Agenda — Tracy City Council, March 7, 2023 (part 6 of 6)

EXHIBIT A

FORM OF 2023 BOND

No. __ ***$______***

UNITED STATES OF AMERICA

STATE OF CALIFORNIA

COUNTY OF SAN JOAQUIN

IMPROVEMENT AREA NO. 3 OF THE

CITY OF TRACY
Community Facilities District No. 2016-2
(ECFD)
Special Tax Bond, Series 2023

INTEREST RATE MATURITY DATE DATED DATE

____% September 1, ______ ______, 2023

REGISTERED OWNER:

PRINCIPAL AMOUNT: *********DOLLARS

The City of Tracy (the “City”) for and on behalf of the "City of Tracy Community Facilities District No. 2016-2 (ECFD)" (the “CFD”) with respect to its “ Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD)" (“Improvement Area No. 3”), for value received, hereby promises to pay solely from the Special Tax Revenues (as defined in the Agreement, as hereinafter defined) to be collected in Improvement Area No. 3 or amounts in certain funds and accounts held under the Agreement (as hereinafter defined), to the registered owner named above, or registered assigns, on the maturity date set forth above, unless redeemed prior thereto as hereinafter provided, the principal amount set forth above, and to pay interest on such principal amount from the Dated Date set forth above, or from the most recent Interest Payment Date (as hereinafter defined) to which interest has been paid or duly provided for (unless this Bond is authenticated on or before an Interest Payment Date and after the close of business on the Record Date preceding such Interest Payment Date, in which event it shall bear interest from such Interest Payment Date, or unless this Bond is authenticated on or prior to August 15, 2023, in which event it shall bear interest from the Dated Date identified above, payable semiannually on each September 1 and March 1, commencing September 1, 2023 (each an “Interest Payment Date”), at the interest rate set forth above, until the principal amount hereof is paid or made available for payment provided, however, that if at the time of authentication of this Bond, interest is in default on this Bond, this Bond shall bear interest from the Interest Payment Date to which interest has previously been paid or made available for payment.

Principal of and interest on the Bonds (including the final interest payment upon maturity or earlier redemption), is payable on the applicable Interest Payment Date by check of the Fiscal Agent (defined below) mailed by first class mail to the registered Owner thereof at such registered Owner's address as it appears on the registration books maintained by the Fiscal Agent at the close of business on the Record Date preceding the Interest Payment Date, or by wire transfer Exhibit A

Page 2 ends

made on such Interest Payment Date upon written instructions of any Owner of $1,000,000 or more in aggregate principal amount of Bonds delivered to the Fiscal Agent prior to the applicable Record Date. The principal of the Bonds and any premium on the Bonds are payable in lawful money of the United States of America upon surrender of the Bonds at the Principal Office of the Fiscal Agent or such other place as designated by the Fiscal Agent.

This Bond is one of a duly authorized issue of bonds in the aggregate principal amount of $___________ approved by resolution of the City Council adopted on ______, 2023 (the “Resolution”), under the Mello- Roos Community Facilities Act of 1982, as amended, sections 53311, et seq., of the California Government Code (the “Act”) for the purpose of funding certain facilities for the City , and is one of the series of bonds designated “Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) Special Tax Bonds, Series 2023” (the “Bonds”). The issuance of the Bonds and the terms and conditions thereof are provided for by a Fiscal Agent Agreement, dated as of April 1, 2023 (the “Agreement”), between the City and U.S. Bank Trust Company, National Association (the “Fiscal Agent”) and this reference incorporates the Agreement herein, and by acceptance hereof the owner of this Bond assents to said terms and conditions. The Agreement is authorized under, this Bond is issued under and both are to be construed in accordance with, the laws of the State of California.

Pursuant to the Act, the Resolution and the Agreement, the principal of and interest on this Bond are payable solely from the annual special tax authorized under the Act to be collected within Improvement Area No. 3 (the “Special Tax”) and certain funds held under the Agreement.

Any tax for the payment hereof shall be limited to the Special Tax, except to the extent that provision for payment has been made by the City, as may be permitted by law. The Bonds do not constitute obligations of the City for which the City is obligated to levy or pledge, or has levied or pledged, general or special taxation other than described hereinabove. Neither the faith and credit nor the taxing power of the City (except to the limited extent set forth in the Agreement) or the State of California or any political subdivision thereof is pledged to the payment of the Bonds.

Optional Redemption. The Bonds maturing on or after September 1, 20__, are subject to optional redemption as directed by the City, from sources of funds other than prepayments of Special Taxes, prior to their stated maturity on any date on or after September 1, 20__, as a whole or in part, at a redemption price (expressed as a percentage of the principal amount of the Bonds to be redeemed), as set forth below, together with accrued interest thereon to the date fixed for redemption:

Redemption Dates
Redemption
Price
September 1, 20__ through August 31, 202__ %
September 1, 20__ through August 31, 20__
September 1, 20__ through August 31, 20__
September 1, 20__ and any date thereafter

Exhibit A

Page 3 ends

Mandatory Sinking Fund Redemption. The Term Bond maturing on September 1, 20__, is subject to mandatory redemption in part by lot, from sinking fund payments made by the City from the Bond Fund, at a redemption price equal to the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts al l as set forth in the following table:

Sinking Fund
Redemption Date
(September 1)

Sinking Fund
Payments
20__ $
20__
20__
20__
20__ (maturity)

The Term Bond maturing on September 1, 20__, is subject to mandatory redemption in part by lot, from sinking fund payments made by the City from the Bond Fund, at a redemption price equal to the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts all as set forth in the following table:

Sinking Fund
Redemption Date
(September 1)

Sinking Fund
Payments
20__ $
20__
20__
20__
20__ (maturity)

Sinking Fund
Redemption Date
(September 1)

Sinking Fund
Payments
20__ $
20__
20__
20__
20__ (maturity)

The Term Bond maturing on September 1, 20__, is subject to mandatory redemption in part by lot, from sinking fund payments made by the City from the Bond Exhibit A

Page 4 ends

Fund, at a redemption price equal to the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts all as set forth in the following table:

Sinking Fund
Redemption Date
(September 1)

Sinking Fund
Payments
20__ $
20__
20__
20__
20__ (maturity)

Provided, however, if some but not all of the Term Bonds of a given maturity have been redeemed as a result of an optional redemption or a redemption from Special Tax Prepayments, the total amount of all future Sinking Fund Payments relating to such maturity shall be reduced by the aggregate principal amount of Term Bonds of such maturity so redeemed, to be allocated among such Sinking Fund Payments on a pro rata basis in integral multiples of $5,000 as determined by the City, notice of which determination shall be given by the City to the Fiscal Agent.

Redemption From Special Tax Prepayments . Special Tax Prepayments and any corresponding transfers from the 2023 Reserve Fund shall be used to redeem Bonds on the next Interest Payment Date for which notice of redemption can timely be given under the Fiscal Agent Agreement, among maturities so as to maintain substantially the same Debt Service profile for the Bonds as in effect prior to such redemption and by lot within a maturity, at a redemption price (expressed as a percentage of the principal amount of the Bonds to be redeemed), as set forth below, together with accrued interest to the date fixed for redemption:

Redemption Dates
Redemption
Price
Any Interest Payment Date on or before March 1, 20__ %
September 1, 20__ and March 1, 20__
September 1, 20__ and March 1, 20__
September 1, 20__ and any Interest Payment Date thereafter

Notice of redemption with respect to the Bonds to be redeemed shall be given to the registered owners thereof, in the manner, to the extent and subject to the provisions of the Agreement.

This Bond shall be registered in the name of the owner hereof, as to both principal and interest. Each registration and transfer of registration of this Bond shall be entered by the Fiscal Agent in books kept by it for this purpose and authenticated by its manual signature upon the certificate of authentication endorsed hereon.

No transfer or exchange hereof shall be valid for any purpose unless made by the registered owner, by execution of the form of assignment endorsed hereon, and authenticated as herein provided, and the principal hereof, interest hereon and any redemption premium shall be Exhibit A

Page 5 ends

payable only to the registered owner or to such owner’s order. The Fiscal Agent shall require the registered owner requesting transfer or exchange to pay any tax or other governmental charge required to be paid with respect to such transfer or exchange. No transfer or exchange hereof shall be required to be made (i) fifteen days prior to the date established by the Fiscal Agent for selection of Bonds for redemption or (ii) with respect to a Bond after such Bond has been selected for redemption.

The Agreement and the rights and obligations of the City thereunder may be modified or amended as set forth therein. The principal of the Bonds is not subject to acceleration upon a default under the Agreement or any other document.

This Bond shall not become valid or obligatory for any purpose until the certificate of authentication and registration hereon endorsed shall have been dated and signed by the Fiscal Agent.

IT IS HEREBY CERTIFIED, RECITED AND DECLARED by the City that all acts, conditions and things required by law to exist, happen and be performed precedent to and in the issuance of this Bond have existed, happened and been performed in due time, form and manner as required by law, and that the amount of this Bond, together with all other indebtedness of the City, does not exceed any debt limit prescribed by the laws or Constitution of the State of California.

Unless this Bond is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to the Fiscal Agent for registration of transfer, exchange, or payment, and any Bond issued is registered in the name of Cede & Co. or in such other name as is requested by an authorized representative of DTC (and any payment is made to Cede & Co. or to such other entity as is requested by an authorized representative of DTC),

ANY TRANSFER, PLEDGE, OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL inasmuch as the registered owner hereof, Cede & Co., has an interest herein.

Exhibit A

Page 6 ends

IN WITNESS WHEREOF, City of Tracy has caused this Bond to be to be signed by the facsimile signature of its Mayor and countersigned by the facsimile signature of the City Clerk.

[S E A L]

City Clerk Mayor

[FORM OF FISCAL AGENT’S CERTIFICATE OF AUTHENTICATION AND REGISTRATION]

This is one of the Bonds described in the Agreement which has been authenticated on ________, 2023

U.S. BANK TRUST COMPANY, NATIONAL

ASSOCIATION,
as Fiscal Agent

By:

Authorized Signatory
Exhibit A

Page 7 ends

FORM OF ASSIGNMENT

For value received, the undersigned do(es) hereby sell, assign and transfer unto

(Name, Address and Tax Identification or Social Security Number of Assignee)

the within Bond and do(es) hereby irrevocably constitute and appoint , attorney, to transfer the same on the registration books of the Fiscal Agent, with full power of substitution in the premises.

Dated:

Signature Guaranteed:

NOTICE: Signature(s) must be guaranteed
by an eligible guarantor.

NOTICE: Signature guarantee shall be made
by a guarantor institution participating in the
Securities Transfer Agents Medallion
Program or in such other guarantee program
acceptable to the Fiscal Agent
Exhibit B

Page 1 ends

EXHIBIT B

IMPROVEMENT AREA NO. 3 OF THE

CITY OF TRACY
Community Facilities District No. 2016-2
(ECFD)
Special Tax Bonds, Series 2023

OFFICER’S CERTIFICATE REQUESTING DISBURSEMENT FROM IMPROVEMENT FUND

REQUISITION NO. _____

The undersigned hereby states and certifies that:

(i) I am the duly appointed, qualified and acting Finance Director of the City of Tracy, a general law city duly organized and existing under the laws of the State of California (the “City”) and as such, am familiar with the facts herein certified and am authorized to certify the same;

(ii) I am an “Authorized Officer,” as such term is defined in that certain Fiscal Agent Agreement, dated as of April 1, 2023 (the “Fiscal Agent Agreement”), by and between the City and U.S. Bank Trust Company, National Association, as fiscal agent (the “Fiscal Agent”);

(iii) under Section 4.07(B) of the Fiscal Agent Agreement, the undersigned hereby requests and authorizes the Fiscal Agent to disburse from the Bond Proceeds Account established under the Fiscal Agent Agreement to each payee designated on Schedule A attached hereto and by this reference incorporated herein, the amount set forth opposite such payee, for payment or reimbursement of previous payment of a Project cost (as Project is defined in the Fiscal Agent Agreement) as described on attached Schedule A;

(iv) under Section 4.07(B) of the Fiscal Agent Agreement, the undersigned hereby requests and authorizes the Fiscal Agent to disburse from the Remainder Taxes Account established under the Fiscal Agent Agreement to each payee designated on Schedule A attached hereto and by this reference incorporated herein, the amount set forth opposite such payee, for payment or reimbursement of previous payment of a Project cost (as Project is defined in the Fiscal Agent Agreement) as described on attached Schedule A;

(v) under Section 4.07(B) of the Fiscal Agent Agreement, the undersigned hereby requests and authorizes the Fiscal Agent to transfer $_____ from the Remainder Taxes Account established under the Fiscal Agent Agreement to [the Bond Fund] [the Administrative Expense Fund] [the 2023 Reserve Fund];

(vi) the disbursements described on the attached Schedule A are properly chargeable to the Improvement Fund; and

(vii) no portion of the amount herein requested to be disbursed was set forth in any Officers Certificate previously filed requesting disbursement.

Exhibit B

Page 2 ends

Dated:

CITY OF TRACY

By:

Finance Director
Exhibit B

Page 3 ends

SCHEDULE A

Payee Name and
Address

Purpose of Obligation

Amount
Account from which
Amounts should be
paid

Exhibit C

Page 1 ends

EXHIBIT C

IMPROVEMENT AREA NO. 3 OF THE

CITY OF TRACY
Community Facilities District No. 2016-2 (ECFD)
Special Tax Bonds, Series 2023

OFFICER’S CERTIFICATE REQUESTING DISBURSEMENT

FROM COSTS OF ISSUANCE FUND

REQUISITION NO. _____

The undersigned hereby states and certifies that:

(iii) under Section 4.02(B) of the Fiscal Agent Agreement, the undersigned hereby requests and authorizes the Fiscal Agent to disburse from the Costs of Issuance Fund established under the Fiscal Agent Agreement to each payee designated on Schedule A attached hereto and by this reference incorporated herein, the amount set forth opposite such payee, for payment or reimbursement of previous payment of Costs of Issuance (as that term is defined in the Fiscal Agent Agreement) as described on attached Schedule A; and

(iv) the disbursements described on the attached Schedule A constitute Costs of Issuance, and are properly chargeable to the Costs of Issuance Fund.

Dated:

CITY OF TRACY

By:

Finance Director
Exhibit C

Page 2 ends

SCHEDULE A

Payee Name and Address Purpose of Obligation Amount
Exhibit D

Page 1 ends

EXHIBIT D

IMPROVEMENT AREA NO. 3 OF THE

CITY OF TRACY
Community Facilities District No. 2016-2 (ECFD)
Special Tax Bonds, Series 2023

OFFICER’S CERTIFICATE REQUESTING DISBURSEMENT

FROM ADMINISTRATIVE EXPENSE FUND

REQUISITION NO. _____

The undersigned hereby states and certifies that:

(iii) under Section 4.06(B) of the Fiscal Agent Agreement, the undersigned hereby requests and authorizes the Fiscal Agent to disburse from the Administrative Expense Fund established under the Fiscal Agent Agreement to each payee designated on Schedule A attached hereto and by this reference incorporated herein, the amount set forth opposite such payee, for payment or reimbursement of previous payment of an Administrative Expense or Costs of Issuance (as those terms are defined in the Fiscal Agent Agreement) as described on attached Schedule A;

(iv) the disbursements described on the attached Schedule A constitute Administrative Expenses or Costs of Issuance, and are properly chargeable to the Administrative Expense Fund; and

(v) any proceeds of the 2023 Bonds in the Administrative Expense Fund shall be disbursed before any other moneys in the Administrative Expense Fund

Dated:

CITY OF TRACY

By:

Finance Director
Exhibit D

Page 2 ends

SCHEDULE A

Payee Name and Address Purpose of Obligation Amount

Stradling Yocca Carlson & Rauth
Draft of February 17, 2023
4859-4533-2552v5/024667-0132
$__________
IMPRO
VEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023

BOND PURCHASE AGREEMENT
_____, 2023
City of Tracy
333 Civic Center Plaza
Tracy, California 95376
Ladies and Gentlemen:

Piper Sandler & Co., as underwriter (the “ Underwriter”), acting not as a fiduciary or agent for you, but on behalf of itself, offers to enter into this Bond Purchase Agreement (this “Purchase Agreement”) with the City of Tracy (the “City”), which upon acceptance will be binding upon the Underwriter and the City. This offer is made subject to the City’s acceptance by the execution of this Purchase Agreement and its delivery to the Underwriter at or before 8:00 P.M., California time, on the date hereof, and, if not so accepted, will be subject to withdrawal by the Underwriter upon notice delivered to the City at any time prior to the acceptance hereof by the City. All capitalized terms used herein, which are not otherwise defined, shall have the meaning provided for such terms in the Fiscal Agent Agreement, dated as of _____ 1, 2023 (the “ Fiscal Agent Agreement”), by and between the City and U.S. Bank Trust Company, National Association, as fiscal agent (the “Fiscal Agent”).

1. Purchase, Sale and Delivery of the Bonds.

A. Subject to the terms and conditions and in reliance upon the representations, warranties and agreements set forth herein, the Underwriter hereby agrees to purchase from the City and the City hereby agrees to sell to the Underwriter all (but not less than all) of the $__________ aggregate principal amount of the Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) Special Tax Bonds, Series 2023 (the “Bonds”), dated the Closing Date (as hereinafter defined), bearing interest at the rates and maturing on the dates and in the principal amounts set forth in Exhibit A hereto. The purchase price for the Bonds shall be $__________ (being 100% of the aggregate principal amount thereof [plus/less] a [net] original issue [premium/discount] of $__________ and less an Underwriter’s discount of $__________).

The Bonds shall be substantially in the form described in, shall be issued and secured under the provisions of, and shall be payable from the Special Tax Revenues, as provided in the Fiscal Agent Agreement, the Preliminary Official Statement (as hereinafter defined), and the Mello-Roos Community Facilities Act of 1982, as amended, being Chapter 2.5 of Part 1 of Division 2 of Title 5 (commencing with S ection 53311) of the Government Code of the State of California (the “ Act”). The issuance of the Bonds has been duly authorized by the City pursuant to Resolution No. 2019-244, adopted on December 17, 2019 (the “Annexation Resolution”), and Resolution No. _____, adopted by the City on _____, 2023 (the “Resolution of Issuance” and, together with the Annexation Resolution, the “Approving Resolution”).

ATTACHMENT C
2 4859-4533-2552v5/024667-0132
The net proceeds of the Bonds will be used, as indicated in the Fiscal Agent Agreement, for the following purposes: (i) finance the acquisition and construction of certain public improvements and payment of impact fees to be used to finance public facilities, (ii) fund a debt service reserve fund for the Bonds, (iii) fund capitalized interest through September 1, 2023, and (iv) pay the costs of issuing the Bonds.

Prior to the acceptance of this Purchase Agreement by the City, the City shall have caused to be delivered to the Underwriter (i) a Letter of Representations duly executed by Surland Communities LLC, a California limited liability company (“Surland”) in substantially the form set forth in Exhibit B hereto, with only such changes thereto as shall have been accepted by the Underwriter, and (ii) a Letter of Representations duly executed by LS-Tracy LLC, a Delaware limited liability company (“LS-Tracy LLC”) in substantially the form set forth in Exhibit C hereto, with only such changes thereto as shall have been accepted by the Underwriter.

B. The City acknowledges that the Underwriter is entering into this Purchase Agreement in reliance on the representations and agreements made by the City herein, and the City shall take all action necessary to enforce its rights hereunder for the benefit of the Underwriter and shall immediately notify the Underwriter if it becomes aware that any representation or agreement made by the City herein is incorrect in any material respect.

The City acknowledges and agrees that: (i) the purchase and sale of the Bonds pursuant to this Purchase Agreement is an arm’s-length commercial transaction between the City and the Underwriter; (ii) in connection therewith and with the discussions, undertakings and procedures leading up to the consummation of such transaction, the Underwriter is and has been acting solely as principal and is not acting as a Municipal Advisor (as defined in Section 15B of the Securities Exchange Act of 1934, as amended); (iii) the Underwriter has not assumed an advisory or fiduciary responsibility in favor of the City with respect to the offering contemplated hereby or the discussions, undertakings and procedures leading thereto (irrespective of whether the Underwriter has provided other services or is currently providing other services to the City on other matters); and (iv) the City has consulted its own legal, financial and other advisors to the extent that the City has deemed appropriate.

C. Pursuant to the authorization of the City, the Underwriter has distributed copies of the Preliminary Official Statement dated _____, 2023, relating to the Bonds, which, together with the cover page, inside cover page and appendices thereto is herein called the “Preliminary Official Statement.” By its acceptance of this Purchase Agreement, the City hereby ratifies the use by the Underwriter of the Preliminary Official Statement and the preparation and distribution of the final Official Statement (together with any supplements thereto, the “ Official Statement”) consisting of the Preliminary Official Statement with such changes as are noted thereon and as may be made thereto, with the approval of Jones Hall, A Professional Law Corporation, the City’s Bond Counsel (“Bond Counsel”) and Disclosure Counsel (“Disclosure Counsel”) and the Underwriter. The City agrees to execute the Official Statement and to provide a copy thereof to the Underwriter as set forth in Section 4.E.1 hereof. The City hereby authorizes and requires the Underwriter to use and promptly distribute, in connection with the offer and sale of the Bonds, the Preliminary Official Statement, the Official Statement and any supplement or amendment thereto. The City further authorizes the Underwriter to use and distribute, in connection with the offer and sale of the Bonds, the Fiscal Agent Agreement, this Purchase Agreement and all information contained herein, and all other documents, certificates and statements furnished by or on behalf of the City to the Underwriter in connection with the transactions contemplated by this Purchase Agreement.

D. To assist the Underwriter in complying with Securities and Exchange Commission Rule 15c2-12(b)(5) (the “Rule”), the City will undertake pursuant to the Continuing Disclosure Certificate, in 3 4859-4533-2552v5/024667-0132
the form attached to the Official Statement as Appendix E (the “ Continuing Disclosure Certificate”), to provide annual reports and notices of certain enumerated events. A description of this undertaking is set forth in the Preliminary Official Statement and will also be set forth in the Official Statement.

E. Except as the Un derwriter and the City may otherwise agree, the City will deliver to the Underwriter, at the offices of Bond Counsel in San Francisco, California, or at such other location as may be mutually agreed upon by the Underwriter and the City, the documents hereinafter mentioned; and the City will deliver to the Underwriter through the facilities of The Depository Trust Company (“DTC”) in New York, New York, the Bonds, in definitive form (all Bonds bearing CUSIP numbers), duly executed by the City and authenticated by the Fiscal Agent in the manner provided for in the Fiscal Agent Agreement and the Act at 8:00 a.m. California time, on _____, 2023 (the “Closing Date”), and the Underwriter will accept such delivery and pay the purchase price of the Bonds as set forth in paragraph (A) of this Section by wire transfer, payable in federal or other immediately available funds (such delivery and payment being herein referred to as the “Closing”). The Bonds shall be in fully registered book-entry form (which may be typewritten) and shall be registered in the name of Cede & Co., as nominee of DTC.

2. Public Offering and Establishment of Issue Price.

A. The Underwriter agrees to make a bona fide public offering of all of the Bonds initially at the public offering prices (or yields) set forth in Exhibit A attached hereto and incorporated herein by reference. Subsequent to the initial public offering, the Underwriter reserves the right to change the public offering prices (or yields) as it deems necessary in connection with the marketing of the Bonds, provided that the Underwriter shall not change the interest rates set forth in Exhibit A. The Bonds may be offered and sold to certain dealers at prices lower than such initial offering prices B. The Underwriter agrees to assist the City in establishing the issue price of the Bonds and shall execute and deliver to the City at Closing an “issue price” or similar certificate, together with the supporting pricing wires or equivalent communications, substantially in the form attached hereto as Exhibit F, with such modifications as may be appropriate or necessary, in the reasonable judgment of the Underwriter, the City and Bond Counsel, to accurately reflect, as applicable, the sales price or prices or the initial offering price or prices to the public of the Bonds. All actions to be taken by the City under this section to establish the issue price of the Bonds may be taken on behalf of the City by CSG Advisors Incorporated (the “ Municipal Advisor”) and any notice or report to be provided to the City may be provided to the Municipal Advisor.

C. Except as otherwise set forth in Exhibit A, the City will treat the first price at which 10% of each maturity of the Bonds (the “10% test”) is sold to the public as the issue price of that maturity (if different interest rates apply within a maturity, each separate CUSIP number within that maturity will be subject to the 10% test). At or promptly after the execution of this Purchase Agreement, the Underwriter shall report to the City the price or prices at which it has sold to the public each maturity of the Bonds. If at that time the 10% test has not been satisfied as to any maturity of the Bonds, the Underwriter agrees to promptly report to the City the prices at which it sells the unsold Bonds of that maturity to the public. That reporting obligation shall continue, whether or not the Closing Date has occurred, until the 10% test has been satisfied as to the Bonds of that maturity or until all Bonds of that maturity have been sold to the public.

D. The Underwriter confirms that it has offered the Bonds to the public on or before the date of this Purchase Agreement at the offering price or prices (the “ initial offering price ”), or at the corresponding yield or yields, set forth in Exhibit A, except as otherwise set forth therein. Exhibit A also sets forth, identified under the column “Hold the Offering Price Rule Used,” as of the date of this Purchase Agreement, the maturities, if any, of the Bonds for which the 10% test has not been satisfied and for which the 4 4859-4533-2552v5/024667-0132
City and the Underwriter agree that the restrictions set forth in the next sentence shall apply, which will allow the City to treat the initial offering price to the public of each such maturity as of the sale date as the issue price of that maturity (the “hold-the-offering-price rule”). So long as the hold- the-offering-price rule remains applicable to any maturity of the Bonds, the Underwriter will neither offer nor sell unsold Bonds of that maturity to any person at a price that is higher than the initia l offering price to the public during the period starting on the sale date and ending on the earlier of the following:

1. the close of the fifth (5th) business day after the sale date; or

2. the date on which the Underwriter has sold at least 10% of that maturity of the Bonds to the public at a price that is no higher than the initial offering price to the public.

The Underwriter shall promptly advise the City when it has sold 10% of that maturity of the Bonds to the public at a price that is no higher than the initial offering price to the public, if that occurs prior to the close of the fifth (5th) business day after the sale date.

E. The Underwriter confirms that any selling group agreement and any retail distribution agreement relating to the initial sale of the Bonds to the public, together with the related pricing wires, contains or will contain language obligating each dealer who is a member of the selling group and each broker-dealer that is a party to such retail distribution agreement, as applicable, to: (1) report the prices at which it sells to the public the unsold Bonds of each maturity allotted to it until it is notified by the Underwriter that either the 10% test has been satisfied as to the Bonds of that maturity or all Bonds of that maturity have been sold to the public; and (2) comply with the hold-the -offering-price rule, if applicable, in each case if and for so long as directed by the Underwriter. The City acknowledges that, in making the representation set forth in this subsection, the Underwriter will rely on: (A) in the event that a selling group has been created in connection with the initial sale of the Bonds to the public, the agreement of each dealer who is a member of the selling group to comply with the hold-the-offering-price rule, if applicable, as set forth in a selling group agreement and the related pricing wires; and (B) in the event that a retail distribution agreement was employed in connection with the initial sale of the Bonds to the public, the agreement of each broker-dealer that is a party to such agreement to comply with the hold-the-offering-price rule, if applicable, as set forth in the retail distribution agreement and the related pricing wires. The City further acknowledges that the Underwriter shall not be liable for the failure of any dealer who is a member of a selling group, or of any broker-dealer that is a party to a retail distribution agreement, to comply with its corresponding agreement regarding the hold -the- offering-price rule as applicable to the Bonds.

F. The Underwriter acknowledges that sales of any Bonds to any person that is a related party to the Underwriter shall not constitute sales to the public for purposes of this section. Further, for purposes of this section:

1. “public” means any person other than an underwriter or a related party;

2. “underwriter” means: (A) any person that agrees pursuant to a written contract with the City (or with the lead underwriter to form an underwriting syndicate) to participate in the initial sale of the Bonds to the public; and (B) any person that agrees pursuant to a written contract directly or indirectly with a person described in clause (A) to participate in the initial sale of the Bonds to the public (including a member of a selling group or a party to a retail distribution agreement participating in the initial sale of the Bonds to the public);
5 4859-4533-2552v5/024667-0132

3. a purchaser of any of the Bonds is a “ related party” to an underwriter if the underwriter and the purchaser are subject, directly or indirectly, to: (A) at least 50% common ownership of the voting power or the total value of their stock, if both entities are corporations (including direct ownership by one corporation of another); (ii) more than 50% common ownership of their capital interests or profits interests, if both entities are partnerships (including direct ownership by one partnership of another); or (iii) more than 50% common ownership of the value of the outstanding stock of the corporation or the capital interests or profit interests of the partnership, as applicable, if one entity is a corporation and the other entity is a partnership (including direct ownership of the applicable stock or interests by one entity of the other); and

4. “sale date” means the date of execution of this Purchase Agreement by all parties.

3. Representations and Covenants of the City. The City represents and covenants to the Underwriter that:

A. The City is duly organized and validly existing as a municipal corporation under the Constitution and laws of the State of California, and has duly authorized the formation of the City of Tracy Community Facilities District No. 2016-2 (ECFD) (the “Community Facilities District”) and Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) (“Improvement Area No. 3”) pursuant to resolutions and an ordinance duly adopted by the City Council (collectively, the “Community Facilities District Formation Resolution ” and, together with the Approving Resolution authorizing the issuance of the Bonds, the “City Resolutions”) and the Act. The City Council, as the legislative body of the City and the Community Facilities District, (i) has duly adopted the City Resolutions, (ii) has duly adopted Ordinance No. 1230 of the City on February 21, 2017, levying special taxes within the Community Facilitie s District and Improvement Area No. 3 (the “ Ordinance”), and (iii) has caused to be recorded in the real property records of San Joaquin County a notice of special tax lien with respect to Improvement Area No. 3 (the “Notice of Special Tax Lien”) (the Community Facilities District Formation Resolution, the Ordinance, the rate and method of apportionment of special taxes for Improvement Area No. 3 approved by the City Council and the qualified electors in Improvement Area No. 3 (the “ Rate and Method”) and the Notice of Special Tax Lien are collectively referred to herein as the “Formation Documents”). Each of the Formation Documents remains in full force and effect as of the date hereof and has not been amended, except to the extent set forth therein. The Community Facilities District is duly organized and validly existing as a Community Facilities District under the laws of the State of California. The City has, and at the Closing Date will have, as the case may be, full legal right, power and authority: (i) to execute, deliver and perform its obligations under the Fiscal Agent Agreement and this Purchase Agreement, and to carry out all transactions contemplated by each of such agreements; (ii) to issue, sell and deliver its Bonds to the Underwriter; (iii) to enter into the Continuing Disclosure Certificate; and (iv) to carry out, give effect to and consummate the transactions contemplated by the Formation Documents, the Fiscal Agent Agreement, the Continuing Disclosure Certificate, this Purchase Agreement, the Bonds and the Official Statement.

This Purchase Agreement, the Fiscal Agent Agreement, the Bonds and the Continuing Disclosure Certificate are collectively referred to herein as the “City Documents.” B. The City has complied, and will at the Closing Date be in compliance in all material respects, with the Formation Documents and the City Documents, and any immaterial noncompliance by the City, if any, will not impair the ability of the City to carry out, give effect to or consummate the transa ctions contemplated by the foregoing. From and after the date of issuance of the Bonds, the City will continue to comply with the covenants of the City contained in the City Documents. 6 4859-4533-2552v5/024667-0132
C. Except as described in the Preliminary Official Statement, the City is not, in any respect material to the transactions referred to herein or contemplated hereby, in breach of or in default under, any law or administrative rule or regulation of the State of California, the United States of America, or of any department, division, agency or instrumentality of either thereof, or under any applicable court or administrative decree or order, or under any loan agreement, note, resolution, indenture, contract, agreement or other instrument to which the City is a party or is otherwise subject or bound, and the execution and delivery and the performance of its obligations under the City Documents and compliance with the provisions of each thereof, or the performance of the conditions precedent to be performed by the City pursuant to t he City Documents, will not conflict with or constitute a breach of or default under any applicable law or administrative rule or regulation of the State, the United States of America, or of any department, division, agency or instrumentality of either thereof, or under any applicable court or administrative decree or order, or under any loan agreement, note, resolution, indenture, contract, agreement or other instrument to which the City is a party or is otherwise subject or bound, in any manner that would materially and adversely affect the performance by the City of its obligations under the City Documents or the performance of the conditions precedent to be performed by the City pursuant to the City Documents.

D. Except as may be required under the “blue sky” or other securities laws of any jurisdiction, all approvals, consents, authorizations, elections and orders of, or filings or registrations with, any governmental authority, board, agency or commission having jurisdiction which would constitute a condition precedent to, or the absence of which would materially adversely affect, the performance by the City of its obligations under the City Documents, have been or will be obtained at the Closing Date and are or will be in full force and effect at the Closing Date.

E. The City Documents conform as to form and tenor to the descriptions thereof contained in the Official Statement.

F. The Bonds are payable from the Special Tax Revenues generated by the levy of special taxes in Improvement Area No. 3 (the “Special Taxes”), as set forth in the Fiscal Agent Agreement. The levy of the Special Taxes has been duly and validly authorized pursuant to the Act and, subject to the maximum rate of Special Taxes in the Rate and Method and the application of the Special Tax Revenues as set forth in the Fiscal Agent Agreement, the levy of the Special Taxes within Improvement Area No. 3 will be fixed and levied in an amount which, together with other available funds, is required for the payment of the principal of, and interest on, the Bonds when due and payable, all as provided in the Fiscal Agent Agreement. The City has covenanted in the Fiscal Agent Agreement to cause the Special Taxes to be levied and collected at the same time and in the same manner as ordinary ad valorem property taxes.

G. The Fiscal Agent Agreement creates a valid pledge of, first lien upon and security interest in, the Special Tax Revenues, and in the moneys in the Special Tax Fund established pursuant to the Fiscal Agent Agreement, on the terms and conditions set forth in the Fiscal Agent Agreement.

H. Except as disclosed in the Preliminary Official Statement, or will be disclosed in the Official Statement, there are, to the best of the City’s knowledge, no entities with outstanding assessment liens against any of the properties within Improvement Area No. 3 or which are senior to or on a parity with the Special Taxes referred to in paragraph (G) hereof.

I. The information contained in the Preliminary Official Statement and in the Official Statement (other than statements therein pertaining to DTC and its book-entry system and under the caption “OWNERSHIP AND DEVELOPMENT OF IMPROVEMENT AREA NO. 3,” as to which no view is expressed) does not and shall not contain any untrue or misleading statement of a material fact or omit to state 7 4859-4533-2552v5/024667-0132
any material fact necessary to make the statements therein, in light of the circumstances under which they were made, not misleading; and, upon delivery and up to and including 25 days after the End of the Underwriting Period (as defined in paragraph (J) below), the Official Statement will be amended and supplemented so as to contain no misstatement of any material fact or omission of any statement necessary to make the statements contained therein, in the light of the circumstances in which such statements were made, not misleading.

J. Up to and including 25 days after the End of the Underwriting Period, the City will advise the Underwriter promptly of any proposal to amend or supplement the Official Statement and will not effect or consent to any such amendment or supplement without the consent of the Underwriter, which consent will not be unreasonably withheld. The City will advise the Underwriter promptly of the institution of any proceedings known to it by any governmental agency prohibiting or otherwise materially affecting the use of the Official Statement in connection with the offering, sale or distribution of the Bonds. As used herein, the term “End of the Underwriting Period” means the later of such time as: (i) the Bonds are delivered to the Underwriter; or (ii) the Underwriter does not retain, directly or as a member of an underwriting syndicate, an unsold balance of the Bonds for sale to the public. Unless the Underwriter gives notice to the contrary, the End of the Underwriting Period shall be deemed to be the Closing Date. Any notice delivered pursuant to this provision shall be a written notice delivered to the City at or prior to the Closing Date, and shall specify a date (other than the Closing Date) to be deemed the “End of the Underwriting Period.” K. At the time of acceptance hereof there is and as of the Closing there will be no action pending (notice of which has been served on the City) or to the best knowledge of the City threatened, in which any such action: (i) in any way questions the existence of the Community Facilities District or the titles of the officers of the City to their respective offices; (ii) affects, contests or seeks to prohibit, restrain or enjoin the issuance or delivery of the Bonds or the payment or collection of Special Tax Revenues or any amounts pledged or to be pledged to pay the principal of and interest on the Bonds, or in any way contests or affects the validity of the City Documents or the consummation of the transactions on the part of the City contemplated thereby; (iii) contests the exemption of interest on the Bonds from federal or State income taxation or contests the powers of the City or the Community Facilities District which may result in any material adverse change relating to t he financial condition of the Community Facilities District; or (iv) contests the completeness or accuracy of the Preliminary Official Statement or the Official Statement or any supplement or amendment thereto or asserts that the Preliminary Official Statement or the Official Statement contained any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading; and as of the time of acceptance hereof there is and, as of the Closing Date, there will be no basis for any action, suit, proceeding, inquiry or investigation of the nature described in clauses (i) through (iv) of this sentence.

L. Any certificate signed on behalf of the City by any officer or employee of the City authorized to do so shall be deemed a representation by the City to the Underwriter as to the statements made therein.

M. At or prior to the Closing, the City will have duly authorized, executed and delivered the Continuing Disclosure Certificate in substantially the form attached as Appendix E to the Official Statement. Except as disclosed in the Preliminary Official Statement, the City has not failed to comply in all respects with any previous undertakings with regard to the Rule to provide annual reports or notices of material events in the last five years.

N. The City will apply the proceeds of its Bonds in accordance with the Fiscal Agent Agreement.
8 4859-4533-2552v5/024667-0132
O. Between the date of the Purchase Agreement and the date of Closing, the City will not offer or issue any bonds, notes or other obligations for borrowed money payable or secured by Special Taxes, except as previously disclosed to the Underwriter.

The execution and delivery of this Purchase Agreement by the City shall constitute a representation to the Underwriter that the representations contained in this Section 3 are true as of the date hereof.

4. Conditions to the Obligations of the Underwriter . The obligation of the Underwriter to accept delivery of and pay for the Bonds on the Closing Date shall be subject, at the option of the Underwriter, to the accuracy in all material respects of the representations on the part of the City contained herein, to the accuracy in all material respects of the statements of the officers and other officials of the City made in any certificates or other documents furnished pursuant to the provisions hereof, to the performance by the City of its obligations to be performed hereunder at or prior to the Closing Date and, to the following additional conditions:

A. At the Closing Date, the City Resolutions, the Formation Documents, and the City Documents shall be in full force and effect, and shall not have been amended, modified or supplemented, except as may have been agreed to in writing by the Underwriter, and there shall have been taken in connection therewith, with the issuance of the Bonds, and with the transactions contemplated thereby, and by this Purchase Agreement, all such actions as, in the opinion of Bond Counsel, shall be necessary and appropriate.

B. At the Closing Date, except as was described in the Official Statement, the City shall not be, in any respect material to the transactions referred to herein or contemplated hereby, in breach of or in default under, any law or administrative rule or regulation of the State of California, the United States of America, or of any department, division, agency or instrumentality of either thereof, or under any applicable court or administrative decree or order, or under any loan agreement, note, resolution, indenture, contract, agreement or other instrument to which the City is a party or is otherwise subject or bound, and the execution and delivery and the performance by the City of its obligations under the City Documents, the City Resolutions and any other instruments contemplated by any of such documents, and compliance with the provisions of each thereof, will not conflict with or constitute a breach of or default under any applicable law or administrative rule or regulation of the State of California, the United States of America, or of any department, division, agency or instrumentality of either thereof, or under any applicable court or administrative decree or order, or under any loan agreement, note, resolution, indenture, contract, agreement or other instrument to which the City is a party or is otherwise subject or bound, in any manner that would materially and adversely affect the performance by the City of its obligations under the City Documents or the City Resolutions.

C. The information contained in the Official Statement is, as of the Closing Date and as of the date of any supplement or amendment thereto pursuant hereto, true and correct in all material respects and does not, as of the Closing Date or as of the date of any supplement or amendment thereto, contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading.

