City Council and Concurrent Authorities
September 12, 2023

ATTACHMENT B

1. Aanendments to Sublease Agreement. Effective upori tlie Assignment Effective Date, the Sublease Agreement is hereby amended as follows:
a. The address for notice to Sublessee in Article l shall be stricken and replaced by the following:
"St. Mary's Dining Room
545 West Sonora Street
Stockton, CA 95203"
b. There sliall be a new Section 5. 11, whicli sl'iall read as follows:
"5.11 Service Obligattons
As specified in Section 5.1, the Premises may 0111Y be used and occupied by SUBLESSEE for the purpose of providing temporary shelter to adults and families (the "Shelter Services"). During the tenn of this Sublease, SUBLESSEE shall provide Shelter Services subject to the following:
a. Shelter Services shall be provided in accordance with all applicable law, and in a competent and professional manner that meets or exceeds prevailing industry standards; and b. Each day, the Premises shall be made available to a number of adults and families that is no less than thirty percent (30%) of the maximum sheltering capacity of the Premises (the "Minimum Availability Obligation"). Maximum sheltering capacity may periodically decrease where SUBLESSEE is actively performing approved maintenance or improvements onthe Premises which impact capacity. SUBLESSEE's failure to satisfy the Minimum Availability Obligation for a sustained period of five (5) days shall constitute a default urider this Sublease by SUBLESSEE.

Such a default shall, at SUBLESSOR's sole discretion, not be afforded a cure period. SUBLESSEE shall notify SUBLESSOR within one (l) business day each day the Minimum Availability Obligation was not satisfied."
C. The final sentence of Section 7.1 shall be stricken and replaced by the following:
"If no removal notice is issued by SUBLESSOR under this Section

7. l within ten (10) days after expiration or earlier termination of this Sublease, or upon written notice from SUBLESSOR that it will not issue a removal notice, then all improvements (including, but not limited to, permanent buildings, manufactured facilities, arid trailers) located on the Premises shall, at the expiration or termiiiation of this Sublease, vest in SUBLESSOR. SUBLESSEE shall not remove any of these improvements from the Premises nor waste, destroy, or modify them in any way. SUBLESSEE shall deliver these improvements to SUBLESSOR in good condition and

ATTACHMENT B
repair, reasonable wear and tear excepted, without compensation to SUBLESSEE, free and clear of all claims to or against them by SUBLESSEE, and SUBLESSEE shall defend and hold
SUBLESSOR harmless from all liability arising from such claims or fromthe exercise by SUBLESSOR of its rights under this section.

SUBLESSOR and SUBLESSEE covenant for themselves and all persons claiming under or through them that the improvements are real propeity."
d. Section 19.18 shall be stricken and replaced by the following:
'19.18 Termination by One Party
This Sublease may be terminated at any time by SUBLESSEE upon providing SUBLESSOR with one hundred fifty (150) days prior notice, in writing, and by SUBLESSOR upon providing SUBLESSEE with one hundred fifty (150) days prior notice, in writing. Notice shall be served by certified mail to the address listed in Article 1. Notwithstanding tlie foregoing, if St. Mary's Dining Room as SUBLESSEE isSues written notice to SUBLESSOR to terminate on or before November 15, 2023, tlie prior notice period shall instead be fourteen (14) days."

2. . Sublessor shall, within thiity (30) days of tliis Amendment's execution, but no sooner than the Assignment Effective Date, deposit with Sublessee the sum of Two Hundred Fifty Thousand Dollars ($250,000.00) (the "City Funds"). The following terms and conditions apply to the City Funds:
a. The City Funds may only be used towards costs directly attributable to operating the homeless shelter that is located on the Premises including, but not limited to, materials and personnel costs (but only for such time as those personnel are working on the Premises). Notwithstandixig the foregoing, City Funds may not go towards general administrative costs.
b. The City Funds must be fully expended prior to the termination or expiration of the Sublease Agreement. Any unexpended funds shall be immediately returned to Sublessor.
c. Sublessee shall maintain supporting documenta5on sufficient to substantiate all expended City Funds and shall retain such records for a minimum period of five (5) years after the funds are fully expended. Sublessor, and its designees, upon written and reasonable notice, shall have the right to review, obtain, and copy all such records.
d. Sublessee shall submit to Sublessor an annual financial and performance report by January 15 of each year, until the City Funds are fiilly expended, in a form which shall be reasonably acceptable to the City. Sublessee shall submit a final report, in a form which shall be reasonably acceptable to the City, within thirty (30) days of fully expending

ATTACHMENT B
the City Funds. Submission of such a final report shall be in lieu of any further annual reports.
e. Sublessee's failure to satisfy any provision of section 2, if not cured within thiity (30) days of receiving written notice of an event of default shall constitute a default.

In the event of such a default, Sublessor may, at its sole discretion:

Require the retutn of any unexpended City Funds. ii. Require repayment of any City Funds already disbursed and expended under this agreement without sufficient documentary support. iii. Require the return or transfer of all funds and/or property derived from the use of the City Funds.
iv. Any other remedy available at law or equity.

All remedies available to Sublessor are cumulatiye and not exclusive.

3. Indemnification. City shall defend (with City's choice of counsel), indemnify and hold Sublessee harmless for any and all claims relating to the Sublease Agreement or Premises that are existing or based partially or totally on facts existirig on or before the Assignment Effective Date, except such claims carised primarily by the negligence or willful misconduct of Sublessee.

The parties intend this provision to be liberally interpreted to prevent Sublessee from being liable or responsible for any inchoate or ripened claims, known or unknown, that existed before the Assignment Effective Date. Notwithstanding the forgoing, City's defense, indemnification, and hold harmless obligations herein shall not extend to any claim relating primarily to premises liability, except for third party claims that ripened no later than 90 days after the Assignment Effective Date that were not caused primarily by the negligence or willful misconduct of Sublessee.

4. Contingency. If the Assignment Agreement is terminated without the Sublease being assigned to Sublessee, tlien this agreement shall be terminated and both paities are relieved from all obligations and liability under this agreement.

5. Miscellaneous Provisions
a. GoverningLaw. ThisAgreementshallbegovernedbythelawsoftheState of California.
b. . The lieadings used in this Agreement are for convenience only and shall be disregarded in intei'preting the substantive provisions of this Agreement. c. GoverningLaw. ThisAgreementshallbegovernedbythelawsoftheState of California.

ATTACHMENT B
d. Counterparts. This Agreement may be executed in counterparts by tl'ie parties hereto, eacli of whicli shall be deemed to be an original, and all sucli counterparts shall constitute but one and the same instrument.
e. Navigation Center Construction. Sublessee shall not be responsible for completing construction of the Navigation Center. Sublessee shall provide City, and its designees, access to the Premises reasonably sufficient to complete construction. Upon completionofconstruction, andduringthetei'mofthesublease,theNavigationCentershall become a pait of the Sublease Agreement and, like other improvements on the Premises, be subject to its terms, conditions, and obligations.

IN WITNESS WHEREOF, the parties have entered into this Agreement as of the date first written above.

SUBLESSEE:

SUBLESSOR:

APPROVED AS FORM:

Lori M. Asuncio
C 7
By:

ST. MARY'S I)INING ROOM,
a Califomia nonprofit public benefit corporation
By: a=o ;f;wmq
Petra Linden
Executive Director

CITY OF STOCKTON,
corporation
<V City ger
Page5of5

ATTACHMENT B

AGREEMENT BETWEEN CITY OF STOCKTON
AND
ST. MARY’S DINING ROOM

FOR SHELTER OPERATION SERVICES
THIS AGREEMENT is entered into this September 1, 2023, between the City of Stockton, a municipal corporation (“City”), and St. Mary’s Dining Room, a California non-profit organization (“Subrecipient”).

RECITALS
On September 1, 2023, Subrecipient took over that certain Airspace Ground Sublease (the “Sublease”), originally between City and Stockton Shelter for the Homeless, a California non- profit organization, through that certain Assignment and Assumption Agreement, dated August 9, 2023. The term of the Sublease runs through December 31, 2027.

The Sublease is a sublease of property leased to City from the State of California, Department of Transportation, which is located under the Highway 4 and Interstate 5 interchange, and is more particularly described in the Sublease (the “Property”).

The prior sublessee conducted emergency shelter operations on the Property, which included structures to house and support a family shelter, men’s lodge, woman’s lodge, and veteran’s annex.

Also on the Property is a partially-constructed navigation center, which, when completed, will provide additional shelter space and other supportive services. The Property, together with all of its structures and other improvements, comprise the “Premises.” Subrecipient desires to continue shelter operations on the Premises.

City desires to provide funding to Subrecipient in the amount of $5,380,000 which, in addition to funding provided by the County of San Joaquin, will provide no less than three years of operating costs for the Premises.

DEFINITIONS
In addition to those terms defined elsewhere in this Agreement:
“City Funds” means the $5,380,000 available from City to Subrecipient pursuant to this Agreement. The City Funds are comprised of: (i) $80 from City’s American Rescue Plan Act (“ARPA”) contingency fund, (ii) $760,000 from City’s allocation of Homeless Housing, Assistance and Prevention (“HHAP”) Round 1 funds, (iii) $1,899,412 from City’s allocation of HHAP Round 3 funds, and (iv) $1,9

 from City’s general fund contingency.
“Homeless Management Information System” (HMIS) means the information system designated by a continuum of care to comply with federal reporting requirements as defined in Section 578.3 of Title 24 of the Code of Federal Regulations. The term “Homeless Management Information

ATTACHMENT C
System” also includes the use of a comparable database by a victim services provider or legal services provider that is permitted by the federal government under Part 576 of Title 24 of the Code of Federal Regulations.

AGREEMENT
NOW THEREFORE , in recognition of the mutual consideration provided herein, City and Subrecipient hereby agree that the aforementioned recitals are true and correct and further agree as follows:

1. Scope of Service .

A. Activities. Subrecipient shall provide services on the Premises pursuant to the Statement of Work (“Exhibit A”) (the “Services” or “Activities”) for the entire term.

B. HHAP Compliance. All of Subrecipient’s work performed under this Agreement must be an eligible use consistent with Health and Safety Code sections 50219(c)(1)-(8) and 50220.7(e)(1)-(9). Subrecipient shall comply with all laws governing the use of HHAP funds.

C. ARPA Compliance. Subrecipient shall comply with the ARPA Subaward Agreement, Special Funding Terms and Conditions, included at Exhibit G , wherein Subrecipient is the “Contractor.”
D. Budget. No later than six (6) months after the date first written above, Subrecipient shall submit to the City a proposed budget for operating the Premises for the remainder of the term of this Agreement, which the City may approve in its sole discretion. If not approved, Subrecipient shall modify its proposed budget and re-submit to the City until one is approved by the City (after approval, the “Project Budget”). Once approved, all use of City Funds must be consistent with the Project Budget. Changes to any budget line-item or category of the Project Budget which exceeds 5% of that line-item or category must be approved in writing by the City. Taking into account the complexity of the Services and timing of projects on the Premises (including timing of the completion of the navigation center), spending efficiencies may be realized in the Project Budget. If City Funds remain towards the end of the term of the Agreement, the parties may extend the term of the Agreement pursuant to Section 2 below.

2. Term . The term for Subrecipient’s provision of services under this Agreement shall begin on the date first written above and be for a term of three (3) years, provided that either party may sooner terminate this Agreement by giving the other party 150-days’ written notice.

Notwithstanding the forgoing, if the Sublease is terminated, then this Agreement shall automatically terminate concurrently therewith. Upon termination of this Agreement, Subrecipient shall be entitled to compensation for all eligible expenses incurred up to the date of termination.

The term may be extended by mutual written agreement of the parties.

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3. Payment . It is expressly agreed and understood that the total amount available from City to Subrecipient for all Services under this Agreement shall be the City Funds. Even though the City Funds are available, Subrecipient shall only be entitled to draw that portion of the City Funds commensurate with eligible Services provided pursuant to this Agreement, and subject to the limitations discussed herein. City shall only make payments for those Services that comply with the terms and conditions of this Agreement and the Project Budget.

Payments shall be made on a reimbursement basis for actual costs incurred in providing the Services, without markup. Subrecipient shall submit a reimbursement requisition, in a format approved by the City, itemizing and detailing all costs incurred. Reimbursement requisitions shall be submitted to City on a quarterly basis, unless otherwise agreed to by the City. All costs listed on reimbursement requisitions shall be accompanied by copies of invoices, bills, receipts, and/or payroll records, as applicable (the “Supporting Documentation”). If adequate Supporting Documentation is provided to evidence eligible Services performed, to the reasonable satisfaction of the City, then payment shall be made to Subrecipient within 30 days from the date the reimbursement requisition is received by City or 30 days after adequate Supporting Documentation is provided, whichever is later.

For Services conducted during the first year of this Agreement, Subrecipient may only seek reimbursement from a maximum of 33% of the City Funds. If Subrecipient has received 33% of the City Funds in the first year of this Agreement, Subrecipient must continue to provide the Services throughout the first year without additional reimbursement.

For Services conducted during the second year of this Agreement, Subrecipient may only seek reimbursement from a maximum of 33% of the City Funds, without regard to what percent of City Funds were reimbursed in the first year. If Subrecipient has received 33% of the City Funds in the second year of this Agreement, Subrecipient must continue to provide the Services during the second year without additional reimbursement.

For Services conducted during the third year of this Agreement, Subrecipient may seek reimbursement from any remaining balance of the City Funds.

If Subrecipient has been paid the entire amount of the City Funds prior to the end of the term, Subrecipient must continue to provide the Services without additional reimbursement.

4. Advertisement and Web Presence . Subrecipient shall effectively advertise and promote its Services on its website and other web-based presence.

5. Purchase of Equipment . Purchase of items other than routine office supplies with City Funds must be pre-approved in writing by City. Any non-capitalizable equipment, furnishings, and personal property, such as computers, appliances, and other personal property purchased with City Funds shall remain with Subrecipient so long as this Agreement remains in full force and effect.

Upon termination or expiration of this Agreement, title to each item which was purchased with City Funds at a cost of more than $25 per item shall vest with City and be delivered to City.

ATTACHMENT C

6. Special Travel . Subrecipient agrees that City funds will not be used to pay for any costs for travel and accommodations beyond that which is necessary and customary in carrying out the day-to-day activities in providing the Services. Such appropriate travel by vehicle will be reimbursed at the standard mileage rate published by the Internal Revenue Service.

7. Hold Harmless and Indemnity. To the fullest extent permitted by law, Subrecipient shall hold harmless, defend, and indemnify City and its officers, officials, employees and volunteers from and against any and all liability, loss, damage, expense, and costs (including without limitation costs and fees of litigation) of every nature arising out of or in connection with Subrecipient’s performance of work hereunder or its failure to comply with any of its obligations contained in this Agreement, except such loss or damage which was caused by the sole negligence or willful misconduct of City. 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.

If the Subrecipient should subcontract any portion of the work to be performed under this agreement, the Subrecipient shall require each sub-contractor to indemnify, hold harmless and defend the City, its officers, officials, employees, and volunteers in accordance with the terms of the preceding paragraph.

8. Insurance . Subrecipient shall maintain insurance in compliance with Exhibit B for the entire term of this Agreement.

9. Records . City and its designees shall have the right to review, obtain, and copy all records and supporting documentation pertaining to performance under this Agreement. Subrecipient shall provide City, or its designees, with any relevant information requested. Subrecipient agrees to give City or its designee access to its properties, upon reasonable notice and during normal business hours, for the purpose of interviewing employees who might reasonably have information related to such records, and of inspecting and copying such books, records, accounts, and other materials that may be relevant to an investigation of compliance with the HHAP program and this Agreement.

Subrecipient shall retain all records described above in this section for a minimum of five (5) years after the termination of this Agreement.

If any litigation, claim, negotiation, audit, monitoring, inspection, or other action has been commenced before the expiration of the required record retention period, all records must be retained until completion of the action and resolution of all issues which arise from it.

10. Financial and Performance Reports . Subrecipient shall submit to the City quarterly financial and performance reports on a form which shall be acceptable to City for the preceding period no later than October 15 th (for July 1 through September 30), January 15 th (for October 1 through December 31), April 15 th (for January 1 through March 31), and July 15 th (for April 1 through June 30).

ATTACHMENT C
Additionally, Subrecipient shall submit a final financial and performance report, on a form acceptable to City, (the “Final Report”) within 30 days of the expiration or termination of this Agreement.

Reports shall contain any information deemed appropriate or necessary by the City, including information required by Exhibit A to be included in the reports. Reports shall also include the following items listed at Health and Safety Code Section 50221(a):

A. An ongoing tracking of the specific uses and expenditures of any program funds broken out by eligible uses listed, including the current status of those funds.

B. The number of homeless individuals served by the program funds in that year, and a total number served in all years of the program, as well the homeless population served.

C. The types of housing assistance provided, broken out by the number of individuals.

D. Outcome data for an individual served through program funds, including the type of housing that an individual exited to, the percent of successful housing exits, and exit types for unsuccessful housing exits.

Subrecipient shall, at the request of City, timely supplement any report with information deemed appropriate or necessary by City.

Subrecipient shall, at the request of City, provide City with any information deemed appropriate or necessary by City to fulfill City’s reporting obligations to the California Homeless Coordinating and Financing Council and any other Federal or State government entity. Those obligations include compliance with Health and Safety Code Section 50222, which requires data collection on the individuals and families served, including demographic information.

Notwithstanding anything to the contrary contained herein, upon termination or expiration of the Agreement, Subrecipient must submit any remaining eligible claims for reimbursement on a final reimbursement requisition form with Supporting Documentation (the “Final Requisition Form”).

The Final Requisition Form is due concurrently with the Final Report. City shall not reimburse Subrecipient for any Services not submitted to the City prior to, or on, the due date of the Final Requisition Form.

11. HHAP Special Terms and Conditions, Homeless Management Information Systems (HMIS).

Subrecipient shall:

A. The Subrecipient must ensure that data on all persons served and all activities assisted under HHAP are entered into the applicable communitywide HMIS in the area in which those persons and activities are located, or with
the express knowledge and written consent of the City,
a comparable database, in accordance with HUD's standards on participation, data collection, and reporting under a local HMIS.

ATTACHMENT C
B. HMIS Agency Agreement. The Subrecipient shall have an agreement in place with the HMIS lead agency to participate in the regionally established HMIS system. A copy of the Subrecipient agreement with the HMIS lead agency shall be delivered to the City. In the case of Domestic Violence service providers or other agencies prohibited from entering data into HMIS, documentation from the HMIS lead agency certifying that the Subrecipient is using a comparable database shall be delivered to the City. The "HMIS lead agency" is Central Valley Low Income Housing Corporation ("CVLIHC"), which is located at 2431 W. March Lane, #350, Stockton, California 95207 (209-472-7200).

C. HMIS lnteragency Data Sharing Agreement . The Subrecipient shall enter into an interagency Data Sharing Agreement with the HMIS Lead Agency where the Subrecipient agrees to share HMIS data with other ESG funded agencies regarding clients that are served in HHAP funded programs, unless prohibited by law. A copy of such agreement shall be delivered to the City.

D. HMIS Data Input. Subrecipient must enter data directly into the HMIS system, and adhere to all implementation guidelines developed under the Continuum of Care, HMIS. Participation includes, but is not limited to, the input of all programmatic and client data, the generation of all mandated monthly, quarterly and close-out reports. Subrecipient must input client data no more than forty-eight (48) hours after date of program entry. Services rendered to clients must be entered into HIMS within forty-eight (48) hours from date of services. All clients who exit the program must have updated status in HIMS within forty-eight (48) hours of actual exit date. Failure to meet the above Data Input requirements may constitute a violation of the terms and conditions of this AGREEMENT.

E. Coordination with Continuum of Care. Subrecipient must work with the Continuum of Care ("CoC") to ensure the screening, assessment, and referral of program participants are consistent with the City’s written standards for providing assistance as described in its Consolidated Plan. The Subrecipient must keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment system(s) developed by the CoC in accordance with the requirements established by HUD. See 24 CFR § 576.400 F. Other Requirements. Subrecipient shall:
i. Perform all work in accordance with Federal, State, and local housing and building codes, as applicable.
ii. Maintain at least the minimum State-required worker’s compensation for those employees who will perform the work or any part of it.
iii. Maintain, as required by law, unemployment insurance and disability insurance in an amount that is reasonable to compensate any person who may be injured or damaged in the performance of the work or any part of it.

12. Status of Subrecipient . In the performance of all services to be performed by Subrecipient pursuant to this Agreement, it is expressly understood that Subrecipient is an independent contractor and shall not be considered to be an employee of City for any purpose.

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13. Notices . Any notice or communication under this Agreement by either party to the other shall be sufficiently given if delivered by personal service or if dispatched by registered mail, postage prepaid, return receipt requested, and:

A. Notice or communication to Subrecipient is addressed as follows:

St. Mary’s Dining Room
545 W. Sonora Street
Stockton, CA 95203
Attn: CEO
B. Notice or communication to City is addressed as follows:

City of Stockton Economic Development Department
425 North El Dorado Street, 3rd Floor
Stockton, California 95202
Attn: Director

14. Breach and Remedies . Breach of this Agreement includes, but is not limited to, the following events:

A. Subrecipient’s failure to comply with the terms of this Agreement.

B. Use of, or permitting the use of, Funds provided under this Agreement for ineligible activities.

C. Any failure to comply with deadlines in this Agreement.

In addition to any other remedies that may be available to the City in law or equity for breach of this Agreement, City may:

A. Immediately terminate this Agreement.

B. Require the return of any unexpended City Funds provided to Subrecipient.

C. Require repayment of City Funds already disbursed and expended under this Agreement in the event it is determined that ineligible uses were funded.

D. Require the return or transfer of all funds and/or property derived from the use of City Funds including, but not limited to, recaptured funds and returned funds.

E. Seek, in a court of competent jurisdiction, an order for specific performance of the defaulted obligation or the appointment of a receiver to complete the Services.

All remedies available to City are cumulative and not exclusive. City may give written notice to Subrecipient to cure the breach or violation within a period of not less than 15 days.

15. Waiver . City’s failure to act with respect to a breach by Subrecipient does not waive its right to act with respect to subsequent or similar breaches. The failure of City to exercise or enforce any right or provision shall not constitute a waiver of such right or provision.

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16. Drug-Free Workplace Certification . Subrecipient shall comply with the requirements of the Drug-Free Workplace Act of 1990 (Gov. Code section 8350 et seq.) (the “Act”) and have or will provide a drug-free workplace by taking the actions described in the Act.

17. Nondiscrimination .

A. During the performance of this Agreement, Subrecipient shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex (gender), sexual orientation, gender identity, gender expression, race, color, ancestry, religion, creed, national origin (including language use restriction), pregnancy, physical disability (including HIV and AIDS), mental disability, medical condition (cancer/genetic characteristics), age (over 40), genetic information, marital status, military and veteran status, and denial of medical and family care leave or pregnancy disability leave. Subrecipient shall ensure that the evaluation and treatment of its employees and applicants for employment are free from such discrimination and harassment. Subrecipient shall comply with the provisions of California’s laws against discriminatory practices relating to specific groups: the California Fair Employment and Housing Act (FEHA) (Gov. Code section 12900 et seq.); the regulations promulgated thereunder (Cal. Code Regs., tlt. 2, section 11000 et seq.); and the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Gov. Code sections 11135-11139.5). Subrecipient shall give written notice of its obligations under this clause to labor organizations with which they have a collective bargaining or other agreement.

B. Subrecipient agrees and assures City that it will comply with Title VI and VII of the Civil Rights Act of 1964 as amended; Section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; and in particular Section 272.6; Title II of the Americans with Disabilities Act of 1990; California Civil Code Section 51 et seq., as amended, California Government Code Section 12940 (c), (h) (1), (i), and (j); California Government Code, Section 4450; Title 22, California Code of Regulations 98000 - 98413, and other applicable federal and state laws as well as their implementing regulations (including 45 Code of Federal Regulations (CFR) Parts 80, 84, and 91, 7 CFR Part 15 and 28 CFR Part 42), by ensuring that employment practices and the administration of public assistance and social services programs are nondiscriminatory, to the effect that no person shall because of distinctions based on race, ancestry, marital status, color, religious creed, political belief, national origin, ethnic group identification, sex, sexual orientation, gender identity, age, medical condition, or physical or mental disability be excluded from participation in or be denied the benefits of, or be otherwise subject to discrimination under any program or activity receiving federal, state, or City financial assistance; and hereby gives assurance that it will immediately take any measures necessary to effectuate this Agreement. For the purposes of this Agreement, discrimination based on race, ancestry, marital status, color, religious creed, political belief, national origin, ethnic group identification, sex, sexual orientation, gender identity, age, medical condition, or physical or mental disability include but are not limited to the following: denying a participant any service or benefit; providing any service or benefit to a participant which is different, or is provided in a different manner

ATTACHMENT C
or at a different time from that provided to other participants under this Agreement; subjecting a participant to segregation or separate treatment in any matter related to his/her receipt of any services; restricting a participant in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit; treating a participant differently from others in determining whether he/she satisfies any admission, enrollment quota, eligibility, membership, or other requirement or condition which individuals must meet in order to be provided any service or benefit; the assignment of times or places for the provision of service on the basis of race, ancestry, marital status, color, religious creed, political belief, national origin, ethnic group identification, sex, sexual orientation, gender identity, age, medical condition, or physical or mental disability of the participants to be served. For the purposes of this Agreement, facility access for the disabled must comply with the Rehabilitation Act of 1973, Section 504.

