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LETTER OF PROMULGATION
June 2024
To: Officials and Employees of the City ofStockton
The preservation of life and property is an inherent responsibility of all levels of government. As disasters occur in devastating form at any time, the City of Stockton must provide safeguards, which will save lives and minimize property damage through planning, preparedness measures and training. Sound emergency plans carried out by knowledgeable and well-trained personnel can and will minimize losses.
The City of Stockton Emergency Operations Plan (EOP) establishes an Emergency Management Organization. It assigns functions and tasks consistent with California’s Standardized Emergency Management Systems (SEMS) and the National Incident Management System (NIMS.) Both systems provide for the integration and coordination of efforts within Stockton. These systems were adopted by both the State and Federal Government following disasters where a lack of coordination resulted in greater losses than necessary. It is very valuable to the City of Stockton that our plan works in conjunction with SEMS and NIMS.
The City’s plan was developed for use by City of Stockton employees with emergency service responsibility. Input was sought from agencies inside and outside of Stockton that have a coordination role in providing emergency services. These include the San Joaquin County Office of Emergency Services, the California Office of Emergency Services (Cal OES) and the Federal Emergency Management Agency (FEMA.) Our plan provides direction on emergency response from the onset, through an extended response, and into the recovery process.
Once adopted, this plan will be reviewed and tested periodically and revised as necessary to meet changing conditions.
The Stockton City Council gives its full support to this Emergency Operations Plan and urges all employees to read the plan, understand it, know their role and be prepared to provide excellent service to the citizens of Stockton when needed.
Kevin J. Lincoln, Mayor
City of Stockton
Date
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APPROVAL AND IMPLEMENTATION
Foreword
The City of Stockton Emergency Operations Plan (EOP) addresses the city’s planned response to extraordinary emergency situations associated with natural disasters, technological incidents and national security emergencies in or affecting the City of Stockton. This plan does not apply to normal day-to-day emergencies or the established departmental procedures used to cope with such emergencies. Rather, this plan focuses on operational concepts and would be implemented relative to large-scale disasters which can pose major threats to life, property and the environment requiring unusual emergency responses.
This plan accomplishes the following:
• Establishes the emergency management organization required to mitigate any significant emergency or disaster affecting the City ofStockton.
• Identifies the roles and responsibilities required to protect the health and safety of Stockton residents, public and private property and the environmental effects of natural and technological emergencies and disasters. • Establishes the operational concepts associated with a field response to emergencies, the City of Stockton Emergency Operations Center (EOC) activities and the recovery process.
Plan Approval and Implementation
Upon concurrence of the City Council, the plan will be officially adopted and promulgated. The approval date will be included on the title page. The plan will be distributed to those city departments, supporting allied agencies, and community organizations that have assigned primary functions or responsibilities to the EOP.
Plan Activation
The City of Stockton Emergency Operations Plan may be activated by the Director of Emergency Services (Stockton City Manager) or designated alternates under any of the following circumstances:
• On the order of the Director of Emergency Services as designated by Section 2.82.060 of the City of Stockton Municipal Code.
• Upon proclamation by the Governor that a STATE OF EMERGENCY exists in the City of Stockton and/or an area affecting the City of Stockton.
• Automatically on the proclamation of a STATE OF WAR EMERGENCY as defined in the California Emergency Services Act (Chapter 7, Division 1, Title 2, California Government Code.) • Upon declaration by the President, of the existence of a National Emergency. • Automatically, on receipt of an attack warning or actual attack on the United States, or upon occurrence of a catastrophic disaster that requires immediate government response.
Plan Modifications
Upon the delegation of authority from the Director of Emergency Services, specific modifications can be made to this plan by the Emergency Services Coordinator without the signature of the City Council. This June 2024 Emergency Operations Basic Plan, its Functional Annexes and Hazard Specific Annexes supersede all previous versions of the City of Stockton Emergency Operations Plan.
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RECORD OF CHANGES
REVISION
NUMBER
ENTERED BY DATE REVISION
NUMBER
ENTERED BY DATE
1 OES Section Chief, Reneé
Johnston, San Joaquin County
Office of Emergency Services
May, 2018 21
2 Shannon Lewis, Deputy
Chief/OES
June, 2020 22
3 Emergency Manager, Tim
Romero
June 2024 23
4 24
5 25
6 26
7 27
8 28
9 29
10 30
11 31
12 32
13 33
14 34
15 35
16 36
17 37
18 38
19 39
20 40
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ACKNOWLEDGEMENT
The City of Stockton Fire Department and the San Joaquin County Office of Emergency Services would like to acknowledge and thank Stockton Fire Operations for their support during the update of this Emergency Operations Plan and the overall project. Additionally, we would like to thank those City of Stockton departments and stakeholders who play a critical role in the Emergency Management Organization within thecity.
As with any working plan, this document represents planning strategies understood as of the date of this plan’s release. We hope that this plan provides effective tools, guidance and strategies in support of emergency operations planning, preparedness, response, recovery and mitigation within the City of Stockton.
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Contents
LETTER OF PROMULGATION ........................................................................................................................................3 APPROVAL AND IMPLEMENTATION .............................................................................................................................5 Foreword.......................................................................................................................................................................5 Plan Approval and Implementation...............................................................................................................................5 Plan Activation..............................................................................................................................................................5 Plan Modifications.........................................................................................................................................................5 RECORD OF CHANGES..................................................................................................................................................6 ACKNOWLEDGEMENT....................................................................................................................................................7 TABLE OF CONTENTS....................................................................................................................................................9 SECTION 1.0 PURPOSE, SCOPE, SITUATION AND ASSUMPTIONS ........................................................................14
1.1 PURPOSE ............................................................................................................................................................14
1.1.1 Planning Organization and Format................................................................................................................14
1.2 SCOPE .................................................................................................................................................................15
1.3 SITUATION OVERVIEW ......................................................................................................................................16
1.3.1 City History....................................................................................................................................................16
1.3.2 Hazard Analysis Summary ............................................................................................................................18
1.3.3 Capability Assessment ..................................................................................................................................18
1.3.4 Mitigation Overview.......................................................................................................................................19
1.3.5 Assumptions..................................................................................................................................................20 SECTION 2.0 CONCEPT OF OPERATIONS .................................................................................................................22
2.1 Goals, Priorities, andStrategies............................................................................................................................22
2.1.1 OperationalGoals..........................................................................................................................................22
2.1.2 OperationalPriorities .....................................................................................................................................22
2.1.3 Operational Strategies...................................................................................................................................22
2.2 Standardized Emergency Management System (SEMS).....................................................................................23
2.2.1 SEMS Organization Levels............................................................................................................................23
2.2.2 SEMS Functions............................................................................................................................................24
2.2.3 SEMS Components .......................................................................................................................................25
2.2.4 National Incident Management System (NIMS) ............................................................................................27
2.2.5 Mutual Aid .....................................................................................................................................................27
2.2.6 Mutual Aid Coordination ................................................................................................................................28
2.3 Sequence of Events during Disasters...................................................................................................................31
2.3.1 Before Impact ................................................................................................................................................31
2.3.2 Immediate Impact ..........................................................................................................................................32
2.3.3 Sustained Operations ....................................................................................................................................33 EXHIBIT 1 175
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2.3.4 Transition to Recovery...................................................................................................................................33
2.3.5 Proclaiming an Emergency............................................................................................................................34
2.4 Continuity of Government (COG) Operations .......................................................................................................38
2.4.1 City of Stockton Emergency Operations PolicyStatement ............................................................................38
2.4.2 Disaster Service Workers ..............................................................................................................................38
2.5 Continuity of Operations (COOP) .........................................................................................................................39 SECTION 3.0 ORGANIZATION AND ASSIGNMENT OF RESPONSIBILITIES..........................................................41
3.1 Emergency Management Response Levels..........................................................................................................41
3.1.1 National Emergency ......................................................................................................................................41
3.2 City Department/Allied Agency EOC Organization Assignments..........................................................................42
3.2.1 Director of Emergency Services ....................................................................................................................42
3.3 Role of the Private Sector .....................................................................................................................................43
3.3.1 Stockton Residents........................................................................................................................................43
3.3.2 Populations with Access and Functional Needs............................................................................................43
3.3.3 At-Risk Individuals .........................................................................................................................................44
3.3.4 Businesses....................................................................................................................................................44
3.3.5 Volunteer Organizations................................................................................................................................45
3.3.6 Public-Private Partnerships ...........................................................................................................................45 SECTION 4.0 DIRECTION, CONTROL AND COORDINATION..................................................................................48
4.1 EOC Coordination with Other Government Levels and the Private Sector ...........................................................48
4.1.1 Coordination with Field Response Level .......................................................................................................48
4.1.2 Coordination with San Joaquin Operational Area and MemberJurisdictions.................................................48
4.1.3 Coordination with the County and Special Districts.......................................................................................48
4.1.4 Coordination with the Inland Region Emergency Operations Center ............................................................49
4.1.5 Coordination with State and Federal Field Response ...................................................................................49
4.1.6 Coordination with Volunteers and the Private Sector.....................................................................................49 SECTION 5.0 INFORMATION COLLECTION AND DISSEMINATION ..........................................................................51
5.1 Action Planning.....................................................................................................................................................51
5.1.1 Planning Requirements .................................................................................................................................51
5.1.2 Plan Elements ...............................................................................................................................................51
5.1.3 Planning Responsibilities...............................................................................................................................51
5.2 EOC Reporting .....................................................................................................................................................52
5.2.1 Preliminary Reports .......................................................................................................................................52
5.2.2 Situation Reports...........................................................................................................................................52
5.2.3 Flash Reports ................................................................................................................................................52
5.2.4 Documentation ..............................................................................................................................................52
5.2.5 Status Boards................................................................................................................................................52
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5.4 Emergency Public Information..............................................................................................................................53 SECTION 6.0 COMMUNICATIONS.............................................................................................................................55
6.1 Warning Responsibility .........................................................................................................................................55
6.2 Warning and Alert Mechanisms ............................................................................................................................55
6.3 Warning Conditions...............................................................................................................................................55 SECTION 7.0 ADMINISTRATION, FINANCE ANDLOGISTICS ................................................................................57
7.1 Damage Assessment............................................................................................................................................57
7.1.1 Initial Damage Assessment.........................................................................................................................57
7.1.2 Preliminary Damage Assessment(PDA).....................................................................................................57
7.2 Process.................................................................................................................................................................57
7.2.1 Windshield Surveys.....................................................................................................................................57
7.2.2 Safety Assessment......................................................................................................................................57
7.2.3 Detailed Inspection......................................................................................................................................57
7.2.4 Engineering Assessment.............................................................................................................................58
7.2.5 Damage Assessment Chronology Summary...............................................................................................58
7.3 Documenting and Reporting Damage Assessments.............................................................................................60
7.3.1 Reporting.....................................................................................................................................................60
7.3.2 Windshield Survey.......................................................................................................................................60
7.3.3 Safety Assessment......................................................................................................................................60
7.3.4 Detailed Damage Assessment.....................................................................................................................60
7.3.5 Engineering Evaluation................................................................................................................................60
7.3.6 Documentation ............................................................................................................................................60
7.4 After Action Reporting...........................................................................................................................................60
7.5 Expenditure Tracking............................................................................................................................................61
7.5.1 Eligible Expenses ........................................................................................................................................61
7.5.2 Recordkeeping Requirements .....................................................................................................................61
7.6 Resource Management.........................................................................................................................................62
7.6.1 Resource Priorities ......................................................................................................................................62
7.6.2 Resource Requests .....................................................................................................................................62
7.6.3 Emergency ResourceDirectory...................................................................................................................63 SECTION 8.0 PREPAREDNESS, TRAINING AND EXERCISES...................................................................................65
8.1 Preparedness Planning.........................................................................................................................................65
8.1.1 Community Preparedness andAwareness...................................................................................................65
8.1.2 Preparedness Actions..................................................................................................................................65
8.2 Readiness Training ...............................................................................................................................................66
8.3 Exercise and Evaluation .......................................................................................................................................66 SECTION 9.0 PLAN DEVELOPMENT AND MAINTENANCE........................................................................................68
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9.2 Review and Updating............................................................................................................................................68 SECTION 10.0 AUTHORITIES AND REFERENCES.....................................................................................................70
10.1 Authorities...........................................................................................................................................................70
10.2 References..........................................................................................................................................................70 GLOSSARY OF TERMS.................................................................................................................................................72 ACRONYMS. ..................................................................................................................................................................79
TABLE OF CONTENTS
TABLE OF FIGURES
Figure 1 - Base Map of Stockton..................................................................................................................................17 Figure 2 - Hazard Analysis Summary...........................................................................................................................18 Figure 3 - SEMS Organizations Levels ........................................................................................................................23 Figure 4 - SEMS Functions ..........................................................................................................................................24 Figure 5 - Comparison of Field and EOC SEMS Functions .........................................................................................25 Figure 6 - Inland Region Mutual Aid…………………………………………………………………………………………...28 Figure 7 - Discipline Specific Mutual Aid Systems……………………………………………………………………………30 Figure 8 - Flow of Requests and Resources................................................................................................................31 Figure 9 - Response Phase Sequence of Events ........................................................................................................37 Figure 10 - Damage Assessment Chronology Summary Chart ...................................................................................59 EXHIBIT 1 178
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BASIC PLAN
SECTION 1.0 PURPOSE, SCOPE, SITUATION AND ASSUMPTIONS
1.1 PURPOSE
The purpose of the City of Stockton Emergency Operations Plan (EOP), its Functional Annexes and Hazard Specific Annexes is to provide the basis for a coordinated response before, during and after a disaster incident affecting the City of Stockton.
This plan is the principal guide for the City’s response to and management of real or potential emergencies and disasters occurring within its designated geographic boundaries. Specifically, this plan is intended to:
• Facilitate multi-jurisdictional and interagency coordination, particularly between local government, private sector, operational area (geographic county boundary), and state response levels, and appropriate federal agencies, in emergency operations.
• Serve as a city plan, and a reference document, when possible, it may be used for pre-emergency planning in addition to emergency operations.
• To be utilized in coordination with applicable local, state and federal contingency plans. • Identify the components of an Emergency Management Organization (EMO), and establish associated protocols required to effectively respond to, manage emergencies and disasters. • Establish the operational concepts and procedures associated with field response to emergencies, and Emergency Operations Center (EOC)activities.
• Establish the organizational framework for implementation of the California Standardized Emergency Management System (SEMS), and the National Incident Management System (NIMS), within the City of Stockton.
Allied agencies, private enterprises, special districts and volunteer organizations having roles and responsibilities established by this plan are encouraged to develop operating protocols and emergency action checklists based on the provisions of this plan.
1.1.1 Planning Organization and Format
The plan is divided into four elements that contain general and specific information relating to city emergency management operations. Those four elements are as follows:
Basic Plan
This section provides the structure and organization of the City of Stockton Emergency Management Organization, identifies individual roles and responsibilities, describes the concept of emergency operations, and identifies how the City integrates into the Standardized Emergency Management System (SEMS) and the National Incident Management System (NIMS).
Functional Annexes
The Functional Annexes contain detailed descriptions of the methods that the City of Stockton and its departments follow for critical functions during emergency operations.
Hazard or Threat-Specific Annexes
These Hazard or Threat-Specific Annexes describe the City’s emergency response strategies that apply to a specific hazard.
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Supporting Documents
This section contains supporting materials for the overall Emergency Operations Plan.
1.2 SCOPE
The scope of this plan applies to any extraordinary emergency situation associated with any hazard, natural or caused by human activity that may affect the City of Stockton and generate situations requiring planned, coordinated responses by multiple agencies or jurisdictions.
The provisions, policies, and procedures of this plan are applicable to all agencies and individuals, public and private, having responsibilities for emergency preparedness, response, recovery, and/or mitigation in the City. The other governmental agencies within the City of Stockton maintain their own emergency operations plans and those plans are consistent with the policies and procedures established by this plan.
Incorporating the FEMA Comprehensive Preparedness Guide (CPG) 101 Version 2.0 and the State of California Emergency Plan best practices, this plan is designed to be read, understood and exercised before an emergency and establishes the framework for implementation of the California Standardized Emergency Management System (SEMS) and the National Incident Management System (NIMS) for the City. The Stockton EOP is intended to facilitate multi-agency and multi-jurisdictional coordination, particularly between the City of Stockton and its jurisdictions, including special districts, utilities, major businesses, the American Red Cross, community groups, State Agencies, and the Federal Government. Emergency operations in Stockton are coordinated through the structure of the Emergency Operations Center. This plan is used in coordination with the State Emergency Plan and the National Response Framework.
This plan is part of a larger framework that supports emergency management within the State of California. Through an integrated framework of emergency plans and procedures involving all stakeholders in the emergency management community, the City of Stockton together with San Joaquin County, the State of California Office of Emergency Services (Cal OES) and the Federal Government will promote effective planning and coordination before an emergency, thereby ensuring a more effective response and recovery.
Each element of the emergency management organization is responsible for assuring the preparation and maintenance of appropriate response plans and current standard operating procedures (SOPs), resource lists and checklists that detail how assigned responsibilities will be performed to support the implementation of this plan and to ensure successful response during a major disaster.
Elements addressed in SOPs are:
• Arrangements for the provision of direction and control within the department/agency. • Specific emergency authorities may be assumed by a designated successor during emergency situations. • Circumstances under which successor emergency authorities would become effective, and when they would be terminated.
• Current internal personnel notification/recall rosters and procedures to implement them. This should include a 24-hour communication system with the capability to notify and call-out personnel designated by the agency for emergency response.
• Designation and establishment of a work/control/dispatch center or Department Operations Center (DOC) to manage organizational resources and response personnel and maintain contact with the EOC during emergencies.
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• Designation of a representative to report to the EOC during an emergency to advise decision makers and coordinate the agency's response effort with other responding entities. • Reporting of appropriate information (casualties, damage observations, evacuation status, shelter status, chemical exposure, etc.) to the EOC during anemergency. • Support of cleanup and recovery operations duringdisasters. • Training of assigned response staff to perform emergency functions.
The City intends to fulfill the policies described herein, within the capabilities and resources available at the time of an emergency or disaster event.
1.3 SITUATION OVERVIEW
This chapter describes several potential hazards that could affect the city upon their occurrence which would warrant the activation of the City of Stockton Emergency Management Organization.
1.3.1 City History
Founded in 1849 and incorporated in 1850, the City of Stockton is one of the oldest incorporated cities in California.
In 1922, Stockton city voters approved a City Charter (municipal constitution) with a City Council-Manager form of government, which is still being usedtoday.
The City of Stockton, the county seat of San Joaquin County, is the 11thlargest city in California in population and one of the largest in area in the Central Valley. Stockton has an estimated population of 346,965 making it around the 62nd largest city in the U.S. The city is located in Northern California south of the state capital of Sacramento and north of Modesto.
Stockton is along Interstate 5, State Route 99 and State Route 4 amid the farmland of the California Central Valley. It is connected westward with San Francisco Bay by the San Joaquin River's 78-mile (126 km) channel, and is, with Sacramento, one of the state's two inland seaports. In and around Stockton are thousands of miles of waterways and rivers that make up the California Delta.
Stockton is known as the "Asparagus Capital of America", and is the location of the Haggin Museum, an art and history museum built in Victory Park in 1931. The museum displays 19th and 20th century works of art and houses local historical exhibits. For much of the later 19th century, starting with the Gold Rush, Stockton was one of the largest cities in the state and, for a while the third largest city.
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Figure 1 – Base Map of Stockton
Figure 1 - Base Map of Stockton
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1.3.2 Hazard AnalysisSummary
The City of Stockton is vulnerable to a wide range of threats. An all-hazards threat perspective must include a complete range of threats, including emerging and increasing technological factors (e.g., the increased transportation of numerous hazardous materials on state highways, roads, and interstates throughout the City). It is important to consider past events for future planning, with the consideration that the location and scope of hazards changes over the year consider past events for future planning, with the consideration that the location and scope of hazards changes over the years.
Although an attempt has been made to identify all major hazards and their respective impacts, it must be remembered that we live in a time of emerging threats, and nature, coupled with humankind’s ongoing development and tendencies toward violence, ensures that the material contained within this document will require modification over time.
A brief hazard analysis summary is located below Figure 2 - Hazard Analysis Summary for the City of Stockton. The summary is based on Probability (likelihood) and Severity (loss of life and/or property) and is categorized into the three (3) main types of disaster events: Natural Disasters, Technological Hazards and Human-Caused.
City of Stockton Hazard Analysis Summary
HAZARD PROBABILITY SEVERITY
NATURAL HAZARDS
Environmental High High to Very High
Flood High High to Very High
Public Health/Pandemic High High to Very High
Severe Weather Moderate Moderate to High
Earthquake Moderate Moderate
Infestation/Pestilence Low Low
Landslide Very Low Low
TECHNOLOGICAL HAZARDS
Transportation Accident High to Very High High to Very High Utility/Power Failure Moderate to High High to Very High Hazardous Materials High High
Dam Failure Low High to Very High
Levee Failure Low High to Very High
Urban Conflagration (Firestorm) Moderate to High Moderate Resource Disruption/Depletion Low Low
HUMAN CAUSED HAZARDS
Violent Encounter Extremely High High to Very High
Civil Disorder Moderate to High Moderate to High
Terrorism (Conventional) Moderate Moderate
Terrorism (CBRNE) Low to Moderate Low to Moderate
Terrorism (Agricultural) Low Low
Terrorism (Cyber) Low to Moderate Low
Figure 2 - Hazard Analysis Summary
For detailed City of Stockton hazard descriptions on each hazard identified in the summary, refer to Hazard/Threat Specific Annexes.
1.3.3 Capability Assessment
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be addressed through preparedness planning goals and actions deemed practical considering the jurisdiction’s capabilities to implement them. Finally, the capability assessment highlights the positive measures that are in place or underway for continued support and enhancement of the jurisdiction’s preparedness and response efforts.
As an established organization, the City of Stockton Office of Emergency Services has the capabilities to perform the necessary emergency response duties outlined in this EOP. The city has an established emergency management organization, alert, warning, and communication system and channels. As outlined in the Stockton Municipal Code:
Section 2.82 – Emergency Organization and Functions, Stockton has identified the response capabilities and resources (equipment, personnel, etc.) to respond to an emergency situation. San Joaquin County in coordination with the City of Stockton, maintains an Emergency Resource Directory database format that lists available vendors, supplies, and equipment that can be available during a disaster situation
1.3.4 Mitigation Overview
The City of Stockton has taken several mitigation measures for each identified hazard to minimize the impact that is likely to result from an emergency. Some of those mitigation measures are as follows:
General:
• As a jurisdiction within San Joaquin County, the City of Stockton is included in the County Local Hazard Mitigation Plan which provides hazard specific detail as to the mitigation measures taken to create a safer community.
• In coordination with San Joaquin County, a Flood Mitigation Plan has been developed to provide guidance to city departments responsible for protecting life, property, and livestock; involved in land use planning; responsible for administering the Federal Emergency Management Agency (FEMA) National Flood Insurance Program (NFIP), and responsible for responding to flood emergencies within the City. The City of Stockton has a Hazard Specific Flood Response Annex to provide a general description and overall concept of operations for the City of Stockton’s response to flood emergencies. The Annex describes specific procedures in place that will guide public safety response to areas affected by a flood emergency and how to coordinate operations with other jurisdictions. For more information on the City of Stockton flood response, refer to the Hazard Specific Flood Response Hazard/Threat-Specific Annex. • The City of Stockton has a 2035 General Plan approved on December 11, 2007 that includes the Health and Safety Element section which outlines all of the mitigation measures that have occurred and will occur regarding the safety of the city citizenry and communities.
Hazard/Issue Specific:
• Human Health Hazard – The City of Stockton has a Human Health Hazard Annex that can assist with pandemics.
• Public Health – The San Joaquin County Public Health Department has an Emergency Response Division that focuses on Citizen, Community and Environmental Health, public information/preparedness outreach and planning.
• Agricultural/Animal Care – San Joaquin County has preparedness documentation for livestock, horse and domestic pet preparedness.
• Resource Management – The San Joaquin County Office of Emergency Services can assist with emergency vendors, equipment and resources including shelters available during a disaster situation to aid in response and recovery.
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• Mass Care and Shelter Plan – San Joaquin County, has undertaken Mass Care and Shelter planning efforts. The shelters are managed by the American RedCross and government agencies. • Access and Functional Needs – The Department of Homeland Security (DHS) launched www.ready.gov in February 2003, Ready is a National public service campaign designed to educate and empower the American people to prepare for, respond to and mitigate emergencies, including natural and man-made disasters. The goal of the campaign is to promote preparedness through public involvement. For more information on preparing the whole community for a disaster, refer to www.ready.gov. • Hazardous Materials Plan – San Joaquin County has developed documentation to provide guidance to the Hazardous Materials Response Team (HMRT) in the event of a HazMat incident within the County.
1.3.5 Assumptions
Certain assumptions were used during the development of this plan. These assumptions translate into basic principles associated with conducting emergency management operations in preparation for, response to and recovery from major emergencies. “Assumptions” provide context, requirements, and situational realities that must be addressed in plan development and emergencyoperations. • Emergencies or disasters may occur at any time, day or night, in populated as well as remote, areas of the City of Stockton.
• Major emergencies and disasters will require a multi-agency, multi-jurisdictional response. For this reason, it is essential that the Standardized Emergency Management System (SEMS), and in many cases a Unified Command, be implemented immediately by responding agencies, and expanded as the situation dictates. • The City of Stockton is primarily responsible for emergency actions within the City Boundaries and will commit all available resources to save lives, minimize injury to persons and minimize property damage. • Large-scale emergencies and disasters may overburden local resources and necessitate mutual aid from neighboring jurisdictions.
• Large-scale emergencies and disasters and the complex organizational structure required to respond to them pose significant challenges in terms of warning and notification, logistics, and agency coordination. • Major emergencies and disasters may generate widespread media and public interest. The media must be considered a partner in large-scale emergencies and disasters; this relationship can provide considerable assistance in emergency public information andwarning.
• Large-scale emergencies and disasters may pose serious long-term threats to public health, property, the environment, and the local economy. While responding to significant disasters and emergencies, all strategic decisions must consider each of theseconsequences. • Disasters and emergencies may require an extended commitment of personnel and other resources from involved agencies and jurisdictions.
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SECTION 2.0 CONCEPT OF OPERATIONS
2.1 Goals, Priorities, andStrategies
During the Response Phase, emergency managers set goals, prioritize actions and outline operational strategies.
This plan provides a broad overview of those goals, priorities and strategies and describes what should occur during each step, when, and in whose direction.
2.1.1 OperationalGoals
During the response phase, the agencies that are charged with responsibilities in this plan should focus on the following five goals:
• Mitigate Hazards.
• Meet Basic Human Needs.
• Address Needs of People with Access and FunctionalNeeds. • Restore Essential Services.
• Support Community and Economic Recovery.
2.1.2 OperationalPriorities
Operational priorities govern resource allocation and the response strategies for the City of Stockton and its political subdivisions during an emergency. Below are the operational priorities addressed in this plan:
• Save Lives – The preservation of life is the top priority of emergency managers and first responders and takes precedence over all other considerations.
• Protect Health and Safety – Measures should be taken to mitigate the emergency’s impact on public health and safety.
• Protect Property – All feasible efforts must be made to protect public and private property and resources, including critical infrastructure, from damage during and after an emergency. • Preserve the Environment – All possible efforts must be made to preserve California’s environment and protect it from damage during an emergency.
2.1.3 Operational Strategies
To meet the operation goals, emergency responders should consider the following strategies:
Mitigate Hazards – As soon as practical, suppress, reduce, or eliminate hazards and/or risks to persons and property during the disaster response. Lessen the actual or potential effects or consequences of future emergencies.
Meet Basic Human Needs – All possible efforts must be made to supply resources to meet basic human needs, including food, water, shelter, medical treatment, and security during the emergency. Afterward, provisions will be made for temporary housing, food, and support for re-establishing employment after the emergency passes.
Address Needs of People with Access and Functional Needs – People with access and functional needs are more vulnerable to harm during and after an emergency. The needs of people with access and functional needs must be considered and addressed. Refer to this plan, 3.3.2 Populations with Access and Functional Needs.
Restore Essential Services – Power, water, sanitation, transportation, and other essential services must be restored as rapidly as possible to assist communities in returning to normal daily activities.
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Figure 3 - SEMS Organizations Levels
Support Community and Economic Recovery – All members of the community must collaborate to ensure that recovery operations are conducted efficiently, effectively, and equitably, promoting expeditious recovery of the affected areas.
2.2 Standardized Emergency Management System(SEMS)
The Standardized Emergency Management System (SEMS) is the cornerstone of California’s emergency response system and the fundamental structure for the response phase of emergency management. SEMS is required by the California Emergency Services Act (ESA) to manage multiagency and multijurisdictional responses to emergencies in California. The system unifies all elements of California’s emergency management community into a single integrated system and standardizes key elements. SEMS incorporates the use of the Incident Command System (ICS), California Disaster and Civil Defense Master Mutual Aid Agreement (MMAA), the Operational Area (OA) concept, and multiagency or inter-agency coordination. State agencies are required to use SEMS and local government entities must use SEMS to be eligible for any reimbursement of responserelated costs under the state’s disaster assistance programs.
2.2.1 SEMS Organization Levels
There are five (5) SEMS organizational levels, as illustrated in Figure 3 - SEMS Organization Levels.
Field – The Field Level is where emergency response personnel and resources, under the command of responsible officials, carry out tactical decisions and activities in direct response to an incident or threat.
Local Government – The Local Government level includes cities, counties and special districts. Local governments manage and coordinate the overall emergency response and recovery activities within their jurisdiction. Local governments are required to use SEMS when their Emergency Operations Center (EOC) is activated or a local emergency is declared or proclaimed in order to be eligible for state reimbursement of response-related costs.
Operational Area (OA) – An OA is the intermediate level of the state's emergency management organization which encompasses a county’s boundaries and all political subdivisions located within that county, including special districts. The OA facilitates and/or coordinates information, resources and decisions regarding priorities among local governments within the OA. The OA serves as the coordination and communication link between the Local Government Level and Regional Level. State, federal, and tribal jurisdictions in the OA may have statutory authorities for response similar to that at the local level.
Region – The Regional Level manages and coordinates information and resources among OAs within the mutual aid region and also between the OA and the state level. The Regional Level also coordinates overall state agency support for emergency response activities within the region. California is divided into three California Office of Emergency Services (CalOES) Administrative Regions – Inland, Coastal Southern – which are further divided into six mutual aid regions. The Regional Level operates out of the Regional Emergency Operations Center (REOC). See Figure 6 – Inland Region Mutual Aid.
State – The state level of SEMS prioritizes tasks and coordinates state resources in response to the requests from the Regional level and coordinates mutual aid among the mutual aid regions and between the Regional Level and State Level. The state level also serves as the coordination and communication link between the state and the federal emergency response system. The state level requests assistance from other state governments through the Emergency Management Assistance Compact (EMAC) and similar interstate compacts/agreements and coordinates with the Federal Emergency Management Agency (FEMA) when federal EXHIBIT 1 189
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assistance is requested. The state level operates out of the State Operations Center(SOC).
At the Federal level, the National Response Framework (NRF) identifies the methods and means for federal resources to provide support to the state and local government. Federal resources would be accessed via the SEMS process through the mutual aid region and State Operations Center.
2.2.2 SEMS Functions
SEMS requires that every emergency response involving multiple jurisdictions or multiple agencies include the five functions identified in Figure 4 - SEMS Functions. These functions must be applied at each level of the SEMS organization.
