided herein.
8.4 Scope of Arbitration
No arbitrator shall entertain, hear, decide, or make recommendations on any dispute unless such dispute involves a position in a unit represented by the Union and unless such dispute falls within the definition of a grievance as set forth in paragraph 8.1, above.
Proposals to add to or change this Memorandum of Understanding or written agreements or addenda supplementary hereto shall not be arbitrable and no proposal to modify, amend, or terminate this Memorandum of Understanding, nor any matter or subject arising out of or in connection with such proposal, may be referred to arbitration under this section. The arbitrator selected pursuant to this section shall not have the power to amend or modify this Memorandum of Understanding or written agreements or addenda supplementary hereto or to establish any new terms or conditions of employment.
No changes in this Memorandum of Understanding or interpretations thereof (except interpretations resulting from arbitration proceedings hereunder) will be recognized unless agreed to by the City Manager and the Union.
8.5 Other Provisions
If the Director of Human Resources or the City Manager, in pursuance of the procedures outlined above, resolve a grievance which involves suspension or discharge, they may agree to payment for lost time or to reinstatement with or without payment for lost time, but in the event the dispute is referred to arbitration and the EXHIBIT 3
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arbitrator finds that the City had cause to take the action complained of, the arbitrator may not substitute their judgment for the judgment of management and if the arbitrator finds that the City had such right, they may not order reinstatement and may not assess any penalty upon the City.
All complaints alleging that the City is not compensating employees in accordance with the provisions of this Memorandum of Understanding shall be filed as grievances directly with the City Manager. Any other matters of compensation are to be resolved in the meeting and conferring process, and, if not detailed in the Memorandum of Understanding which results from such meeting and conferring process, shall be deemed withdrawn until the meeting and conferring process is next open for such decision. No adjustment shall be retroactive for more than one-hundred and eighty (180) days from the date upon which the complaint was filed.
The provisions of this section shall not abridge any rights to which an employee may be entitled under the City Charter or Civil Service Rules and Regulations, nor shall it be administered in a manner that would abrogate any power which, under the City Charter or Civil Service Rules and Regulations, may be within the sole province and discretion of the Civil Service Commission.
All grievances of employees in units represented by the Union shall be processed under this section. If the City Charter or Civil Service Rules and Regulations requires that another option be available to the employee, no action under Section 8.3(d), above, shall be taken unless it is determined that the employee is not utilizing such option.
No action under Section 8.3(d), above, shall be taken if action on the complaint or grievance has been taken by the Civil Service Commission, or if the complaint or grievance is pending before the Civil Service Commission.
If any award by an arbitrator requires action by the City Council or the Civil Service Commission before it can be placed in effect, the City Manager and the Director of Human Resources will recommend to the City Council or the Civil Service Commission, as appropriate, that it follow such award.
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SECTION 9. LEAVES
9.1 Vacation Leave
(a) Accrued Vacation Allowance. All regular status employees, excluding provisional, temporary, and part-time employees, shall accrue vacation leave as follows:
(1) 40-hour workweek employee:
Under 1.5 years 80 hours
1.5 – 7.5 years 108 hours
7.5 – 15 years 144 hours
15 – 25 years 189 hours
25 plus years additional 7 hours each year
(2) 56-hour workweek employee:
Under 1.5 years 120 hours
1.5 – 7.5 years 162 hours
7.5 – 15 years 216 hours
15 – 25 years 283.5 hours
25 plus years additional 10.5 hours each year
Employees shall accrue vacation leave on a per pay period basis. (b) Maximum Vacation Accrual. Effective June 30, 2012, the following maximum vacation accruals shall take effect. Employees reaching the maximum hours provided here shall stop accruing additional vacation leave until they are below the caps listed here. No vacation leave may be added to sick leave balances. (1) The maximum number of vacation hours that employees on a 40-hour workweek shall accrue are as follows:
Under 1.5 years 120 hours
1.5 – 7.5 years 240 hours
7.5 – 15 years 280 hours
15 – 25 years 320 hours
26 years 328 hours
27 years 336 hours
28 years 344 hours
29 years 352 hours
29 plus years 7 hours each additional year
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(2) The maximum number of vacation hours that employees on a 56-hour workweek shall accrue are as follows:
Under 1.5 years 300 hours
1.5 – 7.5 years 360 hours
7.5 – 15 years 420 hours
15 – 25 years 480 hours
26 years 492 hours
27 years 504 hours
28 years 516 hours
29 years 528 hours
29 plus years 7 hours each additional year
(c) Longevity Vacation Allowance
(1) This program is eliminated as of July 1, 2011. Employees with accrued longevity vacation allowance balances as of June 30, 2011 will have those balances frozen and cashed out upon separation at the employee’s rate of pay on June 30, 2011.
(2) Annual longevity vacation allowance accrual credited on January 1, 2011 shall be reduced by fifty percent (50%).
(d) Scheduling
(1) 48/96 Shift Schedule. The 48/96 Shift Schedule for line fire suppression employees shall continue indefinitely with the contingency that the Fire Chief shall retain the ability to discontinue, change, or otherwise alter the work schedule consistent with their management responsibility to control and direct all Stockton Fire Department’s members and divisions. The following provisions shall apply, as long as the 48/96 Shift Schedule remains in effect:
a. A minimum of four (4) shifts of Accrued Vacation must be scheduled per year. The four (4) shift minimum is not required to be scheduled continuously and may be split into two (2) separate vacation periods of a minimum of two (2) consecutive shifts each.
b. Any Accrued Vacation that is not scheduled contiguous with the required four (4) shifts will be scheduled by mutual agreement of the employee and the Fire Chief.
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(e) Vacation Allowance for Separated Employees. Employees separating from City service for any reason who have unused vacation leave shall be paid for such vacation time up to the effective date of the last day of employment with the City. Payment for unused vacation shall be made at the final rate of pay.
Payment for the unused vacation hours shall be paid post separation date at no later than the second regularly scheduled pay period pay date following separation. Prior to separation from City service, the City does not provide to employees any vacation cash out or sell back for accrued but unused vacation hours.
9.2 Sick Leave
(a) Accrual. All regular status employees on a forty (40) hour workweek schedule, except provisional, temporary, and part time employees, shall accrue sick leave at the rate of eight (8) hours for each full month of service. All regular status employees on a fifty-six (56) hour workweek schedule, except provisional, temporary, and part-time employees shall accrue sick leave at a rate of twelve (12) hours for each month of service. All regular status employees, except provisional, temporary, and part time employees, working less than a full month shall accrue sick leave while off duty on authorized sick leave, provided, however, an employee shall not accrue sick leave during any leave or leaves of absence without pay granted to the employee. (b) Usage. Employees are entitled to sick leave pay for those days that the employee would normally have worked, to a maximum of sick leave hours accrued by the employee.
An employee may use sick leave for preventive medical, dental, optical care, and for illness, injury, or exposure to contagious disease, which incapacitates them from performing their duties. This includes disabilities caused or contributed to by pregnancy, miscarriage, abortion, childbirth, and recovery therefrom.
(c) Family Sick Leave. Employees may utilize fifty percent (50%) of their annual accrued sick leave to attend to cases of illness or injury in the employee's immediate family, except in instances where the employee is on approved FMLA or CFRA leave.
Such leave shall be restricted to the employee's parents, spouse, registered domestic partner, mother-in-law, father-in-law, child, stepchild, legal dependent, brother, sister, brother-in-law, sister-in-law, grandparent, and grandchild.
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(d) Procedures for Requesting and Approving Sick Leave. The employee shall notify the Chief's Operator, or if unavailable, the shift Telecommunications Supervisor at the Emergency Communications Division (ECD) at the earliest reasonable time, but not later than 0645 hours of the day scheduled for duty.
When the requirement for sick leave is known to the employee in advance of their absence, the employee shall request in writing authorization for such sick leave from the Fire Chief prior to such absence.
Before an employee may be paid for the use of accrued sick leave, they shall complete and submit to the Fire Chief a signed statement, on a prescribed form, setting forth the dates and hours of absence, the exact reason, and such other information as is necessary for the request to be evaluated. If an employee does not return to work prior to the preparation of the payroll, other arrangements may be made with the approval of the Fire Chief. (e) Doctor's Certificate or Other Proof. If an employee's illness results in an absence from work for more than two (2) consecutive shifts, a doctor's certificate or other reasonable proof of illness may be required by the Fire Chief.
The Fire Chief or designee may make such sick leave usage reviews and may require such physician's documentation as they deem necessary to ensure proper use of the sick leave benefit. In addition, the Fire Chief may monitor and control the appropriate use of sick leave by employees and if reasonable cause is articulated, can limit use of sick leave and require additional verification.
(f) Use of Sick Leave While on Vacation. An employee who is injured or who becomes ill while on vacation may be paid for sick leave in lieu of vacation leave provided that the employee:
(1) Was hospitalized during the period for which sick leave is claimed, or (2) Received medical treatment or diagnosis and presents a statement indicating disabling illness or injury signed by a physician covering the period for which sick leave is claimed.
(g) Accessibility and Reporting. All officers and members of the Department on leave for sickness shall be available by telephone or at their home for consultation with the Fire Chief or the Fire Chief’s designee. Exceptions to this rule shall only be made with the permission of the attending physician and Fire Chief.
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All officers and members of the Department on leave for sickness for extended periods of time will make weekly progress reports by telephone to the Fire Chief’s office.
(h) Return to Duty. Upon availability for return to duty, the employee shall notify the Chief's Operator, or if unavailable, the shift Telecommunications Supervisor at the ECD at the earliest reasonable time, but not later than 1800 hours on the day prior to their next scheduled duty period. Sick leave may be granted for any period of time approved by the Fire Chief. (i) Payment for Unused Sick Leave for Unit Employees. Effective February 17, 2012, all sick leave shall have no cash value upon separation of employment and employees shall not be allowed to cash out unused sick leave. Employees may be eligible to convert unused sick leave for CalPERS service credit at retirement based on the CalPERS contract provisions applicable to their employment.
(j) CalPERS Service Credit for Unused Sick Leave. Employees hired on or before December 28, 2012 shall be eligible to convert up to two thousand and eighty (2080) hours of unused sick leave not otherwise compensated for in (k) below to CalPERS service credit at retirement. Employees hired after this date will not be eligible to convert sick leave to service credit in accordance with the City’s CalPERS contract to eliminate service credit for unused sick leave after this date. Service credit for unused sick leave shall be in accordance with CalPERS regulations.
(k) Sick Leave Retention Benefit. After subtracting the equivalent of one (1) full year of service credit (2080 hours), which may be applied to CalPERS service credit, any balance remaining upon separation which the employee held on February 16, 2012, shall be paid at fifty percent (50%) of its cash value to separating employees after July 1, 2015.
9.3 Other Leaves with Pay
(a) Bereavement Leave. In the event of a death in the immediate family of an employee, the employee shall, upon their request, be granted up to three (3) days bereavement leave with pay and without charge to their accumulated sick leave or vacation leave. The City Manager may grant an additional two (2) days bereavement leave upon request, which shall be charged against the employee's accumulated sick leave in cases where extensive travel is required to attend the funeral. For the purposes of this section, “immediate family” shall be restricted to the employee’s parents, spouse, registered domestic partner, EXHIBIT 3
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mother-in-law, father-in-law, child, stepchild, brother, sister, brother-in-law, sister-in-law, grandparent, and grandchild.
In the event of the death of a person not immediately related to an employee, as defined above, the employee's department head may grant up to three (3) days leave upon request, which shall be charged against the employee's accumulated sick leave.
(b) Court Appearance. Upon approval by the Fire Chief, an employee, other than a provisional or temporary employee, shall be permitted authorized absence from duty for appearance in court for jury service, in obedience to a subpoena, or by direction of proper authority in accordance with the following provisions:
(1) Such absences from duty will be compensated for actual hours the employee serves on the jury or testifies as a witness in a criminal case, other than as a defendant, including necessary travel time. This shall include the time from when the employee is ordered to appear until the time the employee is released from the court. As a condition of receiving full pay, the employee must remit to the City, within fifteen (15) days after receipt, all fees received, except those specifically allowed for mileage and expenses. The employee shall remit such fees to the City through the employee's department head.
(2) On-duty employees shall return to work immediately upon release from court.
(3) Absences from duty will be without pay when the employee appears in private litigation to which the City is not a party.
(4) Notwithstanding the foregoing, attendance in court or at a deposition in connection with an employee’s official duties for a case in which the City is a party, together with travel time and necessarily involved, shall not be considered in terms of actual hours spent performing those duties and paid as hours worked.
(c) Maternity Leave. Time off from work for pregnancy, childbirth, and related medical conditions will be covered as required by State and Federal law and applicable City policy. Employees may use sick leave, leave without pay, annual leave, or a combination of these benefits, depending on the nature of the case and the time medically required to recuperate. Generally, a six (6) week recovery period after delivery is medically indicated.
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(d) Military Leave. An employee of the City who is a member of the National Guard or Naval Militia or a member of the Reserve Corps or Force of the Federal Military, Naval, or Marine Service and is ordered to duty shall be granted leave with pay while engaged therein, provided the leave does not exceed thirty (30) calendar days in any calendar year.
All regular status employees in the service of the City who have been inducted into the Army, Navy, Marine Corps, Air Force, or any other branch of the Military Service of the United States or the State of California shall be allowed leave of absence without pay for the duration of a national emergency. Except as hereafter stated, said employees shall be reinstated into City service, provided they are physically fit as shown by a medical examination by the City Physician or other physician appointed to make a medical examination.
Two (2) or more regular employees granted military leave of absence without pay from the same position shall be re-employed according to their seniority of employment, provided they are physically fit, as above specified.
9.4 Workers' Compensation Leave
Whenever an employee is disabled, whether temporarily or permanently, by injury or illness arising out of, and in the course of, their duties, the employee shall become entitled, regardless of their period of service with the City, to a leave of absence, while so disabled, without loss of salary, in lieu of temporary disability payment, if any, which would be payable for the period of such disability but not exceeding one (1) year or until such earlier date as they are retired on permanent disability pension.
If injury is claimed to be job-related or a recurrence of a previous job-related sickness or injury, it must be verified with a written physician's statement. Otherwise, disability leave will not be allowed. Any absence not so approved will be charged to sick leave if verification is not received within three (3) days of the initial absence. The company officer should originate a "Supervisor's Report of Accident" form (Form 78). (a) Notification to Department. The employee should notify the Chief’s Operator or, if unavailable, the shift Telecommunications Supervisor at the ECD at the earliest reasonable time, but not later than 0645 hours of the day scheduled for duty.
(b) Accessibility and Reporting. All officers and members of the Department on leave for injury (job-related or non-job-related) shall be available at their homes or by telephone for consultation with the Fire Chief or the Fire Chief’s designee(s). Exceptions to this rule shall only be made with the permission of the attending physician and the Fire Chief.
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All officers and members of the Department on leave for injury (job-related or non-job-related) for extended periods of time will make weekly progress reports by telephone to the Fire Chief’s office.
(c) Return to Duty. Upon availability for return to duty, employees shall notify the Chief's Operator, or if unavailable, the shift Telecommunications Supervisor at the ECD at the earliest reasonable time, but not later than 1800 hours on the day prior to their next scheduled duty period.
(d) Forms and Procedures. Workers’ compensation processing shall be consistent with City procedures and in accordance with State workers’ compensation regulations. An employee who sustains a work-related injury or illness shall immediately inform their supervisor no matter how minor an onthe-job injury may appear. An employee who sustains a work-related injury or illness is required to seek medical care at facilities designated by the City unless they have filed a pre-designation of personal physician prior to sustaining the work-related injury or illness. For a list of City designated medical care facilities and/or physicians, please contact Human Resources.
9.5 Leaves of Absence
Employees shall not be entitled to leaves of absences as a matter of right, but only in accordance with the provisions of law and the Stockton Municipal Code. Unless otherwise provided, the granting of a leave of absence also grants the employee the right to return to a position in the same classification or equivalent classification as the employee held at the time the leave was granted. The granting of any leave of absence shall be based on the presumption that the employee intends to return to work upon the expiration of the leave.
All approval authority over leaves of absence exercised by the Fire Chief under this section shall be subject to review by the City Manager, whose ruling shall be final.
Employees on authorized leaves of absence without pay shall not be entitled to payment by the City of the premiums for their health and dental insurance, except as provided hereafter.
The entitlement to City-paid premiums shall end on the last day of the month in which the employee was paid except employees on an authorized leave of absence may continue enrollment in the City health and dental insurance plans by prepayment of the monthly premium during the authorized leave of absence.
Authorized absences without pay that exceed thirty (30) consecutive calendar days, except military leave, shall not be included in determining salary adjustment rights, EXHIBIT 3
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based on length of employment. Periods of time during which an employee is required to be absent from their position by reason of an injury or disease for which they are entitled to and currently receiving Workers' Compensation benefits shall be included in computing length of service for the purpose of determining that employee's salary adjustments.
9.6 Leaves of Absence without Pay
(a) Purpose and Length. Only employees occupying positions on a regular status basis are eligible for leaves of absence without pay under the provisions of the section.
An appointing authority may grant leaves of absence without pay for personal reasons up to a maximum of twelve (12) months with the approval of the Director of Human Resources.
Leaves of absence without pay on account of illness or injury, which are not job related, may be granted for a maximum period of twelve (12) months with the approval of the Director of Human Resources. This includes disabilities caused or contributed to by pregnancy, miscarriage, abortion, childbirth, and recovery therefrom.
Such a leave will be granted only after all accrued sick leave has been used and shall be substantiated by a physician's statement.
(b) Application For and Approval of Leaves of Absence Without Pay. In order to receive leave without pay, an employee must submit a request on the prescribed form to the Fire Chief and the City Manager. The request shall set forth the reasons for the request and all other information required for the Fire Chief or the Fire Chief’s representative to evaluate the request. Leaves without pay may be canceled by the Fire Department at any time.
9.7 Absence Without Official Leave (AWOL)
(a) Denial of Leave Request or Failure to Return After Leave. Failure to report for duty or failure to report for duty after a leave of absence request has been disapproved, revoked, or canceled by the Department or City Manager or at the expiration of a leave shall be considered an absence without leave. (b) Voluntary Resignation. Any employee in this bargaining unit absent without leave for two (2) or more shifts in any calendar month without a satisfactory explanation as approved by the Director of Human Resources shall be deemed to have voluntarily resigned from employment with the City.
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SECTION 10. DAYS AND HOURS OF WORK
10.1 Workweek
Except in cases of conflagration, flood, or similar emergency, the basic workweek of any member of this unit shall not be more than fifty-six (56) hours per week, averaged over a twelve (12) week period. All working shifts will commence at 0800 hours, with the exception of the employees assigned to work in the Fire Department’s Administration Offices, Fire Prevention Bureau employees, and Division of Training employees, whose hours shall be determined by the Fire Chief.
10.2 Shift Trades
Employees in this unit will be allowed to trade shifts. Shift trade privileges shall be determined and administered by the Fire Chief.
Employees who have traded their shift with another employee shall not be eligible to work any overtime for the period that would have been their normal work hours.
10.3 Staffing
The City has management rights to determine staffing and the City will comply with applicable CalOSHA laws.
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SECTION 11. OVERTIME
11.1 Overtime Authorization
All compensable overtime must be authorized by the department head or their designated representative in advance of being worked. If prior authorization is not feasible because of emergency conditions, a confirming authorization must be made on the next regular working day following the date on which the overtime was worked.
11.2 Fair Labor Standards Act (FLSA) Agreement
(a) “24-hour shift employees” means fire suppression employees assigned to a Section 7(k) exemption FLSA work schedule.
(b) “Day shift employees” means Fire Management Unit employees assigned to work a conventional 40-hour workweek, such as a Monday through Friday 5/8 work schedule, a 9/80 work schedule, and/or a 4/10 work schedule (e.g. fire prevention, training division, etc.).
(c) 24-hour Shift Employees.
(1) Employees currently assigned to a twenty-four (24) day work period will be paid overtime rate for hours worked in excess of one-hundred and eighty-two (182) hours in a 24 day work period.
(2) Premium FLSA Pay. Fire unit employees on a 7(k) exemption work schedule currently receive three point one six (3.16) hours per pay period for Premium FLSA Pay to compensate for ten (10) hours of scheduled overtime between the FLSA maximum of 182 and 192 hours in a 24 day work period.
(d) For Day Shift employees, overtime shall be paid at the rate of time and one half (1-½) for all hours of actual time worked in excess of forty (40) hours in a seven (7) day work period.
(e) Hours worked shall include all actual time worked. Sick Leave, Bereavement Leave, Industrial Illness or Injury Leave (4850) taken within the work period 4850 leave begins or ends, and Jury Duty Leave shall also count as actual time worked. Vacation Leave, or other time taken as compensated time off shall not be considered as actual time worked. Holiday hours taken and observed holidays where the City is closed shall be considered as time worked for unit employees in Administrative assignments where holidays are observed only.
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11.3 Compensatory Time
(a) Definition. As used in this section, the term Compensatory Time refers to that time which an employee is entitled to be absent from duty with pay for hours worked in addition to, or in excess of, their normal work schedule. (b) Use. Such compensatory time must be taken during the work period in which it is earned and will be credited in accordance with Section 11.1 above. The accrual of compensatory time and the date upon which such time will be taken must be authorized by the Fire Chief or the Fire Chief’s designated representative prior to both the performance of the hours worked and the compensatory absence from duty. In the event the employee determines that they are unable to take accrued compensatory time during the work period in which it is earned, pay for such time shall be provided at straight time or time and one half (1-½) depending upon the number of hours worked by the employee during the work period consistent with Section 11.1 above. (c) Department Policy. Compensatory time for sworn 40-hour personnel shall be provided in accordance with the Department’s Policy and Procedures, Article J, Section 3B.
11.4 Fair Labor Standards Act
The City and the Union shall cooperate with each other to promptly resolve any issue that may arise during the term of this Memorandum of Understanding regarding compliance with the Fair Labor Standards Act. Any dispute which involves the interpretation or application of the Fair Labor Standards Act may be referred to the City Manager by the complaining party or by the Director of Human Resources. Such referral shall be in writing, detailing the specific issue(s) involved in the referral together with a statement of the resolution desired. The City Manager shall designate a personal representative who shall not be the Director of Human Resources to investigate the merits of the dispute, meet with the complaining party, and attempt to settle the dispute. The availability of this procedure shall not be deemed to limit or foreclose the rights of an employee to seek relief in such other forums as the law provides.
(a) Work Out of Classification. Employees assigned to work overtime in a position or classification other than the position or classification to which they are appointed will be paid overtime at the hourly rate attached to the position or classification in which they are performing such overtime work. Individual premium pay to which an employee is regularly entitled shall be included when computing overtime for work performed in a position or classification to which the employee does not hold a permanent appointment.
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(b) Training Time. The time spent by an employee for job-related training in which participation is required by the City as a condition of continued employment shall be considered as hours worked. Said training time shall be viewed as hours worked in lieu of the employee’s normally scheduled shifts for that period. Employees shall participate in such training programs during their normally scheduled hours of work when provided by the City during those hours, unless there is a particular hardship or schedule conflict which precludes the employee’s attendance, in which event approval to obtain such training during off-duty hours must be requested and obtained in advance from the Fire Chief or the Fire Chief’s designated representative.
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SECTION 12. HOLIDAYS
(a) Effective upon the first full pay period following ratification of this Memorandum of Understanding by the Fire Management Unit and approval by the City Council on its regular agenda in accordance with the Ralph M. Brown Act, employees shall receive the following holidays on full pay for any one (1) holiday, unless otherwise provided in this section. The City observes the following holidays on the dates indicated:
(1) New Years Day (January 1)
(2) Martin Luther King’s Birthday (Third Monday in January) (3) Lincoln’s Birthday (Second Monday in February)
(4) Washington’s Birthday (Third Monday in February)
(5) Cesar Chavez Day (March 31-FLOATING)
(6) Memorial Day (Last Monday in May)
(7) Independence Day (July 4)
(8) Labor Day (First Monday in September)
(9) Columbus Day (Second Monday in October)
(10) Veterans’ Day (November 11)
(11) Thanksgiving (Fourth Thursday in November)
(12) The day following Thanksgiving (Fourth Friday in November) (13) Christmas Day (December 25)
(14) Birthday Holiday
(b) Effective July 1, 2021, 0.41% will be added to the suppression classifications on the salary schedule for the Birthday Holiday.
(c) Effective August 1, 2011, the differential for Administrative Positions in this unit in Section 13.12 will be increased by 6.34%.
(d) Except for employees in administrative assignments who observe holidays, employees in this bargaining unit receive the dollar value of the holidays listed above (as noted in their salary ranges) in lieu of observing holidays.
For positions that observe holidays, the FLOATING holiday must be used by December 31 of each year and does not carry forward into the subsequent year.
There is no cash value for any unused floating holiday hours. Employees have not earned and cannot use the floating holiday until the actual holiday occurs (March 31). (e) For positions that observe holidays, in order to receive Holiday Pay the employee must be in a paid status the day before and the day after the holiday. (f) Birthday Holiday Leave. For positions that observe holidays, the department head, with due consideration for the wishes of the employee, may authorize the birthday EXHIBIT 3
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holiday to be taken within sixty (60) calendar days, beginning on the day of the employee’s birthday.
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SECTION 13. COMPENSATION AND ALLOWANCES OTHER THAN BASE SALARY
13.1 Public Employee Retirement System Benefits for Unit Employees hired on or before December 28, 2012
(a) The City shall continue providing bargaining unit employees hired on or before December 28, 2012 with the California Public Employees’ Retirement System (CalPERS) 3% at 50 local safety pension formula based on the single highest year.
(b) Additional CalPERS Benefits.
(1) The City shall continue providing the following optional pension benefits and enhancements: Sick Leave Conversion up to 2,080 hours (Government Codes Section 20965), Survivor Benefit Level 4 (Government Section 21574), Post-Retirement Survivor Allowance to Continue After Remarriage (Government Code Section 21635), Continuation of Death Benefits After Remarriage (Government Code Section 21551), and Military Service Credit as Public Service and for Retired Person at the employees’ expense (Government Code Sections 21024 and 21027).
(2) The City shall continue providing such other CalPERS benefits as set forth in the City’s contract with CalPERS as of the date of the execution of this Memorandum of Understanding.
(c) Employer Paid Member Contribution (EPMC). The City shall continue contributing an amount equal to nine percent (9%) of the employee’s current base salary and other qualifying compensation as determined by state law toward the employee contribution for CalPERS benefits. Such amounts will be applied to the employee’s individual account in accordance with Government Code Section 20691.
(d) EPMC Payrate Conversion. The City will cease paying the nice percent (9%) EPMC at the beginning of an employee’s last year of employment, and the employee pays their nine percent (9%) employee contribution on a pre-tax basis through an automatic payroll deduction. The base salary for those employees will be increased by that same nine percent (9%) for the last twelve (12) months of employment in accordance with Government Code section 20692. Instead of applying these section 20692 provisions each pay period, employees may select the option for a one-time retroactive application at the time of their retirement for the entire twelve month period prior to the effective EXHIBIT 3
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date of retirement. Employees who wish to select this option, shall indicate this on the City’s EPMC Authorization form provided by Human Resources. (e) CalPERS 20516 Cost Sharing for the Employer’s Pick Up of the Employee’s Nine Percent (9%) CalPERS Contribution. Employees hired on or before December 28, 2012, agree to continue sharing the cost of the CalPERS 3% at 50 local safety pension formula plan by contributing nine percent (9%) of the employee’s current base salary (employee contribution) and other compensation as qualified by CalPERS towards the employer’s share of cost for CalPERS pension on a pre-tax basis. If CalPERS determines that the maximum contribution through a CalPERS Section 20516 amendment is less than the nine percent (9%) and/or some or all of the contributions sunset at a specific time in the future, the parties agree that the City shall deduct the percentage up to nine percent (9%) not covered by the CalPERS amendment process through a payroll deduction. If during the term of this agreement legislation is enacted and becomes effective during the term of this agreement requiring employees under the CalPERS retirement system to pay all or part of the employees share of retirement contribution thus reducing or eliminating EPMC, the parties agree that as soon as administratively possible consistent with CalPERS regulations to convert the employee’s contribution to the employer’s share under the Section 20516 cost share contract amendment to the employee’s share towards retirement for the percentage required by the new legislation.
13.2 Public Employee Retirement System Benefits for Unit Employees Hired on or after December 29, 2012 and before January 1, 2013
The City shall continue providing bargaining unit employees hired on or after December 29, 2012 and before January 1, 2013, and bargaining unit employees hired on or after January 1, 2013 who qualify as classic members with the CalPERS 3% at 55 local safety pension formula based on the three (3) year final compensation period and no optional or enhanced benefits except for statutorily required enhancements.
Employees shall continue contributing nine percent (9%) on a pre-tax basis toward the employee contribution for the pension benefits and are not subject to the Government Code Section 20516 Cost Sharing provision in Section 13.1(e) above.
13.3 Public Employee Retirement System Benefits for Employees hired on or after January 1, 2013
The City shall continue providing bargaining unit employees hired on or after January 1, 2013 without reciprocity (i.e., “new” members) the CalPERS 2.7% at 57 local safety pension formula based on the three (3) year final compensation period and no optional or enhanced benefits except for statutorily required enhancements.
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Employees without reciprocity shall continue contributing fifty percent (50%) of the “normal cost” as determined by CalPERS on a pre-tax basis for the pension benefit and are not subject to the Government Code Section 20516 Cost Sharing provision in Section 13.1 (e) above.
13.4 Uniform Allowance
Effective after adoption of this Memorandum of Understanding, employees in this unit shall receive a uniform allowance in the amount of nine hundred and fifty dollars ($950.00). One-half (1/2) of the annual value of uniform allowance shall be paid to eligible employees during the months of April and October.
13.5 Education Incentive Pay
(a) Employees who satisfy the education and service requirements for an intermediate education certification shall receive three percent (3%) of the top step of the employee’s rank.
(b) Employees who satisfy the education and service requirements for an advanced education certification shall receive five percent (5%) of the top step of the employee’s rank.
13.6 Emergency Medical Technician Certification
Employees in this unit shall be responsible for maintaining EMT certification.
It is the policy of the Stockton Fire Department that all sworn employees assigned to line fire suppression activities and working in the rank of Battalion Chief and below shall maintain a current San Joaquin County Emergency Medical Technician (EMT) certification or face disciplinary procedures detailed below.
Each member shall secure EMT certification within one year of commencement of employment and maintain that certification throughout their career while assigned to line fire suppression activities. In the event a new member does not have EMT certification upon employment, the member shall be provided Emergency Aid Responder (“EAR”) training and certification by the Department’s Division of Training prior to being placed on line.
All periodic re-certifications of EMT certification shall be prepared for and executed during on-duty training sessions conducted by the Division of Training. If a member fails to re-certify after one attempt, the Division of Training shall provide additional resources to assist the member to prepare for a second attempt at re-certification in accordance with State regulations. The Division of Training’s resources will include EXHIBIT 3
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the following: study guides, textbooks, remedial lectures on deficiencies, and a list of local courses offered by other agencies. If the member fails the second attempt or the member’s EMT certification expires, the member must obtain EAR certification, which shall comply with State law. The non-EMT member will be provided EAR training and certification by the Division of Training prior to assignment to line fire suppression activities.
Members whose certification lapses shall have eighteen (18) months to complete an EMT re-certification process. During this time frame, the member shall not trade shifts or work overtime without permission of the Fire Chief. The member shall be reduced one pay grade until EMT re-certification is achieved.
A member may attempt re-certification at any time and from any jurisdiction within the State of California. If the member fails to either (1) regain EMT certification within the eighteen (18) month “correction period” or (2) fails to obtain EAR certification within thirty (30) days of loss of EMT certification, the City may take appropriate disciplinary action pursuant to Rule XII of the Stockton Civil Service Rules and Regulations for Police and Fire Employees, up to and including termination.
Any disputes that result from this agreement shall be handled in accordance with the grievance procedures.
13.7 Mileage Reimbursement for Private Vehicle Use
For authorized use of a private vehicle, employees in this unit will be reimbursed for actual mileage at the current rate established by the City.
13.8 Longevity Pay
(a) Grandfathered Longevity Tier One: Employees hired on or before June 30, 2011 who by July 1, 2012 have attained fifteen (15) years of continuous employment with the City shall receive an additional one and one-quarter percent (1.25%) of top step pay for their classification. (b) Grandfathered Longevity Tier Two: Employees hired on or before June 30, 2011 who by July 1, 2012 have attained twenty-two (22) years of continuous employment with the City shall receive an additional one point six three percent (1.63%) of top step pay for their classification.
13.9 Contagious Disease
The City shall make available, at no cost to the employee, screenings for all strains of hepatitis, hepatitis B vaccinations, and shall monitor employees’ exposure to tuberculosis.
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13.10 Specialty Assignment Pay
Battalion Chiefs assigned to a forty (40)-hour workweek will receive additional compensation of thirteen point three three percent (13.33%) above their regular rates of pay. The duration of any such assignment shall be at the sole discretion of the Fire Chief. Note: The FLSA rate was three point three three percent (3.33%) so this rate is not increasing.
13.11 Acting Pay
An employee who is assigned in writing to work in a higher paid classification and who performs a majority of the duties of that higher position shall receive the rate of pay in a step of the higher classification which would have been received if the employee had been promoted into that classification.
13.12 Call-Back Pay
An employee called back to work to assist with a multiple alarm fire or other emergency situation after they have worked a scheduled shift and have departed from the work site shall earn three (3) hours of call-back at the regular hourly rate of pay or time and one-half (1-½) of their regular rate of pay for time worked, whichever is greater.
The above provision shall not apply to employees called back due to an operator error that does not result in the employee being assigned for the day or an employee’s participation in official meetings called by authorized personnel of the Stockton Fire Department. In such instances, the employee will be compensated on an hourly basis, which shall include the employee’s travel time.
13.13 Paramedic Certificate Pay
(a) The City shall compensate Battalion Chiefs who are San Joaquin County licensed and accredited Paramedics three percent (3%) of top salary step of rank.
(b) Continuing Education for Paramedics. Upon prior approval of the Fire Chief, the City will compensate members of the Fire Management unit at their straight time rate for time spent, in an off-duty status, in continuing education necessary to maintain their certification, up to twenty-four (24) hours or less in a two (2) year certification period.
(c) Administrative Captains that maintain a paramedic license and are assigned by the Chief to work on the line as a paramedic shall receive paramedic EXHIBIT 3
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incentive pay.
(d) Administrative Firefighters and Administrative Engineers that maintain a paramedic license and are able to work on the line as a paramedic shall receive paramedic incentive pay.
