HomeMy WebLinkAbout2017-06-07 PacketPage 1 of 3
CITY OF UKIAH
CITY COUNCIL AGENDA
Regular Meeting
CIVIC CENTER COUNCIL CHAMBERS
300 Seminary Avenue
Ukiah, CA 95482
June 7, 2017
6:00 p.m.
1. ROLL CALL
2. PLEDGE OF ALLEGIANCE
3. PROCLAMATIONS/INTRODUCTIONS/PRESENTATIONS
a. Proclamation of the Ukiah City Council Recognizing June 2017 as National Alzheimer’s and
Brain Awareness Month.
b. Receive Presentation on ‘Kids Triathlon’ Event on July 22, 2017.
c. Receive Presentation on Remote Spawning Incubator Project on Gibson Creek.
d. Status Report, Discussion and Possible Action Regarding the Ukiah Valley Sanitation District’s
Litigation Against the City of Ukiah Related to the Operation of the Sanitary Sewer System.
4. PETITIONS AND COMMUNICATIONS
5. APPROVAL OF MINUTES
a. Minutes of May 17, 2017, a Regular Meeting.
6. RIGHT TO APPEAL DECISION
Persons who are dissatisfied with a decision of the City Council may have the right to a review of that decision by a court.
The City has adopted Section 1094.6 of the California Code of Civil Procedure, which generally limits to ninety days (90)
the time within which the decision of the City Boards and Agencies may be judicially challenged.
7. CONSENT CALENDAR
The following items listed are considered routine and will be enacted by a single motion and roll call vote by the City
Council. Items may be removed from the Consent Calendar upon request of a Councilmember or a citizen in which event
the item will be considered at the completion of all other items on the agenda. The motion by the City Council on the
Consent Calendar will approve and make findings in accordance with Administrative Staff and/or Planning Commission
recommendations.
a. Designation of Voting Delegates and Alternates for the League of California Cities Annual
Conference – September 13 – 15, 2017.
b. Adoption of Resolution Adopting Records Retention Schedule for the City of Ukiah.
c. Report to the City Council Regarding Payment to City of Light Sound and Recording for the
Sound Equipment and Sound Technician Services for the 2017 Sundays in the Park Concert
Series in the Amount of $12,192.
Ukiah City Council Agenda for June 7, 2017, Continued
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d. Adoption of Resolution Approving Addenda Amending the Holiday Provision in the Department
Head, Management, Fire, Administrative & Maintenance, Water Utilities/Garage, and Electric
Unit Memoranda of Understanding.
e. Approval and Acceptance of $20,000 Grant from the Christensen Fund for the Grace Hudson
Museum Educational Programming Development, Authorizing City Manager to Sign
Agreement.
f. Authorize Execution of Amendment to the Agreement with GHD in an Amount Not to Exceed
$36,319 for Supplemental Design Services for the Redwood Business Park Transportation
Improvements and the Talmage Interchange Projects and Approve Budget Amendment.
g. Award Contract to Gregg Simpson Trucking in the Amount of $36,097.88 for the Hydroelectric
Plant Gratings and Handrails, Specification No. E35427 and Authorize a Budget Amendment in
the Amount of $40,000 (EUD).
8. AUDIENCE COMMENTS ON NON-AGENDA ITEMS
The City Council welcomes input from the audience. If there is a matter of business on the agenda that you are
interested in, you may address the Council when this matter is considered. If you wish to speak on a matter that is not
on this agenda, you may do so at this time. In order for everyone to be heard, please limit your comments to three (3)
minutes per person and not more than ten (10) minutes per subject. The Brown Act regulations do not allow action to be
taken on audience comments in which the subject is not listed on the agenda.
9. COUNCIL REPORTS
10. CITY MANAGER/CITY CLERK REPORTS
11. PUBLIC HEARINGS (6:15 PM)
a. Conduct a Public Hearing and Receive the Measure P Oversight Committee Report and
Findings for 2015 and 2016, and Disband the Measure P Oversight Committee per Resolution
2014-28.
b. Consideration of Planning Commission Recommendation to Certify the Costco Final
Environmental Impact Report (FIER), Including the Energy Analysis, Adopt Findings of
Overriding Considerations and Introduce an Ordinance Rezoning the Costco Project Site to
Retail Commercial.
12. UNFINISHED BUSINESS
a. Adoption of Resolution Approving the Second Addendum to the Recycled Water Project Initial
Study/Mitigated Negative Declaration.
b. Adoption of Resolution Authorizing the City Manager to Negotiate and Execute an Agreement
with the State Water Resources Control Board Division of Financial Assistance for Funding the
Construction of Phases 1 Through 3 of the Recycled Water System, and Authorization to Take
All Actions Required or Allowed Under the Agreement.
c. Approve Plans and Specifications for Construction of Phases 1-3 of the Recycled Water
System, Specification No. 17-08 and Direct Staff to Advertise for Bids.
d. Approve Plans and Specifications for Transportation Improvements for Redwood Business
Park, Specification No. 17-09, Direct Staff to make Revisions to Specifications for I-Bank
Requirements, and Direct Staff to Advertise for Bids.
Ukiah City Council Agenda for June 7, 2017, Continued
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13. NEW BUSINESS
a. Adoption of Resolution Removing On-Street Parking on the North Side of West Gobbi Street
Between South Oak Street and South Dora Street.
14. CLOSED SESSION – Closed Session may be held at any time during the meeting.
a. Conference with Legal Counsel – Existing Litigation
(Cal. Gov’t Code Section 54956.9(d)(1))
Name of case: City of Ukiah v. Questex, LTD, et al, Mendocino County Superior Court, Case
No. SCUK- CVPT-15-66036 (Palace Hotel)
b. Conference with Legal Counsel – Existing Litigation
(Government Code Section 54956.9(d)(1))
Name of case: Ukiah Valley Sanitation District v. City of Ukiah, Sonoma County Superior
Court, Case No. SCV 256737 (UVSD)
c. Conference with Legal Counsel – Existing Litigation
(Cal. Gov’t Code Section 54956.9(d)(1))
Name of case: Howard Jarvis Taxpayers Assn., et al. v. City of Ukiah, Mendocino County
Superior Court, Case No. SCUK-CVG-17-68588 (Measure Y and Z)
d. Conference with Real Property Negotiators
(Cal. Gov’t Code Section 54956.8)
Property: 429 South Dora St. Ukiah, CA 95482
Negotiator: Sage Sangiacomo, City Manager; Negotiating Parties: City of Ukiah and Ukiah
Unified School District; Under Negotiation: Price & Terms of Payment
15. ADJOURNMENT
Please be advised that the City needs to be notified 72 hours in advance of a meeting if any specific
accommodations or interpreter services are needed in order for you to attend. The City complies with
ADA requirements and will attempt to reasonably accommodate individuals with disabilities upon request.
Materials related to an item on this Agenda submitted to the City Council after distribution of the agenda
packet are available for public inspection at the front counter at the Ukiah Civic Center, 300 Seminary
Avenue, Ukiah, CA 95482, during normal business hours, Monday through Friday, 8:00 am to 5:00 pm.
I hereby certify under penalty of perjury under the laws of the State of California that the foregoing agenda
was posted on the bulletin board at the main entrance of the City of Ukiah City Hall, located at 300
Seminary Avenue, Ukiah, California, not less than 72 hours prior to the meeting set forth on this agenda.
Dated this 2nd day of June, 2017.
Kristine Lawler, City Clerk
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The Kids’ Triathlon will take place on Saturday, July 22nd at the Todd Grove Recreation Area; registration
will be open at 9am. Participating youth will swim in the Ukiah Municipal Pools, bike in the Anton Stadium
parking lot and run in Todd Grove Park. This event is open to any child 15 years old or younger – even a
2-year-old! The idea is to expand the marketing for this event across Mendocino County to include as many
children as possible. Please see the event promotional flier as Attachment #1 to this report.
Registration for the Kids’ Triathlon is at a very low and affordable rate of $10.00 ($15.00 day of) which
includes a spot in the event, a Kids’ Triathlon t-shirt, goodie bag, a lunch ticket, and a pool pass
(Registration form is Attachment #2). The fees collected from registrations as well as sponsorships will
cover the expenses for this event including t-shirts, BBQ materials and Lifeguard staff time.
The event is divided into four levels with suggested age groups. Kids are not required to stay within their
own age group, but instead to challenge themselves. The goal is to complete as many laps as they can in
the amount of time given. There will be no placement at the end of the race; however, all participants that
keep track of the laps completed will receive an officially stamped Healthy Mendocino & City of Ukiah Kids
Triathlon Certificate. Every child has the chance to feel accomplished!
LEVEL SUGGESTED AGES MIN/ACTIVITY
1 5 years & under 10 minutes
2 6 years – 9 years 10 minutes
3 10 years – 12 years 15 minutes
4 13 years – 15 years 20 minutes
This event is anticipated to bring hundreds of community members and many local businesses together to
support healthy activities (Attachment #3 is our sponsorship form). Participants will have their bikes and
helmets checked for safety, local gyms will provide water, and first aid will be on staff during the event. The
attendees and the public are welcome to stay for the BBQ and swim in the Ukiah Municipal Pools.
FISCAL IMPACT:
Budgeted
Amount in
16-17 FY
New Appropriation
Source of Funds
(Title & No.)
Account Number
Budget
Amendment
Required
Previous
Contract or
Purchase Order
No.
N/A N/A N/A Yes No N/A
LEVEL CHECK-IN SWIM BIKE RUN TIME/ACTIVITY
1 9:00am 9:30am 9:50am 10:10am 10 min/activity
2 9:30am 10:00am 10:20am 10:40am 10 min/activity
3 10:00am 10:30am 10:55am 11:20am 15 min/activity
4 10:30am 11:00am 11:30am 12:00pm 20 min/activity
Ukiah Municipal Pools & Todd Grove
Children 15 years & younger
$10 pre-registration ; $15 walk-ups
2017 Kids Triathlon
WHO:Boys & Girls; ages 15 & under
COST:$10.00 pre-registration
$15.00 day of registration (t-shirt not guaranteed)
Level Check-In Swim Bike Run
1 - 10 min/activity 9:00am 9:30am 9:50am 10:10am
2 - 10 min/activity 9:30am 10:00am 10:20am 10:40am
3 - 15 min/activity 10:00am 10:30am 10:55am 11:20am
4 - 20 min/activity 10:30am 11:00am 11:30am 12:00pm
Parent's Signature:Date:
Print Parent's Name:
Participant's Name:
Address:City:
Home/Work Phone:
Cell Phone:
E-mail Address:
Shirt Size (circle one)( YS YM YL / AS AM AL AXL AXXL)
Which level are you participating in? 1 2 3 4
Gender: ( M / F )Age:
Emergency Contact Person (other than parent)
Name:Phone:
Would you be willing to Volunteer?YES NO
Name:Phone:
Paid: $Method:
CITY OF UKIAH RECREATION DEPARTMENT
411 West Clay St.; Ukiah, CA 95482 ~ Phone (707) 463-6714 ~ Fax (707) 463-6740
Saturday, July 22, 2017
In consideration of the acceptance of my
application for entry into the above stated
recreation activity(ies), I hereby waive, release,
and discharge any and all claims for damages for
personal injury or property damage or losses,
expenses, including reasonable attorney fees,
which I may have or which may hereafter accrue to
me, against the City of Ukiah as a result of my
participation in the activity(ies). This release is
intended to discharge the City of Ukiah, its officers,
officials, employees, instructors, agents, and
volunteers and facility owners, from and against
any and all liability arising out of or connected in
any way with my participation in the activity(ies)
even though that liability may arise out of the
negligence or carelessness on the part of other
persons. I further understand that accidents and
injuries can arise out of the activity(ies), knowing
the risks, nevertheless, I hereby agree to assume
those risks and to release and to hold harmless
the City of Ukiah and all of the persons mentioned
above who might otherwise be liable to me or my
heirs or assigns for damages. It is further
understood and agreed that this waiver, release
and assumption of risks is to be binding on my
heirs and assigns.
Please Read and Sign
4. Attend the Kids Triathlon on Saturday, July 22, 2017
1. Log in OR create an account
2. Select "Kids Triathlon"
3. Pay the amount listed on the invoice
**Level 1: swim w/ parent ~ ride bike with training wheels ~ run a smaller obstacle course
FOR OFFICIAL USE ONLY
RELEASE FROM LIABILITY AND INDEMNIFICATION
I, the undersigned or parent/guardian of the individual named below do
hereby agree to allow the individual named herein to participate in the
aforementioned activity, and I further agree to indemnify and hold harmless
the City of Ukiah and its instructors, agents, officers, volunteers and
employees and facility owners from and against any and all liability resulting
in injury associated with that individuals participation in this activity(ies).
I/We agree to allow use of my/our photograph for program publicity. I/We
read and agree to the registration, program and refund policies.
REGISTER ONLINE!!! ~ ukiah.recdesk.com
Sponsorship Opportunities Gold
$300
Silver
$150
Bronze
$75
10’ x 10’ booth space at the event
Recognition in the Fall Recreation Guide
distributed to 18,000 homes
Banner acknowledgement with your
company logo and/or business name at
the event
Acknowledgement of your sponsorship
on poster and press material
Certificate of recognition & BBQ ticket 6 tickets 4 tickets 2 tickets
Be a part of the FIRST Kids Triathlon hosted by
Healthy Mendocino and City of Ukiah. This event is
expected to bring hundreds of community members
together on Saturday, July 22nd, 2017. The Kids
Triathlon is a great way to promote local businesses
and also spread the word of healthy living to young
people across the county. The money raised for this
event will provide healthy snacks, drinks, and lunch
for all participants. Each child will receive a Kids
Triathlon shirt and much more in their very own
goodie bag! You have the opportunity to be a part of
a new, healthy tradition!
2017 Sponsorship Pledge Form
Company:
Contact Person:
Address:
City: State: Zip:
Phone: ( ) Fax: ( )
Email:
Sponsorship Level
Gold Level $300
Silver Level $150
Bronze Level $75
Signature Date
PLEDGE NOW! Please mail, fax, or email this pledge form to secure your sponsorship.
Mail: City of Ukiah Fax: (707) 463-6740
Recreation Department Phone: (707) 463-6714
411 West Clay St. Email: jwebb@cityofukiah.com
Ukiah, CA 95482
To assure that your business is included in all promotional materials,
please submit payment by June 16, 2017
For additional information call (707) 463-6714
FOR OFFICE USE:
Pledged Received: Account: 90000000.23243
Payment: Date Amount Method
Continued on Page 2
RECOMMENDED ACTION(S): Receive status report. If desired, discuss and provide direction to Staff
and/or consider any action(s) related to the matter.
ALTERNATIVES: N/A
Citizens advised: N/A
Requested by: City Council (Councilmembers Crane and Doble)
Prepared by: Sage Sangiacomo, City Manager and Sean White, Director of Water and Sewer.
Coordinated with: David Rapport, City Attorney and Tim Eriksen, Director of Public Works.
Presenter: Sage Sangiacomo, City Manager
Attachments: UVSD Litigation Update Box Files located at:
https://cityofukiah.box.com/v/UVSDlitigationUpdates
COUNCIL ACTION DATE: _____________: Approved Continued to___________________ Other _______
RECORDS APPROVED: Agreement: ___________________ Resolution: ___________ Ordinance: _________
Note: Please write Agreement No. in upper right corner of agreement when drafted.
ITEM NO.:
MEETING DATE:
3d
June 7, 2017
AGENDA SUMMARY REPORT
SUBJECT: STATUS REPORT, DISCUSSION AND POSSIBLE ACTION REGARDING THE UKIAH
VALLEY SANITATION DISTRICT’S LITIGATION AGAINST THE CITY OF UKIAH
RELATED TO THE OPERATION OF THE SANITARY SEWER SYSTEM
Summary: Staff will provide the latest status report on the Ukiah Valley Sanitation District’s Litigation
against the City of Ukiah related to the operation of the sanitary sewer system.
