Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
Maintenance Services of the basin shall include, but not limited to, of the following:
A. Repairs to basin slopes as a result of erosion, slope stability, sediment accumulation, rodent holes, etc.
B. Trash and debris pick-up and removal. Pick-up and dispose of trash, debris and green waste (i.e., plant clippings, brush, tree limbs, tree stumps, trees, cattails, tulles, etc.) and dispose of legally and safely offsite. Burning, as a means of waste disposal, is not permitted. Provide estimated volume of the removal of trash and debris in Maintenance Report.
EXHIBIT 1
615
45 (Rev. 10.30.18)
C. Repair low flow earthen channels, concrete channels and flumes, and energy dissipaters.
D. Weed Abatement. Maintain weed growth within the entire basin site to a maximum height of 5-inches, including a five (5) foot wide strip outside the fence and property lines, areas at and under fences that border on neighboring property, and other miscellaneous areas as directed by the City. The exceptions are the following: keep sidewalks, seams between a wall fence and sidewalk, and paved areas within the basin sites free of weeds.
1) Animals will not be allowed for the purposes of weed abatement.
2) Weeding may be done manually or by using selective
herbicides or pre-emergent sprays.
3) Non-restricted chemicals shall be used whenever possible for weed control supplemented by mechanical and/or hand removal of weeds, as necessary.
4) A program of pre- and post- emergent weed control can be used as often as necessary. Contractor shall exercise
extreme care in the use of selective herbicides so over- spraying does not occur. Apply spray treatment as
necessary to control tule and cattail growth in pond bottom.
Spray and repeat treatments for volunteer tree growth.
5) Any herbicide application shall be in full conformance with the manufacturer’s directions and report chemical usage on Maintenance Report. Herbicide usage must be in
compliance with the State of California Department of
Pesticide Regulations.
6) Contractor shall provide City with Safety Data Sheets for all pesticides, herbicides and fungicides proposed for use prior to the actual application of said product.
E. Pest (vector and rodent) Control. Contractor shall supply a written pest control recommendation by a licensed pest control adviser to the Municipal Utilities Department for each material to be used at each site. Provide recommendation at least two (2) weeks prior to application. Subject to City’s concurrence with recommendations, provide pest control treatment in accordance with the pest control recommendation.
At least three days prior to a proposed application of a pesticide, a notice shall be posted on City property. The notice shall be conspicuously posted in one or more regular locations at the site of the application. It shall be 8 1/2" by 11" and specify the pest, manner of application, proposed date of application, the time, and EXHIBIT 1
616
46 (Rev. 10.30.18)
location. It shall contain the brand and common name of the pesticide and list the acute effects. The notice shall remain posted for three days after the application.
F. Integrated Pest Management. To the greatest extent possible, the City expects the Contractor to use the Integrated Pest Management practices, principals and concepts and least toxic methods of pest control to achieve complete the scope of work in this Contract.
Contractor is encouraged to consult with the University of California Agriculture and Natural Resources Statewide Integrated Pest Management Project to determine the most effective and least toxic method of pest control.
Contactor shall use a less toxic pesticide alternative in accordance with the Integrated Pest Management techniques and practices, and in addition, any pesticide to have evidence of causation of cancer, birth defects, mutations, or other severe chronic health effect is banned from use.
Contractor shall provide City with Safety Data Sheets for all pesticides, herbicides and fungicides proposed for use prior to the actual application of said product.
1. Slope Dressing. Repair rodent burrow damage and erosion areas in pond slope by filling and dressing slope areas to original slopes. Apply slope stabilization and erosion control measures.
2. Maintenance Reports shall consist of the following
a. Estimate volume of trash and debris removed. Trash
and debris shall be disposed of offsite in accordance
with applicable Federal, State and local laws. Provide
for any receipts verifying disposal of solid waste at
landfills. All transportation, sampling, labor, and
material costs associated with this disposal shall be
included as part of this bid item.
b. Record all Maintenance Services recommended to be
completed.
c. Report all Insecticide, Pesticide, Herbicide, Fungicide and Fertilizer amount and type to be used in course of
work. Report the application date(s), time(s) of
application, location(s) of application, brand name of EXHIBIT 1
617
47 (Rev. 10.30.18)
material, EPA registration number, concentration,
application rate, and amount of material applied.
DIGITAL PHOTOGRAPHS- Digital photographs shall indicate the date and the job title, identification, and direction the camera was facing.
Photos to be submitted on flash drive. No additional compensation shall be provided for digital photographs and all costs therefore shall be included in the overall bid for this project.
2.1.45 Bid Item 45 includes Annual Discing Basin Bottom and Mowing Basin Slopes for Arch Road Basin for the month of April. Contact the City’s Representative 24-hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows. Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present.
Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
2.1.46 Bid Item 46 includes Annual Grading and Sediment Removal for Arch Road Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections.
Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
The Contractor shall excavate and dispose sediment accumulated in concrete flumes, concrete channels, and similar structures, and at pump station intake structures. Contractor shall dispose such excavated sediment at the highest areas of the basin floor. Accumulated sediment and other materials shall not be deposited within 50-feet of any pipeline discharging into the pond or outlet from the pond. Disposed sediment shall be no greater than 1-ft in thickness, and uniformly graded to blend into the basin floor.
EL DORADO ROAD
2.1.47 Bid Item 47 includes preparatory work and operations, including but not limited to, those necessary for the movement of personnel, equipment, supplies, and incidentals to the El Dorado Basin; for the marshaling of equipment; for all other work and operations which must be performed or costs incurred prior to beginning work on the various contract items on the project site, including obtaining the bonds, insurance policies, and permits EXHIBIT 1
618
48 (Rev. 10.30.18)
required by the Contract Documents; and for demobilization, as it applies to the Arch Road Basin.
2.1.48 Bid Item 48 includes Inspections and Reports for the El Dorado Road.
The Inspections and Reports shall be performed, completed and delivered to the City in accordance with the schedule outlined below following the issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City.
A. Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months:
1. Month of September
2. Month of March
B. Inspection of the site shall include, but not limited to:
1) Visual inspection and documentation of slope stability, sediment accumulation, rodent holes, etc.
2) Describe existing conditions at the basin site.
3) Document damage to access roads, fences, gates, walls, etc.… and the need for repairs.
4) Inspect and document conditions of the mow-less sod, irrigation system, low flow earthen channels, concrete
channels and flumes, and energy dissipaters.
5) Inspect and document the presence of graffiti and
vandalism.
6) Identify and document any pest or rodent infestation. 7) For the inspection reports for the month of September and March, make recommendations if a Maintenance Service is necessary for the months of October and April.
8) For the inspection reports for the month of March, make recommendations if Discing Basin Bottom and Mowing Basin Slopes is necessary for the month of April.
9) For the inspection reports for the month of March, make recommendations if Grading and Sediment Removal is
necessary for the month of April.
C. Inspection Reports shall consist of the following:
1) Visually inspect and document the slope stability, sediment accumulation, rodent holes, etc.
2) Describe existing conditions at the basin site.
EXHIBIT 1
619
49 (Rev. 10.30.18)
3) Document damage to access roads, fences, gates, walls, etc. and the need for repairs.
4) Inspect and document conditions of the mow-less sod, irrigation system, low flow earthen channels, concrete
channels and flumes, and energy dissipaters.
5) Inspect and document the presence of graffiti and
vandalism.
6) Identify and document any pest or rodent infestation. 7) For the inspection reports for the month of September and March, make recommendations if a Maintenance Service is necessary for the months of October and April.
8) For the inspection reports for the month of March, make recommendations if Discing Basin Bottom and Mowing Basin Slopes is necessary for the month of April.
9) For the inspection reports for the month of March, make recommendations if Grading and Sediment Removal is
necessary for the month of April.
DIGITAL PHOTOGRAPHS- Digital photographs shall indicate the date and the job title, identification, and direction the camera was facing.
Photos to be submitted on flash drive. No additional compensation shall be provided for digital photographs and all costs therefore shall be included in the overall bid for this project.
2.1.49 Bid item 44 includes Maintenance Services for the El Dorado Road Basin.
The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City.
1. Month of October
2. Month of April
All work described below shall apply to the entire basin site, as r epresented in Exhibit C-8. Contact the City’s Representative 24-hours in advance of any work or inspections. Postponement of maintenance services to a subsequent month shall only be granted by the City.
Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
Maintenance Services of the basin shall include, but not limited to, of the following:
EXHIBIT 1
620
50 (Rev. 10.30.18)
A. Repairs to basin slopes as a result of erosion, slope stability, sediment accumulation, rodent holes, etc.
B. Trash and debris pick-up and removal. Pick-up and dispose of trash, debris and green waste (i.e., plant clippings, brush, tree limbs, tree stumps, trees, cattails, tulles, etc.) and dispose of legally and safely offsite. Burning, as a means of waste disposal, is not permitted. Provide estimated volume of the removal of trash and debris in Maintenance Report.
C. Repair low flow earthen channels, concrete channels and flumes, and energy dissipaters.
D. Weed Abatement. Maintain weed growth within the entire basin site to a maximum height of 5-inches, including a five (5) foot wide strip outside the fence and property lines, areas at and under fences that border on neighboring property, and other miscellaneous areas as directed by the City. The exceptions are the following: keep sidewalks, seams between a wall fence and sidewalk, and paved areas within the basin sites free of weeds.
1) Animals will not be allowed for the purposes of weed abatement.
2) Weeding may be done manually or by using selective
herbicides or pre-emergent sprays.
3) Non-restricted chemicals shall be used whenever possible for weed control supplemented by mechanical and/or hand removal of weeds, as necessary.
4) A program of pre- and post- emergent weed control can be used as often as necessary. Contractor shall exercise
extreme care in the use of selective herbicides so over- spraying does not occur. Apply spray treatment as
necessary to control tule and cattail growth in pond bottom.
Spray and repeat treatments for volunteer tree growth.
5) Any herbicide application shall be in full conformance with the manufacturer’s directions and report chemical usage on Maintenance Report. Herbicide usage must be in
compliance with the State of California Department of
Pesticide Regulations.
6) Contractor shall provide City with Safety Data Sheets for all pesticides, herbicides and fungicides proposed for use prior to the actual application of said product.
E. Pest (vector and rodent) Control. Contractor shall supply a written pest control recommendation by a licensed pest control adviser to the Municipal Utilities Department for each material to be used at EXHIBIT 1
621
51 (Rev. 10.30.18)
each site. Provide recommendation at least two (2) weeks prior to application. Subject to City’s concurrence with recommendations, provide pest control treatment in accordance with the pest control recommendation.
At least three days prior to a proposed application of a pesticide, a notice shall be posted on City property. The notice shall be conspicuously posted in one or more regular locations at the site of the application. It shall be 8 1/2" by 11" and specify the pest, manner of application, proposed date of application, the time, and location. It shall contain the brand and common name of the p esticide and list the acute effects. The notice shall remain posted for three days after the application.
F. Integrated Pest Management. To the greatest extent possible, the City expects the Contractor to use the Integrated Pest Management practices, principals and concepts and least toxic methods of pest control to achieve complete the scope of work in this Contract.
Contractor is encouraged to consult with the University of California Agriculture and Natural Resources Statewide Integrated Pest Management Project to determine the most effective and least toxic method of pest control.
Contactor shall use a less toxic pesticide alternative in accordance with the Integrated Pest Management techniques and practices, and in addition, any pesticide to have evidence of causation of cancer, birth defects, mutations, or other severe chronic health effect is banned from use.
Contractor shall provide City with Safety Data Sheets for all pesticides, herbicides and fungicides proposed for use prior to the actual application of said product.
1. Slope Dressing. Repair rodent burrow damage and erosion areas in pond slope by filling and dressing slope areas to original slopes. Apply slope stabilization and erosion control measures.
2. Maintenance Reports shall consist of the following
a. Estimate volume of trash and debris removed. Trash
and debris shall be disposed of offsite in accordance
with applicable Federal, State and local laws. Provide
for any receipts verifying disposal of solid waste at
landfills. All transportation, sampling, labor, and
EXHIBIT 1
622
52 (Rev. 10.30.18)
material costs associated with this disposal shall be
included as part of this bid item.
b. Record all Maintenance Services recommended to be
completed.
c. Report all Insecticide, Pesticide, Herbicide, Fungicide and Fertilizer amount and type to be used in course of
work. Report the application date(s), time(s) of
application, location(s) of application, brand name of material, EPA registration number, concentration,
application rate, and amount of material applied.
DIGITAL PHOTOGRAPHS- Digital photographs shall indicate the date and the job title, identification, and direction the camera was facing.
Photos to be submitted on flash drive. No additional compensation shall be provided for digital photographs and all costs therefore shall be included in the overall bid for this project.
2.1.50 Bid Item 50 includes Annual Discing Basin Bottom and Mowing Basin Slopes for El Dorado Road Basin for the month of April. Contact the City’s Representative 24-hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows. Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present.
Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
2.1.51 Bid Item 51 includes Annual Grading and Sediment Removal for El Dorado Road Basin for the month of April. Contact the City’s Representative 24-hours in advance of any work or inspections.
Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
The Contractor shall excavate and dispose sediment accumulated in co ncrete flumes, concrete channels, and similar structures, and at pump station intake structures. Contractor shall dispose such excavated sediment at the highest areas of the basin floor. Accumulated sediment and other materials shall not be deposited within 50-feet of any pipeline discharging into the pond or outlet from the pond. Disposed sediment shall EXHIBIT 1
623
53 (Rev. 10.30.18)
be no greater than 1-ft in thickness, and uniformly graded to blend into the basin floor.
2.1.52 Total Bid - The total amount bid includes the summation of Bid Items 1 through 51 and represents the total price bid to provide the work as shown on the drawings and as specified
3. Specifications
Work shall include preparatory work and operations, including but not limited to, those necessary for the movement of personnel, equipment, supplies, and incidentals to Basins; for the marshaling of equipment; for all other work and operations which must be performed or costs incurred prior to beginning work on the various resulting contract items on the project site, including obtaining the bonds, insurance policies, and permits required by the resulting Contract Documents; and for demobilization, as it applies to the Basins.
Work shall include Inspections and Reports for the Basins . The Inspections and Reports shall be performed, completed and delivered to the City in accordance with the schedule outlined below following the issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City.
A. Inspections shall be completed in the following months. The Contractor shall contact the City representative 24 hours in advance of said inspections. Contractor shall submit an inspection report to the City as providing the output resulting from the inspection (See Exhibit F Timeline).
B. Inspection Criteria shall include, but not limited to:
1) Visually inspect and document the slope stability, sediment accumulation, rodent holes, etc.
2) Describe existing conditions at the basin site.
3) Document damage to access roads, fences, gates, walls, etc. and the need for repairs.
4) Inspect and document conditions of the low flow earthen channels, concrete channels and flumes, and energy
dissipaters.
5) Inspect and document the presence of graffiti and
vandalism.
6) Identify and document any pest or rodent infestation. 7) For the inspection reports for the month of September and March, make recommendations if a Maintenance Service is necessary for the months of October and April.
EXHIBIT 1
624
54 (Rev. 10.30.18)
8) For the inspection reports for the month of March, make recommendations if Discing Basin Bottom and Mowing Basin Slopes is necessary for the month of April.
9) For the inspection reports for the month of March, make recommendations if Grading and Sediment Removal is
necessary for the month of April.
C. Inspection Reports shall consist of the following:
1) Visually inspect and document the slope stability, sediment accumulation, rodent holes, etc.
2) Describe existing conditions at the basin site.
3) Document damage to access roads, fences, gates, walls, etc. and the need for repairs.
4) Inspect and document conditions of the mow-less sod, irrigation system, low flow earthen channels, concrete
channels and flumes, and energy dissipaters.
5) Inspect and document the presence of graffiti and
vandalism.
6) Identify and document any pest or rodent infestation. 7) For the inspection reports for the month of September and March, make recommendations if a Maintenance Service is necessary for the months of October and April.
8) For the inspection reports for the month of March, make recommendations if Discing Basin Bottom and Mowing Basin Slopes is necessary for the month of April.
9) For the inspection reports for the month of March, make recommendations if Grading and Sediment Removal is
necessary for the month of April.
DIGITAL PHOTOGRAPHS- Digital photographs shall indicate the date and the job title, identification, and direction the camera was facing.
Photos to be submitted on flash drive. No additional compensation shall be provided for digital photographs and all costs therefore shall be included in the overall bid for this project.
4. Major Deliverables
4.1 Contractor shall submit the following at the intervals designated below
INSPECTION REPORT SUBMITTAL DOCUMENTATION
1) Visually inspect and document the slope stability, sediment accumulation, rodent holes, etc.
2) Describe existing conditions at the basin site.
EXHIBIT 1
625
55 (Rev. 10.30.18)
3) Document damage to access roads, fences, gates, walls, etc. and the need for repairs.
4) Inspect and document conditions of the mow-less sod, irrigation system, low flow earthen channels, concrete
channels and flumes, and energy dissipaters.
5) Inspect and document the presence of graffiti and vandalism.
6) Identify and document any pest or rodent infestation.
7) For the inspection reports for the month of September and March, make recommendations if a Maintenance Service is necessary for the months of October and April.
8) For the inspection reports for the month of March, make recommendations if Discing Basin Bottom and Mowing Basin Slopes is necessary for the month of April.
9) For the inspection reports for the month of March, make recommendations if Grading and Sediment Removal is
necessary for the month of April.
5. Tasks That Support the Deliverables
5.1 MAINTENANCE REPORT SUBMITTAL DOCUMENTATION
A. Estimate volume of trash and debris removed. Trash and debris shall be disposed of offsite in accordance with
applicable Federal, State and local laws. Provide for any receipts verifying disposal of solid waste at landfills. All transportation, sampling, labor, and material costs
associated with this disposal shall be included as part of this bid item.
B. Record all Maintenance Services recommended to be
completed.
C. Report all Insecticide, Pesticide, Herbicide, Fungicide and Fertilizer amount and type to be used in course of work.
Report the application date(s), time(s) of application, location(s) of application, brand name of material, EPA registration number, concentration, application rate, and amount of material applied.
EXHIBIT 1
626
56 (Rev. 10.30.18)
5.2 DIGITAL PHOTOGRAPHS
Digital photographs shall indicate the date and the job title, identification, and direction the camera was facing. Photos to be submitted on flash drive. No additional compensation shall be provided for digital photographs and all costs therefore shall be included in the overall bid for this project.
6. Internal and Extern
al Standards and Guidelines
All work performed by the Contractor shall be inspected at the discretion of the City’s representative upon known completion of the work. Contractor shall contact Municipal Utilities Project Manager within 24 hours of compl etion of maintenance work at each site.
7. Criteria of Acceptance for Deliverables
Reports must be submitted to the City no later than two weeks after completion of the inspection/maintenance of the site in the format agreed upon by the City.
Prior to the submission of the first inspection/maintenance report, the format of the Inspection Report shall be submitted to the City for approval.
8. Notices
Pursuant to Exhibit C – General Terms and Conditions, Paragraph 15 – Notices, the mailing address for all required notices is as follows:
Contractor: Silva Landscape City: City of Stockton
David Silva Attn: City Manager
PO BOX 603 425 N. El Dorado Street
Patterson, CA. 95363 Stockton, CA 95202
9. Key Personnel
Dagmara Saini – Program Manager III
MUD – Stormwater Division
209-937-8155
[email protected]
10. Option to Renew
The term of the Agreement may be extended up to two (2) one (1) year renewals 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.
EXHIBIT 1
627
NOTE: The City of Stockton is now using the online insurance program PINS Advantage. Once you have been awarded a contract you will receive an email from the City’s online insurance program requesting you to forward the email to your insurance provider(s). Please see attached flyer regarding PINS Advantage.
Exhibit B:
Insurance Requirements for Landscaping Services
(Landscaping – Pesticides/Herbicides)
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 and the results of that work by the Contractor, their agents, representatives, employees or subcontractors.
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 or the general aggregate limit shall be twice the required occurrence limit.
2. Au
tomobile Liability (AL): ISO Form Number CA 00 01 covering any auto (Code 1), or if Contractor has no owned autos, hired, (Code 8) and non-owned autos (Code 9), with limit no less than $1,000,000 per accident for bodily injury and property damage.
3. Wo
rkers’ Compensation: 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.
4. Environmental Impairment/Pollution Liability, to include non-aerial spraying of pesticides and herbicides, groundwater contamination, etc. with limits no less than $1,000,000 per occurrence, to include Sudden and Accidental and Environmental cleanup.
It shall be a requirement under this agreement that any available insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to the Additional Insured. Furthermore, the requirements for coverage and limits shall be (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of coverage of any Insurance policy or proceeds available to the named insured; whichever is greater. No EXHIBIT 1
628
representation is made that the minimum insurance requirements of this agreement are sufficient to cover the obligations of the Contractor under this agreement.
Limits of Insurance
The limits of insurance required in this agreement may be satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and non-contributory basis before the City’s own insurance or self-insurance shall be called upon to protect it as a named insured.
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
The Additional Insured coverage under the Contractor’s policy shall be “primary and non-contributory” and will not seek contribution from the City’s insurance or self- insurance and shall be at least as broad as CG 20 01 04 13. The City of Stockton does not accept endorsements limiting the Contractor’s insurance coverage to the sole negligence of the Named Insured.
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
EXHIBIT 1
629
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. Contractor 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. The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of the City of Stockton for all work performed by the Contractor, its employees, agents and subcontractors.
Self -Insured Retentions
All Self-insured retentions must be disclosed to Risk Management for approval and shall not reduce the limits of liability. The City of Stockton may require the Contractor 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.
Acceptability of Insurers
Insurance is to be placed with insurers with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City of Stockton.
Claims Made Policies
If any of the required policies provide claims-made coverage:
• The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work.
• If Claims Made policy form is used, a three (3) year discovery and reporting tail period of coverage is required 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. All certificates and endorsements are to be received and approved by the City of Stockton Risk Services 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. 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.
EXHIBIT 1
630
Contractor shall, prior to the commencement of work under this Agreement, provide the City of Stockton with a copy of its declarations page(s) and endorsement page(s) for each of the required policies.
Subcontractors
Contractors shall require and verify that all subcontractors, or other parties hired for this work, purchase and maintain coverage for indemnity and insurance requirements as least as broad as specified in this agreement to the extent they apply to the scope of the subcontractor’s work with the same certificate of insurance requirements and naming as additional insureds all parties to this contract. Contractor shall include the following language in their agreement with Subcontractors: Subcontractors hired by Contractor agree to be bound to Contractor and City in the same manner and to the same extent as Contractor is bound to City under the contract documents and provide a valid certificate of insurance and the required endorsements included in the agreement as proof of compliance prior to commencement of any work and to include this same requirement for any subcontractors they hire for this work. A copy of the owner contract document indemnity and insurance provisions will be furnished to the subcontractor upon request
. Contractor shall provide proof of such compliance and verification to the City upon request.
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
Proper address for mailing certificates, endorsements and notices shall be:
City of Stockton
Attn: City Risk Services
400 E Main Street, 3
rd Floor – HR
Stockton, CA 95202
EXHIBIT 1
631
71 The City of Stockton is now using www.PINSAdvantage.com to track Insurance Certificates and all related documents.
WHAT IS THE PROCESS?
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.
Note: Vendors will receive the insurance request email from: [email protected]
Thank you for your compliance!
01 PINS notifies
A Stockton User
logs into PINS and
emails a request for
insurance to the
Vendor/Contractor
02 The City of Stockton
that documents have
been submitted and
automatically checks
for compliance.
04 Agent(s) log into
PINSAdvantage.com
and complete
the insurance
certificate online
The Vendor/
Contractor forwards
the email to their
insurance agent(s).
03 www.pinsadvantage.com
+ 1 626 844 1838
EXHIBIT 1
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EXHIBIT 1
633
EXHIBIT 1
634
EXHIBIT 1
635
(Rev. 10.30.18; Mod 07.12.22 SG)
EXHIBIT C
GENERAL TERMS AND CONDITIONS
1. Goods, Equipment and Services. S ubject 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. E xcept 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 sh all 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
1 EXHIBIT 1
636
(Rev. 10.30.18; Mod 07.12.22 SG)
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 deliver y 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 Contrac tor to comply with the time limit s 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
2 EXHIBIT 1
637
(Rev. 10.30.18; Mod 07.12.22 SG)
control with respect to the physical action or activities of Contractor in fulfillment of this Agreement. Con tractor 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, super vision 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. 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.
3 EXHIBIT 1
638
(Rev. 10.30.18; Mod 07.12.22 SG)
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 City, in its sole discretion, shall have the option to either (a) cause this Agreement to be canceled or terminated pursuant to applicable provisions of the Agreement; or (b) offer to 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 . T o the fullest extent permitted by law, Contractor shall hold harmless, defend and indemnify City of Stockton and its officers, officials, employees and volunteers from and against any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) of every nature arising out of or in connection with Contractor’s performance of work hereunder or its failure to comply with any of its obligations contained in the Agreement, except such loss or damage which was caused by the sole negligence or willful misconduct of the City of Stockton. 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.
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 law s, 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.
4 EXHIBIT 1
639
(Rev. 10.30.18; Mod 07.12.22 SG)
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. 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.
20. Conflicts of Interest . Contractor covenants that other than this Agr eement, 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 m anner of degree by the performance of Contractor ’s services under this Ag reement. 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, 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 Cit y or for any amount due Contractor.
5 EXHIBIT 1
640
(Rev. 10.30.18; Mod 07.12.22 SG)
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. Neithe r 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 for ce majeure event, and to use diligent efforts to re- commence performance as promptly as commercially practicable.
27. Taxes and Charges. C ontractor shall be responsible for payment of all taxes, fees, contributions or charges applicable to the conduct of the Contractor’s business.
28. Cumulative Rights. A ny 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.
6 EXHIBIT 1
641
(Rev. 10.30.18; Mod 07.12.22 SG)
29. Advice of Attorney. Each party warrants and represents that in executing this Agreement, it has received independent legal advice from its attorn eys or the opportunity to seek such advice.
30. Heading Not Controlling. H eadings 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. T he 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.
7 EXHIBIT 1
642
1 (Rev. 4.18.22)
EXHIBIT D
GOODS AND SERVICES TERMS AND CONDITIONS
1. Definitions. Th e 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. T
he following terms and conditions are applicable for the purchase of goods and 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 W
here 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 S ervices, 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 EXHIBIT 1
643
2 (Rev. 4.18.22)
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 S ervices 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 member s 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 deliver y 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 a ll 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 s ubcontractors 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 – G TC, 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 EXHIBIT 1
644
3 (Rev. 4.18.22)
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. 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.
7. Fi ndings Confidential
All 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.
8. Right of Inspection
All Deliverables furnished by Contractor must be as specified in Exhibit A and will be subject to inspection and approval of City after delivery. City reserves the right to reject and return, at the risk and expense of Contractor , the portion of any Deliverable which may be defective or fail to comply with specifications in Exhibit A without invalidating the remainder of the Deliverables. If rejected, Deliverable will be held for dispositio n at the expense and risk of Contractor. Payment for Deliverable prior to inspection shall not constitute acceptance of the Deliverable.
9. W arranty
Contractor warrants that (i) any Deliverable created or performed by Contractor for City under this Agreement will conform to specifications, drawings or samples furnished by City to Contractor for a minimum period of one year, and (ii) any standard Deliverable sold by Contractor to other customers besides City will meet or exceed any of the standards for such types of product in industry, any express or implied warranty stated or EXHIBIT 1
645
4 (Rev. 4.18.22)
advertised by Contractor or the actual manufacturer of such Deliverable, or any warranties implied by law. Contractor’s warranty shall survive delivery of Deliverable and shall not be deemed waived by City’s failure to discover defects, acceptance of the Deliverable, or payment, therefore.
10. O wnership
Contractor shall have title to and bear the risk of any loss or damage to the Deliverable until the Deliverable is delivered and accepted by City in conformity with this Agreement. Upon delivery and acceptance, Deliverable delivered by Contractor shall become the ex clusive property of City. The ownership rights described herein shall include, but not be limited to, the right to copy, publish, display, transfer, or otherwise use the Deliverable. All artwork, patterns, dies, models, samples, materials, drawings, specifications, technical material, advertising material and any other personal property furnished by City to Contractor , or specifically paid for by City for use in performance of the Agreement, shall be and remain the property of City and said property shall be used only for Deliverables benefiting City. Contractor shall return to City or shall dispose of this property only according to City’s instruction.
11. A pplicable Laws
Under guidelines specified in 29 CFR 1910.1200 (f) and (g) City requests that Contractor label applicable Deliverables accordingly and provide associated Safety Data Sheets (“SDS”) to City.
Deliverables must conform with all applicable federal, state, and local laws . Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not engage in prohibited transactions with sanctioned persons or entities.
12. P revailing Wage
It shall be the responsibility of the Contractor to comply, when applicable, with the prevailing wage rates in accordance with the State of California Department of Industrial Relations. It shall further be the responsibility of the Contractor to monitor the prevailing wage rates as established by the California Department of Industrial Relations for any increase in rates during the term of this Agreement and adjust wage rates accordingly.
CONTRACTOR REGISTRATION REQUIREMENTS - Pursuant to Labor Code Sectio n 1771.1(a): A Contractor or subcontractor shall not be qualified to bid on, be listed in a bid proposal, subject to the requirements of Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, as defined in this chapter, unless currently registered and qualified to perform public work pursuant to Labor Code Section 1725.5. It is not a violation of this section for an unregistered Contractor to submit a bid that is authorized by Section 7029.1 of the Business and Professions Code or by Section 10164 or 20103.5 of the Public Contract Code, provided the Contractor is EXHIBIT 1
646
5 (Rev. 4.18.22)
registered to perform public work pursuant to Section 1725.5 at the time the contract is awarded.
No contractor or subcontractor may be listed on a bid proposal for a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)].
No contractor or subcontractor may be awarded a contract for public work on a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code Section 1725.5. Department of Industrial Relations- Contractor Registration information and web link: https://www.dir.ca.gov/public-works/publicworks.html. In compliance with Senate Bill 854 and the California Labor Code, all Bidders shall include with their Bid proof of registration from the Department of Industrial Relations (DIR) that includes the contractor’s Legal Name, Registration Number, License Type/Number, Registration Date and Expiration Date, for every contractor and subcontractor, regardless of tier.
Th
is project may be subject to compliance monitoring and enforcement by the Department of Industrial Relations. Contractors must submit their certified payroll records directly to the Division of Labor Standards Enforcement Compliance Monitoring Unit, as well as the City of Stockton.
13. Shi
pping Terms
City shipment terms are F.O.B. Destination, Freight Prepaid and Added unless otherwise specified in the Agreement. Contractor shall observe shipping instructions and, unless otherwise stated in the instructions, shall ship Deliverables in the safest and most economical manner necessary to meet the delivery date specified in the Agreement .
Contractor shall provide an itemized packing list showing the Agreement number with the shipment. Contractor shall include the Agreement number on all packages, boxes, invoices, and shipping documents. Contractor shall label all individual boxes with stock number and quantity and items with different stock numbers shall be boxed separately.
City reserves the right to refuse, at Contractor ’s expense, any shipments not contai ning the Agreement number or stock numbers as required under this section.
14. Del iveries
TIME IS OF THE ESSENCE IN THE PERFORMANCE OF ANY ORDER. If Deliv
erable is not provided or performed within the times specified in the Agreement, City may cancel the Agreement and hold Contractor liable for damages incurred due to the untimely delivery including, but not limited to, the additional costs resultant from City procuring substitute Deliverables elsewhere.
15. Pr ice and Quantities
EXHIBIT 1
647
6 (Rev. 4.18.22)
Prices and quantities set forth in this Agreement may not be altered by Contractor without the prior written authorization of City, with the exception that quantities of custom paper or printed Deliverables, chemicals, or fuel may deviate from those in the Agreement by the lesser of standard industry practices.
EXHIBIT 1
648
1 (Rev. 10.30.18)
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 $451,800.00 (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 : O nly 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 C ity 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. Ex
penses, 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 C ity’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 se rvices based on the Agreement without additional compensation unless there is a material change to the Statement of Work and Scope by a written Amendment.
EXHIBIT 1
649
2 (Rev. 10.30.18)
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.
1.5 Su b contractor Costs: Compensation for sub contractors 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 ______%.
2. Task Price . Below is the price for the services and reimbursable expenses as described in Exhibit A of this Agreement.
Tas
k Description Task Price
1 Stockton Airport Business Center Mobilization,
Demobilization, Bonds, Permits, and Insurance on
all work.
$2700.00
2 Stockton Airport Business Center Inspections and
Reports
$4800.00
3 Stockton Airport Business Center Maintenance
Services $18,000.00
4 Stockton Airport Business Center Annual Discing
and Mowing Basin Slopes $12,000.00
5 Stockton Airport Business Center Annual Grading
and Sediment Removal $6,000.00
6 Arch Road Industrial Park Mobilization,
Demobilization, Bonds, Permits, and Insurance on
all work.
$2,700.00
7 Arch Road Industrial Park Inspections and Reports $4,800.00 8 Arch Road Industrial Park Maintenance Services $18,000.00 9 Arch Road Industrial Park Annual Discing and
Mowing Basin Slopes $1,2000.00
10 Arch Road Industrial Park Annual Grading and
Sediment Removal $6,000.00
EXHIBIT 1
650
3 (Rev. 10.30.18)
11 Charter Way Industrial Site Mobilization,
Demobilization, Bonds, Permits, and Insurance on
all work.
$2,700.00
12 Charter Way Industrial Site Inspections and
Reports $4,800.00
13 Charter Way Industrial Site Maintenance Services $15,000.00 14 Charter Way Industrial Site Annual Discing and
Mowing Basin Slopes $12,000.00
15 Charter Way Industrial Site Annual Grading and
Sediment Removal $6,000.00
16 Western Pacific Industrial Park Mobilization,
Demobilization, Bonds, Permits, and Insurance on
all work.
$2,700.00
17 Western Pacific Industrial Park Inspections and
Reports $4,800.00
18 Western Pacific Industrial Park Maintenance
Services $18,000.00
19 Western Pacific Industrial Park Annual Discing and
Mowing Basin Slopes $12,000.00
20 Western Pacific Industrial Park Annual Grading
and Sediment Removal $6,000.00
21 Airport Gateway Center Mobilization,
Demobilization, Bonds, Permits, and Insurance on
all work.
$ 2,700.00
22 Airport Gateway Center Inspections and Reports $4,800.00 23 Airport Gateway Center Maintenance Services $18,000.00 24 Airport Gateway Center Annual Discing and
Mowing Basin Slopes $12,000.00
25 Airport Gateway Center Annual Grading and
Sediment Removal $6,000.00
EXHIBIT 1
651
4 (Rev. 10.30.18)
26 Riverbend repair of the mow-less sod, irrigation
system low flow earthen channels, concrete
channels and flumes, and energy dissipaters
$1200.00
27 Riverbend Mobilization, Demobilization, Bonds,
Permits, and Insurance on all work. $2700.00
28 Riverbend Inspections and Reports $4800.00
29 Riverbend Maintenance Services $18000.00
30 Riverbend Annual Mowing Basin Slopes $1,2000.00
31 Riverbend Annual Grading and Sediment Removal $6,000.00 32 Prologis Park at Duck Creek Mobilization,
Demobilization, Bonds, Permits, and Insurance on
all work.
$2,700.00
33 Prologis Park at Duck Creek Inspections and
Reports $4,800.00
34 Prologis Park at Duck Creek Maintenance
Services $18,000.00
35 Prologis Park at Duck Creek Annual Discing and
Mowing Basin Slopes $12,000.00
36 Prologis Park at Duck Creek Annual Grading and
Sediment Removal $6,000.00
37 Morada Mobilization, Demobilization, Bonds,
Permits, and Insurance on all work. $2,700.00
38 Morada Inspections and Reports $4,800 .00
39 Morada Storm Drainage Basin Maintenance
Services $33,600.00
40 Morada Storm Drainage Basin Annual Discing and
Mowing Basin Slopes $15,000.00
41 Morada Storm Drainage Basin Annual Grading
and Sediment Removal $6,000.00
EXHIBIT 1
652
5 (Rev. 10.30.18)
42 Arch Road Mobilization, Demobilization, Bonds,
Permits, and Insurance on all work. $2,700.00
43 Arch Road Inspections and Reports $4,800.00
44 Arch Road Storm Drainage Basin Maintenance
Services $18,000.00
45 Arch Road Storm Drainage Basin Annual Discing
and Mowing Basin Slopes $12,000.00
46 Arch Road Storm Drainage Basin Annual Grading
and Sediment Removal $ 6,000.00
47 Eldorado Road Mobilization, Demobilization,
Bonds, Permits, and Insurance on all work. $2,700.00
48 Eldorado Road Inspections and Reports $4,800.00
49 Eldorado Road Storm Drainage Basin
Maintenance Services $18,000.00
50 Eldorado Road Storm Drainage Basin Annual
Discing and Mowing Basin Slopes $12,000.00
51 Eldorado Road Storm Drainage Basin Annual
Grading and Sediment Removal $6,000.00
TOTAL PRICE $451,800.00
3. Hourly Rates. T
he following is a list of hourly billable rates that Contractor shall apply for additional services requested of the Contractor . Contractor shall be compensated based on the hourly rates set forth below, on a time and material basis for those services that are within the general scope of services of this Agreement, but beyond the description of services required under Exhibit A, and all services are reasonably necessary to complete the standards of performance required by this Agreement. Any changes and related fees shall be mutually agreed upon between the parties by a written amendment to this A
greement.
Hourly Billable Rate S chedule
EXHIBIT 1
653
6 (Rev. 10.30.18)
Title
Role on Project
Hourly
Billable
Rates
N/A N/A $
4. Additional Fees. S hould an amendment to the Agreement be issued for additional services that require the following items, the unit prices are as follows:
Title Unit Price
N/A $
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 Municipal Utilities Department
Attention: MUD Finance Division
2500 Navy Drive
Stockton, CA 95206
Invoices emailed to [email protected] is preferred EXHIBIT 1
654
1 (Rev, 10.30.18)
EXHIBIT F
TIMELINE
1. Consultant shall complete the requested services identified in Exhibit A as follows:
1.1 TIMELINE FOR COMPLETION OF WORK
1.1.1 Bid Item 2 Inspections shall be completed in the following months.
The Contractor shall contact the City representative 24 hours in advance of said inspections. Contractor shall submit an inspection report to the City as providing the output resulting from the inspection. 1. Month of September 2. Month of March.
1.1.2 Bid Item 3 includes Maintenance Services for the Stockton Airport Business Center Basin. The Maintenance Services shall be performed and completed in accordance with the schedule outlined below 20 following the issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April, all work described below shall apply to the entire basin site, as represented in Attachment 1 Contractor shall contact the City’s Representative 24- hours in advance of any work or inspections. Postponement of maintenance services to a subsequent month shall only be granted by the City. Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.3 Bid Item 4 Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.4 Bid Item 7 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
1.1.5 Bid Item 8 includes Maintenance Services for the Arch Road Industrial Park Basin. The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24- hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of EXHIBIT 1
655
2 (Rev, 10.30.18)
October 2. Month of April. Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation..
1.1.6 Bid Item 10 includes Annual Grading and Sediment Removal for Arch Road Industrial Park Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.7 Bid Item 12 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
1.1.8 Bid Item 13 includes Maintenance Services for the Charter Way Industrial Site Basin. The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24-hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April. Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.9 Bid Item 14 Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.10 Bid Item 15 includes Annual Grading and Sediment Removal for Charter Way Industrial Site Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.11 Bid Item 17 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
EXHIBIT 1
656
3 (Rev, 10.30.18)
1.1.12 Bid Item 18 includes Maintenance Services for the Western Paci fic Industrial Park Basin. The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24-hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April. Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.13 Bid Item 19 Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.14 Bid Item 20 includes Annual Grading and Sediment Removal for Western Pacific Industrial Park for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.15 Bid Item 22 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
1.1.16 Bid Item 23 includes Maintenance Services for the Airport Gateway Center Basin. The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24-hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2.
Month of April. Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.17 Bid Item 24 includes Annual Disc ing Basin Bottom and Mowing Basin Slopes for Airport Gateway Center Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows. Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present.
EXHIBIT 1
657
4 (Rev, 10.30.18)
1.1.18 Bid Item 25 includes Annual Grading and Sediment Removal for Airport Gateway Center Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with sai d recommendation.
1.1.19 Bid Item 28 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
1.1.20 Bid Item 29 includes Maintenance Services for the Riverbend Basin.
The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24 - hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April.
Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.21 Bid Item 30 includes Annual Mowing Basin Slopes for Riverbend Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows.
Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present. Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.22 Bid Item 31 includes Annual Grading and Sediment Removal for Riverbend for the month of April. Contact the City’s Representative 24-hours in advance of any work or inspections. Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a
Maintenance Service and the City concurs with said
recommendation.
1.1.23 Bid Item 33 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
EXHIBIT 1
658
5 (Rev, 10.30.18)
1.1.24 Bid Item 34 includes Maintenance Services for the Prologis Park at Duck Creek Basin. The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24-hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April. Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.25 Bid Item 35 includes Annual Discing Basin Bottom and Mowing Basin Slopes for Prologis Park at Duck Creek Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows. Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present. Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.26 Bid Item 36 includes Annual Grading and Sediment Removal for Prologis Park at Duck Creek Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.27 Bid Item 38 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
1.1.28 Bid item 3 9 includes Maintenance Services for the Morada Basin.
The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24 -hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April.
Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.29 Bid Item 40 includes Annual Discing Basin Bottom and Mowing Basin Slopes for Morada Basin for the month of April. Contact the EXHIBIT 1
659
6 (Rev, 10.30.18)
City’s Representative 24- hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows. Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present. Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.30 Bid Item 41 includes Annual Grading and Sediment Removal for Morada Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections.
Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said
recommendation.
1.1.31 Bid Item 43 inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
1.1.32 Bid item 44 includes Maintenance Services for the Arch Road Basin.
The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24 -hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April.
Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.33 Bid I tem 45 includes Annual Discing Basin Bottom and Mowing Basin Slopes for Arch Road Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows. Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present. Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.34 Bid Item 46 includes Annual Grading and Sediment Removal for Arch Road Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections.
EXHIBIT 1
660
7 (Rev, 10.30.18)
Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said
recommendation.
1.1.35 Bid Item 48 Inspections shall be conducted and submitted to the City in the form of reports. Contact the City’s Representative 24-hours in advance of any work or inspections. Inspections shall be completed in the following months: 1. Month of September 2. Month of March.
1.1.36 Bid item 44 includes Maintenance Services for the El Dorado Road Basin. The Maintenance Services shall be performed and completed in accordance with the schedule outlined below following the 24-hour issuance of the Notice to Proceed, unless otherwise specified or approved in writing by the City. 1. Month of October 2. Month of April.
Maintenance Service for the months of October and April shall only be initiated if the Inspection Reports for the months of September and March recommend a maintenance service and the City concurs with said recommendation.
1.1.37 Bid Item 50 includes Annual Discing Basin Bottom and Mowing Basin Slopes for El Dorado Road Basin for the month of April.
Contact the City’s Representative 24- hours in advance of any work or inspections. Mow or disc tule, cattail, and other plant growth when basin is dry or as access allows. Contractor shall refrain from working in the basin bottom if saturated with water or if standing water is present. Discing Basin Bottom and Mowing Basin Slopes for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said recommendation.
1.1.38 Bid Item 51 includes Annual Grading and Sediment Removal for El Dorado Road Basin for the month of April. Contact the City’s Representative 24- hours in advance of any work or inspections.
Grading and Sediment Removal for the month of April shall only be initiated if the Inspection Reports for the month of March recommend a Maintenance Service and the City concurs with said
recommendation.
EXHIBIT 1
661
City of Stockton
Legislation Text
File #: 22-1046, Version: 1
APPROVE RESOLUTION ACCEPTING GRANT FUNDING FOR THE BUREAU OF JUSTICE
ASSISTANCE LOCAL LAW ENFORCEMENT CRIME GUN INTELLIGENCE CENTER INTEGRATION INITIATIVE GRANT IN THE AMOUNT OF $700,000
RECOMMENDATION
It is recommended that the City Council adopt a resolution:
1. Authorizing the City Manager, or designee, to accept the Bureau of Justice Assistance Local Law Enforcement Crime Gun Intelligence Center Integration Initiative (CGIC) Grant in the amount of $700,000; and
2. Authorize the City Manager, or designee, to execute all grant award documents as required by the Bureau of Justice Assistance and accept applicable terms and conditions; and
3. Amend the Fiscal Year 2022-23 Annual Budget to increase the Police Grants & Special Programs revenue and expenditure appropriation by $700,000: and It is also recommended that the City Council authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of this resolution.
Summary
The Bureau of Justice Assistance (BJA) released a solicitation on March 16, 2022, seeking applications for funding to address firearm-related crime and forensics through the establishment of Crime Gun Intelligence Centers (CGIC). This initiative is a partnership with the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) to utilize intelligence, technology, and community engagement to swiftly identify crime guns and their sources, and effectively prosecute perpetrators.
Funds awarded will be utilized by the Stockton Police Department (SPD) Investigations division to increase the effectiveness of the timely collection, management, and analysis of crime gun evidence, such as shell casings and semiautomatic handguns, using National Integrated Ballistic Information Network (NIBIN) and eTrace. The CGIC process occurs in real-time to identify serial shooters, disrupt criminal activity, and prevent future gun violence.
DISCUSSIO
N
Background
The CGIC Grant, administered by BJA in partnership with ATF, is a competitive grant program that provides funding to state, local, and tribal government entities experiencing precipitous increases in gun-related violent crime. On September 28, 2022, the SPD was notified that the funding request of City of Stockton Printed on 11/10/2022Page 1 of 3
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File #: 22-1046, Version: 1
$700,000 was approved (Attachment A). The SPD was required to submit a competitive grant application in May 2022. Program funding includes a professional services contract to fund a Firearms Examiner, a 20% allocation of the award, as required, to fund a portion of a District Attorney's Office Crime Analyst salary and benefits for tracking, prioritizing, and prosecution of gun crimes and required travel/workshop attendance, as well as any necessary supplies and equipment to support ballistics analysis and surveillance activity. Budgeted expenses include contracted services for a Firearms Examiner who will be available for investigative purposes to agencies throughout San Joaquin County. The Firearms Examiner will also be called upon for testimony at trials relating to firearm crimes.
Present Situation
Currently, the City is experiencing an increase in violent firearm-related crime. These funds will be extremely beneficial for our field evidence technicians and investigators, as they work in partnership with ATF during this heightened increase in gun-related homicides.
The purpose of this program is to support a local jurisdiction's capability to work with their ATF partners to utilize intelligence, technology, and community engagement to swiftly identify unlawfully used firearms and their sources and effectively prosecute perpetrators engaged in violent crime.
Awardees will work with ATF to integrate CGIC business practices that include interagency collaboration focused on the immediate collection, management, and analysis of crime gun evidence to identify criminal shooters, disrupt illegal activity, and prevent future violence. Essential elements include:
· Use of a NIBIN machine that would support timely entry of all firearm-related evidence casings and test-fire casings, correlations, lead generation, and lead notification. · Utilize the ATF NNCTC to review NIBIN entries and determine NIBIN hits, if available. · CGIC-participation local enforcement agencies are expected to detail a task force officer (TFO) to the local ATF field office to be assigned to ATF enforcement groups. The TFO should partner with ATF agents to conduct NIBIN- and eTrace-related investigations, target NIBIN/eTrace offenders, develop and analyze NIBIN/eTrace intelligence, and assist ATF with firearms trafficking and straw purchase investigations. · Establish ATF an eTrace account(s) by which the jurisdiction traces recovered crime guns. · Develop a process for comprehensive crime gun tracing. · Demonstrate a partnership with the appropriate district attorney's office and work with ATF to get a commitment from the USAO to strategically accept and prosecute cases coming from the CGIC program.
· Through an MOU, demonstrate commitment to process firearm evidence with the appropriate crime lab following the required timeframes consistent with the CGIC model.
Awardees will be required to report quarterly on performance measures and develop deliverables which include a collaborative working group formed using a Memorandum of Understanding (MOU), a CGIC business process utilizing NIBIN and eTrace, effective investigations and prosecution of violent crimes, a comprehensive training program, violent crime prevention strategies, improved response to gunshots fired collection of CGIC performance data, and a final analysis report summarizing the program's implementation and outcomes.
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File #: 22-1046, Version: 1
While the SPD completes many of these tasks today, there is no comprehensive process or program in place to ensure follow-through and feedback are consistently adhered to, and there is no existing MOU specific to the collaboration between agencies. SPD currently has numerous partnership MOUs and data access agreements. Still, this grant would provide the opportunity to develop an actionable working group with an established structure, identified responsibilities and workflow, and a commitment to reducing gun violence in Stockton. The CGIC Grant funding opportunity will include developing an MOU with ATF to expand the collaborative work and leverage investigative, arrest, and prosecution capacity of gun-related violent crime.
The SPD proposes to use the CGIC project funds to combat the uptick in violent gun-related crimes as well as strengthen the efforts of the crime evidence team in capturing pertinent data regarding guns used in violence within the City of Stockton. In addition, SPD, along with their ATF partners will utilize intelligence, technology, and community engagement to swiftly identify unlawfully used firearms and their sources, and effectively prosecute perpetrators engaged in violent crime.
FINANCIAL SUMMARY
The SPD’s Investigations Division will coordinate operations of the grant program. The grant program does not require a local funding match. There is no impact to the City’s General Fund or to any other unrestricted fund as a result of taking the recommended action. Revenue and expenditures will require an increase in appropriation to the Fiscal Year 2022-23 Police’s Special Grants Fund Budget:
· Revenue appropriation of $700,000 to the 2022 CGIC grant in the Police’s Special Grants fund, Reimbursements, PD Grants Division.
· Expenditure appropriation of $700,000 to the 2022 CGIC grant in the Police’s Special Grants fund, Reimbursements, PD Grants Division.
Attachment A - GIC Funded Award Letter FAW-172572
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Funded Award FAW-172572
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September 28, 2022
Dear Jeanetta McDonald,
On behalf of Attorney General Merrick B. Garland, it is my pleasure to inform you the Office of Justice Programs (OJP) has approved the application submitted by STOCKTON, CITY OF for an award under the funding opportunity entitled 2022
BJA FY 22 Local Law Enforcement Crime Gun Intelligence Center Integration Initiative. The approved award amount is $700,000.
Review the Award Instrument below carefully and familiarize yourself with all conditions and requirements before accepting your award. The Award Instrument includes the Award Offer (Award Information, Project Information, Financial Information, and Award Conditions) and Award Acceptance. For COPS Office and OVW funding the Award Offer also includes any Other Award Documents.
Please note that award requirements include not only the conditions and limitations set forth in the A
ward Offer, but also compliance with assurances and certifications that relate to conduct during the period of performance for the award. These requirements encompass financial, administrative, and programmatic matters, as well as other important matters (e.g., specific restrictions on use of funds). Therefore, all key staff should receive the award conditions, the assurances and certifications, and the application as approved by OJP
, so that they understand the award requirements.
Information on all pertinent award requirements also must be provided to any subrecipient of the award.
Should you accept the award and then fail to comply with an award requirement, DOJ will pursue appropriate remedies for non-compliance, which may include termination of the award and/or a requirement to repay award funds.
Prior to accepting the award, your Entity Administrator must assign a Financial Manager, Grant Award Administrator, and Authorized Representative(s) in the Justice Grants System (JustGrants). The Entity Administrator will need to ensure the assigned Authorized Representative(s) is current and has the legal authority to accept awards and bind the entity to the award terms and conditions. To accept the award, the Authorized Representative(s) must accept all parts of the Award Offer in the Justice Grants System (JustGrants), including by executing the required declaration and certification, within 45 days from the award date.
To access your funds, you will need to enroll in the Automated Standard Application for Payments (ASAP) system, if you haven’t already completed the enrollment process in ASAP. The Entity Administrator should have already received an email from ASAP to initiate this process.
Congratulations, and we look forward to working with you.
Maureen Henneberg
Deputy Assistant Attorney General
Office for Civil Rights Notice for All Recipients
The Office for Civil Rights (OCR), Office of Justice Programs (OJP), U.S.
Department of Justice (DOJ) has been delegated the responsibility for ensuring that recipients of federal financial assistance from the OJP, the Award Letter
ATTACHMENT A
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Funded Award FAW-172572
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Office of Community Oriented Policing Services (COPS), and the Office on Violence Against Women (OVW) are not engaged in discrimination prohibited by law. Several federal civil rights laws, such as Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973, require recipients of federal financial assistance to give assurances that they will comply with those laws. Taken together, these civil rights laws prohibit recipients of federal financial assistance from DOJ from discriminating in services and employment because of race, color, national origin, religion, disability, sex, and, for grants authorized under the Violence Against Women Act, sexual orientation and gender identity. Recipients are also prohibited from discriminating in services because of age. For a complete review of these civil rights laws and nondiscrimination requirements, in connection with DOJ awards, see
https://ojp.gov/funding/Explore/LegalOverview/CivilRightsRequirements.htm.
Under the delegation of authority, the OCR investigates allegations of discrimination against recipients from individuals, entities, or groups. In addition, the OCR conducts limited compliance reviews and audits based on regulatory criteria. These reviews and audits permit the OCR to evaluate whether recipients of financial assistance from the Department are providing services in a non discriminatory manner to their service population or have employment practices that meet equal-opportunity standards.
If you are a recipient of grant awards under the Omnibus Crime Control and Safe Streets Act or the Juvenile Justice and Delinquency Prevention Act and your agency is part of a criminal justice system, there are two additional obligations that may apply in connection with the awards: (1) complying with the regulation relating to Equal Employment Opportunity Programs (EEOPs); and (2) submitting findings of discrimination to OCR. For additional information regarding the EEOP requirement, see 28 CFR Part 42, subpart E, and for additional information regarding requirements when there is an adverse finding, see 28 C.F.R. §§ 42.204(c), .205(c)(5).
The OCR is available to help you and your organization meet the civil rights requirements that are associated with DOJ grant funding. If you would like the OCR to assist you in fulfilling your organization's civil rights or nondiscrimination responsibilities as a recipient of federal financial assistance, please do not hesitate to contact the OCR at [email protected].
Memorandum Regarding NEPA
NEP
A Letter Type
OJP - Categorical Exclusion
NEPA Letter
The FY22 Local Law Enforcement CGIC Integra on Ini a ve is a limited compe
on grant program that will pr ovide funding to address illegal firearm-related crime and forensics. This ini a ve furthers the Department’s mission by assis ng s
tate, local and tribal law en forcement
in responding to violent crime, and working with the Bureau of Alcohol, Tobacco, Firearms and Explosives to u lize intelligence, technology , and community engagement to swi ly iden fy crime guns, their sources, and effec v
ely prosecute perpetrators. None of the following ac vi es will be
ATTACHMENT A
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Funded Award FAW-172572
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conducted either under the OJP federal ac on or a related third party ac on:
1) New c
onstruc on;
2) Any renova on or r
emodeling of a property either (a) listed on or
eligible for lis ng on the Na
onal Register of Historic Places or (b) loc ated
within a 100-year flood plain;
3) A renova on which will change the basic prior use of a f acility or
significantly chang
e its size;
4) Research and technology whose an cipated and future applica on could be e
xpected to have an effect on the environment; or
5) Implementa on of a program involving the use of chemicals.
Consequently
, the subject federal ac on meets OJP's criteria for a
ca
tegorical exclusion as contained in paragraph 4(b) of Appendix D to Part 61 of the Code of Federal Regula ons. Addi onally, the proposed ac on is neither a phase nor a segmen
t or a project which when viewed
in its en rety would not meet the criteria for a categorical exclusion.
NEPA Coordinator
First Name
Orbin
Middle Name Last Name
Terry
This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions.
Recipient Name
STOCKTON, CITY OF
UEI
MPGYKQEJZ2E6
Street 1
425 N EL DORADO ST
Street 2
Award Information
Recipient Information
ATTACHMENT A
667
Funded Award FAW-172572
4/7
425 N EL DORADO ST
City
STOCKTON
State/U.S. Territory
California
Zip/Postal Code
95202
Country
United States
County/Parish Province
Federal Award Date
9/28/22
Award Type
Initial
Award Number
15PBJA-22-GG-01760-MUMU
Supplement Number
00 Federal Award Amount
$700,000.00
Funding Instrument Type
Grant
16.738 Edward Byrne Memorial Justice
Assistance Grant Program
16.738 Edward Byrne Memorial Justice
Assistance Grant Program
Pub. L. No. 90-351, Title I, Sec. 506(b) (codified at 34 U.S.C. 10157(b)) Bipartisan Safer Communities Supplemental Appropriations Act, 2022 (Pub. L. No. 117-159, 136 Stat. 1313, 1339); 28 U.S.C. 530C I have read and understand the information presented in this section of the Federal Award Instrument.
Award Details
Assistance Listing Number Assistance Listings Program Title Statutory Authority
ATTACHMENT A
668
10/21/22, 4:07 PM Funded Award FAW-172572
5/7
This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions.
Solicitation T
itle
2022 BJA FY 22 Local Law
Enforcement Crime Gun
Intelligence Center Integration
Initiative
Application Number
GRANT13614084
Awarding Agency
OJP
Program Office
BJA
Grant Manager Name
Joseph Husted
Phone Number
202-353-4411
E-mail Address
[email protected]
Project Title
Bureau of Justice Assistance Crime Gun Intelligence Center Integration Initiative Grant
Performance Period
Start Date
10/01/2022
Performance Period
End Date
09/30/2025
Budget Period Start
Date
10/01/2022
Budget Period End
Date
09/30/2025
Project Description
The Stockton Crime Gun Intelligence Center (SCGIC) will bring together local law enforcement, local and state prosecutors, and federal Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) partners to address the precipitous increase in firearm non-fatal incidents and homicides occurring over the last several months. Although gun violence in Stockton, CA is a historic trend, recent efforts, including the implementation of Ceasefire, have brought the long-term trend line Project Information
ATTACHMENT A
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Funded Award FAW-172572
6/7
down. Significant reductions in homicides from the 2012 high have also occurred, however, more collaboration is needed to further reduce and sustain the prevalence of gun violence. Stockton’s rate of violent crime remains four times above the national average. This grant will support Stockton’s efforts to formalize the interagency partnerships and infrastructure to ensure effective implementation of the seven essential elements of a CGIC. Once established, the SCGIC will work to prevent violent crime by linking guns to persons and crimes committed, completing thorough investigations and prosecuting offenders. These investigations and ultimate prosecutions will disrupt the systemic violence occurring in Stockton and support the intelligence led policing efforts currently in place. Specific grant deliverables include: revising policies and procedures to ensure timely entry of ballistic evidence into the national correlation center database; establishing a protocol for following up on investigative leads generated from ballistic links and evidence; sharing of intelligence gathered both on the street during investigations, and in the lab reviewing evidence with CGIC partners; promoting collaborative working group partnerships by tracking CGIC cases and discussing outcomes, and formalizing the working partnership through a Memorandum of Understanding to sustain the SCGIC for years to come.
I have read and understand the information presented in this section of the Federal Award Instrument.
Declaration and Certification to the U.S. Department of Justice as to Acceptance
By checking the declaration and certification box below, I--
A. Declare to the U.S. Department of Justice (DOJ), under penalty of perjury, that I have authority to make this declaration and certification on behalf of the applicant.
B. Certify to DOJ, under penalty of perjury
, on behalf of myself and the
applicant, to the best of my knowledge and belief, that the following are true as of the date of this award acceptance: (1) I have conducted or there was conducted (including by applicant’s legal counsel as Financial Information
Award Conditions
Award Acceptance
ATTACHMENT A
670
Funded Award FAW-172572
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appropriate and made available to me) a diligent review of all terms and conditions of, and all supporting materials submitted in connection with, this award, including any assurances and certifications (including anything submitted in connection therewith by a person on behalf of the applicant before, after, or at the time of the application submission and any materials that accompany this acceptance and certification); and (2) I have the legal authority to accept this award on behalf of the applicant.
C.
Accept this award on behalf of the applicant.
D. Declare the following to DOJ, under penalty of perjury , on behalf of
myself and the applicant: (1) I understand that, in taking (or not taking) any action pursuant to this declaration and certification, DOJ will rely upon this declaration and certification as a material representation; and (2) I understand that any materially false, fictitious, or fraudulent information or statement in this declaration and certification (or concealment or omission of a material fact as to either) may be the subject of criminal prosecution (including under 18 U.S.C. §§ 1001 and/or 1621, and/or 34 U.S.C. §§ 10271-10273), and also may subject me and the applicant to civil penalties and administrative remedies under the federal False Claims Act (including under 31 U.S.C. §§ 3729- 3730 and/or §§ 3801-3812) or otherwise.
Title of Approving
Official
Deputy Assistant
Attorney General
Name of Approving
Official
Maureen Henneberg
Signed Date And
Time
9/25/22 3:17 PM
Agency Approval
Authorized Representative
ATTACHMENT A
671
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION ACCEPTING THE 2022 BUREAU OF JUSTICE ASSISTANCE LOCAL
LAW ENFORCEMENT CRIME GUN INTELLIGEN CE CENTER INTEGRATIO N INITIATIVE (CGIC) GRANT IN THE AMOUNT OF $700,000, AND AMENDING THE FISCAL YEAR 2022-23 ANNUAL BUDGET
The City of Stockton is eligible to receive $ 700,000 in discretionary funding from the Department of Justice (DOJ), Office of Justice Programs (OJP), Bureau of Justice Assistance (BJA) Local Law Enforcement Crime Gun Intelligence Center Integration Initiative (CGIC); and
The purpose of this pr ogram is to support a local jurisdiction's capability to work with their Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) partners to utilize intelligence, technology, and community engagement to swiftly identify unlawfully used firearms and their sources and effectively prosecute perpetrators engaged in violent crime. Awardees will work with ATF to integrate CGIC business pr actices that include interagency collaboration focused on the immediate collection, managem ent, and analysis of crime gun evidence to identify criminal shooters, disrupt illegal activity, and prevent future violence; and
The CGIC grant funding opportunity will include developing an M OU with ATF to expand t he collaborative work and leverage inve stigative, arrest , and prosecution capacity of gun-related violent crime; and
The Stockton Police Department (SPD) proposes to use project funds to combat violent gun-related crimes as well as strengthen the efforts of the crime evidence team in capturing pertinent data regarding guns used in violence within the City. The Program will be coordinated by the SPD Investigations division as they work alongside their ATF partners, cri me evidence team, the newly funded Firearms Examiner and a Deputy District Attorney for the identification and prosecution of perpetrators engaged in gun- related violent crimes; and
In May 2022, the Stockton Police Department (SPD) submitted an application for the competitive grant and was notified on September 28, 2022, of its acceptance and approval for $700,000 grant award funds; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The City Manager, or designee, is authorized to accept the grant award in the amount of $ 700,000 for the period October 1, 2022, through September 30, 2025, and make al l necess ary ap propriations i n compliance with and for the purposes stated in the grant application.
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2. The City Manager is hereby authorized to execute and submit all documents, including, without limit ation, agreements, amendments with the granting agency, and payment requests in compliance with BJA CGIC Integration Initiative requirements.
3. The Fiscal Year 202 2-23 Annual Budget is amended to appropriate $700,000 in revenues and expen ditures for the Pol ice Grants and Special Programs accounts as needed to carry o ut the p urpose and intent of this resolution.
4. Grant funds received hereunder shall not be used to s upplant ongoing law enforcement expenditures.
5. The City Manager is hereby authorized to take appropriate and necessary actions to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED November 15, 2022 .
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
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City of Stockton
Legislation Text
File #: 22-0995, Version: 1
APPROVE A MOTION TO AWARD A PROFESSIONAL SERVICES CONTRACT TO REVIZE FOR
THE REDESIGN, DEVELOPMENT, IMPLEMENTATION, HOSTING AND MAINTENANCE OF THE
CITY OF STOCKTON WEBSITE
RECOMMENDATION
It is recommended that City Council adopt a motion to:
1. Approve findings pursuant to Stockton Municipal Code 3.68.070 that support and justify an exception to the competitive bidding process; and
2. Approve entering into a contract with Revize Software Systems, LLC, of Troy, Michigan, to redesign, develop, implement, host, and maintain the City of Stockton website for a period of a total not-to-exceed amount of $193,100 for implementation and up to five (5) years of service; and
3. Authorize the City Manager, or designee, to take all necessary and appropriate actions to carry out the purpose and intent of this motion.
Summary
To achieve our vision that “Stockton will become the best city in America to live, raise a family, and grow a business,” we must project the image of who we are and what we want to be - a modern, vibrant City that is responsive to the needs of our community and business. The City of Stockton website is the primary interface and channel of communication between the City and consumers of information that include our community members, businesses, those seeking to do business with the City, and visitors. Our current website is a combination of antiquated technologies that are difficult to navigate and challenging to update. As a result, City departments avoid making changes to the website and seek other applications and solutions, making it difficult for visitors to our website to find current and useful information about City programs, services, and events.
The core City of Stockton website was redesigned in 2010 and rolled out in 2011, and the Home page and Stockton Police Department webpages were redesigned in 2016. From a technology perspective, the current website is “light years” in the past. When contemplating a website replacement, the City first issued a Request for Information (RFI) in October 2021, to determine the field of potential vendors and the features and functionality important to the City. This was followed by a Request for Proposal (RFP) that was issued in May of this year.
A selection committee comprised of website users from five City departments evaluated the responses against a set of priorities established by the City. These priorities required a vendor that would design, develop, implement, host, support and maintain a state-of-the-art website that is City of Stockton Printed on 11/9/2022Page 1 of 5
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visually appealing, functional, easy to navigate, expandable, and user-friendly, and that extends and enhances customer service channels and increases community engagement. The solution selected meets these requirements and delivers other essential elements, including: secure cloud-based hosting (HTTPS) for visitors; meets current and future Americans with Disabilities Act (ADA) requirements; provides language translations through Google Translate; integrates with other existing third-party applications; provides training, support and reliability for our department website content providers; delivers analytics to evaluate and improve the website and optimize searches; and can be customized with City specific colors, branding and preferred features.
Bringing the City’s twentieth century website into the twenty-first century will provide the City will the opportunity to move from a text-heavy website with header and left-hand navigation, to a modern, modular design that is responsive to how current users search the website, which is predominantly through the use of mobile devices. Updates to the website will be much easier for non-technical City website content providers using a customized Content Management System (CMS). Website features will be compliant with ADA requirements, and strides toward language justice will be made through the implementation of Google Translate. The website will be administered through a secure facility and address the City’s cyber security requirements, with tight security controls at all levels.
All City of Stockton department pages currently served from www.stocktonca.gov and ww1.stocktonca.gov will be moved to the new site. Due to the unique needs of the Stockton-San Joaquin County Public Library, the library website is not part of the new website contract and may be considered for redesign under a separate agreement.
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 A) with Revize Software Systems, LLC, for a not-to- exceed contract amount of $193,100 covering the implementation and up to five (5) years of service.
DISCUSSION
Background
The City of Stockton has had a website since 1999. The core legacy website was redesigned by City staff in 2011 using HTML and a simple, traditional model of web content management using a Content Management System (CMS) interface for making changes to the site. The core legacy site is hosted on a server in the City’s Information Technology Department. The Home page and Stockton Police Department webpages were redesigned in 2016. These newer pages are redirected and hosted remotely on a cloud-based vendor platform. These combined platforms are comprised of approximately 800 webpages.
The core issues with the current website are:
· Navigation and screen design are antiquated and difficult to use on mobile devices. · Images are challenging to upload and do not display in a changing or carousel format on the Home page.
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especially the calendar, news, and event functions.
· The dual hosting arrangement redirects Home page visitors and those visiting the Stockton Police Department webpages to different platforms.
· The City’s legacy webpages have been certified as secure by a third-party; however, the webpages do not display as HTTPS (Hypertext Transfer Protocol Secure) giving visitors to the site the impression that the entire site is not secure. · ADA requirements are not consistently applied by department website content providers. · Language translations, such as Google Translate, are not embedded in the site, requiring those accessing the site to use search engine-based tools and services. · Departments frequently seek third-party applications to avoid using the City’s website; these applications are not always integrated with the current website and/or do not display in a user- friendly manner.
· Analytics are not available in real-time or near real-time, and site improvements are not made to improve website content.
· Design and branding standards are inconsistent and obsolete.
In developing this project, preliminary research was conducted through a Request for Information (RFI) process. Ten responses were received during the RFI process. Respondents were advised that the RFI process was not a prerequisite to submitting under the RFP. The project was brought 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 April 14, 2022, RFP (PUR 22-012) was issued for this project with a submittal deadline of May 19, 2022. Eleven (11) proposals were received. While this project is being led by the City Manager’s Office, the proposal evaluation team also included representatives from Community Development Department, Community Services Department, Information Technology (IT) Department and the Stockton Police Department.
Proposals were evaluated based primarily on qualifications, professional experience, industry expertise, and capacity to handle the scope and size of the project. The top three (3) scoring respondents were offered an opportunity to make presentations to the evaluation team. A final ranking was provided to Administrative Services Department, Procurement Division, and the weighted was adjusted to include price:
1. Revize Software Systems, LLC
2. Spruce Technology
3. CivicPlus, LLC
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Present Situation
Revize Software Systems, LLC, was selected based primarily on its industry leading features and functionality and the ability to address the City’s requirements:
· Design, Develop, Implement, Host, Support and Maintain - A state-of-the-art, visually appealing, functional, easy to navigate, expandable, user-friendly website solution that extends and enhances customer service channels and increases community engagement. · Secure Hosted Solution - Cloud-based hosting from a secure facility that provides visitors to the site with a secure (HTTPS) experience while addressing all City cybersecurity requirements. Provide tight security controls that meet regulatory, compliance and audit standards, including role-based to the menu, screen, and data field level. · Americans with Disabilities Act (ADA) Section 508 requirements - Meet current and future ADA requirements in print; provide a site that can be audio enabled for visually impaired; and connect to screen-reader technology for both hearing and visually impaired, including font-size adjustment, Alt-tags, and a responsive web design.
· Language translations - Provide translations of website content into other languages in compliance with all state and federal requirements using Google Translates. · Integrates with existing third-party applications - CMRS (Customer Response Management System), GoGov Apps branded Ask Stockton; Esri, the City’s GIS (mapping) and geo-location vendor; Socrata (Tyler Data & Insights), the City’s Open Data Portal service provider; Citibot, artificial intelligence (AI) and chatbot, customer service automation; Accela, the City’s permitting system; Decision Tree, a location-specific customer permitting and licensing tool; RecTrac, recreation programming and registration system; NeoGov, job and application platform; Tyler Munis financial systems; Click2Gov, utility and miscellaneous payment system; Granicus, the City’s meeting and agenda software service provider; and Microsoft Active Directory or Microsoft Azure Active Directory, for employee single sign-on and global security administration.
· Training/Support/Reliability - Easy to use Content Management System (CMS) for non- technical employees to make changes to the website. Vendor provided initial and ongoing training for City website administrators and content providers; transfer of current content to the new site; 24/7 product support and maintenance; 99.99% availability; Disaster Recovery. · Analytics - Provides dashboard analytics, including pages and documents visited, most frequently used search terms, number and length of sessions, time of day, and traffic from various geographic regions.
· Branding - Custom design for City specific needs, including branded colors and logos, news, and events calendar, and supports photos and videos.
· Potential Future Expansion - The current project as proposed will implement with content from www.stocktonca.gov and ww1.stocktonca.gov, which includes all departments except the Library. The website may be expanded under an amended agreement to include the Library website.
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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 conduct research and answer general questions, allowing for more time dedicated to customer service and the delivery of services.
This project will provide enhanced customer service and increase community engagement through improved access to information about City programs, projects, services, news, and events by:
1. Customers seeking information will experience current content, improved navigation, and responsive design on devices most commonly used, such as mobile phones.
2. Accessibility will be improved through secure connections, ADA compliance, and translation features.
3. A hosted solution, implemented and maintained by a vendor with expertise in designing local government websites, and providing a website that is in compliance with state and federal regulatory requirements.
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. Revize Software Solutions, LLC, offers comprehensive features and functionality that address the needs and expectations of our customers and the City 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 website for five (5) years of service is $193,100, comprised of $137,500 for implementation and first year subscription costs and $55,600 in annual subscription costs, or $13,900 each year for the remaining four (4) years.
Sufficient funds were allocated to sustain the full cost of this project, implementation and all five (5) years of service, during the FY 2022-23 annual budget cycle in the Information Technology Department budget.
Attachment A - Professional Services Agreement
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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.
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____________________________________________________________________________ IN WITNESS WHEREOF, the authorized parties have executed this Agreement.
CONTRACTOR
______________________________________________________________________________________________ Contractor’sName (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, City 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
Revize Software Systems, LLC Website Design, Development, Implementation, Hosting & Maintenance November 15, 2022 November 14, 2027
193,100.00
Professional Services Special Terms & Conditions
ARPA
Revize Software Systems LLC
150 Kirts Blvd, Troy, MI 48084
ATTACHMENT A
679
1 EXHIBIT A
STATEMENT OF WORK
1. Project Objectives
The City of Stockton One Page Strategic Plan (OGSP) Strategies include reducing barriers to entry, increasing community engagement, and optimizing resources through innovative business practices. The implementation of a high- quality, government compliant web solution is essential to substantially contributing to these strategies. Contractor shall design, develop, implement, host, support and maintain a website that replaces the City legacy site (www.stocktonca.gov), the home page and the Stockton Police Department webpages (ww1.stocktonca.gov), allowing the City to more effectively and easily offer customer service, customer data management, customer personalization, marketing automation, and multi-experience support, while meeting the following requirements:
1.1 Design, Develop, Implement, Host, Support and Maintain – A state- of-the-art, visually appealing, functional, easy to navigate, expandable, user-friendly website solution that extends and enhances customer service channels and increases community engagement.
1.2 Secure – Cloud-based hosting from a secure facility that provides visitors to the site with a secure (HTTPS) experience while addressing all City cybersecurity requirements. Provides tight security controls that meet regulatory, compliance and audit standards, including role-based to the menu, screen, and data field level.
1.3 Americans with Disabilities Act (ADA) Section 508 requirements – Meets current and future ADA requirements in print, can be audio enabled for visually impaired, and connects to screen-reader technology for both hearing and visually impaired.
1.4 Language translations – Translates website content into other languages in compliance with all state and federal requirements.
1.5 Integrates with existing third-party applications – CMRS (Customer Response Management System), GoGov Apps branded Ask Stockton; Esri, the City’s GIS (mapping) and geo-location vendor; Socrata (Tyler Data & Insights), the City’s Open Data Portal service provider; Citibot, artificial intelligence (AI) and chatbot, customer service automation; Accela, the City’s permitting system; Decision Tree, a location-specific customer permitting and licensing tool; RecTrac, recreation programming and registration system; NeoGov, job and application platform; Tyler Munis financial systems; Click2Gov, utility and miscellaneous payment system; Granicus, the City’s meeting and agenda software service provider; and Microsoft Active Directory
ATTACHMENT A
680
2 or Microsoft Azure Active Directory, for employee single sign-on and global security administration.
1.6 Training/Support/Reliability – Easy to use Content Management System (CMS) for non-technical employees to make changes to the website. Vendor provided initial and ongoing training for City website administrators and content providers; 24/7 product support and maintenance; 99.99% availability; Disaster Recovery.
1.7 Analytics – Provides dashboard analytics, including pages and documents visited, most frequently used search terms, number and length of sessions, time of day, and traffic from various geographic regions.
1.8 Branding – Custom design for City specific needs, including branded colors and logos, news and events calendar, and supports photos and videos.
2. Project Scope
2.1 The Contractor design, develop, implement, host, support and maintain a website for the City.
2.1.1 The website shall include the following applications and features:
Citizen’s Communication Center Apps
x Notification Center with Text/Email Alerts
x Bid Posting
x Document Center
x Email Notify
x FAQs
x Job Posting
x Multi-use Business Directory
x News Center with Facebook/Twitter Integration
x Online Forms
x Photo Gallery
x Quick Link Buttons
x Revize Web Calendar
x “Share This” Social Media Flyout App
x Sliding Feature Bar
x Language Translator
Citizen’s Engagement Center Apps
x Citizen Request Center with Captcha
ATTACHMENT A
681
3 x Public Service Request
x Online Interactive Forms (Public Records Request
App)
x Citizen Connect (Community Blog)
x Online Bill Pay
x RSS Feed
Staff Productivity Apps
x Agenda Posting Center
x Job Posting App
x Image Manager
x iCal Integration
x Intranet
x Link Checker
x Menu Manager
x Online Form Builder
x Staff Directory
x Website Content Archiving
x Website Content Scheduling
Site Administration and Security Features
x Audit Trail module
x Auto Site Map Generator tool
x History Log feature
x URL Redirect Setup
x Roles and Permission-based Security Mode
x Secure Site Gateway
x Unique Login/Password for each Content Editor
x Web Statistics and Analytics reports and dashboards
x Workflows by Department
Mobile Device and Accessibility Features
x Font Size Adjustment
x Alt-Tags
x Responsive Website Design (RWD)
2.1.2 Contractor maintenance and support shall include the following:
x 8 a.m. – 8 p.m. EST Phone Support (Monday thru Friday) x 24x7x365 Portal and Email Support
x Vendor-provided staff assistance to answer all questions
ATTACHMENT A
682
4 x Dedicated support staff
x New/existing user training
x Free Training Refreshers
x Video tutorials and online training manual
x Automatic integration of enhancements
x E-Newsletter Module support
x Automatic upgrade of Content Management System
(CMS) modules, such as Calendar, Document Center,
etc.
x Four major CMS upgrades per year
x Software and modules upgrades (automatic install)
x Server hardware and OS upgrades
x Immediate bug fixes/patches
x Round the clock server monitoring
x Data Center Network upgrades
x Security and antivirus software upgrades
x Firewall and router upgrades
x Bandwidth and network infrastructure upgrades
x Remote backup of all website assets
x Tape backup of all website assets
x Quarterly Newsletters on major feature updates
x Regular webinars on CMS features and usage
2.1.3 Contractor shall deliver and maintain a secure website:
The Contractor shall provide cloud-based hosting that is monitored and maintained from facilities with equipment that complies with all current and future state and federal
requirements applicable to government websites, including firewalls and authentication protocols that protect against cybersecurity threats.
The website will use HTTPS (Hypertext Transfer Protocol over SSL) with a Contractor-provided SSL certificate at implementation and is maintained and current on an on-
going basis.
2.1.4 Contractor shall deliver, maintain, and support a website that is ADA compliant and meets current and future
Americans with Disabilities Act (ADA) Section 508 and any other state or federal regulatory requirements.
2.1.5 Contractor provide language translations using Google Translator, which currently supports up to 40 languages, shall be fully integrated and provided at no additional cost.
ATTACHMENT A
683
5 2.1.6 Contractor shall provide a website that integrates with all City third-party applications and systems, including those that duplicate programs and services offered by the vendor’s standard product as identified in 2.1.1 (above).
2.1.7 Contractor shall provide initial and ongoing training for all website administrators and content providers with
permission levels established by the City’s implementation team, including:
Basic Administrator Training (How to)
x Sign-in
x Create users
x Assign roles
x Set page level permissions
x Set section level permissions
x Configure and set up workflow approval process
Content Editor Training (How to)
x Sign-in
x Edit page content
x Copy/paste content or add new
x Create a file link
x Create a link to another web page or external web site x Create a new page and link to it
x Insert/update a picture
x Insert/update a table
x Spell check
x Save and Save as Draft
x History of the page content (content archive)
x Create a survey form or any other type of online web
form
x Create navigation pages (top/left menus)
x Create new calendar and create/edit calendar events
x Edit metadata
Advanced Administrator Training (How to)
x Run back-end reports
x Run Google Analytics reports
Training on use of specific Modules included, such as:
x Emergency Notification Center
ATTACHMENT A
684
6 x Public Service Request App
x Web Calendar
x E-Notify
x Quick Links
x Document Center
x Form Center
x News Center
x Frequently Asked Questions
x Request Center
x Bid Posting Center
x Job Posting Application
x RSS
2.1.8 Contractor shall provide analytical tools using Google Analytics for City monitoring of website visitor statistics to improve content and Search Engine Optimization (SEO).
2.1.9 Contractor shall integrate the City’s logo and brand identity and support photos, videos, audio, and documents that are City work product.
2.2 The Contractor shall provide five (5) years of service with a redesign at no additional charge in year four (4).
3. Specifications
3.1 Design, development, and implementation will include:
3.1.1 Main menu navigation and home page wireframes, page layout and module placement.
3.1.2 Customized template development.
3.1.3 CMS module setup and any future updates.
3.1.4 Content development and content migration from the City’s existing website(s).
3.1.5 Go Live redirect of domain with 24-hour monitoring immediately following the transfer.
3.1.6 Amazon Web Services (AWS) hosting Infrastructure.
3.2 Modern, flexible interface with responsive design:
3.2.1 Navigation and content aligned with W3C (World Wide Web Consortium) standards.
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7 3.2.2 Compatible with Android, iPhone, Apple/Mac, and Windows Operating Systems.
3.2.3 Supports all common internet browsers, including Chrome, Safari, Fire Fox and Internet Explorer/Edge - current and older versions.
3.2.4 Responsive web design that conforms and optimizes the website for all user devices and view modes.
3.2.5 Fully compatible with screen readers and other interfaces used by those who are hearing or visually impaired.
3.2.6 Provides liquified content, image tiles, parallax scrolling.
3.2.7 Embedded social media feeds from multiple social networks, including, but not limited to, Facebook, Twitter, LinkedIn, and YouTube.
3.3 Secure hosting, visitor interactions and transactions, and Extranet employee access:
3.3.1 Product must meet or exceeds all City cybersecurity requirements at implementation and on-going, protecting customer and City data and equipment, securing the
content, access to the content on the web server, to
snapshots, configurations, and infrastructure.
3.3.2 System monitoring 24/7 with system back-up every 24 hours.
3.3.3 Browsing encrypted (HTTPS) site with valid SSL certificate, verified by a trusted third-party, and kept up to date by the vendor
3.3.4 Secure (single sign-on, password access) employee Intranet/Extranet with remote access.
3.3.5 Active Directory (LDAP) adapted to City’s configuration and needs.
3.3.6 Supports Microsoft Active Directory or Microsoft Azure Active Directory for employee single sign-on authentication when accessing the CMS to edit the website.
3.3.7 Complies with all current security standards with SOC 1/ISAE 3402, SOC 2, SOC 3, FISMA, DIACAP, and
FedRAMP, PCI DSS Level 1, ISO 9001, ISO 27001, ISO
27017, ISO 27018 and other programs. Vendor is
responsible for securing the content, access to the content on the web server, to snapshots, configurations, and
infrastructure.
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8 3.4 ADA compliant with CMS restri ctions that prevent posting or content development that does not meet Section 508
requirements.
3.4.1 Meets print and contrast requirements, with font size adjustment; supports screen-reader technology and can be audio enabled.
3.5 Proprietary CMS (Content Ma nagement System) Software License developed for and provided to the City.
3.6 Language translation for websit e content using the most current version of Google Translator.
3.7 Integrated with all City existing applications as described in Sections 1.5 and 2.1.6 (above).
4. Major Deliverables
4.1 A completely functional implementation with all features as described in the project scope and specifications, subject to City staff’s review, assessment, and acceptance of the end-product.
4.2 Service response times that prov ide system availability of 99.99%.
4.3 With timely reporting and referral of faults, issues and problems, Contractor will meet the following service response intervals, based on agreed upon fault matrix:
Crisis Ur
gent Critical Normal
Request
for
Services
Priority Immediate Ur gent Hi gh Normal Normal
Time for
Response < 1 hour 1 Hour 4-6 Hours 24 hours
Dependent
Upon
Request
Report
Method
Contractor
Live Phone
Support
Contractor
Customer
Portal
Contractor
Customer
Portal
Contractor
Customer
Portal
Contractor
Customer
Portal
Note: All times indicated represent telephone response time during specified working hours of 8:00 a.m. to 8:00 p.m. Eastern Time, Monday through Friday.