Figure 4 - SEMS
Functions
Command/Management: Command is responsible for the directing, ordering, and/or controlling of resources at the field response level. Management is responsible for overall emergency policy and coordination at the SEMS EOC levels. Command and Management are further discussed below:
• Command: A key concept in all emergency planning is to establish command and tactical control at the lowest level that can perform that role effectively in the organization. In the Incident Command System (ICS), the Incident Commander (IC), with appropriate policy direction and authority from the responding agency, sets the objectives to be accomplished and approves the strategy and tactics to be used to meet those objectives. The IC must respond to higher authority. Depending upon the incident’s size and scope, the higher authority could be the next ranking level in the organization up to the agency or department executive. This relationship provides an operational link with policy executives who customarily reside in the Department Operations Center (DOC) or EOC, when activated. • Management: The EOC serves as a central location from which multiple agencies or organizations coordinate information collection and evaluation, priority setting and resource management. Within the EOC, the Management function:
o Facilitates multiagency coordination and executive decision making in support of the incident response
o Implements the policies established by the governing bodies o Facilitate the activities of the Multiagency (MAC) Group • Operations: Coordinate and support all jurisdictional operations in support of the response to the emergency through the implementation of the organizational level's Action Plans (AP). At the Field Level, the Operations Section is responsible for the coordinated tactical response directly applicable to, EXHIBIT 1 190
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or in support of the objectives in accordance with the Incident Action Plan (IAP). In the EOC, the Operations Section Coordinator manages functional coordinators who share information and decisions about discipline-specific operations.
• Logistics: Responsible for providing facilities, services, personnel, equipment and materials in support of the emergency. Unified ordering takes place through the Logistics Section Ordering Managers to ensure controls and accountability over resource requests. As needed, Unit Coordinators are appointed to address the needs for communications, food, medical, supplies, facilities and ground support. • Planning/Intelligence: Responsible for the collection, evaluation and dissemination of operational information related to the incident for the preparation and documentation of the IAP at the Field Level or the AP at an EOC. Planning/Intelligence also maintains information on the current and forecasted situation and the status of resources assigned to the emergency or the EOC. As needed, Unit Coordinators are appointed to collect and analyze data, prepare situation reports, develop action plans, set Geographic Information Systems (GIS) priorities, compile and maintain documentation, conduct planning, manage technical specialists and coordinate demobilization. • Finance/Administration: Responsible for all financial and cost analysis aspects of the emergency and for any administrative aspects not handled by the other functions. As needed, Unit Leaders are appointed to record time for incidents or EOC personnel and hired equipment, coordinate procurement activities, process claims, and track costs.
The field and EOC functions are further illustrated in Figure 5 - Comparison of Field and EOC SEMS Functions.
PRIMARY SEMS
FUNCTION FIELD RESPONSE LEVEL EOCS AT OTHER SEMS LEVELS Command/Management Command is responsible for the directing, ordering, and/or controlling of resources.
Management is responsible for the facilitation of
overall policy, coordination, and support of the
Operations The coordinated tactical response of all incident. field operations in accordance with the
Incident Action Plan.
The coordination of all jurisdictional operations in
support of the response to the emergency in
accordance with the EOC Action Plan.
Planning/Intelligence The collection, evaluation, documentation and use of intelligence related to the
incident.
Collecting, evaluating and disseminating information
and maintaining documentation relative to all
jurisdiction activities.
Logistics Providing facilities, services, personnel,
equipment and materials in support of the
incident.
Providing facilities, services, personnel, equipment
and materials in support of all jurisdiction activities as required.
Finance/Administration Financial and cost analysis and
administrative aspects are not handled by
the other functions.
Responsible for coordinating and supporting
administrative and fiscal considerations
surrounding an emergency incident.
Figure 5 - Comparison of Field and EOC SEMS Functions
2.2.3 SEMSComponents
Management by Objectives
The Management by Objectives (MBO) feature of ICS, as applied to SEMS, means that each SEMS Level establishes, measurable and attainable objectives to be achieved for a given Operational Period. An objective is an aim or end of an action to be performed. Each objective may have one or more strategies and performance actions needed to achieve the objective.
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Operational Period
The Operational Period is the length of time set by command at the Field Response Level, and by management at other levels to achieve a given set of objectives. The period may vary in length from a few hours to days and will be determined by the situation.
Action Plans
Actions planning should be used at all SEMS Levels. There are two types of action plans in SEMS: Incident Action Plans and EOC Action Plans. The Incident Action Plans (IAP) are used at the Field Response Level. The IAP can be either written or verbal, although for documentation purposes, the written IAP is preferable. The IAP contains objectives reflecting the overall incident strategy specific tactical action, as well as supporting information for the next Operational Period. Incident Action Plans are an essential and required element in achieving objectives under ICS.
EOC Action Plans are crafted at Local Government, Operational Area, Region, and State EOC Levels. The use of EOC Action Plans provides designated personnel with knowledge of the objectives to be achieved and the steps required for achievement. EOC Action Plans not only provide direction, but also serve to provide a basis for measuring the achievement of objectives and overall system performance. Action Plans can be extremely effective tools during all phases of a disaster.
Organizational Flexibility – A Modular Organization
This SEMS feature intends that at each SEMS Level, only those functional elements that are required to meet current objectives need to be activated. All elements of the organization can be arranged in various ways within or under the five SEMS essential functions.
The functions of any non-activated element are the responsibility of the next highest element in the organization.
Each activated element must have a person in charge; however, one supervisor may oversee more than one functional element.
Organizational Unity and Hierarchy of Command
Organizational unity means that every individual within an organization has a designated supervisor. Hierarchy of command/management means that all functional elements within each activated SEMS Level are linked to form a single overall organization with the appropriate span of control limits.
Span of Control
Maintaining a reasonable span of control is the responsibility of every supervisor at all SEMS Levels. The optimum span of control is one to five, meaning that one supervisor has direct supervisory authority over five positions or resources. The recommended span of control for supervisory personnel at the Field Response Level and all EOC Levels should be in the one-to-three to one-to-seven ratio. A larger span of control may be acceptable when the supervised positions or resources are all performing a similar activity.
Personnel Accountability
An important feature of all SEMS Levels is personnel accountability. This is accomplished through the Organization’s Unity and Hierarchy of Command or Management features, along with the use of check-in forms, position logs and various status forms. The intent is to ensure that there are proper safeguards in place so all personnel at any SEMS Level can be accounted for at anytime.
Common Terminology
In SEMS, common terminology is applied to: functional elements, position titles, facility designations, and resources. The purpose of having common terminology is to rapidly enable multi-agency, multi-jurisdiction organizations and resources to work together effectively. This will vary from level to level in terms of directing, controlling, coordinating, and resource inventorying. Procedures for effective resources management must be geared to the function and the level at which the function is performed.
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Integrated Communications
This feature of SEMS relates to hardware systems, planning for system selection and linking, and the procedures and processes for transferring information. At the Field Response Level, integrated communications are used in any emergency. At and between all SEMS Levels, there must be a dedicated effort to ensure that communications systems, planning and information flow are accomplished effectively. The specifics of how this is accomplished at EOC Levels may be different than at the Field Response Level.
More on the SEMS Regulations and SEMS Guidelines can be found on the CalOES Website, www.caloes.ca.gov/cal-oes-divisions/planning-preparedness/standardized-emergency-management-system
2.2.4 National Incident Management System (NIMS)
The terrorist attacks of September 11, 2001, illustrated the need for all levels of government, the private sector, and nongovernmental agencies to prepare for, protect against, respond to, and recover from a wide spectrum of events that exceed the capabilities of any single entity. These events require a unified and coordinated national approach to planning and domestic incident management. To address this need, the President signed a series of Homeland Security Presidential Directives (HSPDs) that were intended to develop a common approach to preparedness and response. Two HSPDs that are of particular importance to emergency planners:
• HSPD-5, Management of Domestic Incidents, identifies steps for improved coordination in response to incidents. It requires the Department of Homeland Security (DHS) to coordinate with other Federal departments and agencies and State, local, and Tribal governments to establish a National Response Framework (NRF) and a National Incident Management System (NIMS). • HSPD-8, National Preparedness, describes the way Federal departments and agencies will prepare. It requires DHS to coordinate with other Federal departments and agencies—and with State, local, and Tribal governments to develop a National PreparednessGoal.
NIMS, the NRF, and the National Preparedness Goal define what needs to be done to prevent, protect against, respond to, and recover from a major event, how it needs to be done, and how well it needs to be done. These efforts align Federal, State, local, and Tribal entities; the private sector; and nongovernmental agencies to provide an effective and efficient national structure for preparedness, incident management, and emergency response.
NIMS provides a consistent framework for incident management at all jurisdictional levels, regardless of the cause, size, or complexity of the incident. Building on the ICS, NIMS provides the nation’s first responders and authorities with the same foundation for incident management for terrorist attacks, natural disasters, and all other emergencies. NIMS requires the institutionalization of ICS and its use to manage all domestic incidents.
NIMS integrates existing best practices into a consistent, nationwide approach to domestic incident management that is applicable at all jurisdictional levels and across functional disciplines. Six major components make up the NIMS system’s approach:
• Command and Management
• Preparedness
• Resource Management
• Communications and InformationManagement
• Supporting Technologies
• Ongoing Management andMaintenance
2.2.5 Mutual Aid
California's emergency assistance is based on a statewide mutual aid system designed to ensure additional resources are provided to the state’s political subdivisions whenever their own resources are overwhelmed or inadequate. The basis for this system is the California Disaster and Civil Defense Master Mutual Aid Agreement (MMAA), which is entered into by and between the State of California, its various departments and agencies, and EXHIBIT 1 193
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the various political subdivisions, municipal corporations, and public agencies to assist each other by providing resources during an emergency. The agreement obligates each signatory entity to provide aid to each other during an emergency without the expectation of reimbursement. Under specific conditions, federal and state funding may be appropriated to reimburse public agencies that aid other jurisdictions. If other agreements, memoranda, and contracts are used to assist in consideration, the terms of those documents may affect disaster assistance eligibility and local entities may only be reimbursed if funds are available. This plan promotes the establishment of emergency assistance agreements between public and private sector agencies at all levels.
There are four (4) approved, formal Mutual Aid Systems in California:
• Law Enforcement Mutual Aid Plan
o Law Enforcement
o Search and Rescue
o Coroner
• Fire and Rescue Mutual Aid Plan
o Urban Search and Rescue
• Public Health and Medical Mutual Aid System
• Emergency Management Mutual Aid Plan
(EMMA) (resources not covered by the other
three (3) systems)
Other informal mutual aid involves, but is not limited to the interchange of:
• Public Information
• Medical and Health
• Communications
• Transportation Services
• Facilities
• Hazardous Materials Mutual Aid System
• Volunteer and Private agencies
Figure 6 - Inland Region Mutual Aid
California is divided into six mutual aid regions, which are subdivisions of the state emergency services organization established to facilitate the coordination of mutual aid and other emergency operations within an area of the State consisting of two or more Operational Areas. A map of the Inland Region is shown in Figure 6 - Inland Region Mutual Aid, which details the Mutual Aid Regions III, IV & V, San Joaquin County is located in Mutual Aid Region IV.
2.2.6 Mutual Aid Coordination
Formal mutual aid requests will follow specified procedures and are processed through pre-identified mutual aid coordinators. Mutual aid requests will follow discipline-specific chains (i.e., fire, law enforcement, emergency manager, etc.) from one level of government to the next. The mutual aid coordinator receives the mutual aid request and coordinates the provision of resources from within the coordinator's geographic area of responsibility. In the event resources are unavailable at one level of government, the request is forwarded to the next higher level of government to be filled.
Field Level Requests: Requests for MMAA resources originate from the Field Level and are managed by the Incident Commander (IC). If the IC is unable to obtain the resource through existing local channels, the request is elevated to the next successive government level until obtained or cancelled.
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Local Government Request: Local jurisdictions are responsible for the protection of life and property within the municipal geographic boundaries. The local jurisdiction where the incident occurred should assess its resource inventory and existing local agreements to determine if the requested resource is available. When locally committed resources are exhausted and mutual aid is needed, the local official will request assistance from the OA Mutual Aid Coordinator.
Operational Area Requests: The OA is a composite of its political subdivisions, (i.e. municipalities, contract cities, special districts and county agencies). The OA Mutual Aid Coordinator assesses the availability of resources within the OA and fulfills the resource request based on that assessment. In the event resources are unavailable at the OA level, the request is forwarded to the responsible Region Mutual Aid Coordinator to be filled.
Region-Level Requests: The state is geographically divided into six Mutual Aid Regions. For Law Enforcement Mutual Aid, Region I is divided into two sub-regions. Each Mutual Aid Region is comprised of multiple Operational Areas and has a Regional Mutual Aid Coordinator. The Region Mutual Aid Coordinator is granted the authority to coordinate the mutual aid response of discipline-specific resources within the Region to support a mutual aid request by a jurisdiction also within the Region. In the event resources are unavailable at the Region level, the request is forwarded to the State Mutual Aid Coordinator to be filled.
State Level Requests: On behalf of the Governor, the Secretary of CalOES is responsible for coordinating state mutual aid resources in support of local jurisdictions during times of emergency. The Secretary will analyze and coordinate the request by forwarding the request to an unaffected REOC or tasking an appropriate state agency to fill the need. Figure 7 - Discipline-Specific Mutual Aid Systems documents the flow of information, resources requests and resources within specific mutual aid agreements relative to the SEMS organization levels.
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Figure 7 - Discipline Specific Mutual Aid Systems
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Figure 8 – Flow of Requests and Resources depicts the resource management process for the state under SEMS.
In this model, the affected local government can access all stakeholders at all levels of the system.
Figure 8 - Flow of Requests and Resources
2.3 Sequence of Events DuringDisasters
Two sequences of events are typically associated with disasters: One involves the response and the other involves emergency proclamations. The response sequence generally describes the emergency response activities to save lives, protect property and preserve the environment. This sequence describes the deployment of response teams, activation of emergency management organizations and coordination among the various levels of government. The emergency proclamation sequence outlines the steps to gain expanded emergency authorities needed to mitigate the problem. It also summarizes the steps for requesting state and federal disaster assistance.
2.3.1 Before Impact
Routine Monitoring for Alerts, Watches, and Warnings: Emergency officials constantly monitor events and the environment to identify specific threats that may affect their jurisdiction and increase the awareness level of emergency personnel and the community when a threat is approaching or imminent.
Increased Readiness: Sufficient warning provides the opportunity for response agencies to increase readiness, which are actions designed to increase an agency’s ability to effectively respond once the emergency occurs. This includes, but is not limited to:
• Briefing government officials.
• Reviewing plans and procedures.
• Preparing and disseminating information to the community. • Updating resource lists.
• Testing systems such as warning and communications systems. • Precautionary activation Emergency OperationsCenters.
Pre-Impact: When a disaster is foreseen as highly likely, action is taken to save lives and protect property. During this phase, warning systems are activated, evacuation begins, and resources are mobilized.
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2.3.2 Immediate Impact
During this phase, emphasis is placed on control of the situation, saving lives, and minimizing the effects of the disaster.
Alert and Notification: Local response agencies are alerted about an incident by the public through 9-1-1, another response agency, or another method. First responders are then notified of the incident. Upon an alert, response agencies notify response personnel.
Resource Mobilization: Response agencies activate personnel and mobilize to support the incident response. As the event escalates and expands, additional resources are activated and mobilized to support the response.
Activation and mobilization continue for the duration of the emergency as additional resources are needed to support the response. This includes resources from within the City or, when resources are exhausted, from surrounding unaffected jurisdictions.
Incident Response: Immediate response is accomplished within the City by local responders. First responders arrive at the incident and function within their established field-level plans and procedures. The responding agencies will manage all incidents in accordance with ICS organizational structures, doctrine and procedures.
Establishing Incident Command: Incident Command is established to direct, order, or control resources by virtue of some explicit legal, agency, or delegated authority. Initial actions are coordinated through the on-scene Incident Commander (IC). The Incident Commander develops an initial Incident Action Plan (IAP), which sets priorities for the incidents, assigns resources and includes a common communications plan. If multiple jurisdictions or agencies are involved, the first responders will establish a Unified Incident Command Post (ICP) to facilitate multijurisdictional and multiagency policy decisions. The Incident Commander may implement an Area Command to oversee multiple incidents that are handled by separate ICS organizations or to oversee the management of a very large or evolving incident that has multiple incident management teams engaged.
Activation of the Multiagency Coordination System (MACS): Responding agencies will coordinate and support emergency management and incident response objectives through the development and use of integrated Multiagency Coordination Systems (MACS) and MAC Groups. This includes developing and maintaining connectivity capability between ICP, local 9-1-1 Centers, local Emergency Operations Centers (EOC), REOC, the SOC, and federal EOC and NRF organizational elements.
Local EOC Activation: Local jurisdictions activate their local EOC based on the magnitude or need for more coordinated management of the emergency. When activated, Local EOCs help form a common operating picture of the incident by collecting, analyzing and disseminating emergency information. The local EOC can also improve the effectiveness of the response by reducing the amount of external coordination of resources by the Incident Commander by providing a single point of contact to support multiagency coordination. When activated the local EOC notifies the OA lead that the local EOC has been activated. For additional information regarding the City of Stockton Direction, Control and EOC functions, refer to the Direction and Control Functional Annex A.
Communications between Field and the EOC: When a jurisdiction EOC is activated, communications and coordination are established between the IC and the Department Operations Center (DOC) to the EOC, or between the IC and the EOC.
Operational Area (OA) EOC Activation: If one or more Local EOCs are activated, or if the event requires resources outside the affected jurisdiction, the OA EOC activates. The OA EOC also activates if a Local Emergency is proclaimed by the affected local government. The OA EOC then coordinates resource requests from the affected jurisdiction to an unaffected jurisdiction, or if resources are not available within the Operational Area, forwards the resource request to the REOC and mutual aid coordinators.
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Regional Emergency Operations Center (REOC) Activation: Whenever an Operational Area EOC is activated, the CalOES Regional Administrator will activate the REOC within the affected region and notifies CalOES Headquarters. The REOC will then coordinate resource requests from the affected Operational Area to unaffected Operational Areas within the affected region, or, if resources are not available within the affected region, resource requests are forwarded to the SOC for coordination.
State Operations Center (SOC) Activation: The SOC is activated when the REOC activates in order to:
• Continuously monitor the situation and provide situation reports to brief state officials as appropriate. • Process resource requests between the affected regions, unaffected regions, and state agency Department Operation Centers.
• Process requests for federal assistance and coordinate with Federal Incident Management Assistance Teams (IMATs) when established.
• Coordinate interstate resource requests as part of the Emergency Management Assistance Compact (EMAC) or Interstate Disaster and Civil Defense Compact. • The SOC may also be activated independently of a REOC to continuously monitor emergency conditions.
Joint Information Center (JIC) Activation: Where multiple agencies are providing public information, the lead agencies will work together to analyze the information available and provide a consistent message to the public and the media. Where practical the agencies will activate a joint information center to facilitate the dissemination of consistent information.
Department Operations Center (DOC) Activation: Each state agency may activate a department operations center to manage information and resources assigned to the incident. If a DOC is activated, an agency representative or liaison may be deployed to facilitate information flow between the two facilities.
FEMA Regional Response Coordination Center (RRCC) Activation: The FEMA RRCC may deploy a liaison or IMAT to the SOC to monitor the situation and provide situational awareness to federal officials.
2.3.3 SustainedOperations
As the emergency continues, further emergency assistance is provided to victims of the disaster and efforts are made to reduce the likelihood of secondary damage. If the situation demands, mutual aid is provided, as well as search and rescue of, shelter and care for and identification of victims.
2.3.4 Transition to Recovery
As the initial and sustained operational priorities are met, emergency management officials consider the recovery phase needs. Short-term recovery activities include returning vital life support systems to minimum operating standards. Long-term activity is designed to return to normal activities. Recovery planning should include reviews of ways to avert or mitigate future emergencies. During the recovery phase, the damage is assessed, local assistance centers and disaster recovery centers are opened, and hazard mitigation surveys are performed.
Local Assistance Centers: Local Assistance Centers (LACs) are opened by local governments to assist communities by providing a centralized location for services and resource referrals for unmet needs following a disaster or significant emergency. The LAC is normally staffed and supported by local, state and federal agencies, as well as non-profit and voluntary organizations. The LAC provides a single facility at which individuals, families and businesses can access available disaster assistance programs and services. As more federal resources arrive, a state-federal Disaster Recovery Center (DRC) may be collocated with the LACs.
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Joint Field Office: The state coordinates with FEMA as necessary to activate a JFO to coordinate federal support for the emergency. The state will appoint a State Coordinating Officer (SCO) to serve as the state point of contact. A Federal Coordinating Officer (FCO) is appointed upon a Presidential Declaration of an Emergency or Major Disaster.
Demobilization: As resources are no longer needed to support the response, or the response activities cease, resources are demobilized. Demobilization includes provisions to address and validate the safe return of resources to their original location and includes processes for resource tracking and ensuring applicable reimbursement. Where applicable, the demobilization should include compliance with mutual aid and assistance provisions. For information on the Recovery efforts following a disaster, refer to Recovery and Mitigation Function Annex E.
2.3.5 Proclaiming an Emergency
The California Emergency Services Act provides for three types of emergency proclamations in California: (1) Local Emergency, (2) State of Emergency, and (3) State of War Emergency.
Emergency proclamations expand the emergency powers and authorities of the state and its political subdivisions.
They also provide a mechanism for unaffected jurisdictions to provide resources and assistance to the affected jurisdictions. Although emergency proclamations facilitate the flow of resources and support to the affected jurisdictions and local government, they are not prerequisites for rendering mutual aid and assistance under existing agreements or requesting assistance from the American Red Cross (ARC) or state agencies.
Local Emergency Proclamation: A Local Emergency may be proclaimed by the Mayor, the Director of Emergency Services, and the Stockton City Council (as an entity) as specified by the adopted municipal code. A Local Emergency proclaimed by these individuals must be ratified by the Stockton City Council (as an entity) within seven days.
The governing body must review the need to continue the proclamation at least every 30 days until the Local Emergency is terminated. The Local Emergency must be terminated by resolution as soon as conditions warrant.
Proclamations are normally made when there is an actual incident or threat of disaster or extreme peril to the safety of persons and property within the City of Stockton, caused by natural, technological, or human-caused situations.
The proclamation of a Local Emergency provides the governing body with the legal authority to:
• If necessary, request that the Governor proclaim a State of Emergency. • Promulgate or suspend orders and regulations necessary to provide for the protection of life and property, including issuing orders or regulations imposing a curfew within designated boundaries. • Exercise full power to provide mutual aid to any affected area in accordance with local ordinances, resolutions, emergency plans, or agreements.
• Request state agencies and other jurisdictions to provide mutual aid. • Require the emergency services of any local official or employee. • Requisition of necessary personnel and materials from any local department or agency. • Obtain vital supplies and equipment and, if required, immediately commandeer the same for public use. • Impose penalties for violation of lawfulorders.
• Conduct emergency operations without incurring legal liability for performance, or failure of performance. (Note: Article 17 of the Emergency Services Act provides for certain privileges and immunities.) EXHIBIT 1 200
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Request for Cal OES Secretary’s Concurrence: Local governments can request cost reimbursement from the state for certain disaster–related repair costs under the California Disaster Assistance Act (CDAA) following the proclamation of a Local Emergency. The Secretary’s concurrence with the local proclamation is required for this reimbursement. This step is not required if a Governor’s Proclamation of a State of Emergency is received for the same event.
Request for the Governor to Proclaim a State of Emergency: When emergency conditions exceed, or have the potential to exceed, local resources and capabilities, the local government may request the Governor Proclaim a State of Emergency. The formal request may be included in the original emergency proclamation or as a separate document. The request must be received within ten days of the event. In addition to providing access to reimbursement for eligible disaster-related response and recovery expenditures, a Governor’s proclamation can facilitate other actions, such as waiver of State regulations impacting response or recovery operations.
Initial Damage Estimate: The request for a Secretary’s concurrence or a Governor’s proclamation should include a copy of the proclamation document and an Initial Damage Estimate (IDE) that estimates the severity and extent of the damage caused by the emergency. An IDE may not be immediately required for sudden emergencies with widespread impacts, emergencies of significant magnitude, or during fast moving emergencies where immediate response assistance isnecessary.
Analysis of Request: The request and the IDE are reviewed by the Cal OES Region, and a recommendation is made to the Governor through the Secretary of CalOES.
Proclamation of a State Emergency: The Governor proclaims a State of Emergency based on the formal request from the local governing body and the recommendation of Cal OES. If conditions and time warrant, the Governor drafts and signs a formal State of Emergency Proclamation. The Governor has expanded emergency powers during a proclaimed State of Emergency. The Governor:
• Has the right to exercise police power as deemed necessary, vested in the State Constitution and the laws of California within the designatedarea.
• Is vested with the power to use and commandeer public and private property and personnel, to ensure all resources within California are available and dedicated to the emergency when requested. • Can direct all state agencies to utilize and employ personnel, equipment and facilities for the performance of any activities designed to prevent or alleviate actual and threatened damage due to the emergency and can direct them to provide supplemental services and equipment to political subdivisions to restore any services to provide for the health and safety of the residents of the affected area. • May make, amend, or rescind orders and regulations during an emergency and temporarily suspend any non-safety-related statutes, ordinances, regulations, or rules that impose restrictions on the emergency response activities.
Governor’s Proclamation Without a Local Request: A request from the local governing body is not always necessary for the Governor to proclaim a State of Emergency. The Governor can proclaim a State of Emergency if the safety of persons and property in California are threatened by conditions of extreme peril or if the emergency conditions are beyond the emergency response capability and capabilities of the local authorities. This situation is, however,unusual.
Proclamation of a State of War Emergency: In addition, a State of Emergency, the Governor can proclaim a State of War Emergency whenever California or the nation is attacked by an enemy of the United States, or upon receipt by California of a warning from the federal government indicating that such an enemy attack is probable or imminent.
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The powers of the Governor granted under a State of War Emergency are commensurate with those granted under a State of Emergency.
State Request for a Presidential Declaration: When it is clear that State capabilities will be exceeded, the Governor can request Federal assistance, including assistance under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act). The Stafford Act authorizes the President to provide financial and other assistance to state and local governments, certain private nonprofit organizations, and individuals to support response, recovery, and mitigation efforts following Presidential emergencies or major disaster declarations.
Preliminary Damage Assessment: Upon submission of the request, FEMA coordinates with the state to conduct a Preliminary Damage Assessment (PDA) and determine if the incident is of sufficient severity to require federal assistance under the Stafford Act. This process could take a few days to a week, depending on the magnitude of the incident. FEMA uses the results of the PDA to determine if the situation is beyond the combined capabilities of the state and local resources and to verify the need for supplemental federal assistance. The PDA also identifies any unmet needs that may require immediate attention. The PDA may not be required if immediate response assistance isnecessary.
Federal Analysis of the State’s Request: The FEMA Regional Administrator assesses the situation and the request and makes a recommendation to the President through the Federal Department of Homeland Security on a course of action. The decision to approve the request is based on such factors as the amount and type of damage, the potential needs of the affected jurisdiction and the state, availability of state and local government resources, the extent and type of insurance in effect, recent disaster history and the state’s hazard mitigation history.
Federal Declarations without a PDA: If the incident is so severe that the damage is overwhelming and immediately apparent, the President may declare a major disaster immediately without waiting for the PDA process described above.
Declaration of Emergency or Major Disaster: The President of the United States can declare an Emergency or Major Disaster under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 USC §5121 et seq.), thereby providing federal government resources to support the states’ response and recovery activities. While Presidential Declarations under the Stafford Act release federal resources and funding to support response and recovery, federal agencies may also assist under other authorities or agreements that do not require a Presidential Declaration.
The sequence of activities occurring for the emergency response and the proclamation process is illustrated in EXHIBIT 1 202
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Figure 9 – Response Phase Sequence of Events.
Figure 9 - Response Phase Sequence of Events
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2.4 Continuity of Government (COG) Operations
A major disaster could result in great loss of life and property, including the death or injury of key government officials, the partial or complete destruction of established seats of government, and the destruction of public and private records essential to continued operations of government and industry.
In the aftermath of a major disaster, during the reconstruction period, law and order must be preserved and, so far as possible, government services must be maintained. This can best be done by the civil government. To this end, local units of government must continue to function.
Applicable portions of the California Government Code and the State Constitution provide authority for the continuity and preservation of state and local government.
For additional information regarding the City of Stockton Continuity of Operations, refer to Direction and Control Functional Annex A
2.4.1 City of Stockton Emergency Operations PolicyStatement Limitations: Due to the nature of emergency response, the outcome is not easy to predict. Therefore, it should be recognized that this plan is meant to serve as a guideline and that the outcome of the response may be limited by the scope, magnitude, and duration of the event.
Suspension of Routine Activities and Availability of Employees: Day-to-day functions that do not contribute directly to the disaster operation may be suspended for the duration of an emergency. Efforts normally required for routine activities may be redirected to accomplish emergency tasks. During an emergency response, City employees not otherwise assigned emergency/disaster-related duties will, unless otherwise restricted, be made available to augment the work of their department, or other City departments, if required.
Households of Emergency Response Personnel: City employees may not be at peak efficiency or effectiveness during a disaster if the status of their households is unknown or in doubt. Employees who are assigned disaster response duties are encouraged to make arrangements with other employees, friends, neighbors, or relatives to check on their immediate families in the event of a disaster and to communicate that information to the employee through the City of Stockton Emergency OperationsCenter.
Non-Discrimination: All local activities will be carried out in accordance with Federal nondiscrimination laws. It is the City’s policy that no service will be denied on the basis of race, religion, national origin, age, sex, marital status, veteran status, sexual orientation or the presence of any sensory, mental, or physical disability.
Citizen Preparedness: This Plan does not substitute government services for individual responsibility. Citizens are expected to be aware of developing events and take appropriate steps to respond in a safe and timely manner. Since the City's resources and personnel may be overwhelmed at the onset of a disaster event, individuals and organizations should be prepared to be self-sufficient following a disaster. The City will make every effort to provide information to the public, via the media and other sources to assist citizens in dealing with the emergency.
2.4.2 Disaster ServiceWorkers
Under the California Government Code, Section 3100-3109, all public employees are obligated to serve as Disaster Service Workers (DSW’s). Public employees (civil service) are all persons employed by any county, city, state agency, or public district in the State of California. Disaster Service Workers provide services and support during declared emergencies or disasters.
In the event of a major emergency or disaster, city employees may be called upon to perform certain duties in support of emergency management operations, such as serving in a position in the EOC, supporting shelter operations, or working at a logistics base in the field.
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• City employees may be required to work at any time during a declared emergency and may be assigned to disaster service work.
• Assignments may require service at locations, times and under conditions other than normal work assignments.
• Disaster Service Worker assignments may include duties within the EOC, in the field, or at another designated location.
Under no circumstances will city employees who do not usually have a response role in their day-to-day responsibilities be asked to perform duties or functions that are hazardous, that they have not been trained to perform, or that are beyond their recognizedcapabilities.
2.5 Continuity of Operations (COOP)
General Guidance
A critical component of the City emergency management strategy involves ensuring that government operations will continue during and after a major emergency or disaster. The ability to maintain essential government functions, including the continuity of lawfully constituted authority, is a responsibility that must be provided for to the greatest extent possible.
For additional information regarding the City of Stockton Continuity of Operations, refer to Direction and Control Functional Annex A.
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SECTION 3.0 ORGANIZATION AND ASSIGNMENT OF RESPONSIBILITIES
3.1 Emergency Management Response Levels
The City of Stockton Emergency Operations Plan (EOP) will be activated when an emergency occurs or threatens to exceed capabilities to adequately respond to and mitigate an incident(s). The scope of an emergency, rather than the type, will largely determine whether the EOP and EOC will be activated, and to what level.