13.14 Wellness-Fitness Program
The purpose of the Department’s Wellness-Fitness Program is to develop, promote, enhance, and maintain the wellness and fitness of members of the Department. The program will be based upon medical testing guidelines established by the International Association of Fire Fighters (IAFF) Joint-Labor Management Wellness Fitness Initiative.
(a) Participation in the Wellness-Fitness Program is mandatory for the programs testing, evaluations, and daily physical training requirements. (b) Annual physicals under the program shall be required. The City will contract with an Occupational Health Provider of its choosing to perform these annual physicals.
(c) All information obtained from the medical evaluations is confidential, and the City will only have access to information regarding work restrictions necessary to determine whether appropriate accommodations can be made. (d) Labor and management will continue to collaborate on the Department’s Wellness-Fitness Program to enhance and maintain the wellness and fitness of members of the Department.
13.15 CalPERS Reportability
The City makes no representation as to whether any of the compensation or payments in this Memorandum of Understanding are subject to CalPERS service credit or pensionable income. Any determination by CalPERS to not fully credit the compensation and/or service time provided under this Memorandum of Understanding is outside the City’s control.
13.16 Lapse of Certification
An employee receiving an add pay under Section 13 of this Memorandum of Understanding, whose certification lapses, will not be eligible for the add pay and will be subject to reassignment. Reinstatement of the add pay will commence upon recertification.
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SECTION 14. INSURANCE PLANS
14.0 Reopener Clause for Health Insurance
The Association agrees at the City’s request, to meet and confer on any proposed changes within the mandatory scope of bargaining that relate to the implementation and regulatory compliance of the Affordable Care Act (ACA) for the City sponsored medical plans.
14.1 Health Insurance and Related Benefits
(a) Choice of Health Plans. Employees in this bargaining unit shall have a choice of enrolling themselves and their eligible dependents in any of the City sponsored medical, dental, and vision plans. Each plan shall offer an Employee only, Employee plus one (1) and Employee plus two (2) or more dependents coverage. The City shall offer two (2) or more medical plans to regular status employees.
(b) Eligibility. Employees shall become eligible for medical, dental, and vision insurance on the first day of the month following date of hire. An eligible employee and eligible dependent may be enrolled in a City offered medical plan either as a subscriber in a City offered medical plan or, as the dependent spouse/registered domestic partner or another eligible City employee, but not both. If an employee is also eligible to cover their dependent child, the child will be allowed to enroll as a dependent on only one (1) employee plan (i.e., an employee and their dependent cannot be covered by more than one (1) City-offered health plan).
(c) City Contribution Towards the Cost of Insurance Programs. (1) Effective July 1, 2022, the City shall contribute the following:
a. Up to $697 per month toward the cost of the monthly premium for employee-only medical/dental/vision plan coverage.
b. Up to $1,265 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. Up to $1,685 per month toward the cost of the monthly premium for employee plus two (2) or more dependents
medical/dental/vision plan coverage.
(2) Effective July 1, 2023, City shall contribute the following:
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a. Up to $711 per month toward the cost of the monthly premium for employee-only medical/dental/vision plan coverage.
b. Up to $1,290 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. Up to $1,719 per month toward the cost of the monthly premium for employee plus two (2) or more dependents
medical/dental/vision plan coverage.
(3) Effective July 1, 2024, City shall contribute the following:
a. Up to $725 per month toward the cost of the monthly premium for employee-only medical/dental/vision plan coverage.
b. Up to $1,316 per month toward the cost of the monthly premium for employee plus one (1) dependent medical/dental/vision plan coverage.
c. Up to $1,753 per month toward the cost of the monthly premium for employee plus two (2) or more dependents
medical/dental/vision plan coverage.
These contributions are based on full-time employment; regular status parttime employees shall receive a prorated contribution based on their percentage of full-time employment. Insurance plan premiums that exceed the City's monthly contribution shall be paid by the employee through payroll deductions. The City shall maintain its IRS 125 Plan to allow for employee contributions for medical, vision, and dental to be pre-tax premium conversion. (d) Plan Rules. Employees may insure themselves and their eligible dependents under the medical, vision, and dental plans provided by the City, in accordance with the rules and regulations applicable to the selected Plan. Benefits in the Plan shall be in accordance with the Plan document.
14.2. Long Term Disability Insurance
The City shall provide to each bargaining unit member seventeen dollars ($17.00) per month for the purpose of purchasing Long Term Disability Insurance. It is the Union’s responsibility for purchasing such insurance for its represented employees or otherwise investing such payments pursuant to this section as it deems appropriate.
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14.3. Life Insurance
The City shall provide each employee group term life insurance coverage with a face value of fifty thousand dollars ($50,000.00). In addition, employees shall have the opportunity to purchase additional voluntary life insurance through their union or through the City’s IRS 125 vendor.
14.4. Retiree Medical Trust
The City acknowledges the Union’s intent to participate in a Retiree Medical Trust (hereinafter the “Trust”) for the benefit of current and future Fire Management Unit members. The City agrees to cooperate with the Union to facilitate payroll deductions from Fire Management Unit members to be contributed to the Trust.
The Trust shall be and remain separate and apart from any Employer health insurance funding program.
Within two pay periods following receipt of written notification from the Union of its entry into the Trust, but no sooner than March 1, 2023, eligible regular status employees covered by this Agreement shall contribute to the Trust an amount equal to a uniform flat dollar amount per month for each month of employment, which the employer shall deduct through a payroll deduction. This contribution amount shall be included in the above-referenced notice to the City. Individuals who attain regular status in the second pay period of a month shall have the full amount deducted from their initial check; individuals separating from employment in the first pay period of a month shall also have the full amount deducted from their final check.
To the extent authorized by law, all contributions shall be made on a pre-tax basis.
The employee assumes full responsibility and liability for tax consequences related to contributions to and/or withdrawals from the Trust. There shall be no employee election or option to take the contribution amount in cash. The Union has the right to alter the amount of salary deduction during the course of this Agreement, on a uniform basis, for all employees covered by the Agreement, subject to approval of its members according to the Union’s bylaws and applicable laws. The Union shall provide written notice to the City of any such changes, which will be implemented no later than the second full pay period following receipt of said notice.
The City shall not charge the Union or Fire Management Unit members for any administrative costs associated with the enrollment of employees in the Trust or for payroll deductions and the transmittal of employee contributions to the Trust, or for any other City actions required by this Section. The Union shall be responsible to pay the Trust for any administrative costs arising between the Union and the Trust from the enrollment of the Union and the Fire Management Unit members in the Trust.
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The Union agrees, to the fullest extent permitted by applicable law, to indemnity and hold harmless the City and each of its agents, officers, and employees against all costs, expenses, liability, and damages resulting from any misrepresentation, negligent action or inaction, or breach of, the Trust, or any rules, policies, or procedures established by the Trust’s Board of Trustees.
The City provides no guarantee to employees regarding the ultimate length of retiree medical benefit payout. Employees who participate in the Trust assume the entire risk from any investment gains or losses associated with these funds or other decline in value. Nothing contained in this contract shall constitute a guarantee by the City that assets of the Trust will be sufficient to pay any benefit to any person or to make any other payment during an employee’s life expectancy after retirement. All payments, in the form of employee contributions, to the Trust are defined contributions only. Payments to be paid from the Trust are limited to the remaining assets in the Trust and governed by the Board of Trustees and the current Plan. The parties understand that the above provisions shall in no way obligate the City to incur any additional costs or obligations beyond those already set forth in this contract.
The City’s obligation to provide pre-tax deposits would remain subject to Internal Revenue Service rules as they may be revised in the future. Should the Internal Revenue Service later determine that these contributions are no longer permissible on a pre-tax basis, the City shall cease deducting such amounts from employee compensation.
Participation in the Trust shall be the complete and sole responsibility of the Union.
The City shall not be involved in the Trust’s design, its administration, or in the benefits paid, nor shall the City have any responsibility for any actions of the Trust or its trustees, or of the Union with respect to the Trust. The City has no fiduciary duty with respect to the Trust.
14.5 Survivors’ Medical Benefit
The City in accordance with State law and its provisions shall provide medical, dental, prescription, and vision benefits to the surviving spouse and children of Battalion Chiefs killed in the line of duty. These benefits shall discontinue upon marriage of the Battalion Chief’s surviving spouse. The medical coverage shall be secondary at age sixty-five (65).
14.6 Nothing in this section shall be construed to create vested rights to benefits for employees or retirees after the expiration of this Memorandum of Understanding.
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SECTION 15. SALARY PLAN
15.1 Salary Ranges
The salary ranges for all employees in this unit shall be as set forth in the City’s Salary Schedule. The rates of pay set forth in the City’s Salary Schedule represent the standard rates of pay for full time employment for each classification unless the schedule specifically indicates otherwise.
15.2 Salary Upon Appointment
Employees henceforth promoted to the classification of Battalion Chief will receive a five percent (5%) salary increase above current base pay salary on the salary schedule six (6) months after their advancement to the Battalion Chief classification, and may be moved in five percent (5%) increments by the Fire Chief annually until the top of the range is reached. Increases in excess of five percent (5%) may be granted upon recommendation of the Fire Chief and approval of the City Manager.
Salary step increases shall be effective the first day of the pay period following appointment or revision. If the date of appointment or revision is the first day of a pay period, salary step increases shall be as of that date.
Changes in an employee's salary because of promotion, demotion, postponement of salary step increase, or special merit increase will set a new salary anniversary date for that employee.
Salary range adjustments for the classification will not set a new salary anniversary date for employees serving in that classification.
15.3 Salary Equivalents
Any monthly, daily, or hourly rate of pay may be converted into any equivalent rate of pay or to any other time bases only when, in the judgment of the City Manager, such a conversion is advisable. In determining equivalent amounts on different time bases the City shall provide tables or regulations for calculating payments for service of less than full-time, and for use in converting monthly salaries to hourly rates, as well as for calculating hourly rates.
15.4 Salary Step After Military Leave
Upon returning to City service, all employees who have been granted military leave shall be entitled to the automatic salary advancements within the range/scale of the established salary range for their classifications for the period they were in the military service.
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15.5 Salary Step When Salary Range is Increased
Whenever the monthly schedule of compensation for a class is revised, each incumbent in a position to which the revised schedule applies shall be entitled to the step in the revised range which corresponds to the employee's step held in the previous range, unless otherwise specifically provided by the City Manager.
15.6. Salary Step After Promotion or Demotion
When an employee is promoted from a position in one rank to a position in a higher rank and, at the time of promotion, is receiving a salary equal to or greater than the minimum rate for the higher rank, that employee shall be promoted to a step in the salary range of the higher rank which is at least five percent (5.0%) above the current base pay salary, on the salary schedule of the current base pay rate the employee has been receiving, except that the new step shall not exceed the maximum salary of the higher rank. Add pays are not included in the calculation of base salary for the purposes of this section. When an employee is promoted into another bargaining unit, the new bargaining unit’s salary after promotion rules shall apply.
When an employee is demoted, whether such demotion is voluntary or otherwise, that employee's compensation shall be adjusted to the salary prescribed for the rank to which demoted.
15.7 Salary on Reinstatement
If a former employee is reinstated to the same position previously held or to one carrying a similar salary range, their salary shall not be higher than their salary at the time of their separation, unless there has been an increase within the salary range.
15.8 Salary Adjustments
(a) Effective July 1, 2022, all bargaining unit classifications will receive a ten percent (10%) increase to base pay (comprised of a two percent (2%) COLA and an eight percent (8%) Market Adjustment).
(b) Effective July 1, 2023, all bargaining unit classifications will receive a three percent (3%) increase to base pay (comprised of a two percent (2%) COLA and a one percent (1%) Market Adjustment).
(c) Effective July 1, 2024, all bargaining unit classifications will receive a three percent (3%) increase to base pay (comprised of a two percent (2%) COLA and a one percent (1%) Market Adjustment).
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15.9 Bi-Weekly Pay Period
The City and the Association agree to move to a bi-weekly pay period as soon as it is administratively possible within the City. The parties understand that this may not be administratively possible until the City implements a new payroll system.
15.10. Lump Sum Payment
Each employee who is employed in the bargaining unit as of January 1, 2024 will receive a five thousand ($5,000) lump sum non-pensionable bonus (subject to all applicable withholdings) to be paid by the second scheduled payday in the same month.
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SECTION 16. SEPARABILITY OF PROVISIONS
In the event that any provisions of this Memorandum of Understanding are declared by a court of competent jurisdiction to be illegal or unenforceable, that provision of the Memorandum of Understanding shall be null and void but such nullification shall not affect any other provisions of this Memorandum of Understanding, all of which other provisions shall remain in full force and effect.
SECTION 17. PRACTICES AND EXISTING MEMORANDA OF UNDERSTANDING Continuance of working conditions and practices not specifically authorized by ordinance or by resolution of the City Council is not guaranteed by this Memorandum of Understanding.
This Memorandum of Understanding shall supersede all existing Memoranda of Understanding between the City and the Union.
SECTION 18. SCOPE OF AGREEMENT
Except as otherwise specifically provided herein, this Memorandum of Understanding fully and completely incorporates the understanding of the parties hereto and constitutes the sole and entire agreement between the parties on any and all matters subject to meeting and conferring.
SECTION 19. DURATION OF AGREEMENT
Upon its adoption by the Stockton City Council, this Memorandum of Understanding shall be effective as of the date of execution unless otherwise indicated herein, and shall remain in full force and effect up to and including the 30th day of June 2025.
SECTION 20. MAINTENANCE OF OPERATIONS
(a) It is recognized that the need for continued and uninterrupted operation of City services is of paramount importance. Therefore, the Union and each employee represented thereby agrees that from the date of execution of this Memorandum of Understanding, through and inclusive of June 30, 2025, the Union or any person acting on its behalf, or each employee in a classification represented by the Union, shall not cause, authorize, engage in, encourage, or sanction a work stoppage, slowdown, refusal of overtime work, refusal to operate designated equipment (provided such equipment is safe and sound), or picketing (other than informational picketing) against the City, the individual or concerted failure to report for duty, or abstinence from the full and faithful performance of the duties of employment (including compliance with the request of another labor organization or bargaining EXHIBIT 3
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unit to engage in such activity) in an attempt to induce a change in wages, hours, and other terms and conditions of employment.
(b) An employee shall not be entitled to any wages or City paid benefits whatsoever if the City Council, by majority vote, determines to its satisfaction that the employee is or has been engaging in any activity prohibited by subsection (a) of this section. In addition, the City may take other action that it deems appropriate. (c) If the City Council, by majority vote, determines to its satisfaction that subsection (a) of this section has been violated by the Union, the City may take such remedial action as it deems appropriate.
(d) The Union recognizes the duty and obligation of its representatives and members to comply with the provisions of this Memorandum of Understanding and to make every effort toward inducing all employees in this unit to fully and faithfully perform their duties. In the event any activity prohibited by subsection (a) occurs, the Union agrees to take any and all steps necessary to assure compliance with this Memorandum of Understanding.
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IN WITNESS WHEREOF this Memorandum of Understanding was ratified by a membership vote of the Association on ________,day of ________, 2022 , and by an affirmative vote of the Stockton City Council on ____________, 2022 . The parties hereto have executed this Memorandum of Understanding this _______day of ________, 2022 .
STOCKTON FIRE FIGHTERS’
LOCAL UNION 456
Fire Services Management Unit City of Stockton
___________________________________ _________________________________
MARIO GARDEA HARRY BLACK
President City Manager
_________________________________
MATT KNIERIM ALLISON U. DICHOSO
Fire Management Representative Director of Human Resources Approved as to form: Approved as to form:
RAINS LUCIA STERN, PC LORI M. ASUNCION, Acting City Attorney By: By:
________________________________ _________________________________ TIMOTHY K. TALBOT MARCI A. ARREDONDO
Attorney for the Association Deputy City Attorney
By:
_________________________________
BURKE DUNPHY
Negotiator for the City
ATTEST:
_________________________________
ELIZA GARZA
City Clerk
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APPENDIX A. COLA AND MARKET ADJUSTMENTS
Year 1- Effective 7/1/22;
Year 2- Effective 7/1/23;
Year 3- Effective 7/1/24
Steps
1 2 3 4 5 6
Fire Battalion Chief 9,223.50 9,697.42 10,194.53 10,718.68 11,268.59 11,848.12 COLA and MA year 1 (10%) 922.35 969.74 1,019.45 1,071.87 1,126.86 1,184.81 Year 1 - Monthly Salary 10,145.85 10,667.17 11,213.98 11,790.55 12,395.45 13,032.93 COLA and MA year 2 (3%) 304.38 320.01 336.42 353.72 371.86 390.99 Year 2 - Monthly Salary 10,450.23 10,987.18 11,550.40 12,144.27 12,767.32 13,423.92 COLA and MA year 3 (3%) 313.51 329.62 346.51 364.33 383.02 402.72 Year 3 - Monthly Salary 10,763.74 11,316.80 11,896.91 12,508.60 13,150.34 13,826.64 Fire Battalion Chief - Admin 8,692.73 9,139.45 9,608.02 10,102.08 10,620.42 11,166.66 COLA and MA year 1 (10%) 869.27 913.95 960.80 1,010.21 1,062.04 1,116.67 Year 1 - Monthly Salary 9,562.00 10,053.40 10,568.82 11,112.29 11,682.46 12,283.33 COLA and MA year 2 (3%) 286.86 301.60 317.06 333.37 350.47 368.50 Year 2 - Monthly Salary 9,848.86 10,355.00 10,885.88 11,445.66 12,032.94 12,651.83 COLA and MA year 3 (3%) 295.47 310.65 326.58 343.37 360.99 379.55 Year 3 - Monthly Salary 10,144.33 10,665.65 11,212.46 11,789.03 12,393.93 13,031.38 Fire Battalion Chief (22 years) 9,373.84 9,855.50 10,360.69 10,893.40 11,452.27 12,041.24 COLA and MA year 1 (10%) 937.38 985.55 1,036.07 1,089.34 1,145.23 1,204.12 Year 1 - Monthly Salary 10,311.23 10,841.05 11,396.76 11,982.74 12,597.49 13,245.37 COLA and MA year 2 (3%) 309.34 325.23 341.90 359.48 377.92 397.36 Year 2 - Monthly Salary 10,620.56 11,166.29 11,738.66 12,342.22 12,975.42 13,642.73 COLA and MA year 3 (3%) 318.62 334.99 352.16 370.27 389.26 409.28 Year 3 - Monthly Salary 10,939.18 11,501.27 12,090.82 12,712.49 13,364.68 14,052.01 Fire Battalion Chief (22 years) - Admin 8,834.42 9,288.43 9,764.63 10,266.75 10,793.54 11,348.69 COLA and MA year 1 (10%) 883.44 928.84 976.46 1,026.67 1,079.35 1,134.87 Year 1 - Monthly Salary 9,717.86 10,217.27 10,741.09 11,293.42 11,872.89 12,483.56 COLA and MA year 2 (3%) 291.54 306.52 322.23 338.80 356.19 374.51 Year 2 - Monthly Salary 10,009.40 10,523.79 11,063.32 11,632.22 12,229.08 12,858.07 COLA and MA year 3 (3%) 300.28 315.71 331.90 348.97 366.87 385.74 Year 3 - Monthly Salary 10,309.68 10,839.50 11,395.22 11,981.19 12,595.95 13,243.81 EXHIBIT 3
City of Stockton
Legislation Text
File #: 22-0617, Version: 1
APPROVE A MOTION TO AWARD A PROFESSIONAL SERVICES CONTRACT TO OPEN
COUNTER ENTERPRISES INCORPORATED FOR THE DECISION TREE/PERMIT DISCOVERY
CUSTOMER SERVICE PORTAL
RECOMMENDATION
It is recommended that City Council adopt a motion to:
1. Approve entering into a contract to Open Counter Enterprises Incorporated (“Open Counter”), of Boston, Massachusetts to implement and maintain an online “decision tree”/“permit discovery” customer service portal for a total not-to-exceed amount of $636,938 for implementation and up to five (5) years of service; and
2. Approve findings pursuant to Stockton Municipal Code 3.68.070 in support of an exception to the competitive bidding process; and
3. Authorizing the City Manager, or designee, to take all necessary and appropriate actions to carry out the purpose and intent of this motion.
Summary
Stockton has a vision to become the best city in America to live, raise a family, and grow a business.
This project will take us one step closer to achieving that goal by making it easier for Stocktonians to start a business and perform home improvement projects. This project will provide a customerfriendly online portal (internet-based tool) designed from the customer’s perspective to simplify and streamline the research process and to provide a layperson summary of all regulatory requirements tailored to their specific location and project.
There are two primary benefits of this software. First, it will provide customers with self-service access to clear, comprehensive, consistent, and easy-to-understand information on the multiple requirements across City departments, tailored to their specific location and project/business. This is achieved by the customer inputting an address and answering a series of questions which typically takes 5-10 minutes to complete, then the system will provide a clear and comprehensive summary of all regulatory requirements, including a fee estimate, with links to relevant permit and license applications. The portal will be available in both English and Spanish, 24 hours per day, 365 days per year.
Secondly, this tool will save significant staff time currently spent either at the counter, on the phone or responding to email, answering repetitive general questions. By allowing customers to easily obtain project information through the portal, staff will have more capacity to review and issue permit applications, resulting in faster permit processing times.
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This project is strategically aligned with the City Council’s One Page Strategic Plan (OGSP) (Attachment A - One Page Strategic Plan).
OGSP Strategy OGSP FY 201/22 Metric(s) Impact of this Project Strategy 2.
Growing
Economy
2c) Reduce Barriers to Entry &
2d) Increase Small Business
Development
Provide easier and faster access to
clear and complete information on all
relevant regulatory requirements,
including cost estimates
Strategy 5.
Fiscal
Sustainability
5c) Optimize Resources
Through Innovative Business
Practices
Improve the strategic use of existing
staff time by reducing time spent
answering repetitive general
questions, allowing more time
dedicated to processing permit
applications
It is recommended that Council adopt a motion approving findings that justify and support an exception to the competitive bidding process and authorizing the City Manager to execute a Professional Services Agreement (Attachment B) with Open Counter for a not-to-exceed contract amount of $624,438 covering the software implementation and up to five (5) years of service.
DISCUSSION
Background
Individuals starting a small business or renovating their home may find navigating the regulatory environment and processes to be a daunting task. Customers must frequently obtain permits and/or licenses from multiple City departments, each with its own set of municipal code requirements and processes. These individual processes may meet departmental needs but are often not designed with the customer in mind, and do not account for the multiple sets of requirements that customers frequently need to navigate. As a result, the customer’s experience can be a disjointed, confusing, lengthy, and sometimes redundant process involving multiple City departments and outside agencies.
The core issues with the current process(es) are:
· No comprehensive set of regulatory requirements easily available and relatable for customers, tailored to their specific location and business/goal/project. · Information is spread across multiple departments/divisions, websites, checklists, and physical locations. A complete set of requirements must frequently be determined through discussions and/or emails with multiple staff.
· Access to staff to answer questions and provide information is restricted to business hours and staff capacity. Phone calls and emails may take more than a day to be returned.
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· Specialized terminology across Stockton Municipal Code (SMC) sections requires translation of the SMC into common and accessible terms for customers to understand. · Significant staff time is spent answering variations of the same questions with customers, researching what is allowed at their location and required for their project. · All software products have limitations, and none can address all customer inquiries. However, staff believes that this product has the capability to significantly improve the core issues identified above.
In developing this project, staff did preliminary research and brought the project forward to the Stockton Technology Oversight Committee (STOC) for consideration. STOC is led by the City’s Information Technology Department (IT), and the committee is composed of City department heads and representatives from the City Manager’s Office, with the intention of reviewing new technology projects. The project was approved by STOC to proceed with the Request for Proposal (RFP) process.
On January 27, 2022, an RFP (PUR-21-037) was issued for this project with a submittal deadline of March 17, 2022. Five (5) proposals were received from the following vendors & products: Byrne Technologies/Accela Premium Citizen Experience; Camino Technologies’ Permit Guide; Open Counter’s Permit Discovery portals; Gray Quarter’s G-Wiz tool; and Qwally. While this project is being led by the Community Development Department, the proposal evaluation team also included representatives from Economic Development, Fire Prevention, Administrative Services Business License team, Community Services Special Events team, and the IT Department.
Proposals were evaluated based primarily on their features, technical capabilities, and user friendliness (70% of the weighted score). The final 30% of the scoring was based on the vendor’s existing customer base, cost, and administrative requirements to set up and maintain the system.
The final scoring (50 points possible) resulted in the following rankings:
1. Open Counter (Score = 42.10)
2. Camino (Score = 39.98)
3. Gray Quarter (Score = 28.14)
4. Byrne / Accela (Score = 24.85)
5. Qwally (Score = 21.63)
Present Situation
The Open Counter software platform was selected based primarily on its industry leading features and functionality (Attachment C - Open Counter Features Summary). Below is a summary of Open Counter’s key features:
· Location-Specific Permit Scoping - Through a series of questions, the software will provide a comprehensive list of all permits and licenses required, tailored to the customer’s specific location and project details. In cases where prerequisite requirements obtained through outside agencies exist (i.e. San Joaquin County Environmental Health), those will be incorporated into the scoping document. In addition to regulatory requirements, incentive City of Stockton Page 3 of 7 Printed on 7/20/2022
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programs through the Economic Development Department will also be incorporated. · Intuitive and Dynamic Zoning Map - The Open Counter portals are linked to the City’s GIS system and provide a simple visual map based on the provided address, indicating if the project is “permitted”, “conditional” or “prohibited.” This map is also dynamic, updating in realtime as the customer answers secondary questions such as “Will your business have live entertainment after midnight?” The map is automatically updated to reflect the nuances currently notated in footnotes and frequently uncovered during discussions with staff. Overlay zones are also incorporated to ensure all location-specific requirements are accounted for such as flood zones, historical districts requiring specific design guidelines, etc. · Intelligent Land Use Search - Customers can type in common language terms and phrases, and the system will match the term to the most appropriate land use category from the SMC.
As an example, if a customer searches for “Barber Shop,” the system will match to the correct land use category in the SMC of “Personal Services, Unrestricted.” This functionality is based on proprietary technology of Open Counter and utilizes a complex “word vector” methodology that leverages a set of over 400,000 use codes, definitions, and synonyms collected over the history of Open Counter and across all its municipal customers. The search algorithm is also self-learning, becoming more robust over time (Attachment D - Search Methodology). · Fee Estimate - The project fee estimate is updated in real time as the applicant enters in additional project details. Annual fee updates will be incorporated into the platform as part of the service contract.
· Project Summary and Application(s) Handoff - After completing the process, a project summary including all details, fees, and requirements is provided in a downloadable format. (Attachment E - Project Summary). Within the portal, this page acts as a “handoff” page to the required application(s) which can be links to websites and downloadable PDFs, and integrated with the City’s Accela portal (Attachment F - Application Handoff). This project as proposed includes a “deep link” integration with Stockton’s Accela portal, allowing the information entered in the Open Counter platform to be carried over automatically into the appropriate online application(s) within CDD’s Accela Citizen portal, minimizing the need for the customer to enter in the same information multiple times.
· Language Translation - As proposed, this project will provide this tool in both English and Spanish. Translation will be provided by a human, not by an automated tool. · Accessibility - Compliant with WCAG 2.0 AA, Section 508, and ADA. · Analytics - Consistent with Stockton’s data-driven city efforts, this platform provides administrative dashboards and utilization metrics which will help staff understand the effectiveness of the portal and inform future policy and customer outreach efforts. · Support - The Open Counter platform is a SaaS (Software as a Service) model. Updates to the system configuration, including modifications, fee updates, changes in the Municipal Code, etc. are performed by Open Counter, eliminating the need for specialized in-house technical knowledge or external consultants.
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· Implementation Support - Stockton staff will participate during the data collection and testing phases; however, most of the implementation work will be performed by Open Counter staff, most of whom are ACIP certified Urban Planners and all who have public sector experience and are highly knowledgeable in municipal codes governing the permitting and development process.
· Scope and Potential Future Expansion for Special Events - The current project as proposed will implement the Zoning Check portal, Residential portal, and Business portal.
Open Counter has one additional portal for Special Events that can be added in the future per the discretion of the Community Services Department.
In addition to providing the most comprehensive and advanced functionality available which will be of the greatest benefit to our customers, the added benefit of this project is the reduction in staff time required to answer general questions, allowing for more time dedicated to processing permit applications, resulting in faster permit issuance.
Based on 2020 calendar year data provided by Open Counter from a sample of their existing customers, the portal scoped enough projects to equal 0.9 to 5.3 Full Time Equivalent (FTE) staff members. Note, hours and FTEs estimated below are based on the following assumptions: Zoning lookups = 20 minutes of staff time; Business and Residential portal questions = 10 minutes of staff time.
City of
Oakland,
CA
City of
Cincinnati,
OH
City of
Orlando, FL
City of
Concord,
CA
City Population 425,000 302,000 280,000 129,000
Business
Portal
Est. Hours Saved 747 1,885 1,862 473
Questions
Answered
4,483 11,309 11,169 2,838
Residential
Portal
Est. Hours Saved NA 6,856 4,070 1,909
Questions
Answered
NA 41,137 24,421 11,453
Zoning
Check
Est. Hours Saved 1,120 2,346 2,475 1,515
Zoning Lookups 3,359 7,037 7,424 4,545
Total hrs. saved 1,867 11,087 8,407 3,897
Full Time Equivalent
(FTE) employees based
on 2,080 annual hrs.
0.9 5.3 4.0 1.9
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Based on an analysis of Stockton’s Permit Center Q-Flow ticketing system from May 2021 - May 2022:
· General and Zoning questions accounted for 18% of all visitors, totaling 3,544 customers · Average wait time for these customers was 9 minutes per visit · Average service time for these customers was 9.5 minutes for general questions, and 13.7 minutes for zoning questions
· Total staff time spent servicing these visitors was 784 hours, or 0.4 FTE The figures above are likely only a fraction of the actual time spent answering general inquiries, and do not reflect email inquiries, phone calls, or incorrect services selected from the Permit Center kiosk.
This project is not intended to reduce staffing, but rather to provide enhanced customer service by:
1. Customers seeking information will have access to comprehensive and consistent requirements scoping of their project, based on location, in a matter of minutes, at any time day or night without having to contact City staff in multiple departments or look-up information across multiple websites and checklists.
2. Customers will receive their submitted permits faster since staff will have more time to dedicate to processing applications by spending less time on answering general inquiries.
Findings
Pursuant to Stockton Municipal Code section 3.68.070, City Council may approve findings which support and justify an exception to the competitive bidding process. The following findings support such an exception:
1. Use of the RFP process is appropriate for this Professional Services Agreement because it relies on the evaluation of professional qualifications and performance as the basis for the selection of a vendor, which is a typical practice for this type of work.
2. Open Counter’s software offers unique characteristic and is the most highly functional and customer-friendly option that will provide the greatest benefit to both customers and staff.
FINANCIAL SUMMARY
There will be no impact to the General Fund or any other unrestricted funds by the proposed motion.
The total cost of the requested software for five (5) years of service is $636,938, comprised of $34,313 in implementation costs and $602,625 in annual subscription costs, or $120,525 each year.
This cost is offset by the Technology Fee which is charged at a rate of 7.5% on most permits for the express purpose of maintaining and improving the technology used by the Permit Center to better serve customers. In FY 2020-21, a mechanism was put in place to track net receipts for this fee.
Since that time, the account has accumulated a net increase of approximately $330,000 after all City of Stockton Page 6 of 7 Printed on 7/20/2022
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eligible technology related expenditures from the same period.
FY 2022-23 FY 2023-24 FY2024-25 FY 2025-26 FY 2026-27
Implementation $34,313
Business, Residential, &
Zoning Check Portals
$93,575 $93,575 $93,575 $93,575 $93,575
Spanish Language
Translation
$4,450 $4,450 $4,450 $4,450 $4,450
Integration to ArcGIS
Local Geocoder
$2,500 $2,500 $2,500 $2,500 $2,500
Integration to Accela
Citizen Access (15 permit
types)
$17,500 $17,500 $17,500 $17,500 $17,500
SAML 2.0 Single-SignOn (SSO)$2,500 $2,500 $2,500 $2,500 $2,500 Total Annual Cost: $154,838 $120,525 $120,525 $120,525 $120,525 Sufficient funds were allocated to sustain the full cost of this project implementation and the first year of service ($152,338) during the FY 2022-23 annual budget cycle in the Community Development, Business Operations Work Group Special Services account. The ongoing annual cost of service ($118,025 each year) will be budgeted for in subsequent years during the relevant annual budget processes.
Attachment A - One Page Strategic Plan
Attachment B - Professional Services Agreement
Attachment C - Open Counter Features Summary
Attachment D - Search Methodology
Attachment E - Project Summary
Attachment F - Application Handoff
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STRATEGIES: (Captain)
‘How’we will Win …
1. Safer Streets (Interim Police Chief James Chraska)
a)Reduce violent crime
b)Increase community partnerships & engagement
c)Increase data driven strategies & tactics
d)Reduce property crime
2. Growing Economy (Stephanie Ocasio/Carrie Wright)
a)Grow jobs
b)Increase economic development incentives
c)Reduce the barriers to entry
d)Increase small business development
e)Foster and support entrepreneurship
3. Housing Opportunities for All (Carrie Wright/
Stephanie Ocasio)
a)Reduce the barriers to entry
b)Optimize partnerships & linkages
c)Increase investment in high impact affordable and market rate housing strategies
d)Optimize performance-based distribution of available city funds, e.g. grants
4. Thriving and Healthy Neighborhoods (John Alita)
a)Establish a City integrated team approach, e.g. crossdepartmental team, to optimize clean and safe neighborhoods
b)Increase placemaking and space activation
c)Increase community engagement
d)Positively impact overall community well-being
5. Fiscal Sustainability (Jay Kapoor)
a)Continue learning from the past
b)Mitigate risk
c)Optimize resources through innovative business practices FY 2021-22 OBJECTIVE:
‘What’ is Winning …
Provide an exceptional level of customer service to
the Stockton community through accountable,
innovative, efficient, and effective management of
City resources to achieve our vision for Stockton.