The City of Ukiah continues to request that the District consider a change in process outside of litigation
to resolve the dispute and restore a working relationship, recognizing there is simply too much at stake
for the ratepayers, system operations, and the community.
Background (Chronologic History of Recent Correspondence and Activity): In September 2013, the
Ukiah Valley Sanitation District (UVSD) filed a claim for damages with the City, and one month later filed
its lawsuit. In its lawsuit, the District seeks damages for alleged breaches of the various agreements
between the City and the District related to the operation of the sanitary sewer system, starting with the
original 1955 agreement.
The lawsuit will have significant adverse financial impacts to both agencies, as well as the ratepayers and
the community, and the City is seeking an alternative to litigation to resolve this dispute. Attached is the
letter that was sent on September 14, 2016, by the City Council to the District Board, formally requesting
that the District drop the lawsuit with terms that would allow the District to refile if agreement cannot be
reached (UVSD Litigation Update Box File #1), as well as an informational piece that details the
background/impacts (UVSD Litigation Update Box File #2).
On September 21, 2016, the City Council received a presentation (UVSD Litigation Update Box File #3)
from staff that explained the relationship between the two agencies and provided responses to some of
the most frequently asked questions about this matter to better inform the public about the consequences
of the litigation. This information along with a video link to the September 21st presentation/discussion
are accessible at http://www.cityofukiah.com/projects/uvsd-vs-cou/.
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The UVSD submitted a letter dated September 20, 2016, (UVSD Litigation Update Box File #4) which
inaccurately asserts that the City’s request is for the District to drop the lawsuit until after the recycled
water project funding is received. In fact, the City’s request is for the District to dismiss its lawsuit and
that the City and District devote their time, money and resources to solving the costly issues confronting
the sewer system and improving their working relationship. The City’s goal is to eliminate the lawsuit
altogether. The City has offered to include terms that would allow the District to refile the lawsuit if the
parties fail to reach agreement, but the City never suggested that the District would simply refile the
lawsuit once State funding was obtained. Also, the City never suggested that dismissing the lawsuit is all
that would be necessary to obtain State funding. In addition to dismissal of the lawsuit, there would have
to be an agreement between the City and the District regarding the recycled water project that would
satisfy the State Water Resources Control Board.
At the conclusion of the September 21st discussion, the Council directed the City Manager to contact the
UVSD District Manager to explore possible alternatives. The City Manager attempted to contact the
District Manager by email, but due to a reported medical leave, Mr. McMichael was not available to
provide a timely/detailed response. On October 5th, the City Attorney received an email correspondence
from Duncan James (Attorney representing the District) responding to the City Manager’s email to Mr.
McMichael. Mr. James indicated in the email that the District had accepted the City’s request to meet
and formed a committee consisting of Frank McMichael, District Manager; Jim Ronco, Board Chair; Bob
Page, Board Member; and legal counsel. The City Manager issued a supplemental memo to the City
Council for the October 5th City Council meeting regarding this email exchange and included a
recommendation to Council for the formation of a City Council ad hoc committee to meet with the District
(UVSD Litigation Update Box File #5). At the City Council meeting, Mr. Doug Losak with the Law Offices
of Duncan James delivered and read aloud a letter containing some additional allegations, but in the end,
agreed to meet with the City. The City Council formed an ad hoc committee consisting of
Councilmembers Crane and Doble. The City immediately made efforts to schedule the first meeting
between the District’s committee and the City’s ad hoc.
At the October 19, 2016, meeting, the City Council discussed the latest correspondence from the District
including the District’s request to hold the ad hoc meetings in private and require the City to consent to a
confidentiality agreement. The City Manager provided the Council with the correspondence to date from
the District regarding the confidentiality condition (UVSD Litigation Update Box File #6) for consideration.
At the time of the meeting, the District had not provided a draft of the proposed confidentiality agreement.
By consensus, the City Council continued to object to private meetings that do not provide the public with
the opportunity to be informed. However, the City Council did direct the ad hoc to meet with the District’s
ad hoc to discuss the process for such meetings and report back to the City Council at its regular meeting
on November 2, 2016.
Prior to the ad hoc meeting, the City Attorney received a letter from Duncan James’ Office regarding the
District’s request for a confidentiality agreement for the ad hoc meetings along with a draft of the
agreement (UVSD Litigation Update Box File #7). The City Attorney issued a response (UVSD Litigation
Update Box File #8) indicating that such agreement would need to be discussed at the first joint ad hoc
meeting and ultimately considered by the City Council.
In addition, the City Council received correspondence from the District Manager related to the recycled
water project dated October 21st (UVSD Litigation Update Box File #9). Most of the questions referenced
in the letter had already been either answered or provided to the District. Nonetheless, City staff
welcomed the dialogue and discussion in a sincere effort to move this critical project forward. Staff
provided a response to the District Manager on October 27, 2016 (UVSD Litigation Update Box File #10).
On October 28, 2016, the City’s ad hoc met with the District’s ad hoc. At the meeting, the District
presented the City with a take-it-or-leave-it condition imposing confidentiality on the ad hoc discussions.
On November 2nd and 4th, the City Council considered the District’s confidentiality condition on the ad hoc
discussions and approved a letter (UVSD Litigation Update Box File #11) that confirmed agreement to
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the condition if the District Board would agree to either stay further proceedings in the lawsuit or dismiss
the lawsuit without prejudice. The City’s proposal, if accepted, would halt the costly litigation fees
currently being incurred by both agencies, but would not preclude the District from terminating the stay or
refiling the lawsuit if the District wasn’t satisfied with the discussions/negotiations. The District issued a
response to the City’s proposal on November 8, 2016 (UVSD Litigation Update Box File #12) that
continues to impose a confidentiality condition on the joint ad hoc meetings. The District further stated
“the lawsuit needs to otherwise remain in motion” except to provide a limitation on any discovery requests
for a period of 4 weeks.
It’s important to note that the District’s legal team has predominately utilized the Public Information Act
(PRA) rather than formal discovery to obtain information. Because the City of Ukiah is a public agency,
the District’s attorneys have used the PRA process to obtain information, which does not require the
District to justify its requests by showing how they are relevant to the issues in the case. In a typical
lawsuit, the discovery process is used to obtain documents and is overseen and controlled by the court to
prevent burdensome or oppressive requests. The City continues to expense a tremendous amount of
staff resources responding to the District’s PRA requests for information dating back to 1955. To date,
the District has submitted over 41 requests (with multiple parts) under the PRA process. The City has
diligently been responding to the requests for the past 12 months. Suspension of the formal discovery
process will not prevent the continued practice by the District nor will it limit the escalating litigation
expenses during this proposed period.
With regard to the recycled water project, the City received additional correspondence from the District
Manager indicating the need for more information (UVSD Litigation Update Box File #13). However, the
correspondence did not identify any specific questions or information that had not otherwise been
provided. The City Manager issued a response on November 15th (UVSD Litigation Update Box File #14)
and included a BOX link to all relevant information on the recycled water project
(https://cityofukiah.box.com/v/uvsdpointsofinterest). Most, if not all, of the information and/or documents
have already been provided to the District. Furthermore, the City Manager requested a determination
from the District regarding its position on the project and offered to provide any other information and/or
presentations that would be necessary for a determination.
On November 16th, the City Council instructed the City Attorney to contact the lawyers for the Ukiah
Valley Sanitation District to work out the details for mediating the outstanding disputes including selecting
a mediator. Furthermore, and as a first step in the mediation, the City Council requested the District to
provide a detailed written response and any counter proposals to the City’s written proposal that was
submitted to the District in March 2014, during the original mediation between the City and the District.
On November 17th, the City Attorney sent correspondence to the UVSD’s lawyer to initiate mediation as
directed (UVSD Litigation Update Box File #15). As of the publication of the report for the December 7th
City Council meeting, the District had not responded.
Additional correspondence between the City and District had also been exchanged related to the
recycled water project (UVSD Litigation Update Box File #16 & #17). Despite continued attempts to
engage and provide the District with information, the District had yet to conclude that the recycled water
project is the superior alternative of disposing treated wastewater. In an effort to bring this item to a
conclusion, the City Manager proposed in a December 1st correspondence to the District Manager a joint
meeting between the City Council and the District Board to discuss and resolve any remaining
questions/issues related to the project. As of the publication of the report for the December 7th City
Council meeting, the District had not responded.
Related to the Fiscal Year 16/17 Budget, the District has not yet identified the District’s timeline for their
previously identified budget review process that reportedly extends through various staff, committee and
District Board stages before a final joint meeting with the City can be scheduled. The previously
approved continuing resolution for the budget was scheduled to expire on December 31, 2016. The City
had made inquiries as to the District’s progress and anticipated review timeline (UVSD Litigation Update
Box File #18). Staff recognized some level of District review was underway given recent engagement
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(since November 11th) on the budget, but the District Manager had not provided a timeline for completion
of their review and/or indicated readiness for a joint budget meeting. As of the publication of the report
for the December 7th City Council meeting, the District had not responded.
At the December 7th City Council meeting, the Council adopted a resolution to secure funding for the
construction of the recycled water system using water revenues as an alternate to the City’s wastewater
revenues. While this was a less desirable option for securing project funding, it was considered a better
alternative to losing the project funds altogether. The Ukiah Valley Sanitation District’s lawsuit remains
the only impediment to securing project funding with the wastewater revenues, given the City must be
able to demonstrate to the State an unconstrained revenue source to guarantee repayment of the loan
funds. City staff reported that they were vetting the details of the water revenue alternative with the State
Water Resources Control Board. The UVSD continued to be unresponsive to the City Manager’s
proposal for a joint meeting between the City Council and the District Board to discuss and resolve any
remaining questions/issues related to the recycled water project.
Related to the Fiscal Year 16/17 Budget, the City Council and the District Board approved a continuing
budget resolution at their respective meetings on December 7th and December 27th. The City’s
continuing resolution was set to expire on January 18, 2017, unless otherwise extended. The City
requested a joint meeting with the District Board prior to the expiration of the resolution. While the District
had taken action to extend the continuing resolution beyond December 31, 2016, it had yet to identify a
timeline for the completion of its budget review or response to the City’s request for a joint meeting.
At the January 4, 2017, City Council meeting, the City Manager and staff reported that terms for
mediation continue to be discussed and the District had not responded to the City’s requests for a joint
meeting on the Fiscal Year 16/17 budget or the recycled water project. It was further reported that the
City received a notice from the District Chair related to communication in the absence of the District
Manager due to an extended medical leave (UVSD Litigation Update Box File #19).
At the January 18, 2017, City Council meeting, the City Manager and staff reported that terms for
mediation continue to be discussed and the District had not responded to the City’s continued requests
for a joint meeting on the Fiscal Year 16/17 budget or the recycled water project.
Development of the City’s wastewater operating budget is a joint process between the City and the Ukiah
Valley Sanitation District (UVSD). The process had been delayed significantly despite efforts by the City
to move it forward expeditiously. In the interim, the City had been operating its wastewater enterprise on
a continuing resolution, carrying forward the adopted appropriations from Fiscal Year 2015-16. At its
meeting of December 7, 2016, the City Council determined that continuing to do so impeded its ability to
effectively, efficiently, and responsibly provide wastewater services to the citizens of Ukiah and the UVSD
and voted to move the budget process forward with its consideration and potential adoption at its
regularly scheduled meeting on January 18, 2017. The City notified UVSD of its intentions and again
called on it to schedule a meeting with the City Council to complete the budget review process. As of the
January 18th City Council meeting, the UVSD continued to be unresponsive to the requests to meet. As
such, the City Council unilaterally considered and approved the FY 16-17 Wastewater Budget (UVSD
Litigation Update Box File #20).
At the February 1, 2017, City Council meeting, the City Manager and staff reported that terms for
mediation continue to be discussed with a location and mediator agreed to, but a date not finalized.
Furthermore, the District had not responded to the City’s continued requests for a joint meeting on the
Fiscal Year 16/17 budget or the recycled water project.
At the February 15, 2017, City Council meeting, the City Attorney reported that a date (May 11th) had
been finalized for the first session of mediation. In addition, the City had accepted the District’s
conditions that the mediation be subject to a confidentiality agreement in addition to the Evidence Code
mediation privilege and to conduct the mediation in Santa Rosa using a mediator from the Judicial
Arbitration and Mediation Service (JAMS). The City Manager also reported the District had not
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responded to the City’s continued requests for a joint meeting on the Fiscal Year 16/17 budget or the
recycled water project.
At the March 1, 2017, City Council Meeting, the City Manager reported that the District remains
nonresponsive to the requests for a joint meeting on the Fiscal Year 16/17 budget and recycled water
project.
At the March 15, 2017, City Council Meeting, the City Manager reported the District continues to remain
nonresponsive to the City’s requests for a joint meeting on the Fiscal Year 16/17 budget and recycled
water project. The City Manager also reported that District Manager McMichael had responded to the
City’s request for a staff meeting to prepare the bid package to rebid the installation of the barscreen at
the Wastewater Treatment Plant as previously directed by the City Council and District Board. The
barscreen meeting took place on the morning of March 15th.
At the April 5, 2017, City Council Meeting, the City Manager reported that the District continues to remain
nonresponsive to the City’s requests for a joint meeting on the Fiscal Year 16/17 budget and recycled
water project. At the District’s March 16, 2017 Board meeting, the City Manager reiterated the City’s
request for the joint meeting during public comment on non-agenda items. In addition, the City continues
to be available and responsive to budget and billing inquiries from Mr. Dickerson and public information
requests from the District’s legal counsel, although none have been received in the past two weeks.
At the April 19, 2017, City Council Meeting, the City Manager reported that the District continues to
remain nonresponsive to the City’s requests for a joint meeting on the Fiscal Year 16/17 budget and
recycled water project. In addition, the City has provided the District with a timeline for the City’s
proposed FY 17-18 Budget process and has sought input on how/when the District would prefer to
coordinate the development and joint review of next year’s FY 17-18 wastewater budget (UVSD Litigation
Update Box File #21).
At the May 3, 2017, City Council Meeting, the City Manager reported that the UVSD continues to be
nonresponsive to the City’s ongoing requests for a joint meeting on the FY 16-17 Budget and recycled
water project. In addition, the District has been nonresponsive to the City’s request to engage in the
development and joint review of the FY 17-18 wastewater budget. Furthermore, it was reported that the
District was unwilling to provide details related to the maintenance of customer billing accounts as
demonstrated by the District’s refusal to share refund calculations and methodology related to a sizable
refund reportedly authorized by the District at their January 19, 2017, board meeting. Given the District’s
uncooperative approach regarding account information through customary administrative communication,
the City was forced to seek the information through a Public Records Act (PRA) request. Since the May
3rd meeting, the District has provided a response to the PRA request which is currently being reviewed by
City staff.
At the May 17, 2017, City Council Meeting, the City Manager reported that mediation regarding the
litigation resumed on May 11, 2017, and continues with the efforts remaining confidential due to the rules
established for the meetings. In addition, the District remains nonresponsive to the City’s ongoing
request for a joint meeting on the FY 16-17 budget and recycled water project. The District also
continues to be nonresponsive to the City’s numerous requests for engagement in the development and
joint review of the FY 17-18 wastewater budget. Correspondence has been sent to the District detailing
the budget development schedule and budget related items on the City Council’s agenda, inclusive of the
following dates:
March 13-17: Budget Training in Munis
March 20-31: First-round budget meetings
March 31: Deadline for personnel requests for budget
Friday April 7: Budget entry due. Budget will be locked to departments to allow for further
processing and analysis by Finance
April 17-28: Second-round budget meetings
Page 6 of 6
Wednesday, May 17: Budget 101 with Council
May 19: Comment period on budget document closes
June 7: First budget hearing and workshop with Council
June 14: Final budget hearing with Council and adoption (tentative)
Discussion: At the June 7th City Council meeting, Staff will provide the latest status report on issues
related to the operation of the sanitary sewer system.