For planning purposes, the California Office of Emergency Services (Cal OES) has established three (3) "levels" of response to emergencies. The City of Stockton also employs this system to guide local response to emergencies.
Emergency Response includes the following three levels:
• Level Three EOC Activation: Level Three is a minimum activation. This level may be used for situations that initially only require a few people, e.g., a short-term earthquake prediction at level one or two, alerts of storms, or tsunamis, or monitoring of a low-risk planned event. At a minimum, Level Three staffing consists of the EOC Director, Section Coordinators, and a situation assessment activity in the Planning and Intelligence Section. Other members of the organization could also be part of this level of activation, e.g., the Communications Unit from the Logistics Section, or an Information Officer. • Level Two EOC Activation: Level Two activation is normally achieved as an increase from Level Three or a decrease from Level One. This activation level is used for emergencies or planned events that would require more than a minimum staff but would not call for a full activation of all organization elements, or less than full staffing. The EOC Director, in conjunction with the General Staff, will determine the required level of continued activation under Level Two, and demobilize functions or add additional staff to functions as necessary based upon event considerations. Representatives to the EOC from other agencies or jurisdictions may be required under Level Two to support functional area activations. • Level One EOC Activation: Level One activation involves a complete and full activation with all organizational elements at full staffing. Level One would normally be the initial activation during any major emergency. The numbering sequence of EOC staffing progression is established in the SEMS guidelines and is opposite of the NIMS numbering sequence. Given that the SEMS guideline has been in place since the inception of SEMS, this plan recommends continuing the sequence as established in the SEMS guidance documents.
The City EOC will be activated and staffed accordingly by City personnel and representatives from allied agencies, jurisdictions, and organizations as appropriate.
3.1.1 National Emergency
In the event of a declared National Emergency, the City EOC could be activated, and all elements of local government organized to respond to the indicated threat. A National Emergency may occur due to a real or potential act of terrorism or other catastrophic event that affects the country, including the City of Stockton and surrounding jurisdictions.
For additional information regarding the City of Stockton Direction and Control and EOC Functions, refer to the Direction and Control Functional Annex A.
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3.2 City Department/Allied Agency EOC Organization Assignments In the event of an EOC activation, each City Department and selected allied agencies are assigned specific functions to support emergency management operations. These assignments may involve direct participation within the EOC or provide indirect support. See the Responsibility Matrix below for Primary (P) and Support (S) roles for each City Department/Organization.
City of Stockton County Other
Administrative Services
Fire Department
Police Department
Information Technology
Community Services
Community Development
Public Works/MUD
Human Resources
City Attorney
County OES Office/County
Administration
Environmental Health
Public Health
Social Services
Sheriff
School District
American Red Cross/Other
NGOs
State/Federal Agencies
Action Planning P S
Alerting and Warning S S P S S
Animal Care P S S
Care and Shelter P S S S
Construction & Engineering P
Coroner P
Damage Assessment S P
Debris Clearance S P
Evacuation P S
Facilities S P
Finance P
Fire and Rescue P
Flood Control S P S S
Hazardous Materials P S
I.T. & Telecommunications P
Law Enforcement P S
Legal Considerations P P S
Management P S S S
Medical/Health P S
Personnel P
Procurement P
Public Information P S S S S
Public Works P
Services & Support P
Situation Status S S S S S P S S S S S S S S S S
Transportation S P
Utilities P
Vital Records P
P=Primary S=Support
3.2.1 Director of EmergencyServices
During a local level emergency or disaster, the City Manager, as the Director of Emergency Services, coordinates citywide emergency operations with the Emergency Services Coordinator and Stockton’s mutual aid partners. During an emergency the City Manager and OES, to the extent deemed necessary, has complete authority over all City of EXHIBIT 1 208
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Stockton department personnel and resources as directed in the Municipal Code. (Stockton Municipal Code Title 2 Administration and Personnel, Chapter 2.82 Emergency Organization and Function: 2.82.070 Director of Emergency Services – Power and duties – Additional.) (Prior code § 4-056.1)
3.3 Role of the Private Sector
3.3.1 StocktonResidents
The residents of Stockton are the primary beneficiaries of the City’s emergency management system. At the same time, residents play an important role in emergency management by ensuring that they and their families are prepared for disasters. Before an emergency, residents can assist the emergency management effort by taking first aid training, maintaining supplies, and being prepared to evacuate or shelter in-place for several days.
Many residents join disaster volunteer programs such as Community Emergency Response Teams (CERT) and remain ready to volunteer or support emergency response and recovery efforts. During an emergency, residents should monitor emergency communications and carefully follow directions from authorities. By being prepared, residents can better serve their families, and their community and reduce demands on first responders.
3.3.2 Populations with Access and Functional Needs
According to the U.S. Census of 2014, approximately 3.8 million (10%) Californians over the age of five years have a disability. The state’s population of older adults is also growing, and according to the California Department of Aging, in California there will be approximately 8.5 million people over the age of 60 by 2020 (21%), and almost 12.5 million people over the age of 60 by 2040 (25%).
Most disaster response systems and plans are designed for people who can walk, run, see, drive, read, hear, speak, and quickly respond to alerts and instructions. This presents challenges for adults and children with disabilities and others with access and functional needs. This population may suffer severe and less forgiving consequences without essential support. The margin of resiliency in emergencies is smaller and the impact is higher.
Individuals with access and functional needs include, but are not limited to, those who have/are:
• Physical, intellectual, developmental, and mental health-related disabilities • Blind/visually impaired
• Deaf/hearing impaired
• Mobility impairments
• Injuries
• Chronic conditions
• Older adults
• Infants and children
• Living in institutionalized settings
• Poor or homeless
• Limited English proficiency or are non-English speakers • Transportation disadvantaged
Lessons learned from recent emergencies concerning people with disabilities and older adults have shown that the existing paradigm of emergency planning, implementation, and response must change to meet the needs of these groups during an emergency. These lessons show four areas that are repeatedly identified as most important to people with disabilities and older adults:
• Communications and Public Information – People with disabilities must be given the same information provided to the general population. Emergency notification systems must be accessible to ensure effective communication for people who are deaf/hard of hearing, blind/low vision, or deaf/blind.
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• Evacuation and Transportation – Evacuation plans must incorporate disability and older adult transportation providers for identifying and the movement of people with mobility impairments and those with transportation disadvantages.
• Sheltering – Care and shelter plans must address the access and functional needs of people with disabilities and older adults to allow for sheltering in general population shelters. • Americans with Disabilities Act - When shelter facilities are activated, the state will work with local officials to ensure they accommodate the provisions of the Americans with Disabilities Act (ADA).
3.3.3 At-RiskIndividuals
Another perspective is to consider the needs of people who are not in contact with traditional emergency service providers. These people may feel they cannot comfortably or safely access and use the standard resources offered in preparedness, response and recovery. These include, but are not limited to, individuals who are:
• Out of hearing range of community alert sirens
• Without radio or television to know they need to take action • Without access to telephones
• Visiting or temporarily residing in an impactedregion • Not familiar with available emergency response and recovery resources • Geographically or culturally isolated
3.3.4 Businesses
Much of Stockton’s critical infrastructure is owned or maintained by businesses and must be protected during a response to ensure a quick and complete recovery from an emergency. These same businesses provide valuable resources before, during, and after an emergency and play a critical role in meeting the needs of those impacted by an emergency.
Target Hazards: Some key industries are potential targets for terrorist attacks and must institute measures to prevent attacks and protect their infrastructure and the surrounding community. This requires businesses to coordinate with federal, state, and local governments to ensure that their emergency plans are integrated with government plans.
Hazardous Materials Area Plans: Some industries are required by law or regulation to have emergency operations procedures to address a variety of hazards. The CalOES Hazardous Materials Program requires businesses that handle hazardous materials that meet certain quantity or risk thresholds to submit Business Program Plans and Risk Management Plans to the San Joaquin County Certified Unified Program Agency (CUPA) or Administering Agency (AA). The AA can then develop Hazardous Materials Area Plans to respond to a release of hazardous materials within San Joaquin County.
Business Emergency Plans: This plan recommends that all businesses develop comprehensive emergency plans that include employee injury and illness prevention programs, business resumption, and continuity of operations elements. A comprehensive business emergency plan can assist the business and the community at-large by providing:
• Information to the employees to protect themselves and their families from the effects of likely emergencies. • A business emergency organization with identified positions having clear and specific emergency roles, responsibilities, delegated authority, and identified successors. • An identification of actions necessary to protect company property and records during emergencies.
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• A listing of critical products and services.
• Production shut-down procedures.
• A company command post.
• Alternate work sites.
• Methods and channels of communication.
• Contacts with local emergency management officials.
• A method to provide and accept goods and services from other companies.
Business Operations Centers: This plan also promotes the use of business operations centers to enhance public and private coordination. Local governments can effectively coordinate with businesses by establishing a business operations center that is linked to their existing emergency operations center.
3.3.5 VolunteerOrganizations
The City of Stockton recognizes the value and importance of organizations that perform voluntary services in their community. These organizations have resources that can augment emergency response and recovery efforts.
Examples of voluntary organizations are:
• City of Stockton Volunteers: Volunteers who are already connected to the City of Stockton prior to an emergency can be a great asset during a disaster.
o Fire Corps: Fire Auxiliary, Explorers, Chaplains, and Medical Reserve Corps. o Volunteers in the Police Services: Police Reserves, Senior and Junior Cadets, Volunteers in Police Services (VIPS) and Animal ShelterFriends.
• American Red Cross (ARC): The American Red Cross Capital Region Chapter is very active when disaster threatens or strikes a member of our community. The Red Cross provides shelter, food, health, and mental health services to address basic human needs and enable them to resume normal daily activities.
The American Red Cross Capital Region Chapter-Stockton Office 2453 Grand Canal Blvd. www.redcrosscrc.org. Examples of additional volunteer organizations in Stockton are:
o United Way of San Joaquin County
o Salvation Army
o Faith-BasedOrganizations
3.3.6 Public-Private Partnerships
The private sector provides valuable assistance and resources to support emergency response and recovery activities. The goal of the Public-Private Partnership is to advise on:
• Appropriate agreements to provide for quick access to emergency supplies and essential services in order to minimize the need to stockpile such supplies during normal times. • Logistic measures are required to quickly deliver needed supplies and services to affected areas.
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• Methods to utilize non-profit and private sector capabilities to increase the surge capacity of local agencies responding to emergencies.
• Methods to promote the integration of the non-profit and private sectors into the emergency services system so that people can be better informed and preparedfor emergencies. • Systems that aid business and economic recovery after an emergency. • Some organizations/businesses that have formed public-private partnerships with the City of Stockton include:
o Pacific Gas and Electric (PG & E)
o California Water Co.
o S-MART Grocery Stores
o Sothern Pacific Railroad
o Safeway Grocery Stores
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SECTION 4.0 DIRECTION, CONTROL AND COORDINATION
Responsibility for emergency response is based on statutory authority. The emergency response is coordinated under SEMS, which provides a flexible, adaptable and expandable response organization to address all-hazards of varying magnitude and complexity.
• Command and Control: During response to minor or moderate events, the City of Stockton may manage the emergency with existing resources. The Emergency Operations Center (EOC) may not be activated under this scenario. Personnel that are part of a field level emergency response will utilize the Incident Command System (ICS) to manage and direct on-sceneoperations. • Field/EOC Communications and Coordination: The Stockton EOC is activated to support field operations when an emergency requires additional resources, or when requested resources exceed that which is available from within the jurisdiction. Field Incident Commanders and the City EOC will establish communications when the EOC is activated. The Stockton EOC will communicate with the San Joaquin Operational Area EOC and the San Joaquin Operational Area EOC will communicate with the Inland Region Emergency Operations Center (REOC) and the REOC will communicate with the State Operations Center (SOC).
• Multi-agency Coordination: Larger scale emergencies involve one or more responsible jurisdictions and or multiple agencies. Management personnel from the responsible jurisdictions form a Unified command and or a Multi-Agency Coordination (MAC) group. Provision is made for situation assessment, determining resources requirements, establishing a logistical system and allocating resources. Various emergency operations centers, dispatch centers and other essential facilities located in or adjacent to the affected area are activated at this time.
4.1 EOC Coordination with Other Government Levels and the Private Sector
4.1.1 Coordination with Field Response Level
Communications and coordination must be established between the EOC and field responders who are responding within the city boundaries. This is accomplished through coordination with the Department Operations Centers (DOC), when activated, and as necessary through the city EOC.
4.1.2 Coordination with San Joaquin Operational Area and MemberJurisdictions Direct communications and coordination will be established between San Joaquin County and any Operational Area member jurisdictions' activated EOC. Additionally, as time permits, communications will be established by the county with other member jurisdictions that have not activated their EOCs. Initially, communications will be established by any means available and with whoever is available, regardless of their functional EOC position. Ideally, communications and coordination amongst the cities and special district EOCs will occur along functional lines.
An agency representative from any OA jurisdiction that activated its EOC may request to have a liaison at the City’s EOC; this will be coordinated through the San Joaquin OA EOC or the Emergency Services Manager if the County EOC is not activated. Due to space limitations, this would only be recommended during complex or large operations between the city and other San Joaquin OA members
4.1.3 Coordination with the County and Special Districts The emergency response role of county and special districts is generally focused on restoring their normal services or functional areas of responsibility. During disasters, some types of special districts will be more extensively involved in the emergency response by directly coordinating, communicating, and assisting local governments (for instance utilizing school districts for incidents involving shelters, school facilities, or the children.) If a special district does not send a representative to the EOC, then the Liaison Officer in the EOC will be responsible for establishing communications and coordination with the special district liaison.
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4.1.4 Coordination with the Inland Region Emergency OperationsCenter Communications with the Inland Region Emergency Operations Center (REOC) are conducted through the San Joaquin Operational Area. The REOC will work with the OA directly on behalf of the city, and the methods are described as follows:
• Primary Method - The REOC sends a field representative to the Operational Area. • Alternate Method - The Operational Area and the REOC coordinate through various telecommunications systems.
Coordination and communications between the San Joaquin County EOC and the Inland REOC will occur between the five SEMS functions. Direct coordination and communications will also be established between the Operational Area Mutual Aid Coordinators, who are located in the County EOC, and the Region's Mutual Aid Coordinator, who may be located in the REOC.
4.1.5 Coordination with State and Federal Field Response There are some instances where a state or federal agency’s field responses may result from a flood fight effort, oil spill, hazardous materials accident on a highway, or other hazard scenarios. Federal field response could result from the same scenarios or a military aircraft accident, and/or terrorism incidents. When a state or federal agency is involved in field operations, coordination may be established with the City EOC. State or federal agencies operating in the field may be found in any ICS section, branch, unit or part of a Unified Command. The agency’s responsibilities in responding to the incident will determine its location in the organization. Per NIMS, any multi-agency response will require the formation of a Unified Command structure.
4.1.6 Coordination with Volunteers and the PrivateSector Within San Joaquin County, coordination of response activities with non-governmental organizations may occur.
Privately-owned utilities, such as PG&E, will frequently send representatives to activate EOCs to facilitate coordination of critical facility restoration. If activated, the County EOC will address volunteer requests from the general public by directing them to the logistics section or the Emergency Volunteer Center (EVC). Other privatesector corporate interests may contact the EOC through the appropriate liaisons to express their interest in assisting in response and recovery operations.
For additional information regarding the City of Stockton Direction and Control and EOC Functions, refer to Direction and Control Functional Annex A
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SECTION 5.0 INFORMATION COLLECTION AND DISSEMINATION
5.1 Action Planning
The use of Action Plans in the Stockton EOC provides a clear and measurable process for identifying objectives and priorities for a given event. Action Planning is an important management tool that involves:
• Process for identifying priorities and objectives for emergency response or recovery efforts. • Plans which document the priorities and objectives, and the tasks and personnel assignments associated with meeting the objectives.
The Action Planning process should involve the EOC Director and Section Chiefs (one from each Section), along with other EOC staff, as needed, such as agency representatives.
5.1.1 PlanningRequirements
The initial EOC Action Plan may be a verbal plan that is developed during the first hour or two following EOC activation. A verbal plan may also be utilized for incidents involving a limited scope, short duration (less than 12 hours) and a limited number of response personnel. An EOC Action Plan shall be developed whenever the EOC is activated, either partially or fully. A written EOC Action Plan is required whenever:
• Two or more agencies are involved in the response
• The incident overlaps more than one operationalperiod • All EOC functions are fully staffed
The EOC Action Plan addresses a specific operational period, which may vary in length from a few hours to days, depending on the circumstances. The plan should be regularly reviewed and evaluated throughout the operational period and revised or updated as warranted.
5.1.2 Plan Elements
The elements to be included in the EOC Action Plan are:
• Operational period covered by the plan.
• Identify parts of the EOC organization that have been activated on an organization chart. • Assignment of primary and support personnel and material resources to specific tasks and locations. • Describe any logistical or technical support to be provided and by whom. • State the objectives (attainable, measurable, and flexible) to be accomplished. • Establish the current priorities to meet the objectives. • Describe the strategy to be utilized to achieve theobjectives.
In addition to the required elements listed above, the Action Plan may also include:
• Specific departmental missionassignments.
• Policy and/or cost constraints.
• Any inter-agency considerations.
5.1.3 Planning Responsibilities
Primary responsibility for developing the EOC Action Plan rests with the Planning Section. However, the development of the plan requires the active participation of the EOC Management and General Staff. The Operations Section, in particular, must work closely with the Planning Section during Action Plan development. When indicated, the Planning Section Chief will request specific technical experts to provide input to the plan. The EOC Director is responsible for approving the plan.
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For incidents requiring close coordination with external agencies, (e.g., State Cal OES, state first response agencies, special districts, etc.), input from the involved agencies should also be included in the Action Planning process. For additional information regarding the City of Stockton Action Planning, refer to Direction and Control Functional Annex A.
5.2 EOC Reporting
Information may be sent to City departments, EOC personnel, the San Joaquin Operational Area and other key agencies using OASIS, radio, telephone, email, internet or fax. Regardless of the method of communication, all data should be verified prior to transmission. If unverified data must be transmitted, it should be clearly designated as unconfirmed information. The Stockton EOC should transmit the following reports to DOCs, if activated, City departments, and the San Joaquin OA EOC.
5.2.1 PreliminaryReports
Preliminary Reports are used during the first two hours of an emergency to provide an initial picture of the scope and magnitude of the situation.
5.2.2 Situation Reports
Situation Reports are brief narratives that present a concise picture of the emergency situation and are prepared for specific time periods.
• At the beginning of an emergency response, the EOC Management and Planning staff will determine appropriate times for submitting data and issuing Situation Reports. • The Situation Report is intended for use after the first two hours of an emergency and can be updated as requested or need
5.2.3 Flash Reports
Flash Reports are used for transmitting critical, time-sensitive information outside regularly scheduled Preliminary Reports or Situation Reports. For example, a Flash Report would be used to report an impending dam failure or a receipt of a Federal Declaration of a Major Disaster.
Oral Flash Reports may precede written reports. The written report later serves as confirmation and documentation.
5.2.4 Documentation
Unit/activity logs are used to record significant events, communications, and actions associated with an emergency for a given operational period or shift. Each EOC staff position is responsible for maintaining a unit/activity Log.
All copies of reports, SEMS forms, and logs must be submitted to the Planning Section, Documentation Unit, prior to the close of each operational period (or prior to EOC deactivation if operations do not require multiple shifts).
5.2.5 Status Boards
Status Boards are erasable boards, electronic boards, TV monitors or projections from computer systems located around the EOC. The Status Boards provide decision-makers and EOC staff with essential information, such as road closures, shelter location information, river gauge levels, etc., at a glance.
5.3 EOC Reporting Systems
San Joaquin OA and the State of California have internet-based information reporting systems for use during emergencies: CalEOC (State of California) and WebEOC (San Joaquin OA). The purpose of these internet-based systems is to improve the state’s ability to respond to major disasters. The systems increase the level of service and efficiency by improving the state’s ability to:
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• Respond to, manage, and coordinate requests for resources • Collect, process, and disseminate information during and after a disaster
5.4 Emergency Public Information
Emergency Public Information is a priority of utmost importance during emergencies and disasters. City government has a primary responsibility to provide accurate and timely information to the public regarding conditions, threats, and protective measures. The Emergency Public Information function operates best when centralized and coordinated among all involved jurisdictions, agencies, and organizations.
For additional information regarding the City of Stockton Emergency Public Information, refer to Function Annex A - Direction and Control.
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SECTION 6.0 COMMUNICATIONS
In coordination with established public safety warning protocols, the activated EOC will manage the dissemination of timely and adequate warnings to threatened populations in the most effective manner possible. Warning information will be issued as quickly as a threat is detected, using the most direct and effective means possible.
6.1 Warning Responsibility
When the EOC is not activated, the City Public Safety Departments will coordinate the dissemination of official alerts and warnings to the general public and allied agencies using available methods. This alert and warning activity will be coordinated through the City PIO, the dispatch center and other available alert and warning mechanisms available to the City.
6.2 Warning and Alert Mechanisms
Depending upon the threat and time availability, the EOC will initiate alerts and warnings utilizing any of the following methods:
• Activation of the Emergency Alert System(EAS) through SJ County OES • Activation of the Emergency Digital Information System (EDIS) • Activation of the California Law Enforcement Mutual Aid Radio System (CLEMARS) • Activation of the Telephonic Alert and WarningSystem
• Media broadcast alerts
• Social Media Notifications
As in any emergency, the effectiveness of any warning will be dependent upon many factors including:
• Time availability
• Initial notice of a threat
• Time of day
• Language barriers
• Receiving challenges for the hearing and sight impaired
6.3 Warning Conditions
Typically, warnings will be issued during periods of flash flooding, major hazardous materials incidents, public health emergencies, fast-moving fires, severe weather conditions, and potential acts of violence. However, warnings may be issued wherever a threat is perceived, and the potential for safeguarding public safety is possible through rapid alerting.
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SECTION 7.0 ADMINISTRATION, FINANCE ANDLOGISTICS
ADMINISTRATION
Introduction
The Administration function manages all the emergency’s financial, administrative and cost analysis aspects.
Initially, this work may be done in the EOC, but in later stages of the emergency, this function may be accomplished at other locations.
7.1 Damage Assessment
Damage Assessment is the process of identifying and quantifying damages that occur as a result of a disaster. The objective of the damage assessment is to provide situational awareness to the EOC about the state of critical and essential functions to help facilitate the move from response into recovery. It also facilitates the decisions to appropriately direct resources and teams. Additionally, the damage assessment results are used as the initial basis to justify or determine state or federal assistance. Damage assessment is conducted in two phases.
7.1.1 Initial Damage Assessment
This assessment begins immediately after the incident occurs and helps to determine life safety issues, identify the hardest hit areas, and estimate the damaged infrastructure. The initial damage assessment determines whether more detailed damage assessments are necessary and identifies those areas where further efforts should be concentrated.
7.1.2 Preliminary Damage Assessment(PDA)
This assessment is done to verify the initial damage assessment (especially for state/federal assistance) and gather additional information on areas or functions that are going to require additional resources so recovery can be prioritized.
7.2 Process
7.2.1 Windshield Surveys
Following a disaster, on-duty fire, police, and public works field units perform windshield surveys. The survey is done quickly, without exiting the vehicle, and includes a brief observation of the structure or area for obvious damages.
The Red Cross also may conduct windshield surveys, if requested. Windshield surveys may also be used to develop the Initial Damage Estimate (IDE) discussed in the previous section.
7.2.2 SafetyAssessment
As soon as possible following the emergency event, a Rapid Safety Assessment is conducted on occupied buildings and pre-designated essential facilities (e.g., occupied structures, access roads, bridges, utilities, etc.) The assessment involves an immediate visual inspection by Safety Assessment Teams (SATs) assigned by the EOC Safety Assessment staff to identify unsafe structures/areas and obvious hazards. Unsafe structures are evacuated immediately, hazardous conditions are secured and occupied buildings are posted as Unsafe, Restricted Use or Inspected, as indicated. The inspection and assessment process will be performed in accordance with the Applied Technology Council (ATC-20-2) Procedures for Post Earthquake Safety Evacuation of Buildings. Mutual aid for the conduct of these assessments can be obtained through the Safety Assessment Program, overseen by CalOES.
7.2.3 Detailed Inspection
Based on findings from the SATs, detailed inspections are performed on damaged facilities by personnel assigned by the EOC Safety Assessment staff. This inspection includes a more thorough examination to document damages, identify repair, bracing and shoring requirements, evaluate the initial posting of occupied structures and identify facilities that require an engineering assessment. The condition of occupied structures may be upgraded or downgraded based on the results of the inspection.
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7.2.4 Engineering Assessment
Licensed engineers conduct detailed assessments on damaged structures and facilities to prepare plans for repairs, reconstruction and engineering cost estimates. Depending on the type of facility and the nature of the damage, civil, structural, mechanical, and other specialty engineering services may be contracted, or requested through the San Joaquin OA EOC.
7.2.5 Damage Assessment ChronologySummary
Refer to Figure 10 - Damage Assessment Chronology Summary Chart on the following page:
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Damage Assessment Chronology
Time Frame Purpose Method/Teams
Windshield Survey
0-12 hours post-event Locate and identify casualties and hazards to aid the direction of
response efforts.
1. Windshield Survey Form
2. Police, Fire and Public Works
field units, and ARC
Safety Assessment
0-24 hours post-event Identify life safety problems, obvious structural or utility damage. Includes
assessment of roads, bridges,
tunnels, and access areas. Buildings
are posted “Unsafe” (Red),
“Restricted Use” (Yellow), or
“Inspected” (Green), The
assessment is also used to identify
requirements for barricades.
1. ATC-20-2 Rapid Evaluation
Safety Assessment Form
2. Safety Assessment Teams
assigned by the EOC Safety
Assessment staff
Detailed Damage Assessment
24 hours to 1-week post-event Identify and document damage and initial cost estimates. Inspect
structures, bridges, tunnels, water
lines, fire alarm systems, sewer
lines, street lights, and roadways.
The assessment is also used to
prepare for emergency repairs,
bracing and shoring.
1. ATC-20-2 Detailed Evaluation
Safety Assessment Form
2. ATC-20-2 Fixed Equipment
Checklist
3. Safety Assessment Teams
assigned by the EOC Safety
Assessment staff
Engineering Assessment
1-week to 2-months post-event A quantitative engineering evaluation of damage. This assessment is used
to prepare plans for permanent
repairs and to prepare engineering
cost estimates.
1. Engineers and architects
2. Consulting structural,mechanical
and geotechnical engineers
Figure 10 - Damage Assessment Chronology Summary Chart
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7.3 Documenting and Reporting Damage Assessments
7.3.1 Reporting
Any damage that endangers life safety, the operation of a facility, or damage that could result in additional damage will be reported immediately to the EOC Operations Section via phone or radio. Copies of all damage reports are forwarded to the Planning Section for review, analysis, and posting on status boards, as indicated.
7.3.2 Windshield Survey
Field units report hazards or major damage to the assigned EOC Operations Section Chief or designee via phone or radio.
7.3.3 SafetyAssessment
The results of safety assessments are reported by SATs to the assigned Operations Section Safety Assessment staff via phone or radio. Based on the results of these assessments, initial response strategies and priorities may be received by the Operations Section Chief.
7.3.4 Detailed DamageAssessment
Each SAT submits its findings to the EOC Safety Assessment staff in writing on the appropriate form. The Safety Assessment staff arrange for further engineering assessments based on the findings from this assessment. Copies of all forms are forwarded to the Planning Section for the Situation/Status Report.
7.3.5 Engineering Evaluation
Each SAT submits its findings in writing to the EOC Safety Assessment staff. The engineering reports will include all supporting materials, such as drawings, calculations, cost estimates, etc., and will be used to develop, repair and reconstruct plans.
7.3.6 Documentation
Police, Fire, and Public Works field units conduct the Windshield Surveys and document their findings. The information may be reported verbally to the EOC, or to the appropriate Law, Fire or Public Works representative, who in turn records the information.
Inspections and assessments are recorded by assigned SATs on the appropriate ATC-20-2 forms and photographs are taken of all damages observed. Where indicated, appropriate maps and schematics are attached to the ATC-20- 2 forms. Completed forms, photographs and schematics are forwarded to the EOC Planning Section as soon as practical.
7.4 After Action Reporting
The Standardized Emergency Management System (SEMS) and National Incident Management System (NIMS) protocols require any city, city and county, or county declaring a local emergency for which the Governor proclaims the State of Emergency, to complete and transmit an After-Action Report (AAR) to Cal OES within 90 days of the close of the incident period.
The after-action report will provide, at a minimum, the following:
• response actions taken
• application of SEMS
• suggested modifications to SEMS
• necessary modifications to plans andprocedures
• training needs
• recovery activities to date
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The after-action report will serve as a source for documenting the City of Stockton’s emergency response activities and identifying areas of concern and successes. It will also be utilized to develop a work plan for implementing improvements.
An after-action report will be a composite document for all SEMS levels, providing a broad perspective of the incident, referencing more detailed documents, and addressing all areas specified in regulations.
It will include an overview of the incident, including attachments, and will also address specific areas of the response, if necessary. It will be coordinated with, but not encompass, hazard mitigation. Hazard mitigation efforts may be included in the “recovery actions to date” portion of the after-action report.
The Emergency Services Coordinator (Fire Department) is responsible for the completion and distribution of the after-action report to the City Manager and Department Directors as well as ensuring that it is sent to the California Office of Emergency Services (Cal OES) within the required 90-day timeframe.
For Stockton, the after-action report’s primary audience will be Cal OES and City employees, including management. As public documents, they are accessible to anyone who requests a copy and will be made available through the Stockton FireDepartment.
The after-action reports will be written in simple language, well structured, brief, and well presented, and geared to the primary audience. Data for the after-action report will be collected from debrief reports, documents developed during the disaster response and discussions with emergency responders.
FINANCE
7.5 Expenditure Tracking
The City may be reimbursed from insurance, state, and/or federal sources for disaster-related expenses. The purpose of this section is to guide the record-keeping requirements for claiming such expenses.
7.5.1 Eligible Expenses
Eligible costs are extraordinary costs incurred while providing emergency services required by the direct impact of a declared disaster and which service is the responsibility of the applicant agency. Eligible costs are generally considered to be the net costs over and above any increased revenue or subsidy for the emergency service.
Ineligible expenses include costs for standby personnel and/or equipment and lost revenue.
7.5.2 Recordkeeping Requirements
State and federal governments require detailed information to support claims for reimbursement. Funding will be approved or denied based on the information supplied by applicant agencies. Documentation supporting all costs claimed will be required, and all information must relate to individual source records. The following guidelines should be followed when documenting disaster-related reimbursable expenses:
• Costs and revenues associated with emergency operations should be segregated from normal operating expenses.
• Separate records should be maintained for each vehicle and piece of heavy equipment used for emergency operations.
• Vehicle and equipment documentation should include the miles and/or hours operated by location and by operator.
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• Vehicle operating expenses should include fuel, tires, tubes, and maintenance. • Labor costs should be compiled separately from vehicle and/or equipment expenses. • Equipment documentation should include exactly where the equipment was used and for what; hours and minutes used; and the name of the equipment operator ifapplicable. • Revenues and subsidies for emergency operations must be subtracted from any costs claimed. • Requisitions, purchase orders, and invoices must be maintained for all supplies, materials and equipment expenses claimed.
• Costs for supplies and materials must include documentation of exactly where resources were used and for what purpose.
• All noncompetitive procurements must bejustified.