FY 2021-22 PLANS:
• Build upon Ceasefire Strategy to reduce shootings and homicides • Build out our community infrastructure with an emphasis on high-risk population through a focus on equity
• Emphasize multi-lateral and two-way communications to further community engagement, conversation, and trust building
• Build on Intelligence, Communication, and Planning (ICAP) • Reactivate the Neighborhood Enhancement Program (NEP) • Leverage our maritime and agricultural assets
• Leverage our logistics and multi-modal transport assets • Discover and take advantage of right-of-way monetization opportunities • Establish industry partnerships
• Optimize workforce development support
• Adopt and launch City of Stockton Strategic Economic Development Action Plan
• Provide ongoing support to City/County joint efforts on housing and homelessness
• Reinvent our distribution of state and federal funds to be more performance- and outcomes -based
• Enable access to housing opportunities through education and awareness • Identify and remediate barriers
• Leverage data to mobilize service response
• Produce an annual citywide community cohesion project • Leverage anticipated Smart Cities efforts to create technology and connectivity opportunities
• Emphasize community outreach through surveys, focus groups, and resident engagement.
• Increase access to programs, tools and resources for youth to enable career development
• Optimize community center utilization
• Develop sustainability strategy building on existing efforts • Upgrade bond rating
• Continue commitment to L-RFP
• Initiate revenue maximization project
• Continue implementation of new ERP system
• Continuous pursuit of opportunities for greater efficiency • Optimize City workforce retention, development, and recruitment. Updated: 2/2/2022 Vision: Stockton will become the best city in America to live, raise a family, and grow a business.
COUNCIL PRIORITY GOALS (Tier 1 & 2):
One Page Solutions LLC
© Copyright 2004-20 Format Only
1a. Focus on COVID response and
recovery
1b. Develop solutions to address
homelessness, including increasing the
affordable housing supply
2. Focus on crime reduction in focus areas
3. Prioritize resource allocation to focus
areas within Council Districts
4. Prioritize Economic Development
1. Develop business incentives and tools for
underserved neighborhoods
2. Work with education partners to improve
quality of life, increase literacy, and develop
the workforce
3. Engage private employers and the business
community in workforce development and
job placement (including people with
criminal records) and develop an
employment pipeline for Stockton residents
to Stockton employers
FY 2021-22 METRICS:
1a) Reduce homicides and non-fatal injury shootings – 5% reduction 1a) Establish Crimes Against Persons (NIBRS) baseline
1b) Increase number of engagements and interventions (Y/N) 1c) Emphasize use of SPD's ICAP and OVP's life coaching and case management system (Y/N)
1d) Establish Crimes Against Property (NIBRS) baseline
1d) Establish Crimes Against Society (NIBRS) baseline
2a) Stabilize small businesses through COVID recovery efforts (Y/N) 2b) Develop economic development toolkit (Y/N)
2c) Reduce average duration for building permit project reviews, target – 25% reduction
2d) Establish meaningful linkages and partnerships with various small business partners (Y/N)
2e) Establish the City’s first Smart Cities initiative (Y/N) 3a) Increase residential permits, target – 10% increase 3b) Establish and enhance partnerships and linkages (Y/N) 3b) Establish baseline measurement through HMIS for the time between assessment for services and placement into a transitional or permanent housing program (Y/N)
3c) Transform data-rich environment to useful insights (Y/N) 3d) Establish performance-based distribution model for available city funds, e.g. grants (Y/N)
4a) Improve Stockton's livability indicators, i.e. vacant properties, abandoned cars, graffiti, weed abatement, per capita code enforcement, and trash (Y/N)
4b) Enhance community cohesion through increased participation in City produced and sponsored events (Y/N)
4c) Increase community center utilization and library circulation (Y/N) 4d) Emphasize education, awareness, and investment to positively impact community well-being (Y/N)
4d) Establish sustainability portfolio (Y/N)
5a) Refresh long range financial plan (Y/N)
5a) Increase fiscal transparency (Y/N)
5b) Clean/unmodified audit opinions (Y/N)
5c) GFOA Certificate of Achievement for Excellence in Financial Reporting for FY21-22 CAFR (Y/N)
5c) GFOA Distinguished Budget Presentation Award (Y/N)
5c) Increase workforce retention and recruitment (Y/N)
One Page Strategic Plan® (OGSP®) DRAFT FY 2021-22
ATTACHMENT A
1 (ZĞǀ͘ϯ.ϮϮ.ϮϮ)
CITY OF STOCKTON
STANDARD AGREEMENT
1. This Agreement is entered into between the City of Stockton (“City”) and (“Contractor”) to provide
as set forth in Exhibit A to this Agreement.
_____________________________________________________________________________
2. The term of this Agreement is as follows, unless amended as described in Exhibit A and Exhibit C section 8:
Commences on: Terminates on:
_____________________________________________________________________________
3. The maximum not to exceed amount to be paid to Contractor for the term of this Agreement, including if authorized, reimbursement of expenses, is: $
4. The complete Agreement consists of all the following Agreement documents which by reference are incorporated and made a part of this Agreement. The parties agree to comply with the terms and conditions of this Agreement.
J
([KLELW*6SHFLDO)XQGLQJ7HUPV &RQGLWLRQV ,IDSSOLFDEOHFKHFNER[
<(6 ____________________________________________________________________________ IN WITNESS WHEREOF, the authorized parties have executed this Agreement.
CONTRACTOR
______________________________________________________________________________________________ Contractor’s Name (if other than an individual, state whether a corporation, partnership, etc.):
______________________________________________________________________________________________ Authorized Signature Date
______________________________________________________________________________________________ Printed Name and Title of Person Signing
______________________________________________________________________________________________ Address
CITY OF STOCKTON
_________________________________________________________BB________________ +DUU\%ODFN City Manager Date
ATTEST:
____________________________________________________________________________ (OL]D5*DU]D&0&, City Clerk
APPROVED AS TO FORM:
/RUL0$VXQFLRQ, $FWLQJCity Attorney
BY:
Agreement Number:
(a) Exhibit A – Statement of Work
(b) Exhibit B – Insurance
(c) Exhibit C – General Terms Conditions
(d) Exhibit D –
H
Exhibit E – Compensation Schedule
(f) Exhibit F – Timeline
Attachment B
Open Counter, Inc. Portal Services and Additional Features August 1, 2022 July 31, 2025
624,438
Professional Services Special Terms & Conditions
ARPA
Open Counter, Inc.
EXHIBIT A
STATEMENT OF WORK
1. Project Objectives
The One Page Strategic Plan (OGSP) Strategies includes reducing barriers to entry as a strategy to the goal of making Stockton the best city in America to live, raise a family, and grow a business. Open Counter, Inc. (Consultant) offers a software solution that offers the following features, which will help City departments contribute substantially to that strategy:
1.1. Location-Specific Permit Scoping – Through a series of questions, the software will provide a comprehensive list of all permits and licenses required, tailored to the customer’s specific location and project details, including information about additional requirements from outside agencies and the City’s available economic incentive programs.
1.2. Intuitive and Dynamic Zoning Map – The software will be linked to the City’s GIS system and provide a simple visual map based on the provided address, indicating if the project is “permitted,” “conditional,” or “prohibited.”
1.3. Intelligent Land Use Search – Customers will be able to search in common language terms and phrases, and the system will match the term to the appropriate land use category from the Stockton Municipal Code.
1.4. Fee Estimate – The project fee estimate will be updated in real time as the applicant enters project details and include a fee estimate from all City of Stockton permit and license requirements.
1.5. Project Summary and Application(s) Handoff – A customer who has finished scoping their project with the software will be directed to the next phase of the permitting process and provide a printed summary of the requirements and the handoff page will contain links to the required application(s).
1.6. Language Translation – The software will be available in both English and Spanish.
1.7. Analytics – The software will provide administrative dashboards and utilization metrics .
These specific features will make doing business or building or improving a structure in the City much more accessible to a wider range of citizens and a lot easier and more transparent for customers seeking a permit in the City, substantially reducing the barrier to entry for many citizens and contributing greatly to the OGSP.
Attachment B
2. Project Scope
2.1. The consultant shall provide the following software services:
2.1.1. ZoningCheck Portal, Business Portal, and Residential Portal software bundle
2.1.2. Esri ARC GIS integration
2.1.3. Spanish Language Translation for all portals.
2.2. The Consultant will work with the City’s Accela technical consultant to implement a “deep integration” between Open Counter and Accela for 15 Accela record types.
2.3. The Consultant shall fully integrate all relevant portions of the Stockton Municipal Code, economic incentive programs through the Economic Development Department, and all prerequisite requirements necessary for permitting and business licensing.
2.4. The consultant shall provide three years of service to all portals and software implemented with the option to renew annually thereafter.
2.5. The consultant shall provide maintenance services for improvements, adjustments, and enhancements to the implementation for the entire contract duration.
3. Specifications
3.1 The back-end processes must be compatible with the City’s current desktop, laptop, or tablet computing environment.
3.1.1. Workstations are currently running Windows 10 and Office 365. Microsoft Edge, Chrome, or Firefox are the standard Web browser. The city uses SharePoint365 for document
collaboration and sharing.
3.1.2. The new software will be required to integrate with 3rd party applications and to easily receive and transmit data to local, state, and federal agencies. Integration tools must be open and support a Microsoft Windows platform, e.g., .NET,
Service Oriented Architecture, XML, Web Services, APIs, etc.
3.1.3. The City’s preferred integration between systems is via web services. Any non-premises solution should be able to
operate in a Virtual Machine environment (VM) using
VMWare’s virtualization platform. The system must provide tight security controls which meet regulatory, compliance and audit standards. Security must be role-based to the menu, screen, and data field level. Microsoft Active
Directory is required for single sign-on and global security administration; LDAP compatibility is sufficient.
Attachment B
3.2 The customer-facing components of the portals must be compatible with a wide range of publicly available phone, tablet, and personal computing devices including but not limited to:
3.1.4. Android, iPhone, Apple/Mac, and Windows Operating Systems
3.1.5. All common internet browsers, including Chrome, Safari, and Internet Explorer/Edge
4. Major Deliverables
4.1. A completely functional implementation with all features as described in the project scope, subject to City staff’s review and assessment of the end-product.
5. Tasks That Support the Deliverables
Tasks are organized into four (4) phases, estimated to take a total of fourteen (14) weeks.
5.1 Data Gathering: 2 weeks: Source needed GIS files, planning documentation, application forms, and fee schedules.
5.2 Cartography: 5 weeks: Configure base layers, overlays, and zoning permissions database.
5.3 Permit Configuration: 5 weeks: Configure permits and fees, queue up localization of site and develop front-end content.
5.4 Launch: 2 Weeks: Prepare plan for site integration and marketing of new resource.
6. Criteria of Acceptance for Deliverables
7.1 All elements outlined by the project scope must be fully implemented as described there, integrated with the City’s software, compatible with the City’s hardware, fully incorporating the Development Code, and fully accessible to all widely available computing solutions (Personal Computers, Laptops, Cell Phones, Tablets, etc.) utilized by the public for the entire five-year term of the contract.
7. Notices
Pursuant to Exhibit C – General Terms and Conditions, Paragraph 15 – Notices, the mailing address for all required notices is as follows:
Contractor: Open Counter, Inc. City: City of Stockton
131 Dartmouth St. Attn: Permit Center
3rd Floor 425 N. El Dorado Street
Boston, MA 02116 Stockton, CA 95202
Attachment B
8. Key Personnel
Robert Liddicoat, Gareth Olson, Heather Mompean
10. Option to Renew.
The original term of the Agreement will be three (3) years. This term may be extended up to two (2) times for one (1) year each by a written amendment executed by both parties. However, the total term of the Agreement including the extended term shall not exceed five (5) years.
Attachment B
Exhibit B:
Insurance Requirements for Agreements Involving Information Technology Vendor/Consultant shall procure and maintain for the duration of the contract insurance against claims for security breaches, system failures, injuries to persons, damages to software, or damages to property (including computer equipment) which may arise from or in connection with the performance of the work hereunder by the Vendor, its agents, representatives, or employees. Vendor shall procure and maintain for the duration of the contract insurance claims arising out of their services and including, but not limited to loss, damage, theft or other misuse of data, infringement of intellectual property, invasion of privacy and breach of data.
MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (nonowned), with limit no less than $1,000,000 per accident for bodily injury and property damage.
3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.
(Not required if consultant provides written verification it has no employees)
4. Cyber Liability Insurance, with limits not less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. Coverage shall be sufficiently broad to respond to the duties and obligations as is undertaken by Vendor in this agreement and shall include, but not be limited to, claims involving security breach, system failure, data recovery, business interruption, cyber extortion, social engineering, infringement of intellectual property, including but not limited to infringement of copyright, trademark, trade dress, invasion of privacy violations, information theft, damage to or destruction of electronic information, release of private information, and alteration of electronic information. The policy shall provide coverage for breach response costs, regulatory fines and penalties as well as credit monitoring expenses.
Attachment B
Technology Professional Liability Errors & Omissions
Technology Professional Liability Errors and Omissions Insurance appropriate to the Consultant’s profession and work hereunder, with limits not less than $2,000,000 per occurrence. Coverage shall be sufficiently broad to respond to the duties and obligations as is undertaken by the Vendor in this agreement and shall include, but not be limited to, claims involving security breach, system failure, data recovery, business interruption, cyber extortion, social engineering, infringement of intellectual property, including but not limited to infringement of copyright, trademark, trade dress, invasion of privacy violations, information theft, damage to or destruction of electronic information, release of private information, and alteration of electronic information. The policy shall provide coverage for breach response costs, regulatory fines and penalties as well as credit monitoring expenses. a. The Policy shall include, or be endorsed to include, property damage liability coverage for damage to, alteration of, loss of, or destruction of electronic data and/or information “property” of the Agency in the care, custody, or control of the Vendor. If not covered under the Vendor’s liability policy, such “property” coverage of the Agency may be endorsed onto the Vendor’s Cyber Liability Policy as covered property as follows:
If the Vendor maintains broader coverage and/or higher limits than the minimums shown above, the City of Stockton requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Stockton.
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:
Additional Insured Status
The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Vendor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officers, officials, employees, and volunteers for all locations work is done under this contract.
Attachment B
Primary Coverage
For any claims related to this contract, the Vendor’s insurance coverage shall be primary and non-contributory. Coverage for commercial liability shall be at least as broad as ISO CG 20 01 04 13 as respects the City of Stockton, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City of Stockton, its officers, officials, employees, or volunteers shall be excess of the Vendor’s insurance and shall not contribute with it. This requirement shall also apply to any Excess policies. The City of Stockton does not accept endorsements limiting the Vendor’s insurance coverage to the sole negligence of the Named Insured.
Umbrella or Excess Policy
The Vendor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all of the Primary and Umbrella or Excess Policies shall provide all of the insurance coverages herein required, including, but not limited to, primary and non-contributory, additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. The Umbrella or Excess policies shall be provided on a true “following form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, whether primary or excess, and which also apply to a loss covered hereunder, shall be called upon to contribute to a loss until the Vendor’s primary and excess liability policies are exhausted.
Notice of Cancellation
Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City of Stockton.
Waiver of Subrogation
Vendor hereby grants to City of Stockton a waiver of any right to subrogation which any insurer of said Vendor may acquire against the City of Stockton by virtue of the payment of any loss under such insurance. Vendor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City of Stockton has received a waiver of subrogation endorsement from the insurer.
Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Vendor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City of Stockton. The CGL and any policies, including Excess liability policies, may not be subject to a self-insured retention (SIR) or deductible that exceeds Attachment B
$25,000 unless approved in writing by City of Stockton. Any and all deductibles and SIRs shall be the sole responsibility of Vendor or subcontractor who procured such insurance and shall not apply to the Indemnified Additional Insured Parties. City of Stockton may deduct from any amounts otherwise due Vendor to fund the SIR/deductible. Policies shall NOT contain any self-insured retention (SIR) provision that limits the satisfaction of the SIR to the Named Insured. The policy must also provide that Defense costs, including the Allocated Loss Adjustment Expenses, will satisfy the SIR or deductible. City of Stockton reserves the right to obtain a copy of any policies and endorsements for verification.
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A-:VII, unless otherwise acceptable to the City of Stockton.
Claims Made Policies
If any of the required policies provide coverage on a claims-made basis:
1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.
2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
3. If coverage is canceled or non-renewed, and not replaced w ith another claimsmade policy form w ith a Retroactive Date prior to the contract effective date, the Vendor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work.
Verification of Coverage
Vendor shall furnish the City of Stockton with original certificates and amendatory endorsements or copies of the applicable policy language effecting coverage required by this clause and a copy of the Declarations and Endorsements Pages of the CGL and any Excess policies listing all policy endorsements. All certificates and endorsements and copies of the Declarations & Endorsements pages are to be received and approved by the City of Stockton before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Vendor’s obligation to provide them. The City of Stockton reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
Attachment B
Subcontractors
Vendor shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Vendor shall ensure that City of Stockton is an additional insured on insurance required from subcontractors.
Special Risks or Circumstances
City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
Certificate Holder Address
The address for mailing certificates, endorsements and notices shall be:
City of Stockton
Its Officers, Officials, Employees and Volunteers
400 E Main Street, 3rd Floor – HR
Stockton, CA 95202
Attachment B
EXHIBIT C
GENERAL TERMS AND CONDITIONS
1. Goods, Equipment and Services. Subject to the terms and conditions set forth in this Agreement, Contractor shall provide to City the services described in Exhibit A of the Agreement. Contractor shall provide said services at the time, place and in the manner specified in Exhibit A of the Agreement.
2. City Assistance, Facilities, Equipment and Clerical Support. Except as set forth in Exhibit A, Contractor shall, at its sole cost and expense, furnish and maintain all facilities and equipment that may be required for furnishing services pursuant to this Agreement. If applicable, City shall furnish to Contractor only the facilities and equipment listed in Exhibit A to the Agreement.
3. Compensation. City shall pay Contractor for services rendered pursuant to this Agreement as described more particularly in Exhibit A and Exhibit E to the Agreement.
3.1 Invoices submitted by Contractor to City must contain a brief description of work performed, time spent and City reference number. Within thirty (30) days of receipt of Contractor’s invoice, City will review invoice, and if acceptable make payment on approved invoice.
3.2 Upon completion of work and acceptance by City, Contractor shall have sixty (60) days in which to submit final invoicing for payment. An extension may be granted by City upon receiving a written request thirty (30) days in advance of said time limitation.
The City shall have no obligation or liability to pay any invoice for work performed which the Contractor fails or neglects to submit within sixty (60) days, or any extension thereof granted by the City, after the work is accepted by the City.
4. Sufficiency of Contractor’s Work. All Contractor services, work, and deliverables shall be performed in a good and workmanlike manner with due diligence in accordance with the degree of skill normally exercised by similar contractors supplying services and work of a similar nature, and in conformance with applicable laws, codes and professional standards. Contractor’s work shall be adequate and sufficient to meet the purposes of this Agreement.
Ownership of Work. SaaS, Software and Hardware. All right, title and interest, including but not limited to all existing or future copyrights, trademarks, service marks, trade secrets, patents, patent applications, know how, moral rights, contract rights, and proprietary rights, Attachment B
and all registrations, applications, renewals, extensions, and combinations of the foregoing (“Intellectual Property Rights”), in and to the following are the exclusive property of Company (or, as the case may be, its licensors and suppliers): (i) SaaS, Software, Leased Hardware, Documentation and all proprietary technology used by Company to perform its obligations under this Agreement; (ii) all software, tools, routines, programs, designs, technology, ideas, know-how, processes, techniques and inventions that Company makes, develops, conceives or reduces to practice, whether alone or jointly with others, in the course of performing the Professional Services; (iii) the fully compiled version of any of Software that can be executed by a computer and used without further compilation (the “Executable Code”); (iv) the human readable version of any of Software that can be compiled into Executable Code (the “Source Code”); (v) all enhancements, modifications, improvements and derivative works of each and any of the foregoing; and (vi) all suggestions, recommendations or comments regarding the Intellectual Property, including without limitation, new features or functionality relating thereto ("Company Intellectual Property”). If any derivative work is created by Customer from the Software, SaaS or Hardware, Company shall own all right, title and interest in and to such derivative work.
Customer Data. Company acknowledges that, as between Company and Customer, Customer owns all right, title, and interest, including all intellectual property rights, in and to information, data, and other content that is collected, downloaded or otherwise received, directly or indirectly, from Customer or any employees, consultants, contractors, agents or members of the public authorized by Customer to access and use the SaaS, Software or Hardware under the rights granted to Customer pursuant to this Agreement and for whom or which such access and use has been purchased hereunder (“Authorized Users”) by or through the SaaS, Software or Hardware (the ”Customer Data”); provided, however, that (i) Customer hereby grants to Company a non-exclusive, royalty-free, worldwide license to reproduce, distribute and otherwise use and display the Customer Data and perform all acts with respect to the Customer Data as may be necessary for Company to provide the SaaS, Software and Hardware to Customer; (ii) Customer hereby grants to Company a nonexclusive, perpetual, irrevocable, royalty-free, worldwide license to reproduce, distribute, modify and otherwise use and display information related to Customer’s use of the SaaS, Software or Hardware in an aggregate and anonymized manner, including to compile statistical and performance information related to the provision and operation of the SaaS, Software or Hardware (“Aggregated Statistics”); and (iii) Company may de-identify and use Customer Data for any lawful purpose consistent with all applicable law. Each of the software components that constitute the SaaS, the Software and the Documentation is a “commercial item” as that term is defined at 48 C.F.R. § 2.101, consisting of “commercial computer software” and “commercial computer software documentation” as such terms are used in 48 C.F.R. § 12.212. Accordingly, if Customer is an agency of the US Government or any contractor therefor, Customer only receives those rights with respect to the SaaS, the Software and the Documentation as are granted to all other end users.
5. Timeliness. Time is of the essence in this Agreement. Further, Contractor acknowledges that the failure of Contractor to comply with the time limits described in Exhibit A and Exhibit F may result in economic or other losses to the City.
Attachment B
6. Changes. Both parties to this Agreement understand that it may become desirable or necessary during the term of this Agreement for City to modify the scope of services provided for under this Agreement. Any material extension or change in the scope of work shall be discussed with City and the change and cost shall be memorialized in a written amendment to the original contract prior to the performance of the additional work. Until the amendment is so executed, City will not be responsible to pay any charges Contractor may incur in performing such additional services, and Contractor shall not be required to perform any such additional services.
7. Amendment. No variation of the terms of this Agreement shall be valid unless an amendment is made in writing and signed by both parties.
8. Contractor’s Status.
8.1 In performing the obligations set forth in this Agreement, Contractor shall have the status of an independent contractor and Contractor shall not be considered to be an employee of the City for any purpose. All persons working for or under the direction of Contractor are its agents and employees and are not agents or employees of City.
Contractor by virtue of this Agreement, has no authority to bind or incur any obligation on behalf of City. Except as expressly provided in Exhibit A, Contractor has no authority or responsibility to exercise any rights or power vested in the City. No agent, officer or employee of the City is to be considered an employee of the Contractor. It is understood by both Contractor and City that this Agreement shall not be construed or considered under any circumstances to create an employer-employee relationship or a joint venture.
8.2 Contractor shall determine the method, details and means of performing the work and services to be provided by Contractor under this Agreement. Contractor shall be responsible to City only for the requirements and results specified in this Agreement and, except as expressly provided in this Agreement, shall not be subjected to City's control with respect to the physical action or activities of Contractor in fulfillment of this Agreement. Contractor has control over the manner and means of performing the services under this Agreement. If necessary, Contractor has the responsibility for employing other persons or firms to assist Contractor in fulfilling the terms and obligations under this Agreement.
8.3 If in the performance of this Agreement any third persons are employed by Contractor, such persons shall be entirely and exclusively under the direction, supervision and control of Contractor. All terms of employment including hours, wages, working conditions, discipline, hiring and discharging or any other term of employment or requirements of law shall be determined by the Contractor.
Attachment B
8.4 It is further understood and agreed that Contractor must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Contractor's assigned personnel under the terms and conditions of this Agreement.
9. Subcontractor.
9.1 Subcontractors shall not be recognized as having any direct or contractual relationship with City. Contractor shall be responsible for the work of subcontractors, which shall be subject to the provisions of this Agreement. Subcontractors will be provided with a copy of the Agreement and be bound by its terms. Contractor is responsible to City for the acts and omissions of its subcontractors and persons directly or indirectly employed by them.
9.2 If in the performance of this Agreement any third persons are employed by Contractor, such persons shall be entirely and exclusively under the direction, supervision and control of Contractor. All terms of employment including hours, wages working conditions, discipline, hiring, and discharging or any other term of employment or requirement of law shall be determined by Contractor.
9.3 It is further understood and agreed that Contractor must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Contractor’s personnel.
10. Termination.
10.1 Termination for Convenience of City. The City may terminate this Agreement at any time by mailing a notice in writing to Contractor. The Agreement shall then be deemed terminated, and no further work shall be performed by Contractor. If the Agreement is so terminated, the Contractor shall be paid for the work actually completed at the time the notice of termination is received.
10.2 Should either party default in the performance of this Agreement or materially breach any of its provisions, the other party, at that party’s option, may terminate this Agreement by giving written notification to the other party.
10.3 Funding- Non-Appropriation. It is mutually understood between the Parties that payment to the Contractor for performance shall be dependent upon the availability of appropriations by the City Council for the purposes of this Agreement. No legal liability on the part of the City for any payment may arise under this Agreement until funds are made available and until the Contractor has received funding availability, which will be confirmed in writing. If funding for any fiscal year is reduced or deleted, or if the City loses funding for any reason, the City, in its sole discretion, shall have the option to either (a) cause this Agreement to be canceled or terminated pursuant to applicable Attachment B
provisions of the Agreement; or (b) offer to amend the Agreement to reflect the reduced funding for this Agreement.
10.4 In addition to any other express termination rights set forth in this Agreement, (i) either party may terminate this Agreement or any Order or SOW if the other party materially defaults in the performance of any of its obligations hereunder and fails to cure such default within 30 days after written notice from the non-defaulting party.
10.5 Upon expiration or earlier termination of this Agreement or any Order or SOW: (i) Customer’s right to access or use the SaaS, Software, Leased Hardware or Documentation, and all licensed rights granted, in this Agreement or such Order or SOW (the “Expired or Terminated Document”) immediately shall terminate; (ii) if the Expired or Terminated Document expires or is terminated by Customer without cause or by Company with cause, then such expiration or termination will not affect Customer’s obligation to pay all Fees that may have become due before such expiration or entitle Customer to any refund; (iii) each party shall promptly return to the other party all copies, whether in written, electronic, or other form or media, of the other party’s Confidential Information received under the Expired or Terminated Document, or destroy all such copies; (iv) if Customer requests in writing within 30 days after the expiration or termination of the Expired or Terminated Document, Company shall, within 30 days after such request, deliver to Customer the most recent version of Customer Data in a commercially reasonable format maintained by Company, provided that Customer has paid all Fees and reimbursable expenses then outstanding and any amounts payable after or as a result of such expiration or termination; and (v) Customer shall erase all copies of Software on Customer’s computers, return at Customer’s expense all Leased Hardware and return at its expense or destroy all copies of the Documentation in Customer’s possession or control provided under such Expired or Terminated Document. Any right or obligation of either party that, by its nature, should survive the termination or expiration of this Agreement will survive any such termination or expiration.
11. Non-Assignability. The Contractor shall not assign, sublet, or transfer this Agreement or any interest or obligation in the Agreement without the prior written consent of the City, and then only upon such terms and conditions as City may set forth in writing. Contractor shall be solely responsible for reimbursing subcontractors.
12. Indemnity and Hold Harmless.
12.1 Company. Company shall indemnify, defend, and hold harmless Customer and its agents, officers, directors and employees (“Customer Parties”) from and against any and all losses, damages, liabilities, costs, including reasonable attorneys’ fees (”Losses”) incurred by Customer Parties resulting from any third-party claim, suit, action or proceeding (”Third Party Claim”) that the SaaS, Software or Hardware, or any use of the SaaS, Software or Hardware in accordance with this Agreement, infringes or misappropriates such third party’s intellectual property rights or Attachment B
for any Third Party Claim based on Company’s gross negligence or willful misconduct. If such a claim for infringement or misappropriation is made or appears possible, Customer agrees to permit Company, at Company’s sole discretion, to (i) modify or replace the SaaS, Software or Hardware, or component or part thereof, with a substantially similar product or service to make it non-infringing or avoid misappropriation or (ii) obtain the right for Customer to continue using it. If Company determines that neither alternative is reasonably available, Company may terminate this Agreement, in its entirety or with respect to the affected component or part, effective immediately on written notice to Customer. This Section 6.1 will not apply to the extent that the alleged infringement or misappropriation arises from: (a) use of the SaaS, Software or Hardware not in accordance with this Agreement, (b) failure of Customer to implement any replacements, corrections or modifications made available by Company for the Software or Hardware, (c) use of the SaaS, Software or Hardware in combination with data, software, hardware, equipment, or technology not provided by Company or authorized by Company in writing, (d) modifications to the SaaS, Software or Hardware not made by Company or (e) Customer Data.
12.2 Customer. Customer shall indemnify, defend and hold harmless Company and its agents, officers, directors and employees (“Company Parties”) from and against any Losses resulting from any Third Party Claim that the Customer Data, or any use of the Customer Data in accordance with this Agreement, infringes or misappropriates such third party’s intellectual property rights and any Third Party Claims based on Customer’s or any Authorized User’s gross negligence or willful misconduct.
Procedure. The obligations in Section 6.1 and Section 6.2 are conditioned on the party seeking indemnification (the “Indemnitee”): (a) notifying the other party (the “Indemnitor”) promptly in writing of such claim or action; (b) giving Indemnitor sole control of the defense thereof and any related settlement negotiations; and (c) cooperating with Indemnitor and, at Indemnitor’s request and expense, assisting in such defense. The Indemnitee may participate in and observe the proceedings at its own cost and expense with counsel of its own choosing.
12.3 Limitations on Liability. NOTWITHSTANDING ANYTHING TO THE
CONTRARY IN THIS AGREEMENT, IN NO EVENT WILL EITHER PARTY OR ITS
AFFILIATES, SUBCONTRACTORS OR SUPPLIERS BE LIABLE UNDER OR IN
CONNECTION WITH THIS AGREEMENT UNDER ANY LEGAL OR EQUITABLE
THEORY, INCLUDING BREACH OF CONTRACT, TORT (INCLUDING NEGLIGENCE), STRICT LIABILITY, AND OTHERWISE, FOR (i) CONSEQUENTIAL, INCIDENTAL, INDIRECT, EXEMPLARY, SPECIAL, ENHANCED OR PUNITIVE DAMAGES; LOSS OF REVENUES, DATA, BUSINESS OR GOODWILL; OR COSTS OF PROCUREMENT OF
SUBSTITUTE GOODS OR SERVICES, IN EACH CASE REGARDLESS OF WHETHER
SUCH PARTY WAS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES OR COSTS OR THEY WERE OTHERWISE FORESEEABLE; OR (ii) AN AGGREGATE
AMOUNT EXCEEDING THE TOTAL AMOUNTS PAID TO COMPANY UNDER THIS AGREEMENT IN THE 12-MONTH PERIOD PRECEDING THE EVENT GIVING RISE Attachment B
TO SUCH LIABILITY. THE REMEDIES IN THIS AGREEMENT ARE CUSTOMER’S SOLE AND EXCLUSIVE REMEDIES.
13. Insurance. During the term of this Agreement, Contractor shall maintain in full force and effect at its own cost and expense the insurance coverage as set forth in the attached Exhibit B to this Agreement and shall otherwise comply with the other provisions of Exhibit B to this Agreement.
14. Notices. All notices herein required shall be in writing and shall be sent by certified or registered mail, postage prepaid, addressed in Exhibit A to this Agreement.
15. Conformance to Applicable Laws. Contractor shall comply with all applicable Federal, State, and Municipal laws, rules, and ordinances. Contractor shall not discriminate in the employment of persons or in the provision of services under this Agreement on the basis of any legally protected classification, including race, color, national origin, ancestry, sex or religion of such person.
16. Licenses, Certifications and Permits. Prior to the City’s execution of this Agreement and prior to the Contractor’s engaging in any operation or activity set forth in this Agreement, Contractor shall obtain a City of Stockton business license, which must be kept in effect during the term of this Agreement. Contractor covenants that it has obtained all certificates, licenses, permits and the like required to perform the services under this Agreement. Such licenses, certificates and permits shall be maintained in full force and effect during the term of this Agreement.
17. Records and Audits. Contractor shall maintain all records regarding this Agreement and the services performed for a period of three (3) years from the date that final payment is made. At any time during normal business hours, the records shall be made available to the City to inspect and audit. To the extent Contractor renders services on a time and materials basis, Contractor shall maintain complete and accurate accounting records, in a form prescribed by City or, if not prescribed by City, in accordance with generally accepted accounting principles, such records to include, but not be limited to, payroll records, attendance cards, time sheets, and job summaries.
18. Confidentiality. Contractor shall exercise reasonable precautions to prevent the unauthorized disclosure and use of City reports, information or conclusions.
19. Conflicts of Interest. Contractor covenants that other than this Agreement, Contractor has no financial interest with any official, employee or other Attachment B
representative of the City. Contractor and its principals do not have any financial interest in real property, sources of income or investment that would be affected in any manner of degree by the performance of Contractor’s services under this Agreement. If such an interest arises, Contractor shall immediately notify the City.
20. Waiver. In the event either City or Contractor at any time waive any breach of this Agreement by the other, such waiver shall not constitute a waiver of any other or succeeding breach of this Agreement, whether of the same or of any other covenant, condition or obligation. No payment, partial payment, acceptance, or partial acceptance by City shall operate as a waiver on the part of City of any of its rights under this Agreement.
21. Governing Law. California law shall govern any legal action pursuant to this Agreement with venue for all claims in the Superior Court of the County of San Joaquin, Stockton Branch or, where applicable, in the Federal District Court of California, Eastern District, Sacramento Division.
22. No Personal Liability. No official or employee of City shall be personally liable to Contractor in the event of any default or breach by the City or for any amount due Contractor.
23. Severability. If any portion of this Agreement or application thereof to any person or circumstance shall be declared invalid by a court of competent jurisdiction or if it is found in contravention of any federal, state or city statue, ordinance or regulation the remaining provisions of this Agreement or the application thereof shall not be invalidated thereby and shall remain in full force and effect to the extent that the provisions of this Agreement are severable.
24. Non-Discrimination. During the performance of this Agreement, Contractor and its officers, employees, agents, representatives or subcontractors shall not unlawfully discriminate in violation of any federal, state, or local law, rule or regulation against any employee, applicant for employment or person receiving services under this Agreement because of race, religion, color, national origin, ancestry, physical or mental disability, medical condition (including genetic characteristics), marital status, age, political affiliation, gender identity, gender expression, sex or sexual orientation, family and medical care leave, pregnancy leave, or disability leave. Contractor and its officers, employees, agents, representative or subcontractors shall comply with all applicable Federal, State and local laws and regulations related to non-discrimination and equal opportunity, including without limitation the City’s nondiscrimination policy; the Fair Employment and Housing Act (Government Code sections 12990 (et seq.); California Labor Code sections 1101, 1102 and 1102.1; the Federal Civil Rights Attachment B
Act of 1964 (P.L. 88-352), as amended; and all applicable regulations promulgated in the California Code of Regulation or Code of Federal Regulations.
Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.” (42 USC Section 2000d). http://www.dol.gov/oasam/regs/statutes/titlevi.htm. The City requires compliance with the requirements of Title VI in all of its programs and activities regardless of funding source.
25. Force Majeure. Neither party shall be responsible for delays or failures in performance resulting from acts of God, acts of civil or military authority, terrorism, fire, flood, strikes, war, epidemics, pandemics, shortage of power or other acts or causes reasonably beyond the control of that party. The party experiencing the force majeure event agrees to give the other party notice promptly following the occurrence of a force majeure event, and to use diligent efforts to re-commence performance as promptly as commercially practicable.
26. Taxes and Charges. Contractor shall be responsible for payment of all taxes, fees, contributions or charges applicable to the conduct of the Contractor’s business.
27. Cumulative Rights. Any specific right or remedy provided in this Agreement will not be exclusive but will be cumulative of all other rights and remedies to which may be legally entitled.
28. Advice of Attorney. Each party warrants and represents that in executing this Agreement, it has received independent legal advice from its attorneys or the opportunity to seek such advice.
29. Heading Not Controlling. Headings used in this Agreement are for reference purposes only and shall not be considered in construing this Agreement.
30. Entire Agreement, Integration, and Modification.
30.1 This Agreement represents the entire integrated agreement between Contractor and the City; supersedes all prior negotiations, representations, or agreements, either written or oral between the parties and may be amended only by a written Amendment signed by the Contractor and City Manager.
Attachment B
30.2 All Exhibits to this Agreement and this Agreement are intended to be construed as a single document.
31. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original. All counterparts shall be construed together and shall constitute one agreement.
32. Authority. The individual(s) executing this Agreement represent and warrant that they have the legal capacity and authority to do so on behalf of their respective legal entities.
Attachment B
EXHIBIT D
PROFESSIONAL SERVICES SPECIAL TERMS AND CONDITIONS
1. Definitions. The following words and phrases have the following meanings for purposes of this Agreement:
1.1 "Services" means, collectively, the services, duties and responsibilities described in Exhibit A of this Agreement and any and all work necessary to complete them or carry them out fully and to the standard of performance required in this Agreement.
1.2 “Deliverable” means quantifiable goods or services that will be provided upon completion of a project. A deliverable is any tangible material, work or thing delivered by one party to the other, including associated technical documentation. A deliverable can be tangible or intangible parts of the development process, and often are specified functions or characteristics of the project.
2. General. The following terms and conditions are applicable for the Professional Services only. The special conditions shall be read in conjunction with the Standard Agreement, General Terms and Conditions (“GTC”) Exhibit C, and all other Exhibits identified in the Standard Agreement.
2.1 Where any portion of the GTC is in conflict to or at variance with any provisions of the Special Conditions of the Agreement, then unless a different intention stated, the provision(s) of the Special Conditions of the Agreement shall be deemed to override the provision(s) of GTC only to the extent that such conflict or variations in the Special Conditions of the Agreement are not possible of being reconciled with the provisions of the GTC.
2.2 In the case of modification of a part or provision of the GTC, the unaltered part or provision, or both shall remain in effect. The Special Conditions shall relate to a particular project and be peculiar to that project but shall not weaken the character or intent of the GTC.
3. Time for Performance.
3.1 Contractor shall perform the services according to the schedule contained in Exhibit F.
3.2 Timeliness of Performance i) Contractor shall provide the Services, and Deliverables within the term and within the time limits required under this Agreement, pursuant to the provisions of Exhibit A and Exhibit F. ii) Neither Contractor nor Contractor’s agents, employees nor subcontractors are entitled to any damages from the City, nor is any party entitled to be reimbursed by the City, for damages, charges or other Attachment B
losses or expenses incurred by Contractor by reason of delays or hindrances in the performance of the Services, whether or not caused by the City.
4. Standard of Performance
In addition to Exhibit C, Section 4 and 17, Contractor agrees as follows:
4.1 Contractor’s Services shall be performed in accordance with generally accepted professional practices and principles and in a manner consistent with the level of care and skill ordinarily exercised by members of Contractor’s profession currently practicing under similar conditions. Contractor shall comply with the profession’s standard of performance, applicable laws, regulations, and industry standards. By delivery of completed work, Contractor certifies that the work conforms to the requirements of this Agreement and all applicable federal, state and local laws. If Contractor is retained to perform services requiring a license, certification, registration or other similar requirement under California law, Contractor shall maintain that license, certification, registration or other similar requirement throughout the term of this Agreement.
4.2 Contractor acknowledges that it is entrusted with or has access to valuable and confidential information and records of the City and with respect to that information, Contractor agrees to be held to the standard of care of a fiduciary. Contractor shall assure that all services that require the exercise of professional skills or judgment are accomplished by professionals qualified and competent in the applicable discipline and appropriately licensed, if required by law. Contractor must provide copies of any such licenses. Contractor remains responsible for the professional and technical accuracy of all Services or Deliverables furnished, whether by Contractor or its subcontractors or others on its behalf. All Deliverables must be prepared in a form and content satisfactory to the Using Agency and delivered in a timely manner consistent with the requirements of this Agreement.
4.3 If Contractor fails to comply with the foregoing standards, Contractor must perform again, at its own expense, all Services required to be re-performed as a direct or indirect result of that failure. Any review, approval, acceptance or payment for any of the Services by the City does not relieve Contractor of its responsibility for the professional skill and care and technical accuracy of its Services and Deliverables. This provision in no way limits the City’s rights against Contractor either under this Agreement, at law or in equity.
5. Compensation
5.1 In addition to Section 3 Compensation in Exhibit C – GTC, the Contractor shall be compensated for the services provided under this Agreement as follows:
5.1.1 Contractor shall be compensated for services rendered and accepted under this Agreement and shall be paid monthly, in arrears on a not to exceed Attachment B
basis, based upon the rates set forth in Exhibit E attached hereto and made a part of this Agreement. Contractor may vary the compensation for each task in Exhibit E provided that the total project compensation listed in Exhibit E and the Standard Agreement is not exceeded.
6. Personnel
6.1 None of the work or services covered by this Agreement shall be subcontracted without the prior written approval of the City. Any work or services subcontracted hereunder shall be specified by written agreement and shall be subject to each provision of this Agreement. Contractor shall provide subcontractor a copy of this fully executed Agreement.
6.2 Contractor agrees to assign only competent personnel according to the reasonable and customary standards of training and experience in the relevant field to perform services under this Agreement. Failure to assign such competent personnel shall constitute grounds for termination of this Agreement. The payment made to Contractor pursuant to this Agreement shall be the full and complete compensation to which Contractor and Contractor’s officers, employees, agents, and subcontractors are entitled for performance of any work under this Agreement. Neither Contractor nor Contractor’s officers or employees are entitled to any salary or wages, or retirement, health, leave or other fringe benefits applicable to employees of the City. The City will not make any federal or state tax withholdings on behalf of Contractor. The City shall not be required to pay any workers' compensation insurance on behalf of Contractor. Contractor shall pay, when and as due, any and all taxes incurred as a result of Contractor’s compensation hereunder, including estimated taxes, and shall provide City with proof of such payments upon request.
6.3 Key Personnel: Because of the special skills required to satisfy the requirements of this Agreement, Contractor shall not reassign or replace key personnel without the written consent of the City, which consent the City will not unreasonably withhold. "key personnel" means those job titles and the persons assigned to those positions in accordance with the provisions of this Agreement. The City may at any time in writing notify Contractor that the City will no longer accept performance of Services under this Agreement by one or more Key Personnel listed. Upon that notice Contractor shall immediately suspend the services of the key person or persons and must replace him or them in accordance with the terms of this Agreement. A list of key personnel is found in Exhibit A, Scope of Services.
7. Reports and Information
Contractor shall at such times and in such forms as the City may require furnish the City such periodic reports as it may request pertaining to the work or services undertaken pursuant to this Agreement, the costs and obligations incurred or to be incurred in connection therewith, and any other matters are covered by this Agreement as specified in Exhibit A and Exhibit E.
Attachment B
8. Findings Confidential
All of the reports, information, data, et cetera, prepared or assembled by the Contractor under this Agreement are confidential and the Contractor agrees that they shall not be made available to any individual or organization without the prior written approval of the City. Contractor shall not be required under the provisions of this paragraph to keep confidential any data or information which is or becomes publicly available, is required by applicable law or by proper legal or governmental authority, is already rightfully in the Contractor’s possession without obligation of confidentiality, is independently developed by Contractor outside the scope of this Agreement or is rightfully obtained from third parties. Contractor shall give City prompt notice of any such legal or governmental demand and reasonably cooperate with City in any effort to seek a protective order or otherwise to contest such required disclosure.
9. Copyright
No materials, including but not limited to reports, maps, or documents produced as a result of this Agreement, in whole or in part, shall be available to Contractor for copyright purposes. Any such materials produced as a result of this Agreement that might be subject to copyright shall be the property of the City and all such rights shall belong to the City, and the City shall be sole and exclusive entity who may exercise such rights.
10. Deliverables
Contractor shall prepare or provide to the City various Deliverables. "Deliverables" include work product, such as written reviews, recommendations, reports and analyses, produced by Contractor for the City. The City may reject Deliverables that do not include relevant information or data, or do not include all documents or other materials specified in this Agreement or reasonably necessary for the purpose for which the City made this Agreement or for which the City intends to use the Deliverables. If the City determines that Contractor has failed to comply with the foregoing standards, it has 30 days from the discovery to notify Contractor of its failure. If Contractor does not correct the failure, or if it is possible to do so, within 30 days after receipt of notice from the City specifying the failure, then the City, by written notice, may treat the failure as a default of this Agreement.
Partial or incomplete Deliverables may be accepted for review only when required for a specific and well-defined purpose and when consented to in advance by the City. Such Deliverables will not be considered as satisfying the requirements of this Agreement and partial or incomplete Deliverables in no way relieve Contractor of its commitments under this Agreement.
Attachment B
EXHIBIT E
COMPENSATION SCHEDULE
The Contractor shall be compensated for the services identified in Exhibit A, Exhibit C, and Exhibit D to this Agreement as follows:
1. Project Price
1.1 The maximum the Contractor shall be paid on this Agreement is $624,438 (hereafter the “not to exceed” amount). The “not to exceed” amount includes all payments to be made pursuant to this Agreement, including City approved reimbursable expenses, if any. Nothing in this Agreement requires the City to pay for work that does not meet the Standard of Performance identified in Exhibit D section 4 or other requirements of this Agreement.
1.2 Standard Reimbursable Items: Only the reimbursable items identified in Exhibit A, C, and D (Compensation), shall be compensated to the Contractor.
Reimbursable expenses will be reimbursed without markup. Fees plus reimbursable expenses shall not exceed the amount set forth in section 1.1 of this Exhibit and a copy of the original invoice for the items listed in i, ii or iii below shall be attached to the invoice submitted to the City for reimbursement. Payments shall be based upon work documents submitted by the Contractor to the City and accepted by the City as being satisfactory to City’s needs. The City shall not pay a markup on any of the items listed in i, ii or iii.
Additionally, items such a telephone, fax, postage or freight are already included in the billable hourly rate. Contractor shall be reimbursed the direct expenses, which are the actual cost of the following items that are reasonable, necessary and actually incurred, by the Contractor in connection with the services:
i. Expenses, fees or charges for printing, reproduction or binding of documents at actual costs with no markup added to the actual cost. ii. Any filing fees, permit fees, or other fees paid or advanced by the Contractor at actual costs with no markup added to the actual cost. iii. Travel expenses shall be reimbursed in accordance with the City’s travel policy, which is incorporated herein by reference.
Reimbursement shall be made at actual costs with no markup added to the actual cost.
1.3 The Contractor shall be entitled to receive payments for its work performed pursuant to the Agreement. The City will pay Contractor based on invoices for acceptable work performed and approved until the “not to exceed” amount is reached.
Thereafter, Contractor must complete services based on the Agreement without additional compensation unless there is a material change to the Statement of Work and Scope by a written Amendment.
Attachment B
1.4 If work is completed before the “not to exceed” amount is reached, the Contractor’s compensation will be based on the Contractor’s invoices previously submitted for acceptable work performed and approved.
2. Task Price. Below is the price for the services and reimbursable expenses as described in Exhibit A of this Agreement.
Task Description Task Price
1 Open Counter Implementation $ 34,313
2 Business, Residential, and Zoning Check
Portals $ 467,875
3 Spanish Language Translation $ 22,250
4 Integration to ArcGIS Local GeoCoder $ 12,500
5 Integration to Accela Citizen Access (15
permit types) $ 87,500
TOTAL PRICE $ 624,438
5. Invoice to Address. Each invoice submitted shall identify the specific task(s) listed in Exhibit A and this Exhibit, and the completed work product/deliverable for the agreed upon price listed in this Exhibit. Invoices shall be submitted to the below address:
City of Stockton Community Development Department
Attention: Permit Center
425 N. El Dorado Street
Stockton, CA 95202
Attachment B
EXHIBIT F
TIMELINE
1. Consultant shall complete the requested services identified in Exhibit A as follows:
1.1. TIMELINE FOR COMPLETION OF SERVICE IMPLEMENTATION
1.1.1. Data Gathering Two (2) weeks
1.1.2. Cartography Five (5) weeks
1.1.3. Permit Configuration Five (5) weeks
1.1.4. Launch Two (2) weeks
1.2. FULLY IMPLEMENTED SERVICES
1.2.1. Business, Residential, and Zoning Check Portals will be available from the completion of the implementation until the end of the contract duration.
1.2.2. Spanish Language Translation will be available from the completion of the implementation until the end of the contract duration.
1.2.3. Integration to ArcGIS Local GeoCoder will be available from the completion of the implementation until the end of the contract duration.
1.2.4. Integration to Accela Citizen Access (15 permit types) will be available from the completion of the implementation until the end of the contract duration.
1.2.5. Implementation maintenance and minor optimizations will be available from the completion of the implementation until the end of the contract duration.
Attachment B
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Attachment C
OpenCounter Specific Unique Features / Technology
Land Use and Cartography Features
Location Specific Permit Scoping: OpenCounter is
the only location-aware scoping tool
commercially available to local governments. Our
software uses City-qualified GIS data to
determine the specific permit payload for a
project in every location inside County limits.
Using our patent-pending Zoning API,
OpenCounter is capable of using location-specific
data to inform planning and zoning permits,
calculate impact fees and model highly specific
location-based rules codified in the municipal
code.
Secondary Use Questions: Will your business
have live entertainment after midnight?
Answer a simple yes/no question and the map
instantly reflects the nuances expressed in the
footnotes and limitations required by the
zoning code. We've turned a repetitive process
that can take staff hours or even days to do this
complex lookup into an online flow that takes
the average applicant less than eight minutes.
This information is sourced from an initial
reading of the code by our AICP certified
accounts team and then verified by staff.
Reverse geocoding: Constituents can search by address or across the entire city map with intuitive and userfriendly clicking and zooming. We have not seen this design feature in any other permitting stack.
Display of zones and overlay: Every community is a geographical Layercake. We detect the presence of hazard zones, flood plains, historic preservation areas, etc. and connect these attributes to additional requirements like Fire Mitigation requirements, and Design Reviews. Further, significant areas of the city can be subject to special zoning requirements as a result of planned developments. Our staff works to capture these exceptions and display that critical information to the applicant and built them into the flow of the permit scoping tool to both educate applicants and set a realistic timeframe for staff review.
Attachment C
Word Vectors: No one ever asks to open a
“personal services” business or a “group fitness
facility,” but they can ask OpenCounter to start a
“threading” business or a “yoga studio,” and get
to a properly classified Use Code. No other
vendor uses our search methodology which
employs a complex “word vector” methodology
that leverages a corpus of over 400,000 use
codes, definitions, and synonyms collected over
the history of the company. Our search
algorithm is also self-learning, so the more it is
used, and the more Cities and Counties sign up
for the service, the stronger this feature
becomes.
Use Normalization: Upon selection of a formal use code or project type, our software will normalize the project classification to the proper zoning designation, building occupancy class, impact fee classification, and NAICS code, automatically. This is accomplished with internal scripting tools and then verified by our clients before launch.
Permit Discovery Features
Rules Engine: OpenCounter has the most
sophisticated fee rules engine in the industry. Our
system goes far beyond the typical “if-then”
statements. Our rules engine handles even the
most sophisticated requirements. We've worked
with over 70 jurisdictions, and we've yet to
encounter a fee rule we couldn't model, from
complicated impact calculations to fees based on
locations or other geospatial conditions, we can
handle it all. This has tangible results for both
applicant and staff and leads to Time Savings and
higher rates of Permitting Compliance)
Rules Modeling: We are able to export and map the
dependencies and implications of every question in the
system, and the most important questions are placed
first. Each subsequent question in an application is
driven by a complex model and is not humangenerated.
Attachment C
Real-Time Fee Calculation: Powered by the
normalization process outlined above, we are the
only vendor who can calculate estimated permit
costs across all city departments in real-time as
applicants navigate through the system. Applicants
are able to change answers, explore different
scenarios and see the impacts on their project costs
in real-time.
Platform Features
Versioning: The only permitting platform with a versioning system built in to track implementation of public policy through various versions of fee schedules and permit rules. This is designed to empower metrics across time as well as reduce siloed data.
Responsive Design: Unlike the vast majority of civic
vendors, our software comes mobile and tablet versions
ready, out of the box.
Localization: We are also the only vendor who is able to localize these unique features experience into more
than 30 languages and then use a proprietary API
connection to a translation service that will update
localized sites within 48 hours of content changes on
the English installation.
Secure: We take security seriously. Our platform is
served over SSL, encrypted-at-rest, and backed up
to an ISO 27000/SOC 1 and SOC 2/SSAE 16/ISAE
3402 facility.
Accessible: Our platforms are compliant with WCAG 2.0 AA, Section 508, and ADA.
Attachment C
Service Delivery Features
Modular Approach Designed to Minimize Organizational Change:
OpenCounter now has a modular platform that can fill any gap in a community’s Service Delivery Model. Our Permit Discovery Portals can sit aside or atop legacy permitting stacks, while our Intake and Issuance tools can be used to digitize legacy permits or model new areas of public policy enablement.
Handoff Functions: Our solution provides a
unified front-end experience to the applicant
for an often disparate set of processes that can
vary greatly depending on which city
department owns it. Our team sets up detailed
"next steps" for each permit and then directs
them to the department’s preferred application
method, whether that’s in person, on paper, a
legacy permitting platform of a continuation of
the OpenCounter experience through our Intake
and Issuance tooling.
Attachment C
Ability to leverage existing City Systems: OpenCounter is capable of working with many existing vendors to “handoff” scoped permits to the proper endpoints in existing LMS/point solutions. We have completed over a dozen successful integrations/handoffs with other communities in the last five years and have worked to create non-customized handoffs that seamlessly lead applicants from permit discovery to permit application functions in legacy permitting platforms.
Notification and Audit Functions: Every OpenCounter session that requires/requests staff support is fully paper trail audited and digital copies of applicant answers are remitted to the applicant and staff. This prevents people from playing departments against each other in their code analysis or “shopping for planners.”
Professional Services
Experience: OpenCounter is the only permitting solution in the market that sources its account team from the public sector exclusively. Our implementations are provided on a fixed fee basis, and our pricing is based on real-time commitments from similar projects nationwide. We do not hire outside implementing firms.
Audit Trail: Every deliverable and task is tracked, documented, and delivered through email workflows using BaseCamp 3.
No Self-Service: The atomized nature of regulation means that we know that staff can’t configure this citywide. Not only is there no time or technical inclination, but it takes a neutral, outside consultant to model rules and regulations across departments and divisions and create the dependency tree and land use matrix that powers these sites.
Attachment C
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“Because of the tool set that OpenCounter
provides, we are constantly chipping away at
turn-around time across all of our permitting
services. For example, with our tree permits,
there is not a single piece of paper involved
in that entire process, including the person
going out to the field to inspect the tree and
approving it. We know that, at scale, every
kind of turnaround between the city and an
applicant for a permit can be dramatically
shortened.”
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“For the end user, OpenCounter provides an
umbrella across all departments, yet keeps
every process where it is internally. We can
now move the needle towards providing a
modern digital experience while being able to
work with each department to transform their
internal processes when it’s right for them.”
Attachment C
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The information we get about people
going through the process has been
invaluable. The backend analytics
have been a benefit for us from a
service delivery perspective, and it
means we can be proactive in
following up with users. We have two
people on staff where this platform is a
good portion of their workday. Any
inquiries or applications that come into
the system - we will reach out and
provide help.
Attachment C
Matching projects to land use codes using a graph of word embeddings
Sam Zhang
Open Counter Enterprises Inc.
[email protected]
Linh Vuong
Open Counter Enterprises Inc.
[email protected]
Joel Mahoney
Open Counter Enterprises Inc.
[email protected]
ABSTRACT
According to the World Bank, the United States is 49th in the world for ease of starting a business, 37th for ease of registering property, and 36th for ease of dealing with construction permits. These rankings re!ect ine"ciencies in state and local government, whose regulations dictate a wide range of permitting requirements, and whose implementation of these rules can vary widely. By applying a novel approach using a graph of word embeddings to select land use codes, we streamline a small but important step in the overall permitting process, which can have an outsized impact on the cost and complexity of commercial and residential projects. We have deployed this as the o"cial business permitting software for over 40 jurisdictions, including San Diego, Oakland, and Salt Lake City.
CCS CONCEPTS
• Computing methodologies → Arti!cial intelligence; • Applied computing → Computers in other domains; • Information systems → Information retrieval;
KEYWORDS
applied data science, civic tech, word embeddings, natural language processing, NLP, machine learning, urban planning, zoning ACM Reference Format:
Sam Zhang, Linh Vuong, and Joel Mahoney. 2018. Matching projects to land use codes using a graph of word embeddings. In Proceedings of KDD ’18 (KDD 2018 Applied Data Science). ACM, New York, NY, USA, 6 pages. https://doi.org/10.1145/nnnnnnn.nnnnnnn
1 INTRODUCTION
There are two common approaches to the practice of zoning in America: form-based and Euclidean zoning. Form-based zoning regulates the built environment by de#ning building types and physical features that are allowable in a given area. Euclidean zoning1 relies on a classi#cation system known as "land uses," which de#ne the activities that are allowable in a given location.
Land uses are typically organized into categories and subcategories. Categories cover topics such as "Commercial", "Industrial", and "Residential", while subcategories cover areas such as 1Named after the town of Euclid, Ohio, defendant in the 1926 Supreme Court case that established the constitutionality of zoning practices [6].
Permission to make digital or hard copies of part or all of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for pro#t or commercial advantage and that copies bear this notice and the full citation on the #rst page. Copyrights for third-party components of this work must be honored.
For all other uses, contact the owner/author(s).
KDD 2018 Applied Data Science, August 2018, London, UK
© 2018 Copyright held by the owner/author(s).
ACM ISBN 978-x-xxxx-xxxx-x/YY/MM.
https://doi.org/10.1145/nnnnnnn.nnnnnnn
"Light Manufacturing", "General Retail", and "Animal Services." Individual land uses become as speci#c as Auto Mu!ler - Installation And Sales Only or even Manufacture of cereals, distilled liquors, felt or shoddy, hair or hair products, pickles, sauerkraut, vinegar, yeast, soda or soda compounds, structural clay products, meat products, not including any use "rst speci"cally listed below. Some more examples of use codes are provided in Table 1.
There are several factors that make it selecting the appropriate land use a challenge. Firstly, land uses vary widely by region, based on geographic and economic factors. For example, coastal communities have uses related to their lakes and oceans (e.g. Marina or Boat Service), whereas agricultural communities have uses related to farming and food processing (e.g. Feed Lot or Hog Farrowing).
These regional variations make it di"cult to de#ne a one-size-#tsall classi#cation system2. There is no standard name for the same economic activity either. In Table 2, we illustrate some ambiguous categorizations of popular business types.
Secondly, land use codes can become outdated as economic activities evolve. Terminology can change, and the land use options can become outdated. Consider uses like San Francisco’s "Wool Pulling and Scouring" (an unlikely category for Silicon Valley startups), or "Drive-in Theatre." These uses are likely to be irrelevant for most applicants, but add complexity to the classi#cation system.
Even when older use codes are still relevant, it can be di"cult to understand how modern uses should map to the existing options.
For example, it might not be immediately clear to a pilates studio owner that the best land use option for their business is Group Fitness Facility.
Lastly, land uses often include conditional options, which can add complexity to an otherwise straightforward selection. Consider the choices for "Restaurant" in Paci#c Grove, California:
• Restaurant, fast food (non formula, no alcohol)
• Restaurant (formula or non formula)
• Restaurant (non formula)
• Restaurant (formula or non-formula, w/ alcohol)
• Restaurant (formula or non formula, w/ no alcohol)
• Restaurant (specialty, non formula, w/ beer and wine) • Restaurant (specialty, w/ no alcohol sales)
• Restaurant with a drive through (non formula, no alcohol) All of these details add complexity to a critical step in the permitting process, the stakes of which are high: a poor choice of land use can mean that your project will be prohibited at your chosen location, or that the permits required at this location will be more expensive. It also increases the di"culty of turning a local 2The North American Industry Classi#cation System is the best attempt [11], but the list is long, and the options are generally inapplicable.
Attachment D
KDD 2018 Applied Data Science, August 2018, London, UK Sam Zhang, Linh Vuong, and Joel Mahoney Table 1: Example use codes
Category Subcategory Name
Commercial Retail General Administrative
Commercial Services Group Fitness Facility
Recreation Public Assembly Recreation
Table 2: Ambiguous use codes
Common Term Legal Term 1 Legal Term 2
Cafe Eating and Drinking Facility Bakery
Gym Fitness Facility Health Center
Salon Personal Services Spa
Yoga Instructional studio Studios for dance
Table 3: Example deployed business portal sites
Jurisdiction Site
San Diego https://business.sandiego.gov
Santa Cruz https://opencounter.cityofsantacruz.com
Oakland https://oakland.opencounter.com
Salt Lake City https://slcgov.opencounter.com
solution for a particular jurisdiction into a global solution for any jurisdiction.
OpenCounter attempts to simplify the land use selection process by allowing applicants to search for common business types (pilates studio, cafe, etc.) and returning an appropriate selection of land use codes o$ered by the jurisdiction. This requires a nuanced approach to keyword mappings, given the diversity of options in each jurisdiction’s land use classi#cation scheme.
This paper presents an algorithmic approach to handling the long tail of ambiguous classi#cations without requiring sta$ discretion each time. For example, Chinese food, takeout, sushi, and tacos would all lead to use codes related to restaurants and food service without having to add each term individually.
The system has been deployed in over 40 jurisdictions. A few deployments are listed in Table 3.
2 DATA
OpenCounter o$ers local governments an applicant-facing business portal that simulates the experience of interacting with an employee at a permitting desk. To do this, each jurisdictions’s business permitting legislation is translated by a team at OpenCounter into a domain-speci#c language, which are represented in the portal !ow as questions. The #rst question that the applicant must answer is their project type, which is the query used to determine their land use code, because the land use is central to almost all of the permits and fees.
The land uses themselves are broken up into categories, subcategories, and names, as shown in Table 1. Municipalities with only a category and a name have an empty subcategory. Each land use may optionally include a description, as well as zero, one, or many sets of keywords to emphasize di$erent semantic dimensions of the use code. The digitized land uses are available as a free online API at https://zoning.io.
We use a pre-trained model of the top 400,000 thousand words from English Wikipedia from the GloVe implementation of word embeddings [12]. Word embeddings are continuous vector representation of otherwise highly sparse text datasets. They have been shown to perform well on semantic similarity tasks [9] [12]. 3 MOTIVATION
The solution of using a graph of word embeddings arises out of several considerations:
(1) Jurisdictions have requested we save applicants’ self-described project types so they can study how local business is changing over time. This rules out OpenCounter’s previous iteration, an autocomplete search, which does not encourage the user to write out a complete project type before selecting an option.
(2) We want the user to be able to specify project types in their own words, rather than requiring them to learn the legalese in advance.
(3) Jurisdictions have slightly (and sometimes very) di$erent sets of use codes from one another. They vary in quantity, detail, and even taxonomy. Therefore we cannot create a one-size-#t-all multinomial classi#cation solution that maps project types onto a single standard.
(4) The structure of the use codes across jurisdictions, although di$erent, o$ers valuable similarities. We seek to exploit these similarities as a form of prior information.
(5) The smallest municipalities that use OpenCounter may only receive several applications a week. Furthermore, search tra"c is heavily concentrated toward a few popular use
codes. This makes it unfeasible to rely on data collected from live applicants to drive the algorithm.
(6) OpenCounter adds jurisdictions to its system at a rapid pace.
To require a large amount of human annotation for each new jurisdiction would be costly. Therefore we want the system to handle most English queries without requiring explicit annotation.
(7) The existing jurisdictions in OpenCounter may change their use codes or other municipal ordinances. The use code search needs to adapt to revised data as automatically as possible, to lower maintenance costs.
4 METHODOLOGY
On the #rst interactive page of the OpenCounter business and zoning portals, the applicant is prompted to enter a project type. This is similar to what an applicant may be asked at a local permitting o"ce, and the user is expected to answer similarly. We prompt the user using a scrolling placeholder of common project types, such as cafe, yoga studio, and restaurant. We refer to the applicant’s project type as the query.
We perform two di$erent query expansions – techniques that increase the surface area of the query [8]. When the applicant enters their query, the query is embedded into a continuous word vector model trained on English Wikipedia, augmenting their query with Attachment D
Matching projects to land use codes using a graph of word embeddings KDD 2018 Applied Data Science, August 2018, London, UK the semantic information from the model. This is similar to the approach in Diaz et al. [5], but we found it advantageous to use a global rather than domain-speci#c corpus, since our problem space requires reaching outside of the legal vocabulary of the municipal codes themselves.
The second query expansion relies on the similarities of use codes across jurisdictional lines. We construct a graph, explained below, and use it to expand the query with information from the closest matching use codes across the country. One jurisdiction may de#ne their use code for o"ce to be Commercial > Retail > Administrative, while another de#nes it as Commercial > Retail > O#ce Administrative. We allow the existence of the more detailed use code to inform searches in the less detailed use code’s jurisdiction.
4.1 Embedding the use codes
OpenCounter services a set of over 40 jurisdictions , such as San Diego, Oakland, and Salt Lake City. Each jurisdiction j 2 has its own set of use codes Uj , which partition the set of all sets of use codes in OpenCounter U . Each use code has associated with it one or more keyword sets, [k1, k2, ..., kn]. This is common for broad use codes, such as Commercial > Personal Services, which may refer to many di$erent uses whose names may not be close in the vector space. We embed each keyword set as a point in the GloVe vector space.
Each use code begins as a bag of words representation,
[w0,w1, ...,wn], (1)
which are a tokenized and preprocessed list of the parts of the use code shown in Table 1. Each keyword set ki is then an additional bag of words [w0,w1, ...,wm], with zero or more words, appended onto the original use code words. Thus we end up with m vectors, one for each keyword set, that overlap insofar as they share the vocabulary from the use code itself. This is transformed into a bag of vectors [p0,p1, ...,pn+m] by embedding each word with the word vector model. We do not remove duplicate words, since they convey a meaningful emphasis on certain terms.
Each use code u 2 Uj is then represented as one or more tuples of (j,Æ), with jurisdiction j and use and keyword vector Æ:
Æ = 1
n + m
n’+m
i=0
pi ⇤ id f (wi), (2)
where id f is the inverse document frequency of a word across all OpenCounter jurisdictions.
Since we are only using the word embeddings to provide a distance metric between words, we trade the ability to do semantic arithmetic for a degree of robustness against the Curse of Dimensionality by projecting the vectors onto a hypersphere [3].
When an applicant enters a search term into the search engine, we transform their query into a tuple (t,qÆ), where t is the jurisdiction of the applicant, and qÆ the query transformed into a single vector using Equation 2.
4.2 Exploiting the use code graph
The similarities of use codes across jurisdictions o$er structural information about the space of use codes that we exploit. We #nd the closest use codes to the query across any jurisdiction, then the closest use code in the target jurisdiction from that intermediate use code.
We notice poor performance subjectively #nding the direct distances between the query and the uses in the target jurisdiction:
dists = {D(qÆ,u), 8u 2 Ut }. (3)
We hypothesize this may be caused by the sparsity of certain jurisdictions’ land use codes. For example, if the use for o"ce is speci#ed as Commercial > Administrative > General rather than Commercial > Administrative > O#ce as it is in some jurisdictions, then the word o"ce may not match to that use code name as clearly.
To resolve that problem, we generalize our view of the problem to see that the direct search is a minimization of the path ’n
i=0
pi ;pn 2 Ut ,p0 = qÆ, (4)
where p is the query vector.
By the triangle inequality, the objective function in Equation 4 always chooses the great circle distance across the hypersphere between qÆ and its nearest point in Ut . Instead, to encourage the system to make use of the prior structure within the graph, we begin by minimizing each step
D(pi,pi+1 |u 2 U,u < {p0,p1, ...,pi }). (5)
This opens up a potentially large search tree, but we #nd it su"cient to perform only two steps. For each u 2 U , we memoize the shortest path between each use and each other jurisdiction m(u, j) = armin{D(u,uj)|uj 2 Uj , j 2 }. (6)
Then pn = p2 = m(p1,t). The #nal score is created through a linear combination of Equations 4 and 6,
s(qÆ, j) = c ⇤ D(qÆ,p1) + m(p1, j), (7)
where c is a constant that dampens the tendency to jump directly to the searched jurisdiction.
This creates a precomputed graph G of size |U | ⇥ | 1|, where for every given use code, we #nd the closest use code in every other jurisdiction. When the applicant makes a query, this graph #nds distances to results in the applicant’s jurisdictions intermediated by this graph. This is what we call query expansion over the graph of word embeddings.
4.3 Productionization
The models were developed in Python using gensim [13], but to avoid maintaining a microservice in a separate programming language than our existing Rails application, we migrated the word vectors into Postgres to use with ActiveRecord. We store the data using the Postgres "cube" extension, which provides us with a hypercube data structure as well as performant distance functions.