Mediation: Representatives of the City of Ukiah and the Ukiah Valley Sanitation District participated in
the first day of mediation on May 11, 2017. They have agreed to continue efforts to mediate a resolution
of the litigation between them. The City and District are presently coordinating with the mediator the
scheduling for the second day for mediation. Because of the confidential nature of mediations, the
parties cannot reveal any further information about the mediation. If the representatives of the City and
the District agree on a proposed resolution of the disputes, the terms will become public, when the
District Board and City Council consider whether to approve it.
Budgets and Recycled Water Project: The City of Ukiah continues to seek cooperation from the UVSD to
jointly approve the FY 16-17 budget, and review the recycled water project. The City has also sought
input and engagement on how/when the District would prefer to coordinate the development and joint
review of the FY 17-18 budget. Correspondence has been sent to the District detailing the budget
development schedule and budget related items on the City Council’s agenda. The District held their
normal meeting in May, but did not discuss or provide any direction related to the City’s request to meet
on these matters.
The Council may elect to discuss the matter further and, if desired, provide direction to Staff and/or
consider any related action(s). As part of this agenda item, the Council does not intend to consult with
legal counsel regarding the litigation itself and does not intend to waive evidentiary privileges for attorney-
client communication or attorney work product.
Agenda Item 5a
CITY OF UKIAH
CITY COUNCIL MINUTES
Regular Meeting
CIVIC CENTER COUNCIL CHAMBERS
300 Seminary Avenue
Ukiah, CA 95482
May 17, 2017
6:00 p.m.
1. ROLL CALL
2. PLEDGE OF ALLEGIANCE
Ukiah City Council met at a Regular Meeting on May 17, 2017, having been legally noticed on May
12, 2017. Mayor Brown called the meeting to order at 6:00 p.m. Roll was taken with the following
Councilmembers Present: Stephen G. Scalmanini, Douglas F. Crane, Maureen Mulheren, Kevin
Doble, and Jim O. Brown. Staff Present: Sage Sangiacomo, City Manager; David Rapport, City
Attorney; and Kristine Lawler, City Clerk.
MAYOR BROWN PRESIDING.
The Pledge of Allegiance was led by Phil Baldwin.
3. PROCLAMATIONS/INTRODUCTIONS/PRESENTATIONS
a. Presentation on 9th Annual Ukiah Airport Day, June 3, 2017.
Presenter: Greg Owen, Airport Manager.
Presentation was received.
b. Status Report, Discussion and Possible Action Regarding the Ukiah Valley Sanitation
District’s Litigation Against the City of Ukiah Related to the Operation of the Sanitary
Sewer System.
Presenter: Sage Sangiacomo, City Manager.
Presentation was received.
4. PETITIONS AND COMMUNICATIONS
5. APPROVAL OF MINUTES
a. Minutes of May 3, 2017, a Special Meeting.
Motion/Second: Scalmanini/Doble to approve Minutes of May 3, 2017, a Special Meeting, with the
administrative correction to the heading. Motion carried by the following roll call votes: AYES:
Scalmanini, Crane, Mulheren, Doble, and Brown. NOES: None. ABSENT: None. ABSTAIN: None.
b. Minutes of May 3, 2017, a Regular Meeting.
Motion/Second: Mulheren/Doble to approve Minutes of May 3, 2017, a Regular Meeting, as
submitted. Motion carried by the following roll call votes: AYES: Scalmanini, Crane, Mulheren,
Doble, and Brown. NOES: None. ABSENT: None. ABSTAIN: None.
6. RIGHT TO APPEAL DECISION
City Council Minutes for May 17, 2017, Continued:
7. CONSENT CALENDAR
a. Approval of Disbursements for the Month of April – Finance.
b. Approve and Authorize the Mayor to Sign the Endorsement Form for the Draft County
Broadband Goals and Strategies – Administration.
c. Receive a Report Regarding a Contract (COU No. 1617-197) with Marcus H. Bole &
Associates for CEQA Services for the Rural Communities Housing Development Corporation
(RCHDC) Affordable Housing Project at 237 E. Gobbi Street in the Amount of $12,650 –
Community Development and Planning.
d. Council to Consider Awarding the Purchase of One New 2017 Toyota Camry Hybrid SE Per
Specification #E35772 to Thurston Auto Plaza of Ukiah for General Government Services in
the Total Amount of $29,200.00 Including Tax and Delivery Charges and Corresponding
Budget Amendment – Community Services. – Pulled by Councilmember Scalmanini and
placed as Agenda Item 13b.
e. Council to Consider Awarding the Purchase (PO 44774) of One New 2017 Chrysler Pacifica
Touring per Specification #E35771, to Thurston Chrysler Dodge Jeep Ram of Ukiah, for
General Government Services in the Total Amount of $30,646.10 and Corresponding Budget
Amendment – Community Services.
f. Notification of Acquisition of Professional Services (PO 44599-01) from Telstar, Inc. in the
Amount of $22,192 for Scada System Upgrades and Maintenance at the Water Treatment
Plant – Water and Sewer.
g. Approval of Purchase (PO 44777) of an Online Nitrate and Ammonia Analyzer from the Hach
Company in the Amount of $42,869 Plus Applicable Tax for the Wastewater Treatment Plant –
Water and Sewer.
h. Award Purchase (PO 44776) of One New 2017 Ford F-450-Xl with Standard Cab and Chassis
and Scelzi Service Body per Specification #E35767 to Redwood Ford of Ukiah for the Fleet
Maintenance Division of Public Works in the Total Amount of $113,780.81 Including Tax and
Delivery Charges – Public Works.
i. Authorize City Manager to Negotiate and Execute Memorandum of Understanding (COU No.
1617-205) with Ukiah Valley Medical Center to Allow Participation in 340b Program, a
Charitable Drug Discount Program – Administration.
Motion/Second: Doble/Scalmanini to approve to Approve Consent Calendar Items 7a – c and e - i,
as submitted. Motion carried by the following roll call votes: AYES: Scalmanini, Crane, Mulheren,
Doble, and Brown. NOES: None. ABSENT: None. ABSTAIN: None.
8. AUDIENCE COMMENTS ON NON-AGENDA ITEMS
Public Comment: Phil Baldwin
9. COUNCIL REPORTS
Presenter: Councilmember Scalmanini.
10. CITY MANAGER/CITY CLERK REPORTS
Presenters: Sage Sangiacomo, City Manager; David Rapport, City Attorney; and Tim Eriksen,
Public Works Director / City Engineer.
11. PUBLIC HEARINGS (6:15 PM)
City Council Minutes for May 17, 2017, Continued:
a. Annual Review of Community Services Department Fees.
Presenter: Tami Bartolomei, Community Services Administrator; Kerry Randall, Facilities
Supervisor; and Jake Burgess, Recreation Supervisor.
PUBLIC HEARING WAS OPENED AT 6:56 P.M.
No public comment was received.
PUBLIC HEARING WAS CLOSED AT 6:56 P.M.
Motion/Second: Mulheren/Doble to approve the recommended fee schedule for the Community
Services Department with the change to the three rooms at the Conference Center to include a
non-profit discount rate of $175. Motion carried by the following roll call votes: AYES: Scalmanini,
Crane, Mulheren, Doble, and Brown. NOES: None. ABSENT: None. ABSTAIN: None.
12. UNFINISHED BUSINESS
a. Approval of Change Order to Argonaut Constructors in the Amount of $689,009.30 for
Additional Work Requested by the City and Related to the 2016 Sewer and Water Main
Replacement Project, Specification No. 16-10, and Corresponding Budget Amendment.
Presenters: Tim Eriksen, Public Works Director / City Engineer and Jarod Thiele, Public Works
Management Analyst.
Motion/Second: Crane/Doble to approve Change Order to Argonaut Constructors in the amount of
$689,009.30 for additional work related to the 2016 Sewer and Water Main Replacement Project,
Specification 16-10, and approval of corresponding budget amendment. Motion carried by the
following roll call votes: AYES: Scalmanini, Crane, Mulheren, Doble, and Brown. NOES: None.
ABSENT: None. ABSTAIN: None.
RECESS: 7:05 – 7:17 P.M.
13. NEW BUSINESS
a. Budget 101 Presentation and Discussion of Budget Document Draft Template for the
2017-18 Fiscal Year.
Presenter: Dan Buffalo, Finance Director and Daphine Harris, Finance Management Analyst.
Presentation was received.
b. Council to Consider Awarding the Purchase of One New 2017 Toyota Camry Hybrid SE
Per Specification #E35772 to Thurston Auto Plaza of Ukiah for General Government
Services in the Total Amount of $29,200.00 Including Tax and Delivery Charges and
Corresponding Budget Amendment – Community Services – From Consent Calendar Item
7d.
Presenters: Tami Bartolomei, Community Services Administrator and Dave Kirch, Lead
Equipment Mechanic.
Motion/Second: Mulheren/Doble to approve the purchase (PO 44775) of one new 2017 Toyota
Camry Hybrid SE per specification #E35772 to Thurston Auto Plaza of Ukiah for General Use in
the total amount of $29,200.00 and corresponding budget amendment of 29,200.00 from
Equipment Reserve fund to Machinery and Equipment fund. Motion carried by the following roll
call votes: AYES: Scalmanini, Crane, Mulheren, Doble, and Brown. NOES: None. ABSENT: None.
ABSTAIN: None.
THE CITY COUNCIL ADJOURNED TO CLOSED SESSION AT 9:23 P.M.
City Council Minutes for May 17, 2017, Continued:
14. CLOSED SESSION
a. Conference with Legal Counsel – Existing Litigation
(Cal. Gov’t Code Section 54956.9(d)(1))
Name of case: City of Ukiah v. Questex, LTD, et al, Mendocino County Superior Court, Case
No. SCUK- CVPT-15-66036 (Palace Hotel)
b. Conference with Legal Counsel – Existing Litigation
(Government Code Section 54956.9(d)(1))
Name of case: Ukiah Valley Sanitation District v. City of Ukiah, Sonoma County Superior
Court, Case No. SCV 256737 (UVSD)
c. Conference with Legal Counsel – Existing Litigation
(Cal. Gov’t Code Section 54956.9(d)(1))
Name of case: Howard Jarvis Taxpayers Assn., et al. v. City of Ukiah, Mendocino County
Superior Court, Case No. SCUK-CVG-17-68588 (Measure Y and Z)
d. Conference with Real Property Negotiators
(Cal. Gov’t Code Section 54956.8)
Property: 429 South Dora St. Ukiah, CA 95482
Negotiator: Sage Sangiacomo, City Manager; Negotiating Parties: City of Ukiah and Ukiah
Unified School District; Under Negotiation: Price & Terms of Payment
15. ADJOURNMENT
There being no further business, the meeting adjourned at 10:15 p.m.
________________________________
Kristine Lawler, City Clerk
ATTACHMENT 1
ATTACHMENT 2
ATTACHMENT 3
1
1
RESOLUTION NO. 2001 - 30
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
UKIAH ESTABLISHING A RECORDS RETENTION SCHEDULE
WHEREAS, Sections 34090 and 34090.5 of the Government Code of the State of
California provide for the disposition of public records; and
WHEREAS, Section 34090.7 of the Government Code of the State of California
provides for the destruction of duplicate records that are no longer needed for reference,
and in a manner prescribed by the legislative body of the City; and
WHEREAS, each records series title contained in the Records Retention Schedule
has been examined and approved for retention or destruction by the City Attorney, City
Manager, and City Clerk who is the administrator responsible for Records Management;
WHEREAS, a Records Retention Schedule was adopted by the City Council on
November 7, 1979 as Resolution No. 80 -23; and
WHEREAS, these revised Records Retention Schedules reflect more clearly
defined operational requirements.
NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of Ukiah
does hereby resolve that the attached Records Retention Schedule is hereby adopted and
supercedes that Records Retention Schedule adopted by Resolution 80 -23. The City
Clerk is directed to supervise and implement the amended schedule.
PASSED AND ADOPTED this 1St
day of November 2000, by the following roll call
vote.
AYES: Councilmembers Smith, Baldwin, Ashiku, and Mayor Mastin.
NOES: None.
ABSENT: Councilmember Libby.
ABSTAIN: None.
TTEST:
Marie Ulvila, City Clerk
ATTACHMENT 1
CITY OF UKIAH
RECORDS RETENTION GUIDELINES
NOVEMBER 1,2000
1
1
1
LEGEND
Records Retention
AC = Active
AD = Adoption
AU = Audit
CL Closed/Completion
CU Current Ye 'r
D.O.B. = Date of Birth
E = Election
L = Life
P = Permanent
S = Supersede
T = Termination
1
CITATIONS
B & P Business and Professions
CCP — Code of Civil Procedure
CCR — Code of California
CEQA — California Environmental
Quality Act
CFR — Code of Federal Regulations
EC — Election Code
FMLA -- Family & Medical Leave
Act, 1993
GC — Government Code
H & S — Health & Safety
HUD — Housing & Urban
Development
OSHA — Occupational Safety
Health Act
PC — Penal Code
POST — Police Officers
Standards Training
UFC -- Uniform Fire Code
USC — United States Code
WIC — Welfare & Institutions
Code
1
1
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
EFFECTIVE: NOVEMBER 1, 2000
Record Series Title Retention Citation Descriptor
A LMINISTRATION
Bonds
Development
CL + 10 CCP 337.5 Housing; Industrial Development
Security CL + 2 GC34090 Documentation created and /or
received in connection with the
performance of work/services for the
city, or for parcel maps and subdivision
work
Budget, Proposed CU +2 GC34090 Presented to Council
Adopted P GC34090 Annual operating budget approved by
Legislative Body
Drawings, Project Plan CL + 2 CG34090a Does not include those usually filed
with case or project
GENERAL
Correspondence CU +3 GC 34090(d) If not attached to agreement or project
file
General Subject Files CU + 3 GC 34090d Internal working files including
correspondence for projects
Goals and Objectives CU +2 GC 34090 Departmental goals & objectives
Policies & Procedures, Departmental S +5 GC 34090(d) Retain while current
Promotional Marketing CU +7
Reports
Departmental CU +3 GC 34090 Special /or final summary, review or
evaluation
Staff CU +3 GC 34090 Non - agenda related, includes
supporting documentation
Special Projects CL + 2 GC 34090
Support Services CU +2 GC 34090 Reproduction; printing; postal /mailing
services, other internal resources
1
r 1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
EFFECTIVE: NOVEMBER 1, 2000
Record Series Title Retention
Grants, Communitj
Includes CDBG)
Federal and State
Financial Reports
Unsuccessful
Urban Development T +5
T +5
Citation
24CFR
570.502(b)
3); 241 CFR
85.42 & OMB
Cir. A -110,
Attach. C;*
T +5
CL + 2
HOUSING
Bonds
Programs
INFORMATION SERVICES
CL + 4
CL + 3
Internet, World Wide Web S +3
Inventory, Information Systems
Network Informatio
LAN/WAN)
S +3
n Systems S +4
2
GC 34090
GC 34090
GC 34090
CCP 337
23 CFR
570.502(b) (3);
34 CFR 85.42
OMB Cir. A-
110, #C
GC 34090
GC 34090
1
Descriptor
Project files, applications, contracts,
proposals, statements, reports, sub -
recipient dockets, Environmental
Review, grant documents, applications,
inventory, consolidated plan, etc.
Includes Section 108 loan guarantee
OMB Cir. A -102 & 128, HUD
regulations
Refer to grant application close -out
procedure
Refer to grant application close -out
procedure
Applications not awarded /funded
Revenue Bond Documentation
Includes comprehensive Housing
Authority Strategy, Meeting Credit
Certificate, Housing bond advisory,
HOME, In -Lieu Housing Mitigation,
Low/Moderate Housing, Rental
Housing Assistance
Management/Policies and supporting
documentation
GC 34090;
CCP 337.2;
343
Hardware /Software Inventory logs;
systems manuals
Configuration maps and plans
1
1
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
EFFECTIVE: NOVEMBER 1, 2000
ecord.Series Title Reten ort Citation Descriptor
Program Files and
Directories
CU +2
CU + (2
mos.)