Expenditure tracking should commence upon notice or obvious occurrence of disasters that require the expense of labor, equipment use, materials, and other expenses. The Incident Commander(s), EOC Director, and EOC staff are responsible for maintaining written records of all disaster-related personnel overtime, requests for supplies, equipment, and contract personnel, and receipts for emergency purchases of supplies, equipment, and other disaster-related expenses. The City will activate a special coding for emergency expenditure tracking which is used for both labor and equipment.
The Finance Section will compile reports, including total expenditures by category. The Finance Section Chief will submit a summary report on total costs to the EOC Director as requested. This information will be used for state and federal disaster assistance applications. The expenditure data and documentation are vital to state and federal agencies for requesting financial assistance during and after the disaster. For more information on state and federal disaster assistance programs refer to Recovery and Mitigation Functional Annex E.
LOGISTICS
7.6 Resource Management
7.6.1 ResourcePriorities
When activated, the City of Stockton EOC establishes priorities for resource allocation during the emergency. All city resources are considered part of a pool, which may be allocated by the City EOC to fulfill priority missions. Each department retains control of its non-assigned resources until released for an emergency assignment by the EOC.
7.6.2 ResourceRequests
Resource Requests will be made through one of the following processes:
• Discipline-specific (usually Fire and Law) mutual aid systems: Requests for resources that are normally within the inventories of the mutual aid system will go from the local coordinator to the Operational Area Mutual Aid Coordinator to the Regional Mutual AidCoordinator. • All other resource requests will be made through the logistics function at each level.
Resource requests from jurisdictions within the city will be coordinated with the San Joaquin OA EOC to determine if the resource is available internally or other more appropriate sources located within the OA. Emergency Management Mutual Aid Coordinators at each level will keep the Operations Chiefs informed of the status of resource requests and allocations. Coordinators at each level will communicate and coordinate with each other to maintain the current status of resource requests and allocations within the disaster area.
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Resource requests from the City of Stockton EOC to the San Joaquin OA EOC may be verbally requested, and then will be documented. Available resources will be allocated to the requesting local government field Incident Commander. If requests for a specific resource exceed the supply, the available resources will be allocated consistent with the priorities established through the action planning process. The Section Chiefs in the City EOC are responsible for ensuring that priorities are followed.
Resource requests for equipment, personnel, or technical assistance not available to the City should be coordinated with the San Joaquin OA EOC to the Inland Region REOC. Once the resource requested is coordinated, approved and deployed, the Resource Status Unit, in coordination with various Operations Branches, is responsible for tracking the resource.
7.6.3 Emergency ResourceDirectory
San Joaquin County in coordination with the City of Stockton Fire Department maintains an Emergency Resource Directory or Logistics System in database format that lists available vendors, supplies, and equipment that can be available during a disaster situation.
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SECTION 8.0 PREPAREDNESS, TRAINING AND EXERCISES
8.1 Preparedness Planning
The City government conducts a wide array of emergency planning activities. Planning efforts include the development of internal operational documents as well as interagency response plans having multi-jurisdictional participation.
In addition to the planning activities conducted, the city departments develop internal preparedness and contingency plans to ensure the provision of government services and maintenance of departmental functions during disasters.
The Department Operations Plan (DOP) is an integral supporting component of the master Emergency Operations Plan (EOP).
Emergency readiness cannot be conducted within a vacuum. The city is responsible for working with all city departments, special districts, and allied agencies that are considered a component of the Stockton Emergency Organization. Such coordination extends to the following activities:
• Interagency plan development
• Interagency training coordination
• Interagency exercise development andpresentation
• Interagency responsemanagement
• Interagency emergency public information activities
Additionally, the Fire Chief acts as the city government’s key representative and lead agent for day-to-day emergency management activities such as mitigation, preparedness, response, and recovery. Non-emergency functions include planning, training and exercise development, preparedness presentations, interagency coordination, hazard assessment, development of preparedness and mitigation strategies, grant administration, and support to city response agencies.
8.1.1 Community Preparedness andAwareness
The public's response to any emergency is based on an understanding of the nature of the emergency, the potential hazards, the likely response of emergency services, and knowledge of what individuals and groups should do to increase their chances of survival and recovery.
Public awareness and education before an emergency or disaster will directly affect Stockton’s emergency operations and recovery efforts. For this reason, the City of Stockton will make emergency preparedness information from county, state and federal sources available to the member jurisdictions and our citizens upon request.
8.1.2 PreparednessActions
In identifying general preparedness actions, the city government works with community-based organizations, faithbased organizations, other local governments/special districts, private industry, preparedness groups, and other entities to provide information relating to individual and group preparedness.
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8.2 Readiness Training
The Stockton Fire Department will notify holders of this plan of training opportunities associated with emergency management and operations. Individual City departments and agencies within the City of Stockton are responsible for maintaining training records. Jurisdictions and agencies having assigned functions under this plan are encouraged to ensure that assigned personnel are properly trained to carry out these tasks.
The Emergency Services Coordinator (Fire Department) will develop and execute a comprehensive training program for emergency management topics on an annual basis. The established training schedule will include applicable courses of instruction and education that cover management subjects. Such instruction shall meet or exceed the State SEMS and Federal NIMS training requirements.
8.3 Exercise and Evaluation
Elements of this plan will be exercised regularly. The Fire Department will conduct emergency preparedness exercises, under its annual exercise schedule, following appropriate state and federal guidance. Deficiencies identified during scheduled exercise activities will result in the development of a corrective action plan to initiate appropriate corrections.
The planning for, development, and execution of all emergency exercises will involve close coordination between all City Departments, allied agencies, special districts, and supporting community and public service organizations.
The primary focus will be to establish a framework for inter-organizational exercise collaboration in coordination with all-hazard response and recovery planning and training activities, conducted within the City of Stockton Emergency exercise activity will be scheduled to follow state and federal guidance and program requirements.
Exercise activity will follow the Homeland Security Exercise and Evaluation Program (HSEEP) guidance and may be designed as one or more of the following exercise types:
• Drills/Tests
• Seminars (Workshops)
• Table Top Exercises (TTX)
• Functional Exercises (FE)
• Full-Scale Exercises (FSE)
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SECTION 9.0 PLAN DEVELOPMENT AND MAINTENANCE
9.1 Plan Development and Maintenance Responsibility
This plan is developed under the authority conveyed to the Emergency Services Coordinator (Fire Department) under the City’s Director of Emergency Services and Disaster Council who has the primary responsibility for ensuring that necessary changes and revisions to this plan are prepared, coordinated, published, and distributed.
9.2 Review and Updating
This plan and its supporting documents or annexes, such as Direction and Control and Recovery and Mitigation, will be reviewed annually, with a full document update conducted minimally every three (3) years. Changes to the plan will be published and distributed to all involved departments and organizations. Recommended changes will be received by the Emergency Services Coordinator (Fire Department), reviewed and distributed for comment regularly .
Elements of this plan may also be modified by the Emergency Manager (Fire Department) at any time state or federal mandates, operational requirements, or legal statutes so require. Once distributed, new editions to this plan shall supplant older versions and render them inoperable.
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SECTION 10.0 AUTHORITIES AND REFERENCES
10.1 Authorities
Federal
• Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1988, 42 U.S.C. 5121, et seq., as amended • Homeland Security Presidential Directive 5, Management of Domestic Incidents, February 28, 2003 • Homeland Security Presidential Directive 8, National Preparedness, December 17, 2003 • The Code of Federal Regulations, Title 44, Chapter 1, Federal Emergency Management Agency, October 1, 2007
State
• California Emergency Services Act (CA government Code Section 8550 et. seq.) • California Disaster Assistance Act (CA government Code Section 8680 et. seq.) • California Code of Regulations Title 19, (Standardized Emergency Management System and California Disaster Assistance Act))
• California Disaster and Civil Defense Master Mutual AidAgreement County
• San Joaquin County Emergency Services/Ordinance; Division 3: Civil Defense and Disaster; Sections 4-3000 – 4-3009 of the San Joaquin County MunicipalCode
• San Joaquin County Resolution adopting the California Master Mutual Aid Agreement • San Joaquin County Resolution relating to Emergency Operations within San Joaquin County • San Joaquin County Resolution adopting the Emergency Operations Plan (revision in progress) City
• Stockton Municipal Code: Section 2.82 – Emergency Organization andFunctions References
Federal
• National Response Framework (As revised)
• National Incident Management System (NIMS)
• Comprehensive Preparedness Guide (CPG) 101 V2
State
• California State Emergency Plan, July 2017 edition
• Standardized Emergency Management System(SEMS)
• California Disaster Assistance Act (CDAA)
• California Law Enforcement Mutual Aid Plan
• California Fire and Rescue Mutual Aid Plan
• Continuity of Government in California (Article IV, Section 21 of the State Constitution) • Preservation of LocalGovernment
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County
• San Joaquin County Emergency OperationsPlan (2022)
• San Joaquin County Local Hazard Mitigation Plan (2017) City
• Stockton Emergency Operations Plan, 2012 edition
• Stockton Functional Annexes (Supplements to the basic Emergency Operations Plan) o Annex A – Direction and Control (Operational Guide for the Emergency Operations Center 2012) o Annex B – Continuity of Government/Operations (2011)
o Annex C – Communications and Warning (2012)
o Annex D – Emergency Public Information (2012)
o Annex E – Recovery and Mitigation (2014)
• Hazard/Threat-Specific Flood Response Annex (Supplement to the basic Emergency Operations Plan 2016) • Hazard/Human Health Hazards (2020)
• Hazard/Severe Weather (2022)
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GLOSSARY OF TERMS
Action Plan: The plan prepared in the EOC containing the emergency response objectives of that SEMS level reflecting overall priorities and supporting activities for a designated period. The plan is shared with supporting agencies.
All Hazards: Refers to a policy or program that is designed to deal with a variety of natural and technological hazards.
Agency: A division of government with a specific function offering a particular kind of assistance. In the Incident Command System (ICS), agencies are defined either as jurisdictional (having statutory responsibility for incident management) or as assisting or cooperating (providing resources or other assistance). Governmental organizations are most often in charge of an incident, though in certain circumstances private sector organizations may be included. Additionally, Non-Governmental Organizations (NGOs) may be included to providesupport.
Catastrophe: Any natural or manmade incident, including terrorism that results in extraordinary levels of mass casualties, damage, or disruption severely affecting the population, infrastructure, environment, economy, national morale, and/or government functions.
Command: The act of directing, ordering, or controlling under explicit statutory, regulatory, or delegated authority.
Command/Management: Command is responsible for the directing, ordering, and/or controlling of resources at the field response level. Management is responsible for overall emergency policy and coordination at the SEMS EOC levels.
Command Post: See Incident Command Post.
Command Staff: The Command Staff at the SEMS Field Level consists of the Information Officer, Safety Officer and Liaison Officer. They report directly to the Incident Commander. They may have an assistant or assistants, as needed. These officers are also found at the EOC levels in SEMS and they report directly to the EOC Director and comprise the Management Staff. Theymay have an assistant or assistants, as needed.
Common Terminology: Normally used words and phrases-avoids the use of different words/phrases to provide consistency and allow diverse incident management and support organizations to work together across a wide variety of incident management functions and hazard scenarios.
Continuity of Government (COG): Includes measures to ensure continued leadership and preservation of vital records, thereby maintaining a viable system of government supported by law; establish emergency authorities legally vested in government leaders so that they have prescribed powers to act; ensure survivability of mechanisms and systems for direction and control so that actions directed by leaders can be communicated and coordinated; sustain essential emergency services and resources so that critical response and recovery actions can achieve widest possible implementation.
Continuity of Operations Planning (COOP): An internal effort within an organization to assure that the capability exists to continue essential business functions across a wide range of potential emergencies, including localized acts of nature, accidents, and technological and/or attack/terrorist-related emergencies. Accordingly, an effective Emergency Management Program (EMP) not only addresses the four phases of mitigation, preparedness, response, and recovery, but includes COOP planning activities to ensure that ancillary, and support functions would continue, with little or no interruption.
Critical Infrastructure: Systems and assets, whether physical or virtual, so vital to the community that the incapacity or destruction of such systems and assets would have a debilitating impact on security, local economic security, local public health or safety, or any combination of those matters.
Department Operations Center: A centralized location for a single department or agency where their internal incident management and response takes place.
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Disaster: A sudden and extraordinary misfortune; a calamity that threatens or effects extraordinary loss of life or property.
Disaster Service Worker (DSW): All public employees in California are subject to such emergency or disaster activities as may be assigned by their supervisors or by law.
Emergency: A condition of disaster or extreme peril to the safety of persons and property within the state caused by such conditions as air pollution, fire, flood, hazardous material incident, storm, epidemic, riot, drought, sudden and severe energy shortage, plant or animal infestations or disease, the Governor's warning of an earthquake or volcanic prediction, or an earthquake or other conditions, other than conditions resulting from a labor controversy.
Emergency Alert System (EAS): An established system to enable the President, and federal, state and local jurisdiction authorities to disseminate emergency information to the public via the Commercial Broadcast System. Composed of amplitude modulation (AM), frequency modulation (FM), television broadcasters, and the cable industry. Formerly known as the Emergency Broadcast System (EBS).
Emergency Management: The discipline and the profession of applying science, technology, planning, and management to deal with extreme events that can injure or kill large numbers of people, property damage and disrupt community life. As a process it involves preparing, mitigating, responding and recovering from an emergency. Critical functional components include planning, training, simulating drills (exercises), and coordinating activities.
Emergency Operations Center (EOC): A centralized location where individuals responsible for responding to a large-scale emergency can have immediate communication with each other and with emergency management personnel to enhance coordination in exercising direction and control of emergency response and recovery efforts.
Emergency Operations Plan (EOP): The EOP is the document that describes strategies for managing emergencies.
Emergency Response Agency: Any organization responding to an emergency, whether in the field, at the scene of an incident, or to an EOC, in response to an emergency, or providing mutual aid support to such an organization.
Emergency Response Personnel: The personnel involved with an agency's response to an emergency.
Emergency Management Mutual Aid (EMMA): The purpose of EMMA is to provide emergency management personnel and technical specialists to support the disaster operations of affected jurisdictions in their Emergency Operations Center.
Emergency Resource Directory (ERD): A directory containing information on agency or organization personnel emergency certifications and qualifications and vendor and support organization supplies, equipment, etc. that may be needed during an emergency. Supplies and equipment can include such items as potable water tenders, portable toilets, heavy equipment, prepared meals, bulk foodstuffs, cots, rental office trailers, etc. To the extent possible and when appropriate, equipment should be typed by capability according to a common and accepted typing schematic. Emergency resource directories should only include those items likely to be needed by the preparing agency or organization in the performance of their duties and should not attempt to include everything thatmay be needed in any emergency.
Evacuation: The process of moving persons out of an area affected or potentially affected by a disaster situation.
Federal Coordinating Officer (FCO): The individual appointed by the Federal Emergency Management Agency Director (by delegation of authority from the President) to coordinate assistance in a federally-declared disaster.
Federal Disaster Area: An area of a state (oftentimes defined by counties) that is declared eligible for federal disaster relief under the Stafford Act. These declarations are made by the President usually as a result of a request made by the Governor of the affected state.
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Federal Emergency Management Agency (FEMA): An agency created in 1979 to provide a single point of accountability for all federal activities related to disaster mitigation, preparedness, response, and recovery. FEMA manages the President’s Disaster Relief Fund and coordinates the disaster assistance activities of all federal agencies in the event of a presidential disaster declaration.
Federal Emergency Response Team: An interagency team, consisting of the lead representative from each federal department or agency assigned primary responsibility for an Emergency Support Function and key members of the Federal Coordinating Officer’s staff, formed to assist the Federal Coordinating Officer in carrying out his/her coordination responsibilities. The Emergency Response Team provides a forum for coordinating the overall federal response, reporting on the conduct of specific operations, exchanging information, and resolving issues related to Emergency Support Functions and other response requirements. Emergency Response Team members respond to and meet as requested by the Federal Coordinating Officer. The Emergency Response Team may be expanded by the Federal Coordinating Officer to include designated representatives of other Federal departments and agencies asneeded.
Full-Scale Exercise: An activity intended to evaluate the operational capability of emergency management systems interactively over a substantial time. It involves the testing of a major portion of the emergency plan and organizations in a highly stressful environment. It includes the mobilization of personnel and resources to demonstrate coordination and response capabilities. The EOC is activated, and field command posts may be established. A full-scale exercise is always formally evaluated.
Functional Annex: A document that supplements the Emergency Operations Plan, which provides further planning information for a specific aspect of emergency management.
Functional Exercise: An activity designed to test or evaluate the capability of individual or multiple emergency management functions. It is more complex than a tabletop exercise in that activities are usually under time constraints and are followed by an evaluation or critique. It usually takes place in some type of coordination or operating center. The use of outside resources is often simulated. No field units areused.
Governor’s Authorized Representative (GAR): An individual authorized by the Governor to sign amendments to the Federal-State Agreement and to verify the grant applications from the state and local jurisdictions.
Hazardous Materials Team: A term used to describe a team of highly skilled professionals who specialize in dealing with hazardous material incidents.
Hazard Mitigation Grant Program: A program authorized under Section 404 of the Stafford Act, which provides funding for hazard mitigation projects that are cost-effective and complements existing post-disaster mitigation programs and activities by providing funding for beneficial mitigation measures that are not funded through other programs.
Incident: An occurrence or event, either human-caused or by natural phenomena, that requires action by emergency response personnel to prevent or minimize loss of life or damage to property and/or natural resources.
Incident Action Plan: The plan developed at the field response level contains objectives reflecting the overall incident strategy and specific tactical actions and supporting information for the next operational period. The plan may be oral or written.
Incident Commander: The individual responsible for the command of all functions at the field response level.
Incident Command System (ICS): A nationally used standardized on-scene emergency management concept specifically designed to allow its user(s) to adopt an integrated organizational structure equal to the complexity and demands of single or multiple incidents without being hindered by jurisdictional boundaries. ICS is the field=level component of SEMS. It is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, with responsibility for the management of resources to effectively accomplish stated objectives pertinent to an incident.
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Individual Assistance: A supplementary federal assistance available under the Stafford Act to individuals, families, and businesses which includes disaster housing assistance, unemployment assistance, grants, loans, legal services, crisis counseling, tax relief, and other services or relief programs.
Joint Information Center (JIC): A facility established to coordinate all incident-related public information activities. It is the central point of contact for all news media. Public information officials from all participating agencies should co-locate at the JIC.
Joint Information System (JIS): Integrates incident information and public affairs into a cohesive organization designed to provide consistent, coordinated, accurate, accessible, timely, and complete information during crisis or incident operations.
The mission of the JIS is to provide a structure and system for developing and delivering coordinated interagency messages; developing, recommending, and executing public information plans and strategies on behalf of the IC; advising the IC concerning public affairs issues that could affect a response effort; and controlling rumors and inaccurate information that could undermine public confidence in the emergency response effort.
Key Resources: Any publicly or privately controlled resources essential to the minimal operations of the economy and government.
Local Government: Local agencies as defined in Government Code §8680.2 and special districts as defined in California Code of Regulations, Title19, Division 2, Chapter 5, CDAA, §2900(y).
Major Disaster: As defined in federal law, is “ any hurricane, tornado, storm, flood, high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, drought, fire, explosion, or other technological or human-caused catastrophe in any part of the United States which, in the determination of the President, causes damage of sufficient severity and magnitude to warrant major disaster assistance in alleviating the damage, loss, hardship, or suffering caused thereby.”
Master Mutual Aid Agreement: The California Disaster and Civil Defense Master Mutual Aid Agreement is made and entered into by and among the State of California, its various departments and agencies, and the various political subdivisions of the State. The agreement provides for the support of one jurisdiction by another.
Mitigation: Activities taken to eliminate or reduce the degree of risk to life and property from hazards, either before or following a disaster or emergency.
Mobilization: A process of activating resources including personnel, equipment and supplies. The process would include notification, reporting, and setup to attain full or partial readiness to initiate response and recovery actions.
Multi-agency or Inter-agency Coordination: The participation of agencies and disciplines involved at any level of the SEMS organization, working together in a coordinated effort to facilitate decisions for overall emergency response activities, including the sharing of critical resources and the prioritization of incidents.
Mutual Aid: Voluntary aid and assistance should a disaster occur, by the interchange of services and facilities, including, but not limited to: fire, police, medical and health, communication, and transportation services and facilities, to cope with the problems of rescue, relief, evacuation, rehabilitation, and reconstruction which would arise in the event of a disaster. Mutual aid is designed to ensure that adequate resources, facilities, and other support are provided to jurisdictions whenever their resources prove to be inadequate to cope with a given situation.
Mutual Aid Region: A subdivision of the state emergency services organization, established to facilitate the coordination of mutual aid and other emergency operations within an area of the state, consisting of two or more county Operational Areas.
National Response Framework (NRF): A national- level plan developed by the Federal Emergency Management Agency (FEMA) in coordination with 26 federal departments and agencies plus the American Red Cross.
EXHIBIT 1 241
City of Stockton Emergency Operations Plan (EOP)
June 2024
National Warning System (NAWAS): The federal portion of the Civil Defense Warning System, used for the dissemination of warnings and other emergency information from the FEMA National or Regional Warning Centers to Warning Points in each state. Also used by the State Warning Points to disseminate information to local Primary Warning Points. Provides warning information to state and local jurisdictions concerning severe weather, earthquake, flooding, and other activities that affect public safety.
Operational Area: An intermediate level of the state emergency services organization, consisting of a County and all political subdivisions within the county area. The Operational Area is a special-purpose organization created to prepare for and coordinate the response to emergencies within a county area. Each county is designated as an Operational Area. An Operational Area may be used by the county and the political subdivisions comprising the Operational Area for the coordination of emergency activities and to serve as a link in the system of communications and coordination between the state's emergency operating centers and the operating centers of the political subdivisions comprising the operational area.
The Operational Area augments, but does not replace, any member jurisdiction.
Preliminary Damage Assessment (PDA): The joint local, state, and federal analysis of damage that has occurred during a disaster and which may result in a Presidential declaration of disaster. The Preliminary Damage Assessment is documented through surveys, photographs, and other written information.
Preliminary Damage Assessment Team: An ad hoc group that comes together after a disaster whose main purpose is to determine the level of disaster declaration that is warranted. The team usually consists of federal, state, and local representatives to do an initial damage evaluation of sites damaged.
Preparedness: Actions taken in advance of an emergency to develop operational capabilities and facilitate an effective response in the event an emergency occurs. Preparedness measures include continuity of government, emergency communications, emergency operations centers, emergency operations plans, emergency public information materials, public education programs, the exercise of plans, mutual aid agreements, stocking of disaster supplies, training of emergency response personnel, and warning systems.
Presidential Declaration: A formal declaration by the President that an Emergency or Major Disaster exists based upon the request for such a declaration by the Governor and with the verification of FEMA preliminary damage assessments.
Private Sector: Organizations and entities that are not part of any governmental structure. The private sector includes forprofit and not-for-profit organizations, formal and informal structures, commerce and industry.
Protocols: Sets of established guidelines for actions (which may be designated by individuals, teams, functions, or capabilities) under various specified conditions.
Political Subdivision: Any city, city and county, county, district, or other local governmental agency or public agency authorized by law.
Public Assistance (PA): A supplementary federal assistance provided under the Stafford Act to state and local jurisdictions, special purpose districts, Native Americans, or eligible private, nonprofit organizations.
Public Assistance Officer (PAO): A member of the FEMA Regional Director’s staff who is responsible for the management of the Public Assistance Program.
Public Information: Processes, procedures and systems for communicating timely, accurate and accessible information on the incident’s cause, size, and current situation; resources committed; and other matters of general interest to the public, responders, and additional stakeholders (both directly affected and indirectly affected).
Public Information Officer (PIO): A member of the Command Staff (Management Staff at the SEMS EOC Levels) responsible for interfacing with the public and media and/or with other agencies with incident-related information requirements.
EXHIBIT 1 242
City of Stockton Emergency Operations Plan (EOP)
June 2024
Recovery: An activity to return vital life support systems to minimum operating standards and long-term activity designed to return life to normal or improved levels, including some form of economic viability. Recovery measures include, but are not limited to: crisis counseling, damage assessment, debris clearance, disaster loans and grants, disaster unemployment assistance, public information, reassessment of emergency plans, reconstruction, temporary housing and business resumption full scale.
Resource Management: Efficient emergency management and incident response requires a system for identifying available resources at all jurisdictional levels to enable timely and unimpeded access to resources needed to prepare for, respond to, or recover from an incident. Resource management under NIMS includes mutual aid agreements and assistance agreements; the use of special federal, state, tribal and local teams; and resourcemobilization protocols.
Resources: Personnel and major items of equipment, supplies and facilities available or potentially available for assignment to incident operations and for which status is maintained. Resources are described by kind and type and may be used in operational support or supervisory capacities at an incident or an EOC.
Response: Actions taken immediately before, during, or directly after an emergency occurs, to save lives, minimize damage to property and the environment, and enhance the effectiveness of recovery. Response measures include, but are not limited to, emergency plan activation, emergency alert system activation, emergency instructions to the public, emergency medical assistance, staffing the emergency operations center, public official alerting, reception and care, shelter and evacuation, search and rescue, resource mobilization, and warning systems activation.
Robert T. Stafford Disaster Relief and Emergency Assistance Act: (Public Law 93-288, as amended by Public Law 100- 707) - The act that authorizes the greatest single source of federal disaster assistance. It authorizes coordination of the activities of federal, state, and volunteer agencies operating under their authorities in providing disaster assistance, provision of direct federal assistance as necessary, and provision of financial grants to individuals and families. This act is commonly referred to as the Stafford Act.
Safety Officer: A member of the Command Staff (Management Staff at the SEMS EOC Levels) responsible for monitoring incident operations and advising the IC on all matters relating to operational safety, including the health and safety of emergency responder personnel. The Safety Officer may have assistants.
Section: The organizational level having responsibility for a major functional area of incident or EOC Management, (e.g.
Operations, Planning, Logistics, Finance/Administration).
Situation Report: Often contains confirmed or verified information regarding the specific details relating to the incident.
Span of Control: The number of resources for which a supervisor is responsible, usually expressed as the ratio of supervisors to individuals. (Under NIMS, an appropriate span of control is between 1:3 and 1:7, with the optimal being 1:5.) Special District: A unit of local government (other than a city, county, or city and county) with authority or responsibility to own, operate and maintain systems, programs, services, or projects (as defined in the California Code of Regulations (CCR) Section 2900(s) for purposes of natural disaster assistance. This may include a joint powers authority established under Section 6500 et. seq. of the Code.
Standardized Emergency Management System (SEMS): That consistent set of rules and procedures governing the overall operational control or coordination of emergency operations specified in CCR Title 19, Division 2, §2400 et sec. It identifies at each level of the statewide emergency organization the direction of field forces and the coordination of joint efforts of government and private agencies. The Incident Command System (ICS) is the field-level component ofSEMS.
State of Emergency: A governmental declaration that may suspend some normal functions of government, alert citizens to change their normal behaviors, or order government agencies to implement emergency operations plans.
EXHIBIT 1 243
City of Stockton Emergency Operations Plan (EOP)
June 2024
Tabletop Exercise: An activity in which officials and key staff or others with emergency responsibilities are gathered together informally to discuss simulated emergencies. It is designed to elicit constructive discussion by the participants without time constraints. Participants evaluate plans and procedures and resolve questions of coordination and assignment of responsibilities in a non-threatening format under minimum stress.
Vital Records: The essential agency records that are needed to meet operational responsibilities under national security emergencies or other emergency or disaster conditions (emergency operating records), or to protect the legal and financial rights of the Government and those affected by Government activities (legal and financial rights records).
Volunteer: For purposes of NIMS, a volunteer is any individual accepted to perform services by the lead agency (which has the authority to accept volunteer services) when the individual performs services without promise, expectation, or receipt of compensation for services performed. See 16 U.S.C. 742f(c) and 29 CFR 553.101.
Windshield Survey: A quick visual overview of the affected disaster area performed within the first 24 hours after the disaster.
EXHIBIT 1 244
City of Stockton Emergency Operations Plan (EOP)
June 2024
ACRONYMS
A
AAR After Action Report
AFN Access and Functional Needs
ARC American Red Cross
ATC Air Traffic Control
ATC-20-2 Applied Technology Council (20-2 refers to the training course for building inspectors) B
BOS Board of Supervisors
C
Cal-OES California Office of Emergency Services
CAHAN California Health Alert Network
CBP Customs and Border Protection
CDAA California Disaster Assistance Act
CERT Community Emergency Response Team
CGC California Government Code
CGS California Geological Survey
CISD Critical Incident Stress Debriefing
COG Continuity of Government
COOP Continuity of Operations
D
DCF Disaster Control Function
DHS Department of Homeland Security
DMC Debris Management Center
DOC Department Operations Center
DOP Department Operations Plan
DRC Disaster Recovery Center
DSW Disaster Service Worker
E
EAP Emergency Action Plan
EAS Emergency Alert System
EDIS Emergency Digital Information System
EMMA Emergency Management Mutual Aid
EMS Emergency Medical Services
EMO Emergency Management Organization
EOC Emergency Operations Center
EOP Emergency Operations Plan
ERC Emergency Response Coordinator
ESA Emergency Services Act
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City of Stockton Emergency Operations Plan (EOP)
June 2024 Page 80
F
FAA Federal Aviation Administration
FCO Federal Coordinating Officer
FE Functional Exercise
FEMA Federal Emergency Management Agency
FMAG Fire Management Assistance Grant
FSE Full-Scale Exercise
G
GAR Governor’s Authorized Representative
GAR Governor’s Action Request
H
HM Hazard Mitigation
HMGP Hazard Mitigation Grant Program
HSPD Homeland Security Presidential Directive
I
IAP Incident Action Plan
IC Incident Commander
ICP Incident Command Post
ICS Incident Command System
IDE Initial Damage Estimate
IMT Incident Management Team
IT Information Technology
J
JFO Joint Field Office
JIC Joint Information Center
L
LAC Local Assistance Center
M
MACS Multi-Agency Coordination System
MBO Management by Objectives
MCI Multi-Casualty Incident
MHOAC Medical Health Operational Area Coordinator
MOU Memorandum of Understanding
N
NAWAS National Warning System
NIMS National Incident Management System
NFIP National Flood Insurance Program
NRF National Response Framework
EXHIBIT 1 246
City of Stockton Emergency Operations Plan (EOP)
June 2024 Page 81
NWS National Weather Service
O
OA Operational Area
OASIS Operational Area Satellite Information System
OEM Office of Emergency Management
OES Office of Emergency Services
P
PA Public Assistance
PAO Public Assistance Officer
PDA Preliminary Damage Assessment
PDM Pre-Disaster Mitigation
PSAP Public Safety Answering Point
PIO Public Information Officer
PGE Pacific Gas and Electric
R
RDMHC Regional Disaster Medical Health Coordinator
REOC Regional Emergency Operations Center
RIMS Response Information Management System
S
SAP Safety Assessment Program
SAT Safety Assessment Team
SCO State Coordinating Officer
SEMS Standardized Emergency Management System
SRRCS Sacramento Regional Radio Communications System
SOP Standard Operating Procedure
T
TTX Table Top Exercise
U
USGS United States Geological Survey
V
VIPS Volunteers in Policing Services
EXHIBIT 1 247
City of Stockton
Legislation Text
File #: 24-0875, Version: 1
APPROVE RESOLUTION ACCEPTING A DRIVING UNDER THE INFLUENCE SELECTIVE
TRAFFIC ENFORCEMENT PROGRAM GRANT AWARD FROM THE STATE OF CALIFORNIA OFFICE OF TRAFFIC SAFETY IN THE AMOUNT OF $518,000
RECOMMENDATION
It is recommended that the City Council approve a resolution to:
1. Authorize the City Manager, or designee, to accept a Driving Under the Influence Selective Traffic Enforcement Program grant award from the State of California Office of Traffic Safety in the amount of $518,000;
2. Authorize the City Manager, or designee, to execute Grant Agreement PT25231 and all related documents to carry out the purpose and intent of the grant award;
3. Amend the Fiscal Year 2024-25 Annual Budget to increase the Police Grants & Special Programs revenue and expenditure appropriation by $518,000; and
4. Authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of this resolution.
Summary
The Stockton Police Department (SPD) seeks Council approval to accept grant funding from the Office of Traffic Safety (OTS) for a Driving Under the Influence (DUI) Selective Traffic Enforcement Program (STEP) grant award, for the period of October 1, 2024, through September 30, 2025. The STEP grant provides funding for SPD overtime, training, equipment, supplies, and related expenses to support reducing alcohol-involved accidents resulting in fatalities and injuries as well as other types of distracted driving. Enforcement operations include night-time seat belt enforcement, special enforcement operations encouraging motorcycle safety and raising general public awareness regarding the problems associated with drinking and driving, as well as raising awareness in areas with high number of bicycle and pedestrian crashes. Funding for this program is provided by a grant from the OTS, through the National Highway Traffic Safety Administration.