Contractor Customer Portal is monitored 24 hours a day.
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9 5. Tasks That Support the Deliverables
Total implementation is 16 to 21 weeks and includes the following major task areas:
5.1 Phase 1: Project Planning and Analysis Kickoff Meeting (3 Weeks)
5.2 Phase 2: Design Mockups/Wireframes (5 Weeks)
5.3 Phase 3: HTML Template Development (3 Weeks)
5.4 Phase 4: CMS Integration & Module Setup (4 Weeks)
5.5 Phase 5: Customer Development & Quality Assurance Testing (ongoing – overlaps with remaining phases) (2 Weeks)
5.6 Phase 6: Sitemap Development / Content Migration (2 – 4 Weeks)
5.7 Phase 7: Content Editor and Web Administrator Training on new website, final content changes and “Go Live” preparation (2 Weeks)
5.8 Phase 8: Go Live (1 Week)
6. Criteria of Acceptance for Deliverables
6.1 All elements outlined by the project scope in Section 2 must be fully implemented as described, system must meet all specifications, and tasks outline in Section 5 fully executed.
6.2 Contractor expects to complete this project according to Exhibit A and Exhibit F. Upon Completion of CMS Editor Training, it will be the City’s responsibility to decide when to “go-live” with the website. City decision to delay go-live for any reason, unrelated to a functional defect making the site inoperable, does not constitute breach of contract on the part of Contractor. City also acknowledges that satisfaction related to visual and experiential services like that of a website design project can be subjective. Both parties agree that this project is a collaborative project and will work in good faith to “fine-tune” final deliverables in preparation for go-live of new website. Parties further agree that generalized dissatisfaction related to the aesthetic aspects or services previously approved by the City does not constitute a breach of contract unless Contractor fails to cure the functional defect with the website. City may also elect to postpone or delay certain deliverables in favor of earlier go-live date of the website.
7. Notices
Pursuant to Exhibit C – General Terms and Conditions, Paragraph 15 – Notices, the mailing address for all required notices is as follows:
Contractor: REVIZE LLC City: City of Stockton
Revize Software Systems, LLC Attn: City Manager
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10 150 Kirts Blvd 425 N. El Dorado St.
Troy, MI 48084 Stockton, CA 95202
8. Key Personnel
Contract Lead: Joseph Nagrant, Business Development Director Telephone: 248-269-9263
Project Lead: Thomas J. Jean, Project Manager
Telephone: 248-269-9263 x 8035
Email: [email protected]
Project Manager: Connie Cochran, Community Relations Officer City Manager’s Office
Telephone: 209-937-8827
Email: [email protected]
Technical Lead: (TBD by City of Stockton IT Department)
9. Option to Renew
The term of the Agreement will be five (5) years.
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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 (non- owned), 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.
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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, pproperty 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.
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PPrimary 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
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$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.
AAcceptability 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 claims- made 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.
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SSubcontractors
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 A
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(Rev. 10.30.18; Mod 07.12.22 SG)
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.
5. Ownership of Work . All reports, work product, all other documents completed or partially completed by Contractor or its appr oved subcontractors, in performance of this Agreement, and if applicable, drawings, desi gns, and plan review comments shall become the property of the City. Any and all copyrightabl e subject matter in all materials is hereby assigned to the City and the Contractor and its approved subcontractors agree
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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 an y 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
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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 necessa ry, 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 Agreem ent 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 Agr eement 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. 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.
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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 paym ent may arise under this Agreement until funds are made available and until the Cont ractor 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 Cit y, in its sole discretion, shall have the option to either (a) cause this Agreement to be canceled or terminated pursuant to applicable provisions of the Agreement; or (b) offer to 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. To the fullest extent permitted by law, Contractor shall hold harmless, defend and indemnify City of Stockton and its officers, officials, employees and volunteers from and against any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) of every nature arising out of or in connection with Contractor’s performance of work hereunder or its failure to comply with any of its obligations contained in the Agreement, except such loss or damage which was caused by the sole negligence or willful misconduct of the City of Stockton. Th is 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.
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 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.
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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 peri od of three (3) years from the date that final payment is made. At any time during no rmal 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.
19. Confidentiality . Contractor shall exercise reasonable precautions to prevent the unauthorized disclosure and use of City reports, information or conclusions.
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, 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.
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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, r epresentatives 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 serv ices 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 subcon tractors 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 u nder 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.
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.
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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.
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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 q uantifiable 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 A
702
2 (Rev. 07.12.22)
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 exerci se 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 Contract or of its responsibility for the professional skill and care and technical accura cy 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 A
703
3 (Rev. 07.12.22)
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 A
704
4 (Rev. 07.12.22)
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.
11. Applicable Laws
Deliverables must conform with all applicable federal, state, and local laws. Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not engage in prohibited transactions with sanctioned persons or entities.
ATTACHMENT A
705
1 (Rev. 10.30.18)
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 $193,100.00 (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 reimbu rsed 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.
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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.
1.5 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 10%.
2. Price. Below is the price for the services and reimbursable expenses as described in Exhibit A of this Agreement.
Pricing
Pricing is reflected in the table below and includes:
Contractor Annual Software Subscription, Tech Support, CMS Updates, and Website Hosting, pre-paid annual fee, Unlimited Users, Unlimited GB website storage, and Includes Service Level Agreement:
Pricing Year 1 Year 2 Year 3 Year 4 Year 5
Implementation $137,500
Annual Subscription $13,900 $13,900 $13,900 $13,900
Total Annual Costs $137,500 $13,900 $13,900 $13,900 $13,900
Should the implementation extend beyond Year 5, a redesign is included at the end of Year 4 at no additional cost.
Payment Schedule
Payment Amount Payment Date Includes
$68,750.00 11/15/2022 50% of 1 st Year Project Costs
$68,750.00 2/15/2023 50% of 1 st year Project Costs
$13,900.00 11/15/2023 Year 2 of Annual Hostin g & Maintenance $13,900.00 11/15/2024 Year 3 of Annual Hostin g & Maintenance $13,900.00 11/15/2025 Year 4 of Annual Hostin g & Maintenance $13,900.00 11/15/2026 Year 5 of Annual Hostin g & Maintenance
Contractor requires payment for 50% of 1st Year Project Costs to begin work, and work will begin upon receiving initial payment.
Contractor will register with and submit invoices through the City of Stockton Vendor Self-Service Portal. Registration information and portal access is available at www.stocktonca.gov/purchasing.
3. Additional Fees. Should an amendment to the Agreement be issued for additional services that require the following items, the unit prices are as follows:
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Title Unit Price
Additional content migration $3 per page
Additional bandwidth $360 per year/per 50GB per month
Additional website storage $500 per year for each additional 10GB
4. 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 through the City of Stockton Vendor Self-Service Portal (See Section 2 above) with a copy forwarded to the below address:
City of Stockton City Manager’s Office
Attention: Community Relations Officer
425 N. El Dorado Street
Stockton, CA 95202
ATTACHMENT A
708
1 (Rev, 10.30.18)
EXHIBIT F
TIMELINE
1. Consultant shall complete the requested services identified in Exhibit A as follows:
1.1 TIMELINE FOR COMPLETION OF WORK
1.1.1 Phase 1: Project Planning and Analysis Kickoff Meeting 3 weeks
1.1.2 Phase 2: Design Mockups/Wireframes 5 weeks
1.1.2.1 One (1) mockup with unlimited rounds of changes
1.1.2.2 Home page template and inner page design and layout
1.1.2.3 Departmental mockup with unlimited rounds of changes
1.1.2.4 Includes Responsive Web Design
1.1.3 Phase 3: HTML Template Development 3 weeks
1.1.4 Phase 4: CMS Integration & Module Set-up 4 weeks
1.1.3.1 Set-up all CMS modules listed in this agreement
1.1.3.2 Integration with all 3rd party web applications
1.1.5 Phase 5: Quality Assurance Testing,
Customer Development & Accessibility 2 weeks
1.1.6 Phase 6: Site Map Development and Content Migration 4 weeks
1.1.6.1 Site map development and content migration from old website including spell checking and style corrections – Full migration of all webpages and documents
1.1.7 Phase 7: Core Editor Training, Beta Site Review, & 2 weeks Full Staff Training
1.1.8 Phase 8: Go Live 1 week
ATTACHMENT A
709
Website Redesign, Development,
Implementation, Hosting & Maintenance
CITY COUNCIL MEETING
AGENDA ITEM 15.1
NOVEMBER 15, 2022
710
History
Current Website “Old”
• Core legacy website - 2 010/2011
• Home page & Stockton Police Department
w
ebpages – 2016
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What has
changed during
the lifespan of the
City’s website?
Website Circa 2010
• Left column navigation
• Text-he avy format
• Clip Art
• “Click Here”
Technology Trends
• Flip Phone, Sidekick, BlackBerry v. Smartphones
• eBay v. Amazon
• Blockbuster v. On-dem and/Streaming
• Newspapers v. Social Media
• IT servers v. “The Cloud”
• Attending meetings in-per son v. Online
• Voice-a ctivated personal assistants
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Current Challenges
1. Antiquated navigation, design & aesthetics
2. Screen design not responsive to mobile devices
3. Not image or video friendly
4. Updating content difficult; content missing or outdated
5. Dual hosting redirects Home page
6. Does not display as secure (HTTPS)
7. ADA requirements not consistently applied
8. Language translations not embedded
9. Timely data analytics not available to make improvements
10. Departments seek third-party applications to avoid website 713
Solution
• Request for Proposal (RFP) 2022
• Eleven (11) responses received
• Revize S oftware Systems, LLC, selected:
Design, Develop, Implement, Host, Support & Maintain
Secure Hosted Solution – f
or City and visitors
Americans with Disabilities Act (ADA) compliance
Google Translate (over 100 languages)
Integrates with existing third- party applications
Provides Training/Support/Reliability
Analytics/Data
Branding, news, events, photos and videos
714
Local Government Experience
California…
City of Monterey
City of Arcadia
City of Camarillo
City of Pacific Grove
Other States…
City of Olympia, Washington
Clark County, Nevada
City of Des Moines, Iowa
St. Petersburg, Florida
715
Functionality & Features
• Vendor assistance with exporting content
• Roles & Permission- based Security Mode
Easy to use Content Management System (CMS)
Workflows by department
• Responsive web design
• Photo gallery/supports video
• Font size adjustment
• Web Statistics & Analytics
• Intranet
• Secure website
Maintained & supported by vendor
• Web Calendar
• News Center
• Social Media Integration
• Bid Posting
• Job Posting App
• Document Center
• Google Translator
• Quick link buttons
716
Implementation
1. Initial meeting - co mmunications
strategy – 3 weeks
• Design, navigation, content,
imag
e/branding
• Choose which modules to implement
2. Discovery & Design – 5 w eeks
• Survey link for community
• Work with Designer navigation, look,
fe
el, layout
3. Template Development – 3 w eeks
4. Content Management System &
Mod
ules – 4 weeks
5. Testing functionality, programming &
perf
ormance – 2 weeks
6. Sitemap development & content
mi
gration – 2 to 4 weeks
7. Staff training – 2 w eeks
8. Finalize – 1 week
717
Recommendation
1. Approve a contract with Revize Software Systems, LLC, of Troy, Michigan, to design, develop, implement, host and maintain a website for the City of Stockton, for a total not-to-exceed $193,100, to replace the existing website platforms 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. Authorize the City Manager, or designee, to take all necessary and appropriate actions necessary to carry out the purpose and intent of this motion.
718
City of Stockton
Legislation Text
File #: 22-1022, Version: 1
DISCUSSION REGARDING THE ESTABLISHMENT OF A COMMERCIAL VACANCY ORDINANCE
RECOMMENDATION
It is recommended that City Council postpone consideration of a draft ordinance until:
1. Neighborhood Services is fully staffed; and
2. Public Outreach has been completed; and
3. A comprehensive needs assessment regarding this program has been completed .
Summary
The purpose of a vacant commercial building registration and monitoring program is to discourage property owners from allowing buildings to remain vacant, ensure they are properly secured and maintained, help prevent the buildings from becoming a burden to the residents and taxpayers of the City, and provide the basis for returning the properties to their intended use.
The draft addition of Title 15, Chapter 15.34 would create a requirement for commercial property owners to register vacant buildings not subject to an identified exemption.
DISCUSSION
Background
At the request of the City Council Legislation/Environmental Committee and based on the information provided by the Committee, the City Attorney’s office drafted an addition to Title 15 of the Stockton Municipal Code which would create a new Code section (15.34, Attachment A) related to vacant commercial properties, and establish a new property registration program for said properties.
Property owners would be required to register their buildings 30 days after the building becoming vacant. Under this draft code section, a property is considered vacant after greater than 50% of the commercial units in the building have been unoccupied for over 180 days.
Present Situation
The Neighborhood Services Division of the Police Department is responsible for enforcing the Stockton Municipal Code throughout the city. The main impacts of this program will be to this division. A critical component of the implementation of a program of this nature will be availability of trained field inspection staff. On average during the 2021-22 Fiscal Year, Neighborhood Services City of Stockton Printed on 11/9/2022Page 1 of 2
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File #: 22-1022, Version: 1
had ten (10) Code Enforcement Officers working out of 21 approved positions. During this time the team had 13,555 cases, averaging 1,356 cases per officer. For effective management and case resolution at this staffing level, each code enforcement officer should handle approximately 960 cases. This means that during this period, the team was overburdened by 41%. As of September 2022, 12 of the 21 positions are filled, with the other nine (9) vacancies actively being recruited. The existing 21 positions, if filled, are sufficient to handle current workload.
If this draft ordinance and commercial vacancy program is to be implemented, it is imperative that the City hire and retain appropriate personnel. The department must first reach an acceptable caseload level per officer before a program of this nature can be started. Filling the 9 vacant positions is essential, however additional staff will be needed for successful program implementation. In addition to staffing considerations, technological improvements will also be needed to track and manage registration information. If Council directs the City Manager to proceed with this effort, staff will need at minimum 12 months to provide a public outreach campaign, recruit and train personnel, and acquire and implement software and equipment.
This program will also impact other departments. The Community Development Department, Fire Department, and Administrative Services Department will also require staffing adjustments to effectively administer this program.
FINANCIAL SUMMARY
It is anticipated that this program as described in the attached draft ordinance will require the department to increase budget expenses estimated between $600,000 to $1 million for personnel, software, equipment, and related ancillary costs. Detailed financial impacts will require further analysis.
Attachment A - Vacant Commercial Property Registration Ordinance City of Stockton Printed on 11/9/2022Page 2 of 2
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ORDINANCE NO.
AN ORDINANCE ADDING TITLE 15, CHAPTER 15.34, TO THE STOCKTON
MUNICIPAL CODE, RELATED TO COMMERCIAL VACANCY REGISTRATION
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
SECTION I. FINDINGS AND INTENT.
Vacant commercial buildings are a major cause and source of blight, especially when the owner fails to actively maintain and manage the building. Vaca nt buildings, whether boarded, substandard, unkempt, or long-term vacant discourage economic development, hinder the appreciation of property values, and have a detrimental impact on the economic viability of commercial areas. Vacant commercial buildings a re an attractive nuisance to children, a harborage for rodents, an increased fire hazard and invite criminal activity, such as squatting, vandalism and dumping. These activities and the eyesore of boarded, substandard, and unkempt vacant buildings deter would-be customers from the area and negatively impact surrounding neighborhoods.
One (1) vacant commercial building that is not actively and well maintained and managed can be the core and cause of spreading blight. A long -term vacant building, even in the absence of code violations, is detrimental to the health, safety , and welfare of the community and contrary to the intended property use. Vacant commercial buildings require more frequent monitoring by code enforcement, police, and Building Department staff. This is a disproportionate use of resources that diverts staff time and resources away from addressing other issues in the community and results in a greater cost to the City. These costs should be borne by the property owner and not the community at large.
The purpose of the vacant commercial building registration and monitoring program is to discourage property owners from allowing buildings to remain vacant, ensure they are properly secured and maintained, help prevent the buildings from becoming a burden to the residents and taxpayers of the City and provide the basis for returning the properties to their intended use.
The provisions of this section are to be supplementary and complementary to all the provisions of the City Code, State and Federal law, and any other statutes or regulations, and nothing in this section shall be read, interpreted, or construed in any manner so as to limit any existing right or power of the City to abate or prosecute any and all violations and nuisances.
SECTION II. AMENDMENT OF CODE.
Title 15, Chapter 15.34 is hereby added to the Stockton Municipal Code as follows:
ATTACHMENT A
721
2 Chapter 15.34 VACANT COMMERCIAL PROPERTY REGISTRATION
15.34.010 Title. This ordinance codified in this chapter shall be known as “Vacant Commercial Building Ordinance” and is hereinafter referred to within this Chapter 15.34, as “this chapter.”
15.34.020 Purpose. Recognizing that abandoned and vacant buildings contribute to blight in the city, discourage economic development , and diminish appreciation of property values, endanger public health and safety, attract criminal activity, and create fire hazards, it is the responsibility of property owners to prevent buildings from becoming a burden to the neighborhood and community and a threat to the public health, safety, and welfare. The city council finds that vacant buildings result in increased expenditures for police, fire, and code enforcement inspections and calls. Maint enance of the public health, safety, and welfare thus requires the City to maintain an accurate registration of all vacant commercial buildings and to impose each of the requirements, procedures and penalties set forth herein.
15.34.030 Definitions. For the purposes of this chapter, the following terms are defined as set out in this section:
A. "Commercial building" means a building, accessory structure, mobile or modular structure, or other structure adapted to permanent occupancy for commercial purposes. A "commercial building" also includes any structure, or any portion of a structure, located within the city and designed or intended for occupancy as a hotel or motel.
B. "Commercial unit" means each separate space within a commercial building designed or intended for occupancy.
C. "Securing" as used in this chapter is the same a s defined under Chapter 15.32.
D. "Vacant commercial building" means a commercial building where greater than fifty percent of the commercial units within the building have been unoccupied for over 180 days, unless one of the following applies:
1. There is a valid building permit for alterations or rehabilitation, excluding standard maintenance and repairs, of the commercial building per the requirements of the California Building Code.
2. The owner or leaseholder has filed an application for required permits for the lawful use and occupancy of the commercial building, where the application is still active per the requirements of this code.
3. In the case of a structure or portion of a structure designed or intended as a hotel or motel the owner or operator is actively engaged in
ATTACHMENT A
722
3 operating such premises as a hotel or motel. At a minimum, active engagement as a hotel or motel requires that the owner or operator participate as a certified registrant of the Uniform Transient Occupancy Tax Ordinance of the City of Stockton with respect to such premises. At least 50% of units within a hotel or motel must be vacant to fall within this definition.
15.34.040 Registration.
A. The owner(s) of a vacant commercial building shall within 30 days after it has become vacant as defined in this chapter, register the commercial building with the Stockton Police Department – Neighborhood Services on a form provided by the department.
B. The annual fee, in an amount established by city council resolu tion, shall accompany the registration form and be paid annually for the duration of vacancy. Funds derived from said fee shall be used to offset the City’s cost of inspection, administration, and enforcement under this chapter.
C. Any subsequent owner of a vacant commercial building must register or re - register the building with the city designated officer within 30 days of any transfer of any ownership interest in the building.
D. Registered commercial buildings subject to this chapter shall remain registered as long as the properties remain vacant. If the owner, or a lawful tenant of the owner, occupies the premises in a manner that complies with this chapter and with all other applicable provisions of state and local law, the commercial building may be removed from the department's registry. A commercial building may be removed from the registry upon owner’s submission of a de-registration form provided by the department and subject to department approval confirming occupation.
15.34.50 Registration Requirements.
A. The required registration shall be submitted on the form provided by the city and shall include:
1. The name, current mailing address, phone number and any other contact information of the owner and property manager or responsible party as well as the names and addresses of all known lien holders and all other parties with a legal or equitable ownership interest in the building.
ATTACHMENT A
723
4 2. The addresses of the commercial building and the Assessor Parcel Number(s).
3. Square footage and occupancy rating(s) of the commercial building.
4. State the most recent legal use(s) of the commercial building.
5. The period of time the commercial building is expected to remain vacant, and a plan and timetable for returning the commercial building to appropriate occupancy or use.
6. Statement as to whether there is fire and liability insurance coverage.
7. Methods by which the owner has secured the commercial building against unauthorized entry.
8. Provide such other information as the department may require.
9. Proof of insurance in compliance with section 15.34.100.
E. Upon registration of a vacant commercial building pursuant to this chapter, the owner shall be required to provide authorization to the City of Stockton Police Department to arrest for trespassing pursuant to California Penal Code Section 602, any persons found on the property without the owner's consent or without lawful purpose.
15.34.060 Signage. Any vacant commercial building shall be posted with the name and twenty -four-hour contact phone number of the trustee, beneficiary, owner, realtor, or property management company. The posting shall be no less than eighteen by twenty-four (18 x 24) inches and shall be of a font that is legible from a public right of way and shall contain along with the name and twenty -four-hour contact number the words "THIS PROPERTY MANAGED BY" and "TO REPORT PROBLEMS OR CONCERNS CALL." The posting shall be placed on the interior of a window facing the street to the front of the property so it is visible from the street or secured to the exterior of the building or structure facing the street to the front of the property so it is visible from the street; if no such area exists, the posting shall be placed on a stake of suffic ient size to support the posting in a location that is visible from the street to the front of the property but not readily accessible to vandals. Exterior postings must be constructed of and printed with weather resistant materials. Compliance with this s ection shall satisfy section
15.32.050(C) if applicable.
ATTACHMENT A
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5 15.34.070 Inspection by City.
A city designated officer or their appointee may inspect or cause to be inspected any premises in the city for the purposes of enforcing and assuring compliance with the provisions of this chapter, the fire code, and safeguarding the health, safety, and welfare of the general public. Upon the request of a city building official, code enforcement officer, fire marshal , or a designated appointee, an owner shall prov ide access to all interior portions of any vacant commercial building or suspected vacant commercial building in order to permit inspections.
15.34.080 Owner Inspection Requirements.
A. The owner(s) or their property manager shall inspect a vacant commercial building on a monthly basis to determine if the building is in compliance with this chapter or if notification of noncompliance is reported to the owner(s) or their local property manager. The property shall be brought back into complianc e with this chapter within 30 days of it becoming out of compliance herewith.
15.34.090 Penalties.
A. Violations of this chapter shall be treated as a strict liability offense regardless of intent. Any person, firm and/or corporation that violates any portion of this chapter shall be subject to prosecution, public nuisance abatement and/or administrative enforcement pursuant to Chapter 1.24 of the Stockton Municipal Code or any other enforcement and legal remedies available to the city under the law.
B. All penalties assessed shall be payable directly to the city.
C. Any and all civil penalties assessed under this section shall be billed to the owner or other responsible party. Failure or refusal to pay any and all such penalties permits the city to pursue any and all available legal remedies for the enforcement and collection of such penalties; including but not limited to, civil actions being filed in any cou rt of competent jurisdiction, abatement of nuisances maintained in violation of this chapter, institution of injunction, mandamus, or other appropriate action or proceedings to enforce the penalty provisions of this chapter.
D. In addition to all other lawful remedies available to the city to address any violation of this chapter, the code compliance officer or his or her designee may impose an administrative penalty pursuant to Chapter 1.40.
ATTACHMENT A
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6 15.34.100 Liability Insurance.
The property owner shall maintain liability insurance on vacant buildings subject to registration. A certificate of insurance for each vacant property shall be provided to the City with the vacant building registration form, whenever an insurance policy has expired, when there is a change of insurance carrier, and upon request from the City. All insurance policies for vacant property shall require notice to the City in the event of cancellation of insurance or a reduction in coverage. The minimum coverage amount shall be $1,000,000.00 of general liability coverage.
SECTION III. SEVERABILITY.
If any provision of this ordinance or the application thereof to any person or circumstance is held invalid, that invalidity shall not affect other provisions, or applications of the fact which can be given without the invalid provision or application, and to this end the provisions of this act are severable.
SECTION IV. EFFECTIVE DATE.
This ordinance shall take effect and be in full force July 1, 2023 days after its passage.
ADOPTED: ___________________
EFFECTIVE: ___________________
_____________________________
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
______________________________
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
ATTACHMENT A
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NEW BUSINESS RELATED TO ESTABLISHING
A COMMERCIAL VACANCY REGISTRATION
City Council Meeting
November 15, 2022
Agenda Item 15.2
727
Background
• Request of the City Council Legislation/Environmental C
ommittee
• Goal of establishing a new property registration
prog
ram for commercial vacant buildings
• Register after 30 days
• Greater than 50% units unoccupied for over 180
d
ays
• City Attorney’s Office drafted an addition to Title 15 of th
e Stockton Municipal Code (SMC)
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Estimated
250
Buildings
Key Observations
Involved
Departments:
• Fire Prevention
• Building
• Business License
• Economic Dev.
Enforcement
Approach Will
Impact
Staffing
Requirements
Housed in
Neighborhood
Services
729
Tool
Database
Program Administration: Tools & Tasks
Tasks
Initial
Registration
Review
Billing & Mailing Correspondence
InspectionsDatabase
Administration
730
Staff FTEs
• Low: 2.25
• High: 7.5
Program Administration: Staff & Cost Estimate
Staff Cost
• Low: $250K
• High: $840K
Database Cost
• Initial: $100K
• Annual: $8K
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Present Situation
• Neighborhood Services Section (NSS) is responsible for enforcing th
e SMC for the City
• Need for trained staff
• 2021/2022 Fiscal Year
• 10 Code Enforcement Officers (CEO) working out of 21 approved po
sitions
• Over 13,500 cases
• 1,350 cases/CEO
• 950 cases/CEO
• Overburdened by 41%
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Recommendation
It is recommended that City Council postpone
consideration of the draft ordinance until:
• NSS is fully staffed
• Public Outreach has been completed
• Comprehensive needs assessment completed
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City of Stockton
Legislation Text
File #: 22-1025, Version: 1
TEFRA PUBLIC HEARING FOR GOODWILL INDUSTRIES OF SAN JOAQUIN VALLEY, INC., LOCATED AT 4533 ALITALIA AVENUE
RECOMMENDATION
It is recommended that the City Council adopt a resolution to:
1. Conduct a public hearing under the requirements of TEFRA and the Internal Revenue Code of 1986, as amended (the “Tax Code”).
2. Approve the issuance of $14,500,000 of California Enterprise Development Authority (“CEDA”) tax-exempt conduit obligations for the benefit of Goodwill Industries of San Joaquin Valley, Inc., to provide for the financing of the Project (as defined herein), such adoption is solely for the purposes of satisfying the requirements of TEFRA, the Tax Code and the California Government Code Section 6500 (and following).
Note: The tax-exempt conduit obligations will not be a debt of the City, nor will they obligate the City in any way.
3. Authorize the City Manager, or designee, to take actions that are necessary and appropriate to carry out the purpose and intent of the resolution.
Summary
Goodwill Industries of San Joaquin, Inc., (Goodwill) is a California nonprofit public benefit corporation and operates its corporate office, retail shop, and bulk buying location in Stockton. Goodwill will be receiving tax-exempt financing from the California Enterprise Development Authority (“CEDA”) to finance, refinance and/or reimburse the cost of acquiring, constructing, improving, equipping, and furnishing a commercial facility located at 4533 Alitalia Avenue, Stockton, California (the “Facility”) for the use of its corporate headquarters and distribution facility.
This hearing will satisfy the public approval requirement of the Tax and Equity Fiscal Responsibility Act (TEFRA), Section 147(f) of the Internal Revenue Code of 1986. The City Council is being asked to adopt a resolution that would approve the issuance of tax-exempt and/or taxable conduit revenue obligations by CEDA in an aggregate principal amount not to exceed $14,500,000 (the “Obligations”).
CEDA will loan the proceeds of the Obligations to Goodwill pursuant to one or more loan agreements.
The proposed Obligations will not be a debt of the City, nor will they obligate the City in any manner.
The role of the City Council is limited to, conducting the public hearing to certify the public benefit of this project for the purpose to facilitate financing for the project by CEDA.
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File #: 22-1025, Version: 1
DISCUSSION
Background
The TEFRA process requires the Borrower to use a third party to issue bonds. CEDA is a joint exercise of powers authority (JPA) established by the California Association for Local Economic Development (CALED) to issue tax-exempt and taxable conduit revenue bonds to fund commercial and industrial development projects that provide a public benefit and serve residents within member jurisdictions. Cities and counties in California utilize joint powers authorities primarily for economies of scale, to access specialized transaction knowledge and resources, and to avoid using valuable local staff time on these transactions. There are more than 200 cities and counties that are associate members of CEDA.
Goodwill is working with CEDA for the tax-exempt and taxable conduit revenue bonds. Goodwill has asked the City for assistance to facilitate the financing of the purchase and improvements of the Facility. This assistance includes holding a public hearing under the TEFRA of 1982. The purpose of pursuing financing in this manner is to allow Goodwill to reduce its borrowing cost in owning its facilities, thereby preserving critical funds for Goodwill’s mission to provide on-the-job training to assist people with employment barriers to become self-sufficient, working members of the community. The City has used this process in the past for other requests. This process does not expose the City to financial risk.
Present Situation
Goodwill, a California nonprofit public benefit corporation and an organization described in Section 501(c)(3) of the Internal Revenue Code, has requested that CEDA issue, from time to time, an amount not to exceed $14,500,000 (the “Obligations”) for the benefit of Goodwill, as part of a plan to finance the acquisition, rehabilitation, improvement and equipping of a facility, located at 4533 Alitalia Avenue, Stockton, California, 95206 (the “Facility”). According to Goodwill, the project will:
· Provide more than 25 new jobs in the community.
· Allow Goodwill to increase the number of people with disabilities served. · Result in the diversion of more than 30% of materials from community landfills. · Result in an increase in the efficiency and safety of Goodwill’s workforce and those they serve.
The proceeds of the tax-exempt and/or taxable conduit revenue obligations will be used by Goodwill to:
a) finance, refinance and/or reimburse the cost of acquiring, constructing, improving, equipping , and furnishing the Facility, for use as the Borrower’s corporate headquarters and as a distribution facility; and
b) pay capitalized interest and certain costs of issuance in connection with the Obligations (together, the “Project”).
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File #: 22-1025, Version: 1
Outside of holding the TEFRA hearing and adopting the required resolution, no other participation or activity of the City, or the City Council, concerning the issuance of the Obligation is required. The proposed bonds will not be a debt of the City, nor will they obligate the City in any way. The role of the City Council is limited to conducting the public hearing to certify the public benefit of this project to facilitate financing for the project by CEDA.
City Council has previously approved the issuance of similar conduit financing for other projects, including $38 million in bonds to finance the construction of new student housing and other improvements for the University of the Pacific, approved on September 27, 2016, as well as multiple affordable housing rehabs.
Public Notice
Legal notice for the TEFRA public hearing is required to be published at least seven days in advance.
The notice for this hearing was posted on CEDA’s primary website address of <https://ceda.caled.org/>
at least seven days in advance and was published in The Record on October 25, 2022.
FINANCIAL SUMMARY
The Obligations are to be issued by CEDA. The City will incur no financial, legal, or moral obligation, liability, or responsibility for the Project or the repayment of the Obligations. All financing documents concerning the issuance of the Obligations will contain clear disclaimers that the Obligations are not obligations of the City or the State of California. This action only serves as a public acknowledgment by the local jurisdiction of the financing.
Attachment A - Vicinity Map
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ATTACHMENT A
VICINITY MAP
4533 Alitalia Ave.
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Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION APPROVING THE ISSUANCE BY THE CALFORNIA ENTERPRISE DEVELOPMENT AUTHORITY OF NOT TO EXCEED $14,500,000 AGGREGATE
PRINCIPAL AMOUNT OF THE CALIFORNIA ENTERPRISE DEVELOPMENT AUTHORITY’S REVENUE OBLIGATIONS FOR THE PURPOSE OF FINANCING,
REFINANCING AND/OR REIMBURSING THE COST OF ACQUISITION,
CONSTRUCTION, INSTALLATION, EQUIPPING AND FURNISHING OF CERTAIN
FACILITIES FOR THE BENEFIT OF GOODWILL INDUSTRIES OF SAN JOAQUIN VALLEY, INC. AND OTHER MATTERS RELATING THERETO HEREIN SPECIFIED
Goodwill Industries of San Joaquin Valley, Inc., a California nonprofit public benefit corporation and an organization described in section 501(c)(3) of the Code (the “Borrower”), has requested the California En terprise Development Authority (the “Authority”) to issue, from time to time, pursuant to a plan of finance, of one or more series of its tax-exempt bonds, notes, or other evidence of indebtedness in an amount not to exceed $14,500,000 (the “Obligations”) for the benefit of the Borrower pursuant to Chapter 5 of Division 7 of Title 1 of the Government Code of the State (commencing with section 6500) (the “Act”); and
All or a portion of the proceeds of the Obligations loaned to the Borrower will be applied to (a) finance, refinance and/or reimburse the cost of acquiring, constructing, improving, equipping and furnishing a commercial facility located at 4533 Alitalia Avenue, Stockton, California 95206 (the “Facility”), for use as the Borrower’s corporate headquarters and as a distribution facility; and (b) paying capitalized interest and certain costs of issuance in connection with the Obligations (collectively, the “Project”); and
Pursuant to section 147(f) of the Internal Revenue Code of 1986 (the “Code”), the issuance of the Obligations by the Authority must be approved by the City Council of the City of Stockton (the “City”) because the Project is to be located within the territorial limits of the City; and
The City Council of the City (the “City Council”) is the elected legislative body of the City and is one of the “applicable elected representatives” required to approve the issuance of the Obligations under section 147(f) of the Code; and
The Authority has requested that the City Council approve the is suance of the Obligations by the Authority in order to satisfy the public approval requirements of section 147(f) of the Code; and
Pursuant to section 147(f) of the Code, the City Council has, following notice duly given, held a public hearing regarding the issuance of the Obligations, and now desires 738
to approve the issuance of the Obligations by the Authority; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The foregoing recitals are true and correct.
2. The City Council hereby approves the issuance, in one or more series, from time to time, pursuant to a plan of finance, of tax-exempt and/or taxable Obligations by the Authority in an amount not to exceed $14,500,000 for financing, refinancing and/or reimbursing the cost of the Project. It is the purpose and intent of the City Council that this resolution constitutes approval of the issuance of the Obligati ons by the Authority for the purposes of section 147(f) of the Code by an applicable elected representative of the governmental unit having jurisdiction over the area in which the Project is located, in accordance with said section 147(f). This resolution shall also constitute the approval of the issuance of the Obligations by the Authority within the meaning of the Act.
3. The issuance of the Obligations shall be subject to the approval of the Authority of all financing documents relating thereto to which t he Authority is a party.
The City shall have no responsibility or liability whatsoever with respect to the Obligations.
4. The adoption of this Resolution shall not obligate the City or any department thereof to (i) provide any financing with respect to the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary with respect to the Project; (iii) make any contribution or advance any funds whatsoever to the Author ity or the Borrower; or (iv) take any further action with respect to the Authority or its membership therein.
5. The officers of the City are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and all documents which they deem necessary or advisable in order to carry out, give effect to and comply with the terms and intent of this resolution and the financing transaction approved hereby.
6. This resolution shall take effect immediately upon its adoption.
//
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7. The City Manager , or designee, is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED: November 15, 2022 .
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
740
Goodwill Industries
of San Joaquin Valley, Inc.
TEFRA PUBLIC HEARING
Stockton City Council
November 15, 2022
Agenda Item 16.1
741
Background
• California Enterprise Development Authority (“CEDA”) has requested approval to issue $14,500,000 of tax-exempt conduit financing on behalf of Goodwill Industries of San Joaquin Valley, Inc., a California nonprofit public benefit corporation.
• CEDA is a joint exercise of powers authority (“JPA”) established by the California Association for Local Economic Development (“CALED”) to issue tax-exempt and taxable conduit revenue bonds to fund commercial and industrial development projects that provide a public benefit and serve residents within member jurisdictions.
• There are more than 200 cities and counties that are associate members of CEDA.
• Bonds will be used to finance, refinance and/or reimburse the cost of acquiring, constructing, improving, equipping, and furnishing a commercial facility located at 4533 Alitalia Avenue for the use of Goodwill’s corporate headquarters and distribution facility. 742
TEFRA Hearing
• City Council approval is required by Tax and
Equity Fiscal Responsibility Act (TEFRA),
Section 147(f) of the Internal Revenue Code.
• The role of Council is to certify the public benefit
of the project for the purpose of facilitating
financing.
• The City will incur no financial, legal, or moral
obligation, liability, or responsibility for the
Project of the repayment of the financing.
• Public Notice
• Posted on CEDA’s primary website at
• Published in The Record on October 25, 2022
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The Project – Public Benefit
• Goodwill operates its corporate office, retail
shop, and bulk buying location in Stockton.
• 4533 Alitalia Avenue – The Project
• Provide more than 25 new jobs in the community.
• Allow Goodwill to increase the number of people
with disabilities served.
• Result in the diversion of more than 30% of
materials from community landfills.
• Result in an increase in the efficiency and safety of Goodwill’s workforce and those they serve.
744
Project Site
745
Recommendation
Adopt a resolution:
1. Conduct a public hearing under the
requirements of TEFRA and the Internal
Revenue Code of 1986; and
2. Approve the issuance of $14,500,000 of
CEDA tax-exempt conduit obligations for the
benefit of Goodwill Industries of San Joaquin
Valley, Inc. to provide for the financing of the
Project.
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City of Stockton
Legislation Text
File #: 22-1036, Version: 1
CONVENE A PUBLIC HEARING AND ADOPT BY MOTION TO APPLY FOR, ACCEPT, AND
APPROPRIATE GRANT FUNDING FROM THE CALIFORNIA INTERAGENCY COUNCIL ON
HOMELESSNESS (CAL ICH) FOR ROUND FOUR OF THE HOMELESS HOUSING ASSISTANCE
AND PREVENTION (HHAP) GRANT PROGRAM
RECOMMENDATION
It is recommended that the City Council adopt a motion to:
1. Convene a public hearing to review the City’s HHAP Round 4 Funding Application strategies, including an analysis of homeless demographics, needs, assets, and recommended outcome goals;
2. Approve the updated City of Stockton Homeless Action Plan;
3. Authorize staff to apply for, accept and appropriate Round 4 of the Homeless Housing, Assistance and Prevention Grant (HHAP 4) grant funds;
4. Authorize the City Manager, or designee, to enter a Standard Agreement for HHAP 4 funds with all its exhibits or other necessary documents consistent with the motion; and authorize the City Manager to approve consultant contracts that exceed the Stockton Municipal Code Section 3.68.060 spending limits to carry out administrative portions of the grant where necessary, and,
5. Authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of this motion.
Summary
The general purpose of HHAP funding is to build regional coordination and a unified regional response to reduce and end homelessness, informed by a best-practices framework focused on moving homeless individuals and families into permanent housing and supporting the efforts of those individuals and families to maintain their permanent housing. HHAP Round 4 funds build upon previous state allocations through the Homeless Emergency Aid Program (HEAP), HHAP Rounds 1 through 3, and targeted COVID-19 funding to address and prevent homelessness.
DISCUSSION
Background
Homeless Housing Assistance and Prevention Program Round 4 funding was issued on September 30, 2022. CAL ICH released the application for HHAP 4 program funding established under City of Stockton Printed on 11/9/2022Page 1 of 3
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File #: 22-1036, Version: 1
Assembly Bill 140 (Health & Safety Code § 50218.6, et seq.), which was signed into law by Governor Gavin Newsom on July 19, 2021, for approximately $1 billion in available funding.
Three rounds of HHAP funding have been released. The City of Stockton’s current allocations total to $17,407,480:
Round 1: $6,460,266
Round 2: $3,053,944
Round 3: $7,893,270
Round 1 and Round 2 funds have been received and are in the process of being disbursed to homeless service providers and affordable housing developers to meet a variety of needs, including shelter expansions and operations and new permanent housing projects.
On June 21, 2022, the City approved a multi-year spending plan for HHAP funds and authorized the submission of the HHAP Round 3 application. On September 4, 2022, CAL ICH approved the City’s request for HHAP Round 3 funds, however the formal agreement to accept and appropriate funds is still in process.
Present Situation
On September 30, 2022, CAL ICH released the application template for HHAP Round 4 funding.
Applications are due November 29, 2022.
The City’s funding allocation dollar amount under HHAP Round 4 will be released at a later date and is pending HUD certification of the 2022 Point in Time Count findings for all jurisdictions.
Per CAL ICH guidance and directions, City staff has worked in coordination with the San Joaquin Continuum of Care (CoC) and San Joaquin County to review updated data and key findings about the needs, assets, and demographics of homeless individuals, including youth, families, and veterans, and to establish regional goals and objectives.
The HHAP 4 community planning process included a review of the findings and recommendations from prior public planning processes, CoC meetings, relevant homeless reports and studies, and also included:
Oct. 25, 2022 CoC Data and HMIS Committee review of current and revised data provided by CAL ICH.
Oct. 27, 2022 Focus Group of Homeless Individuals at Saint Mary’s Dining Room.
Nov. 2, 2022 CoC Strategic Planning Committee review of goals and objectives.
Nov. 10, 2022 CoC General Membership Meeting, public discussion of findings and committee recommendations.
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File #: 22-1036, Version: 1
Through the HHAP 4 community planning process, the City’s measurable goals to address homelessness are updated to reflect current conditions and align with the regional goals developed in partnership with the San Joaquin Continuum of Care. Community partners, stakeholders, and people with lived experiences in homelessness also reaffirm the urgent need to create additional housing opportunities for people with extremely low incomes.