Attachment D
KDD 2018 Applied Data Science, August 2018, London, UK Sam Zhang, Linh Vuong, and Joel Mahoney Table 4: Common project types for evaluation
Cafe Dry clean Day spas
Restaurant Laundry Massage
Sandwich shop Laundromat Dentist
Juice bar Pet hotel Clinic
Brewery Auto repair Doctors o"ce
Winery Tune up Acupuncture
Bakeries Auto service Chiropractor
Cake shop Auto detailing Counseling
Donut Auto upholstery Boutique
Co$ee and tea Towing Baby clothes
Cupcake Bowling Furniture
Ice cream Gym Store
Salon Yoga Beauty supply
Blow-dry bar Pilates Eyeglass shop
Hair Co-working space Clothing store
Tattoo Escape games Garden supplies
Piercing Paintball Grocery store
5 EVALUATION
We evaluate the performance of the use code search with two di$erent methods: validation against labeled truth data, and analysis of user behavior.
5.1 Labeled truth data
We took a list of 51 project types that the OpenCounter accounts team anticipated to be common queries (Table 4). We selected a jurisdiction at random – Riverside, California – and out of its 129 use codes, manually selected up to three use codes that #t each project type. Often a project type is not enough to select a single unambiguous land use. This set of truth data only consisted of 26 unique use codes, showing that at least in Riverside, only a #fth of the use codes were anticipated to receive heavy usage.3 We then evaluated our search engine using those prede#ned queries and results, allowing each query to return up to #ve results, as on the live website. The process was repeated for several variations on the search algorithm. The system was evaluated for the proportion of relevant items that were retrieved (recall) but not for the proportion of retrieved items that were relevant (precision) [8], since the degree to which users use OpenCounter for exploratory planning of potential businesses is still unknown.
The three search methods we tested were:
(1) Substring match. This is similar to an autocomplete-based search system in a previous version of the OpenCounter business portal. We return any land use codes whose category, subcategory, and name contain the lowercased query text. (2) Direct search. This uses word vectors to #nds the shortest path between the query and the use codes in the target
jurisdiction Uj without any intermediate graph search.
3The evaluation does not include any residential uses because the OpenCounter business portal does not include residential permits. This excludes 15 of the 129 use codes in Riverside. These residential use codes do appear in the search results for zoning purposes, however, and they are popular among users.
Table 5: Results of evaluation
Recall all Recall one
Substring Search 0.036 0.059
Direct Search 0.747 0.863
Graph Search 0.747 0.902
(3) Graph search. This uses the graph of word vectors to hop through zero or one use codes in other jurisdictions as a form of query expansion.
We evaluated recall on two metrics: recall of all of the relevant results for each use code (recall all), and recall of any of the relevant results for each use code (recall one). Queries that failed to return any results under the recall one criteria are italicized in Table 4, and results are in Table 5.
The graph search found at least one of the correct uses for 90.2% of the project types, and the direct search found at least one for
86.3%. The direct substring match performed extremely poorly, matching only 5.9%.
Since the particular choice of jurisdiction for evaluation was random, we expect the di$erence between the direct search and graph search may be larger in a jurisdiction with a less detailed use code table than Riverside.
Evaluating the use code search against a #xed set of labeled truth data enables a rigorous baseline for the system, but as a global measurement of system performance, it is di"cult to interpret for the following reasons:
(1) The system depends on the graph of all use codes U , which is updated every time OpenCounter adds a new jurisdiction. (2) The human in the loop adds keyword sets to use codes to improve the quality of the search, especially around ambiguous use codes like Commercial > Personal Services which may have di$erent keyword sets for tailor, barber, life coach, etc.
Since there is a direct trade-o$ between the amount of human annotation that goes into the system, and the quality of the results, we present these results without using any keyword sets whatsoever. Thus these results serve as a lower bound on the quality of the search engine, especially since many of the popular queries require more annotation around the di$erent in!ections of Commercial > Personal Services.
5.2 Analysis of user behavior
To assess the performance of the use code search on live data, we gathered metrics on:
(1) The distribution of number of searches that a user performs in a session.
(2) The percent of users who select a use code without resorting to the use code browser. We only display the use code browser after a search is made, so we can use the browsing of the use code table as a heuristic for people who gave up on the search itself.
A total of 10,795 unique applicant sessions have searched for a use code since we #rst launched this feature. Out of those sessions, 3,441, or 31.8%, chose to browse the entire use code table as well.
Attachment D
Matching projects to land use codes using a graph of word embeddings KDD 2018 Applied Data Science, August 2018, London, UK Figure 1: Distribution of number of searches per session.
In Figure 1 the distribution of the number of searches performed in each user session is shown. Dots are placed on the #rst ten data points, i.e., the cumulative percent of searches that end with one through ten searches or less. Around 95% of users search less than #ve times, and 58% only search once during their session. A long tail exists of a handful of users who use the search feature upwards of a hundred times.
The tail of the number of searches performed in a session is long partly because of city sta$ assessing the system. City sta$ will often toggle between the use code search and the zoning map to look at how OpenCounter maps the zones of all of their use codes. Likewise, a proportion of the use code browser tra"c may be attributable to city sta$ as well.
6 DISCUSSION
The results suggest that machine learning systems can be deployed with success at the level of local government, surmounting challenges of legislative complexity and bureaucracy. Rather than performing extensive research on land use regulations, or taking a trip down to city hall during business hours, applicants attempting to start a business are able to query a city website with a plain-text "project type" and receive an immediate response. Some pursue iterative exploration with the search, by modifying their query and searching again, but 95% of applicants search less than #ve times.
The users in the 5% who search more than #ve times form a long tail in total number of searches. In user research, we observe a subjective quality of fascination that these users have with the search interface. Many of these users are city sta$, whom we observe exploring the depths and boundaries of the system with a broad range of queries. These users often select a use code, proceed to the next page, which shows an interactive map of their jurisdiction with the zones drawn, and backtrack to perform a new search to look at the map anew. This suggests that our machine learning approach toward land use is deeply novel, and presents to experienced zoning professionals an invitation to reason with their domain di$erently. Indeed, the feedback we have received from city sta$ has been overwhelmingly positive.
In addition to the obvious bene#ts to applicants and city sta$, machine learning systems like these present strategic advantages for local government as well. It has been noted that the biggest challenges that local governments face with open data initiatives are decentralized data storage, external data sourcing, and not using data as part of the core process of public service [4]. By streamlining permitting and other work!ow through data-driven tools like this, local governments can much more easily respond to records requests and ful#ll open data initiatives.
6.1 Future directions
We embed use codes into vectors by performing a tf-idf combination over the individual word vectors, which is unable to capture the semantics of phrases like soup kitchen and day spa. Use of embedded phrases [10] or paragraphs [7] instead of words may provide an immediate improvement on the quality of phrases.
OpenCounter is about to release a residential permitting portal for local governments. The use code search already indexes residential land uses. Since homeowners are not looking to develop housing, a future direction is to apply a similar approach to match residential project types such as plumbing, fence work, and pool installation with their permits directly.
The ability to map unstructured project types to use codes presents possibilities for work on creating an empirically-based hierarchical land use code standard. This work open the possibility for a data-driven descriptive, rather than prescriptive, land use standard that can be used in conjunction with the o"cial municipal codes of diverse jurisdictions.
7 CONCLUSION
The US Census estimates that 1.2 million building permits were issued for privately-owned housing units in 2016, with a valuation of $237.1 billion [2]. The Small Business Administration estimates that over 500,000 new businesses opened in 2010, with this number growing to nearly 650,000 in 2013 [1]. For each of these residential permits and new businesses, OpenCounter could have provided essential information in a signi#cantly more user-friendly manner than what currently exists. Since November 2017, over 35,000 zoning lookups have been performed in OpenCounter’s tool; the median time to scope a project is 9 minutes, but over 50% of all lookups are done in 6 minutes or less. We believe that small improvements to the mechanics of the permitting process can have a signi#cant e$ect on the ease of starting commercial and residential projects, which in turn will a$ect economic data in the region. It is not inconceivable that these improvements can therefore impact macroeconomic performance, and improve the United States’ ranking as compared to other advanced economies in the world.
To that e$ect, we deploy a search engine for land use codes that is currently being used by 41 municipal governments, with more jurisdictions added continuously. It embeds land use codes into a continuous vector space, and exploits the similarities between use code tables across jurisdictions to expand the search query.
This represents an unprecedented step in digitizing the municipal Attachment D
KDD 2018 Applied Data Science, August 2018, London, UK Sam Zhang, Linh Vuong, and Joel Mahoney code and introducing machine learning-driven technology to local government.
ACKNOWLEDGMENTS
The authors would like to thank Matthew Conway for feedback, and Philip Hale for support with data analysis.
The authors would also like to thank the anonymous referees for their valuable comments and helpful suggestions. The work is supported by Open Counter Enterprises Inc.
REFERENCES
[1] 2015. Small Business Pro!les for the States and Territories. Technical Report. U.S.
Small Business Administration.
[2] 2016. Annual Building Permits. Technical Report. U.S. Census Bureau. [3] Charu C Aggarwal, Alexander Hinneburg, and Daniel A Keim. 2001. On the surprising behavior of distance metrics in high dimensional space. In International conference on database theory. Springer, 420–434.
[4] Peter Conradie and Sunil Choenni. 2014. On the barriers for local government releasing open data. Government Information Quarterly 31 (2014), S10–S17. [5] Fernando Diaz, Bhaskar Mitra, and Nick Craswell. 2016. Query expansion with locally-trained word embeddings. arXiv preprint arXiv:1605.07891 (2016). [6] Timothy Alan Fluck. 1986. Euclid v. Ambler: a retrospective. Journal of the American Planning Association 52, 3 (1986), 326–337.
[7] Quoc Le and Tomas Mikolov. 2014. Distributed representations of sentences and documents. In International Conference on Machine Learning. 1188–1196. [8] Christopher D Manning, Prabhakar Raghavan, Hinrich Schütze, et al. 2008. Introduction to information retrieval. Vol. 1. Cambridge university press Cambridge. [9] Tomas Mikolov, Kai Chen, Greg Corrado, and Je$rey Dean. 2013. E"cient estimation of word representations in vector space. arXiv preprint arXiv:1301.3781 (2013).
[10] Tomas Mikolov, Ilya Sutskever, Kai Chen, Greg S Corrado, and Je$ Dean. 2013.
Distributed representations of words and phrases and their compositionality. In Advances in neural information processing systems. 3111–3119. [11] John B Murphy. 1998. Introducing the North American industry classi#cation system. Monthly Lab. Rev. 121 (1998), 43.
[12] Je$rey Pennington, Richard Socher, and Christopher Manning. 2014. Glove:
Global vectors for word representation. In Proceedings of the 2014 conference on empirical methods in natural language processing (EMNLP). 1532–1543. [13] R Rehurek and P Sojka. 2011. Gensim–python framework for vector space modelling. NLP Centre, Faculty of Informatics, Masaryk University, Brno, Czech Republic 3, 2 (2011).
Attachment D
GENERATED MAY 20, 2022
1 OF 3
Burnett Lofts Fitness / Retail Area #910403
Indoor recreation 1012 Burnett Street
A P P L I CA NT
Hilda Rodriguez [email protected] (214) 941-2299
ZO NI NG O V ER V I EW
Address
1012 Burnett Street, Fort Worth, Texas 76102
Zoning Clearance
Allowed
Land Use
Indoor recreation
Zoning District
Central Business District (H)
Zoning Overlays
DUDD - Design District - Downtown Urban
Trans Impact Fee - Development Area K
PPD - Park Planning District 4
TIF 8: Lancaster - Tax Increment Finance District
Attachment E
GENERATED MAY 20, 2022
2 OF 3
R EQ UI R ED P ER MI T S Follow the instructions for each requirement to proceed with your project.
This is only an estimate of your permit costs and/or needs and does not serve as an application of permit.
Application is dependent on the type of permit and can be applied for online, via mail or in person. Any permits currently listed as $0.00 will be adjusted after staff review.
For any questions regarding your permit guide, please reach out the corresponding department listed here.
1. Incentives
Includes Neighborhood Empowerment Zone (NEZ) and Tax Increment Financing (TIF) etc. As well as Opportunity zones and Economic Development (ED) incentives.
TYPE DEPARTMENT FEES
Tax Increment Financing Economic Development -
2. Grading
A Grading Permit is required for land disturbing activity impacting one (1.0) acre or more, or land disturbing activity less than one (1.0) acre that is part of a Common Plan of Development that equals one (1.0) acre or more.
More information can be found here.
TYPE DEPARTMENT FEES
Texas Pollutant Discharge Elimination System General Permit Texas Commission on
Environmental Quality
(TCEQ)
-
3. Building
Permits are the means by which the City of Fort Worth regulates construction. There are several different types of permits, based on the type of construction: building, plumbing, mechanical, and electrical. In addition, the complete demolition and relocation of buildings also requires permits.
TYPE DEPARTMENT FEES
Mechanical Standalone Permit (Additional Fixture Fees Will Apply)
Development Services
Department - Permits $28.00
Plumbing Standalone Permit (Additional Fixture Fees Will Apply) Development Services Department - Permits $28.00
Commercial Remodel Building Permit Development Services Department - Permits $129.08
Plumbing Backflow Standalone Permit (Additional Fixture Fees Will Apply)
Development Services
Department - Permits $28.00
Fire Department Review (Additional Fees Will Apply) Bureau of Fire Prevention - Total Fees: $213.08
Attachment E
GENERATED MAY 20, 2022
3 OF 3
A NS WER S (Showing only answers that trigger the above requirements or calculate fees) The information provided in this tool is subject to final approval by staff. Permit requirements, fees, and zoning information may be altered upon subsequent staff review. If you have additional questions about your zoning determination, please contact city staff.
Building type
"Fitness Center"
Public and Civic Uses > Entertainment and Eating >
Indoor recreation
Does this business type already exist in this location? Yes
Construction type / scope of work
Alterations/repairs/remodels to an existing building
only
Does your project involve construction or work on an
accessory structure?
No
Select the following trade work that applies:
Plumbing
Electrical
Mechanical
Fire alarm/suppression systems
Which of the following plumbing features will your
project require?
Standard plumbing fixtures
Select the work that applies:
None of the above
How many acres will you disturb/grade?
N/A
Are you changing the primary use of the property?
No
Does your project require temporary electrical power?
No
Will you have any game machines onsite?
No
Will you have any permanent structures that exceed
property lines?
No
Will your project include the construction of public
infrastructure (streets, streetlights, water and sewer, etc)?
No
Are you adding, replacing or upgrading water
services?
None of the above
Will you need to cut any curbs, including for new
sidewalks or driveway approaches?
No
Will you require work in the right-of-way or temporary
closure of any streets, lanes or sidewalks during
construction?
No
Would you like to request zoning verification from the
city?
No
Will there be a residential component to your project?
No
Are you a new tenant in this space?
No
Is your project a common plan development?
No
Estimated cost/valuation for remodel work on primary
structure
0.0
Attachment E
Attachment F
COMMUNITY DEVELOPMENT DEPARTMENT
DECISION TREE SOFTWARE
City Council Meeting
July 26, 2022
Agenda Item 15.1
CURRENT CHALLENGES
Information is
Segregated
Limited to Work
Days and Hours
Time Answering
Repetitive Questions
Terminology is
Confusing
SOLUTION: DECISION TREE SOFTWARE
Platform Designed
from Customer
Perspective
Self Service
Access to
Information 24/7
Common
Language Search
Matched to SMC
Project-Specific &
Consolidated
Information
HOW DECISION SOFTWARE WORKS
Project Type Location
HOW DECISION SOFTWARE WORKS
Answer Questions Project Summary, Fees, Pass
ADDED VALUE ITEMS
Additional Details Key Benefits
• English and Spanish
• Deep links to Accela ACA
• Best practices to maximize use
• Robust data analytics
• Special Event expansion option
• Tailored customer experience
• Uniform and complete
information provided
• Staff focus on permit processing
• Permit turnaround time faster
• Efficiency saves 2-5 FTE
COST AND IMPLEMENTATION
• 5 Year total cost = $636,938
• $34k Implementation
• $120k Annual Fee
• Funded by CDD Technology Fee charged at 7.5% on most permits Recommendations
1. Approve entering into a contract to Open Counter Enterprises Incorporated (“Open Counter”), of Boston, Massachusetts to implement and maintain an online “decision tree”/”permit discovery” customer service portal for a total not-to-exceed $636,938 for implementation and up to five (5) years of service; and
2. Approve findings pursuant to Stockton Municipal Code 3.68.070 in support of an exception to the competitive bidding process; and
3. Authorizing the City Manager, or designee, to take all necessary and appropriate actions necessary to carry out the purpose and intent of this motion.
City of Stockton
Legislation Text
File #: 22-0623, Version: 1
APPROVE MOTION TO EXECUTE A FIVE-YEAR AGREEMENT WITH AXON ENTERPRISES, INC. IN AN AMOUNT NOT TO EXCEED $961,622 FOR THE POLICE DEPARTMENT’S TASER
PROGRAM
RECOMMENDATION
It is recommended that the City Council approve a motion to:
1. Authorize the City Manager to execute a five-year agreement with Axon Enterprises, Inc. for the Master Services and Purchasing Agreement.
2. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.
It is further recommended that the City Manager be authorized and directed to make any and all expenditures and appropriations on behalf of the City as appropriate and necessary to carry out the purpose and intent of this motion.
Summary
Uniformed officers of the Stockton Police Department are assigned and required to wear several different police equipment items to be used during their daily assignments. Among this equipment is a Conducted Electrical Weapon (CEW), commonly known as a taser. Law enforcement officers throughout the country use CEWs to reduce the use of lethal force by incapacitating an aggressive suspect without permanent injury. CEWs have a warrantied useful life of five years. The SPD has purchased numerous large batches of CEWs over the last several years in line with the expansion of the force and as funds were available. That practice is challenging from a budgeting perspective as the amount needed each year varies and is subject to available funds. Axon Enterprises, Inc. has developed a monthly purchase program that eliminates the need to budget large sums of funding every few years by providing a stable monthly payment based on the number of units, and a service agreement whereby the CEW unit, holster, batteries, and cartridges are provided and replaced at regular intervals. Staff is recommending approval of this Agreement, which has an initial year cost of $153,098, and an annual cost thereafter of $202,131. The total purchase amount for a five-year program is $961,622, including estimated shipping and handling costs.
DISCUSSION
Background
Axon Enterprises, Inc. (Axon), formerly known as Taser International, has been providing CEWs to law enforcement agencies for over 25 years. The Stockton Police Department (SPD) has been equipping officers assigned to special teams with these devices for more than 20 years. The SPD City of Stockton Page 1 of 3 Printed on 7/20/2022
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deploys CEWs approximately 70 times a year. These devices have proven to be an effective tool in de-escalating highly volatile situations and in minimizing injuries to suspects and officers.
Axon is now providing highly advanced CEWs that have the capability of deploying two separate sets of probes without having to reload the weapon. The advanced TASER 7’s new rapid arc technology has nearly double the kinetic energy and has an enhanced connection to the Axon network for streamlined workflows. They continue to record a tremendous amount of data with each deployment, which can then be downloaded and analyzed by supervisory staff. This is valuable information to help limit liability in cases where there is a question as to the appropriateness of the CEW deployment.
Axon is also the SPD’s body worn camera supplier. All data collected from taser deployment can be stored on the Axon cloud currently used by the Department.
Over the last several years, the SPD has made a change to the deployment of CEWs from strictly special teams to all uniformed officers in a field patrol assignment. The changeover has been staggered due to the high cost of the equipment, as well as in-line with the pace of hiring additional officers. The current agreement with Axon for tasers is set to expire on August 31, 2022. Most of the X2 tasers currently being utilized by SPD are either out of warranty or very close to being out of warranty. Axon is willing to offer a $45,000 credit towards a new agreement in exchange for the endof-life tasers.
Present Situation
In 2017, the SPD entered into a 5-year contract with Axon for the X2s on a TASER 60 Unlimited program. The T60 Unlimited program included the X2, holster, warranty, three (3) training cartridges per year, unlimited duty cartridge replacement, and unlimited battery replacement. The SPD has identified the need for 275 total units to assign one to each uniformed field officer. The TASER 7 program offered by Axon provides the CEW unit, a holster, batteries, and two training cartridges upon initial purchase. In year three, a replacement battery is provided for each unit. In addition, each CEW will come with a full replacement warranty for the entire 5-year period (Attachment A). At the end of the 5-year term the SPD can choose to renew the agreement and replace all units or end the agreement and continue to use the equipment at cost without a warranty.
The purchase of 275 Taser 7 CEWs will equip every officer who works a uniformed enforcement assignment, thereby increasing the safety and security of the officers and the community we serve.
Additionally, the purchase of the Taser 7 CEWs, and their ability to capture such a high level of data, provides additional transparency in the officers’ use of force.
Staff recommends entering into a five-year Agreement (Attachment A) which includes procurement of 275 tasers, holsters, batteries, and training cartridges.
Findings
Pursuant to SMC section 3.68.070, Council may approve findings that support an exception to the competitive bidding process. These findings include:
1. The taser program is critical to provide SPD uniformed officers with the required taser equipment.
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File #: 22-0623, Version: 1
2. The majority of the current tasers on hand are beyond the useful life of five years.
3. The Sole Source is appropriate for this project for SPD to continue using TASER brand CEWs and Axon brand products. An agreement with Axon is necessary as Axon is the sole manufacturer for these brands in addition to being the only distributor for Axon products throughout the United States.
4. The SPD holds a contract with Axon for body worn cameras which includes cloud storage. The cloud storage would be available for all taser related data as well.
FINANCIAL SUMMARY
The agreement term is five years at a total cost of $961,622, including estimated shipping and handling costs with a total savings of $237,150. The FY 2022-23 Annual Budget includes sufficient appropriation for Year 1 of the agreement in the Police Department’s General Fund Account No. 3514 -000-650001-100-000-20-35-000-000. Annual contract costs will be budgeted in the same account in the following fiscal years, to be approved by Council through the annual budget process. Additional costs for years two through five will be requested during the annual budget process as well. The table below outlines contract costs by year:
Year Annual Cost
1 $153,098
2 $202,131
3 $202,131
4 $202,131
5 $202,131
Total $961,622
Attachment A - Axon Enterprises, Inc. Master Services and Purchasing Agreement City of Stockton Page 3 of 3 Printed on 7/20/2022
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City of Stockton Police Department
Axon Taser
Program
City Council Meeting
July 26, 2022
Agenda Item 15.2
Background
• SPD has provided tasers to uniformed personnel
for over two decades.
•In 2017, SPD entered contract with Axon for X2
Tasers, expiring in August 2022.
•New TASER 7 Program includes higher
functionality.
• Includes: CEW unit, holster, batteries, and
cartridges.
Taser Benefits
• Safer Community
• Built‐in‐De‐escalation Tools
• Accountability• Safer Officer
• Effective in field operations
Present Situation
•New TASER 7 Program of 275 tasers for
uniformed officers
• Increases the safety and security of Officers and
Community
• TASER 7 provides increased ability to capture a
high level of data, providing additionaltransparency in the officers’ use of force. • TASER 7 related equipment included in the
purchase price
Findings
• Pursuant to SMC section 3.68.070, Council may
approve findings that support an exception to the competitive bidding process. Findings include:
• Critical to provide SPD uniformed officers with the
required taser equipment
• Most of the current tasers are beyond the useful life of five years
• An agreement with Axon is necessary for SPD to continue using TASER brand tasers and Axon brand products.
• Axon is the only distributor for Axon products throughout the United States and sole manufacturer for these brands.
Financial Summary
Year Annual Cost1 $153,0982 $202,1313 $202,1314 $202,1315 $202,131Total $961,622 Recommendation
• Authorize the City Manager to execute a fiveyear agreement with Axon Enterprises• Approve findings • Authorize the City Manager to make all expenditures and appropriations needed to carry out the purpose and intent of this motion City of Stockton
Legislation Text
File #: 22-0672, Version: 1
APPROVE AN AGREEMENT FOR PROFESSIONAL SERVICES WITH COMMUNITY MEDICAL
CENTERS TO ESTABLISH OUTREACH, CRISIS INTERVENTION AND SUPPORT FOR
COMMUNITY WELL-BEING WITH AMERICAN RESCUE PLAN ACT FUNDS
RECOMMENDATION
It is recommended that the City Council approve a motion to:
1. Award a Professional Services Contract to Community Medical Centers of Stockton, CA in the Not-to-Exceed amount of $5,760,000 to develop and implement a crisis intervention response pilot program for three years with American Rescue Plan Act funds under Project MARP101.
2. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.
It is also recommended that the City Manager, or designee, be authorized to take appropriate actions to carry out the purpose and intent of this motion.
Summary
This recommendation is in response to the Federal allocation of $78,052,072 in Coronavirus State and Local fiscal Recovery Funds through the American Rescue Plan Act (ARPA). The Federal government’s stated goal for this fund is to provide a substantial infusion of resources to help turn the tide on the pandemic, address its economic fallout, and lay the foundation for a strong and equitable recovery.
On September 14, 2021, the City Council approved by motion (2021-09-14-1501) the updated recommendations of priorities and distribution of funds in response to the Federal allocation of funds through the ARPA. Of the total allocation, the amount of $5,760,000 was allocated toward Community Well-Being under Project MARP101 to address the establishment of hotlines/warmlines, outreach, crisis intervention and support for residents’ well-being.
On June 16, 2022, a Notice of Intent to award Single Available Source to Community Medical Centers was released through the City of Stockton Bid Flash. No additional responses were received to the procurement notice.
If approved by Council, this action will award a Professional Services Contract to Community Medical Centers of Stockton, CA, in the not-to-exceed amount of $5,760,000 to establish outreach, crisis intervention and support for Stockton residents through implementation of a three-year pilot program.
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File #: 22-0672, Version: 1
DISCUSSION
Background
The American Rescue Plan Act (ARPA) established the Coronavirus State Fiscal Recovery Fund and Coronavirus Local Fiscal Recovery Fund (CLFRF), which provides a combined $350 billion in assistance to eligible state, local, territorial, and Tribal governments to support COVID-19 economic recovery efforts. Of the $350 billion, $19.53 billion was allocated to non-entitlement units of local government, ultimately allocating $78,052,072 to the City of Stockton, based on the City’s 2019 Census data. The Treasury’s intended goal is to provide substantial flexibility for each government to meet local needs - including support for households, individuals and communities hit hardest by the COVID-19 public health crisis.
Local government has received funds in two tranches. Half of the funding, or $39,026,036, was received by the City on June 1, 2021. The remaining half of $39,026,036 was received by the City on June 6, 2022. Funds must be obligated by December 31, 2024. The period for performance ends December 31, 2026.
Funding objectives include relief to:
· Support urgent COVID-19 response efforts to continue to decrease the spread of the virus and bring the pandemic under control;
· Replace lost revenue for eligible governments to strengthen support for vital public services and help retain jobs;
· Support immediate economic stabilization for households and businesses; and · Address systemic public health and economic challenges that have contributed to the inequal impact of the pandemic.
Through discussions with the City Manager, eight (8) categories of need were identified to continue or expand programs and support previously enacted under the State CARES Act funding, including the need category of Community Well-Being. Stockton residents, as in most communities throughout the country, have been negatively impacted by the COVID-19 public health emergency. Community members across all socioeconomic strata have experienced crises related to mental and behavioral wellness, with increased effects of substance abuse and homelessness impacting individuals and families.
According to San Joaquin County Behavioral Health Services, about half the population will experience a mental health concern during the course of their lifetime. Factors contributing to mental and behavioral health issues include high rates of childhood and adult trauma; drug and alcohol abuse; lack of understanding about mental health and lack of access to obtaining mental health services; stress caused by food, housing, and financial insecurity; along with limited culturally competent mental health services.
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File #: 22-0672, Version: 1
The City intends to utilize ARPA funds to develop an alternative model to non-violent crisis intervention that employs a public health response through a collaborative approach with area mental/behavioral health and social services. The goal of the crisis intervention and support initiative is to establish a pilot three-year project in the City of Stockton that serves Stockton residents. The pilot will be implemented and managed by a primary Community Based Organization (CBO), and community sub-partners will support service delivery. Ultimately the CBO would demonstrate how to turn the project into a fiscally self-sustaining initiative following the pilot stage.
Present Situation
On June 16, 2022, the City advertised a Notice of Intent to Award Single Available Source to Community Medical Centers for establishment of a crisis intervention response pilot program that will provide an alternative community-based approach to mental and behavioral health first response services of a non-emergency nature. The Notice stated the intent for the City to contract with a Federally Qualified Health Center (FQHC) in Stockton to design and implement the program and subcontract with locally based partners to address community well-being through comprehensive wraparound services to City residents in need.
The Notice was posted on the City Bid Flash website and provided a ten-day period for interested persons to submit quotations/responses. The advertisement closed on June 27, 2022, and no responses were received.
Community Medical Centers (CMC), a Stockton-based provider of comprehensive health care for underserved community members, is proposing the Care Link Community Response program as an alternative dispatch response to non-violent and low-level 911 calls for behavioral health intervention.
CMC will expand the scope of its existing Care Link Program in a collaborative partnership with the City of Stockton by developing a pilot mobile crisis intervention model as an alternative, communitybased approach to behavioral health first response services, and by integrating an innovative and community-based first-responder model into the local public health response system. The proposed program coordinates with first responder services (e.g. Stockton Police, Fire and Emergency Medical Services) to support Stockton residents who are dealing with behavioral/mental health concerns, including but not limited to suicidal behaviors, intoxication and welfare checks. The behavioral health units will dispatch to incidents where subjects are experiencing behavioral/mental health symptoms or social service needs that can be effectively addressed by mobile health care professionals who are trained in trauma-informed care, improving cost to patients and the efficiency of emergency responder and hospital resources. The program will be implemented as a three-year pilot project, providing services during peak hours seven days per week.
Care Link, a program operated by CMC, is a mobile health care unit that has been in existence since 2001, and it provides services to individuals who are homeless or at risk of becoming homeless.
Currently, the team travels throughout San Joaquin County to care for patients at local shelters and homeless encampments, providing access to medical and behavioral health to more than 3,000 unsheltered patients every year who may not otherwise seek preventive or responsive care.
Care Link Community Response will draw on the experience and trust that Care Link has already developed among homeless patients across the county as the only longest-running medical homeless outreach team. Through Care Link, CMC has conducted street medicine in Stockton City of Stockton Page 3 of 5 Printed on 7/20/2022
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locations such as Mormon Slough, Calaveras River and the Diverting Canal, where the team encounters patients needing wound care, treatment of infections, medication, substance abuse, behavioral health, case management and other health needs. The teams help patients address social determinants of health, such as assisting with Cal Fresh, Medi-Cal and other benefit enrollment, housing, transportation and with other basic needs. These touch points have served to develop rapport with homeless city residents through trauma-informed and cost-free services As a provider of comprehensive and integrated healthcare, CMC emphasizes person-centered care within its existing infrastructure of programs and services. Care Link Community Response will benefit from access to this existing safety net for ongoing patient engagement that supports stabilization, rehabilitation, and sustainable outcomes. Community partnerships will be an essential component of providing whole person and wraparound care for patients. Established partnerships will be procured for residential substance use disorder treatment, transitional housing, nursing facilities, transportation and other services. CMC programs that will be accessible include Care Link Outreach Medical Team, Housing Coordinator, Transitions of Care Network, Behavioral Health Department, Substance Use Disorder Outpatient Services, and the recently opened CMC Respite Center.
The new Care Link model will be a cost-effective and efficient concept to responding to noncriminal, nonemergency and non-life-threatening incidents, allowing Stockton Police, Fire and Medical units to improve the use of resources. The pilot project is designed to be culturally and linguistically competent, and responsive to Stockton’s diverse population. The program’s commitment to Diversity, Equity and Inclusion encompasses at-risk populations ranging from foster youth and LGBTQ youth to individuals experiencing or impacted by domestic violence. The Care Link Community Response supports the well-being of Stockton residents, whether serving a middle-income family in crisis, a teen with suicidal behaviors or an intoxicated individual causing a disturbance.
Staff concludes that Community Medical Centers has the qualifications and capacity for the project based on the following reasons:
· Through the current Care Link program, there is an existing framework of mobile outreach services and comprehensive health care to underserved, uninsured and underinsured patients that will be leveraged to develop the Care Link Community Response program. · In June 2022, CMC opened the Respite Center, the first residential detox treatment facility of its kind in both Stockton and in the organization’s network of services. An additional property acquisition targets the buildout of clinics for women’s health, HIV care and other services. · The organization will commission an evaluation through the project that will support sustainability by demonstrating program effectiveness through data metrics and measurable objectives.
Based on this information, staff recommends that Council approve the motion authorizing the City Manager to execute a Professional Services Contract to Community Medical Centers for $5,760,000 for the establishment of a crisis intervention response pilot program. Attachment A describes the Professional Services Contract in detail.
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Findings
Pursuant to Stockton Municipal Code section 3.68.070, Council may approve findings which support and justify an exception to the competitive bidding process. The following findings support such an exception:
1. The City lacks the capacity and resources to implement an outreach-based crisis intervention program that connects residents with mental and behavioral health resources, coordinates wraparound supportive services and leverages an existing buildout of behavioral health system of care.
2. Use of the Single Available Source procurement is appropriate for this Professional Services Contract because the Contractor is the only federally managed care provider, known as a Federally Qualified Health Center (FQHC), in the City of Stockton that provides mobile outreach health care at the project capacity.
3. The City released a Notice of Intent to Award Single Available Source and received no responses.
FINANCIAL SUMMARY
Funding in the amount of $5,760,000 was approved by City Council Motion No. 2021-09-14-1501 as a part of the American Rescue Plan, Coronavirus State and Local Fiscal Recovery Funds. There is sufficient funding to award the Professional Services Contract to Community Medical Centers in the amount of $5,760,000 (Project MARP101) to establish a crisis intervention response pilot project that supports sustainable Community Well-Being. There is no impact to the General Fund or any other non-restricted funds from this action.
Attachment A - Professional Services Contract with Community Medical Centers City of Stockton Page 5 of 5 Printed on 7/20/2022
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5,760,000.
CITY OF STOCKTON
STANDARD AGREEMENT
1. This Agreement is entered into between the City of Stockton (“City”) and Community Medical Centers (“Contractor”) as set forth in Exhibit A to this Agreement.
2. The term of this Agreement is as follows, unless amended as described in Exhibit A and Exhibit C section 8:
Commences on: Upon execution Terminates on: June 30, 2025
3. The maximum not to exceed amount to be paid to Contractor for the term of this Agreement, including if authorized, reimbursement of expenses, is: $
4. The complete Agreement consists of all the following Agreement documents which by reference are incorporated and made a part of this Agreement. The parties agree to comply with the terms and conditions of this Agreement.