D. Between the date hereof and the Closing Date, the market price or marketability, at the initial offering prices set forth on the inside cover page of the Official Statement, of the Bonds shall not have been materially adversely affected, in the judgment of the Underwriter (evidenced by a written notice to the City terminating the obligation of the Underwriter to accept delivery of and pay for the Bonds), by reason of any of the following:
9 4859-4533-2552v5/024667-0132

1. Legislation introduced in or enacted (or resolution passed) by the Congress of the United States of America or recommended to the Congress by the President of the United States, the Department of the Treasury, the Internal Revenue Service, or any member of Congress, or favorably reported for passage to either House of Congress by any committee of such House to which such legislation had been referred for consideration, or a decision rendered by a court established under Article III of the Constitution of the United States of America or by the Tax Court of the United States of America, or an order, ruling, regulation (final, temporary or proposed), press release or other form of notice issued or made by or on behalf of the Treasury Department of the United States of America or the Internal Revenue Service, with the purpose or effect, directly or indirectly, of imposing federal income taxation upon such interest as would be received by any owners of the Bonds beyond the extent to which such interest is subject to taxation as of the date hereof;

2. Legislation introduced in or enacted (or resolution passed) by the Congress or an order, decree or injunction issued by any court of competent jurisdiction, or an order, ruling, regulation (final, temporary or proposed), press release or other form of notice issued or made by or on behalf of the Securities and Exchange Commission, or any other governmental agency having jurisdiction of the subject matter, to the effect that obligations of the general character of the Bonds, including any or all underlying arrangements, are not exempt from registration under or other requirements of the Securities Act of 1933, as amended, or that the Fiscal Agent Agreement are not exempt from qualification under or other requirements of the Fiscal Agent Agreement Act of 1939, as amended, or that the issuance, offering or sale of obligations of the general character of the Bonds, including any or all underlying arrangements, as contemplated hereby or by the Official Statement or otherwise is or would be in violation of the federal securities laws as amended and then in effect;

3. A general suspension of trading in securities on the New York Stock Exchange, or a general banking moratorium declared by Federal, State of New York or State of California officials authorized to do so;

4. The introduction, proposal or enactment of any amendment to the Federal or California Constitutions or any action by any Federal or California court, legislative body, regulatory body or other authority materially adversely affecting the tax status of the City, its property, income, securities (or interest thereon), or the validity or enforceability of Special Taxes as contemplated by the Official Statement;

5. Any event occurring, or information becoming known which, in the judgment of the Underwriter, makes untrue in any material respect any statement or information contained in the Preliminary Official Statement or in the Official Statement, or has the effect that the Preliminary Official Statement or the Official Statement contains any untrue statement of a material fact or omits to state a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading;

6. Any national securities exchange, the Comptroller of the Currency, or any other governmental authority, shall impose as to the Bonds or obligations of the general character of the Bonds, any material restrictions not now in force, or increase materially those now in force, with respect to the extension of credit by, or the charge to the net capital requirements of, the Underwriter;

7. There shall have occurred any material outbreak or escalation of hostilities or other calamity or crisis the effect of which on the financial markets of the United States is such as to make it impracticable, in the judgment of the Underwriter, following consultation with the City, to sell the Bonds;

8. The filing or threat of an Action described Section 3.K hereof; or 10 4859-4533-2552v5/024667-0132

9. Any proceeding shall have been commenced or be threatened in writing by the Securities and Exchange Commission against the City.

E. At or prior to the Closing Date, the Underwriter shall have received a counterpart original or certified copy of the following documents, in each case satisfactory in form and substance to the Underwriter:

1. The Official Statement, executed on behalf of the City by its Finance Director or other authorized officer;

2. The City Documents, duly executed and delivered by all parties thereto;

3. The City Resolutions, together with a certificate dated as of the Closing Date of the City Clerk to the effect that the City Resolutions are true, correct and complete copies of the City Resolutions duly adopted by the City Council;

4. The Formation Documents, together with a certificate dated as of the Closing Date of the City Clerk to the effect that the Formation Documents are true, correct and complete copies of the Formation Documents duly adopted by the City Council;

5. An unqualified approving opinion for the Bonds, dated the Closing Date and addressed to the City, of Bond Counsel, in substantially the form included as Appendix G to the Official Statement;

6. A supplemental opinion or opinions, dated the Closing Date and addressed to the Underwriter, of Bond Counsel, in substantially the form attached hereto as Exhibit D;

7. A letter of Disclosure Counsel addressed to the Underwriter, to the effect that, no facts have come to attention of Disclosure Counsel that have caused such counsel to believe that the Preliminary Official Statement, as of its date, or the Official Statement, as of its date and as of the Closing Date (except for the following items, which are expressly excluded from the scope of this sentence: any financial, statistical and demographic data or forecasts, numbers, charts, estimates, projections, assumptions or expressions of opinion, the appraisal and information regarding DTC and its book-entry only system, that is contained or incorporated by reference in the Official Statement and the appendices to the Official Statement) contained or contains any untrue statement of a material fact or omitted or omits to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading;

8. A certificate dated the Closing Date and signed by an authorized representative of the City or an authorized designee, on behalf of the City to the effect that: (i) the representations made by the City contained in this Purchase Agreement are true and correct in all material respects on and as of the Closing Date with the same effect as if made on the Closing Date, provided that any references as to the Preliminary Official Statement shall be deemed to be to the Official Statement; (ii) to the best knowledge of such officer, no event has occurred since the date of the Official Statement which should be disclosed in the Official Statement for the purpose for which it is to be used or which it is necessary to disclose therein in order to make the statements and information therein not misleading in any material respect; and (iii) the City has complied with all the agreements and satisfied all the conditions on its part to be satisfied under the City Documents prior to the Closing Date;
11 4859-4533-2552v5/024667-0132

9. An opinion of the City Attorney of the City, dated the date of Closing and addressed to the Underwriter and the City, to the effect that:
a. The City is a municipal corporation, corporate and politic, duly organized and existing under the Constitution and laws of the State of California; b. The City Resolutions and the Formation Documents have been duly adopted at a meeting of the City Council, which was called and held pursuant to law and with all public notice required by law and at which a quorum was present and acting throughout, and the City Resolutions and the Formation Documents are in full force and effect and have not been modified, amended, rescinded or repealed since the date of their adoption;
c. The City Documents and the Official Statement have been duly authorized, executed and delivered by the City and the City Documents constitute the legal, valid and binding obligations of the City enforceable against the City in accordance with their terms, subject to bankruptcy, insolvency, reorganization, moratorium and other similar laws affecting creditors’ rights, to the application of equitable principles where equitable remedies are sought and to the exercise of judicial discretion in appropriate cases;
d. To the best knowledge of such counsel, the execution and delivery of the City Documents and the Official Statement and compliance with the provisions thereof under the circumstances contemplated thereby: (a) do not in any material respect conflict with or constitute on the part of the City a breach of or default under any agreement or other instrument to which the City is a party or by which it is bound; and (b) do not and will not in any material respect or constitute on the part of the City a violation, breach of or default under any court order or consent decree to which the City is subject; e. Except as may be stated in the Official Statement, there is no action, suit, proceeding or investigation before or by any court, public board or body pending (notice of which has been served on the City) or, to such counsel’s knowledge, threatened wherein an unfavorable decision, ruling or finding would: (a) affect the creation, organization, existence or powers of the City or the Community Facilities District, or the titles of its members and officers to their respective offices; or (b) affect the validity of the City Documents, the City Resolutions or the Formation Documents, or restrain or enjoin the repayment of the Bonds or in any way contest or affect the validity of the City Documents, the City Resolutions or the Formation Documents, or contest the authority of the City to enter into or perform its obligations under any of the City Documents, the City Resolutions or the Formation Documents, or under which a determination adverse to the City would have a material adverse effect u pon the financial condition or the revenues of the City or the Community Facilities District, questions the right of the City to use Special Tax Revenues for the repayment of the Bonds or affects in any manner the right or ability of the City to collect or pledge the Special Taxes levied within Improvement Area No. 3 for the repayment of the Bonds;

10. A transcript of all proceedings relating to the authorization, issuance, sale and delivery of the Bonds, including certified copies of the Fiscal Agent Agreement and all resolutions of the City relating thereto;

11. A certificate dated the Closing Date from Goodwin Consulting Group, Inc. addressed to the City and the Underwriter to the effect that: (i) the Special Taxes (after payment of estimated Administrative Expenses) if collected in the maximum amounts permitted pursuant to the Rate and Method as of the Closing Date would generate at least 110% of the annual debt service on the Bonds in each year, based on such assumptions and qualifications as shall be acceptable to the Underwriter; and (ii) the statements in the 12 4859-4533-2552v5/024667-0132
Official Statement provided by Goodwin Consulting Group, Inc. concerning the Special Taxes and the Rate and Method and all information supplied by it for use in the Official Statement as of the date of the Official Statement and as of the Closing Date did not and do not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading;

12. Certified copies of the general resolution of the Fiscal Agent authorizing the execution and delivery of certain documents by certain officers of the Fiscal Agent, which resolution authorizes the execution of the Fiscal Agent Agreement and the authentication of the Bonds;

13. A certificate of the Fiscal Agent, addressed to the Underwriter and the City dated the Closing Date, to the effect that: (i) the Fiscal Agent is authorized to carry out corporate trust powers, and have full power and authority to perform its duties under the Fiscal Agent Agreement; (ii) the Fiscal Agent is duly authorized to execute and deliver the Fiscal Agent Agreement, to accept the obligations created by the Fiscal Agent Agreement and to authenticate the Bonds pursuant to the terms of the Fiscal Agent Agreement; (iii) no consent, approval, authorization or other action by any governmental or regulatory authority having jurisdiction over the Fiscal Agent that has not been obtained is or will be required for the authentication of the Bonds or the consummation by the Fiscal Agent of the other transactions contemplated to be performed by the Fiscal Agent in connection with the authentication of the Bonds and the acceptance and performance of the obligations created by the Fiscal Agent Agreement; and (iv) to the best of its knowledge, compliance with the terms of the Fiscal Agent Agreement will not conflict with, or result in a violation or breach of, or constitute a default under, any loan agreement, trust agreement, bond, note, resolution or any other agreement or instrument to which the Fiscal Agent is a party or by which it is bound, or any law or any rule, regulation, order or decree of any court or governmental agency or body having jurisdiction over the Fiscal Agent or any of its activities or properties;

14. An opinion of counsel to the Fiscal Agent, dated the Closing Date, addressed to the Underwriter and the City to the effect that the Fiscal Agent is a national banking association duly organized and validly existing under the laws of the United States having full power and being qualified to enter into, accept and agree to the provisions of the Fiscal Agent Agreement, and that the Fiscal Agent Agreement has been duly authorized, executed and delivered by the Fiscal Agent and, assuming due execution and delivery by the other parties thereto, constitutes the legal, valid and binding obligation of the Fiscal Agent enforceable in accordance with its terms, subject to bankruptcy, insolvency, reorganization, moratorium and other laws affecting the enforcement of creditors’ rights in general and except as such enforceability may be limited by the application of equitable principles if equitable remedies are sought;

15. A certificate of the City dated the Closing Date, in a form acceptable to Bond Counsel and the Underwriter, that the Bonds are not arbitrage bonds within the meaning of Section 148 of the Internal Revenue Code of 1986, as amended;

16. An opinion of Stradling Yocca Carlson & Rauth, a Professional Corporation, counsel to the Underwriter (“ Underwriter’s Counsel”), dated the date of Closing and addressed to the Underwriter in form and substance acceptable to the Underwriter;

17. A closing certificate of Surland dated the Closing Date, substantially in the form attached as Appendix I to Exhibit B attached hereto;

18. A closing certificate of LS-Tracy LLC dated the Closing Date, substantially in the form attached as Appendix I to Exhibit C attached hereto; 13 4859-4533-2552v5/024667-0132

19. A Continuing Disclosure Certificate (LS -Tracy LLC) (the “ LS-Tracy LLC Continuing Disclosure Certificate ”) executed by LS -Tracy LLC in substantially the form set forth in Appendix F to the Preliminary Official Statement, with such additional changes as may be agreed to by the Underwriter;

20. A letter or letters from counsel to LS -Tracy LLC, in form and substance acceptable to the Underwriter, dated the Closing Date and addressed to the Underwriter, regarding: (i) negative assurance with respect to the Preliminary Official Statement and Official Statement; and (ii) the validity and enforceability of the LS-Tracy LLC Continuing Disclosure Certificate; and

21. An executed copy of the Amended and Restated Acquisition Agreement, dated as of September 1, 2021, by and between the City and Surland.

22. Such additional legal opinions, certificates, instruments and other documents as the Underwriter may reasonably request to evidence the truth and accuracy, as of the date hereof and as of the Closing Date, of the material representations of the City contained herein, and of the statements and information contained in the Official Statement and the due performance or satisfaction by the City at or prior to the Closing of all agreements then to be performed and all conditions then to be satisfied by the City in connection with the transactions contemplated hereby and by the Fiscal Agent Agreement and the Official Statement.

If the City shall be unable to satisfy the conditions to the obligations of the Underwriter to purchase, accept delivery of and pay for the Bonds contained in this Purchase Agreement, or if the obligations of the Underwriter to purchase, accept delivery of and pay for the Bonds shall be terminated for any reason permitted by this Purchase Agreement, this Purchase Agreement shall terminate and neither the City nor the Underwriter shall be under any further obligation hereunder, except that the respective obligations of the Underwriter and the City set forth in Section 6 hereof shall continue in full force and effect.

5. Conditions to the Obligations of the City. The obligations of the City shall be subject to the satisfaction of the conditions contained in Section 4 of this Purchase Agreement.

6. Expenses. Whether or not the transactions contemplated by this Purchase Agreement are consummated, the Underwriter shall be under no obligation to pay, and the City shall pay only from the proceeds of the Bonds or any other legally available funds of the City or the Community Facilities District, but only as the City and such other party providing such services may agree, all expenses and costs of the City incident to the performance of its obligations in connection with the authorization, execution, sale and delivery of the Bonds to the Underwriter, including, without limitation, printing costs, initial fees of the Fiscal Agent, including fees and disbursements of their counsel, if any, fees and disbursements of Bond Counsel, Disclosure Counsel and other professional advisors employed by the City, costs of preparation, printing, signing, transportation, delivery and safekeeping of the Bonds and for expenses (included in the expense component of the spread) incurred by the Underwriter on behalf of the City’s employees which are incidental to implementing this Purchase Agreement, including, but not limited to, meals, transportation and lodging of those employees.

The Underwriter shall pay all out -of-pocket expenses of the Und erwriter, including, without limitation, advertising expenses, the California Debt and Investment Advisory Commission fee, CUSIP Services Bureau charges, regulatory fees imposed on new securities issuers and any and all other expenses incurred by the Underwriter in connection with the public offering and distribution of the Bonds, including fees of its counsel.

7. Notices. Any notice of other communication to be given to the City under this Purchase Agreement may be given by delivering the same in writing to the City of Tracy, 333 Civic Center Plaza, Tracy, 14 4859-4533-2552v5/024667-0132
California 95376, Attention: Finance Director; any notice or other communication to be given to the Underwriter under this Purchase Agreement may be given by delivering the same in writing to Piper Sandler & Co, 3626 Fair Oaks Blvd., Suite 100, Sacramento, California 9864, Attention: Dennis McGuire.

8. Parties In Interest. This Purchase Agreement is made solely for the benefit of the City and the Underwriter (including any successors or assignees of the Underwriter) and no other person shall acquire or have any right hereunder or by virtue hereof.

9. Survival of Representations. The representations of the City under this Purchase Agreement shall not be deemed to have been discharged, satisfied or otherwise rendered void by reason of the Closing and regardless of any investigations made by or on behalf of the Underwriter (or statements as to the results of such investigations) concerning such representations and statements of the City and regardless of delivery of and payment for the Bonds.

10. Execution in Counterparts. This Purchase Agreement may be executed by the parties hereto in separate counterparts, each of which when so executed and delivered shall be an original, but all such counterparts shall together constitute but one and the same instrument.

11. Effective. This Purchase Agreement shall become effective and binding upon the respective parties hereto upon the execution of the acceptance hereof by the City and shall be valid and enforceable as of the time of such acceptance.

12. No Prior Agreements . This Purchase Agreement supersedes and replaces all prior negotiations, agreements and understanding among the parties hereto in relation to the sale of the Bonds by the City.

13. Governing Law. This Purchase Agreement shall be governed by the laws of the State of California.
[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK.]
S-1
4859-4533-2552v5/024667-0132

14. Effective Date . This Purchase Agreement shall become effective and binding upon the respective parties hereto upon the execution of the acceptance hereof by the City and shall be valid and enforceable as of the time of such acceptance.

Very truly yours,
PIPER SANDLER & CO.

By:

Its: Authorized Officer
Time of Execution: ____________

CITY OF TRACY
By:

Karin Schnaider, Finance Director
A-1
4859-4533-2552v5/024667-0132

EXHIBIT A
$__________
IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023
Schedule of Bond Maturities, Principal Amounts, Interest Rates, Yields and Initial Offering Prices
Maturity
Date
(September 1)
Principal
Amount
Interest
Rate Yield
Initial
Offering
Price
10% Test
Used
Hold the
Price
Offering Rule
Used

C Priced to the optional redemption date of September 1, 20__ at ___%.

T Term Bond.

Optional Redemption. The Bonds maturing on or after September 1, 20__, are subject to optional redemption as directed by the City, from sources of funds other than prepayments of Special Taxes, prior to their stated maturity on any date on or after September 1, 20__, as a whole or in part, at the redemption prices (expressed as a percentage of the principal amount of the Bonds to be redeemed) set forth below, together with accrued interest thereon to the date fixed for redemption:

Redemption Dates
Redemption
Price
September 1, 20__ through August 31, 20__ %
September 1, 20__ through August 31, 20__
September 1, 20__ through August 31, 20__
September 1, 20__ and any date thereafter

A-2
4859-4533-2552v5/024667-0132
Mandatory Sinking Fund Redemption . The Bonds maturing on September 1, 20__, are subject to mandatory redemption in part by lot, from sinking fund payments made by the City from the Bond Fund, at a redemption price equal to the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts all as set forth in the following table:

Sinking Fund
Redemption Date
(September 1)

Sinking Fund
Payments
$

(maturity)

The Bonds maturing on September 1, 20__, are subject to mandatory redemption in part by lot, from sinking fund payments made by the City from the Bond Fund, at a redemption price equal to the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts all as set forth in the following table:

Sinking Fund
Redemption Date
(September 1)

Sinking Fund
Payments
$

(maturity)
The Bonds maturing on September 1, 20__, are subject to mandatory redemption in part by lot, from sinking fund payments made by the City from the Bond Fund, at a redemption price equal to the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts all as set forth in the following table:

Sinking Fund
Redemption Date
(September 1)

Sinking Fund
Payments
$

(maturity)

Redemption from Special Tax Prepayments. Special Tax Prepayments and any corresponding transfers from the Reserve Fund under the Fiscal Agent Agreement will be used to redeem Bonds on the next Interest Payment Date for which notice of redemption can timely be given under the Fiscal Agent Agreement, among maturities so as to maintain substantially the same debt service profile for the Bonds as in effect prior to such redemption and by lot within a maturity, at a redemption price (expressed as a percentage of the A-3
4859-4533-2552v5/024667-0132
principal amount of the Bonds to be redeemed), as set forth below, together with accrued interest to the date fixed for redemption:

Redemption Dates Redemption Price
Any Interest Payment Date on or before March 1, 20__ %
September 1, 20__ and March 1, 20__
September 1, 20__ and March 1, 20__
September 1, 20__ and any Interest Payment Date thereafter

B-1
4859-4533-2552v5/024667-0132

EXHIBIT B
IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023

LETTER OF REPRESENTATIONS OF SURLAND COMMUNITIES LLC
_____, 2023
City of Tracy
333 Civic Center Plaza
Tracy, California 95376
Piper Sandler & Co.
3626 Fair Oaks Blvd., Suite 100
Sacramento, California 95864
Ladies and Gentlemen:

Capitalized terms that are used herein and not otherwise defined have the meanings ascribed to them in the Purchase Agreement.

The undersigned certifies that the undersigned is familiar with the facts herein and is authorized and qualified to certify the same as an authorized officer or representative of Surland Communities LLC, a California limited liability company (the “ Surland”), and the undersigned, on behalf of Surland, further certifies as follows:

1. Surland is duly organized and validly existing under the laws of the State of California, and has all requisite right, power and authority: (i) to execute and deliver this Letter of Representations; (ii) to perform its obligations under the Amended and Restated Master Acquisition Agreement, dated as of September 1, 2021 (the “Acquisition Agreement”), by and between Surland and the City; and (iii) to develop the master- planned community known as the “ Ellis Development,” including the portion thereof located in the City of Tracy Community Facilities District No. 2016-2 (ECFD) (the “Community Facilities District”) as described in the Preliminary Official Statement.

2. Except as set forth in the Preliminary Official Statement, no action, suit, proceeding, inquiry or investigation at law or in equity, before or by any court, regulatory agency, public board or body is pending against Surland (with proper service of process to Surland having been accomplished) or, to the Actual B-2
4859-4533-2552v5/024667-0132
Knowledge of the Undersigned, 1 is pending against any current Affiliate 2 (with proper service of process to such Affiliate having been accomplished) or to the Actual Knowledge of the Undersigned is overtly threatened in writing against Surland or any such Affiliate: (a) to restrain or enjoin the collection of Special Taxes or other sums pledged or to be pledged to pay the principal of and interest on the Bonds (e.g., the 2023 Reserve Fund established under the Fiscal Agent Agreement); (b) to restrain or enjoin the performance by Surland of its obligations under the Acquisition Agreement; (c) to restrain or enjoin the development of the property within Improvement Area No. 3 of the Community Facilities District as described in the Preliminary Official Statement; (d) in any way contesting or affecting the validity of the Special Taxes; or (e) which is reasonably likely to materially and adversely affect Surland’s or its Affiliates’ ability to develop the remainder of the Ellis Development as described in the Preliminary Official Statement.

3. As of the date of the Preliminary Official Statement, to the Actual Knowledge of the Undersigned, the information that is contained therein solely with respect to Surland, its Affiliates, and the remainder of the Ellis Development as set forth under the captions of the Preliminary Official Statement entitled “OWNERSHIP AND DEVELOPMENT OF IMPROVEMENT AREA NO 3 – The Ellis Project,” “– Improvement Area No. 1,” “–Improvement Area No. 2,” “–Future Annexation Area,” “–Surland Communities LLC,” and “–Development Plan of the Developer” (excluding therefrom in all cases information regarding LS- Tracy LLC, its development, information regarding market value ratios and annual special tax ratios, and information which is identified as having been provided by a source other than Surland), is true and correct in all material respects and did not contain any untrue statement of a material fact or omit to state a material fact that is necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading.

4. If between the date hereof and the Closing Date any event relating to or affecting Surland, its Affiliates, and the remainder of the Ellis Development shall occur of which Surland has actual knowledge which would cause the information under the captions of the Preliminary Official Statement that are described in Paragraph 3 (and subject to the limitations and exclusions contained in Paragraph 3) hereof to contain an untrue statement of a material fact or to omit to state a material fact that is necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading, Surland shall notify the City and the Underwriter. If in the reasonable opinion of counsel to the City or the Underwriter such event requires the preparation and publication of a supplement or amendment to the Preliminary Official Statement,

1 “Actual Knowledge of the Undersigned” means the knowledge that the individual signing on behalf of Surland currently has as of the date of this Letter of Representations or has obtained through: (i) interviews with such current officers and responsible employees of Surland and its Affiliates as the undersigned has determined are reasonably likely, in the ordinary course of their respective duties, to have knowledge of the matters that are set forth in this Letter of Representations; and/or (ii) review of documents that were reasonably available to the undersigned and which the undersigned has reasonably deemed necessary in order for the undersigned to obtain knowledge of the matters that are set forth in this Letter of Representations. The undersigned has not conducted any extraordinary inspection or inquiry other than such inspections or inquiries as are prudent and customary in connection w ith the ordinary course of Surland’s current business and operations. Surland has not consulted with any former employees of Surland. 2 “Affiliate” means, with respect to Surland, any other Person: (i) who directly, or indirectly through one or more intermediaries, is currently controlling, controlled by or under common control with Surland; and (ii) for whom information, including financial information or operating data, concerning such Person is material to potential investors in their evaluation of the Improveme nt Area and investment decision regarding the Bonds (i.e., information relevant to: (a) Surland, its Affiliates, and the remainder of the Ellis Development; or (b) such Person’s assets or funds that would materially affect Surland, its Affiliates, and the remainder of the Ellis Development. “Person” means an individual, a corporation, a partnership, a limited liability company, an association, a joint stock company, a trust, any unincorporated organization or a government or political subdivision thereof. For purposes hereof, the term “control” (including the terms “controlling,” “controlled by” or “under common control with”) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person, whether through the ownership of voting securities, by contract or otherwise.

B-3
4859-4533-2552v5/024667-0132
Surland shall reasonably cooperate with the City in the preparation of an amendment or supplement to the Preliminary Official Statement in form and substance that is reasonably satisfactory to counsel to the City and to the Underwriter.

5. Surland agrees to deliver a Closing Certificate dated the date of issuance of the Bonds at the time of issuance of the Bonds in substantially the form attached hereto as Appendix 1.

The undersigned has executed this Letter of Representations solely in the undersigned’s capacity as an officer or authorized representative of Surland and the undersigned will have no personal liability arising from or relating to this Letter of Representations.

SURLAND COMMUNITIES LLC,
a California limited liability company

By:

Name:

Title:

B-4
4859-4533-2552v5/024667-0132
APPENDIX 1 to EXHIBIT B
$__________
IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023

CLOSING CERTIFICATE OF SURLAND COMMUNITIES LLC
_____, 2023
City of Tracy
333 Civic Center Plaza
Tracy, California 95376
Piper Sandler & Co.
3626 Fair Oaks Blvd., Suite 100
Sacramento, California 95864
Ladies and Gentlemen:

Reference is made to the Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) Special Tax Bonds, Series 2023 (the “ Bonds”) and to the Bond Purchase Agreement, dated _____, 2023 (the “Purchase Agreement”), by and between the City of Tracy and Piper Sandler & Co., entered into in connection therewith. This Closing Certificate of Surland Communities LLC (the “ Closing Certificate”) is delivered by Surland Communities LLC, a California limited liability company (“Surland”), pursuant to the Purchase Agreement. Capitalized terms that are used herein and not otherwise defined have the meanings ascribed to them in the Letter of Representations of Surland Communities LLC dated _____, 2023 (the “Letter of Representations”), delivered by Surland.

The undersigned certifies that the undersigned is familiar with the facts herein certified and is authorized and qualified to certify the same as an authorized officer or representative of Surland. The undersigned, on behalf of Surland, further certifies as follows:

1. Surland has received the final Official Statement relating to the Bonds (the “ Final Official Statement”). To the Actual Knowledge of the Undersigned, each statement, representation and warranty that was made in the Letter of Representations is true and correct in all material respects on and as of the date hereof with the same effect as if made on the date hereof, except that all references therein to the Preliminary Official Statement shall be deemed to be references to the Final Official Statement.

2. To the Actual Knowledge of the Undersigned, no event has occurred since the date of the Preliminary Official Statement which affects the statements and information that are described in Paragraph 3 of the Letter of Representations (and subject to the limitations and exclusions contained in Paragraph 3 of the Letter of Representations) relating to Surland, its Affiliates, and the remainder of the Ellis Development which should be disclosed in the Final Official Statement for the purposes for which it is to be used in order to make such statements and information that are contained in the Final Official Statement not misleading in any material respect.

B-5
4859-4533-2552v5/024667-0132

3. For the period through 25 days after the “ end of the underwriting period” (as such term is defined in the Purchase Agreement to mean the date hereof), if any event that relates to or affects Surland, its Affiliates, or the remainder of the Ellis Development shall occur as a result of which it is necessary, in the opinion of the Underwriter or counsel to the City, to amend or supplement the Final Official Statement in order to make the information under the captions of the Final Official Statement that are described in Paragraph 3 of the Letter of Representations (and subject to the limitations and exclusions contained in Paragraph 3 of the Letter of Representations) not misleading, in the light of the circumstances under which they wer e made, Surland shall reasonably cooperate with the City and the Underwriter in the preparation of an amendment or supplement to the information described in the captions of the Final Official Statement that are described in Paragraph 3 of the Letter of Representations (and subject to the limitations and exclusions contained in Paragraph 3 of the Letter of Representations). Such amendment or supplement shall be in form and substance satisfactory to the Underwriter and counsel to the Community Facilities District and shall amend or supplement the Final Official Statement so that it will not contain an untrue statement of a material fact or omit to state a material fact that is necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading.

4. The undersigned has executed this Closing Certificate solely in the undersigned’s capacity as an officer or authorized representative of Surland and the undersigned will have no personal liability arising from or relating to this Closing Certificate.

C-1
4859-4533-2552v5/024667-0132

EXHIBIT C
IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023

LETTER OF REPRESENTATIONS OF LS-TRACY LLC
_____, 2023
City of Tracy
333 Civic Center Plaza
Tracy, California 95376
Piper Sandler & Co.
3626 Fair Oaks Blvd., Suite 100
Sacramento, California 95864
Ladies and Gentlemen:

Reference is made to the Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) Special Tax Bonds, Series 2023 (the “Bonds”) and to the Bond Purchase Agreement (the “Purchase Agreement ”), by and between the City of Tracy (the “ City”) and Piper Sandler & Co. (the “Underwriter”), to be entered into in connection therewith. This Letter of Representations of LS-Tracy LLC (the “Letter of Representations”) is delivered pursuant to the Purchase Agreement. Capitalized terms that are used herein and not otherwise defined have the meanings ascribed to them in the Purchase Agreement.

The undersigned certifies that the undersigned is familiar with the facts herein and is authorized and qualified to certify the same as an authorized officer or representative of by LS-Tracy LLC, a Delaware limited liability company (“LS-Tracy LLC”), and the undersigned, on behalf of LS -Tracy LLC, further certifies as follows:

1. LS-Tracy LLC is duly organized and validly existing under the laws of the State of Delaware, and has all requisite right, power and authority: (i) to execute and deliver this Letter of Representations and (ii) to complete the development on its property in Improvement Area No. 3 (the “ Improvement Area”) of City of Tracy Community Facilities District No. 2016-2 (ECFD) (the “ Community Facilities District”) as described in the Preliminary Official Statement.

2. LS-Tracy LLC agrees to execute at Closing a Continuing Disclosure Certificate (LS -Tracy LLC) (the “ LS-Tracy LLC Continuing Disclosure Certificate ”) in substantially the form set forth in Appendix F to the Preliminary Official Statement, with such additional changes as may be agreed to by the Underwriter.

3. As set f orth in the Preliminary Official Statement, title to a certain portion of the property within the Improvement Area is held in the name of LS -Tracy LLC or certain of its Affiliates 1 (the

1 As used in this Letter of Representations, the term “Affiliate” means, with respect to LS-Tracy LLC, any other Person: (i) who directly, or indirectly through one or more intermediaries, is currently controlling, controlled by or under common control with LS - C-2
4859-4533-2552v5/024667-0132
“Property”). The undersigned, on behalf of LS-Tracy LLC, makes the representations herein with respect to all such Property. Except as otherwise described in the Preliminary Official Statement, LS-Tracy LLC is, and LS-Tracy LLC’s current expectations are that LS -Tracy LLC shall remain, the party responsible for the development of the Property. LS -Tracy LLC has not entered into an agreement for development or management of the Property by any other entity, except for such subcontracts, consultant agreements and similar agreements for land development activities associated with LS -Tracy LLC’s development plan as are entered into in the ordinary course of business.

4. Except as set forth in the Preliminary Official Statement, no action, suit, proceeding, inquiry or investigation at law or in equity, before or by any court, regulatory agency, public board or body is pending against LS-Tracy LLC (with proper service of process to LS-Tracy LLC having been accomplished) or, to the Actual Knowledge of the Undersigned
2 , is pending against any current Affiliate (with proper service of process to such Affiliate having been accomplished) or to the Actual Knowledge of the Undersigned is threatened in writing against LS -Tracy LLC or any such Affiliate: (a) to restrain or enjoin the collection of Special Taxes or other sums pledged or to be pledged to pay the principal of and interest on the Bonds (e.g., the Reserve Fund established under the Fiscal Agent Agreement); (b) to restrain or enjoin the development of the Property as described in the Preliminary Official Statement; (c) in any way contesting or affecting the validity of the Special Taxes; or (d) which is reasonably likely to materially and adversely affect LS -Tracy LLC’s ability to complete the development and sale of the Property as described in the Preliminary Official Statement or to pay the Special Taxes due with respect to the Property prior to delinquency.

5. As of the date of the Preliminary Official Statement, to the Actual Knowledge of the Undersigned, the information that is contained therein solely with respect to LS-Tracy LLC, its Affiliates, the proposed development of the Property, ownership of the Property, LS -Tracy LLC’s development plan, LS- Tracy LLC’s financing plan, LS-Tracy LLC’s lenders, if any, and contractual arrangements of LS-Tracy LLC or any Affiliates (including, if material to LS -Tracy LLC’s development plan or LS-Tracy LLC’s financing plan, other loans of such Affiliates) as set forth under the captions of the Preliminary Official Statement entitled “OWNERSHIP AND DEVELOPMENT OF IMPROVEMENT AREA NO. 3” and “CONTINUING DISCLOSURE—LS -Tracy LLC Continuing Disclosure” (excluding therefrom in all cases (i) information about Surland Communities LLC or its property ownership or development in the Community Facilities

Tracy LLC; and (ii) for whom information, including financial information or operating data, concerning such Person is materi al to potential investors in their evaluation of the Improvement Area and investment decision regarding the Bonds (i.e., information relevant to: (a) LS-Tracy LLC’s development plans with respect to the Property and ability to pay its Special Taxes on the Property prior to delinquency; or (b) such Person’s assets or funds that would materially affect LS -Tracy LLC’s ability to develop the Property as described in the Preliminary Official Statement or to pay its Special Taxes on the Property prior to delinquency). “Person” means an individual, a corporation, a partnership, a limited liability company, an association, a joint stock company, a trust, any unincorporated organization or a government or political subdivision thereof. For purposes hereof, the term “ control” (including the terms “controlling,” “controlled by” or “under common control with”) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person, whether through the ownership of voting securities, by contract or otherwise.

2 As used in this Letter of Representations, the phrase “Actual Knowledge of the Undersigned” means the actual (as opposed to constructive) knowledge that the individual signing on behalf of LS -Tracy LLC currently has as of the date of this Letter of Representations or has obtained through: (i) interviews with such current officers and responsible employees of LS-Tracy LLC as the undersigned has determined are reasonably likely, in the ordinary course of their respective duties, to have knowledge of the matters that are set forth in this Letter of Represe ntations; and/or (ii) review of documents that were reasonably available to the undersigned and which the undersigned has reasonably deemed necessary in order for the undersigned to obtain knowledge of the matters that are set forth in this Letter of Representations. The undersigned has not conducted any extraordinary inspection or inquiry other than such inspections or inquiries as are prudent and customary in connection with the ordinary course of LS-Tracy LLC’s current business and operations. The undersigned has not contacted any individuals who are no longer employed by, or associated with, LS-Tracy LLC.

C-3
4859-4533-2552v5/024667-0132
District; (ii) information regarding market value and annual special tax rates and ratios; and (iii) information which is identified as having been provided by a source other than LS -Tracy LLC), is true and correct in all material respects and did not contain any untrue statement of a material fact or omit to state a material fact that is necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading.

6. If between the date hereof and the Closing Date any event relating to or affecting LS -Tracy LLC, its Affiliates, the proposed development of the Property, ownership of the Property, LS -Tracy LLC’s development plan, LS -Tracy LLC’s financing plan, LS -Tracy LLC’s lenders, if any, and contract ual arrangements of LS-Tracy LLC or any Affiliates (including, if material to LS-Tracy LLC’s development plan or LS-Tracy LLC’s financing plan, other loans of such Affiliates) shall occur of which LS -Tracy LLC has actual knowledge which would cause the information under the captions of the Preliminary Official Statement that are described in Paragraph 5 (and subject to the limitations and exclusions contained in Paragraph 5) hereof to contain an untrue statement of a material fact or to omit to state a material fact that is necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading, LS -Tracy LLC shall notify the City and the Underwriter. If in the reasonable opinion of counsel to the City or the Underwriter such event requires the preparation and publication of a supplement or amendment to the Preliminary Official Statement, LS-Tracy LLC shall reasonably cooperate with the City in the preparation of an amendment or supplement to the Preliminary Offi cial Statement in form and substance that is reasonably satisfactory to counsel to the City and to the Underwriter.

7. LS-Tracy LLC agrees to deliver a Closing Certificate dated the date of issuance of the Bonds at the time of issuance of the Bonds in substantially the form attached as Appendix 1.

The undersigned has executed this Letter of Representations solely in the undersigned’s capacity as an authorized officer or representative of LS-Tracy LLC and the undersigned will have no personal liability arising from or relating to this Letter of Representations.

LS-TRACY LLC,
a Delaware limited liability company

By:

Name:

Title:

C-4
4859-4533-2552v5/024667-0132
APPENDIX 1 to EXHIBIT C
IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023

CLOSING CERTIFICATE OF LS-TRACY LLC
_____, 2023
City of Tracy
333 Civic Center Plaza
Tracy, California 95376
Piper Sandler & Co.
3626 Fair Oaks Blvd., Suite 100
Sacramento, California 95864
Ladies and Gentlemen:

Reference is made to the Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) Special Tax Bonds, Series 2023 (the “ Bonds”) and to the Bond Purchase Agreement, dated _____, 2023 (the “Purchase Agreement”), by and between the City of Tracy and Piper Sandler & Co., entered into in connection therewith. This Closing Certificate of LS -Tracy LLC (the “Closing Certificate”) is delivered by LS -Tracy LLC, a Delaware limited liability company (“ LS-Tracy LLC”), pursuant to the Purchase Agreement. Capitalized terms that are used herein and not otherwise defined have the meanings ascribed to them in the Letter of Representations of LS -Tracy LLC dated _____, 2023 (the “ Letter of Representations”), delivered by LS-Tracy LLC.

The undersigned certifies that the undersigned is familiar with the facts herein certified and is authorized and qualified to certify the same as an authorized officer or representative of LS -Tracy LLC. The undersigned, on behalf of LS-Tracy LLC, further certifies as follows:

1. LS-Tracy LLC has received the final Official Statement relating to the Bonds dated _____, 2023 (the “ Final Official Statement”). To the Actual Knowledge of the Undersigned, each statement, representation and warranty that was made in the Letter of Representations is true and correct in all material respects on and as of the date hereof with the same effect as if made on the date hereof, except that all references therein to the Preliminary Official Statement shall be deemed to be references to the Final Official Statement.

2. LS-Tracy LLC has duly authorized, executed and delivered LS -Tracy LLC Continuing Disclosure Certificate.

3. To the Actual Knowledge of the Undersigned, no event has o ccurred since the date of the Preliminary Official Statement which materially affects the statements and information that are described in Paragraph 5 of the Letter of Representations (and subject to all limitations and exclusions contained in Paragraph 5 of the Letter of Representations) relating to LS -Tracy LLC, its ownership of the Property, LS - Tracy LLC’s development plan, LS-Tracy LLC’s financing plan and contractual arrangements of LS -Tracy LLC which should be disclosed in the Final Official Statement for the purposes for which it is to be used in

C-5
4859-4533-2552v5/024667-0132
order to make such statements and information that are contained in the Final Official Statement not misleading in any material respect.

4. For the period through 25 days after the “ end of the underwriting pe riod” (as such term is defined in the Purchase Agreement), if any event that relates to or affects LS-Tracy LLC, its ownership of the Property, LS-Tracy LLC’s development plan, LS-Tracy LLC’s financing plan and contractual arrangements of LS-Tracy LLC shall occur as a result of which it is necessary, in the opinion of the Underwriter or counsel to the City, to amend or supplement the Final Official Statement in order to make the information under the captions of the Final Official Statement that are described in Paragraph 5 of the Letter of Representations (and subject to all limitations and exclusions contained in Paragraph 5 of the Letter of Representations) not misleading, in the light of the circumstances under which they were made, LS -Tracy LLC shall reasonably cooperate with the City and the Underwriter in the preparation of an amendment or supplement to the information described in the captions of the Final Official Statement that are described in Paragraph 5 of the Letter of Representations (and subject to all limitations and exclusions contained in Paragraph 5 of the Letter of Representations). Such amendment or supplement shall be in form and substance reasonably satisfactory to the Underwriter and counsel to the Community Facilities District and shall amend or supplement the Final Official Statement so that it will not contain an untrue statement of a material fact or omit to state a material fact that is necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading.