CU + 1
CU +.5
GC 34090;
GC 34090.7
Annual backup
Daily backup
Monthly backup
Weekly backup
Tapes Information Systems CU +2 GC 34090 System Generation
LEGAL%LEGISLATIVE
Agendas CU +2 GC 34090 Original agendas and special meeting
notices, including certificates of posting,
original summaries, original
communications and action agendas
for Council, Boards and Commissions
Agenda Reports (Master, Subject Files) CU +2 GC 34090 (d) Documentation received, created
and /or submitted to Council
Liens, Law Suits
Logs, Attorney Service Request CU +2 GC 34090 Service request, summaries of monthly
requests
Minutes P GC 34090 (d);
GC 36814;
GC 40801
Official minutes and hearing
proceedings of governing body or
board, commission or committee
Notices, Meeting CU +2 GC 34090.7,
54960.1(c)(1)
Special Meetings
Opinions S +2 GC 34090;
GC6254
Confidential & Public
POLICIES /PROCEDURES
General Administrative S +2 GC 34090;
40801
All city policies and procedures
Policy: Council Proclamations/Directives S +2 GC 34090 Policies, directives rendered by Council
not assigned a resolution or ordinance
number
3
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
EFFECTIVE: NOVEMBER 1, 2000
ecord Series Title
PROPERTY
Acquisition /Appraisals/Disposition
Annexation Case Files
Appraisals
PUBLIC'; FINANCING
AUTHOR[
Administration
Financial Records
Management Reports
BLIC fNFORMATION
Retention
CL+ 10
P
CL + 2
P
P
P
Citation Descriptor .
GC34090a;
GC6254
Supporting documents regarding sale,
purchase, exchange, lease or rental of
property by City, until final acquisition or
contract agreement obtained
GC 34090a;
GC6254
Reports, Agreement and Public
Notices
GC 34090;
GC6254(h)
Exempt until final acquisition or
contract agreement obtained
GC 34090
GC 34090,
40802, 53901
GC 34090
Brochures, publications, newsletter,
bulletins
Calendar, City
Media Relations
RISK MANAGEMENT
Accident Reports - Copies & regarding
City Assets
Bonds, Insurance
S +3
CU +2
CU +2
GC 34090
GC 34090
GC 34090 Includes cable, newspaper, radio,
message boards, presentations
CL + 7
P
4
29 CFR
1904.2; 29;*
CCP 337.2;
343
Memos and working documents,
reports and related records
CFR1904.6
Bonds and insurance policies insuring
city property and other assets
1
1
1
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
EFFECTIVE: NOVEMBER 1, 2000
Record`Series Title- Retention Citation Descriptor
Claims, Damage CL + 5 GC 34090;
GC25105.5
Paid/Denied; Includes photographs,
negatives, film, etc.
Incident Reports CL + 7 29 CFR
1904.2; 29
CFR 1904.6
Theft, arson, vandalism, property
damage or similar occurrence
excluding fire/law enforcement)
Insurance, ACCELJT Powers Agreement CL + 7 GC 34090 Authority California Cities Excess
Liability Insurance) -B Accreditation/
MOU's /agreement/agendas
Insurance, Certificates & Policies P GC 34090 Insurance certificates filed separately
from contracts, includes insurance filed
by licensees, REMIF insurance
documents
Insurance, Liability/Property P GC 34090 May include liability, property,
Certificates of Participation, deferred,
use of facilities
Risk Management Reports CL + 5 OMB 1220-
0029; 29
CFR1904.4
GC34090
Federal OSHA Forms; Loss Analysis
Report; Safety Reports; Actuarial
Studies
KIAH REDEVELOPMENT
AGENCY
Agendas, Minutes, Resolutions P GC 34090
Redevelopment: Budgets P GC 34090,
40802, 53901
Includes annual audit
Bond Issues P GC 43900 et
seq.
Includes annual audit
5
CITY OF UKIAH RECORDS RETENTION GUIDELINES
AIRPORT
EFFECTIVE: November 1, 2000
Record Series Title: Retention Citation Descriptor
ADMINISTRATION
Agreements T +4 CCP 337 Including concessionaire, slip rental,
facility storage
Airport Certification P 14 CFR
139.207b &
171.13- 17.213
Federal Aviation Administration (FAA)
required manuals, licenses
Airport Noise Monitoring and Complaint CU + 10 Correspondence, Airport Master Plan,
studies, memos, reports, log books,
documents related to assessment of
noise levels at airports and resolution
of complaints
Applications - Special Events CU + 2 GC 34090 Permits, correspondence, related
documents regarding use of rights of
way
Correspondence CU + 2 GC 34090d Working documentation if not attached
to agreement or project file
Fueling AU + 3 CCP 337 Meter readings, fuel consumption
reports, invoices, receipts and records
pertaining to refueling operations
Inspection, Runway CU + 10 Maintenance including inspection
reports, work orders and related
records, grant programs
Inventory, Equipment Parts & Supplies L + 2 Includes vehicles, aircraft and related
documents regarding repairs
Maintenance, FAA P 14 CFR
171.13-
171.213
Forms and reports required by FAA
including Forms FAA -198, -418, -6030-
1, - 6790 -4
Reports
Accident and Incident Aircraft) CL + 8 Accidents, injuries, property damages,
general conditions regarding pilot and
aircraft
Airport Operational Regulatory) P Annual and special reports to federal
and state regulatory agencies
Airport Operational Administrative) CU + 2 Logs, statistical summaries;
administrative records, scheduling
1
1
1
1
1
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
AIRPORT
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Weed Abatement CL + 2 GC34090 Reports, assessments, resolutions,
documentation
NOTAM (Notice to Airmen) CU +3 Reports re: conditions affecting airport
maintenance /operations
2
Bids & Proposals (l
Administration /Cam
Statements and Cor
disclosur
CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
EFFECTIVE: November 1, 2000
Record Series` Title
ADMINISTRATION
nsuccessful)
Contractor
Correspondence
Franchises
General Subject Files
ELECTIONS
Affidavit Index
Calendar
Canvass
Certificates of Election
Charter: Amendments/Measures
Fair Political Practices
paign
flict of Interest
Retention Citation
CU +2
CU +2
P
CU +2
GC34090d
Descriptor
GC34090d Current Qualified Contractors List
GC34090d Working documentation
GC65864,
65869.5,
34090*
Including subdivision agreements,
contracts for sale or purchase of
property, cable, grant of easements
and /or involving construction of
improvements
CCP 337.2, 343; AC16023
re, ElectedCampaigndisclosur
e, Not Elected
E +2
P
T +4
P
CU +5
P
E +5
1
GC34090d Internal working files including
correspondence
EC17001
GC34090
GC22932;
EC 17130;
EC 2653
Notifications and Publication of
Election; Records used to compile final
election results, including tally sheets,
voting machine tabulation, detailed
breakdown of results; special election
results
CG 81009(a)
d)
Certificates of election; Original reports
and statements
GC34458 -60;
GC34090
Chapter designations by Secretary of
State following adoption of voters
FPPC Opinions
GC81009
b)(g)
FPPC Filings
GC81009
b)
FPPC Filings
1 CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
EFFECTIVE: November 1, 2000
ecord Series Tifle!
Campaign disclosure -
Unsuccessful (all other
Committees)
Candidate Statements
History
Statement ofk-conomic
Interest - Elected Officials
Statement of Economic
Interest - Not Elected
Lobbyist Registration
Nomination Papers
Successful
Unsuccessful
Notifications and Publications
Oaths of Office
Retention';
E +7
E +4
P
T +7
E +5
P
E +4
E +4
E +2
Petitions
Precinct Records
T +6
GC81009
GC34090
GC81009
e)
GC81009
b)
EC81009 (b)
EC17100
GC81009 (b)
GC34090
75
E + .5
GC34090;
29 USC 1113
escriptor!;
FPPC Filings
Sample ballot retained permanently
History of elections, sample ballots,
certificates of destruction, other
resolutions re: elections
FPPC Filings
FPPC Filings
Statements
Proof of publication or posting,
certification and listing of notice of
posting; copy of newspaper notice and
certification of offices to be voted for at
forthcoming election
EC17200,
17400;
GC7253.5;
EC14700 +
GC3756:8
EC 17503
Elected Officials
From date of filing or election; Initiative,
referendum, recall, Charter
Amendments
From date of election: Declaration of
intention
P Biographies, City Seal,
Commendations
2
CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
EFFECTIVE: November 1, 2000
Record; Senes TiE(e Retention itatt( escriptor
LEGAL/LEGISLATIVE
Appeals, Civil CU + 3 CCP
583.320(a)( 3);
GC34090
Applications, Boards, Commissions,
Committees
CL + 2 GC34090 Not selected
Applications, Boards, Commissions,
Committees
T +5 GC34090;
GC40801
Selected
Articles of Incorporation P GC34090; CCP
3372
Case Log CL + 7 CCP 337.2;
343
From Close of cases listed;
Chronological listing of cases
Case Records - (High Profile) P GC 6254 Significant cases which have
importance /or set legal precedence.
Includes logs, complaints, police
reports, court orders, motions, notes,
briefs
Case Records - P 42 USC s1983 Includes Togs, complaints, police
reports, court orders, motions, notes,
briefs, closing statements (unless
minors - 3 years after attaining 18)
Contracts and Agreements
Excluding Capital
Improvement
T +5 CCP 337.2,
343; B &P
7042.5;'
Includes leases, equipment, services or
supplies
PU7685; 48 CFR:2; GC53066
Including Capital Improvement P Construction
GC37090a; 4004; H &S 19850
Legal Advertising CU +4 CCP 343, 349
et seq.;
GC911.2;
GC34090
Includes public notices, legal
publications
Minutes P GC34090 (d);
GC36814;
GC40801
Official minutes and hearing
proceedings of governing body or
board, commission or committee
Notices, Meeting CU +2 GC34090.7,
54960.1(c) (1)
Special Meetings
Ordinances P GC34090(d);
40806
Charter amendments; municipal code
3
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
EFFECTIVE: November 1, 2000
record Series Title Retention Citation'
Petitions CU + 1 GC50115;
GC6253
Descriptor
Submitted to legislative bodies
Proclamations - General CU +5 General Proclamations
Resolutions P GC34090(d);
40801
Legislative actions
Tapes, Audio/Video CU +3mos. GC34090.7 When used for minute preparation and
may have historical value
MUNICIPAL CLERK
Assessment Districts P GC34090 Original documentation
Inventory, Records CU +2 GC34090; 80
OPS Atty. Gen.
106
Inventory of non - current or inactive
records holdings and location, indices.
Tapes may be recycled.
Municipal Code P GC34090 Supplements included
Public Records Request CL + 2 GC34090
Records Management CL + 2 GC34090 Document includes retrieval, transfers -
inactive
Records Management Disposition
Certification
P GC34090 Documentation of final disposition or
records
Records Retention Schedules S +4 CCP 343
PROPERTY
Acquisition/Disposition CL +10 GC34090a;
GC6254
Supporting documents re: sale,
purchase, exchange, lease or rental of
property by City
Appraisals CL + 2 GC34090;
GC6254(h)
Exempt until final acquisition or
contract agreement obtained
Deeds & Promissory Notes P GC34090a* 24 CFR 570.502(b)(3); 24 CFR 8.42 &
OMB Circ. SA -110
Lease Agreements P Ukiah Conference Center, Ukiah
Regional Airport, and all other City
properties
4
CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
RISK MANAGEMENT
Claims, Damage CL + 5 GC34090;
GC25105.5
Paid/Denied
5
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
COMMUNITY SERVICES
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Capital Improvements, Construction P GC34090a;
4004; H &S
19850;
GC34090
Contains records regarding planning,
design, construction, conversion or
modification of local government -owned
facilities, structures & systems
Correspondence /Originating Department CU +2 GC34090d Working documentation if not attached
to agreement or project file
Grants
Minutes & Agendas: Airport Commission;
Parks, Recreation and Golf Commission
P GC34090
COMMUNITY SERVICES
Libraries CU +2 CG 34090 Books, art, gifts, donations, exhibits,
theater, music, special events, etc.
Plaques P Historic value
Sports Organizations S +2
MUNICIPAL FACILITIES
Capital Improvements, Construction P GC34090a;
4004; H &S
19850;
GC34090
Contains records regarding planning,
design, construction, conversion or
modification of local government -owned
facilities, structures & systems
Facility Rentals/Use CU +2 GC 34090 Permits, contracts, diagrams,
schedules, insurance binders
Golf Course
Maintenance & Operations CU + 2 GC34090d Service requests, invoices, supporting
documentation; buildings, equipment,
field engineering, public facilities
including work orders and graffiti
removal
Inventory, Equipment AU +2 CG34090 Warranties, purchase orders
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
COMMUNITY SERVICES
EFFECTIVE: November 1, 2000
Record Series Title::: Retentioti Citation DescrPtoc:
Landscape CU +2 GC34090 Drawings, contracts, complaints,
specifications, photos, reports
Maintenance & Operations CU +2 GC 34090d Service requests, invoices, supporting
documentation; buildings, equipment,
field engineering, public facilities
including work orders and graffiti
removal
Maps P GC34090
Photographs S +2 GC34090
Plans, Proposed CU +2 GC34090 Future plans, new sites, expansions
Policies and Procedures S +2 GC34090 Includes rules and regulations
Museum CU +2 GC34090 Books, art, gifts, donations, exhibits,
theater, music, special events, etc.
Parking! Districts
Landscaping & Maintenance CU +2 GC 34090
PARKS AND RECREATION
Inventory, Equipment AU +2 CG34090 Warranties, purchase orders
Landscape CU +2 GC34090 Drawings, contracts, complaints,
specifications, photos, reports
Maintenance /Operations CU +2 GC34090 Includes work orders, inspection,
repairs, cleaning, reports, complaints
Maps P GC34090 Irrigation, plot plans, landscaping plans
Parades & Special Events, etc. CL + 2 GC 34091 Reports, memos, correspondence,
scripts, supplier information,
assignments, deployments, supporting
documentation
Photographs S +2 GC34090
Hans, Proposed CU +2 GC34090 Future plans, new sites, expansions
Plaques - Parks P Historical value
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
COMMUNITY SERVICES
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation. escriptor:>
Policies and Procedures S +2 GC34090 Includes rules and regulations
Railroad Right -of -way CL + 3 36 CFR
64.11
Land acquisitions, correspondence,
improvements, statutory records
Reports: Accident CL + 2 CG34090 Patrons, employees
Others CL + 2 CG34090
Studies CL + 2 CG34090 Future sites, expansions
Schedules, Classes & Events CU +2 CG34090 Enrollment, liability releases, evaluations
Sports Organizations S +2
Liability Insurance Forms CU +2
UKIAH VALLEY CONFERENCE
CENTER
Brochures
Inventory, Equipment AU +2 CG34090 Warranties, purchase orders
Policies & Procedures S +2 GC 34090 Includes rules & regulations
Schedules, Classes, Events and
3
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
ACCOUNTING
Assessment Districts P GC34090 Collection information
Bank Reconciliations /Statements AU + 5 GC34090;
26 CFR
16001 -1
Statements, summaries for receipts,
disbursements & reconciliations,
cleared checks
Bankruptcy Files CL + 7
Budget AU + 2 GC34090
Budget Adjustments, journal Entries AU + 2 GC34090 Account transfers
Checks AU + 5 GC34090;
CCP 337
Includes payroll, canceled & voided
checks
Financial Statements AU + 4 Monthly Financial Statements which
include Income, Expense, Balance
Sheets and Cash Reports
Journals
Appropriation & Expenditures 10
Utility Billing CU + 2 GC34090 Billing including monthly activity
Vouchers 10 Consists of the General Journals with
supporting documentation
Ledger, General P GC34090; * CCP 337; Detail which shows the
posting of Journals
Voucher AU + 4 GC34090;
CCP 337
Account postings with supporting
documents
Misc. Billings - AU + 2 Hard copy
Taxes, Receivable AU + 3 CCP 338 TOT, Property, Sales, etc.