The City’s application requests funds in a manner consistent with emerging local needs and the Plan approved on June 21, 2022. Actual allocations will be dependent on the amount awarded to the City of Stockton. The City of Stockton Homeless Local Action Plan is updated as follows:
Goals are updated to reflect current conditions and align with the regional goals developed in partnership with the San Joaquin Continuum of Care.
Staff recommends adopting a motion authorizing staff to apply for, accept and appropriate HHAP Round 4, enter into the Standard Agreements and approve the City of Stockton Homeless Action Plan (Attachment A - Stockton Homeless Action Plan).
FINANCIAL SUMMARY
There is no financial impact to the City's General Fund or any other unrestricted fund as a result of this action. HHAP 4 grant funding will be appropriated in the Special Grant Fund, Housing Division.
Attachment A - Stockton Homeless Action Plan
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June 2022 City of Stockton Homeless Action Plan Page 1 of 50 Lo
cal Homeless Action Plan
Economic Development Department
City of Stockton
June 2022
Fin
al Approved Plan
City of Stockton
Economic Development Department
June 21, 2022
Am
ended
To include updates from the approved
Homeless, Housing Assistance and Prevention (HHAP) Program Application September 7, 2022
ATTACHMENT A
750
June 2022 City of Stockton Homeless Action Plan Page 2 of 50 Ta
ble of Contents
1. Introduction ______________________________________________________________ 3 Pur
pose of the Local Action Plan ______________________________________________________ 3 Guid
ing Principles __________________________________________________________________ 4 Re
search Methodology _____________________________________________________________ 6 Am
endments as of September 2022 ___________________________________________________ 7
2. Assessment of Current Conditions ____________________________________________ 7 De
scription of the Homeless Response System __________________________________________ 7 Ut
ilization of the Homeless Response System ___________________________________________ 9 Po
int in Time Count of People Experiencing Homelessness ________________________________ 12 Fe
edback from Stakeholders ________________________________________________________ 15 Ac
hievements: New and In the Pipeline _______________________________________________ 17 St
rengths and Challenges ___________________________________________________________ 19
3. Resource and Investment Landscape _________________________________________ 21 Ty
pes of Funding Allocated Towards Homelessness _____________________________________ 21 Pl
anned Revenues and Expenditures: July 2022 – June 2028 ______________________________ 21 HH
AP Budget Summary ____________________________________________________________ 23
4. Action Plan: Goals and Strategies ___________________________________________ 24 Ci
ty of Stockton’s Measurable Objectives ______________________________________________ 25 Goa
l 1: Establish a Coordinated and Engaged Regional System of Care ______________________ 27 Goa
l 2: Increase Access and Reduce Barriers to Homeless Crisis Response Services ____________ 30 Go
al 3: Ensure Households Experiencing Homelessness Have Access to Affordable and Sustainable Permanent Housing _______________________________________________________________ 32
5. Budget Chart Guide: FY 2020-2021 through FY 2027-2028 ________________________ 35
6. Appendix: Approved HHAP Application ______________________________________ 39
7. End Notes ______________________________________________________________ 50
ATTACHMENT A
751
June 2022 City of Stockton Homeless Action Plan Page 3 of 50
1. Introduction
Purpose of the Local Action Plan
In 2018, the Stockton City Council declared a local homeless emergency directing the City Manager and all applicable city departments to develop strategies and solutions to address homelessness. At that time Stockton (City) counted 311 unsheltered homeless individuals as residents of its communityi. Since then, much has been accomplished, but despite these efforts the number of people experiencing homelessness and living unsheltered on the street remains high. Most recent Point-in-Time (PIT) Count findings from a survey of homeless individuals conducted in January of 2022, found an estimated 1,370 homeless individuals in Stockton, of whom nearly 900 were unsheltered (65%).
The rise in homelessness experienced within the City of Stockton, and throughout San Joaquin County (County), is not unique. Across California, homelessness is soaring, with more than 230,000 individuals and families accessing homeless services statewide in 2021, according to the State’s Homeless Data Integration System (HDIS). Increases in homelessness can be attributed to numerous factors, including experiences of trauma, mental illnesses, substance use disorders and systems that fail to keep vulnerable individuals such as veterans, foster care youth, and families fleeing domestic violence safely housed. But the real cause for homelessness, according to all studies and reports, is that housing in California is scarce and expensive. There are simply not enough units at prices that people can afford.
Further, while housing costs have increased statewide, some of the largest price increases are in the Central Valley, with San Joaquin and Stanislaus Counties leading the state with 115% and 122% increases in housing costs, respectively, between 2010 and 2020ii. In Stockton, rental rates continue to climb from year-to-year, with average rents for one-bedroom apartments exceed $1200 a month, an over 13% increase in rental rates from the prior yeariii.
Now, on the heels of the COVID-19 pandemic, there has never been a more critical time to address homelessness in Stockton. As a City, this community weathered numerous trials during the course of the pandemic, but through it all city staff, civic leaders, youth, pastors, educators, retirees, health care providers, and businesses, worked jointly to address and combat the hardships experienced during the pandemic. Collectively, people came together in a moment of crisis to feed their neighbors, deliver urgent hygiene supplies and medications to all corners of the City, and to support each other in times of loneliness and isolation. Most critically, urgently needed federal relief funds were wisely invested in a range of projects to strengthen households and reinvigorate core infrastructure, including public restrooms and water stations, throughout the City. Nearly $40 million in emergency rental assistance was granted to more than 5,000 struggling households – keeping individuals and families safe and stable in their homes and averting homelessness.
Early indicators provide cautious optimism that these efforts are making a difference. State data indicate that the number of people accessing homeless services declined very slightly between 2019 and 2021, within the County and across the State. Findings provide a glimmer of hope that concerted efforts to prevent huge increases in homelessness, as the result of pandemic-related job losses, may have met intended goals. With employment rebounding, and COVID-19 shifting from pandemic status to a more manageable illness, the City can focus on longer term solutions to address and prevent homelessness.
ATTACHMENT A
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June 2022 City of Stockton Homeless Action Plan Page 4 of 50
This Local Action Plan (Action Plan) builds upon the collective efforts and actions of dozens of City and community leaders over the past several years to prevent and end homelessness and builds off of significant investments already under way through new state and federal funding to address homelessness. It takes as its guide two framing documents:
San Joaquin Community Response to Homelessness, a regional strategic plan developed in partnership between the San Joaquin Continuum of Care (SJCoC) and local governments.
Approved in 2020, by the SJCoC, San Joaquin County, and the Cities of Stockton, Lodi, Manteca, and Tracy, the Strategic Plan charts a framework of core goals and objectives to address homelessness in the region. (Strategic Plan)
Action Plan for Preventing and Ending Homelessness in California, a state plan adopted in March 2021, by the California Homeless Coordinating and Financing Council, articulates statewide objectives and describes guiding expectations for local governments receiving state funds to address homelessness. Most critically, the plan establishes uniform performance measures to be achieved through any state funding allocations. (State Plan) In the following pages, the City of Stockton Homeless Action Plan provides an assessment of homeless services and describes the experiences and recommendations of people who are living in Stockton without a permanent home. Section 3 describes the funding that is available, both state and federal funds to address homelessness and provides a comprehensive summary of how funding is being invested across three key strategy areas. It also includes recommendations on how to strategically utilize anticipated future state and federal allocations. Finally, Section 4, summarizes the specific project areas that the City will pursue to address homelessness. City efforts occur in collaboration with the County and neighboring cities. Section 4 concludes with a broader analysis of how City funded investments work in partnership with allocations made by SJCoC and the County.
Guiding Principles
The North Star goal, established by the 2020 Strategic Plan, is that homelessness will be rare, brief, and non-reoccurring. This vision recognizes that while some people may experience homelessness, existing services and supports should be able to make that incident short in duration and help put in place effective solutions to make homelessness a one-time occurrence. The Stockton City Council has given a clear directive that the City needs solutions to the homeless crisis, and that the availability of affordable housing is one of the biggest challenges to be addressed.
Vision: Homelessness should be rare, brief, and non-reoccurring.
Directive: Develop solutions to address homelessness, including increasing the affordable housing supply.
Goals: 1. Establish a coordinated and engaged regional system of care.
2. Increase access and reduce barriers to homeless crisis response services.
3. Ensure households experiencing homelessness have access to affordable and sustainable permanent housing solutions.
ATTACHMENT A
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June 2022 City of Stockton Homeless Action Plan Page 5 of 50
The City is also adopting the following guiding principles to guide the manner in which programs and practices will be implemented to address homelessness:
Promote housing first policies.
Measure and reduce disproportionate experiences.
Engage people with lived experiences in homelessness. Invest in systems and practices that work.
Coordinate with partner jurisdictions.
Commitment to Housing First Policies
Housing First is an approach to serving people experiencing homelessness that recognizes that a homeless person’s first and primary need is to obtain stable and safe housing, and that other issues, improving health, reducing harmful behaviors, and increasing income should be addressed once stable housing is obtained. People are housed quickly without preconditions or service participation requirements. Supportive services are offered to promote housing stability and prevent returns to homelessness. This approach to services removes barriers and encourages participation by individuals and families seeking services.
Commitment to Reducing Disproportionalities
The City is committed to addressing racial and ethnic disparities in the homelessness system and to integrate a racial equity lens in its work. Racial and ethnic disparities are present when the experiences of one population group are disproportionate to their total share of the population. Applying a racial equity lens is to deliberately set out to achieve a landscape where race and ethnicity are no longer predictors of life outcomes. This approach means not just addressing homelessness, but to also strengthen the power and capacity of diverse and marginalized communities to prevent displacement, increase housing stability, and promote long term financial security.
Commitment to Engaging People with Lived Experiences of Homelessness To promote the most effective services for the homeless population, the City is committed to partnering with people with lived experiences. Project plans are developed, implemented, and monitored with input of those who are experiencing homelessness and/or who have lived experiences of homelessness.
City homelessness grants will continue to value project partners that demonstrate their capacity to learn from the people they serve and to hire and promote those with lived experiences to decision-making roles.
Commitment to Best Practices
The City recognizes and promotes several core systems and service practices as critical and necessary to addressing homelessness. Among these are:
Coordinated Entry Systems. Coordinated Entry Systems (CES) provide a central location for homeless individuals to request services. CES use a validated assessment to prioritize and serve the most vulnerable individuals and to ensure fair and equal access to housing and services. Homeless Management Information System. The Homeless Management Information System (HMIS) is a federally mandated reporting tool for all homeless service agencies. California, and the City, likewise require funded homeless services agencies to enter contact and client information into the HMIS. Data reports derived from HMIS are used for state and federal reporting and guide planning and program monitoring at a local level.
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Measuring Impact. Through the use of standardized HUD Performance Measures, HMIS reporting and the PIT Count, the impact of programs and services can be measured, allowing funding to be targeted in the most effective manner. Low Barrier Approaches to Services. Programs and services do not screen people out for assistance because of perceived barriers to housing or services, including, but not limited to, lack of employment or income, drug or alcohol use, or having a criminal record. Programs and services have a welcoming approach and provide accommodations for people to retain their possessions, stay with their loved ones, experience privacy and dignity, and keep pets close by. Trauma Informed Services. Understanding the impact of past trauma on individuals will aid service providers in designing programs to help people heal. Many individuals have histories of abuse and violence which may result in fear, acting out and other negative interactions. To be effective, service providers need to understand trauma and how to address it. Person-Centered. All aspects of services incorporate participant choice. Choice can include location and type of housing, level of services, and other options allowing for participation in decision making.
Commitment to Collaboration and Partnerships
The City administers, coordinates, and distributes
funding for housing and homelessness services through
its Economic Development Department. Funding
allocations, program design, implementation, and
monitoring are conducted in partnership with the SJCoC, the County, and other local governments, as applicable.
The City maintains a seat on the SJCoC governing body
and City staff have attended all SJCoC membership
meetings, and currently serve on numerous committees,
including: Strategic Planning Committee, Data and HMIS
Committee, Shelter Committee, Outreach Committee,
Housing Committee, and Coordinated Entry System
Committee.
Research Methodology
This Plan reflects the input from many community members and an extensive review of data and reports. To fully understand the issues, concerns, and gaps in the services system, extensive interviews and discussions were held with individuals and families who are experiencing homelessness, individuals who had lived experiences of homelessness, youth with lived experiences of homelessness, administrators of the Public Housing Authority, the County Health Care Services Agency, and the County Whole Person Care homeless outreach initiative. Group discussions were held with the Housing Justice Coalition of the Reinvent South Stockton Initiative and the SJCoC Strategic Planning Committee.
The Plan also encompasses a survey, conducted by the United Way of San Joaquin, of 243 unsheltered individuals living in homeless encampments and other locations. Survey results provide valuable information on the challenges surrounding homelessness, including how to best serve unsheltered individuals and insight into why shelters are not at full capacity.
Continuums of Care: Continuums of Care
(CoCs) are local planning bodies that
coordinate federal funding allocations to
address homelessness and assist homeless
individuals and families move into permanent
housing. The federal Department of Housing
and Urban Development provides guidelines
for the operation and management of CoC
program activities and requires CoC’s to submit
annual reports on homelessness, including
counts of persons affected by homelessness,
service capacity and utilization data, and
performance benchmarks.
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The Plan is also based on the review and analysis of state and local data, reports, and needs assessments as described in the figure below.
Amendments as of September 2022
In July of 2022, following adoption of the Local Action Plan by the City Council, the California Interagency Council on Homelessness, provided the following feedback and comments to the Round 3 Application for Homeless Housing, Assistance and Prevention (HHAP) program submitted by the City of Stockton. • While the City may develop local goals, it is important that there is also alignment and consistency with the regional outcome goals.
Accordingly, this amended version of the Local Action Plan updates Section 4, Measurable Objectives with the Equity Objectives approved in the HHAP Application and adds a new section which incorporates the final approved elements of the HHAP Round 3 Application, including the regional outcome goals.
2. Assessment of Current Conditions
Description of the Homeless Response System
The major responsibilities to assist homeless individuals and families experiencing homelessness to obtain stable and maintain housing are principally divided between cities, counties, and Continuums of Care. Within the local region:
• SJCoC Meeting Minutes
• 2020 Strategic Plan
• 2021 Impact Report
• SJCoC Analysis of Racial Equity
Success of CoC-Funded Projects
• HHAP Rounds 1 & 2 Applications
• City Funding Detail
• County Regional Housing Allocation
United Way, City of Stockton,
SJCoC Partnership Survey of
243 Unsheltered Individuals
Persons w /Lived
Experiences :
• Youth
• Adults
• Families
Research Methodology Mixed Methods
SJCoC PIT Count Data
HMIS Data
Housing Inventory Count Data
State HDIS Data for County
• Housing Justice
Coalition
• Housing Authority
• Health Care Services
• Whole Person Care
• SJCoC Strategic
Planning Committee
Discussion Groups
Document Reviews
Encampment Survey
Local Data Analysis
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San Joaquin Continuum of Care serves as the regional coordinating entity over homeless services. The goal of the SJCoC is “to provide a comprehensive, coordinated homeless, housing, and services delivery system.” SJCoC is governed by a membership body and a 19-member governing board made up of representatives from local homeless serving organizations, people with lived experiences, representatives of different local governments, including the City of Stockton, and the Housing Authority of San Joaquin. SJCoC oversees the US Housing and Urban Development’s Continuum of Care Program funds and provides grants to organizations to meet the needs of the community. The County serves as the fiscal agent for the administration of SJCoC planning funds and project grants. The CoC is unstaffed, and day-to-day operations are completed through several standing committees led by volunteers.
San Joaquin County oversees the health and human services safety net system. Responsibilities include oversite for veterans’ services, public health care, behavioral health care, CalFresh, CalWorks, and access to health insurance, general relief, and other benefit programs. The Human Services Agency also oversees special programs to protect vulnerable individuals including older adults and children who have experienced neglect and abuse. Within the homeless system of care the County is responsible for maintaining the system that identifies and links those experiencing homelessness with existing services and supports. The County also receives local, state, and federal funds earmarked for homeless services and can allocate funds to meet identified needs.
The City of Stockton, like other local units of government, is responsible for the safety and wellness of its residents. Core functions include the maintenance of local roads and rights-of-way, the preservation of city waterways and parks, police and fire responses, assurance of safe buildings and residences, and the creation of a city environment conducive to the economic prosperity and wellbeing of its residents.
Within the homeless system of care the City is responsible for creating an environment in which a continuum of housing options exists and flourishes for people at all income levels and ensuring there are plenty of spaces throughout the city for indigent individuals and households to get their basic needs met.
The SJCoC, the County, and the City administer and distribute funds to a range of local programs to meet core needs and objectives. Through SJCoC, the City and the County work collaboratively and in partnership with regional stakeholders to identify issues and to develop a regional coordinated response to homelessness. Finally, it is important to identify the role and contribution of the Housing Authority of San Joaquin. Operating with federal oversight, local housing authorities are tasked with administering public housing projects and the distribution of housing choice vouchers – a national program that subsidizes a portion of rent payments directly to landlords. Over the past five years the Housing Authority of San Joaquin has worked aggressively to increase its portfolio and has significantly added to the City’s housing stock of both affordable rental apartments and permanent supportive housing for people who are homeless.
The primary entities that meet the day-to-day needs of those who are homeless are the local community-based organizations, faith based institutions, and emerging grassroots collections of neighborhood activists and people with lived experiences working jointly to make change in their neighborhoods and communities.
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The service continuum is comprised of many significant partners, who provide a broad range of services.
These include:
Housing developers and affordable housing providers
Housing navigators, helping to find and maintain housing Providers of emergency shelters and other temporary dwellings Outreach teams, providing a mobile, on-site health, case management, and other services Food pantries, meal programs, clothes pantries, etc. in fixed locations to meet basic needs Health and behavioral health clinics
State and federal performance measures are tied to the types of activities that are within the purview of homeless services and include indicators based on successful outcomes, such as:
The number of homeless people who obtain permanent housing The number of homeless people who are placed into a rapid re-housing program
The length of time people experience homelessness
Utilization of emergency shelter programs
Effectiveness of outreach services, as measured by linkages to shelter or housing The number of people who become newly homeless or return to homelessness
Utilization of the Homeless Response System
Service Utilization, Over a 12-Month Period
The SJCoC produces homelessness service utilization reports through the HMIS system. The current report covers a period from 4/1/2021 to 4/2/2022 (referred to below as “reporting period”). Whereas the PIT Count provides a one-day snapshot of homelessness in the County, this data provides a much fuller understanding of service utilization across the SJCoC over a 12-month period. Select findings from that report are summarized below.
During the reporting period, the SJCoC served 9,390 people, representing 6,741 unique households, of which 1,635 were chronically homeless.
Emergency shelter was the most utilized services, followed by street outreach, then permanent supportive housing or rapid rehousing (Figure 1).
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Figure 1. Clients Actively Enrolled in Programs in San Joaquin County by Intervention Type
According to the HMIS reports, people who are Black or African American represent a larger enrollment in emergency shelter compared to the population experiencing homelessness. However, people who are white and people who are Black or African American have similar enrollment numbers in permanent supportive housing or rapid rehousing programs.
Service Utilization, One Day in January
A local Housing Inventory Count (HIC) is completed annually on one day in January, in conjunction with the PIT Count. HIC data is reported annually to the Department of Housing and Urban Development and is an important component of local program monitoring. The report tallies the number of beds and units available on the night designated for the count by program type, and includes beds dedicated to serve persons who are homeless as well as persons in permanent supportive housing.
Emergency shelters: Any facilities that provide temporary shelter for the homeless and which do not require occupants to sign leases or occupancy agreements.
Total Shelter Beds Occupancy Utilization Rate
San Joaquin County 1,161 804 69%
City of Stockton 554 338 61%
Rapid Re-housing: Rapid Re-housing (RRH) is a form of permanent housing that provides short-term (up to three months) and medium-term (4-24 months) tenant-based rental assistance and supportive services to households experiencing homelessness. RRH is intended for individuals and households that are unlikely to need long-term support services to stay housed.
Permanent supportive housing: Permanent supportive housing (PSH) is an evidence-based housing intervention that combines on-going rental assistance with supportive services such as health and
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mental health care for chronically homeless households. PSH is intended for individuals and households that will likely need long-term, ongoing support services to stay housed.
Location information is not available for RRH or PSH programs, because some programs operate on a voucher / rental assistance basis and location of the program (headquarters) is not reflective of where people are living.
Total Bed Capacity Occupancy Utilization Rate
Rapid Re-housing 290 290 100%
Permanent Supportive Housing 722 577 80%
All RRH units are fully utilized and the wait list to receive RRH services is long, as of April 1, 2022, there were 817 people enrolled and waiting for placement through RRH. Actual enrollments in RRH are lower somewhat lower than indicated by the HIC data, which measures “beds,” inclusive of all individuals housed within a family unit. The SJCoC HMIS report shows approximately 150 enrollments in RRH programs in January 2022. Similarly, it reports approximately 450 enrollments into permanent supportive housing, somewhat lower than the bed count described by the HIC. Approximately 270 individuals are enrolled and waiting for placements in permanent supportive housing. It is also likely that some of the capacity counted and reported through the HIC in January was pending a grand opening of a housing development at the time of the count, and while underutilized at the time is now more fully subscribed.
Service Utilization, Findings from a Survey of Unsheltered Individuals In 2021, the United Way of San Joaquin conducted a survey of 243 unsheltered individuals in San Joaquin County, among which 51% were residing in Stockton at the time the survey was taken. The survey, designed with the assistance of the University of Pacific (UOP) Center for Business and Policy Research and the San Joaquin County District Attorney’s Office Research and Planning Unit, followed a scripted 15 minute interview to learn more about how people came to be homeless, the services they utilize, experiences on the streets, and how they describe their own health and wellbeing. The survey was administered by United Way with the assistance of the San Joaquin County Office of Education – who placed the survey on a mobile application – and with the volunteer efforts of UOP students and Salvation Army staff to conduct the survey. Survey participants were compensated with a $20 gift card in honor of their time and generosity in sharing their stories. Data was compiled by the San Joaquin Data Co-Op. A full report is pending and is due in late summer 2022.
In the survey, people living on the streets talked candidly about their experiences and decisions to stay unsheltered. Many respondents had utilized shelter services on occasion (53% of survey participants) and indicated a myriad of reasons for not using shelters with more regularity. The most frequent issues described included past “bad experiences” or a feeling of being “not welcomed.” For people that had never used shelter services, reasons ranged from “not able to bring pet” (24%); “not able to be with partner” (14%); and “safety concerns” (14%). Among those interviewed 34% have at least one pet, and many have two or more pets. Many respondents (39%) also reported having a spouse, partner, or friend that they trust who is usually with them.
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Additionally, preliminary findings from the data suggestions:
86% receive hot meals from a church program or dining room and 50% get meals frequently. 57% are CalFresh recipients (food stamps) and 64% get groceries from food pantries. 82% get hygiene supplies and other necessities from homeless outreach workers. 76% have health insurance and 55% have a doctor or clinic they go to if sick or hurt. 53% slept in encampments, 26% slept on the street, and 20% slept in a car during the past week.
Critically, many of those interviewed reported long stretches of homelessness, and discussed their frustration and hopelessness in ever finding a permanent place to live (Figure 2).
Figure 2. About how long have you been homeless? (n=243)
Point in Time Count of People Experiencing Homelessness Findings from the Countywide PIT Count
The SJCoC 2022 PIT Count identified 2,319
individuals experiencing homelessness in the
County on the day of the count. Over half (58%,
n=1,355) were in unsheltered locations such as
on the street, in abandoned buildings, or in
other places not suitable for human habitation,
and 42% (n=964) were in sheltered locations—
emergency shelters or transitional housing
programs. The majority (79%) were individuals,
and the rest were people living in families with
children. Among the individuals counted, 72
were unaccompanied youth (people under the
age of 25 experienced homelessness on their
own) and 127 were veterans. There were 809 individuals experiencing chronic homelessness in the County during the 2022 PIT Count, representing 35 percent of the homeless population. Over 80 percent of individuals experiencing chronic homelessness in the County are unsheltered (Figure 3). 8%
16%
30%
46%
Length of Time Homeless
Less than 3 Months
3 - 12 months
1-3 years
More than 3 years
Source: 2021 United Way of San Joaquin Encampment Outreach Study Point in Time Count: HUD requires CoCs to
conduct an annual local needs assessment in
the form of a Point-In-Time (PIT) Count. The
PIT Count identifies the number of individuals
and families experiencing homelessness on a
single day each January. PIT Counts provide a
snapshot of the extent and composition of
homeless populations in their regions. In even
numbered years, the count is comprised of
people in shelters. In odd numbered years, the
count includes both sheltered and unsheltered
individuals. Unsheltered individuals are
counted by canvassing encampments and
locations frequented by homeless populations.
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Figure 3. Total Number of People Experiencing Homelessness in the County in 2022 by Type
Trends in PIT Count of Persons Experiencing Homelessness Figure 4, below, shows the PIT Count trend in homelessness in the County since 2015. Interpreting the year-to-year increases or reductions in homelessness is difficult due to significant changes in counting methodology of unsheltered homeless in both 2019 and 2022.iv 2,319
1,829
490
809
127 72
0 500
1,000
1,500
2,000
2,500
Overall Individuals People in
Families
Chronically
Homeless
Individuals
Veterans Unaccompanied
Youth
Source: 2022 SJCoC PIT Count
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Figure 4. PIT Count of People Experiencing Homelessness in the County by Year
Source: 2015 & 2017 CA-511 HUD PIT Report; 2019, 2022 SJCoC PIT Count Unsheltered homelessness rose rapidly between 2017 and 2019. Whereas most persons experiencing homelessness were sheltered in 2017, by 2019 the majority were unsheltered (Figure 2). The gap between sheltered and unsheltered persons remains relatively consistent from 2019 to 2022 (59% and 58%, respectively). Notably, there appears to be slight declines in the total number of people counted as homeless between 2019 and 2022, though additional data is needed to verify this finding. Additional key findings include:
While nationally the number of veterans experiencing homelessness is declining, and some states and communities have reached functional zero for veteran homelessness, the percentage of persons experiencing homelessness who are veterans in the County remains relatively unchanged from the PIT Count in 2019 to 2022 (6% of total homeless in 2019 and 2022). The percentage of individuals experiencing chronic homelessness has increased from 27 percent in 2019 to 35 percent in 2022. This means that more people experiencing homelessness stay unhoused for longer periods of time.
City of Stockton PIT Count Findings
Stockton is the largest city in the county and the hub for many available services. As expected, most people counted as homeless through the PIT are located in Stockton (1,370 or 59%). The general trends of homelessness presented for the County above can be considered a close representation of the picture of homelessness on a single day in January in Stockton. Key findings in reviewing city specific data, include:
1,708 1,552
2,629
2,319
1,173 985 1,071 964
535
567
1,558
1,355
2015 2017 2019 2022
Total Sheltered Unsheltered
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Seven percent of individuals experiencing homelessness in the City were veterans (92 out of 1,370); 36 percent were experiencing chronic homelessness (491 out of 1,370), and 4 percent were unaccompanied youth (53 out of 1,370), similar to County trends. Persons who are Black or African American are overrepresented among individuals experiencing homelessness in Stockton—comprising 28% of the city’s homeless population and 12% of the city’s population.
While 44 percent of Stockton residents identify as Hispanic/Latino, this group makes up 31 percent of the city’s homeless population.
Like the county, the state, and the nation, more males experience homelessness in Stockton than females (66% versus 34%).
Just over one quarter (27%) of individuals experiencing homelessness in Stockton reported having a significant mental illness and the same percentage reported having a substance use disorder.
Feedback from Stakeholders
In March 2022, several discussions were held to gather input on how best to prioritize HHAP Round 3 funds. Commonalities and key priorities emerged in all groups, though the discussions with persons with lived experiences focused more on immediate service and housing needs and less on systems and capacity building activities. The need for affordable permanent housing and permanent supportive housing was identified as the overwhelming priority, especially for those with medical and behavioral health concerns.
“This is a completely under-resourced system”
Most of those interviewed strongly believe that the PIT Count, HMIS and CES were foundational to a successful system, but believed these systems supports lack sufficient funding, staffing, and resources to adequately meet expectations. Many recommended critical improvements to the fledgling service system. Specifically, that the HMIS was complicated and underutilized, and that outreach, training and support should be conducted to ensure that all services were counted in the system; the CES needs to be more robust, and people need to be educated in accessing it; and the next PIT Count needs to be better organized, standardized, and funded.
“We don’t need more strategy; we need more resources”
People working in the homeless services system are pleased about the numerous people willing to work together to make change and excited about the new state and federal funding opportunities on the horizon. Although there are pockets of coordination and collaboration, the entire system is missing an overarching accountability structure. Better leadership and coordination on funding opportunities was mentioned by several individuals. There is a sense that the CoC should be better organized with a more focused board and a narrower set of expectations and responsibilities for board members. Many stakeholders recommended dedicated staffing for the CoC, especially as pertains to financial accountability, project monitoring, and coordination of effort across the all-volunteer committees.
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“We need housing above all”
Increase availability. Waitlists for housing support can exceed two years, and once a housing voucher or rent support is made available, there are still no units within an affordable price range or willing to accept them as tenants. Service providers felt that in order to move people out of homelessness and into housing, the system will need to control a larger supply of housing. Under the current rental market, with a less than 2 percent vacancy rates, programs are paying costs significantly above market rents to house homeless individuals.
Case management to address client needs. Individuals and families need more programming about how to manage and maintain housing, and how to break the barriers to obtaining housing. There is broad agreement that it is a misconception that persons experiencing homelessness do not want to work, though many experiencing homelessness said that lack of water for basic hygiene makes seeking and maintaining employment difficult. Overall, participants recommended more supports to prepare (including training programs), search, and apply for jobs.
Ensure the type of housing meets the unique needs of clients. “Safety, affordability, stability” Both adults and youth stated that the type of housing offered was less important than having long-term, stable, affordable, and safe housing that is located close to services and resources. Individuals were willing to consider co-housing situations as long as they had their own room with a door that locks to ensure their safety and the security of their belongings. Housing providers additionally noted the need to be innovative around the types of housing and encouraged thinking beyond typical single-family houses and apartments (i.e., tiny homes, renting rooms, converting unused hotels and motels to housing, pods, and individual and efficiency units, like dorms). “We have to choose between being separated, but sheltered; or together, but unsheltered” Decrease barriers to access. Shelters should have sufficient capacity to accommodate the need. Shelters were perceived as being often full and being selective in determining who can stay. Couples with no children described choosing between living apart in a shelter or living together on the street.
Stakeholders felt that shelters were underfunded and needed larger facilities and more staff. Some participants described frustration at how long it takes to get help, reporting that they had been in shelters for so long, they had given up on getting help. In response participants recommended that housing navigation services should be located within the shelters, not at an agency across town.
Additionally, youth recommended separate shelters for adults and youth.
Safe parking and camping are needed to provide some stability and personal safety. Safety and stability were two of the major concerns of individuals with experience living on the street. Many had seen individuals, or were themselves, severely injured by automobile hit and runs, freezing weather, and violent crimes, including sexual assault. Harassment from the police were also cited as an additional danger. Stakeholders described the difficulties entailed in constantly having to move their camp site, especially for people with disabling health conditions. Participants described forced moves from areas of (relative) safety to more precarious locations or further from needed services. They expressed a need for a fenced area to be left alone to sleep. With the lack of housing, many unsheltered persons expressed an aspirational goal of saving money to get an RV and expressed a need for a safe, monitored place to park.
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Scarce opportunities for youth experiencing homelessness. Youth and young adults interviewed were exuberant in their praise of a few service providers with special expertise in working with youth.
However, youth were more critical of other agencies without a similar mission. Some participants expressed a sense that mainstream service providers “weren’t interested in helping” youth and that there was a bias or prejudice against them that made the process more difficult. Access to therapy and mental health services was described as pivotal and participants recommended incorporating behavioral health interventions in all youth serving programs.
The SJCoC Youth Action Board identified a workforce capacity need around cultural competency.
Specifically, that funds be made available for required and specific, trauma informed trainings to address the inequities, disparities and dynamics of youth experiencing homelessness. They also stated the need for additional program monitoring to ensure service providers are meeting program objectives and adhering to practice guidelines, including those focusing on addressing trauma and disparities.
Finally, youth with lived experiences in homelessness suggested that youth be given priority for housing, due to their vulnerabilities, lack of credit, income, and rental histories. They suggested that transitional housing programs would allow youth to live safely while building credit and housing histories.
Achievements: New and In the Pipeline
In the two years since the 2020 Strategic Plan was adopted, collaboration between public and private organizations involved in plan development has resulted in notable accomplishments.v Expanding Housing Opportunities
Some of the new Stockton-based, permanent housing projects for homeless individuals, recently developed or in the pipeline, include:
Town Center Studios: In 2020, the City approved $4.2 million in match funds for a motel conversion project jointly developed by STAND Affordable Housing and Central Valley Low Income Housing. The resulting project, Town Center Studios, has 20 rehabilitated units with an additional 20 units in development.
Crossways Residences: The City has partnered with the Housing Authority of San Joaquin and County Behavioral Health by providing strategic funding for 42 permanent supportive housing units for individuals with severe mental illness. Mental Health Services Act funds were also used in the rehabilitation and operation of the three housing facilities. Sonora Square: The City has partnered with the Housing Authority of San Joaquin and County Behavioral Health by providing strategic funding for a 37 unit apartment building to house people with serious mental illnesses who are struggling with homelessness. The project includes funding from California’s No Place Like Home program.
Park Center Residences: The Housing Authority has recently gained approval to begin construction of 51 housing units for people with serious mental illnesses in close proximity to the public library and other municipal services.
Calaveras Quarters Project: An application to the State of California for Homekey Housing funds was recently approved with matching City and County funding. The project will convert a 121 room motel into 68 one-bedroom apartments for extremely low-income households and homeless youth.
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Expanding Services
New and expanded service and supports are also being created throughout the City, including:
Progressive Housing: Stockton Self-Help Housing and County Behavioral Health developed scattered-site Permanent Supportive Shared Housing facilities for over 60 individuals with severe mental illness who were homeless or at risk of homelessness. The City provided HHAP funding for additional services. Mental Health Services Act funds are used for operational costs. Stockton Shelter for the Homeless (SSH): Stackable, modular units are currently under construction for Stockton Shelter for the Homeless. Upon completion, the facility will provide 180 new low barrier shelter beds and a navigation center offering substance use disorder treatment services, mental health services, case management, and housing navigation services. Navigation Services: The City provided strategic funding to the Family Resource and Referral Center to update its 211 call center to better assist homeless individuals locate and access the services they need and support the development of a CES. Assessment and Respite Center: The City Economic Development Department and Police Department have partnered with Community Medical Centers and County Behavioral Health on the establishment of an Assessment and Respite Center for homeless individuals in need of mental health care, substance use disorder treatment (including medication-assisted treatment for opiates), and a safe place to stay during assessment and initial treatment. The Economic Development Department provided strategic funding for the facility and Stockton Police provides on-going referrals through its Law Enforcement Assisted Diversion program. Homeless Outreach Team (HOT): Stockton Police and Fire Departments partner with a number of public and private organizations on a multi-agency HOT to ensure that homeless encampments were safe, to provide health care and behavioral health services, and to encourage individuals to move to shelters or housing. Partners include County Behavioral Health Services, Whole Person Care teams, Community Medical Centers, San Joaquin County District Attorney’s Office, and County Public Health Services.
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Strengths and Challenges
Delivery System Strengths and Challenges
The service system has many strengths. The SJCoC is well attended and there are many partners willing to collaborate. The 2020 Strategic Plan was adopted by every major city within the County and serves as a framework for coordination and collaboration.
Partners across the service system have solid agreement on the use of a CES, HMIS and the Housing First model. There are many diverse service providers available and new state funding is scheduled to become available. New and expanded shelters are being developed and new navigation centers are being established.
There are also a number of challenges in the service system. Data show that the workload is increasing and points to some opportunities for improvement. Homelessness increased 37 percent between 2015 and 2019. There was a large increase in the number of unsheltered individuals between 2018 and 2020, yet there is also a high vacancy rate at emergency shelters. African Americans are disproportionally affected by homelessness
The service system is complex with numerous services, all with their own eligibility requirements. The CES is not fully operational, and many find the system very difficult to navigate. The CES needs to be welcoming and responsive to youth and to disproportionally impacted populations.
The service system is also underfunded and under-resourced. There is a need for sustainable long-term operational funding for homeless assistance activities. The HMIS is viewed as complicated, underutilized and needing higher levels of funding to produce quality data. The 2022 PIT Count widely thought to be inaccurate due to not being standardized and not reaching all areas. Service coordination could be
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improved to reduce duplicative services. The region would benefit from better leadership and coordination around funding opportunities.
There is no common understanding of equity issues or actions to address them. The service system could benefit from additional discussions and workforce training in the areas of trauma and cultural competency.
Housing and Services Strengths and Challenges
Similarly, the Housing Service System has many strengths. There has been strong multi agency and muti jurisdictional coordination on the development of permanent housing and permanent supportive housing. Many new affordable housing and permanent housing units are under development. The public housing authority is active and engaged.
The challenges of the Housing Service System fall to both emergency shelters and to permanent housing. Emergency shelters are underfunded and understaffed. Not all shelters follow Housing First practices. There is a need for shelters that are clean, safe, allow people to live with their partners and pets, and have a place to store their possessions. Shelters would benefit from capacity building to address how to safely incorporate Housing First practices in their operations. The goal of emergency shelter should be to exit people to permanent housing, but only a very small percentage do.
Permanent Housing is in very short supply and there are long waitlists. Many individuals are unable to access permanent housing due to restrictive eligibility requirements and qualifications. Rapid rehousing programs are facing challenges as landlords are no longer willing to rent to very low-income families and/or individuals that participate in subsidized housing assistance programs. There is a great need for permanent supportive housing due to the large proportion of unsheltered individuals with mental health and physical health conditions.
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3. Resource and Investment Landscape
Types of Funding Allocated Towards Homelessness
Funds received by the City of Stockton, from both federal and state sources, are divided into two categories: One-time funds for special purposes and ongoing funds that can sustain operations.
Currently, the City of Stockton is planning on using a variety of one-time funds for specific purposes.
These include:
American Rescue Plan Act (ARPA): The City of Stockton is allocating nearly $12 million in ARPA and $6 million in HOME-ARP grant funds for projects to address housing and homelessness.
Pivotally, these funds are being applied as matching funds for new affordable housing developments for extremely low income households and as operational funds for low barrier shelters and safe camping or parking projects.
Homekey Grants: Homekey is a statewide initiative to rapidly expand housing for persons experiencing homelessness or at risk of homelessness. Competitive grant funds are available to develop a broad range of housing and/or to convert existing buildings into permanent housing.
The City of Stockton has submitted three applications in partnership with local developers and community partners. The Round 1 submission was approved and creates 40 units of permanent supportive housing. Of the two other projects submitted for Round 2, one has been approved and one is conditionally approved. While Homekey brings in new resources, awards are conditional upon local match funding, the City of Stockton applied ARPA funds and HHAP Round 2 funds as matches to the planned projects.
Homeless Housing, Assistance, and Prevention (HHAP) Program Grants, Rounds 1,2, 3, and 4:
Established by the Legislature (AB 140), HHAP provides non-competitive grants to Counties, Continuums of Care, and the 13 largest California cities, including Stockton, in accordance with the number of homeless persons that are located in the community. Grants are slated to be released in four rounds and must be spent according to criteria established by the legislature.
Stockton has received the first two rounds and is planning for the release of Rounds 3 and 4.
This Homeless Action Plan is a requirement for Round 3 funding.
Starting in 2024-25, funding becomes less certain, and by 2027-2028, the only anticipated funding is through ongoing federal allocations via HOME, Community Development Block Grants, and Emergency Solutions Grants, for a total of approximately $2.5 million. The availability of additional funds through renewed state and federal grant applications is likely, though not certain. Additionally, the State Legislature appears to be exploring mechanisms to create a permanent funding source for homeless and housing related projects across the state, including a slate of new measures proposed for the November ballot that could increase state tax revenues.
Planned Revenues and Expenditures: July 2022 – June 2028 The figure below, shows only those revenues that are currently secured, meaning those revenues that are guaranteed to be received. With no additional revenues by 2027-2028, the only funds coming to the City to address homelessness are long standing federal funds, including federal HOME investment
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partnership block grants, Emergency Solutions Grants (ESG), and Community Development Block Grants (CDBG). ESG and CDBG funds are primarily for emergency support services for homeless individuals, including food and meal programs, mobile outreach, and emergency tenant assistance to prevent homelessness. HOME block grants are used to stimulate affordable housing production.
Figure 5. Secured Revenues, All Available State and Federal Funds
This Action Plan charts a course for the City as it contemplates both existing (secured) funds and any potential (anticipated) new revenues that may come in the future. As a framework the Action Plan looks to achieve the following:
A. Meet the Vision, Directive, and Goals described in the Guiding Principles of Page 4.
B. Achieve objectives through careful stewardship of available funds, and only commit to projects that can reasonably be sustained over time.
The multi-year Budget Guide, included in section 5 below, charts a potential course for City expenditures given goals and objectives. Notably, the budget recommends that 61% of anticipated funding be directed to one-time housing development projects, another 5% of funds is allocated to short-term capacity building projects and $2.3 million to shelter construction. These projects, totaling nearly $40 million, account for a large portion of anticipated one-time funds. $-
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Figure 6. Funding Plan, All Available State and Federal Funds
Of the remaining $16 million in funding available over the next six years, $12.7 million is allocated to shelter operating subsidies, tenant assistance, and emergency assistance. Of this amount over $9 million is allocated to operating subsidies for new projects (both shelter expansions and a safe camping or parking site) and must be spent out within five years, or by the end of FY 2026-2027. This provides an annual allocation of $1.8 million to contribute to operations for existing, as well as the 300+ planned new low-barrier shelter beds and approximately 50 safe camping or parking sites. Allocated funds are insufficient to meet shelter projects as scoped. This Action Plan does not identify funds to sustain shelter operations over time.