The undersigned has executed this Closing Certificate solely in the undersigned’s capacity as an authorized officer or representative of LS-Tracy LLC and the undersigned will have no personal liability arising from or relating to this Closing Certificate.

LS-TRACY LLC,
a Delaware limited liability company

By:

Name:

Title:

D-1
4859-4533-2552v5/024667-0132

EXHIBIT D

SUPPLEMENTAL OPINION OF BOND COUNSEL
_____, 2023
Piper Sandler & Co.
3626 Fair Oaks Blvd., Suite 100
Sacramento, California 95864
$__________
Improvement Area No. 3 of the City of Tracy
Community Facilities District No. 2016-2 (ECFD)
Special Tax Bonds, Series 2023
(Supplemental Opinion)
Ladies and Gentlemen:

We have acted as bond counsel in connection with the issuance by the City of Tracy (the “City”) of the a bove-referenced bonds (the “ Bonds”) pursuant to the Mello-Roos Community Facilities Act of 1982, as amended, being sections 53311 et seq. of the California Government Code (the “Law”), Resolution No._____, adopted on _____, 2023 (the “ Resolution”) and a Fi scal Agent Agreement (the “Fiscal Agent Agreement”), dated as of _____ 1, 2023, by and between the City, for and on behalf of the City of Tracy Community Facilities District No. 2016-2 (ECFD) (the “District”), and U.S. Bank Trust Company, National Association, as fiscal agent. Capitalized terms used herein but not defined have the meaning given them in the Bond Purchase Agreement, dated _____, 2023 (the “Purchase Agreement”), by and between Piper Sandler & Co., as underwriter (the “Underwriter”), and the City, acting for and on behalf of the District.

We have examined the Fiscal Agent Agreement, the Purchase Agreement, and the Continuing Disclosure Certificate, dated _____, 2023 (the “ Continuing Disclosure Certificate”), executed and delivered by the City and agreed and accepted by Goodwin Consulting Group, Inc., as dissemination agent, (collectively, the “City Documents”), the Law and such certified proceedings and other papers as we deem necessary to render this opinion.

This letter is being delivered in our capacity as bond counsel to the City and not as counsel to the Underwriter.

As to questions of fact material to our opinion, we have relied upon representations of the City contained in the Resolution, the Fiscal Agent Agreement and the certifie d proceedings and certifications of public officials and others furnished to us without undertaking to verify the same by independent investigation.

Based upon the foregoing, we are of the opinion, under existing law, as follows:
(i) the Purchase Agreement has been duly authorized, executed and delivered by the City, and, assuming the Purchase Agreement constitutes the valid and binding obligation of the Underwriter,

D-2
4859-4533-2552v5/024667-0132
constitutes the legally valid and binding obligation of the City enforceable in accordance with its terms, except as enforcement may be limited by bankruptcy, moratorium, insolvency or other laws affecting creditors’ rights or remedies and general principles of equity (regardless of whether such enforceability is considered in equity or at law);
(ii) the Bonds are exempt from registration pursuant to the Securities Act of 1933, as amended, and the Fiscal Agent Agreement is exempt from qualification under the Trust Indenture Act of 1939, as amended; and
(iii) the information contained i n the Official Statement on the cover and under the captions “INTRODUCTION,” “THE 2023 BONDS,” “SECURITY FOR THE 2023 BONDS,” “LEGAL MATTERS” and Appendices C and G thereof (except that no opinion or belief is expressed as to any financial or statistical data contained therein), insofar as it purports to summarize certain provisions of the Act, the Bonds, the Fiscal Agent Agreement and the exclusion from gross income for federal income tax purposes and exemption from State personal income taxes of interest on the Bonds, presents a fair and accurate summary of such provisions.

The preceding paragraph is not an opinion but constitutes negative observations based on certain limited activities performed by specific lawyers in our firm in our role as special disc losure counsel to the City. The scope of the activities we performed for purposes of delivering this letter was inherently limited and does not purport to encompass all activities necessary for compliance with applicable securities laws. In addition, in performing those activities, we relied on third party representations, warranties, certifications and opinions, including and primarily, representations, warranties and certifications made by the City. The preceding paragraph is otherwise subject to the conditions set forth herein.

This opinion letter is solely for your benefit in connection with the transaction covered by the first paragraph of this letter and may not be relied upon, used, circulated, quoted or referred to, nor any copies hereof be delivered to, any other person without our prior written approval.

Very truly yours,
JONES HALL, a Professional Law Corporation

E-1
4859-4533-2552v5/024667-0132

EXHIBIT E
$__________
IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023

CERTIFICATE OF APPRAISER
_____,2023
City of Tracy
333 Civic Center Plaza
Tracy, California 95376
Piper Sandler & Co.
3626 Fair Oaks Blvd., Suite 100
Sacramento, California 95864
The undersigned hereby states and certifies:

1. That he is an authorized principal of Integra Realty Resources (the “ Appraiser”) and as such is familiar with the facts herein certified and is authorized and qualified to certify the same.

2. That the Appraiser has prepared an appraisal report, dated [December 12, 2022] (the “Appraisal Report”), on behalf of the City of Tracy (the “City”) in connection with the Preliminary Official Statement, dated _____, 2023 (the “ Preliminary Official Statement”) and the Official Statement dated _____, 2023 (“Official Statement”), for the Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) Special Tax Bonds, Series 2023 (the “Bonds”).

3. That the Appraiser hereby consents to the reproduction and use of the Appraisal Report appended to the Preliminary Official Statement and the Official Statement. The Appraiser also consents to the references to the Appraiser and the Appraisal Report made in the Preliminary Official Statement and the Official Statement.

4. In the opinion of the Appraiser the assumptions made in the Appraisal Report are reasonable. Since the date of value of the Appraisal Report, the Appraiser is not aware of any facts that would cause its opinion of value of the taxable property in the Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD) (the “ Improvement Area”) to be lower than the value in the Appraisal.

5. Each of the parcels appraised by the Appraiser is encompassed within the Improvement Area as set forth in the boundary map of the Improvement Area.

6. That, as of the date of the Official Statement and as of the date hereof, the Appraisal Report appended to the Official Statement, to the best of my knowledge and belief, and subject to all

E-2
4859-4533-2552v5/024667-0132
of the Assumptions and Limiting Conditions set forth in the Appraisal Report, does not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements contained therein, in the light of the circumstances under which they were made, not misleading, and no events or occurrences have been ascertained by us or have come to our attention that would substantially change the estimated values stated in the Appraisal Report. However, we have not performed any procedures since the date of the Appraisal Report to obtain knowledge of such events or occurrences nor are we obligated to do so in the future.

7. The City and the Underwriter, Piper Sandler & Co., are entitled to rely on this Certificate.

INTEGRA REALTY RESOURCES
By:

Authorized Representative

F-1
4859-4533-2552v5/024667-0132

EXHIBIT F
$__________
IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY
COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)
SPECIAL TAX BONDS, SERIES 2023

FORM OF ISSUE PRICE CERTIFICATE
The undersigned, on behalf of Piper Sandler & Co. (the “PSC”), hereby certifies as set forth below with respect to the sale and issuance of the above-captioned bonds (the “Bonds”).

1. Sale of the General Rule Maturities. As of the date of this certificate, for each Maturity of the General Rule Maturities, the first price at which at least 10% of such Maturity was sold to the Public is the respective price listed in Schedule A.

2. Initial Offering Price of the Hold-the-Offering-Price Maturities. (a) PJC offered the Hold-the-Offering-Price Maturities to the Public for purchase at the respective initial offering prices listed in Schedule A (the “Initial Offering Prices”) on or before the Sale Date. A copy of the pricing wire or equivalent communication for the Bonds is attached to this certificate as Schedule B.
(b) As set forth in the Bond Purchase Agreement, dated _____, 2023, by and between PJC and the Issuer, PJC has agreed in writing that: (i) for each Maturity of the Hold-the -Offering-Price Maturities, it would neither offer nor sell any of the Bonds of such Maturity to any person at a price that is higher than the Initial Offering Price for such Maturity during the Holding Period for such Maturity (the “hold-the-offering-price rule”); and (ii) any selling group agreement shall contain the agreement of each dealer who is a member of the selling group, and any retail distribution agreement shall contain the agreement of each broker-dealer who is a party to the retail distribution agreement, to comply with the hold-the-offering-price rule. Pursuant to such agreement, no Underwriter (as defined below) has offered or sold any Maturity of the Hold-the-Offering-Price Maturities at a price that is higher than the respective Initial Offering Price for that Maturity of the Bonds during the Holding Period.

3. Reserve Fund.

The establishment of the Reserve Fund in the amount of the Reserve Requirement (as such terms are defined in the Fiscal Agent Agreement dated as of _____ 1, 2023, by and between the City and U.S. Bank Trust Company, National Association, as fiscal agent, pursuant to which the Bonds are being issued) was vital to the marketing of the Bonds and reasonably required to assure payment of debt service on the Bonds.

4. Defined Terms.
(a) General Rule Maturities means those Maturities of the Bonds listed in Schedule A hereto as the “General Rule Maturities.”

F-2
4859-4533-2552v5/024667-0132
(b) Hold-the-Offering-Price Maturities means those Maturities of the Bonds listed in Schedule A hereto as the “Hold-the-Offering-Price Maturities.” (c) Holding Period means, with respect to a Hold-the-Offering-Price Maturity, the period starting on the Sale Date and ending on the earlier of (i) the close of the fifth business day after the _____, 2023 (the Sale Date), or (ii) the date on which the Underwriter has sold at least 10% of such Hold-the-Offering-Price Maturity to the Public at prices that are no higher than the Initial Offering Price for such Hold-the-Offering-Price Maturity.
(d) Issuer means the City of Tracy.
(e) Maturity means Bonds with the same credit and payment terms. Bonds with different maturity dates, or Bonds with the same maturity date but different stated interest rates, are treated as separate maturities.
(f) Public means any person (including an individual, trust, estate, partnership, association, company, or corporation) other than an Underwriter or a related party to an Underwriter.

The term “related party ” for purposes of this certificate generally means any two or more persons who have greater than 50 percent common ownership, directly or indirectly. (g) Sale Date means the first day on which there is a binding contract in writing for the sale of a Maturity of the Bonds. The Sale Date of the Bonds is _____, 2023. (h) Underwriter means: (i) any person that agrees purs uant to a written contract with the Issuer (or with the lead underwriter to form an underwriting syndicate) to participate in the initial sale of the Bonds to the Public; and (ii) any person that agrees pursuant to a written contract directly or indirectly with a person described in clause (i) of this paragraph to participate in the initial sale of the Bonds to the Public (including a member of a selling group or a party to a retail distribution agreement participating in the initial sale of the Bonds to the Public).

The representations set forth in this certificate are limited to factual matters only. Nothing in this certificate represents PSC’s interpretation of any laws, including specifically Sections 103 and 148 of the Internal Revenue Code of 1986, as amended, and the Treasury Regulations thereunder. The undersigned understands that the foregoing information will be relied upon by the Issuer with respect to certain of the representations set forth in the Tax Certificate and with respect to compliance with the federal income tax rules affecting the Bonds, and by Jones Hall, a Professional Law Corporation, in connection with rendering its opinion that the interest on the Bonds is excluded from gross income for federal income tax purposes, the preparation of the Internal Revenue Service Form 8038-G, and other federal income tax advice that it may give to the Issuer from time to time relating to the Bonds.

PIPER SANDLER & CO.

By:

Name:

Dated: _____, 2023

F-3
4859-4533-2552v5/024667-0132

SCHEDULE A

SALE PRICES OF THE GENERAL RULE MATURITIES
(Attached)

F-4
4859-4533-2552v5/024667-0132

SCHEDULE B
PRICI

NG WIRE OR EQUIVALENT COMMUNICATION
(Att
ached)

APPROVED AS TO FORM AND LEGALITY

___________________________
CITY ATTORNEY’S OFFICE

TRACY CITY COUNCIL

RESOLUTION NO. ____
______________________________________________________________________

AUTHORIZING 1) THE ISSUANCE AND SALE OF SPECIAL TAX BONDS FOR THE PURPOSE OF FINANCING AUTHORIZED FACILITIES , AND 2) APPROVING AND AUTHORIZING RELATED DOCUMENTS AND ACTIONS FOR IMPROVEMENT AREA NO. 3 OF THE CITY OF TRACY COMMUNITY FACILITIES DISTRICT NO. 2016-2 (ECFD)

WHEREAS, the City Council previously conducted proceedings under and pursuant to the Mello-Roos Community Facilities Act of 1982, as amended, Chapter 2.5 of Part 1 of Division 2 of Title 5 (commencing with Section 53311) of the California Government Code (the “Act”), to establish (i) “City of Tracy Community Facilities District No. 2016 -2 (ECFD)” (the “CFD”), (ii) an initial improvement area in the CFD designated “Improvement Area No. 1 of the City of Tracy Community Facilities District No. 2016 -2 (ECFD)” (“Improvement Area No. 1”) , and (iii) a future annexation area for the CFD (the “Future Annexation Area”); and

WHEREAS, pursuant to Resolution No. 2017-21, adopted by the City Council on February 7, 2017 (the “Resolution of Formation”), the City Council provided for, among other things, (i) the financing of certain public facilities (the “Facilities”) by the CFD, (ii) the annexation of parcels in the Future Annexation Area to the CFD pursuant to a unanimous approval (a “Unanimous Approval”) of the owner or owners of such parcels and (iii) in any such Unanimous Approval, the designation as a new improvement area (each, a “Future Improvement Area”) of any territory annexing to the CFD and the identification and approval of the maximum amount of bonded indebtedness and other debt and the rate and method of apportionment of special tax for such Future Improvement Area; and

WHEREAS, pursuant to Resolution No. 2017-22, adopted by the City Council on February 7, 2017, the City Council declared the necessity to issue and sells bonds and incur other debt to finance the Facilities, including an amount not to exceed $53,000,000 in those portions of the CFD that are not in Improvement Area No. 1, with such amount to be allocated to Future Improvement Areas as described in the Resolution of Formation; and

WHEREAS, pursuant to Resolution No. 2019- 244, adopted by the City Council on December 17, 2019 (the “Annexation Resolution”), the City Council acknowledged receipt of a Unanimous Approval executed by the owner (the “Property Owner”) of Assessor’s Parcel Numbers 240 -140-50, 240 -140-51, 240- 140-52 and 240- 140-53 (the “Annexation Property”), which Unanimous Approval (i) identified, specified and approved the annexation of the Annexation Resolution ________

Page 2 ends

Property to the CFD as a separate improvement area and other related matters and (ii) confirmed that the Unanimous Approval constituted the approval and unanimous vote of the Property Owner with respect to the matters addressed in the Unanimous Approval under the Act and Article XIIIA of the California Constitution; and
WHERE
AS, pursuant to the Annexation Resolution, the City Council also, among other things, (i) confirmed that the Annexation Property had been added to the CFD as “Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016-2 (ECFD)” (“Improvement Area No. 3”), (ii) ratified and confirmed its direction to the City Clerk in the Resolution of Formation to record notice of the annexation pursuant to Section 3114.5 of the California Streets and Highways Code, (iii) ratified and confirmed its direction to the City Clerk to record a consolidated boundary map of the CFD to reflect the annexation of the Annexation Property to the CFD , (iv) confirmed that the maximum aggregate principal amount of bonds and other debt for Improvement Area No. 3, as specified in the Unanimous Approval, is $25,000,000 and (v) confirmed that the rate and method of apportionment of the special tax among the parcels of real property within Improvement Area No. 3, as specified in the Unanimous Approval (the “Improvement Area No. 3 Rate and Method”), was attached as Exhibit A to the Annexation Resolution; and WHERE
AS, the consolidated boundary map for the CFD was recorded in the real property records of San Joaquin County on June 25, 2020, in Book 7 of Maps of Assessment and Community Facilities Districts at page 016, as document number 2020-074938; and WHERE
AS, the Notice of Special Tax Lien for Improvement Area No. 3 was recorded in the real property records of San Joaquin County on June 25, 2020, as document number 2020- 074939; and
WHERE
AS, the City Council now wishes to provide for an initial series of bonds to be issued by the City, for and on behalf of the CFD with respect to Improvement Area No. 3, to be designated “Improvement Area No. 3 of the City of Tracy Community Facilities District No. 2016- 2 (ECFD) Special Tax Bonds, Series 2023 (the “Bonds”), pursuant to a Fiscal Agent Agreement (the “Fiscal Agent Agreement”) by and between the City, for and on behalf of the CFD, and U.S.

Bank Trust Company, National Association, as fiscal agent (the “Fiscal Agent”); and WHERE
AS, there have been submitted to the City Council certain documents described below providing for the issuance of the Bonds for the CFD with respect to Improvement Area No. 3 and the use of the proceeds of those Bonds, and the City Council, with the aid of its staff, has reviewed the documents and found them to be in proper order; and WHERE
AS, there has also been submitted to the City Council a form of preliminary Official Statement in connection with the marketing of the Bonds, and the City Council, with the aid of its staff, has reviewed the preliminary Official Statement; and WHERE
AS, in accordance with Government Code Section 5852.1, the City Council has obtained and disclosed the information set forth in Appendix A hereto; and WHERE
AS, all conditions, things and acts required to exist, to have happened and to have been performed precedent to and in the issuance of the Bonds and the levy of the special taxes as contemplated by this resolution and the documents referred to herein exist, have Resolution ________

Page 3 ends

happened and have been performed in due time, form and manner as required by the laws of the State of California, including the Act; now therefore be it RESOL
VED: That the City Council of the City of Tracy hereby finds that the foregoing recitals are all true and correct; and be it further
RESOL
VED: Pursuant to the Act , this Resolution and the Fiscal Agent Agreement, the City Council hereby authorizes the Bonds to be issued in the principal amount not to exceed $20,000,000; and be it further
RESOL
VED: The Bonds may be issued in one or more series, and the Bonds may be issued as federally taxable bonds or federally tax-exempt bonds, as determined by an Authorized Officer (as defined below); and be it further
RESOL
VED: The Bonds shall be dated, bear interest at the rates, mature on the dates, be issued in the form, be subject to redemption, and otherwise be issued on the terms and conditions, all as set forth in the Fiscal Agent Agreement and in accordance with this Resolution; provided, however, that the true interest cost shall not exceed 7.00%; and be it further RESOL
VED: The Fiscal Agent, an Authorized Officer (as defined below) and other responsible officers of the City are hereby authorized and directed to take such actions as are required to cause the delivery of the Bonds upon receipt of the purchase price thereof; and be it further
RESOL
VED: The City Council hereby finds that the issuance of the Bonds is in compliance with the Act, the Fiscal Agent Agreement and the City’s “Amended Local Goals and Policies for Community Facilities Districts (CFDs) ” adopted by the City Council on February 4, 2014, by Resolution No. 2014-019 (“Goals and Policies ”), except that the provision requiring property owners to provide continuing disclosure as long as they own property that is responsible for at least 10% of the special taxes in Improvement Area No. 3 is hereby waived so that the threshold can be established for the Bonds at a level acceptable to the Underwriter (as defined below) ; and be it further
RESOL
VED: The City Council hereby finds that the appraisal described in the Preliminary Official Statement (the “Appraisal”) has been prepared consistent with the Goals and Policies and meets the requirements of Section 53345.8 of the Act; and be it further RESOL
VED: In furtherance of the issuance of the Bonds and pursuant to Section 53345.8 of the Act, the City Council hereby finds and determines that the value of the real property in Improvement Area No. 3 subject to the special taxes levied pursuant to the Act to pay debt service on the Bonds is at least three times the aggregate principal amount of the Bonds and the principal amount of all other bonds outstanding that are secured by a special tax levied pursuant to the Act on property within Improvement Area No. 3 or a special assessment levied on property within the Improvement Area No. 3. In making this finding, the City Council has relied upon the value reported in the Appraisal ($191,793,000); and be it further RESOL
VED: To the extent permitted by law, the Mayor and the City Manager or such other official of the City as may be designated by the City Manager (each, an “Authorized Resolution ________

Page 4 ends

Officer”), acting alone, is hereby authorized and directed to execute and deliver the documents approved herein in substantially the form on file with the City Clerk, together with such additions, deletions or changes as are approved by such Authorized Officer, including such addi tions, deletions or changes as are necessary or advisable to permit the timely issuance, sale and delivery of the Bonds, and the City Clerk is hereby authorized and directed to attest thereto. The approval of such additions, deletions or changes shall be conclusively evidenced by the execution and delivery by an Authorized Officer of the documents herein specified; and be it further RESOL
VED: The City Council hereby approves the Fiscal Agent Agreement, in substantially the form on file with the City Clerk. The terms and provisions of the Fiscal Agent Agreement, as executed, are incorporated herein by this reference as if fully set forth herein; and be it further
RESOL
VED: The City Council hereby approves the Preliminary Official Statement prepared in connection with the Bonds in substantially the form on file with the City Clerk, together with any changes therein or additions thereto deemed advisable by an Authorized Officer; and be it further
RESOL
VED: The City Council hereby approves and authorizes the distribution by the underwriter of the Bonds of the Preliminary Official Statement to prospective purchasers of the Bonds, and authorizes and directs an Authorized Officer on behalf of the City to deem the Preliminary Official Statement “final” pursuant to Rule 15c2-12 under the Securities Exchange Act of 1934 (the “Rule”) prior to its distribution to prospective purchasers of the Bonds; and be it further RESOL
VED: The execution of the final Official Statement, which shall include Bond pricing information, such other changes and additions thereto deemed advisable by an Authorized Officer, and such information permitted to be excluded from the Preliminary Official Statement pursuant to the Rule, shall be conclusive evidence of the approval of the Official Statement by the City; and be it further
RESOL
VED: The City Council hereby approves the form of the Continuing Disclosure Certificate with respect to the Bonds in substantially the form thereof attached to the Official Statement on file with the City Clerk; and be it further RESOL
VED: The City Council hereby approves the Bond Purchase Agreement, between the City, for and on behalf of the CFD with respect to Improvement Area No. 3, and Piper Sandler & Co. (the “Underwriter”), in substantially the form on file with the City Clerk and made a part hereof as though set forth in full herein; and be it further RESOL
VED: An Authorized Officer is hereby authorized and directed to execute and deliver the Bond Purchase Agreement, subject to the requirement that the Underwriter’s discount on the purchase of the Bonds may not exceed 2.00% of the par amount of the Bonds and the interest rate may not exceed the rate specified above; and be it further RESOL
VED: In addition, and pursuant to Section 53345.8 of the Act, the City Council hereby finds and determines that an Authorized Officer may not execute and deliver the Bond Purchase Agreement unless the Appraisal concludes that the taxable property in Improvement Area No. 3 has a market value (subject to the various assumptions and conditions set forth in the Resolution ________

Page 5 ends

Appraisal) at least three times the principal amount of the Bonds to be sold and the principal amount of all other bonds outstanding that are secured by a special tax levied pursuant to the Act on property within Improvement Area No. 3 or a special assessment levied on property within the Improvement Area No. 3; and be it further
RESOL
VED: The City Council hereby approves the negotiated sale of the Bonds to the Underwriter pursuant to the Bond Purchase Agreement; and be it further RESOL
VED: The City Council hereby finds that sale of the Bonds to the Underwriter at a negotiated sale pursuant to the Bond Purchase Agreement will result in a lower overall cost than would be achieved by selling the Bonds at a public sale utilizing competitive bidding; and be it further
RESOL
VED: The City Council hereby approves, confirms and ratifies all actions heretofore taken by the officers and agents of the City with respect to the establishment of the CFD, the annexation of the Annexation Property to the CFD as Improvement Area No. 3, the approval of the Improvement Area No. 3 Rate and Method, the approval of bonded indebtedness and other debt for the CFD with respect to Improvement Area No. 3, and the sale and issuance of the Bonds; and be it further
RESOL
VED: The City Council hereby authorizes and directs the appropriate officers of the City to do any and all things and take any and all actions and execute any and all certificates, agreements and other documents, which they, or any of them, may deem necessary or advisable in order t o consummate the lawful issuance and delivery of the Bonds in accordance with this resolution, including but not limited to any actions required in connection with issuance of ratings or a municipal bond insurance policy with respect to the Bonds, and any certificate, agreement, and other document described in the documents herein approved; and be it further RESOL
VED: The City Council hereby authorizes a designee of an Authorized Officer to take any actions authorized by the City Council to be taken by an Authorized Officer, and such action by the designee of an Authorized Officer shall have the same force and effect as if taken by the Authorized Officer; and be it further
RESOL
VED: This resolution shall take effect from and after its adoption. The provisions of any previous resolutions in any way inconsistent with the provisions hereof in and for the issuance of the Bonds as herein described are hereby repealed. * * *
* * * * *
Resolution ________

Page 6 ends

The foregoing Resolution 2023- __ was adopted by the Tracy City Council on March 7, 2023, by the following vote:

AYES: COUNCI
L MEMBERS:

NOES: COUNCIL MEMBERS:

ABSENT: COUNCIL MEMBERS:

ABSTENTION: COUNCIL MEMBERS:
______________
NANCY D. YOUNG
Mayor of the City of Tracy, California
ATTEST: ______________

ADRIANNE RICHARDSON
City Clerk and Clerk of the Council of
the City of Tracy, California
Attachment to Resolution 2023-

APPENDI
X A
Government Code Section 5852.1 Disclosure
The good faith estimates set forth herein are provided with respect to the Bonds in accordance with California Government Code Section 5852.1. Such good faith estimates have been provided to the City by CSG Advisors Incorporated, the City’s Municipal Advisor in consultation with Piper Sandler & Co., Underwriter of the Bonds.

Principal Amount. The Municipal Advisor has informed the City that, based on the CFD financing plan and current market conditions, its good faith estimate of the aggregate principal amount of the Bonds to be sold is $16,330,000 (the “Estimated Principal Amount”), which excludes approximately $122,000 of net o riginal issue discount estimated to be generated from current market pricing. Net original issue discount is generated when, on a net aggregate basis for a single issuance, the prices paid for t he bonds ar e lower than the face values of such bonds.

True Interest Cost of the Bonds. The Municipal Advisor has informed the City that, assuming that the Estimated Principal Amount of the Bonds is sold as a single series of tax-exempt bonds, and based
on market interest rates prevailing at the time of preparation of such estimate, its good faith estimate of the true interest cost of the Bonds, which means the rate necessary to disco
unt the amounts payable on the respective principal and interest payment dates to the purchase price received for the Bonds, is 5.39%.

Finance Charge of the Bonds. The Municipal Advisor has informed the City that, assuming that the Estimated Principal Amount of the Bonds is sold, and based on m arket interest rates prevailing at the time of preparation of such estimate, its good faith estimate of the finance charge for the Bonds, which means the sum of all fees and charges paid to third parties (or costs associated with the Bonds), is $454,000. Such fees and charges include fees for bond and disclosure counsel, municipal advisor, appraiser, market absorption consultant, special tax consultant, fiscal agent, city attorney and staff time related to bond issuance, printing, and underwriting.

Amount of Proceeds to be Received. The Municipal Advisor has informed the City that, assuming t
hat the Estimated Principal Amount of the Bonds is sold less original issue discount, and based on market interest rates prevailing at the time of preparation of such estimate, its good fait
h estimate of the amount of proceeds expected to be re ceived on behalf of the CFD and Improvement Area No. 3 for sale of the Bonds, less the finance charge of the Bonds, as estimated above, and any reserves or capitalized interest paid or funded with proceeds of the Bonds, is $14,289,000.

Total Payment Amount. The Municipal Advisor has informed the City that, assuming that the Estimated Principal Amount of the Bonds is sold, and based on market interest rates prevailing at the time of preparation of such estimate, its good faith estimate of the total payment amount, which means the sum total of all payments that the Improvement Area No. 3 property owners will make to pay debt service on the Bonds, plus the finance charge for the Bonds, as described above, not paid with the proceeds of the Bonds (including the Bond proceeds deposited into a debt service reserve fund), calculated to the final maturity of the Bonds, is $34,457,000.

Attachment to Resolution 2023-
The for
egoing estimates constitute good faith estimates only. The act ual principal amount of the Bonds issued and sold, the true interest cost thereof, the finance charges thereof, the amount of proceeds received therefrom and total payment amount with respect thereto may differ from such good faith estimates due to (a) the actual date of the sale of the Bonds being different than the
date assumed for purposes of such estim ates, (b) the actual principal amount of Bonds sold being different from the Estimated Principal Amount, (c) the actual amortization of the Bonds being different than the amortization assumed for purposes of such estimates, (d) the actual market interest rates at the time of sale of the Bonds being different than those estimated for purposes of such estimates, (e) other market conditions, or (f) alterations in the CFD financing plan, delays in the financing, or a combination of such factors. The actual date of sale of the Bonds and the actual principal amount of Bonds sold will be determined by the City based on the timing of the need for proceeds of the Bonds and other factors. The actual interest rates borne by the Bonds will depend on market inter est rates at the time of sale thereof. The actual amortization of the Bonds will also depend, in part, on market interest rates at the time of sale thereof. Market interest rates are affected by economic and other factors beyond the control of the City.

March 7, 2023
Agenda Item 3.E

RECOMMEND
ATION
Staff recommends that the City Council adopt a resolution approving 1) the updated Emergency Operations Plan to provide community support during an emergency, in compliance with State and Federal laws, and 2) a Business Continuity Plan addressing the needs of the City following an emergency.

EXECUTIVE SUMMARY
As a response to potential health or safety emergencies that the City of Tracy may face, staff is propos
ing updating City of Tracy’s Emer gency Operations Plan (EOP), based on state and federal guidelines. In addition, staff is recommending adopting a Business Continuity Plan to help support the delivery of essential functions following a disaster or emergency. The Emergency Operations Plan is structured to assist the City during an emergency, while the Business Continuity Plan is an internal policy for post emergency functionality.

BACKGROUND AND LEGISLATIVE HISTORY
The proposed emergency plan will replace the City’s existing plan and bring into compliance wi
th current state and federal guidance and best emergency management practices. In December 2020, the City contracted, through South San Joaquin County Fire Authority, wi th Tetra Tech, Inc. to update the City’s outdated emergency plan. South San Joaquin County Fire Authority’s (SSJCFA) senior staff supported the update process and acted as the City’s project lead. During the update process, Tetra Tech provided various draft versions for feedback , recommendations, and suggestions. The final draft version was circulated among City Department head for
final comments before finalizing the document.

In December 2019, the City contracted with Mike Dever, Emergency Management Consultant for the Central San Joaquin Valley Risk Management Authority to prepare a Business Continuity Plan to serve as a structure for the delivery of essential functions following a disaster or emergency. The Business Continuity Plan defines the process through which essential functions are identified, how business continuity team members are designated, identification of continuity event communications, considerations for alternative locations, and procedures to return to normal operations once the disaster or emergency no longer requir es continuity acti
vation. As part of the 2022 San Joaquin County Grand Jury Report, the City was as ked to update our Business Continuity Plan also, which was already in progress since December of 2019.

ANALYSIS
The Governor’s Office of Emergency Services (Cal OES) and the Federal Emergency Managemen
t Agency (FEMA) provi de guidance for information to be included in an EOP. The updated plan also includes emergency management industry best practices such as operating a remote Emergency Operations Center (EOC).

Agenda Item 3.E
March 7, 2023

Page 2 ends

The updated EOP contains functional annexes that assist staff when the EOC has been activated during an emergency or disaster. These functional annexes are consistent with the severe hazards identified in the recent Hazard Mitigation Plan update in 2019. The EOP is a "living" plan which means it can be modified as warranted. While there is no current requirement when to update an EOP, industry best practices suggest at least every 3 - 5 years or when a significant incident has occurred in the jurisdiction. The updated EOP has been updated to reflect current Cal OES guidance for local jurisdictions.

In light of the recent COVID public health emergency and consistent with the City's focus on improving emergency management service, the updated EOP has incorporated recent changes and practices.

The City and South San Joaquin County Fire Authority will partner with Tetra Tech to further assist with
delivery of EOP training and exercises, EOC assessment, and transition to a robust Continuity of Operations Plan.

Development of the Business Continuity Plan includes four steps: 1) business Impact Analysis to identify t
ime-sensitive or critical business functions and processes and the resources that support them, 2) identify, document, and implementation process to recover critical essential functions and processes, 3) organize a business continuity team and compile a business continuity plan to manage a business disruption, and 4) conduct training for the business continuity team and testing and exercises to evaluate recovery strategies and the plan. Details of the department Business
Process Analysis, Impact Analysis & Mitigation and Essential Function Summary are contained in the functional Annexes to the Plan and will be updated routinely to reflec
t change or evolution in organizational structure, essential functions and plans to address potential threats or disasters.

FISCAL IMPACT
Funding for the updated Emergency Operations Plan was previously approved within the FY2023-24 operating budget. No additional funding is required for adoption.

COORDINATION
This plan update was conducted in conjunction with South San Joaquin County Fire Authority.

STRATEGIC PLAN
This
agenda item supports the City’s Public Safety Priority to strengthen Citywide Emergency Operations
Preparedness by developing a Citywide Emergency Operations Plan, including Council and staff training
and a local pandemic response plan.

ACTION REQUESTED OF THE CITY COUNCIL
Staff recommends that the City Council adopt, by resolution, 1) the updated Emergency Operations
Plan to provide community support during an emergency, in compliance with State and Federal laws, and 2) a Business Continuity Plan addressing the needs of the City following an emergency.

Agenda Item ___
March 7, 2023

Page 3 ends

Sara Cowell, Director of Finance
Karin Schnaider, Assistant City Manager
Approved by: M idori Lichtwardt, Acting City Manager
Attachments:

A - Emergency Operation Plan
B – Business Continuity Plan
Prepared by: Division Chief Chris Martin, South San Joaquin County Fire Authority Kimberly Murdaugh, Director of Human Resources
Reviewed by: Fire Chief Randall Bradley, South San Joaquin County Fire Authority

CITY OF TRACY

EMERGENCY OPERATIONS PLAN

ATTACHMENT A
City of Tracy Emergency Operations Plan
November 2022

Emergency Management Services Provided By:

South San Joaquin County Fire Authority

Prepared for:

City of Tracy
333 Civic Center Plaza
Tracy, CA 95376
(209) 831-6000
www.cityoftracy.org
Prepared by:

Tetra Tech, Inc.
1999 Harrison Street, Suite 500
Oakland, CA 94612
(510) 302-6300
www.tetratech.com

City of Tracy
333 Civic Center Plaza
Tracy, CA 95376
(209) 831-6000
www.cityoftracy.org

ATTACHMENT A
City of Tracy Emergency Operations Plan
i November 2022

CONTENTS
Letter of Promulgation ............................................................................................................................... iii Preface ........................................................................................................................................................ iv Authority, Approval, and Distribution ....................................................................................................... v BASIC PLAN ................................................................................................................................................ 7

1.0 Introduction ......................................................................................................................................... 1

1.1 Purpose.............................................................................................................................................. 1

1.2 Goals and Objectives ......................................................................................................................... 1

1.3 Scope ................................................................................................................................................. 2

1.4 Limitations .......................................................................................................................................... 2

1.5 Situation / Hazard Assessment ......................................................................................................... 2

1.6 Planning Assumptions ....................................................................................................................... 3

2.0 Concept of Operations ....................................................................................................................... 5

2.1 Field-Level Coordination .................................................................................................................... 5

2.2 Local, Operational Area, Regional, and State-Level Coordination: SEMS ....................................... 5

2.3 National Incident Management System (NIMS) and National Response Framework (NRF) ............ 8

3.0 Emergency Management Organization ............................................................................................. 9

3.1 Director and Assistance Director of Emergency Services ................................................................. 9

3.2 City Employees .................................................................................................................................. 9

3.3 South San Joaquin County Fire Authority ......................................................................................... 9

4.0 Emergency Management Cycle ....................................................................................................... 10

4.1 Preparedness Phase ....................................................................................................................... 10

4.2 Response Phase ............................................................................................................................. 12

4.3 Recovery Phase .............................................................................................................................. 12

4.4 Prevention Phase ............................................................................................................................ 15

4.5 Mitigation Phase .............................................................................................................................. 15

4.6 Whole Community Approach ........................................................................................................... 16

5.0 Emergency Operations Organization .............................................................................................. 20

5.1 EOC Locations ................................................................................................................................. 20

5.2 Activations & Deactivation ............................................................................................................... 20

5.3 EOC Communication & Coordination .............................................................................................. 22

5.4 EOC Structure – Hierarchy of Command and Span-of-Control....................................................... 22

5.5 EOC Action Plans ............................................................................................................................ 24

6.0 Emergency Declarations .................................................................................................................. 25

6.1 Local Proclamation .......................................................................................................................... 25

6.2 State of Emergency ......................................................................................................................... 25

6.3 State of War Emergency.................................................................................................................. 25

6.4 Presidential Declaration ................................................................................................................... 26

7.0 Public Information ............................................................................................................................. 27

7.1 Joint Information System ................................................................................................................. 27

7.2 Joint Information Center .................................................................................................................. 27

8.0 Continuity of Government ................................................................................................................ 28

8.1 Essential Facilities-Alternate Government Facilities ....................................................................... 29

ATTACHMENT A
City of Tracy Emergency Operations Plan
ii November 2022

8.2 Preservation of Vital Records .......................................................................................................... 29

9.0 Plan Development and Maintenance ............................................................................................... 30

10.0 Authorities and References ............................................................................................................. 31

10.1 Local Authorities and References .................................................................................................... 31

10.2 State Authorities and References .................................................................................................... 31

10.3 Federal Authorities and References ................................................................................................ 31 Abbreviations ............................................................................................................................................ 32

ANNEXES
Annex 1 Tracy City Profile
Annex 2 Department Roles & Responsibilities
Annex 3 Earthquakes
Annex 4 Flooding
Annex 5 Wildfires
Annex 6 Severe Weather
Annex 7 Mass Care and Shelter
Annex 8 EOC Activation
Annex 9 De-Energization
Annex 10 Alert & Warning
Annex 11 Terrorism
Annex 12 Pandemic

ATTACHMENT A
City of Tracy Emergency Operations Plan
iii November 2022

LETTER OF PROMULGATION

ATTACHMENT A
City of Tracy Emergency Operations Plan
iv November 2022

PREFACE
The Emergency Operations Plan (EOP) outlines how the government, stakeholder agencies, community groups, business community, and residents of the City of Tracy (City/Tracy) coordinate their response to major emergencies and disasters. This plan is regularly reviewed and updated by staff and approved by the City Council.

The EOP identifies operational strategies and plans for managing inherently complex and potentially catastrophic events. City assets, resources, and departments are potentially vulnerable and may become overwhelmed. With this in mind, a primary goal of the EOP is to promote flexibility whenever possible. The EOP is not intended to limit the use of good judgement and common sense. It is intended to facilitate emergency response and short -term recovery functions for emergencies and disasters that are outside of the scope of normal City operations.

With the adoption of this updated EOP, the City of Tracy officially adopts and affirms the use and integration of the following emergency management, response, and coordination systems:
• Incident Command System (ICS)
• Standardized Emergency Management System (SEMS)
• National Incident Management System (NIMS)
• National Response Framework (NRF)
This EOP addresses these phases of emergency management:
• Preparedness
• Response
• Recovery
• Mitigation
By incorporating the Federal Emergency Management Agency ’s (FEMA) “Whole Community” approach, the City affirms its collaborative efforts in working with all City segments to embrace the concept that preparedness is a shared responsibility.

The City’s Emergency Operations Center (EOC) provides a centralized location where emergency management coordination and decision making can be supported during a critical incident, major emergency, or disaster. When activated, the EOC provides support for a number of critical tasks related to communications, coordination, resource management, and executive leadership.

If the City of Tracy determines that the effects of an emergency are, or may become, beyond the capability of local resources, a local emergency can be proclaimed. A local proclamation of emergency allows the City Manager , as the Director of Emergency Services , to take measures necessary to protect and preserve public health and safety and supports requests for state and federal assistance. A proclamation also provides City staff with additional powers and authorities to increase the speed and effectiveness of City response activities.

Attachments to this EOP include a summary of authorities and references, a summary of the hazards facing the City, and a list of abbreviations used.