ACCOUNTS PAYABLE
Accounts Payable AU + 4 CG34090 Invoices, check copies, supporting
documents
Travel Records CU + 2 GC 34090
Vehicle Mileage Reimbursement Rates S + 2 GC34090 Annual mileage reimbursement rates
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1 CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title> Retention Citt On s Descriptor;;
Warrants Paid AU +5
Warrant Register AU +2 GC 34090.7
ACCOUNTS RECEIVABLE
Accounts Receivable AU +2 GC34090
Airport Billing Charges AU +2 Includes Misc. Billing
Airport Payment Book AU +2
Applications CL + 2 GC34090 Utility connections, disconnects,
registers, service
Bad Debt Write -Off 7
Billing Edit Lists Shows the detail of utility payment
activity.
Closed Purchase Orders AU +4 Copies
Paid Documents AU +4 Invoices
Reports Check register, reports from weekly
runs
Report of Disbursements AU +4 Sealed, permanent copy & Finance
Director approved
Billing Records AU +2 GC34090 Customer name, service address,
meter reading, usage, payments,
applications/ cancellations
Cash Receipts Edit List AU +2 Shows the detail of counter receipts
being posted to the General Ledger
Cash Receipt Register AU +4 Cashier balancing
Cash Receipt Stubs AU +4 Daily packets from the front counter -
Cash Receipts
Deposits, Receipts, Customer receipts AU +4 GC34090;
CCP 337
Checks, coins, currency
Dump Charge Tags
Dump Misc. Billing
AU +2
A U + 2
Emergency Response - Billing AU + 4
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title1 Retention Citation escriptor
Emergency Response - Paid AU +4
Financial Statements AU +4 Monthly Financial Statements which
include Income, Expense, Balance
Sheets and Cash Reports
Invoices AU +2 GC34090 Copies sent for fees owed, billing,
related documents
Misc. Billings AU +2 Hard copy
ADMINISTRATIVE SERVICES
Agreements T +4 CCP 337 Including concessionaire, facility
storage
Applications
Aircraft Storage
Parking
Bonds CL + 4 CCP 337 Revenue Bond Documentation
Development CL + 10 CCP 337.5 Housing; Industrial Development
Security CL + 2 GC34090 Documentation created and /or
received in connection with the
performance of work/services for the
city, or for parcel maps and subdivision
work
Budget Operating (copies) S GC34090 Departmental Reference
Correspondence CU +2 GC34090d Working documentation if not attached
to agreement or project file
Grants, Community/Urban Development
Includes CDBG)
CL + 4 24CFR
570.502(b)
3); 241CFR
85.42 & OMB
Cir. A -110,
Attach. C;'
Project files, contracts, proposals,
statements, reports, sub - recipient
dockets, Environmental Review, grant
documents, applications, inventory,
consolidated plan, etc. Includes
Section 108 loan guarantee `OMB Cir.
A -102 & 128, HUD regulations
AIRPORT
Billing /Customer Receipts AU + 2 GC34090 Billings, correspondence, complaints
3
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation <'
Dailys' AU +4
lescriptor.
Daily sales, gallons and charges
Invoices AU +2 GC34090 Copies sent for fees owed, billing,
related documents
Jet Fuel Tax Return AU +4 Monthly
Rates S +2 GC34090
AUDIT
Annual Financial Report CL + 2 GC34090 Independent auditor analysis
Bonds CL + 10 GC34091;
CCP 337.5
Final bond documentation
Budget Operating (copies) S GC34090 Departmental Reference
Hearing or Review AU +2 GC34090;
OMB A -128
Documentation created and or
received in connection with an audit
hearing or review
Reports AU +4 GC34090;
OMB A -128
Internal and /or external
Reviews, Internal/External Periodic CU GC34090;
GC6250
Daily, weekly, monthly, quarterly or
other summary, review, evaluation, log,
lists, statistics, except a report
BUSINESS LICENSES
Billing, Adjustment, and Cash Registers T +5 GC34090;
CCP 337
Paid & reports
Closed business files T +5 GC34090;
CCP 337
License Register & Penalty Register T +5 GC34090;
CCP 337
Paid and reports
FIXED ASSETS
Fixed Asset Records L +4
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation escrptor
AU +4 GC34090;
26 CFR 301
65 -1(F)
Reflects purchase date, cost, account
number
Surplus Property: Auction AU +2 GC34090 Listing of property
Disposal AU +4 GC34090;
CCP 337
Sealed bid sales of equipment
Vehicle Ownership & Title L VC 9900 et Title transfers when vehicle sold
Billing /Customer Receipts AU +2 GC34090 Billings, correspondence, complaints
Invoices AU +2 GC34090 Copies sent for fees owed, billing,
related documents
Rates S +2 GC34090
RANTS
Community Development Block Grant &
Urban Development
T +4 GC34090; 24
CFR 570.502;
24 CFR
85.42`
Applications, reports, contracts,
supporting documents; `OMB Cir. A-
102, A -110, A -128
Federal and State CL + 5 GC 34090 Refer to grant application close -out
procedure
Financial Reports CL + 5 GC 34090 Refer to grant application close -out
procedure
Unsuccessful CL + 2 GC 34090 Applications not entitled
Billing /Customer Receipts AU +2 GC34090 Billings, correspondence, complaints
Collections CU +2 GC 34090 Daily Records, usage
Invoices AU + 2 GC34090 Copies sent for fees owed, billing,
related documents
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title. Retention Citation
Rates S +2 GC34090
escnptor
PARKING DISTRICT &
ENFORCEMENT
Applications for Permits CL + 2
Billing /Customer Receipts AU +2 GC34090 Billings, correspondence, complaints
Cash Posting Register AU +4
Citations /ckets CU +3
Invoices AU +2 GC34090 Copies sent for fees owed, billing,
related documents
Late Notice and DMV Lien Notice
Registers
CU + 3
Paid Parking Citations CU +3
Parking Permits CL + 2 GC34090
Rates S +2 GC34090
Summons 2
Tickets 3
PAYROLL
Adjustments AU +4 GC34090;
29 CFR
516.5 -516.6
Audit purposes
Benefit Distribution AU +6 Benefits employee received during pay
period
Calculation Totals AU +2 Pay period category information
Checks AU + 5 Copies of payroll checks
Check Register AU +2 GC 34090
CCP 337
Employee name and amount of check
6
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor . !'
Deferred Compensation T + 5 GC 34090;
26CFR
16001 -1'
Records of employee contributions and
City payments `29 CFR 1627.3(2)
Direct Deposit AU + 5
Employee Distribution 5 Employee payroll - detail to each
account number
Employee Time Sheets AU + 6 GC34090; 29
CFR 516.2*
Signed by employee for audit & FEMA
Reports
20 CFR 516.6(1); IRS Reg. 31.6001 -
1(e)(z); R &T 19530; LC 1174(d)
Feature Distribution 25 Separate all pay codes, ABT's and list
of employee per section
Federal & State Reports: Payroll AU + 4 GC 34090; 29
USC 436*
Interface to Financial AU + 2
Journals AU + 2
Labor Distribution AU + 2 GC 34090 Costs by employee and program
Ledgers AU + 6
PERS Employee Deduction Reports T + 4 GC34090;
22 CCR 1085-
2
Record of deductions
PERS Public Employee Retirement
System) *26CFR 31 .6001 -1; 29 CFR
516.5, 516.6, LC 1174(d)
PERS, Social Security, SSI P 29 CFR
1627.3(2);
GC12946,
34090
EEOC /ADEA
Productive -Non Productive Report CU + 1
Register P GC34090;
GC37207
Labor costs by employee & program
Salary Records T + 3 GC34090; 29
CFR 516.2
Deduction authorization, beneficiary
designations, unemployment claims,
garnishments
Vacation, Sick Leave Report CU + 1
Validation AU + 2
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1 CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title.::
Workman's Compensation
PUBLIC FINANCING
AUTHORITY
Administration
Retention
T +10
Citation Descriptor
Reports, working files
P
Financial Records P
Management Reports 2
GC34090
GC34090,
40802, 53901
GC34090
Bids, RFQ's, RFP's
Successful
Unsuccessful
Requisitions
Purchase Orders
Stores
Vendor Register
AU +4
AU + 5
CU +2
AU +4
CU + 2
P
GC34090;
CCP 337; *
GC34090;
CCP 337
GC34090
GC34090
Requests for Qualifications; Requests
for Proposals regarding goods and
services *GC25105 -1; GC34090
1 Original documents
Completed forms for ordering
Alpha vendor listing of purchase
orders, invoices, account numbers and
check date
REPORTS
Audits
Departmental
Federal and State Tax
Financial, Annual
Financial, Monthly
P
CU + 1
AU +4
AU + 7
AU + 7
GC34090
GC34090;
29USC 436*
GC34090.7
Forms 1096, 1099, W-4's and W -2's
26 CFR 31.6001.1 -4; IRS REG
31.6001- 1(e)(2); R &T 19530; 29 CFR
516.5 -516.6
8
Includes Income, Expense, Balance
sheets and Cash Reports
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
ecord Series.;
General Ledger
Retention Citation escriptor
P GC34090; CCP 337; Detail which shows the
posting of Journals
Investment Transactions P GC34090;
CCP 337;
GC 53607
Summary of transactions, inventory &
earnings report
State Controller P GC34090 Controller may destroy after 5 years
Statistics Report AU +4 Utility billing statistics
TREASURER
Bank Statements AU +2 FC 3368,
30210;
GC43900 et
seq.
Financing authority
Bonds
Trustee Statements Bond trustee statements
Account Statements CL + 10 GC34090;
CCP 337.5
Monthly statement of transactions,
Trustee Statements
Administration CL + 10 GC34090;
CCP 337.5
Supporting documents
Bonds and Coupons CL + 2 GC34090;
53921
Paid /canceled
Development CL + 2 CCP 337.5 Housing; Industrial Development
UTILITIES Electric, Water, Sewer
Accounts Receivable Control AU +4
Accounts Receivable Journals AU +4
Accounts Receivable Ledgers AU +4
Billing /Customer Records CU +2 GC34090 Billings, correspondence, complaints
Meter Books AU +4
Meter Operations CU +2 GC34090 Reader reports, orders
9
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Rates S +2 GC34090
Statistics Reports AU +4 Monthly report for utilities.
Utility Receipt Stubs AU +4
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
FIRE
EFFECTIVE: November 1, 2000
Record Series Title;
ADMINISTRATION '!
Books, Fire Code
Retention Citation Descriptor
S +3 GC34090.7
CCP 340.5
National Fire Code; include OPS
manuals
Correspondence CU +2 GC34090d Working documentation if not attached
to agreement or project file
General Orders, Policies/ Procedures S +2
Inspections, Fire Prevention CL + 3 UFC 103.34 Alarm /sprinkler systems, prevention
efforts
Investigations, Evidence Arson P PC 799 Support prosecution resulting in
homicide
Investigations, Evidence Arson CL + 6 PC 800 Great bodily harm, inhabited structure or
property
Journals, Fire Station CU +2 GC34090 Activities, personnel, engine company
Permits, Uniform Fire Code CL + 2 GC34090 Underground tank removal and
installation
CODE ENFORCEMENT!
Case Files CL + 2 GC 34090d Building, housing and mobile home
code violation records including
inspections; public nuisance, rubbish
and weed abatement, citations, general
EMERGENCY MANAGEMENT
Mutual Aid, Strategic Plans S +2 GC34090
HAZARDOUS MATERIALS
Hazardous Waste Disposal CU + 10 CAL OSHA;
40 CFR
122.21
Documentation regarding handling and
disposal of hazardous waste
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1 CITY OF UKIAH RECORDS RETENTION GUIDELINES
FIRE
EFFECTIVE: November 1, 2000
ecord Series Titre Retention. Citation Descriptor
Permits, Hazardous Materials Storage,
Confined space entry permits (OSHA)
CU +2 GC34090 Departments consistently recommend
permanent retention of environmentally
sensitive materials
Programs, Household Hazardous
Waste
S +2 GC34090
Training Materials S +2 CCR
1910.120
Manuals, materials, et.
ERSONNEL
Exposure T + 30 29 CFR
1910.1020
Sampling results; collection
methodology, background
Exposure T +1 29 CFR
1910. 1020
Laboratory reports and worksheets
Medical 7 + 30 29 CFR
1910.1020
Medical T +2 29 CFR
1910.1020;`
Employees Tess than one year
GC34090
Training T +2 GC34090 Certifications /designations
ApparatusNehicle CU +2 GC34090 Repair and Maintenance
8 CAL Code Reg. 3203(b(1)
Inventory, Equipment & Supplies CU +2 GC34090
Logs, Fire Equipment/Gear
Fire helmets
CU +2
CU +4
GC34090 Total of 5 years)
REPORTS
Incident CL + 3 GC34090
CCP338*
Dispatch and daily logs
CCP 340.5
Field, Non -fire and Logs CU +2 GC34090
Fire, Non -arson and Logs CU +2 GC34090
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
FIRE
EFFECTIVE: November 1, 2000
Record Series Title
Investigations, Evidence Arson
Retention Citation Descriptor
CL + 3 PC 801; PC
799; UFC
104.32
Structures, arson resulting in death(s),
and other reports required by the
National Fire Information Reporting
System (NFIRS) pertaining to
investigation
Patient Care Reports CU +7
Weed Abatement CL + 2 GC34090 Reports, assessments, resolutions,
documentation
3
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
PERSONNEL
EFFECTIVE: November 1, 2000
Record Series Title. Retention Citation Descriptor
GENERAL SUBJECT
Classifications and Appointments P GC34090;
GC12946; 29
CFR 516.6(2);
29 CFR 1602.4
Includes supplemental Personnel records.
Wage rate tables 2 years.
Correspondence CU + 2 GC34090d Working documentation if not attached to
agreement or project file
HUMAN RESOURCES
Benefit Plans P GC6250 et seq;
OMB A -129 29
CFR 1602.30;
32; Lab Rel
Sec 1174`
May include dental disability, education,
health, life and vision including dependent
care and Employee Assistance
29 CFR 1637.3; 29 USC 1027; 29 CFR
1627.3; 29 USC 1113
Bond, Personnel Fidelity T + 2 GC34090 Employee Fidelity Bonds
Employee Handbook S + 2 GC34090 General employee information including
benefit plans
Employee Programs CL + 2 GC34090;
GC12946
Includes EAP and Recognitions
Employee Rights
General Employees
Safety (Police)
T + 2
T + 2
GC12935; 29
CFR1602; 29
USC 211(e);
203(m); 207(g)
May include Arbitration, grievances, union
requests, sexual harassment and Civic
rights, complaints, disciplinary actions
Fingerprint - Application Files T + 2 GC34090 Paperwork authorizing fingerprinting and
background checks for city employment
applicants
Hourly Employees T + 6 CG12946;
GC34090*
29 CFR 1627.3, Labor Relations Section
1174
Immigrant Date of hire +
3
Immigration
Reform /Control
Act 1986 Pub.