18. Inspections . City and its designees may inspect any work performed hereunder to ensure the work is being and has been performed in accordance with applicable laws and this Agreement.

Subrecipient acknowledges that if, upon inspection, it is determined that any work is not in conformance with applicable requirements, City must withhold payment until work is corrected.

19. Severability . If any provision of this Agreement is held invalid, the remainder of the Agreement shall not be affected thereby, and all other parts of this Agreement shall nevertheless be in full force and effect.

20. Construction of Language . The terms and conditions in this Agreement have been arrived at through negotiation and each party had a full and fair opportunity to review and revise this Agreement with legal counsel. Any ambiguity in this Agreement will not be resolved against either party as the drafting party. In the event of an inconsistency or conflict between the language in the body of the Agreement and an attachment hereto or document incorporated by reference, the language in the body of the Agreement controls.

21. Entire Agreement; Modification . This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the subject matter hereof, and no other agreement which is not contained herein shall be valid or binding. This Agreement shall not be modified or amended except by a written agreement, signed by the parties.

City may, in its discretion, amend this Agreement in writing to conform with Federal, State, or local laws, regulations, guidelines, or policies related to the use of the City Funds for the Activities.

However, if such amendments result in a change in the funding, the scope of services, or the Activities, such modifications shall be incorporated only by written amendment signed by both City and Subrecipient.

22. Assignment . Neither this Agreement, nor any duties or obligations hereunder, shall be assignable by Subrecipient without the prior written consent of City at its sole discretion. In the event of an assignment by Subrecipient to which City has consented, the assignee shall agree in writing with City to personally assume, perform, and be bound by the covenants, obligations and agreements contained herein.

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23. Successors and Assigns . Subject to the provision regarding assignment, this Agreement shall be binding on the heirs, executors, administrators, successors, and assigns of the respective parties.

24. Attorney’s Fees . If any action at law or inequity is brought to enforce or interpret the provisions of this Agreement, the prevailing party shall be entitled to costs and reasonable attorney's fees in addition to any other relief to which it may be entitled.

25. Governing Law . The validity of this Agreement and of any of its terms or provisions, as well as the rights and duties of the parties hereunder, shall be governed by the laws of the State of California.

26. Counterparts . This Agreement may be executed in two counterparts, each of which shall be deemed to be an original, and such counterparts constitute one and the same instrument.

27. Incorporated Exhibits .

Exhibit A Statement of Work
Exhibit B Insurance Requirements
Exhibit G ARPA Special Terms and Conditions
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date first written above.

ST. MARY’S DINING ROOM, a California
nonprofit corporation
BY:

ITS
ATTEST: CITY OF STOCKTON CITY OF STOCKTON
BY:

ELIZA GARZA HARRY BLACK

CITY CLERK CITY MANAGER
APPROVED AS TO FORM:

LORI M. ASUNCION

CITY ATTORNEY
BY:

ATTACHMENT C
1
(Rev.10.30.18)

EXHIBIT A

STATEMENT OF WORK

1. Project Objectives

1.1 Assume immediate shelter operations at the Family Shelter, Men’s Lodge, Women’s Lodge and Veteran’s Annex (collectively referred to as the shelter buildings) by September 1, 2023.

1.2 Scale low-barrier shelter operations at the shelter buildings by December 2023.

1.3 Operate the Navigation Center by January 2024 or upon completion of Navigation Center project construction based on a low-barrier, Housing First model that focuses on assisting unsheltered households move to permanent housing,

1.4 Prioritize entrance into sheltering for vulnerable populations, including families, women, seniors, individuals with mobility impairments, and those with severe mental illness. Develop specialized sections of the shelter buildings for homeless sub-populations with special needs.

Operate entire campus based on a low-barrier, Housing First model that focuses on assisting unsheltered households move to permanent housing across entire campus including the Family Shelter, Lodge, Veteran’s Annex, Navigation Center, and Pathways by December 2024.

1.5 Provide the four elements of a shelter: food, hygiene, beds, and social services, using best practice approaches that meet or exceed grant compliance requirements.

2. Project Scope

2.1 Provision of low-barrier 24/7 shelter operations, including staffing for operations, security, and facility management in the following buildings:

2.1.1 Family Shelter—up to 100 beds

2.1.2 Men’s Lodge and Women’s Lodge—up to 200 beds

2.1.3 Veterans Annex—up to 20 beds

ATTACHMENT C
2
(Rev.10.30.18)

2.2 Operation of low-barrier 24/7 Navigation Center, including staffing for operations, security, and facility management in the following building, once completed:

2.2.1 Navigation Center—up to 150 beds

2.3  Operate a 24/7 Intake Center to conduct assessments and match clients to appropriate shelter services.

2.4 Provide case management services to guests, with a goal of at least 50% of guests engaging in services. If engagement is less than 50%, SMDR will assess reasons for hesitancy in. participation, staff training needs, and programmatic barriers and then implement improvement strategies to increase participation. Note: Participation in services is not a requirement for shelter.


2.5 Connect guests to permanent housing placement opportunities by providing guests with on-site access to the community’s coordinated entry process and by connecting guests to housing navigation services or other long-term placement options.


2.6 Connect guests to mainstream resources such as 2-1-1 community referral services, financial literacy, computer literacy, landlord mediations, legal services, SNAP benefits, health and behavioral health care, early childhood development and education, Temporary Assistance for Needy Families (TANF), Supplemental Security Income (SSI) and Social Security Disability Insurance (SSDI), Veteran Services and other resources, as needed.

2.7 Utilize data to determine shelter needs, the inflow at which people enter the system, and the permanent housing (both targeted and mainstream affordable) units available for creating pathways out of homelessness. Data should be collected and analyzed to ensure staff reflect the population of those seeking shelter, for disparities in who is receiving access to shelter within the community, and to monitor the proportionality of shelter access and housing success rates across racial, ethnicity, ability, gender identify, and sexual orientation differences. Data about shelter stays, exits, and outcomes should be used to inform program design and implement quality improvement measures.

Low-Barrier Access
SMDR shall be considered a "low-barrier" shelter campus and any entry screening, barriers, or conditions to access shall be defined in the Operations and Management Plan. Expectations placed on guests for initial entry should be minimal and narrowly focused on maintaining a safe environment for all,

ATTACHMENT C
3
(Rev.10.30.18)
transparent, and reasonable. Intake, screening, and assessment processes should reflect a Housing First orientation to helping everyone seeking assistance connect quickly with permanent housing. Programs can be developed within the campus which provide more strict behavior and participation requirements, as long as entry into the program is optional and other shelter beds are available for those who do not choose to participate.

For purposes of this SOW, the City will utilize and SMDR should follow, to the best of their ability and no later than December 2023, the definition of low-barrier provided by The National Alliance to End Homelessness and AB 101 Article 12.

Low Barrier Navigation Centers, section 65660, as defined below:

The National Alliance to End Homelessness which describes the definition of a low-barrier emergency shelter as:
x immediate and easy access to shelter by lowering barriers to entry x staying open 24/7
x eliminate sobriety and income requirements and other policies that make it difficult to enter shelter, stay in shelter, or access housing and income opportunities
SMDR should continually assess barriers to entry and put forth best efforts to implement additional low-barrier best practices over time, such as those identified in and AB 101 Article 12. Low Barrier Navigation Centers, section 65660 to include, but not limited to, the following:
x The presence of partners if it is not a population-specific site, such as for survivors of domestic violence or sexual assault, women, or youth. x Pets
x The storage of possessions.
x Privacy, such as partitions around beds in a dormitory setting or in larger rooms containing more than two beds, or private rooms.

Additional best practices can include efforts to ensure predictable shelter access such as a reservation system that allows people to confirm whether they continue to need their shelter bed, and to arrange for late arrivals, if needed.

Housing First
SMDR shall adhere to a Housing First approach. Housing First is a homeless assistance approach that prioritizes permanent housing for people experiencing homelessness, thus ending their homelessness, and serving as a platform from which they can address the personal issues in their lives stopping them from acquiring and maintaining stable housing, such as chronic substance abuse or mental illness. This approach is guided by the belief that people need necessities like food and a safe place to live before attending to anything less critical, such as getting a job, budgeting properly, or accepting treatment for struggles with mental health and substance abuse. SMDR will assess individuals for which

ATTACHMENT C
4
(Rev.10.30.18)
housing type is appropriate for their needs. When a housing type with their required level of care is not available, as there is a tremendous scarcity of affordable permanent supportive housing units, or the client declines to utilize that housing type, alternative temporary placements may be made to best accommodate their needs.

The Housing First approach has been formally adopted as official policy at all levels of government, including the US Congress, the State of California Legislature, the San Joaquin County Board of Supervisors, and the Stockton City Council. Every funding program intended to serve those experiencing homelessness must by law adhere to a Housing First approach.

3. Major Deliverables

3.1 SMDR will create an Operations and Management Plan which must be approved by the City of Stockton Economic Development Director.

SMDR’s scope will include working with the City of Stockton to tailor the Operations and Management Plan to the planned operation of all shelter buildings. SMDR shall submit its policies and procedures to the City of Stockton for the entire campus shelter program including, but not limited to, all aspects of the shelter program services, staffing and management plans, staff responsibilities, scaling low-barrier shelter operations, how shelter program staff will work with clients to address barriers to housing using the principles of Housing First, guest admissions and discharge policies, behavior management policies, resident rights and responsibilities, privacy and confidentiality, use of data, complaints policy, building maintenance, and detailed security procedures and protocols. Non-discrimination and sexual harassment policies should be in place. Initial draft due November 1, 2023 and revised plan due December 30, 2023. Annual updates, including any revisions necessary to address requests by the City, County, or applicable government agency, due thereafter.

3.2 SMDR will create a five-year Financial Plan that describes anticipated revenues and expenditures. Initial draft due December 30, 2023 and revised draft due at the 6-month review. Annual updates due thereafter.

3.3 SMDR will create or update a Safety Plan to describe the process for identifying the physical and health hazards that could harm workers and guests, procedures to prevent accidents, and steps to take when accidents occur. The Safety Plan should address COVID protocols and other emergencies, such as providing separate space and adequate supervision for residents during emergencies (ex: tuberculosis outbreak). A Narcan policy must also be established and implemented.

Initial draft due November 1, 2023 and revised final plan due December 30, 2023. Annual updates due thereafter.

ATTACHMENT C
5
(Rev.10.30.18)

3.4 SMDR will create or update a Professional Development and Training Plan. Staff trainings and plans should be developed and be able to demonstrate an approach to cultural competence that is informed by and reflects the community, the people seeking shelter, and the people experiencing homelessness. Policies and expectations of staff should reflect a commitment to promoting dignity and respect.

SMDR shall create a Staff Professional Development and Training Plan to ensure effective shelter services. At a minimum, staff should be trained in trauma-informed care and de-escalation techniques to help residents understand and conform to shelter expectations. Staff should be oriented to the special needs of individuals who are homeless, experience mental health issues, substance abuse issues, or intimate partner/domestic violence issues. Staff should receive DEI and implicit bias training. Initial draft due November 1, 2023, and final draft due December 30, 2023.

3.5 SMDR will attend a Joint 6-Month Review. At the conclusion of the first 6-month evaluation period, the City of Stockton and SMDR will conduct a review of activities to determine necessary revisions to the SOW and/or agreement, including specific targets for SOW deliverables. The SOW, agreement, and budget will also be amended at this time to account for Pathways and a complete campus operations plan.

3.6 SMDR will submit an annual data informed report of accomplishments towards meeting SOW objectives and deliverables and set goals for the following year that address the project scope requirements.

4. Tasks That Support the Deliverables

4.1 SMDR is required to participate in the local Coordinated Entry System (CES) process and to attend any required CES trainings according to the standards set by the SJCoC Board of Directors. The SJCoC has adopted a “no wrong door” approach to coordinated entry, in which a homeless family or individual can present at any homeless housing and service provider in the geographic area but is assessed using the same tool and methodology so that referrals are consistently completed across the SJCoC. SMDR will provide subject matter expertise on an integrated technology solution to optimize CES to enable real-time referrals to emergency shelter.

4.2 SMDR is required to enter data in HMIS and to attend any required HMIS trainings according to the standards set by the HMIS lead Agency and the SJCoC Board of Directors.

4.3 SMDR shall be an active participant in the SJCoC General Membership Body and the SJCoC Shelter subcommittee. The Shelter Committee is responsible for enhancing the community’s and the

ATTACHMENT C
6
(Rev.10.30.18)
SJCoC’s understanding of the operation, successes, and challenges of emergency shelter for the homeless within the SJCoC. As a member of the SJCoC Shelter committee, SMDR will contribute to the recommended policies and actions to the Board for adoption regarding emergency shelter, including but not limited to seasonal or weather- related capacity, priorities for shelter expansion, etc. It may also provide guidance to local service providers so that their operations meet SJCoC standards and guidance, San Joaquin Continuum of Care (CA-511), as well as standards established by funding sources such as Emergency Solutions Grants, Homeless Housing Assistance and Prevention, etc. Participation in additional committees or the Board is up to the discretion of SMDR.

4.4 SMDR will coordinate with other service providers from the County, local non-profit providers, hospitals/clinics, and other organizations to facilitate connections to services provided by those entities. County services may include but are not limited to housing navigation, mental health services, crisis intervention and benefit navigation. Coordination will also be with the community to address issues that arise in nearby areas. Any agreements with partner agencies to address a broader range of health and safety needs of those who are homeless should be included in the Operations and Management Plan.

4.5 SMDR must demonstrate satisfactory progress towards becoming a certified community support provider and/ or maintaining their status as a certified community support provider under Health Plan of San Joaquin and Health Net, in order to support the long-term sustainability of case management and housing support program activities.

4.6 SMDR and the City shall collaborate to leverage and secure additional shelter operations funds, such as providing and/or collecting necessary data to demonstrate shelter operational needs and providing letters of support.

4.7 SMDR will participate in City hosted meetings to address departmental needs to better coordinate shelter referrals for City identified clients.

4.8 Cost efficiencies may be used in future years for identified capital improvements only if they lower barriers and increase privacy. Any capital expenses must have prior approval by the City, or they will not be reimbursed.

5. Internal and External Standards and Guidelines

ATTACHMENT C
7
(Rev.10.30.18)

5.1 SMDR will comply with all requirements associated with the HHAP and ARPA grant funds, found here:
https://bcsh.ca.gov/calich/hhap_program.html
https://home.treasury.gov/system/files/136/SLFRF-Compliance-and- Reporting-Guidance.pdf

5.2 SMDR will submit to the City quarterly financial and performance reports in a format to be agreed upon by the City that includes: 1) tracking of the specific uses and expenditures of program funds broken out by eligible uses; 2) progress towards Project Scope and deliverables; and 3) program data such as:
x Number of guests sheltered, shelter length of stay, and exits to permanent housing by race, ethnicity and other demographic variables
x Number of guests receiving housing navigation services x Number of guests served through the social services
department
x Shelter utilization rates by shelter type and by season (Winter/Summer) each year
x Number of trainings/certifications completed by staff.

The City and SMDR will establish and update performance measures and targets at the 6-Month Review and annually thereafter. Progress toward meeting performance targets will be reviewed regularly (interval to be determined at 6-month review) and plans for improvement strategies will be discussed.

5.3  SMDR will provide access for the City of Stockton staff and officials to conduct an annual building and site inspection and will participate in an annual, in-person grant monitoring review. SMDR will be notified in advance of the visit and review.

6. Key Personnel
SMDR shall provide the City with information on existing staffing and management structure, including resumes and/or staff qualifications by September 30, 2023. SMDR will provide the City with an update to include key personnel staffing all shelter operations as well as supervisors and management at the six-month contract review. Updates to key personnel and staffing and management plans will be provided to the City thereafter during quarterly updates.

ATTACHMENT C
8
(Rev.10.30.18)
ProjectScopeandDeliverableTimeline
Objectives Scope Deliverables Goals/Measures(exact tbd)
Timeline

1.1Assume
immediate
shelter
operations
attheFamily
Shelter,
Women’s
Lodge,
Men’sLodge
and
Veteran’s
Annexby
September
1,2023.
x Assume
current
shelter
operations
x Reorganize
bed
assignments
toprioritize
themost
vulnerable
x Utilizewhat
isreferred
toasthe
“Veteran’s
Annex”fora
“Support
Unit”to
segregate
andprotect
highͲneed
clients
N/A x Increasesecurityvia
gates,locks,and
staffing
Beginning
September
1,
2023

1.2 ScalelowͲ
barrier
shelter
operationsat
theFamily
Shelter,
Lodge,and
SupportUnit
byDecember
2023,or
upon
completion
ofany
necessary
repairs.
x Provisionof
lowͲbarrier
24/7shelter
operations,
including
staffingfor
operations,
security,and
facility
managemen
tinthe
following
buildings
x Family
Shelter–up
to100beds
x Lodge–up
to200beds
x Support
UnitͲ
upto
20beds
x Operationsand
Management
Plan
x FinancialPlan
Draft
x SafetyPlan
x Professional
Development
andTraining
Plan
x Increaseshelterbed
accessto24hoursper
day
x Numberofpersons
sheltered/Shelter
utilizationratesby
sheltertype/Decrease
frombaselinethe
sheltervacancyrate
byseason
(Winter/Summer)
eachyear.
x Decreasefrom
baselineaverage
lengthofshelterstay
eachyear.
x Numberof
trainings/certifications
completedbystaff.

By
December
2023

1.3 Operatethe
Navigation
x Operationof
lowͲbarrier
x Numberofpersons
sheltered/Shelter
ByJanuary
2023,or

ATTACHMENT C
9
(Rev.10.30.18)
Centerbased
onalowͲ
barrier,
HousingFirst
modelthat
focuseson
assisting
unsheltered
households
moveto
permanent
housingby
January
2023,or
upon
completion
ofNavigation
Center
project
construction.
24/7
Navigation
Center,
including
staffingfor
operations,
security,and
facility
managemen
tinthe
following
building,
once
completedͲ
upto150
beds
utilizationratesby
sheltertype/Decrease
frombaselinethe
sheltervacancyrate
byseason
(Winter/Summer)
eachyear.
x Decreasefrom
baselineaverage
lengthofshelterstay
eachyear.
upon
completion
of
Navigation
Center
project
constructio
n

1.4Operate
entire
campus
basedona
lowͲbarrier,
HousingFirst
modelthat
focuseson
assisting
unsheltered
households
moveto
permanent
housing
acrossentire
campus
includingthe
Family
Shelter,
Lodge,
SupportUnit,
Navigation
Center,and
Pathwaysby
December
2024,orupon
completionof
Pathways
Operatea24/7
IntakeCenterto
conduct
assessmentsand
matchclientsto
appropriate
shelterservices.
x Operationsand
Management
PlanͲrevised
x SafetyPlanͲ
revised
UpdateOperations
andManagement
andSafetyPlansto
accountforthe
mosteffectiveuse
oftheentire
campus.
x Numberofpersons
sheltered/Shelter
utilizationratesby
sheltertype/Decrease
frombaselinethe
sheltervacancyrate
byseason
(Winter/Summer)
each
year.
x Decreasefrom
baselineaverage
lengthofshelterstay
eachyear.

By
December
2024,or
upon
completion
ofPathways
project
constructio
n

ATTACHMENT C
10
(Rev.10.30.18)
project
construction.

1.5 Providethe
four
elementsofa
shelter:food,
hygiene,
beds,and
social
services,
usingbest
practice
approaches
thatmeetor
exceedgrant
compliance
requirements
.
x Providecase
management
servicesto
guests.
x Connect
gueststo
permanent
housing
opportunities
.
x Connect
gueststo
mainstream
resources.
x Atleast50%of
guestsreceiving
servicesfromthe
SocialService
department.
x Decreaseinitial
incidenceof
bedbugs
andlice.
x Numberofguests
receivinghousing
navigationservices
x Numberofguests
servedthroughthe
socialservices
department.
x Numberofguests
placedinpermanent
housing/Increasethe
numberofpeople
placedinpermanent
housingeachyear.
x Numberof
trainings/certification
scompletedbystaff.

Beginning
September
1,2023

1.6 Utilizedata
toinformthe
shelterand
campus
operational
needs.
x Utilizedata
todetermine
shelter
needs,the
inflowat
whichpeople
enterthe
system,and
the
permanent
housing(both
targetedand
mainstream
affordable)
units
availablefor
creating
pathways
out.
x AttendaJoint6Ͳ
MonthReview
x Submitan
annualdata
informedreport
of
accomplishment
stowards
meetingSOW
objectivesand
deliverables
x Numberofguests
sheltered,shelter
length
ofstay,and
exitstopermanent
housingbyrace,
ethnicityandother
demographicvariables
Beginning
September
1,2023

ATTACHMENT C
1
(Rev.10.30.18)

EXHIBIT B

INSURANCE
(RESERVED FOR CITY’S INSURANCE PROVISIONS APPROVED BY RISK)

ATTACHMENT C

Page | 1
(DEC. 2021) rev 1.18.22
Exhibit G

SUBAWARD AGREEMENT
Special Funding Terms and Conditions
The City of Stockton has entered into this agreement using funds governed by the American Rescue Plan Act, distributed by the U.S. Department of the Treasury (“Treasury”). The funding available is governed under sections 602 and 603 of the Social Security Act, as added by section 9901 of the American Rescue Plan Act of 2021 (“ARPA”). The ARPA established the Coronavirus State and Local Fiscal Recovery Funds (the “SLFRF statute”) for eligible recipients to address the economic and health consequences of the pandemic. Under ARPA, the SLFRF statute is to be used for payments for specified uses to certain non- entitlement units of local government. In consideration of the mutual promises contained in this AGREEMENT to carry out the purposes of the subaward on behalf of the City, the CITY and CONTRACTOR agree as follows:

1. SURVIVAL OF PROMISES. All promises, requirements, terms, conditions, provisions, representations, guarantees, and warranties contained herein shall survive the AGREEMENT expiration or termination date unless specifically provided otherwise herein, or unless superseded by applicable federal or state statutes of limitation.

2. SEPARATE ACCOUNTING. The CONTRACTOR will establish a separate account for all funds specified in this AGREEMENT and will use the funds to purchase necessary supplies, defray travel, and will employ the necessary personnel to perform the Work specified in this AGREEMENT. The CONTRACTOR shall also establish and maintain, if applicable, such accounting and documentation of matching expenditures of the CONTRACTOR to satisfy the requirements of the PROJECT.

3. AUDIT. The CITY, and any other appropriate government agency authorized by law, or their duly authorized representatives shall, until five (5) years after final payment under this AGREEMENT, have access to any of the CONTRACTOR’s records related to this AGREEMENT, at the CONTRACTOR’s regular place of business, for the purpose of conducting audits. The period of access for records relating to a) appeals under a dispute, b) litigation or settlement of claims arising from the performance of this AGREEMENT, or c) costs and expenses of this AGREEMENT to which exception has been taken shall continue until such appeals, litigation, claims, or exceptions are disposed of.

4. AUTHORIZED USE OF FUNDS. The CONTRACTOR shall use or expend the funds provided by this AGREEMENT only for the purposes for which they were appropriated. Further, the funds provided by the CITY shall be used by the CONTRACTOR only for the purpose and activities specified in the AGREEMENT, including associated attachments and exhibits which is attached hereto and incorporated herein by reference as if fully set forth here.

5. COMPLIANCE WITH COST PRINCIPLES AND RELATED REGULATIONS. The CONTRACTOR will not be reimbursed for expenditures under this AGREEMENT that do not comply with the ARPA and Related Regulations that are incorporated.

6. PUBLICATIONS. The CONTRACTOR shall be free to publish results of the Work provided that the terms of the PROJECT are met and the review copies of materials intended for publication are submitted to the CITY’s PROJECT Director at least 45 days prior to publication.

7. CONFIDENTIAL INFORMATION. CONTRACTOR acknowledges that it may be necessary for CITY to disclose certain confidential and proprietary information to CONTRACTOR in order for CONTRACTOR to perform duties under this AGREEMENT. CONTRACTOR acknowledges that any disclosure to any third party or any misuse of this proprietary or confidential information may irreparably harm the CITY.