The EOP is organized and defined as follows:

ATTACHMENT A
City of Tracy Emergency Operations Plan
v November 2022
• Basic Plan includes the planning assumptions, policies, and concept s of operations that guide the responsibilities for emergency preparedness, response, recovery, and mitigation for the City of Tracy.
• Annexes include informational, functional, hazard specific, and operational guidance There are a number of City plans, procedures, and other documents that support or relate to this Basic Plan and Annexes.

AUTHORITY, APPROVAL , AND DISTRIBUTION
This Emergency Operations Plan is sanctioned under the authority of the Tracy Municipal Code (City of Tracy, 2 002) and promulgated under the authority of the city manager as director of emergency services. State Authority can be found, in part, in the California Emergency Services Act (State of California, 2015) and various other codes and regulations. Federal Authority is found in the Robert T. Stafford Act (FEMA - U.S. Government, 2019) and in Homeland Security Presidential Directives 5 and 8 (FEMA - U.S. Government, 2003); (DHS - U.S. Government, 2011). The systems used nationally are the National Incident Management System (NIMS) and the National Response Framework (NRF).

This document shall be the official Emergency Opera tion Plan for the City of Tracy and shall supersede all previous plans for this purpose. Nothing in this plan shall be construed in a manner that limits good judgment and common sense in matters not foreseen or covered by the elements of the plan or any appendices hereto.

This plan is approved by the Tracy City Manager and ratified by the City Council. Copies of the plan will be distributed to each City Department, the EOC, and EOC section coordinators.

City of Tracy

________________________________________ ______________ City Manager Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
vi November 2022

PLAN CHANGES / UPDATES
Change Date Editor Department

DISTRIBUTION LIST
Name Department

The EOP will be distributed electronicall y. Hard copies will reside with the City’s Emergency Manager and in the EOC.

ATTACHMENT A
City of Tracy Emergency Operations Plan
November 2022

BASIC PLAN

ATTACHMENT A
City of Tracy Emergency Operations Plan
1 November 2022

1.0 INTRODUCTION
This Emergency Operations Plan (EOP) serves as a significant document for the City of Tracy’s emergency management activities. To ensure adequate preparedness, City departments should actively participate in preparedness and planning activities , including the development of departmental plan s, policies , and procedures as necessary to fulfill assigned roles and obligations.

The EOP embraces the Federal Emergency Management Agency’s (FEMA) “whole community” approach to emergency management. In addition to City resources, it recognizes the role of non- governmental organizations, community-based organizations, faith-based organizations, private- sector businesses, educational institutions, and other stakeholders. The EOP is intended to reflect the wide variety of support that may be required by residents, visitors, and businesses, including people with disabilities and others with access or functional needs. Consideration for people with disabilities, access or functional needs will be given in emergency planning.

Certain groups and organizations w ill need to interface with the City ’s Emergency Operations Center (EOC) and with each other, including in circumstances where normal telecommunications may be impaired. By understanding the elements of this plan, the City and such organizations can facilitate that process.

Members of the community should be aware of the potential risks and hazards the City faces and the responsibility to prepare personally, at a family level, and in one’s organization.

1.1 Purpose
The purpose of this EOP is to outline the framework, concepts, and policies of Tracy’s emergency procures and operations to ensure effective management and coordination of the City’s response to significant emergencies and disasters. It identifies roles and responsibilities for various individuals and departments as they pertain to preparedness, response, recovery, and mitigation activities. This plan serves as a foundational document for other City plans, as well as a reference document for other government and non -government organizations and entities . This plan complies with current federal, state, and local laws and regulations as well as best practices.

1.2 Goals and Objectives
The overall objective of emergency management is to ensure the effective coordination of resources in preparing for and responding to situations associated with natural disasters, technological incidents and national security emergencies. To carry out its responsibilities, the emergency management organization will accomplish the following goals and objectives during an emergency/disaster:
• Goal 1: Save Lives
o Objective 1.1: Prepare and disseminate emergency public information to alert, warn, and inform the public
o Objective 1.2: Provide effective life safety measures. • Goal 2: Incident Stabilization and Restoration of Essential Services

ATTACHMENT A
City of Tracy Emergency Operations Plan
2 November 2022
o Objective 2.1: Maintain overall coordination/support of emergency response and recovery operations.
o Objective 2.2: Coordinate and liaise with appropriate federal, state and other local government agencies, as well as applicable segments of private sector entities and volunteer agencies
o Objective 2.3: Establish priorities and resolve conflicting demands for support. o Objective 2.4: Provide accurate documentation and records required for cost recovery efforts.
o Objective 2.5: Provide for the rapid resumption of impacted businesses and community services.
• Goal 3: Protection of Property and the Environment
o Objective 3.1: Provide effecti ve response efforts to reduce property loss and damage to the environment.

1.3 Scope
The EOP serves as the foundational document for the City’s emergency management activities.

The EOP applies to any significant emergency associated with any hazard or threat, natural, technical, or human -caused, which may affect the City and result in a planned, coordinated response effort by City agencies. While all City resources may be called upon as needed, specific departmental responsibilities are outlined in the EOP Basi c Plan and associated annexes. To ensure the City is adequately prepared, all City departments are required to actively participate in preparedness and planning activities to include the development and review of departmental plans, policies, procedures, r esource information and contact information as necessary to fulfill their assigned roles and obligations.

1.4 Limitations
While many of the elements outlined in the EOP are designed for flexibility and can be utilized as needed to address a number of emergency and non-emergency events, some activities require special activation or a formal disaster declaration by the City Council. Similarly, the EOP is not meant to outline procedures for routine incidents or minor emergencies which are adequately addressed through existing processes.

The EOP identifies operational strategies and plans for managing inherently complex and potentially catastrophic events. Assets, resources, and departments are potentially vulnerable and may become overwhelmed. Deviations from the o rganizational and response structures outlined in the EOP may be required, based upon evolving needs and available resources.

With this in mind, the EOP is designed to promote flexibility whenever possible and is not intended to limit the use of good judgment and common sense in matters not foreseen or adequately addressed by elements of the EOP and its associated annexes, appendices, or plans.

1.5 Situation / Hazard Assessment
Emergency management is based on an understanding of a jurisdiction ’s risk. The City has undergone multiple hazard analysis processes per FEMA’s “Comprehensive Preparedness Guide

ATTACHMENT A
City of Tracy Emergency Operations Plan
3 November 2022
101” (CPG 101). The City has a population of 95,387 (US Census 2021 estimate) and covers a geographic area of 26 square miles.

Tracy will provide a response which is commensurate with the available staffing and resources at its disposal. Tracy does not have the capability and resources to provide adequate response for all emergencies and incidents during disasters. As warranted, the City can request additional assistance through the San Joaquin County Operational Area.

This current best practice places risk into three categories: natural, technological (accidental), and human-caused (deliberate).

The current Hazard Mitigation Plan (City of Tracy, 2019) identifies the following as the top hazards for the City:

Natural Hazard Type Category
Earthquake Medium
Wildfire Medium
Severe Weather Medium
Flooding Medium
Drought Medium

1.6 Planning Assumptions
The following assumptions may be viable during emergency and/or disaster operations:
• Tracy is susceptible to a number of hazards and risks that may result in critical incidents which may include natural, technological, or human caused. • Emergencies may occur at any time with little or no warning and may exceed the capabilities of local, state, and federal governments, and the private sector in the affected areas.
• All City departments will participate in planning and preparedness activities as required. • City personnel will be adequately trained to perform the emergency roles to which they are assigned.
• The City’s EOC may be partially or fully activated to support operations during critical incidents and/or significant events.
• The City of Tracy is primarily responsible for emergency action within their municipality and will commit all available resources to save lives, minimize injuries to persons, and minimize damage to property and the environment.
• City departments will participate during a signif icant emergency or disaster ; however, personnel may be unavailable or unable to report to work. • Tracy will use the Incident Command System (ICS), Standardized Emergency Management System (SEMS), and National Incident Management System (NIMS) in emergency response and management of operations.
• The City will commit its resources to a reasonable degree before requesting mutual aid assistance.

ATTACHMENT A
City of Tracy Emergency Operations Plan
4 November 2022
• Non-essential City operations may be reduced or cancelled in order to prioritize resources. • Following a major disaster or catastrophic incident, Tracy may have to rely on their own resources to be self-sustaining until mutual aid is available. • Transportation infrastructure may be disrupted and access to critical facilities may be blocked.
• Critical infrastructure and utilities (natural gas, water, electricity, sanitary sewer, garbage, recycling, communications, etc.) may be severely impacted. • Residents, businesses, and other entities may need to be self -sufficient for one week or more.
• Reasonable accommodations will be made for people with disabilities and/or access and functional needs, but additional planning, resources, and support may be required during emergencies.

ATTACHMENT A
City of Tracy Emergency Operations Plan
5 November 2022

2.0 CONCEPT OF OPERATIONS
In accordance with state and federal laws and guidance, the City of Tracy has officially adopted and integrated the following emergency management, response, and coordination systems into the current emergency management operations:
• Incident Command System (ICS)
• Standardized Emergency Management System (SEMS) (State of California, 2015) • National Incident Management System (NIMS) (FEMA - U.S. Government, 2019) Collectively, the congruent operational systems outline how critical incidents, emergency, a nd disasters will be coordinated in the field, and all levels of government – local, county, regional, state and federal.

2.1 Field-Level Coordination
As mandated by both SEMS and NIMS, Tracy utilizes the Incident Command System (ICS) to manage response activities in the field. ICS provides for common terminology, processes, and position titles, while allowing the delegation of functions (or tasks) to subordinate positions in order to promote proper span of control and unity of command. ICS is applicable to any size incident and is designed to scalable as the needs of an incident expand or contract. When utilized, the standardization of ICS principles and nomenclature is capable of integrating large numbers of personnel from disparate organizations.

Multi-Agency Coordination System (MACS)
The Multi -Agency Coordination System (MACS) is a part of NIMS and provide s the basic architecture for facilitating the allocation of resources, incident priori tization, coordination and integration of multiple agencies for large-scale incidents and emergencies. A MAC group is made up of administrators or designees authorized to represent or commit agency resources and funds.

MAC groups do not have direct involve ment in the incident(s) and may function virtually. The principal functions and responsibilities associated with MACS include:
• Situation awareness / assessment
• Incident priority determination
• Critical resource acquisition and allocation
• Anticipating / identifying future resource requirements • Coordinating policy issues
• Providing strategic coordination
• Joint Information Systems

2.2 Local, Operational Area, Regional, and State-Level Coordination: SEMS Standardized Emergency Management System (SEMS) is intended to standardize response in emergencies and is intended to be flexible and adaptable to the needs of the emergency responders. SEMS forms the foundation of emergency management organization throughout the State of California and its use is required by all jurisdictions. SEMS requires agencies use basic principles and components of emergency management including Incident Command System, multi-agency coordinator, operational area concept and established mutual aid systems. Local

ATTACHMENT A
City of Tracy Emergency Operations Plan
6 November 2022
government must use SEMS to be eligible for state funding of response-related personnel costs.

SEMS utilizes five organizational tiers which are activated as need be and they consist of: field response, local government, operational area, regional, and the state.

Tracy has incorporated the use of SEMS into its emergency management program.

OPERATIONAL AREA
San Joaquin County

CITIES & TOWNS
Escalon
Lathrop
Lodi
Manteca
Ripon
Stockton
Tracy

SPECIAL DISTRICTS
Fire, Community Service,
Utility, Water, Sanitary,
Conservation, Recreation, etc.

REGION
Cal OES Inland Region
Sacramento
STATE
State of California
Cal OES

2.2.1 Field Response
Field response includes on-scene activities and coordination, consistent with ICS, to make tactical decisions in direct response to the emergency of disaster. The field response is managed through an Incident Command Post (ICP). Resource requests and situation reports are routed from the field to the next SEMS organizational level, either through participating response agencies or the local EOC if activated.

2.2.2 Local Government
The City of Tracy, as the local government, retains the responsibility and authority for managing response activities within its jurisdiction. To support these efforts, the City may a ctivate its EOC and departments may consider employing Department Operations Center (DOC). A DOC may operate without activating The EOC provides agency coordination, provides logistical support, establishes common operating procedures, identifies overarchi ng priorities, and prioritizes available resources. Additionally, the EOC coordinates with San Joaquin County Operational Area (OA)/County EOC.

A DOC may be activated to manage singular or multiple incidents low to mid-level incidents that are managed by the associated department. The intensity, severity, or duration of the incident(s) do not necessitate EOC activation. Alternatively, a DOC may also be activated to manage and support field operations as part of an EOC activation.

2.2.3 Operational Area
The Operational Area (OA) provides response coordination for all political subdivisions within the county’s jurisdiction. The OA coordinates response activities within the count y’s jurisdiction Information Flow
Resource Requests

ATTACHMENT A
City of Tracy Emergency Operations Plan
7 November 2022
through the County EOC, if activated. The OA serves as a link to the regional level and other OAs within the region.

Tracy is part of the San Joaquin Operational Area and coordinates with the San Joaquin County Office of Emergency Services (OES). The City participates in San Joaquin OA planning and during a critical incident, coordinates with the OA, through either the San Joaquin County OES or the San Joaquin County EOC, if activated.

2.2.4 Regional
The State of California is divided into three regions that each maintains Regional Emergency Operations Centers (REOC) to coordinate resource requests, support mutual aid, and promote situational awareness between their respective OAs. The City of Tracy and San Joaquin County are in the Inland Region.

2.2.5 State
The Governor, through California Office of Emergency Services (Cal OES) and its Mutual Aid Regions, will coordinate statewide operations to include the provision of mutual aid and other support to local jurisdictions and the redirection of essential supplies and other resources as required. San Joaquin County is part of the OES Inland Region. Requests that exceed the capabilities of the Operational Area will be forwarded to the Region.

The Cal OES Director, assisted by State agency directors, their staff, and volunteer agency staff will constitute the State emergency management staff.

Mutual Aid
The California Mutual Aid System operates within the framework of the California Master Mutual Aid Agreement (MMAA) and under the authority of the California Emergency Services Act. The system allows for the mobilization of resources to and from emergency response agencies, local governments, operational areas, regions, and the state with the intent to provide requesting agencies with adequate resources. Mutual aid is utilized by primary response disciplines:
• Fire and Rescue
• Law Enforcement
• Coroner / Medical Examiner
• Emergency Management
• Medical & Health

ATTACHMENT A
City of Tracy Emergency Operations Plan
8 November 2022
Coordinated By Cal OES
Coordinated by Cal
Emergency Medical
Services Authority
Fire Rescue
Branch
Law Enforcement
Branch
Emergency
Management
Medical & Health
Disaster Medical &
Health Mutual Aid
• Fire & Rescue
Mutual Aid
• Urban Search &
Rescue Mutual
Aid
• Law Enforcement
Mutual Aid
• Coroner/Medical
Examiner Mutual
Aid
• Emergency
Management Mutual
Aid
• Public Utilities Mutual
Aid
• Water/Wastewater
Agency Response
Network (WARN)

Hazardous Material
Mutual Aid
Search & Rescue
Mutual Aid

The California Mutual Aid System includes six mutual aid regions in order to facilitate the coordination and flow of mutual aid requests. As part of the Cal OES Inland Region, the San Joaquin Operational Area and Tracy are part of Mutual Aid Region IV.

The system includes a number of discipline -specific mutual aid systems that oper ate through designated mutual aid coordinators at the Operational Area, regional, and State levels. Mutual aid requests are coordinated within their geographic area before unfilled requests are forwarded to the next level. Mutual aid requests that do not fall into one of the discipline-specific mutual aid systems are handled through the emergency services mutual aid system and by emergency management staff at the local government, operational area, regional, and state levels.

2.3 National Incident Management System (NIMS) and National Response Framework (NRF)
NIMS provides a comprehensive national framework for incident management applicable at all jurisdictional levels and across all functional disciplines. The majority of NIMS requirements applicable to the City of Tracy, including the adoption of ICS. Additional elements of NIMS outline coordination between federal agencies and the use of federal assets and resources.

NIMS is built on the following three components:
• Resource Management
• Command and Coordination, including the Incident Command System • Communications and Information Management
The National Response Framework (NRF) is built upon the premise that incidents are typically handled at the lowest jurisdictional level. The NRF provides the framework for federal interaction with state, local, tribal, private sector and non -governmental entities in the context of domestic incident management to ensure timely and effective federal support.

Tracy has adopted the use of NIMS and ICS into its emergency management program.

ATTACHMENT A
City of Tracy Emergency Operations Plan
9 November 2022

3.0 EMERGENCY MANAGEMENT ORGANIZATION
The City’s Municipal Code outlines the purpose of emergency services for the preparation and carrying out of plans for the protection of people and property within respective city in the event of an emergency; th e direction of the emergency organization; and the coordination of the emergency functions with all other public agencies, corporations, organization, and affected persons.

3.1 Director and Assistance Director of Emergency Services Tracy’s Municipal Code designates the City Manager as the Director of Emergency Services who has the responsibility and authority for managing the emergency organization with their city. The Director of Emergency Services is responsible for the coordination of “services and staff of the emergency organization of the city and resolve questions of authority and responsibility.” The city manager serves as the primary EOC Director.

The Director of Emergency Services has overall management responsibility for emergency services (City of Tracy, 2002) . The Director will appoint a senior staff member to serve as the Assistant Director of Emergency Services.

3.2 City Employees
One of the greatest resources for the City of Tracy is its employees. California Government Code designates that all public employees are Disaster Services Workers (DSW). (State of California, 2013) Any employee of the City of Tracy may be assigned to perform activities which promote the protection of public health and safety or the preservation of lives and property. Such assignments may require services at locations, times, and under conditions that are significantly different than normal work assignments and may continue into the recovery phase of emergency.

3.3 South San Joaquin County Fire Authority
South San Joaquin County Fire Authority (South County Fire) is a joint powers authority formed through the combined efforts of the City of Tracy Fire Department and Tracy Rural Fire Protection District. The agencies became one fire department in 1999 that provides fire and emergency services to the greater Tracy community. The authority is an independent pursuant to Title 1.

Division 7, Chapter 5 of the Government Code of the State of California (California, n.d.).

3.4 San Joaquin County
The City of Tracy participates in coordination efforts with emergency service agencies at both the field and administrative/operational coordination levels with allied first responders, County OES, County Public Health, other similar agencies.

Tracy collaborates in its emergency management efforts to be in concert with County OES.

ATTACHMENT A
City of Tracy Emergency Operations Plan
10 November 2022

4.0 EMERGENCY MANAGEMENT CYCLE
Emergency management is divided into various phases with each of these phases bendin g in to the next one. There is no clear demarcation of when one phase starts and another one ends.

Elements from each phase may be used to support or augment elements from another phase.

4.1 Preparedness Phase
The preparedness phase involves activities undertaken in advance of an emergency. These activities develop operational capabilities and effective responses to a disaster. These activities focus on maintaining or improving capabilities that will be used in the response o r recovery phases. Preparedness actions might include mitigation activities, emergency/disaster planning, training, exercises and public education. Members of the emergency management organization should prepare checklists detailing assignments, notification rosters, resource lists and other useful documents. Personnel should be acquainted with these documents through periodic training and reviews.

4.1.1 Planning
Emergency planning includes a wide variety of plans at the strategic, operational, and tactical levels. Strategic plans include the EOP and many of its associated hazard -specific or functional annexes, while operational and tactical planning includes more detailed information such as standard operating procedures (SOP), checklists, personnel assignments, notification rosters, resource lists, and forms.

All City departments are required to participate in the development of relevant strategic and operational plans while ensuring that internal tactical planning is sufficient to meet the needs of their outlined roles and assigned objectives. This includes the development of department-specific SOPs required to meet the objectives outlined for each department Continuity Planning
Disasters or major emergencies have the potential to disrupt or interrupt critical and essential City services that are vital to the health and welfare of its residents. Planning for such possibilities addresses the continuation of government and succession of officers. To ensure this continuity the City will address the following:
• Identification and prioritization of essential services • Establishment, promulgation and maintenance of orders of succession • Identification of delegation of authority
• Identification of continuity of communication
• Identification and maintenance of continuity of facilities • Maintenance of vital records
• Establishment of process of reconstruction
• Development of an effective test, training and exercise program to support continuity efforts

ATTACHMENT A
City of Tracy Emergency Operations Plan
11 November 2022
• Development of a Business Continuity Plan (BCP) – detailed and comprehensive information is contained in the COOP (Continuity of Operations Plan) plan; the COOP Plan, which ha s been recently updated by the City, should be used in concert with the EOP.

4.1.2 Training
Training is an essential component of preparedness and greatly impacts the ability to respond to and recover from a critical incident.

South County Fire facilitates trainings and regularly communicates opportunities to City and fire staff members. Additionally, the City prioritize trainings that promote staff und erstanding and familiarity with the following concepts:
• ICS
• SEMS
• NIMS
• California Disaster Service Worker (DSW) (State of California, 2013) • EOC Functions
The City Manager will ensure that staff members assigned to the EOC are pr operly trained and competent to fulfill their designated responsibilities. Staff members are encouraged to engage in on-going emergency management training to be familiar with current plans and guidance and capable of fulfilling the EOC role to which they are assigned.

4.1.3 Exercises
Exercises are a primary tool for assessing preparedness and identifying areas for improvement.

They are a valuable method to validate plans and train personnel. Tracy follows the Homeland Security Exercise and Evaluation Program (HSEEP) including seminars, tabletop and functional exercises.

A variety of exercises and trainings are used to assess capabilities and prioritize future planning and training needs. By simulat ing potential response and recovery scenarios, Tracy is able to validate existing plans and determin e where additional training might be needed. South County Fire will develop a Training and Exercise Program that incorporates a building block approach in the development of planned exercises to facilitate increasing awareness and knowledge.

4.1.4 Public Awareness & Education
South County Fire and the Police Department, and other City departments promote public awareness and education in order to strengthen overall preparedness and community resilience.

By providing community education, outreach, training, and coordination, the City increases the ability of community members and organizations to adequately prepare for and meet their own needs. By promoting self -reliance and preparedness, the cities reduce the overall burden on limited resources and competing needs that may arise during critical incidents.

Public Education is an essential tool to teach residents how to prepare for, react to and recover from a major emergency or disaster.

ATTACHMENT A
City of Tracy Emergency Operations Plan
12 November 2022

4.2 Response Phase
The response phase includes any actions taken immediately before, during, or directly after a critical incident in order to minimize the potential or existing impacts of the incident.

4.2.1 Pre-Event
Some incidents may provide sufficient warning to allow for pre-event or precautionary measures.

Depending on the likelihood of significant impacts, pre-event response may include:
• Public warning
• Evacuations
• Resource Mobilization
• Staging
• Mutual Aid Requests
• Proclamation of a Local Emergency

4.2.2 Emergency Response
Emergency response activities are actions taken during or immediately after a critical incident to reduce or minimize actual impacts. While these activities are often associated with traditional response units – fire, law enforcement, emergency medical service (EMS), and public works – the size and complexity may require support from additional governmental agencies, non- governmental organizations, businesses, community and faith-based organizations, and other partners.

During emergency responses, some incidents may escalate beyond the capabilities of field operation management that may warrant the need for additional support and coordination using a DOC. When an incident or multiple incidents exceed the capabilities of a DOC, or when multiple department DOCs have been activated and more coordinated efforts are needed, the EOC should be activated.

When coordinating emergency response activities and prioritizing needs and objectives, the following hierarchy is utilized:

1. Life Safety

2. Incident Stabilization

3. Protection of property and infrastructure and restoration of essential services

4. Reduce impacts to the environment
Emergency response may include activities related to short-term recovery and often overlaps with long-term recovery operations.

4.2.3 Prolonged Emergency
In addition to continuing life and property protection; operations, mass care, relocation, public information, situation analysis, status and damage assessment operations will be initiated.

4.3 Recovery Phase
The Recovery Phase includes short and long-term activities focused on returning the community to pre-incident or improved conditions. In some situations, when a disaster declaration has been

ATTACHMENT A
City of Tracy Emergency Operations Plan
13 November 2022
made, recovery activities may include the critical task of identifying, documenting and quantifying response and recovery costs eligible for reimbursement.

The Recovery Phase may begin during the Response Phase or as directed by the EOC Director.

Depending on the incident the recovery process may be short or be a sustained operation lasting several years. A comprehensive recovery plan may provide more detailed actions for a prolonged recovery period. The EOP is intended to be used mostly during the response phase of an incident; it is not intended to be a comprehensive reco very plan. Detailed information, procedures, and protocols would be outlined in a separate recovery plan.

The City may set priorities and secure resources. The following actions may help facilitate recovery efforts
• Conducting damage assessments
• Assessing housing needs – both support and solutions
• Issuing permits for repairs and demolition
• Debris removal
• Opening roadways and transportation routes
• Restoring utilities – water, electricity, gas, communications, sewer, internet, cable • Opening local assistance centers (LACs)
• Resume government functions
• Coordinating efforts with County OES
• Working with local businesses to restore operations
• Coordinating with County, State and Federal officials regarding financial recovery for the City
• Coordinate with County Public Health efforts for disasters that included health issues • Identify and prioritize essential functions and services

4.3.1 Short-term Recovery
Short-term recovery operations begin during the response phase and may include activities such as the restora tion of essential services, rapid debris removal, and the re -establishment of City services.

4.3.2 Long-term Recovery
Long-term recovery operations are often required to address extensive damage to infrastructure or widespread devastation. Activities include the restoration and reconstruction of public facilities and disaster response cost recovery.

The recovery period has major objectives that may overlap with other phases of the emergency management cycle, including:
• Reinstatement of family and individuals’ autonomy
• Provision of essential public services
• Permanent restoration of private and public property
• Identification of residual hazards
• Plans to mitigate future hazards
• Recovery of costs associated with response and recovery efforts

ATTACHMENT A
City of Tracy Emergency Operations Plan
14 November 2022
• Coordination of state and federal, private and public assistance As the immediate threat to life, property, and environment subsides, the rebuilding of Tracy will begin through various recovery activities. Long-term planning efforts, including public safety and infrastructure sustainability, are included in the Tracy General Plan. Recovery activities involve the restoration of services to the public and rebuilding the affected area(s). Examples of recovery activities may include:
• Restoring all utilities
• Establishing and staffing Loc al Assistance Centers (LACs) and Disaster Assistance Centers (DACs)
• Applying for state and federal assistance programs
• Conducting hazard mitigation analysis
• Identifying residual hazards
• Determining recovery costs associated with response and recover

4.3.3 Damage Assessment
Damage Assessment activities involves identifying, recording, compiling, and analyzing damage information in order to determine the type of recovery assistance needed. Following major disasters, a process known as Preliminary Damage Assessment (PDA) is employed to determine preliminary eligibility for certain state and federal financial assistance and reimbursement programs.

4.3.3 Disaster Assistance Programs
If the disaster is significant enough to warrant a gubernatorial and a presidential disaster declaration, additional state and federal assistance may become available . A local disaster proclamation does not automatically warrant the provision of state or federal assistance.

The City will have to qualify for these additional resources. Most disasters do not rise to this level of significance and often insurance is the only resource available. If determined to be eligible, the City and its residents may be able to participate in state and federal disaster assistance programs for the following:
• Individuals – may be eligible for loans and grants for housing assistance programs (for homeowners and renters), and uninsured disaster -related necessitates (including personal property, medical, dental, and transportation expenses). Other Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act) programs include crisis counseling, disaster unemployment assistance, and legal services, may be available. • Businesses – may be eligible for low -interest loans to assist with un insured physical damaged through the United States Small Business Administration (SBA). • Government – assistance may be available through state assistance under the California Disaster Assistance Act (CDAA), as well as sever federal programs including the F EMA Public Assistance (PA) Grant Program, and the Hazard Mitigation Grant Program (HMGP).

ATTACHMENT A
City of Tracy Emergency Operations Plan
15 November 2022
• Non-profit Organizations - assistance may be available through the state CDAA, as well as several federal programs including FEMA PA Grant Program for eligible non -profit organizations.

4.3.4 Recovery Documentation
Documentation is the key to recovering eligible response and recovery costs. Damage assessment documentation will be critical in establishing the basis for eligibility of disaster assistance programs. Various stat e and federal assistance programs require different types of documentation for eligible costs and in addition to structural damage, may include staff time, equipment, and materials utilized in response to the incident. To support the maximum recovery of eligible reimbursement, city departments must identify and support internal mechanisms for tracking and documenting appropriate costs.

4.3.5 After Action Report
As part of the recovery phase, and in accordance with SEMS, the State of California requires any city d eclaring a local emergency for which the governor proclaims a state of emergency, to complete and transmit an after-action report to the California Office of Emergency Services (Cal OES) within 90 days of the close of the incident period. The after-action report should include the following information:
• Documentation of response activities
• Identification of problems and successes during emergency operations • Analysis of the effectiveness of SEMS components
• Plan of action for implementing improvements
• Cal OES After-Action Questionnaire

4.4 Prevention Phase
The Prevention Phase encompasses actions taken to avoid and incident or to intervene to stop an incident from occurring. This involves action meant to protect lives and property. It may also include applying intelligence and other activities including countermeasures such as:
• Deterrence operations
• Heightened inspections
• Improved surveillance
• Interconnection of health and disease prevention among people, domestic animals, an d wildlife

4.5 Mitigation Phase
Preventing damage and losses from disaster includes those efforts known as mitigation activities.

Mitigation efforts occur both before and following disastrous events. Post -disaster mitigation is part of the recovery process. Preventing, eliminating, or reducing the impact of hazards that exist within Tracy and that are a threat to life and property are part of the mitigation efforts.

The current city Local Hazard Mitigation Plan (City of Tracy, 2019) identifies mitigation action items. These documents identify which department is the responsible as the lead managing these actions. The Mitigation Plan is reviewed annually and updated every five years.

ATTACHMENT A
City of Tracy Emergency Operations Plan
16 November 2022
A number of mitigation activities may include the implementation, augmentation o r promotion of the following:
• Local ordinances and statutes (zoning ordinance, building codes, ordinances and enforcement)
• San Joaquin County Hazard Mitigation Plan
• Structural measures
• Disaster, earthquake or flood insurance
• Public information and outreach and community relations • Risk mapping
• Structural retrofitting
• Monitoring and inspection
• Land use planning
• General Plans
• Public Outreach and Education

4.6 Whole Community Approach
Tracy’s ability to respond and recover from significant emergencies and major disasters is highly dependent upon planning for the unique needs and specific requirements of the residents and non-resident, commuters, and visitors. To further identify and meet these needs, a “Whole Community” approach has been adopted to include and integrate community partners, neighbors, and other stakeholders in all phases of emergency management. Through these collaborative efforts, Tracy will become more resilient and better prepared to meet the needs of its residents and any daytime population increase, those with disabilities , access and functional needs and cultural consideration.

The City will include the Whole Community Approach when preparing for, responding to, recovering from, and mitigating against major emergencies and disasters.

4.6.1 Residents
Residents of Tracy play a fundamental role in emergency management by ensuring that they are prepared for emergencies and disasters. In most disasters, City residents will be the first to respond—family members caring for one another, neighbor helping neighbor. In a major disaster, residents may not have access to City services for days. Individual preparedness will ensure that the City’s limited resources can go where they are most needed.

The City recommends that all residents prepare for disaster by taking first aid and CPR training, maintaining disaster supplies of food and water, and safekeeping personal documentation (e.g., personal identification and individual medical records). These actions will better prepare residents to evacuate or shelter-in-place for up to a week. Those families or residents with disabilities and others with access and functional needs may require additional personal planning before, during, and after an emergency to accommodate their need for assistance with communica tion, maintaining health and medical supplies, independence, support and safety, or transportation.

ATTACHMENT A
City of Tracy Emergency Operations Plan
17 November 2022

4.6.2 Community Organizations / Volunteer Groups
Tracy has several volunteer organizations that promote emergency preparedness and assist during emergencies and disasters. These may include Community Emergency Response Teams (CERT) and Volunteers in Police Service (VIPS) . These organizations can play a vital role in assisting neighborhoods prepare for and assist with disasters and emergencies. CERT volunteers can a ctivate and serve as role in providing basic assistance and support throughout various communities.

4.6.3 Private Sector
Tracy has a vibrant business community that includes traditional retail, entertainment, and corporate businesses. The City engages with the private sector to better understand their needs, identify resources, and develop partnerships. Much of the City ’s private sector partners address preparedness planning internally as a way to minimize business disruptions and to support the wellbeing of their employees and also offer their resources and technical capabilities to the larger community. The City acknowledges this valuable support and will continue collaborative efforts with the private sector as a component of the overarching emergency management program.

4.6.4 People with Disabilities
People with disabilities often require additional planning and support to ensure they receive equal access and coverage as required under the Stafford Act as well as other state and federal legislation such as the Americans with Disabilities Act (ADA) of 1990. Covered disabilities are not always apparent and may include impairments of mobility, vision, and hearing as well as some cognitive disorders and mental illnesses. To meet the needs of these individuals, Tracy is committed to supporting efforts and activities designed to improve and validate capabilities in support of people with disabilities, including but not limited to:
• Notifications and warning procedures
• Evacuation, transportation and sheltering considerations • Accommodations for service animals
• Accessibility to information

4.6.5 Individuals with Access & Functional Needs
In addition to people with disabilities, Tracy recognizes that additional support may be necessary to support those with access and functional needs (State of California , 2016) (State of Cailifornia , 2019). These are not necessarily related to a specific condition, diagnosis, impairment and are based upon functional areas such as:
• Maintaining independence
• Effective communication
• Transportation
• Supervision
• Medical care
Individuals with access and functional needs may not have access to support networks outside of their immediate communities or be able to self-evacuate. As a result, they may have additional

ATTACHMENT A
City of Tracy Emergency Operations Plan
18 November 2022
needs before, during, and after an incident. Those with functional needs often include children, the elderly, tourists, and other segments of the population, including:
• People with disabilities
• People living in institutionalized settings
• People from diverse cultures
• People with limited English proficiency
• People without transportation
• People who are economically disadvantaged
• Women who are pregnant

4.6.6 Diversity, Equity, and Inclusion (DEI)
Inherent in emergency management is the knowledge that it does not exist independently from the issues that exist in a society the moment before an incident occurs. Social conditions that cause inequity, injustice, and lack of access to essential services can be exacerbated in readiness, response, and recovery operations. Disasters lead to disparate outcomes. Therefore, it is important for emergency managers to take deliberate action and make conscious decisions to look at the structure of emergency management programs. Examining policies, laws, regulations, and assumptions that may have unintended constraints is important before incidents occur. The City of Tracy is committed to a just emergency management program through the continual consideration of diversity, equity, and inclusion before, during, and after incidents occur.

4.6.7 Considerations for Pets and Animals
In 2006, the federal government passed the Pets Evacuations and Transportation Standards (PETS) Act as an amendment to the Stafford Act. The PETS Act directs state and local emergency preparedness plans address the needs of individuals with pets and companion animals during a disaster or emergency. American Red Cross procedures allow for assigned service animals to accompany individuals.

Tracy works to include consideration fo r the needs of pets and companion animals in plans as appropriate. Delta Humane Society maintains shelters including mobile ones for various pets and can be potentially located near a designated shelter. Additional resources for the evacuation of larger animals, such as horses, may be available for coordination and request in San Joaquin County.

4.6.8 Cultural Consideration
CA Senate Bill 160 (State of California, 2019) charged Cal OES and local governments to address culturally diverse communities in its emergency planning efforts. In consideration, the City will consider communities in its planning efforts. Culturally diverse communities may include:
• Race and ethnicity
• Indigenous people
• Communities of color
• Immigrant and refugee communities
• Gender
• Age (including the elderly and youth)

ATTACHMENT A
City of Tracy Emergency Operations Plan
19 November 2022
• Sexual and gender minorities
• People with disabilities
• Occupation and income level (including low-income individuals and unhoused) • Education level
• People with no or limited English language proficiency • Geographic location

ATTACHMENT A
City of Tracy Emergency Operations Plan
20 November 2022

5.0 EMERGENCY OPERATIONS ORGANIZATION
Tracy operates an Emergency Operations Center ( EOC) that provides a centralized location where emergency management coordination and decision -making occur and can support field operations during critical incident, major emergency, or disaster. When activated, the EOC provides support for a number of critical tasks related to communication, coordination, resource management and executive leadership. For example, the EOC may be activated for a de clared emergency – earthquake, wildfire, flood, pandemic, among others.

5.1 EOC Locations
The primary EOC location is:
• Tracy Police Department at 1000 Civic Center Dr., Tracy, CA Alternate EOC locations include:
• Boyd Service Center at 520 Tracy Blvd., Tracy, CA
Alternate locations would be used when the primary EOC would or might be unsafe or unusable.

5.2 Activations & Deactivation
The EOC and equipment is maintained by the Police Department and may be used for coordination and monitoring activities at any time without the need for a formal activation.

However, depending upon the need and circumstances, an official EOC activation may be appropriate to support a number of activities, including:
• Field response
• Pre-planned events
• Local proclamation of emergency
• Governor’s declaration of emergency
• Presidential declaration of a national emergency
• State of War

5.2.1 DOC Activation
A Department Operations Center (DOC) may activate at the discretion of a se nior fire, police or public works official based upon current or impending conditions that ma y substantially alter normal operations for a temporary time period. DOCs may also activate in support of EOC and field operations during a disaster.

A DOC is managed by a senior department official and primarily supports field operations in operations, logistics, and planning.

5.2.2 EOC Activation Authority
The following positions (or their designees) have the authority to activate the City’s EOC:
• Tracy City Manager
• Tracy Police Chief
• South County Fire Chief

ATTACHMENT A
City of Tracy Emergency Operations Plan
21 November 2022
• Tracy Operations and Utilities Director
Individuals serving in an acting role or empowered to act on behalf the above positions may activate the EOC.

The Police Chief, Fire Chief, Public Works Director, E mergency Services Coordinator, and City Manager should be made aware of escalating or anticipated incidents or events which may have a significant impact on Tracy.

EOC activation may occur based upon escalating incidents or in anticipation of an incident o r event. Activation of multiple DOCs may warrant the activation of the EOC. DOC commanders should be communicating with respective department heads of current and projected situation status.

5.2.3 EOC Activation Levels
When the EOC is activated, the County Operational Area OES/EOC will be notified.

The City may also establish Departmental Operations Centers (DOC s) for specific departments (e.g., Fire, Public Works or Police) as required to support field operations and coordinate other functions within their respe ctive departments. Activation of multiple DOCs may warrant or necessitate the activation of the EOC.

EOC activation levels are scalable based in the evolving needs and may include full or partial staffing as required. See table below:

EOC Level Operational Status
(Minimum Positions)
Trigger Event/Situation
(examples include but are
not limited to)
Activities
Level 3
Minimal
Staffing
Emergency Services
Coordinator
• Small incident or event
• One site
• Potential threat of:
o Flood
o Severe storm
• Escalating incident
• Situational Analysis
• Public Information
• Response
Coordination
• Resource
Coordination
• Reporting to State
Level 2
Partial
Staffing
Management, EOC
Section Coordinators
Branches/Divisions/Unit
s Liaison/Agency reps
• Large scale evacuations
• 2+ incident sites
• Severe Weather Warning
• Earthquake with minor
damage
• Major scheduled event
• Situational Analysis
• Public Information
• Response
Coordination
• Resource
Coordination
• Logistics Support
• Reporting to State

ATTACHMENT A
City of Tracy Emergency Operations Plan
22 November 2022
EOC Level Operational Status
(Minimum Positions)
Trigger Event/Situation
(examples include but are
not limited to)
Activities
Level 1
Full Staffing
as needed
All positions
(as required)
• Large Winter Storm
• Terrorist incident
• Major Earthquake
• Regional Disaster
• Major Wildland Fire in
Urban interface
• Situational Analysis
• Public Information
• Response
Coordination
• Resource
Coordination
• Logistics Support
• Recovery Operations
• Sustained Operations
• Reporting to State
Similarly, the deactivation of the EOC will be scalable based on the decreasing needs of Tracy.

Appropriate EOC functions and roles will be deactivated as the situation allows and as directed by the EOC Director.

5.3 EOC Communication & Coordination
The EOC ha s the capability to communicate and coordinate with field personnel, incident commanders, DOCs, external stakeholders, volunteer community groups, and other government agencies.

Coordination with field elements from the EOC may be coordinated through relev ant DOCs or directly with an Incident Commander. If a DOC is not activated, the Incident Commander may communicate directly with their department specific representative, sometimes located in the Operations Section of the EOC.