DISCUSSION
Background
The SPD has received OTS grant program funding for multiple consecutive years and most recently received a $518,000 OTS grant in Fiscal Year (FY) 2024-25 through the STEP grant for DUI-related missions. In January 2024, the SPD submitted a Memorandum Proposal to the OTS requesting City of Stockton Page 1 of 2 Printed on 9/13/2024
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File #: 24-0875, Version: 1
consideration to continue participation in the DUI STEP Grant program. The SPD’s proposal included “best practice” strategies to be conducted on an overtime basis to help reduce the number of individuals killed or injured in alcohol-involved crashes as well as other types of distracted driving.
Those “best practices” include, but are not limited to, DUI checkpoints, DUI saturation patrols, traffic enforcement, street racing and sideshow enforcement, distracted driving operations, motorcycle safety enforcement, and warrant service operations.
Under the DUI STEP grant, these missions would be conducted by the SPD during the Winter Holiday Mobilization period which is December through January; Memorial Day weekend; Independence Day weekend/period; and during the Summer Mobilization period, which is mid-August through the Labor Day Holiday, as well as any special dates, county fairs, festivals, and other community events.
Present Situation
In August 2024, the SPD received notification from OTS indicating the proposal was accepted for funding in FY 2024-25 in the amount of $518,000. Grant funds will be used to pay for overtime staffing costs for the DUI enforcement activities, printed materials, and miscellaneous checkpoint supplies. Therefore, staff recommends approval of Grant Agreement PT25231 in the amount of $518,000 (Exhibit 1 to the Proposed Resolution).
FINANCIAL SUMMARY
The SPD’s Traffic Section will be responsible for coordinating operations of the grant program. The grant program does not require matching funds. Revenue and expenditures will require an increase in appropriation to the FY 2024-25 Police Special Grants Fund Budget:
· Revenue appropriation of $518,000 to the 2025 OTS/DUI STEP Grant in the Police’s Special Grants Fund - Reimbursement, Traffic Division.
· Expenditure appropriation of $518,000 to the 2025 OTS/DUI STEP Grant in the Police’s Special Grants Fund - Reimbursement, Traffic Division.
City of Stockton Page 2 of 2 Printed on 9/13/2024
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249
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION ACCEPTING GRANT FUNDING, IN THE AMOUNT OF $518,000, FROM
THE STATE OF CALIFORNIA OFFICE OF TRAFFIC SAFETY FOR A DUI SELECTIVE TRAFFIC ENFORCEMENT PROGRAM GRANT FOR THE PERIOD OCTOBER 1, 2024 THROUGH SEPTEMBER 30, 2025, AND AMENDING THE FISCAL YEAR 2024-25
ANNUAL BUDGET
In January 2024, the Stockton Police Department submitted a Memorandum Proposal to the State of California Office of Traffic Safety requesting consideration to participate in the Driving Under the Influence (DUI) Selective Traffic Enforcement Program Grant (STEP); and
The Program is administered by the Office of Traffic Safety and funding is provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration; and
The Stockton Police Department’s proposal included “best practice” strategies to be conducted on an overtime basis to help reduce the number of individuals killed or injured in alcohol-involved crashes and other types of distracted driving; and Under the DUI STEP Grant, missions would be conducted by the Stockton Police Department during the Winter Holiday Mobilization period, which is December through January, Memorial Day Weekend, Independence Day Weekend/Period, Summer Mobilization period which is mid-August through the Labor Day Holiday, and any special dates, County fairs, festivals, and other community events; and In August 2024, the Stockton Police Department received notification from the State of California Office of Traffic Safety indicating that its proposal was accepted for funding in the amount of $518,000; and
A Grant Agreement (PT25231), attached as Exhibit 1, incorporated by reference, details how grant funds will be used to pay for DUI enforcement overtime, training, and miscellaneous materials and supplies; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The City Manager, or designee, is authorized to accept the grant award in the amount of $518,000 for the period October 1, 2024, through September 30, 2025, and make all necessary appropriations in compliance with and for the purposes stated in the grant application.
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2. The City Manager, or designee, is authorized to execute Grant Agreement PT25231 and all related documents to carry out the purpose and intent of the grant award.
3. The Fiscal Year 2024-25 Annual Budget is amended to appropriate $518,000 in revenues and expenditures for the Police Grants and Special Programs accounts as needed to carry out the purpose and intent of this Resolution.
4. The City Manager is authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED _September 17, 2024 .
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
KATHERINE ROLAND, CMC, CPMC
Interim City Clerk of the City of Stockton
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State of California – Office of Traffic Safety
GRANT AGREEMENT
GRANT NUMBER
PT25231
1. GRANT TITLE
Selective Traffic Enforcement Program (STEP)
2. NAME OF AGENCY 3. Grant Period
Stockton From:
To:
10/01/2024
09/30/2025 4. AGENCY UNIT TO ADMINISTER GRANT
Stockton Police Department
5. GRANT DESCRIPTION
Best practice strategies will be conducted to reduce the number of persons killed and injured in crashes involving alcohol and other primary crash factors. The funded strategies may include impaired driving enforcement, enforcement operations focusing on primary crash factors, distracted driving, night-time seat belt enforcement, special enforcement operations encouraging motorcycle safety, enforcement and public awareness in areas with a high number of bicycle and pedestrian crashes, and educational programs. These strategies are designed to earn media attention thus enhancing the overall deterrent effect.
6. Federal Funds Allocated Under This Agreement Shall Not Exceed: $518,000.00
7. TERMS AND CONDITIONS: The parties agree to comply with the terms and conditions of the following which are by this reference made a part of the Agreement:
Schedule A – Problem Statement, Goals and Objectives and Method of Procedure Schedule B – Detailed Budget Estimate and Sub-Budget Estimate (if applicable) Schedule B-1 – Budget Narrative and Sub-Budget Narrative (if applicable) Exhibit A – Certifications and Assurances
Exhibit B* – OTS Grant Program Manual
Exhibit C – Grant Electronic Management System (GEMS) Access *Items shown with an asterisk (*), are hereby incorporated by reference and made a part of this agreement as if attached hereto.
These documents can be viewed at the OTS home web page under Grants: www.ots.ca.gov.
We, the officials named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly authorized to legally bind the Grant recipient to the above described Grant terms and conditions.
IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
8. Approval Signatures
A. GRANT DIRECTOR B. AUTHORIZING OFFICIAL
NAME:
TITLE:
EMAIL:
PHONE:
ADDRESS:
James Farthing
Sergeant
[email protected]
209-937-8517
22 E. Market Street
Stockton, CA 95202
NAME:
TITLE:
EMAIL:
PHONE:
ADDRESS:
Harry Black
City Manager
[email protected]
(209) 937-8212
22 East Market Street
Stockton, CA 95202
(Signature) (Date) (Signature) (Date)
C. FISCAL OFFICIAL D. AUTHORIZING OFFICIAL OF OFFICE OF TRAFFIC SAFETY NAME:
TITLE:
EMAIL:
PHONE:
ADDRESS:
Jeanetta McDonald
Police Services Administrator
[email protected]
(209) 937-8517
22 E. Market Street
Stockton, CA 95202
NAME:
TITLE:
EMAIL:
PHONE:
ADDRESS:
Barbara Rooney
Director
[email protected]
(916) 509-3030
2208 Kausen Drive, Suite 300
Elk Grove, CA 95758
(Signature) (Date) (Signature) (Date)
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10. PROJECTED EXPENDITURES
FUND CFDA ITEM/APPROPRIATION F.Y. CHAPTER STATUTE PROJECTED
EXPENDITURES
AGREEMENT
TOTAL $518,000.00
AMOUNT ENCUMBERED BY THIS DOCUMENT
I CERTIFY upon my own personal knowledge that the budgeted funds for the current budget year are available for the period and purpose of the expenditure stated above.
$518,000.00
PRIOR AMOUNT ENCUMBERED FOR THIS
AGREEMENT
$ 0.00
OTS ACCOUNTING OFFICER’S SIGNATURE DATE SIGNED TOTAL AMOUNT ENCUMBERED TO DATE $518,000.00
E. ACCOUNTING OFFICER OF OFFICE OF TRAFFIC SAFETY 9. SAM INFORMATION NAME: Carolyn Vu SAM #:
REGISTERED
ADDRESS:
CITY:
ZIP+4:
PA7CNMQGK1Y5
22 East Market Street
Stockton
95202-2802
ADDRESS: 2208 Kausen Drive, Suite 300
Elk Grove, CA 95758
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State of California – Office of Traffic Safety
GRANT AGREEMENT
Schedule A
GRANT NUMBER
PT25231
1. PROBLEM STATEMENT
The City of Stockton (City) saw the same fatality numbers from 2022 to 2023, at 25. There was also a 4% decrease in injury traffic crashes (1,401 to 1,336), accompanied by a decrease amount of .97% injury-hit and run crashes (309 to 306). There was a 5.9% increase in nighttime injury crashes (167 to 178), a 14% decrease in motorcycle injuries (57 to 49). Stockton experienced an 11% increase in alcohol involved injuries (118 to 131), pedestrian fatalities increased 25% (8 to 10), and there was no change on pedestrian injury crashes (147).
Historically, the San Joaquin Valley has been well-known for its agricultural industry. Stockton is located in the heart of the San Joaquin Valley. A large number of agricultural industry employees migrate from other areas to provide for their families. The language and cultural barriers can hinder the understanding of the California Vehicle Code and traffic laws. Many workers in the San Joaquin Valley are found driving without a valid license and required insurance. A significant percentage of crashes and DUI arrests made by the Stockton Police Department (SPD) involve unlicensed drivers.
Stockton is the home to the University of Pacific, where approximately 7,000 students, and San Joaquin Delta College, where about 23,500 students enroll each year. With the additional 30,500 students occupying the City streets, there is an increase in pedestrian and bicycle traffic, as well as vehicular traffic. The students are generally in their late teenage years or early twenties, and some participate in college parties and events at the local bars where alcohol is involved. These students often leave these events intoxicated, either by vehicle or on foot, which causes a danger to themselves and the public.
Stockton has several event venues, such as the Stockton Arena, Weber Point Events Center, Banner Island Baseball Park, the Bob Hope Theater, and the San Joaquin County Fairgrounds, all of which bring in large crowds of event attendees. The events range from concerts, festivals, fairs, shows, parades, and sporting events. These events get a significant amount of vehicle and pedestrian traffic, which are responsible for a large number of traffic violations and hazards. A majority of these events have alcohol sales, resulting in event attendees driving under the influence of alcohol after the events.
2. PERFORMANCE MEASURES
A. Goals:
1. Reduce the number of persons killed in traffic crashes.
2. Reduce the number of persons injured in traffic crashes.
3. Reduce the number of pedestrians killed in traffic crashes.
4. Reduce the number of pedestrians injured in traffic crashes.
5. Reduce the number of bicyclists killed in traffic crashes.
6. Reduce the number of bicyclists injured in traffic crashes.
7. Reduce the number of persons killed in alcohol-involved crashes.
8. Reduce the number of persons injured in alcohol-involved crashes.
9. Reduce the number of persons killed in drug-involved crashes.
10. Reduce the number of persons injured in drug-involved crashes.
11. Reduce the number of persons killed in alcohol/drug combo-involved crashes.
12. Reduce the number of persons injured in alcohol/drug combo-involved crashes.
13. Reduce the number of motorcyclists killed in traffic crashes.
14. Reduce the number of motorcyclists injured in traffic crashes.
15. Reduce hit & run fatal crashes.
16. Reduce hit & run injury crashes.
17. Reduce nighttime (2100 - 0259 hours) fatal crashes.
18. Reduce nighttime (2100 - 0259 hours) injury crashes.
B. Objectives: Target Number
1. Issue a press release announcing the kick-off of the grant by November 15. The kick-off press releases and media advisories, alerts, and materials must be emailed to the OTS Public Information Officer at [email protected], and copied to 1 EXHIBIT 1 254
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your OTS Coordinator, for approval 7 days prior to the issuance date of the release.
2. Participate and report data (as required) in the following campaigns; Quarter 1:
National Pedestrian Safety Month, National Walk to School Day, National Teen Driver Safety Week, NHTSA Winter Mobilization; Quarter 3: National Distracted Driving Awareness Month, National Motorcycle Safety Month, National Bicycle Safety Month, National Click it or Ticket Mobilization; Quarter 4: National Speed Prevention Campaigns, NHTSA Summer Mobilization, National Child Passenger Safety Week, and California's Pedestrian Safety Month.
12 3. Develop (by December 31) and/or maintain a “DUI BOLO” program to notify patrol and traffic officers to be on the lookout for identified repeat DUI offenders with a suspended or revoked license as a result of DUI convictions. Updated DUI BOLOs should be distributed to patrol and traffic officers monthly. 12 4. Send law enforcement personnel to the NHTSA Standardized Field Sobriety Testing (SFST) (minimum 16 hours) POST-certified training. 15 5. Conduct DUI/DL Checkpoints. A minimum of 1 checkpoint should be conducted during the NHTSA Winter Mobilization and 1 during the Summer Mobilization. To enhance the overall deterrent effect and promote high visibility, it is recommended the grantee issue an advance press release and conduct social media activity for each checkpoint. For combination DUI/DL checkpoints, departments should issue press releases that mention DL's will be checked at the DUI/DL checkpoint. Signs for DUI/DL checkpoints should read "DUI/Driver's License Checkpoint Ahead." OTS does not fund or support independent DL checkpoints. Only on an exception basis and with OTS pre-approval will OTS fund checkpoints that begin prior to 1800 hours. When possible, DUI/DL Checkpoint screeners should be DRE- or ARIDE-trained.
7 6. Conduct DUI Saturation Patrol operation(s). 35
7. Conduct Warrant Service operation(s) targeting multiple DUI offenders who fail to appear in court.
9 8. Conduct Traffic Enforcement operation(s), including but not limited to, primary crash factor violations.
32 9. Conduct highly publicized Distracted Driving enforcement operation(s) targeting drivers using hand held cell phones and texting.
4 10. Conduct highly publicized Motorcycle Safety enforcement operation(s) in areas or during events with a high number of motorcycle incidents or crashes resulting from unsafe speed, DUI, following too closely, unsafe lane changes, improper turning, and other primary crash factor violations by motorcyclists and other drivers. 2 11. Conduct Traffic Safety educational presentation(s) with an effort to reach community members. Note: Presentation(s) may include topics such as distracted driving, DUI, speed, bicycle and pedestrian safety, seat belts and child passenger safety.
2 12. Conduct Know Your Limit campaigns with an effort to reach members of the community.
4 13. Participate in highly visible collaborative DUI Enforcement operations. 1
14. Participate in highly visible collaborative Traffic Enforcement operations. 2
15. Conduct specialized enforcement operations focusing specifically on street racing and sideshow activities.
1 3. METHOD OF PROCEDURE
A. Phase 1 – Program Preparation (1st Quarter of Grant Year) The department will develop operational plans to implement the “best practice” strategies outlined in the objectives section.
All training needed to implement the program should be conducted in the first quarter. All grant related purchases needed to implement the program should be made in the first quarter. In order to develop/maintain the “DUI BOLOs,” research will be conducted to identify the “worst of the worst” repeat DUI offenders with a suspended or revoked license as a result of DUI convictions. The DUI BOLO may include the driver’s name, last known address, DOB, EXHIBIT 1 255
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description, current license status, and the number of times suspended or revoked for DUI. DUI BOLOs should be updated and distributed to traffic and patrol officers at least monthly. Implementation of the STEP grant activities will be accomplished by deploying personnel at high crash locations.
Media Requirements:
Issue a press release approved by the OTS PIO announcing the kick-off of the grant by November 15, but no sooner than October 1. The kick-off release must be approved by the OTS PIO and only distributed after the grant is fully signed and executed. If you are unable to meet the November 15 deadline to issue a kick-off press release, communicate reasons to your OTS grant coordinator and OTS PIO.
B. Phase 2 – Program Operations (Throughout Grant Year) The department will work to create media opportunities throughout the grant period to call attention to the innovative program strategies and outcomes.
Media Requirements
The following requirements are for all grant-related activities:
Send all media advisories, alerts, videos, graphics, artwork, posters, radio/PSA/video scripts, storyboards, digital and/or print educational materials for grant-related activities to the OTS PIO at [email protected] for approval and copy your OTS grant coordinator. Optimum lead time would be 7 days before the scheduled release but at least 3 business days prior to the scheduled release date for review and approval is appreciated.
Send all Powerpoint presentations, online presentations and trainings for grant-related activities to the OTS PIO at [email protected] for approval and copy your OTS grant coordinator. Certified training courses are EXEMPT from the approval process.
The OTS PIO is responsible for the approval of the design and content of materials. The agency understands OTS PIO approval is not authorizing approval of budget expenditure or cost. Any cost approvals must come from the OTS grant coordinator. Pre-approval is not required when using any OTS-supplied template for media advisories, press releases, social media graphics, videos or posts, or any other OTS-supplied educational material.
However, copy the OTS PIO at [email protected] and your OTS grant coordinator when any material is distributed to the media and public, such as a press release, educational material, or link to social media post. The OTS-supplied kick-off press release templates and any kickoff press releases are an exception to this policy and require prior approval before distribution to the media and public.
If an OTS-supplied template, educational material, social media graphic, post or video is substantially changed, the changes shall be sent to the OTS PIO at [email protected] for approval and copy to your OTS grant coordinator. Optimum lead time would be 7 days prior to the scheduled release date, but at least 3 business days prior to the scheduled release date for review and approval is appreciated.
Press releases, social media posts and alerts on platforms such as NextDoor and Nixle reporting immediate and time-sensitive grant activities (e.g. enforcement operations, day of event highlights or announcements, event invites) are exempt from the OTS PIO approval process. The OTS PIO and your OTS grant coordinator should still be notified when the grant-related activity is happening (e.g. car seat checks, bicycle rodeos, community presentations, DUI checkpoints, etc.).
Enforcement activities such as warrant and probation sweeps, court stings, etc. that are embargoed or could impact operations by publicizing in advance are exempt from the PIO approval process. However, announcements and results of activities should still be copied to the OTS PIO at [email protected] and your OTS grant coordinator with embargoed date and time or with “INTERNAL ONLY: DO NOT RELEASE” message in subject line of email. Any earned or paid media campaigns for TV, radio, digital or social media that are part of a specific grant objective, using OTS grant funds, or designed and developed using contractual services by a subgrantee, requires prior approval. Please send to the OTS PIO at [email protected] for approval and copy your grant coordinator at least 3 business days prior to the scheduled release date.
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Social media posts highlighting state or national traffic safety campaigns (Distracted Driving Month, Motorcycle Safety Awareness Month, etc.), enforcement operations (DUI checkpoints, etc.), or any other grant-related activity such as Bicycle rodeos, presentations, or events, are highly encouraged but do not require prior approval.
Submit a draft or rough-cut of all digital, printed, recorded or video material (brochures, posters, scripts, artwork, trailer graphics, digital graphics, social posts connected to an earned or paid media campaign grant objective) to the OTS PIO at [email protected] and copy your OTS grant coordinator for approval prior to the production or duplication. Use the following standard language in all press, media, and printed materials, space permitting:
Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration. Space permitting, include the OTS logo on all grant-funded print materials, graphics and paid or earned social media campaign grant objective; consult your OTS grant coordinator for specifics, format-appropriate logos, or if space does not permit the use of the OTS logo. Email the OTS PIO at [email protected] and copy your OTS grant coordinator at least 21 days in advance, or when first confirmed, a short description of any significant grant-related traffic safety event or program, particularly events that are highly publicized beforehand with anticipated media coverage so OTS has sufficient notice to arrange for attendance and/or participation in the event.
If unable to attend, email the OTS PIO and coordinator brief highlights and/or results, including any media coverage (broadcast, digital, print) of event within 7 days following significant grantrelated event or program. Media and program highlights are to be reflected in QPRs. Any press releases, work plans, scripts, storyboards, artwork, graphics, videos or any educational or informational materials that received OTS PIO approval in a prior grant year needs to be resubmitted for approval in the current grant year. For additional guidance, refer to the OTS Grants Materials Approval Process Guidelines and OTS Grants Media Approval Process FAQs on the OTS website. Contact the OTS PIO or your OTS grant coordinator for consultation when changes from any of the above requirements might be warranted.
C. Phase 3 – Data Collection & Reporting (Throughout Grant Year)
1. Prepare and submit grant claim invoices (due January 30, April 30, July 30, and October 30)
2. Prepare and submit Quarterly Performance Reports (QPR) (due January 30, April 30, July 30, and October 30)
Collect and report quarterly, appropriate data that supports the progress of goals and objectives. Provide a brief list of activity conducted, procurement of grant-funded items, and significant media activities. Include status of grant-funded personnel, status of contracts, challenges, or special accomplishments.
Provide a brief summary of quarterly accomplishments and explanations for objectives not completed or plans for upcoming activities.
Collect, analyze and report statistical data relating to the grant goals and objectives.
4. METHOD OF EVALUATION
Using the data compiled during the grant, the Grant Director will complete the “Final Evaluation” section in the fourth/final Quarterly Performance Report (QPR). The Final Evaluation should provide a brief summary of the grant’s accomplishments, challenges and significant activities. This narrative should also include whether goals and objectives were met, exceeded, or an explanation of why objectives were not completed.
5. ADMINISTRATIVE SUPPORT
This program has full administrative support, and every effort will be made to continue the grant activities after grant conclusion.
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State of California – Office of Traffic Safety
GRANT AGREEMENT
Schedule B
GRANT NUMBER
PT25231
FUND NUMBER CATALOG
NUMBER (CFDA)
FUND DESCRIPTION TOTAL AMOUNT
164AL-25 20.608 Minimum Penalties for Repeat
Offenders for Driving While
Intoxicated
$318,000.00
402PT-25 20.600 State and Community Highway
Safety
$200,000.00
COST CATEGORY FUND
NUMBER
UNIT COST OR
RATE
UNITS TOTAL COST TO
GRANT
A. PERSONNEL COSTS
Straight Time
$0.00
Overtime
DUI/DL Checkpoints 164AL-25 $10,000.00 7 $70,000.00
DUI Saturation Patrols 164AL-25 $4,457.14 35 $156,000.00 Warrant Service Operations 164AL-25 $3,900.00 9 $35,100.00 Know Your Limit 164AL-25 $3,900.00 4 $15,600.00
Collaborative DUI Enforcement 164AL-25 $3,900.00 1 $3,900.00 Benefits 164OT @ 11.23% 164AL-25 $280,600.00 1 $31,511.00 Traffic Enforcement 402PT-25 $4,484.38 32 $143,500.00
Distracted Driving 402PT-25 $3,500.00 4 $14,000.00
Motorcycle Safety 402PT-25 $3,500.00 2 $7,000.00
Street Racing and Sideshow Enforcement
Operations
402PT-25 $3,900.00 1 $3,900.00
Collaborative Traffic Enforcement 402PT-25 $3,300.00 2 $6,600.00 Benefits 402 OT @ 11.23% 402PT-25 $175,000.00 1 $19,653.00 Category Sub-Total $506,764.00
B. TRAVEL EXPENSES
In State Travel 402PT-25 $5,347.00 1 $5,347.00
$0.00
Category Sub-Total $5,347.00
C. CONTRACTUAL SERVICES
$0.00
Category Sub-Total $0.00
D. EQUIPMENT
$0.00
Category Sub-Total $0.00
E. OTHER DIRECT COSTS
DUI Checkpoint Supplies 164AL-25 $5,889.00 1 $5,889.00
Category Sub-Total $5,889.00
F. INDIRECT COSTS
$0.00
Category Sub-Total $0.00
GRANT TOTAL $518,000.00
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State of California – Office of Traffic Safety
GRANT AGREEMENT
Schedule B-1
GRANT NUMBER
PT25231
BUDGET NARRATIVE
PERSONNEL COSTS
DUI/DL Checkpoints - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.
DUI Saturation Patrols - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.
Warrant Service Operations - Overtime for grant funded Warrant Service Operations conducted by appropriate department personnel.
Know Your Limit - Overtime for grant funded traffic safety presentations or campaigns conducted by appropriate department personnel.
Collaborative DUI Enforcement - Overtime for grant funded Collaborative DUI Enforcement operations conducted by appropriate department personnel
Benefits 164OT @ 11.23% - Unemployment = .1%
Workers Comp = 9.68%
Medicare = 1.45%
Total = 11.23
Claimed amounts must reflect actual benefit cost for overtime hours charged to the grant.
Traffic Enforcement - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.
Distracted Driving - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.
Motorcycle Safety - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.
Street Racing and Sideshow Enforcement Operations - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.
Collaborative Traffic Enforcement - Overtime for grant funded Collaborative Traffic Enforcement operations conducted by appropriate department personnel
Benefits 402 OT @ 11.23% - Unemployment = .1%
Workers Comp = 9.68%
Medicare = 1.45%
Total = 11.23
Claimed amounts must reflect actual benefit cost for overtime hours charged to the grant.
TRAVEL EXPENSES
In State Travel - Costs are included for appropriate staff to attend conferences and training events supporting the grant goals and objectives and/or traffic safety. Local mileage for grant activities and meetings is included. Anticipated travel may include Lifesavers in Long Beach and the OTS Traffic Safety Law Enforcement Forum. All conferences, seminars or training not specifically identified in the Budget Narrative must be approved by OTS. All travel claimed must be at the agency approved rate. Per Diem may not be claimed for meals provided at conferences when registration fees are paid with OTS grant funds.
CONTRACTUAL SERVICES
-
EQUIPMENT
-
OTHER DIRECT COSTS
DUI Checkpoint Supplies - On-scene supplies needed to conduct sobriety checkpoints. Costs may include 28" traffic cones, MUTCD compliant traffic signs, MUTCD compliant high visibility vests (maximum of 10), traffic counters (maximum of 2), generator, gas for generators, lighting, reflective banners, electronic flares, PAS Device/Calibration Supplies, heater, propane for heaters, fan, anti-fatigue mats, and canopies.
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Additional items may be purchased if approved by OTS. The cost of food and beverages will not be reimbursed. Each item must have a unit cost of less than $5,000 (including tax and shipping).
INDIRECT COSTS
-
STATEMENTS/DISCLAIMERS
There will be no program income generated from this grant.
Nothing in this “agreement” shall be interpreted as a requirement, formal or informal, that a particular law enforcement officer issue a specified or predetermined number of citations in pursuance of the goals and objectives here under.
Benefits for personnel costs can only be applied to straight time or overtime hours charged to the grant.
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State of California – Office of Traffic Safety
GRANT AGREEMENT
Exhibit A
GRANT NUMBER
PT25231
Certifications and Assurances for Fiscal Year 2024 Highway Safety Grants (23 U.S.C. Chapter 4 or Section 1906, Public Law 109-59, as amended by Section 25024, Public Law 117-58) The officials named on the grant agreement, certify by way of signature on the grant agreement signature page, that the Grantee Agency complies with all applicable Federal statutes, regulations, and directives and State rules, guidelines, policies, and laws in effect with respect to the periods for which it receives grant funding. Applicable provisions include, but are not limited to, the following:
GENERAL REQUIREMENTS
The State will comply with applicable statutes and regulations, including but not limited to:
23 U.S.C. Chapter 4—Highway Safety Act of 1966, as amended; Sec. 1906, Public Law 109-59, as amended by Sec. 25024, Public Law 117-58; 23 CFR part 1300—Uniform Procedures for State Highway Safety Grant Programs; 2 CFR part 200—Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards;
2 CFR part 1201—Department of Transportation, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
NONDISCRIMINATION
(applies to all subrecipients as well as States)
The State highway safety agency [and its subrecipients] will comply with all Federal statutes and implementing regulations relating to nondiscrimination (“Federal Nondiscrimination Authorities”). These include but are not limited to:
Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin);
49 CFR part 21 (entitled Non-discrimination in Federally-Assisted Programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964); 28 CFR 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights Act of 1964); The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects);
Federal-Aid Highway Act of 1973, (23 U.S.C. 324 et seq.), and Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683 and 1685-1686) (prohibit discrimination on the basis of sex); Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. 794 et seq.), as amended, (prohibits discrimination on the basis of disability) and 49 CFR part 27; The Age Discrimination Act of 1975, as amended, (42 U.S.C. 6101 et seq.), (prohibits discrimination on the basis of age);
The Civil Rights Restoration Act of 1987, (Pub. L. 100-209), (broadens scope, coverage, and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal aid recipients, subrecipients and contractors, whether such programs or activities are Federallyfunded or not); Titles II and III of the Americans with Disabilities Act (42 U.S.C. 12131-12189) (prohibits discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing) and 49 CFR parts 37 and 38; Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and LowIncome Populations (preventing discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations);
Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency (requiring that recipients of Federal financial assistance provide meaningful access for applicants and beneficiaries who have limited English proficiency (LEP));
Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities through the Federal Government (advancing equity across the Federal Government); and Executive Order 13988, Preventing and Combating Discrimination on the Basis of Gender Identity or Sexual Orientation (clarifying that sex discrimination includes discrimination on the grounds of gender identity or sexual orientation).
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The preceding statutory and regulatory cites hereinafter are referred to as the “Acts” and “Regulations,” respectively.
GENERAL ASSURANCES
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that:
“No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity, for which the Recipient receives Federal financial assistance from DOT, including NHTSA.” The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI of the Civil Rights Act of 1964 and other non-discrimination requirements (the Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional-wide scope and coverage of these nondiscrimination statutes and requirements to include all programs and activities of the Recipient, so long as any portion of the program is Federally assisted.
SPECIFIC ASSURANCES
More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the following Assurances with respect to its Federally assisted Highway Safety Grant Program:
1. The Recipient agrees that each “activity,” “facility,” or “program,” as defined in 49 CFR part 21 will be (with regard to an “activity”) facilitated, or will be (with regard to a “facility”) operated, or will be (with regard to a “program”) conducted in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids, Requests For Proposals for work, or material subject to the Acts and the Regulations made in connection with all Highway Safety Grant Programs and, in adapted form, in all proposals for negotiated agreements regardless of funding source:
“The [name of Recipient], in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award.”
3. The Recipient will insert the clauses of appendix A and E of this Assurance (also referred in every contract or agreement subject to the Acts and the Regulations.
4. The Recipient will insert the clauses of appendix B of DOT Order 1050.2A, as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient.
5. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the Assurance will extend to the entire facility and facilities operated in connection therewith.
6. That where the Recipient receives Federal financial assistance in the form of, or for the acquisition of, real property or an interest in real property, the Assurance will extend to rights to space on, over, or under such property.
7. That the Recipient will include the clauses set forth in appendix C and appendix D of this DOT Order 1050.2A, as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program.