Accordingly, CONTRACTOR will not disclose or use, either during or after the term of this AGREEMENT, any proprietary or confidential information of the CITY without the CITY’s prior written permission.

ATTACHMENT C

Page | 2
(DEC. 2021) rev 1.18.22

8. DELAYS. CONTRACTOR shall notify the CITY promptly of any expected delay in performance of services. However, CONTRACTOR shall not be liable for delays in performance beyond reasonable control.

9. ARPA GUIDELINES – CONTRACTOR AS SUBRECIPIENT
CONTRACTOR is classified as a Subrecipient under ARPA, which is an entity that receives a subaward from the CITY to carry out a program on behalf of the CITY using SLFRF funds. As a beneficiary of SLRFR funds from the CITY, CONTRA CTOR must comply with the ARPA guidelines in order to be eligible for a grant. The guidelines, titled Compliance and Reporting Guidelines: State and Local Fiscal Recovery Funds, as amended by Treasury (the “Guidelines”), are incorporated into this AGREEMENT by reference. The Guidelines can be found at https://home.treasury.gov/policy- issues/coronavirus/assistance-for-state-local-and-tribal-governments/state-and-local-fiscal-recovery- funds/recipient-compliance-and-reporting-responsibilities. In ensuring compliance with these Guidelines, CONTRACTOR serves as a first line of defense against fraud, waste, and abuse of federal money.

As further described in the Guidelines, CONTRACTOR will generally be subject to the requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal awards, 2 CFR Part 200. This includes, but is not limited to,
A. The implementation of internal controls and effective monitoring to ensure compliance with 2 CFR Part 200, including generally identifying direct and indirect costs and treating each cost consistently in like circumstances.

B. Ensuring that procurements using SLFRF funds, or payments under procurement contracts using such funds, are consistent with the procurement standards set forth in the Uniform Guidance at 2 CFR § 200.317 through 2 CFR § 200.327, as applicable.

C. If CONTRACTOR expends more than $750,000 in Federal awards during its fiscal year, submitting to an audit under the Single Audit Act and its implementing regulation at 2 CFR Part 200, Subpart F.

The CITY may request detailed expenditure information from CONTRACTOR in order for CITY to comply with its own reporting obligations. CONTRACTOR will be required to promptly provide any requested information to the CITY, even after the award term has expired. Among other things, the CITY may require information about the structure and objectives of the PROGRAM and information about how many individuals have been served by CONTRACTOR.

ATTACHMENT C
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(DEC. 2021) rev 1.18.22
Exhibit G

APPENDIX II

CONTRACT PROVISIONS UNDER FEDERAL AWARD

FEDERAL FUNDS
Federal regulations (2 C.F.R. § 200.326 and 2 C.F.R. Part 200, Appendix II) require the City to include certain contract clauses in this agreement.

The US Department of Homeland Security (DHS) – Federal Emergency Management Agency (FEMA) recommends other certain contract clauses be included.

Based on the table below, any clause identified with a check mark ( 99) next to it is hereby incorporated into this contract agreement. The full language of each clause can be found in this EXHIBIT G.

CONTRACT TYPES

1. Construction Contracts

1.1 Equal Employment Opportunity

1.2 Davis Bacon Act

1.3 Copeland “Anti-Kickback” Act

2. All Contracts

2.1 Contract Work Hours and Safety Standards Act

2.2 Clean Air Act and Federal Water Pollution Control Act

2.3 Debarment and Suspension

2.4 Byrd Anti-Lobbying Amendment

2.5 Procurement of Recovered Materials

2.6 Access to Records

2.7 DHS Seal, Logo, and Flags

2.8 Compliance with Federal Law, Regulations and Executive Orders

2.9 No Obligation by Federal Government

2.10 Program Fraud and False or Fraudulent Statements or Related Acts
Checked provisions are hereby incorporated into the
contract agreement.

Following are the FEMA requirement or recommendation
clauses listed above for contract incorporation.

Check (99)
Applicable
Clauses
Construction

1.1 1.2

1.3 Check (99)
Applicable
Clauses
All Contracts

2.1 2.2

2.3 2.4 9

2.5 9

2.6 9

2.7 9

2.8 9

2.9 9

2.10 9

ATTACHMENT C
9 Page | 4
(DEC. 2021) rev 1.18.22

1.1 Equal Employment Opportunity
Requirement for construction work
During the performance of this contract, the contractor agrees as follows:
(1) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following:

Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin. (3) The contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information. (4) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (5) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (6) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (7) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.
(8) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor.

The contractor will take such action with respect to any subcontract or purchase order as the

ATTACHMENT C

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(DEC. 2021) rev 1.18.22
administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance:

Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request the United States to enter into such litigation to protect the interests of the United States.

The applicant further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, that if the applicant so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract.

The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance.

The applicant further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the applicant agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings.

1.2 Compliance with Davis-Bacon Act
Requirement for construction work
a. All transactions regarding this contract shall be done in compliance with the Davis-Bacon Act (40 U.S.C. 3141- 3144, and 3146-3148) and the requirements of 29 C.F.R. pt. 5 as may be applicable. The contractor shall comply with 40 U.S.C. 3141-3144, and 3146-3148 and the requirements of 29 C.F.R. pt. 5 as applicable.
b. Contractors are required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. c. Additionally, contractors are required to pay wages not less than once a week.

1.3 Compliance with the Copeland “Anti-Kickback” Act
Requirement for construction work > $2k
a. Contractor. The contractor shall comply with 18 U.S.C. § 874, 40 U.S.C. § 3145, and the requirements of 29 C.F.R. pt. 3 as may be applicable, which are incorporated by reference into this contract. b. Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clause above and such other clauses as FEMA may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all of these contract clauses.

ATTACHMENT C
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c. Breach. A breach of the contract clauses above may be grounds for termination of the contract, and for debarment as a contractor and subcontractor as provided in 29 C.F.R. § 5.12.

2.1 Compliance with Contract Work Hours and Safety Standards Act Requirement for contracts > $100k plus mechanics & laborers (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of $27 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The (write in the name of the Federal agency or the loan or grant recipient) shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section.
(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (b)(1) through (4) of this section.

2.2 Clean Air Act and the Federal Water Pollution Control Act Requirement for contracts > $150k
Clean Air Act
 The contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq.  The contractor agrees to report each violation to the &LW\RI6WRFNWRQ andunderstands and agrees that the &LW\RI6WRFNWRQwill, in turn, reporteachviolation as required to assure notification to the Federal Emergency Management Agency, and theappropriate Environmental Protection Agency Regional Office.  The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.

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Federal Water Pollution Control Act
 The contractor agrees to comply with all applicable standards, orders, or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq.  The contractor agrees to report each violation to the &LW\RI6WRFNWRQBand understands andagrees that the &LW\RI6WRFNWRQZ ill, in turn, reporteach violation as required to assurenotification to the Federal Emergency Management Agency, and theappropriate Environmental ProtectionAgency Regional Office.
 The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.

2.3 Debarment and Suspension


This contract is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such, the contractor is required to verify that none of the contractor’s principals (defined at 2 C.F.R. § 180.995) or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. § 180.935).


The contractor must comply with 2 C.F.R. pt. 180, subpart C and2 C.F.R. pt. 3000, subpart C, and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into.


This certification is a material representation of fact relied upon by B&LW\RI6WRFNWRQBBBBBBB. Ifit is later determined that the contractor did not comply with 2 C.F.R.pt. 180, subpart C and 2 C.F.R. pt.3000, subpart C, in addition to remedies available to (insert name ofrecipient/subrecipient/applicant), the Federal Government may pursue available remedies, including butnot limited to suspension and/or debarment.


The bidder or proposer agrees to comply with the requirements of2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.

2.4 Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352 (as amended) Contractors who apply or bid for an award of $100,000 or more shall file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, officer or employee of Congress, or an employee of a Member of Congress in connection with obtaining any Federal contract, grant, or any other award covered by 31 U.S.C. § 1352.

Each tier shall also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient who in turn will forward the certification(s) to the awarding agency.

Required Certification. If applicable, contractors must sign and submit to the non-federal entity the following certification found at APPENDIX A, 44 C.F.R. PART 18:

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APPENDIX A, 44 C.F.R. PART 18 – CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

The Contractor,________________________________ , certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. Chap.38, Administrative Remedies for False Claims and Statements, apply to this certification and disclosure, if any.

Signature of Contractor’s Authorized Official
Name and Title of Contractor’s Authorized Official
Date:

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2.5 Procurement of Recovered Materials
In the performance of this contract, the Contractor shall make maximum use of products containing recovered materials that are EPA-designated items unless the product cannot be acquired—

1. Competitively within a timeframe providing for compliance with the contract performance schedule;

2. Meeting contract performance requirements; or

3. At a reasonable price.

Information about this requirement, along with the list of EPA-designated items, is available at EPA’s Comprehensive Procurement Guidelines web site:
https://www.epa.gov/smm/comprehensive- procurement-guideline-cpg-program The Contractor also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act.

2.6 Access to Records
The following access to records requirements apply to this contract:


The Contractor agrees to provide the City of Stockton&LW\0DQDJHU, the FEMAAdministrator, the Comptroller General of the United States, or any of their authorized representativesaccess to any books, documents, papers, and records of the Contractor which are directly pertinent tothis contract for the purposes of making audits, examinations, excerpts, and transcriptions.


The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed.


The Contractor agrees to provide the FEMA Administrator or his authorized representatives access to construction or other work sites pertaining to the work being completed under the contract.


In compliance with the Disaster Recovery Act of 2018, the City of Stockton and the Contractor acknowledge and agree that no language in this contract is intended to prohibit audits or internal reviews by the FEMA Administrator or the Comptroller General of the United States.

2.7 DHS Seal, Logo and Flags
The contractor shall not use the DHS seal(s), logos, crests, or reproductions of flags or likenesses of DHS agency officials without specific FEMA pre-approval

2.8 Compliance with Federal Law, Regulations, and Executive Orders This is an acknowledgement that FEMA financial assistance will be used to fund all or a portion of the contract. The contractor will comply with all applicable Federal law, regulations, executive orders, FEMA policies, procedures, and directives.

2.9 No Obligation by Federal Government
The Federal Government is not a party to this contract and is not subject to any obligations or liabilities to the non-Federal entity, contractor, or any other party pertaining to any matter resulting from the contract.

2.10 Program Fraud and False or Fraudulent Statements or Related Acts The Contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and Statements) applies to the Contractor’s actions pertaining to this contract.

ATTACHMENT C
St. Mary’s
Dining Room
City Council Meeting
September 12, 2023
Agenda Item 15.1

Let Us End
Unsheltered
Homelessness
STEP 1
STEP 2
STEP 3
STEP 4
STEP 5
We can end unsheltered homelessness in
San Joaquin County when we work together
Create the right number and type of emergency
shelter beds for everyone who needs one.

Provide free and accessible wrap-around
services, including mental health services.

Make substance use treatment service
available immediately when people seek care.

Advocate for necessary changes in state and
federal laws and enforce applicable local laws.

Develop exits out of homelessness, including
jobs and low-cost housing options.

One
Integrated
Campus
One Mission
Pathways Units
Family
Shelter
Women’s
Lodge
Navigation
Center
Men’s
Lodge
Vets
Stockton Shelter facilities:

Family Shelter, Men’s Lodge and Women’s Lodge
 320 beds
Navigation Center
 150 beds
Pathways Modular Community
 350 beds
Services on
Campus
Case management, mental health care, medical clinic,
substance use treatment, benefits eligibility,
crisis intervention
Coming soon: job training and placement, day habilitation

Housing
Navigation
Collaborating with community partners to
help people exit out of homelessness

Funding the Gap
Annual Amount City contribution (50%) County contribution (50%) Year 1 $3,586,820 $1,793,410 $1,793,410
Year 2 $3,586,820 $1,793,410 $1,793,410
Year 3 $3,586,820 $1,793,410 $1,793,410
TOTAL $5,380,230
Together
We Can
Create
Solutions

Thank
You!
www.stmarysdiningroom.org

City of Stockton
Legislation Text
File #: 23-0836, Version: 1
ADOPT A RESOLUTION TO ACCEPT AND APPROPRIATE A ROUND 4 TRANSFORMATIVE CLIMATE COMMUNITIES IMPLEMENTATION GRANT AWARD IN THE AMOUNT OF $24,165,510

RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Authorize the City Manager to execute a grant agreement in the amount of $24,165,510 with the California Strategic Growth Council, and;

2. Authorize the City Manager to appropriate grant revenues and expenditures in the amount of $24,165,510, and;

3. Authorize the City Manager to execute and manage sub-agreements with co-applicants in amounts consistent with the Grant Agreement, and;

4. Authorize the allocation of four (4) grant-funded limited term positions within the City Manager’s Office to oversee the administration of the grant.

It is also recommended that the City Council authorize the City Manager to take appropriate and necessary actions to carry out the purpose and intent of the resolution.

Summary
The Transformative Climate Communities (TCC) Program, administered by the California Strategic Growth Council (SGC), funds community-led development and infrastructure projects that achieve major environmental, health and economic benefits in California’s most disadvantaged communities.

TCC empowers the communities most impacted by pollution to choose their own goals, strategies, and projects to enact transformational change - all with data-driven milestones and measurable outcomes. SGC coordinates the activities of State agencies and partners with stakeholders to promote sustainability, economic prosperity, and quality of life for all Californians. The TCC Program is part of California Climate Investments, a statewide program that puts billions of Cap-and-Trade dollars to work reducing greenhouse gas emissions (GHG), strengthening the economy, and improving public health and the environment.

Adoption of this resolution will result in the acceptance of a Round 4, Transformative Climate Communities (TCC) Implementation Grant Award in the amount of $24,165,510 via the execution of a grant agreement between the City and SGC (Attachment A). The grant agreement includes a detailed budget and schedule of deliverables - a summary overview is attached (Attachment B) as well as a map of the Project Area (Attachment C).

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DISCUSSION
Background
The City’s involvement with the TCC Program began when Council approved an application for a TCC Planning Grant and received $170,000 in August 2018 (Resolution 2018-08-21-1111). Planning Grant activities were subsequently carried out from October 2018 to October 2019. Results of those activities, such as the development of the Sustainable Neighborhood Plan (SNP), sought to directly capture the perspectives of residents and translate them into actionable strategies, such as reducing the cost of utilities through renewable energy sources. Following the conclusion of Planning Grant activities, City staff worked with a coalition of Partners and stakeholders to develop an application for a TCC Round 3 Implementation Grant in the amount of $28.2M, resulting in a partial award of $10.8M. Because the City was not provided a full Round 3 award, SGC modified the rules to allow the City to apply for another TCC Implementation Grant during Round 4. The City applied for a $24.2M Round 4 Implementation Grant in July 2022 and was awarded the grant in October 2022.

The proposal, still entitled Stockton Rising, was similar to the Round 3 proposal with some slight modifications and the addition of 3 new projects. The Round 4 Implementation Grant is scheduled to begin immediately following the conclusion of the Round 3 Implementation Grant on September 30, 2023.

Present Situation
City staff and its partnering organizations have spent the past ten (10) months developing the Round 4 Implementation Grant agreement. City staff are seeking Council’s authorization to execute said grant agreement, as well as all necessary sub agreements consistent with the grant agreement, as well as the authority to carry out related administrative tasks.

As the Lead Grantee, the City will be responsible for the oversight of all implementation efforts. The Grant Administration budget will fully support three positions, and a portion of 2 additional positions, (total of 4 FTE) in the City Manager’s Office for the duration of the program: a Director of Sustainability & Environment, two Program Managers, a Senior Management Assistant, and an Administrative Aide. Council approved the creation of the PM III & Senior Management Assistant in July using Round 3 funds; however, reapproval for these positions using Round 4 funds is now required. These positions will ensure the City meets its obligations, such as the timely submission of all invoices and reports to SGC. This also represents a transformative investment in the City’s capacity to pursue broader sustainability & environmental objectives beyond TCC.

Stockton Rising consists of two interconnected components: projects and transformative plans.

Projects
McKinley Park Project - $750,000
The McKinley Park Project will completely transform the existing dilapidated site into a beautiful park full of amenities and activities. The largest municipal park in South Stockton (23 acres), McKinley Park will once again offer a swimming pool, soccer fields, picnic areas, futsal courts, basketball courts, and a baseball field. Residents will once again be able to walk through this beautiful park on City of Stockton Printed on 9/6/2023Page 2 of 6
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brand new pathways and enjoy an afternoon under the shade of newly planted trees. TCC funds will be used to pay for mobilization of construction efforts, tree planting, play fields, walking paths, and bioswales.

Climate Careers Energy & Water - $3,524,810
Rising Sun will operate its Climate Careers program throughout the Project Area, hiring low-income youth to deliver Green House Calls and benefit from an earn-and-learn experience focused on residential energy and water efficiency services, while also benefiting from: professional development workshops, a paid work experience, environmental justice and education workshops, career exposure opportunities, one-on-one interactions with Youth Development Specialists and more. Over 60 employment opportunities will be offered to youth to provide services to over 400 households throughout the Project Area.

Hybrid Electric Bus Purchase - $1,057,554
San Joaquin Regional Transit District (RTD) seeks funding to acquire one hybrid electric bus for the frequency expansion of Route 576. The acquisition of the hybrid electric bus will begin following the grant award process and end with the deployment of the bus into service. The project will also support training of RTD staff to maintain the purchased bus as well as monitoring of the bus through the CALSTART program.

Energy for All Single-Family Solar Installation - $3,926,275 GRID Alternatives North Valley will provide 393 kW-DC of installed solar capacity benefitting up to 87 low-income single-family households/property owners in the Project Area, including 32-35 cool roofs, while engaging learn-and-earn trainee participants in the project implementation. GRID will complete solar readiness (e.g., roof repairs) of homes to install solar as needed. Warranties for the solar systems are factored into the solar installation's initial costs and TCC grant request, so they are provided at no additional cost to the client. GRID will repair and service any issues under a 10-year labor warranty, starting from the date of solar installation completion.

Energy for All Multi-Family Solar Installation - $607,092 GRID Alternatives North Valley (GRID) will install 85 kW-DC of solar capacity for one (1) project in the Project Area. The project will aid in the reduction of greenhouse gas emissions, lower costs for the affordable housing operator and low-income tenants, and provide clean energy accessibility to the community within the Project Area. Additionally, GRID Alternatives will continue project development efforts to evaluate additional MF properties for solar within the grant term. Warranties for the solar systems are factored into the solar installation's initial costs and TCC grant request, so they are provided at no additional cost to the client. GRID will repair and service any issues under a 10-year labor warranty, starting from the date of solar installation completion.

Energy for All Multi-Family Solar Installation - $607,092 GRID Alternatives North Valley (GRID) will install 85 kW-DC of solar capacity for one (1) project in the Project Area. The project will aid in the reduction of greenhouse gas emissions, lower costs for the affordable housing operator and low-income tenants, and provide clean energy accessibility to the City of Stockton Printed on 9/6/2023Page 3 of 6
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community within the Project Area. Additionally, GRID Alternatives will continue project development efforts to evaluate additional MF properties for solar within the grant term. Warranties for the solar systems are factored into the solar installation's initial costs and TCC grant request, so they are provided at no additional cost to the client. GRID will repair and service any issues under a 10-year labor warranty, starting from the date of solar installation completion.

Urban Forest Renovation Project - $4,509,930
This project will create a sustainable urban forestry program that will plant and manage trees to improve the quality of life for residents. The project includes: removal of 500 stumps and planting approx. 1,500 new trees at locations where trees were lost to natural events, identifying opportunities for planting new trees, and workforce training. The City of Stockton's Public Works department will work alongside Little Manila Rising to implement this project.

Edible Education on the Farm - $2,500,751
The Edible Education on the Farm project will provide project area residents agricultural and healthy eating educational opportunities and provide access to fresh, local, organic produce through a CSA food box distribution. Education will be provided through field trips to the farm as well as farm festivals. CSA food box distribution is anticipated to involve distribution of approximately 400 boxes each month - resulting in a total of approx. 19,200 boxes distributed over the life of the grant.

Decreasing Asthma Within Neighborhoods (DAWN) Program - $1,006,066 The DAWN Program will conduct home visits to 250 resident households and distribute air purifiers and asthma remediation kits to improve indoor air and reduce exposure to asthma triggers. The program proposes an integrated approach that also incorporates advocacy related to asthma prevention and treatment.

Transformative Plans
TCC's Transformative Elements provide a critical framework for enshrining equity, facilitating community-led transformation, and delivering multiple, integrated benefits to communities. TCC elevates community ownership by requiring that projects demonstrate significant community engagement leading up to the proposal and continuing into implementation, ensuring that projects are derived from resident-identified needs, assets, and visions. TCC also recognizes that we need to invest in the economic prosperity of disadvantaged neighborhoods, while ensuring that no residents are displaced because of the improvements. As such, the Transformative Elements require communities to develop economic development and anti-displacement plans to create local jobs, training pipelines and adopt policies to avoid the displacement of residents and small businesses.

Community Engagement Plan (CEP) - $1,691,586
The CEP is an integrative plan to foster coordination and alignment, outreach, capacity-building, and communications. Partners will consistently reach constituencies most impacted by the effects of environmental pollution and continue building trust throughout the Project Area. The CEP centers residents by emphasizing meaningful participation and recognizing them as key decision-makers.

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The Community Engagement Implementation Team (CEIT) includes community-based organizations Public Health Advocates (PHA), Little Manila Rising (LMR), and Catholic Charities (CC). The CEIT will develop educational campaigns and communication strategies for Stockton Rising and facilitate input from residents and the steering committee. The CEIT will also host quarterly Community Coalition Meetings (CCMs), annual summits, and at least two block parties. CCMs will serve as both a venue for educational campaigns to promote climate resiliency and communicate updates on Stockton Rising project implementation.

To guarantee resident capacity building, two resident-centered programs will be implemented. PHA will train resident "Climate Leaders" to become community experts on Stockton Rising. LMR will implement the youth advocates project to engage local youth around climate resiliency, and will conduct annual PhotoVoice walking tours of the area to capture the challenges, opportunities, and progress of TCC projects and resident perspectives through an interactive online story map.

Workforce Development & Economic Opportunities Plan (WDEOP) - $1,208,276 The WDEOP will create high-quality jobs and develop training programs focused on the specific needs of Project Area residents. The WDEOP-funded projects are: (1) a summer youth program focused on residential energy and water efficiency led by Rising Sun Center for Opportunity (RS); (2) a garden program for incarcerated individuals led by Insight Garden Program (IGP); (3) a 15-week urban greening and conservation training program led by Little Manila Rising (LMR) that trains local system-impacted adults in forestry basics, conservation, land stewardship, and job readiness skills, and (4) targeted recruitment and wrap-around services for Project Area residents to complete a variety of locally available training programs that train individuals for multi-craft apprenticeship readiness, truck driving, welding, and software developing. All WDEOP partners, including those listed above and GRID Alternatives who is securing site space for regional training needs, will participate in a WDEOP Coordination Group that will facilitate coordinated recruitment and support of trainees.

Displacement Avoidance Plan (DAP) - $241,654
The City of Stockton acknowledges the importance of protecting its communities and ensuring that all residents can thrive in a safe and healthy environment. The Project Area, in particular, faces significant environmental threats that contribute to displacement and adversely impact the well-being of residents. This Displacement Avoidance Plan aims to address and mitigate these threats by implementing proactive strategies, pursuing collaborative efforts, and promoting sustainable development.

Indicator Tracking Plan (IT) - $724,965
The Evaluation Technical Assistance Provider, UCLA Luskin Center for Innovation, will support the Stockton Rising TCC Project to fulfill the Data and Indicator Tracking and Reporting requirements by updating the program evaluation framework from the Round 3 TCC Project to include the entire Round 4 TCC Project. UCLA Luskin Center for Innovation will collect quantitative and qualitative data on the TCC Project, and additionally provide Grantees and Partners with technical assistance on data collection (data indicators for quantifying environmental, health, economic, and community benefits of the projects) in order to produce the required annual California Air Resources Board (CARB) and project findings reports. They will also support TCC communications by coordinating the City of Stockton Printed on 9/6/2023Page 5 of 6
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production of two narrative profiles per year, for inclusion in forums such as the CARB and SGC Annual Reports. The City, as the Lead Grantee, will also coordinate the Indicator Tracking Plan with the Partners and the Evaluation Technical Assistance Provider.

FINANCIAL SUMMARY
The grant award is of $24,165,510. Grant Match funding of $14,036,607.06 is coming from the McKinley Park Project (already approved and allocated for said purpose), pledges from partnering organizations, and other grants within the City Manager’s Office to support the administrative positions. This is a reimbursement-based grant, meaning the City and its Partners will pay for project related expenses in full and then submit documentation for reimbursement through this grant. There will be no impact to the General Fund, all related costs will be supported by the grant funding.