The City anticipates that new sheltering and camping projects alone will likely require $6 million in dedicated funding, annually, to sustain operations. Though funding is not identified at this time, the City is making every effort to work in partnership with regional partners, community leaders, and program staff to develop a long term sustainability plan for emergency sheltering projects.
HHAP Budget Summary
New allocations of Homeless, Housing, Assistance, and Prevention program funds are anticipated in 2022 and 2023. These funds must be spent down by June 2025 and 2026, respectively. Each funding Round will bring $7.9 million dollars to the city for a total of just under $16 million. Consistent with broader funding objectives, the largest proportion of HHAP funds is allocated toward housing development. Clear recommendations from the State of California, echoed consistently by program stakeholders and people with lived experiences encouraged this investment in the development of permanent housing solutions to enable exits out of homelessness. Recommended allocations for HHAP funds are as follows:
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Figure 7. HHAP Round 3 Allocations
Finally, it is recommended that the HHAP Round 4 funds be applied consistent with the funding plan for HHAP Round 3 and as described in this Action Plan.
Additional information about the goals and strategies and how resources will be invested is included in the following section.
4. Action Plan: Goals and Strategies
The following sections describe the measurable objectives and outcomes goals adopted by the City, in coordination with the collaborative applicant, to address homelessness within the City and to drive results across the region. The specific outcome goals listed below are reasonable and feasible targets based on planned City investments. Baseline metrics, adopted from HDIS data, are for the region as a whole. Targeted reductions or increases represent the City’s anticipated contribution to the regional effort. A detailed, and actionable set of strategies follows. Strategies are framed within the context of the larger strategic plan goals and include detailed information about the current status of the efforts to meet plan goals and planned activities through upcoming HHAP allocations, as well as other state and federal funding. This report concludes with a budget chart showing all current and anticipated expenditures, by funding source, to achieve the City’s outcome goals.
7%
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FY 2022-2023 through Fiscal Year 2024-2025
$7,890,000
Administration
Capacity Building
Housing Development
Operating Subsidies (Shelter)
Operating Subsidies (Housing)
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City of Stockton’s Measurable Objectives (equity goals added 9/7/2022) Outcome Goal 1A: Reducing the number of persons experiencing homelessness. Reduce 5%
Baseline: The annual estimate of the number of people accessing services who are experiencing homelessness for San Joaquin County is 8,034, according to HDIS data from the State of California.
Approach: Through local investments, the City of Stockton anticipates up to 200 units of affordable housing and 50 units of permanent supportive housing will be developed. It is anticipated that each unit will house 1-2 people for an average of 1.6 persons per unit. This will reduce the number of people experiencing homelessness by approximately 400 individuals, or 5% of 8,034.
Equity Goal: Reduce the overall total of those experiencing homelessness and reduce the proportion that are African American, from 28% to 20%.
Outcome Goal 1B: Reducing the number of persons experiencing homelessness on a daily basis. Reduce 15%
Baseline: The daily estimate of the number of people experiencing unsheltered homelessness in San Joaquin County is 1,558, according to HDIS data from the State of California.
Approach: The City of Stockton is working with program partners to open over 300 new low-barrier shelter beds. On a daily basis it is anticipated that 240 additional individuals will be accessing shelter services, or 15% of 1,558.
Equity Goal: Reduce unsheltered homelessness among African Americans by 15%.
Outcome Goal 2: Reducing the number of people who become homeless for the first time. Reduce 5%
Baseline: The annual estimate of the number of people who become homeless for the first time in San Joaquin County is 3,520, according to HDIS data from the State of California.
Approach: Recent City investments of over $40 million in rental assistance funds may contribute to lowering first-time homelessness within the County. Additionally, the City will continue to maintain rapid re-housing programs and support fair housing advocacy organizations to help tenants resolve situations and prevent evictions.
Equity Goal: Reduce the proportion of those newly experiencing homelessness who are African American from 32% to 24%
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Outcome Goal 3: Increasing the number of people exiting homelessness to permanent housing. Increase 18%
Baseline: The annual estimate of the number of people exiting homelessness and into permanent housing throughout San Joaquin County is 833, according to HDIS data from the State of California.
Approach: As discussed above, 200 units of new affordable housing targeting homeless individuals are in development. It is anticipated that most individuals who occupy the new units will be homeless, either unsheltered or living in temporary accommodations or shelters, immediately prior to occupancy.
Equity Goal: Increase the rate of single people exiting to permanent housing from 6% to 8%, for an additional 58 adults in households without children exiting to permanent housing.
Outcome Goal 4: Reducing the length of time persons remain homeless. Reduce 10%
Baseline: On average it takes 72 days between enrollment into in street outreach, emergency shelter, transitional housing, safehaven projects and move-in for persons entering rapid rehousing and permanent housing in San Joaquin County, according to HDIS data from the State of California.
Approach: Through investments in the CES and HMIS, the City hopes to streamline processes and quickly move people into housing. More critically, the City seeks to reduce the proportion of people who report being homeless for five or more years from 26% to 20%.
Equity Goal: The length of time to enrollment in housing for veterans and people with HIV will reduce 50%, and approximate local averages for all people,
Outcome Goal 5: Reducing the number of persons who return to homelessness after exiting homelessness to permanent housing.
Reduce 2%
Baseline: Currently, 10% of those housed in permanent housing throughout San Joaquin County return to homelessness, according to HDIS data from the State of California.
Approach: The City anticipates completion of several permanent supportive housing units within the next few years, adding 50 new PSH units to the community. These units are paired with mental health case managers who work intensively with clients to manage medications, control behaviors, and stabilize within their homes. With intensive case management and support it is anticipated that more individuals will successfully maintain their housing. Additionally, the City is committing $200,000 annually to housing providers
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for onsite case managers and other operating supports as needed to help newly housed tenants stay securely in their homes.
Equity Goal: Reduce the proportion of people who have fled domestic violence and who subsequently return to homelessness after being placed in permanent housing from 20% to 12%.
Outcome Goal 6: Increasing successful placements from street outreach. Increase 1000%
Baseline: Annually, the State estimates that only 2 people served by street outreach projects exit to emergency shelters, safe havens, transitional housing, or permanent housing destinations. Local stakeholders are confident that this figure is an undercount.
Approach: Through funding investment in the HMIS data system, the City anticipates that the number of outreach organizations entering complete service and outcome data into the HMIS will increase. Correspondingly, the City anticipates that at least 200 people annually will be referred to shelters or other housing programs by outreach teams.
Equity Goal: Through funding investments in data and organizational capacity building, increase the number of outreach organizations entering complete service and outcome data into the HMIS by 5.
Goal 1: Establish a Coordinated and Engaged Regional System of Care Strategy 1.1: Establish a Cross-jurisdictional Effort to Create Shared Processes to Access Funding Streams, Identify Community Priorities, and Coordinate the countywide Homeless System of Care Strategy 1.2: Improve Data Collection, Measurement, and Analysis Strategy 1.3: Educate and Engage the Community
Capacity Building
A. Participate in regional efforts to build a homeless system of care.
Current status: The City participates in a range of regional collaborations to build a system of care with representation on the governing board of the San Joaquin Continuum of Care and most of its committees. The City also works in strategic partnerships with other local municipalities and the County of San Joaquin on various committees and initiatives to address issues pertaining to housing, economic development, youth services, and other areas pertinent to preventing homelessness and maintaining housing.
Planned Actions: Continue participation in regional collaborations and initiatives. Procure technical assistance as needed.
B. Strengthen City policies and practices to optimize performance-based distribution of city funds.
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Current status: The City is committing to three major approaches to funding: 1) a commitment to equity; 2) a commitment to Housing First principles; and 3) a commitment to using performance measures to manage grant funded activities and achieve desired results. Additional work is needed to optimize city policies and practices around the distribution and review of funds and to ensure that city policies align with desired objectives and best practices.
Planned Actions: The Economic Development Department will oversee the distribution of homeless and housing grant funds and work in collaboration with the City Manager’s Office, the City Attorney, and other departments to review policies and make recommendations.
C. Support local organizational capacity building.
Current status: Equitable access to housing and resources for everyone experiencing homelessness remains a major concern. At the forefront of the issue are the experiences of single black men who are disproportionately homeless, homeless for longer periods of time, and make up a larger number of those homeless than their counterparts. There are many others that have difficulties getting services and supports including youth, veterans, those with English as a second language, those fleeing violence and abuse, and those with multiple co-existing health and/or behavioral health issues.
The City is working to promote grassroots organizations and emerging neighborhood solutions to address homelessness within communities that are disproportionately experiencing homelessness. Focus group findings include numerous stories of people reaching out for assistance and not getting the support or information necessary to get assistance in a timely manner. The vision of the coordinated entry system is that there is no wrong door for entry; correspondingly there needs to be more places, opening more doors, in ways that are familiar, welcoming, and understood by the people seeking assistance.
Another concern is the lack of available affordable housing in diverse communities. There needs to be access to housing in locations people feel comfortable, near extended family members, and in locations where they have the social supports to be successful.
Community based organizations and service providers are interested in developing agency capacity to scope, develop, and manage housing projects. By investing in local organizational capacity building, the City can help incubate the next generation of housing developers in the region.
Planned Actions: The City will invest in organizational capacity building to enhance services and to support local non-profit housing development for underserved and inappropriately served homeless individuals through measures such as staff and executive trainings, technical assistance, fiscal sponsorship and incubator programs, and other efforts to promote the professional growth and capacity of organizations. Additionally, the City will continue to award contracts according to those proposals that best meets need, not lowest bid, for homeless services. It is the City’s intention to recognize talent, experience (including lived experience), and capacity and it will look for organizations that have the best resources to meet needs and support a housing first framework. Deliberately creating a space
Funding source: Homeless Housing Assistance Program Round 3, 4
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Coordinated Entry
D. Invest in the development and maintenance of a coordinated entry system.
Current status: A coordinated entry system is intended to provide a fair and easy way for homeless individuals and families to access emergency sheltering and housing resources. A newly developed CES system is piloting operations for placement into rapid re-housing and voucher based (rental assistance) programs. Over the next several years there is a strong interest in expanding the reach of the CES to include sheltering and permanent housing units.
Planned actions: The City of Stockton will match funding investments by the collaborative applicant into Coordinated Entry, up to an amount of $30,000 annually for the purposes of program development and expansion, program staffing and operations, and program technical assistance for the development of policies, practices, and agreements in accordance with best practice and approved by the CoC.
Funding source: Homeless Housing Assistance Program Round 3, 4 Point in Time Count
E. Invest in the development and implementation of a comprehensive point in time count methodology and survey analysis.
Current status: The federally mandated Point in Time (PIT) Count of homeless individuals is widely regarded as critical for understanding the trends pertaining to the types of individuals and families experiencing homelessness. The infrastructure to organize, conduct, and analyze a PIT is extensive and unfunded; driven by volunteers and donations. This has resulted in inconsistent methodologies from year to year and as compared with other jurisdictions.
Planned actions: The City of Stockton will match funding investments by the collaborative applicant into Point in Time Count processes, up to an amount of $50,000 for the purposes of engaging and recruiting participants to assist in the count efforts, to develop and standardize the methodology, plan and coordinate site maps and survey routes, analyze and communicate results and findings as required by HUD, and develop a City specific analysis. Funding source: Homeless Housing Assistance Program Round 3, 4 Data and HMIS
F. Strengthen City capacity to obtain and analyze data and information.
Current status: The City is committed to using data analytics to inform decision making, provide public transparency and promote good governance. The Office of Performance and Data Analytics (OPDA) was established in May 2020 for the purpose of driving integrated performance management across City departments. OPDA is working in close coordination with the HMIS Lead Agency to develop city specific data sets and analytics. Consulting and technical assistance may be procured through OPDA or other City Departments to continue
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Planned Actions: Continue investments in the Office of Performance and Data Analytics.
G. Invest in the development and maintenance of the homeless management information system.
Current status: The HMIS is managed by a lead agency with nominal funding sufficient to cover costs associated with licensing fees. Use of the HMIS has increased in recent years with the expansion of the homeless system of care. While some agencies enter data routinely and consistently, there remain concerns about utilization of the HMIS by others.
Recent investments have led to the creation of an HMIS report and the development of new policies for the release of de-identified data to local governmental agencies for the purpose of planning and coordination of efforts.
Planned actions: The City of Stockton will match funding investments by the collaborative applicant into the HMIS system, up to an amount of $30,000 annually for the purposes of hiring and maintaining dedicated staff to monitor and clean data coming into the HMIS system, train and engage new and continuing users, and to provide data analytics as approved through the SJCoC.
Funding source: Homeless Housing Assistance Program Round 3, 4
Goal 2: Increase Access and Reduce Barriers to Homeless Crisis Response Services Strategy 2.1: Expand Low Barrier Shelter Capacity, Hours, and Services Strategy 2:2: Invest in Prevention
Strategy 2.3: Improve and Expand Outreach and Engagement
Shelter Operations
H. Invest in the development of low barrier shelters.
Current status: There are currently seven organizations operating 26 emergency shelters in the Stockton area, with two programs serving youth, five serving women and families, and 15 small scattered-site programs with five or fewer beds for special populations. Of the remaining four programs for single adults, two have high barriers and two have lower barriers to entry. The total bed capacity for Stockton area shelters is 554.
Planned actions: There are several sheltering projects in the planning and development phase. The Stockton Shelter for the Homeless plans an expansion of an additional 180 low- barrier beds and a navigation center. Prior HHAP funds have been allocated for construction. The Gospel Center Rescue Mission plans an expansion of 175 beds for a high- barrier sober living program. Prior County funds have been allocated for this purpose. The
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June 2022 City of Stockton Homeless Action Plan Page 31 of 50 City of Stockton is also seeking to procure funding and an operator/developer for an additional 125 bed low-barrier program and a safe camping or parking site. Funding source: Homeless Housing Assistance Program Round 1 Funding source: American Rescue Plan Act
I. Provide operating subsidies for Stockton area shelters Current status:
The four projects described above will increase the total sheltering by an additional 500 beds, accommodating 80% of the individuals identified as experiencing unsheltered homelessness and cap out planned build-outs. With new shelters being developed in nearby cities it is anticipated that Stockton will cease to be a regional draw for homeless individuals to find resources and supports as more services become available across a wider portion of the County.
Planned actions: Provide operating subsidies for low barrier shelters, safe camping or safe parking sites serving homeless individuals within the Stockton area. Provide operating subsidies for others shelters serving youth and young adults. Funding may be applied to maintenance and repairs to maintain the useful life of shelters. The City will request that shelter programs work with selected technical experts and capacity partners to ensure that low-barrier shelter programs are entering data into the HMIS, implementing best practices, and providing navigation and other supportive services for the purpose of obtaining permanent housing. All shelters receiving city funds for operations will be asked to submit a five-year Supportive Services Plan that describe anticipated revenues and expenditures (financial plan) and outlines how shelter program staff will work with clients to address barriers to housing using the principles of Housing First (operations and navigation).
Support Services Plans should also include any agreements with partners agencies to address a broader range of health and safety needs of those who are homeless. Funding source: Homeless Housing Assistance Program Round 3, 4 Funding source: American Rescue Plan Act
Tenant Assistance
J. Provide emergency rental assistance and tenant services to prevent evictions.
Current status: The City received approximately $40 million in federal Emergency Rental Assistance (ERA) Program funds to prevent COVID related evictions. Over the past two years, over 5,000 households have received assistance to stay in their homes, averting homelessness. Funding will be exhausted by the end of the 2021-2022 Fiscal Year.
Planned actions: Preventing homelessness is a critical strategy, however state and federal programs to prevent evictions are ending. The City will continue to seek and identify funding to provide rental assistance and prevent evictions.
In lieu of new state or federal resources for rental assistance programs, the City will focus on other prevention strategies, such as working with local neighborhood organizations to
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June 2022 City of Stockton Homeless Action Plan Page 32 of 50 provide information about tenant’s rights, tenant / landlord mediation services, assistance in benefit applications, and other services to promote financial and housing stability. Funding source: Community Development Block Grant,
Funding source: Homeless Housing Assistance Program Round 1 Meet Basic Needs
K. Deliver food, hygiene, and other basic needs to unsheltered homeless individuals.
Current status: The City provides operational support funds to various programs providing food, meals, hygiene, and other basic necessities for those that are homeless. The City is also upgrading the infrastructure of local public spaces with new self-cleaning restrooms that are accessible for all. Organizations that provide food, meals, and other basic needs, such as showers or laundry services for the homeless, are an integral component of the City’s outreach and engagement strategy. Each contact is an opportunity to build rapport and gain trust in the individuals who are addressing people’s needs, where they are at.
Planned actions: The City will continue its support of local organizations that conduct outreach and engagement to the homeless while meeting basic needs. This can include services that occur within local encampments, as well as activities that occur through a fixed location such as a meal program or programming designed specifically for youth and young adults. It is expected that programs enter contact data into the HMIS, implement best practices, and provide navigation and other services to link clients to shelters and housing. Funding source: Community Development Block Grant
Funding source: Emergency Solutions Grant
Goal 3: Ensure Households Experiencing Homelessness Have Access to Affordable and Sustainable Permanent Housing
Strategy 3.1: Increase Affordable Housing Stock for Vulnerable Adults, Youth, and Families Strategy 3.2: Invest in Landlord Engagement, Navigation, and Incentives Strategy 3.3: Provide Operating Subsidies to Promote Housing Stability
Affordable Housing Development Grants
L. Affordable Housing Development.
Current status: The City of Stockton is working to jump start a range of housing opportunities, including affordable housing for low and moderate income households and permanent housing reserved for those that are homeless. A diverse range of housing options is necessary for the economic health and wellbeing of the City. More housing opportunities are needed at all income levels, especially those that are affordable to low and moderate income households. Too many households in Stockton are rent burdened, new units of all types will hopefully cool the rate at which rents are increasing.
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June 2022 City of Stockton Homeless Action Plan Page 33 of 50 Additionally, the City recognizes that market conditions alone will not result in housing for those that are homeless and perennially housing insecure. Partnerships with local developers to create more units for those that are very-low income and those that are supported through housing vouchers are necessary. Project Homekey, a State of California grant program, provides funding to build permanent housing for those that are homeless.
Local match funds are an expected component of the Homekey application process, and the City understands that it is important to work in partnership with local developers to plan, prepare, and finance new housing opportunities.
Finally, it is well understood that housing development of any sort, including the renovations proposed through Project Homekey, take an enormous amount of time and resources. Put simply, the City cannot build its way out of a homeless crisis in a timely fashion. Therefore, in addition to housing development it is important to build a portfolio of existing properties that are available for housing people who are homeless. Over the past several years the City has invested in a range of landlord engagement programs to little effect. The majority of the rental subsidies approved for homeless individuals are unspent because landlords are unwilling to rent to those with poor credit histories and, potentially, a record of a prior eviction. The rental market is very strong, and landlords will choose the best possible candidate for tenancy. New strategies are needed to create a larger portfolio of available properties for lease by those that are experiencing homelessness.
Planned actions: The City will create a reserve fund for the delivery of permanent housing.
Funds will be available as match grants for affordable and permanent housing grant applications. All city funded new affordable housing development have a homeless and at risk of homelessness set aside of 20%. Eligible uses of funds will include:
Grants for acquisition of properties where the purpose of the project is to develop new or renovated affordable housing for individuals and families experiencing chronic homelessness who report earning 30% or less of area median income. Match funds for affordable housing development where the purpose of the project is to develop new or renovated affordable housing that can be leased to households at 60% or less of area median income.
Match funds for permanent housing where the purpose of the project is to develop new permanent housing opportunities for people who are homeless or at chronic risk of homelessness who report earning less than 30% of area median income and who will likely require subsidies to remain housed.
Grants for the multi-year lease of existing dwellings that will be sublet to those that are homeless with wraparound support services. Master lease projects can be for short- term rapid-rehousing rentals or for long-term permanent co-habitation homes for those
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June 2022 City of Stockton Homeless Action Plan Page 34 of 50 experiencing chronic homelessness or other needs as suits the City’s purpose. The purpose of the master lease program is to substantially expand the number of units controlled by landlords willing to accept and house those that are homeless. Grants for master lease housing programs will be paired with housing support services funds. Grants for housing specifically reserved for youth and young adults ages 24 and younger experiencing homelessness.
Grants for housing specifically reserved for individuals or families fleeing, or attempting to flee, domestic violence, dating violence, sexual assault, stalking, or human trafficking. Match funds for affordable housing development, where the purpose of the project is to develop new affordable housing stock that can be sold to households at 80% - 120% of area median income.
Funding source: Homeless Housing Assistance Program Round 2, 3, 4 Funding source: HOME, HOME-ARP Program
Funding source: American Rescue Plan Act
Rapid Rehousing
M. Support the Rapid Rehousing Program.
Current Status: The City has invested approximately $785,000 in funding for rapid re- housing programs through Emergency Solutions Grant Funds and HHAP Round 1. While there are several years still remaining on the time to spend down the funds, recipients report trouble in spending funds as anticipated due to landlord reluctance to accept individuals and households deemed eligible for the program.
Planned Actions: The City will continue to monitor the funds allocated and the effectiveness of the local strategy. Rapid re-housing is widely acknowledged as being an effective strategy to reduce homelessness. Under rapid re-housing programs households experiencing homelessness, typically due to a financial crisis, are re-housed with rent subsidized for a brief period of time until the household can recover from their financial crisis and maintain housing on their own. Within San Joaquin County, the limited supply of rapid-rehousing units is primarily reserved for families with children.
Funding source: Homeless Housing Assistance Program Round 1 Funding source: Emergency Solutions Grant
Housing Support Services
N. Provide operating subsidies in affordable or supportive housing units.
Current Status: People who are homeless have access to a range of existing entitlement programs available through County Health and Human Services Agencies, including Cal Fresh; general relief; CalWorks; and MediCal funded health and behavioral health care services. People with chronic and persistent illnesses and challenges will often be assigned a case worker to help them navigate benefit assistance and access available services.
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City funding is intended to fill gaps not addressed through the public safety system by providing specific housing stabilization services for homeless individuals placed in permanent housing programs that do not otherwise have access to case management and housing stabilizations services.
Planned Actions: Grant funds will be granted to permanent and rapid re-housing programs to provide housing case management services. Housing case managers are intended to help clients maintain their existing housing and to help them plan for their next housing opportunity. Typically housing case management includes education and training on landlord and housing expectations, assistance in developing a budget and financial plan and building a credit history, and assistance in developing employment skills, obtaining, and maintaining employment. For youth and young adults, additional skill building may also be required to prepare youth for independent living. All funding is tied to the delivery of permanent housing for homeless.
Funding source: Homeless Housing Assistance Program Round 3, 4
5. Budget Chart Guide: FY 2020-2021 through FY 2027-2028
The Budget Charts on the following pages provide a guide for the City of Stockton in considering future use of funds. This chart is intended simply as a guidepost for grantmaking. Actual expenditures are anticipated to shift over the next six years as conditions evolve and new funding becomes available.
The charts also respond to a requirement of the California Homeless Coordinating and Financing Council to develop a Local Action Plan which “identifies all funds, including state, federal, and local funds, currently being used, and budgeted to be used, to provide housing and homelessness related services to persons experiencing homelessness or at imminent risk of homelessness, how funding serves subpopulations and what interventions are funded through these resources.” vi
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Current and Draft Allocations: Future allocations may shift in response to needs as they arise.
Goal 1: Establish a coordinated and engaged regional system of care Expenditures by Year Strategies (In order listed) Funding Source
2020 - 2021
2021 - 2022
2022 - 2023
2023 - 2024
2024 - 2025
2025 - 2026
2026 - 2027
2027-2028
Total
A. Capacity Building - staff and TA for
regional partnerships and initiatives HHAP 1 - Systems Support $
75,000.00
$
54,205.00
$
-
$
-
$
-
$
-
$
-
$
-
$
129,205.00
HHAP 3 - Systems Support
$
-
$
-
$
80,000.00
$
80,000.00
$
40,000.00
$
-
$
-
$
-
$
200,000.00
HHAP 4 - Systems Support
$
-
$
-
$
-
$
-
$
40,000.00
$
80,000.00
$
80,000.00
$
-
$
200,000.00
B. Administration - staff and TA for
grant and program management HHAP 1 - Administration
$
52,218.00
$
100,000.00
$
100,000.00
$
100,000.00
$
100,000.00
$
-
$
-
$
-
$
452,218.00
HHAP 3 - Administration
$
-
$
-
$
138,132.00
$
138,132.00
$
69,066.00
$
-
$
-
$
-
$
345,330.00
HHAP 4 - Administration
$
-
$
-
$
-
$
-
$
69,066.00
$
138,132.00
$
138,132.00
$
-
$
345,330.00
American Rescue Plan
$
-
$
140,000.00
$
200,000.00
$
200,000.00
$
-
$
-
$
-
$
-
$
540,000.00
Emergency Solutions
Grant
$
20,658.00
$
20,658.00
$
20,658.00
$
20,658.00
$
20,658.00
$
20,658.00
$
20,658.00
$
20,658.00
$
165,264.00
C. Capacity Building - strengthen local
organizations HHAP 3 - Systems Support
$
-
$
-
$
250,000.00
$
250,000.00
$
125,000.00
$
-
$
-
$
-
$
625,000.00
HHAP 4 - Systems Support
$
-
$
-
$
-
$
-
$
125,000.00
$
250,000.00
$
250,000.00
$
-
$
625,000.00
D. Coordinated Entry System HHAP 1 - Systems Support
$
28,712.33
$
57,424.67
$
57,424.67
$
57,424.67
$
57,424.67
$
-
$
-
$
-
$
258,411.00
HHAP 3 - Systems Support
$
-
$
-
$
30,000.00
$
30,000.00
$
15,000.00
$
-
$
-
$
-
$
75,000.00
HHAP 4 - Systems Support
$
-
$
-
$
-
$
-
$
15,000.00
$
30,000.00
$
30,000.00
$
-
$
75,000.00
American Rescue Plan
$
-
$
120,000.00
$
120,000.00
$
120,000.00
$
-
$
-
$
-
$
-
$
360,000.00
E. Point in Time Count HHAP 3 - Systems Support
$
-
$
-
$
50,000.00
$
50,000.00
$
25,000.00
$
-
$
-
$
-
$
125,000.00
HHAP 4 - Systems Support
$
-
$
-
$
-
$
-
$
25,000.00
$
50,000.00
$
50,000.00
$
-
$
125,000.00
F. Capacity Building - staff and TA for
data analytics HHAP 3 - Administration
$
-
$
-
$
82,880.00
$
82,880.00
$
41,439.00
$
-
$
-
$
-
$
207,199.00
ATTACHMENT A
785
June 2022 City of Stockton Homeless Action Plan Page 37 of 50 HHAP 4 - Administration
$
-
$
-
$
-
$
-
$
41,439.00
$
82,880.00
$
82,880.00
$
-
$
207,199.00
G. Homeless Management Information
System HHAP 3 - Systems Support
$
-
$
-
$
30,000.00
$
30,000.00
$
15,000.00
$
-
$
-
$
-
$
75,000.00
HHAP 4 - Systems Support
$
-
$
-
$
-
$
-
$
15,000.00
$
30,000.00
$
30,000.00
$
-
$
75,000.00
Emergency Solutions
Grant
$
-
$
-
$
14,500.00
$
-
$
-
$
-
$
-
$
-
$
14,500.00
Subtotal Expenditures for Goal 1
$
176,588.33
$
372,287.67
$
1,053,594.67
$
1,039,094.67
$
839,092.67
$
681,670.00
$
681,670.00
$
20,658.00
$
4,864,656.00
Goal 2: Increase Access and Reduce Barriers to Homeless Crisis Response Services Expenditures by Year
Strategies (In order listed) Funding Source
2020 - 2021
2021 - 2022
2022 - 2023
2023 - 2024
2024 - 2025
2025 - 2026
2026 - 2027
2027-2028
Total
H. Shelter Improvements HHAP 1
$
338,623.00
$
1,000,000.00
$
1,000,000.00
$
-
$
-
$
-
$
-
$
-
$
2,338,623.00
I. Operating Subsidies - Area Shelters HHAP 1
$
99,000.00
$
198,130.00
$
198,130.00
$
198,130.00
$
198,121.00
$
-
$
-
$
-
$
891,511.00
HHAP 3 - Operating
Subsidies
$
-
$
-
$
759,764.80
$
759,764.80
$
379,882.40
$
-
$
-
$
-
$
1,899,412.00
HHAP 4 - Operating
Subsidies
$
-
$
-
$
-
$
-
$
379,882.40
$
759,764.80
$
759,764.80
$
-
$
1,899,412.00
American Rescue Plan -
Shelters
$
-
$
-
$
-
$
1,028,571.40
$
1,028,571.4
0 $
1,028,571.40
$
514,285.80
$
-
$
3,600,000.00
American Rescue Plan -
Camping
$
-
$
-
$
600,000.00
$
600,000.00
$
600,000.00
$
-
$
-
$
-
$
1,800,000.00
Emergency Solutions
Grant
$
92,500.00
$
92,500.00
$
92,500.00
$
92,500.00
$
92,500.00
$
92,500.00
$
92,500.00
$
92,500.00
$
740,000.00
Community Development
Block Grant
$
75,000.00
$
75,000.00
$
75,000.00
$
75,000.00
$
75,000.00
$
75,000.00
$
75,000.00
$
75,000.00
$
600,000.00
J. Tenant Assistance HHAP Round 1
$
89,324.89
$
178,649.78
$
178,649.78
$
178,649.78
$
178,649.78
$
-
$
-
$
-
$
803,924.00
Community Development
Block Grants
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
720,000.00
K. Meeting Basic Needs (food, hygiene,
other basic needs)
Emergency Solutions
Grant
$
62,500.00
$
62,500.00
$
62,500.00
$
62,500.00
$
62,500.00
$
62,500.00
$
62,500.00
$
62,500.00
$
500,000.00
Community Development
Block Grant
$
180,000.00
$
180,000.00
$
180,000.00
$
180,000.00
$
180,000.00
$
180,000.00
$
180,000.00
$
180,000.00
$
1,440,000.00
Subtotal Expenditures for Goal 2
$
1,026,947.89
$
1,876,779.78
$
3,236,544.58
$
3,265,115.98
$
3,265,106.98
$
2,288,336.20
$
1,774,050.60
$
500,000.00
$
17,232,882.00
ATTACHMENT A
786
June 2022 City of Stockton Homeless Action Plan Page 38 of 50
Goal 3: Ensure Households Experiencing Homelessness Have Access to Affordable and Sustainable Permanent Housing Expenditures by Year
Strategies (In order listed) Funding Source(s)
2020 - 2021
2021 - 2022
2022 - 2023
2023 - 2024
2024 - 2025
2025 - 2026
2026 - 2027
2027-2028
Total multi-
year project
budget
L. Affordable Housing Development
HHAP Round 1
$
86,129.56
$
172,259.11
$
172,259.11
$
172,259.11
$
172,259.11
$
-
$
-
$
-
$
775,166.00
HHAP Round 2
$
-
$
-
$
1,000,000.00
$
1,000,000.00
$
-
$
-
$
-
$
-
$
2,000,000.00
HHAP Round 3
$
-
$
-
$
-
$
1,894,678.50
$
1,894,678.50
$
2.00 $
-
$
-
$
3,789,359.00
HHAP Round 4
$
-
$
-
$
-
$
-
$
-
$
1,894,678.50
$
1,894,678.50
$
2.00 $
3,789,359.00
HOME
$
1,593,808.00
$
1,760,529.00
$
1,760,529.00
$
1,760,529.00
$
1,760,529.00
$
1,760,529.00
$
1,760,529.00
$
1,760,529.00
$
13,917,511.00
HOME-ARP
$
-
$
-
$
3,190,338.50
$
3,190,338.50
$
-
$
-
$
-
$
-
$
6,380,677.00
Homekey Round 1
$
1,000,000.00
$
2,000,000.00
$
1,289,095.00
$
-
$
-
$
-
$
-
$
-
$
4,289,095.00
American Rescue Plan
$
-
$
-
$
3,025,000.00
$
3,025,000.00
$
-
$
-
$
-
$
-
$
6,050,000.00
M. Rapid Rehousing
HHAP Round 1
$
75,778.10
$
151,556.20
$
151,556.20
$
151,556.20
$
151,556.20
$
-
$
-
$
-
$
682,002.88
Emergency Solutions Grant
$
102,500.00
$
102,500.00
$
102,500.00
$
102,500.00
$
102,500.00
$
102,500.00
$
102,500.00
$
102,500.00
$
820,000.00
N. Housing Support Services
HHAP Round 1
$
14,356.11
$
28,712.22
$
28,712.22
$
28,712.22
$
28,712.22
$
-
$
-
$
-
$
129,205.00
HHAP Round 3
$
-
$
-
$
220,788.40
$
220,788.40
$
110,394.20
$
-
$
-
$
-
$
551,971.00
HHAP Round 4
$
-
$
-
$
-
$
-
$
110,394.20
$
220,788.40
$
220,788.40
$
-
$
551,971.00
Community Development Block Grant
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
90,000.00
$
720,000.00
Subtotal Expenditures for Goal 3
$
2,962,571.76
$
4,305,556.53
$
11,030,778.43
$
11,636,361.93
$
4,421,023.43
$
4,068,497.90
$
4,068,495.90
$
1,953,031.00
$
44,446,316.88
Total Planned Expenditures All Funding Sources
$
4,166,107.99
$
6,554,623.97
$
15,320,917.67
$
15,940,572.57
$
8,525,223.07
$
7,038,504.10
$
6,524,216.50
$
2,473,689.00
$
66,543,854.88
ATTACHMENT A
787
June 2022 City of Stockton Homeless Action Plan Page 39 of 50
6. Appendix: Approved HHAP Application
Table 1: Landscape Analysis of Needs and Demographics (San Joaquin County) Table 2: Landscape Analysis of People Being Served (San Joaquin County) Table 3: Landscape Analysis of State, Federal and Local Funding (City of Stockton) Table 4: Outcome Goals (CoC / County Goals, with City of Stockton Equity Goals) Table 5: Strategies to Achieve Outcome Goals (City of Stockton) Table 6: Funding Plan (City of Stockton)
Table 7: Not Applicable (Pertained to strategies not selected by the City of Stockton) Table 8: HHAP Round 3 Approved Budget (City of Stockton)
ATTACHMENT A
788
People Experiencing
Homelessness
Source and
Date Timeframe of Data
TOTAL # OF PEOPLE EXPERIENCING HOMELESSNESS 2036 2022 PiT - January 2022 # of People Who are Sheltered (E S, TH, SH) 686 2022 PiT - January 2022 # of People Who are Unsheltered 1350 2022 PiT - January 2022 # of Households without Child ren 1819 2022 PiT - January 2022 # of Households with At Least 1 Adult & 1 Child 63 2022 PiT - January 2022 # of Households with Only Children 4 2022 PiT - January 2022 # of Adults Who are Experiencing Chronic Homelessness 823 2022 PiT - January 2022 # of Adults Who are Experiencing Significant Mental Illness 597 2022 PiT - January 2022 # of Adults Who are Experiencing Substance Abuse Di sorders 599 2022 PiT - January 2022 # of Adults Who are Veterans 132 2022 PiT - January 2022 # of Adults with HIV/AIDS 10 2022 PiT - January 2022
# of Adults Who are Survivors of Domestic Violence 29 2022 PiT - January 2022 # of Unaccompanied Youth (under 25) 64 2022 PiT - January 2022 # of Parenting Youth (under 25) 3 2022 PiT - January 2022 # of People Who are Children of Parenting Youth 7 2022 PiT - January 2022 # of Women/Girls 722 2022 PiT - January 2022
# of Men/Boys 1309 2022 PiT - January 2022
# of People Who are Transgender 2 2022 PiT - January 2022 # of People Who are Gender Non-Conforming 3 2022 PiT - January 2022 # of People Who are Hispanic/Latino 654 2022 PiT - January 2022 # of People Who are Non-Hispanic/Non-Latino 1382 2022 PiT - January 2022 # of People Who are Black or African American 412 2022 PiT - January 2022 # of People Who are Asian 55 2022 PiT - January 2022
# of People Who are American Indian or Alaska Native 32 2022 PiT - January 2022 # of People Who are Native Hawaiian or Other Pacific Islander 16 2022 PiT - January 2022 # of People Who are White 1367 2022 PiT - January 2022
# of People Who are Multiple Races 154 2022 PiT - January 2022 Ethnicity and Race Demographics
Table 1. Landscape Analysis of Needs and Demographics
Population and Living Situations
Household Composition
Sub-Populations and Other Characteristics
Gender Demographics
ATTACHMENT A
789
Permanent
Supportive
Housing
(PSH)
Rapid
Rehousing
(RRH)
Transitional
Housing
(TH)
Intermin Housing or
Emergency Shelter
(IH / ES)
Diversion Services
and Assistance
(DIV)
Homelessness
Prevention Services
& Assistance (HP)
Outreach and
Engagement
Services
(O/R)
Other: [Identify] St. Mary's Dining
Room Source(s) and Timeframe of Data
Household Composition
# of Households without Children 357 183 117 344 0 83 1933 431 HMIS 1-30-2022 # of Households with At Least 1 Adult
& 1 Child 49 189 14 43 0 41 6 12 HMIS 1-30-2022
# of Households with Only Children 0 0 2 1 0 0 0 0 HMIS 1-30-2022 Sub-Populations and Other
Characteristics
# of Adults Who are Experiencing
Chronic Homelessness 203 54 13 153 0 9 98 217 HM IS 1-30-2022 # of Adults Who are Experiencing
Significant Mental Illness 207 56 33 105 0 27 80 21 HM IS 1-30-2022 # of Adults Who are Experiencing
Substance Abuse Disorders 131 28 97 102 0 3 128 11 HM IS 1-30-2022 # of Adults Who are Veterans 183 72 3 32 0 29 105 24 HMIS 1-30-2022 # of Adults with HIV/AIDS 13 2 9 1 0 4 4 0 HMIS 1-30-2022 # of Adults Who are Survivors of
Domestic Violence 34 66 1 9 0 15 38 12 HM IS 1-30-2022
# of Unaccompanied Youth (under
25) 17 14 11 12 0 4 51 51 HM IS 1-30-2022
# of Parenting Youth (under 25) 8 15 0 3 0 2 0 0 HMIS 1-30-2022 # of People Who are Children of
Parenting Youth 10 40 0 4 0 4 0 0 HM IS 1-30-2022
Gender Demographics
# of Women/Girls 255 452 69 182 0 180 685 130 HMIS 1-30-2022 # of Men/Boys 365 367 96 301 0 131 1269 326 HMIS 1-30-2022 # of People Who are Transgender 3 0 0 0 0 0 3 1 HMIS 1-30-2022 # of People Who are Gender Non-
Conforming 0 1 0 2 0 0 3 1 HM IS 1-30-2022
Ethnicity and Race Demographics
# of People Who are Hispanic/Latino 125 255 57 175 0 97 595 149 HMIS 1-30-2022 # of People Who are Non-
Hispanic/Non-Latino 498 548 108 310 0 208 1317 300 HM IS 1-30-2022 # of People Who are Black or
African American 259 365 36 115 0 136 452 130 HM IS 1-30-2022 # of People Who are Asian 19 16 5 10 0 3 54 17 HMIS 1-30-2022 # of People Who are American
Indian or Alaska Native 10 12 3 3 0 4 41 11 HM IS 1-30-2022 # of People Who are Native
Hawaiian or Other Pacific Islander 4 14 1 7 0 0 19 6 HM IS 1-30-2022 # of People Who are White 304 312 111 315 0 140 1245 258 HM IS 1-30-2022 # of People Who are Multiple Races 27 101 9 35 0 28 149 36 HMIS 1-30-2022 Table 2. Landscape Analysis of People Being Served
ATTACHMENT A
790
Funding Program
(choose from drop down options)
Fiscal Year
(select all that apply)
Total Amount
Invested into
Homelessness
Interventions Funding Source*
Brief Description of Programming
and Services Provided
FY 2021-2022 Rental Assistance
FY 2022-2023
People Exp Chronic
Homelessness Veterans Parenting Youth
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth x
Other (low-income
households at risk of
homelessness)
FY 2021-2022 Permanent Supportive and
Service-Enriched Housing
FY 2022-2023
People Exp Chronic
Homelessness Veterans Parenting Youth
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth X
Other (Low-income
individuals)
FY 2021-2022 Permanent Supportive and
Service-Enriched Housing
FY 2022-2023
People Exp Chronic
Homelessness Veterans Parenting Youth
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth x
Other (low-income
households at risk of
homelessness)
FY 2021-2022 Permanent Supportive and
Service-Enriched Housing
FY 2022-2023 X
People Exp Chronic
Homelessness Veterans Parenting Youth
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth
Other (please enter
here )
FY 2021-2022 Permanent Supportive and
Service-Enriched Housing
People Exp Chronic
Homelessness Veterans Parenting Youth
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth X
Other (domestic
violence survivors )
FY 2021-2022 Permanent Supportive and
Service-Enriched Housing
People Exp Chronic
Homelessness Veterans Parenting Youth
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth
Other (please enter
here )
FY 2021-2022 Administrative Activities
FY 2022-2023 Outreach and Engagement
People Exp Chronic
Homelessness Veterans Parenting Youth
Non-Congregate Shelter/
Interim Housing
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth
Other (please enter
here )
FY 2021-2022 Diversion and Homelessness
Prevention
FY 2022-2023 Outreach and Engagement
People Exp Chronic
Homelessness Veterans Parenting Youth
Non-Congregate Shelter/
Interim Housing
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth
Other (please enter
here )
FY 2021-2022 Diversion and Homelessness
Prevention
FY 2022-2023 Outreach and Engagement
People Exp Chronic
Homelessness Veterans Parenting Youth
Non-Congregate Shelter/
Interim Housing
People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
People Exp Substance
Abuse Disorders Unaccompanied Youth
Other (please enter
here )
FY 2021-2022 Non-Congregate Shelter/
Interim Housing
Diversion and Homelessness
Prevention
FY 2022-2023 Per
manent Supportive and
Service-Enriched Housing Rental Assistance
People Exp Chronic
Homelessness Veterans Parenting Youth
FY 2023-2024 Outreach and Engagement Systems Support Activities People Exp Severe
Mental Illness People Exp HIV/ AIDS
Children of Parenting
Youth
FY 2024-2025 Administrative Activities
People Exp Substance
Abuse Disorders Unaccompanied Youth
Other (please enter
here )
* NOTE: Private funder(s) option here could include philanthropy, resources from managed care plans organizations, corporate funders, or other private sources of funding
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
Homeless Housing, Assistance and Prevention Program
(HHAP) - via Cal ICH $7,514,209 Sta te Agency
Range of local programs across the
continnuum including coordinated
entry, outreach, navigation, rapid re-
housing, operations and operating
reserves for permanent hoursing, and
shelter expansion project.