(a) Exhibit A – Statement of Work
(b) Exhibit B – Insurance
(c) Exhibit C – General Terms & Conditions
(d) Exhibit D – Professional Services Special Terms & Conditions (e) Exhibit E – Compensation Schedule
(f) Exhibit F – Timeline
(g) Exhibit G - Special Funding Terms & Conditions ARPA (If applicable check box) YES IN WITNESS WHEREOF, the authorized parties have executed this Agreement.
CONTRACTOR
Community Medical Centers
Contractor’s Name (if other than an individual, state whether a corporation, partnership, etc.):
Authorized Signature Date
Printed Name and Title of Person Signing
Christine Noguera, Chief Executive Officer
Address
7210 Murray Drive, Stockton CA 95210
CITY OF STOCKTON
Harry Black, City Manager Date
ATTEST:
Eliza R. Garza CMC, City Clerk
APPROVED AS TO FORM:
Lori M. Asuncion, Acting City Attorney
BY:
(Rev. 3.22.22)
Agreement Number:
1 ATTACHMENT A
EXHIBIT A
STATEMENT OF WORK
1. Project Objectives
1.1 The City is contracting with Community Medical Centers (“Contractor”) to utilize Five Million Seven Hundred Sixty Thousand Dollars ($5,760,000) (hereafter the “not to exceed” amount) of American Rescue Plan Act (ARPA) funds to address the establishment of Outreach, Crisis Intervention and Support for Community Well-Being through the Care Link Community Response program.
2. Project Scope
2.1 Contractor will expand scope of its existing Care Link Program to align with City of Stockton Crisis Intervention/Community Well-Being initiative by providing an alternative dispatch response to non-violent and lowlevel 911 calls for behavioral and mental health intervention in the City of Stockton.
2.2 Contractor will design an innovative and community-based first responder model that will be integrated within the local public health response system.
2.3 Contractor will align Care Link with Stockton’s unique responsive needs for low-barrier, culturally/linguistically competent and trauma-informed care, helping to bridge trust in collaboration with the City of Stockton, including Police and Fire.
2.4 Contractor will implement Care Link Program through a performancebased contract designed to meet the goals:
2.4.1 Decrease recidivism or repeat callers to 911 lines.
2.4.2 Increase follow-up with wraparound services.
2.4.3 Decrease fear or hesitancy to call police.
2.4.4 Increase community trust.
2.4.5 Decrease costs related to emergency calls.
2.4.6 Divert individuals away from the criminal justice system.
2.5 Contractor will integrate data analytics and sustainability into response model.
2 ATTACHMENT A
3. Major Deliverables
3.1 Through a three-phased approach, coordinate with first responder services (Stockton Police, Fire and Emergency Medical Services) to support Stockton residents who are dealing with behavioral/mental health concerns, including but not limited to suicidal behaviors, intoxication, and welfare concerns
3.2 Dispatch Mobile Response Teams (MRT) to incident reports in a mobile health unit, assess situation, provide support, enter data into electronic health record system, and conduct initial in-person follow-up within 48 hours. responder model that will be integrated within the local public health response system.
3.3 Bridge communication and ensure coordination between MRT and FUT teams through stratification and coordination process, based on criteria and level of need.
3.4 Coordinate work of Follow-Up Team (FUT) to follow up calls, provide home visits and provide linkage to resources/referrals/benefit enrollment and CMC Care Teams based on assessed need.
3.5 Subcontract with local community partners to help stabilize patients and address their social determinants of health, such as transitional housing, nursing facilities, transportation, and other services.
3.6 Ensure ongoing patient engagement that supports stabilization, rehabilitation, and sustainable outcomes, through access to these Care Team programs:
• Housing Coordination
• Transitions of Care Network
• Opportunities for Vital Care Program
• Behavioral Health Department
• CMC Respite Center and Medication Assisted Treatment
• CMC Substance Use Disorder (SUD) Outpatient Services
• CMC HIV and Hepatitis C Program
3.7 Collect data in in electronic health record (NextGen) system designed for Federally Qualified Health Centers (FQHC), following strict protocols consistent with Health Insurance Portability and Accountability Act and other federal, state, and local laws.
3.8 Partner with an outside Evaluator to assess program.
3.9 Foster sustainability by demonstrating program effectiveness. 3 ATTACHMENT A
4. Tasks That Support the Deliverables
4.1 Develop communications/dispatch process to coordinate call types and responses.
4.2 Recruit, hire and conduct ongoing training of all project personnel, including but not limited to Mobile Response Team (MRT), Medical Outreach Team, Lead Coordinator, Follow-Up Team (FUT), Program Assistant.
4.3 Purchase van(s), equipment, supplies, and materials.
4.4 Develop data collection and evaluation plan.
4.5 Develop and execute subcontracts with local community partners.
4.6 Provide marketing, public relations and outreach.
4.7 Coordinate public data sharing with City’s Office of Performance and Data Analytics (OPDA).
4.8 Along with external Evaluator, monitor and measure program outcomes, processes, and public benefits to determine program success at realizing goals outlined in section 2.4.
4.9 Identify future funding and demonstrate program effectiveness through data metrics and measurable objectives.
5. Criteria of Acceptance for Deliverables
5.1 City and Contractor will ensure all federal, state, and local ARPA requirements are met throughout this process.
6. Notices
Pursuant to Exhibit C – General Terms and Conditions, Paragraph 15 – Notices, the mailing address for all required notices is as follows:
Contractor: Community Medical Centers City: City of Stockton Attn: General Counsel Attn: City Manager
7210 Murray Drive 425 N. El Dorado Street
Stockton, CA 95210 Stockton, CA 95202
w/ a copy to:
Chief Executive Officer
4 ATTACHMENT A
7. Key Personnel
Christine Noguera, Chief Executive Officer (209) 373-2826
8. Option to Renew.
The term of the Agreement may not be extended, due to the restrictions on ARPA funding expenditures. All funding must be fully expended by June 30, 2025.
5 ATTACHMENT A
REV 2022-05-17
Exhibit B:
Insurance Requirements for Professional Services
Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Contractor, its agents, representatives, or employees.
MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Contractor has no owned autos, Code 8 (hired) and 9 (nonowned), with limit no less than $1,000,000 per accident for bodily injury and property damage.
3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.
(Not required if consultant provides written verification it has no employees)
4. Professional Liability (Errors and Omissions) Insurance appropriates to the Contractor’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate.
If the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the City of Stockton requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Stockton.
In lieu of the professional liability insurance coverage specified above in this subsection a., Contractor, at its option, may provide written assurance (in the form of its Notice of Deeming Action issued by HRSA) to the City of Stockton that Contractor has Federal Tort Claims Act (“FTCA”) coverage for professional liability actions, claims, or proceedings arising out of acts or omissions committed during the provision of healthcare services.
6 ATTACHMENT A
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:
Additional Insured Status
The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officers, officials, employees, and volunteers for all locations work is done under this contract.
Primary Coverage
For any claims related to this contract, the Contractor’s insurance coverage shall be primary and non-contributory and at least as broad as ISO CG 20 01 04 13 as respects the City of Stockton, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City of Stockton, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it. This requirement shall also apply to any Excess or Umbrella liability policies. The City of Stockton does not accept endorsements limiting the Contractor’s insurance coverage to the sole negligence of the Named Insured.
Umbrella or Excess Policy
The Contractor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all of the Primary and Umbrella or Excess Policies shall provide all of the insurance coverages herein required, including, but not limited to, primary and non-contributory, additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. The Umbrella or Excess policies shall be provided on a true “following form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, whether primary or excess, and which also apply to a loss covered hereunder, shall be called upon to contribute to a loss until the Contractor’s primary and excess liability policies are exhausted.
Notice of Cancellation
Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City of Stockton.
Waiver of Subrogation
Contractor hereby grants to City of Stockton a waiver of any right to subrogation which any insurer of said Contractor may acquire against the City of Stockton by virtue of the payment of any loss under such insurance. This provision applies regardless of whether or not the City of Stockton has received a waiver of subrogation endorsement from the insurer.
7 ATTACHMENT A
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City of Stockton.
Claims Made Policies
If any of the required policies provide claims-made coverage:
1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.
2. Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
3. If coverage is canceled or non-renewed, and not replaced with another claimsmade policy form with a Retroactive Date prior to the contract effective date, the Contractor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work.
Verification of Coverage
Contractor shall furnish the City of Stockton with original certificates and amendatory endorsements or copies of the applicable policy language effecting coverage required by this clause and a copy of the Declarations and Endorsements Pages of the CGL and any Excess policies listing all policy endorsements. All certificates and endorsements and copies of the Declarations & Endorsements pages are to be received and approved by the City of Stockton before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor’s obligation to provide them.
Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City of Stockton is an additional insured on insurance required from subcontractors.
Duration of Coverage
CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, service, or repair work, shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
Special Risks or Circumstances
City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
8 ATTACHMENT A
Certificate Holder Address
The address for mailing certificates, endorsements and notices shall be:
City of Stockton
Its Officers, Officials, Employees, and Volunteers
400 E Main Street, 3rd Floor – HR
Stockton, CA 95202
9 ATTACHMENT A
01 The City of Stockton is now using www.PINSAdvantage.com to track Insurance Certificates and all related documents.
The PINS system starts with The City of Stockton. A Stockton User logs into PINS and emails a request for proof of insurance to the Vendor/Contractor. The Vendor/Contractor forwards the request email to their Insurance Agent(s). The Insurance Agent(s) logs into www.PINSAdvantage.com and completes the insurance certificate online.
will receive the insurance request email from: [email protected] Thank you for your compliance!
10 ATTACHMENT A
EXHIBIT C
GENERAL TERMS AND CONDITIONS
1. Goods, Equipment and Services. Subject to the terms and conditions set forth in this Agreement, Contractor shall provide to City the services described in Exhibit A of the Agreement. Contractor shall provide said services at the time, place and in the manner specified in Exhibit A of the Agreement.
2. City Assistance, Facilities, Equipment and Clerical Support. Except as set forth in Exhibit A, Contractor shall, at its sole cost and expense, furnish and maintain all facilities and equipment that may be required for furnishing services pursuant to this Agreement. If applicable, City shall furnish to Contractor only the facilities and equipment listed in Exhibit A to the Agreement.
3. Compensation. City shall pay Contractor for services rendered pursuant to this Agreement as described more particularly in Exhibit A and Exhibit E to the Agreement.
3.1Invoices submitted by Contractor to City must contain a brief description of work performed, time spent and City reference number. Within thirty (30) days of receipt of Contractor’s invoice, City will review invoice, and if acceptable make payment on approved invoice.
3.2 Upon completion of work and acceptance by City, Contractor shall have sixty (60) days in which to submit final invoicing for payment. An extension may be granted by City upon receiving a written request thirty (30) days in advance of said time limitation. The City shall have no obligation or liability to pay any invoice for work performed which the Contractor fails or neglects to submit within sixty (60) days, or any extension thereof granted by the City, after the work is accepted by the City.
4. Sufficiency of Contractor’s Work. All Contractor services, work, and deliverables shall be performed in a good and workmanlike manner with due diligence in accordance with the degree of skill normally exercised by similar contractors supplying services and work of a similar nature, and in conformance with applicable laws, codes and professional standards. Contractor’s work shall be adequate and sufficient to meet the purposes of this Agreement.
5. Ownership of Work. All reports, work product, all other documents completed or partially completed by Contractor or its approved subcontractors, in performance of this Agreement, and if applicable, drawings, designs, and plan review comments shall become the property of the City. Any and all copyrightable subject matter in all materials is hereby assigned to the City and the Contractor and its approved subcontractors agree 11 ATTACHMENT A
to execute any additional documents that may be necessary to evidence such assignment. All materials shall be delivered to the City upon completion or termination of the work under this Agreement. If any materials are lost, damaged or destroyed before final delivery to the City, the Contractor shall replace them at its own expense.
Contractor and its approved subcontractors shall keep materials confidential. Materials shall not be used for purposes other than performance of services under this Agreement and shall not be disclosed to anyone not connected with these services, unless the City provides prior written consent.
6. Timeliness. Time is of the essence in this Agreement. Further, Contractor acknowledges that the failure of Contractor to comply with the time limits described in Exhibit A and Exhibit F may result in economic or other losses to the City.
7. Changes. Both parties to this Agreement understand that it may become desirable or necessary during the term of this Agreement for City to modify the scope of services provided for under this Agreement. Any material extension or change in the scope of work shall be discussed with City and the change and cost shall be memorialized in a written amendment to the original contract prior to the performance of the additional work. Until the amendment is so executed, City will not be responsible to pay any charges Contractor may incur in performing such additional services, and Contractor shall not be required to perform any such additional services.
8. Amendment. No variation of the terms of this Agreement shall be valid unless an amendment is made in writing and signed by both parties.
9. Contractor’s Status.
9.1 In performing the obligations set forth in this Agreement, Contractor shall have the status of an independent contractor and Contractor shall not be considered to be an employee of the City for any purpose. All persons working for or under the direction of Contractor are its agents and employees and are not agents or employees of City. Contractor by virtue of this Agreement, has no authority to bind or incur any obligation on behalf of City. Except as expressly provided in Exhibit A, Contractor has no authority or responsibility to exercise any rights or power vested in the City. No agent, officer or employee of the City is to be considered an employee of the Contractor.
It is understood by both Contractor and City that this Agreement shall not be construed or considered under any circumstances to create an employer-employee relationship or a joint venture.
9.2 Contractor shall determine the method, details and means of performing the work and services to be provided by Contractor under this Agreement. Contractor shall be responsible to City only for the requirements and results specified in this Agreement and, except as expressly provided in this Agreement, shall not be subjected to City's 12 ATTACHMENT A
control with respect to the physical action or activities of Contractor in fulfillment of this Agreement. Contractor has control over the manner and means of performing the services under this Agreement. If necessary, Contractor has the responsibility for employing other persons or firms to assist Contractor in fulfilling the terms and obligations under this Agreement.
9.3 If in the performance of this Agreement any third persons are employed by Contractor, such persons shall be entirely and exclusively under the direction, supervision and control of Contractor. All terms of employment including hours, wages, working conditions, discipline, hiring and discharging or any other term of employment or requirements of law shall be determined by the Contractor.
9.4 It is further understood and agreed that Contractor must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Contractor's assigned personnel under the terms and conditions of this Agreement.
10. Subcontractor.
10.1 Subcontractors shall not be recognized as having any direct or contractual relationship with City. Contractor shall be responsible for the work of subcontractors, which shall be subject to the provisions of this Agreement. Subcontractors will be provided with a copy of the Agreement and be bound by its terms. Contractor is responsible to City for the acts and omissions of its subcontractors and persons directly or indirectly employed by them.
10.2 If in the performance of this Agreement any third persons are employed by Contractor, such persons shall be entirely and exclusively under the direction, supervision and control of Contractor. All terms of employment including hours, wages working conditions, discipline, hiring, and discharging or any other term of employment or requirement of law shall be determined by Contractor.
10.3 It is further understood and agreed that Contractor must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Contractor’s personnel.
11. Termination.
11.1 Termination for Convenience of City. Either party may terminate this Agreement without cause by giving sixty (60) days’ advance written notice. The Agreement shall then be deemed terminated, and no further work shall be performed by Contractor. If the Agreement is so terminated, the Contractor shall be paid for the work actually completed.
13 ATTACHMENT A
11.2 Should either party default in the performance of this Agreement or materially breach any of its provisions, the other party, at that party’s option, may terminate this Agreement by giving written notification to the other party.
11.3 Funding- Non-Appropriation. It is mutually understood between the Parties that payment to the Contractor for performance shall be dependent upon the availability of appropriations by the City Council for the purposes of this Agreement. No legal liability on the part of the City for any payment may arise under this Agreement until funds are made available and until the Contractor has received funding availability, which will be confirmed in writing. If funding for any fiscal year is reduced or deleted, or if the City loses funding for any reason, the parties in good faith shall undertake to revise this Agreement to either (a) cause this Agreement to be canceled or terminated pursuant to applicable provisions of the Agreement; or (b) amend the Agreement to reflect the reduced funding for this Agreement.
12. Non-Assignability. The Contractor shall not assign, sublet, or transfer this Agreement or any interest or obligation in the Agreement without the prior written consent of the City, and then only upon such terms and conditions as City may set forth in writing. Contractor shall be solely responsible for reimbursing subcontractors.
13. Indemnity and Hold Harmless. Contractor shall hold harmless, defend, and indemnify City of Stockton and its officers, officials, employees, and volunteers from any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) to the extent that they directly or indirectly arise out of Contractor's performance of or failure to perform work hereunder. This obligation is independent of, and shall not in any way be limited by, the minimum Insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement. Contractor shall defend City of Stockton in accordance with and to the extent of the above indemnification, provided that Contractor is: i) promptly notified by City of Stockton, in writing, of any claims, demands or suits for losses; ii) given all reasonable information and assistance by City of Stockton; and iii) given full control over any resulting negotiation, arbitration or litigation, including the right to choose counsel and settle claims. If such foregoing requirements are not met, Contractor’s obligations herein shall be deemed waived.
14. Insurance. During the term of this Agreement, Contractor shall maintain in full force and effect at its own cost and expense the insurance coverage as set forth in the attached Exhibit B to this Agreement and shall otherwise comply with the other provisions of Exhibit B to this Agreement.
15. Notices. All notices herein required shall be in writing and shall be sent by certified or registered mail, postage prepaid, addressed in Exhibit A to this Agreement.
16. Conformance to Applicable Laws. Contractor shall comply with all applicable Federal, State, and Municipal laws, rules, and ordinances. Contractor 14 ATTACHMENT A
shall not discriminate in the employment of persons or in the provision of services under this Agreement on the basis of any legally protected classification, including race, color, national origin, ancestry, sex or religion of such person.
17. Licenses, Certifications and Permits. Prior to the City’s execution of this Agreement and prior to the Contractor’s engaging in any operation or activity set forth in this Agreement, Contractor shall obtain a City of Stockton business license, which must be kept in effect during the term of this Agreement. Contractor covenants that it has obtained all certificates, licenses, permits and the like required to perform the services under this Agreement. Such licenses, certificates and permits shall be maintained in full force and effect during the term of this Agreement.
18. Records and Audits. Contractor shall maintain all records regarding this Agreement and the services performed for a period of three (3) years from the date that final payment is made. At any time during normal business hours, the records shall be made available to the City to inspect and audit by giving thirty (30) days’ advance written notice. To the extent Contractor renders services on a time and materials basis, Contractor shall maintain complete and accurate accounting records, in a form prescribed by City or, if not prescribed by City, in accordance with generally accepted accounting principles, such records to include, but not be limited to, payroll records, attendance cards, time sheets, and job summaries.
19. Confidentiality. Contractor shall exercise reasonable precautions to prevent the unauthorized disclosure and use of City reports, information or conclusions.
This Agreement and all terms herein are subject to, and integrated with, the terms and conditions provided by the Business Associate and Qualified Services Agreement (“BAQSOA”) entered into by both parties.
20. Conflicts of Interest. Contractor covenants that other than this Agreement, Contractor has no financial interest with any official, employee or other representative of the City. Contractor and its principals do not have any financial interest in real property, sources of income or investment that would be affected in any manner of degree by the performance of Contractor’s services under this Agreement. If such an interest arises, Contractor shall immediately notify the City.
21. Waiver. In the event either City or Contractor at any time waive any breach of this Agreement by the other, such waiver shall not constitute a waiver of any other or succeeding breach of this Agreement, whether of the same or of any other covenant, condition or obligation. No payment, partial payment, acceptance, or partial acceptance by City shall operate as a waiver on the part of City of any of its rights under this Agreement.
22. Governing Law. California law shall govern any legal action pursuant to this Agreement with venue for all claims in the Superior Court of the County of San Joaquin, 15 ATTACHMENT A
Stockton Branch or, where applicable, in the Federal District Court of California, Eastern District, Sacramento Division.
23. No Personal Liability. No official or employee of City shall be personally liable to Contractor in the event of any default or breach by the City or for any amount due Contractor.
24. Severability. If any portion of this Agreement or application thereof to any person or circumstance shall be declared invalid by a court of competent jurisdiction or if it is found in contravention of any federal, state or city statue, ordinance or regulation the remaining provisions of this Agreement or the application thereof shall not be invalidated thereby and shall remain in full force and effect to the extent that the provisions of this Agreement are severable.
25. Non-Discrimination. During the performance of this Agreement, Contractor and its officers, employees, agents, representatives or subcontractors shall not unlawfully discriminate in violation of any federal, state, or local law, rule or regulation against any employee, applicant for employment or person receiving services under this Agreement because of race, religion, color, national origin, ancestry, physical or mental disability, medical condition (including genetic characteristics), marital status, age, political affiliation, gender identity, gender expression, sex or sexual orientation, family and medical care leave, pregnancy leave, or disability leave. Contractor and its officers, employees, agents, representative or subcontractors shall comply with all applicable Federal, State and local laws and regulations related to non-discrimination and equal opportunity, including without limitation the City’s nondiscrimination policy; the Fair Employment and Housing Act (Government Code sections 12990 (et seq.); California Labor Code sections 1101, 1102 and 1102.1; the Federal Civil Rights Act of 1964 (P.L. 88-352), as amended; and all applicable regulations promulgated in the California Code of Regulation or Code of Federal Regulations. Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.” (42 USC Section 2000d).
http://www.dol.gov/oasam/regs/statutes/titlevi.htm. The City requires compliance with the requirements of Title VI in all of its programs and activities regardless of funding source.
26. Force Majeure. Neither party shall be responsible for delays or failures in performance resulting from acts of God, acts of civil or military authority, terrorism, fire, flood, strikes, war, epidemics, pandemics, shortage of power or other acts or causes reasonably beyond the control of that party. The party experiencing the force majeure event agrees to give the other party notice promptly following the occurrence of a force majeure event, and to use diligent efforts to re-commence performance as promptly as commercially practicable.
16 ATTACHMENT A
27. Taxes and Charges. Contractor shall be responsible for payment of all taxes, fees, contributions or charges applicable to the conduct of the Contractor’s business.
28. Cumulative Rights. Any specific right or remedy provided in this Agreement will not be exclusive but will be cumulative of all other rights and remedies to which may be legally entitled.
29. Advice of Attorney. Each party warrants and represents that in executing this Agreement, it has received independent legal advice from its attorneys or the opportunity to seek such advice.
30. Heading Not Controlling. Headings used in this Agreement are for reference purposes only and shall not be considered in construing this Agreement.
31. Entire Agreement, Integration, and Modification.
31.1 This Agreement represents the entire integrated agreement between Contractor and the City; supersedes all prior negotiations, representations, or agreements, either written or oral between the parties and may be amended only by a written Amendment signed by the Contractor and City Manager.
31.2 All Exhibits to this Agreement and this Agreement are intended to be construed as a single document.
32. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original. All counterparts shall be construed together and shall constitute one agreement.
33. Authority. The individual(s) executing this Agreement represent and warrant that they have the legal capacity and authority to do so on behalf of their respective legal entities.
17 ATTACHMENT A
EXHIBIT D
PROFESSIONAL SERVICES SPECIAL TERMS AND CONDITIONS
1. Definitions. The following words and phrases have the following meanings for purposes of this Agreement:
1.1 "Services" means, collectively, the services, duties and responsibilities described in Exhibit A of this Agreement and any and all work necessary to complete them or carry them out fully and to the standard of performance required in this Agreement.
1.2 “Deliverable” means quantifiable goods or services that will be provided upon completion of a project. A deliverable is any tangible material, work or thing delivered by one party to the other, including associated technical documentation. A deliverable can be tangible or intangible parts of the development process, and often are specified functions or characteristics of the project.
2. General. The following terms and conditions are applicable for the Professional Services only. The special conditions shall be read in conjunction with the Standard Agreement, General Terms and Conditions (“GTC”) Exhibit C, and all other Exhibits identified in the Standard Agreement.
2.1 Where any portion of the GTC is in conflict to or at variance with any provisions of the Special Conditions of the Agreement, then unless a different intention stated, the provision(s) of the Special Conditions of the Agreement shall be deemed to override the provision(s) of GTC only to the extent that such conflict or variations in the Special Conditions of the Agreement are not possible of being reconciled with the provisions of the GTC.
2.2 In the case of modification of a part or provision of the GTC, the unaltered part or provision, or both shall remain in effect. The Special Conditions shall relate to a particular project and be peculiar to that project but shall not weaken the character or intent of the GTC.
3. Time for Performance.
3.1 Contractor shall perform the services according to the schedule contained in Exhibit F.
3.2 Timeliness of Performance i) Contractor shall provide the Services, and Deliverables within the term and within the time limits required under this Agreement, pursuant to the provisions of Exhibit A and Exhibit F. ii) Neither Contractor nor Contractor’s agents, employees nor subcontractors are entitled to any damages from the City, nor is any party entitled to be reimbursed by the City, for damages, charges or other 18 ATTACHMENT A
losses or expenses incurred by Contractor by reason of delays or hindrances in the performance of the Services, whether or not caused by the City.
4. Standard of Performance
In addition to Exhibit C, Section 4 and 17, Contractor agrees as follows:
4.1 Contractor’s Services shall be performed in accordance with generally accepted professional practices and principles and in a manner consistent with the level of care and skill ordinarily exercised by members of Contractor’s profession currently practicing under similar conditions. Contractor shall comply with the profession’s standard of performance, applicable laws, regulations, and industry standards. By delivery of completed work, Contractor certifies that the work conforms to the requirements of this Agreement and all applicable federal, state and local laws. If Contractor is retained to perform services requiring a license, certification, registration or other similar requirement under California law, Contractor shall maintain that license, certification, registration or other similar requirement throughout the term of this Agreement.
4.2 Contractor acknowledges that it is entrusted with or has access to valuable and confidential information and records of the City and with respect to that information, Contractor agrees to be held to the standard of care of a fiduciary. Contractor shall assure that all services that require the exercise of professional skills or judgment are accomplished by professionals qualified and competent in the applicable discipline and appropriately licensed, if required by law. Contractor must provide copies of any such licenses. Contractor remains responsible for the professional and technical accuracy of all Services or Deliverables furnished, whether by Contractor or its subcontractors or others on its behalf. All Deliverables must be prepared in a form and content satisfactory to the Using Agency and delivered in a timely manner consistent with the requirements of this Agreement.
4.3 If Contractor fails to comply with the foregoing standards, Contractor must perform again, at its own expense, all Services required to be re-performed as a direct or indirect result of that failure. Any review, approval, acceptance or payment for any of the Services by the City does not relieve Contractor of its responsibility for the professional skill and care and technical accuracy of its Services and Deliverables. This provision in no way limits the City’s rights against Contractor either under this Agreement, at law or in equity.
5. Compensation
5.1 In addition to Section 3 Compensation in Exhibit C – GTC, the Contractor shall be compensated for the services provided under this Agreement as follows:
5.1.1 Contractor shall be compensated for services rendered and accepted under this Agreement and shall be paid monthly, in arrears on a not to exceed 19 ATTACHMENT A
basis, based upon the rates set forth in Exhibit E attached hereto and made a part of this Agreement. Contractor may vary the compensation for each task in Exhibit E provided that the total project compensation listed in Exhibit E and the Standard Agreement is not exceeded.
6. Personnel
6.1 None of the work or services covered by this Agreement shall be subcontracted without the prior written approval of the City. Any work or services subcontracted hereunder shall be specified by written agreement and shall be subject to each provision of this Agreement. Contractor shall provide subcontractor a copy of this fully executed Agreement.
6.2 Contractor agrees to assign only competent personnel according to the reasonable and customary standards of training and experience in the relevant field to perform services under this Agreement. Failure to assign such competent personnel shall constitute grounds for termination of this Agreement. The payment made to Contractor pursuant to this Agreement shall be the full and complete compensation to which Contractor and Contractor’s officers, employees, agents, and subcontractors are entitled for performance of any work under this Agreement. Neither Contractor nor Contractor’s officers or employees are entitled to any salary or wages, or retirement, health, leave or other fringe benefits applicable to employees of the City. The City will not make any federal or state tax withholdings on behalf of Contractor. The City shall not be required to pay any workers' compensation insurance on behalf of Contractor. Contractor shall pay, when and as due, any and all taxes incurred as a result of Contractor’s compensation hereunder, including estimated taxes, and shall provide City with proof of such payments upon request.
6.3 Key Personnel: Because of the special skills required to satisfy the requirements of this Agreement, Contractor shall not reassign or replace key personnel without the written consent of the City, which consent the City will not unreasonably withhold. "key personnel" means those job titles and the persons assigned to those positions in accordance with the provisions of this Agreement. The City may at any time in writing notify Contractor that the City will no longer accept performance of Services under this Agreement by one or more Key Personnel listed. Upon that notice Contractor shall immediately suspend the services of the key person or persons and must replace him or them in accordance with the terms of this Agreement. A list of key personnel is found in Exhibit A, Scope of Services.
7. Reports and Information
Contractor shall at such times and in such forms as the City may require furnish the City such periodic reports as it may request pertaining to the work or services undertaken pursuant to this Agreement, the costs and obligations incurred or to be incurred in connection therewith, and any other matters are covered by this Agreement as specified in Exhibit A and Exhibit E.
20 ATTACHMENT A
8. Findings Confidential
All of the reports, information, data, et cetera, prepared or assembled by the Contractor under this Agreement are confidential and the Contractor agrees that they shall not be made available to any individual or organization without the prior written approval of the City. Contractor shall not be required under the provisions of this paragraph to keep confidential any data or information which is or becomes publicly available, is required by applicable law or by proper legal or governmental authority, is already rightfully in the Contractor’s possession without obligation of confidentiality, is independently developed by Contractor outside the scope of this Agreement or is rightfully obtained from third parties. Contractor shall give City prompt notice of any such legal or governmental demand and reasonably cooperate with City in any effort to seek a protective order or otherwise to contest such required disclosure.
9. Copyright
No materials, including but not limited to reports, maps, or documents produced as a result of this Agreement, in whole or in part, shall be available to Contractor for copyright purposes. Any such materials produced as a result of this Agreement that might be subject to copyright shall be the property of the City and all such rights shall belong to the City, and the City shall be sole and exclusive entity who may exercise such rights.
10. Deliverables
Contractor shall prepare or provide to the City various Deliverables. "Deliverables" include work product, such as written reviews, recommendations, reports and analyses, produced by Contractor for the City. The City may reject Deliverables that do not include relevant information or data, or do not include all documents or other materials specified in this Agreement or reasonably necessary for the purpose for which the City made this Agreement or for which the City intends to use the Deliverables. If the City determines that Contractor has failed to comply with the foregoing standards, it has 30 days from the discovery to notify Contractor of its failure. If Contractor does not correct the failure, or if it is possible to do so, within 30 days after receipt of notice from the City specifying the failure, then the City, by written notice, may treat the failure as a default of this Agreement.
Partial or incomplete Deliverables may be accepted for review only when required for a specific and well-defined purpose and when consented to in advance by the City. Such Deliverables will not be considered as satisfying the requirements of this Agreement and partial or incomplete Deliverables in no way relieve Contractor of its commitments under this Agreement.
21 ATTACHMENT A
EXHIBIT E
COMPENSATION SCHEDULE
The Contractor shall be compensated for the services identified in Exhibit A, Exhibit C, and Exhibit D to this Agreement as follows:
1. Project Price
1.1 The “not to exceed” amount identified in Exhibit A is the maximum amount of compensation the Contractor shall be paid. The “not to exceed” amount includes all payments to be made pursuant to this Agreement, including City approved reimbursable expenses, if any. Nothing in this Agreement requires the City to pay for work that does not meet the Standard of Performance identified in Exhibit D section 4 or other requirements of this Agreement.
1.2 Standard Reimbursable Items: Only the reimbursable items identified in Exhibit A, C, and D (Compensation), shall be compensated to the Contractor.
Reimbursable expenses will be reimbursed without markup. Fees plus reimbursable expenses shall not exceed the amount set forth in section 1.1 of this Exhibit and a copy of the original invoice for the items listed in i, ii or iii below shall be attached to the invoice submitted to the City for reimbursement. Payments shall be based upon work documents submitted by the Contractor to the City and accepted by the City as being satisfactory to City’s needs. The City shall not pay a markup on any of the items listed in i, ii or iii.
Additionally, items such a telephone, fax, postage or freight are already included in the billable hourly rate. Contractor shall be reimbursed the direct expenses, which are the actual cost of the following items that are reasonable, necessary and actually incurred, by the Contractor in connection with the services:
i. Expenses, fees or charges for printing, reproduction or binding of documents at actual costs with no markup added to the actual cost. ii. Any filing fees, permit fees, or other fees paid or advanced by the Contractor at actual costs with no markup added to the actual cost. iii. Travel expenses shall be reimbursed in accordance with the City’s travel policy, which is incorporated herein by reference.
Reimbursement shall be made at actual costs with no markup added to the actual cost.
1.3 The Contractor shall be entitled to receive payments for its work performed pursuant to the Agreement. The City will pay Contractor based on invoices for acceptable work performed and approved until the “not to exceed” amount is reached. Thereafter, Contractor must complete services based on the Agreement without additional compensation unless there is a material change to the Statement of Work and Scope by a written Amendment.
22 ATTACHMENT A
1.4 Subcontractor Costs: Compensation for subcontractors shall be limited to the same restrictions imposed on the Contractor. Maximum markup Contractor may apply to subcontractor fees, minus reimbursable expenses, shall not exceed 5%.
2. Task Price. Below is the price for the services and reimbursable expenses as described in Exhibit A of this Agreement.
Task Description Task Price
1 Personnel, consisting of 9 full-time positions
and various part-time Administrative staff $3,617,488
2 Operating Expenses $ 769,316
3 Contracts Expenses $1,220,000
4 Indirect Expenses, including Benefits $ 153,196
TOTAL PRICE $5,760,000
3. Invoice to Address. Each invoice submitted shall identify the specific task(s) listed in Exhibit A and this Exhibit, and the completed work product/deliverable for the agreed upon price listed in this Exhibit. Invoices shall be submitted to the below address:
City of Stockton, City Manager’s Office
Attention: Alex Bailey
425 N. El Dorado Street
Stockton, CA 95202
[email protected]
23 ATTACHMENT A
EXHIBIT F
TIMELINE
1. Consultant shall complete the requested services identified in Exhibit A as follows:
1.1 TIMELINE FOR COMPLETION OF WORK
Implementation
The program will be implemented in phases, initially with 1 part-time Mobile Response Team (MRT) unit that will focus on a high-volume call area during peak hours (schedule TBD), 5 days per week, for 3 months. Peak hours are 11 a.m. to 12 a.m. During the second phase, the MRT will expand to full-time to handle calls during peak hours (schedule TBD), 5 to 7 days per week, for 6 months. In the third phase, the program will expand to 2 MRT units operating peak hours, 7 days per week.