The EOC will communicate and coordinate with the San Joaquin County EOC, when activated, or County OES , and other cities in the Operational Area. Affected cities will provide situational awareness and relevant resource status to the County EOC.

Communication may be by cell phone, internet, or other viable means.

5.4 EOC Structure – Hierarchy of Command and Span-of-Control As outlined in ICS the EOC will be organized in to five major areas:
• Management
• Operations
• Planning
• Logistics
• Finance
Illustrated below is a basic sample EOC ICS chart that can be expanded and reduced based on the scale and needs of the incident.

ATTACHMENT A
City of Tracy Emergency Operations Plan
23 November 2022

MANAGEMENT

OPERATIONS PLANNING LOGISTICS FINANCE
Legal
PIO
Safety
Liaison

Management of personnel within the EOC will be accomplished through the assignment of Section Coordinators for Operations, Planning, Log istics, and Finance functions. Section Coordinators will report to the EOC Director.

The four essential ICS functions in SEMS and NIMS are identified as “sections” in the EOC. All other functions are organized as branches, groups or units within these sections. Only functional elements that are required to meet current objectives will be activated. • Management - Responsible for overall emergency policy and management coordination; development and release of public information
• Operations - Responsible for sup porting field operations, coordinating emergency response and operational efforts
• Planning - Responsible for collecting, evaluating and disseminating information; assist in developing Emergency Action Plan; and responsible for the collection of all documentation material
• Logistics - Responsible for providing facilities, services, personnel, equipment, materials, and resources
• Finance - Responsible for financial expenditures, records, and other administrative aspects

ATTACHMENT A
City of Tracy Emergency Operations Plan
24 November 2022

5.5 EOC Action Plans
At local, operational area, regional and state levels, the use of EOC action plans (EAP) provide designated personnel with knowledge of the objectives to be attained and the steps required for achievement. Action plans give direction and provide a basis for measurin g achievement of objectives and overall system performance in the EOC. The EOC Director will determine and direct the drafting of EAPs. The Planning Section shall be responsible for overseeing EAPs development and drafting. The Planning P, illustrated belo w, is a useful tool in EOC operations and planning.

ATTACHMENT A
City of Tracy Emergency Operations Plan
25 November 2022

6.0 EMERGENCY DECLARATIONS

6.1 Local Proclamation
California Government Code allows a local emergency to be proclaimed by a city council or designed official by city council.

If the City of Tracy determines that the effects of an emergency are or may exceed the capabilities of local resources, a local emergency can be proclaimed. Tracy municipal code has empowered the city manager or mayor to issue a proclamation for the City. Tracy Municipal Code and the California Disaster Assistance Act specify the requirements for proclaiming and, when necessary, maintaining, a local emergency . Compliance to the California Disaster Assistance Act (CDAA) (State of California, 2015) is required in order for the City to qualify for assistance.

6.2 State of Emergency
After a proclamation of a local emergency, the governing body, having determined that local resources are not sufficient to mitigate the situation, may request by letter or resolution that the Governor proclaim a state of emergency in the area to fully commit state and mutual aid assistance and provide resources to assist local government.

To support its request for a gubernatorial proclamation, it is essential that the City forward an estimate of damage and financial loss to Cal OES through the San Joaquin County OES as quickly as possible. Estimates of loss are an important part of the criteria that Cal OES considers when deciding to proclaim a state of emergency and request a Presidential Decl aration of Emergency or Disaster. A copy of the request for a Governor ’s proclamation, with the following supporting data, must be forwarded, to the San Joaquin County OES Director for transmission to the Cal OES Director:
• Copy of the local emergency proclamation
• Initial damage estimate summary that estimates the severity and extent of the damage Cal OES prepares a recommendation as to the action that should be taken by the Governor. If the action recommends a Governor’s proclamation, Cal OES prepares the proclamation.

The Governor may also proclaim a state of emergency without a local request if the safety of persons and property in the state are threatened by conditions of extreme peril, or emergency conditions are beyond the emergency response capacity and capabilities of local authorities.

Local damage assessment documentation and submission may be required for reimbursement.

6.3 State of War Emergency
In addition to a State of Emergency, the Governor can proclaim a State of War Emergency whenever the state or the nation is attacked by an enemy of the United States, or upon receipt by the state of a warning from the federal government indicating that such an enemy attack is probable or imminent. The provisions of the Governor granted under a State of War Emergency are the same as those granted under a State of Emergency.

ATTACHMENT A
City of Tracy Emergency Operations Plan
26 November 2022

6.4 Presidential Declaration
Following the proclamation of a state of emergency, the Cal OES Director may recommend that the Governor request a Presidential Declaration of a major disaster under the authority of Public Law 93 -288. The Governor ’s request to the president is submitted through the FEMA.

Supplementary justification data may be required to accompany the state and local proclamations and Initial Damage Estimate.

ATTACHMENT A
City of Tracy Emergency Operations Plan
27 November 2022

7.0 PUBLIC INFORMATION
During a major emergency, disaster, or significant event providing residents and the public with useful and updated information is essential. The EOC Public information Officer (PIO) will oversee messaging during an EOC activation. If the EOC is not activated, then either the lead department or City’s PIO will be responsible.
• Alerts and Notifications – during an incident, the City will utilize various communication tools to disseminate information and directions to its residents. Notifications may be coordinated with neighboring agencies and/or the County. Recognizing that some residents may have limited access or functional needs , t he City will strive to address communication in various forms. Communication tools include but are not limited to:
o Social media
o City and County alert systems
o City website
o Local news stations
o CERT Teams, volunteer groups, and community or faith-based organizations Alerts and Warnings details are contained in its own Annex.

Public Education can be a useful tool to prepare residents in advance of incidents – how to prepare for, react to, and recover from various situations.

7.1 Joint Information System
The Joint information System (JIS) is the broad mechanism that organizes, integ rates, and coordinates information to ensure timely, accurate, accessible, and consistent messaging activities across multiple jurisdictions and/or disciplines with the private sector and non- governmental organizations.

It includes the plans, protocols, pr ocedures, and structures used to coordinate and share public information. Federal, State, tribal, territorial, regional, local, and private sector PIOs and established Joint Information Centers (JIC) at each level of SEMS are critical elements of the JIS.

The County / Operational Area will orchestrate JIS activities for larger or countywide incidents and events

7.2 Joint Information Center
The Joint Information Center is the central location that facilitates the operations of the JIS during an emergency. This l ocation houses personnel with public information responsibilities from multiple agencies, departments, and other local governments. They perform critical emergency information functions, crisis communications, and public affairs functions.

A JIC will be es tablished at a suitable location in close proximity to provide for effective management of Public Information functions. When activated, the JIC will be staffed by personnel trained to conduct Public Information activities, including coordinating inter -jurisdictional media releases and management of rumor control and community communications functions.

Regardless of where the JIC is established, Public Information functions will continue to be managed from the EOC.

ATTACHMENT A
City of Tracy Emergency Operations Plan
28 November 2022

8.0 CONTINUITY OF GOVERNMENT
Continuity of Government (COG) is an essential function of emergency management and is vital during an emergency/disaster situation. Continuity of government is defined as the preservation, maintenance, or reconstitution of the civil government ’s ability to carry out its c onstitutional responsibilities. All levels of government share a constitutional responsibility to preserve the life and property of their citizens. The California Government Code and the Constitution of California provide the authority for state and local government to reconstitute itself in the event incumbents are unable to serve. COG may also be used in conjunction with the City’s recently updated COOP.

A major emergency or disaster could result in great loss of life and property, including the death or injury of key government officials. At the same time, there could be 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 emergency, law and order must be preserved and essential government services must be maintained. To this end, it is particularly essential that local units of government continue to function.

Line of Succession – Tracy Emergency Services
The Municipal Code designates the city manager to be the director of emergency services and an assistant director of emergency services to be appointed by the director. In the event that neither the director nor assistant director is available to perform the director’s duties, that role may be performed by the fire chief, police chief, director of public works or senior fire, police, or public works official present until relieved by an individual of higher presence.

Primary City Position Alternate
Mayor 1. Mayor Pro Tempore
City Manager 1. Assistant City Manager

2. Assistant City Manager

3. Assistant to the City Manager
City Attorney 1. Assistant City Attorney

2. Deputy City Attorney
Fire Chief 1. Division Chief - Operations

2. Division Chief - Administration

3. Fire Marshal
Police Chief 1. Captain – Field Operations

2. Captain – Investigations

3. Lieutenant – Community Services Division
Finance Director 1. Accounting Manager
Director of Development Services 1. Assistant Director – Planning

2. Assistant Director – City Engineer
Director of Operations & Utilities 1. Assistant Director Operations

2. Assistant Director of Utilities

ATTACHMENT A
City of Tracy Emergency Operations Plan
29 November 2022
Primary City Position Alternate
Director of Parks & Recreation 1. Recreation Services Manager

2. Parks Planning & Development Manager
Human Resources Director 1. Human Resources Manager

8.1 Essential Facilities-Alternate Government Facilities In the event an alternate location is needed to perform the day -to-day governmental functions, staff will be notified to report to one of several identified governmental facility locations where those functions can be carried out. Based upon current conditions and situation status, the alternate location will be determined by the department head or senior city official.

Possible locations include:
• Tracy Community Center
• Tracy Police Department
• Tracy Public Works
• South San Joaquin Fire Authority
Headquarters

8.2 Preservation of Vital Records
In Tracy, the City Clerk is responsible for managing the preservation of vital records. Vital records are defined as those records that are essential to:
• Protect and preserve the rights and interests of individuals, governments, corporations and other entities. Examples documents may include:
o vital statistics and public records
o land and tax records
o license registers
o articles of incorporation
o payroll information
o contracts and leases
o plans, policies, and procedures for critical processes o ordinances and resolutions
• Conduct emergency response and recovery operations. Records of this type include utility system maps, locations of emergency supplies and equipment, emergency operations plan and procedures, personnel rosters, etc.
• Re-establish normal governmental functions and pr otect the rights and interests of government: constitutions and charters, statutes and ordinances, court records, official proceedings and financial records.

Each department within Tracy should identify, maintain, and protect its own essential records, plans, procedures, documents, and other important operating functions and coordinate efforts with the City Clerk.

ATTACHMENT A
City of Tracy Emergency Operations Plan
30 November 2022

9.0 PLAN DEVELOPMENT AND MAINTENANCE
South County Fire is responsible for the review, revision, management and distribution of the EOP.

The EOP is su bject to periodic formal approval by the city council, whereas the Annexes are revised as needed and are not subject to formal review and city council approval. The Annexes are considered an extension of the EOP.

The EOP Basic Plan and Annexes will be reviewed on a biennial basis by South County Fire. The Basic Plan may be modified at any time as a result of a post-incident or post-exercise evaluation, or changes in responsibilities, laws, or regulations. Readoption by City Council may be necessary.

Annexes will be reviewed biennially or as conditions, responsibilities, guidelines and the like warrant or require. Additional annexes may be added following review by the City Manager.

In support of EOC operations and EOC positions, the City will develop a regular schedule for conduction trainings and exercises.

ATTACHMENT A
City of Tracy Emergency Operations Plan
31 November 2022

10.0 AUTHORITIES AND REFERENCES

10.1 Local Authorities and References
• City of Tracy
o Municipal Code
o Emergency Operations Plan
o Local Hazard Mitigation Plan
• San Joaquin County Office of Emergency Services
o San Joaquin County Emergency Plan

10.2 State Authorities and References
• California Government Code
o California Emergency Services Act
o California Disaster Assistance Act
• California Code of Regulations
• California Governor’s Office of Emergency Services
o Standardized Emergency Management Systems Guidelines
o Cal OES EOP Crosswalk for local government
o State of California Emergency Operations Plan
o California Disaster and Civil Defense Master Mutual Aid Agreement o Orders and Regulations that may be promulgated by the Governor during a State of Emergency or a State of War Emergency
• California-Federal Emergency Operations Center Guidelines: Integrating Federal Disaster Response Assistance with California’s Standardized Emergency Management System

10.3 Federal Authorities and References
• National Fire Protection Association
• Federal Emergency Management Agency | U.S. Department of Homeland Security o National Incident Management System
o National Response Framework
o Developing and Maintaining Emergency Operations Plans Comprehensive Preparedness Guide (CPG)
o Presidential Directives (5, 8)

ATTACHMENT A
City of Tracy Emergency Operations Plan
32 November 2022

GLOSSARY & ABBREVIATIONS
Activate: At a minimum, a designated official of
the emergency response agency that
implements SEMS as appropriate to the scope
of the emergency and the agency’s role in
response to the emergency.

ADA: American with Disabilities Act
After Action Report (AAR): A report covering
response actions, application of SEMS,
modifications to plans and procedures, training
need, and recovery activities. After action
reports are required under SEMS after any
emergency that requires a declaration of an
emergency. Reports are required within 90
days.

Agency: An agency is a division of government
with specific function, or a non-governmental
organization (e.g., private contractor, business,
etc.) which offers a particular kind of assistance.

In ICS, agencies are defined as jurisdictional
(having statutory responsibility of incident
mitigation); or assisting by providing resources.

Agency Representative: An individual assigned
to an incident or to an EOC from an assisting or
cooperating agency who has delegated
authority to make decisions on matters
affecting that agency’s participation at the
incident or at the EOC.

American Red Cross: A nationwide volunteer
agency that provides disaster relief to
individuals and families.

Available Resources: Incident-based resources
that are available for immediate assignment.

Care and Shelter: A phase of operations that
meets the food, clothing, and shelter needs of
people on a mass care basis.

CDAA: California Disaster Assistance Act
CERT: Community Emergency Response Team –
a volunteer group organized by a local
government to assist during an emergency
and/or disaster.

Chain of Command: A series of management
positions in order of authority.

Continuity of Government (COG): All measures
that may be taken to ensure the continuity of
essential functions of governments in the event
of emergency conditions, including line-of-
succession for key decision makers.

COOP: Continuity of Operations Plan
Coordination: The process of systematically
analyzing a situation, developing relevant
information and informing appropriate
command authority of viable alternatives for
selection of the most effective combination of
available resources to meet specific objectives.

Cultural competence: The ability to understand,
value, communicate with, and effectively
interact with people across cultures in order to
ensure that the needs of all community
members are addressed, with priority given to
“culturally diverse communities.” “Cultural
competence” includes, but is not limited to,
being respectful and responsive to the cultural
and linguistic needs of diverse population
groups.

Culturally diverse communities: Includes, but is
not limited to, race and ethnicity, including
indigenous peoples, communities of color, and
immigrant and refugee communities; gender,
including women; age, including the elderly and
youth; sexual and gender minorities; people
with disabilities; occupation and income level
including low-income individuals and the
unhoused; education level; people with no or
limited or no English language proficiency; as
well as geographic location.

Damage Assessment: The process utilized to
determine the magnitude of damage and the

ATTACHMENT A
City of Tracy Emergency Operations Plan
33 November 2022
unmet needs of individuals, businesses, the
public sector, and the community caused by a
disaster or emergency event.

Dam Failure: Part or complete collapse of a
dam causing downstream flooding.

Declaration: The formal action by the President
to make a State eligible for major disaster or
emergency assistance under the Robert T.

Stafford Disaster Relief and Emergency
Assistance Act, PL 3-288, as amended (the
Stafford Act).

Declaration Process: When a disaster strikes,
local authorities and individuals request help
from private relief organizations and their State
government, which give all assistance possible.

If assistance is beyond their capability, the
Governor requests a Presidential declaration of
a major disaster or an emergency.

Delegation of Authority: A statement provided
to the Incident Commander by the Agency
Executive delegating authority and assigning
responsibility. The Delegation of Authority can
include objectives, priorities, expectations,
constraints and other considerations or
guidelines as needed.

Department Operations Center (DOC): A
location used by a distinct discipline, such as
fire, medical, hazardous materials, or a unit,
such as Department of Public Works,
Department of Health or local water district to
manage and coordinate their departmental
response functions in a disaster. Department
operations centers may be used at all SEMS
levels above the field response level, depending
upon the impact of the emergency.”
Disaster: A sudden calamitous emergency event
bringing great damage loss or destruction.

DSW: Disaster Service Worker
Emergency: A condition of disaster or of
extreme peril to the safety of persons and
property 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.

EMS: Emergency Medical Service
Emergency Operations Center (EOC): A location
from which centralized emergency
management can be performed. EOC facilities
are established by an agency or jurisdiction to
coordinate the overall agency or jurisdictional
response and support to an emergency.

Emergency Operations Plan (EOP): The plan
that each jurisdiction has and maintains for
responding to relevant threats and hazards that
defines the emergency management
organization, structure and coordination.

Essential Facilities: Facilities that are essential
for maintaining the health, safety, and overall
wellbeing of the public following a disaster (e.g.,
hospitals, police and fire department buildings,
utility facilities, etc.). May also include buildings
that have been designated for use as mass care
facilities (e.g., schools, churches, etc.).

Evacuation: Organized, phased, and supervised
withdrawal, dispersal, or removal of people
from dangerous or potentially dangerous areas,
and their reception and care in safe areas.

Exercise: Maneuver or simulated emergency
condition involving planning, preparation, and
execution; carried out for the purpose of
testing, evaluating, planning, developing,
training, and/or demonstrating emergency
management systems and individual
components and capabilities, to identify areas
of strength and weakness for improvement of
an emergency operations plan (EOP).

Federal: Of or pertaining to the Federal
Government of the United States of America.

ATTACHMENT A
City of Tracy Emergency Operations Plan
34 November 2022
Federal Emergency Management Agency
(FEMA): This agency was created in 1979 to
provide a single point of accountability for all
Federal activities related to disaster mitigation
and emergency preparedness, response, and
recovery.

First Responder: This term refers to individuals
whose organizations specific and primary
responsibility is to respond to life safety
incidents.

Hazard: Natural or man-made source of danger
or difficulty to people or property.

Hazardous Material (Hazmat): A substance or
combination of substances, which, because of
quantity, concentration, physical, chemical,
radiological, explosive, or infectious
characteristics, poses a potential danger to
humans or the environment. Generally, such
materials are classed as explosives and blasting
agents, flammable and nonflammable gases,
combustible liquids, flammable liquids and
solids, oxidizers, poisons, disease-causing
agents, radioactive materials, corrosive
materials, and other materials including
hazardous wastes.

Hazard Mitigation: A cost-effective measure
that will reduce the potential for damage to a
facility from a disaster event.

Hazard Mitigation Plan (HMP): The plan
resulting from a systematic evaluation of the
nature and extent of vulnerability to the effects
of natural hazards, including the actions needed
to minimize future vulnerability to identified
hazards.

HSEEP: Homeland Security Exercise and
Evaluation Program
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 the environment.

Incident Action Plan (IAP): The plan developed
at the field response level that 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 (IC): The individual
responsible for the command of all functions at
the field response level.

Incident Command System (ICS): The 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 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.

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 at the scene
of the incident. Public information officials from
all participating agencies should collocate at the
JIC.

Joint Information System (JIS): Integrates
incident information and public affairs into a
cohesive organization designed to provide
consistent, coordinated, timely 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

ATTACHMENT A
City of Tracy Emergency Operations Plan
35 November 2022
controlling rumors and inaccurate information
that could undermine public confidence in the
emergency response effort.

Jurisdiction: The range or sphere of authority.

Public agencies have jurisdiction at an incident
related to their legal responsibilities and
authority for incident mitigation. Jurisdictional
authority at an incident can be political/
geographical (e.g., special district city, county,
state or federal boundary lines), or functional
(e.g., police department, health department,
etc.)
Local Emergency: The duly proclaimed
existence of conditions of disaster or of extreme
peril to the safety of persons and property
within the territorial limits of a county, city and
county, or city, caused by such conditions as air
pollution, fire, flood, storm, epidemic, riot, or
earthquake or other conditions, other than
conditions resulting from a labor controversy,
which conditions are or are likely to be beyond
the control of the services, personnel,
equipment, and facilities of that political
subdivision and required the combined forces
of political subdivisions to combat.

Logistics: Providing resources and other
services to support incident management.

Mitigation: Pre-event planning and actions that
aim to lessen the effects of potential disaster.

Mutual Aid Agreement: Written agreement
between agencies and/or jurisdictions in which
they agree to assist one another upon request,
by furnishing personnel and equipment.

Mutual Aid Region: A subdivision of Governor’s
Office of Emergency Services established to
assist in the coordination of Mutual Aid and
other emergency operations within a
geographic area of the state, consisting of two
or more county (operational) areas. Sonoma
County is in Mutual Aid Region II.

National Incident Management System (NIMS):

A system mandated by HSPD-5 that provides a
consistent nationwide approach for Federal,
State, local, and tribal governments; the
private-sector, and nongovernmental
organizations to work effectively and efficiently
together to prepare for, respond to, and
recover from domestic incidents, regardless of
cause, size, or complexity. To provide for
interoperability and compatibility among
Federal, State, tribal, and local capabilities, the
NIMS includes a core set of concepts, principles,
and terminology. HSPD-5 identifies these as the
ICS; Multi-agency Coordination Systems;
training; identification and management of
resources (including systems for classifying
types of resources); qualification and
certification; and the collection, tracking, and
reporting of incident information and incident
resources.

National Response Framework (NRF): A plan
mandated by HSPD-5 that integrates Federal
domestic prevention, preparedness, response,
and recovery plans into one all- discipline, all-
hazards plan.

NWS: National Weather Service
Nongovernmental Organization (NGO): An
entity with an association that is based on
interests of its members, individuals, or
institutions and that is not created by a
government but may work cooperatively with
government. Such organizations serve a public
purpose, not a private benefit. Examples of
NGOs include faith-based charity organizations
and the American Red Cross.

Office of Emergency Services (Cal OES): The
California Governor’s Office of Emergency
Services.

Operational Area: An intermediate level of the
state emergency organization, consisting of a
county and all political subdivisions within the
county’s geographic borders. An operational

ATTACHMENT A
City of Tracy Emergency Operations Plan
36 November 2022
area is defined in law (Section 8559, California
Government Code) as an organization (not a
jurisdiction) whose boundaries are those of a
county. This organization is not necessarily a
county government; it could be several cities, or
a city and a county, a county government or
several county governments, willing to
undertake to coordinate the flow of Mutual Aid
and information within the defined area. The
operational area concept is the backbone of
SEMS.

Plan: As used by OES, a document that
describes the broad, overall jurisdictional
response to potential extraordinary
emergencies or disasters.

Preparedness: The range of deliberate, critical
tasks and activities necessary to build, sustain,
and improve the operational capability to
prevent, protect against, respond to, and
recover from domestic incidents. Preparedness
is a continuous process. Preparedness involves
efforts at all levels of government and between
government and private- sector and
nongovernmental organizations to identify
threats, determine vulnerabilities, and identify
required resources. Within the NIMS,
preparedness is operationally focused on
establishing guidelines, protocols, and
standards for planning, training and exercises,
personnel qualification and certification,
equipment certification, and publication
management.

Prevention: Actions to avoid an incident or to
intervene to stop an incident from occurring.

Prevention involves actions to protect lives and
property. It involves applying intelligence and
other information to a range of activities that
may include such countermeasures as
deterrence operations; heightened inspections;
improved surveillance and security operations;
investigations to determine the full nature and
source of the threat; public health and
agricultural surveillance and testing processes;
immunizations, isolation, or quarantine; and as
appropriate, specific law enforcement
operations aimed at deterring, preempting,
interdicting, or disrupting illegal activity and
apprehending potential perpetrators and
bringing them to justice.

Private Sector: Organizations and entities that
are not part of any governmental structure. It
includes for-profit and not-for-profit
organizations, formal and informal structures,
commerce and industry, and private voluntary
organizations
Public Information Officer (PIO): The individual
at field or EOC level that has been delegated the
authority to prepare public information releases
and to interact with the media. Duties will vary
depending upon the agency and SEMS level.

Recovery: Activities traditionally associated
with providing Federal supplemental disaster
recovery assistance under a Presidential major
disaster declaration. These activities usually
begin within days after the event and continue
after the response activities cease. Recovery
includes individual and public assistance
programs that provide temporary housing
assistance, grants and loans to eligible
individuals and government entities to recovery
from the effects of a disaster.

Resources: Personnel and equipment available,
or potentially available, for assignment to
incidents or to EOCs. Resources area described
by kind and type and may be used in tactical
support or supervisory capacities at an incident
or at EOCs.

Response: Activities to address the immediate
and short- term effects of an emergency or
disaster. Response includes immediate actions
to save lives, protect property and the
environment, stabilize communities and meet
basic human needs following an incident. Based
on the requirements of the situation, response
assistance will be provided to an affected State

ATTACHMENT A
City of Tracy Emergency Operations Plan
37 November 2022
under the National Response Framework using
a partial activation of selected Emergency
Support Functions (ESF) or full activation of all
ESF to meet the needs of the situation.

Risk: Potential for an unwanted outcome
resulting from an incident, even, or occurrence,
as determined by its likelihood and associated
consequences.

Special District: A unit of local government
(other than a city, county, or city and county)
with authority or responsibility to own, operate
or maintain a project (as defined in California
Code of Regulations 2900(s) for purposes of
natural disaster assistance. This may include a
joint powers authority established under
section 6500 et seq. of the Code.

Stafford Act: Robert T. Stafford disaster Relief
and Emergency Assistance Act, PL 100-707,
signed into law November 23, 1988; amended
the Disaster Relief Act of 1974, and the Sandy
Recovery Improvement Act of 2013.

Standard Operating Procedures (SOP): A set of
instructions having the force of a directive,
covering those features of operations that lends
themselves to a definite or standardized
procedure. Standard operating procedures
support an annex by indicating in detail how a
particular will be carried out.

Standardized Emergency Management System
(SEMS): A system required by California
Government Code for managing response to
multi-agency and multi-jurisdiction emergencies
in California. SEMS consists of five
organizational levels that are activated as
necessary: Field Response, Local Government,
Operation Area, Region and State.

State of Emergency: The duly proclaimed
existence of conditions of disaster or of extreme
peril to the safety of persons and property
within the state caused by such conditions as air
pollution, fire, flood, storm, epidemic, riot,
TEP: Training and Exercise Plan – a plan that
outlines a schedule of emergency management
and related training courses for EOC and other
support staff as well as a calendar of scheduled
EOC and similar exercises
TFD: Tracy Fire Department
TPD: Tracy Police Department
Threat: An indication of possible violence,
harm, or danger.

Tsunami: Also called a seismic sea wave. It is a
large oceanic wave generated by earthquakes,
submarine volcanic eruptions, or large
submarine landslides in which sudden forces
are applied to the water mass.

Vulnerability: Physical feature or operational
attribute that renders and entity open to
exploitation or susceptible to a given hazard.

ATTACHMENT A
City of Tracy Emergency Operations Plan
1 November 2022

ANNEXES

ATTACHMENT A
City of Tracy Emergency Operations Plan
TRACY CITY PROFILE A1-1 November 2022
ANNEX 1 - TRACY CITY PROFILE
• Date of Incorporation—1911
• Current Population—94,538 (2022 CA Department of Finance estimate).

In 1869 the Central Pacific Railroad (now Southern Pacific) completed a rail line through the area which is now known as Tracy. The rail line ran from Sacramento through Stockton then over the Altamont Pass and then by ferry service to San Francisco. Shortly after the line was built, a new town sprung up nine miles from Stockton and became known as Lathrop Junction. Lathrop consisted of a roundhouse, railroad shop, yards and hotels for feeding railroad employees. The community became the center of railroad business and the headquarters for the Central Pacific Railroad in the San Joaquin Valley.

The railroad found it necessary to build a coaling station at the base of the Altamont Pass, just fourteen miles to the west of Lathrop. The new station was called Ellis and by 1870 it had about 45 buildings serving the needs of the railroad and its employees and their families.

In 1878 construction of a new rail line was started from Oakland around the shores of San Francisco Bay, through Martinez to connect to the Central Pacific at a point three miles to the east of Ellis. The line had been built to make possible greater effi ciency by avoiding hills and to eliminate the expense of helper engines. The result of the new rail line was the founding of Tracy on September 8, 1878, named for Lathrop J. Tracy, a grain merchant and railroad director in Mansfield, Ohio.

Soon after the establishment of the new line connecting in Tracy, the railroad discontinued the coaling station at Ellis and employees and their families were moved to Lathrop and to the new Tracy station. The town of Ellis moved bag and baggage to Tracy including moving two hotels.

Tracy continued to grow as a railroad center. A new line through Los Banos was the fastest and least expensive way to Los Angeles. In August of 1894 railroad headquarters at Lathrop were moved to Tracy. All of the railroad equipment including engines and buildings were moved. Thus, Tracy’s beginning is in fact the story of a railroad.

Tracy was incorporated in 1910 and it grew rapidly after the first irrigation district was established in 1915. Although railroad operations began to decline in the 1950s, Tracy continued to prosper as an agricultural area. Today, the City seal reflects this history of railroads and agriculture.

South San Joaquin County Fire Authority (South County Fire) – provides fire and emergency services (fire, rescue, hazmat) and emergency management services. South County Fire is a Joint Powers Authority between Tracy Fire Department and Tracy Rural Fire Protection Department formed in 1999 and serves the Greater Tracy area.

The map below shows the City boundary and Fire Authority’s area of responsibility. The City border is inside the back dotted line. The Fire Authority’s response area is both the red and yellow shaded areas; however, because of mutual aid coordination in the County , fire response may extend beyond the shaded areas.

ATTACHMENT A
City of Tracy Emergency Operations Plan
TRACY CITY PROFILE A1-2 November 2022
City of Tracy & South San Joaquin County Fire Authority Areas

ATTACHMENT A
City of Tracy Emergency Operations Plan

DEPARTMENT ROLES & RESPONSIBILITIES
A2-1 November 2022
ANNEX 2 - DEPARTMENT ROLES & RESPONSIBILITIES
City Attorney
• Support proclamations of local emergencies
• Assess City operations and provide legal counsel as needed • Ensure procurement process comply with necessary regulations City Clerk
• Facilitate and administer proclamations of local emergencies • Oversee and ensure preservation of vital City documents and records • Monitor continuity of government
• Administer loyalty oath to Disaster Service Workers volunteers as needed City Manager
• EOC Director
• Establish EOC response priorities
• Lead incident action planning, support, and coordination • Authorize proclamations of local emergencies
• Develop and maintain communication with respective city councils • Approve public information release
• Support public warnings and alerts
• Primary liaison to City Council
Development Services
• Manage ad conduct post-incident/event city facility safety assessment • Manage structural assessment function and establish structure re-entry standards • Lead damage assessment efforts
• Coordinate and provide emergency assistance
• Develop and coordinate interim and long-term disaster housing • Support damage assessment efforts
• Lead initial planning efforts for long-term recovery
• Assist with damage assessment effort
Finance
• Provide emergency procurement support
• Anticipate and track financial resources for staff, mutual aid requests, volunteers • Develop financial mechanisms, procurement applications and contracts to support procurement
• Oversee staff timekeeping
• Oversee compensations and claims
• Provide fiscal oversight and tracking of expenses

ATTACHMENT A
City of Tracy Emergency Operations Plan

DEPARTMENT ROLES & RESPONSIBILITIES
A2-2 November 2022
• Ensure correct FEMA forms are utilized for potential reimbursement Fire (South San Joaquin County Fire Authority; aka South County Fire) • Orchestrate all firefighting and fire rescue operations • Lead EMS operations and coordinate with EMS ambulance provider agency • Conduct hazardous material response operations
• Facilitate and coordinate emergency management and EOC operations • Support emergency public waring and alerts
• Support evacuation and re-entry operations
• Support damage assessment efforts
• Provide incident planning and management support as needed • Support and facilitate CERT activities
Human Resources
• Protect, restore and sustain city staffs
• Ensue city safety procedures
• Develop and coordinate human resources including contractors • Identify any employee needs (e.g., childcare, shelter) • Screen and track volunteers
Information Technology
• Protect, restore, and sustain cyber and information technology resources • Oversee and manage telecommunication infrastructure
• Provide additional technology support as needed
Parks & Recreation
• Manage emergency care and shelter operations
• Support infrastructure restoration
• Assist in tree clearance from public rights of way
• Support re-entry operations
Police
• Conduct law enforcement operations
• Lead evacuations operations
• Conduct emergency public warning and alerts
• Provide facility and resource security
• Impose and enforce curfew as directed
• Provide public safety and security support
• Provide traffic control
• Provide access and control to affected areas
Operations & Utilities (formerly Departments of Public Works and Utilities • Conduct infrastructure protection, emergency repair, and restoration

ATTACHMENT A
City of Tracy Emergency Operations Plan

DEPARTMENT ROLES & RESPONSIBILITIES
A2-3 November 2022
• Support movement operation/restrictions (traffic and access) • Support public warnings and alerts
• Conduct debris clearance and manage debris operations • Conduct flood fight operations
• Provide engineering services
• Coordinate with state agencies on state-controlled highways and roads • Restore transportation infrastructure
• Manage city facilities
• Maintain, repair and restore wastewater infrastructure • Maintain, repair and restore wastewater treatment plant operations • Support damage assessment efforts
• Support evacuation and re-entry operations
• Provide potable water in support of care and shelter operations • Coordinate with local water providers
• Coordinate with utility provider for the restoration of electrical and gas utility services • Oversee and maintain water treatment plants
• Storm water management
• Water management
• Maintain City’s traffic signals and streetlights,
• Support Police with traffic flow
• Support public works in its traffic flow efforts
City Council
The City Council is comprised of five elected individuals with one of the m serving as mayor and one as mayor pro tempore. As elected officials, during regular city operations, they have cer tain roles and responsibilities. During major emergency / disaster situations, some of these roles and responsibilities may shift or be temporarily modified to accommodate current situations.

During an emergency and when the EOC has been activated, the City Manager is the Director of Emergency Services. The City Manager may delegate the responsibility of EOC Director from time to time to other City department heads such as the assistant city manager or police or fire chief.

The City Council has certain roles and responsibilities during a major emergency /disaster. • Support City Manager is his/her role as Director of Emergency Services • Support ongoing emergency services operations
• Affirm (or reaffirm) state of emergency proclaimed by the Director of Emergency Services • Through the City Manager provide policy-level guidance, director, and decisions related to the incident(s)
• Provide visible confidence and leadership; reassure residents that resources are being secured to manage the situation
• Mayor serves as city representative to media request while allowing operational personnel to respond to specific requests

ATTACHMENT A
City of Tracy Emergency Operations Plan

DEPARTMENT ROLES & RESPONSIBILITIES
A2-4 November 2022
• Liaison with County Board of Supervisors
• Support public information efforts as needed
• Support community engagement
• Attend public meetings as warranted
• Review potential or threatened litigation as appropriate • Review and approve proclamation of local emergency
• When appropriate, view impacted or affected areas, shelters, and other facilities • Review requirements for special legislation and development of policy • Consider short- and long-term recovery staff recommendations The City Council is restricted from the following activities during a major emergency or disaster:
• Controlling or interfering in field operations or giving direction to field personnel • Controlling or interfering in EOC operations or giving direction to EOC personnel • Entering an incident site without authorization from Incident Commander • Singularly arranging for or entering into any contracts, agreements, and the like without prior City Council approval or arrangements or consultation with City Manager or from the EOC Finance Section or EOC Procurement Officer

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-1 November 2022
ANNEX 3 - EARTHQUAKES

Yes

Initiate request
Additional
resources
needed?
Field No

End / AAR/Report
No
Department
staff
Is the incident
being managed or
escalating?
Managed

Incident / Event
Activate DOC –
Initiate SOPs
Request additional resources
(personnel &/or equipment);
notify other city departments;
manage incident
Field Response
Additional
resources
needed?
Activate EOC –
Utilize Annexes;
Notify OES;
Request additional resources
&/or mutual aid;
manage incident
Escalating

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-2 November 2022
Overview
California is subject to major earthquakes. As demonstrated by past earthquake events, such as the 1906 and 1989 earthquakes, a large earthquake will cause major damage on a regional basis, destroying or damaging thousands of buildings, disrupting transportation and utility systems, and causing thousands of injuries or fatalities. Response to a disaster of this magnitude will severely strain the resources of both the public and private sectors in the region.

Purpose
This annex is a scenario -specific application of the E OP. Earthquakes occur without notice or warning and could strike anytime. The unpredictable nature of an earthquake and its aftershocks create probability of catastrophic damage throughout the county. The severity of the earthquake’s impacts may overwhelm the capabilities for response for Tracy.

Initial Response / Situational Awareness
In accordance with the principles of the SEMS, NIMS and ICS the response to an emergency or disaster will be managed at the lowest level possible. Accordingly, Tracy will have the primary responsibility for responding to the impacts of the earthquake that occur within their own jurisdictions.

Given that an earthquake is a no -notice incident, it is critical to obtain situational awareness of the incident so that the appropriate resources can be deployed into the affected areas. While the ability to perform reconnaissance and to gather, verify, consolidate, and distribute confirmed situation information is vital to the response, it is equally important that initial response strategies are developed with an accurate picture of the potential scope of the disaster.

It is anticipated that resource requests will be relayed to mutual aid partners without delay and automatic aid for fire resources. When resources are exhausted, the Opera tional Area will be requested to support the OES Region. Allocation of resources will be made based on life safety, incident stabilization, and preservation of important property.

In an area -wide catastrophic disaster, Tracy recognizes that immediately fol lowing the earthquake, mutual aid assistance may be limited or non -existent and may need to rely upon available local resources.

Response
Public Safety and Public Works will be the initial responders following an earthquake. Following a brief initial depar tment assessment (equipment and response capabilities), responders will follow policies, procedures, and protocols. Intelligence, field reports, and information will determine if activation is warranted.

Response agencies: South County Fire Tracy Public Works Department Tracy Police Department Various city departments

Support agencies: San Joaquin County EMS San Joaquin County OES American Red Cross Salvation Army
San Joaquin County Human Services Agency
Allied agencies (local, county, state, federal)

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-3 November 2022
DURING
The response phase occurs from the onset of an earthquake and lasts until lifeline systems are at least partially restored. During this phase, functions that are critical to saving lives, to protecting people, and mee ting basic human needs are performed. During this phase, functions that are critical to securing critical infrastructure and safeguarding records are also performed. This would include the activation of the EOC.

All EOC Sections
• Obtain current overall situational update for effected area • Support current field operations
• Ensure adequate staffing to manage incident
• Plan for additional operational periods
Management

1. Orchestrate support of field operations

2. Manage EOC operations - establish objectives and operational periods

3. Draft and distribute relevant and timely media and public information releases (alerts)

4. Communicate with respective city council

5. Liaison between EOC and allied agencies
Operations

1. Monitor and support all field operations

2. Ensure departments and responders follow appropriate protocols and procedures

3. Communicate with incident command post (ICP)

4. Support non-incident related operations

5. Keep PIO informed of urgent and important information

6. Keep Logistics Section updated on equipment requests (current and anticipated needs)

7. Request additional resources (internal and/or external) [personnel and/or equipment]

8. Support mass care and shelter operations

9. Support field evacuation operations

10. Support alerts and notifications

11. Complete appropriate documentation
Planning

1. Facilitate and draft Emergency Action Plan (EAP)

2. Consider and plan for incident impact on city

3. Monitor current and predicted weather conditions

4. Document necessary and appropriate damage for possible claims/reimbursement

5. Update Web EOC as warranted with relevant information

6. Plan for additional operation periods

7. Support evacuation process

8. Initiate planning process for transition from Response phase to Recovery Logistics

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-4 November 2022

1. Fulfill requested resource request

2. Secure additional request as possible

3. Contact local vendors or OES for mutual aid requests

4. Support evacuation or shelter operations

5. Support evacuation process

6. Anticipate possible needs from interactions with OPS Section Finance

1. Track expenditures of personnel, time costs, equipment, and related purchases

2. Track receipts and financial records

Phase 1 (initial occurrence through day 14)
Focus is upon notification, situational awareness, initiation of response resources with a priority on lifesaving and damage assessment. Continued priority remains on lifesaving, as well as life - sustainment operations to include medical treatment, sheltering/mass care services, and possibly evacuation. Mutual aid resources will have been requested and may be activated and possibly deployed in many cases.

EOC activation would follow the EOC Activation Annex and the Emergency Action Plan Annex.

Public Works / Engineering Division and Building Division is responsible for overseeing the evaluations of city-owned facilities.