X
ALL
PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
Community Development Block Grant (CDBG) - via HUD $1,102, 340 Federal Agency Various support services to support
homeless individuals and facilitate
engagement and transition to
permanency, including meals/food,
showers, sheltering, medical care,
and job readiness.
x
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
Emergency Solutions Grants (ESG) - via HUD $584,961 F ederal Agency Various support services to support
homeless individuals and facilitate
engagement and transition to
permanency, including meals/food,
showers, sheltering, medical care,
and job readiness.
x
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
Emergency Solutions Grants - CV (ESG-CV) - via HUD $7,050, 104 Federal Agency Emergency assistance for homeless
shelters and homeless outreach
teams, including PPE supplies, shelter
and outreach team expansions, and
other community support services
X
ALL
PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
Other (American Rescue Plan Act Funds) $6,050,000 Federal Agency Encumbered ARPA match funds
waiting state approval and
authorization: HASJC Homekey 2
project for 74 units of PSH.
X
Populations Served
(please "x" the appropriate population[s])
Table 3. Landscape Analysis of State, Federal and Local Funding TARGETED POPULATIONS (please "x" all that apply )
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
Emergency Rental Assistance (ERA) - via Treasury $40,631, 445 Federal Agency Rental assistance for low income
individuals who can not pay rent as
a result of COVID related impacts.
Purpose to avoid homelessness. One
time funding.
Intervention Types Supported with Funding
(select all that apply)
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
HOME - American Rescue Plan Program (HOME-ARP) -
via HUD $6,380,677 Fed eral Agency
New Construction / Rehabilitation of
housing for low income individuals
and families. Mix of general
affordable and service enriched
housing.
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
HOME Program - via HUD $4,245, 263 Federal Agency
New Construction / Rehabilitation of
housing for low income individuals
and families. Mix of general
affordable and service enriched
housing.
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
Homekey (via HCD) $4,289, 095 State Agency
Town Center Studios:
Redevelopment of motel into 40 units
and initial operating funds (with
$680,000 from Enterprise Foundation
for operations)
ALL PEOPLE
EXPERIENCING
HOMELESSNESS
TARGETED POPULATIONS (please "x" all that apply )
Homeless Housing, Assistance and Prevention Program
(HHAP) - via Cal ICH $2,000,000 Sta te Agency
Encumbered match funds waiting
state approval and authorization:
Visionary Homebuilders Homekey 2,
15 units for homeless DV survivors.
ATTACHMENT A
791
Decrease/Increase in # of People Decrease/Increase as % Change from Baseline 8,034 1205 15%
Describe the trackable data goal(s) related to this
Outcome Goal:
Goal: Reduce the overall total of those
experiencing homelessness and reduce the
proportion that are African American, from 28% to
less than 20%.
Reduction in # of People Reduction as % Change from Baseline 1,558 117 8%
Describe the trackable data goal(s) related to this
Outcome Goal:
Goal: Reduced unsheltered homelessness among
African Americans by 15%.
Reduction in # of People Reduction as % Change from Baseline 3,520 528 15%
Describe the trackable data goal(s) related to this
Outcome Goal:
Goal: reduce the proportion of those newly
experiencing homelessness who are African
Americans from 32% to 24%.
Table 4. Outcome Goals
Baseline Data:
Daily Estimate of # of people experiencing
unsheltered homelessness
Outcome Goals July 1, 2021 - June 30, 2024
Describe Your Related Goals for
Underserved Populations and Populations Disproportionately Impacted by Homelessness Describe any underserved and/ or disproportionately impacted population(s) that your community will especially focus on related to this Outcome Goal and how this focus has been informed by data in your landscape assessment:
Outcome Goal #1b: Reducing the number of persons experiencing unsheltered homelessness on a daily basis Describe any underserved and/ or disproportionately impacted population(s) that your community will especially focus on related to this Outcome Goal and how this focus has been informed by data in your landscape assessment:
The landscape analysis showed that African-Americans are overrepresented among individuals experiencing homelessness in Stockton, comprising 28% of the city's homeless population, compared to about 12% of the city population. Residents that identify as Hispanic/Latino are under-represented among invdiviuals experiencing homelessness, comprising 31% of the homeless population and 44% of the city population.
Outcome Goal #1a: Reducing the number of persons experiencing homelessness.
Baseline Data:
Annual estimate of number of people accessing
services who are experiencing homelessness
Outcome Goals July 1, 2021 - June 30, 2024
Describe Your Related Goals for
Underserved Populations and Populations Disproportionately Impacted by Homelessness 61% of shelter beds were unoccupied during the night of the 2022 Housing Inventory Count. Utilization rates may be tied to high Covid case counts and warm clear weather during the night of the count, however findings from a survey of unsheltered individuals raised concerns about "people feeling welcome" and not wanting to use shelter services. Pets and partners were also indicated as barriers to entry. Planned new shelters will remove barriers to entry and are anticipated to have an 80% average occupancy rate. CA HDIS data shows 21% of those unsheltered in 2020 were African American with similar findings from the 2022 PIT count. In Stockton, the proportion of African Americans that are unsheltered may potentially be higher, accounting for as much as 30% of the unsheltered population (Encampment Outreach Study, Forthcoming from United Way of San Joaquin.) Though African Americans account for 8% of the county population, they comprise 32% of those that became homeless for the first time in 2022, according to HDIS Data. Job loss, income reduction, separations, or eviction were sited as the most frequent factors associated with homelessness through interviews with people experiencing homelessness.
Describe any underserved and/ or disproportionately impacted population(s) that your community will especially focus on related to this Outcome Goal and how this focus has been informed by data in your landscape assessment:
Outcome Goal #2: Reducing the number of persons who become homeless for the first time.
Baseline Data:
Annual Estimate of # of people who become
homeless for the first time
Outcome Goals July 1, 2021 - June 30, 2024
Describe Your Related Goals for
Underserved Populations and Populations Disproportionately Impacted by Homelessness
ATTACHMENT A
792
Increase in # of People Increase as % Change from Baseline 833 250 30%
Describe the trackable data goal(s) related to this
Outcome Goal:
Goal: Increase the rate of single people exiting to
permanent housing from 6% to 8%, for an
additional 58 adults in households without children
exiting to permanent housing.
Decrease in Average # of Days Decrease as % Change from Baseline 72 5 7%
Describe the trackable data goal(s) related to this
Outcome Goal:
Goal: The length of time to enrollment in housing
for veterans and people with HIV/AIDS will reduce
50%, and approximate local averages for all people.
Describe any underserved and/ or disproportionately impacted population(s) that your community will especially focus on related to this Outcome Goal and how this focus has been informed by data in your landscape assessment:
Among those exiting homelessness into permanent housing, 34% are African American, 33% are Hispanic and 18% are White.
A repeated concern raised by people experiencing homelessness is that there are fewer housing options for single individuals, and women are more likely to exit to permanent housing than men. Women comprise 46% of the homeless population and account for 56% of those who exit to homelessness. People in households with children account for 64% of exits to permanent housing, though comprising 56% of people experiencing homelessness.
The goal is to increase housing opportunities for both families and single individuals, including single men.
Describe Your Related Goals for
Underserved Populations and Populations Disproportionately Impacted by Homelessness Outcome Goal #3: Increasing the number of people exiting homelessness into permanent housing.
Baseline Data:
Annual Estimate of # of people exiting
homelessness into permanent housing
Outcome Goals July 1, 2021 - June 30, 2024
Describe any underserved and/ or disproportionately impacted population(s) that your community will especially focus on related to this Outcome Goal and how this focus has been informed by data in your landscape assessment:
Chronic Homelessness is increasing in San Joaquin County, with more people reporting being homeless longer.
Nearly 75% of those who are unsheltered have been homeless for more than 12 months and the number of people meeting the definition of chronic homelessness appears to have risen from 27% to 35%.
Concerningly veterans and people with HIV/AIDS have some of the longest wait times to get into housing, about twice as long on average (129 days and 134 days, respectively, compared to an average of 72 days).
Outcome Goal #4: Reducing the length of time persons remain homeless.
Baseline Data:
Average length of time (in # of days) persons
enrolled in street outreach, emergency shelter,
transitional housing, safehaven projects and
time prior to move-in for persons enrolled in
rapid rehousing and permanent housing
programs"
Outcome Goals July 1, 2021 - June 30, 2024
Describe Your Related Goals for
Underserved Populations and Populations Disproportionately Impacted by Homelessness
ATTACHMENT A
793
Decrease in % of People who return to
Homelessness Decrease as % Change from Baseline
10% 1% 9%
Describe the trackable data goal(s) related to this
Outcome Goal:
Goal: Reduce the proportion of people who have
fled domestic violence and who subsequently are
returning to homelessness after being placed in
permanent housing from 20% to 12%.
Increase in # of People Successfully Placed
from Street Outreach Increase as % of Baseline
2 4 50%
Describe the trackable data goal(s) related to this
Outcome Goal:
Through funding investment data and
organizational capacity building, increase the
number of outreach organizations entering
complete service and outcome data into the HMIS
by 5.
Describe Your Related Goals for
Underserved Populations and Populations Disproportionately Impacted by Homelessness Data on street outreach is generally considered to be underrepresentative of actual efforts. Trackable goals for this measure are related to system strengthening, though will be updated once more accurate baseline data is determined. Encampment survey data shows that unsheltered respondents were more likely to be black, male, and to have a disability than is otherwise indicated on statewide data.
Outcome Goal #6: Increasing successful placements from street outreach.
Baseline Data:
Annual # of people served in street outreach
projects who exit to emergency shelter, safe
haven, transitional housing, or permanent
housing destinations.
Outcome Goals July 1, 2021 - June 30, 2024
Describe Your Related Goals for
Underserved Populations and Populations Disproportionately Impacted by Homelessness Describe any underserved and/ or disproportionately impacted population(s) that your community will especially focus on related to this Outcome Goal and how this focus has been informed by data in your landscape assessment:
Describe any underserved and/ or disproportionately impacted population(s) that your community will especially focus on related to this Outcome Goal and how this focus has been informed by data in your landscape assessment:
On average 10% of people return to homelessness after exiting for permanent housing, however people with the most risk for returning to homelessness are people fleeing domestic violence. These individuals are returning to homelessness at much higher rates, 20%, than the norm. These figures point to the importance of having special programs for people fleeing domestic violence that includes a higher level of supportive services than may otherwise be indicated for someone that does not meet medical necessity for specialty care and intensive case management.
Baseline Data:
% of people who return to homelessness after
having exited homelessness to permanent
housing
Outcome Goals July 1, 2021 - June 30, 2024
Outcome Goal #5: Reducing the number of persons who return to homelessness after exiting homelessness to permanent housing.
ATTACHMENT A
794
Strategy Performance Measure to Be Impacted
(Check all that apply)
Description
Systems Support Activities
Timeframe
Ongoing
Entities with Lead Responsibilities
CoC / City of Stockton
Measurable Targets
HMIS and Coordinated Entry increase staff capacity. Outreach and shelter program staff participate in best practice trainings. New organizations emerge and develop new solutions to adddress homelessness.
Strategy Performance Measure to Be Impacted
(Check all that apply)
Description
Administrative Activities
Timeframe
Ongoing
Entities with Lead Responsibilities
City of Stockton
Measurable Targets
Grant funds are spent in a timely and effective manner towards purpose. New opportunities for housing development are secured. City practices are streamlined and updated as needed to better address homelessness.
Table 5. Strategies to Achieve Outcome Goals
1. Reducing the number of persons experiencing homelessness.
2. Reducing the number of persons who become homeless for the first time.
3. Increasing the number of people exiting homelessness into permanent housing.
4. Reducing the length of time persons remain homeless.
5. Reducing the number of persons who return to homelessness after exiting homelessness to permanent housing.
6. Increasing successful placements from street outreach.
Focused on equity goals related to underserved populations and populations disproportionately impacted by homelessness.
1. Reducing the number of persons experiencing homelessness.
2. Reducing the number of persons who become homeless for the first time.
3. Increasing the number of people exiting homelessness into permanent housing.
4. Reducing the length of time persons remain homeless.
5. Reducing the number of persons who return to homelessness after exiting homelessness to permanent housing.
6. Increasing successful placements from street outreach.
Focused on equity goals related to underserved populations and populations disproportionately impacted by homelessness.
ATTACHMENT A
795
Strategy Performance Measure to Be Impacted
(Check all that apply)
Description
Non-Congregate Shelter/ Interim Housing
Timeframe
Ongoing
Entities with Lead Responsibilities
City of Stockton / Local Providers
Measurable Targets
Homeless shelters have low barriers to entry and adopt a housing first approach.
Shelters have a registered guest program model, housing navigation services, and coordinate with existing health and human services. Shelter staff enter guest information into the HMIS, including exits. All shelter staff participate in trainings on trauma, vicarious trauma, and approaches to care for diverse populations.
Strategy Performance Measure to Be Impacted
(Check all that apply)
Description
Permanent Supportive and Service-Enriched Housing
Timeframe
Ongoing
Entities with Lead Responsibilities
City of Stockton / Local Developers and CBOs
Measurable Targets
Count of new units by unit type. Count of people placed by household type and demographics. All housing program staff participate in trainings on trauma, vicarious trauma, and approaches to care for diverse populations.
1. Reducing the number of persons experiencing homelessness.
2. Reducing the number of persons who become homeless for the first time.
3. Increasing the number of people exiting homelessness into permanent housing.
4. Reducing the length of time persons remain homeless.
5. Reducing the number of persons who return to homelessness after exiting homelessness to permanent housing.
6. Increasing successful placements from street outreach.
Focused on equity goals related to underserved populations and populations disproportionately impacted by homelessness.
1. Reducing the number of persons experiencing homelessness.
2. Reducing the number of persons who become homeless for the first time.
3. Increasing the number of people exiting homelessness into permanent housing.
4. Reducing the length of time persons remain homeless.
5. Reducing the number of persons who return to homelessness after exiting homelessness to permanent housing.
6. Increasing successful placements from street outreach.
Focused on equity goals related to underserved populations and populations disproportionately impacted by homelessness.
ATTACHMENT A
796
1. Rapid rehousing 2. Operating
subsidies 3. Street outreach 4. Services
coordination 5. Systems support 6. Delivery of
permanent housing
7. Prevention and
diversion
8. Interim sheltering
(new and existing)
9. Shelter
improvements to
lower barriers and
increase privacy
10. Administrative
(up to 7%)
Systems Support
Activities $ - $ - $ - $ - $ 1,100,000.45 $ - $ - $ - $ - $ - $ 1,100,000.45 Match funding for
Coordinated Entry, HMIS, and
Point in Time Counts. Special
Capacity Building Initiatives to
reduce racial disparities.
Administrative Activities $ - $ - $ - $ - $ - $ - $ - $ - $ - $ 552,528.88 $ 552,528.88 Staff and TA for Homeless
Program Management, Grant
Administration, and Data
Analytics.
Non-Congregate
Shelter/ Interim Housing $ - $ 1,899,412.10 $ - $ - $ - $ - $ - $ - $ - $ - $ 1,899,412.10 Operating Subsidies for Stockton Area Shelters.
Permanent Supportive
and Service-Enriched
Housing
$ - $ 741,328.03 $ - $ - $ - $ 3,600, 000.30 $ - $ - $ - $ - $ 4,341,328.33 Permanent Housing Grants
(Match Fund), Shared
Housing/Master Lease Grant
Funds, Operating Subsidies for
Youth and Adult Housing
Pro
grams
$ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - Totals: -$ 2,640,740.13$ -$ -$ 1, 100,000.45$ 3, 600,000.30$ -$ -$ -$ 552, 528.88$ 7, 893,269.76$ The City of Stockton is focusing over 50% of allocated HHAP funds on the delivery of permanent housing. This emphasis aligns City responsibilities with the area of work that the City has the most control over, specifically supporting the development of new housing. While some funds are earmarked to support and sustain those who are housed, especially youth, it is recognized that most health and human services will be augmented through County services and program allocations.
Additional funding is earmarked to support local shelter operations and to build capacity in a manner that best supports local Stockton community based organizations and promotes the development of new and emerging grassroots organizations. The City seeks to work with its regional partners, the County of San Joaquin and the Continuum of Care, in a range of capacity building initiatives to strengthen the CoC.
Explanation of How the Proposed Use of Funds Will Complement Existing local, state, and federal funds and equitably close the gaps identified in the Local Landscape Analysis Table 6. Funding Plans
Activity to be funded by
HHAP-3
(choose from drop down
options)
Eligible Use Categories Used to Fund Activity
Total Funds
Requested: Description of Activity
See also the detailed
description of the intended
use of funds in the attached
implementation plan.
ATTACHMENT A
797
CoC / Large City / County Name: Applying Jointly? Y/N No Administrative Entity Name: Total Allocation 7,893,269.76$ FY21/22 FY22/23 FY23/24 FY24/25 FY25/26 TOTAL Initial Remainder -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ 660,185.03$ 660,185.03$ 660,185.03$ 660,185.03$ 2,640,740.13$ 478,653.50$ 2,162,086.63$ -$ 47,339.25$ 47,339.25$ 4 7,339.25$ 4 7,339.25$ 1 89,357.00$ 189,357.00$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ 275,000.11$ 275,000.11$ 275,000.11$ 275,000.11$ 1,100,000.45$ 1,100,000.45$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ 900,000.08$ 900,000.08$ 900,000.08$ 900,000.08$ 3,600,000.30$ -$ 3,600,000.30$ -$ 150,000.03$ 150,000.03$ 1 50,000.03$ 1 50,000.03$ 6 00,000.10$ -$ 600,000.10$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ 138,132.22$ 138,132.22$ 138,132.22$ 138,132.22$ 552,528.88$ -$ 552,528.88$ 7,893,269.76$ 1,578,653.95$ 6,314,615.81$ FY21/22 FY22/23 FY23/24 FY24/25 FY25/26 TOTAL
-$ 197,339.28$ 197,339.28$ 197,339.28$ 197,339.28$ 789,357.10$ 189,357.00$ 600,000.10$ COMMENTS:
Administrative (up to 7%)
TOTAL FUNDING ALLOCATION
Youth Set-Aside (at least 10%)
Prevention and shelter diversion
Prevention and shelter diversion: youth set-aside
Interim sheltering
Interim sheltering: youth set-aside
Shelter improvements to
lower barriers and increase privacy
Shelter improvements: youth set-aside
Delivery of permanent housing: youth set-aside
Rapid rehousing
Rapid rehousing: youth set-aside
Operating subsidies
Operating subsidies: youth set-aside
Systems support: youth set-aside
Delivery of permanent housing
ELIGIBLE USE CATEGORY
HOMELESS HOUSING, ASSISTANCE AND PREVENTION PROGRAM (HHAP) - Round 3
BUDGET TEMPLATE
APPLICANT INFORMATION
Stockton
Economic Development Department
HHAP FUNDING EXPENDITURE PLAN
Street outreach
Street outreach: youth set-aside
Services coordination
Services coordination: youth set-aside
Systems support
ATTACHMENT A
798
June 2022 City of Stockton Homeless Action Plan Page 50 of 50
7. End Notes
i Homeless Shelter Crisis: Who has and hasn’t declared. Eric Escalante for ABC News 10. December 11, 2018. Retrieved from: https://www.abc10.com/article/news/local/sacramento/homeless -shelter-crisis-who-has- and-hasnt-declared/103-623013464
ii New Housing Fails to Make Up for Decades of Undersupply. Public Policy Institute of California, December 3, 2021. Retrieved from: https://www.ppic.org/blog/new-housing-fails-to-make-up-for-decades-of-undersupply/
iii Housing costs climbing: Stockton rent rose nearly 13% over last year. Aaron Leathley, for the Stockton Record. March 9, 2022. Retrieved from: https://www.recordnet.com/story/business/economy/2022/03/09/how- much-rent-stockton-data-shows-rose-13-percent-in-2021-california-housing-market/9444582002/
iv Prior to 2019, the County primarily counted individuals experiencing homelessness via conn ection events with some limited outreach to “known locations”. In 2019, the County increased its volunteer participation by 1000 percent and conducted a primarily “known locations count”. A count of the unsheltered populations in the unincorporated areas of the county and the cities of Lathrop, Ripon, and Escalon was conducted in 2019. Counts in these communities were not conducted in 2022 due to lower than anticipated volunteer turn- out, related to high COVID rates in the community at the time of the count.
v The San Joaquin Community Response to Homelessness, San Joaquin County Strategic Plan, Impact Report 2020-2021. April 2022. Retrieved from: http://www.sanjoaquincoc.org/wp- content/uploads/2022/04/SJCoC-Strategic-Plan-Impact-Report-2020-2021.pdf
vi Homeless Housing, Assistance, and Prevention Program Round 3, Notice of Funding Availability (NOFA).
December 17, 2021, California Homeless Coordinating and Financing Council. Retrieved from:
https://www.bcsh.ca.gov/calich/hhap_program.html
ATTACHMENT A
799
Homeless Housing
Assistance Program
Round 4
Carrie Wright, Director
Economic Development Department
City Council Meeting
November 15, 2022
Item 16.2
1 Turnpike Commons, Stockton CA
800
Background
Funding Goal: Develop regional solutions
to prevent and end homelessness.
HHAP 1 and HHAP 2: Funding allocated
toward prevention, shelter expansions,
and permanent housing.
HHAP 3: Funding is pending.
HHAP 4: Application is Due Nov. 29, 2022.
Locally we have blended HHAP allocations with
other state and federal homeless and housing
funds to increase overall impact.
2 Grand View
Village
Stockton Shelter
for the Homeless
801
Review of Performance Measures
Locally Established Goals
homelessness: 15%
unsheltered homelessness: 8%
first time homelessness: 15%
exits to housing: 30%
length of time homeless: 7%
returns to homeless: 9%
HHAP 3 and 4 funding are
contingent on the State's
policy and implementation of
the program
3 802
Preventing and Addressing Homelessness
Prevention
• Expansion of eviction prevention services
• $40 million in emergency rental assistance
Interventions
• 25 Encampment Clean Ups
• Expanding Low-barrier Sheltering
• Catalyst Project at Children’s Home of Stockton
• Gospel Center Rescue Mission Recuperative Care
• Stockton Shelter for the Homeless Expansion
Between all projects there are over 200 new
low-barrier shelter beds coming on-line…
4 803
Community Strengthening
• Community Well-Being
• $5.76M for CMC Care Link Community Response
• Community Support NOFA
• Community Response Measures
• HOT Team Partnerships
• Food Security Programs
• Restrooms, mobile showers, & laundry
5 804
Creating Housing
Investing in Housing
• Permanent Supportive Housing for Homeless
• Sonora Square
• Town Center Studios
• Turnpike Commons
• Calaveras Quarters
• Affordable Housing for Low-income Community
Members
• Liberty Square (Now Leasing)
• Grand View Village (Leasing in 2023)
• Sierra Vista Phase II
Liberty
Square
6 Sonora
Square
805
Continuum of Care
▪ CoC Strategic Planning Committee
▪ CoC Data and HMIS Committee
▪ CoC Board of Directors
Review State and Local Data
▪ 2022 Point in Time Count Data
▪ San Joaquin County HMIS Data Dashboards
▪ HDIS Data Run, as of July 1, 2022
▪ HDIS Data Dashboards, Current October 2022
Discussion of Needs
▪ Discussion Group with Guest Council at St. Mary’s Dining Room There are more
people accessing
homeless services
than are verified
as literally
homeless per the
HUD definition,
including:
▪ 2,625 persons
under the age of
18. ▪ 652 veterans
▪ 673 survivors of
DV
▪ 2,979 people
with at least one
disabling condition 7
HHAP Round 4
Community
Planning
806
UNIVERSE OF NEED: 12,706
(San Joaquin County, 2021)
There are more
people accessing
homeless services
than are verified
as literally
homeless per the
HUD definition,
including:
▪ 2,625 persons
under the age of
18. ▪ 652 veterans
▪ 673 survivors of
DV
▪ 2,979 people
with at least one
disabling condition 8
6,137
6,137
12, 706 Accessing Services
Verified Homeless
High Rents and
Housing Insecurity
Drive Homelessness
Over 12,700 individuals
experienced a housing
crisis and about half of
those become homeless for
a period of time.
The most common reasons
for homelessness are:
• Disability
• Loss or separation
• Rent increases
Rents increased 9%
between 2020 and 2021
807
There are more
people accessing
homeless services
than are verified
as literally
homeless per the
HUD definition,
including:
▪ 2,625 persons
under the age of
18. ▪ 652 veterans
▪ 673 survivors of
DV
▪ 2,979 people
with at least one
disabling condition 9
Homelessness
is Fluid
Last Year, over 6,000
individuals entered and
exited homelessness.
Most people who become
homeless, do not stay in
the homeless system
However, of those who
stay homeless:
• More people are living
unsheltered (66%)
• More people are
staying homeless for
longer periods of time.
(40% are now deemed
chronically homeless)
Reducing Homelessness
1,535
ON
1/1/20 8,034
People
Served in
2020 1,267
ON
1/1/2021
10,785 10,900
8,034
6,137
0 2,000
4,000
6,000
8,000
10,000
12,000
2018 2019 2020 2021
Reducing the Number Of Persons
Experiencing Homelessness
43% reductions in
Homeless System Utilization
808
There are more
people accessing
homeless services
than are verified
as literally
homeless per the
HUD definition,
including:
▪ 2,625 persons
under the age of
18. ▪ 652 veterans
▪ 673 survivors of
DV
▪ 2,979 people
with at least one
disabling condition 10
Shelter services
are underutilized,
though COVID may
be responsible.
Guests indicate the
following needs:
• Privacy
• Partners
• Possessions
• Pets
Shelter Utilization: 2019 vs. 2022
87%
13%
2019
Occupied Unoccupied
69%
31%
2022
Occupied Unoccupied
Data Source: Point in Time Counts, 2019 and 2022
809
There are more
people accessing
homeless services
than are verified
as literally
homeless per the
HUD definition,
including:
▪ 2,625 persons
under the age of
18. ▪ 652 veterans
▪ 673 survivors of
DV
▪ 2,979 people
with at least one
disabling condition 11
Exits from services
are not well-tracked
Most people who exit the system
after receiving shelter services do
not tell service providers where
they are going or what they are
doing.
Of Rapid Re-housing participants,
38% found permanent housing
Of those leaving a Permanent
Housing Project, 53% had a
move-in date for another home.
Once housed, less than 7% of
people return to homelessness
Exiting Out of Homelessness
6,871 Exited the
Homeless System
833 Exited
to
Permanent
Housing
(12%)
5,046 Exited the
Homeless System
557 Exited
to
Permanent
Housing
(11%)
CY 2021CY 2020
810
HHAP 4 Allowable Uses
▪ Applications are due November 29, 2022
▪ Allocations have not been announced
▪ Eligible Uses
▪ Rapid Re-housing
▪ Program Operating Subsidies
▪ Street Outreach
▪ Services Coordination
▪ System Support
▪ Delivery of Permanent Housing
▪ Prevention and Shelter Diversion
▪ Interim Sheltering
▪ Shelter Improvements
12 Youth set aside (At least 10%)
Administrative (up to 7%)
Demonstrate impact for underserved
populations and populations
disproportionately impacted by
homelessness
811
HHAP 3 FUNDING ALLOCATIONS
County / CoC Planned
Allocations Stockton Planned
Allocations
13 25%
2%
11%
11%
29%
16%
7%
Operating Subsidies Street Outreach
Services Coordination Prevention and Diversion
Permanent Housing System Improvements
Administration
33%
46%
14%
7%
Operating Subsidies Permanent Housing
System Improvements Administration
812
HHAP 4
Recommendations
14 Maintain investments in operations of
permanent housing and shelters. Maintain
Expand investments in rental assistance
and permanent housing as much as
possible.
Expand
Invest as needed in system supports.Invest
813
City of Stockton
Legislation Text
File #: 22-0961, Version: 1
ADOPT AN ORDINANCE AMENDING TITLE 5, CHAPTER 5.16 OF THE STOCKTON MUNICIPAL
CODE TO IMPOSE LICENSING AND OPERATING RESTRICTIONS ON TOBACCO RETAILERS PRIOR TO OPERATING WITHIN THE CITY; AND PUBLIC HEARING TO ADOPT A RESOLUTION APPROVING THE AMENDMENT TO THE FISCAL YEAR 2022-23 FEE SCHEDULE RELATED TO
THE TOBACCO RETAIL LICENSE
RECOMMENDATION
It is recommended that the City Council:
1. Adopt an Ordinance Amending Title 5, Chapter 5.16, section 5.16.010 and adding Chapter
5.102 to the Stockton Municipal Code (“SMC”) requiring tobacco retailers to obtain a license from the City.
2. Adopt a Resolution approving an amendment to the Fiscal Year 2022-23 Fee Schedule relating to tobacco retail licenses.
3. Authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of the ordinance and resolution adopted by Council.
Summary
Following direction provided on July 20, 2022, Legislation and Environmental Committee Meeting (“Committee”), staff obtained input from the City Manager’s Office regarding the proposed ordinance adding a Chapter to Title 5 of the Stockton Municipal Code (“SMC”) requiring tobacco retailers to obtain a tobacco retail license prior to operating within the City of Stockton (“City”) for discussion and adoption by City Council. Staff reviewed and considered the Committee proposal to establish a 1,000 -foot distancing requirement for tobacco retail licenses. With input from the City Manager’s Office and City departments, staff made a minor modification to the proposed distancing requirement after the Committee action. The proposed ordinance has been developed to align with the existing code by creating 600 feet distancing requirements from specified public locations, providing the City with the authority to approve or deny an operator’s permit, and including clarifying definitions for public youth facilities.
Staff have included, pursuant to Committee direction, optional language for Council’s consideration which prohibits flavored tobacco products at tobacco retailers. A copy of the proposed redline ordinance is included as Attachment A.
Also included are two clean versions of the proposed ordinance: 1) One which includes the flavored tobacco product prohibition (Attachment B); and 2) One which does not (Attachment C).
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It is recommended that fees be established to recover the costs of administering the tobacco retail license program. The proposed fees are included as Exhibit 1 to the Resolution.
Implementation of the proposed ordinance for new businesses will begin within 30 days after Council.
For existing businesses, the new regulations will be applied as their business license renewals are due, but not before March 1, 2023. The delay for existing businesses is to provide retailers with the advanced notice needed to submit the application and complete the review process. It will also spread out the workload impact to City staff.
DISCUSSION
Background
On July 20, 2022, the Committee directed the City Attorney’s Office to draft a proposed ordinance requiring tobacco retailers to obtain a license prior to conducting business within the City. The Committee expressed concern that the City cannot currently track the number or location of tobacco retailers in the City. The Committee also expressed a desire to enact certain business-specific restrictions and requirements for tobacco retailers to conduct business within the City.
SMC Title 5 regulates requirements for licenses and permits to conduct business within City limits.
Currently, Title 5 does not include a requirement for tobacco retailers to obtain a business-specific license in order to operate within the City. Instead, tobacco retailers are only required to obtain a standard business license.
On September 30, 2022, the City received input from the American Cancer Society Action Network regarding the City’s proposed tobacco retailer ordinance. The external stakeholder applauded the City’s decision to improve the proposed ordinance by ending the sale of flavored tobacco products; however, they do not believe the ordinance goes far enough to address youth tobacco use. An opposition letter was also received from the SOL Project which acknowledges licensing programs and prohibiting the sale of flavored tobacco products to protect vulnerable populations while preventing kids from accessing deadly products. The organization recommends prohibiting the sale of tobacco products within 1,000 feet of schools and reducing youth access to tobacco products.
Present Situation
In accordance with Committee direction, staff proposes an amendment to Title 5, Chapter 5.16, section 5.16.010, and adding Chapter 5.102 to the SMC requiring tobacco retailers to obtain a license from the City.
According to the California Department of Tax and Fee Administration, there are currently 272 State- licensed tobacco retailers within the City. The State of California defines a tobacco retailer as a “person who engages in this state in the sale of cigarettes or tobacco products directly to the public from a retail location. Retailer includes a person who operates vending machines from which cigarettes or tobacco products are sold in this state.” (Business and Professions Code 22971(q).) Pursuant to the State’s definition of tobacco retailer, the 272 licensed businesses include those which sell tobacco products in any volume, including gas stations and grocery stores, in addition to dedicated tobacco retailers commonly known as “smoke shops.” City of Stockton Printed on 11/9/2022Page 2 of 6
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Defining Tobacco Retailer
The Committee requested that the proposed ordinance define tobacco retailer in a manner that would prevent businesses from changing their use to avoid the licensing requirement. As discussed above, the State defines a tobacco retailer broadly to include all businesses which sell tobacco products, regardless of the volume of tobacco sales. To ensure the code addresses “smoke shops” specifically and to address the Committee’s request, staff chose to define “tobacco retailer” as any person or entity whose principal business is selling tobacco products, tobacco paraphernalia, or both, as evidenced by 50% or more of floor area and display area being devoted to the sale or exchange of tobacco products, tobacco paraphernalia, or both.
Distance Restrictions
To address the Committee’s concerns regarding the location of tobacco retailers, the proposed ordinance includes distance restrictions that are consistent with cannabis distance restrictions in both sections 5.102.090(F-H) addressing grounds for denial of tobacco retail license and sections
5.102.120(F-H) addressing operating regulations and conditions.
Both sections restrict tobacco retail licenses from being issued to a business located within 600 feet of a school, public park, public playground, public recreational area, or youth facility. After review by the Committee, the term “public” was added for clarification purposes before playground and recreational areas. This language mirrors that of SMC section 16.80.040(D)(2), which restricts new alcoholic beverage sales activities or establishments from being located within 500 feet of schools, public parks, playgrounds, recreational areas, or youth facilities. The 600-foot distance requirement will closely align the proposed tobacco retail ordinance with existing requirements.
Both sections create exemptions for tobacco retailers operating lawfully on the day before the effective date of the ordinance. There is also an exemption for lawfully operating tobacco retailers that would otherwise become ineligible due to the creation or relocation of a school, public park, playground, recreational area, or youth facility. Similar exemption language was included in ordinances from other municipalities that regulate tobacco retailers.
However, these exemptions will cease to apply if the tobacco retailer fails to timely renew the tobacco retail license or if the tobacco retail license is revoked. In those instances, the existing tobacco retailers would have to re-apply for a new tobacco retail license, at which point they would not be eligible to receive a license if the location was in violation of the distance restrictions.
Window Obstruction
The Committee expressed concerns that when these businesses block windows or doors to the extent that peace officers cannot see into the business, it creates a safety hazard for the employees of the store and obstructs peace officers from enforcing laws related to underage customers.
Considering these concerns, the proposed ordinance includes restrictions on window obstruction in section 5.102.120(I). This section states that no more than twenty (20) percent of windows or clear doors at the premises where tobacco retailing occurs shall bear advertising or other signage of any sort, and all signage shall be placed and maintained in a manner that ensures that law enforcement personnel have a clear and unobstructed view of the interior of the premises, including the area in City of Stockton Printed on 11/9/2022Page 3 of 6
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which the cash registers are maintained, from the exterior public sidewalk or entrance. This language mirrors that of SMC section 16.80.040(D)(5)(b)(xv) for off-sale alcoholic beverage establishments.
Blight/Loitering Prevention
The Committee expressed concern that some tobacco retailers have become hotspots for criminal activity. Specifically, the Committee requested that the proposed ordinance address blight and loitering issues at tobacco retail establishments. The proposed ordinance addresses these issues in several sections. At the application stage, section 5.102.050(B)(1) allows the City to consider whether the issuance of a tobacco retail license and subsequent operation will be detrimental to the health, safety, and welfare of the Citizens of the City of Stockton. Similarly, section 5.102.090(E) allows the City to deny an application for a tobacco retail license where there is evidence of prior unlawful or nuisance-creating operation in this or another jurisdiction.
Furthermore, section 5.102.100(A)(1)(b) allows the City to immediately suspend a tobacco retail license where, based on ascertainable facts, the operation of the tobacco retailer substantially aggravates the crime problems in the City, makes law enforcement unduly difficult, or is detrimental to the public health, safety, or welfare of the City. This language mirrors that of SMC section
5.100.120 for the suspension and revocation of cannabis operator permits.
Finally, sections 5.102.120(K)(3-7) create affirmative duties for tobacco retailers related to the prevention of blight and loitering. Tobacco retailers are required to post “No Loitering” signs and ask individuals loitering for more than 15 minutes to leave the area and to contact law enforcement if such persons refuse to leave. Tobacco retailers are also required to prevent any condition constituting a nuisance on the premises, remove all graffiti or signs of vandalism within 48 hours, maintain signage and general appearance of the premises in a manner that is not attractive to minors, and maintain clean and orderly premises to ensure public safety. Violation of any of these provisions would subject the tobacco retailer to criminal charges, civil litigation, administrative penalties, and suspension or revocation of the tobacco retail license.
Compliance With Local, State, and Federal Law
The Committee requested that the proposed ordinance require tobacco retailers to comply with all local, state, and federal laws. This concern is addressed at several points in the ordinance:
● Section 5.102.040(C) requires an applicant for a tobacco retail license to provide a statement to the City that the applicant understands and agrees that the business shall be operated in full conformity with all applicable laws of the United States, State of California, County of San Joaquin, and City of Stockton.
● Section 5.102.040(D) requires the applicant to provide a copy of any valid permit or license from a state or county agency where such permit or license is required to lawfully engage in tobacco retailing.
● Section 5.102.090(I) allows the City to deny an application for a tobacco retail license where the City is in possession of information that the applicant has violated any local, state, or federal tobacco control law within the preceding 30-day period.
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● Section 5.102.090(J) was inadvertently excluded from the ordinance presented to the Committee and has been added back in to make conviction of certain crimes grounds for denial. This language mirrors that of SMC section 5.100.070 for the denial of cannabis operator permits. ● Section 5.102.090(K) states that no license shall be issued if the applicant does not have a valid permit or license from a state or county agency where such permit or license is required to lawfully engage in tobacco retailing.
● Sections 5.102.100(A)(1-2) allows the City to suspend or revoke a tobacco retail license where the tobacco retailer has violated or permitted, allowed, or caused the violation of any provisions of this chapter or any other local, state, or federal law or regulation related to tobacco retailing.
● Sections 5.102.120(C) and (D) require tobacco retailers to comply with all provisions of this chapter and to remain in compliance with all local, state, and federal laws at all times. ● Section 5.102.140 makes it a violation of this chapter for a tobacco retailer to violate any federal, state, or local law applicable to tobacco products.
Once again, violation of any of these provisions would subject the tobacco retailer to criminal charges, civil litigation, administrative penalties, and suspension or revocation of the tobacco retail license.
Flavored Tobacco Product Regulation
The Committee requested that the Council consider the inclusion of additional language in the ordinance which would prohibit the sale of flavored tobacco products at tobacco retailers. This additional language can be found in the definitions section (Section 5.102.020) and new subsection (L) in Section 5.102.120.
Subsection (L) would prohibit tobacco products with “characterizing flavors,” including but not limited to menthol, mint, fruit, chocolate, herb, candy, etc., but includes exceptions for shisha tobacco, premium cigars, and loose leaf tobacco.
This prohibition on flavored tobacco products would only apply to those tobacco retailers required to be licensed under this new chapter of the SMC. Other retailers may continue to offer flavored tobacco products if permitted by state and federal law. The ordinance, as drafted, also includes exceptions to the flavored tobacco ban for tobacco retailers which mirror the exceptions to the flavored tobacco ban established by the State of California in Senate Bill (SB) 793, which includes:
- Premium cigars
- Loose leaf tobacco
- Shisha tobacco (tobacco intended to be smoked in a hookah), if the retailer does not permit any person under 21 years of age to be present or enter the premises.
At the time this staff report was prepared, we do not know the results of the November 8, 2022 election, which includes a California voter referendum on SB 793 (Proposition 31). If Proposition 31 is passed by the voters of California, causing SB 793 to go into effect, then the optional flavored City of Stockton Printed on 11/9/2022Page 5 of 6
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tobacco language in this ordinance may be omitted, as the flavored tobacco prohibition will go into effect pursuant to State law, and as applied to all retailers of tobacco.
FINANCIAL SUMMARY
There are no General Fund costs associated with the adoption of the ordinance as drafted. The associated resolution establishes fees to offset the cost of administering the licenses and enforcing the chapter. The new fees include:
1. $102.00 Annual Tobacco Retail License Fee for new license applicants and renewals, one fee per application to cover processing costs of the application.
2. $234.00 Annual Investigative Fee for new license applicants and renewals, charged for each owner, officer, copartner, or stockholder that needs to be investigated for compliance.
3. $147.00 Verification of Distance Requirements, a one-time fee for new tobacco retailers, as applicable, to verify a business location is allowable under ordinance 5.102.120.
4. $102.00 Appeal Fee for denial of permit, pursuant to Ordinance Section 5.102.110.
Notice of a public hearing to establish new fees was published in the Stockton Record on October 31, 2022.
Existing City fees for ID cards and fingerprinting (Livescan, state, and federal) will also apply to the ordinance and be charged for each owner, officer, copartner, or stockholder.
There are limitations in the ordinance discussed herein as it does not create additional staff positions or allocate additional funding to expand enforcement efforts. The additional workload from complaint-driven cases may lead to longer response times.