To establish the program and grant funding, an appropriation of revenue and expenditures of $24,165,510 is necessary in the TCC Round 4 Implementation Grant, City Manager’s Special Grants Fund - Reimbursement, General Administrative Division.

Attachment A - TCC Round 4 Implementation Grant Agreement Attachment B - Stockton Rising Summary Budget Overview
Attachment C - Project Area Map
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IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton
Contents
EXHIBIT A – SCOPE OF WORK ................................ ................................ ............................ 1 PART 1 – Recitals ................................ ................................ ................................ .................. 1 PART 2 – General Terms and Conditions ................................ ................................ ............... 2

1. Definitions ................................................................................................................................. 2

2. Incorporation ............................................................................................................................ 4

3. Grant Term ................................................................................................................................ 4

4. Authorized Signatories .............................................................................................................. 5

5. Partners and Subcontractors .................................................................................................... 5

6. Assignment ................................................................................................................................ 6

7. Document Submission .............................................................................................................. 6

8. Timeliness ................................................................................................................................. 6

9. Amendments and Modifications ............................................................................................... 6

10. Conditions for Beginning Work ................................................................................................. 8

11. Reporting Requirements ......................................................................................................... 10

12. Evaluation and Indicator Tracking Reporting .......................................................................... 11

13. Payment Provisions ................................................................................................................. 11

14. Invoicing .................................................................................................................................. 16

15. Leverage Funding .................................................................................................................... 18

16. Stand-alone Leverage Projects ................................................................................................ 18

17. Work Outside the Project Area ............................................................................................... 18

18. Repayment of Funds ............................................................................................................... 18

19. Availability of Funds ................................................................................................................ 19

20. Revenue .................................................................................................................................. 19

21. Monitoring and Oversight ....................................................................................................... 19

22. Recordkeeping ........................................................................................................................ 19

23. Records .................................................................................................................................... 20

24. Audit and Record Retention .................................................................................................... 20

25. Compliance.............................................................................................................................. 21

26. Insurance ................................................................................................................................. 21

27. Computer Software ................................................................................................................. 22

28. Personally Identifiable Information ........................................................................................ 22

29. Ownership ............................................................................................................................... 22

30. Non-Performance.................................................................................................................... 25

31. Disputes................................................................................................................................... 25

32. Stop Work Order ..................................................................................................................... 26

33. Health Impacts ........................................................................................................................ 27

34. Termination for Convenience ................................................................................................. 27

35. Governing Law and Venue ...................................................................................................... 27

36. Grantee Independence/Not an Agent of the State ................................................................ 27

37. Indemnification ....................................................................................................................... 28

38. Waiver ..................................................................................................................................... 28

39. No Third-Party Beneficiaries ................................................................................................... 28

40. Force Majeure ......................................................................................................................... 28

41. Expatriate Corporations .......................................................................................................... 28

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

42. Corporation Qualified to do Business in California ................................................................. 28

43. Certificate of Compliance with Russia Sanctions .................................................................... 29

44. Self-Dealing and Arm’s Length Transactions........................................................................... 29

45. Relocation ............................................................................................................................... 29

46. Americans with Disabilities Act ............................................................................................... 29

47. Non-discrimination Clause ...................................................................................................... 29

48. Drug-Free Workplace Certification ......................................................................................... 30

49. Child Support Compliance Act ................................................................................................ 30

50. Environmental Justice ............................................................................................................. 31

51. Union Organizing ..................................................................................................................... 31

52. Prevailing Wages and Labor Compliance ................................................................................ 31

53. Publicity ................................................................................................................................... 32

54. Right to Publish ....................................................................................................................... 33

55. Copyrights ............................................................................................................................... 34

56. Recycled Contents Products ................................................................................................... 34

57. Severability .............................................................................................................................. 34

58. Terms that Survive Grant Agreement ..................................................................................... 34 EXHIBIT B – BUDGET AND SCHEDULE OF DELIVERABLES ................................ ............35 EXHIBIT C – SPECIAL TERMS AND CONDITIONS ................................ .............................83 PART 1 – Transformative Requirements ................................ ................................ ...............83

1. Community Engagement......................................................................................................... 83

2. Displacement Avoidance ......................................................................................................... 83

3. Workforce Development and Economic Opportunities ......................................................... 83

4. Climate Adaptation and Resilience ......................................................................................... 84

5. Indicator Tracking and Reporting ............................................................................................ 84 Part 2 – Project-Specific Terms and Conditions ................................ ................................ .....86

1. Active Transportation ............................................................................................................. 86

2. Transit and Rail Access ............................................................................................................ 87

3. Car Sharing and Mobility Enhancement ................................................................................. 88

4. Solar Installation, Energy Efficiency and Appliance Electrification ......................................... 90

5. Water Efficiency ...................................................................................................................... 96

6. Urban Greening and Green Infrastructure ............................................................................. 97

7. Health and Well-Being ............................................................................................................ 99

8. Indoor Air Quality .................................................................................................................. 101 EXHIBIT D – Attachments ................................ ................................ ................................ ... 103 Attachment D-1: TCC Project Area Map ................................ ................................ .............. 104 Attachment D-2: Transformative Plan Summary ................................ ................................ .. 105 Attachment D-3: Invoicing and Reporting Templates ................................ ........................... 132 Attachment D-4: Reporting Schedule ................................ ................................ ................... 143 Attachment D-5: Indicator Tracking Tables ................................ ................................ .......... 145 Attachment D-6: Authorized Signatory Template ................................ ................................ . 153 Attachment D-7: CalFire Urban Greening Standards ................................ ........................... 154 Attachment D-8: TCC Communications Kit ................................ ................................ .......... 155 Attachment D-9: TCC Partnership Agreement ................................ ................................ ..... 156 Attachment D-10: Certificate of Compliance with Russian Sanctions ................................ ... 157

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A – SCOPE OF WORK Part 1 – Recitals
EXHIBIT A – SCOPE OF WORK
PART 1 – Recitals

WHEREAS, the purpose of this document is to memorialize the terms and conditions related to the California Strategic Growth Council’s award of grant funds to the City of Stockton, the Grantee;
WHEREAS, the authority for this Implementation Grant Agreement is the Transformative Climate Communities (TCC) Program statute (Public Resources Code, Sections 75240 – 75243) and the TCC Program Guidelines, as approved for release on February 24, 2022; WHEREAS, funds have been appropriated for the Transformative Climate Communities Program to the Strategic Growth Council through the Governor’s Office of Planning and Research by the Budget Act of 2021 (SB 170);
WHEREAS, the TCC Project that is the subject of this Implementation Grant Agreement was approved by the Strategic Growth Council on October 27, 2022; WHEREAS, the Implementation Grant Agreement will be between the Strategic Growth Council and Grantee;
WHEREAS, the Strategic Growth Council will grant to Grantee, pursuant to the above authorization, a sum not to exceed 24,165,510 Dollars and zero Cents ($24,165,510.00), upon and subject to the terms of this Implementation Grant Agreement and consistent with the terms of the TCC Program Guidelines;
WHEREAS, AB 2722 requires that projects maximize climate, public health, environmental, workforce, and economic benefits;
WHEREAS, AB 2722 requires that projects avoid economic displacement of low-income disadvantaged community residents and businesses;
WHEREAS, AB 2722 requires that projects demonstrate community engagement in all phases;
WHEREAS, the Strategic Growth Council requires the TCC Project to implement strategies that increase the climate resilience of vulnerable populations and proposed infrastructure in the TCC Project Area;
WHEREAS, the Strategic Growth Council requires projects to comply with monitoring and reporting requirements for greenhouse gas emissions reductions, co-benefits, and outcome indicators, as defined by the Strategic Growth Council and California Air Resources Board; and
WHEREAS, Grantee agrees to implement the entirety of the Budget and Schedule of Deliverables attached to this Grant Agreement in Exhibit B.

Now therefore, as evidenced by the parties foregoing execution of the Grant Agreement, and in consideration of the mutual covenants, terms and conditions set forth herein, the Parties agree that all funds awarded pursuant to this Grant Agreement are to be used as set forth below in this exhibit, and as may be set forth in the remaining exhibits incorporated into this Grant Agreement.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions PART 2 – General Terms and Conditions

1. Definitions
i. “AHSC” – The Affordable Housing and Sustainable Communities Program of the California Strategic Growth Council, incorporated into the TCC Equitable Housing and Neighborhood Development Strategy
ii. “Application or Proposal” – Submittal comprised of responses and supporting documents to apply for the TCC Implementation Grant
iii. “Grant Agreement”– Refers to this Implementation Grant Agreement and all attachments and appendices
iv. “TCC Guidelines” – TCC Program Guidelines adopted on February 24, 2022 v. “AHSC Guidelines” – The 2019/2020 AHSC Final Guidelines adopted February 24, 2021 vi. “Project Area” – Area boundary for the TCC Project, as identified in Attachment D-1.

Refers to the boundary for Implementation Grants. A contiguous area that is no larger than approximately five-square miles. At least 51% of the Project Area must overlap with census tracts designated as disadvantaged communities per CalEnviroScreen and the TCC Guidelines: top 25% of disadvantaged communities, federally recognized tribal boundaries, or a disadvantaged unincorporated area per the TCC Guidelines. The remaining area (49% or less) must be within the top 25% of disadvantaged communities or a low-income community as defined by AB 1550.
vii. “TCC Partnership Agreement” – Agreement between Grantee and their Partners that outlines the responsibilities of each of the parties to the agreement. This is required of all members of the Collaborative Stakeholder Structure.
viii. “TCC Program” – The Transformative Climate Communities Program ix. “TCC Project” – Project, comprised of the TCC Project Components defined below, that will be implemented through this Grant Agreement
x. “TCC Strategies” – Strategies that reduce GHG emissions and achieve additional public health, environmental and economic benefits, as described in Appendix B of the TCC Guidelines. The TCC Project must implement Projects from at least three (3) TCC Strategies.
xi. “TCC Project Components” – Components included in the TCC Project, as described in Exhibit B and therefore subject to this Grant Agreement:
a. “Projects” – Projects that will be implemented with TCC grant funds through this Grant Agreement, and that are compliant with the TCC Strategies and Fundable Elements listed in Appendix D of the TCC Guidelines.
(i) Quantifiable Projects – Projects that have elements with approved GHG quantification methodologies. The TCC Project must implement at least three (3) Quantifiable Projects that account for a minimum of 50% of requested grant funds.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions (ii) Non-quantifiable Projects – Projects that do not have elements with approved GHG quantification methodologies, but are still eligible for grant funds. b. “Stand-alone Leverage Projects” – Projects that will be implemented with leverage funding that are integrated into the overall TCC Proposal, and were initiated in anticipation of applying for the TCC Program, or contingent upon the TCC award. c. “Transformative Plans” – The three (3) transformative plans include: Community Engagement, Displacement Avoidance, and Workforce Development and Economic Opportunities.
xii. Time Periods within the Grant Term: Grant term is five (5) years: a four (4) year Project Completion Period, followed by a one (1) year Performance Period, during which project outcomes will be monitored.
a. “Project Completion Period”
(i) Begins the date that both Parties have signed the Grant Agreement and lasts up to five four (45) years, unless otherwise amended.
(ii) All TCC Project Components, with the exception of Indicator Tracking and Stand- Alone Leverage Projects, must be completed during the Project Completion Period.
b. “Performance Period”
(i) The intent of the Performance Period is to provide a buffer time for Projects that are completed at the four (4) year mark to report on required indicators and request for reimbursement for the activities associated with Indicator Tracking (ii) Applies to Quantifiable and Non-Quantifiable Projects and Transformative Plans (iii) Begins immediately after each Quantifiable or Non-Quantifiable Project or Transformative Plan is completed, if applicable
(iv) Will extend no longer than March 31st, 2028, unless otherwise amended. xiii. Entities involved in the grant implementation process:
a. “DOC” – Department of Conservation; provides implementation and administrative support to SGC and serves as the Grantee’s main point of contact b. “Evaluation Technical Assistance” – The TCC grant-funded program evaluation Partner responsible for developing Grantee’s Indicator Tracking Plans and comprehensively assessing the impact and benefits of the TCC Program. c. “Grantee” – Entity responsible for leading the implementation of the TCC Project; identified as Lead Applicant in the Application, and that has an agreement for grant funding with the State.
d. "Lead Entity" – Entity leading the implementation of each TCC Project Component; must be Grantee or a Partner

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions e. “Leverage Partner” – A Partner that is not receiving funds from SGC but is implementing a Stand-alone Leverage Project and is required to meet leverage funding requirements of the TCC program.
f. Supporting Entity – Entity included in the application that supports the Lead Entity in completion of the project or transformative plan as a subcontractor. g. “OPR” – Office of Planning and Research
h. “Parties” – SGC and Grantee, collectively
i. “Partners” – Entities other than the Grantee that enter into a partnership with the grantee to support the implementation of the TCC Project; identified as Lead Entity or Supporting Entity
j. “SGC” – The California Strategic Growth Council
k. “State” – Any state agency with an oversight role over the funding or TCC Project l. “Subcontractors” – Third-party entities hired by either Grantee or a Partner m. “TCC Grant Manager” – Day-to-day point of contact during the grant term

2. Incorporation
The TCC and AHSC Guidelines and all the attachments to this Grant Agreement are hereby incorporated by reference into this Grant Agreement as though set forth in full in this Grant Agreement. As described in the TCC Guidelines, Equitable Housing and Neighborhood Development Projects must conform to requirements of the AHSC Guidelines.

The performance of this grant must be conducted in accordance with the following order of precedence: the enabling legislation for the TCC Program, Grant Agreement, TCC Guidelines, and AHSC Guidelines.

3. Grant Term
The grant term will commence on the date that both Parties have signed the Grant Agreement. SGC will notify Grantee when work may begin. Grant term is six (6) years: a five (5) year Project Completion Period, followed by a one (1) year Performance Period, during which project outcomes will be monitored. The Project Completion Period ends five (5) years after execution of the Grant Agreement. The Performance Period begins immediately after each Quantifiable or Non-Quantifiable Project or Transformative Plan is completed, for up to one year to allow the Grantee to collect and report data on projects and plans and to develop final reports. The entire grant term, including the Project Completion Period and Performance Period, ends no later than March 31st, 2029, unless otherwise terminated or amended.

Grantee must demonstrate that the community benefits described in the Community Engagement and Displacement Avoidance Plans will continue for five (5) years after grant execution. Grantees will be subject to the Project Completion and Project Performance Period requirements as defined under this Grant Agreement.

Grantee’s obligations under this Grant Agreement will only be discharged once all terms of this Grant Agreement are fulfilled.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions

4. Authorized Signatories
The SGC Executive Director or designee is authorized to sign this Grant Agreement and related documents on behalf of SGC. SGC staff will notify Grantee of the day-to-day point of contact (“TCC Grant Manager”) once the grant is executed.

At the time of grant execution, Grantee will submit a letter that identifies the individual who is authorized to sign this Grant Agreement and TCC Project deliverables and related documents on behalf of Grantee. The letter must also identify any additional Authorized Designees as well as Grantee’s day-to-day grant manager. Use the template provided in Exhibit D (Attachment D-6).

If the Authorized Signatory or Authorized Designee is unable to sign a deliverable or related document on behalf of Grantee, Grantee must submit an updated letter signed by the Authorized Signatory designating another individual to sign in their place. If the Authorized Signatory or Authorized Designee are funded through this Grant Agreement, Grantee must designate a different individual to sign the invoices.

Grantees must keep Authorized Signatory letters up to date and submit changes through email to the TCC Grant Manager at the subsequent reporting due date. Authorized Signatory letters will be kept on file with SGC for up to four (4) years after the Performance Period.

5. Partners and Subcontractors
SGC’s contractual relationship is with Grantee, and not any of their Partners or Subcontractors.
i. Grantee's contractual relationship with its Partners is defined by the TCC Partnership Agreement (Attachment D-9) and other documents as determined by Grantee and subject to SGC written approval, which outline the reimbursement process among Grantee, Partners, and Subcontractors. Grantee’s obligation to pay its Partners and Subcontractors is an independent obligation from SGC’s obligation to pay Grantee. ii. Grantee must abide by the TCC Partnership Agreement. This includes abiding by the processes defined within the TCC Partnership Agreement, including, but not limited to the legal and financial considerations, transparent decision-making processes, meeting facilitation procedures, and processes for involving community representatives in decision-making.
iii. Grantee is entitled to make use of its own staff, Partners, and Subcontractors, as identified in the TCC Partnership Agreement and the Budget and Schedule of Deliverables, and will comply with its own competitive bidding and sole sourcing requirements for subcontracts that arise out of or in connection with this Grant Agreement. If Grantee requests to modify or amend the TCC Partnership Agreement:
a. Grantee must provide SGC with copies showing such changes within fifteen (15) working days.
b. Grantee must adhere to the amendments and modifications requirements of this Grant Agreement (Exhibit A, Part 2, Section 9), if applicable.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions iv. Grantee must manage, monitor, and accept responsibility for the performance of its own staff, Partners, and Subcontractors, and will conduct project activities and services consistent with professional standards for the industry and type of work being performed under this Grant Agreement.
v. Grantee must notify SGC if Grantee, Partners, or Subcontractors are revoked, disbarred, suspended, proposed for disbarment, declared ineligible, or voluntarily excluded from the TCC Project.

Nothing contained in this Grant Agreement or otherwise will create any contractual relation between SGC and any Partners or Subcontractors, and no subcontract will relieve Grantee of its responsibilities and obligations under the terms of this Grant Agreement. Grantee agrees to be fully responsible to SGC for the acts and omissions of its Partners, Subcontractors, and of persons either directly or indirectly employed by them.

6. Assignment
This Grant Agreement is not assignable by Grantee, either in whole or in part, without the consent of SGC in the form of a formal written amendment of this Grant Agreement.

7. Document Submission
All documents must be submitted through the SGC provided online submission platform.

Upon submission, the Grantee must notify their designated TCC Grant Manager through email.

8. Timeliness
Time is of the essence in this Grant Agreement. The SGC and Grantee will work collaboratively to ensure this Grant Agreement is administered in a timely fashion.

9. Amendments and Modifications
Any modification or amendment of the terms of this Grant Agreement must be within the intent of the TCC Program. Requests to increase the overall grant amount or to significantly alter the deliverables of the TCC Program will not be approved because of the competitive nature of the process that resulted in the award of this Grant Agreement. Modification and amendment requests will be considered at the sole discretion of SGC. i. Modifications are minor changes to the Grant Agreement. Modification requests must be submitted in writing to SGC at least thirty (30) calendar days prior to when the modification will take effect. Examples of actions that require a modification include but are not limited to changes in the:
a. Grantee's Authorized Signatories and Subcontractors
b. Budget and Schedule of Deliverables
(i) Task descriptions (i.e. details regarding methods used to achieve deliverables) (ii) Reallocating less than 10 percent (10%) of funds between tasks within the original executed budget
(iii) Adjusting deliverable due dates within the grant term, except for readiness due dates

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions ii. Amendments are material changes to the Grant Agreement. Amendment requests must be submitted in writing to SGC at least sixty (60) calendar days prior to when the amendment will take effect. New amendment requests will not be considered less than three (3) months prior to the end of the Project Completion Period. Examples of actions that require an amendment include but are not limited to changes in the:
a. Partners or terms in the TCC Partnership Agreement
b. Budget and Schedule of Deliverables
(i) Elimination or alteration in deliverables
(ii) Reallocating more than ten percent (10%) of funds between tasks within the original executed budget or reallocating funds between projects (iii) Changes to readiness due dates.
(iv) Due to the availability of funding, under no circumstances may the amended Project Completion Period extend beyond March 31st, 2029. iii. Process for Modification and Amendment Requests:
a. TCC will only process Modifications or Amendments once per grant year, unless mission critical changes are needed. As each request may take some time and correspondence to review and resolve, there will be windows of time for submission, review, and processing as follows:
(i) Submit Requests: July – November
(ii) Review and Correspondence: July – December
(iii) Final Processing and Execution: November – January b. Modification and amendment requests will be made in writing using the templates provided by SGC. No oral understanding or agreement not incorporated in the Grant Agreement as a fully executed amendment is binding on any of the Parties. Any request for a modification or amendment must explain the purpose of the request, how the request is consistent with the TCC Guidelines and intent of the TCC Program, and the effect of not approving the request. All requests must include supporting documentation to validate the request. TCC Program staff may bring proposed Grant Agreement amendments to the Strategic Growth Council for approval.
c. SGC will respond to the modification or amendment request within ten (10) working days. SGC’s response to Grantee may include additional questions. SGC may require additional time to make a determination (i.e., approval or denial) about the request. SGC will consider requests for expedited review. d. Effective Date of Modification or Amendment:
(i) If SGC approves the modification request in writing, the modification may take effect immediately.
(ii) If SGC approves the amendment request, SGC will notify Grantee and prepare amendment documents for Grantee within another ten (10) working days, or as soon as feasible.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions (iii) If SGC rejects the request in writing, Grantee may file a Dispute (Part 2, Section 31).
e. SGC has the sole discretion to determine what changes to the Grant Agreement constitute “Modifications” or “Amendments.” All requests, including reallocation of grant funds between Projects and/or Transformative Plan, will be determined to be either a modification or an amendment on a case-by-case basis by SGC in a manner consistent with this section.

10. Conditions for Beginning Work
i. Readiness Requirements
a. Grantee may begin work on all Transformative Plans (Community Engagement, Workforce Development, and Displacement Avoidance) upon grant execution.

Grantee Costs may also be spent upon grant execution.
b. Conditions for Beginning Work apply to all Quantifiable and Non-Quantifiable Projects. Grantee must ensure the Lead Entity of each Project demonstrates readiness prior to expending any direct project costs.
c. Pre-development, project management, and associated Indirect costs can be spent prior to achieving readiness.
d. Readiness requirements include CEQA documentation, site control, permits, project maps and designs, project schedules, operations and maintenance plans, and other Strategy-specific requirements. Readiness requirements must be complete prior to beginning project implementation.
e. Lead Entities must demonstrate readiness within the first year of the grant term, in accordance with the requirements outlined for each Strategy in Appendix B of the TCC Guidelines. Readiness will be assessed and approved independently for each individual Project.
f. SGC has sole discretion to determine when the Lead Entity has demonstrated readiness for each Project. Lead Entity may only expend direct project costs for each Project under this Grant Agreement once Grantee receives written notice from SGC. g. SGC will provide written notice regarding the readiness status of each Project in a Readiness Memo. The Readiness Memo will be updated as the Grantee submits additional readiness documentation.
ii. Failure to meet Readiness Requirements
a. Projects that do not meet the readiness requirements within the first year of the grant agreement will be deemed to be infeasible and ineligible for reimbursement, unless SGC gives written approval to extend the timeline to meet the readiness requirements.
b. Funds from any projects deemed infeasible and ineligible for reimbursement cannot be allocated to new projects. Reallocation of funds, if any, to other projects included in the original Application will be subject to the Modification and Amendment procedures outlined above.
iii. Special Readiness Requirements

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions a. For Projects with multiple project sites that will be secured during the Project Completion Period, including Projects with residential participation such as tree planting or solar installations, the following readiness requirements will apply:
(i) Lead Entity does not need to demonstrate site control and compliance on all project sites prior to expending any direct project costs. Lead Entity must still achieve all other readiness requirements in accordance with Appendix B of the TCC Guidelines prior to expending any direct project costs. (ii) Lead Entity must have site control and compliance on a project site from the appropriate governing agency or private property owner prior to beginning work on a project site.
(iii) Lead Entity must demonstrate site control and compliance with all applicable laws in order for SGC to reimburse Grantee for the work on a project site. b. For Car Sharing and Mobility Enhancement projects, Grantee must ensure the Lead Entity identifies all project sites and develops a plan to establish site control and satisfy all readiness requirements. These projects are subject to the readiness and compliance requirements for ‘projects with multiple project sites’. Lead Entity must submit a site plan that includes contingency plans for each site that has not yet obtained site control.
iv. CEQA Clarification
This section outlines acceptable documentation for demonstrating CEQA completion, one of the primary readiness requirements for and conditions for beginning work on Projects under the TCC implementation grant.
a. Required Documentation for projects that are categorically or statutorily exempt (i) A CEQA Notice of Exemption (NOE) that has been approved by the appropriate body pursuant to their obligations under CEQA; OR
(ii) Documentation that the project is CEQA compliant, including but not limited to:

1. A resolution adopted by the legislative body (e.g., City Council, Board of Supervisors) confirming a project’s exemption. If a resolution or similar mechanism is not available or does not exist, meeting minutes documenting the legislative body’s consideration and approval of the project’s CEQA compliance may be submitted.