8. That this Assurance obligates the Recipient for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or structures or improvements thereon, in which case the Assurance obligates the Recipient, or any transferee for the longer of the following periods:
a. the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or b. the period during which the Recipient retains ownership or possession of the property.
9. The Recipient will provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee that it, other recipients, sub-recipients, sub- grantees, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Acts, the Regulations, and this Assurance.
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By signing this ASSURANCE, the State highway safety agency also agrees to comply (and require any sub-recipients, sub-grantees, contractors, successors, transferees, and/or assignees to comply) with all applicable provisions governing NHTSA's access to records, accounts, documents, information, facilities, and staff. You also recognize that you must comply with any program or compliance reviews, and/or complaint investigations conducted by NHTSA. You must keep records, reports, and submit the material for review upon request to NHTSA, or its designee in a timely, complete, and accurate way. Additionally, you must comply with all other reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance.
The State highway safety agency gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans, contracts, agreements, property, and/or discounts, or other Federal-aid and Federal financial assistance extended after the date hereof to the recipients by the U.S. Department of Transportation under the Highway Safety Grant Program. This ASSURANCE is binding on the State highway safety agency, other recipients, sub-recipients, sub-grantees, contractors, subcontractors and their subcontractors', transferees, successors in interest, and any other participants in the Highway Safety Grant Program. The person(s) signing below is/are authorized to sign this ASSURANCE on behalf of the Recipient.
THE DRUG-FREE WORKPLACE ACT OF 1988 (41 U.S.C. 8103)
The Subgrantee will provide a drug-free workplace by:
a. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the grantee's workplace, and specifying the actions that will be taken against employees for violation of such prohibition; b. Establishing a drug-free awareness program to inform employees about:
1. The dangers of drug abuse in the workplace;
2. The grantee's policy of maintaining a drug-free workplace;
3. Any available drug counseling, rehabilitation, and employee assistance programs;
4. The penalties that may be imposed upon employees for drug violations occurring in the workplace;
5. Making it a requirement that each employee engaged in the performance of the grant be given a copy of the statement required by paragraph (a);
c. Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will—
1. Abide by the terms of the statement;
2. Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction; d. Notifying the agency within ten days after receiving notice under subparagraph (c)(2) from an employee or otherwise receiving actual notice of such conviction;
e. Taking one of the following actions, within 30 days of receiving notice under subparagraph (c)(2), with respect to any employee who is so convicted—
1. Taking appropriate personnel action against such an employee, up to and including termination;
2. Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency;
f. Making a good faith effort to continue to maintain a drug-free workplace through implementation of all of the paragraphs above.
POLITICAL ACTIVITY (HATCH ACT)
(applies to all subrecipients as well as States)
The State will comply with provisions of the Hatch Act (5 U.S.C. 1501-1508), which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.
CERTIFICATION REGARDING FEDERAL LOBBYING
(applies to all subrecipients as well as States)
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 any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement; EXHIBIT 1 264
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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 sub-awards at all tiers (including subcontracts, subgrants, and contracts under grant, 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.
RESTRICTION ON STATE LOBBYING
(applies to subrecipients as well as States)
None of the funds under this program will be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body. Such activities include both direct and indirect (e.g., “grassroots”) lobbying activities, with one exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct communications with State or local legislative officials, in accordance with customary State practice, even if such communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal.
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION
(applies to all subrecipients as well as States)
INSTRUCTIONS FOR PRIMARY TIER PARTICIPANT CERTIFICATION (STATES)
1. By signing and submitting this proposal, the prospective primary tier participant is providing the certification set out below and agrees to comply with the requirements of 2 CFR parts 180 and 1200.
2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective primary tier participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary tier participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction.
3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default or may pursue suspension or debarment.
4. The prospective primary tier participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary tier participant learns its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
5. The terms covered transaction, civil judgment, debarment, suspension, ineligible, participant, person, principal, and voluntarily excluded, as used in this clause, are defined in 2 CFR parts 180 and 1200. You may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of those regulations.
6. The prospective primary tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction.
7. The prospective primary tier participant further agrees by submitting this proposal that it will include the clause titled “Instructions for Lower Tier Participant Certification” including the “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—Lower Tier Covered Transaction,” provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions and will require lower tier participants to comply with 2 CFR parts 180 and 1200.
8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or EXHIBIT 1 265
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otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any prospective lower tier participants, each participant may, but is not required to, check the System for Award Management Exclusions website
(https://www.sam.gov/).
9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate the transaction for cause or default.
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS—
PRIMARY TIER COVERED TRANSACTIONS
1. The prospective primary tier participant certifies to the best of its knowledge and belief, that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency; b. Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and
d. Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local) terminated for cause or default.
2. Where the prospective primary tier participant is unable to certify to any of the Statements in this certification, such prospective participant shall attach an explanation to this proposal.
INSTRUCTIONS FOR LOWER TIER PARTICIPANT CERTIFICATION
1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below and agrees to comply with the requirements of 2 CFR parts 180 and 1200.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
4. The terms covered transaction, civil judgment, debarment, suspension, ineligible, participant, person, principal, and voluntarily excluded, as used in this clause, are defined in 2 CFR parts 180 and 1200. You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled “Instructions for Lower Tier Participant Certification” including the “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—Lower Tier Covered Transaction,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions and will require lower tier participants to comply with 2 CFR parts 180 and 1200.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or EXHIBIT 1 266
8/21/2024 12:50:45 PM Page 16 of 17
otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any prospective lower tier participants, each participant may, but is not required to, check the System for Award Management Exclusions website
( https://www.sam.gov/).
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension or debarment.
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION—
LOWER TIER COVERED TRANSACTIONS
1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.
BUY AMERICA
(applies to subrecipients as well as States)
The State and each subrecipient will comply with the Buy America requirement (23 U.S.C. 313) when purchasing items using Federal funds. Buy America requires a State, or subrecipient, to purchase with Federal funds only steel, iron and manufactured products produced in the United States, unless the Secretary of Transportation determines that such domestically produced items would be inconsistent with the public interest, that such materials are not reasonably available and of a satisfactory quality, or that inclusion of domestic materials will increase the cost of the overall project contract by more than 25 percent. In order to use Federal funds to purchase foreign produced items, the State must submit a waiver request that provides an adequate basis and justification for approval by the Secretary of Transportation.
CERTIFICATION ON CONFLICT OF INTEREST
(applies to subrecipients as well as States)
GENERAL REQUIREMENTS
No employee, officer, or agent of a State or its subrecipient who is authorized in an official capacity to negotiate, make, accept, or approve, or to take part in negotiating, making, accepting, or approving any subaward, including contracts or subcontracts, in connection with this grant shall have, directly or indirectly, any financial or personal interest in any such subaward. Such a financial or personal interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or personal interest in or a tangible personal benefit from an entity considered for a subaward. Based on this policy:
1. The recipient shall maintain a written code or standards of conduct that provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents. a. The code or standards shall provide that the recipient's officers, employees, or agents may neither solicit nor accept gratuities, favors, or anything of monetary value from present or potential subawardees, including contractors or parties to subcontracts. b. The code or standards shall establish penalties, sanctions, or other disciplinary actions for violations, as permitted by State or local law or regulations.
2. The recipient shall maintain responsibility to enforce the requirements of the written code or standards of conduct.
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DISCLOSURE REQUIREMENTS
No State or its subrecipient, including its officers, employees, or agents, shall perform or continue to perform under a grant or cooperative agreement, whose objectivity may be impaired because of any related past, present, or currently planned interest, financial or otherwise, in organizations regulated by NHTSA or in organizations whose interests may be substantially affected by NHTSA activities. Based on this policy:
1. The recipient shall disclose any conflict of interest identified as soon as reasonably possible, making an immediate and full disclosure in writing to NHTSA. The disclosure shall include a description of the action which the recipient has taken or proposes to take to avoid or mitigate such conflict.
2. NHTSA will review the disclosure and may require additional relevant information from the recipient. If a conflict of interest is found to exist, NHTSA may (a) terminate the award, or (b) determine that it is otherwise in the best interest of NHTSA to continue the award and include appropriate provisions to mitigate or avoid such conflict.
3. Conflicts of interest that require disclosure include all past, present, or currently planned organizational, financial, contractual, or other interest(s) with an organization regulated by NHTSA or with an organization whose interests may be substantially affected by NHTSA activities, and which are related to this award. The interest(s) that require disclosure include those of any recipient, affiliate, proposed consultant, proposed subcontractor, and key personnel of any of the above. Past interest shall be limited to within one year of the date of award. Key personnel shall include any person owning more than a 20 percent interest in a recipient, and the officers, employees or agents of a recipient who are responsible for making a decision or taking an action under an award where the decision or action can have an economic or other impact on the interests of a regulated or affected organization.
PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HELMET USAGE (applies to all subrecipients as well as States)
The State and each subrecipient will not use 23 U.S.C. Chapter 4 grant funds for programs to check helmet usage or to create checkpoints that specifically target motorcyclists.
POLICY ON SEAT BELT USE
In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16, 1997, the Grantee is encouraged to adopt and enforce on-the-job seat belt use policies and programs for its employees when operating company-owned, rented, or personally-owned vehicles. The National Highway Traffic Safety Administration (NHTSA) is responsible for providing leadership and guidance in support of this Presidential initiative. For information and resources on traffic safety programs and policies for employers, please contact the Network of Employers for Traffic Safety (NETS), a public-private partnership dedicated to improving the traffic safety practices of employers and employees. You can download information on seat belt programs, costs of motor vehicle crashes to employers, and other traffic safety initiatives at www.trafficsafety.org. The NHTSA website (www.nhtsa.gov) also provides information on statistics, campaigns, and program evaluations and references.
POLICY ON BANNING TEXT MESSAGING WHILE DRIVING
In accordance with Executive Order 13513, Federal Leadership On Reducing Text Messaging While Driving, and DOT Order 3902.10, Text Messaging While Driving, States are encouraged to adopt and enforce workplace safety policies to decrease crashes caused by distracted driving, including policies to ban text messaging while driving companyowned or rented vehicles, Government-owned, leased or rented vehicles, or privately-owned vehicles when on official Government business or when performing any work on or behalf of the Government. States are also encouraged to conduct workplace safety initiatives in a manner commensurate with the size of the business, such as establishment of new rules and programs or re-evaluation of existing programs to prohibit text messaging while driving, and education, awareness, and other outreach to employees about the safety risks associated with texting while driving.
EXHIBIT 1 268
City of Stockton
Legislation Text
File #: 24-0917, Version: 1
ADOPT RESOLUTION TO AUTHORIZE THE AQUATIC FACILITIES RENOVATIONS - VICTORY
PARK POOL
RECOMMENDATION
It is recommended that the City Council adopt a resolution to:
1. Relieve Tricon Construction, Inc., the apparent low bidder, of their bid due to an administrative error in their bid documents in accordance with Chapter 5 of the California Public Contract Code.
2. Approve the plans and specifications for the Aquatic Facilities Renovations - Victory Park Pool, Project No. CR18020.
3. Award a Construction Contract in the amount $7,355,000 to CWS Construction Group, Inc. of Novato, CA, for the Aquatic Facilities Renovations - Victory Park Pool, Project No. CR18020.
It is recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.
Summary
Victory Park is located on the west side of Pershing Avenue between Acacia Street and Picardy Drive and measures over 22 acres (Attachment A). The Aquatic Facilities Renovations - Victory Park Pool project will demolish the existing pool and restroom/mechanical building and replace it with a new pool, spray-ground, restroom/mechanical building, and parking lot. The existing basketball court will also be demolished, and a new one will be constructed east of the existing tennis ball court.
This project was included in the 2020-25 Five-Year Capital Improvement Plan (CIP) with project funding from Measure M Strong Communities funds, SB129, and SB179 grant funds.
On August 15, 2024, the City received three construction bids for the Aquatic Facilities Renovations - Victory Park Pool project. Tricon Construction, Inc., the apparent low bidder, requested to withdraw their bid due to an administrative error in their bid documents (Attachment B). Staff, with concurrence of the City Attorney’s Office, recommends Council relieve Tricon Construction, Inc. of their bid in accordance with Chapter 5, Relief of Bidders, of the California Public Contract Code. It is recommended that Council adopt a resolution approving the plans and specifications for the project and awarding a Construction Contract to the second lowest responsible bidder, CWS Construction Group, Inc. in the amount of $7,355,000.
Construction is anticipated to be completed by summer 2025.
City of Stockton Page 1 of 3 Printed on 9/13/2024
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File #: 24-0917, Version: 1
DISCUSSION
Background
Victory Park is located on the west side of Pershing Avenue between Acacia Street and Picardy Drive (Attachment A). Victory Park measures over 22 acres and includes the Haggin Museum and rose garden, a basketball court, baseball diamonds, tennis courts, a children’s playground, Fire Station No. 6, and a swimming pool. The current swimming pool has been closed since 2013 due to building code deficiencies and repairs exceeding replacement costs. The existing pool site will be demolished, and a new swimming pool, spray-ground, restroom/mechanical building, and parking lot will be constructed in its place. The existing basketball court will also be demolished, and a new one will be constructed east of the existing tennis ball court.
This project was included in the 2020-25 Five-Year CIP with project funding from Measure M Strong Communities funds, SB129, and SB179 grant funds.
On May 24, 2022, by Motion No. 2022-05-24-1221, Council awarded a Professional Services Contract to Studio W Architects of Sacramento, CA, for design of the Aquatic Facilities Renovation and Replacement - Victory Park Pool, Project No CR18020. Final construction documents were completed by June 2024.
On April 18, 2023, by Resolution No. 2023-04-18-1209-02, Council approved Notice of Exemption No. NOE03-23 under the California Environmental Quality Act for the Aquatic Facilities Renovations - Victory Park Pool, Project No. CR18020.
On June 4, 2024, by Motion No. 2024-06-04-1213, Council approved the establishment of a PreQualified Construction Contractor Bidders List which consisted of four construction companies and awarded a Professional Services Contract to Roebbelen Construction Management Services, Inc. for construction management services for the Aquatic Facilities Renovations - Victory Park Pool, Project No. CR18020.
On July 26, 2016, Council adopted a Community Workforce and Training Agreement (CWTA). The CWTA became effective August 25, 2016, and applies to all Public Works projects over $1 million that are bid after that date. On July 16, 2019, by Motion No. 2019-07-16-1403, Council extended the CWTA term to August 25, 2024. On August 20, 2024, by Motion No. 2024-08-20-1203, Council extended the CWTA term to August 25, 2029. The CWTA was applied to this project as the estimated construction cost is over $1 million.
Present Situation
On August 15, 2024, three of the four pre-qualified contractors submitted a bid with the following results:
COMPANY NAME BID AMOUNT
Tricon Construction, Inc. (Rancho Cordova, CA) $6,900,000 City of Stockton Page 2 of 3 Printed on 9/13/2024
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File #: 24-0917, Version: 1
CWS Construction Group, Inc. (Novato, CA) $7,355,000
AMG & Associates, Inc. (Santa Clarita, CA) $7,979,000
Engineer’s Estimate $6,491,512
The requirements of Stockton Municipal Code (SMC) section 3.68.090, Local Business Preference, apply to this project. Application of the Local Business Preference has no effect on the bid order.
Tricon Construction, Inc., the low bidder, made an administrative error in their bid by not including the cost for certain concrete scope of work. Consequently, Tricon Construction, Inc. has requested to withdraw their bid (Attachment B). Under the California Public Contract Code, the awarding body may relieve a bidder of their bid if a mistake was made and it resulted in the bid from being materially different from what was intended. Staff recommends, with concurrence of the City Attorney’s Office, Council relieve Tricon Construction, Inc. of their bid.
The bid from the second lowest responsible bidder, CWS Construction Group, Inc., is regular in all respects. It is recommended that Council adopt a resolution approving the plans and specifications for the project and awarding a Construction Contract to the second lowest responsible bidder, CWS Construction Group, Inc., of Novato, CA, in the amount $7,355,000 for the Aquatic Facilities Renovations - Victory Park Pool, Project No. CR18020. Construction is anticipated to be completed by summer 2025.
FINANCIAL SUMMARY
There is sufficient funding available to award a Construction Contract in the amount of $7,355,000 to CWS Construction Group, Inc. for the Aquatic Facilities Renovations - Victory Park Pool, Project No.
CR18020.
There is no impact to the City’s General Fund or any other unrestricted fund as a result of taking the recommended actions.
Attachment A - Vicinity Map
Attachment B - Tricon Construction, Inc.’s Bid Withdrawal Letter City of Stockton Page 3 of 3 Printed on 9/13/2024
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STOCKTON DEEP WATER CHANNEL
PERSHING AVE.
W. ROSE ST.
ACACIA ST.
SMITH CANAL
AQUATIC FACILITIES RENOVATIONS -
VICTORY PARK POOL, CITY PROJECT NO. CR18020
CITY OF STOCKTON
DEPARTMENT OF PUBLIC WORKS
VICINITY MAP
NOT TO SCALE
LEGEND
N
PROJECT LOCATION
CITY LIMIT
COUNTY LIMIT
PROJECT LOCATION
ATTACHMENT A
272
TRICON CONSTRUCTION, INC. (916) 638-9866 (office)
11419 Sunrise Gold Circle, STE 6 (916) 638-9867 (fax)
Rancho Cordova, CA 95742
August 30, 2024
Ahbid Mohammad, P.E.
City Engineer
City of Stockton – PW Dept.
22 E. Weber Avenue, Rm 301
Stockton, CA 95202
RE: Withdrawal of Bid
Job Name: Victory Park Pool – Aquatics Facilities Renovations Project No.: CR18020
Dear Mr. Mohammad,
As previously informed on 8/16/24, Tricon Construction, Inc. DBA Tricon Aquatics (Tricon) is hereby requesting to withdraw our bid that was submitted to the City of Stockton on 8/15/24 for the Victory Park Pool – Aquatics Facilities Renovations project.
Tricon received an email notification from our concrete subcontractor (BCI) at 6am of 8/16/24 that they had made a critical error on their proposal and did not include the cost for the 6" swimming pool deck, spray pad deck and other pool deck misc. items in their bid. It was inclusive in their original scope but not included in their price. This is a fatal error in the amount of approximately $400,000 that Tricon had no control over.
Unfortunately due to this circumstance, we (Tricon) will need to withdraw our bid. I apologize for this inconvenience.
Please see attached letter from our listed Concrete Subcontractor, BCI, with additional information concerning their bid error.
Sincerely,
Jonathan T. Peel
V.P. Operations
TRICON CONSTRUCTION, INC.
dba TRICON AQUATICS
11419 Sunrise Gold Circle Suite 6
Rancho Cordova, CA 95742
916-638-9866
916-638-9867 fax
ATTACHMENT B 273
1200 Sixth Street
Berkeley, California 94710
Phone: 510.525.8175
Fax: 510.527.0782
State License No.: 290755
www.bciconcrete.com
DATE: 08/29/2024
TO: Ahbid Mohammad, City of Stockton & Jonathan Peel, Tricon Construction Inc.
FROM: Garrett Whitney, BCI
SUBJECT: Victory Park Pool – Concrete Bid
I am writing to address an error that occurred with our proposals for the Victory Park Pool project on bid day, August 15, 2024.
BCI initially intended to submit proposals for the following scopes:
• Pool Deck/Spray Ground Concrete + Reinforcing
• Pool Shell Reinforcing
Due to some last-minute scope additions, we also prepared separate proposals for:
• Structural Building Concrete + Reinforcing
• Site Concrete + Reinforcing
On bid day, our plan was to first send the already completed proposal for Pool Deck/Spray Ground Concrete + Reinforcing and Pool Shell Reinforcing, while finalizing the proposals for Structural Building Concrete + Reinforcing and Site Concrete + Reinforcing. However, while converting our Microsoft Word file for the Pool Deck/Spray Ground Concrete + Reinforcing and Pool Shell Reinforcing proposal to PDF, we mistakenly overwrote it with the incomplete proposal for Structural Concrete + Reinforcing and Site Concrete + Reinforcing. As a result, the first email we sent to Tricon Construction contained the incorrect proposal document.
We then followed up with a second email with the proposal for Structural Concrete + Reinforcing and Site Concrete + Reinforcing. This was the correct and complete proposal for that scope. Unfortunately, we did not provide the correct and complete proposal for Pool Deck/Spray Ground Concrete + Reinforcing and Pool Shell Reinforcing to Tricon Construction. In the midst of the fast-paced public bidding process, our numbers were plugged in presuming we had everything covered that we had previously discussed with Tricon Construction.
BCI's estimating department is committed to providing thorough and accurate bids. Regrettably, a clerical error on our part led to this situation. As a result, we must retract our bid. We sincerely apologize for any inconvenience this has caused.
Given the spread of other contractors' bids, we believe that Tricon Construction would still have been the apparent low bidder with our corrected proposals.
We looked forward to the opportunity to work with Tricon Construction and the City of Stockton on this project. Should the City decide to rebid, we would be eager to provide a new proposal with Tricon Construction if afforded the opportunity.
Thank you,
Garrett Whitney
[email protected]
925-575-4443
ATTACHMENT B 274
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION APPROVING THE PLANS AND SPECIFICATIONS, AND AWARDING A CONSTRUCTION CONTRACT FOR THE AQUATIC FACILITIES RENOVATIONS – VICTORY PARK POOL, PROJECT NO. CR18020
On August 15, 2024, the City Clerk of the City of Stockton opened, examined, and publicly declared the sealed proposals or bids offered for the Aquatic Facilities Renovations – Victory Park Pool, Project No. CR18020; and The project will demolish the existing pool and restroom/mechanical building and will be replaced with a new pool, spray-ground, restroom/mechanical building, and parking lot. The existing basketball court will also be reconstructed just east of the existing tennis ball court; and
Tricon Construction, Inc., the apparent low bidder, requested to withdraw their bid due to an administrative error in their bid documents; and CWS Construction Group, Inc., is the second lowest responsible bidder, in the amount of $7,355,000, and its bid is regular in all respects; now therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The City Council relieves Tricon Construction, Inc. of their bid due to a material error in their bid documents in accordance with Chapter 5 of the California Public Contract Code.
2. The City Council approves the plans and specifications for the Aquatic Facilities Renovations – Victory Park Pool, Project No. CR18020.
3. The City Council awards a Construction Contract between the City of Stockton and CWS Construction Group, Inc. of Novato, CA, in the amount of $7,355,000, for the Aquatic Facilities Renovations – Victory Park Pool, Project No. CR18020, and the City Manager is authorized and directed to execute same, a copy of which is attached as Exhibit 1 and incorporated by this reference.
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4. The City Manager is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED September 17, 2024 .
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
KATHERINE ROLAND, CMC, CPMC
Interim City Clerk of the City of Stockton
276
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23)
CONSTRUCTION CONTRACT
This contract is made and entered into on ______________, by and between CWS CONSTRUCTION GROUP, INC., a (STATE OF CA CORPORATION), with a business address at 1301 GRANT AVENUE, SUITE B, NOVATO, CA 94945, hereinafter called "CONTRACTOR," and CITY OF STOCKTON, a municipal corporation, hereinafter called "CITY."
W I T N E S S E T H:
WHEREAS, plans and specifications for the construction of AQUATIC FACILITIES RENOVATIONS – VICTORY PARK POOL (PROJECT NO.
CR18020), hereinafter called “PROJECT,” were regularly adopted by Council Resolution No. __________________, on _________________; and WHEREAS, the contract for said work was regularly awarded to CONTRACTOR, by Council Resolution No. __________________, on ________________.
NOW, THEREFORE, in consideration of the promises and of the mutual covenants herein contained, the parties hereto expressly agree as follows:
CONTRACTOR agrees:
1. SCOPE OF SERVICES. To do the work and furnish all the labor, materials, tools, equipment, and insurance required for the construction of PROJECT in accordance with the plans and specifications adopted on _____________, by Council Resolution No. __________________ . The "contract documents," which include the bid documents, project plans, specifications, all letters of clarification, and the City of Stockton Standard Specifications and Plans, are incorporated into and made a part of this contract by this reference to the same extent as if fully set forth.
2. COMPENSATION. To do and perform the work contemplated hereby in a good and workmanlike manner and to furnish all labor, materials, tools, and equipment necessary therefore at the prices specified in Exhibit A, attached hereto and by reference made a part hereof, under the direction of and to the complete satisfaction of the Director of Public Works of the City of Stockton. Total compensation for services and reimbursement for costs shall not exceed $7,355,000.00, or as otherwise mutually agreed to in a Contract Change Order.
3. INSURANCE. CONTRACTOR shall not commence any work before obtaining, and shall maintain in force at all times during the duration and performance of this contract, the policies of insurance specified in Exhibit B, which is attached to this contract and incorporated by this reference, and as provided in the “contract documents” including Section 7-1.06 of the City of Stockton Standard Specifications and Plans as adopted on September 27, 2016, by Council Resolution No. 2016-09-27-1213, effective September 27, 2016.
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) It shall be a requirement under this agreement that any available insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to the Additional Insured.
Furthermore, the requirements for coverage and limits shall be (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of coverage of any insurance policy or proceeds available to the named Insured; whichever is greater.
The Additional Insured coverage under the CONTRACTOR’s policy shall be “primary and non-contributory” and will not seek contribution from the City of Stockton’s insurance or self-insurance and shall be at least as broad as ISO CG 20 01 04 13.
The limits of insurance required in this agreement may be satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and non-contributory basis for the benefit of the City of Stockton (if agreed to in a written contract or agreement) before the City of Stockton’s own insurance or selfinsurance shall be called upon to protect it as a named insured.
All self-insured retentions (SIR) must be disclosed to the CITY’s Risk Management for approval and shall not reduce the limits of liability. Payment Bond in the amount of the self-insured retention (SIR) may be required.
Policies containing any self-insured retention (SIR) provision shall provide or be endorsed to provide that the SIR may be satisfied by either the named insured or the CITY.
The CITY reserves the right to obtain a full certified copy of any insurance policy and endorsements.
Failure to exercise this right shall not constitute a waiver of right to exercise later.
CONTRACTOR shall maintain insurance as required by this contract to the fullest amount allowed by law and shall maintain insurance for a minimum of five years following the completion of this project. In the event contractor fails to obtain or maintain completed operations coverage as required by this agreement, the City at its sole discretion may purchase the coverage required and the cost will be paid by contractor.
CONTRACTOR agrees to include with all Subcontractors in their subcontract the same requirements and provisions of this agreement including the indemnity and insurance requirements to the extent they apply to the scope of the Subcontractor’s work.
Subcontractors hired by CONTRACTOR agree to be bound to CONTRACTOR and the CITY in the same manner and to the same extent as CONTRACTOR is bound to the CITY under the Contract Documents. Subcontractor further agrees to include these same provisions with any Sub-subcontractor. A copy of the CITY Contract Document Indemnity and Insurance provisions will be furnished to the Subcontractor upon request. The
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) General CONTRACTOR shall require all sub-contractors to provide a valid certificate of insurance and the required endorsements included in the agreement prior to commencement of any work and contractor will provide proof of compliance to the City.
4. INDEMNITY AND HOLD HARMLESS. To the fullest extent permitted by law, Contractor shall hold harmless, defend, and indemnify City of Stockton and its officers, officials, employees, and volunteers from and against all claims, damages, losses, and expenses including attorney fees arising out of the performance of the work described herein, caused in whole or in part by any negligent act or omission of the Contractor, any subcontractor, anyone directly or indirectly employed by any of them, or anyone for whose acts any of them may be liable, except where caused by the active negligence, sole negligence, or willful misconduct of the City of Stockton. This obligation is independent of, and shall not in any way be limited by, the minimum Insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement.
5. STANDARD PLANS AND SPECIFICATIONS. The performance of said work and the furnishing of said materials shall be executed in accordance with Section 8-1.04B of the City of Stockton Standard Specifications and Plans as adopted on September 27, 2016, by Council Resolution No. 2016-09-27-1213, effective September 27, 2016, and the provisions of the issued project specifications.
The Director of Public Works will furnish CONTRACTOR a weekly statement showing the number of days charged to the contract for the preceding week, the number of days specified for completion of the contract, and the number of days remaining to complete the contract. CONTRACTOR will be allowed one (1) week in which to file a written protest setting forth in what respects said weekly statement is incorrect, otherwise the statement shall be deemed to have been accepted by CONTRACTOR as correct.
6. WORKING DAYS. This work shall be diligently prosecuted to completion before the expiration of 120 WORKING DAYS beginning on the tenth calendar day after the date shown on the Notice to Proceed. It is agreed by the parties to the contract that in case all the work called for under the contract in all parts and requirements, is not finished or completed within the number of days as set forth, damage will be sustained by the CITY, and that it is and will be impracticable and extremely difficult to ascertain the actual damage which CITY will sustain in the event of and by reason of such delay; and it is therefore agreed that CONTRACTOR will pay to CITY the sum of SIX THOUSAND SEVEN HUNDRED AND NO/100 DOLLARS ($6,700) per day for each and every calendar day's delay in finishing the work in excess of the number of days prescribed; and CONTRACTOR agrees to pay said liquidated damages as herein provided, and in case the same are not paid, agrees that CITY, may deduct the amount thereof from any monies due or that may become due CONTRACTOR under the contract.
It is further agreed that in case the work called for under the contract is not finished and completed in all parts and requirements within the number of days as specified, the CITY shall have the right to increase the number of days or not, as may seem best to serve
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) the interest of CITY, and if the CITY decides to increase the said number of days, the CITY shall further have the right to charge to CONTRACTOR, CONTRACTOR's heirs, assigns or sureties, and to deduct from the final payment for the work, all or any part, as may be deemed proper, the liquidated damages as specified or the actual cost of engineering, inspection, superintendence, and other overhead expenses which are directly chargeable to the contract, and which accrue during the period of such extension, whichever is greater, except the cost of final surveys and preparation of final estimate shall not be included in such charges.
A working day shall not include, nor shall CONTRACTOR be assessed with liquidated damages nor the additional cost of engineering and inspection during any delay beyond the time named for the completion of the work caused by acts of God or of the public enemy, acts of CITY, fire, floods, epidemics, quarantine restrictions, strikes, and freight embargoes and subject to approval by the Director of Public Works, inability to get materials ordered by CONTRACTOR or subcontractor due to such causes provided that CONTRACTOR shall notify the Director of Public Works in writing of the causes of delay within five (5) working days from the beginning of any such delay, and the Director shall ascertain the facts and the extent of the delay, and Director's findings of the facts thereon shall be final and conclusive.
If CONTRACTOR is delayed by reason of alterations made in these specifications, or by any act of the Director of Public Works or of the CITY, not contemplated by the contract, the time of completion shall be extended proportionately and CONTRACTOR shall be relieved during the period of such extension of any claim for liquidated damages, engineering or inspection charges or other penalties. CONTRACTOR shall have no claim for any other compensation for any such delay.
7. CONFORMANCE TO APPLICABLE LAWS. Contractor shall comply with all applicable Federal, State, and Municipal laws, rules and ordinances. Contractor shall not discriminate in the employment of persons or in the provision of services under this Contract on the basis of any legally protected classification, including race, color, national origin, ancestry, sex or religion of such person.
a. TITLE VI
Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.” (42 USC Section 2000d)
http://www.dol.gov/oasam/regs/statutes/titlevi.htm.