L 99-603
I -9's
Insurance - Workers
Compensation
P GC 6410; 29
CFR 1910.20
Indemnity; PERS - working files - originals
with Administrator
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PERSONNEL
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation '< Descriptor
Medical leave CL + 30 FMLA 1993 US
OSHA; 29
CFR; *
May include family leave; certifications;
tests; W -4's, *29 CFR 1602.30.32; 49 CFR
193 -9
Motor Vehicle Pulls (DMV) CL + 7 GC12946, * CA 91009; 8 USC 1324(a)
Negotiation P 29 USC
Sections
211(c), 203(m),
207(g)
Notes, notebooks, correspondence,
contracts, and Memorandums of
Agreements
Non - Safety Employees T + 3 Reference: 29
CFR 1627.3;
CCR 1174; 29
CFR
1602.30.32;
GC6250 et seq;
29 CFR;
GC12946,
34090*
Non - safety employees may include:
Release Authorizations; Certifications;
Reassignments; outside employment;
commendations, disciplinary actions;
terminations; Oaths of Office; evaluations -
pre- employee medicals; fingerprints;
identification cards (ID's)
1607.4; 29 CFR 655.202; 29 CFR 516.6 et
seq; 45 CFR 1068.6(a)
Personnel Records (Supervisors) CU + 2 CG34090;
GC6250
Attendance; evaluations; drafts;
worksheets; postings
PERS, Social Security, SSI P 29 CFR
1627.3(2); GC
12946, 34090
EEOC /ADEA
Recruitment CL + 10 Reference:
GC12946;
GC6250 et seq;
29 CFR 1602
et seq 29 CFR
1607; 29 CFR
1627.3
Applications, resumes, alternate lists/logs,
indices; ethnicity disclosures; examination
materials; examination answer sheets, job
bulletins; eligibility; electronic database
Reports CU + 2 GC34090 Employee statistics, benefit activity; liability
loss
Safety Employees T + 5 Reference:
29 CFR 16273;
Labof Relations
Sec. 1174; 29
CFR 1607.4; *
Police, fire, emergency employees may
include; Release Authorizations;
Certifications Reassignments; outside
employment; commendations; disciplinary
actions; terminations; Oaths of Office;
evaluations -pre employee medicals *29
CFR 1602.30.32; 29 CFR 655.202; 29 CFR
516.6 et seq; 45 CFR 1068.6(a)
2
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
PERSONNEL
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Surveys and Studies CU +2 GC12946,
34090; 29 CFR
516.6( 2); 29
CFR 1602.14
Includes classification, wage rates
Training Records
Non -Safety
CU +7 GC6250 et seq Employee applications, volunteer program
training, class training materials, internships
Personnel (by name) T +7 GC34090 Paperwork documenting officers' internal
and external training
Safety CU +2 GC34090 Certifications/designations
Vehicle Mileage Reimbursement
Rates
S +2 CG34090 Annual mileage reimbursement rates -
Authorized by City Council
Workers Compensation P CCR 14311;
15400.2 Calif.
Labor Code
110 -139.6
Claim Files, Reports, Incidents (working
files) originals filed with Administrator
3
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PLANNING & BUILDING
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
ADMINISTRATION
Code Books P GC34090e National Electric Code, Uniform
building, Fire, Mechanical, Plumbing &
Supplements
Correspondence CU + 2 GC34090d Working documentation if not attached
to agreement or project file
Development Agreements P CCP337,
337.1(a),
337.15;
GC34090; 48
CFR 4.703
Infrastructure contracts, franchises.
Original maintained for 7 years.
Development Conditions L GC34090 Mitigation measures; filed with case
files
Development Standards P GC34090a Landscape mediums, parkway
landscape development, public works
construction
Drawings, Project Plan CU + 2 GC 34090d Does not include those usually filed
with case of project
General Subject Files CU + 2 GC34090d Internal working files including
correspondence
Historical Preservation Inventory 2 GC 34090d Historic structures and landmarks
Land Uses, nonconforming P GC34090a Building or site usage which does not
conform to current standards
Logs - Building & Planning Departments CU + 5 Logs, registers or similar records listing
permits, certificates of occupancy
issued; may include inspection, building
activity, daily, plan check, utility
Master Plans, Annual S + 2 GC34090 Special or long range program plan for
municipalities - coordination of
services; strategic planing
Permits, Construction P GC34090a;
H &S 19850;
4003; 4004
Plans, building, signs, grading,
encroachment, including blueprints and
specifications
1
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
PLANNING & BUILDING
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor!;
Permits, Other CL + 2 GC34090d Alterations, encroachment,
excavations, road, street sidewalks &
curb alterations, transportation,
swimming pool drainage, temporary
uses, etc.
Permits, Other CL + 2 GC34090d Alterations, encroachment,
excavations, road, street sidewalks &
curb alterations, transportation,
swimming pool drainage, temporary
uses, etc.
Photographs S + 2 GC34090d Aerial photographs
Projects, Not Completed or Denied CL + 2 GC34090d Building, engineering, planning
Reports CU + 2 GC34090 Periodic activity
Seismic Retrofit Program P GC34090a Includes Certificates of Compliance
Street Names and House Numbers P GC34090a Street dedications, closings, address
assignment/changes
Studies, Special Projects & Area CL + 2 GC34090d Planning & Building, joint powers,
noise, transportation
BUILDING
Blueprints, Specifications CL + 2 GC34090d Submitted by contractors with
application for permit and building for
Certificate of Occupancy
Certificates L GC34090a Compliance, elevation, occupancy
which affect real property
Construction (Approved) P GC34090a;
4003; 4004;
H &S 19850,
19853
New commercial and residential
construction, tenant improvements
room additions, spa, signs, block wall,
remodel including security bonds
Inspection CL + 2 GC34090d Correspondence, fees, appeal
requests, reports
Permits P GC34090a;
H &S 19850;
4003; 4004
Plans, building, sings, grading
2
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PLANNING & BUILDING
EFFECTIVE: November 1, 2000
Record Series Title.:; Retention Citation Descriptor
Signs (Temporary) S +2 GC34090d Home occupation, off - premise signs
CODE ENFORCEMENT
Case Files CL +2 GC 34090d Building, housing and mobile home
code violation records including
inspections; public nuisance
Liens & Releases,
Supporting
Recorded
CL + 2
P
GC 34090 Abatement, licenses
Logs CU +2 GC 34090d Lien Recovery, citations, complaints
Regulations S +2 GC 34090d Includes Rules
Reports - Federal and State P GC 34090a Code enforcement statistics; may
contain records affecting title to real
property or liens thereon
Violations, Building, Property & Zoning CL + 2 GC34090d Supporting code enforcement activity
ENVIRONMENTAL <`QUALITY. '<
Air Quality (AQMD) CU +7 CCP 338(k);
GC34090
Participantstvoucher logs, total Daily
Mileage Survey (TDM); various local
authorities; Commute Alternative
Asbestos P GC34090a Documents abatement projects, public
buildings (permitting through
Environmental Health Dept.)
California Environmental Quality Act
CEQA)
P GC34090a +
CEQA
Guidelines
Exemptions, Environmental Impact
Report, Mitigation monitoring, Negative
Declaration, Notices of Completion and
Determination, comments, Statements
of Overriding Consideration
Congestion Management Cu + 2 GC34090d Ride sharing, trip reduction
Environmental Review CL + 2 GC34090d Correspondence, consultants, issues,
conservation
Pest Control CU +2 GC34090d Pesticide applications, inspections &
sampling, documents (County Health
Dept.)
3
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
PLANNING & BUILDING
EFFECTIVE: November 1, 2000
Record Series Title is Retention Citation escriptor
PLANNING
Case files: Planning and Zoning P GC34090a;
H &S 19850;
4003; 4004
Pertains to real property. May include
blueprints, drawings, maps, plans,
reports, evaluations, correspondence,
uses, permits, variances, studies,
appeals, compliance certificates, lot
line adjustments or other planning -
related matters brought before
legislative body
Certificates L GC34090 Retain during life of structure
General Plan and Elements P GC34090 Includes Sphere of Influence
General Plan Amendments:
Approved CL + 2 GC34090
Denied CU +3 GC65103; GC50110
Interpretations CU +2 GC34090
Maps, Plans, Drawings, Exhibits, Photos P GC34090; H &S
19850;
GC34090.7
Zoning, tentative subdivision, parcel,
land use map, aerial photos, specific
plans
PROPERTY
Abandonment P GC34090a Buildings, condemnation, Demolition
Annexation Case Files P GC34090a Reports, agreements, public notices
Maps, City Boundary P GC34090d Recorded maps, surveys, monuments
Lot Split Cases P GC34090
Relocation Files CL + 2 GC34090 e.g., Redevelopment
Reports /Studies CL + 2 GC34090 Future sites, expansions
4
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
ADMINISTRATION'!
Accounting /Cash Reconciliations CU + 2 GC34090
Alarm Records CU + 2 GC34090
Claim Files CL + 6 PC 832.5 Claim copy, correspondence,
photographs, supporting relative to
incidents involving the Police Department
filed by citizens
Correspondence CU + 2 GC34090d Working documentation if not attached to
agreement or project file
Department Manual S Changes to manual are recorded in
General Orders (permanent)
Equipment - Communication T + 2 GC34090 Retained until two years after termination
of equipment use 2 years after; Manuals,
instructions, procedures
Inventory S + 2 GC34090 Listing of equipment assigned to division,
to whom it is assigned
Reports - Activity CU + 2 GC34090 Weekly /monthly /quarterly /annual
activity /statistical reports by division.
Retain only one form for retention period
Survey Response Files CU + 2 GC34090 Surveys, responses, correspondence
with other agencies requesting statistical
data
CODE ENFORCEMENT
Abandoned Vehicles CL + 2 GC34090d
Case Files CL + 2 GC34090d Vehicle abatement, citations
Logs CU + 2 GC34090d Lien recovery, citations, complaints
Regulations S + 2 GC34090d Includes rules
Reports, Federal and State P GC34090a Code enforcement statistics; may contain
records affecting title to real property or
liens thereon
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CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
INVESTIGATIONS
Administrative/Internal CL + 5 PC832.5
EVC 1045
GC 12946
PC801.5;
803(c)VC
2547
Initiated by citizens complaints or
internally initiated; includes complaint,
reports, findings
Arrest/Conviction H &S Section
11357(b),(c),(d),(e) or H &S Section
11360(b) violations (Occurring after
January 1, 1996)
2 (Mandatory
destruction
from date of
conviction or
date of arrest
with no
conviction)
H &S 11361.5 Applicable to convictions occurring after
January 1, 1996 or arrests not followed
by a conviction occurring after January 1,
1996; Exception: H &S 11357(e), the
record shall be retained until a juvenile
offender attains the age of 18 years, then
destroyed pursuant to 11361.5
Arrest/Conviction
H &S Section 11357(b), (c), (d), (e) or
H &S Section 11360 (b) violations
Occurring before January 1, 1996)
Mandatory
Destruction
Upon notice
from DOJ)
H &S 11361.5 Applicable to convictions occurring prior
to January 1, 1996 or arrests not followed
by a conviction occurring prior to Januar
1, 1996 for violations of H &S Code
11357, 11364, 11365 and 11550
Asset Forfeiture
Investigations/Proceedings
Case File
CL + 2 GC34090
Notifications CU + 2 GC34090 To legal property owner prior to case
filing that property is subject to asset
forfeiture proceedings. If case is filed,
notification becomes part of forfeiture
case file.
Case Books, Investigative CL + 2 GC34090 Retained by division until a case is
suspended /closed; transfer to Records
Division to be filed with associated Daily
Report (DR) file
Case Files
Homicide
Investigator's File
P PC 799
Narcotics (No arrest,
Narcotics Cases)
CL + 2 GC34090 Retained by division until no longer useful
for investigative purposes
Officer Involved Shootings CL + 25 GC34090
Court -
Daily Schedule
CU + 1 GC34090.7 Printouts of daily court scheduling,
subpenas
2
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Sign -In Logs CU + 2 GC34090 Logs officers' names, time in /out for court
appearances
Tracking System Records CU + 2 GC34090 Database records subpoena number,
officer name, case number, defendant
name, district attorney name, court
information disposition
Crime
Felony Crimes with or without
arrests
CL + 7 PC 800
PC 801
Prosecution for an offense punishable by
imprisonment in state prison for eight
years or more must commence within 6
years after offense commission.
Commencement of prosecution defined
in PC 804. Exception: See PC 803 -
Tolling/Extension of time periods;
Appeals process and "Three Strikes" also
consideration in assigning retention for
the City's cases
Misdemeanor/Infractions CL + 7 GC 34090 No arrests, identifiable property or
missing persons
Supplemental, Felony Capital
Crimes, Crimes Punishable by
Death, Life Imprisonment
P PC 799 No statutory limitation for prosecution.
Includes murder, kidnaping for ransom,
treason, procuring execution by perjury,
train wrecking, assault with a deadly
weapon by a life -term prisoner, bombing
resulting in death or bodily injury, making
defective war materials that cause death
Destruction -Guns
Narcotics
P
P
Disposition of Arrest/Court Action Retention determined by action taken:
i.e., recordable arrest or detention
release no arrest)
Evidence, Disposition Forms Attach to duplicate Property Report, file
with DR in Records Division
Fingerprint
Application Files
T + 2 GC34090 Paperwork authorizing fingerprinting for
business licenses and taxi service
Inked/Palm Cards AC + 20 Persons booked into detention facility;
Copies distributed to county, state,
federal agencies)
3
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1 CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Records Latents Approp. PC
Section
1)Retain for applicable case statute of
limitation; 2) or until evidence in case is
destroyed; Hard copy and digitized
Suspect, Adult/Juvenile CL Law Enforce-
ment
Manage-
ment Guide
by POST
Adults/juveniles suspected of a crime,
taken for comparison. Destroy after
original purpose achieved
Guns, Dealers Record of Sale CU + 6 PC 12070 Applicants, Monthly Gun Audits,
applications Denied, Stolen (DOJ File)
Licenses/Permits
Bicycle
CU + 2 GC34090
Taxi, Auto for Hire T + 4 GC 34090 License, permits for taxicabs, shuttles,
etc.
Duplicate (Pink)
Secondhand Dealer,
Pawn Brokers
CU + 3 GC34090 Original to licensee, Blue duplicate to
DOJ; Pink duplicate retained by agency
renewals issued annually by local
agency; includes permits
Logs
Auto Theft
S
Case Assignment CU + 1
Daily
Activity
CU + 2 GC34090
Officer CU + 2 GC34090 Daily activity of incidents not reported by
use of official report
Report Summary CU + 2 GC34090 Report numbers, type, names, dates
retained for research value
Investigative (Pre- Arrest) CL + 10 GC34090 Retained by division until cases are
suspended and closed
Juvenile Detention CU + 2 GC34090 Logs document juvenile processing per
CYA
Property Control CU + 2 GC34090 Lots items coming into and going out of
property room
Rap Sheet CL + 2 GC34090 Requests for criminal history
4
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Retention Citation;: Descriptor
Subpoena CU + 2 GC34090 Subpoenas received /served daily on
Police Department employees
Non - Criminal Occurrences CU + 7 GC 34090 Injured or sick persons; missing persons
where person has been returned; traffic
collision reports not used as the basis for
criminal charges
Pawn Slips/Tickets CU + 3 B & P 21628 Copies from pawn shops
Photographs Crime Scene, Registrant/ Applicant,
Photo file, Accident. Retain according to
practical and functional association.
Daily Report (Negatives) T GC34090 Assigned DR number, retained as form
of evidence, destroyed at same time
evidence for associated case is destroyed
Inmates (Negatives) CU + 20 By Prisoner number
Property Original Until case is
adjudicated/
disposition
determined
Copy retained in records case file; Refer
to Managing Property in Law
Enforcement Agencies (By POST)
Range Inventory S + 2 GC 34090 Reports of inventories of weapons and
ammunition held by Department Range
Registration Files, Arson, Sex and
Narcotics
Life of
registrant
within
jurisdiction
Fingerprint Card, photo, information also
forwarded to DOJ
5
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Reports CU + 2 GC34090 Arrest & Citation Register; Arson
Offenses; Crimes Against Senior
Citizens; Death in Custody; Domestic
Violence; FBI Include Return A/Supp.;
Hate Crime Incidents; Homicide Reports,
Supp.; Officers Killed or Assaulted;
Original to FBI -DOJ; Uniform Crime
Reports
Statistical (UCR), Uniform Crime
Reports Mandatory to DOJ (LEIC); FBI
Include Return N Supplement;
Supplementary Homicide Report; Law
Enforcement Officers Killed or
Assaulted; Monthly Return of Arson
Offenses Known to Law Enforcement;
Number of Violent Crimes Committed
Against Senior Citizens; Monthly Report
of Domestic Violence Related Calls for
Assistance, Monthly Arrest and Citation
Register; Monthly Hate Crimes
Incidents; Death in Custody Reporting
CU + 2 GC34090 Originals sent to FBI, DOJ
Sealed
Adult Found Factually
Innocent
Mandatory
Destruction
Upon and
pursuant to
Court Order
PC851.8 General provision: Upon petition, records
of agency must be sealed and destroyed
in accordance with the provisions set by
court record; exceptions.