Following an earthquake, three levels of evaluations take place. These should be performed by qualified individuals.
• Rapid evaluations (ATC -20 Rapid) – a quick safety review of the building, with approximately 10 -20 minutes spent on each building.
• Detailed evaluations (ATC-20 Detailed)– a more thorough assessment/evaluation of the integrity of the framing system and building ’s structure that may take from one to four hours; and,
• Engineering evaluations – comprehensive assessments performed by professional engineers and architects at the request of the facility owner(s) to ascertain the damage, its cause, and how to repair it.

Phase 2 (Day 14 – through 6 month)
Continued life-sustaining operations as required and focus on essential emergency re pairs to critical infrastructure. Federal Emergency Management Agency (FEMA) disaster assistance programs will be implemented for housing, debris management, and repair/restoration of critical infrastructure. State and federal supplemental assistance will have arrived.

The EOC will remain activated as determined by the EOC Director and/or city manager.

Recovery
There are usually no clear distinctions between when the response phase ends and the recovery phase begins. This is even more difficult to distinguish during an earthquake due to possible aftershocks. There is typically a period after the earthquake in whi ch both phases are in effect

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-5 November 2022
simultaneously. The recovery phase can last for years. During this phase, the state and federal governments may provide disaster relief upon a Governor ’s Proclamation and a Presidential Disaster Declaration.

Functions during th is phase include federal relief for public and individual assistance, establishment of Disaster Recovery Centers (DRCs), establishment of temporary housing facilities, and federal disaster loans and grants. Long-term recovery includes restoration of affected areas to their normal or to an improved state. Recovery and re-entry update information will be provided through the media. Re-entry control points must be established for the public who have a need to re-enter into the disaster areas following an earthquake.

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-6 November 2022
AFTER

Management

1. Orchestrate support of recovery efforts

2. Ensure needed city operations/services are in place (Continuity of Operations)

3. Continue to release relevant public information and media reports; orchestrate multiple communicate avenues to residents and businesses regarding recovery information

4. Review EOC operations and staffing and adjust appropriately – plan for operational periods as necessary
Operations

1. Continue support of field operations transitioning from response to recovery using appropriate protocols and procedures

2. Oversee restoration of normal city operations

3. Support shelter operations; oversee transition from temporary sheltering to long term temporary housing options

4. Support alerts and notifications

5. Support re-entry operations of evacuated residents
Planning

1. Draft and orchestrate development of EAP

2. Continue to document and track recordings of activities

3. Draft plan and coordinate re-entry process of any evacuated residents

4. Develop medium term recovery plans

5. Collect documentation for AAR
Logistics

1. Continue to support field operations by obtaining necessary resources either from local vendors or mutual aid

2. Support shelter and evacuation center operations and transitioning from city managed short term care to external long-term options

3. Support re-entry process of evacuated residents
Finance

1. Collect expense reports, prepare summary reports

2. Use appropriate forms for possible claims and/or reimbursement

3. Submit forms when required
____________________
After action reports should be generated; these should include any improvements, recommendations, suggestions and plans.

Debris Removal – Public Property
In accordance with FEMA’s Debris Removal Guidance, debris removal from public property may be eligible for public assistance grants. Eligible applicants include state and local governments,

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-7 November 2022
Indian tribes, and certain private non -profit organizations. To be eligible for FEMA fundi ng, the debris removal work must:
• Be a direct result of a Presidentially declared disaster • Occur within the designated disaster area
• Be the responsibility of the applicant at the time of the disaster.

In addition, debris removal work must be necessary to:
• Eliminate an immediate threat to lives, public health and safety • Eliminate immediate threats of significant damage to improved public or private property • Ensure the economic recovery of the affected community to the benefit of the community- at-large
Debris Removal – Private Property
In accordance with FEMA ’s Debris Removal Guidance, debris removal from private property is typically not eligible for disaster assistance grants because it is the ultimate responsibility of the property owner to re move the debris. If debris on the private property is obstructing any public roadways or facilities, or is causing a local public health threat, the local government had the authority to be reimbursed for debris removal expenses. In addition, the State or local government may in some cases need to demolish a private facility that is unsafe and causing a threat of safety to life, property, and the environment.

The demolition of unsafe privately-owned structures and subsequent removal of demolition debris may be eligible when the following conditions are met:
• The structures are damaged and made unsafe by the declared disaster and located in the area of the disaster declaration.
• The applicant certifies that the structures are determined to be unsafe and pose an immediate threat to the public.
• The applicant has demonstrated that it has legal responsibility to perform the demolition. • A legally authorized official has ordered the demolition of unsafe structures and removal of demolition debris.
• The applicant has in demnified the federal government and its employees, agents, and contractors from any claims arising from the demolition work; and, • The demolition work is completed within the completion deadlines outlined in 44 CFR §206.204 for emergency work.

Phase 3 (6 months through 3 to 5+ years)
Continued support of Phase II with housing assistance, FEMA assistance programs, and initiation of long-term recovery strategy/programs with a goal toward fully implemented long-term recovery programs. This phase is to be cons idered a “recovery” phase, which will include the implementation of significant state and/or federal assistance programs.

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-8 November 2022
Documentation
Documentation is the key to recovering eligible emergency response and recovery costs. Damage assessment documentation w ill be critical in establishing the basis for eligibility of disaster assistance programs. Under the State ’s California Disaster Assistance Act (CDAA), documentation is required for any earthquake damage sustained to the following:
• Public buildings
• Flood control works
• Irrigation works
• City streets
• Bridges
• Other public works facilities
Under federal disaster assistance programs, documentation must be obtained regarding earthquake damages sustained to:
• Roads (Public)
• Water control facilities
• Public buildings and related equipment
• Public utilities
• Facilities under construction (all facilities or only public facilities) • Recreational and park facilities
• Educational institutions (Public)
• Certain private non‐profit facilities
Earthquake debris removal and em ergency response costs incurred by the affected entities should also be documented for cost recovery purposes under the federal programs. It will be the responsibility of the County, local jurisdictions, and special districts to collect documentation of these damages.

The information documented should include the location and extent of damage, estimates of costs for debris removal, emergency work and repairing or replacing damaged facilities to a non - vulnerable and mitigated condition. The cost of complianc e with building codes for new construction, repair and restoration will also be documented. The cost of improving facilities may be provided under federal mitigation programs.

Documentation must begin at the field level and continue throughout the operation of the EOC as the disaster unfolds. Documentation is the key to recovering expenditures related to emergency response and recovery operations.

Potential Resource Requests
Regardless of preparation, Tracy will experience shortages of critical resources necessary to respond to the earthquake. Assumptions regarding necessary resources are described below.

These resources may be available through the Mutual Aid system, the State and Federal governments, or the private sector.
• Teams to support fire-fighting operations and search & rescue

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-9 November 2022
• Law enforcement resources for security
• Vehicles to move first responders, evacuees, and displaced residents • Medical health professionals and resources
• Vehicles to move the injured and medically fragile
• Bedding, food, water, generators, medical supplies, sanitation supplies, qualified staff, and security for shelters
• Additional shelter space
• Mental health professionals and counselors
• Building inspectors
• Heavy equipment and operators for emergency shoring and debris removal, reduction, transport, and disposal
• Equipment, staff, and supplies for handling fatalities • Water, food, supplies, sanitation facilities, and generators to support emergency operations and to support residents
• Fuel
• Qualified emergency managers and other staff to support EOC and DOC operations • Public Information Officers (PIOs)
• Interpreters and translators
• Structural and civil engineers
• Utility restoration teams (power, gas, water, sewer)
• Communication restoration teams (satellite, cellular, wired, voice/data/video)

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-10 November 2022
BEFORE
Preparation
The preparedness phase occurs to and in anticipation of a catastrophic earthquake. This phase focuses on promotion of increased public awareness of the potential emergency, prepa ration of necessary materials, and equipment or response to the emergency, and training for emergency response personnel. Typical functions of the preparedness phase include conducting public information programs, maintaining emergency resources inventory lists, and conducting exercise and training programs.

The following activities are associated with the preparedness phase:
• Provide training and information to mitigate the effects of a catastrophic event (earthquake)
• Train and equip response personnel
• Identify local staging areas and fuel sources
• Identify transportations resources and facilities, to include transportation for the injured, disabled, and others with access and functional needs
• Identify large, adequately equipped shelter facilities and transportation resources • Identify adequate locations that could serve as Points of Distribution • Promote employee personal preparedness
• Encourage public preparedness
Mitigation
It is recognized that preventing a catastrophic event from happening cannot occur; however, there are measures that can be taken to lessen the effects.

Such measures could include:
• adopting seismic resistant design standards, some of which are currently being followed
• comply with floodplain management guidelines
• adopting seismic non-structural design standards such as FEMA guides.

ATTACHMENT A
City of Tracy Emergency Operations Plan
EARTHQUAKES A3-11 November 2022
This document has been reviewed and accepted by:

___________________________________________ __________________________ Tracy Police Department Date

___________________________________________ __________________________ Tracy Operations & Utilities Department Date

___________________________________________ __________________________ South County Fire Authority Date

___________________________________________ __________________________ Tracy Emergency Services Coordinator Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
FLOODING A4-1 November 2022
ANNEX 4 - FLOODING

Yes

Initiate request
Additional
resources
needed?
Field No

End / AAR/Report
No
Department
staff
Is the incident
being managed or
escalating?
Managed

ATTACHMENT A
City of Tracy Emergency Operations Plan
FLOODING A4-2 November 2022
Overview
Floods are one of the most common natural hazards in the United States. They can develop slowly over a period of days or occur quickly with disastrous consequences that can affect Tracy or the region. A flood is defined as the inundation of normally dry la nd resulting from rising and overflowing of a body of water. Heavy rains are the most frequent cause of flooding in the County with flood problems occurring primary along streams located on the bayside. Storm water and overland flows can exacerbate flooding and create shallow zones in parts of the County.

The Hazard Mitigation Plan identifies various types of floods:
• Storm water runoff – a result of local draining issues and high groundwater levels. Locally, heavy precipitation, especially during high lunar tides, may induce flooding. Urban drainage flooding is caused increased water runoff due to urban development and drainage systems.
• Riverine – is overbank flooding of river and streams. • Flash flooding – “a rapid and extreme flow of high water into a normally dry area, or rapid water level rise in a stream or creek above a predetermined flood level beginning within 6 hours of the causative event.” NWS 2009
Most area floods occur during or following winter storms in the winter months. A flood can be the result of a substantial amount of rainfall in a short period of time or when the ground has become saturated from numerous storms and can no longer absorb additional rainwater.

Purpose
This Annex provides information and guidance that are specific to mitigation, planning, response and recovery actions that may be necessary to manage flooding situations in Tracy.

Lead agency: Tracy Operations and Utilities Department Support agencies: Tracy Police Department
Tracy Fire Department
Tracy Recreation Department
San Joaquin County OES
Response
The degree of impact will dictate the degree of response.

Field responders will maintain communication and report on the status of conditions. An Incident Commander or supervisor will determine the need for any escalation using respective policies and procedures.

DURING
If the EOC has been activated:

All EOC Sections

ATTACHMENT A
City of Tracy Emergency Operations Plan
FLOODING A4-3 November 2022
• Obtain current overall situational update for affected area • Support current field operations
• Ensure adequate staffing to manage incident
• Plan for additional operational periods
Management

1. Orchestrate support of field operations

2. Manage EOC operations—establish objectives and operational periods

3. Draft and distribute relevant and timely media and public information releases

4. Communicate with respective city council

5. Liaison between EOC and allied agencies
Operations

1. Monitor and support all field operations

2. Ensure departments and responders follow appropriate protocols and procedures (SOPs)

3. Communicate with incident command post (ICP)

4. Support non-incident related operations

5. Keep PIO informed of urgent and important information

6. Support field evacuation operations

7. Support any mass care and shelter operations

8. Keep Logistics Section updated on equipment requests (current and anticipated needs)

9. Request additional resources (internal and/or external) [personnel and/or equipment]

10. Complete appropriate documentation
Planning

1. Facilitate and draft Emergency Action Plan (EAP)

2. Consider and plan for incident impact on city

3. Monitor current and predicted weather conditions

4. Support any field evacuation operations

5. Document necessary and appropriate damage for possible claims/reimbursement

6. Update Web EOC as warranted with relevant information

7. Initiate planning process for transition from Response phase to Recovery Logistics

1. Fulfill requested resource request; secure additional request as possible; contact local vendors or OES for mutual aid requests

2. Support any evacuation or sheltering operations
Finance

1. Track expenditures of personnel, equipment, and related purchases

2. Track receipts and financial record

3. Use appropriate form for potential reimbursement
Recovery
Recovery process may take some time depending on the extent of damage, water level in effected waterway, and current and upcoming weather conditions. Public works will be the lead for overseeing repairs to waterways and storm related management systems.

ATTACHMENT A
City of Tracy Emergency Operations Plan
FLOODING A4-4 November 2022
In addition to channel maintenance, repair to soil erosion may be necessary. While the cost of such might be covered in flood or storm incidents, the management of repair may occur outside of the immediate incident.

AFTER

Management

1. Orchestrate support of recovery efforts

2. Ensure needed city operations/services are in place

3. Continue to release relevant public information and media reports

4. Review EOC operations and staffing and adjust appropriately Operations

1. Continue support of field operations transitioning from response to recovery using appropriate protocols and procedures

2. Oversee restoration of normal city operations

3. Support any re-entry process

4. Support closure of any shelter operations and assist in transition of displaced residents

5. Oversee re -opening of closed roadways and removal of barricades and other traffic notification devices
Planning

1. Continue to document and track recordings of activities

2. Collect documentation for AAR

3. Coordinate and support re-entry process of any evacuated areas Logistics

1. Continue to support field operations by obtaining necessary resources either from local vendors or mutual aid

2. Support any re-entry process

3. Support any evacuation or sheltering operation and transition to closing facility Finance

1. Collect expense reports, time costs; prepare summary reports; submit forms for possible claims and/or reimbursement

2. Utilize correct form for reimbursement
After action reports should be generated; these should include any improvement suggestions and plans. Suggestions and plans should have an effect on future planning and preparation efforts.

BEFORE

ATTACHMENT A
City of Tracy Emergency Operations Plan
FLOODING A4-5 November 2022
Mitigation
Mitigation efforts, consistent with the current Hazard Mitigation Plan focus on maintaining and managing channels, waterways, creeks, drains, spillways, and storm drains from any debris, erosions, vegetation, or anything that might impede or restrict water flow and runoff. Waterways that empty into the San Francisco Bay should also be clear of any obstruction.

The Tracy Department of Operations and Utilities is responsible for managing programs for city owned properties and facilities. Property owners are responsible for waterways which flow through private properties.

Storm management systems, including pump stations, should be regularly maintained and closely monitored during winter storms. Adequate alerting and notification systems should be in place.

Mitigation efforts should include:
• Enacting, updating and enforcing any land use and vegetation management codes • Building and new and redevelopment use codes to mitigate impacts to waterways • Regular inspection, maintenance and upgrading of storm drains, spillways, waterways (creeks and channels)
• Regular inspection, maintenance and improvements of retaining walls and breakwaters Preparation
As the winter season approaches, departments should be aware of current and upcoming weather conditions. Department should stage any appropriate equipment and supplies needed.

Residents should be reminded to clear any debris and vegetation on their property that might be adjacent to a creek, steam or waterway.

Public works should pre -identify hazard prone areas a nd share that information with fire, police and emergency management. Emergency management will monitor incoming weather information and distribute it to fire, police and public works. Tracy Parks and Recreation should refresh intelligence regarding shelter locations and condition in case of any evacuations.

ATTACHMENT A
City of Tracy Emergency Operations Plan
FLOODING A4-6 November 2022

This Annex has been reviewed and accepted by:

___________________________________________ __________________________ Tracy Operations & Utilities Department Date

___________________________________________ __________________________ Tracy Emergency Services Coordinator Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-1 November 2022
ANNEX 5 - WILDFIRES
Yes

Initiate request
Additional
resources
needed?
Field No

End / AAR/Report
No
Department
staff
Is the incident
being managed or
escalating?
Managed

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-2 November 2022

INTRODUCTION
Purpose
This Annex is intended to ensure an effective and coordinated response to a significant wildfire event. This annex provides direction for city departments, community groups and allied stakeholders ensuring interagency coordination in accordance with the City’s EOP.

This Annex is designed to accomplish the following:
• Serve as a planning document to support further development of major incident plans by City departments and agencies.
• Provide an overview of the threats that wildfire poses to City and define the potential range of impacts.
• Provide the response management team with contextual information to guide initial response planning.

Scope
This Annex has been developed in accordance with the City EOP. In keeping with the EOP’s “all- hazards” approach for local emergency management, the response policies and protocols for a wildfire event will align with those established in the EOP. The Annex supplements the EOP by providing considerations for a response to a major wildfire event in the City.

This Annex does not alter existing City department emergency response standard operating procedures (SOPs), processes, or resources. Emergency response agencies (such as fi re, law enforcement, and emergency medical services [EMS]) will adhere to existing department SOPs in accordance with all legal requirements.

Lead agency: Tracy Fire Department
Support agencies: Tracy Police Department
Tracy Operations and Utilities Department
Tracy Recreation Department
San Joaquin County OES
Situation
According to the California Governor ’s Office of Emergency Services (Cal OES), wildfire “represents the third most destructive source of hazard, vulnerability, and risk , both in terms of recent state history and the probability of future destruction of greater magnitudes than previously recorded (State of California , 2018) . The most damaging type of fire is the Wildland -Urban Interface fire which occurs where the built environment and natural areas are intermixed (i.e., the border of urban areas).

Unlike other natural hazards such as flood, wildfires can rapidly escalate in size and threat. Major fires can generate their own wind patterns mov ing the fire in rapid and unexpected directions.

Secondary effects of wildfire may include economic losses, reduction in harvestable timber, contamination of reservoirs, destruction of transmission lines, and contribute to flooding and mudslides.

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-3 November 2022
A major fire may result in hazardous debris including destroyed or damaged structures, weakened infrastructure, damaged trees as well as ash containing lead, asbestos or household hazardous waste.

The City’s eastern boundary abuts Tilden Nature Area and adjacent woodland areas. In a major wildfire, multiple local fire agencies may form a Unified Command (UC) to manage the incident.

This command structure may address tactical operations, coordinate fire mutual aid resources, and organize logistics and public information.

The National Weather Service issues Red Flag Warnings and Fire Weather Watches to alert fire departments and residents of the onset, or possible onset, of critical weather and dry conditions that could lead to rapid or dramatic increases in wildfire activity. • Red Flag Warnings are issued for weather events which may result in extreme fire behavior that will occur within 24 hours. A Red Flag Warning is the highest alert. • Fire Weather Watches are issued when dangerous weather conditions could exi st in the next 12 to 72 hours.

Planning Assumptions
Impact Assumptions
This Annex is based on a developing wildfire causing significant actual or potential loss of property. General impacts may include:
• Hundreds of residents may need to be alerted and evacuated with little or no notice. • Hundreds of residents may require shelter because of evacuation or damage to homes. • Electrical service and voice/data/radio communications may be impacted due to downed lines or damage to transmitters/antennas.
• Damage or loss of power to water and wastewater collection systems may cause disruption of vital services.
• Smoke will present visibility issues for residents and responders as well as indirect public health risks.
• A major wildfire event could generate tons of debris including construction and demolition, damaged trees, and hazardous waste.
• Structural damage to transportation infrastructure may take weeks or months to repair.

These systems may be damaged or disrupted including bridges, roads, signage, and barriers.

Response Assumptions
• City residents have little or no experience with wildfire evacuations. This could significantly delay or disrupt evacuation operations.
• Law enforcement will be significantly challenged to coordinate and conduct notification, evacuation, and traffic management missions.
• A wildfire incident may impact the City with little or no warning. In a no-notice event, there may be insufficient time to notify local residents, prepare the City ’s emergency response organization and implement the City’s Emergency Operations Plan.

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-4 November 2022
• Additional law enforcement resources may be needed to maintain public order, augment rescue operations, and secure critical operations.
• The demand for emergency public information will be immediate and sustained. Social and traditional media coverage will be extensive.
• Assistance in the form of spontaneous volunteers, donated goods, and monetary donations will begin to flow into the City. Although this may provide desperately needed resources, it will create coordination and logistical support challenges.

CONCEPT OF OPERATIONS
The EOP defines the City ’s general emergency response organization, authorities, policies, priorities, and
procedures. In the event of a significant wildfire event, this Annex provides potential specific objectives that the emergency response organization may integrate into its operations (see Section 3 – Objectives).

Increased Readiness (Monitoring)
Once weather forecasts and fire conditions indicate a potential for a significant wildfire event, City departments may increase their readiness to conduct response operations. These efforts may include:
• Enhanced staffing
• Adjusting work hours
• Readying equipment and supplies
• Reducing non-critical operations
• Conducting protective operations
• Increased observation and monitoring of areas at greatest risk The City ’s Emergency Operations Center (EOC) may be activated to develop enhanced situational awareness, expedite decision making, conduct stakeholder coordination, develop public information, and provide greater support to City departments.

Response
The City will provide immediate response via its public safety departments coordinating in the field using the ICS. The City’s EOC will provide support to field personnel, coordinate the efforts of other City departmen ts and collaborate with the San Joaquin County Operational Area and other allied stakeholders utilizing SEMS.

In the first few hours or days of a major wildfire event, the City will:
• Respond to the community ’s immediate life safety needs of warning and eva cuation by making use of systems alert and notification systems as well as door-to-door notifications if needed
• Conduct fire suppression, property protection, EMS, and law enforcement operations as needed
• Assemble resources for a sustained response and for providing basic mass care, shelter, and information services to the community

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-5 November 2022
• Begin to transition from immediate emergency response efforts to sustained operations • Conduct sustained operations and begin to transition into recovery When threatened by wildfire, some residents, businesses, and institutions may elect to evacuate without order or direction. A voluntary evacuation of a community may result in traffic congestion and raise concerns about protection of property. The local Incident Commander will co ordinate with the Police Department for support when operations are affected by a spontaneous evacuation.

Short Term Recovery
The immediate response to a major wildfire event will focus on saving lives, providing resources to sustain City residents, and stabilize the situation. At some point, however, the City will transition to a phase in which recovery operations take precedence. Rapid initiation of recovery operations is critical to restoring confidence in the community.

Activities in this phase include mitigating life-safety hazards, enhanced security operations, utility restoration, limited debris clearance, resident re-entry, sustained public information, coordination of donations, and damage assessment. See Section 3 for objectives re lated to short -term recovery.

OBJECTIVES
General Objectives
Immediately following a major wildfire event, and for as long as a state of emergency exists within the City, response to the event will be the first priority of all City departments and agencies. All available City Disaster Service Workers (DSWs) will be directed to achieve the following objectives:
• Save lives
• Reduce immediate threats to life, public health and safety, public and private property, and the environment
• Provide necessary care, shelte r, and medical services to City residents and other members of the general public
• Restore the operations of facilities, whether public or privately owned, that are essential to health, safety, and welfare of the community, including critical City facilitie s, utilities, and transportation infrastructure
• Assess damage to infrastructure, public facilities, and the built environment • Expedite the restoration of services, the economy, and the community at large; and begin the process of recovery
• Keep the public informed
Enhances Readiness (Monitoring) Objectives
• Develop situational awareness regarding wildfire hazards, fire conditions and weather forecasts
• Develop and provide public information regarding forecasts, recommended preparedness actions

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-6 November 2022
• Develop/refine public warning and evacuation messages • Prepare to conduct warning and evacuation operations
• Consider activation of the EOC
• Assess and modify staffing levels/schedules
• Identify and prepare potentially needed equipment and supplies • Relocate or safeguard equipment and facilities
• Reduce or halt non-critical operations
Response Objectives
In addition to those tasks and objectives outlined in the EOP, the following specific operational objectives should be incorporated into initial response operations and planning:
• Direct and assist immediate life-saving warning and evacuation operations • Deploy law enforcement resources to support response activities and maintain law and order
• Identify at-risk populations, notify them, and begin evacuation if warranted • Activate the EOC as needed.
• Develop real -time situational awareness to guide public information efforts. Consider deploying an EOC liaison to the Incident Command Post (ICP) • Establish contact with the San Joaquin County Operational Area and allied stak eholder agencies
• Conduct emergency evacuation and traffic management operations as needed • Identify potential sites for evacuation centers to accommodate displaced populations while emergency shelters are being opened
• Begin public information messaging regarding recommended personal protective actions, evacuation centers, and community assistance needed. Assess the need to activate the Joint Information Center (JIC)
• Develop a consolidated situation assessment and declare a state of emergency. Consider requesting a Fire Management Assistance Grant declaration (see Fire Management Assistance Grant Program Guide, 2014 and Cal OES guidance). • Coordinate the receipt and deployment of incoming resources to prioritized missions • Designate staging areas and begin planning to accommodate support personnel • Assess the situation at critical facilities and the condition of emergency communications systems
• Implement recall of City staff as needed
• Coordinate with the San Joaquin County Health Department to identify and address the threat posed by degraded air quality
• Complete an initial damage assessment of the City, identifying areas affected, major incidents, and operational status of critical services. Begin to develop Essential Elements of Information (EEIs) – see Attachment 1
• Assess critical resource shortfalls and begin requesting support through mutual aid and the San Joaquin County Operational Area. Consider resources needed for the next 14 days.
• Establish perimeter control around unsafe areas

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-7 November 2022
• Assemble damage assessment info rmation and submit the Cal OES Initial Damage Estimate (IDE)
• Assess conditions at designated emergency shelter sites and begin to supply with beds, water, food, medical support, generators, sanitation, and facility security; and begin to open emergency shelters to residents and DSWs
• Identify people with special support requirements and transfer to appropriate care facilities • Designate primary traffic routes and implement debris clearance, route recovery, and traffic control
• Conduct outreach for situation st atus and resource needs for affected facilities needing support from City, including transit sites, schools, commercial buildings, and sites of historic/cultural significance
• Initiate social and traditional media briefings to inform residents on City operations, steps they can take, services available to them, ongoing rumor control efforts, and ways in which the community can help
• Establish shelter support coordinator teams and evaluate the shelter sites • Establish plans for how to provide care for people with special support requirements that cannot be met in congregate care shelters
• Review and enhance security plans to maintain public order • Review incident status reports to prioritize incident commands that can begin suspending emergency response operations and transition to sustained response and recovery operations
• Ensure that air quality, hazardous materials spills, and other environmental situations are monitored and risks addressed
• Coordinate with the San Joaquin County Operational Area to survey all li censed food establishments, including the emergency shelter/evacuation centers, feeding sites, and disaster kitchens to ensure there are no unsafe food handling or other sanitation or safety concerns
Short Term Objectives
• Develop public information to addr ess how to safely clean -up fire damage, deal with insurance companies, dispose of debris, and access potential sources of assistance • Coordinate with the San Joaquin County Operational Area to facilitate the recruitment, training, and deployment of volunteers and donations
• Work with the American Red Cross (ARC) and other organizations to provide information to support their Disaster Welfare Inquiry Program
• Develop a program to integrate the safety of volunteers and volunteer organizations in recovery operations
• Establish a debris management plan and begin to gather and transport debris from critical sites or routes
• Coordinate with the business community regarding business resumption activities • Produce, regularly update, and distribute a multi -lingual, multi -format, disaster “Fact Sheet” to the media, people in shelters, field response personnel, residents and businesses

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-8 November 2022
• Implement a process to allow limited entry (where safe) for recovery of personal items • Coordinate with the San Joaquin County Operational Area to provide prioritized community behavioral health services (ex. those whose homes have been damaged/lost, shelter residents, children, and individuals who have suffered significant loss) • Anticipate and support initial damage assessment visits by state an d federal officials wanting to confirm the immediate and long-term unmet recovery needs of the City • Conduct long -term recovery planning to address issues of interim housing, debris management, expedited permitting, environmental safety monitoring, soil sta bilization, erosion control, coordination with non -governmental and non -profit organizations, and participation in state/federal disaster assistance programs

Tracy Wildfire Severity Zones

ATTACHMENT A
City of Tracy Emergency Operations Plan
WILDFIRES A5-9 November 2022

This Annex has been reviewed and approved.

___________________________________________ ___________________________ South San Joaquin County Fire Authority Date

___________________________________________ ____________________________ Tracy Emergency Services Coordinator Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
SEVERE WEATHER A6-1 November 2022
ANNEX 6 - SEVERE WEATHER

Yes

Initiate request
Additional
resources
needed?
Field No

End / AAR/Report
No
Department
staff
Is the incident
being managed or
escalating?
Managed

ATTACHMENT A
City of Tracy Emergency Operations Plan
SEVERE WEATHER A6-2 November 2022
Purpose
This Annex provides information and guidance that are specific to mitigating, planning, response, and recovery actions that may be necessary to manage severe weather situations in Tracy and to be used following the need to activate the EOC. Examples of indicat ors for EOC activation include:

1. Multiple DOCs have been activated and better coordination is warranted, or

2. Conditions are such that overall coordination would be beneficial at a higher level Overview
Severe weather usually occurs during the fall and winter months and is accompanied by wind and rain and potentially associated with flooding, slides, downed trees, and utilities outages.

Lead agency: Tracy Operations and Utilities Department Support agencies: Tracy Police Department
Tracy Fire Department
Tracy Parks & Recreations
San Joaquin County OES
Once activated, use the following for EOC operations:

DURING
Response
Response will depend on the actual intensity of and impact from the storm. First responder units and departments will respond according to their respective Standard Operating Procedures (SOPs).

All EOC Sections
• Obtain current overall situational update for affected area • Support current field operations
• Ensure adequate staffing to manage incident
• Plan for additional operational periods
Management
1) Orchestrate support of field operations
2) Manage EOC operations—establish objectives and operational periods 3) Draft and distribute relevant and timely media and public information releases 4) Communicate with respective city council
5) Liaison between EOC and allied agencies
Operations
1) Monitor and support all field operations
2) Ensure departments and responders follow appropriate protocols and procedures 3) Field crews should monitor prone / problem areas
a. Flood prone areas

ATTACHMENT A
City of Tracy Emergency Operations Plan
SEVERE WEATHER A6-3 November 2022
b. Creeks, streams and waterways
4) Manage downed trees and other debris
5) Monitor effectiveness of pump stations
6) Prioritize storm related response to incidents
7) Keep PIO informed of urgent and important information 8) Keep Logistics Section updated on equipment requests (current and anticipated needs) 9) Operations and Utilities Branch Director updates OPS Section Coordinator especially when significant changes occur
a. Change in intensity of storm
b. Significant utility outages
c. Roadway closures
10) CERT activation; community groups assistance
11) Support any mass care and shelter operations
12) Request additional resources (internal and/or external) [personnel and/or equipment] 13) Assist with damage assessment
14) Support any field evacuation operations
15) Complete appropriate documentation
Planning
1) Draft Emergency Action Plan (EAP) – facilitate input from all EOC Sections 2) Support field evacuation operations
3) Consider need for evacuation centers
a. Location
b. Staffing
c. Water and food
d. Informing residents
e. Transportation
f. Pet care
g. Use tracking system
4) Monitor current and predicted weather conditions
5) Document necessary and appropriate damage for possible claims/reimbursement 6) Collect damage assessment documentation
7) Update Web EOC as warranted with relevant information 8) Initiate planning process for transition from Response phase to Recovery Logistics
1) Contact vendors
2) Fulfill requested resource request; secure additional request as possible; contact local vendors or OES for mutual aid requests
3) Support any field evacuation operations
Finance
1) Track expenditures of personnel, equipment, and related purchases 2) Track receipts and financial records
3) Pay for any immediate storm related costs

ATTACHMENT A
City of Tracy Emergency Operations Plan
SEVERE WEATHER A6-4 November 2022
AFTER
Recovery
Planning for recovery should start during the response phase. While there is no specific time when the response phase transitions to the recovery phase, it will probably occur after the storm has passed through the area. Even though there may still be a number of calls for service because of the impact, the intensity has subsided. The EOC should continue to document storm related expenses for potential reimbursement.

Management
1) Orchestrate support of recovery efforts
2) Ensure needed city operations/services are in place
3) Continue to release relevant public information and media reports 4) Review EOC operations and staffing and adjust appropriately Operations
1) Continue support of field operations transitioning from response to recovery using appropriate protocols and procedures
2) Oversee damage clean up and debris removal
3) Continue support of any shelter locations until shelter or EOC is closed 4) Oversee re -opening of closed roadways and removal of barricades and other traffic notification devices
5) Oversee restoration of utilities
6) Assist in collecting damage assessments
7) Support re-entry process of evacuated resident
Planning
1) Continue to document and track recordings of activities 2) Draft EOC deactivation plan
3) Monitor any relevant weather-related activity
4) Coordinate re-entry process and operations of any evacuated residence 5) Collect damage assessment reports
Logistics
1) Support local assistance centers, Small Business Administration (SBA) assistance 2) Continue to support field operations by obtaining necessary resources either from local vendors or mutual aid
3) Support reentry process of evacuated residents
4) Support any evacuation or sheltering operation and assist in transition for closing Finance
1) Pay for any outstanding incident related expenses
2) Collect expense reports, prepare summary reports; submit forms for possible claims and/or reimbursement; use appropriate forms for reimbursement 3) Support local assistance centers, Small Business Administration (SBA) assistance

ATTACHMENT A
City of Tracy Emergency Operations Plan
SEVERE WEATHER A6-5 November 2022
An After-Action Report should be generated; these should include any improvement suggestions and plans. Suggestions and plans should have an effect on mitigation and preparation efforts.

BEFORE
Mitigation
Weather history has shown that weather patterns change. The actual start date and intensity of winter weather varies; however, knowing that the area tends to experience winter storms regularly allows for actions that could mitigate their impact. This could include the following:
• Maintaining and clearing storm drains inlets and pipelines • Maintaining and clearing of creeks, trash ramps, and trash bars • Maintaining creek and drain monitoring equipment
• Continual street sweeping activity to prevent the intrusion of debris into storm drain system • Regular maintenance, repairs and upgrades of storm water and sanitary sewer pumps, pump stations and related equipment
• Drafting of storm response plans
• Removal of debris or dead plants or trees in advance of storm season • Ensure tree and branch maintenance near power lines
• Ensure needed storm respons e supplies are stocked, including sandbag equipment, generators have been serviced and fuels and barricades are workable and in stock • Encourage residents to register for San Joaquin County’s Community Warning System Alerts
• Reminding residents to “storm rea dy” their property, check and restock emergency supplies, and have plans in case of power outages; utilizing community groups to educate public on storm preparations
• Maintain updated information on shelters and evacuation centers • Provide staff with seasonal weather outlook from National Weather Service (NWS) • Remind residents who live adjacent to a creek to minimize flow impact by keeping the creek clean and clear of debris
Mitigation efforts also should be coordinated and in concert with the Hazard Mitigati on Plan (2018), neighboring jurisdictions and the County.

Preparation
During winter storm season, it is important that people are prepared for and know how to respond.

Since various departments are designated as first responders (fire, police and public works), they should stay updated on current and upcoming weather conditions. When a storm is predicted for the area, departments should make appropriate plans based on the potential impact. This could include:
• Staging of resources or material at strategic locations • Staffing personnel to ensure adequate coverage

ATTACHMENT A
City of Tracy Emergency Operations Plan
SEVERE WEATHER A6-6 November 2022
• Notifying residents
• Staff meetings or planning sessions
• Monitoring of storm’s progress
• Contacting NWS
• Interacting with county allied agencies
• Checking equipment and supplies
• Refueling of vehicles in accordance with storm readiness plans • Inspect known local “hot spots”
• Review local tide charts
Lead agency: Tracy Operations and Utilities Department Support agencies: Tracy Police Department
South San Joaquin County Fire Authority
San Joaquin County OES
____________________________________________________________________________ This annex has been reviewed and accepted by:

_______________________________________ __________________________ Tracy Operations & Utilities Department Date

_______________________________________ __________________________ Tracy Emergency Services Coordinator Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
SEVERE WEATHER A6-7 November 2022
Potential Severe Weather incident timetable

Flood/
Winter Storm
Incident
+1 Hour +2 Hours +6 Hours +10(+) Hours

Management
Activate EOC
Initial Press
Release/press
conference
Policy meeting to
determine next
steps
Updated Press release Determine when “All clear”
Plan for next cycle of operations if needed
Emergency declaration if needed

Operations
Activate section
Order public works
equipment
CERT activation
Support field incidents
responders
Enforce road closure
Deploy 1st
responders
CERT deployment

Enforce road closure
Begin damage
assessment
Enforce road closure
Report damage assessment
Inspect buildings/tag
Clear debris/roadways
Plan for next cycle of operations if needed

Planning
Activate section
Brief Section
Coordinators on NWS
update
Calculate and map
inundation area
Brief Section
Coordinators on
NWS update
Calculate inundation
area

Brief Section
Coordinators on NWS
update
Collect damage
assessment data
Brief Section Coordinators on NWS update
Collect damage assessment data
Plan for next cycle of operations if needed

Logistics
Activate section
Request PW equipment
Establish contact w/
vendors if necessary
Arrange delivery of
needed PW assets
Continue to support

Continue to support
Plan for next cycle of operations if needed

Finance

Activate section
Account for activated
personnel (EOC & field
personnel assigned to
incident)
Establish contact w/
vendors if necessary
Start process of
keeping track
expenditures

Continue to support

Tabulate damage costs and expenditures
of County resources
Plan for next cycle of operations if needed

ATTACHMENT A
City of Tracy Emergency Operations Plan
MASS CARE & SHELTER A7-1 November 2022
ANNEX 7 - MASS CARE AND SHELTER
Yes

Initiate request
Additional
resources
needed?
Field No

End / AAR/Report
No
Department
staff
Is the incident
being managed or
escalating?
Managed

ATTACHMENT A
City of Tracy Emergency Operations Plan
MASS CARE & SHELTER A7-2 November 2022
Overview
Following a major disaster many residents may be unable to use or return to their residents, have no alternate housing and/or transportation to another location may be impossible or delayed.

Therefore, it may be necessary for Tracy to provide temporary sheltering locations. The Care and Sheltering of local residents reside with the City; working collaboratively with County OES and the local Red Cross chapter , locations have been identified that comply with established guidelines for either evacuation centers or shelter locations.

Purpose
This Annex provides information and guidance that are specific to planning, response and recovery actions that may be necessary to manage car e and sheltering situations. This annex applies to large scale disaster or catastrophic situations and not day -to-day emergencies.

Preparation
In advance and in preparation working in collaboration with San Joaquin County Office of Emergency Services, San Joaquin County Employment and Human Services , and the local American Red Cross chapter, Tracy will pre-designate suitable, acceptable and qualified care and shelter locations which comply with current standards.

Shelter staff members will receive appropriate training on care and management from American Red Cross.

Accommodations will take in consideration people with disabilities and access and functional needs.

Response
Lead agency: Tracy Recreation Department
Support agencies: Tracy Police Department
Tracy Fire Department
Tracy Operations and Utilities Department
San Joaquin County OES
American Red Cross
San Joaquin County Human Services
Shelter operations may be supported by community -based organizations , faith -based organizations, and non-profit organizations.

Duration and scope of local shelters will be proportional to the situation’s severity and assistance needed.

Activation
During an emergency or disaster, the EOC will be monitoring the situational status of the current incident and the displacement of residents. Based upon intelligence and in formation from field operations sent to the EOC Planning Section and other section, the EOC Director will determine

ATTACHMENT A
City of Tracy Emergency Operations Plan
MASS CARE & SHELTER A7-3 November 2022
the need to activate and direct the Care and Shelter Branch to oversee and support the opening of shelters for affected residents.

Notification
The EOC Public Information Officer (PIO), working with the Care and Shelter branch to coordinate messages and notifications, will communicate the location shelters and other relevant information.

Set Up and Staffing
Various facilities in San Joaquin County have been designated as general population shelters capable of being set -up to receive residents. The American Red Cross maintains the National Shelter System database of qualified shelter locations.

A local Care and Shelter Coordinator will be design ated. Additional staff will be supplied by the city and supplemented by Red Cross and Human Services Agency volunteers. CERT team members who have been shelter trained may also assist.

Care should be taken for individuals requiring shelter including those that may require additional assistance which may include the following:

1. Seniors’ residents

2. Medically fragile or dependent

3. Limited English proficiency or non-English speakers

4. Limited mobility; access and functional needs

5. Unaccompanied minors
Service animals are allowed to accompany individuals throughout all stages of a disaster.

During a disaster, mass care operations will require an influx of resources from outside the area to be fully operational. A full complement of resources will be contingent o n the severity of the event, impact to transportation infrastructure and the ability to move resources and supplies into the affected area.