The City of Stockton requires compliance with the requirements of Title VI in all of its programs and activities regardless of funding source.
b. DISCRIMINATION AND HARASSMENT POLICY
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) The City of Stockton has a Discrimination and Harassment Policy (Exhibit C). The purpose of this policy is to reaffirm the CITY’s commitment to demonstrating respect for all individuals by strictly prohibiting discrimination and harassment, including sexual harassment in the workplace, to define the types of behavior and conduct prohibited by this policy, and to set forth a procedure for reporting, investigating, and resolving complaints of discrimination and harassment in the workplace.
c. LABOR STANDARDS PROVISIONS/CALIFORNIA LABOR CODE
The bidder shall understand that conditions set forth in Chapter 1, Part 7, Division 2 of the California Labor Code shall be considered part of the contract agreement.
https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode= LAB&division=2.&title=&part=7.&chapter=1.&article=2.
d. PREVAILING WAGE
CONTRACTOR and any subcontractor shall pay each employee engaged in the trade or occupation not less than the prevailing hourly wage rate. In accordance with the provisions of Section 1770 of the Labor Code, the Director of Department of Industrial Relations of the State of California has determined the general prevailing rates of wages and employer payments for health and welfare, pension, vacation, travel time, and subsistence pay as provided for in Section 1773.1, apprenticeship or other training programs authorized by Section 3093 and similar purposes applicable to the work to be done. CONTRACTOR performing the work under this contract shall obtain a copy of the wage rate determination and shall distribute copies to each subcontractor. As the wage determination for each craft reflects an expiration date, it shall be the prime CONTRACTOR and each subcontractor's responsibility to ensure that the prevailing wage rates of concern is current and paid to the employee.
i. The CONTRACTOR performing the work shall be responsible for obtaining a copy of the State wage rate determination. State wage rates may be obtained at
http://www.dir.ca.gov/OPRL/pwd/Determinations/Northern/Northern.p df. The CONTRACTOR shall be responsible for posting said wage rates at a prominent location at the work site and shall maintain same in a good readable condition for the duration of the work. ii. Should the CONTRACTOR choose to work on a Saturday, Sunday or on a holiday recognized by the Labor Unions, the CONTRACTOR shall reimburse the CITY the actual cost of engineering, inspection, superintendence, and or other overhead expenses which are directly
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) chargeable to the contract. Should such work be undertaken at the request of the CITY, reimbursement will not be required. To conform strictly with the provisions of Division 2, Part 7, Chapter 1, Article 2, of the Labor Code of the State of California. To forfeit as a penalty to CITY the sum of TWENTY-FIVE AND NO/100 DOLLARS ($25.00) for each laborer, worker, or mechanic employed by CONTRACTOR, or by any subcontractor under CONTRACTOR, in the execution of this contract, for each calendar day during which any laborer, worker, or mechanic is required or permitted to work more than eight (8) hours and who is not paid the general prevailing rate of per diem wages for holiday and overtime work in violation of the provisions of Sections 1770 to 1781 of the Labor Code of the State of California. That all sums forfeited under the provisions of the foregoing sections shall be deducted from the payments to be made under the terms of this contract.
iii. The CONTRACTOR to whom the contract is awarded shall ensure that the prime and each subcontractor will in accordance with Section 1776 of the Labor Code, maintain certified payroll records. A copy of said records shall be provided with each invoice to the Public Works Department, Attention Contract Compliance Officer. It shall be the CONTRACTOR’S responsibility to obtain copies of the current prevailing wage rate determination for all subcontractors. Additionally, certified payroll records must be uploaded to the DIR website as required by labor code.
iv. The CONTRACTOR shall comply with the provisions established in Section 1777.5 of the Labor Code concerning the 1) certified approval by local joint apprenticeship committees for the employment and training of apprentices, and 2) contribution of funds to administer and conduct apprenticeship programs, if applicable to the job. e. LOCAL EMPLOYMENT ORDINANCE
Pursuant to Stockton Municipal Code Section 3.68.095 the CONTRACTOR and all subcontractors shall make a good faith effort to employ at least 50 percent of the workforce on this project from local residents, as measured by total labor work hours. Failure of any CONTRACTOR or subcontractor to comply with these requirements shall be deemed a material breach of the contract or subcontract. CONTRACTORS and subcontractors shall maintain records necessary for monitoring their compliance with section
3.68.095.
f. COMMUNITY WORKFORCE TRAINING AGREEMENT
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) Pursuant to the implementation of the Community Workforce Training Agreement (CWTA) adopted by the City Council on July 26, 2016, the successful bidder shall be required to comply with the provisions of CWTA. For any project subject to this Agreement, the Local Hire, Priority Apprentice and Workforce Development Program requirements shall apply in lieu of the requirements of Stockton Municipal Code Section 3.68.095 and no separate compliance with Section 3.68.095 will be required of the Contractors/Employers working on the project (EXHIBIT D). g. SANCTIONS
Deliverables must conform with all applicable federal, state, and local laws. Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not engage in prohibited transactions with sanctioned persons or entities.
CITY agrees:
8. COMPENSATION. To pay CONTRACTOR for the work herein
contemplated in the following manner: Progress payments will be made on or about the first day of each calendar month, in such sum as shall make the aggregate of payment up to such day equal to ninety-five percent (95%) of the proportional contract price, upon the basis of the progress certificate of the Director of Public Works as to the amount of work done and the proportional amount of the contract price represented therefore; and all of the remaining part of the contract price not as aforesaid paid, shall be paid at the expiration of thirty-five (35) days from the completion of said work of construction and the certification by the Director of Public Works of such completion.
9. SECURITIES. Pursuant to Section 22300 of the Public Contract Code, CONTRACTOR will be permitted, at its request and sole expense, to substitute securities for any monies withheld by the CITY to ensure performance under the contract. Said securities will be deposited either with the CITY or with a State or federally chartered bank as escrow agent. Securities eligible for this substitution are those listed in Section 16430 of the California Government Code or bank or savings and loan certificates of deposit.
CONTRACTOR shall be the beneficial owner of any securities substituted for monies withheld and shall receive any interest thereon.
10. CHANGE ORDERS. CITY reserves the right to make such alterations, deviations, additions to or omissions from the plans and specifications, including the right to increase or decrease the quantity of any item or portion of the work, as may be deemed by the Engineer to be necessary or advisable and to require such extra work as may be determined by the Engineer to be required for the proper completion or construction of the whole work contemplated.
Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) Any such changes will be set forth in a contract change order which will specify, in addition to the work done in connection with the change made, adjustment of contract time, if any, and the basis of compensation for such work. A contract change order will not become effective until approved by the City Manager and/or the City Council.
Processing of change orders shall be in accordance with Section 4-1.05A of the City of Stockton Standard Specifications and Plans as adopted by Council on September 27, 2016, by Resolution No. 2016-09-27-1213, effective September 27, 2016, or as otherwise amended by Council. When the compensation for an item of work is subject to adjustment under the provisions of Standard Specifications and Plans, Section 4-1.05A, CONTRACTOR shall, upon request, promptly furnish the Engineer with adequate detailed cost data for such item of work.
11. AUDITS. CITY reserves the right to periodically audit all charges made by CONTRACTOR to CITY for services under the contract. Upon request, CONTRACTOR agrees to furnish CITY, or a designated representative, with necessary information and assistance.
CONTRACTOR agrees that CITY or its delegate will have the right to review, obtain and copy all records pertaining to performance of the contract. CONTRACTOR agrees to provide CITY or its delegate with any relevant information requested and shall permit CITY or its delegate access to its premises, upon reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and copying such books, records, accounts, and other material that may be relevant to a matter under investigation for the purpose of determining compliance with this requirement.
CONTRACTOR further agrees to maintain such records for a period of three (3) years after final payment under the contract.
12. WAIVER. It is expressly understood and agreed by and between the parties hereto that a waiver of any of the conditions of this contract shall not be considered a waiver of any of the other conditions thereof.
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Local Construction Contract – CWS Construction Group, Inc. – PROJECT NO. CR18020 (Updated 10/18/23) It is further understood and agreed by and between the parties hereto that time is of the essence of this contract in all respects.
IN WITNESS WHEREOF, the parties hereto have hereunto affixed their hands and seals the day and year first above written.
ATTEST: CITY:
KATHERINE ROLAND, CMC, CPMC
INTERIM CITY CLERK
By:
By: HARRY BLACK
CITY MANAGER
APPROVED AS TO FORM & CONTENT:
LORI M. ASUNCION
OFFICE OF THE CITY ATTORNEY
By:
CWS CONSTRUCTION GROUP, INC.
By:
DEPUTY CITY ATTORNEY
Tax Identification No.
LETTER OF CLARIFICATION NO. 3
AUGUST, 12, 2024
AQUATIC FACILITIES RENOVATIONS -VICTORY PARK POOL
PROJECT NO. CR18020
BIDDING SCHEDULE
Each bidder shall bid each item, including all alternate bid(s). Failure to bid an item shall be just cause for considering the bid as non-responsive. Line item costs should include all Contractor's overhead and profit and indirect costs. Bids not presented on City forms shall be cause for considering the bid as non-responsive.
If the City awards the contract, the award is made to the lowest responsible bidder.
LINE
ITEM
1 DESCRIPTION UNIT
BASE BID lTEM #1: All base bid LS
items and worl< shown on the plans
and indicated in the specifications
for the Aquatic Facilities
Renovations - Victory Park Pool.
TOTAL BID
QUANTITY Total Base Bid Price In U;S. dolfars
1 ,, 355 ,ooO
5e:\levi W\tl\tOVI, tviv-e-e huvidre
°'--vid fitN Mve �oo5CA-Vic/ •
·7 /3 5 -S, oO 0
BIDDER'S NAME CWS Construction Group, Inc
Charlie Slack, Secretary
Bid Forms Page 4of12 Last Revised 12/31/20
EXHIBIT A Page 10 of 54 EXHIBIT 1 286
Insurance Requirements
(Construction Contracts)
Contractor shall procure and maintain for the duration of the contract, and for five (5) years thereafter, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Contractor, his agents, representatives, employees, or subcontractors.
MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office (ISO) Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $5,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: Insurance Services Office Form CA 0001 covering Code 1 (any auto), with limits no less than $5,000,000 per accident for bodily injury and property damage.
3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employers’ Liability insurance with a limit of no less than $1,000,000 per accident for bodily injury or disease.
4. Contractors’ Pollution Legal Liability and/or Asbestos Legal Liability and/or Errors and Omissions (if project involves environmental hazards) with limits no less than $2,000,000 per occurrence or claim, and $2,000,000 policy aggregate.
5. Builder’s Risk (Course of Construction) insurance utilizing an “All Risk” (Special Perils) coverage form, with limits equal to the completed value of the project and no coinsurance penalty provisions.
6. Surety Bonds as described below.
If the contractor maintains broader coverage and/or higher limits than the minimums shown above, the City of Stockton requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Stockton.
EXHIBIT B Page 11 of 54 EXHIBIT 1 287
Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City of Stockton. The CGL and any policies, including Excess liability policies, may not be subject to a self-insured retention (SIR) or deductible that exceeds $25,000 unless approved in writing by City of Stockton. Any and all deductibles and SIRs shall be the sole responsibility of Contractor or subcontractor who procured such insurance and shall not apply to the Indemnified Additional Insured Parties. City of Stockton may deduct from any amounts otherwise due Contractor to fund the SIR/deductible. Policies shall NOT contain any self-insured retention (SIR) provision that limits the satisfaction of the SIR to the Named Insured.
The policy must also provide that Defense costs, including the Allocated Loss Adjustment Expenses, will satisfy the SIR or deductible. City of Stockton reserves the right to obtain a copy of any policies and endorsements for verification.
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:
1. The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations and automobiles owned, leased, hired, or borrowed by or on behalf of the Contractor.
General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10, CG 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used).
Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officers, officials, employees, and volunteers for all locations work is done under this contract.
2. For any claims related to this project, the Contractor’s insurance coverage shall be primary and non-contributory insurance coverage at least as broad as ISO CG 20 01 04 13 as respects the City of Stockton, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City of Stockton, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it. This requirement shall also apply to any Excess or Umbrella liability policies. The City of Stockton does not accept endorsements limiting the Contractor’s insurance coverage to the sole negligence of the Named Insured.
EXHIBIT B Page 12 of 54 EXHIBIT 1 288
3. Each insurance policy required by this clause shall provide that coverage shall not be canceled, except with notice to the City of Stockton.
Builder’s Risk (Course of Construction) Insurance
Contractor may submit evidence of Builder’s Risk insurance in the form of Course of Construction coverage. Such coverage shall name the City of Stockton as a loss payee as their interest may appear.
If the project does not involve new or major reconstruction, at the option of the City of Stockton, an Installation Floater may be acceptable. For such projects, a Property Installation Floater shall be obtained that provides for the improvement, remodel, modification, alteration, conversion or adjustment to existing buildings, structures, processes, machinery and equipment. The Property Installation Floater shall provide property damage coverage for any building, structure, machinery or equipment damaged, impaired, broken, or destroyed during the performance of the Work, including during transit, installation, and testing at the City of Stockton’s site.
Claims Made Policies (Professional & Pollution only)
If any coverage required is written on a claims-made coverage form:
1. The retroactive date must be shown, and this date must be before the execution date of the contract or the beginning of contract work.
2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of contract work.
3. If coverage is cancelled or non-renewed, and not replaced with another claimsmade policy form with a retroactive date prior to the contract effective, or start of work date, the Contractor must purchase extended reporting period coverage for a minimum of five (5) years after completion of contract work.
4. A copy of the claims reporting requirements must be submitted to the City of Stockton for review.
5. If the services involve lead-based paint or asbestos identification/remediation, the Contractors Pollution Liability policy shall not contain lead-based paint or asbestos exclusions. If the services involve mold identification/remediation, the Contractors Pollution Liability policy shall not contain a mold exclusion, and the definition of Pollution shall include microbial matter, including mold.
Umbrella or Excess Policies
The Contractor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all EXHIBIT B Page 13 of 54 EXHIBIT 1 289
of the Primary and Umbrella or Excess Policies shall provide all of the insurance coverages herein required, including, but not limited to, primary and non-contributory, additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. The Umbrella or Excess policies shall be provided on a true “following form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, whether primary or excess, and which also apply to a loss covered hereunder, shall be called upon to contribute to a loss until the Contractor’s primary and excess liability policies are exhausted.
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best rating of no less than A: VII, unless otherwise acceptable to the City of Stockton.
Waiver of Subrogation
Contractor hereby agrees to waive rights of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss.
Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation. The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of the City of Stockton for all work performed by the Contractor, its employees, agents and subcontractors.
Verification of Coverage
Contractor shall furnish the City of Stockton with original certificates and amendatory endorsements or copies of the applicable policy language effecting coverage required by this clause and a copy of the Declarations and Endorsements Pages of the CGL and any Excess policies listing all policy endorsements. All certificates and endorsements and copies of the Declarations & Endorsements pages are to be received and approved by the City of Stockton before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor’s obligation to provide them. The City of Stockton reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
Subcontractors
Contractor shall require and verify that all subcontractors maintain insurance meeting all requirements stated herein, and Contractor shall ensure that City of Stockton is an additional insured on insurance required from subcontractors. For CGL coverage, subcontractors shall provide coverage with a form at least as broad as CG 20 38 04 13.
EXHIBIT B Page 14 of 54 EXHIBIT 1 290
Duration of Coverage
CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, service, or repair work, shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
Surety Bonds
Contractor shall provide the following Surety Bonds:
1. Bid Bond
2. Performance Bond
3. Payment Bond
4. Maintenance Bond
The Payment Bond and the Performance Bond shall be in a sum equal to the contract price. If the Performance Bond provides for a one-year warranty a separate Maintenance Bond is not necessary. If the warranty period specified in the contract is for longer than one year a Maintenance Bond equal to 10% of the contract price is required. Bonds shall be duly executed by a responsible corporate surety, authorized to issue such bonds in the State of California and secured through an authorized agent with an office in California.
Special Risks or Circumstances
City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other circumstances.
Certificate Holder Address
The address for mailing certificates, endorsements and notices shall be:
City of Stockton
Its Officers, Officials, Employees and Volunteers
400 E Main Street, 3rd Floor – HR
Stockton, CA 95202
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COMMUNITY WORKFORCE AND TRAINING
AGREEMENT
FOR THE CITY OF STOCKTON
INTRODUCTION/FINDINGS
The purpose of this Agreement is to promote efficiency of construction operations performed for and within the City of Stockton and to provide for peaceful settlement of labor disputes and grievances without strikes or lockouts, thereby promoting the public interest in assuring the timely and economical completion of the projects subject to this Agreement, and to support the efforts of the City to increase employment opportunities for workers who reside in Stockton, to help increase training and employment opportunities for the City's students in the construction trades through apprenticeship and pre-apprentice programs as the students graduate from the City's schools.
WHEREAS, the City adopts a five-year Capital Improvement Plan that identifies the public projects necessary to maintain and improve the physical properties of the City, including buildings, parks, entertainment venues, golf courses, utility systems, the transportation system and other facilities; and
WHEREAS, the City undertakes and anticipates undertaking many of the projects identified in the current and proposed Capital Improvement Plan and other City public works projects that involve significant construction costs in excess of threshold set forth in this Agreement; and
WHEREAS, the City Council has determined that the successful and cost-effective completion of these Capital Improvement Plan projects and other major City public works projects is of the utmost importance to the City and its taxpayers and the residents it serves; and WHEREAS, the City has determined that applying the same Agreement to the Capital Improvement Plan and other public works construction projects that exceed the threshold set forth in this Agreement during the term of this Agreement will provide efficiencies for the City and its contractors; and
WHEREAS, large numbers of workers of various skills will be required in the performance of the construction work, including those workers represented by Unions affiliated with the San Joaquin Building and Construction Trades Council ("the Council") and employed by contractors and subcontractors who are signatory to agreements with said labor organizations; and WHEREAS, it is recognized that projects with multiple contractors and bargaining units on the job site at the same time over an extended period of time, the potential for work disruption is substantial without an overriding commitment to maintain continuity of work; and 3238-017jj 1
EXHIBIT D Page 30 of 54 EXHIBIT 1 306
WHEREAS, the interests of the general public, the City and the Contractor(s)/Employer(s) would be best served if the construction work proceeded in an orderly manner without disruption due to labor disputes; and
WHEREAS, the Contractor(s)/Employer(s) and the Unions desire to mutually establish and stabilize wages, hours and working conditions for the workers employed on the construction projects subject to this Agreement in order to promote a satisfactory, continuous and harmonious relationship among the parties to this Agreement; and
WHEREAS, unemployment rates in Stockton have been consistently higher than in California as a whole and statistics indicate that the higher unemployment level in Stockton correlates to a higher number of families living in poverty and to a higher crime rate; and WHEREAS, due to the lack of jobs, much of the work force residing in Stockton is forced to commute long distances to find work, causing increased traffic, increased pollution, and other serious environmental impacts; and
WHEREAS, because of the shortage oflocal jobs, many residents of Stockton must leave for work very early in the morning and return late in the evening, often leaving children and teenagers alone and unsupervised during the day; and
WHEREAS, absentee parents and unsupervised youth can result in increased problems for families, communities, and the City as a whole; and WHEREAS, the contracts for the construction of the projects will be awarded in accordance with the applicable provisions of the California State Public Contract Code and state, local and federal laws and regulations; and
WHEREAS, the City has the absolute right to select the lowest responsive and responsible bidder for the award of construction contracts on the projects; and WHEREAS, the parties signatory to this Agreement pledge their full good faith and trust to work towards mutually satisfactory completion of the Capital Improvement Plan projects and other major City public works projects that will be subject to this Agreement; and
NOW, THEREFORE, IT IS AGREED BETWEEN AND AMONG THE PARTIES HERETO, AS FOLLOWS:
1.1 1.2
personnel.
3238-0l?jj
ARTICLE I
DEFINITIONS
"Agreement" mearis this Community Workforce and Training Agreement. "City" means the City of Stockton and its public employees, including managerial 2 EXHIBIT D Page 31 of 54 EXHIBIT 1 307
1.3 "Contractor(s)/Employer(s)" or "Contractor" means any individual, firm, partnership or corporation, or combination thereof, including joint ventures, that is an independent business enterprise and has entered into a contract with the City or Project Manager or any of its contractors or subcontractors of any tier, with respect to the construction of any part of the Project under contract terms and conditions approved by the City and which incorporate this Agreement.
1.4 "Construction Contract" means a contract awarded by the City for public work within the meaning of Chapter 1 (commencing with Section 1720) of Part 7 of Division 2 of the California Labor Code.
1.5 "Project" means any construction project of the City whose value as determined by the higher of the engineer's estimate of the total cost of the project or the actual cumulative bid amounts submitted by the contractor or contractors awarded the Construction Contracts for the Project, exceeds one million dollars ($1,000,000). By mutual consent of the City and the Council, ·this threshold amount may be reduced to an amount not below two hundred and fifty thousand dollars ($250,000) after one year from the effective date of this Agreement.
1.6 "Union" or "Unions" means the San Joaquin Building and Construction Trades Council, AFL-CIO ("the Council") and any other labor organization, including those affiliated with the Council, signatory to this Agreement, acting in their own behalf and on behalf of their respective affiliates and member organization whose names are subscribed hereto and. who have through their officers executed this Agreement ("Local Unions").
1. 7 "Stockton Resident" means a resident of the City of Stockton as defined by Stockton Municipal Code Section 3.68.095(1)(3).
1.8 "Local Area Resident" means any Stockton Resident or any individual domiciled within the boundaries of San Joaquin County according to the criteria set forth in Stockton Municipal Code Section 3.68.095(1)(3) for Stockton Residents.
1.9 "Project Manager" means the business entity or City employee designated by the City to oversee all phases of construction on the Project.
1.10 "Master Agreement" or "Schedule A" means the Master Collective Bargaining Agreement of each craft union signatory hereto, which shall be on file with the City.
1.11 "Completion" means that point at which the City accepts a project at issue by filing a Notice of Completion, or as otherwise provided by applicable state law. "Punch List" items and any other work within the scope of this Agreement not completed prior to commencement of revenue service shall nonetheless be included within the scope of this Agreement. It is understood by the parties that pmtions of the Project may be completed in phases and Completion of any such phase may occur prior to Completion of the Project. 3238-017,ij 3
EXHIBIT D Page 32 of 54 EXHIBIT 1 308
ARTICLE II
SCOPE OF AGREEMENT
2.1 Parties: The Agreement shall apply and is limited to the City and all Contractor(s)/Employer(s) performing construction contracts on the Project, including surveying and on-site testing and inspection where such work is traditionally covered by a Master Agreement with a Union, and the Council and any other labor organization signatory to this Agreement, acting in their own behalf and on behalf of their respective affiliates and member organizations whose names are subscribed hereto and who have through their officers executed this Agreement.
2.2 Project Description: The Agreement shall govern the award of all Construction Contracts identified by the City as part of the Project. The City has the absolute right to combine, change, consolidate, suspend or cancel Construction Contract(s) or portions of Construction Contract(s) identified as part of the Project. Should the City suspend or remove any individual contract from the Project and thereafter authorize that construction work be commenced on such contract, then such contract shall be performed under the terms of this Agreement. Once a Construction Contract is completed it is no longer covered by this Agreement except when a Contractor is directed to engage in repairs, warranty work or modifications required by its Construction Contract with the City. For the purposes of this Agreement, a Construction Contract shall be considered Completed as set forth in Section 1.11 of this Agreement.
2.3 Covered Work: This Agreement covers, without limitation, all site preparation, surveying, on-site construction, alteration, demolition, installation, improvement, painting or repair of buildings, structures, modular furniture installations, and other works and related activities for the Project that is within the craft jurisdiction of one of the Unions and that is part of the Project, including, without limitation to the following examples, geotecbnical and exploratory drilling, temporary HV AC, landscaping and temporary fencing, pipelines (including those in linear corridors built to serve the Project), pumps, pump stations, on-site soils and material inspection and testing, and demolition of any existing structures required to be performed to complete the Project. This Agreement shall apply to any stait-up, calibration, commissioning, performance testing repair, and operational revisions to systems and/or subsystems for the Project performed after completion, unless it is performed by City employees.
On-site work includes work done for the Project in temporary yards or areas adjacent to the Project, and at any on-site or off-site batch plant constructed solely to supply materials to the Project. This Agreement covers all onsite fabrication work over which the City or any Contractor(s)/Employer(s) possess the right of control (including work done for the Project in any temporary yard or area established for the Project.) This Agreement also covers all off-site work, including fabrication traditionally performed by the Unions, that is part of the Project, provided such off-site work is covered by a current "Master Agreement" or local addenda to a National Agreement of the applicable Union(s) that is in effect as of the execution date of this Agreement. The furnishing of supplies, equipment or materials which are stockpiled for later use shall not be considered Covered Work; however, the delivery of ready-mix, asphalt, aggregate, sand or other fill material which are directly incorporated into the construction process as well as the off-hauling of debris and excess fill, material and/or mud shall be covered by the terms and conditions of this Agreement. Contractor( s )/Employer( s ), including brokers, of persons providing construction trucking work shall provide ce1tified payroll records to the City within ten (10) days of a written request or as required by bid specifications. 3238-017.ii 4
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2.4 Exclusions from Covered Work
2.4.1 The Agreement shall be limited to construction work on the Project and is not intended to, and shall not affect or govern the award of public works contracts by the City which are not a part of the Project.
2.4.2 The Agreement shall not apply to a Contractor's/Employer's nonconstruction craft employees, including but not limited to executives, managerial employees, engineering employees and supervisors above the level of General Foreman (except those covered by existing Master Agreements), staff engineers or other professional engineers, administrative and management personnel.
2.4.3 This Agreement shall not apply to work by employees of the City.
2.4.4 This Agreement shall not apply to any work performed on or near or leading to the site of work covered by this Agreement that is undertaken by state, county, City or other governmental bodies or their contractors; or by public or private utilities or their contractors that is not part of the Project.
2.4.5 This Agreement shall not apply to the Project where the Agreement is prohibited by state or federal law or where the express conditions for the receipt of non-de minimis state or federal funding prohibit the City from applying this Agreement to the Project.
2.5 Project Labor Disputes: All Project labor disputes involving the application or interpretation of the Master Agreement to which a signatory Contractor(s)/Employer(s) and a signatory Union are parties shall be resolved pursuant to the resolution procedures of the Master Agreement. All disputes relating to the interpretation or application of this Agreement shall be subject to resolution by the Grievance Committee and the Grievance and Arbitration Procedure set forth in Article XII.
2.6 Work covered by this Agreement within the following craft jurisdictions shall be performed under the terms of their National Agreements as follows: the National Transient Lodge (''NTL") Articles of Agreement, the National Stack/Chimney Agreement, the National Cooling Tower Agreement, and the National Agreement of Elevator Constrnctors, and any instrument calibration work and loop checking shall be performed under the terms of the UNIBEW Joint National Agreement for Instrument and Control Technicians, with the exception that A,rticles IV, XIl, XIII of this Agreement shall apply to such work.
2.7 Award of Contracts. It is understood and agreed that the City has the absolute right to select any qualified bidder for the award of contracts under this Agreement. The bidder need only be willing, ready and able to execute and comply with this Agreement. It is further agreed that this Agreement shall be included in all invitations to bid or solicitations for proposals from contractors or subcontractors for work on the Project that are issued on and after the effective date of this Agreement.
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ARTICLEID
EFFECT OF AGREEMENT
3 .1 By executing the Agreement, the Unions and the City agree to be bound by each and all of the provisions of the Agreement.
3.2 This Agreement shall be included as a condition of the award of Construction Contracts for the Project. By accepting the award of a Construction Contract for the Project, whether as contractor or subcontractor, the Contractor(s)/Employer(s) agrees to be bound by each and every provision of the Agreement and agrees that it will evidence its acceptance prior to the commencement of work by executing the Agreement to be Bound in the form attached hereto as Addendum A.
3.3 At the time that any Contractor(s)/Employer(s) enters into a subcontract with any subcontractor providing for the performance of a Construction Contract, the Contractor( s )/Employer( s) shall provide a copy of this Agreement to said subcontractor and shall require the subcontractor as a part of accepting an award of a construction subcontract to agree in writing, to be bound by each and every provision of this Agreement prior to the commencement of work by executing the Agreement to be Bound in the form attached hereto as Addendum A.
3.4 This Agreement shall only be binding on the signatory parties hereto, their successors and assigns, and shall not apply to the parents, affiliates, subsidiaries, or other ventures of any such party. Each Contractor shall alone be liable and responsible for its own individual acts and conduct and for any breach or alleged breach of this Agreement.
Any dispute between the Union(s) and the Contractor(s) respecting compliance with the terms of the Agreement, shall not affect the rights, liabilities, obligations and duties between the signatory Union(s) and other Contractor(s)/Employer(s) party to this Agreement.
3.5 It is mutually agreed by the parties that any liability by a signatory Union to this Agreement shall be several and not joint. Any alleged breach of this Agreement by a signatory Union shall not affect the rights, liabilities, obligations and duties between the signatory Contractor(s) and the other Union(s) party to this Agreement.
3.6 The provisions of this Agreement, including the Master Agreements of the Local Unions having jurisdiction over the work on the Project, incorporated herein by reference, shall apply to the work covered by this Agreement, notwithstanding the provisions of any other local, area and/or national agreements which may conflict with or differ from the terms of this Agreement. Where a subject covered by the provisions of this Agreement is also covered by a Master Agreement, the provisions of this Agreement shall prevail. Where a subject is covered by the provisions of a Schedule A and is not covered by this Agreement, the provisions of the Master Agreement shall prevail.
ARTICLE IV
WORK STOPPAGES, STRIKES. SYMPATHY
STRIKES AND LOCKOUTS
4.1 The Unions, City and Contractor(s)/Employer(s) agree that for the duration of the Project:
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(1) There shall be no strikes, sympathy strikes, work stoppages, picketing, hand billing or otherwise advising the public that a labor dispute exists, or slowdowns of any kind, for any reason, by the Unions or employees employed on the Project, at the job site of the Project or at any other facility of the City because of a dispute on the Project. Nor shall the Unions or any employees employed on the Project participate in any strikes, sympathy strikes, work stoppages, picketing, hand billing, slowdowns, or otherwise advising the public that a labor dispute exists at the jobsite of the Project because of a dispute between Unions and Contractor(s)/Employer(s) on any other project. It shall not be considered a violation of this Article if labor is withheld by a Union due to lack of payments to a Trust Fund or failure to make payroll on the Project. Nothing stated in this Agreement shall prevent Unions from participating in the actions mentioned in this section onjobsites other than the Project jobsite because of disputes between the Unions and Contractor(s)/Employer(s) on projects other than the Project. (2) As to employees employed on the Project, there shall be no lockout of any kind by a Contactor(s)/Employer(s) covered by the Agreement. (3) If a Master Agreement between a Contractor(s)/Employer(s) and the Union expires before the Contractor(s)/Employer(s) completes the performance of a Construction Contract for work covered under this Agreement and the Union or Contractor(s)/Employer(s) gives notice of demands for a new or modified Master Agreement, the Union agrees that it will not strike the Contractor(s)/Employer(s) on said contract for work covered under this Agreement and the Union and the Contractor(s)/Employer(s) agree that the expired Master Agreement shall continue in full force and effect for work covered under this Agreement until a new or modified Master Agreement is reached between the Union and Contractor(s)/Employer(s). If the new or modified Master Agreement reached between the Union and Contractor(s)/Employer(s) provides that any terms of the Master Agreement shall be retroactive, the Contractor(s)/Employer(s) agrees to comply with any retroactive terms of the new or modified Master Agreement which is applicable to employees employed on the Project within seven (7) days after the effective date of the new or modified Master Agreement.
4.1.1. Notification: If the City contends that any Union has violated this Article, it will notify in writing (including email) the Senior Executive of the Council and the Senior Executive of the Union, setting fmth the facts alleged to violate the Article, prior to instituting the expedited arbitration procedure set forth below. The Senior Executive of Council will immediately use his/her best efforts to cause the cessation of any violation of this Atticle. The Senior Executive of the Union will immediately inform the membership of their obligations under this Article. A Union complying with this obligation shall not be held responsible for unauthorized acts of employees it represents.