Timeline
PreImplementation
Phase 1 Phase 2 Phase 3
Activity July - Sept Oct.-Dec. 2022
(3 mos.)
Jan.-June 2023
(6 mos.)
July 2023 –
June 2025
Develop
communications/
dispatch process
X
Training 1st Part-time
MRT
Train new hires Train new hires Ongoing training
as needed
Purchase van,
equipment,
materials
X
Data collection
and evaluation
Develop data
collection &
evaluation plan
Begin data
collection
Ongoing data
collection
Data evaluation
and program
adjustments
Personnel Planning and
implementation
teams
Deploy 1st Parttime MRT unit
Deploy 1st Fulltime MRT unit, 1
Lead Coordinator,
1 Program
Assistant, 1 FUT
2 MRT units, 1
Lead
Coordinator, 1
Program
Assistant, 1 FUT
Hours Identify peak
hours for PT
team
TBD based on
peak hours
11 a.m.-12 a.m. 11 a.m.-12 a.m.
Days Per Week 5 5-7 7
24 ATTACHMENT A
PreImplementation
Phase 1 Phase 2 Phase 3
Activity July - Sept Oct.-Dec. 2022
(3 mos.)
Jan.-June 2023
(6 mos.)
July 2023 –
June 2025
Geographic
areas covered
Identify highcallservice areas
High call
service area
TBD
TBD TBD
Vans Deployed 1 1 2
Transport/Home
Visit Vehicle
1 2 2
25 ATTACHMENT A
Exhibit G
SUBAWARD AGREEMENT
Special Funding Terms and Conditions
The City of Stockton has entered into this agreement using funds governed by the American Rescue Plan Act, distributed by the U.S. Department of the Treasury (“Treasury”). The funding available is governed under sections 602 and 603 of the Social Security Act, as added by section 9901 of the American Rescue Plan Act of 2021 (“ARPA”). The ARPA established the Coronavirus State and Local Fiscal Recovery Funds (the “SLFRF statute”) for eligible recipients to address the economic and health consequences of the pandemic. Under ARPA, the SLFRF statute is to be used for payments for specified uses to certain nonentitlement units of local government. In consideration of the mutual promises contained in this AGREEMENT to carry out the purposes of the subaward on behalf of the City, the CITY and CONTRACTOR agree as follows:
1. SURVIVAL OF PROMISES. All promises, requirements, terms, conditions, provisions, representations, guarantees, and warranties contained herein shall survive the AGREEMENT expiration or termination date unless specifically provided otherwise herein, or unless superseded by applicable federal or state statutes of limitation.
2. SEPARATE ACCOUNTING. The CONTRACTOR will establish a separate account for all funds specified in this AGREEMENT and will use the funds to purchase necessary supplies, defray travel, and will employ the necessary personnel to perform the Work specified in this AGREEMENT. The CONTRACTOR shall also establish and maintain, if applicable, such accounting and documentation of matching expenditures of the CONTRACTOR to satisfy the requirements of the PROJECT.
3. AUDIT. The CITY, and any other appropriate government agency authorized by law, or their duly authorized representatives shall, until five (5) years after final payment under this AGREEMENT, have access to any of the CONTRACTOR’s records related to this AGREEMENT, at the CONTRACTOR’s regular place of business, for the purpose of conducting audits. The period of access for records relating to a) appeals under a dispute, b) litigation or settlement of claims arising from the performance of this AGREEMENT, or c) costs and expenses of this AGREEMENT to which exception has been taken shall continue until such appeals, litigation, claims, or exceptions are disposed of.
4. AUTHORIZED USE OF FUNDS. The CONTRACTOR shall use or expend the funds provided by this AGREEMENT only for the purposes for which they were appropriated. Further, the funds provided by the CITY shall be used by the CONTRACTOR only for the purpose and activities specified in the AGREEMENT, including associated attachments and exhibits which is attached hereto and incorporated herein by reference as if fully set forth here.
5. COMPLIANCE WITH COST PRINCIPLES AND RELATED REGULATIONS. The CONTRACTOR will not be reimbursed for expenditures under this AGREEMENT that do not comply with the ARPA and Related Regulations that are incorporated.
6. PUBLICATIONS. The CONTRACTOR shall be free to publish results of the Work provided that the terms of the PROJECT are met and the review copies of materials intended for publication are submitted to the CITY’s PROJECT Director at least 45 days prior to publication.
7. CONFIDENTIAL INFORMATION. CONTRACTOR acknowledges that it may be necessary for CITY to disclose certain confidential and proprietary information to CONTRACTOR in order for CONTRACTOR to perform duties under this AGREEMENT. CONTRACTOR acknowledges that any disclosure to any third party or any misuse of this proprietary or confidential information may irreparably harm the CITY.
Accordingly, CONTRACTOR will not disclose or use, either during or after the term of this AGREEMENT, any proprietary or confidential information of the CITY without the CITY’s prior written permission.
26 ATTACHMENT A
8. DELAYS. CONTRACTOR shall notify the CITY promptly of any expected delay in performance of services. However, CONTRACTOR shall not be liable for delays in performance beyond reasonable control.
9. ARPA GUIDELINES – CONTRACTOR AS SUBRECIPIENT
CONTRACTOR is classified as a Subrecipient under ARPA, which is an entity that receives a subaward from the CITY to carry out a program on behalf of the CITY using SLFRF funds. As a beneficiary of SLRFR funds from the CITY, CONTRACTOR must comply with the ARPA guidelines in order to be eligible for a grant. The guidelines, titled Compliance and Reporting Guidelines: State and Local Fiscal Recovery Funds, as amended by Treasury (the “Guidelines”), are incorporated into this AGREEMENT by reference. The Guidelines can be found at https://home.treasury.gov/policyissues/coronavirus/assistance-for-state-local-and-tribal-governments/state-and-local-fiscal-recoveryfunds/recipient-compliance-and-reporting-responsibilities. In ensuring compliance with these Guidelines, CONTRACTOR serves as a first line of defense against fraud, waste, and abuse of federal money.
As further described in the Guidelines, CONTRACTOR will generally be subject to the requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal awards, 2 CFR Part 200. This includes, but is not limited to,
A. The implementation of internal controls and effective monitoring to ensure compliance with 2 CFR Part 200, including generally identifying direct and indirect costs and treating each cost consistently in like circumstances.
B. Ensuring that procurements using SLFRF funds, or payments under procurement contracts using such funds, are consistent with the procurement standards set forth in the Uniform Guidance at 2 CFR § 200.317 through 2 CFR § 200.327, as applicable.
C. If CONTRACTOR expends more than $750,000 in Federal awards during its fiscal year, submitting to an audit under the Single Audit Act and its implementing regulation at 2 CFR Part 200, Subpart F.
The CITY may request detailed expenditure information from CONTRACTOR in order for CITY to comply with its own reporting obligations. CONTRACTOR will be required to promptly provide any requested information to the CITY, even after the award term has expired. Among other things, the CITY may require information about the structure and objectives of the PROGRAM and information about how many individuals have been served by CONTRACTOR. 27 ATTACHMENT A
Exhibit G
APPENDIX II
CONTRACT PROVISIONS UNDER FEDERAL AWARD
FEDERAL FUNDS
Federal regulations (2 C.F.R. § 200.326 and 2 C.F.R. Part 200, Appendix II) require the City to include certain contract clauses in this agreement.
The US Department of Homeland Security (DHS) – Federal Emergency Management Agency (FEMA) recommends other certain contract clauses be included.
Based on the table below, any clause identified with a check mark () next to it is hereby incorporated into this contract agreement. The full language of each clause can be found in this EXHIBIT G.
CONTRACT TYPES
1. Construction Contracts
1.1 Equal Employment Opportunity
1.2 Davis Bacon Act
1.3 Copeland “Anti-Kickback” Act
2. All Contracts
2.1 Contract Work Hours and Safety Standards Act
2.2 Clean Air Act and Federal Water Pollution Control Act
2.3 Debarment and Suspension
2.4 Byrd Anti-Lobbying Amendment
2.5 Procurement of Recovered Materials
2.6 Access to Records
2.7 DHS Seal, Logo, and Flags
2.8 Compliance with Federal Law, Regulations and Executive Orders
2.9 No Obligation by Federal Government
2.10 Program Fraud and False or Fraudulent Statements or Related Acts
Checked provisions are hereby incorporated into the
contract agreement.
Following are the FEMA requirement or recommendation
clauses listed above for contract incorporation.
Check ()
Applicable
Clauses
Construction
1.1 1.2
1.3 Check ()
Applicable
Clauses
All Contracts
2.1 2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
28 ATTACHMENT A
1.1 Equal Employment Opportunity
Requirement for construction work
During the performance of this contract, the contractor agrees as follows:
(1) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following:
Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin. (3) The contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information. (4) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (5) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (6) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (7) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.
(8) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor.
The contractor will take such action with respect to any subcontract or purchase order as the 29 ATTACHMENT A
administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance:
Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request the United States to enter into such litigation to protect the interests of the United States.
The applicant further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, that if the applicant so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract.
The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance.
The applicant further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the applicant agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings.
1.2 Compliance with Davis-Bacon Act
Requirement for construction work
a. All transactions regarding this contract shall be done in compliance with the Davis-Bacon Act (40 U.S.C. 3141- 3144, and 3146-3148) and the requirements of 29 C.F.R. pt. 5 as may be applicable. The contractor shall comply with 40 U.S.C. 3141-3144, and 3146-3148 and the requirements of 29 C.F.R. pt. 5 as applicable.
b. Contractors are required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. c. Additionally, contractors are required to pay wages not less than once a week.
1.3 Compliance with the Copeland “Anti-Kickback” Act
Requirement for construction work > $2k
a. Contractor. The contractor shall comply with 18 U.S.C. § 874, 40 U.S.C. § 3145, and the requirements of 29 C.F.R. pt. 3 as may be applicable, which are incorporated by reference into this contract. b. Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clause above and such other clauses as FEMA may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all of these contract clauses.
30 ATTACHMENT A
c. Breach. A breach of the contract clauses above may be grounds for termination of the contract, and for debarment as a contractor and subcontractor as provided in 29 C.F.R. § 5.12.
2.1 Compliance with Contract Work Hours and Safety Standards Act Requirement for contracts > $100k plus mechanics & laborers (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of $27 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The (write in the name of the Federal agency or the loan or grant recipient) shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section.
(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (b)(1) through (4) of this section.
2.2 Clean Air Act and the Federal Water Pollution Control Act Requirement for contracts > $150k
Clean Air Act
1. The contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq.
2. The contractor agrees to report each violation to the City of Stockton and understands and agrees that the City of Stockton will, in turn, report each violation as required to assure notification to the Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.
3. The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA. 31 ATTACHMENT A
Federal Water Pollution Control Act
1. The contractor agrees to comply with all applicable standards, orders, or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq.
2. The contractor agrees to report each violation to the City of Stockton_ and understands and agrees that the City of Stockton will, in turn, report each violation as required to assure notification to the Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.
3. The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.
2.3 Debarment and Suspension
(1) This contract is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such, the contractor is required to verify that none of the contractor’s principals (defined at 2 C.F.R. § 180.995) or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. § 180.935).
(2) The contractor must comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into.
(3) This certification is a material representation of fact relied upon by _City of Stockton . If it is later determined that the contractor did not comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to remedies available to (insert name of recipient/subrecipient/applicant), the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment.
(4) The bidder or proposer agrees to comply with the requirements of2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.
2.4 Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352 (as amended) Contractors who apply or bid for an award of $100,000 or more shall file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, officer or employee of Congress, or an employee of a Member of Congress in connection with obtaining any Federal contract, grant, or any other award covered by 31 U.S.C. § 1352.
Each tier shall also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient who in turn will forward the certification(s) to the awarding agency.
Required Certification. If applicable, contractors must sign and submit to the non-federal entity the following certification found at APPENDIX A, 44 C.F.R. PART 18:
32 ATTACHMENT A
APPENDIX A, 44 C.F.R. PART 18 – CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
The Contractor, ________________________________ , certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. Chap.38, Administrative Remedies for False Claims and Statements, apply to this certification and disclosure, if any.
Signature of Contractor’s Authorized Official
Name and Title of Contractor’s Authorized Official
Date:
33 ATTACHMENT A
2.5 Procurement of Recovered Materials
In the performance of this contract, the Contractor shall make maximum use of products containing recovered materials that are EPA-designated items unless the product cannot be acquired—
1. Competitively within a timeframe providing for compliance with the contract performance schedule;
2. Meeting contract performance requirements; or
3. At a reasonable price.
Information about this requirement, along with the list of EPA-designated items, is available at EPA’s Comprehensive Procurement Guidelines web site:
https://www.epa.gov/smm/comprehensive- procurement-guideline-cpg-program The Contractor also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act.
2.6 Access to Records
The following access to records requirements apply to this contract:
(1) The Contractor agrees to provide the City of Stockton City Manager, the FEMA Administrator, the Comptroller General of the United States, or any of their authorized representatives access to any books, documents, papers, and records of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts, and transcriptions. (2) The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. (3) The Contractor agrees to provide the FEMA Administrator or his authorized representatives access to construction or other work sites pertaining to the work being completed under the contract. (4) In compliance with the Disaster Recovery Act of 2018, the City of Stockton and the Contractor acknowledge and agree that no language in this contract is intended to prohibit audits or internal reviews by the FEMA Administrator or the Comptroller General of the United States.
2.7 DHS Seal, Logo and Flags
The contractor shall not use the DHS seal(s), logos, crests, or reproductions of flags or likenesses of DHS agency officials without specific FEMA pre-approval
2.8 Compliance with Federal Law, Regulations, and Executive Orders This is an acknowledgement that FEMA financial assistance will be used to fund all or a portion of the contract. The contractor will comply with all applicable Federal law, regulations, executive orders, FEMA policies, procedures, and directives.
2.9 No Obligation by Federal Government
The Federal Government is not a party to this contract and is not subject to any obligations or liabilities to the non-Federal entity, contractor, or any other party pertaining to any matter resulting from the contract.
2.10 Program Fraud and False or Fraudulent Statements or Related Acts The Contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and Statements) applies to the Contractor’s actions pertaining to this contract. 34 ATTACHMENT A
Community Well‐Being:
Crisis Intervention ResponsePilot Project
STOCKTON CITY COUNCIL
AGENDA ITEM 15.3
JULY 26, 2022
1 Background
• American Rescue Plan Act (ARPA) and Coronavirus Local Fiscal Recovery Fund (CLFRF) allocated $78,050,072 to City
• Treasury Goals:
• Provide resources to turn the tide on the pandemic
• Address economic fallout
• Lay foundation for a strong and equitable recovery
• Treasury approach is to provide flexibility to meet local needs • Funding Categories:
• Support urgent COVID‐19 response efforts
• Replace lost revenue
• Support economic stabilization for households, businesses• Address systemic public health and economic challenges 2 Timeline
• Treasury allocates $78,052,072 in ARPA funds to the City of Stockton, with funding awarded in two equal tranches.
• Council approves recommendations for use of the ARPA Coronavirus State and Local Fiscal Recovery Funds on June 22, 2021 (Motion 2021‐ 06‐22‐1501).
• Council approves updated recommendations for ARPA funds on September 14, 2021 (Motion 2022‐09‐14‐1501).
• ARPA City Council Study Session held on February 16, 2022. • At Study Session, staff proposes Community Well‐Being and Crisis Intervention project, with objectives to:
• Establish 3‐year pilot program
• Partner with local Community‐Based Organization• Build and deploy crisis intervention teams to reduce the number of non‐emergency calls responded to by Police and Fire
3 Needs Assessment – National Level
National Alliance on Mental Illness (NAMI) Mental Health Data in 2020 Experienced Mental Illness
• 1 out of 5 adults• 1 out of 3 young adults, age 18‐25 Experienced a Serious Mental Illness
• 1 out of 20 adults
• 1 out of 10 young adults, age 18‐25
Experienced a Substance Use Disorder and Mental Illness • 6 percent of adults
• 1 in 8 of all visits to U.S. emergency departments
Adolescents, ages 12 – 17
• 1 in 6 experienced a major depressive episode• 3 million had serious thoughts of suicide • 70 percent of youth in juvenile justice system have at least one mental health condition 4 Needs Assessment – Local Level
Local Impact of Mental Health Data
• Approximately 6.4% of County population suffers from psychological distress • Statewide: 289 mental health providers per 100,000 residents • SJ County: 190 mental health providers per 100,000 residents • 2022 Point in Time (PIT) Count
• Volunteers counted 1,355 unsheltered individuals
• 66% or 894 individuals living in Stockton
• 33% reported a mental health issue
• 33% reported a problem with substance abuse
5 Mental and
Behavioral
Wellness
Homelessness Pandemic
Project Goal and Objectives
GOAL
Through partnership with CBO, develop and implement an efficient and sustainable model to mental health intervention based on best practices, that supports and enhances the well‐being of Stockton residents.
OBJECTIVES
◦ Decrease recidivism or repeat callers to emergency lines ◦ Increase follow‐up with wraparound services
◦ Increase community trust◦ Decrease costs related to emergency calls ◦ Decrease fear or hesitancy to call for police◦ Divert individuals away from the criminal justice system 6 Partnership Framework
Enhancement
7 City
Of
Stockton
Partner
CBO
Sub‐Partners
Community Agencies
Community Based Organization
PROPOSAL
Community Medical Centers (CMC) will expand Care Link program in a collaborative partnership with the City to develop a pilot mobile crisis intervention model as an alternative approach to behavioral healthfirst response services.
CMC CAPACITY
◦ Longest running medical outreach team to homeless
◦ Street medicine throughout Stockton
◦ Wound care, medication, behavioral health care, case management ◦ Social determinants of health
◦ Trauma‐informed and cost‐free services◦ Federally Qualified Health Care (FQHC) designation ◦ Response developed in alignment with best practices of similar programs 8 Program Design
CMC Care Teams emphasize person‐centered care within existing infrastructure ofprograms and services:
Enhancement
9 Medical
Outreach
Team
Housing
Coordinator
Transitions of
Care Network
Vital Care
Program
Behavioral
Health
Department
CMC Respite
Center
SUD Outpatient
Services
HIV & Hep C
Programs
Measurable Results and Outcomes
• Align services with needs for low‐barrier, trauma‐informed care • Improve cost to patients through mobile outreach• Improve efficiency of emergency responder and hospital resources • Increase responsiveness to Stockton’s diverse population through culturally and linguistically competent services
• Help bridge trust in collaboration with City of Stockton, Police, and Fire • Develop an evaluation plan for data collection and analysis through outside data evaluator
• Demonstrate program effectiveness through data metrics and measurable objectives
• Develop sustainability for maintaining service infrastructure and creating reliable funding mechanism
10 Presentation for City of Stockton
CMC, Care Link Alternative Behavioral
Health ResponseMission: Working together to enhance
health and well‐being in our
communities.
Community Medical Centers
is a Federally Qualified Health Center
Federally Qualified HealthCenters(FQHC’s) are Required to:
• Be a Nonprofit, 501(c)(3)
• Located in, and serve a medically underserved
community,
• Offer a comprehensive range of primary health
services;
• Medical, dental, behavioral health, SUD
• Sliding fee schedule for uninsured
• Accept Medi‐Cal, ACA insurance plans
• Be governed by a board, a majority of whose
members are health center patients
HISTORY OF CMC
• Community volunteers including
physicians, nurses, social workers,and community organizers • Services to farmworkers in 1965 in
San Joaquin county
• By the mid 1970s incorporated as
Agricultural Workers' HealthCenters.
• 1978: Incorporated as
a 501(c)(3)
nonprofit organization
13 1992: Name change to Community
Medical Centers, Inc.,
1995: Opened Channel Medical Center downtown2011: CMC, GLEASON HOUSE: Healthcare for the Homeless2015: New Logo2012: Added Behavioral Health2017: Added Substance Use Programs2020: Opened Site on Delta College Campus
HISTORY OF CMC
CMC Facts:
• 107,244 Patients served in 2021• 430,000 Patient care visits in 2021• 3 counties (San Joaquin, Solano, Yolo)• 28 sites• 10,968 Patients with a diagnosis of diabetes• 96% of patients are below 200% of Federal Poverty Level
• $99M budget FY 2021‐2022• Staff: 900
CMC Services
• Services for All Ages
• Adult medicine
• Pediatrics• Adolescent• Women’s Health
• Geriatrics
• Dental• Specialty
• Endocrinology/ GI/ Pulmonology
• Podiatry• Chiropractic/ Physical Therapy/ Acupuncture • Behavioral Health
• Counseling for individuals, families, children and adolescents • Substance use treatment
• Case Management
• Psychiatry
• Pharmacy
Stockton
Services
• 12 Clinic locations strategically located in
neighborhoods of need
• 2 Dental sites
• 2 pharmacies
• Waterloo Recovery (BH and SUD)
• Channel Respite Center ( BH, SUD and residential)
• Care Link Health Care for the Homeless
• Gleason House
• St. Mary’s Dining Room Health Center
• Street Outreach;
• Mobile Units and street outreach teams;
Adult and Adolescent
• Mobile Vaccination and Testing teams
Care Link
Community Response Proposal
• Use trauma informed and evidence‐based
interventions
• Build on trust developed over 20 years with street
and shelter outreach
• 3‐year pilot mobile crisis model (LCSW, outreach
worker, Case Manager
• Initially, one mobile response team, building up to
three, 7 days a week focusing on hot spots within
City of Stockton
• Follow‐up team , emphasizing prevention and
linkage to CMC wrap around services, ongoing case
management
• Evaluation partner for outcomes and program
evaluation
CMC Leadership
Christine NogueraChief Executive Officer
[email protected]
Office: 209‐373‐2826Cell: 559‐960‐7779
Benjamin B. Morrison M.D.
Chief Medical [email protected]
Office: 209‐373‐2829
Jaime Allen
Chief Financial Officer
[email protected]
Office: 209‐373‐2851Fax: 209‐762‐6927
Preethi Raghu
Chief Operating [email protected]
Office: 209‐373‐2832Cell: 925‐548‐4449
Ginger Manss, DNP, RN, HACP, AOCNChief Nursing [email protected] Office: 209‐373‐2840Cell: 209‐609‐6759
Mical L. Cayton
Chief Information Officer
[email protected]
Office: 209.626.5525Cell: 209.888.9146
Elle Karimkhani, Esq.General Counsel & Compliance Officer [email protected]
Office: 209‐373‐2847
Linh DeLuca, DDSChief Dental Officer
[email protected]
Office: 209‐940‐5618
Mobile: 508‐317‐5011
Alfonso Apu
Chief Behavioral Health Officer
[email protected]
Office: (209) 373‐2842
Recommendations
• Award
a Professional Services Contract to Community Medical Centers of Stockton, CA in the Not
‐To
‐Exceed amount of $5,760,000 to develop
and implement
a crisis intervention response pilot program for three
years with American Rescue Plan funds under Project MARP101. • Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.
It is also recommended that the City Manager be authorized to take appropriate actions to carry out the purpose and intent of this motion. 20 City of Stockton
Legislation Text
File #: 22-0728, Version: 1
ACCEPT THE FISCAL YEAR 2021-22 THIRD QUARTER BUDGET UPDATE AND APPROVE
THE RECOMMENDED BUDGET AMENDMENTS
RECOMMENDATION
It is recommended that the City Council adopt a resolution to:
1. Accept this budget status report on the financial results for the Third Quarter of Fiscal Year (FY) 2021-22, and
2. Authorize the continuation of up to $5,639,795 in FY 2021-22 budget appropriations to FY 2022-23 for the completion of the identified programs.
It is further recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of the resolution.
Summary
Staff's review of the financial results for the nine months ending March 31, 2022, indicates General Fund revenues are projected to exceed budgeted levels by 13% and expenditures are projected to be 5% under budget. The updated projection of ending available balance for FY 2021-22 is $3.0 million more than the Second Quarter Budget Update.
Through the third quarter, General Fund revenues totaled $149.7 million, and expenses totaled $173.3 million. If current trends continue, overall General Fund expenditures will end the year at approximately $285.2 million, coming in under the Approved Budget by $15.6 million (5%). Revenue collections are currently projected to end the year approximately $32.9 million (13%) higher than budgeted. Staff will continue to monitor revenues and expenditures and return to Council with a year -end report in the fall.
Staff reviewed all other City funds to determine significant budget variances and identified no new budget amendments needed for FY 2021-22. It is recommended that approximately $5.6 million in FY 2021-22 expenditure appropriations be carried forward to the new fiscal year enabling departments to continue projects planned and funded but not completed by June 30, 2022.
DISCUSSION
Background
The Council remains committed to transparency and financial responsibility with the continuation of Fiscal Sustainability as one of its strategic targets. This budget status update is provided in support of that objective.
City of Stockton Page 1 of 8 Printed on 7/20/2022
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File #: 22-0728, Version: 1
Council adopted the FY 2021-22 annual city-wide budget of $991.8 million on June 22, 2021. The adopted General Fund expenditure budget was $255.9 million of the total City budget. Administrative and Council-approved amendments to the adopted budget increased total General Fund expenditure appropriations to $300.9 million.
The FY 2022-23 Annual Budget released on May 15, 2022, projected a FY 2021-22 ending balance of $78.3 million in the General Fund. The Second Quarter Budget Report based on activity through December 31, 2021, projected additional revenues of $32.3 million and expenditure savings of $12.8 million, which increased the projected ending fund balance to $79.1 million.
Present Situation
General Fund Budget Status Update
General Fund expenditures and revenues for the first nine months of the FY 2021-22 are shown in Attachments A and B. Attachment A summarizes the City's General Fund revenues, expenditures, and available balance by Approved Budget, Year to Date Activity as of March 31, 2022, Third Quarter Projection, and variance amounts. The Approved Budget assumed the General Fund would end the fiscal year with an available balance of $33.5 million. The revised projections indicate revenues will end the year above the budgeted level by $32.9 million, and expenditures will be approximately $15.6 million less than budget for a net increase in the available balance of $48.5 million. The third-quarter fund balance projections are slightly higher than the year-end estimates included in the Second Quarter Budget Report. The projected ending available balance of $82.0 million is an increase of $3.0 million compared to the Second Quarter Budget Report projection.
The City does not receive General Fund tax revenues in a regular monthly pattern, so third-quarter actual revenues are less than 75% of budgeted revenues. The timing of expenses is more consistent than revenues. However, the General Fund does include some budgeted items that will be paid in large lump sums and cause variances when reviewed quarterly. The information below indicates our best analysis of the trends evident from available data and projections for year-end performance compared to the budget based on this review.
Budget Adjustments
Throughout the fiscal year, the Council may adjust the budget. The Approved Budget column on Attachment A includes all adjustments made through the third quarter, including various adjustments approved in the Second Quarter Budget Report and other subsequent Council agenda items. The General Fund approved expenditure budget is $300.9 million, an increase of $865,000 since the Second Quarter Budget Report because of Council approved budget adjustments and budget increases in revenues and expenditures for fire wildland activities.
Revenues
Attachment B displays staff's analysis of revenue collections and projections through the third quarter of the year. Actual revenues received as of March 31, 2022, were $149.7 million, and projected yearend revenues are $284.2 million. The most significant variances compared to the budget are in sales tax, business licenses, and utility users tax. Compared to the Second Quarter Budget Report, projected year-end revenues increased by $1.1 million.
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Sales Tax receipts make up nearly 38% of the total annual General Fund revenue. Remittances received from the State in the third quarter represent sales through January 2022, due to the lag time involved in obtaining the tax collected. Year-end sales tax collections are projected to be $114.2 million, exceeding the budget by $19.4 million. The year-end projection is about $8.2 million more than sales tax receipts in FY 2020-21. Revenues have been difficult to project due to the unprecedented nature of the COVID-19 pandemic and numerous adjustments and corrections associated with reporting changes. Direct federal stimulus payments and the State's eviction moratorium insulated tenants, thus contributing to the unpredictability of revenue projections. With travel restrictions, live-event cancelations, and occupancy restrictions on indoor restaurant dining throughout the pandemic, spending habits shifted. Since the start of the pandemic, discretionary household spending has generally shifted from non-taxable services to taxable goods as well as from brick-and-mortar stores to online sales.
Property Taxes are 26% of the City's total annual General Fund revenues and are remitted to the City each year by San Joaquin County in January and April. Receipts for the first nine months were
55.4% of the budget as of March 31, 2022, with San Joaquin County remitting approximately half of the annual property tax revenues in January 2022. FY 2021-22 property tax revenues are expected to be $68.3 million by year end, a 6.1% increase compared to prior year revenues. Property tax revenue growth is attributable to increasing home values and new construction. As shown in Attachment B, the anticipated variance is 4.8% of the $65.2 million budget.
The City collects Utility Users Tax (UUT) revenues for four utility categories: Water, Electric and Gas, Cable TV, and Telecommunications. UUT is 14% of total annual General Fund revenue and is a tax imposed on the users of various utilities. Overall, the FY 2021-22 projections for the Utility Users Tax category are 8.8% more than budget estimates and 2.6% greater than prior year revenues.
Electricity and gas are the primary areas generating additional revenues at 13.8% over the $22.5 million budget. UUT is subject to a certain degree of volatility as consumer use of utilities can be dependent on weather conditions, conservation efforts, and the availability of substitutes. Cable and Telecommunications UUT are expected to be at or slightly below the budgeted amount.
The City receives Franchise Tax receipts in three categories: PG&E, Cable/Video, and Waste Haulers. Franchise fees are charged to companies as a percentage of income. Because they are based on the revenue generated by a service provider, these fees tend to track parallel with UUT.
Franchise revenues are projected to be 2.1% greater than the $16.6 million budget with PG&E and waste hauler fees coming in over budget estimates. Cable/video revenues are projected to decline to $2.0 million compared to FY 2020-21 receipts of $2.2 million.
Business License Taxes make up 4% of General Fund revenues. Business license tax revenue is projected to be $14.2 million, a 1% increase compared to prior year revenues. Actual receipts in this category were at 60.6% through the third quarter.
Other Taxes combined are under 1% of the General Fund revenue. Hotel/Motel Taxes are showing a recovery from the COVID-19 pandemic with projected receipts of $3.1 million compared to $2.8 million for the previous two fiscal years. Document transfer taxes are projected to be up to $1.6 million compared to $912,000 two years ago.
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The Investment Proceeds line item includes proceeds from investments as well as interest on cash holdings. The City's investments are limited to secure/conservative instruments that are not expected to be hit as hard as other investment options. The revenue projection of $2.3 million assumes conservative earnings in the fiscal year and is $331,000 more than the annual budget.
Program Revenues consist primarily of revenues from fines, licenses, service contracts with other agencies, and code enforcement fees, and are under six percent of total General Fund revenue.
Year-end estimates for this category are $1.4 million (9%) greater than budget. Revenues from Other Agencies is projected to be higher than budget by $832,000 with additional receipts for Wildland fire reimbursements and Successor Agency tax increment. The other large variance in this category is Code Enforcement which is expected to exceed the budget by $767,000. Most other program revenues are projected to be close to the annual budget.
Interfund reimbursements consist of cost recovery to the General Fund from other funds and other agencies for administrative services and facility space. This category constitutes 4% of General Fund revenues. These reimbursements are projected to be $710,000 or 8% less than the budget of $9.2 million due to use of an updated Cost Allocation Plan.
Expenditures
Staff reviewed the first nine months of General Fund expenditure data as reported in Attachment A.
Expenditure trends in most departments are in line with budget. Projected expenditures decreased by $1.9 million compared to the Second Quarter Budget Report projection. The significant variances from budget are explained in detail in the following sections of the report.
Figure1 below summarizes the spending levels of all departments and programs as a percent of their respective budget.
Figure 1
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As shown above, most operating budgets are running below the 75% expenditure level anticipated at the end of the third quarter. Most of the lower spending levels are a result of programs that spend more in the last half of the year for items like debt, labor negotiations, election, tax collection, and audit contract costs. In addition, several departments experienced higher than budgeted staff vacancies during the year, including Police, Economic Development, Office of Violence Prevention, the City Clerk’s Office, Administrative Services, and Public Works.
As shown below, the FY 2021-22 Adopted Budget included a total of $6.2 million in budgeted salary savings. Through the third quarter of the fiscal year, actual General Fund savings from vacancies increased to 11% (compared to 10% in the second quarter), a continuing trend well above the 5% assumed in the budget. Total salary expenditures were approximately $10.4 million less than estimated in the budget.
Figure 2 summary of salary savings results for the three quarters of the fiscal year.
Figure 2
Third Quarter% Realized
Department Annual 3 Quarters Savings Vacancies
General Fund
Other Departments 291,120 218,340 439,821 9%
Administrative Services 217,898 163,424 572,944 15%
Human Resources 63,958 47,969 81,989 7%
Police 3,258,710 2,444,033 7,201,928 10%
Fire 1,145,999 859,499 1,946,387 7%
Public Works 319,677 239,758 661,104 11%
5,297,362 3,973,022 10,904,173 9%
Marshall Plan
Office of Violence Prevention - - 229,844 35%
Police 936,054 702,041 3,894,798 19%
936,054 702,041 4,124,642 20%
Total 6,233,416 4,675,062 15,028,815 11%
Total Savings above/(below) Budget 10,353,753
Budgeted Vacancy
Savings
Department Expenditures
The Police Department is afforded 48% of the General Fund budget. During the third quarter, 6 new officers were hired while 19 departed (six resigned or were released during probation, and 13 left to other agencies), resulting in 411 of the 485 authorized sworn positions being filled at the end of March 2022. Police Department expenses were at 67% of budget as of March 31, 2022. Overall, the Department estimates it will end the year approximately $11.8 million under budget primarily due to vacant positions and new employees starting at lower pay than departing employees.
The Fire Department accounts for 17% of the General Fund annual budget. The department’s overall actual expenditures were 68% of budget as of March 31, 2022. During the third quarter, newly hired firefighters were almost offset by attrition among academy recruits and regular sworn City of Stockton Page 5 of 8 Printed on 7/20/2022
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personnel. The department expects to be under budget by approximately $883,000 or 2% at the end of the fiscal year.
The Public Works Department accounts for 7% of the General Fund annual budget. Approximately 65% of the department budget was expended as of March 31, 2022, and year-end projections are $982,000 less than the approved budget of $19.2 million. Savings are primarily from vacancies or staff turnover and reduced training and travel expenses.
The Economic Development Department budget includes approximately $2 million for economic incentive programs, which includes a $1.9 million commitment to the Open Windows Project, and $100,000 for implementation of the Economic Development Strategic Plan. Projected savings at year -end are approximately $118,000.