The Red Cross maintains Shelter Management Coordinators to support local officials and volunteers in the staffing of shelters.

Other facilities, such as faith -based organizations, may offer assistance to their organization members and others in the community. While they may receive relief supplies, organization and management would be supplied by such facilities.

Long Term Sheltering - There will be groups (families and individuals) that may require long term sheltering. This will be dependent on factors that arise due to the type, severity and location of the disaster. If the need for long term sheltering is determined through the local assessment process, then a request for federal assistance is made so that temporary housing resources will be provided if a federal disaster is declared. FEMA defines long-term sheltering as more than two weeks.

ATTACHMENT A
City of Tracy Emergency Operations Plan
MASS CARE & SHELTER A7-4 November 2022
Demobilization
Once a shelter has been activated, the decision for the demobilization order will be a coordinated effort with the Red Cross and Tracy EOC. All evacuees must be returned to their homes, family member’s homes, or moved to another facility before the shelter can be closed.

Factors that impact the decision to close a shelter include an urgency to return the shelter to its day-to-day use, availability of transportation, or the availability of long-term accommodations.

Recovery
During the recovery process, empha sis will be placed on cleanup, shelter demobilization, and critiquing operational performance. The Care and Shelter staff will participate in the demobilization and recovery process; coordinate provision of support for cleanup and recovery operations, as needed; and request the provision of financial and behavioral health services for individuals and emergency workers, where appropriate.

Most of the immediate needs of the population will have been provided, and if the disaster surpasses local available resources, federal and state governments will become heavily involved in providing financial aid to victims. Local Assistance Centers (LACs) will be set up to coordinate the delivery of needed services.

The EOC Care and Shelter Branch has responsibility for ph asing out the shelter facilities and assisting displaced persons in obtaining next phase temporary housing and other aid. The demobilization plan of action, drafted by the Care and Shelter Branch, will outline public/private partnership roles, responsibilities, resources, and protocols for the recovery transition period.

This document has been reviewed and accepted by:

_____________________________________ __________________________ Tracy Recreation Department Date

___________________________________________ __________________________ Tracy Emergency Services Coordinator Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
EOC ACTIVATION A8-1 November 2022
ANNEX 8 - EOC ACTIVATION
Overview
Incidents and/or events in Tracy may rise to a level which require significant resource and incident management support and oversight. This may be from a natural or human-caused disaster or an event that has significant impact to the City. The EOC can support field operations by coordinating their resources and more efficiently assess the situation and respond to requests from the field.

Purpose
This annex outlines the procedures and guideline for activating the EOC.

The EOC Director will determine the staffing needs for the EOC. The emergency management staff will maintain the list of EOC personnel and EOC teams. “SMC Alert ” is used to send notification to EOC Staff. All members of the EOC Staff are responsible for ensuring their SMC Alert account information is current.
• When a major emergency or disaster strikes, centralized emergency management is necessary. The EOC provides this needed centralized management. When activated, representatives from both jurisdictions and assigned private agencies su ch as American Red Cross will report to the EOC to coordinate decision -making, department activities, and liaison with different levels of government as well as with private entities and non - governmental organizations.
• The EOC provides a centralized focus of authority and information and allows for face- to- face coordination among personnel who must set priorities for use of resources and evaluate the need to request mutual aid.
• The role of the EOC is to support Field Operations, coordinate with San Joaquin County Operational Area, other neighboring city EOCs and various Department Operations Centers.
• Field Incident Commander(s) has/have the responsibility to report his/her/their incident status and necessary resource requests, to manage the incident, to the EOCs and DOCs.

The EOCs and DOCs then communicate all incident status and needed resource requests to the San Joaquin County Operational Area EOC.
• All pertinent information is then used by the Policy Group and Planning to create the Action Plan for the next operational period.

EOC Locations
The primary EOC location is:
• City Hall located at 333 Civic Center Dr. Tracy, CA
Alternate EOC locations include:
• Boyd Service Center at 520 Tracy Blvd., Tracy, CA

ATTACHMENT A
City of Tracy Emergency Operations Plan
EOC ACTIVATION A8-2 November 2022
Use of alternate locations would be when use of the pr imary EOC would be or potentially be unsafe or unusable.

EOC Functions
Functions Responsibility
Receive and disseminate notifications of warnings EOC Director , Emergency Services Coordinator
Coordinate emergency operations between:

1. San Joaquin County Operational Area, Cities, towns, local and state agencies, different levels of government

2. Special districts, Utility companies, school districts, non - profit organizations and outside agencies

3. The media and general public

1. All EOC Sections

2. EOC Agency
Representatives

3. Public Information Officer
(PIO) and Joint
Information Center (JIC)
Develop polices and determine if a local proclamation is needed EOC Director
Develops objectives, disseminate public information, provide legal advice, EOC Management Section
Develops strategy to implement objectives and the allocation of resources based on policy Operations Section
Collect Intelligence and disseminate informati on to EOC, Department Operating Centers (DOC), and Operational Area EOC. (Operational Area will contact State and Federal
agencies on behalf of the local jurisdictions.)
Planning Section
Coordinate the logistics support of resources and personnel and ensure the integrity of communications and information services. Work with Finance to track all contracts to assure reimbursement.

Logistics Section
Track costs of response personnel, equipm ent, and damage to county property. Coordinates the financial recovery of the county. Ensure that there are policies regarding bidding in regard to contract work during an emergency.

Finance Section

Response
When to Activate the EOC
The EOC is activated at the request of field response personnel (Incident Commander or field supervisor), Department Operation Centers (DOCs) or senior fire, police or public works official to provide support during any significant incident or event.

ATTACHMENT A
City of Tracy Emergency Operations Plan
EOC ACTIVATION A8-3 November 2022
If the activation of the EOC is needed, the Emergency Services Coordinator or their designee will contact the City Manager. If the City Manager is not available , they will attempt to contact his or her alternate.

Levels of EOC Activation
The City has three (3) levels of EOC activation:
• Level 3 – Minimum Staffing Key personnel needed to conduct operations as designated by the Incident Commander and the Director of Emergency Services or designee. (Usually used during a warning phase or a build -up phase.) At the discretion of the Director of Emergency Services the EOC may not be physically set up at this level. Normally this level consists of the Emergency Services Coordinator monitoring the situation. • Level 2 – Partial Staffing. Additional personnel for specific functions needed to conduct operations as designated by the Incident Commander and the Director of Emergency Services or designee. This can include a person from the Logistics section to orde r supplies, a person from the Plans section to track the situation status, and one or more members of the Operations section, including Fire, Law, EMS and Care and Shelter. One or more of the DOCs may be activated depending on the nature of the incident. • Level 1 – Full Staff. The level of activation would be a complete and full activation with all organizational elements at full staffing according to the Standardized Emergency Management System (SEMS) and the National Incident Management System (NIMS).

Level Operational Status Trigger Event/Situation (examples include but are not limited to) Activities
Level 3
Minimal
Staffing
Emergency Services
Coordinator
• Small incident or event
• One site
• Potential threat of:
o Flood
o Severe storm
• Escalating incident
• Situational
Analysis
• Public Information
• Response
Coordination
• Resource
Coordination
• Reporting to State
Level 2
Partial
Staffing
Management, EOC
Section Coordinators,
Branches/Divisions/Units
Liaison/Agency reps
• Large scale evacuations
• 2+ incident sites
• Severe Weather Warning
• Earthquake with minor damage
• Major scheduled event
• Situational
Analysis
• Public Information
• Response
Coordination
• Resource
Coordination
• Logistics Support
• Reporting to State

ATTACHMENT A
City of Tracy Emergency Operations Plan
EOC ACTIVATION A8-4 November 2022
Level Operational Status Trigger Event/Situation (examples include but are not limited to) Activities
Level 1
-
Full
Staffing
All positions (as required)
• Large Winter Storm
• Terrorist incident
• Major Earthquake
• Regional Disaster
• Major Wildland Fire in Urban
interface
• Other events as required
• Situational
Analysis
• Public Information
• Response
Coordination
• Resource
Coordination
• Logistics Support
• Recovery
Operations
• Sustained
Operations
• Reporting to State

EOC Activation and Staff Notification Procedures
In the event of any significant incident, a police, fire , or public works supervisor will make recommendations as to whether EOC activation is needed. He/she will then contact the City Manager and recommend activation base d upon the severity of the incident and /or the City’s needs. Escalating or intensifying incidents may warrant EOC activation.

Upon permission to activate, the requesting supervisor will:
• Determine which EOC positions need to be activated and initiate recall of personnel • Notify EOC Staff of the EOC activation and who needs to respond • Contact County OES with the following information:
o The EOC is being activated at Level 1, 2, or 3
o EOC contact number will be established by initial EOC responders o First arriving EOC staff will fill needed EOC positions regardless of usually assigned roles
• Contact Police and Fire Dispatch Centers with activation information • Set up EOC
o Send a Status Report as soon as possible to County OES County OES o Create a Jurisdiction Situation Report in Web EOC and/or hard copy • Initiate use of form ICS 211 Personnel Check In
• Use form ICS-214 Unit Log to document all activities in your unit or section • Start an incident in Web EOC to document all EOC activities, resources and mission requests, so jurisdictions involved in the response may see the situ ation status and resources being requested.
• Issue any alerts community, warnings or notifications • When EOC staff arrives begin situation briefing. Establish an Emergency Action Plan (EAP), set objectives and priorities, establish operational periods, and b egin planning cycle

ATTACHMENT A
City of Tracy Emergency Operations Plan
EOC ACTIVATION A8-5 November 2022

EOC Activation – “The First Hour”
When the EOC is activated, staff will typically be arriving at various times depending upon their availability and response time. Since all personnel will not normally respond at the same time, the first arriving personnel should begin the process of setting up the EOC and begin evaluating the incident.

Initial Organization:

1. Establish a Chain of Command
o Who is in Charge? (EOC Director)
o Which sections of the EOC organization are needed?

2. Initiate contact with Field Operations
o Determine the complexity and initial assessment (Initial Damage Estimate –IDE) o Identify committed resources
o Identify requested resources
o Check with Public Safety (Police & Fire) communications o Check Web EOC
o Refer to City’s EOP

3. Notify Operational Area (Op Area) – San Joaquin County OES that the EOC is open

Priorities:

1. Support Life Safety Efforts
o What are the risks for public and first responders?
o What are the personnel and resource needs?
o Expand notifications – staff and public
o Identify the needs for potential:
✓ Evacuation Center
✓ Shelter location(s)
✓ Disaster Assistance Center

2. Support incident stabilization
o Determine if this is a stable incident or an escalating incident o Are the City/Town services to be continued
o Evaluate economic impact to community
o Which department can support first responders?

3. Support Property Protection

4. Support Financial Stability

ATTACHMENT A
City of Tracy Emergency Operations Plan
DE-ENERGIZATION A9-1 November 2022
ANNEX 9 - DE-ENERGIZATION
Yes

Initiate request
Additional
resources
needed?
Field No

End / AAR/Report
No
Department
staff
Is the incident
being managed or
escalating?
Managed

ATTACHMENT A
City of Tracy Emergency Operations Plan
DE-ENERGIZATION A9-2 November 2022
Purpose
This plan outlines procedures that guide the City to the de-energization of electrical systems due to extreme fire danger conditions. This is a supporting plan to the Tracy Emergency Operations Plan (EOP) and can be used for any long-term power outage.

Background
Wildfire risk can increase when several factors are combined which include high temperatures, sustained high and peak winds, and a substantially low of humidity. Du ring these conditions, electrical transmission and distribution lines may ignite fires if they are downed by winds and/or trees. To reduce the chance of accidental fire ignition in certain areas, Pacific Gas & Electric (PG&E) has stated that they may de-energize electrical grids or blocks off an area(s) in advance of or during periods of heightened risk conditions.

De-energization of electrical systems in affected areas may pose a life -safety risk to residents and impact other infrastructure systems. De-energization may also impact the capabilities of local agencies to respond to wildfire due to loss of alert & warning and public information communications systems including internet and cellular towers, inability to monitor or maintain water supplies, and a loss of traffic control systems that could support evacuation. This Plan is intended to provide guidance on how to prepare for and respond to these events.

Objectives

1. Provide protection of life, property, the environment and restoration of services to the community.

2. Maintain situational awareness on any potential de -energization-related impacts to the area; provide regular updates to impacted and/or affected residents

3. Establish thresholds for notifications, coordination efforts, activations, increased staff ing, etc.

4. Communicate with and advise potentially impacted communities. Attempt to pre -notify areas that might be affected.

5. Establish and maintain communications among PG&E, the Operational Area Emergency Operations Center (EOC), field resources, and City stakeholders.

6. Communicate with PG&E regarding affected areas to facilitate public information and to prioritize resumption of services, if applicable.

Threat Assessment
PG&E will monitor and assess various conditions that may affect the de-energization of an area.

Factors considered by PG&E when determining whether to shut down power include:
• A Red Flag Warning declared by the National Weather Service • Low humidity levels, generally 20 percent and below
• Forecasted sustained winds above app roximately 25 mph and wind gusts in excess of approximately 45 mph
• Site-specific conditions such as temperature, terrain and local climate • Condition of dry fuel on the ground and live vegetation (moisture content) • Information from PG&E Wildfire Safety Operations Center and Cal OES

ATTACHMENT A
City of Tracy Emergency Operations Plan
DE-ENERGIZATION A9-3 November 2022
Per the California Public Utilities Commission, state utilities will de -energize only if the utility “reasonably believes that there is an ‘imminent and significant risk’ that strong winds may topple power lines or cause major veg etation-related damage to power lines, leading to increased risk of fire.”
In the event of a Public Safety Power Shutoff, PG&E will advise their customers, public safety authorities, first responders and local municipalities.

Following de-energization, PG&E crews will work to inspect the lines and safely restore power to customers. If the extreme weather occurs overnight, inspections will take place during daylight hours, power should be restored within 24 -hours in most cases. However, depending on conditions or if any repairs are needed, outages could last up to 7 days or beyond.

Potential Effects
General:
• Loss of functionality of commercial and public -sector communications systems including wireless voice/data, land mobile radio, cable television and internet • Loss or degradation of public/private water and wastewater systems including monitoring, pumping, and treatment
• Loss of traffic monitoring systems and signals
• Impacts to critical facilities including public safety and healthcare infrastructure • Impacts on commerce including loss or degradation of electronic points of sale, gas station pumps, security systems, and refrigeration
• Potential for increased public concerns about the security of places served by electronic security systems
Access and Functional Needs (AFN) Populations:
• Loss of power could significantly impact individuals who are dependent on durable medical equipment, wheelchair charging, and specialized communication devices • PSPS events may socially and physically isolate individuals with commun ication barriers when communications systems connected to the power grid are disrupted • Elderly people and those sensitive to temperature variations are at increased risk during extremely hot weather when air conditioners may not function • Potential disruptions to public services or facilities Safety:
• Loss or degradation of public safety agency voice and data communications systems • Loss or degradation of community warning systems including internet and wireless data/cellular
• Increase 9-1-1 Communication Center call volumes
• EMS and medical facility patient surge from weather related illness or loss of power to medical equipment.
• Loss or degradation of fire suppression water supply systems • Unsafe use of generators as alternate power supply
• Potential impact to food safety due to degraded refrigeration or unsafe preparation

ATTACHMENT A
City of Tracy Emergency Operations Plan
DE-ENERGIZATION A9-4 November 2022
Planning and Assumptions
• Residents and vulnerable populations, including those with medical conditions requir ing electricity or needing assistance , should make back -up or alternate plans for sustained power outages
• Public Work should pre-position back-up generators to assist with essential city services. • City should pre-plan and designate the closing of any non -essential services during a sustained power outage.
• City PIO should prescript alerts and notifications of impending power outage – “What to Do and What Not to Do”
• City Manager may consider curfew
• Weather indicators such as Red Flag Warnings and Wind Advisories will provide enough lead time to coordinate Operational Ar ea partners and develop Public Information and warning materials regardless of potential limited PG&E notification. • Social or healthcare support workers who provided care to vulnerable and medically fragile residents should be able to continue to provide care to their clients. • Transportation services used by vulnerable and medically fragile individuals should be able to continue to operate but could be affected by impacted travel corridors.

Notification
Guidelines from CPUC endorse advance notification / informing customers of the need to turn off power. Prior to termination of power, PG&E will attempt to contact customers at approximately 48 hours, 24 hours and just prior to shutting off power. PG&E will attempt to contact customers by phone call, email, and/or SMS text to contacts on file. During outages and after restoration, PG&E will attempt to send updates using the same methods. Final shutoff notifications may occur at any time, day or night. For Medical Baseline customers, PG&E will place live calls to customers who aren’t reached by the initial automated alerts and will send a PG&E representative to check on customers they are unable to contact with the live call. If the customer does not answer the in - person contact, PG&E will leave an informational door hanger. PG&E has indicated that they will not undertake any other additional outreach.

PG&E will attempt to contact public safety agencies and/or local governments prior to customer notification as conditions permit. Per the CPUC, “... utilities must also notify, as feasible, fire departments, first responders, critical facilities, other potentially affected entities, and the CPUC before de -energizing.”2 Per PG&E ’s Public Outreach, Notification, and Mitigation Plan, “If possible, based on conditions, PG&E will provide notice to cities, counties, and emergency response partners in advance of notifying customers about a potential Public Safety Power Shutoff.”3 PG&E may provide descriptions or maps of areas served by circuits selected for de - energization as conditions permit.

Initial Operational Area Notification
• If the threat of de -energization is potentially significant, and upon receipt of information from PG&E, the San Joaquin County Office of Emergency Services (OES) will notify local governments, County departments, and public safety agencies.

ATTACHMENT A
City of Tracy Emergency Operations Plan
DE-ENERGIZATION A9-5 November 2022
Operational Area Multi-Agency Coordination Conference Call (MAC Calls) • In the case of a wide -spread de -energization, a county -wide conference call may be warranted. San Joaquin County OES staff will schedule an Operational Area Multi-Agency Coordination Conference Call. OES staff will invite potential participants and lead the call to share emergency information and coordinate efforts.

Risk Communication & Public Information
During any emergency, risk communication and public information is a critical component of response activities. Appropriate and timely communication of credible information will assist in reducing life safety threats and address public concerns.

Emergency information that may be used include mass media and social media. The 211 system may be utilized. Alert & Warning systems – such as San Joaquin Community Warning System and the Integrated Public Alert and Warning System (which includes wireless emergency alerts [WEA], emergency alert system [EAS]) – may be used only if there is a concurrent imminent li fe safety threat, such as wildfire.

All messages to traditional and social media will be coordinated by the PIO. Safety messaging may include power outage guidance and safe generator operations.

This document has been reviewed and accepted by:

___________________________________________ __________________________ Tracy Emergency Services Coordinator Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
ALERT & WARNING A10-1 November 2022
ANNEX 10 ALERT & WARNING

INTRODUCTION
Purpose
A comprehensive alert and warning program is a critical component of a community ’s ability to effectively respond to emergencies. The purpose of this annex is to describe the methods by which accurate and timely emergency and disaster-related alerts and warnings will be issued to the public and affected government officials. Alerts and notifications involve life safety information that must be delivered immediately. This annex provides the concepts, systems, and organizations used to alert and warn the public of any highly probable and immediate danger or disaster. The Alert and Warning Annex describes the responsibilities for emergency public information, including all aspects of public notification, alert and warning. The City will work with other departments and jurisdictions, the news, social media, the public, and regional partners to accomplish the task of alert and warning.

Scope
This annex applies to those incidents that require warning of the public through established emergency notification systems. Communications and warning provisions apply to almost any major natural, technological, or civil emergency or disaster event.

PLANNING ASSUMPTIONS
• Some incidents occur with enough warning that notifications can be issued to ensure the appropriate level of preparation (e.g., winter weather and flood). Other incidents occur with little or no advanced warning, which does not provide enough time to adequately warn the public (e.g., earthquake and tornado).
• If an incident occurs suddenly, a nd the situation evolves rapidly, information may be incomplete or unconfirmed. As a hazard becomes known, choices will be made to select:
o The best communications tools to use given the situation. o The appropriate message content.
o The optimum format for each message.
o The most effective times for releasing each message.
• Effective emergency messaging requires communicating the nature, extent, and expected impact of a hazardous incident as well as clear, concise, and decisive information concerning appropriate protective measures.
• The timely and coordinated use of public warnings can reduce the impact of hazardous incidents.

CONCEPT OF OPERATIONS
It is an inherent responsibility of local government organizations and officials to keep the public informed. Local government officials typically have the most accurate and timely understanding of the situation, necessary protective actions, and potential adverse impacts of the incident. It is incumbent upon local officials to rapidly and adequately com municate to the public what is occurring and any steps or actions the public needs to take.

ATTACHMENT A
City of Tracy Emergency Operations Plan
ALERT & WARNING A10-2 November 2022
Alerting
Alert and warning for a pending or actual incident/event is the responsibility of the Incident Commander (or designee) or the EOC Management Section. Often, alert and warning messages are delivered by a designated PIO working under the direction of an IC or EOC Director. The City is responsible for protecting the life and property of residents within its jurisdiction.

Coordination
County OES has established communication pathways to facilitate timely and efficient information sharing. Coordination with partner agencies and organizations within the Operational Area (OA), including PIOs, critical infrastructure sectors, community members and organizations, and communications providers, can also enhance the alert and warning network. All multijurisdictional incidents shall share coordinated communications plans with other jurisdictions and agencies as necessary.

Messaging
• Residents and vulnerable popu lations, including those with medical conditions requiring electricity or needing assistance, should make back -up or alternate plans for sustained power outages
• Public Works should pre-position back-up generators to assist with essential city services. • City should pre -plan and designate the closing of any non -essential services during a sustained power outage.
• City PIO should prescript alerts and notifications of impending power outage – “What to Do and What Not to Do”
• City Manager may consider curfew
• Weather indicators such as Red Flag Warnings and Wind Advisories will provide enough lead time to coordinate Operational Area partners and develop Public Information and warning materials regardless of potential limited PG&E notification. • Social or healthcare support workers who provided care to vulnerable and medically fragile residents should be able to continue to provide care to their clients. • Transportation services used by vulnerable and medically fragile individuals should be able to continue to operate but could be affected by impacted travel corridors.

Notification
Guidelines from CPUC endorse advance notification / informing customers of the need to turn off power. Prior to termination of power, PG&E will attempt to contact customers at approximately 48 hours, 24 hours and just prior to shutting off power. PG&E will attempt to contact customers by phone call, email, and/or SMS text to contacts on file. During outages and after restoration, PG&E will attempt to send updates using the same methods. Final shutoff notifications may occur at any time, day or night. For Medical Baseline customers, PG&E will place live calls to customers who aren’t reached by the initial automated alerts and will send a PG&E representative to check on customers they are unable t o contact with the live call. If the customer does not answer the in - person contact, PG&E will leave an informational door hanger. PG&E has indicated that they will not undertake any other additional outreach.

ATTACHMENT A
City of Tracy Emergency Operations Plan
ALERT & WARNING A10-3 November 2022
PG&E will attempt to contact public safety ag encies and/or local governments prior to customer notification as conditions permit. Per the CPUC, “... utilities must also notify, as feasible, fire departments, first responders, critical facilities, other potentially affected entities, and the CPUC before de -energizing.”2 Per PG&E ’s Public Outreach, Notification, and Mitigation Plan, “If possible, based on conditions, PG&E will provide notice to cities, counties, and emergency response partners in advance of notifying customers about a potential Public S afety Power Shutoff.” PG&E may provide descriptions or maps of areas served by circuits selected for de - energization as conditions permit.

Initial Operational Area Notification
• If the threat of de -energization is potentially significant, and upon receipt o f information from PG&E, the San Joaquin County Office of Emergency Services (OES) will notify local governments, County departments, and public safety agencies.

Operational Area Multi-Agency Coordination Conference Call (MAC Calls) • In the case of a wide -spread de -energization, a county -wide conference call may be warranted. San Joaquin County OES staff will schedule an Operational Area Multi-Agency Coordination Conference Call. OES staff will invite potential participants and lead the call to share emergency information and coordinate efforts.

Risk Communication & Public Information
During any emergency, risk communication and public information is a critical component of response activities. Appropriate and timely communication of credible informati on will assist in reducing life safety threats and address public concerns.

All messages to traditional and soci al media will be coordinated by the PIO. Safety messaging may include power outage guidance and safe generator operations.

This document has been reviewed and accepted by:

___________________________________________ __________________________ Tracy Emergency Services Coordinator Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-1 November 2022
ANNEX 11 - TERRORISM

INTRODUCTION
Purpose
This Annex is intended to ensure an effective and coordinated response to a terrorism event. This annex provides direction for city departments, community groups and allied stakeholders ensuring interagency coordination in accordance with the City’s EOP.

The purpose of the Terrorism Annex is to provide a plan for responding to and recovering from a terrorist or weapons of mass destruction (WMD) incident. The acts of terrorism covered by this annex include chemical, biological, radiological, nuclear, and explosiv es. This annex will assist the City of Tracy to respond to the above -cited types of terrorist incidents within the city and to coordinate requests for state and federal resources.

This Annex is designed to accomplish the following:
• Serve as a planning document to support further development of major incident plans by City departments and agencies.
• Provide an overview of the threats that terrorism poses to City and define the potential range of impacts.
• Provide the response management team with contextual in formation to guide initial response planning.

Scope
This Annex has been developed in accordance with the City EOP. In keeping with the EOP’s “all- hazards” approach for local emergency management, the response policies and protocols for a terrorism event will align with those established in the EOP. The Annex supplements the EOP by providing considerations for a response to a terrorism event in the City.

This Annex does not alter existing City department emergency response standard operating procedures (SOPs), processes, or resources. Emergency response agencies (such as fire, law enforcement, and emergency medical services [EMS]) will adhere to existing department SOPs in accordance with all legal requirements.

Lead agency: Tracy Police Department
Support agencies: South County Fire
Tracy Operations and Utilities Department
Tracy Recreation Department
San Joaquin County OES
Federal law enforcement
Situation
The city of Tracy has many potential targets for terrorist activities. These include numerous facilities: office buildings, religious, educational, business, and manufacturing centers; airport; railroads, public utilities; and meeting places.

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-2 November 2022
Terrorism can come in many forms. Among these are bombings, arson, infrastructure attacks (on water, electric, gas, or telecommunications systems), mass shootings, cyberspace failure or disruption, and transportation attacks. This annex covers the following forms of terrorism as defined by FEMA:

Weapon of Mass Destruction. Any weapon designed or intended to cause death or serious bodily injury through the release, dissemination, or impact of toxic or poisonous chemicals, or their precursors; any weapon involving a disease organism; or any weapon designed to release radiation or radioactivity at a level dangerous to human life (18 USC 2332a).

Chemical Agent. A chemical substance intended to kill, seriously injure, or incapacitate people through physiological effects. Hazardous chemicals, including industrial chemicals and agents, can be introduced via aerosol devices (including munitions, sprayers, or aerosol generators), breaking containers, or covert dissemination. A chemical agent attack might release a chemical warfare agent (such as a nerve or blister agent) or an industrial chemical that may have serious consequences. Whether an infectious agent or a hazardous chemical causes an outbreak may not be obvious early in an investigation; however, most chemical attacks are localized, and their effects become evident within a few minutes. Different chemical agents can be persistent or nonpersistent. Persistent agents remain in the affected area for hours, days, or weeks.

Nonpersistent agents have high evaporation rates, are lighter than air, and disperse rapidly; they therefore lose ability to cause casualties after a few minutes (although they may persist longer in small unventilated areas).

Biological Agents. Living organisms or materials derived from them that cause disease; harm humans, animals, or plants; or deteriorate materials. Recognition of a biological hazard can occur by identifying it as a credible threat; discovering bioterrorism evidence (devices, agents, clandestine labs); diagnosing a disease caused by an agent identified as a possible bioterrorism agent; or gathering and interpreting public health surveillance data. People exposed to a pathogen such as anthrax or smallpox may not know they have been exposed, and those infected or subsequently infected may not feel sick for some time. Infectious diseases typically proceed with a delay between exposure and onset of illness ─ the incubation period. The incubation period may range from several hours to a few weeks, depending on the exposure and pathogen. Unlike acute incidents involving explosives or some hazardous chemicals, direct patient care providers and the public health community are likely to first detect a biological attack on civilians. Terrorists also could use biological agents to affect agricultural commodities (agroterrorism). These agents including Mad Cow Disease, Ho of and Mouth Disease, Gray Leaf Spot of Corn, wheat rust or viruses that could devastate the local or even national economy.

Radiological/Nuclear. High-energy particles or gamma rays emitted by an atom undergoing radioactive decay. Emitted particles can be charged alpha or beta particles, or neutral neutrons, or gamma rays. The difficulty of responding to a nuclear or radiological incident is compounded by the nature of radiation itself. Also, involvement of radioactive materials in an explosion may or may not be obvious; depending on what explosive device was used. The presence of a radiation hazard is difficult to ascertain unless the responders have the proper detection equipment and the training to use it. Most of the many detection devices available are designed to detect specific types and levels of radiation ─ they are not appropriate for measuring or ruling out the presence of all possible radiological hazards. Terrorists may use the following delivery methods:

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-3 November 2022
• An improvised nuclear device (IND) is any explosive device designed to cause a nuclear yield. Either uranium or plutonium isotopes can fuel these devices, depending on the trigger. While “weapons-grade” material increases the efficiency of a device, materials of less than weapons grade can still be used.
• A radiological dispersal device (RDD) is any explosive device that spreads radioactive material when detonated. A RDD includes an improvised explosive device that could be used by placing it in close proximity to radioactive material. A RDD also includes devices identified as “dirty bombs”.
• A simple RDD spreads radiological material non -explosively (for example, medical isotopes or waste).

Explosives. Conventional explosive devices or improvised bombs used to cause massive local destruction or t o disperse chemical, biological, or radiological agents. Improvised explosive devices are categorized as explosive or incendiary─using high or low filler explosive materials to explode and/or cause fires. Bombs and firebombs are inexpensive and easily constructed. They are not technologically sophisticated. Of all weapons, these are the easiest to obtain and use.

The components are readily available, as are detailed instructions for constructing these devices.

They are the likeliest terrorist weapons.

Cyber Terrorism. “Malicious conduct in cyberspace to commit or threaten to commit acts dangerous to human life, or against a nation ’s critical infrastructures … in order to intimidate or coerce a government or civilian population … in furtherance of political or social objectives.” Agroterrorism. A distinct form of bioterrorism specifically targets agriculture production.

Agroterrorism affects both crops and livestock. Refer to Section II.A.3.c. for general details on bioterrorism and Annex W, Animal Emergency Disaster, for incidents resulting with mass livestock casualties.

Planning Assumptions
While the city of Tracy’s resources (Tracy PD and South County Fire) will be the first to arrive on scene, coordination with federal authorities will be required. The U.S. Attorney General has lead responsibility for criminal investigations of terrorist acts and threats. The FBI is the Primary Federal Agency (PFA) responsible for investigating a terrorist incident. Initial responsibility for the crime scene falls to the local law enforcement entity with jurisdictional responsibility.

No Single agency at the local, state, federal, or private -sector level possesses authority and expertise to act unilaterally on the many difficult issues that may arise in resp onse to a threat or act of terrorism- particularly if WMD are involved.

An Act of terrorism, particularly an act involving WMD directed against a large population center within the city of Tracy, has major consequences that immediately overwhelm the capabi lities of local, state, and federal governments.

Local, state, and federal responders define working parameters that may overlap. The responders/ capabilities may be used to target public information messages, assign operational sectors among responding organizations, control access to the area, and assess potential effects

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-4 November 2022
on the population and the environment. Absent adequate coordination, different authorities may enforce control of these functions, which could impede the overall response.

If appropriate personal protective equipment is not immediately available, entry into a contaminated area (hot zone) may be delayed until the material dissipates to levels safe for emergency response personnel. Responders should also be aware that secondary devices may be present, or the terrorist may be targeting the first responders.

Impact Assumptions
This Annex is based on a terrorism event causing significant actual or potential loss of life and property. General impacts may include:
• There is the potential for countless casualties.
• Hundreds of residents may need to be alerted and evacuated with little or no notice. • Hundreds of residents may require shelter because of evacuation or damage to homes. • Electrical service and voice/data/radio communications may be impacted. • Damage or loss of power to water and wastewater collection systems may cause disruption of vital services.
• A major terrorism event could generate tons of debris including construction and demolition, damaged trees, and hazardous waste.
• Structural damage to transportation infrastructure may take weeks or months to repair.

These systems may be damaged or disrupted including bridges, roads, signage, and barriers.

Response Assumptions
• City residents have little or no experience with evacuations. This could significantly delay or disrupt evacuation operations.
• Law enforcement will be significantly challenged to coordinate and conduct notification, evacuation, and traffic management missions while responding to a terrorism event. They will become overwhelmed almost immediately.
• A terrorism incident may impact the City with little or no warning. In a no -notice event, there may be insufficient time to notify local residents, prepare the City ’s emergency response organization and implement the City’s Emergency Operations Plan. • Additional law enforcement resources will be needed to maintain public order, augment rescue operations, and secure critical operations.
• The demand for emergency public information will be immediate and sustained. Social and traditional media coverage will be extensive.

CONCEPT OF OPERATIONS
The EOP defines the City ’s general emergency response organization, authori ties, policies, priorities, and procedures. In the event of a terrorism event, this Annex provides potential specific objectives that the emergency response organization may integrate into its operations.

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-5 November 2022
Increased Readiness (Monitoring)
The City ’s Emergency Operations Center (EOC) may be activated to develop enhanced situational awareness, expedite decision making, conduct st akeholder coordination, develop public information, and provide greater support to City departments.

The federal government has primary authority to prevent, preempt, and terminate threats or acts of terrorism and to apprehend and prosecute the perpetrators. State and local governments support this effort by providing assistance as required. The initial response to a terrorist incident is primarily a law enforcement effort with the FBI assigned lead responsibility. The FBI will assign a Special Agent or member of the Joint Terrorism Task Force in the role of liaison to coordinate with the incident manager in a unified command post. The initial response to a terrorist incident identifies, acquires, and plans use of resources needed to anticipate, p revent, and/or resolve a threat or act of terrorism. Following the initial response to the terrorist incident, recovery efforts protect public health and safety, restore essential government services, and provide emergency relief to governments, businesses, and individuals affected by the consequences of terrorism. In a terrorist incident, FEMA is responsible for the recovery phase for the federal government.

Response
The City will provide immediate response via its public safety departments coordinating in the field using the ICS. The City’s EOC will provide support to field personnel, coordinate the efforts of other City departments and collaborate with the San Joaquin County Operational Area and other allied stakeholders utilizing SEMS.

Once a terrorism i ncident is suspected, local law enforcement officials request assistance from the FBI. The PFA (FBI) designates a Special Agent in Charge (SAC) to establish a Joint Operations Center (JOC), from which the FBI will lead crisis management activities (see the National Response Plan and Annex A, Direction and Control) • State and local law enforcement agencies provide representatives to the JOC to assist the FBI.
• Respond to the community ’s immediate life safety needs of warning and evacuation by making use of systems alert and notification systems as well as door-to-door notifications if needed
• Conduct fire suppression, property protection, EMS, and law enforcement operations as needed
• Assemble resources for a sustained response and for providing basic mass care, shelter, and information services to the community
• Begin to transition from immediate emergency response efforts to sustained operations • Conduct sustained operations and begin to transition into recovery

Short Term Recovery
The immediate response to a major terrorism event will focus on saving lives, providing resources to sustain City residents, and stabilize the situation. At some point, however, the City will transition

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-6 November 2022
to a phase in which recovery operations take precedence. Rapid initiation of recovery operations is critical to restoring confidence in the community.

OBJECTIVES
General Objectives
Immediately following a terrorism event, and for as long as a state of emergency exists within the City, response to the event will be the first priority of all City departments and agencies. All available City DSWs will be directed to achieve the following objectives:
• Save lives
• Reduce immediate threats to life, public health and safet y, public and private property, and the environment
• Provide necessary care, shelter, and medical services to City residents and other members of the general public
• Restore the operations of facilities, whether public or privately owned, that are essential to health, safety, and welfare of the community, including critical City facilities, utilities, and transportation infrastructure
• Assess damage to infrastructure, public facilities, and the built environment • Expedite the restoration of services, the economy, and the community at large; and begin the process of recovery
• Keep the public informed
Response Objectives
In addition to those tasks and objectives outlined in the EOP, the following specific operational objectives should be incorporated into initial response operations and planning:
• Direct and assist immediate life-saving warning and evacuation operations • Deploy law enforcement resources to support response activities and maintain law and order
• Identify at-risk populations, notify them, and begin evacuation if warranted • Activate the EOC as needed.
• Develop real -time situational awareness to guide public information efforts. Consider deploying an EOC liaison to the Incident Command Post (ICP) • Establish contact with the San Joaquin County Operational Area and allied stakeholder agencies
• Conduct emergency evacuation and traffic management operations as needed • Identify potential sites for evacuation centers to accommodate displaced populations while emergency shelters are being opened

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-7 November 2022
• Begin public information messaging regarding recommended personal protective actions, evacuation centers, and community assistance needed. Assess the need to activate the Joint Information Center (JIC)
• Develop a consolidated situation assessment and declare a state of emergency. • Coordinate the receipt and deployment of incoming resources to prioritized missions • Designate staging areas and begin planning to accommodate support personnel • Assess the situation at critical facilities and the condition of emergency communicat ions systems
• Implement recall of City staff as needed
• Complete an initial damage assessment of the City, identifying areas affected, major incidents, and operational status of critical services. Begin to develop Essential Elements of Information (EEIs) – see Attachment 1
• Assess critical resource shortfalls and begin requesting support through mutual aid and the San Joaquin County Operational Area. Consider resources needed for the next 14 days.
• Establish perimeter control around unsafe areas
• Assemble damage assessment information and submit the Cal OES Initial Damage Estimate (IDE)
• Assess conditions at designated emergency shelter sites and begin to supply with beds, water, food, medical support, generators, sanitation, and facility security; and begin to open emergency shelters to residents and DSWs
• Identify people with special support requirements and transfer to appropriate care facilities • Designate primary traffic routes and implement debris clearance, route recovery, and traffic control
• Conduct outreach for situation status and resource needs for affected facilities needing support from City, including transit sites, schools, commercial buildings, and sites of historic/cultural significance
• Initiate social and traditional media briefings to inform residents on City operations, steps they can take, services available to them, ongoing rumor control efforts, and ways in which the community can help
• Establish shelter support coordinator teams and evaluate the shelter sites • Establish plans for how to provide care for people with special support requirements that cannot be met in congregate care shelters
• Review and enhance security plans to maintain public order • Review incident status reports to prioritize incident commands that can begin suspending emergency res ponse operations and transition to sustained response and recovery operations
• Ensure that air quality, hazardous materials spills, and other environmental situations are monitored and risks addressed
• Coordinate with the San Joaquin County Operational Area to survey all licensed food establishments, including the emergency shelter/evacuation centers, feeding sites, and disaster kitchens to ensure there are no unsafe food handling or other sanitation or safety concerns

ATTACHMENT A
City of Tracy Emergency Operations Plan
TERRORISM A11-8 November 2022
Short Term Objectives
• Develop public inf ormation to address how to safely clean -up, dispose of debris, and access potential sources of assistance
• Coordinate with the San Joaquin County Operational Area to facilitate the recruitment, training, and deployment of volunteers and donations
• Work with the American Red Cross (ARC) and other organizations to provide information to support their Disaster Welfare Inquiry Program
• Develop a program to integrate the safety of volunteers and volunteer organizations in recovery operations
• Establish a debris management plan and begin to gather and transport debris from critical sites or routes
• Coordinate with the business community regarding business resumption activities • Produce, regularly update, and distribute a multi -lingual, multi -format, disaster “Fact Sheet” to the media, people in shelters, field response personnel, residents and businesses
• Implement a process to allow limited entry (where safe) for recovery of personal items • Coordinate with the San Joaquin County Operational Area to provide prio ritized community behavioral health services (ex. those whose homes have been damaged/lost, shelter residents, children, and individuals who have suffered significant loss) • Anticipate and support initial damage assessment visits by state and federal offici als wanting to confirm the immediate and long-term unmet recovery needs of the City • Conduct long -term recovery planning to address issues of interim housing, debris management, expedited permitting, environmental safety monitoring, soil stabilization, erosion control, coordination with non -governmental and non -profit organizations, and participation in state/federal disaster assistance programs

This Annex has been reviewed and approved.