2. A signed letter or similar document from the head of an administrative approving entity (e.g., Planning Director).
b. Required documentation for all other projects
(i) A file-stamped Notice of Determination
c. Statutes of Limitation
SGC will notify Grantees that they may begin work on a project once all readiness requirements have been met, including CEQA completion. However, projects are still subject to statutes of limitation for legal challenges, which vary depending on the

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions type of CEQA filing and whether a CEQA filing occurs (Public Resources Code, § 21167):
(i) Filing a Notice of Determination: 30 days
(ii) Filing a Notice of Exemption: 35 days
(iii) No filing: 180 days
Grantees must notify SGC when the statutes of limitations have lapsed for each project, and if any legal challenges arise. If a legal challenge is brought against a project, SGC has the authority to issue a Stop Work Order, per Section 32 of the grant agreement.

11. Reporting Requirements
i. General Reporting Requirements:
a. All reports must be completed using templates attached to this Grant Agreement or provided by SGC and submitted using the naming conventions provided by TCC Grant Manager.
b. The first reporting period will begin on the start date of the Grant Agreement. c. All reports must be submitted to the TCC Grant Manager on the due date specified in the Reporting Schedule (Attachment D-4). When the report submission due date falls on a weekend or state-recognized holiday, reports will be due on the first working day that follows.
d. All reports must be signed by the Authorized Signatory or Designee on file with SGC. e. SGC may request to verify reports through methods that include, but are not limited to: supporting documentation, site visits, conference calls or video conferencing. f. Grantee’s failure to meet the reporting requirements on time may result in a delay in reimbursement.
ii. Progress Reports:
a. Grantee must complete Progress Reports using the template attached to the Grant Agreement (Attachment D-3).
b. Grantee must complete Progress Reports for the duration of the Project Completion Period.
c. Progress Reports must correspond with the Budget and Schedule of Deliverables described in the Grant Agreement.
d. Grantee must report on any deliverables submitted and submit evidence of work completed, as requested by SGC.
iii. Annual Reports:

The following materials must be submitted on an annual basis for the duration of the Project Completion Period, using templates provided by SGC:
a. Annual Progress Report.
b. Leverage Funding Report

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions c. Equipment Inventory Record: See Exhibit A, Part 2, Section 29, Ownership, for further instruction regarding equipment inventory.
d. Indicator Tracking Report: See Exhibit C, Part 1, Section 5 for further instructions regarding indicator tracking.
iv. Project Completion Reports:
a. Completion Report: Grantee must submit a report at the completion of each individual Project using the template provided by SGC.
b. Supporting Documentation: Grantee must submit any supporting documentation required to demonstrate that Projects are fully completed. v. Final Reports:
a. Final Report: Grantee must submit a final report by the end of the Performance Period using a template provided by SGC.
b. Leverage Funding Report: Grantee must submit a summary of the leverage funding spent at the end of the Performance Period using a template provided by SGC.

12. Evaluation and Indicator Tracking Reporting
Grantee must track and report on all indicators incorporated into the Indicator Tracking Plan finalized with SGC and the Evaluation Technical Assistance (see Exhibit C, Part 1, Section 5) until end of the Performance Period.

13. Payment Provisions
i. Except as may be allowed under subsection (ii), Grantee will be paid on a reimbursement basis:
a. Partners must invoice Grantee before Grantee submits an invoice to SGC. TCC funds will be issued to Grantee, who will be responsible for dispersing payment to Partners in accordance with the requirements contained in the TCC Partnership Agreement. All invoices must be supported by adequate documentation evidencing that the direct cost for which the Partner seeks reimbursement has been incurred.

Grantee must maintain as part of its records for the TCC Project all invoices and supporting documentation from their Partners; these records will be subject to the audit provisions in Exhibit A, Part 2, Section 24.
b. SGC will not require that Grantee pay their Partners prior to requesting reimbursement from SGC, although Grantee may do so according to their procedures and policies.
c. During the Project Completion Period, Grantee may only request reimbursement for eligible costs incurred for implementing the TCC Project. See Appendix B of the TCC Guidelines for details. Any work performed prior to the start date or after the end of the Performance Period will not be reimbursed.
d. During the Project Performance Period, Grantee may only request reimbursement for Indicator Tracking costs as well as Grantee Direct and Indirect costs for completing the Final Report.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions e. Grantee shall ensure real property purchased with grant funds shall be acquired from a willing seller for a purchase price that does not exceed the real property's fair market value, as established by an appraisal that is conducted by an appraiser who is licensed pursuant to Part 3 (commencing with Section 11300) of Division 4 of the Business and Professions Code. The appraisal shall be prepared pursuant to the Uniform Standards of Professional Appraisal Practice. Grantee shall ensure an independent third party approved in writing by SGC reviews the appraisal for consistency with the Department of General Services Real Estate Division Appraisal Guidelines before the real property is purchased. The appraisal and independent review shall become part of the project file maintained by Grantee. f. Through an Advance Pay Pilot Program, SGC is authorized to provide Grantees advance payments of TCC grant awards through July 1, 2025.1 SGC may approve advance payments under this grant at its sole discretion. All requests for advance payments shall be submitted to SGC in writing (Advance Pay Request form to be provided), along with complete documentation of the Grantee’s eligibility for advance payments in accordance with Government Code section 11019.1(c)(2)(A) (as further described below). Any material changes to the request form must be reported to SGC within 30 days. Advance payments shall not exceed 25% of the total grant award unless the Grantee demonstrates that a larger advance is needed and provides sufficient justification and documentation. All advance payments and the amount of any advance payment is subject to SGC’s sole discretion. Grantees requesting advance payments under this subsection shall, in their written request, provide complete documentation of their eligibility for advance payments under Government Code section 11019.1(c)(2)(A), as follows:
(i) Confirm that SGC has approved Grantee’s itemized budget, spending timeline, and workplan;
(ii) Identify the activities to be funded with any advance payment and provide support for the need for the advance payment, which may include but is not limited to, invoices, contracts, estimates, payroll records, and financial records; (iii) Have no outstanding financial audit findings related to any of the moneys eligible for advance payment and be in good standing with the Franchise Tax Board and Internal Revenue Service;
(iv) Confirm compliance with all insurance terms of the Grant Agreement; (v) Confirm that all funds received as an advance payment will be deposited into a federally insured, interest-bearing account that provides the ability to track interest earned and withdrawals.  Any accumulated interest shall be deemed to be grant moneys, subject to federal laws and regulations, and Grantee shall report interest earned on the advance payment to SGC;
(vi) Describe procedures Grantee will use to minimize the amount of time that elapses between the transfer of funds and the spend down of those funds by the Grantee.  Further, Grantee shall demonstrate that any previously advanced funds have been spent down or a plan is in place to ensure spend down of those funds in a timely manner;

1 Added by Statutes of 2022, Chapter 569, Section 15 (AB 156).

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions (vii) Confirm that Grantee shall provide progress reports on the spend down of advanced funds no less than on a quarterly basis; and
(viii) Confirm that Grantee shall provide progress reports following the expenditure of an advance payment that includes a summary of work completed, proof of expenditure, and other associated information.

Grantee shall provide money from advance payments to subrecipients in accordance with their grant program requirements. Grantee shall require all entities they subcontract with or award grant money to comply with (vi,), (vii), and (viii) of the eligibility requirements listed above. Regardless of any transfer or assignment of advance payments to subrecipients, Grantee shall be liable to the SGC for compliance with this paragraph and for any failures by subrecipients to perform contractual obligations or to comply with the requirements of this section.

All unused funding and interest earned provided as an advance payment, but not spent down within the grant timeline, shall be returned to SGC. ii. Eligible Costs
Grantee should refer to the TCC Guidelines, including Appendix B, for eligible cost requirements. To the extent that the provisions of this Section may conflict with the TCC Guidelines, this Section takes precedent.
a. Indirect costs are costs of doing business that are of a general nature and not directly tied to the grant, but necessary for the general operation of the organization.

These costs may account for no more than 12% of the awarded TCC funds minus any funds for equipment purchases with a per unit cost of $5,000.00 or more. The 12% maximum of indirect cost applies to Grantee and all Partners or subcontractors.

Reimbursement requests for indirect/overhead costs must be proportionate to the direct costs billed in an invoice.
b. Direct costs will be reimbursable with TCC funds. Direct costs are defined as costs directly tied to the implementation of the Grant Agreement. In addition, insurance premiums are only an eligible cost to the extent that the cost of coverage increased because of the award or Project requirements. Grantees must adhere to the following requirements:
(i) Pre-development costs may account for up to ten percent (10%) of related capital improvement costs for each Project and should not exceed five percent (5%) of total awarded TCC Funds. These activities and costs should occur within the first year of the grant term to meet readiness requirements.

Construction management tied to project implementation is a direct project cost and will not be subject to the cap on "pre-development" costs. (ii) Water and wastewater connections may account for up to ten percent (10%) of the total TCC award for Grantees that need to meet program policy requirements for basic infrastructure access.
(iii) The eligible use of heavy-duty trucks and equipment shall be reimbursed at the then-current rate set by the California Department of Transportation “Labor Surcharge and Equipment Rental Rate” guide.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions c. Travel costs directly related to the performance of this Grant Agreement will be subject to the State of California travel reimbursement rates, in effect, during the term of this Grant Agreement.
(i) SGC will reimburse for actual expenditures, based on equivalent civil service classifications, up to the maximum state allowable rates in effect at the time of travel. The state rates are available for review at:
http://www.calhr.ca.gov/employees/pages/travel-reimbursements.aspx. (ii) Incidental costs and travel costs outside the State of California will not be reimbursed.
(iii) For staff working on the project, Grantee shall maintain and submit for reimbursement detailed travel records and supporting documents (e.g. travel request and approval forms, expense claims, invoices, receipts for lodging and transportation, etc.) showing the date and purpose of the grant-related travel, destination and, in the case of travel by automobile, the number of miles driven. (iv) Grantee shall ensure travel costs are outlined in the Budget and Schedule of Deliverables and tied to tasks and deliverables in the work plan. (v) Grantee shall ensure that any person traveling pursuant to this Grant Agreement shall indemnify and hold harmless the SGC and State of California for any liabilities resulting from such travel.
d. Project-specific allowable costs are costs that are only allowed under certain Strategies. These direct costs are allowed for project implementation, and therefore may not be subject to the indirect cost restrictions. These costs may still be subject to additional restrictions per Appendix B of the TCC Guidelines and will not be reimbursed if incurred for other Projects. See Exhibit C, Part 2 Project-Specific Terms and Conditions for project and strategy specific allowable costs. iii. Ineligible Costs
a. For ineligible direct implementation costs, refer to Appendix B and C of the Guidelines, by project or plan strategy.
b. Indirect costs in excess of 12% of the awarded TCC funds. c. Climate resilience and adaptation must be integrated into the Projects, Transformative Elements, and Vision. Climate adaptation and resilience planning activities must be paid for with leverage funding only. Implementation measures and design features integrated into the TCC Project are fundable as direct project costs. d. Projects that fund additional parking infrastructure or other infrastructure projects that induce demand for additional parking
e. Additional ineligible costs
(i) Exceeding cost caps for Indirect or Pre-development costs (ii) Lobbying

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions (iii) Advocacy work, such as for the passage of bills or local propositions (iv) Commission fees
(v) Ongoing operational costs beyond the grant term
(vi) Using funds for any cost that has been or will be paid through another funding source, or to finance any activities designed to supplant rather than supplement existing local agency activities or activities with pre-existing designated funding.

This cost supplantation prohibition does not apply to interim financing for housing loans.
(vii) Using funds for mitigation activities that are already mandated by local, regional, state, or federal governing bodies or agencies
(viii) Ceremonial expenses (including food and beverages) (ix) Expenses for publicity not related to the TCC Project implementation (x) Bonus payments of any kind
(xi) Damage judgments arising from the acquisition, construction, or equipping of a facility, whether determined by judicial process, arbitration, negotiation, or otherwise
(xii) Services, materials, or equipment obtained under any other State program (xiii) Real estate brokerage fees and/or expenses
(xiv) Stewardship of legal defense funds
(xv) Costs associated with automobile or motorcycle parking (excluding electric vehicle charging infrastructure that may be located at a parking spot). (xvi) Reimbursement for any interest accumulated in order to finance the project iv. All costs must be reasonable, as defined below:
a. A cost is reasonable if, in its nature and amount, it does not exceed that which would be incurred by a prudent person under the circumstances prevailing at the time the decision was made to incur the cost. In determining reasonableness of a given cost, consideration must be given to:
(i) Whether the cost is of a type generally recognized as ordinary and necessary for the operation of the entity or the proper and efficient performance of this Grant Agreement.
(ii) The restraints or requirements imposed by such factors as: sound business practices; arm's-length bargaining; federal, state, local, tribal, and other laws and regulations; and terms and conditions of this Grant Agreement. (iii) Market prices for comparable goods or services for the geographic area.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions (iv) Whether the individuals concerned acted with prudence in the circumstances considering their responsibilities to its employees, the public at large, and the state.
(v) Whether the cost significantly deviates from the acquiring entity’s established practices and policies regarding the incurrence of costs. b. SGC has the sole discretion to determine if a cost is reasonable. Any costs that do not meet the requirements above may not be reimbursed by the State. The Grantee may file a Dispute to contest SGC’s determination.
v. Retention
a. SGC will withhold payment of the final five percent (5%) of the total requested budget for each TCC Project Component until SGC determines that the requirements of that TCC Project Component have been fulfilled per the Grant Agreement.

14. Invoicing
During the Project Completion Period and Performance Period, the Grantee will submit online one (1) invoice package to SGC on the Report Due Date listed in the Reporting Schedule (Attachment D-4).
i. Invoice Package - An invoice, supporting documentation, deliverables or other evidence of work completed, and the appropriate reporting materials are collectively referred to as the “invoice package.”
a. Invoice – Grantee must use the invoice templates provided in Attachment D-3. (i) Expenses should be broken out at the task level.
(ii) Expenses under each task should be broken out by cost type. (iii) Indicator Tracking costs, travel, mileage, and equipment should be clearly identified.
b. Supporting documentation – Grantee must submit supporting documentation for all itemized costs. Documentation may include but is not limited to: copies of purchase orders, receipts, subcontractor invoices, and timesheets. These items must contain sufficient information to establish that the specific service was rendered, or purchase was made. Original supporting documentation is not required and should be retained by Grantee.
(i) Supporting documentation should be clearly labeled by task. (ii) Supporting documentation does not need to be provided for Indirect costs.

However, Grantee must maintain records of Indirect costs to be made available upon request from the State. Grantee shall ensure adequate books and accounts documenting Indirect costs are maintained in accordance with generally accepted accounting principles, consistently applied. Grantee shall invoice in accordance with the Indirect cost rate(s) approved for the TCC Project and each project and plan under the grant, based on supporting documentation agreed upon in writing by SGC and the Grantee.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions (iii) Records documenting time spent performing the work must identify the individual, the date on which the work was performed, the specific grant-related activities or objectives to which the individual’s time was devoted, the hourly rate, and the amount of time spent.
c. Evidence of deliverables completed – Grantee must submit evidence of work completed to justify the reimbursement request in the invoice. Documentation may be the final deliverables as listed in Exhibit B or interim deliverables that demonstrate the work completed.
d. Report(s) – Grantee must submit the appropriate reporting materials described in Exhibit A, Part 2, Section 11.
ii. Grantee must submit the invoice package to the SGC online submission platform.

Following submission, Grantee must email the Invoice Summary (PDF) to the TCC Grant Manager, and copy the SGC and Governor’s Office of Planning and Research:
mailto:[email protected].
iii. The invoice must be signed by the Authorized Signatory or Designee. By submitting the invoice package to SGC, Grantee certifies that all costs are eligible for reimbursement, that all work has been completed in accordance with the Grant Agreement, and that the invoice total reflects actual costs incurred.
a. SGC has the discretion to determine the sufficiency of work completed and completeness of an invoice package.
b. If SGC determines that an invoice package is complete and sufficient, SGC will notify Grantee and approve the invoice. SGC will issue one check to Grantee. Grantee is responsible for dispersing payment to Partners, as outlined in the TCC Partnership Agreement, and any Subcontractors.
iv. Invoice packages that do not meet the requirements of this Grant Agreement, are incomplete, or have inaccuracies, will be returned to Grantee for resubmittal within ten (10) working days with an explanation of why it was not approved. a. SGC may authorize payment of a partial invoice package and require Grantee to resubmit the remaining portions in order to fix any inaccuracies or incomplete information.
b. Grantee must resubmit the amended invoice package (either partial or full) in the same manner as the original invoice within ten (10) working days after receiving the notification from SGC while addressing the concerns identified by SGC. Delays in providing revised invoice package on time may result in non-compliance notice or stop work order.
v. If SGC determines that Grantee submitted false or materially inaccurate invoices, supporting document or components of the Application, SGC may impose any and all available remedies, including requesting reimbursement of already disbursed payments or termination of the Grant Agreement.
vi. The final invoice for each TCC Project Component should include a request for reimbursement of the final five percent (5%) of the total requested budget, as discussed in Exhibit A, Part 2, Section 13.v.a, of this Grant Agreement.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions

15. Leverage Funding
i. Grantee shall ensure it and its Leverage Partners report on the leverage funding expended in the Annual Leverage Funding Report form. Grantee must retain supporting documentation of leverage funding that will be made available to the State upon request.

Grantees shall ensure adequate books and accounts are maintained documenting leverage funding in accordance with generally accepted accounting principles, consistently applied.
ii. Leverage funding must support the implementation of the Strategies selected to achieve the TCC Program Objectives, as determined by SGC.
iii. Leverage funding must be spent within the Project Area and for the purposes of the TCC Project.
iv. Grantee must only report eligible leverage funding expenditures. Expenditure of leverage funding will only count if it occurs after the grant was awarded by SGC on October 27, 2022, and before the end of the grant term. If leverage funding sources change during the grant term, Grantee will notify SGC at the subsequent reporting due date to allow SGC and DOC to determine the eligibility of the new leverage sources. a. Changes in leverage funding sources that impact the Budget and Schedule of Deliverables may require an amendment to the Grant Agreement. b. Changes in leverage funding sources that impact the 50% eligibility requirement in the TCC Guidelines and Application may require a remedy to be determined between Grantee and SGC.

16. Stand-alone Leverage Projects
i. Stand-alone Leverage Projects must be completed by the end of the Performance Period and within the Project Area.
ii. Grantee shall ensure it and its Leverage Partners shall report on the progress of Leverage Projects on an annual basis.
iii. Stand-alone Leverage Projects may not be removed from the TCC Proposal scope of work after the grant has been awarded by SGC. SGC may consider the failure of a stand-alone leverage project to adhere to the terms of the Partnership Agreement to constitute a Grantee’s non-performance under the Grant Agreement.

17. Work Outside the Project Area
No work outside the Project Area will be reimbursable through this agreement. SGC disclaims any representations, express or implied, that any work outside the Project Area that was not approved as part of the Application is or will be funded by the TCC Program.

Grantee waives any claims against SGC related to such work.

18. Repayment of Funds
If grant funds are not expended, or have not been expended in accordance with this Grant Agreement; or that real or personal property acquired with grant funds is not being used, or has not been used for purposes in accordance with the Grant Agreement; SGC has sole

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions discretion to take appropriate action under this Grant Agreement, at law or in equity, including but not limited to:
i. Requiring Grantee to forfeit any unexpended portion of the grant funds, including but not limited to any retention withheld from invoices;
ii. Requiring Grantee to repay any funds improperly expended.

19. Availability of Funds
Sufficient funds for this Grant Agreement have been made available by FY 2021-2022 budget appropriation from the General Fund. However, this Grant Agreement is subject to any restriction, limitation, or condition enacted by the Legislature, which may affect the provisions, terms, or funding of this contract in any manner.

20. Revenue
All revenue generated as a part of any Project or Transformative Plan by Grantee, Partner or subcontractor must be used to further the TCC Project to the extent reasonably possible.

Grantee must keep records of revenue expenditures for audit purposes.

21. Monitoring and Oversight
Grantee agrees that the State or designated representative has the right to visit the project sites pertaining to any TCC Project described in this Grant Agreement. Project sites may include any public or participating private properties. i. Once the Grant Agreement is executed, the TCC Grant Manager may request a regularly occurring monthly phone call or in-person meeting with Grantee’s Grant Manager to discuss the TCC Project. Grantee must work with the TCC Grant Manager to accommodate monitoring requests.
ii. The State retains the right to conduct a minimum of two (2) site visits a year during the grant term.
iii. At the State’s discretion, site visits may occur more frequently. iv. Grantee agrees that the State or designated representative has the right to conduct a final inspection of completed Projects, as determined by SGC. For construction Projects, this may require certification by the appropriate registered professional (such as California Registered Civil Engineer or Geologist) that the Project has been completed in accordance with final plans and specifications and any modifications. If Grantee or Lead Entity arranges a final inspection, Grantee must notify the TCC Grant Manager of the inspection date at least ten (10) working days prior to the inspection in order to provide State the opportunity to participate.

22. Recordkeeping
Grantee must establish an official file for the TCC Project funded by the Grant Agreement.

The file must contain adequate documentation of all actions taken with respect to the TCC Project, including copies of the Grant Agreement, amendments and modifications, letters and email correspondences, financial records (including agreements and any associated documents with Partners and Subcontractors), required reports, and readiness and

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions compliance documentation. The State reserves the right to audit all Grantee, Partner, and Subcontractor records for this project, as stated below. i. Grantee must establish a separate ledger account for receipts and expenditures of grant funds and maintain expenditure details in accordance with the attached Budget and Schedule of Deliverables. Separate bank accounts are not required. Grantee must maintain financial records of expenditures incurred during the TCC Project in accordance with generally accepted accounting principles, including leverage funding that may be required.
ii. Grantee must maintain documentation of its normal procurement policy and competitive bid process (including the use of sole source purchasing). iii. Partners and Subcontractors paid with moneys under the terms of this Grant Agreement must maintain all records as specified. Grantee maintains responsibility for ensuring that Partners and Subcontractors comply with the requirements above.

23. Records
Grantee agrees that all data, plans, drawings, specifications, reports, computer programs, operating manuals, notes and other written or graphic work produced in the performance of this Grant Agreement will be in the public domain to the extent to which release of such materials is required under the California Public Records Act (Cal. Gov’t Code § 6250 et seq.). Grantee may disclose, disseminate, and use in whole or in part, any final form data and information received, collected, and developed under this Grant Agreement, subject to appropriate acknowledgement of credit to the State for financial support as described in Section 53, Publicity. Grantee must not utilize the materials for any profit-making venture or sell or grant rights to a third party who intends to do so. The State has the right to use any data described in this paragraph for any public purpose.

24. Audit and Record Retention
Grantee must ensure adequate protection for all records, physical and electronic, from loss, damage, or destruction for possible audit(s). Grantee agrees that the State or designated representative will have the right during normal business hours to review and to copy any records and supporting documentation pertaining to the performance of this Grant Agreement and interview any employees who might reasonably have information related to such records. Further, Grantee agrees to include a similar right of the State to audit records and interview staff of any Partners and Subcontractors related to the performance of this Grant Agreement.
i. Grantee, Partners, and Subcontractors must maintain copies of project records four (4) years after the Performance Period, unless a longer period of records retention is stipulated.
ii. The State retains the right to conduct an audit each year during the grant term and up to four (4) years after the Performance Period. Audits may include, but are not limited to, inspections of project records; ownership and usage records of equipment, vehicles, and infrastructure; and maintenance records of equipment, vehicles, and infrastructure. iii. The State may require recovery of payment from Grantee, issue a Stop Work Order or terminate the Grant Agreement, as warranted, based on an audit finding, or any other remedies available in law or equity.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions

25. Compliance
Grantee must fully comply with all applicable federal, state, and local laws, ordinances, regulations, plans, and design standards. Grantee must secure any new permits or licenses required by authorities having jurisdiction over the Project Area and maintain all presently required permits. Grantee must ensure that any applicable requirements of the California Environmental Quality Act are met in order to carry out the terms of this Grant Agreement.

Grantee must promptly provide evidence of such compliance if requested by the State.

Additionally, Grantee certifies that it currently is not and will not become:
i. In violation of any order or resolution subject to review promulgated by CARB or an air pollution control district;
ii. Subject to a cease-and-desist order subject to review issued pursuant to Section 13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; or
iii. Determined to be in violation of provisions of federal law relating to air or water pollution.

Grantee must ensure that Partners and Subcontractors comply with all terms in this section with respect to the TCC Project.