The Office of Violence Prevention is estimated to end the year 30% below budgeted expenditures with approximately $450,000 from salary savings. One to three of the fourteen positions were vacant throughout most of the year and new employees started at lower pay rates than departing employees. Staffing turnover and the availability of other funding sources have also resulted in underspending the client support services budget.
Program Support for Other Funds includes appropriations for City libraries, recreation activities, grants, entertainment venues, marina and golf course operations, and development services.
Operating transfers occur in regular monthly intervals, whereas capital and grant match transfers are recorded when expended. The programs in this category are trending to end the year at budgeted levels, with no additional General Fund support required.
In Administration, departments are projected to end the year within budget, except for the Other Administration category. This category, which contains a variety of citywide costs that are not attributable to an individual department or specific group of programs, includes a negative budget for indirect cost charges and vacancy savings. The year-end projection currently shows an overage of $176,000, which will be resolved by redistributing budgeted vacancy savings at yearend to other departments experiencing vacant positions.
Debt Service payments by the City are not expended in any regular pattern but instead by the scheduled due dates to bondholders. The budget has been adjusted to reflect the FY 2020-21 trueup and FY 2021-22 estimated contingency payments to Assured Guaranty. The full appropriated amount of $5.8 million will be paid out by year-end with the largest payment due in June 2022.
Budgeted Contingency dollars were used to pay back the Successor Agency for expenses deemed ineligible pursuant to a 2012 audit.
Other City Funds
In addition to the detailed review of General Fund expenditures and revenues described above, all City funds were reviewed as part of this report. Year-end projections for all funds were included in the FY 2022-23 Annual Budget released May 15, 2022. No other significant variances from the projections contained in the FY 2021-22 Annual Budget were noted. Year-to-date activity shown on Attachment C is similar to the General Fund in that revenues and expenses can be seasonal and City of Stockton Page 6 of 8 Printed on 7/20/2022
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subject to irregular schedules. The Emergency Communication Fund, for example, looks out of balance with a negative balance of $800,000. This is a result of quarterly billings processed after the close of each quarter. All expenses incurred will be fully covered through revenues and fund balance by year-end.
Continuation of FY 2021-22 Appropriations
Pursuant to Section 1908 of the City Charter, operating budget appropriations lapse at the end of each fiscal year if not expended or encumbered. With this requirement in place, programs lose funding at year end unless Council takes action to continue the appropriation into the following fiscal year. Following a review of budgets and activities in FY 2021-22, departments have identified funded programs that could not be encumbered or completed prior to the end of the fiscal year on June 30, 2022. To complete these programs, it is recommended that the FY 2021-22 budgets identified in the table below be continued to FY 2022-23 to complete the specific programs listed in the following table. Budget balances for each program will be reviewed and only available balances will be continued to FY 2022-23.
Description Department Fund Not to Exceed
Amount
June 2022 Election Non-Departmental General Fund
550,000
Bridging the Digital Divide - Hardware Community Services Library 8,000
Community Centers Floor Resurfacing -
Arnold Rue, Oak Park, Seifert, Stribley
Community Services Recreation
32,013
Painting Oak Park Senior Center Community Services Strong Communities 20,000
Painting Van Buskirk Community Center Community Services Strong Communities 20,000
Silver Lake Campers Assoc Community Services Recreation 10,000
Manteca Library Renovation - Furniture Community Services Library 117,866
Weston Ranch Library Renovation -
Furniture
Community Services Strong
Communities 30,901
Economic Development Strategic Plan Economic
Development
General Fund
20,000
Fire Station No. 1 Equipment Fire Department General Fund 132,000
Recruitment & Retention Human Resources General Fund
1,000,000
Cisco Stealthwatch Information
Technology
Technology
ISF 42,000
Cisco Traffic Signal Infrastructure Information
Technology
Technology
ISF 300,000
GIS Migration to hosted Environment Information
Technology
Technology
ISF 100,000
Cisco DNA Appliance Infrastructure Information
Technology
Technology
ISF 70000
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132,000
Recruitment & Retention Human Resources General Fund
1,000,000
Cisco Stealthwatch Information
Technology
Technology
ISF 42,000
Cisco Traffic Signal Infrastructure Information
Technology
Technology
ISF 300,000
GIS Migration to hosted Environment Information
Technology
Technology
ISF 100,000
Cisco DNA Appliance Infrastructure Information
Technology
Technology
ISF 70,000
Council Discretionary Mayor & Council General Fund
90,000
Mayor Discretionary Mayor & Council General Fund
46,715
RWCF Modification Project - Furniture Municipal Utilities Stormwater Utility 52,122
RWCF Modification Project - Furniture Municipal Utilities Wastewater Utility 512,740
RWCF Modification Project - Furniture Municipal Utilities Water Utility 106,538
Early Warning System Police Department General Fund
375,000
Animal Shelter & Shooting Range Police Department Special Revenue Fund 2,000,000
Dentoni Park - Painting Bleachers/Tables Public Works General Fund 3,900
Grand Total 5,639,795
FINANCIAL SUMMARY
This report provides an analysis of the FY 2021-22 General Fund third-quarter results update.
The review indicates that revenues are on track to exceed budget projections, while expenditures are likely to be less than budgeted targets. No additional budget adjustments for FY 2021-22 are needed at this time. Staff will continue to monitor trends and potential budget variances and will return to the Council with year-end results and recommendations in the Fall.
Attachment A - FY 2021-22 Third Quarter Budget Update - General Fund Attachment B - FY 2021-22 Third Quarter Revenues - General Fund Attachment C - FY 2021-22 Third Quarter Report for Other Major Funds City of Stockton Page 8 of 8 Printed on 7/20/2022
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City of Stockton Attachment A
FY 2021-22 Budget Update - Third Quarter
General Fund - 100 by Program (Budgetary Basis)
Year to Date Projection Variance
Approved Activity % of 3rd Quarter vs. Approved from
Budget As of 3/31/22 Budget Projection Budget Budget
Beginning Available Balance $ 37,724,307 37,724,307 $ 37,724,307 $ Release of Funds* 45,316,050 45,316,050 45,316,050
83,040,357 83,040,357 83,040,357
Revenues
General Tax Revenues 190,206,818 101,201,723 53% 215,601,933 25,395,115 13% Measure A/B Sales Tax 36,132,000 28,945,396 80% 42,900,000 6,768,000 19% Program Revenues 15,847,015 12,460,426 79% 17,255,943 1,408,928 9% Interfund Reimbursements 9,186,977 7,072,100 77% 8,477,132 (709,845) -8% 149,679,644 251,372,810 60% 32,862,198 284,235,008 13%
Expenditures
Programs
Police 144,733,264 97,685,827 67% 132,933,682 11,799,582 8% Fire 51,978,802 35,407,285 68% 51,095,835 882,966 2%
Public Works 19,175,693 12,504,953 65% 18,193,708 981,986 5% Economic Development 4,900,838 2,124,782 43% 4,783,186 117,653 2% Office of Violence Prevention 2,210,895 1,020,480 46% 1,538,221 672,673 30% 148,743,327 222,999,492 67% 208,544,632 14,454,860 6%
Program Support for Other Funds
Library 4,068,000 3,051,000 75% 4,068,000 - 0%
Recreation 3,377,150 2,622,863 78% 3,377,150 - 0%
Entertainment Venues 3,285,000 2,463,750 75% 3,285,000 - 0% Downtown Marina 262,000 196,500 75% 262,000 - 0%
Capital Improvement 38,473,531 3,750,000 10% 38,473,531 - 0% Golf Course 235,700 262,500 111% 235,700 - 0%
Grant Match 100,000 - 0% 100,000 - 0%
Development Services 800,000 600,000 75% 800,000 - 0%
12,946,613 50,601,381 26% 50,601,381 - 0%
Administration
City Council 1,204,297 652,456 54% 1,184,297 20,000 2%
City Manager 2,696,992 1,747,342 65% 2,509,490 187,503 7% City Attorney 1,290,690 836,757 65% 1,174,391 116,299 9% City Clerk 1,101,840 714,466 65% 998,722 103,118 9%
City Auditor 802,420 334,636 42% 699,337 103,083 13%
Administrative Services 6,259,020 4,058,376 65% 5,885,344 373,676 6% Human Resources 3,720,342 1,565,167 42% 3,354,093 366,249 10% Tax Collection 2,433,456 1,184,672 49% 2,433,456 - 0%
Elections 550,000 - 0% 550,000 - 0%
Other Administration (1,106,035) (1,012,775) 92% (929,792) (176,243) 16% General Legal 500,000 169,502 34% 400,000 100,000 20%
10,250,601 19,453,022 53% 18,259,338 1,193,684 6%
Debt Service 5,819,175 - 0% 5,819,175 - 0%
Contingency 2,000,000 1,361,531 68% 2,000,000 - 0%
Total Expenditures 300,873,070 173,302,072 58% 15,648,544 285,224,526 5% Net Annual Activity (23,622,427) (49,500,260) (989,518) 48,510,742 Proj. Ending Available Balance 33,540,097 $ 82,050,839 $ 48,510,742 $ Fund Balance as % of Expenses 13% 27%
ATTACHMENT B
City of Stockton
FY 2021-22 Third Quarter Revenues
General Fund - 100
Approved 3rd Quarter % of 3rd Quarter Projection Variance Budget Actual Budget Projection vs. Budget vs. Budget
General Tax Revenues
Sales Tax
Point of Sale 56,276,000 $ 43,955,091 $ 78.1% 68,644,000 $ 12,368,000 $ 22.0% Measure A Transaction Tax 36,132,000 28,945,396 80.1% 42,900,000 6,768,000 18.7% Proposition 172 2,379,000 1,952,299 82.1% 2,683,000 304,000 12.8% 74,852,786 94,787,000 79.0% 114,227,000 19,440,000 20.5% Property Taxes
Property Taxes 22,463,041 38,416,000 58.5% 40,999,050 2,583,050 6.7% In-Lieu of Motor Vehicle Fees 26,791,495 13,655,165 51.0% 27,310,330 518,835 1.9% 36,118,206 65,207,495 55.4% 68,309,380 3,101,885 4.8%
Utility Users Tax
Water 4,923,000 1,944,410 39.5% 5,015,100 92,100 1.9%
Electric & Gas 22,500,000 2,320,919 10.3% 25,599,317 3,099,317 13.8% Cable 2,620,000 13,287 0.5% 2,476,644 (143,356) -5.5%
Telecommunications 4,299,000 227,336 5.3% 4,282,099 (16,901) -0.4% 4,505,952 34,342,000 13.1% 37,373,160 3,031,160 8.8%
Franchise Tax
Electric & Gas 2,328,000 70,923 3.0% 2,507,611 179,611 7.7% Cable/Video 2,160,000 293,307 13.6% 2,049,622 (110,378) -5.1% Waste Haulers 12,106,000 4,382,424 36.2% 12,392,210 286,210 2.4% Other 1,630 - 0.0% 1,630 - 0.0%
4,746,654 16,595,630 28.6% 16,951,073 355,443 2.1%
Business License Tax 9,695,000 5,877,549 60.6% 14,200,000 4,505,000 46.5% Hotel/Motel Tax 2,648,000 1,838,116 69.4% 3,118,000 470,000 17.7% Document Transfer Tax 852,000 1,136,965 133.4% 1,610,000 758,000 89.0% Motor Vehicle License 200,000 370,693 185.3% 370,693 170,693 85.3% Investment Proceeds 2,011,693 700,197 34.8% 2,342,627 330,934 16.5% 9,923,521 15,406,693 64.4% 21,641,320 6,234,627 40.5%
Program Revenues
Fire Contracts 3,602,710 4,691,240 76.8% 4,687,380 (3,860) -0.1% Code Enforcement 3,269,261 3,498,413 93.4% 4,265,863 767,450 21.9% Charges for Services 1,956,363 3,150,079 62.1% 2,859,888 (290,191) -9.2% Fines & Forfeitures 408,544 501,694 81.4% 513,722 12,028 2.4% Revenues from Other Agencies 2,926,725 3,578,356 81.8% 4,410,571 832,215 23.3% Licenses & Permits 251,226 577,014 43.5% 613,820 36,806 6.4% Sale of Fixed Assets 14,897 22,000 67.7% 69,376 47,376 215.3% Contributed Capital - 9,064 9,064 9,064
Misc. Other Revenues 21,635 (171,781) -12.6% (173,741) (1,960) 1.1% 12,460,426 15,847,015 78.6% 17,255,943 1,408,928 8.9%
Interfund Reimbursements
Indirect Cost Allocation 3,610,905 5,904,220 61.2% 4,861,010 (1,043,210) -17.7% Refunds & Reimbursements 222,792 230,309 96.7% 195,253 (35,056) -15.2% Rents/Leases/Concessions 3,238,403 3,052,448 106.1% 3,420,869 368,421 12.1% 7,072,100 9,186,977 77.0% 8,477,132 (709,845) -7.7%
Total Revenues 251,372,810 $ 149,679,644 $ 59.5% $ 32,862,198 284,235,008 $ 13.1% % Change from Prior Year -7% 5%
FY 2021-22
Attachment C
City of Stockton
FY 2021-22 Third Quarter
Financial Report for Other Major Funds
Measure A (Breakout of General Fund) Year to % of
Budget Date Actual Budget
Revenues 36,132,000 80% 28,945,396
Marshall Plan Expenditures
Office of Violence Prevention 1,254,496 563,921 45%
Police 30,220,848 19,019,245 63%
Total Expenses 31,475,344 19,583,166 62%
Funds Combined with General Fund in CAFR
Library 100-120 Fund Year to % of Emergency Dispatch 100-130 Fund Year to % of Budget Date Actual Budget Budget Date Actual Budget
Beginning Balance 2,077,097 2,077,097 Beginning Balance 354,130 354,130 Revenues 7,717,104 5,502,302 71% Revenues 4,363,520 1,821,378 42% General Fund Transfer 4,068,000 3,051,000 75% Expenditures 4,684,026 2,983,620 64% 8,553,302 11,785,104 73%
Expenditures Ending Balance 33,624 (808,112)
Administration 1,603,686 1,103,418 69%
Operations 1,508,949 979,360 65% Recreation 100-125 Fund Year to % of County Branches 6,533,374 3,940,632 60% Budget Date Actual Budget City Branches 3,770,270 2,497,450 66% Beginning Balance 202,092 202,092 Capital Projects - -
Total Expenses 13,416,279 8,520,861 64% Revenues 1,245,435 512,829 41% General Fund Transfer 3,497,150 2,622,863 75%
Ending Balance 445,922 2,109,538 4,742,585 3,135,692 66% Expenditures
Entertainment Venues 100-145 Fund Year to % of Administration 1,274,623 735,212 58% Budget Date Actual Budget Recreation Programs 3,666,396 2,142,249 58% Beginning Balance 1,689,146 1,689,146 Total Expenses 4,941,019 2,877,462 58% Revenues 3,117,187 2,540,099 81% Ending Balance 3,658 460,322 General Fund Transfer 3,285,000 2,463,750 75%
5,003,849 6,402,187 78% Boat Launch 100-140 Fund Year to % of Expenditures Budget Date Actual Budget
Administration 122,094 123,311 101% Beginning Balance 953,031 953,031 Venue Operations 7,683,046 4,030,801 52%
Maintenance & Equip./Capital 100,000 - 0% Revenues 227,932 164,274 72% Total Expenses 7,905,140 4,154,112 53% Expenditures 557,442 106,997 19% Ending Balance 186,193 2,538,883 Ending Balance 623,521 1,010,308 Attachment C
City of Stockton
FY 2021-22 Third Quarter
Financial Report for Other Major Funds
Special Revenue Funds
Measure W 200 Fund Year to % of Development Services 220 Fund Year to % of Budget Date Actual Budget Budget Date Actual Budget
Beginning Balance 5,451,066 5,451,066 Beginning Balance 23,352,706 23,352,706 Revenues 11,829,000 9,315,078 79% Revenues 13,457,118 14,888,348 111% Expenditures General Fund Transfer 800,000 600,000 75%
Police 6,255,969 4,528,350 72% 14,257,118 15,488,348 109% Fire 6,203,923 4,505,306 73% Expenditures
Total Expenses 12,459,892 9,033,656 73% Community Development 13,189,401 7,638,506 58% Fire 3,440,988 2,124,817 62%
Ending Balance 4,820,174 5,732,489 Capital 5,700,000 - 0% Total Expenses 22,330,389 9,763,323 44%
Strong Communities (Measure M) 210 Fund Year to % of
Budget Date Actual Budget Ending Balance 15,279,435 29,077,731 Beginning Balance 9,726,545 9,726,545
Revenues 12,177,000 9,253,929 76%
Expenditures
Library Programs 3,252,326 1,640,108 50%
Recreation Programs 4,408,432 696,217 16%
Administration 894,487 707,988 79%
Capital Projects 3,235,000 1,628,643 50%
Total Expenses 11,790,245 4,672,955 40%
Ending Balance 10,113,300 14,307,519
Enterprise Funds
Water Utility 600 Fund Year to % of Parking Authority 630 Fund Year to % of Working Capital Budget Date Actual Budget Working Capital Budget Date Actual Budget Revenues 59,964,840 45,027,964 75% Revenues 4,746,246 4,152,311 87% Expenditures Expenditures
Administration 5,369,174 3,014,901 56% Administration 925,180 348,710 38% Operations & Maintenance 32,987,130 26,443,149 80% Parking Operations 2,301,811 1,879,901 82% Debt Service 14,300,287 2,138,648 15% Parking Enforcement 839,760 396,640 47% Capital 15,436,570 1,702,730 11% Debt Service 2,217,311 881,647 40% Total Expenses 68,093,161 33,299,428 49% Facility Improvements 3,314,942 196,181 6% Total Expenses 9,599,004 3,703,078 39%
Wastewater Utility 610 Funds Year to % of
Working Capital Budget Date Actual Budget Downtown Marina 640 Fund Year to % of Revenues 184,874,743 60,995,722 33% Working Capital Budget Date Actual Budget Expenditures Revenues 372,828 334,517 90%
Administration 9,047,402 6,787,557 75% General Fund Transfer 262,000 196,500 75% Operations & Maintenance 47,182,882 25,638,337 54% 634,828 531,017 84% Debt Service 127,637,265 2,568,767 2% Expenditures
Capital 97,285,161 44% Administration 17,400 42,749,493 3,888 22% Total Expenses 281,152,710 77,744,154 28% Operations 617,136 409,889 66% Capital - - 0%
Stormwater Utility 620 Funds Year to % of Total Expenses 634,536 413,777 65% Working Capital Budget Date Actual Budget
Revenues 5,529,007 4,473,103 81% Golf 650 Fund Year to % of Expenditures Working Capital Budget Date Actual Budget
Administration 2,827,066 1,317,703 47% Revenues - 24,891 Operations & Maintenance 3,700,993 2,510,585 68% General Fund Transfer 350,000 262,500 75% Capital 1,102,155 721,649 65% 350,000 287,391 82%
Total Expenses 7,630,214 4,549,937 60% Expenditures
Administration 51,247 34,064 66%
Swenson Golf Course 62,500 133 0%
Van Buskirk Golf Course 234,300 109,279 47%
Total Expenses 348,047 143,476 41%
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION ACCEPTING THE FISCAL YEAR 2021-22 THIRD QUARTER BUDGET
STATUS UPDATE REPORT, AND AUTHORIZING BUDGET AMENDMENTS Fiscal Sustainability is one of the City Council’s goals; and City Council adopted the Fiscal Year (FY) 2021-22 Annual Budget on June 22, 2021, following a duly noticed budget study session and a public hearing; and By the staff report accompanying this Resolution, incorporated into this Resolution by this reference (Staff Report), the Council has been provided with additional information upon which the actions set forth in this Resolution are based; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1) Accept this budget status report on the results of the third quarter of Fiscal Year 2021-22.
2) Authorize the continuation of FY 2021-22 appropriations to FY 2022-23 for the completion of specific programs as listed in the following table:
Description Department Fund
Not to
Exceed
Amount
June 2022 Election Non-Departmental General Fund 550,000 Bridging the Digital Divide - Hardware Community Services Library 8,000 Community Centers Floor Resurfacing -
Arnold Rue, Oak Park, Seifert, Stribley Community Services Recreation 32,013 Painting Oak Park Senior Center Community Services
Strong
Communities
20,000
Painting Van Buskirk Community Center Community Services Strong
Communities 20,000
Silver Lake Campers Assoc Community Services Recreation 10,000 Manteca Library Renovation - Furniture Community Services Library 117,866 Weston Ranch Library Renovation -
Furniture Community Services
Strong
Communities 30,901
Economic Development Strategic Plan Economic Development General Fund 20,000 Fire Station No. 1 Equipment Fire Department General Fund 132,000 Recruitment & Retention Human Resources General Fund 1,000,000 Cisco Stealthwatch Information Technology Technology ISF 42,000 Cisco Traffic Signal Infrastructure Information Technology Technology ISF 300,000 GIS Migration to hosted Environment Information Technology Technology ISF 100,000 Cisco DNA Appliance Infrastructure Information Technology Technology ISF 70,000 Council Discretionary Mayor & Council General Fund 90,000 Mayor Discretionary Mayor & Council General Fund 46,715 RWCF Modification Project - Furniture Municipal Utilities Stormwater
Utility
52,122
RWCF Modification Project - Furniture Municipal Utilities Wastewater
Utility
512,740
RWCF Modification Project - Furniture Municipal Utilities Water Utility 106,538 Early Warning System Police Department General Fund 375,000 Animal Shelter & Shooting Range Police Department
Special Revenue
Fund
2,000,000
Dentoni Park - Painting Bleachers/Tables Public Works General Fund 3,900 Grand Total 5,639,795
3) Authorize the City Manager to take appropriate and necessary actions to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED July 26, 2022 .
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
FY 2021-22 Third Quarter
Budget Update
City of Stockton June 26, 2022Item 15.4
FY 2021-22 Third Quarter
General Fund RevenuesAs of March 31, 2022:
•Year to Date
=
$ 148.7 million
• 60% of the $251.4 million budget
Year
‐end Projection:
•$284.2 million
• $32.9 million, 13% above budget
• Largest variances:
• Sales Tax +$19.4 million
• Utility Users Tax +$3 million
• Business License +$4.5 million
General Fund Revenues
by Quarter
FY 2017‐18 FY 2018‐19 FY 2019‐20 FY 2020‐21 FY 2021‐22
1st Quarter 11% 12% 14% 15% 10%2nd Quarter 23% 31% 31% 34% 24%3rd Quarter 62% 67% 67% 66% 60%Year‐End 103% 105% 106% 121% 0%Budget 100% 100% 100% 100% 100% 0%
10%20%30%40%50%60%70%80%90%
100%110%
% of Annual Budget
Quarterly Receipts as
a
% of Budget
3rd Quarter FY 2021-22
General Fund ExpendituresAs of March 31, 2022:
•Year to Date
=
$ 173.3 million
• 58% of the $300.9 million budget
Year
‐end Projection:
•$285.2 million
• $15.7 million, 5% under the budget
• Police Department $11.8 million
• Public Works $982,000
• Fire $883,000
3rd Quarter FY 2021-22
General Fund Budget
67.5% 68.1% 65.2%
43.4% 46.2%
25.6%
52.7%
0.0%
Budget Vs. Actual
3rd Quarter
% Expended
Budget Actual Expenditures 3rd Quarter Projection
3rd Quarter FY 2021-22
Recommendation• Accept this budget status report
• Authorize the continuation of up to $5,639,795 in FY
2021
‐22 budget appropriations to FY 2022
‐23 for the
completion of the identified programs
City of Stockton
Legislation Text
File #: 22-0553, Version: 1
ADOPT A RESOLUTION APPROVING THE 2022 AFFORDABLE HOUSING LOAN PROGRAM
ALLOCATION
RECOMMENDATION
It is recommended that the City Council adopt a resolution to:
1. Approve the following loans for seven (7) affordable housing developments, provided that, as a condition of funding, the borrower has demonstrated to the City Manager’s, or designee’s, satisfaction that project cash flow is forecasted to be positive for twenty years, that the annual net operating income will exceed debt service by 1.10, and that the funding commitments will expire after two years unless the project has commenced construction (excluding funding for pre-development expenditures):
a. $1,426,107 to Delta Community Developers Corp. (Housing Authority of the County of San Joaquin) for the 38-unit Sonora Square Apartment project; b. $2,225,858 to Delta Community Developers Corp. (Housing Authority of the County of San Joaquin) for the 74-unit Sierra Vista Apartments Phase III project; c. $600,000 to Visionary Home Builders for the 72-unit Casa de Mariposa project, with a maximum of 10% of City funding available for pre-development expenditures; d. $2,227,632 to Delta Community Developers Corp. (Housing Authority of the County of San Joaquin) for the 51-unit Park Center Apartments project, with a maximum of 10% of City funding available for pre-development expenditures; e. $2,242,609 to Service First of Northern California for the 105-unit Fontana Towers project, with a maximum of 10% of City funding available for pre-development expenditures;
f. $770,000 to Visionary Home Builders for the 75-unit Grand View Village Apartment project; and
g. $816,821 to the Central Valley Low Income Housing Corp. and Stocktonians Taking Action to Neutralize Drugs (STAND) for the 30-unit Shared Housing Infill Project for the Homeless, with a maximum of 10% of City funding available for pre-development expenditures.
2. Authorize the appropriation of $5.74 million of HOME-ARPA funds, $1,980,476 of HOME funds, $1,625,858 in PLHA funds, and $840,168 in HHAP2 fundsfor the purpose of funding housing loans for seven (7) development projects.
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3. Authorize the reallocation of $396,000 in HOME funds and $119,916 of NSP funds that were previously awarded but not utilized for two projects and subsequently returned by Mutual Housing/APSARA and Visionary Home Builders, respectively.
4. Authorize the City Manager, or designee, to reallocate awarded HOME and HOME-ARPA funding not expended within the required commitment period to eligible projects that can meet the HUD timeliness requirement.
5. Authorize the City Manager, or designee, to take actions that are necessary and appropriate to carry out the purpose and intent of this resolution, including the execution of loan documents and the reallocation of funding sources.
Summary
On December 17, 2021, the City issued a Notice of Funding Availability (NOFA) for a total of $10.4 million of affordable housing funds. Of that amount, approximately $5.742 million is comprised of Federal HOME-American Rescue Plan Act (HOME-ARPA) funds, $1.5 million of Federal HOME Investment Partnership funds (HOME), $1.6 million of State Permanent Local Housing Allocation (PLHA) funds, and $1 million of State Homeless Housing, Assistance and Prevention (HHAP) Round 2 Grant funds to provide financing for the development of new affordable housing construction or rehabilitation activities that will result in the creation and preservation of affordable housing rental units targeting households with incomes at or below 60 percent of the Area Median Income (AMI), or homeownership units targeting households at or below 120% of AMI.
Of the $10.4 million $515,916 of the available funds to be awarded in this round is a proposed reallocation from two project sponsors that were awarded funding in a prior NOFA round, Mutual Housing/APSARA, $396,000 of HOME funds, and Visionary Home Builders, $119,916 of Neighborhood Stabilization Program (NSP) funds. Both agencies ultimately were unable to utilize the funds previously allocated to their projects.
Based on the scores, ranking, and analysis conducted by staff and an affordable housing consultant, staff is recommending funding for the following seven (7) proposed affordable housing projects:
· Sonora Square $1,426,107
· Sierra Vista Phase III $2,225,858
· Casa de Mariposa $ 600,000
· Park Center Apartments $2,227,632
· Fontana Towers $2,242,609
· Grand View Village $ 770,000
· Shared Housing Infill for the Homeless $ 816,821
The proposed projects are consistent with the City’s affordable housing goals and priorities identified in its Five-Year Consolidated Plan.
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DISCUSSION
Background
On December 17, 2021, the Economic Development Department released a NOFA notifying interested parties of the availability of funds for the development or preservation of affordable housing units in Stockton. The NOFA was sent to more than 100 nonprofit and development organizations, shared via social media, posted on the City’s official website, and published in The Record. The NOFA stated that funds were available to provide financing for the acquisition, rehabilitation, scattered-site master leasing, or new construction of affordable housing projects and that applications would be scored and ranked based on the following criteria:
· Developer Experience and Capacity
· Leveraging (amount of non-City funding in the project) · Target Population & Provision of Services
· Project Readiness
· Conformance with the City’s Housing Element, Consolidated Plan, Council Goals, and Homeless Strategic Plan
A summary of the types of funds available are as follows:
· HOME-ARPA funds: The City received an allocation of American Rescue Plan Act funds administered through the U.S. Department of Housing and Urban Development (HUD). These funds can only be used to assist individuals or households who are homeless, at risk of homelessness, and other vulnerable populations, by providing rental assistance, supportive services, and non-congregate shelter, to reduce homelessness and increase housing stability.
All HOME_ARPA-funded projects must be completed within four (4) years of the project commitment.
· HOME funds: The City receives an annual allocation of HOME funds from HUD. These funds can only be used to provide affordable housing targeted to households with incomes at or below 60% of AMI ($44,400 based on a family of four). All HOME funded projects must be completed within four (4) years of the project commitment. · HOME Community Housing Development Organization (CHDO) funds: Fifteen percent of the City’s HOME allocations for housing development activities must be set-aside for qualified CHDOs that develop affordable housing in the community it serves. All HOME funded projects must be completed within four (4) years of the project commitment. · PLHA funds: The Permanent Local Housing Allocation Grant Program set aside approximately $195 million to provide funding to local jurisdictions to expand the number of affordable housing units to meet the City's future Regional Housing Needs Allocation (RHNA).
The PLHA grant is a non-competitive opportunity that does not require a local match to receive the funds.
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· NSP funds: The Neighborhood Stabilization Program was established for the purpose of providing emergency assistance to stabilize communities with high rates of abandoned and foreclosed homes, and to assist households with annual incomes up to 120% of AMI.
Congress has not allocated any additional NSP funds since the third round of funding in 2010 under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act); however, the City receives program income from loan repayments of NSP City-funded projects.
The NOFA resulted in the submittal of seven (7) applications from developers, requesting approximately $13.3 million in City affordable housing funding. Staff reviewed the applications received for eligibility and provided them to an affordable housing consultant for further evaluation and analysis, scoring, ranking, and recommendations. The following is a brief description of the seven (7) projects being recommended for funding (Attachment A - Vicinity Maps):
SONORA SQUARE APARTMENTS
Developer: Delta Community Builders Corp (DCBC)/Housing Authority CSJ (HACSJ) Address: 2 E. Sonora & 401 S. El Dorado Streets
Current Recommendation: $1,426,107 Council District: 5
Previous Award: $456,714 Affordability Range: 30-50% AMI Affordability Weighted Avg: 39% AMI
The project will be constructed and located at 2 East Sonora Street and 401 South El Dorado Street.
All units will be 500 square foot one-bedrooms and have a shared laundry and community room.
DCBC/HACSJ will convert an existing commercial/office building into housing for low-income households in Downtown Stockton. They are proposing the development of 37 one-bedroom units of multi-family permanent housing targeting extremely low-income (at or below 30% AMI) and very-lowincome households (at or below 40% and 50% AMI). The development will benefit from the HACSJ’s allocation of much-needed Project-Based Vouchers (PBV) to make available rental subsidies ensuring that the rents remain affordable. The proposed project would provide affordable housing to lower-income households that constitute HACSJ’s service population.
Other significant proposed permanent financing sources include 4% Low-Income Housing Tax Credit Equity, Mental Health Services Act (MHSA), and No Place Like Home (NPLH).
UNIT SIZES:
Studio 1 BR 2 BR 3 BR 4 BR MGR Total Units
- 37 - - - 1 38
SIERRA VISTA PHASE III
Developer: Delta Community Builders Corp (DCBC)/Housing Authority CSJ (HACSJ) Address: 2436 Belleview Avenue Council District: 6
Current Recommendation: $2,225,858 Affordability Range: 30-50% AMI Previous Award: $2.4 Million Affordability Weighted Avg: 46% AMI DCBC/HACSJ submitted a request for $2.7 million to assist with the development of its affordable 74- unit multi-family new construction replacement housing development, with an increased unit count of City of Stockton Page 4 of 8 Printed on 7/20/2022
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6 units over the former project site of 68 units. The project will target households with incomes at or below 50% AMI. The City has previously contributed to Sierra Vista Phase II in the amount of $2.1 million, and Phase III in the amount of $2.4 million. The project will be leveraged with over $21 million of Low-Income Housing Tax Credits, $4.9 million in HACSJ funds and ground lease, and approximately $18.2 million in project-based housing voucher rental assistance (15-year period).
UNIT SIZES:
Studio 1 BR 2 BR 3 BR 4 BR MGR Total Units
- 14 24 26 9 1 74
CASA DE MARIPOSA_________
Developer: Visionary Home Builders (VHB)
Address: 2260 Netherton Avenue Council District: 6
Current Recommendation: $600,000 Affordability Range: 30-60% AMI Previous Award: N/A Affordability Weighted Avg: 49%AMI
Casa de Mariposa is proposed new construction for farm workers and families bordering Highway 99 to the East, Mariposa Road on the West, and residential use to the North. The nine two-story townhome buildings cover an almost 5-acre site, adjacent to the similarly sized Casa de Esperanza that VHB recently constructed. The unit mix consists of a total of 72 units, with units ranging in size from 648 sq. ft. to 1,375 sq. ft. in a relatively even mix of one-, two-, three- and four-bedroom types.
The project will include a community room and daycare center.
VHB will be seeking to finance development with $28.1 million in 9% Low-Income Housing Tax Credits and a $5 million Joe Serna Farmworker Housing Grant.
UNIT SIZES:
Studio 1 BR 2 BR 3 BR 4 BR MGR Total Units
0 16 19 20 16 1 72
PARK-CENTER APARTMENTS
Developer: Delta Community Builders Corp (DCBC)/Housing Authority CSJ (HACSJ) Address: 709 N. Center Street, 21 and 39 W. Park Street Current Recommendation: $2,227,632 Council District: 5
Previous Award: N/A Affordability Range: 15-50% AMI
Affordability Weighted Avg: 37% AMI
DCBC/HACSJ, in collaboration with the San Joaquin County Behavioral Health Services, submitted a request for $2.4 million to assist with the development of its affordable 51-unit permanent supportive homeless housing project, consisting of two buildings, including the adaptive reuse of a vacant office building. The projects will target households at various income limits ranging from 15% to 60% AMI. The unit mix is mostly one-bedroom units, and the average size is 605 sq. ft. The project will seek to leverage City funding with over $14 million of Low-Income Housing Tax Credits, approximately $4.7 million in NPLH funds, $2.2 million in COSR funds, and a County loan of $1.7 million. In addition, HACSJ will provide project-based housing voucher rental assistance.