Juvenile Mandatory
Destruction
upon and
pursuant to
Court Order
WIC 826 (a)
b) WIC
781(a)
Upon petition, local laws enforcement
records within WIC 826(b) may be
destroyed as ordered by the court, if
related probation and juvenile court
records have been destroyed by the
probation officer. Records involving
arrests, detention and /or petitioning
juvenile before juvenile court
Tapes - Audio, Telephone and
Radio Communications
CU + 180
days
GC34090.6 Exception; Recordings used as evidence
in a criminal prosecution or claim filed or
litigation or potential claims and litigation
shall be preserved for 100 days after
conclusion of the court action
Use of Force Supervisory Review Files CU + 2 GC 34090 Includes review forms, arrest report
copies, Togs
6
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention ; Citation Descriptor
Warrants - Felony Recall after
10 years.
Exception:
Murder/
Escape
Recommended by the California Law
Enforcement Warrant Officer's
Association
Misdemeanor - Criminal Recall after 5
years
Recommended by the California Law
Enforcement Warrant Officer's
Association
Served CU Includes Warrant Service Information
Card, alpha index card
Unserved (Local) Until served,
recalled or
purged
PATROL
Citations
11357(e), Juvenile
CL + 2 H &S 11361.5
11357b H &S, 11357c H &S,
11360b H &S Violations
CL + 2 H &S 11361.5 CA Admin. Code, Chapter 1, Title 11,
Sec. 708
Cite and Release CL + 2 GC34090
California Vehicle Code
Infractions (Duplicates)
CU + 90 days GC34090 Original is forwarded to court
Parking/Traffic, Duplicates CU + 2 GC34090.7 Originals are forwarded to court after
agency processing; includes citations
electronically created
Transmittals CU + 2 GC34090 Listing of citations forwarded to court,
filed for reference
Equipment - Radio Logs
Communication
CU + 2 GC 34090 Documents problems, malfunctions,
resolution to provide equipment
performance history
General Orders P
Radar Calibration Records T + 2 GC34090 Documentation of Radar instruments
retained during use/ ownership
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1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Reports
Accident
CL +2 GC34090 Non -Jury
Traffic Collision Fatalities P
Vehicle
Assignment Reports
S Record of assignments
Down Reports CU + 1 Printouts reporting which vehicles are
down for repair, maintenance, etc.
Repossessions/Private
Impounds
CU +2 GC34090
Service Schedules S GC34090
Vests, Bulletproof Letters CU +2 GC 34090 Authorization to purchase
Warrants
Parking
Recall after 1
year
Recommended by the California Law
Enforcement Warrant Officer's
Association
Traffic Recall after 5
years
Recommended by the California Law
Enforcement Warrant Officer's
Association
Weapons, Database P Departmentally -owned weapons,
personal weapons, alternate weapons,
secondary handguns; produces inventory
reports
SERVICES
Chemicals/Film Inventories S
Equipment
Inventory/Sign -out Cards -Photo Lab
T
Operations Files - Photo Lab T Retain until equipment no longer
owned /used by department; Manuals,
instructions, procedures for
use /operations of photographic
equipment
Grievance Files CL + 2 GC34090 Grievance filed by employees, supporting
documentation
8
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation: Descriptor
Investigations:
Background
CL + 2 GC34090 Non hired
Background Hired P Include original reports re: PC 832.5
investigations
Parades & Special Events File CL + 2 GC 34090 Reports, memos, correspondence,
scripts, supplier information,
assignments, deployments, supporting
documentation
Permits: Alcoholic Beverage
Control License
L + 2 GC34090 Approval process
Concealed Weapons CL + 2 GC34090
Photographs:
Personnel
S + 2 GC34090
Negative Log CU + 2 GC34090
Negatives, Misc. Cu + 2 GC34090 Not case - related (Public relations,
promotions, events, ceremonies, staff
photos)
Press Releases CU + 2 GC34090
Press, Video Programs (Community
Relations)
CU + 2 GC34090 Collection of videos of programs and
events; outside press coverage of
department
Property Files CU + 2 GC34090 Original reports and supplemental
documentation (Lost, Found,
Safekeeping)
Property, Pawn Broker /Secondhand CU + 2 GC34090 Sales, slips. Dealer required to file
duplicate with agency
Reports:
Dealer of Gun Sales,
Duplicate
CU + 6 mos. GC34090.7 Original maintained by DOJ. Dealer
required to file duplicate with agency
Restraining Orders, Emergency
Protective Orders, Temporary
Restraining Orders, Legal Stipulations,
Orders After Hearing
CU (see
descriptor)
Destroy after law enforcement actions
described in PC 273.5, 273.6, 646.9,
12028.5, 13700 and Family Code
Sections 6380 -6383 are fulfilled and
effective date of restraining order has
expired
9
1 CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
EFFECTIVE: November 1, 2000
Record Series Title ': Retention Citation Descriptor
Rosters (Divisional) S + 2 GC34090 Personnel assigned to division
Schedules: Day CU + 2 GC34090 Schedules of Officers on duty
Watch Assignment/
Timekeeping Records
CU + 2 GC34090
Speaker Requests CU + 2 GC34090 Community and business requests for
public appearances, speakers
Tests, Densitometer Results (Photo
Lab)
T + 2 GC34090 Daily tests of development
chemicals/processes for quality control
Training: Bulletins P
Event Files CU + 2 GC34090 Correspondence, brochures, promotional
materials, information on speakers,
guests, supporting documents
Lesson Plans, Range CL + 15 Scope, content, time period of courses
Personnel (by name) T + 7 GC34090 Paperwork documenting officers' intern
and external training
Schedules, Range CU + 2 GC34090 Daily, weekly, monthly schedules of
training events at range
Volunteer Card Files T + 2 GC34090 Volunteers' identification, contact
information
10
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC UTILITIES
EFFECTIVE: November 1, 2000
ecord Series Title Retention Citation Descriptor
ADMINISTRATION
Correspondence CU +2 GC34090d Working documentation if not attached
to agreement or project file
Maps & Plats P GC34090a Engineering & field notes and profiles;
cross- section of roads, streets, right -of-
way, bridges; may include annexations,
parks, tracts, block, storm drains, water
easements, bench marks, trees,
grading, landfill, fire hydrants, base
maps, etc.
Special Districts P GC34090a Supporting documents regarding
improvement, lighting, underground
utility; bonds, taxes & construction
CODE ENFORCEMENT
Liens & Releases,
Supporting
Recorded
CL + 2
P
GC 34090 Utilities, abatement, licenses
ANITATION/SOLID
ASTE/WASTEWATER
Collections CU +2 GC34090 Daily records, usage
Facilities CU +2 GC34090 Correspondence, maps, patron list
History, Sanitation P GC34090 Where City-owned
Incinerator, Treatment Plant, sludge Cu + 2 40 CFR 60.153 Gas flow through wet scrubbing,
oxygen content of exhaust gas, sludge
rate, temperatures, fuel flow, total
solids and volatile solids
Maintenance and Operations CU +2 GC34090 Includes work orders, inspection,
repairs, cleaning reports, complaints
Maps, Septic Tank P GC34090 Location maps
Reclamation CU +5 40 CFR 122.41 Daily operations including sewage flow,
grit removal, chlorine usage, lab
analysis results, etc.
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1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC UTILITIES
EFFECTIVE: November 1, 2000
ecord Series Title Retention Citation Descriptor
Recycling Programs S +2 GC34090
Regulations S +2 GC34090 Includes legislation
Reports:
Studies CL + 2 GC34090
STREETS /ALLEYS;
Grants: Federal & State CL + 5 GC 34090 Refer to grant application close -out
procedure
Inventory, Traffic Control Device S +2 GC34090 Signs, lights
Lighting CU +2 GC34090 Maintenance, work orders
Maintenance /Operations CU +2 GC34090 Includes work orders, inspection,
repairs, cleaning, reports, complaints,
signals
Maps P GC34090 Fire hydrants, lighting districts, storm
drains, sewers
Traffic Signals L Logs, drawings, wiring diagrams,
codes, circuit numbers, installation
records, testing and maintenance
Reports CL + 2 GC34090d Counts, collisions, accidents
UTILITIES
Electric Rates S +2 GC34090
Facilities T +2 GC34090 If City owned
Meter Reading CU +2 GC34090
Underground P GC34090 GC4003, GC4004; H &S 19850
Utility Rebates CU +2 GC34090
2
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC UTILITIES
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
WATER
Connection Records P GC34090 Maps, water line connections
Hood Control
Drainage Facilities P GC34090 Includes dams, lakes, basins, creeks
Flood Zones P GC34090 Includes flood maps
Insurance Programs S + 2 GC34090 Includes copies of policies, rules,
programs
Policies/Procedures S + 2 GC34090 Rules and Regulations
Reports /Studies CL + 2 GC34090
Inventory, Equipment CU + 2 GC34090
Locations P GC34090 Mains, valves, hydrants, wells
Maintenance and Operations CU + 2 GC34090 Includes work orders, inspection,
repairs, cleaning, reports, complaints
Service CU + 2 GC34090 Includes work orders, entry cards,
manholes, service to property owners
Well & Pumping CU + 2 GC34090 Times operations, power used and
quantity
Maps P GC34090 Line location; easements
Master Plans CU + 2 GC34090 Copies
Meter Operations CU + 2 GC34090 Reader reports, orders, tests,
Maintenance Reports
Permits
National Pollutant Discharge
Elimination system (NPDES)
P 40 CFR 122.28 Municipalities of 100,000 or more,
compliance with Clean Water Act
regarding pollutants
Others CU + 2 GC34090 May depend on terms of state or
federal agency
Policies and Procedures S + 2 GC34090 Includes rules and regulations
Rates S + 2 GC34090
3
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1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC UTILITIES
EFFECTIVE: November 1, 2000
Record Series Ttle ;: Retention Citation Descriptor
Reclamation CU + 5 40 CFR 122.41 Daily operations including grit removal,
chlorine usage, lab analysis results,
etc.
Reports
Conservation CU + 2 GC 34090
Consumption CU + 2 GC 34090
Corrosion Control CU + 12 40 CFR 141.91 Compliance documentation
Discharge Monitoring CU + 5 40 CFR 122.41 Average amount of pollution
discharged into waters of municipality
Drinking Water Corrections CU + 10 40 CFR 141.33
Hydograph P GC 34090 Daily flow of streams
Lead Service Line CU + 12 40 CFR 141.91 Compliance documentation
Public Education CU + 12 40 CFR 141.91 Compliance documentation
Quality parameters CU + 12 40 CFR 141.91 Compliance documentation
Sanitary Surveys CU + 10 40 CFR 141.91 Statistics, reports, correspondence
Source Water CU + 12 40 CFR 141.91 Compliance documentation, e.g. lead
and copper
State Certification CU + 12 40 CFR 141.91 Compliance documentation
Variances, Water System CU + 5 40 CFR 141.33
WeTI Level CU + 2 GC 34090
Sources CU + 2 GC 34090 May include wells, rivers, lakes, districts
Surveyor Field Notes P GC 34090 Notes preparatory to maps of water
installations
Surveys, Water System Sanitary CU + 10 40 CFR 141.33 Statistics, reports, correspondence
Tests
Bacteriological Analysis CU + 5 40 CFR 141.33 Compliance records include location,
date, method and results; corrections,
analysis of bacterial content
4
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC UTILITIES
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
Chemical Analysis CU + 10 CFR 141.33 Compliance records include location,
date, method used and results;
corrections, analysis of chemical
content
Quality CU + 12 40 CFR 141.91 Compliance documentation including
sampling data, analysis, reports,
surveys, documents, evaluation,
schedules, valves, etc.
Valve Main Records P GC 34090
Violations, Drinking Water CU +3 40 CFR 141.33 Retention applies to each violation
5
1
1
1
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS & ENGINEERING
EFFECTIVE: November 1, 2000
Record Series Title Retention Citation Descriptor
ADMINISTRATION
Benchmark Data P GC34090d Horizontal, vertical & control
Correspondence CU + 2 GC34090d Working documentation if not attached
to agreement or project file
Grants - Community Development Block
Grant and Urban Development
T + 4 GC 34090; 24
CFR 570.502
24 CFR 85.42*
Applications, reports, contracts,
supporting documents; *OMB Cir_ A-
102, A -110, A -128
Grants - Federal and State CL + 5 or S GC34090 Refer to grant application close -out
procedures. Grants can be
superceded by individual grant
retention guide.
Licenses/Permits P Encroachment Permits, etc.
Maps & Plats P GC34090a Engineering & field notes and profiles;
cross - section of roads, streets, right -of-
way, bridges; may include annexations,
parks, tracts, block, storm drains, water
easements, bench marks, trees,
grading, landfill, fire hydrants, base
maps, etc.
Permits P GC34090a;
H &S 19850;
4003; 4004
Encroachment permits
Permits, Construction P GC34090a;
H &S 19850;
4003; 4004
Plans, building, signs, grading,
encroachment, including blueprints and
specifications
Projects, Not Completed or Denied CL + 2 GC34090d Building, engineering, planning
Studies, Special Projects & Area CL + 2 GC34090d Engineering, joint powers, noise,
transportation
Surveys P GC34090a Recording data and maps
ENGINEERING
Capital Improvement Projects CL + 10 CC337.15 Supporting documents including
bidders list, specifications, reports,
plans, work orders, schedules, etc.
Congestion Management Cu + 2 GC34090d Ride sharing, trip reduction
1
Drawings, Traffic Cont
Inventory, Vehicle Own
rol Plan
al Quality Act
arts and
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS & ENGINEERING
EFFECTIVE: November 1, 2000
Record Series Tate:
Construction tracking,
Retention
Flood Control
Soil
Soil Reports
Special Districts
Traffic Signals
Daily
ENVIRONMENTAL QUALITY
Air Quality (AQMD)
Califomia Environmen
CEQA)
Congestion Management
GARAGE
Inventory, Equipment f
Supplies
Licenses, Permits
ership and title
P
P
CL + 2
CL +2
P
P
CL + 2
CU +7
P
Cu + 2
L +2
L +2
CU +2
Citation
CC337.15
GC34090a
GC34090d
GC34090d
GC34090d
GC34090a
GC34090d
CCP 338(k);
GC34090
GC 34090a +
CEQA
Guidelines
GC34090d
Descriptor
Assesses value of real property
Signs, signing & striping, road
construction
Storm drains
Analysis, construction
recommendations
Final Reports
Supporting documents regarding
improvement, lighting, underground
utility; bonds, taxes & construction
Counts, collisions, accidents
Participants/voucher logs, total Daily
Mileage Survey (TDM); various local
authorities; Commute Alternative
Exemptions, Environmental Impact
Report, Mitigation monitoring, Negative
Declaration, Notices of Completion and
Determination, comments, Statements
of Overriding Considerations
Ride sharing, trip reduction
Includes vehicles and related
documents regarding repairs
Owner's manual, warranty documents,
Department of Motor Vehicles title and
registration, related documents
Forms, related documentation
regarding licenses and permits
required by federal and state agencies
1
1
1
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS & ENGINEERING
EFFECTIVE: November 1, 2000
ecord Series Title Retention Citation escriptor;.