26. Insurance
i. A Grantee or Lead Entity that is a governmental organization may provide evidence of sufficient self-insurance to satisfy the insurance requirements below. ii. If Grantee or Lead Entity is not a governmental organization or is unable to provide evidence of sufficient self-insurance, then the following are the insurance requirements:
a. Grantee must ensure the following insurance policies are obtained and kept in force through the Project Completion Period for each project, with no lapses in coverage, that cover any acts or omissions of Grantee and its employees engaged in carrying out any tasks specified in this Grant Agreement:
(i) Worker’s Compensation Insurance in an amount of not less than the statutory requirement of the State of California.
(ii) Commercial general liability insurance in an amount of not less than $1,000,000 per occurrence for bodily injury and property damage combined. (iii) Motor vehicle liability with limits in an amount not less than $1,000,000 per accident for bodily injury and property damage combined. Such insurance must cover liability arising out of a motor vehicle including owned, hired, and non- owned motor vehicles.
b. Insurance policies must name the State of California, its officers, agents, employees and servants as additional insured parties for the commercial general liability and automobile liability insurance but only with respect to work performed under the Grant Agreement. Grantee is responsible for guaranteeing that a copy of each Certificate of Insurance is submitted to SGC within sixty (60) calendar days of the Grant Agreement signature. The grant number must be included on each submitted Certificate of Insurance.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions iii. Grantee must notify SGC prior to any insurance policy cancellation or substantial change of policy, including lapse of coverage, change in coverage amount, or change in carrier. iv. Grantee must notify SGC if any Partners or subcontractors are not in compliance with the insurance requirements above. If any Partners or subcontractors are out of compliance, SGC reserves the right to issue a Stop Work Order, until resolved, as described below.
v. Grantee is responsible for determining the appropriate level of insurance, if any, for its Partners or subcontractors.

27. Computer Software
Grantee must ensure that the appropriate systems and controls are in place so that funds under this Grant Agreement will not be used for the acquisition, operation, or maintenance of computer software in violation of copyright laws.

28. Personally Identifiable Information
Information or data, including but not limited to all records and supporting documentation that personally identifies an individual or individuals is confidential in accordance with California Civil Code Sections 1798, et seq. and other relevant state or federal statutes and regulations. Grantee must ensure that all such information or data that comes into possession under this Grant Agreement is appropriately safeguarded in perpetuity, and must not release or publish any such information, data, or records.

29. Ownership
i. Deliverables:

Grantee hereby grants to the State a royalty-free, nonexclusive, transferable, world-wide license to reproduce, translate, and distribute copies of any and all materials it produces pursuant to this Grant Agreement, for nonprofit, non-commercial purposes, and to have or permit others to do so on the State’s behalf.
ii. Equipment:
a. Purchase of equipment using grant funds is allowable only with prior approval by TCC Grant Manager.
b. Cost of equipment purchased shall be substantiated by purchase receipt. c. For any equipment purchased or built with funds that are reimbursable as a direct cost of the TCC Project, as determined by SGC, Grantee, Partner, or Subcontractor, as applicable, must be the sole owner on title.
d. If the funds are used to purchase equipment that costs $5,000 or more, each such piece of equipment is “grant-funded equipment.”
e. Each grant-funded equipment must be dedicated to the described use in the same proportion and scope as was in the Grant Agreement, unless SGC agrees otherwise in writing, during the useful life of the equipment.
f. If the owner of the grant-funded equipment determines that it no longer has need for the grant-funded equipment before the end of the equipment’s useful life, the owner

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions shall donate the grant-funded equipment to a public entity or nonprofit organization that will use the grant-funded equipment for purposes that are similar to the purpose intended in the Grant Agreement or to a public entity or nonprofit that serves the project area.
g. For the duration of the useful life of each grant-funded equipment, the grantee shall maintain a record identifying each grant-funded equipment, the expected useful life of each item, and the ultimate disposition (disposal or donation). The requirements of this section will survive termination of this agreement. h. The cost to lease equipment to use in the grant project area may be charged to the grant. Cost of leased equipment charged to the grant must be substantiated with receipts identifying equipment was leased, lease rate and total cost. i. Use of equipment owned by the Grantee may be charged to the grant at a rate set by the California Department of Transportation Labor Surcharge and Equipment Rental Rate Guide. Use of Grantee equipment must be substantiated with an equipment usage log that identifies the equipment used, rate, and total rental cost. A cost- benefit analysis to justify the cost of purchasing equipment versus leasing must be provided.
j. Grantee will assume all risk including cost for maintenance, repair, loss, destruction, and damage to all equipment until disposition of equipment. SGC may, at its discretion, repair any damage or replace any lost or stolen items and deduct the cost thereof from Grantee’s invoice to the State, or require Grantee to repair or replace any damaged, lost, or stolen equipment to the satisfaction of SGC with no expense to the State.
k. In the event of theft, a report must be filed immediately with the California Highway Patrol (State Administrative Manual § 8643 [Lost, Stolen, or Destroyed Property]). l. Grantee must maintain an inventory record for grant-funded equipment purchased or built with funds provided under this Grant Agreement. In addition, items of grant- funded equipment or supplies that are prone to theft, loss, and misuse and may contain sensitive data (e.g., computers, printers, smartphones, tablets, cameras, GPS devices, etc.) costing less than $5,000 must be inventoried. Details on the inventory record are to be provided in the Implementation Grant Administration Guide.
m. The Equipment Inventory Record must be updated annually and upon request. See Exhibit A, Section 11, Reporting Requirements, for more information. iii. Vehicles:
a. Grantee, Partner, or Subcontractor, as applicable, must be the sole owner of all vehicles acquired as part of TCC Project, including but not limited to, bicycles, cars, buses, vans, rail passenger equipment. During the Project Completion Period, vehicles must be dedicated to the described use in the same proportion and scope as was in the Grant Agreement, unless SGC agrees otherwise in writing. b. Vehicles acquired for purposes of public transit must be maintained in a state of good repair and dedicated to that public transportation use for their full useful life,

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions which, for the purpose of this Grant Agreement, will be determined in accordance with standard State and national transit practices and applicable rules and guidelines, including any extensions of that life cycle achievable by reconstruction, rehabilitation, or enhancements. If the ownership or use of the vehicles change to a use not in accordance with the Grant Agreement, Grantee may be required to reimburse the State for their fair market value.
c. Vehicles acquired for general project work (i.e., work trucks) must be maintained in a state of good repair for their full useful life, which, for the purpose of this Grantee Agreement, will be determined in accordance with standard State practices. If the ownership or use of the vehicles change to a use not in accordance with the Grant Agreement, Grantee may be required to reimburse the State for their fair market value.
iv. Infrastructure:
a. Grantee, Partner, or Subcontractor, as applicable, must ensure all necessary rights of way, property ownership, or leases have been secured prior to construction.

Purchases of all real property required for the TCC Project must be free and clear of liens, conflicting easements, obstructions, and encumbrances. Any property acquisition by Grantee must not involve eminent domain proceedings or threat of eminent domain proceedings. Grantee must record deed restrictions on TCC Project property, as applicable.
b. For any rights of way, real and personal property, leases, improvements, and infrastructure funded as a reimbursable direct cost of the TCC Project, the Grantee, Lead Entity, or another public agency or subcontractor as approved in writing by the TCC Grant Manager, must be the sole owner of the title or leasehold. The foregoing sentence notwithstanding, dispersed improvements such as those made under the Solar Installation, Energy Efficiency and Appliance Electrification Strategy may be made on private real property. Each site acquired or improved upon with funding provided under this Grant Agreement must remain permanently dedicated to the described use in the same proportion and scope as was in the Grant Agreement, unless SGC agrees otherwise in writing. If the ownership or use of the property changes to a use not in accordance with the Grant Agreement, Grantee may be required to reimburse the State in a manner determined by SGC. c. Grantee, Partner, or Subcontractor, as applicable, is obligated to continue operation and maintenance of the physical aspects of the TCC Project for its full useful life, which, for the purpose of this Grant Agreement, includes any extensions of that life achievable by reconstruction, rehabilitation or enhancements, in accordance with the described use in the same proportion and scope as in the Grant Agreement, unless SGC, Grantee, Partner, or Subcontractor (as applicable) agrees otherwise in writing.

Grantee may be excused from its obligations for operation and maintenance of the Project site only upon written approval from SGC. The TCC Project and its facilities must be maintained, supervised, and inspected by adequate and well-trained staff and/or professionals and technicians as the project reasonably requires. v. Debt Security:

Grantee will not use or allow the use of any portion of real property purchased solely with TCC grant funds as security for any debt. This debt financing prohibition is not

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions applicable to the Affordable Housing Development Capital Projects under the Equitable Housing and Neighborhood Development Strategy.

30. Non-Performance
SGC has sole discretion to determine if Grantee is performing in accordance with the Grant Agreement. Non-performance may be determined for an individual Project, Transformative Plan, the entire TCC Project, or a task within an individual Project or Transformative Plan.

Non-performance issues can include but are not limited to: misuse of funding for ineligible expenses, inability to meet performance requirements or scheduled milestones, failure to complete or failure to make a good faith effort to complete the TCC Project as a whole or any TCC Project Components, including ensuring Stand-alone Leverage Projects adhere to the TCC Partnership Agreement, and/or failure to comply with the terms of this Grant Agreement.
i. SGC will notify Grantee in writing if non-performance is determined and will provide instructions and a timeline to rectify all cases of non-performance. ii. Grantee must respond to a determination of non-performance within thirty (30) calendar days by either a) acting on corrective actions, or b) disputing SGC’s findings in writing. iii. SGC, without waiver of other rights or remedies, may require Grantee to re-perform any actions not in accordance with this Grant Agreement. SGC may withhold any payments due to Grantee until the individual project or TCC Project is brought back into full compliance. Costs and expenses for these actions will be borne by the applicable Grantee, Partner, or Subcontractor.
iv. If Grantee fails to correct any non-performance to SGC’s satisfaction, SGC may elect to terminate the entire Grant Agreement or any part thereof. Grantee may be liable for immediate repayment to SGC of all amounts disbursed by SGC under this Grant Agreement for the individual Project, Transformative Plan, the entire TCC Project, or a task within an individual Project or Transformative Plan as applicable and only if non- performing. SGC may, at its sole discretion, examine the extent of Grantee compliance for work partially completed and determine costs eligible for reimbursement. This paragraph will not be deemed to limit any other remedies available to SGC for breach of this Grant Agreement.
v. Upon termination by SGC, Grantee must deliver all invoices, reports, and other deliverables required by this Grant Agreement up to the time of termination. Grantee must deliver all materials within sixty (60) calendar days of the termination date.

31. Disputes
SGC has sole discretion to determine if an invoice, report, deliverable, or other supporting documentation is sufficient and complete, per the Grant Agreement, TCC or AHSC Guidelines, and/or any other statutory requirement. All dispute, resolution, and appeal statements must be signed by the appropriate Authorized Signatory or Designee. i. SGC will notify Grantee in writing if any materials are determined to be insufficient or incomplete within fifteen (15) working days of receiving the materials. a. Grantee must respond in writing within fifteen (15) working days with either a) materials requested by the SGC, or b) a written statement disputing SGC’s findings.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions ii. Grantee has fifteen (15) working days to submit a written dispute statement to the TCC Grant Manager. The dispute statement must contain a concise description of the dispute, along with any supporting documentation.
a. Grantee and relevant parties must attempt to negotiate a resolution to the dispute. b. SGC will present a dispute resolution within fifteen (15) working days of receiving Grantee’s dispute statement.
iii. Grantee has fifteen (15) working days to appeal a dispute resolution. Grantee must submit a written appeal statement to SGC. The appeal statement must contain a concise description of the appeal, along with any supporting documentation. a. Grantee and relevant parties must attempt to negotiate a resolution to the appealed dispute.
b. SGC will respond to the appeal statement within fifteen (15) working days of receiving Grantee’s appeal statement.
iv. If Grantee wants to further appeal a dispute resolution after undergoing both the dispute and appeal process, Grantee must submit a further appeal statement to the Government Claims Program at the Department of General Services, the final administrative forum for resolution of the dispute.
v. During a dispute, Grantee must observe any Stop Work Orders put into effect until the dispute is resolved.

32. Stop Work Order
SGC has the right to issue a Stop Work Order for an individual Project, Transformative Plan, or the entire TCC Project and suspend payments to Grantee. SGC reserves the right to issue a Stop Work Order if there is a breach in the leverage funding commitments or a determination of nonperformance that put components of the TCC Project at risk of not being completed.
i. Immediately upon receiving a Stop Work Order written notice, Grantee must cease all work under the individual project or TCC Project. The Stop Work Order will be in effect until resolution is reached or until the project is terminated. a. SGC may require remedial steps from Grantee.
b. The individual project or TCC Project may be terminated by means of an amendment.
ii. Any costs incurred after the issuance of a Stop Work Order will not be reimbursed. Costs and expenses for these actions will be borne by Grantee. Work may resume only upon written SGC notification that the Stop Work Order has ended.

If Grantee issues a Stop Work Order to a Partner, or if Grantee and/or Partners issue a Stop Work Order to any Subcontractors, they must notify SGC within ten (10) working days of issuing the order.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions

33. Health Impacts
If SGC has a reasonable concern about the public health impact of a Project Component, SGC may require Grantee to further study and mitigate the impact as directed by SGC.

Section 13 of this Agreement, Payment Provisions, notwithstanding, Grantee may request any required study and mitigation to be considered an eligible cost for reimbursement based on the fiscal inability of the entity required to perform the directed work.

34. Termination for Convenience
Both SGC and Grantee have the right to terminate this Grant Agreement prior to the end of the grant term upon thirty (30) calendar days of written notice. The written notice must specify the reason for early termination and may permit SGC or Grantee to rectify any deficiency(ies) prior to the termination date.
i. Conditions of early termination:
a. Upon any termination, Grantee must deliver all invoices, reports, and other deliverables required by this Grant Agreement up to the time of termination. Grantee must deliver all materials within sixty (60) calendar days of the termination date. b. Upon receipt of notice from SGC of Termination for Convenience, Grantee shall immediately take action to ensure neither it nor any Partner or Subcontractor incur any additional obligations, costs or expenses, except as may be reasonably necessary to terminate its activities.
c. SGC will examine the extent of Grantee compliance for work partially completed and reasonably determine costs eligible for reimbursement based on final invoices submitted and compliance with this Grant Agreement.
d. If SGC elects to terminate the Grant Agreement under this section, but all aspects of Affordable Housing Development Capital Projects and Housing Related Infrastructure are otherwise found to be in compliance, SGC shall independently fulfill its obligations as to the Affordable Housing Development Capital Projects and Housing Related Infrastructure.
ii. The rights and remedies of the SGC and Grantee provided in this Section shall not be exclusive and are in addition to any other rights and remedies provided by law or under this Grant Agreement.

35. Governing Law and Venue
This Grant Agreement will be governed by the laws of the State of California without regard to conflicts of law principles. Venue will be in Sacramento County, California.

36. Grantee Independence/Not an Agent of the State
Grantee, and its employees, agents, Subcontractors, and Partners, in their performance of this Grant Agreement, must act in an independent capacity and not as officers or employees or agents of the State.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions

37. Indemnification
Grantee agrees to indemnify, defend (with counsel reasonably approved by the State) and hold harmless the State, its employees, officers or agents from and against any and all third- party claims, injury, damages, liability, loss or attorneys’ fees arising out of or in connection with the subject matter, terms or performance of this Grant Agreement, and from any suit, proceeding or challenge against the State and its employees, officers or agents by a third party alleging that by virtue of the terms of this Grant Agreement, the State and its employees, officers or agents have done any wrongful act or breached any representation, whether based on a claim in contract, tort or otherwise, excepting gross negligence and intentional misconduct.

38. Waiver
Grantee waives any and all rights to any type of express or implied indemnity or right of contribution from the State, officers, agents or employees, for any liability arising from, growing out of, or in any way connected with this Grant Agreement. Grantee waives all claims and recourses against the State, including the right to contribution for loss or damage to persons or property arising from, growing out of or in any way connected with or incident to this Grant Agreement, except claims arising from the gross negligence and intentional misconduct of the State, its officers, agents, and employees. None of the provisions of this Grant Agreement will be deemed waived unless expressly waived in writing. No waiver or any breach of the Grant Agreement shall be held to be a waiver of any prior or subsequent breach. The failure of SGC to enforce at any time the provisions of this Grant Agreement or to require at any time performance by Grantee of these provisions shall in no way be construed to be a waiver of such provisions nor affect the validity of this Grant Agreement or the right of SGC to enforce these provisions.

39. No Third-Party Beneficiaries
This Grant Agreement is not intended for the benefit of any person or entity other than the Parties, and no one other than the Parties themselves may enforce any of the rights or obligations created by this Grant Agreement.

40. Force Majeure
Neither the State nor Grantee will be responsible hereunder for any delay, default, or nonperformance of this Grant Agreement, to the extent that such delay, default, or nonperformance is caused by an act of God, weather, accident, enemy or hostile governmental action, civil commotion, strikes, lockouts, labor disputes, fire or other casualty, or other contingencies unforeseen by the State or Grantee, its Partners, Subcontractors, or vendors, and beyond the reasonable control of such party.

41. Expatriate Corporations
Grantee hereby declares that it is not an expatriate corporation or subsidiary of an expatriate corporation within the meaning of Public Contract Code Section 10286 and 10286.1, and is eligible to contract with the State of California.

42. Corporation Qualified to do Business in California
When work under this Grant Agreement is to be performed in California by a corporation, the corporation must be in good standing and currently qualified to do business in the state.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions "Doing business" is defined in Revenue and Taxation Code Section 23101 as actively engaging in any transaction for the purpose of financial or pecuniary gain or profit.

43. Certificate of Compliance with Russia Sanctions
Per Executive Order N-6-22, all contractors and grantees that have agreements valued at $5 million or more with agencies or departments subject to the California Governor’s authority are directed to report their compliance with economic sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well as sanctions imposed under state law, if any. Grantees subject to the certification requirement should carefully review the Executive Order and the economic sanctions imposed in response to Russia’s actions in Ukraine, including, but not limited to, the federal executive orders identified in Executive Order N-6-22, sanctions identified by the U.S. Department of the Treasury, and sanctions imposed under state law, if any. A certification of compliance, included as Attachment D-10, must be returned to SGC prior to any disbursement of grant funds.

Additionally, should SGC at any time determine Grantee is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this agreement. SGC shall provide Grantee advance written notice of such termination, allowing Grantee at least 30 calendar days to provide a written response. Termination shall be at the sole discretion of the SGC.”

44. Self-Dealing and Arm’s Length Transactions
All expenditures for which reimbursement pursuant to this Grant Agreement is sought must be the result of arm’s-length transactions and not the result of, or motivated by, self-dealing on the part of Grantee or any employee or agent of Grantee.

45. Relocation
If a project is subject to State Relocation Law and a relocation plan is required by State Relocation Law (Gov. Code, § 7260 et seq.) and Section 6038 of the Relocation Assistance and Real Property Guidelines (25 Cal. Code of Regulations, div. 1, ch. 6, § 6000 et seq.) for the Project Area, Grantee must provide a copy of the relocation plan.

46. Americans with Disabilities Act
Grantee certifies that itself, its Partners, and Subcontractors comply with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines pursuant to the ADA (42 U.S.C. 12101 et seq.).

47. Non-discrimination Clause
During the performance of this Grant Agreement, Grantee, Partners, and Subcontractors will not unlawfully discriminate, harass, or allow harassment against any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor will they discriminate unlawfully against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition,

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status.

Grantee, Partners, and Subcontractors must ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Grantee, Partners, and Subcontractors must comply with the provisions of the Fair Employment and Housing Act (Gov. Code, § 12990 et seq.) and the applicable regulations promulgated there under (Cal. Code Regs., title 2, § 11005 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a)-(f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Grant Agreement by reference and made a part hereof as if set forth in full. Grantee must ensure that itself, Partners, and Subcontractors give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other grant agreement.

Grantee must include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform services under this Grant Agreement.

48. Drug-Free Workplace Certification
Grantee certifies that it will provide a drug-free workplace to employees of Grantee, Partners, and Subcontractors by taking the following actions:
i. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited in the organization’s workplace and specifying the actions that will be taken against employees for violations of the prohibition.
ii. Establish a drug-free awareness program to inform employees about:
a. The dangers of drug abuse in the workplace;
b. The organization's policy of maintaining a drug-free workplace; c. Any available counseling, rehabilitation, and employee assistance programs; and, d. Penalties that may be imposed upon employees for drug abuse violations. iii. Every employee who works on the Grant Agreement must:
a. Receive a copy of the company's drug-free workplace policy statement; and, b. Agree to abide by the terms of the company's statement as a condition of employment on the Grant Agreement.

49. Child Support Compliance Act
Grantee recognizes the importance of child and family support obligations and must fully comply with all applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Family Code Section 5200 et seq.; and Grantee, to the best of its knowledge, is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the California Employment Development Department.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions

50. Environmental Justice
In the performance of this Grant Agreement, Grantee must conduct its programs, policies, and activities that substantially affect human health or the environment in a manner that ensures the fair treatment of people of all races, cultures, and income levels, including minority populations and low-income populations of California, consistent with Government Code section 65040.12, subdivision (e).

51. Union Organizing
By signing this Grant Agreement, Grantee hereby acknowledges the applicability of Government Code Sections 16645, 16645.2, 16645.8, 16646, 16647, and 16648 to this Grant Agreement and hereby certifies that:
i. No grant funds disbursed by this Grant Agreement will be used to assist, promote, or deter union organizing by employees performing work under this Grant Agreement. ii. If Grantee makes expenditures to assist, promote, or deter union organizing, Grantee must maintain records sufficient to show that no state funds were used for those expenditures, and that Grantee must provide those records to the Attorney General upon request.

52. Prevailing Wages and Labor Compliance
Grantee certifies that it will comply with all prevailing wage requirements under California law, pursuant to Section 1720 et seq. of the California Labor Code. The California Labor Code requires payment of locally prevailing wages to workers and laborers on state government contracts in excess of $1,000 for public works projects. A “public work” is the construction, alteration, demolition, installation, repair, or maintenance work done under contract and paid for in whole or in part out of public funds. The definition applies to private contracts when certain conditions exist. Grantee can identify additional stipulations and exceptions under Cal. Labor Code § 1720 et seq.
i. Grantee must ensure the following on “public work” activities under this Grant Agreement:
a. Prevailing wages are paid;
b. The project budget and invoices for labor reflects these prevailing wage requirements, or if exempt, provide the applicable exemption to SGC with the project budget; and
c. The project complies with all other requirements of prevailing wage law including but not limited to keeping accurate payroll records and complying with all working hour requirements and apprenticeship obligations.
ii. Grantee must ensure that its Partners and Subcontractors, if any, also comply with prevailing wage requirements. Grantee must ensure that all agreements with its Partners and Subcontractors to perform work related to the TCC Project contain the above terms regarding payment of prevailing wages on public works projects. iii. The Department of Industrial Relations (DIR) is the primary resource for consultation on the requirements of California prevailing wage law.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions a. Grantee can identify the rates for prevailing wage on the DIR website at http://www.dir.ca.gov. Grantee may contact DIR for a list of covered trades and the applicable prevailing wage.
b. If Grantee is unsure whether the TCC Project or individual projects receiving this award is a “public work” as defined in the California Labor Code, it may wish to seek a timely determination from the DIR or an appropriate court. c. If Grantee has questions about this contractual requirement, recordkeeping, apprenticeship or other significant requirements of California prevailing wage law, it is recommended Grantee consult DIR and/or a qualified labor attorney before accepting this grant award.

53. Publicity
Grantee agrees that it will acknowledge SGC in all publications, websites, signage, invitations, and other media-related and public-outreach products related to the TCC grant.

SGC staff will provide SGC logo files and guidance on their usage directly to Grantee. Grantee agrees to adhere to the TCC Communications Kit provided by SGC (Attachment D-8). If Grantee is planning an event or announcement, needs sample materials, or needs assistance or advice regarding digital or print materials, press, social media, and/or general communications, please contact your TCC Grant Manager.

A. Long-Form Materials: Long-form written materials, such as reports, must include the following standard language about SGC and TCC:

The Transformative Climate Communities (TCC) Program funds community-led development and infrastructure projects that achieve major environmental, health and economic benefits in California’s most disadvantaged communities. TCC empowers the communities most impacted by pollution to choose their own goals, strategies, and projects to enact transformational change – all with data-driven milestones and measurable outcomes. This program is administered by the California Strategic Growth Council (SGC) which coordinates the activities of State agencies and partners with stakeholders to promote sustainability, economic prosperity, and quality of life for all Californians. www.sgc.ca.gov.