Attachment A - Proposed Ordinance - Redline
Attachment B - Proposed Ordinance - Clean with Flavor Prohibition Attachment C - Proposed Ordinance - Clean without Flavor Prohibition City of Stockton Printed on 11/9/2022Page 6 of 6
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ATTACHMENT A
1 ORDINANCE NO. ________________
AN ORDINANCE AMENDING TITLE 5, CHAPTER 5.16, SECTION 5.16.010 AND ADDING CHAPTER 5.102 TO THE STOCKTON M UNICIPAL CODE REQUIRING
TOBACCO RETAILERS TO OBTAIN A LI CENSE PRIOR TO OPERATING IN THE CITY
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
SECTION I. FINDINGS AND INTENT.
The failure of tobacco retailers to comply wit h all tobacco control laws, particularly the sale of tobacco products to minors, presents a threat to the public health, safety, and welfare. A local licensing program for toba cco retailers is intended to ensure that tobacco retailers comply with tobacco control laws and business standards of the City of Stockton and to protect the health, safety, a nd welfare of those persons who reside in, work in, and visit the City of Stockton.
State law explicitly authorizes cities to enact local tobacco retail licensing ordinances and allows for the suspension or revocation of a local license for a violation of any state tobacco control law. A requirement for a tobacco retail license will not unduly burden legitimate business activities of retailers who sell or distribute tobacco products to adults but will allow the City of Stockton to regul ate the operations of lawful businesses to discourage violations of f ederal, state, and local tobacco -related laws. The City of Stockton has a substantial interest in prom oting compliance with federal, state, and local laws intended to regulate tobacco sa les and use; in discouraging the illegal purchase of tobacco products by minors; in promoting compliance with laws prohibiting sales of tobacco products to minors; and in protecting ch ildren from being lured into illegal activity through the misconduct of adults.
This Chapter is adopted to encourage responsib le tobacco retailing and to discourage violation of tobacco-related laws, especially those that prohibit or discourage the sale or distribution of tobacco products to minors. This Chapter does not expand or reduce the degree to which the acts regulat ed by federal or state law ar e criminally proscribed or alter the penalties provided by such laws. No thing in this Chapter shall be construed to penalize the purchase, use, or possession of a tobacco product by any person not engaged in tobacco retailing.
SECTION II. AMENDMENT OF CODE
Title 5, Chapter 5.16, sect ion 5.16.010 of the Stockton Municipal Code is amended to read as follows:
5.16.010 Licenses or permits required.
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ATTACHMENT A
2 The license or permit required for any of the following is in addition to any business license required under this title:
Acid, storage Ch. 15.12
Apartment houses Ch. 8.32
Auctioneers Ch. 5.24
Auctions Ch. 5.24
Bicycles Ch. 10.12
Bonfires Ch. 15.12
Calcium carbide, storage Ch. 15.12
Camp cars and camp grounds Ch. 5.80
Card rooms Ch. 5.36
Commercial fat rendering Ch. 15.12
Discharge of industrial wastes Ch. 13.08
Dog kennels Ch. 6.04
Dogs Ch. 6.04
Explosives, storage and handling Ch. 15.12
Explosives, transportation Ch. 10.04
Firearms, use and discharge Ch. 9.56
Firearms, sale Ch. 9.60
Fireworks, public use of Ch. 8.92
Flammable liquids, storage and handling Ch. 15.12
Freedom of speech Ch. 9.16
Fumigating Ch. 15.12
Garbage, collection Ch. 8.04
Garden refuse, collection Ch. 8.04
Gasoline portable tanks Ch. 15.12
Goats, cows, sheep, etc. Ch. 6.04
Hotels Ch. 5.80
Junk dealers Ch. 5.28
Liquefied petroleum gases, storage and handling Ch. 15.12 Loading zone hoods Ch. 10.44
Lodging houses Ch. 5.80
Milk, handling and sale Ch. 8.64
Motor buses, operations Ch. 5.92
Oil burner systems, installation, etc. Ch. 15.12
Paint burning Ch. 15.12
Pawnbrokers Ch. 5.28
Potassium chlorate, storage Ch. 15.12
Private patrol systems and watchmen Ch. 5.40
Refrigerator systems, installation, etc Ch. 15.12
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3 Second-hand dealers Ch. 5.28
Sewer connections for persons outside City limits Ch. 13.08 Spray painting Ch. 15.12
Tank truck loading plants, installation, etc Ch. 15.12
Taxicab business Ch. 5.84
Taxicab drivers Ch. 5.88
Tobacco retailers
Use permits
Ch. 5.102
Ch. 16.168
X-ray films, storage and handling Ch. 15.12
SECTION III. AMENDMENT OF CODE.
Title 5, Chapter 5.102 is added to the Stockton Municipal Code and shall read as follows:
5.102.010 Purpose and application.
The purpose of this Chapter is to encourage responsible tobacco retailing and to discourage violations of tobacco-related laws, especially those that prohibit or discourage the sale or distribut ion of tobacco products to minors, but not to expand or reduce the degree to which the acts regulated by federal and state law are criminally proscribed or to alter the penalties provided by such laws.
5.102.020 Definitions.
The following words and phrases, whenever used in this chapter, shall be construed as defined in this section:
“Applicant” means and includes any person or entity who submits an application for a tobacco retail license.
“Application” means the application submitted under section 5.102.040 for a tobacco retail license allowing the person or entity to engage in tobacco retailing at the designated premises.
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = [ADDITIONAL DEFINITIONS IF FLAVORED TOBACCO BAN IS APPROVED] "Characterizing Flavor” means a taste or aroma, other than the taste or aroma of tobacco, imparted either prior to or during consumption of a tobacco product or any byproduct produced by the tobacco product, including, but not limited to, tastes or aromas relating to menthol, mint, wintergreen, fruit, chocolate, vanilla, honey, candy, cocoa, dessert, alcohol beverage, herb, or spice.
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4 “Flavored Tobacco Product” means any tobacco product that imparts a characterizing flavor.
“Hookah” means a waterpipe, used to smoke shisha or other tobacco products, with a long flexible tube for drawing aerosol through water. Components of hookah may include heads, stems, bowls, and hoses.
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = “Licensee” means and includes the holder of a tobacco retail license and any person required to have a tobacco retail license under this Chapter, whether or not such person is actually so licensed.
“Loitering” means the act of remaining upon posted property without the permission of the owner or person in lawful possession.
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = [ADDITIONAL DEFINITION IF FLAVORED TOBACCO BAN IS APPROVED] “Loose Leaf Tobacco” consists of cut or shredded pipe tobacco, usually sold in pouches which, because of its appearance, type, packaging, or labeling, is suitable for use and likely to be offered to or purchased by consumers as tobacco for making cigarettes. = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = “Person” means and includes any individual, partnership, cooperative association, private corporation, personal representative, receiver, trustee, assignee, or other legal entity.
“Playground” means an active recreational area with a variety of facilities, including equipment for younger children, as well as court and field games. Playground does not include play areas located on the site of residential homes or facilities. “Premises” means any building or portion of any building where tobacco retailing occurs.
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = [ADDITIONAL DEFINITION IF FLAVORED TOBACCO BAN IS APPROVED] “Premium Cigar” means any cigar that is handmade, is not mass produced by the use of mechanization, has a wrapper that is made entirely from whole tobacco leaf, does not have a filter, tip, or nontobacco mouthpiece, and is capped by hand. = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = 823
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5 “School” means any public or private academic school for students in kindergarten through 12th grade, nursery school, preschool, or daycare facility. = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = [ADDITIONAL DEFINITION IF FLAVORED TOBACCO BAN IS APPROVED] “Shisha Tobacco Product” means a tobacco product smoked or intended to be smoked in a hookah. “Shisha tobacco product” includes, and may be referred to, as hookah tobacco, waterpipe tobacco, mu’assel, narghile, and argileh. “Shisha tobacco product” does not include any electronic device, such as an electronic hookah, electronic cigarette, or other electronic tobacco product.
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = “Tobacco Product” means (1) any product containing, made, or derived from tobacco or nicotine that is intended for human consumption, whether smoked, heated, chewed, absorbed, dissolved, inhaled, snorted, sniffed, aerosolized, vaporized, or ingested by any other means, including, but not limited to, cigarettes, cigars, little cigars, chewing tobacco, pipe tobacco, bidis, kreteks, snuff, e-liquids, or vape juice; (2) any device or component, part, or accessory that delivers nicotine alone or combined with other substances to the person using the device, including, but not limited, to electronic cigarette (or “e-cigarette”), electronic cigar (or “e-cigar”), electronic pipe (or “e-pipe”), vape pen, electronic hookah (or “e-hookah”), cigars, or pipes, whether or not the device or component is sold separately. “Tobacco Product” does not include any product that has been approved by the United States Food and Drug Administration for use as a tobacco cessation product where such product is marketed and sold solely for such an approved purpose.
“Tobacco Paraphernalia” means any item designed or marketed for the consumption, use, or preparation of a tobacco product.
“Tobacco Retailer” means any person or entity whose principal business is selling tobacco products, tobacco paraphernalia, or both, as evidenced by 50% or more of floor area and display area being devoted to the sale or exchange of tobacco products, tobacco paraphernalia, or both.
“Tobacco Retailing” means engaging in any of those activities of a tobacco retailer.
5.102.030 Tobacco retail license required.
A. It shall be unlawful for any person to act as a tobacco retailer, engage in tobacco retailing, or allow tobacco retailing in the City without first obtaining and maintaining a valid tobacco retail license pursuant to the provisions of this Chapter for each location at which tobacco retailing is to occur. No license will be issued to authorize tobacco retailing at other than a fixed location.
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6 B. Nothing in this Chapter shall be construed to grant any person or entity obtaining a tobacco retail license any status other than the right to act as a tobacco retailer at the location in the City identified on the face of the tobacco retail license, subject to compliance with all other applicable laws, regulations, and ordinances. Nothing in this Chapter shall be construed to render inapplicable, supersede, or apply in lieu of any other provision of applicable law, including, without limitation, any condition of limitation on indoor smoking made applicable to business establishments by Section 6404.5 of the Labor Code.
5.102.040 License application.
A. Every person who proposes to act as a tobacco retailer, engage in tobacco retailing, or allow tobacco retailing in the City shall submit an application for a license to the City in writing on forms provided by the City. An applicant proposing to conduct tobacco retailing at more than one location shall submit a separate application for each location.
Each application shall be submitted under oath, in duplicate, and shall contain such information pertinent to the business as the City may require. Such information to be provided shall include, but not be limited to, the following:
1. The true names, and residences, and business addresses of all owners, officers, copartners, and stockholders;
2. Disclosures of all arrests and criminal convictions of the owners, officers, copartners, and stockholders associated with the business;
3. Disclosures of all business and employment histories for the period of 10 years immediately preceding the date of application for the owners, officers, copartners, and stockholders associated with the business;
4. City-obtained fingerprints and photographs of all owners, officers, copartners, and stockholders associated with the business.
B. The applicant shall pay a nonrefundable application fee in an amount as may be fixed and established from time to time by resolution of the City Council. Thereafter, if a tobacco retail license is granted, the licensee shall pay an annual fee in an amount as may be fixed and established by City Council resolution.
C. The applicant must provide a statement to the City to the effect that the applicant understands and agrees that any business or activity conducted or operated under any license issued under such application shall be operated in full conformity with all applicable laws of the United States of America, the State of California, the County of San Joaquin, and the laws and regulations of the City applicable thereto, and that any violation of any such laws or regulations in such place of business, or in connection therewith, may render any tobacco retail license therefor subject to immediate suspension or revocation.
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7 D. The applicant must provide a copy of any valid current permit or license from the California Board of Equalization, the County Department of Health, or any other applicable tobacco retail licensing agency, where the applicant is required to obtain any such permit or license in order to lawfully engage in tobacco retailing in the State of California and/or in the County of San Joaquin.
E. The applicant hereunder is seeking the granting of a privilege. Therefore, the burden of proving qualifications to receive such a license is at all times on the applicant. An applicant must accept all risks of adverse public notice, publicity, embarrassment, criticism, financial loss, or all other actions and consequences which may result from activities with respect to reviewing, processing, and approving or disapproving any application. A waiver of any claims for damages against the City or its agents resulting therefrom shall be presumed upon the filing of an application for a tobacco retail license.
F. Each applicant shall be responsible for providing truthful, complete, and accurate information and for signing the license application.
G. The applicant shall submit written documentation stating that the property owner of the real property upon which the tobacco retailing is to be conducted is fully aware of the property’s intended use. Documentation is to include the name, address, and contact telephone number for the property owner.
H. The applicant must provide a statement to the City that the applicant will hold harmless, indemnify, and defend the City against all claims and litigation arising from the issuance of the tobacco retail license, including without limitation any claims and litigation arising from the establishment, operation, or ownership of the tobacco retailer.
I. An application shall not be deemed complete until all the information required in subsections A through H have been provided to the City and the required fees and any applicable business tax required by any provision of this Code have been paid.
J. The application for a license pursuant to this Chapter shall not authorize the maintenance, operation, or conduct of tobacco retailing until such license has been granted. The issuance of a business license pursuant to Title 5 of the Stockton Municipal Code shall not authorize the maintenance, operation, or conduct of a tobacco retailer until the license required by this Chapter has been lawfully granted.
5.102.050 Investigation and decision on tobacco retail license application.
A. Upon receipt of a complete application for a tobacco retailer license, the City shall cause an investigation to be made covering all matters relevant to the proposed activity of the applicant. Such matters may include, but are not limited to, the following:
1. Identity, character, and background of the applicant;
2. Compliance with the provisions of this chapter; and
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8 3. Compliance with the City’s General Plan, zoning, security, and environmental requirements.
B. In the event a complete application is presented to the City, the City shall consider such application once the fees required have been paid, and the investigations and reports required under the provisions of this chapter have been duly completed. The City shall, at a minimum, consider the following factors during the consideration of the application for a tobacco retail license:
1. Whether the issuance of a tobacco retail license and subsequent operation will be detrimental to the public health, safety, and welfare of the citizens of the City of Stockton; and
2. Any other relevant data, facts, or considerations.
C. Within 60 days of completing the investigation, the application for a tobacco retail license shall be approved or denied by the City. The City may impose conditions, restrictions, or require revision to the application to comply with the provisions of this chapter. Written notice of the decision of the City shall be mailed to the applicant by regular U.S. mail to the address listed on the application.
5.102.060 Business license.
Nothing herein shall constitute a waiver of the requirements of Title 5 of the Stockton Municipal Code requiring issuance and possession of a valid business license.
5.102.070 Annual renewal of tobacco retail license.
A tobacco retail license shall be valid for one year from the date of issuance, unless earlier suspended or revoked. Any person or entity that holds a tobacco retail license may obtain a new license for the succeeding year by applying for said new license and paying the required fees, in accordance with Section 5.102.040 of this Chapter, no later than 60 days prior to the expiration date of the current tobacco retail license.
5.102.080 License Fee
The fee for issuance or renewal of a tobacco retail license shall be established by resolution of the City Council and shall be in addition to the fees associated with any other license or permit fee imposed by this Code upon the applicant. The license fee shall be paid to the City at the time the tobacco retail license is issued.
5.102.090 Grounds for denial of a tobacco retail license.
The following shall constitute grounds for the denial of a tobacco retail license:
A. The application is incomplete or inaccurate.
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9 B. The application seeks authorization for tobacco retailing at an address that has previously been used for a license that is suspended, has been revoked, or is subject to suspension or revocation proceedings for violation of any of the provisions of this Chapter.
C. The application seeks authorization for tobacco retailing that is unlawful pursuant to this Code or that is unlawful pursuant to any other local, state or federal law.
D. Making any false statements in the application or as to any other information presented as part of the application process.
E. Evidence of current or prior unlawful or nuisance-creating operation in this or another jurisdiction.
F. The application seeks authorization for tobacco retailing at any location within 600 feet of a school, public park, public playground, public recreational area, or youth facility, as measured in a straight line from the parcel boundary of these locations to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to the following:
1. Any tobacco retailer operating lawfully on the day before the effective date of this ordinance; or
2. Any lawfully operating tobacco retailer that would otherwise become ineligible to receive a new license due to the creation or relocation of a school, public park, public playground, public recreational area, or youth facility.
G. The application seeks authorization for tobacco retailing at any location within 600 feet of a location occupied by another tobacco retailer, as measured in a straight line from the parcel boundary of an existing tobacco retailer’s business location to the boundary lines of the parcel of the tobacco retailer license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to any tobacco retailer operating lawfully on the day before the effective date of this ordinance.
H. Any exemption granted to a tobacco retailer pursuant to paragraphs F and G of this Chapter shall cease to apply if a tobacco retailer fails to timely renew the tobacco retail license pursuant to Section 5.102.070 of this Chapter or shall cease to apply if the tobacco retail license is revoked pursuant to Section 5.102.100 of this Chapter.
I. The City is in possession of information that the applicant or his agents or employees has violated any local, state, or federal tobacco control law within the preceding 30-day period.
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10 J. An owner, officer, copartner, or stockholder of a retailer is found to have been convicted of a felony conviction, (a plea of nolo contendere shall be considered a guilty plea for purposes of this chapter), for any violation of any crime of violence, any crime involving narcotics, fraud, gambling, loan sharking, bookmaking, theft, moral turpitude, or any crime involving evasion of taxes, or any other crime of moral turpitude indicating a lack of business integrity or business honesty, whether committed in the State of California or elsewhere, whether denominated as a felony or as a misdemeanor and notwithstanding the passage of time since the conviction.
K. No new license shall be issued if the applicant does not have a valid current permit or license from the California Board of Equalization, the County Department of Health, or any other applicable tobacco retail licensing agency, where the applicant is required to obtain any such permit or license in order to lawfully engage in tobacco retailing in the State of California and/or in the County of San Joaquin.
5.102.100 Grounds for suspension and/or revocation of a tobacco retail license.
A. Any tobacco retail license authorized and issued under the provisions of this Chapter may be subject to:
1. Immediate suspension by the City if the City finds that:
a. A tobacco retailer, or any agent or employee thereof, with the knowledge of such tobacco retailer, has violated, or permitted, allowed, or caused the violation of any provision of this chapter, any regulation issued pursuant to this chapter, or any other local, state, or federal law or regulation relating to tobacco retailing; or b. Based on ascertainable facts, the operation of the tobacco retailer substantially aggravates the crime problems in the City, makes law enforcement unduly difficult, or is detrimental to the public health, safety, or welfare of the City.
2. Suspension or revocation by the City after not less than 5 days written notice to the tobacco retailer if the City finds that:
a. A tobacco retailer, or agent or employee thereof, with the knowledge of such tobacco retailer, has violated, or permitted, allowed, or caused the violation of any provision of this chapter, any regulation issued pursuant to this chapter, or any other local, state, or federal law or regulation relating to tobacco retailing; or b. A tobacco retailer has failed to pay, when due and payable, any of the fees or taxes required within 10 days after written notice of such failure; or c. A tobacco retailer has made any fraudulent statements as to a material fact on an application form or as to any other information presented as part of the application process; or
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11 d. A tobacco retailer knowingly commits any act which would have constituted grounds for denial of an application for a tobacco retail license; or e. An owner, officer, copartner, or stockholder of a tobacco retailer is found to have been convicted of a felony conviction, (a plea of nolo contendere shall be considered a guilty plea for purposes of this chapter), for any violation of any crime of violence, any crime involving narcotics, fraud, gambling, loan sharking, bookmaking, theft, moral turpitude, or any crime involving evasion of taxes, or any other crime of moral turpitude indicating a lack of business integrity or business honesty, whether committed in the State of California or elsewhere, whether denominated as a felony or as a misdemeanor and notwithstanding the passage of time since the conviction.
5.102.110 Appeal from suspension or revocation of tobacco retail license A. The action of the City in revoking or suspending a tobacco retail license may be appealed to the City Manager. Notice of such appeal, in writing stating the grounds for such appeal, and admitting or denying those determinations of the City included in the notice, shall be filed with the City Manager within 10 days after the revocation or suspension of the license. Upon failure to file the notice within the 10-day period, the action of the City in revoking or suspending such tobacco retail license shall be final and conclusive. If the notice of appeal is filed in timely order, accompanied by payment of an appeal fee in an amount as may be established from time to time by resolution of the City Council, the City Manager shall refer the matter to the City Attorney for scheduling of an administrative appeal hearing in accordance with the provisions of Chapter 1.44 of this Code.
B. In the event a tobacco retailer files a timely appeal pursuant to this section, the effective date of the decision shall be stayed pending the appeal hearing. The determination of the administrative hearing officer shall be final.
5.102.120 Operating regulations and conditions.
A. The provisions of this section shall constitute terms and conditions applicable to each tobacco retail license issued under this Chapter.
B. The provisions of this section shall also constitute operating regulations that are applicable to each holder of a tobacco retail license issued pursuant to this Chapter.
C. It shall be unlawful for any tobacco retailer required to be licensed under this Chapter, whether or not such tobacco retailer is actually so licensed under this Chapter, to violate any of the provisions of this Chapter.
D. All tobacco retailers shall remain in compliance with the Stockton Municipal Code and all other local, state, and federal laws at all times. 830
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12 E. Tobacco retail licenses are for a specific, fixed location that shall serve as the licensed premises and shall not deviate from the premises that was described in the application. A tobacco retail license shall maintain legal possession of the premises (e.g., ownership, lease) that was approved by the City with the application for the tobacco retail license.
F. No tobacco retail license shall be issued authorizing tobacco retailing at any location within 600 feet of a school, public park, public playground, public recreational area, or youth facility, as measured in a straight line from the parcel boundary of these locations to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to the following:
1. Any tobacco retailer operating lawfully on the day before the effective date of this ordinance; or
2. Any lawfully operating tobacco retailer that would otherwise become ineligible to receive a new license due to the creation or relocation of a school, public park, public playground, public recreational area, or youth facility.
G. No tobacco retail license shall be issued authorizing tobacco retailing at any location within 600 feet of a location occupied by another tobacco retailer, as measured in a straight line from the parcel boundary of an existing tobacco retailer’s business location to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to any tobacco retailer operating lawfully on the day before the effective date of this ordinance.
H. Any exemption granted to a tobacco retailer pursuant to paragraphs F and G of this chapter shall cease to apply if a tobacco retailer fails to timely renew the tobacco retail license pursuant to Section 5.102.070 of this Chapter or shall cease to apply if the tobacco retail license is revoked pursuant to Section 5.102.100 of this Chapter.
I. No more than 20 percent of windows or clear doors at the premises where tobacco retailing occurs shall bear advertising or other signage of any sort.
J. The premises shall be maintained in a manner that ensures that law enforcement personnel have a clear and unobstructed view of the interior of the premises, including the area in which the cash registers are maintained, from the exterior public sidewalk or entrance.
K. A tobacco retailer shall:
1. Pay all City-imposed fines, penalties, and fees by the deadlines provided for by City officials;
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13 2. Allow for immediate access to a City, county, or state official that is authorized to regulate tobacco control ordinances under this Chapter or any state, county, or City law or regulation to the premises and on-premises records during regular business hours or hours of apparent operation;
3. Prevent loitering, public drinking, and public use of cannabis or other criminal behavior on and around the premises, including parking areas. “No Loitering” signs shall be prominently posted in a readily visible manner on no less than 1 exterior wall. The tobacco retailer’s operators or employees shall ask persons loitering for longer than 15 minutes to leave the area and contact law enforcement officials for enforcement of applicable trespassing and loitering laws if persons requested to leave fail to do so;
4. Prevent any condition constituting a nuisance on the premises, including parking areas;
5. Remove all graffiti or other signs of vandalism within 48 hours of knowledge of the graffiti or vandalism;
6. Maintain signage and general appearance of the premises in a manner that is not attractive to minors; and
7. Maintain a clean and orderly premises to ensure public health and safety meet the highest standards.
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = [ADDITIONAL OPERATING REGULATIONS AND CONDITIONS OPTIONS] L. It shall be unlawful for any tobacco retailer required to be licensed under this Chapter, whether or not such tobacco retailer is actually so licensed under this Chapter, to sell or offer for sale any flavored tobacco product.
1. There is a rebuttable presumption that a tobacco product is a flavored tobacco product if:
a. a manufacturer or its agents or employees makes or disseminates public statements or claims to the effect that the tobacco product has or produces a characterizing flavor or aroma, other than tobacco; or
b. the product’s label, labeling, or packaging includes a statement or claim, including any text and/or images used to communicate information, that the product has or produces a characterizing flavor or aroma, other than tobacco.
2. The prohibition of the sale of flavored tobacco products described in subsection L shall not apply to the following sales:
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14 a. Shisha tobacco products by a tobacco retailer provided all of the following conditions are met:
i. the tobacco retailer does not permit any person under twenty-one (21) years of age to be present on the premises at any time;
ii. the tobacco retailer shall operate in accordance with all local, state, and federal laws, including license and permit requirements, relating to the sale of tobacco products; and iii. if consumption of tobacco products is allowed on the premises, the tobacco retailer shall operate in accordance with all laws relating to the consumption of tobacco products on the premises of a tobacco retailer.
b. Premium cigars sold in cigar lounges where products are purchased and consumed on the premises.
c. Loose leaf tobacco or premium cigars.
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = M. The provisions of this Chapter are intended to provide a minimum level of public health, safety, and welfare protection at businesses engaging in tobacco retailing.
Nothing in this Chapter is intended nor shall prevent the City from imposing more stringent, site-specific operating requirements and conditions through other applicable permitting and approval processes. In the event of a conflict between an operating regulation set forth in this Chapter and a requirement or condition contained in any other applicable permit or approval, the more stringent or restrictive requirement shall apply.
5.102.130 Lawful business operation.
In the course of tobacco retailing or in the operation of the business or maintenance of the premises for which a tobacco retail license is issued, it shall be a violation of this Chapter for any tobacco retailer to violate any federal, state, or local law applicable to tobacco products, tobacco paraphernalia, or tobacco retailing.
5.102.140 Violations and penalties.
A. It is unlawful for any tobacco retailer, employee, or other person to violate any of the rules or regulations set forth in this Chapter.
B. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter shall be charged as a misdemeanor for each day such violation continues.
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15 C. Any violation of this Chapter may also be remedied by a civil action brought by the City Attorney. The City may recover for reasonable attorneys’ fees and costs of suit in any civil litigation brought by the City Attorney to remedy any violation of this Chapter.
D. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the issuance of civil penalties pursuant to Chapter 1.40 for each day the violation continues.
E. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the issuance of administrative penalties pursuant to Chapter 1.32.
F. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the suspension or revocation of the tobacco retail license pursuant to section 5.102.100 of this Chapter.
G. Any use or condition caused or permitted to exist in violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter is hereby declared a public nuisance and may be summarily abated by the City.
SECTION IV. SEVERABILITY.
If any provision of this or dinance or the application thereof to any person or circumstance is held invalid, that invalidit y shall not affect other provisions, or applications of the fact which can be given without the invalid prov ision or application, and to this end the provisions of this act are severable.
SECTION V. EFFECTIVE DATE.
This ordinance shall take effect and be in full force thirty (30) days after its passage.
ADOPTED: ___________________
EFFECTIVE: ___________________
_____________________________
KEVIN J. LINCOLN
Mayor of the City of Stockton
ATTEST:
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16 ELIZA R. GARZA, CMC
City Clerk
City of Stockton
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1 ORDINANCE NO. ________________
AN ORDINANCE AMENDING TITLE 5, CHAPTER 5.16, SECTION 5.16.010 AND ADDING CHAPTER 5.102 TO THE STOCKTON MUNICIPAL CODE REQUIRING
TOBACCO RETAILERS TO OBTAIN A LICENSE PRIOR TO OPERATING IN THE CITY
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
SECTION I. FINDINGS AND INTENT.
The failure of tobacco retailers to comply with all tobacco control laws, particularly the sale of t obacco products to minors, presents a threat to the public health, safety, and welfare. A local licensing program for tobacco retailers is intended to ensure that tobacco retailers comply with tobacco control laws and business standards of the City of Stockton and to protect the health, safety, and welfare of those persons who reside in, work in, and visit the City of Stockton.
State law explicitly authorizes cities to enact local tobacco retail licensing ordinances and allows for the suspension or revoca tion of a local license for a violation of any state tobacco control law. A requirement for a tobacco retail license will not unduly burden legitimate business activities of retailers who sell or distribute tobacco products to adults but will allow the Cit y of Stockton to regulate the operations of lawful businesses to discourage violations of federal, state, and local tobacco -related laws. The City of Stockton has a substantial interest in promoting compliance with federal, state, and local laws intended t o regulate tobacco sales and use; in discouraging the illegal purchase of tobacco products by minors; in promoting compliance with laws prohibiting sales of tobacco products to minors; and in protecting children from being lured into illegal activity through the misconduct of adults.
This Chapter is adopted to encourage responsible tobacco retailing and to discourage violation of tobacco-related laws, especially those that prohibit or discourage the sale or distribution of tobacco products to minors. This Chapter does not expand or reduce the degree to which the acts regulated by federal o r state law are criminally proscribed or alter the penalties provided by such laws. Nothing in this Chapter shall be construed to penalize the purchase, use, or possessio n of a tobacco product by any person not engaged in tobacco retailing.
SECTION II. AMENDMENT OF CODE
Title 5, Chapter 5.16, section 5.16.010 of the Stockton Municipal Code is amended to read as follows:
5.16.010 Licenses or permits required.
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2 The license or permit required for any of the following is in addition to any business license required under this title:
Acid, storage Ch. 15.12
Apartment houses Ch. 8.32
Auctioneers Ch. 5.24
Auctions Ch. 5.24
Bicycles Ch. 10.12
Bonfires Ch. 15.12
Calcium carbide, storage Ch. 15.12
Camp cars and camp grounds Ch. 5.80
Card rooms Ch. 5.36
Commercial fat rendering Ch. 15.12
Discharge of industrial wastes Ch. 13.08
Dog kennels Ch. 6.04
Dogs Ch. 6.04
Explosives, storage and handling Ch. 15.12
Explosives, transportation Ch. 10.04
Firearms, use and discharge Ch. 9.56
Firearms, sale Ch. 9.60
Fireworks, public use of Ch. 8.92
Flammable liquids, storage and handling Ch. 15.12
Freedom of speech Ch. 9.16
Fumigating Ch. 15.12
Garbage, collection Ch. 8.04
Garden refuse, collection Ch. 8.04
Gasoline portable tanks Ch. 15.12
Goats, cows, sheep, etc. Ch. 6.04
Hotels Ch. 5.80
Junk dealers Ch. 5.28
Liquefied petroleum gases, storage and handling Ch. 15.12 Loading zone hoods Ch. 10.44
Lodging houses Ch. 5.80
Milk, handling and sale Ch. 8.64
Motor buses, operations Ch. 5.92
Oil burner systems, installation, etc. Ch. 15.12
Paint burning Ch. 15.12
Pawnbrokers Ch. 5.28
Potassium chlorate, storage Ch. 15.12
Private patrol systems and watchmen Ch. 5.40
Refrigerator systems, installation, etc Ch. 15.12
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3 Second-hand dealers Ch. 5.28
Sewer connections for persons outside City limits Ch. 13.08 Spray painting Ch. 15.12
Tank truck loading plants, installation, etc Ch. 15.12
Taxicab business Ch. 5.84
Taxicab drivers Ch. 5.88
Tobacco retailers
Use permits
Ch. 5.102
Ch. 16.168
X-ray films, storage and handling Ch. 15.12
SECTION III. AMENDMENT OF CODE.
Title 5, Chapter 5.102 is added to the Stockton Municipal Code and shall read as follows:
5.102.010 Purpose and application.
The purpose of this Chapter is to encourage responsible tobacco retailing and to discourage violations of tobacco -related laws, especial ly those that prohibit or discourage the sale or distribution of tobacco products to minors, but not to expand or reduce the degree to which the acts regulated by federal and state law are criminally proscribed or to alter the penalties provided by such laws.
5.102.020 Definitions.
The following words and phrases, whenever used in this chapter, shall be construed as defined in this section:
“Applicant” means and includes any person or entity who submits an application for a tobacco retail license.
“Application” means the application submitted under section 5.102.040 for a tobacco retail license allowing the person or entity to engage in tobacco retailing at the designated premises.
"Characterizing Flavor” means a taste or aroma, other than the taste or aroma of tobacco, imparted either prior to or during consumption of a tobacco product or any byproduct produced by the tobacco product, including, but not limited to, tastes or aromas relating to menthol, mint, wintergreen, fruit, chocolate, vanilla, honey, candy, cocoa, dessert, alcohol beverage, herb, or spice.
“Flavored Tobacco Product” means any tobacco product that imparts a characterizing flavor.
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4 “Hookah” means a waterpipe, used to smoke shisha or other tobacco products, with a long flexible tube for drawing aerosol through water. Components of hookah may include heads, stems, bowls, and hoses.
“Licensee” means and includes the holder of a tobacco retail license and any person required to have a tobacco retail license under this Chapter, whether or not such person is actually so licensed.
“Loitering” means the act of remaining upon posted property without the permission of the owner or person in lawful possession.
“Loose Leaf Tobacco” consists of cut or shredded pipe tobacco, usually sold in pouches which, because of its appearance, type, packaging, or labeling, is suitable for use and likely to be offered to or purchased by consumers as tobacco for making cigarettes. “Person” means and includes any individual, partnership, cooperative association, private corporation, personal representative, receiver, trustee, assignee, or other legal entity.
“Playground” means an active recreational area with a variety of facilities, including equipment for younger children, as well as court and field games. Playground does not include play areas located on the site of residential homes or facilities. “Premises” means any building or portion of any building where tobacco retailing occurs.
“Premium Cigar” means any cigar that is handmade, is not mass produced by the use of mechanization, has a wrapper that is made entirely from whole tobacco leaf, does not have a filter, tip, or nontobacco mouthpiece, and is capped by hand. “School” means any public or private academic school for students in kindergarten through 12th grade, nursery school, preschool, or daycare facility. “Shisha Tobacco Product” means a tobacco product smoked or intended to be smoked in a hookah. “Shisha tobacco product” includes, and may be referred to, as hookah tobacco, waterpipe tobacco, mu’assel, narghile, and argileh. “Shisha tobacco product” does not include any electronic device, such as an electronic hookah, electronic cigarette, or other electronic tobacco product.
“Tobacco Product” means (1) any product containing, made, or derived from tobacco or nicotine that is intended for human consumption, whether smoked, heated, chewed, absorbed, dissolved, inhaled, snorted, sniffed, aerosolized, vaporized, or ingested by any other means, including, but not limited to, cigarettes, cigars, little cigars, chewing tobacco, pipe tobacco, bidis, kreteks, snuff, e-liquids, or vape juice; (2) any device or component, part, or accessory that delivers nicotine alone or combined with other substances to the person using the device, including, but not limited, to electronic 839
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5 cigarette (or “e-cigarette”), electronic cigar (or “e-cigar”), electronic pipe (or “e-pipe”), vape pen, electronic hookah (or “e-hookah”), cigars, or pipes, whether or not the device or component is sold separately. “Tobacco Product” does not include any product that has been approved by the United States Food and Drug Administration for use as a tobacco cessation product where such product is marketed and sold solely for such an approved purpose.
“Tobacco Paraphernalia” means any item designed or marketed for the consumption, use, or preparation of a tobacco product.
“Tobacco Retailer” means any person or entity whose principal business is selling tobacco products, tobacco paraphernalia, or both, as evidenced by 50% or more of floor area and display area being devoted to the sale or exchange of tobacco products, tobacco paraphernalia, or both.
“Tobacco Retailing” means engaging in any of those activities of a tobacco retailer.
5.102.030 Tobacco retail license required.
A. It shall be unlawful for any person to act as a tobacco retailer, engage in tobacco retailing, or allow tobacco retailing in the City without first obtaining and maintaining a valid tobacco retail license pursuant to the provisions of this Chapter for each location at which tobacco retailing is to occur. No license will be issued to authorize tobacco retailing at other than a fixed location.
B. Nothing in this Chapter shall be construed to grant any person or entity obtaining a tobacco retail license any status other than the right to act as a tobacco retailer at the location in the City identified on the face of the tobacco retail license, subject to compliance with all other applicable laws, regulations, and ordinances. Nothing in this Chapter shall be construed to render inapplicable, supersede, or apply in lieu of any other provision of applicable law, including, without limitation, any condition of limitation on indoor smoking made applicable to business establishments by Section 6404.5 of the Labor Code.
5.102.040 License application.
A. Every person who proposes to act as a tobacco retailer, engage in tobacco retailing, or allow tobacco retailing in the City shall submit an application for a license to the City in writing on forms provided by the City. An applicant proposing to conduct tobacco retailing at more than one location shall submit a separate application for each location.
Each application shall be submitted under oath, in duplicate, and shall contain such information pertinent to the business as the City may require. Such information to be provided shall include, but not be limited to, the following:
1. The true names, and residences, and business addresses of all owners, officers, copartners, and stockholders;
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6 2. Disclosures of all arrests and criminal convictions of the owners, officers, copartners, and stockholders associated with the business;
3. Disclosures of all business and employment histories for the period of 10 years immediately preceding the date of application for the owners, officers, copartners, and stockholders associated with the business;
4. City-obtained fingerprints and photographs of all owners, officers, copartners, and stockholders associated with the business.
B. The applicant shall pay a nonrefundable application fee in an amount as may be fixed and established from time to time by resolution of the City Council. Thereafter, if a tobacco retail license is granted, the licensee shall pay an annual fee in an amount as may be fixed and established by City Council resolution.
C. The applicant must provide a statement to the City to the effect that the applicant understands and agrees that any business or activity conducted or operated under any license issued under such application shall be operated in full conformity with all applicable laws of the United States of America, the State of California, the County of San Joaquin, and the laws and regulations of the City applicable thereto, and that any violation of any such laws or regulations in such place of business, or in connection therewith, may render any tobacco retail license therefor subject to immediate suspension or revocation.
D. The applicant must provide a copy of any valid current permit or license from the California Board of Equalization, the County Department of Health, or any other applicable tobacco retail licensing agency, where the applicant is required to obtain any such permit or license in order to lawfully engage in tobacco retailing in the State of California and/or in the County of San Joaquin.
E. The applicant hereunder is seeking the granting of a privilege. Therefore, the burden of proving qualifications to receive such a license is at all times on the applicant. An applicant must accept all risks of adverse public notice, publicity, embarrassment, criticism, financial loss, or all other actions and consequences which may result from activities with respect to reviewing, processing, and approving or disapproving any application. A waiver of any claims for damages against the City or its agents resulting therefrom shall be presumed upon the filing of an application for a tobacco retail license.
F. Each applicant shall be responsible for providing truthful, complete, and accurate information and for signing the license application.
G. The applicant shall submit written documentation stating that the property owner of the real property upon which the tobacco retailing is to be conducted is fully aware of the property’s intended use. Documentation is to include the name, address, and contact telephone number for the property owner.
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7 H. The applicant must provide a statement to the City that the applicant will hold harmless, indemnify, and defend the City against all claims and litigation arising from the issuance of the tobacco retail license, including without limitation any claims and litigation arising from the establishment, operation, or ownership of the tobacco retailer.
I. An application shall not be deemed complete until all the information required in subsections A through H have been provided to the City and the required fees and any applicable business tax required by any provision of this Code have been paid.
J. The application for a license pursuant to this Chapter shall not authorize the maintenance, operation, or conduct of tobacco retailing until such license has been granted. The issuance of a business license pursuant to Title 5 of the Stockton Municipal Code shall not authorize the maintenance, operation, or conduct of a tobacco retailer until the license required by this Chapter has been lawfully granted.
5.102.050 Investigation and decision on tobacco retail license application.
A. Upon receipt of a complete application for a tobacco retailer license, the City shall cause an investigation to be made covering all matters relevant to the proposed activity of the applicant. Such matters may include, but are not limited to, the following:
1. Identity, character, and background of the applicant;
2. Compliance with the provisions of this chapter; and
3. Compliance with the City’s General Plan, zoning, security, and environmental requirements.
B. In the event a complete application is presented to the City, the City shall consider such application once the fees required have been paid, and the investigations and reports required under the provisions of this chapter have been duly completed. The City shall, at a minimum, consider the following factors during the consideration of the application for a tobacco retail license:
1. Whether the issuance of a tobacco retail license and subsequent operation will be detrimental to the public health, safety, and welfare of the citizens of the City of Stockton; and
2. Any other relevant data, facts, or considerations.
C. Within 60 days of completing the investigation, the application for a tobacco retail license shall be approved or denied by the City. The City may impose conditions, restrictions, or require revision to the application to comply with the provisions of this chapter. Written notice of the decision of the City shall be mailed to the applicant by regular U.S. mail to the address listed on the application. 842
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8 5.102.060 Business license.
Nothing herein shall constitute a waiver of the requirements of Title 5 of the Stockton Municipal Code requiring issuance and possession of a valid business license.
5.102.070 Annual renewal of tobacco retail license.
A tobacco retail license shall be valid for one year from the date of issuance, unless earlier suspended or revoked. Any person or entity that holds a tobacco retail license may obtain a new license for the succeeding year by applying for said new license and paying the required fees, in accordance with Section 5.102.040 of this Chapter, no later than 60 days prior to the expiration date of the current tobacco retail license.
5.102.080 License Fee
The fee for issuance or renewal of a tobacco retail license shall be established by resolution of the City Council and shall be in addition to the fees associated with any other license or permit fee imposed by this Code upon the applicant. The license fee shall be paid to the City at the time the tobacco retail license is issued.
5.102.090 Grounds for denial of a tobacco retail license.
The following shall constitute grounds for the denial of a tobacco retail license:
A. The application is incomplete or inaccurate.
B. The application seeks authorization for tobacco retailing at an address that has previously been used for a license that is suspended, has been revoked, or is subject to suspension or revocation proceedings for violation of any of the provisions of this Chapter.
C. The application seeks authorization for tobacco retailing that is unlawful pursuant to this Code or that is unlawful pursuant to any other local, state or federal law.