___________________________________________ __________________________ Tracy Police Department Date

___________________________________________ __________________________ South San Joaquin County Fire Authority Date

ATTACHMENT A
City of Tracy Emergency Operations Plan
PANDEMIC A12-1 November 2022
ANNEX 12 - PANDEMIC

PURPOSE
The purpose of the EOP is to provide an overview of the City ’s concepts and approach to incident management for a Pandemic or other major health/biological incident.

SCOPE
The scope provides an overview of potential activities that may be in conjunction with other City and/or County, State, and Federal Government efforts.

SITUATIONAL OVERVIEW
The City has no greater or less risk of being affected by a pandemic or health/biological inc ident than and other location in the region.

ASSUMPTIONS
Assumptions that apply to pandemics and/or health/biological incidents include, but are not limited to:
• The public may be affected as much if not more than City operations and/or staff. • Pandemics are widespread, often global, incidents that include fatalities. • San Joaquin County Public Health (SJCPH) and California Department of Public Health (CDPH) will provide direction and guidance on appropriate protective, response, and recovery measures.
• There may be significant short and long term economic and/or societal impacts from the incident.
• The healthcare system may be stressed or overwhelmed in the response to the incident. • Personal protective equipment may not be readily available for responders and/or the public.

CONCEPT OF OPERATIONS
The City monitors for and is made aware of health -related incidents by SJCPH and CDPH as part of routine situational awareness procedures. A potential or perceived health crisis withing the City will initiate investigation and actions as appropriate. A regional health issue will prompt consideration of preparedness efforts, should the crisis reach the City.

The City will comply with the direction and guidance of appropriate healthcare and/or governing authorities. This may include implementation of nonpharmaceutical interventions, reduced or suspended operations, or other measures as provided for the health and safety of staff and the public.

Essential service delivery will be provided to the public to the best of the City’s ability within the allowable guidance and as outlined in the City’s COOP, COG, and EOP plans.

ATTACHMENT A
City of Tracy Emergency Operations Plan
PANDEMIC A12-2 November 2022
First responders will follow the direction of the local Medical Director and/or Health Officer and adjust public interactions and operations as appropriate to the situation. Tracy Police and South County Fire have specific pandemic protocols and procedures that will be followed, and as needed adjusted, to maintain operational capabilities.

The City will work in cooperation with S an Joaquin County OES and SJC PH to coordinate consistent messaging for City ’s residents, City staff members, and South County Fire staff members.

Resources or systems that might be affected by a pandemic or similar incident include:
• Availability (supply chain)
• Sheltering, quarantine, inoculation sites
• Staffing
• Remote or hybrid EOC activation
• Messaging
The EOC may be activated as part of a declare emergency and/or to facilitate coordination of efforts in conjunction with the County.

Lead agencies:
• San Joaquin County Office of Emergency Services
• San Joan County Department of Public Health
Support agencies:
• Local first responder agencies including Tracy Police and South County Fire • San Joaquin County Emergency Medical Services Agency

This Annex has been reviewed and approved.

___________________________________________ __________________________ Tracy Police Department Date

___________________________________________ __________________________ South San Joaquin County Fire Authority Date

ATTACHMENT A
City of Tracy Business Continuity Plan
2023
City of T
racy
333 Civic Center Plaza
Tracy, California, 95376
Office of the City Manager

ATTACHMENT B
City of Tracy Business Continuity Plan 2

PROMULGATION STATEMENT

To accomplish its primary responsibilities, the City of Tracy must ensure critical operations are performed efficiently and with minimal disruption, especially during an emergency. This document provides a structure for a City Continuity Plan to ensure the City is capable of conducting mission essential functions subject to various threats and conditions. The determination that the alternative operations included in this plan are to be set in motion constitutes a “Continuity Activation”.

Designated City personnel may be activated under this plan to manage the implementation of various aspects of the Continuity Plan. The Continuity Management Team oversees the development and maintenance of the Plan as well as oversight of its activation. The Advance Team deploys ahead of designated operational staff to ensure that alternate facilities are prepared to begin functioning. In the case where City operations may need to be transferred to another organization, a Devolution Team may be established to facilitate the establishment of protocols and connections with the alternate organization in addition to a Reconstitution Team to oversee the return to normal operations in new or original facilities.

Key department managers, supervisors and staff will have critical roles to play in continuity operations which will require flexibility and initiative in conducting essential operations in what are likely to be very different circumstances for what could be long periods of time.

Upon plan activation, these members will deploy to establish an operational management capability and coordinate transition and reestablish operation of essential City functions within a target time-period until normal operations are resumed. Recovery Time Objective (RTO) is the targeted time by which operations need to begin.

This plan is developed in accordance with guidance in the Federal Emergency Management Agency Continuity Guidance Circular (CGC).

CONFIDENTIALITY STATEMENT

This document along with subsidiary plans and supporting documents, contains confidential information for official use only as provided in California Government Code Section 6255.

These documents are to be controlled, stored, handled, transmitted, distributed, and disposed of in accordance with the standard procedures followed for confidential information at the City of Tracy.

ATTACHMENT B
City of Tracy Business Continuity Plan 3

TABLE OF CONTENTS

PROMULGATION STATEMENT .............................................................................................................. 2 CONFIDENTIALITY STATEMENT ............................................................................................................ 2 ESSENTIAL FUNCTIONS ......................................................................................................................... 5 ESSENTIAL FUNCTION ANALYSIS .......................................................................................................... 5 Business Process Analysis (BPA) ............................................................................................................... 6 Business Impact Analysis and Risk Mitigation (BIA) .................................................................................. 7 BIA-Risk Mitigation Process ...................................................................................................................... 8 Essential Functions and Resource Summary ............................................................................................ 8 ESSENTIAL RECORDS AND IT FUNCTIONS ........................................................................................... 12 Identification and Storage ....................................................................................................................... 12 Backup and Protection ............................................................................................................................ 12 PERSONNEL ....................................................................................................................................... 13 Business Continuity Teams ..................................................................................................................... 13 Senior Leadership .................................................................................................................................... 13 All Personnel ........................................................................................................................................... 13 City of Tracy Personnel ........................................................................................................................... 14 Business Continuity Personnel Responsibilities ...................................................................................... 15 Replacing Staff ........................................................................................................................................ 17 Continuity Activation Go Kits .................................................................................................................. 17 Succession and Delegations of Authority ............................................................................................... 19 COMMUNICATIONS ........................................................................................................................... 19 Senior Leadership Communications ....................................................................................................... 20 Continuity Event Communications ......................................................................................................... 20 Contact Rosters ....................................................................................................................................... 21 Situational Intelligence ........................................................................................................................... 21 ALTERNATE LOCATIONS AND TELEWORK ........................................................................................... 22 Space and Infrastructure Guidelines ....................................................................................................... 22 Business Center ....................................................................................................................................... 22 Telework ................................................................................................................................................. 22 Contracts ................................................................................................................................................. 23

ATTACHMENT B
City of Tracy Business Continuity Plan 4

Activation/Relocation ............................................................................................................................. 23 DEVOLUTION ..................................................................................................................................... 24 RECONSTITUTION .............................................................................................................................. 24 Procedures .............................................................................................................................................. 24 Reconstitution Team ............................................................................................................................... 25

ATTACHMENT B
City of Tracy Business Continuity Plan 5

ESSENTIAL FUNCTIONS

The Business Continuity Plan is designed to provide structure for the development and implementation of the organization’s time sensitive and essential functions following a disaster or emergency requiring activation of the plan. Essential functions are identified as time sensitive tasks or processes that are critical to protect life, safety, infrastructure, or the environment. The development of the plan was initiated through an evaluation and prioritization process of the mission essential functions required to continue following an emergency. This allows for clear planning and prioritization in generation of a Concept of Operations, a key management tool developed by Emergency Managers using the Standardized Emergency Management System during any subsequent emergency.

The essential function analysis performed for each operating department included a prioritization of processes or functions into the following three categories:

 Primary Essential Functions: Departments have direct responsibility for essential functions.
 Primary Support Functions: Departments provide support services to primary essential functions.
 General Support Functions: Departments have neither of these roles but can provide support as required.

It is particularly important to understand that all of these roles are vital to a successful business continuity planning process and any subsequent activation.

Due to the need for appropriate security, level of detail involved, and the expected frequency to update each essential function to reflect statutory, procedural, resource, and mitigation change, the specific information for each identified essential function is maintained in the Business Continuity Annex for each department. As the specific components for each essential function change over time, the related Annex will be amended without modification to the framework of the entire Business Continuity Plan.

The Business Continuity Plan is developed using a four-step process to identify, prioritize and evaluate the details of each Essential Function.

ESSENTIAL FUNCTION ANALYSIS

Prioritization and ranking of essential functions for each department was determined through use of a tool which uses organizational impact and loss effect based on the following categories:

ATTACHMENT B
City of Tracy Business Continuity Plan 6

 Level of Mandate – the legal mandate for performance of essential functions as directed through federal, state or local mandates
 Criticality to the Jurisdiction – Connection to protection of life safety, infrastructure, or the environment
 Visibility to the general public
 Collateral impact to partner organizations
 Criticality to related functions based on an assessment of the effect on other functions
 Number of programs affected
 Number of clients potentially affected
 Number of partner organizations affected

Business Process Analysis (BPA)

Following identification and ranking, a Business Process Analysis was completed for the highest-ranking essential functions to determine, understand, and document the process required to perform each function. This systematic process documents the full spectrum of activities and tasks that are performed within an organization by capturing and mapping the functional process, workflow, activities, subject matter expertise, systems, resources, controls, data and facilities required in the execution of a function, activity or task. The Business Process Analysis results in a detailed description outlining how an organization delivers each identified essential function.

Conducting a thorough Business Process Analysis is a critical step in developing a comprehensive continuity plan necessary for the successful delivery of essential functions following a natural or human-caused event which may impact availability of city operations, personnel or facilities.

ATTACHMENT B
City of Tracy Business Continuity Plan 7

BUSINESS PROCESS ANALYSIS (BPA)
Essential Function:

Recap Statement What is it and what does
it do?

BUSINESS PROCESS ANALYSIS (BPA)
EF Outputs /
Deliverables
The EF’s Products,
Services, Information,
etc.

EF Required Inputs
Partner organizations,
vendors & stakeholders:
products, services,
information, supplies,
equipment supporting
the EF

EF Dependencies
Organizations providing
information, supplies,
resources, decisions, etc.
critical to this EF (if
they’re down, we’re
down/if we’re down,
they’re down)

Leadership
Requirements: On-
Site, Off-Site, Remote
Organizational leadership
required to make
decisions & perform key
actions/authorizations

Operational Staff
Key knowledges, skills,
abilities, licenses,
certifications, etc.;
# of staff required

Business Impact Analysis and Risk Mitigation (BIA)

In developing a Business Impact Analysis, the City of Tracy Continuity Team and department support personnel identified threats and hazards that may impact the performance of functions such as resource or procedural gaps. To address the resource or procedural gaps, the team developed an impact -based methodology applicable to continuity of operations regardless of the specific cause of the event.

The areas deemed to pose the highest risk to the successful delivery of the essential functions are reviewed to determine the most effective mitigation strategies for each to reduce the impact in the future. Action plans are then prepared for the delivery of high priority essential functions to mitigate risk and support business continuity. Upon activation of the Business Continuity Plan, department management is responsible for implementation of the action plans for their department functions.

ATTACHMENT B
City of Tracy Business Continuity Plan 8

Action plans will be tested during the training, testing and exercise process to evaluate effectiveness and provide modifications as necessary.

BIA-Risk Mitigation Process

The City of Tracy Hazard Mitigation Plan identified potential threats and hazards serving as the basis for operating departments to evaluate how threats or hazards may impact essential functions based on guidelines regarding vulnerability of specific threats or hazards, the impact to the essential functions and the timeframe before there is an unacceptable loss of function or critical assets. The identification and assessment of risk mitigation strategies include evaluation of additional backup systems and personnel, enhanced continuity planning such as detailed devolution plans and mutual aid agreements, additional telework flexibility, additional suppliers and resilient communications and infrastructure. To evaluate the effectiveness of the risk mitigation strategies, the city will utilize training, testing and exercises and enhance mitigation strategies as needed.

Primary hazards identified through the City of Tracy Hazardous Mitigation Plan include the following:

1. Identify potential threats and hazards
a. Natural – e.g. earthquake, flooding, drought, levee failure, severe weather, wildfires and landslides
b. Technological – e.g. Hazardous Materials Incident, Gas Pipeline Leaks, Chemical Facility Failures, Dam Failure

Essential Functions and Resource Summary

Based on the results of the Business Process Analysis and the Business Impact Analysis, the Essential Function Summary is designed to identify designed tools and resources required to manage the continued operation of the essential function. The components of the Essential Function and Resource Summary includes the following:

 Recovery Time Objective (RTO)
 Responsible Personnel in Charge and Succession Plan
 A roster for the Activation and Reconstitution Team
 Required Operational Personnel
o Managers
o Staff
o Classifications
o Number of each
 Required resources
o Equipment
o Supplies
o Records
 Work Location, Space and Special Requirements
o Facility
o IT

ATTACHMENT B
City of Tracy Business Continuity Plan 9
o Communications
o ADA access
o Parking
o Security
 Essential Supporting Activities
o Critical Vendors
o Other agencies
 Interdependencies
o Mutual Aid Agreements
o MOUs, Rental Contracts
o Other organizations who provide required work or resources  Estimated Costs of Implementation
o Labor/Benefits/OT
o Services & Supplies
o Contracts
o Fixed Assets
 Function Process Flow Chart

ATTACHMENT B
City of Tracy Business Continuity Plan 10

ATTACHMENT B
City of Tracy Business Continuity Plan 11

ATTACHMENT B
City of Tracy Business Continuity Plan 12

ESSENTIAL RECORDS AND IT FUNCTIONS
Identification and Storage

As the availability of records to support the delivery of the identified essential functions is critical during a continuity activation, identification, and secure storage of records in practice becomes a universal essential function. Records identified as critical to the performance of each essential function have been identified through the Business Process and Business Impact Analyses. The actual structure employed by the City Clerk to manage these records will be incorporated into the Essential Records Annex similar to the sample structure provided below. To allow the City Clerk to maintain a complete inventory of essential records, along with their locations and instructions for access the City will endeavor to develop a separate Essential Records Plan which will be subsequently adopted as an Annex to the Business Continuity Plan.

Table 1: SAMPLE Essential Records Database

Essential Record,
File, or Database
Support to
Essential
Function
Form of
Record (e.g.,
hardcopy,
electronic)
Pre-
positioned
at
Alternate
Location
Hand
Carried to
Alternate
Location
Multiple
Storage
Location(s)
Y/N
Maintenance
Frequency
Tax Records Function
#1
Electronic X Y Monthly
Building Permits Function
#1 & 3
Hardcopy X N Quarterly
Violations Function
#2
Hardcopy X N Annually
Underground
Utilities maps
Function
#3 & 4
Electronic
X N
Monthly
Hazardous
Materials Storage
Sites
Function
#3, 4, & 5
Electronic
X Y
Quarterly

Backup and Protection

Records are classified in two broad categories: 1) Historic Records are primarily used for documentation of prior actions, events and transactions, and 2) Operational Records are used in the conduct of current business and need to be readily available. When identified in the Essential Function assessment process, these documents are formally designated as essential records and will be stored and maintained appropriately.

ATTACHMENT B
City of Tracy Business Continuity Plan 13

PERSONNEL
Business Continuity Teams

Activation of the Business Continuity Plan may require participation of employees designated to serve on one or more of the following teams:

 Continuity Management Team to oversee the development and maintenance of the Plan as well as oversight of its activation.
 Advance Team deployed ahead of designated operational staff to ensure that alternate facilities and procedures are prepared to begin functioning.
 Devolution Team to facilitate the establishment of protocols and connections with alternate organizations should transfer of City operations become necessary.  Reconstitution Team to oversee the return to normal operations in new or original facilities.

Composition of Department Continuity Management Teams are contained in the Essential Function Summary Annex for each operating department. The Continuity Plan will be reviewed and updated at least annually during the Annual Continuity Plan Review. Operating Departments will be responsible to review the Continuity Plan on a quarterly basis or when personnel changes occur which affect the performance of the essential functions outlined in the Essential Function Summary for each department.

Senior Leadership

The City of Tracy Executive Team is responsible to direct personnel to the appropriate team as necessary and ensure roles and responsibilities are clearly communicated. As circumstances which typically trigger activation of the Business Continuity Plan can develop rapidly without time for observation, evaluation and consideration of operational continuity, it is important for the Continuity Team to have a universal understanding of the decision processes that will occur so they can understand their respective roles and responsibilities. Training for designated team members will be conducted on an annual basis to review the Business Continuity Plan and ensure elements are incorporated into respective programs.

All Personnel

To facilitate employee readiness and encourage employees to develop a Family Support Plan, the city will provide information and resources made available through www.ready.gov to guide employees through this planning process.

ATTACHMENT B
City of Tracy Business Continuity Plan 14

DECISION PROCESS MAP
City of Tracy Personnel
Dur
ing an event requiring the activation of the Business Continuity Plan, one of the primary functions of the Continuity Team is to account for all city personnel. Each department/division will designate a Continuity Team member to account for employees listed on the department/division Continuity Personnel Roster. When direct contact is not feasible, the Continuity Team member will utilize the Paymentus IVR telephone notification system to notify the employee to make contact with the Continuity Team member. A copy of the Continuity Plan Roster is found in the Annex for each department/division. Designated Continuity Team members will notify Human Resources when unable to account for personnel to facilitate notification to the emergency contact.

The Cit
y has identified the Continuity Team members to direct the performance of essential functions following an event. Key positions include the Continuity Manager, Continuity Team members, senior leadership and their successors, and others who are assigned continuity responsibilities. These individuals will report to the primary location, alternate location or other assigned location. A copy of the Continuity Plan Roster for each Essential Function is found in the Annex for each Department. The Department Head or designee will be responsible for maintaining the roster and ensuring personnel are correctly matched to required positions.

ATTACHMENT B
City of Tracy Business Continuity Plan 15

Table 2: Continuity Personnel Roster

Function Title/ Position Name Telephone Numbers Additional Information EF #1:

Department
Head
John Smith H: (###) ###-####
W: (###) ###-####
C: (###) ###-####
Insert other organization-
required information, i.e.
duty station and
addresses
Alternate:

Assistant
Department
Head
Jane Doe H: (###) ###-####
W: (###) ###-####
C: (###) ###-####
Insert other organization-
required information, i.e.
duty station and
addresses
Division Chief

Assistant
Division Chief
Sally Dune H: (###) ###-####
W: (###) ###-####
C: (###) ###-####
Insert other organization-
required information, i.e.
duty station and
addresses
Lead Supervisor

Senior
Technician
Jim Rich H: (###) ###-####
W: (###) ###-####
C: (###) ###-####
Insert other organization-
required information, i.e.
duty station and
addresses

Public employees of the City of Tracy are designated as Disaster Service Workers in accordance with Government Code 3100. Activation of the Business Continuity Plan may result in a change in working conditions subject to meet and confer under the Meyers-Milias Brown Act (MMBA). When a change of working conditions occurs, the city will provide notice to the bargaining unit and the opportunity to meet at the earliest practicable time. Potential impacts as a result of the activation of the Business Continuity Play include:

 Modification of typical tasks
 Modification to assigned work location
 Modifications to work schedules and leave

The Continuity of Operations Coordinator/Assistant City Manager or designee will work closely with the Human Resources staff to address employee or labor relations issues related to the continuity event and communicate with managers regarding personnel needs to help continue essential functions throughout an event.

Business Continuity Personnel Responsibilities

Properly organizing Business Continuity Plan roles in advance is key to preparing the team to respond efficiently and effectively when faced with activities that require almost simultaneous attention. The following table reflects typical duties and responsibilities assigned to Continuity Team members.

ATTACHMENT B
City of Tracy Business Continuity Plan 16
Table 3: SAMPLE Assignment of Responsibilities
Position Responsibilities
City Manager • Provide overall policy direction, guidance, and objectives for continuity planning. • Provide necessary resources to support the implementation of the organization Continuity Plan and supporting activities (e.g., training, exercise). • Ensure adequate funding is available for emergency operations. • Ensure all organization components participate in TRAINING TESTING AND EXERCISE activities.

Continuity of
Operations
Coordinator/
Assistant City
Manager
• Provide strategic leadership and overarching policy direction for the continuity program.
• Serve as the organization continuity program point of contact (POC). • Implement the Cont inuity Plan when necessary, or when directed by a higher authority.
• Maintain orders of succession and delegations of authority. • Update Continuity Plan annually.
• Develop and lead continuity training.
• Plan continuity exercises.
• Update telephone rosters monthly.
• Conduct alert and notification tests.

Essential
Records
Manager
• Review status of essential records, files, and databases. • Provides for proper storage and protection of essential records.

Continuity
Personnel
• Be prepared to deploy and support organization EFs in the event of Continuity Plan implementation.
• Provide current contact information to manager.
• Be familiar with continuity planning and know individual roles and responsibilities in the event of Continuity Plan activation.
• Participate in continuity training and exercises as directed. • Have a telework agreement in place, if applicable.

Department
Directors
(See list of EFs)
• Appoint a point of contact for coordination and implementation of the Continuity Plan.
• Keep Continuity Coordinator/Manager informed of any changes in the designation of the office continuity point of contact.
• Identify EFs to be performed when any element of the organization is relo cated as part of the Continuity Plan.
• Identify those functions that can be deferred or temporarily terminated in the event the Continuity Plan is implemented.
• Maintain a current roster of Continuity Team members. • Maintain current personnel emergency notifi cation, accountability, and relocation rosters.

ATTACHMENT B
City of Tracy Business Continuity Plan 17

Replacing Staff

It may be necessary to augment or replace personnel during a continuity event. The Human Resources Department will support the Continuity Team with recruiting, hiring, and on-boarding staff during a continuity event.

Continuity Activation Go Kits

Continuity personnel are responsible for creating and maintaining go kits that are prepared for transition to the alternate worksite. The Risk Analyst in the Human Resources Department will coordinate with department/division Continuity Team members to ensure go kits are created and maintained on an annual basis through a review conducted during annual continuity plan training. The City of Tracy Go Kit contains those items listed in the table below.

Position Responsibilities
• Prepare backup copies or updates of essential records. • Ensure that the time and attendance function is represented on the Continuity Team.

ATTACHMENT B
City of Tracy Business Continuity Plan 18
Table 4: SAMPLE Go Kit Contents

DATE ADDED ITEM
Most Recent
Replacement
Date

MM/DD/YY
Backpack
Flashlight
First Aid Kit
Hand Sanitizer
• Radio/Cell Phone
Batteries/Power Cell
Safety Vest
Rain Gear
Matches/Lighter
Water
Department Contact Roster
Nitrile Gloves
Duct Tape
Whistle
Emergency Blanket
Pens/Pencils
Sharpies/Permanent Markers
Heavy Duty Scissors
Disinfectant Wipes
Paper Towels
Trash Bag
Work Gloves
Multitool
• Flash drive(s)
• Personal Medications
Change of Clothes

ATTACHMENT B
City of Tracy Business Continuity Plan 19

Succession and Delegations of Authority

In the event the City Manager, Assistant City Manager, Continuity Management Team member or Essential Function Manager is unable or unavailable to fulfill their duties, successors have been identified to ensure there is no lapse in decision-making authority.

The Annexes to this plan include orders of succession which include:

 Designation of individuals to manage essential functions and other critical operations.  A list of successors in the order they would assume the role.  A commitment for the delegation of authority to be regularly reviewed by the City Attorney  A designation to maintain the Order of Succession List as an essential record.

Table 5: SAMPLE Order of Succession List

Position Designated Successors

1. Senior Accountant
Director, Finance 2. Accountant

3. Payroll Coordinator

4. Accounting Technician

Through the establishment and annual maintenance of this plan as documented in the Continuity Plan Training Record, the City Manager will ensure orders of succession are up to date. When changes are made, they will be distributed to the Continuity of Operations Manager and the Continuity Team.

When the incumbent of one of these positions, or their acting successor becomes unable or incapable to perform their assigned duties, the City Manager or designee will notify the next successor in line and inform other members of the department and the Continuity Manager.

COMMUNICATIONS

Upon activation of the Business Continuity Plan, the Continuity Team will rely on the communication channels identified by the Emergency Operations Center and contained in the Incident Command System Communication List (ICS 205 form) These communication channels will be adapted for each department/division to facilitate lines of communication necessary to perform the essential functions.

ATTACHMENT B
City of Tracy Business Continuity Plan 20

Table 6: SAMPLE Communications Systems Tracking Table

Communication
System
Support to
Essential
Function
Current
Provider Specification Alternate
Provider
Special
Notes
Non-Secure Phones
Secure Phones
Fax Lines
Cellular Phones
Satellite
Pagers
E-mail
Internet Access
Data Lines
Two-way Radios
GETS Cards
[Insert other options
here]

Senior Leadership Communications

The City possesses communications capabilities to support the organization’s senior leadership while they are in transit to alternate location(s), at a remote site, or communications have failed at the primary operating facility. These capabilities are maintained primarily by the City Information Technology Division and documentation regarding these communications capabilities is found in the Communications System Tracking Table found in the Annex to the Continuity Plan.

Continuity Event Communications

In the event of a potential or actual interruption, City Manager or designee will communicate the organization’s operating status.

(1) The City Manager or designated successor will notify the City Council and the Continuity of Operations Coordinator/Assistant City Manager of the Continuity Plan activation. (2) The Continuity of Operations Coordinator/Assistant City Manager will direct the Advanced Team to deploy to the designated alternate or remote location as required. (3) The Continuity of Operations Coordinator/Assistant City Manager will direct the Continuity Team to initiate continuity actions assigned to their designated role. (4) Human Resources staff will contact City personnel utilizing the Paymentus IVR telephone notification system to provide employees with critical information regarding the status of the event and organizational impact.

ATTACHMENT B
City of Tracy Business Continuity Plan 21
(5) Human Resources staff will notify family members, next of kin, and/or emergency contacts as necessary.
(6) The City Manager or designee will coordinate with department directors and the Public Information Officer to notify external stakeholders of activation.

Contact Rosters
Con
tact Rosters for the Continuity Teams are maintained on a quarterly basis and upon Continuity Team assignment change by the Continuity of Operations Coordinator/Assistant City Manager. Rosters for the department Continuity Team are maintained in the Continuity Annex for each department and are maintained by the Department Head. The Contact Rosters are stored as an essential record of the Business Continuity Plan.

Situational Intelligence
Dur
ing an Activation, it is vital to continue to monitor the situation until the threat ceases to exist. The Continuity of Operation Coordinator/Assistant City Manager will work closely with the City Manager and Emergency Services to remain up to date on Situation Reports and any related information. The Continuity of Operations Coordinator/Assistant City Manager will be responsible for ensuring that the Continuity Team remains informed of the current and forecast evaluation of the situational environment using all available means, including:
 The heal
th and safety of personnel
 The ability to execute essential functions
 Changes in threat advisories
 Intelligence reports
 The potential or actual effects on communications systems, information systems, office facilities, and other essential equipment
 The expected duration of the emergency
 Typically, in a Continuity Event, sources would also include:

Continuity Plan
Activated by
City Manager or
Successor
Continuity of Operations
Coordinator/Assistant City Manager
Notifed
Advance Team Notifed
Deploy to Alternate Locations if
Required
Continuity Team Notified
Initiate Continuity Actions
Non-Continuity Personnel Notified
Return to/Remain at Work
Return/Remain home
External Stakeholders Notifed

ATTACHMENT B
City of Tracy Business Continuity Plan 22
o Emergency Operations Centers (City, Operational Area)  Situation Reports
 The Plans Section Manager
 The Emergency Operations Center Manager
o Regional and local notification systems
o Direction and guidance from higher authorities
o News and weather media

ALTERNATE LOCATIONS AND TELEWORK
Space and Infrastructure Guidelines
In dev
eloping analyses of essential functions, alternate location(s) may be identified utilizing the following guidelines to generate criteria for continued operation of critical functions within the Recovery Time Objective (RTO). The RTO is the targeted duration of time and service level within which a business process must be restored after a disruption to avoid unacceptable consequences associated with a delay in business continuity. Consideration of alterative locations will include the following:
 Abi
lity to accommodate required personnel determined by facility floor plans and equipment inventory
 Space and equipment, including computer equipment and software  Capability to perform essential functions within the RTO.  Availability until normal operations can be resumed
 Reliable logistical support, services, and infrastructure systems  Consideration for health, safety, security, and emotional well-being of personnel  Emergency/back-up power capability
 Access to City data networks, communications, internet, and remote servers  Access to essential records
Business Center
The Con
tinuity Team may consider the establishment of a Business Center to support administrative functions of City departments impacted by a continuity activation. Rather than planning to establish a separate facility for each department, a Business Center plan provides a facility where a physical staff presence is necessary for meetings, document production, data entry or other similar activities.

When physical presence is not required to perform the essential functions identified in the Business Continuity Plan, employees may be directed to work remotely within the guidelines established in the City of Tracy Telework Policy.

Telework
In c
ircumstances requiring the activation of the Business Continuity Plan absent a physical disaster requiring the temporary operation of essential functions away from the normal place of business, such as during the COVID-19 pandemic, employees may be directed to work remotely within the guidelines established in the City of Tracy Telework Policy.

ATTACHMENT B
City of Tracy Business Continuity Plan 23

The protocols for determining activation of emergency telework procedures are included in the Human Resources Annex to this plan.

Contracts

If a contract is necessary to ensure occupancy on demand, the City’s will evaluate the standard contract approval process and adjust as necessary to provide for a rapid approval process which may include authorization for City Manager or designee to approve such agreement. A copy of City of Tracy Professional Services Agreement is included as an Appendix to this Plan.

Activation/Relocation

Upon activation of the Business Continuity Plan by the City Manager or designee, departments may relocate to a remote or alternate location. If an alternate location is required, the Continuity of Operations Coordinator/Assistant City Manager or designee will notify the point of contact at the alternate location(s) if necessary of the activation and need to occupy the space to ensure that the continuity operations can begin within the real time objective (RTO).

If an alternate location is necessary and the emergency occurs during work hours, continuity activities will be implemented as follows:

 Continuity Team members will deploy to a remote or alternate location or locations from the primary facility or their current location to ensure the facility is set up for operation.  Department continuity staff will deploy to a remote or alternate location to begin operation  Non-continuity personnel will receive instructions from the City Manager or designee.  Information will be provided by emergency personnel, Public Information Officer or Human Resources regarding safety precautions and clear routes to use when leaving the primary operating facility.

If an alternate location is necessary and the emergency occurs dur ing non-work hours, continuity
activities will be implemented as follows:

 Cont
inuity Team members will immediately deploy to a remote or alternate location. Once the Continuity Team has ensured the alternate site is ready for operation, the departmental Continuity Team will deploy to the site. In the event of delay, Continuity Team members must notify the designated backup and the Continuity of Operations Coordinator/Assistant City Manager or designee with an expected arrival time. Department team members will notify their Departmental Continuity Team Manager the designated backup will take all measures to deploy to the location and will assume all appropriate duties.  Non-continuity personnel will remain at their residence or other designated location but must be prepared to replace or augment continuity personnel upon notification, or as advised. Staff replacements will be coordinated by the designated department manager or designee.

ATTACHMENT B
City of Tracy Business Continuity Plan 24
Non-continuity personnel may be required to replace or augment continuity personnel during activation and should remain available as instructed. These activities will be coordinated by the City Manager or designee working through designated department managers.

The A
dvance Team will arrive and prepare the alternate location(s) or Business Center(s) for use so that continuity operations can be resumed within the RTO. The advance team will:
 Ensu
re infrastructure systems, such as power and heating, ventilating, and air conditioning are functional.
 Prepare check-in duty stations for the Continuity Team’s arrival.  Address inquiries from continuity and non-continuity staff.

DEVOLUTION
In th
e context of Continuity Planning, devolution is the process by which a jurisdiction transfers authority for its essential functions to another jurisdiction or organization in instances where the leadership or staff is incapable or unavailable to support execution of the essential functions either from the primary or alternate facilities. In the event, City of Tracy personnel are unable to support the delivery of essential functions and contract services are not available, the City may designate an alternate organization to provide support as necessary. If devolution is necessary for the continuity of essential functions, the following factors will be considered:
 Ability
to deliver essential functions in compliance with city policies, procedures in order of succession with defined tasks that support, and resources to facilitate, those functions.  Ability to deliver interoperable communications, essential records management, staff and reconstitution.
 Designated personnel available to perform essential functions when the devolution option of the Continuity Plan is activated.
 Ability to provide or obtain necessary resources (i.e., equipment and materials) to facilitate the immediate and seamless transfer of essential functions to the devolution site.  Establish and maintain reliable processes and procedures for acquiring the resources necessary to continue essential functions and to sustain those operations for extended periods.  Establish and maintain the ability to restore, or reconstitute, authority to the primary organization upon termination of devolution.
 Outline the devolution organization’s responsibilities to maintain situational awareness and ongoing communications with senior leadership and personnel.  Provide an overview of procedures outlining workforce protection strategies to prevent the need to devolve. This may include strategies such as social distancing, telework, split shifts, or increased workplace hygiene.

RECONSTITUTION
Procedures
Recon
stitution identifies tasks associated with a return to normal operations once the City Manager or designee has determined that the situation no longer requires continuity activation. To ensure proper

ATTACHMENT B
City of Tracy Business Continuity Plan 25
focus on these distinct tasks the City will form a Reconstitution Team as part of the Business Continuity Plan. This team will be staffed by personnel that are not assigned to the Continuity Management Team or Advanced Team.

The C
ity Manager or designee will direct the Reconstitution Team to initiate and coordinate operations to salvage, restore, and recover the primary operating facility and resources as provided in the Reconstitution Checklist:

Table 7: SAMPLE Reconstitution Checklist
Reconstitution Checklist
 Identify the Reconstitution Manager for all phases of the reconstitution process.  Reconstitution will commence when the City Manager or designee or other authorized person ascertains that the emergency situation has ended and is unlikely to reoccur.  Within 48 hours of the Continuity Plan activation, each City Department Head will desi gnate a reconstitution Point of Contact (POC) to work with the Reconstitution Team and to update office personnel on developments regarding reconstitution.
 Reconstitution Manager should determine the status of the primary operating facility affected by the event by coordination with designated safety, engineering or other emergency management personnel.
 The City Manager and Reconstitution Manager in conjunction with designated safety, engineering or other emergency management personnel, will determine ho w much time is needed to repair the primary operating facility and/or acquire a new facility.  Should the City Manager o r designee decide to repair the facility, the Reconstitution Manager has the responsibility of supervising the repair process and will k eep the City Manager informed of the status of repairs, including estimates of when the repairs will be completed.  Before relocating to the recovered or replaced primary operating facility, the Reconstitution Team will conduct appropriate security, safety, and health assessments to determine building suitability.  The Reconstitution Team will verify that all systems, communications, and other required capabilities are available and operational and that the affecte d departments are fully capable of accomplishing all essential functions and operations at the new or restored primary operating facility.  Upon verification that the required capabilities are available and operational, an d that the affected Departments are fully capable of accomplishing all essential functions and operations at the new or restored facility, the Reconstitution Team will begin supervising a return of personnel, equipment, and documents to the primary operating facility.
 The phase-down and return of personnel, functions, and equipment will follow a priority-based plan and schedule.

Reconstitution Team
Pers
onnel will not be assigned to both the Continuity and Reconstitution Team as both require significant time and effort, and the responsibilities overlap. Responsibilities of the Reconstitution Team are contained in the Reconstitution Team Responsibility Chart as follows:

ATTACHMENT B
City of Tracy Business Continuity Plan 26

Table 8: SAMPLE Reconstitution Team Responsibility Chart

Position Responsibilities

City Manager
• Provide overall policy direction, guidance, and objectives for continuity planning. • Provide necessary resources to support the implementation of the organization Continuity Plan and supporting activities (e.g., training, testing, & exercise). [TRAINING TESTING AND EXERCISE]
• Ensure adequate funding is available for emergency operations. • Ensure all organization components participate in TRAINING TESTING AND EXERCISE activities.

Reconstitution
Manager
• Provide strategic leadership and overarching policy direction f or reconstitution activities.
• Serve as the organization reconstitution Point of Contact [POC]. • Implement the Reconstitution Plan when necessary, or when directed by a higher authority.
• Update Reconstitution Plan at least annually.
• Assemble and train reconstitution team.
• Conduct TRAINING TESTING AND EXERCISE activities.
• Coordinate with Continuity Manager.
• Oversee and monitor work on primary facility.
• Plan phased transition of EF to primary facility.

Reconstitution
Team
Personnel
• Be prepared to deploy and support reconstitution activities • Provide current contact information to manager.
• Be familiar with reconstitution planning and know individual roles and responsibilities in the event of activation.
• Participate in continuity training and exercises as directed.

ATTACHMENT B

APPROVED AS TO FORM AND LEGALITY
________________________

CITY ATTO
RNEY’S OFFICE

TRACY CITY

COUNCIL
RESOLU
TION NO. _______________
APPROV

ING THE UPDATED EMERGENCY OPERATIONS PLAN TO

PROVIDE COMMUNITY SUPPORT DURING AN EMERGENCY, IN

COMPLIANCE WITH STATE AND FEDERAL LAWS
WHEREAS, the California Emergency Services Act requires local jurisdictions to maintain an updated
emergency plan; and
WHEREAS, the City M anager is the Director o f Emergency S ervices, under the Tracy Municipal Code 3.24.050, and is authorized to direct the coordination of services and staff; and WHEREAS, at the direction of the City Manager, the City’s emergency plan has been updated to be in compliance with current guidance of both the State of California and Federal Em
ergency Management Agency; and
WHEREAS, the updated emergency plan, Tracy’s Emergency Operations Plan replaces all previous emergency plans and becomes the City’s current emergency plan; now, therefore, be it
RESOLVED: That the City Council of the City of Tracy adopts the updated Emergency Operations Plan. The Council also empowers the City Manager to promulgate, approve, distribute and use the Emergency Operations Plan.
* * * * * * * * * *
* * * *
The foregoing Resolution 2023-_____ was adopted by the Tracy City Council on March 7, 2023
, by the following vote:

AYES: COUNCI
L MEMBERS:

NOES: COUNCIL MEMBERS:

ABSENT: COUNCIL MEMBERS:

ABSTENTION: COUNCIL MEMBERS:
___________________________________________
NANCY D.

YOUNG
Mayor of the City of Tracy, California
ATTEST:

ADRIANNE RICHARDSON
City Clerk and Clerk of the Council of the
City of Tracy, California

APPROVED AS TO FORM AND LEGALITY
________________________

CITY ATTO
RNEY’S OFFICE

TRACY CITY

COUNCIL
RESOLU
TION NO. _______________

ADOPTING

THE CITY OF TRACY BUSINESS CONTINUITY PLAN TO

ADDRESS THE NEEDS OF THE CITY FOLLOWING AN EMERGENCY
WHEREAS, in December of 2019, the City began the process of creating a Business Continuity Plan for emergency preparedness; and
WHEREAS, the City of Tracy was tasked, in the 2022 Grand Jury Report, with creating a Business Continuity Plan to address the needs of the City following a disaster; and WHEREAS, Emergency M anagement contains four phases: mitigation, preparedness, response and recovery; and
WHEREAS, business continuity is an inherent part of preparedness, response operations, resiliency at
all levels; and
WHEREAS, the Business
Continuity Plan serves as a structure to support the delivery of essential functions
and services following a disaster or emergency; and
RESOLVED: That the City
Council of the City of Tracy adopts the City of Tracy
Business Continuity Plan
to address the needs of the City following an emergency. * * * * * * * *
* * * * * *
The foregoing Resolution 2023-_____ was adopted by the Tracy City Council on March 7, 2023, by the following vote:

AYES: COUNCI
L MEMBERS:

NOES: COUNCIL MEMBERS:

ABSENT: COUNCIL MEMBERS:

ABSTENTION: COUNCIL MEMBERS:
___________________________________________
NANCY D.

YOUNG
Mayor of the City of Tracy, California
ATTEST:

ADRIANNE RICHARDSON
City Clerk and Clerk of the Council of the
City of Tracy, California

Tracy City CouncilMarch 7, 2023

Tracy City Council
March 7, 2023