B. Press Releases, Flyers, and Visual Materials: Any informational materials that do not qualify as long-form, but that include at least a paragraph of text, such as press releases, media advisories, short case studies, some flyers, etc., should include following language:
“[Project Name] is supported by California Strategic Growth Council’s Transformative Climate Communities program with funds from California’s General Fund.

Grantee may at times produce promotional materials that are primarily visual in nature, such as banners, signage, certain flyers, and sharable images for social media. In such cases, when including the above boilerplate language acknowledging SGC support is not practical, Grantee should instead include the official logo of SGC, preceded by the words “Funded by.”

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions i. See TCC Communications Toolkit, Attachment D-8, for approved tags.

54. Right to Publish
i. Subject to any restrictions on the publication, disclosure, dissemination and use of data or information set forth in this Agreement or under any applicable law, Grantee shall have the right to publish, disclose, disseminate, and use, in whole and in part, any data and information received or developed under this Agreement. ii. Grantee shall ensure that publications, presentations, and other public releases resulting from work performed under this Agreement are provided to the State for review at least thirty (30) calendar days prior to publication and will identify the proposed recipient(s).

During the first twenty (20) calendar days of such review period, the State may provide notice to the Grantee that it intends to rebut some or all aspects of the presentation, publication, or other media release. The State will then have thirty (30) calendar days from the date of notice to prepare and submit such rebuttal to the recipient(s) identified by the Grantee. Within the review period, the State may provide feedback to the Grantee; the Grantee will give good faith consideration to such feedback but has no obligation to make any changes in said material, other than the removal of any material whose disclosure is prohibited or restricted by this Agreement or by any applicable law.

Any of the above referenced time periods maybe modified upon agreement of both Parties. Neither Party may unreasonably deny such requests. Terms & Conditions Required for State-Funded Research Grants
The Parties shall comply with the California Taxpayer Access to Publicly Funded Research Act (Government Code section 13989 et seq.), including but not limited to:
a. Grantee is responsible for ensuring that any publishing or copyright agreements concerning submittal of peer-reviewed manuscripts based on work performed under this Agreement fully comply with Government Code section 13989 et seq. b. For a peer-reviewed manuscript accepted for publication, Grantee shall ensure that the peer-reviewed manuscript be available no later than 12 months after the official date of publication on a publicly accessible repository approved by the State, including but not limited to:
(i) CSU ScholarWorks at the Systemwide Digital Library
(http://www.calstate.edu/library), or
(ii) UC California Digital Library (https://www.cdlib.org/), or (iii) PubMed Central (https://www.ncbi.nlm.nih.gov/pmc/). c. Grantee shall instruct the Principal Investigator to report to the State the final disposition of the peer-reviewed manuscript, including but not limited to:
(i) whether it was published,
(ii) where it was published,
(iii) when it was published,
(iv) when the 12-month period after publication expires; and (v) where the manuscript will be available for open access.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT A - SCOPE OF WORK Part 2 – General Terms and Conditions d. The State shall retain information regarding all issued research grants that resulted in published works.

55. Copyrights
i. All rights in copyrightable works first created by Grantee in the performance of the Budget and Schedule of Deliverables, in B, under this Agreement are the property of Grantee. Grantee shall grant the State a fully paid-up, royalty-free, nonexclusive, sublicensable, irrevocable license to use, reproduce, prepare derivative works, and distribute copies of the deliverables identified in Exhibit B, to fulfill the State’s government purposes.
ii. Notwithstanding the above, if the purpose of the Budget and Schedule of Deliverables is specifically to create a copyrightable work for use by the State then all rights in such copyrightable work will be the property of the State, subject to a reserved right for Grantee to use the copyrightable work for educational and research purposes and to allow other educational and nonprofit institutions to do so for educational and research purposes.
iii. SGC may make written requests for delivery of works first created in the performance of the Budget and Schedule of Deliverables, but which were not identified as deliverables.

To the extent Grantee is legally able to do so, Grantee shall grant a fully paid-up, royalty- free, nonexclusive, sublicensable, irrevocable license to use, reproduce, prepare derivative works, and distribute copies, to fulfill the State’s government purposes.

56. Recycled Contents Products
Grantee must ensure each Lead Entity certify in writing under penalty of perjury, the minimum, if not exact, percentage of post-consumer material as defined in the Public Contract Code Section 12200, in products, materials, goods, or supplies offered or sold to the State regardless of whether the product meets the requirements of Public Contract Code Section 12209. With respect to printer or duplication cartridges that comply with the requirements of Section 12156(e), the certification required by this subdivision must specify that the cartridges so comply (Pub. Contract Code § 12205).

57. Severability
If a court of competent jurisdiction holds any provision of this Grant Agreement to be unlawful, unenforceable, or invalid in whole or in part for any reason, such provisions will be severed without affecting any other provision of this Grant Agreement. The validity and enforceability of the remaining provisions, or portions of those provisions, will not be affected.

58. Terms that Survive Grant Agreement
The following Sections survive the termination or expiration of the Grant Agreement: 4, 20, 21, 22, 23, 24, 26, 28, 29, 34(i)(d), 35, 36, 37, 38, 39, 40, 53, 54, 55, 56, and 58.

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans EXHIBIT B – BUDGET AND SCHEDULE OF DELIVERABLES
Total Awarded Grant Funds
The total amount awarded for this grant will not exceed twenty-four million, one hundred and sixty-five thousand, five hundred and ten dollars ($24,165,510.00).

Total Leverage Funds
The total leverage funds for this grant will equal no less than fifteen million, four hundred thousand, four hundred and ninety dollars ($14,036,607.06).

Summary Budget
TCC Project Component Lead Entity Grant Funds Leverage Funds Grantee Costs City of Stockton $2,416,551.00 $401,795.50 #1 – McKinley Park Renovation City of Stockton Public Works $750,000.00 $13,087,000.00 #2 – Climate Careers Energy
Rising Sun Center for
Opportunity $3,524,810.00 $0
#3 – Hybrid Electric Bus Acquisition
San Joaquin Regional Transit
District $1,057,554.00 $34,322.00
#4 – Single-Family Solar GRID Alternatives North Valley $3,926,275.00 $450,000.00 #5 – Multi-Family Solar GRID Alternatives North Valley $607,092.00 $0 #6 – Urban Forest Renovation
City of Stockton Public Works &
Little Manila Rising $4,509,930.00 $0
#7 – Edible Education on the Farm Edible Schoolyard Project $2,500,751.00 $0 #8 – DAWN Program Little Manila Rising $1,006,066.00 $0 Community Engagement Plan Public Health Advocates $1,691,586.00 $0 Workforce Development and Economic Opportunities
Plan $1,208,276.00 $63,489.56
Displacement Avoidance Plan City of Stockton $241,654.00 $0 Indicator Tracking Plan $724,965.00 $0
TCC Project Total $24,165,510.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Grantee Costs
Description: The City will hire staff to administer and oversee the TCC Implementation Grant. The City will coordinate the implementation of all projects, transformative plans, and all other TCC-related activities.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Grant Administration

A: Onboard administrative staff A: 1) Hire Director of Office of Sustainability
2) Hire 2 Program Manager III
3) Hire Senior Management
Assistant
4) Hire Office Specialist
Project
Completion
Period
$2,392,872.50 $401,795.50
B: Submit bimonthly invoices and progress
reports
B: Submit bimonthly invoices and
progress reports
C: Submit annual report detailing TCC
progress for each year of the grant.

C: Submit annual report for each
year of the grant
D: Host and attend meeting with Partners
(meeting with TCC staff, monthly check-in
meetings with Partners, organize
Collaborative Stakeholder Structure
meetings)
D: 1) Provide updates in
bimonthly progress reports
2) Regular check-in meetings with
TCC staff
3) Host steering committee
meetings to coordinate all projects
and transformative plans
Equipment N/A
Project
Completion
Period
$0 $0
Contingency $23,678.50 $0
Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$0 $0
Grantee Total $2,416,551.00 $401,795.50

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Budget and Schedule of Deliverables for Funded Projects

Project # and Name: 1 - McKinley Park Project Strategy: 7 - Urban Greening and Green Infrastructure Lead Entity: City of Stockton Public Works
Project Description: The McKinley Park Project will completely transform the existing dilapidated site into a beautiful park full of amenities and activities. The largest municipal park in South Stockton (23 acres), McKinley Park will once again offer a swimming pool, soccer fields, picnic areas, futsal courts, basketball courts, and a baseball field. Residents will once again be able to walk through this beautiful park on brand new pathways and enjoy an afternoon under the shade of newly planted trees. TCC funds will be used to pay for mobilization of construction efforts, tree planting, play fields, walking paths, and bioswales.

Operations & Maintenance Plan: The City of Stockton will utilize its General Fund for all operations and maintenance needs for the project. No operation and maintenance needs for the project will be dependent on any grant funds. The City’s Public Works Department will be responsible for the ongoing maintenance, replacement, and repair of the facility during and after the grant term.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Project Start-up

A: Preparation of project plans,
specifications, and estimate for
advertising on the city website.

Reviewing contractors’ bids and
routing contract to city council for
award.

A:
1) Final notice of bid selection
(web link, if available)
2) Final project plans (design
plans, project schedule)
3) Proof of advertisement on City
website (can be screenshot,
weblink, etc.)
Grant Execution
- 2026
$37,500.00 $0
B: Mobilization, traffic control,
construction surveying, and grading
at McKinley Park.

B. Inspection report summarizing
the completion of mobilization,
traffic control, construction survey,
and grading at McKinley Park.

Task 2: Planting Trees

A: Install 150 trees throughout
McKinley Park.

A: Installation of 150 new trees,
demonstrated by inspection report
including pictures
Grant Execution
- 2025
$71,800.00 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans B: New water efficient irrigation
system for the 150 trees.

B: Installation of new irrigation
system for all trees, demonstrated
by inspection report.

Task 3: Turf Install at New Softball Field
A: Installation of 41,548 SF of turf
from sod for the softball field at
McKinley Park.

A: Installation of turf from sod for
the softball field, demonstrated by
inspection report
Grant Execution
- 2025
$124,644.00 $0
Task 4: Installation of Walking Paths
A: Installation of approximately
11,466 SF of concrete and 6,865 SF
of decomposed granite walkways
around the perimeter of the soccer
fields at McKinley Park.

A: Installation of concrete and
decomposed granite walkways,
demonstrated by inspection report
Grant Execution
- 2025
$350,403.00 $0
Task 5: Demolish & Install of Bioswale at 8th Street Parking Lot A: Removal of approximately 1000
SF of asphalt pavement and
aggregate bases at 8th Street
parking lot at McKinley Park.

A: Removal of pavement for the
bioswale improvements,
demonstrated by inspection
report.

Grant Execution
- 2025
$97,470.30 $0
B: Installation of the 1530 SF
bioswale along the east landscaping
area of the 8th Street parking lot.

B: Installation of bioswale
improvements, demonstrated by
inspection report.

Task 6: Pool & Pool House Improvements
A: Demolition of the existing pool
house, construction of new pool
house, renovation of the pool, pool
deck repairs, and new pool piping
installation.

A: Installation of pool related
amenities at McKinley Park,
demonstrated by inspection
report.

Grant Execution
- 2025
$0 $3,156,311
Task 7: McKinley Park Amenities

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans A: Installation of new picnic shelters,
new ball fields, play area,
restrooms, basketball courts, futsal
courts, soccer fields maintenance,
landscaping and irrigation system
modification, pathway lighting,
parking lot ADA modifications, and
parking lot resurfacing at the
McKinley Park.

A: Installation of all other park
amenities at McKinley Park,
including but not limited to picnic
shelters, ball fields, play areas,
restrooms, basketball courts,
landscaping, irrigation, lighting,
and parking lot resurfacing.

Demonstrated by inspection
report.

Grant Execution
- 2025
$0 $7,893,713
Task 8: Grant Administration
A: Manage and oversee
implementation of the design and
construction of the project.

A: Bimonthly invoicing, progress
reports, annual reporting, and
annual data reporting.

Grant Execution
- 2026
$68,182.70 $863,792
Equipment N/A Project
Completion
Period
$0 $0
Contingency $0 $1,173,184
Indirect costs consistent with the
TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$0 $0
Project Total $750,000.00 $13,087,000.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Project # and Name: 2 - Climate Careers Program: Energy & Water Strategy:
4 - Solar Installation, Energy Efficiency, and
Appliance Electrification
&
5 - Water Efficiency
Lead Entity: Rising Sun Center for Opportunity
Project Description: Rising Sun will operate its Climate Careers program throughout the Project Area, hiring low-income youth to deliver Green House Calls and benefit from an earn-and-learn experience focused on residential energy and water efficiency services, while also benefiting from: professional development workshops, a paid work experience, environmental justice and education workshops, career exposure opportunities, one-on-one interactions with Youth Development Specialists and more.

Operations & Maintenance Plan: Clients participating in Rising Sun’s provided service will be able to express any challenges faced after their service date (e.g., defective items). Rising Sun will work with the recipient of the service to remedy the situation within the grant term. Standard quality assurance steps will be taken on a case-by-case basis. Residents may conduct maintenance themselves for the newly installed items. In the event there is an installation error, the resident can reach out to Rising Sun to resolve the matter. In the event an item is defective from the manufacturer, Rising Sun would provide the contact information for the vendor. The client would then be responsible for contacting the respective vendor for the steps to take within the company warranty guidelines.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Research and Program Redesign
A: Full-time staff will begin
redesigning the program, update
existing curriculum, manage program
implementation, and create new
staffing models to support the
program.

A: Updated curriculum and staffing
models
Grant
Execution -
2026
$886,014.96 $0
B: Analyze data related to project
materials installed during the previous
years to get an accurate projection for
materials needed in a programmatic
year
B: Biannual inventory forecasting
Task 2: Outreach and Recruitment

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans A: Rising Sun will create outreach
content and conduct marketing to
secure client interest and sign-ups for
receiving the Green House Call
service and retrofits.

A: Outreach collateral creation:
clear concise door hangers, one-
page guides, program post cards,
digital flyers for email distribution
Grant
Execution -
2026
$552,736.20 $0
B: Conduct outreach throughout the
Project Area in order to secure
enough sign-ups for the Green House
Call service and retrofits.

B:
1) Summary of outreach efforts (at
least quarterly)
2) 425 sign-ups total
C: Rising Sun will enter into three
separate contracts with outreach
partners to engage with organizations
and groups in the Project Area, and to
further support the recruitment of
Green House Call recipients.

C: Final contracts with
approximately three organizations
to target outreach within Project
Area
D: Hire seasonal staff
1) Rising Sun will create job
descriptions for all temporary staff,
including: Energy Specialist/ Driver,
LIFT, Summer Program Manager,
Youth Development Specialist,
Appliance Program Specialist Youth
Externs, Externship Manager,
Appliance Program Manager. and
Operations Coordinator
2) Post job opportunity and host
interviews
3) Hire, train, & onboard
D: Hired and onboarded:
16 Energy Specialist/ Drivers,
2 LIFTs,
4 Summer Program Managers,
2 Youth Development Specialists,
3 Operations Coordinators,
6 Appliance Program Specialists,
24 Youth Externs, and
3 Externship Managers
Task 3: Program Implementation

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans A: Provide on-boarding training to Site
Program Manager and Summer
Program Manager. Training to
include: Rising Sun HR onboarding
and policies, employee rights, youth
recruitment, client recruitment, and
other pre-program tasks and
responsibilities.

A: Summary of on-boarding training
provided to Site Program manager
and Summer Program Manager
Grant
Execution -
2026
$1,184,662.78 $0
B: Provide on-boarding training to
LIFT and Youth Development
Specialists. Training to include: Rising
Sun HR onboarding, employee rights,
site office principles, practices, and
standards, youth management and
training, how to conduct a Green
House Call, how to perform QA/QC
and ensure high levels of
accountability, etc.

B: Summary of on-boarding training
provided to LIFT and Youth
Specialists
C: Provide on-boarding training to
Energy Specialists and Energy
Specialist Drivers. Training to include:
experience professional development
workshops and eco-literacy
workshops, and become
knowledgeable of all Rising Sun
policies and HR procedures and
employee rights and benefits.

C: Summary of on-boarding training
provided to Energy Specialists and
Energy Specialist Drivers
D: Conduct Green House Calls
throughout the Grant Project Area.

D: Green House Call
implementation and service 425
total homes (Year 2: 225, Year 3:
200)

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans E: Qualify Green House Call
recipients with water and energy
appliance organizations
(subcontractors) for install and/or
repairs
E: Log of households registered for
appliance upgrades
F: Install energy efficiency measures
into residents’ homes
F: Install:
4,250 A19 LEDs,
1,275 BR30 LEDs,
425 LED night lights,
425 Tier II advanced power strips
G: Install Energy Efficient appliance
upgrades with subcontractor and
Rising Sun Staff
G: Install:

Ceiling fan: 30,
Electronically Commutated Blower
Motor (ECM): 30,
Electric heat pump water heater:
45,
Electric stovetop: 30,
Electric dryer: 90,
Electric oven: 30,
Electric range: 60,
Refrigerator: 60,
Water heater blanket: 45,
Smart thermostat: 60
H: Install water efficiency measures
into residents’ homes
H: Install:

Low flow kitchen aerator: 425,
Bathroom aerator: 425,
Shower head: 425
I: Install Water Efficient appliance
upgrades with subcontractor and
Rising Sun Staff
I: Install:

Residential dishwasher: 90,
Toilet: 105,
Clothes washer: 90,
Thermostatic Shower Valve (TSV):
30 ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans J: Provide career exploration
workshops for seasonal employees.

J: 2-4 career exploration workshops
K: Provide ongoing support to youth
participants to help them reduce
barriers to subsequent employment
and secure jobs after their seasonal
position ends
K: For each participant provided
support services, Rising Sun will
provide a summary of the support
services rendered to that
participant.

L: Provide work experience stipends
for seasonal work participants
L: Work experience opportunity for
24 participants
M: Rising Sun will purchase
technology equipment that will be
used for the
operations/implementation for
program needs
M: Approximately 12 laptops or
computers and 5 tablets purchased
Task 4: Data Analysis and Reporting
A: After each summer program
season, Rising Sun will report
deliverables and outcomes
A: Annual reports submitted after
summer season.

Grant
Execution -
2026
$4,350.00 $0
B: Bimonthly and grant close out
reports and invoices
B: Bimonthly invoicing, progress
reports, annual reporting, and grant
close out reporting.

C: Project-wide data analysis C: Summary report for the appliance upgrade and Green
House Call program
D: Indicator tracking D: Provide data as requested to
evaluation partner
Task 5: Grant Administration
A: Professional development for staff
and attending conferences
A: Summaries of 1-3 professional
development opportunities for each
FTE
Grant
Execution -
2026
$478,727.39 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans B: Administrative staff and operational
staff will support the program as it
applies to payroll and HR related
tasks
B: Onboard/ process payroll for 75-
80 employees
Equipment
N/A
Project
Completion
Period
$0 $0
Contingency $4,879.41 $0
Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$413,439.26 $0
Project Total $3,524,810.00 $0.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Project # and Name: 3 - Hybrid Electric Bus Purchase Strategy: 3.2 - Transit and Rail Access Lead Entity: San Joaquin Regional Transit District
Project Description: San Joaquin Regional Transit District (RTD) seeks funding to acquire one hybrid electric bus for the frequency expansion of Route 576. The acquisition of the hybrid electric bus will begin following the grant award process and end with the deployment of the bus into service. The project will also support training of RTD staff to maintain the purchased bus as well as monitoring of the bus through the CALSTART program Operations & Maintenance Plan: RTD will operate the buses acquired as part of this project in accordance with its Operator Handbook and will maintain the buses in accordance with its Vehicle Maintenance Plan after the end of the grant term. RTD will primarily utilize revenue from the following sources to fund the operations and maintenance of the buses after the end of the grant term: FTA 5307, State Transit Assistance Fund (STA), Local Transportation Fund (LTF), and passenger revenues.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Purchase of Hybrid Electric Bus
A: Identify available options on
existing contracts or release an RFP
for one hybrid electric bus and award
third-party contract.

A: Contract for bus purchase Grant
Execution -
2025
$985,014.00 $0
B: Accept delivery of one hybrid
electric bus.

B: One bus delivered
C: Deployment of one hybrid electric
bus. Increase in frequency of Route
576.

C: One bus deployed and in
operation. Confirmation of
anticipated operating routes
provided to TCC staff. Updated
route schedules identifying
increased frequency of route.

Task 2: Hybrid Specific Training
A: Final list of training required
following purchase of hybrid bus
A: List of trainings required 2025 $60,540.00 $34,322.00 B: Maintenance bus orientation B: Log of completed trainings C: Bus safety and familiarization C: Log of completed trainings D: Cummins engine specific training D: Log of completed trainings

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans E: Allison hybrid specific training E: Log of completed trainings Task 3: CALSTART Emission Calculations & Performance Monitoring A: Administrative support from
CalSTART, kick-off meeting, and
semi-annual reports
A:
1) Kickoff meeting notes
2) Semi-annual reports
2025 - 2026 $12,000.00 $0
B: Data collection and vehicle
analysis/performance monitoring
B:
1) Test plan
2) Monthly data summaries
(submitted during bimonthly TCC
invoicing)
3) Annual reports,
4) Final technical report
C: Workforce development: Develop a
strategy to ensure incoming
technicians are properly trained.

Identify standard operating
procedures for hydrogen, electric, and
hybrid electric buses
C: Summary of workforce strategy
and standard operating procedures
for zero emissions buses
Task 4: Grant Administration
A: Manage and oversee
implementation of the project.

A: Bimonthly invoicing, progress
reports, annual reporting, and
annual data reporting.

Grant
Execution -
2026
$0 $0
Equipment N/A Project
Completion
Period
$0 $0
Contingency $0 $0
Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$0 $0
Project Total $1,057,554.00 $34,322.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Project # and Name: 4 - Energy for All - Single-Family Strategy: 4 - Solar Installation, Energy Efficiency, and Appliance Electrification
Lead Entity: GRID Alternatives North Valley
Project Description: GRID will provide 393 kW-DC of installed solar capacity benefitting up to 87 low-income single-family households/property owners in the Project Area, including 32-35 cool roofs, while engaging learn-and-earn trainee participants in the project implementation. GRID will complete solar readiness (e.g., roof repairs) of homes to install solar as needed.

Operations & Maintenance Plan: Warranties for the solar systems are factored into the solar installation's initial costs and TCC grant request, so they are provided at no additional cost to the client. GRID will repair and service any issues under our 10-year labor warranty, starting from the date of solar installation completion. This is in addition to any third-party owner's 5-year roof penetration warranty, and a 20-year no-cost repair warranty. These warranties do not cover issues unrelated to the solar system or any pre-existing conditions.

The typical long-term maintenance required is keeping the panels clean and free of additional shade. For the multifamily solar systems, the owner is responsible for operations and maintenance (“O&M”).

Under a third-party owner prepaid power purchase agreement (PPA), the benefitting low-income households continue to be responsible for keeping greenery trimmed and not permitting any condition that would cause the solar system to not operate as intended. The homeowners and affordable housing owners are responsible for notifying GRID if there is a problem, such as damage, disturbance, or theft of the solar system, so it can be addressed swiftly.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Conduct Outreach and Qualify Households/Property Owners A: Develop outreach plan A: Outreach plan, materials, and marketing.

Project
Completion
Period
$281,925.54 $102,660.00
B: Identify and qualify low-income
households/property owners
based on program eligibility
B: Report the number of:
1) Events attended and outreach
tabling/marketing campaigns
conducted
2) Qualified applications received
C: Secure contracts with qualified
households/property owners
C: Number of completed contracts for
system installations
Task 2: Single Family Solar Installation

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans A: Finalize solar PV system
designs and secure building
permits and other approvals as
appropriate
A: Report the number of:
1) Completed solar PV designs
2) Building permits approved by the
City of Stockton
Project
Completion
Period
$2,321,460.39 $76,781.00
B: Complete solar readiness (roof
repairs, cool roofs, etc.) and install
solar systems
B: Report the number of:
1) Repairs/re-roofs completed
(anticipate 32-35 cool roofs)
2) Completed installations of up to 393
kW of solar PV systems total across
approximately 87 properties
3) Received permission to operate
(PTO) from utility
C: Conduct post-installation
follow-up
C: Warranty information delivered to
households/property owners
Task 3: Workforce Development and Trainee Participation on Solar Installations A: Conduct outreach, complete
cohort trainings, and engage
community members in learn-and-
earn solar installation
A:
1) Installation Basics Training (IBT)
program completed by 48 trainee
participants
2) 4-6 interns hired for paid positions
through grant term
Project
Completion
Period
$472,933.41 $100,000.00
Task 4: Grant Administration
A: Grant and contract
administration, including bimonthly
invoicing and progress reports
A: Project management and reports
completed and submitted as required
Project
Completion
Period
$422,463.03 $170,559.00
B: Indicator tracking and annual
reporting
B: Annual data reporting
Equipment N/A Project
Completion
Period
$0 $0
Contingency $34,492.63 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant agreement, at a
rate approved under this grant
agreement.