D. Making any false statements in the application or as to any other information presented as part of the application process.
E. Evidence of current or prior unlawful or nuisance-creating operation in this or another jurisdiction.
F. The application seeks authorization for tobacco retailing at any location within 600 feet of a school, public park, public playground, public recreational area, or youth facility, as measured in a straight line from the parcel boundary of these locations to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to the following:
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9 1. Any tobacco retailer operating lawfully on the day before the effective date of this ordinance; or
2. Any lawfully operating tobacco retailer that would otherwise become ineligible to receive a new license due to the creation or relocation of a school, public park, public playground, public recreational area, or youth facility.
G. The application seeks authorization for tobacco retailing at any location within 600 feet of a location occupied by another tobacco retailer, as measured in a straight line from the parcel boundary of an existing tobacco retailer’s business location to the boundary lines of the parcel of the tobacco retailer license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to any tobacco retailer operating lawfully on the day before the effective date of this ordinance.
H. Any exemption granted to a tobacco retailer pursuant to paragraphs F and G of this Chapter shall cease to apply if a tobacco retailer fails to timely renew the tobacco retail license pursuant to Section 5.102.070 of this Chapter or shall cease to apply if the tobacco retail license is revoked pursuant to Section 5.102.100 of this Chapter.
I. The City is in possession of information that the applicant or his agents or employees has violated any local, state, or federal tobacco control law within the preceding 30-day period.
J. An owner, officer, copartner, or stockholder of a retailer is found to have been convicted of a felony conviction, (a plea of nolo contendere shall be considered a guilty plea for purposes of this chapter), for any violation of any crime of violence, any crime involving narcotics, fraud, gambling, loan sharking, bookmaking, theft, moral turpitude, or any crime involving evasion of taxes, or any other crime of moral turpitude indicating a lack of business integrity or business honesty, whether committed in the State of California or elsewhere, whether denominated as a felony or as a misdemeanor and notwithstanding the passage of time since the conviction.
K. No new license shall be issued if the applicant does not have a valid current permit or license from the California Board of Equalization, the County Department of Health, or any other applicable tobacco retail licensing agency, where the applicant is required to obtain any such permit or license in order to lawfully engage in tobacco retailing in the State of California and/or in the County of San Joaquin.
5.102.100 Grounds for suspension and/or revocation of a tobacco retail license.
A. Any tobacco retail license authorized and issued under the provisions of this Chapter may be subject to:
1. Immediate suspension by the City if the City finds that:
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10 a. A tobacco retailer, or any agent or employee thereof, with the knowledge of such tobacco retailer, has violated, or permitted, allowed, or caused the violation of any provision of this chapter, any regulation issued pursuant to this chapter, or any other local, state, or federal law or regulation relating to tobacco retailing; or b. Based on ascertainable facts, the operation of the tobacco retailer substantially aggravates the crime problems in the City, makes law enforcement unduly difficult, or is detrimental to the public health, safety, or welfare of the City.
2. Suspension or revocation by the City after not less than 5 days written notice to the tobacco retailer if the City finds that:
a. A tobacco retailer, or agent or employee thereof, with the knowledge of such tobacco retailer, has violated, or permitted, allowed, or caused the violation of any provision of this chapter, any regulation issued pursuant to this chapter, or any other local, state, or federal law or regulation relating to tobacco retailing; or b. A tobacco retailer has failed to pay, when due and payable, any of the fees or taxes required within 10 days after written notice of such failure; or c. A tobacco retailer has made any fraudulent statements as to a material fact on an application form or as to any other information presented as part of the application process; or
d. A tobacco retailer knowingly commits any act which would have constituted grounds for denial of an application for a tobacco retail license; or e. An owner, officer, copartner, or stockholder of a retailer is found to have been convicted of a felony conviction, (a plea of nolo contendere shall be considered a guilty plea for purposes of this chapter), for any violation of any crime of violence, any crime involving narcotics, fraud, gambling, loan sharking, bookmaking, theft, moral turpitude, or any crime involving evasion of taxes, or any other crime of moral turpitude indicating a lack of business integrity or business honesty, whether committed in the State of California or elsewhere, whether denominated as a felony or as a misdemeanor and notwithstanding the passage of time since the conviction.
5.102.110 Appeal from suspension or revocation of tobacco retail license A. The action of the City in revoking or suspending a tobacco retail license may be appealed to the City Manager. Notice of such appeal, in writing stating the grounds for such appeal, and admitting or denying those determinations of the City included in the notice, shall be filed with the City Manager within 10 days after the revocation or suspension of the license. Upon failure to file the notice within the 10-day period, the action of the City in revoking or suspending such tobacco retail license shall be final and conclusive. If the notice of appeal is filed in timely order, accompanied by payment of an appeal fee in an amount as may be established from time to time by resolution of the 845
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11 City Council, the City Manager shall refer the matter to the City Attorney for scheduling of an administrative appeal hearing in accordance with the provisions of Chapter 1.44 of this Code.
B. In the event a tobacco retailer files a timely appeal pursuant to this section, the effective date of the decision shall be stayed pending the appeal hearing. The determination of the administrative hearing officer shall be final.
5.102.120 Operating regulations and conditions.
A. The provisions of this section shall constitute terms and conditions applicable to each tobacco retail license issued under this Chapter.
B. The provisions of this section shall also constitute operating regulations that are applicable to each holder of a tobacco retail license issued pursuant to this Chapter.
C. It shall be unlawful for any tobacco retailer required to be licensed under this Chapter, whether or not such tobacco retailer is actually so licensed under this Chapter, to violate any of the provisions of this Chapter.
D. All tobacco retailers shall remain in compliance with the Stockton Municipal Code and all other local, state, and federal laws at all times.
E. Tobacco retail licenses are for a specific, fixed location that shall serve as the licensed premises and shall not deviate from the premises that was described in the application. A tobacco retail license shall maintain legal possession of the premises (e.g., ownership, lease) that was approved by the City with the application for the tobacco retail license.
F. No tobacco retail license shall be issued authorizing tobacco retailing at any location within 600 feet of a school, public park, public playground, public recreational area, or youth facility, as measured in a straight line from the parcel boundary of these locations to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to the following:
1. Any tobacco retailer operating lawfully on the day before the effective date of this ordinance; or
2. Any lawfully operating tobacco retailer that would otherwise become ineligible to receive a new license due to the creation or relocation of a school, public park, public playground, public recreational area, or youth facility.
G. No tobacco retail license shall be issued authorizing tobacco retailing at any location within 600 feet of a location occupied by another tobacco retailer, as measured in a straight line from the parcel boundary of an existing tobacco retailer’s business location 846
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12 to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to any tobacco retailer operating lawfully on the day before the effective date of this ordinance.
H. Any exemption granted to a tobacco retailer pursuant to paragraphs F and G of this chapter shall cease to apply if a tobacco retailer fails to timely renew the tobacco retail license pursuant to Section 5.102.070 of this Chapter or shall cease to apply if the tobacco retail license is revoked pursuant to Section 5.102.100 of this Chapter.
I. No more than 20 percent of windows or clear doors at the premises where tobacco retailing occurs shall bear advertising or other signage of any sort.
J. The premises shall be maintained in a manner that ensures that law enforcement personnel have a clear and unobstructed view of the interior of the premises, including the area in which the cash registers are maintained, from the exterior public sidewalk or entrance.
K. A tobacco retailer shall:
1. Pay all City-imposed fines, penalties, and fees by the deadlines provided for by City officials;
2. Allow for immediate access to a City, county, or state official that is authorized to regulate tobacco control ordinances under this Chapter or any state, county, or City law or regulation to the premises and on-premises records during regular business hours or hours of apparent operation;
3. Prevent loitering, public drinking, and public use of cannabis or other criminal behavior on and around the premises, including parking areas. “No Loitering” signs shall be prominently posted in a readily visible manner on no less than 1 exterior wall. The tobacco retailer’s operators or employees shall ask persons loitering for longer than 15 minutes to leave the area and contact law enforcement officials for enforcement of applicable trespassing and loitering laws if persons requested to leave fail to do so;
4. Prevent any condition constituting a nuisance on the premises, including parking areas;
5. Remove all graffiti or other signs of vandalism within 48 hours of knowledge of the graffiti or vandalism;
6. Maintain signage and general appearance of the premises in a manner that is not attractive to minors; and
7. Maintain a clean and orderly premises to ensure public health and safety meet the highest standards.
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13 L. It shall be unlawful for any tobacco retailer required to be licensed under this Chapter, whether or not such tobacco retailer is actually so licensed under this Chapter, to sell or offer for sale any flavored tobacco product.
1. There is a rebuttable presumption that a tobacco product is a flavored tobacco product if:
a. a manufacturer or its agents or employees makes or disseminates public statements or claims to the effect that the tobacco product has or produces a characterizing flavor or aroma, other than tobacco; or
b. the product’s label, labeling, or packaging includes a statement or claim, including any text and/or images used to communicate information, that the product has or produces a characterizing flavor or aroma, other than tobacco.
2. The prohibition of the sale of flavored tobacco products described in subsection L shall not apply to the following sales:
a. Shisha tobacco products by a tobacco retailer provided all of the following conditions are met:
i. the tobacco retailer does not permit any person under twenty-one (21) years of age to be present on the premises at any time;
ii. the tobacco retailer shall operate in accordance with all local, state, and federal laws, including license and permit requirements, relating to the sale of tobacco products; and iii. if consumption of tobacco products is allowed on the premises, the tobacco retailer shall operate in accordance with all laws relating to the consumption of tobacco products on the premises of a tobacco retailer.
b. Premium cigars sold in cigar lounges where products are purchased and consumed on the premises.
c. Loose leaf tobacco or premium cigars.
M. The provisions of this Chapter are intended to provide a minimum level of public health, safety, and welfare protection at businesses engaging in tobacco retailing.
Nothing in this Chapter is intended nor shall prevent the City from imposing more stringent, site-specific operating requirements and conditions through other applicable permitting and approval processes. In the event of a conflict between an operating regulation set forth in this Chapter and a requirement or condition contained in any other applicable permit or approval, the more stringent or restrictive requirement shall apply.
5.102.130 Lawful business operation.
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14 In the course of tobacco retailing or in the operation of the business or maintenance of the premises for which a tobacco retail license is issued, it shall be a violation of this Chapter for any tobacco retailer to violate any federal, state, or local law applicable to tobacco products, tobacco paraphernalia, or tobacco retailing.
5.102.140 Violations and penalties.
A. It is unlawful for any tobacco retailer, employee, or other person to violate any of the rules or regulations set forth in this Chapter.
B. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter shall be charged as a misdemeanor for each day such violation continues.
C. Any violation of this Chapter may also be remedied by a civil action brought by the City Attorney. The City may recover for reasonable attorneys’ fees and costs of suit in any civil litigation brought by the City Attorney to remedy any violation of this Chapter.
D. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the issuance of civil penalties pursuant to Chapter 1.40 for each day the violation continues.
E. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the issuance of administrative penalties pursuant to Chapter 1.32.
F. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the suspension or revocation of the tobacco retail license pursuant to section 5.102.100 of this Chapter.
G. Any use or condition caused or permitted to exist in violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter is hereby declared a public nuisance and may be summarily abated by the City.
SECTION IV. SEVERABILITY.
If any provision of this ordinance or the application thereof to any person or circumstance is held invalid, that invalidity shall not affect other provisions, or applications of the fact which can be given without the invalid provision or application, and to this end the provisions of this act are severable.
SECTION V. EFFECTIVE DATE.
This ordinance shall take effect and be in full force thirty (30) days after its passage.
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15 ADOPTED: ___________________
EFFECTIVE: ___________________
_____________________________
KEVIN J. LINCOLN
Mayor of the City of Stockton
ATTEST:
ELIZA R. GARZA, CMC
City Clerk
City of Stockton
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1 ORDINANCE NO. ________________
AN ORDINANCE AMENDING TITLE 5, CHAPTER 5.16, SECTION 5.16.010 AND ADDING CHAPTER 5.102 TO THE STOCKTON MUNICIPAL CODE REQUIRING
TOBACCO RETAILERS TO OBTAIN A LICENSE PRIOR TO OPERATING IN THE CITY
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
SECTION I. FINDINGS AND INTENT.
The failure of tobacco retailers to comply with all tobacco control laws, particularly the sale of t obacco products to minors, presents a threat to the public health, safety, and welfare. A local licensing program for tobacco retailers is intended to ensure that tobacco retailers comply with tobacco control laws and business standards of the City of Stockton and to protect the health, safety, and welfare of those persons who reside in, work in, and visit the City of Stockton.
State law explicitly authorizes cities to enact local tobacco retail licensing ordinances and allows for the suspension or revoca tion of a local license for a violation of any state tobacco control law. A requirement for a tobacco retail license will not unduly burden legitimate business activities of retailers who sell or distribute tobacco products to adults but will allow the Cit y of Stockton to regulate the operations of lawful businesses to discourage violations of federal, state, and local tobacco -related laws. The City of Stockton has a substantial interest in promoting compliance with federal, state, and local laws intended t o regulate tobacco sales and use; in discouraging the illegal purchase of tobacco products by minors; in promoting compliance with laws prohibiting sales of tobacco products to minors; and in protecting children from being lured into illegal activity through the misconduct of adults.
This Chapter is adopted to encourage responsible tobacco retailing and to discourage violation of tobacco-related laws, especially those that prohibit or discourage the sale or distribution of tobacco products to minors. This Chapter does not expand or reduce the degree to which the acts regulated by federal o r state law are criminally proscribed or alter the penalties provided by such laws. Nothing in this Chapter shall be construed to penalize the purchase, use, or possessio n of a tobacco product by any person not engaged in tobacco retailing.
SECTION II. AMENDMENT OF CODE
Title 5, Chapter 5.16, section 5.16.010 of the Stockton Municipal Code is amended to read as follows:
5.16.010 Licenses or permits required.
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2 The license or permit required for any of the following is in addition to any business license required under this title:
Acid, storage Ch. 15.12
Apartment houses Ch. 8.32
Auctioneers Ch. 5.24
Auctions Ch. 5.24
Bicycles Ch. 10.12
Bonfires Ch. 15.12
Calcium carbide, storage Ch. 15.12
Camp cars and camp grounds Ch. 5.80
Card rooms Ch. 5.36
Commercial fat rendering Ch. 15.12
Discharge of industrial wastes Ch. 13.08
Dog kennels Ch. 6.04
Dogs Ch. 6.04
Explosives, storage and handling Ch. 15.12
Explosives, transportation Ch. 10.04
Firearms, use and discharge Ch. 9.56
Firearms, sale Ch. 9.60
Fireworks, public use of Ch. 8.92
Flammable liquids, storage and handling Ch. 15.12
Freedom of speech Ch. 9.16
Fumigating Ch. 15.12
Garbage, collection Ch. 8.04
Garden refuse, collection Ch. 8.04
Gasoline portable tanks Ch. 15.12
Goats, cows, sheep, etc. Ch. 6.04
Hotels Ch. 5.80
Junk dealers Ch. 5.28
Liquefied petroleum gases, storage and handling Ch. 15.12 Loading zone hoods Ch. 10.44
Lodging houses Ch. 5.80
Milk, handling and sale Ch. 8.64
Motor buses, operations Ch. 5.92
Oil burner systems, installation, etc. Ch. 15.12
Paint burning Ch. 15.12
Pawnbrokers Ch. 5.28
Potassium chlorate, storage Ch. 15.12
Private patrol systems and watchmen Ch. 5.40
Refrigerator systems, installation, etc Ch. 15.12
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3 Second-hand dealers Ch. 5.28
Sewer connections for persons outside City limits Ch. 13.08 Spray painting Ch. 15.12
Tank truck loading plants, installation, etc Ch. 15.12
Taxicab business Ch. 5.84
Taxicab drivers Ch. 5.88
Tobacco retailers
Use permits
Ch. 5.102
Ch. 16.168
X-ray films, storage and handling Ch. 15.12
SECTION III. AMENDMENT OF CODE.
Title 5, Chapter 5.102 is added to the Stockton Municipal Code and shall read as follows:
5.102.010 Purpose and application.
The purpose of this Chapter is to encourage responsible tobacco retailing and to discourage violations of tobacco -related laws, especial ly those that prohibit or discourage the sale or distribution of tobacco products to minors, but not to expand or reduce the degree to which the acts regulated by federal and state law are criminally proscribed or to alter the penalties provided by such laws.
5.102.020 Definitions.
The following words and phrases, whenever used in this chapter, shall be construed as defined in this section:
“Applicant” means and includes any person or entity who submits an application for a tobacco retail license.
“Application” means the application submitted under section 5.102.040 for a tobacco retail license allowing the person or entity to engage in tobacco retailing at the designated premises.
“Licensee” means and includes the holder of a tobacco retail license and any person required to have a tobacco retail license under this Chapter, whether or not such person is actually so licensed.
“Loitering” means the act of remaining upon posted property without the permission of the owner or person in lawful possession.
“Person” means and includes any individual, partnership, cooperative association, private corporation, personal representative, receiver, trustee, assignee, or other legal entity.
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4 “Playground” means an active recreational area with a variety of facilities, including equipment for younger children, as well as court and field games. Playground does not include play areas located on the site of residential homes or facilities. “Premises” means any building or portion of any building where tobacco retailing occurs.
“School” means any public or private academic school for students in kindergarten through 12th grade, nursery school, preschool, or daycare facility. “Tobacco Product” means (1) any product containing, made, or derived from tobacco or nicotine that is intended for human consumption, whether smoked, heated, chewed, absorbed, dissolved, inhaled, snorted, sniffed, aerosolized, vaporized, or ingested by any other means, including, but not limited to, cigarettes, cigars, little cigars, chewing tobacco, pipe tobacco, bidis, kreteks, snuff, e-liquids, or vape juice; (2) any device or component, part, or accessory that delivers nicotine alone or combined with other substances to the person using the device, including, but not limited, to electronic cigarette (or “e-cigarette”), electronic cigar (or “e-cigar”), electronic pipe (or “e-pipe”), vape pen, electronic hookah (or “e-hookah”), cigars, or pipes, whether or not the device or component is sold separately. “Tobacco Product” does not include any product that has been approved by the United States Food and Drug Administration for use as a tobacco cessation product where such product is marketed and sold solely for such an approved purpose.
“Tobacco Paraphernalia” means any item designed or marketed for the consumption, use, or preparation of a tobacco product.
“Tobacco Retailer” means any person or entity whose principal business is selling tobacco products, tobacco paraphernalia, or both, as evidenced by 50% or more of floor area and display area being devoted to the sale or exchange of tobacco products, tobacco paraphernalia, or both.
“Tobacco Retailing” means engaging in any of those activities of a tobacco retailer.
5.102.030 Tobacco retail license required.
A. It shall be unlawful for any person to act as a tobacco retailer, engage in tobacco retailing, or allow tobacco retailing in the City without first obtaining and maintaining a valid tobacco retail license pursuant to the provisions of this Chapter for each location at which tobacco retailing is to occur. No license will be issued to authorize tobacco retailing at other than a fixed location.
B. Nothing in this Chapter shall be construed to grant any person or entity obtaining a tobacco retail license any status other than the right to act as a tobacco retailer at the location in the City identified on the face of the tobacco retail license, subject to compliance with all other applicable laws, regulations, and ordinances. Nothing in this 854
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5 Chapter shall be construed to render inapplicable, supersede, or apply in lieu of any other provision of applicable law, including, without limitation, any condition of limitation on indoor smoking made applicable to business establishments by Section 6404.5 of the Labor Code.
5.102.040 License application.
A. Every person who proposes to act as a tobacco retailer, engage in tobacco retailing, or allow tobacco retailing in the City shall submit an application for a license to the City in writing on forms provided by the City. An applicant proposing to conduct tobacco retailing at more than one location shall submit a separate application for each location.
Each application shall be submitted under oath, in duplicate, and shall contain such information pertinent to the business as the City may require. Such information to be provided shall include, but not be limited to, the following:
1. The true names, and residences, and business addresses of all owners, officers, copartners, and stockholders;
2. Disclosures of all arrests and criminal convictions of the owners, officers, copartners, and stockholders associated with the business;
3. Disclosures of all business and employment histories for the period of 10 years immediately preceding the date of application for the owners, officers, copartners, and stockholders associated with the business;
4. City-obtained fingerprints and photographs of all owners, officers, copartners, and stockholders associated with the business.
B. The applicant shall pay a nonrefundable application fee in an amount as may be fixed and established from time to time by resolution of the City Council. Thereafter, if a tobacco retail license is granted, the licensee shall pay an annual fee in an amount as may be fixed and established by City Council resolution.
C. The applicant must provide a statement to the City to the effect that the applicant understands and agrees that any business or activity conducted or operated under any license issued under such application shall be operated in full conformity with all applicable laws of the United States of America, the State of California, the County of San Joaquin, and the laws and regulations of the City applicable thereto, and that any violation of any such laws or regulations in such place of business, or in connection therewith, may render any tobacco retail license therefor subject to immediate suspension or revocation.
D. The applicant must provide a copy of any valid current permit or license from the California Board of Equalization, the County Department of Health, or any other applicable tobacco retail licensing agency, where the applicant is required to obtain any 855
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6 such permit or license in order to lawfully engage in tobacco retailing in the State of California and/or in the County of San Joaquin.
E. The applicant hereunder is seeking the granting of a privilege. Therefore, the burden of proving qualifications to receive such a license is at all times on the applicant. An applicant must accept all risks of adverse public notice, publicity, embarrassment, criticism, financial loss, or all other actions and consequences which may result from activities with respect to reviewing, processing, and approving or disapproving any application. A waiver of any claims for damages against the City or its agents resulting therefrom shall be presumed upon the filing of an application for a tobacco retail license.
F. Each applicant shall be responsible for providing truthful, complete, and accurate information and for signing the license application.
G. The applicant shall submit written documentation stating that the property owner of the real property upon which the tobacco retailing is to be conducted is fully aware of the property’s intended use. Documentation is to include the name, address, and contact telephone number for the property owner.
H. The applicant must provide a statement to the City that the applicant will hold harmless, indemnify, and defend the City against all claims and litigation arising from the issuance of the tobacco retail license, including without limitation any claims and litigation arising from the establishment, operation, or ownership of the tobacco retailer.
I. An application shall not be deemed complete until all the information required in subsections A through H have been provided to the City and the required fees and any applicable business tax required by any provision of this Code have been paid.
J. The application for a license pursuant to this Chapter shall not authorize the maintenance, operation, or conduct of tobacco retailing until such license has been granted. The issuance of a business license pursuant to Title 5 of the Stockton Municipal Code shall not authorize the maintenance, operation, or conduct of a tobacco retailer until the license required by this Chapter has been lawfully granted.
5.102.050 Investigation and decision on tobacco retail license application.
A. Upon receipt of a complete application for a tobacco retailer license, the City shall cause an investigation to be made covering all matters relevant to the proposed activity of the applicant. Such matters may include, but are not limited to, the following:
1. Identity, character, and background of the applicant;
2. Compliance with the provisions of this chapter; and
3. Compliance with the City’s General Plan, zoning, security, and environmental requirements.
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7 B. In the event a complete application is presented to the City, the City shall consider such application once the fees required have been paid, and the investigations and reports required under the provisions of this chapter have been duly completed. The City shall, at a minimum, consider the following factors during the consideration of the application for a tobacco retail license:
1. Whether the issuance of a tobacco retail license and subsequent operation will be detrimental to the public health, safety, and welfare of the citizens of the City of Stockton; and
2. Any other relevant data, facts, or considerations.
C. Within 60 days of completing the investigation, the application for a tobacco retail license shall be approved or denied by the City. The City may impose conditions, restrictions, or require revision to the application to comply with the provisions of this chapter. Written notice of the decision of the City shall be mailed to the applicant by regular U.S. mail to the address listed on the application.
5.102.060 Business license.
Nothing herein shall constitute a waiver of the requirements of Title 5 of the Stockton Municipal Code requiring issuance and possession of a valid business license.
5.102.070 Annual renewal of tobacco retail license.
A tobacco retail license shall be valid for one year from the date of issuance, unless earlier suspended or revoked. Any person or entity that holds a tobacco retail license may obtain a new license for the succeeding year by applying for said new license and paying the required fees, in accordance with Section 5.102.040 of this Chapter, no later than 60 days prior to the expiration date of the current tobacco retail license.
5.102.080 License Fee
The fee for issuance or renewal of a tobacco retail license shall be established by resolution of the City Council and shall be in addition to the fees associated with any other license or permit fee imposed by this Code upon the applicant. The license fee shall be paid to the City at the time the tobacco retail license is issued.
5.102.090 Grounds for denial of a tobacco retail license.
The following shall constitute grounds for the denial of a tobacco retail license:
A. The application is incomplete or inaccurate.
B. The application seeks authorization for tobacco retailing at an address that has previously been used for a license that is suspended, has been revoked, or is subject to 857
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8 suspension or revocation proceedings for violation of any of the provisions of this Chapter.
C. The application seeks authorization for tobacco retailing that is unlawful pursuant to this Code or that is unlawful pursuant to any other local, state or federal law.
D. Making any false statements in the application or as to any other information presented as part of the application process.
E. Evidence of current or prior unlawful or nuisance-creating operation in this or another jurisdiction.
F. The application seeks authorization for tobacco retailing at any location within 600 feet of a school, public park, public playground, public recreational area, or youth facility, as measured in a straight line from the parcel boundary of these locations to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to the following:
1. Any tobacco retailer operating lawfully on the day before the effective date of this ordinance; or
2. Any lawfully operating tobacco retailer that would otherwise become ineligible to receive a new license due to the creation or relocation of a school, public park, public playground, public recreational area, or youth facility.
G. The application seeks authorization for tobacco retailing at any location within 600 feet of a location occupied by another tobacco retailer, as measured in a straight line from the parcel boundary of an existing tobacco retailer’s business location to the boundary lines of the parcel of the tobacco retailer license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to any tobacco retailer operating lawfully on the day before the effective date of this ordinance.
H. Any exemption granted to a tobacco retailer pursuant to paragraphs F and G of this Chapter shall cease to apply if a tobacco retailer fails to timely renew the tobacco retail license pursuant to Section 5.102.070 of this Chapter or shall cease to apply if the tobacco retail license is revoked pursuant to Section 5.102.100 of this Chapter.
I. The City is in possession of information that the applicant or his agents or employees has violated any local, state, or federal tobacco control law within the preceding 30-day period.
J. An owner, officer, copartner, or stockholder of a retailer is found to have been convicted of a felony conviction, (a plea of nolo contendere shall be considered a guilty plea for purposes of this chapter), for any violation of any crime of violence, any crime 858
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9 involving narcotics, fraud, gambling, loan sharking, bookmaking, theft, moral turpitude, or any crime involving evasion of taxes, or any other crime of moral turpitude indicating a lack of business integrity or business honesty, whether committed in the State of California or elsewhere, whether denominated as a felony or as a misdemeanor and notwithstanding the passage of time since the conviction.
K. No new license shall be issued if the applicant does not have a valid current permit or license from the California Board of Equalization, the County Department of Health, or any other applicable tobacco retail licensing agency, where the applicant is required to obtain any such permit or license in order to lawfully engage in tobacco retailing in the State of California and/or in the County of San Joaquin.
5.102.100 Grounds for suspension and/or revocation of a tobacco retail license.
A. Any tobacco retail license authorized and issued under the provisions of this Chapter may be subject to:
1. Immediate suspension by the City if the City finds that:
a. A tobacco retailer, or any agent or employee thereof, with the knowledge of such tobacco retailer, has violated, or permitted, allowed, or caused the violation of any provision of this chapter, any regulation issued pursuant to this chapter, or any other local, state, or federal law or regulation relating to tobacco retailing; or b. Based on ascertainable facts, the operation of the tobacco retailer substantially aggravates the crime problems in the City, makes law enforcement unduly difficult, or is detrimental to the public health, safety, or welfare of the City.
2. Suspension or revocation by the City after not less than 5 days written notice to the tobacco retailer if the City finds that:
a. A tobacco retailer, or agent or employee thereof, with the knowledge of such tobacco retailer, has violated, or permitted, allowed, or caused the violation of any provision of this chapter, any regulation issued pursuant to this chapter, or any other local, state, or federal law or regulation relating to tobacco retailing; or b. A tobacco retailer has failed to pay, when due and payable, any of the fees or taxes required within 10 days after written notice of such failure; or c. A tobacco retailer has made any fraudulent statements as to a material fact on an application form or as to any other information presented as part of the application process; or
d. A tobacco retailer knowingly commits any act which would have constituted grounds for denial of an application for a tobacco retail license; or 859
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10 e. An owner, officer, copartner, or stockholder of a retailer is found to have been convicted of a felony conviction, (a plea of nolo contendere shall be considered a guilty plea for purposes of this chapter), for any violation of any crime of violence, any crime involving narcotics, fraud, gambling, loan sharking, bookmaking, theft, moral turpitude, or any crime involving evasion of taxes, or any other crime of moral turpitude indicating a lack of business integrity or business honesty, whether committed in the State of California or elsewhere, whether denominated as a felony or as a misdemeanor and notwithstanding the passage of time since the conviction.
5.102.110 Appeal from suspension or revocation of tobacco retail license A. The action of the City in revoking or suspending a tobacco retail license may be appealed to the City Manager. Notice of such appeal, in writing stating the grounds for such appeal, and admitting or denying those determinations of the City included in the notice, shall be filed with the City Manager within 10 days after the revocation or suspension of the license. Upon failure to file the notice within the 10-day period, the action of the City in revoking or suspending such tobacco retail license shall be final and conclusive. If the notice of appeal is filed in timely order, accompanied by payment of an appeal fee in an amount as may be established from time to time by resolution of the City Council, the City Manager shall refer the matter to the City Attorney for scheduling of an administrative appeal hearing in accordance with the provisions of Chapter 1.44 of this Code.
B. In the event a tobacco retailer files a timely appeal pursuant to this section, the effective date of the decision shall be stayed pending the appeal hearing. The determination of the administrative hearing officer shall be final.
5.102.120 Operating regulations and conditions.
A. The provisions of this section shall constitute terms and conditions applicable to each tobacco retail license issued under this Chapter.
B. The provisions of this section shall also constitute operating regulations that are applicable to each holder of a tobacco retail license issued pursuant to this Chapter.
C. It shall be unlawful for any tobacco retailer required to be licensed under this Chapter, whether or not such tobacco retailer is actually so licensed under this Chapter, to violate any of the provisions of this Chapter.
D. All tobacco retailers shall remain in compliance with the Stockton Municipal Code and all other local, state, and federal laws at all times.
E. Tobacco retail licenses are for a specific, fixed location that shall serve as the licensed premises and shall not deviate from the premises that was described in the application. A tobacco retail license shall maintain legal possession of the premises 860
ATTACHMENT C
11 (e.g., ownership, lease) that was approved by the City with the application for the tobacco retail license.
F. No tobacco retail license shall be issued authorizing tobacco retailing at any location within 600 feet of a school, public park, public playground, public recreational area, or youth facility, as measured in a straight line from the parcel boundary of these locations to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to the following:
1. Any tobacco retailer operating lawfully on the day before the effective date of this ordinance; or
2. Any lawfully operating tobacco retailer that would otherwise become ineligible to receive a new license due to the creation or relocation of a school, public park, public playground, public recreational area, or youth facility.
G. No tobacco retail license shall be issued authorizing tobacco retailing at any location within 600 feet of a location occupied by another tobacco retailer, as measured in a straight line from the parcel boundary of an existing tobacco retailer’s business location to the boundary lines of the parcel of the tobacco retail license applicant’s proposed business location. However, the prohibition contained in this paragraph shall not apply to any tobacco retailer operating lawfully on the day before the effective date of this ordinance.
H. Any exemption granted to a tobacco retailer pursuant to paragraphs F and G of this chapter shall cease to apply if a tobacco retailer fails to timely renew the tobacco retail license pursuant to Section 5.102.070 of this Chapter or shall cease to apply if the tobacco retail license is revoked pursuant to Section 5.102.100 of this Chapter.
I. No more than 20 percent of windows or clear doors at the premises where tobacco retailing occurs shall bear advertising or other signage of any sort.
J. The premises shall be maintained in a manner that ensures that law enforcement personnel have a clear and unobstructed view of the interior of the premises, including the area in which the cash registers are maintained, from the exterior public sidewalk or entrance.
K. A tobacco retailer shall:
1. Pay all City-imposed fines, penalties, and fees by the deadlines provided for by City officials;
2. Allow for immediate access to a City, county, or state official that is authorized to regulate tobacco control ordinances under this Chapter or any state, county, or City law 861
ATTACHMENT C
12 or regulation to the premises and on-premises records during regular business hours or hours of apparent operation;
3. Prevent loitering, public drinking, and public use of cannabis or other criminal behavior on and around the premises, including parking areas. “No Loitering” signs shall be prominently posted in a readily visible manner on no less than 1 exterior wall. The tobacco retailer’s operators or employees shall ask persons loitering for longer than 15 minutes to leave the area and contact law enforcement officials for enforcement of applicable trespassing and loitering laws if persons requested to leave fail to do so;
4. Prevent any condition constituting a nuisance on the premises, including parking areas;
5. Remove all graffiti or other signs of vandalism within 48 hours of knowledge of the graffiti or vandalism;
6. Maintain signage and general appearance of the premises in a manner that is not attractive to minors; and
7. Maintain a clean and orderly premises to ensure public health and safety meet the highest standards.
L. The provisions of this Chapter are intended to provide a minimum level of public health, safety, and welfare protection at businesses engaging in tobacco retailing.
Nothing in this Chapter is intended nor shall prevent the City from imposing more stringent, site-specific operating requirements and conditions through other applicable permitting and approval processes. In the event of a conflict between an operating regulation set forth in this Chapter and a requirement or condition contained in any other applicable permit or approval, the more stringent or restrictive requirement shall apply.
5.102.130 Lawful business operation.
In the course of tobacco retailing or in the operation of the business or maintenance of the premises for which a tobacco retail license is issued, it shall be a violation of this Chapter for any tobacco retailer to violate any federal, state, or local law applicable to tobacco products, tobacco paraphernalia, or tobacco retailing.
5.102.140 Violations and penalties.
A. It is unlawful for any tobacco retailer, employee, or other person to violate any of the rules or regulations set forth in this Chapter.
B. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter shall be charged as a misdemeanor for each day such violation continues.
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13 C. Any violation of this Chapter may also be remedied by a civil action brought by the City Attorney. The City may recover for reasonable attorneys’ fees and costs of suit in any civil litigation brought by the City Attorney to remedy any violation of this Chapter.
D. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the issuance of civil penalties pursuant to Chapter 1.40 for each day the violation continues.
E. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the issuance of administrative penalties pursuant to Chapter 1.32.
F. A violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter may also result in the suspension or revocation of the tobacco retail license pursuant to section 5.102.100 of this Chapter.
G. Any use or condition caused or permitted to exist in violation of any of the provisions of this Chapter or any of the rules and regulations set forth, established, or promulgated in this Chapter is hereby declared a public nuisance and may be summarily abated by the City.
SECTION IV. SEVERABILITY.
If any provision of this ordinance or the application thereof to any person or circumstance is held invalid, that invalidity shall not affect other provisions, or applications of the fact which can be given without the invalid provision or application, and to this end the provisions of this act are severable.
SECTION V. EFFECTIVE DATE.
This ordinance shall take effect and be in full force thirty (30) days after its passage.
ADOPTED: ___________________
EFFECTIVE: ___________________
_____________________________
KEVIN J. LINCOLN
Mayor of the City of Stockton
ATTEST:
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ATTACHMENT C
14 ELIZA R. GARZA, CMC
City Clerk
City of Stockton
864
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION APPROVING THE AMENDMENT TO THE FISCAL YEAR 2022-23 FEE
SCHEDULE RELATED TO THE TOBACCO RETAIL LICENSE
The City Council is committed to making Stockton the best City in America to live, raise a family and grow a business and one of the hallmarks of a great city is equitable access to a safe and healthy community; and
On June 21, 2022, the City Council of the City of Stockton adopted Resolution Number 2022-06-21-1601 adopting the FY 2022-23 Fee Schedule; and
At the time of the approval, there w ere no fees concerning the Tobacco Retail License program; and
Stockton seeks to implement a licensing program and align the Tobacco Retail License application process with existing code s by creating specified distancing requirements from certain sensitive locations; and
The amended fee schedule is intended to recover staff costs associated with reviewing applications and confirming the completeness of the required information and qualifications, as well as costs associated with new fees for license renewals and appeals; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The City Council approves the amendment of the Fiscal Year (FY) 2022-23 Fee Schedule to create new fees concerning the Tobacco Retail License program, attached as Exhibit 1, and incorporated by this reference.
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2. The City Manager , or designee, is authorized to take appropriate and necessary actions to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED November 15, 2022 .
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
866
FY 2022-23 Proposed Tobacco Ordinance Fees
Proposed New Fees
Description Reason Proposed Amount
Tobacco Retailer Business
Annual Tobacco Retail License Application Fee New and renewals, one fee per application to cover processing costs of application
102.00$
Verification of distance requirements 147.00$
Annual Investigative Fee - per person 234.00$
Appeal Fee - Denial of Permit
One time fee, as applicable, to verify business
location is allowable under Ordinance 5.102.120
New and renewals, charge for each owner, officer,
copartner, or stockholder
Ordinance Section 5.102.110 Appeal from
suspension or revocation of tobacco retail license
102.00$
EXHIBIT 1
867
TOBACCO RETAIL
LICENSE ORDINANCE
City Council Meeting
November 15, 2022
Agenda Item 16.3
868
Present Situation
Title 5 of the SMC does not currently regulate tobacco retailers in the City.
The State of California licenses tobacco retailers statewide. The State’s definition of tobacco retailer includes any business that sells tobacco products in any volume.
Currently, there are 272 State-licensed tobacco retailers within the City. Pursuant to the State’s definition of tobacco retailer, these include grocery stores and gas stations in addition to “smoke shops.” Hold a public hearing to approve fees associated with the special tobacco retail license.
• Public notice was published on October 31, 2022.
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State-Licensed Tobacco Retailers
within the City of Stockton
870
Legislation Committee Direction
Draft a proposed ordinance adding a tobacco retail license requirement to Title 5
Ordinance should address the following:
Defining tobacco retailers to prevent change in use
Distance restrictions
Window obstruction
Blight/loitering prevention
Compliance with local, state, and federal law
Flavored Tobacco Regulation [Optional Language for Council Consideration]
871
Proposed Ordinance – Tobacco Retail
License
Requires a special license to operate in addition to a standard business license
“Tobacco Retailer” means any person or entity whose principal business is selling Tobacco Products, tobacco paraphernalia, or both, as evidenced by 50% or more of floor area and display area being devoted to the sale or exchange of Tobacco Products, tobacco paraphernalia, or both.
Distance Requirement – 600 feet from school, public park, public playground, public recreational area, or youth facility Does not apply to tobacco retailers operating lawfully on the day before the effective date of the ordinance.
Ordinance effective 30 days after adoption
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Implementation
Administrative Services will prepare informational materials and forms for applicants.
New Tobacco Retailers will submit an application to ASD Police and Community Development will investigate for compliance with the distance and other ordinance requirements
Existing Tobacco Retailers with business license renewals on or after March 1, 2023, will be asked to fill out the application 60 days before their standard renewal
873
FY 2022-23 Proposed Tobacco Ordinance
Public Hearing on Proposed New Tobacco Retailer Fees*:
Description Reason Proposed
Amount
Annual Tobacco Retail
License Application Fee
New and renewals, one fee per
application to cover processing costs of
application
$102.00
Verification of distance
requirements
One-time fee, as applicable, to verify
business location is allowable under
Ordinance 5.102.120
$147.00
Annual Investigative Fee
per person
New and renewals, charge for each
owner, officer, copartner, or stockholder
$234.00
Appeal Fee - Denial of
Permit
Ordinance Section 5.102.110 appeal from
suspension or revocation of tobacco retail
license
$102.00
*Does not include standard business license fee and applicable tax. 874
Flavored Tobacco Regulation
Proposition 31 results were pending at the time this presentation was submitted for publication.
If Prop. 31 is approved, it will cause SB 793 to go into effect which will prohibit the sale of flavored tobacco products state-wide, subject to limited exceptions. In this case, the additional language in the proposed ordinance regarding flavored tobacco products is moot.
If Prop. 31 fails, Council could pass the ordinance with the included optional language which prohibits the sale of flavored tobacco products at “tobacco retailers,” as defined in the ordinance. The same exceptions included in SB 793 would also apply to tobacco retailers in the City. 875
Recommendation
1) Adopt an Ordinance Amending Title 5, Chapter 5.16, section 5.16.010 and adding Chapter 5.102 to the Stockton Municipal Code (“SMC”) requiring tobacco retailers to obtain a license from the City. 2) Adopt a Resolution approving an amendment to the Fiscal Year 2022-23 Fee Schedule relating to tobacco retail licenses.
3) Authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of the ordinance and resolution adopted by the Council.
876
City of Stockton
Legislation Text
File #: 22-1126, Version: 1
ADOPT A RESOLUTION CERTIFYING AN ENVIRONMENTAL IMPACT REPORT, ADOPT AN
ORDINANCE FOR PRE-ZONING, ADOPT A DEVELOPMENT AGREEMENT, ADOPT A
RESOLUTION AUTHORIZING ANNEXATION REQUESTS FOR A PROPOSED INDUSTRIAL DEVELOPMENT AT 5110, 5150, 5268, 5280, AND 5290 MARIPOSA ROAD, 4500 EAST CLARK ROAD, AND 4600 AND 4610 MARFARGOA DRIVE (APNS 179-220-10; -11; -12; -13; -16; -17; -18; -19; -24) (P20-0805), AND APPROVE RELATED SETTLEMENT DOCUMENTS
RECOMMENDATION
This item is continued to the December 6, 2022, City Council Meeting.
City of Stockton Printed on 11/10/2022Page 1 of 1
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