4.2 Expedited Arbitration: Any party to this Agreement shall institute the following procedure, prior to initiating any other action at law or equity, when a breach of this Article is alleged to have occurred:
(1) A party invoking this procedure shall notify Robert Hirsch, as the pe1manent arbitrator, or, William Riker, as the alternate under this procedure. In the event that the permanent arbitrator is unavailable at any time, the alternate will be contacted. If neither is available, then a selection shall be made f
rom the list of arbitrators in Alticle XII. Notice to the arbitrator shall be 3238-017.ii 7
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by the most expeditious means available, with notices by facsimile, electronic mail or telephone to the party alleged to be in violation, to the City, to the Council and to the involved Local Union if a Union is alleged to be in violation.
(2) Upon receipt of said notice, the City will contact the designated arbitrator named above or his alternate who will attempt to convene a hearing within twenty-four (24) hours if it is contended that the violation still exists. (3) The arbitrator shall notify the parties by facsimile or telephone of the place and time for the hearing. Said hearing shall be completed in one session, which, with appropriate recesses at the arbitrator's discretion, shall not exceed twenty-four (24) hours unless otherwise agreed upon by all parties. A failure of any party to attend said hearings shall not delay the hearing of evidence or the issuance of any award by the arbitrator. (4) The sole issue at the hearing shall be whether or not a violation of Article IV, Section 4.1 of the Agreement has occurred. The arbitrator shall have no authority to consider any matter of justification, explanation or mitigation of such violation or to award damages, which issue is reserved for court proceedings, if any. The award shall be issued in writing within three (3) hours after the close of the hearing, and may be issued without a written opinion. If any party desires a written opinion, one shall be issued within fifteen (15) days, but its issuance shall not delay compliance with or enforcement of the award. The arbitrator may order cessation of the violation of this Article and other appropriate relief and such award shall be served on all parties by hand or registered mail upon issuance.
(5) Such award may be enforced by any Court of competent jurisdiction upon the filing of this Agreement and all other relevant documents referred to above in the following manner. Written notice of the filing of such enforcement proceedings shall be given to the other party. In the proceeding to obtain a temporary order enforcing the arbitrator's award as issued under Section 4.2 of this Article, all parties waive the right to a hearing and agree that such proceedings may be ex-parte. Such agreement does not waive any party's right to participate in a hearing for a final order or enforcement. The Court's order or orders enforcing the arbitrator's award shall be served on all parties by hand or delivered by certified mail. (6) Any rights created by statute or law governing arbitration proceedings inconsistent with the above procedure, or which interfere with compliance, are waived by the parties.
(7) The fees and expenses of the arbitrator shall be divided equally between the party instituting the arbitration proceedings provided in this Article and the party alleged to be in breach of its obligation under this Article.
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ARTICLEV
PRE-CONSTRUCTION CONFERENCE
5.1 The Project Manager shall convene a pre-construction conference to be held at least fourteen (14) days prior to the commencement of each construction phase, at a time and location mutually agreeable to the Council. Such conference shall be attended by a representative each from the participating Contractor(s)/Employer(s) and Union(s) and the Project Manager.
5.2 Review Meetings: In order to ensure the terms of this Agreement are being fulfilled and all concerns pertaining to the City, the Unions, and the Contractors are addressed, the Project Manager, General Contractor and Senior Executive of the Council or designated representatives thereof shall meet on a periodic basis during the term of construction. The City and the Council shall have the right to call a meeting of the appropriate parties to ensure the terms of this Agreement are being fulfilled.
ARTICLE VI
NO DISCRIMINATION
6.1 The Contractor(s)/Employer(s) and Unions agree to comply with all antidiscrimination provisions of federal, state and local law, to protect employees and applicants for employment, on the Project.
ARTICLE VII
UNION SECURITY
7.1 The Contractor(s)/Employer(s) recognize the Union(s) as the sole bargaining representative of all craft employees working within the scope of this Agreement. 7 .2 All employees performing work covered by this Agreement shall, as a condition of employment on or before the eighth (8th) cumulative day of employment on the Project, be responsible for the payment of the applicable periodic working dues and fees uniformly required for union membership in the Local Union that is a signatory to this Agreement for the duration of his or her employment on the Project. Nothing in this Agreement is intended to prevent any nonunion employees from joining the Local Union.
7.3 Authorized representatives of the Unions shall have access to the Project whenever work covered by this Agreement is being, has been, or will be performed on the Project.
ARTICLE VIII
REFERRAL
8.1 Contractor(s)/Employer(s) performing construction work on the Project described in the Agreement shall, in filling craft job requirements, utilize and be bound by the registration facilities and referral systems established or authorized by the Local Unions ("Job Referral System"). Such Job Referral System shall be operated in a non-discriminatory manner and in full compliance with all federal, state, and local laws and regulations, including those which require 3238-017.ii 9
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equal employment opportunities and non-discrimination. The Contractor(s)/Employer(s) shall have the right to reject any applicant referred by the Union(s), in accordance with the applicable Master Agreement.
8.2 The Contractor(s)/Employer(s) shall have the unqualified right to select and hire directly all supervisors above general foreman it considers necessary and desirable, without such persons being referred by the Union(s).
8.3 In the event that referral facilities maintained by the Union(s) are unable to fill the requisition of a Contractor(s)/Employer(s) for employees within a forty-eight (48) hour period (Saturdays, Sundays and Holidays excluded) after such requisition is made by the Contractor(s)/Employer(s), the Contractor(s)/Employer(s) shall be free to obtain work persons from any source. A Contractor who hires any personnel to perform covered work on the Project pursuant to this Section shall immediately provide the appropriate Union with the name and address of such employee(s) and shall immediately refer such employee(s) to the appropriate Union to satisfy the requirements of Article VII of this Agreement.
8.4 Unions will exert their utmost efforts to recruit sufficient numbers of skilled craft persons to fulfill the requirements of the Contractor(s)/Employer(s). Recognizing the special needs of the Project and the acute shortage of skilled craftspeople, the Unions shall consider a Contractor's request to transfer key employees to work on this Project in a manner consistent with the Union's referral procedures.
8.5 The parties to this Agreement support the development of increased numbers of skilled construction workers from the City of Stockton and San Joaquin County. To the extent allowed by law, and consistent with the Local Union's hiring hall provisions, and as long as they possess the requisite skills and qualifications, Local Area Residents, including journeymen and apprentices, shall be referred for Project work covered by this Agreement.
ARTICLE IX
WAGES AND BENEFITS
9 .1 All Contractors/Employers agree to pay contributions to the established vacation, pension and other form of deferred compensation plan, apprenticeship, and health benefit funds established by the applicable Master Agreement for each hour worked on the Project in the amounts designated in the Master Agreements of the appropriate Local Unions.
9.2 By signing this Agreement, the Contractor(s)/Employer(s) adopts and agrees to be bound by the written terms of the legally established Trnst Agreements, as described in section 9 .1, specifying the detailed basis on which payments are to be made into, and benefits paid out of, such Trust Funds established by such appropriate local agreements. The Contractor(s)/Employer(s) authorizes the parties to such local trust agreements to appoint trustees and successor trustees to administer the trust funds and hereby ratify and accept the trustees so appointed as if made by the Contractor(s)/Employer(s).
9.3 Wages, Homs, Terms and Conditions of Employment: The wages, hours and other terms and conditions of employment on the Project shall be governed by the Master Agreement of the respective crafts, copies of which shall be on file with the City to the extent such Master 3238-0l7ii 10
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Agreement is not inconsistent with this Agreement. All employees covered by this Agreement shall be classified and paid in accordance with the classification and wage scales contained in the appropriate local agreements which have been negotiated by the historically recognized bargaining entity and in compliance with the applicable general prevailing wage determination made by the Director of Industrial Relations pursuant to the California Labor Code.
9.4 During the period of construction on this Project, the Contractor(s)/Employer(s) agrees to recognize and put into effect such increases in wages and recognized fringe benefits as shall be negotiated between the various Unions and the historically recognized local bargaining entity on the effective date as set forth in the applicable agreement. The Unions shall notify the Contractor(s)/Employer(s) in writing of the specific increases in wages and recognized fringe benefits and the date on which they become effective.
9.5 Holidays: Holidays shall be in compliance with the applicable Schedule A agreement.
ARTICLEX
EMPLOYEE GRIEVANCE PROCEDURE
10.1 All disputes involving discipline and/or discharge of employees working on the Project shall be resolved through the grievance and arbitration provision contained in the Master Agreement for the craft of the affected employee. No employee working on the Project shall be disciplined or dismissed without just cause.
ARTICLE XI
COMPLIANCE
11.1 It shall be the responsibility of the Contractor(s)/Employer(s) and Unions to investigate and monitor compliance with the provisions of the Agreement contained in Article IX.
Nothing in this agreement shall be construed to interlere with or supersede the usual and customary legal remedies available to the Unions and/or employee benefit Trust Funds to collect delinquent Trust Fund contributions from Employers on the Project. The City shall monitor and enforce compliance with the prevailing wage requirements of the state and Contractors1 /Employers1
compliance with this Agreement.
ARTICLE XII
GRIEVANCE ARBITRATION PROCEDURE
12. l The parties understand and agree that in the event any dispute arises out of the meaning, interpretation or application of the provisions of this Agreement, the same shall be settled by means of the procedures set out herein. No grievance shall be recognized unless the grieving party (Local Union or City on its own behalf, or on behalf of an employee whom it represents, or a contractor on its own behalf) provides notice in writing to the signatory party with whom it has a dispute within five (5) days after becoming aware of the dispute but in no event more than thirty (30) days after it reasonably should have become aware of the event giving rise to the dispute. The time limits in this Section 12.1 may be extended by mutual written agreement of the parties.
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\
12.2 Grievances shall be settled according to the following procedures:
Step 1: Within five (5) business days after the receipt of the written notice of the grievance, the Business Representative of the involved Local Union or City, or his/her designee, or the representative of the employee, and the representative of the involved Contractor(s)/Employer(s) shall confer and attempt to resolve the grievance.
Step 2: In the event that the representatives are unable to resolve the dispute within the five (5) business days after the meeting to resolve the dispute in Step 1, the International Union Representative and the Contractor(s)/Employer(s) involved shall meet within seven (7) working days of the referral of the dispute to this second step to arrive at a satisfactory settlement thereof. Meeting minutes shall be kept by the Contractor. In the event that these representatives are unable to resolve the dispute after its referral to Step 2, either involved party may submit it within three (3) business days to the Grievance Committee, which shall meet within five (5) business days after such referral (or such longer time as is mutually agreed upon by all representatives on the Grievance Committee), to confer in an attempt to resolve the grievance. The Grievance Committee shall be comprised of two (2) representatives of the City; and one (1) representative of the Project Manager, and three (3) representatives of the San Joaquin Building & Construction Trades Council. If the dispute is not resolved within such time (five (5) business days after its referral or such longer time as mutually agreed upon) it may be referred within five (5) business days by either party to Step 3.
Step 3: If the grievance is not settled in Step 2 within five (5) business days, either party may request the dispute be submitted to arbitration or the time may be extended by mutual consent of both parties. Within five (5) business days after referral of a dispute to Step 3, the representatives shall choose a mutually agreed upon arbitrator for final and binding arbitration. If the parties are unable to agree on an arbitrator, an arbitrator shall be selected by the alternate striking method from the list of five (5) below. The order of striking names from the list of arbitrators shall be determined by a coin toss, the winner of which shall decide whether they wish to strike first or second. If any of the arbitrators listed below or in Article 4 is no longer working as a labor arbitrator at the time of selection, the City and the Council shall mutually agree to a replacement. In addition, the City and the Council may mutually agree to add additional arbitrators to those listed below.
1. William Riker
2. BarryWinogard
3. Thomas Angelo
4. Robert Hirsch
5. William Engler
12.3 The Arbitrator shall arrange for a hearing on the earliest available date from the date of his/her selection. A decision shall be given to the parties within five (5) calendar days after completion of the hearing unless such time is extended by mutual agreement. A written opinion may be requested by a party from the presiding arbitrator. The decision of the Arbitrator shall be 3238-0l?jj 12
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final and binding on all parties. The Arbitrator shall have no authority to change, amend, add to or detract from any of the provisions of the Agreement. The expense of the Arbitrator shall be borne equally by both parties.
12.4 The time limits specified in any step of the Grievance Procedure set forth in Section
12.2 may be extended by mutual agreement of the parties initiated by the written request of one party to the other, at the appropriate step of the Grievance Procedure. However, failme to process a grievance, or failure to respond in writing within the time limits provided above, without an agreed upon extension of time, shall be deemed a waiver of such grievance without prejudice, or without precedent to the processing of and/or resolution of like or similar grievances or disputes. In order to encourage the resolution of disputes and grievances at Steps 1 and 2 of this Grievance Procedure, the parties agree that such settlements shall not be precedent setting.
ARTICLEXID
WORK ASSIGNMENTS AND JURISDICTIONAL DISPUTES
13 .1 The assignment of Covered Work will be solely the responsibility of the Employer performing the work involved; and such work assignments will be in accordance with the Plan for the Settlement of the Jurisdictional Disputes in the Construction Industry (the 11Plan11) or any successor Plan.
13 .2 All jurisdictional disputes on this Project between or among the building and construction trades Unions and the Employers parties to this Agreement, shall be settled and adjusted according to the present Plan established by the Building and Construction Trades Department or any other plan or method of procedure that may be adopted in the future by the Building and Construction Trades Department. Decisions rendered shall be final, binding and conclusive on the Employers and Unions parties to this Agreement.
13.3 If a dispute arising under this Article involves the Northern California Carpenters Regional Council or any of its subordinate bodies, an Arbitrator shall be chosen by the procedures specified in Article V, Section 5, of the Plan from a list composed of John Kagel, Thomas Angelo, Robert Hirsch, and Thomas Pagan, and the Arbitrator's hearing on the dispute shall be held at the offices of the California State Building and Construction Trades Council in Sacramento, California within fourteen (14) days of the selection of the Arbitrator. All other procedures shall be as specified in the Plan.
13 .4 All jmisdictional disputes shall be resolved without the occurrence of any strike, work stoppage, or slow-down of any nature and the Employer's assignment shall be adhered to until the dispute is resolved. Individual employees violating this section shall be subject to immediate discharge. Each Employer will conduct a pre-job conference with the Council prior to commencing work. The Project Manager and City will be advised in advance of all such conferences and may participate if they wish. Pre-job conferences for different Employers may be held together.
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ARTICLE XIV MANAGEMENT
RIGHTS
14.1 The Contractor(s)/Employer(s) shall retain full and, exclusive authority for the management of their operations, including the right to direct their workforce in their sole discretion. Except as provided by Section 2.3 and by the lawful manning provisions in the applicable Master Agreement, no rules, customs or practices shall be permitted or observed which limit or restrict production, or limit or restrict the working efforts of employees.
ARTICLE XV
HELMETS TO HARDHATS
15.1 The Contractor(s)/Employer(s) and the Unions recognize a desire to facilitate the entry into the building and constmction trades of veterans and members of the National Guard and Reserves who are interested in careers in the building and construction industry. The Contractor(s)/Employer(s) and Unions agree to utilize the services of the Center for Military Recruitment, Assessment and Veterans Employment (hereinafter "Center), a joint LaborManag�ment Cooperation Trust Fund, established under the authority of Section 6(b) of the Labor-Management Cooperation Act of 1978, 29 U.S.C. Section 175(a), and Section 302(c)(9) of the Labor-Management Relations Act, 29 U.S.C. Section 186(c)(9), and a charitable tax exempt organization under Section 501(c)(3) of the Internal Revenue Code, and the Center's "Helmets to Hardhats" program to serve as a resource for preliminary orientation, assessment of construction aptitude, referral to apprenticeship programs or hiring halls, counseling and mentoring, support network, employment opportunities and other needs as identified by the parties.
15.2 The Unions and Contractor(s)/Employer(s) agree to coordinate with the Center to participate in an integrated database of veterans and members of the National Guard and Reserves interested in working on the Project and of apprenticeship and employment opportunities for this Project. To the extent permitted by law, the Unions will give credit to such veterans for bona fide, provable past experience.
15.3 Nothing in this Article shall be interpreted to preclude any Contractor(s)/Employer(s) that is not signatory to a Master Agreement to utilize an alternative plan or program for recruiting, training and facilitating construction industry employment opportunities for militaiy veterans and members of the National Guard and Reserves. Before utilizing such alternative program on the Project, such Contractor(s)/Employer(s) shall provide the City with a description of such plan or program.
ARTICLE XVI
DRUG & ALCOHOL TESTING
16.1 The use, sale> transfer, purchase and/or possession of a controlled substance, alcohol and/or firearms at any time during the work day is prohibited.
16.2 The Parties agree to recognize and use the Substance Abuse Program contained in each applicable Union's Schedule A
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ARTICLE XVII
TERM SAVINGS CLAUSE
17 .1 The parties agree that in the event any article, provision, clause, sentence or word of the Agreement is determined to be illegal or void as being in contravention of any applicable law, by a court of competent jurisdiction, the remainder of the Agreement shall remain in full force and effect. The parties further agree that if any article, provision, clause, sentence or word of the Agreement is determined to be illegal or void, by a court of competent jurisdiction, the parties shall substitute, by mutual agreement, in its place and stead, an article, provision, clause, sentence or word which will meet the objections to its validity and which will be in accordance with the intent and purpose of the article, provision, clause, sentence or work in question. 17 .2 The parties also agree that in the event that a decision of a court of competent jurisdiction materially alters the terms of the Agreement such that the intent of the parties is defeated, then the entire Agreement shall be null and void.
17.3 If a court of competent jurisdiction determines that all or part of the Agreement is invalid and/or enjoins the City from complying with all or part of its provisions and the City accordingly determines that the Agreement will not be required as part of an award to a Contractor(s)/Employer(s), the unions will no longer be bound by the provisions of Article N.
ARTICLE XVIII
LOCAL HIRE, PRIORITY APPRENCTICE AND WORKFORCE
DEVELOPMENT PROGRAM
18.1 The objective of the City in creating this Local Hire, Priority Apprentice and Workforce Development Program is to enhance and encourage employment opportunities for Stockton residents and to enable effective construction career pathways for Local Area Residents through California State approved Joint Apprenticeship Programs. To that end, as part of the Agreement, the City establishes goals for the hiring, training and retention of Local Area Residents.
18.2 Local Hire. The City establishes the following Local Hire goals and commitments:
18.2.1 The parties agree to make a good faith effort to refer on a priority basis, consistent with the non-discriminatory refenal procedures of the applicable Union, qualified and available, Local Area Residents for Project work. The parties agree to a goal that Stockton residents shall perfo1m a minimum of 50% of the hours worked on the Project by the Contractors' total construction workforce. In the event that a sufficient number of Stockton residents are not available to fulfill the 50% local hire requirement, the next tier of residents shall come from anywhere in San Joaquin County. The Contractor(s) shall make good faith efforts to reach this goal through the utilization of the Unions' hiring hall procedures. The Unions shall exercise their best efforts in their recruiting and training of Stockton resident workers and in utilizing their hiring hall procedures to facilitate this 50% goal.
18.2.2 The parties also recognize and support the City's commitment to provide opportunities for participation on the Project to Stockton businesses through the City's Local Business Preference Ordinance. In furtherance of this commitment, the patties agree that such 323B-017ii 15
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Stockton contractors and subcontractors awarded work on the Project may request by name, and the Local Union will honor, referral of persons who have applied to the Local Union for Project work, and who demonstrate the following qualifications:
performed;
(1) possess any license required by state or federal law for the Project work to be (2) have worked a total of at least two thousand (2,000) hours in the construction craft during the prior two (2) years;
(3) were on the Contractor's active payroll for at least ninety (90) out of the one hundred and twenty (120) calendar days prior to the contract award; and
(4) have the ability to perform safely the basic functions of the applicable trade; (5) are Stockton residents.
The Union will refer to such Contractor one journeyman employee from the hiring hall out-of-work list for the affected trade or craft, and will then refer one of such Contractor's "core" employees as a journeyman and shall repeat the process, one and one, until such Contractor's crew requirements are met or until such Contractor has hired five (5) "core" employees, whichever occurs first. Thereafter, all additional employees in the affected trade or craft shall be hired exclusively from the hiring hall out-of-work list(s). For the duration of the Contractor's work, the ratio shall be maintained and when the Contractor's workforce is reduced, employees shall be reduced in the same ratio of core employees to hiring hall referrals as was applied in the initial hiring.
18.2.3 The Contractor shall notify the appropriate Union of the name and social security number of each direct hire and each direct hire shall register with the Union's hiring hall and comply with Article VII before commencing Project work. If there is any question regarding an employee's eligibility under Section 18.2, the City, at a Union's request, shall obtain satisfactory proof of such from the Contractor.
18.3 Priority Apprenticeship and Workforce Development
18.3.1 Recognizing the need to develop adequate numbers of competent workers in the construction industry, the Contractor(s)/Employer(s) shall employ apprentices of a California State approved Joint Apprenticeship Program in the respective crafts to perform such work as is within their capabilities and which is customarily pe1formed by the craft in which they are indentured. The apprentice ratios will be in compliance with the applicable provisions of the California Labor Code and Prevailing Wage Rate Determination.
18.3.2 The parties agree to a goal that 50% of apprentices employed on the Project shall be residents of the City of Stockton or other Local Area Residents. In achieving this goal, atrisk youth who reside in the following zip codes within the City of Stockton, shall be given priority in the apprenticeship recruitment process: 95202, 95203> 95204, 95205, and 95206. If sufficient numbers of Stockton residents are not available, then a good faith effort will be made by the Unions to utilize residents of San Joaquin County. All apprentices refe1Ted to Contractors under this 3238-017ii 16
EXHIBIT D Page 45 of 54 EXHIBIT 1 321
Agreement shall be enrolled in State of California approved Joint Apprenticeship Programs. Subject to any legal restrictions, the patties agree to a goal that apprentices will perform twenty percent (20%) of the total craft hours worked on the Project unless an applicable Master Agreement provides for a greater percentage. The Unions agree to cooperate with the Contractors in furnishing apprentices as requested and they shall be properly supervised and paid in accordance with the provisions of the applicable Master Agreement.
18.3.3 The Contractors and Unions shall make good faith efforts to reach the apprenticeship goals set forth in this Section 18.3 through the utilization of normal hiring hall and apprentice procedures and, when appropriate, the identification of potentially qualified apprentices through community-based organizations working in collaboration with the apprentice programs.
The Unions ai·e committed to working with the Contractors and community based organizations to achieve these goals. At least annually, the Unions and the City will each conduct a Community Career Fair to provide at-risk youth, veterans and others an opportunity to learn about each craft and the process for entering their apprenticeship program.
18.4 Good Faith Efforts. A Contractor or subcontractor must take the following good faith steps to demonstrate that it has made every effort to reach the Local Hire, Priority Apprenticeship and Workforce Development Program goals of the City. The Contractor or subcontractor shall attend scheduled Pre-Job meetings held under this Agreement and shall submit written workforce projections and projected work hours on a craft-by-craft basis.
18.4.1 Within seven (7) calendar days after Notice to Proceed, the Contractor or subcontractor shall meet with the Unions and the City to present its plan for reaching the Local Hire, Priority Apprenticeship and Workforce Development Program goals.
18.4.2 The Conh·actor or subcontractor shall notify the Project Manager of the City by U.S. Mail or electronic mail if a Union hiring hall cannot, upon request by the Contractor or subcontractor, dispatch Local Area Residents to the Project. It shall be the responsibility of the Contractor or subcontractor to retain all evidence of such good faith efforts.
18.4.3 The Contractor or subcontractor may use the "Name Call", "Rehire" or other available hir
ing hall procedures to reach the goals of this Article XVill.
18.5 Enforcement, Compliance and Reporting
18.5.1 Contractors will be required to submit Ce1tified Weekly Payrolls to the City along with monthly workforce utilization reports documenting the Contractor's compliance with the requirements described in this Article. At a minimum, the monthly reports must include: 1) data on Stockton and Local Area Residents work hour utilization on the Project and Local Area Residents; and 2) documentation showing any requests made to the Union dispatchers for Stockton residents and the Union's response to the request.
18. 5 .2 The City staff shall monitor the operation of the Local Hire, Priority Apprenticeship ai1d Workforce Development Program and shall consider allegations of noncompliance with the goals stated in this Article. If there is a determination by the City that a Contractor or subconh·actor has not complied with the goals or demonstrated good faith efforts to 3238-017.ii 17
EXHIBIT D Page 46 of 54 EXHIBIT 1 322
do so, the City and the Contractor or subcontractor shall meet and confer in order to identify necessary actions to resolve the issue and ensure a good faith effort to achieve the objectives of this Article.
18.5 ,3 For any Project subject to this Agreement, the Local Hire, Priority Apprentice and Workforce Development Program requirements of this Article shall apply in lieu of the requirements of Stockton Municipal Code Section 3 ,68.095 and no separate compliance with Section 3,68.095 will be required of the Contractors/Employers working on the Project.
ARTICLE
XIXIEBM
19.1 This Agreement shall become effective 30 days after the day the City Council talces action to authorize its execution, and it shall continue in full force and effect for a period of three (3) years, at which time this Agreement may be considered for extension or renewal. The terms of this Agreement shall apply to any Project that is bid or solicited after the effective date and before the expiration of this Agreement. The Agreement shall continue to apply to any Project subject to this Agreement until the completion of all Covered Work on the Project.
CITY OF STOCKTON
Name:
J
KURT
v------
0, WILSON
Title: CITY MANAGER
::m DANIEL CARDOZO
Date: 15(1- •t/!b
.4.-rpt� �, e ,1 ft(Z _,,,N 'J'O � II IN fS 1'(. : Title:V _l,._;LJV,___• '-=-'"---II.' _____ 'I_ SAN JOAQUIN BUILDING AND CONSTRUCTION TRADES COUNCIL, AFLCIO COUNCIL Date: --------
Name:
Title:
32J8-017jj 21
EXHIBIT D Page 47 of 54 EXHIBIT 1 323
do so, the City and the Contractor or subcontractor shall meet and confer in order to identify necessary actions to resolve the issue and ensure a good faith effort to achieve the objectives of this Article.
18.5.3 For any Project subject to this Agreement, the Local Hire, Priority Apprentice and Workforce Development Program requirements of this Article shall apply in lieu of the requirements of Stockton Municipal Code Section 3.68.095 and no separate compliance with Section 3.68.095 will be required of the Contractors/Employers working on the Project.
ARTICLE
XI.XTERM
19.1 This Agreement shall become effective 30 days after the day the City Council talces action to authorize its execution, and it shall continue in full force and effect for a period of three (3) years, at which time this Agreement may be considered for extension or renewal. The terms of this Agreement shall apply to any Project that is bid or solicited after the effective date and before the expiration of this Agreement. The Agreement shaU continue to apply to any Project subject to this Agreement until the completion of all Covered Work on the Project.
CITY OF STOCKTON
Name: KURT 0. WILSON
Title: CITY MANAGER
ATTEST:
By: ---------
BONNIE PAIGE, CITY CLERK
APPROVED AS TO FORM
By: ---------
DANIEL CARDOZO
Date:
APPROVED AS TO FROM
By: --------
JOHN M. LUEBBERKE
CITY ATTORNEY
Title: --------
SAN JOAQUIN BUILDING AND CONSTRUCTION TRADES COUNCIL, AFLCIO COUNCIL (� '1:. .!;#..4:., �"""-r Date: 'fS/8.'1//(p
k� v t�
Title: �c.•c .. :\-cvrvr / 1"'<�<:.I,) r-e,r
J238-0l7jj u 21
EXHIBIT D Page 48 of 54 EXHIBIT 1 324
llJN][l())NS Chu:JtP. d?Mdk
Electrica� 'r/orkers # 595. �k,. Sheet Metal Workers # l 04 . arpenters Regional Co-uncil on behalf qf itself and its
��
Boilermakers �� # 549
LaborYsfu �-- Teamsters #439
3138-0 I 7jJ 19
EXHIBIT D Page 49 of 54 EXHIBIT 1 325
Addendum A
CITY OF STOCKTON COMMUNITY WORKFORCE AND TRAINING AGREEMENT
AGREEMENT TO BE BOUND
The undersigned, as a Contractor or Subcontractor, including construction material trucking company/entity, (CONTRACTOR) on the City of Stockton Project, (hereinafter PROJECT), for and in consideration of the award to it of a contract to perform work on said PROJECT, and in further consideration of the mutual promises made in this Community Workforce and Training Agreement (hereinafter AGREEMENT), a copy of which was received and is acknowledged, hereby:
(1) Accepts and agrees to be bound by the terms and conditions of the AGREEMENT for this Project, together with any and all amendments and supplements now existing or which are later made thereto:
(2) The CONTRACTOR agrees to be bound by the legally established local trust agreements designated in the applicable Schedule A as set forth in A.tiicle N of this AGREEMENT.
(3) The CONTRACTOR authorizes the pmiies to such local trust agreements to appoint trustees and successor trustees to administer the trust funds and hereby ratifies and accepts the trustees so appointed as if made by the CONTRACTOR; (4) Certifies that it has no commitments or agreements which would preclude its full and complete compliance with the terms and conditions of said AGREEMENT. (5) Agrees to secure from any CONTRACTOR(S) (as defined in said AGREEMENT) which is or becomes a subcontractor ( of any tier) to it, a duly executed Agreement to be Bound in form identical to this document.
(6) This Agreement to be Bound constitutes a subscription agreement to the extent of its terms. However, the undersigned agrees to execute a separate SubscriptionAgreement(s) or contributing employer agreement for Trust Funds when such Trust Fund(s) requires such document( s ).
Date: --------- N mne of Contractor
(Name of Contractor Representative)
(Authorized Officer & Title)
CSLB # of Motor Carrier Permit
3238-0l?jj 20
EXHIBIT D Page 50 of 54 EXHIBIT 1 326
BOND FOR FAITHFUL PERFORMANCE
KNOW ALL MEN BY THESE PRESENTS:
That we, CWS CONSTRUCTION GROUP, INC., a STATE OF CA
CORPORATION, as Principal and ________, a
corporation, organized and existing under the laws of the State of ______ and duly authorized to transact business under the laws of the State of California, as Surety, are held and firmly bound unto the City of Stockton, a municipal corporation, duly created and existing under and by virtue of the laws of the State of California, as obligee, in the just and full sum of SEVEN MILLION THREE HUNDRED FIFTY-FIVE THOUSAND AND NO/100 DOLLARS ($7,355,000.00), in lawful money of the United States of America (being 100% of the contract price) for the payment whereof well and truly to be made to the said CITY, the said Principal and Surety bind themselves, their successors and assigns, jointly and severally, firmly by these presents.
The condition of the foregoing obligation is such that the above bounded Principal has simultaneously entered into a contract with the CITY, to do and perform the following work, to wit:
AQUATIC FACILITIES RENOVATIONS - VICTORY PARK POOL
(PROJECT NO. CR18020)
NOW, THEREFORE, if the above bounded Principal, CONTRACTOR, Company or
Corporation or its subcontractor, shall well and truly perform the work contracted to be done under said contract, then this obligation to be null and void; otherwise to remain in full force and effect.
No prepayment or delay in payment and no change, extension, addition or alteration of any provision of said contract, or in said plans or specifications agreed to between the said CONTRACTOR and the said CITY, and no forbearance on the part of the said CITY shall operate to relieve any Surety or Sureties from liability on this bond, and consent by said Surety is hereby given, and the said Surety hereby waives the provisions of Sections 2819 and 2845 of the Civil Code of the State of California. 3