Project
Completion
Period
$393,000.00 $0
Project Total $3,926,275.00 $450,000.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Project # and Name: 5 - Energy for All - Multi-Family Strategy: 4 - Solar Installation, Energy Efficiency, and Appliance Electrification Solar Installation and
Energy Efficiency
Lead Entity: GRID Alternatives North Valley
Project Description: GRID Alternatives North Valley (GRID) will install 85 kW-DC of solar capacity for one (1) project in the Project Area. The project will aid in the reduction of greenhouse gas emissions, lower costs for the affordable housing operator and low-income tenants, and provide clean energy accessibility to the community within the Project Area. Additionally, GRID Alternatives will continue project development efforts to evaluate additional MF properties for solar within the grant term.

Operations & Maintenance Plan: Warranties for the solar systems are factored into the solar installation's initial costs and TCC grant request, so they are provided at no additional cost to the client. GRID will repair and service any issues under our 10-year labor warranty, starting from the date of solar installation completion. This is in addition to any third-party owner's 5-year roof penetration warranty, and a 20-year no-cost repair warranty. These warranties do not cover issues unrelated to the solar system or any pre-existing conditions.

The typical long-term maintenance required is keeping the panels clean and free of additional shade. For the multifamily solar systems, the owner is responsible for operations and maintenance (“O&M”).

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Conduct Predevelopment and Qualify Eligible Multifamily Property within the Project Area A: Confirm eligible multifamily
properties in the Project Area
A: One (1) multifamily property confirmed
for solar PV in Project Area
Grant
Execution -
2024
$36,514.98 $0
B: Secure contracts with
property owners/operators
B: Completed contract for system
installations
Task 2: Install 85 kW-DC of Solar PV on an Eligible Multifamily Property within the Project Area A: Finalize solar PV system
designs and secure building
permits and other approvals as
appropriate
A: Completed Solar PV Design
Building permit received from City of
Stockton
Grant
Execution -
2027
$242,044.09 $0
B: Install solar PV systems B: Completed installation of PV System Received permission to operate (PTO)
from utility
C: Conduct post-installation
follow-up
C: Warranty information delivered to
owner

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Task 3: Grant Administration
A: Grant and contract
administration, including
bimonthly invoicing and
progress reports
A: Project management and reports
completed and submitted as required
Grant
Execution -
2027
$191,660.82 $0
B: Indicator tracking and
annual reporting
B: Annual data reporting
Equipment N/A Project
Completion
Period
$0 $0
Contingency $85,001.62 $0
Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant agreement, at a rate
approved under this grant agreement.

Project
Completion
Period
$51,870.49 $0
Project Total $607,092.00 $0.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Project # and Name: 6 - Urban Forest Renovation Project Strategy: 7 - Urban Greening and Green Infrastructure Lead Entity: City of Stockton, Public Works
Project Description: This project will create a sustainable urban forestry program that will plant and manage trees to improve the quality of life for residents. The project includes: removal of 500 stumps and planting approx. 1,500 new trees at locations where trees were lost to natural events, identifying opportunities for planting new trees, and workforce training. The City of Stockton's Public Works department will work alongside Little Manila Rising to implement this project.

Operations & Maintenance Plan: The City of Stockton provided a Tree Operations & Maintenance Plan drafted for this TCC project. The City of Stockton will be responsible for the ongoing maintenance plan during the grant term and will use subcontractors to plant and maintain trees during the grant term and for post-grant maintenance. After the end of the initial four years, funding sources available for operations and maintenance will be requested from the General Fund to be allocated for tree services. At the time of grant agreement execution, the General Fund has obligated a budget of approximately $1.5 million annually for its trees.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Urban Greening - City of Stockton
A: Hire City Arborist A: Job description Project
Completion
Period
$1,929,280.00 $0
B: Identify planting spaces and
stump removal sites
B: Identify 500 planting sites and
500 stump removal sites
C: Conduct an RFP process to
identify a subcontractor for stump
removal, site preparation, tree
planting and maintenance during
the grant term.

C: Final contract
D: Remove stumps D: Report or other documentation
demonstrating 500 stumps were
removed per stipulations of Public
Works' contract with
subcontractor

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans E: Prepare planting sites
(decomposed granite, concrete
cutting, etc.)
E: Report or other documentation
demonstrating 500 planting sites
were prepared per stipulations of
Public Works' contract with
subcontractor
F: Plant trees on streetscapes, city
rights-of-way, and parks.

F: Report or other documentation
demonstrating 500 trees were
planted per stipulations of Public
Works' contract with
subcontractor
G: Maintain trees planted.

Maintenance will consist of regular
tree care (e.g., spreading mulch,
rebuilding berms, pruning, re-
staking, and watering as
necessary).

G: Quarterly maintenance reports
H: Water trees weekly for a
minimum of 1-2 years
H: Quarterly maintenance reports
I: Check tree stakes weekly; re-
stake as necessary
I: Quarterly maintenance reports
J: Structural prune after 1.5-2 years J: Quarterly maintenance reports Task 2: Urban Greening Grant Administration - Little Manila Rising and City of Stockton A: Grant Administration A: Bimonthly invoicing and
progress reports
Project
Completion
Period
$1,406,260.00 $0
B: Provide annual reports to third-
party evaluation partners on
program deliverables
B: Annual indicator reports

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans C: Hire program staff for Urban
Forestry program for community
tree plantings, to oversee the
workforce development program,
and fulfill all administrative
requirements of LMR for the grant
(i.e. invoicing, reporting, etc.)
C: Job description
D: Inventory maintenance
subcontracting
D: Secure community inventory
partners to monitor and prioritize
maintenance and repair.

Task 3: Community Engagement Strategy - Little Manila Rising A: Contact schools, churches,
businesses, residents, and other
community organizations to recruit
volunteers for community tree
planting events. Hold 16 events
over grant term
A: Event summaries with
information such as date/time,
number of volunteers, number of
trees planted, and photos
Project
Completion
Period
$154,930.00 $0
B: Facilitate community tree events.

These events consist of planting
events where recruited volunteers
plant trees in small groups under
the direction and guidance of LMR
professional staff. Also include park
care days and public forums on the
state of the canopy
B: 16 community tree events
C: Follow up with residents
proximate to planted trees to check
on the status of trees and educate
residents on how they can help
maintain the urban forest.

C: Annual report summarizing
data collection of tree placement
and health
Task 4: Tree Planting & Maintenance - Little Manila Rising

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans A: Identify planting sites
collaboratively with the City of
Stockton.

A: 1,000 locations identified via
tree plotter
Project
Completion
Period
$230,000.00 $0
B: Purchase trees on an ongoing
basis - not all at once - to reduce
the burden of storing trees.

B:
1) Annual assessment of tree
nurseries, identifying nurseries
that can meet planting needs
2) 1,000 trees purchased
C: Prepare planting sites (pre-dig,
concrete cutting, etc.)
C: Log of 1,000 planting sites
prepared
D: Plant trees in City ROW, school
property, residential properties, and
parks
D: Log of 1,000 trees planted
E: Maintain trees planted.

Maintenance will consist of regular
tree care (e.g., spreading mulch,
rebuilding berms, pruning, re-
staking, and watering as
necessary).

E: Quarterly reports on tree
health, placement, and
replacement data
F: Monitor trees planted and
replace as necessary
F: Quarterly reports on tree
health, placement, and
replacement data
Task 5: Workforce - Little Manila Rising
A: Recruit participants for tree
maintenance / planting training
cohorts and arrange 15-week
training curricula and field
experience
A: Enroll 28 trainees (7 cohorts of
4) over the term of the grant
Project
Completion
Period
$236,390.00 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans B: Enroll individuals into workforce
development program. Build upon
network of partnerships among all
"Responsible Parties" and a formal
procedure for case managers to
associate clients' needs with local
resources
B:
1) Track need and enroll 28
trainees into case management
system over the term of the grant.

Provide summary of case
management services provided.
2) Provide summary of any formal
procedures adopted
C: Each member of each training
cohort visits active job sites and/or
join tree services manager on ride-
along to experience tree services
staff duties
C: Log of site visits and post-visit
surveys provided annually
D: Cohort members work with LMR
staff to provide career navigation
support for participants upon
completion of program
D: Maintain post-graduation
records of contacts, opportunities,
place of employment
E: Coordinate multi-day offerings of
workplace safety, first-aid, holistic
health trainings for each cohort
E: Enroll 28 participants into
OSHA 10; OSHA First Aid and
online mental health support
trainings. Issue minimum of 20
certificates over the term of the
grant
Equipment Vehicle for Arborist Project
Completion
Period
$52,000.00 $0
Contingency $400,786.00 $0
Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$100,284.00 $0
Project Total $4,509,930.00 $0.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Project # and Name: 7 - Edible Education on the Farm Strategy: 8 - Health and Well-Being Lead Entity: Edible Schoolyard Project Stockton
Project Description: The Edible Education on the Farm project will provide project area residents agricultural and healthy eating educational opportunities and provide access to fresh, local, organic produce through a CSA food box distribution. Education will be provided through field trips to the farm as well as farm festivals. CSA food box distribution is anticipated to involve distribution of approximately 400 boxes each month.

Operations & Maintenance Plan: No Operations or Maintenance Plan is included as TCC funds will be used solely to fund programming and not put towards farm operations or maintenance costs. Operations and Maintenance will be funded with private philanthropic contributions to the Edible Schoolyard Project.

Task Deliverable(s) Timeline Grant Funds
Leverage
Funds
Task 1: Community Supported Agriculture
A: Distribute CSA boxes of local,
organic produce to field trip
attendees & community members in
the project area
A: Distribute 400 boxes monthly,
19200 total over grant term
Project
Completion
Period
$844,000.00 $0
B: Survey of CSA box recipients to
gather input and feedback on the
program
B: Provide results of annual survey
C: Hire or maintain CSA Coordinator
for grant term
C: Job description
D: Hire or maintain Farm Manager
for grant term
D: Job description
E: Hire or maintain Farm Specialist
for grant term
E: Job description
Task 2: Educational Programming
A: Provide no-cost educational field
trip visits for schools serving students
and families living in the project area
A:
1) Host 50 field trip visits annually.
200 total
2) Annual summaries of outreach
efforts to focus attendance from
Project Area.

Project
Completion
Period
$632,000.00 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans B: Host in-person or virtual cooking
classes for students and their
families to support them in utilizing
the produce distributed in the CSA
boxes
B: Provide 12 classes annually. 48
total
C: Hire or maintain two teachers for
grant term
C: Job Description
D: Design and implement field trip
programming and family cooking
classes
D: Annual summaries of field trip
programming and cooking classes
Task 3: Community Events and Outreach
A: Quarterly community farm
festivals
A: Host 4 on-farm festivals annually
for the residents and students in the
project area. 16 total
Project
Completion
Period
$52,160.00 $0
B: Conduct outreach across project
area for farm festivals, including
posting fliers at schools, community
centers, and libraries.

B: Design and post fliers around
project area for each farm festival.

C: Promote events on social media C: Post at least three times to promote each farm festival
Task 4: Grant Administration
A: Manage and oversee
implementation of the project.

A: Bimonthly invoicing, progress
reports, annual reporting, and annual
data reporting.

Project
Completion
Period
$611,060.00 $0
B: Hire or maintain Program Director
for grant term
B: Job description
Equipment N/A Project
Completion
Period
$0 $0
Contingency $213,931.00 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant agreement, at a
rate approved under this grant
agreement.

Project
Completion
Period
$147,600.00 $0
Project Total $2,500,751.00 $0.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Project # and Name: 8 - DAWN Program Strategy: 9 - Indoor Air Quality Lead Entity: Little Manila Rising
Project Description: The DAWN Program will conduct home visits to 250 resident households and distribute air purifiers and asthma remediation kits to improve indoor air and reduce exposure to asthma triggers. The program proposes an integrated approach that also incorporates advocacy related to asthma prevention and treatment.

Operations & Maintenance Plan: As above, the DAWN Program does not include the creation or maintenance of any facilities, nor do costs include the purchase of infrastructure, vehicles, or equipment by the definition of the guiding documents of this proposal. O&M for this program is not necessary beyond the in-home guidance and education provided during the grant term regarding the use of provided air filters and asthma remediation kits.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Administration
A: Hire/Retain and onboard 1 Asthma
Mitigation Director (.30) FTE to
oversee program
A: Job description Project
Completion
Period
$691,080.00 $0
B: Hire/Retain and onboard 1
Community Health Worker (CHW)
FTE to conduct home visits
B: Job description
C: Hire/Retain and onboard 1
Community Health Worker (CHW) PT
to conduct home visits
C: Job description
D: Manage and oversee
implementation of the project
D: Bimonthly invoicing, progress
reports, annual reporting, and
annual data reporting.

Task 2: Community Health Worker conducts home visits, education, and trainings with community residents A: Design criteria for eligible
community resident participation for
home visits
A: Formalize criteria for community
resident participation
Project
Completion
Period
$209,725.00 $0
B: CHWs conduct home visits with
education and trainings (2-3 home
visits per day and no more than 12
per week) with community residents
B: Conduct 250 home visits (report
home visits completed at each
bimonthly invoicing cycle)

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans C: Distribute portable air filtration
devices and replacement filters
C: Distribute 250 air filtration
devices
D: Distribute minor/moderate asthma
remediation supplies
D: Distribute remediation supplies
to up to 250 households
E: Provide subsidies for increased
residential electricity costs
E: Provide $100 stipend for up to
250 households
F: Document and collect data through
intake process and reporting
F: Coordinate report with Health
Equity Director over the term of the
grant
Task 3: Establish partner referral network to engage in program services and social service support A: Engage with well-versed partners
to distribute materials and to
supplement our recruitment efforts
from CBOs that have access with
hard-to-reach populations
A: Formalize collaboration efforts
with 5-6 community partners
Project
Completion
Period
$6,800.00 $0
B: Recruit community resident
participants through TCC partners,
referral health systems, churches,
schools
B: Each CHW recruits at least 20-
40 participants per year
C: Identify, connect, and meet
bimonthly with community-based
health care providers and managed
care organizations in the region
C: Strengthen partner referral
network to strategize on best
practices
Task 4: Grant Administration
A: Conduct outreach to community
members for referrals within project
area and at partnering community
events
A:
1) Submit quarterly reports of
outreach conducted and estimate(s)
of individuals engaged/referred.
2) Submit quarterly qualitative
reports highlighting the perspectives
of at least two community members
in the program.

Project
Completion
Period
$7,000.00 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans B: Recruit community residents for
DAWN program at TCC-related
community events such as the Block
Party (Urban Forestry, CEP, etc.)
B:
1) Submit quarterly reports of
outreach conducted and estimate(s)
of individuals engaged/referred.
2) Submit quarterly qualitative
reports highlighting the perspectives
of at least two community members
in the program.

Equipment N/A Project
Completion
Period
$0 $0
Contingency $91,461.00 $0
Lead Entity Indirect Costs Indirect costs consistent with the TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$0 $0
Project Total $1,006,066.00 $0.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Budget and Schedule of Deliverables for Transformative Plans

Community Engagement Plan Lead Entity: Public Health Advocates Plan Description: The CEP is an integrative plan to foster coordination and alignment, outreach, capacity-building, and communications. Partners will consistently reach constituencies most impacted by the effects of environmental pollution and continue building trust throughout the Project Area. The CEP centers residents by emphasizing meaningful participation and recognizing them as key decision-makers.

The Community Engagement Implementation Team (CEIT) includes community-based organizations Public Health Advocates (PHA), Little Manila Rising (LMR), and Catholic Charities (CC). The CEIT will develop educational campaigns and communication strategies for Stockton Rising and facilitate input from residents and the steering committee. The CEIT will also host quarterly Community Coalition Meetings (CCMs), annual summits, and at least two block parties. CCMs will serve as both a venue for educational campaigns to promote climate resiliency and communicate updates on Stockton Rising project implementation.

To guarantee resident capacity building, two resident-centered programs will be implemented. PHA will train resident "Climate Leaders" to become community experts on Stockton Rising. LMR will implement the youth advocates project to engage local youth around climate resiliency, and will conduct annual PhotoVoice walking tours of the area to capture the challenges, opportunities, and progress of TCC projects and resident perspectives through an interactive online story map.

Task Deliverable(s) Timeline Grant Funds Leverage
Funds
Task 1: Oversee the Execution of the Community Engagement Plan A: Hire or assign a Program Manager
and Program Specialist
A: Job description Project
Completion
Period
$870,346.88 $0.00
B: Recruit eight (8) Resident
Representatives to serve on the
Collaborative Stakeholder Structure
(CSS)
B: List of Resident Representatives
C: Facilitate virtual or in-person
monthly meetings of the Community
Engagement Working Group to
coordinate engagement activities
C: Bimonthly summaries of
Community Engagement Working
Group coordination activities

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans D: Facilitate quarterly resident-
centered Community Coalition
meetings. One of the meetings each
year will be an annual summit for
project area residents, organizations,
and business owners to review
progress and learn about evaluation
metrics.

D:
1) For quarterly Community
Coalition meetings/annual summits:
a. Meeting summaries
(date/time/location, number of
attendees, summary of outcomes)
b. Final meeting materials
c. Publicity materials
(announcements, photos from key
events)
2) Collect satisfaction and feedback
surveys from CCM attendees
3) Host annual summit
E: Conduct outreach to community
members within the Project Area.

Outreach strategies include: social
media, door to door outreach with at
least two canvassing events per year,
word of mouth, billboard
advertisements, partnering with
existing groups (known and trusted
residents and community and faith-
based organizations).

E:
1) Quarterly summary report of
outreach conducted (overview of
methods, dates/locations, and
potential contacts identified)
2) Quarterly qualitative reports
highlighting the perspectives of at
least two (2) community members
F: Host at least two (2) block parties to
celebrate TCC and engage residents.

F:
1) Publicity materials
2) Photos from events
G: PHA to recruit and develop 20
resident leaders to be trained as
Climate Leaders.

G: Summary report of outreach
conducted (overview of methods,
dates/locations, and potential
contacts identified)

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans H: Train Climate Leaders on
Environmental Justice, Advocacy,
Community Engagement, and Stockton
Rising-funded projects through a series
of twenty (20) trainings for a
cumulative total of approximately 30
hours of training.

H:
1) For Climate Leader trainings:
a. Meeting summary
(date/time/location, number of
attendees, summary of outcomes)
b. Final meeting materials
(curriculum, handouts)
c. Publicity materials
(announcements, photos from key
events)
2) Summary of Climate Leader
training evaluation through post-
training qualitative surveys
I: Lead administration of CEP I:
1) Bimonthly invoicing and
progress reports
2) Annual Indicator Tracking
Reports
Task 2: Create a Stockton Rising Youth Engagement Program A: Recruit and develop up to 24 youth
to become climate resiliency experts.

Goal is to have at least 16 youth be
new participants and open positions for
8 returning participants
A: Summary report of outreach
conducted (overview of methods,
dates/locations, and potential
contacts identified)
Project
Completion
Period
$484,343.77 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans B: Train youth on climate resilience
and environmental justice projects to
learn about and communicate the
goals of Stockton Rising and local
climate action
B:
1) Summary of training curriculum
provided
2) Summary of outreach conducted
by Climate Experts to Project Area
per Task 2A, and publicity
materials
3) Evidence of youth participation
as co-hosts of at least one
quarterly community coalition
meeting each year (e.g., pictures,
meeting agendas, minutes, etc.)

C: Evaluate success of Youth
Engagement Program training goals
C: Summary report of post-training
qualitative surveys to assess
increase in knowledge of training
topics and comfortability in sharing
information TCC projects.

D: Conduct PhotoVoice walking audits
(up to 3 annually) around South
Stockton where participants live to get
a sense of the challenges and
opportunities of TCC.

D:
1) Interactive online map that will
display pictures and commentary
from PhotoVoice walking audits
2) Host a photo gallery during block
parties
E: Grant administration E:
1) Bimonthly invoicing and
progress reports
2) Annual indicator tracking reports
Task 3: Communicate TCC Implementation Progress
A: Share updates on TCC
implementation via the Stockton Rising
website and social media networks
A: Bimonthly summary report of
Stockton Rising communications
Project
Completion
Period
$178,654.75 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans B: Create a Stockton Rising video
success story to enhance the outreach,
education and engagement of the
Project Area. The video will provide
visual project updates and connect
individuals, the community, and the
goals of the TCC project
B: Stockton Rising video
C: Create social media content to
support outreach to the community
members within the Project Area in
coordination with CEP Partners
C: Bimonthly summary of
coordination with CEP partners
D: Create a recruitment video for
PHA's Climate Leaders program to
encourage applications and raise
awareness (Task 1F)
D: Two (2) recruitment videos for
PHA's Climate Leaders program
E: Grant administration E:
1) Bimonthly invoicing and
progress reports
2) Annual indicator tracking reports
Equipment N/A Project
Completion
Period
$0 $0
Contingency $0 $0
PHA Indirect Costs Indirect costs consistent with the
TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$58,240.86 $0
LMR Indirect Costs Indirect costs consistent with the
TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$82,088.00 $0

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans CC Indirect Costs Indirect costs consistent with the
TCC guidelines and grant
agreement, at a rate approved
under this grant agreement.

Project
Completion
Period
$17,911.74 $0
Plan Total $1,691,586.00 $0.00

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans Workforce Development and Economic Opportunities Plan Lead Entity: Rising Sun Center for Opportunity Plan Description: The WDEOP will create high-quality jobs and develop training programs focused on the specific needs of Project Area residents. The WDEOP-funded projects are: (1) a summer youth program focused on residential energy and water efficiency led by Rising Sun Center for Opportunity (RS); (2) a garden program for incarcerated individuals led by Insight Garden Program (IGP); (3) a 15-week urban greening and conservation training program led by Little Manila Rising (LMR) that trains local system-impacted adults in forestry basics, conservation, land stewardship, and job readiness skills, and (4) targeted recruitment and wrap-around services for Project Area residents to complete a variety of locally available training programs that train individuals for multi-craft apprenticeship readiness, truck driving, welding, and software developing. All WDEOP partners, including those listed above and GRID Alternatives who is securing site space for regional training needs, will participate in a WDEOP Coordination Group that will facilitate coordinated recruitment and support of trainees.

Special Project Reimbursement Conditions: Distribution of support funds is contingent on Task 1B - development of a plan for the WDEOP working group to collaboratively manage and allocate the remaining lump sums (noted as "Miscellaneous wrap- around services" in the final workbook), including distribution of support service funds across the training programs or funding for additional participants from Project Area to complete the proposed programs.

Task Deliverable(s) Timeline Grant Funds Leverage Funds Task 1: Manage Training Program Pipeline Subtask A-B
(2023)

Subtask C-D
(Project
Completion
Period)
$296,595.00 $0
A: Set up and oversee monthly
WDEOP coordination group
that includes between 8 - 12
partners to coordinate
workforce activities
A:
1) WDEOP Management Plan
2) Summary of WDEOP
coordination group members
and structure
3) Bimonthly summary of
WDEOP meetings and
coordination activities
B: Develop plan for WDEOP
Coordination Group to
collaboratively manage shared
costs for trainee wrap-around
services
B: WDEOP Coordination
Group plan to assess trainee
needs and administer support
service funds to trainees

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton

EXHIBIT C – SPECIAL TERMS AND CONDITONS Part 1 – Transformative Plans C: Recruit at least five (5)
participants from the TCC
Project Area into a training
program at the Anthony Soto
Employment and Training
Facility: MC3 Construction,
Welding, Truck Driving, or
Code Stack Academy
C: Summary report of outreach
conducted (overview of
methods, dates/locations, and
potential contacts identified)
D: Administer the MC3
Construction, Welding, Truck
Driving, Code Stack Academy
training programs
D: Summary of training
curriculum provided, trainee
completion rates [goal of 80%
completion / four (4) program
completers], and completed
credentials to be provided each
progress report
E: Job placement for program
graduates
E: Summary of job placements
for at least four (4) training
program graduates
F: Coordinate and provide
stipends and wrap-around
services to support completion
of training programs
F: Summary report of stipends
and support services provided
to training program participants
G: Administer and report out
on WDEOP
G:
1) Bimonthly invoicing and
progress reports
2) Annual indicator tracking
Reports
Task 2: Rising Sun - Climate Careers Training Program

ATTACHMENT A

IMPLEMENTATION GRANT AGREEMENT
Round 4 FY 2021-2022
Strategic Growth Council – Transformative Climate Communities Program Implementation Grant – Round 4 Grant Number: SGCXXXXX, City of Stockton