Maintenance /Operations L +2 GC 34090 Related to requests for service and
work orders for fuel, vehicle and
equipment maintenance and repairs
Vehicle Assignment CU +2 GC 34090 Log books, request forms, lists
HAZARDOUS MATERIALS
Hazardous Waste Disposal CU + 10 CAL OSHA; 40
CFR 122.21
Documentation regarding the handling
and disposal of hazardous waste
Underground Storage Tank:
Compliance P GC34090a Documents regarding storage
Maintenance & Operation CU +2 GC34090 Location, installation, removal,
remediation
Appraisals
PROPERTY
CL + 2 GC34090;
GC6254(h)
Exempt until final acquisition or
contract agreement obtained
Deeds & Promissory Notes P GC34090a* 24 CFR 570.502(b)( 3); 24 CFR 8.42 &
OMB Circ. SA -110
Lot split Cases P GC34090
Maps, City Boundary P GC34090d Recorded maps, surveys, monuments
Railroad Right -of -way CL + 3 36 CFR 64.11 Land acquisitions, correspondence,
improvements, statutory records
REPORTS
CL + 2 GC34090
3
Parades & Special El
Grants: Federal & St<
Maintenance /Opera
rents File
I•
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS & ENGINEERING
EFFECTIVE: November 1, 2000
Record Senes Title
SERVICES
Retention Citation: Descriptor
OLIO WASTE/LANDFILL
Collections/Landfill
Facilities
History, Sanitation
Recycling Programs
Tonnage - Landfill
CL +2
CU +2
CU +2
P
S +2
CU +2
GC34090
GC 34090
GC 34090
GC 34090
GC 34090
GC34090
Reports, memos, correspondence,
scripts, supplier information,
assignments, deployments, supporting
documentation
Daily records, usage
Correspondence, maps, patron list
Where City-owned
STREETS /ALLEYS
AbandonmentsNacations
Closures
Easements, Dedicatio
Field Books
Intersection Records
ns, Rights -of -Way
to
P
P
P
CL + 5
CU +2
GC34090
GC34090
GC34090
GC34090
GC 34090
GC34090
Relinquishment of rights and fee title
Refer to grant application close -out
procedure
Includes correspondence, volume
counts, accident history
Inventory, Traffic Con
Landscaping
trol Device
lions
Maps
S +2
CU +2
CU +2
P
GC34090
GC34090
GC34090
GC34090
4
Signs, lights
Plants, tree maintenance, work orders
Includes work orders, inspection,
repairs, cleaning, reports, complaints,
signals, striping
Fire hydrants, lighting districts, wheel
chair ramps, storm drains, streets,
sidewalks, sewers
1
1
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS & ENGINEERING
EFFECTIVE: November 1, 2000
ecord :Series Title. Retention Citation Descriptor
Master Plans CU +2 GC34090 Copies
Parking
Lots CU +2 GC34090
Regulations S +2 GC34090
Reports/Studies CL + 2 GC34090
Permits
Encroachment P GC34090
Improvement CL + 2 GC34090
Oversize Load CL + 2 GC34090
Parking CL + 2 GC34090
Paving CL + 2 GC34090
Use (Temporary)
Photographs
CL + 2 GC34090 Includes Special Events
S +2 GC34090 includes aerials
Plans, Capital Improvement, Projects P GC34090 Streets, curbs, gutters, sidewalks,
storm drains
Procedures
Naming and nunibering P GC34090
Speed Limits S +2 GC34090
Programs
Federal Aid Urban CL + 3 23 CFR 633(a)
c)
Traffic Safety S +2 GC34090 Drivers Education, Pedestrian Safety,
Bicycle Lanes
Reports
Bridges & Overpasses L GC34090 Life of structure
Inspection CU +2 GC34090 Includes intersection, sidewalks.
Bridges and overpasses, keep life of
structure
5
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS & ENGINEERING
EFFECTIVE: November 1, 2000
ecord;Serdes Title
Studies
Traffic Count
Vehicle Accident
Routes, School Bus &
Signage
Traffic Signals
Weigh Scales
Truck
WATER
Flood Control
Drainage Facilities
Flood Zones
Retention
CL + 2
CL + 2
CL +2
S +2
L-+ 2
L
S +2
P
P
Citation
GC34090
GC34090
GC34090
GC34090
GC34090
GC34090
GC34090
Descriptor
Traffic volume, accident history,
requests, statistics, drawings
supporting traffic devices
Evaluation of traffic volume
Truck routes, access ramps, rest areas
Log books, index register cards,
inventory lists, records of traffic signs
Logs, drawings, wiring diagrams,
codes, circuit numbers, installation
records, testing and maintenance
Includes dams, lakes, basins, creeks
Includes flood maps
1
1
SECRETARY OF STATE
LOCAL GOVERNMENT
RECORDS MANAGEMENT GUIDELINES
SECRETARY OF STATE DEBRA BOWEN
ARCHIVES DIVISION
RECORDS MANAGEMENT
(916) 653-3834
FEBRUARY 2006
ATTACHMENT 2
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
2
LOCAL GOVERNMENT
RECORDS MANAGEMENT GUIDELINES
TABLE OF CONTENTS
CALIFORNIA GOVERNMENT RECORDS MANAGEMENT PROGRAM………...2-1000
BACKGROUND………………………………………………….…………….2-1010
AUTHORITY…………………………….………………………………………2-1020
DEFINITIONS…………………………………………………………………..2-1030
RECORDS MANAGEMENT…..………………………………………………………..2-2000
PRINCIPLES…………………………………………………………………….2-2010
INVENTORY………………………………..…………………………………..2-2020
APPRAISAL AND SCHEDULING………………..………………………….2-2030
RETENTION SCHEDULES…………………………..……………………….2-2040
DISPOSITION OF RECORDS………………….…………………………….2-2050
SUMMARY……………………………………..……………………………….2-2060
ACKNOWLEDGEMENT………………………………………………….……2-2070
ADMINISTRATIVE RECORDS – TYPICAL RETENTION PERIODS…..………ATTCH A
RECORDS MANAGEMENT AND ARCHIVES RESOURCES …………………ATTCH B
CITY RECORDS RETENTION GUIDELINES……………….……………………ATTCH C
COUNTY RECORDS RETENTION GUIDELINES………….……………………ATTCH D
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
3
LOCAL GOVERNMENT RECORDS MANAGEMENT
GUIDELINES
California Government Records Management Program 2-1000
Background 2-1010
In 1968 the Legislature passed the California Public Records Act (PRA) (Government
Code, Section 6250 et seq.) which is modeled after the federal Freedom of Information
Act and details what government information is, and is not, available to the public. In
general, all records are open to the public except 28 specific exemption categories
listed in PRA, Section 6254. The PRA applies to all records, in whatever form,
maintained by either state or local public agencies.
In 1978 the Information Practices Act (IPA) (California Civil Code, Section 1798 et seq.)
became effective to protect personal privacy rights for individuals. The IPA is modeled
after the Federal Privacy Act of 1974 and supercedes portions of the PRA. It does not
apply to local public agencies except under voluntary contractual agreements.
The State Records Management Act (Government Code, Section 14740-14774)
requires the Director of the Department of General Services (DGS) to establish and
administer the state’s records management program. The program applies “… to the
creation, utilization, maintenance, retention, preservation, and disposal of state
records.” DGS administers the program though the State Administrative Manual (SAM),
Chapter 1600 and the California Acquisition Manual (CAM).
SAM and CAM require every state agency to establish Records Retention Schedules
which, when approved, become the legal authority for the agency to dispose of official
public records. Retention schedules are the key element in effective records
management programs for both government and private industry. State agencies must
revise and update their schedules every five years or whenever a change occurs that
impacts the keeping or disposing of agency records. The Records Management Act,
SAM and CAM do not apply to local public agencies.
Since, with the exception of the PRA, legislation and directives establishing the state
Records Management Program do not apply to local government, county and/or city
government agencies do not have a standardized program of accountability for their
treatment of public records. Nor does local government have standard retention periods
for various record categories other than certain record types identified in government
codes that mandate specific local programs. To alleviate this situation the 1999
legislature added Section 12236 to the Government Code, which states in Section
12236 (a) “The Secretary of State shall establish the Local Government Records
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
4
Program to be administered by the State Archives to establish guidelines for local
government retention and to provide archival support to local agencies in this state.”
These guidelines are an initial attempt to provide some standards and structure to the
local government records management effort. Other attempts at standardization include
the California City Clerks Association’s 1998 list of common local government records
and recommended retention periods. The goal of the State Archives in compliance with
GC 12236 is to consolidate information resources and provide local government with a
single source for archival and records management support and guidance.
Authority 2-1020
California Public Records Act (Government Code, Section 6250 et seq.)
Government Code, Section 12236
Definitions 2-1030
Active Records – As a measure of activity for records that are referred to at least
once a month per cubic foot of records. Also – As a retention period for a Perpetual
Record that remains “active” until some event occurs to change its status, at which
time it has fulfilled its function. (See also Perpetual Record)
Administrative Records – Records commonly found in all offices and typically
retained only for short time periods – less than five years. Examples include subject,
chronological, budget, and policy files.
Archival Records - Records with enduring value because they reflect significant
historical events, document the history and development of an agency, or provide
valuable research data.
Discovery – The pretrial disclosure of pertinent facts or documents by one or both
parties to a civil action or proceeding. Anything requested during discovery must be
disclosed if it exists – even non-records and records that should have been
destroyed earlier. Discovery effectively freezes selected holdings until released by
opposing attorney or the court.
Local Government – Government Code, Section 6252 states: “’Local Agency’
includes a county; city, whether general law or chartered; city and county; school
district; municipal corporation; district; political subdivision; or any board,
commission or agency thereof; other local public agency; or nonprofit entities that
are legislative bodies of a local agency pursuant to subdivisions (c) and (d) of
Government Code, Section 54952.”
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
5
Non-Records - Material not usually included within the definition of records, such as
unofficial copies of documents kept only for convenience or reference, working
papers, appointment logs, stocks of publications and processed documents, and
library or museum material intended solely for reference or exhibition. Also,
documents such as rough notes, calculations or drafts assembled or created and
used in the preparation or analysis of other documents. (See also Discovery)
Permanent Records – Records that are required in perpetuity, usually identified by
statute or other written guidance. Examples include original birth certificates, death
certificates, Spanish land grants, etc.
Perpetual Records – Records retained for an indefinite period of time and then
stored or destroyed after some event takes place. Examples include office
personnel files which are kept until a person leaves the office, policy files kept until
the policy is changed, contract files kept until the contract terminates, etc.
Program Records - Records that relate to the primary function of the agency in
response to its daily mission. Examples include lien files, recorders files, election
files, probate records, medical records, etc.
Public Records - Any information relating to the conduct of the public's business
prepared, owned, used, or retained by any state or local agency regardless of
physical form or characteristics.
Records - All papers, maps, exhibits, magnetic or paper tapes, photographic films
and prints, punched cards, and other documents produced, received, owned or used
by an agency, regardless of physical form or characteristics.
Records Retention Schedule - A list of all records produced or maintained by an
agency and the actions taken with regards to those records. A retention schedule is
an agency’s legal authority to receive, create, retain, and dispose of official public
records. It assists the agency by documenting which records require office or
temporary storage, which records have historic or research value, and which records
should be destroyed because they no longer have any administrative, fiscal, or legal
value. In the event of litigation, courts accept a retention schedule as establishing
an agency’s “normal course of doing business”.
Retention Period – The length of time a record must be retained to fulfill its
administrative, fiscal and/or legal function. Then a record should be disposed of as
soon as possible in accordance with an approved Records Retention Schedule.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
6
Records Management 2-2000
Principles 2-2010
According to Government Code, Section 14740, California’s Records Management
Program is designed to “…apply efficient and economical management methods to the
creation, utilization, maintenance, retention, preservation, and disposal of state
records”. Effective Records Management ensures that records are kept only as long as
they have some administrative, fiscal, or legal value.
When records no longer fulfill the value for which they were created, they should be
destroyed unless they also have some historic or research significance. If that is the
case the records should be preserved by an appropriate historical agency. Staff
members should realize that an effective records management program is not only cost
effective, it will also make their jobs easier. They should also know that records
retained beyond their value “just in case” only extend the agency’s legal liability in the
event of adverse litigation.
These principles apply to all levels of government.
Inventory 2-2020
The first step in records management is a records inventory. Agencies need to know
what records they have, where the records are kept, the volume, and how the records
are used. This information is essential for developing a Records Retention Schedule to
document the agencies normal course of doing business.
The Records Inventory Worksheet, state form STD 70, is available to assist agencies in
gathering information needed in a records management program. Regardless of the
form used, the following information should be obtained during any inventory of agency
records:
Record Series - A record series is a group of similar records arranged under a single
filing system or kept together as a unit. They deal with a particular subject (budget,
personnel, etc.), result from the same activity (arrest reports, property assessments,
etc.), or have a special form (blueprints, maps, etc.). The title of each record series
should be as accurate as possible, since future references to the records will be by
the record series name. Avoid vague titles such as "Corporate Papers", "Official
Documents", or "Vital Correspondence”.
Media – Determine the media for each record series such as paper, microfilm, etc.
Also note if the same record exists in several medium.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
7
Years covered – Determine the period of years covered by each record series.
(Example: 1994-98).
Activity Level - The amount of activity involving a record determines where the
record should be stored. Active records need to be readily available and are
generally stored in the office because they are accessed frequently. Inactive
records that are still needed but only accessed occasionally should be warehoused
in low cost storage.
Volume – Note the volume of each record series by the cubic feet of space they
occupy. This number is a spot count and should represent only those records on
hand at the time of inventory. A typical file drawer or archive box contains
approximately one cubic foot of actual records. Folders, separators, tab cards, etc.
are not considered part of a record.
Appraisal and Scheduling 2-2030
After the inventory, sound records management requires a realistic appraisal of records
in relation to their period of usefulness and their value to the agency that owns them.
The appraisal will:
Establish reasonable retention periods.
Identify records that can be destroyed immediately.
Identify records that should be transferred to low cost storage.
Identify vital and/or confidential records.
Identify records with historic and/or research value.
Determine the method of disposition.
Once records are inventoried, determine the immediate and future usefulness of the
records. In general, records should be retained only as long as they serve the
immediate administrative, legal and/or fiscal purposes for which they were created.
When records no longer serve these purposes, they should be disposed of or preserved
for archival purposes, whichever is appropriate.
Records with administrative value are created to help accomplish the functions for
which an agency is responsible and have administrative value only as long as they
assist the agency in performing current or future work. Their administrative use is
exhausted when the transactions to which they relate are complete and from that point
on they lose value rapidly.
Records with legal value contain evidence of legally enforceable rights or obligations of
the agency. Examples are records that provide the basis for action, such as legal
decisions and opinions; fiscal documents representing agreements, such as leases,
titles and contracts; and records of action in particular cases, such as claim papers and
legal dockets.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
8
Fiscal records pertain to the financial transactions of the agency, such as budgets,
ledgers, allotments, payrolls and vouchers. After some records have served a basic
administrative function, they may still have sufficient fiscal value to justify additional
retention to protect the agency against court action and/or audits.
Some records will also have enduring value because they reflect significant historical
events or document the history and development of an agency. Others contain
accumulated data that can be useful for both scientific and genealogical research. At
the local level historical societies and/or public libraries may be able to assess this
potential value for the agency.
The final step in appraising records is determining their retention period. Keeping
records, either in offices or storage areas, is very expensive and the actual or potential
value of the records must be weighed against the cost. Most managers tend to keep
records too long “just in case” and unwittingly extend the agency liability for as long as
the records exist. Except for perpetual records, most administrative records should only
be kept two or three years and certainly not more than five. Program records (unique
and representative of the function of the office) are typically large files and kept for
longer periods of time. Attachment A contains recommended retention periods for
common administrative records maintained by several state agencies.
Questions to ask are how serious would it be if a particular record 5 or 10 years from
now were unavailable? What are the chances of it being needed? Are the
consequences serious enough to justify keeping a large volume of records for long
periods of time at considerable cost? Is the information available anywhere else? What
would it cost to reconstruct the record if necessary? Answering these questions will
lead to a more realistic approach to the problem of determining how long records should
be kept.
Establishing retention periods may also involve negotiation with the people who use the
records. They should be encouraged to look realistically at their need for the records.
Don’t accept the answer that ‘the records are used all the time and therefore must be
kept permanently’. “Permanent” retention is very expensive, rarely necessary, and
usually must be justified by a specific written requirement such as a statute, legal
opinion, government code, etc. The State assumes “permanent” to mean 500 years!
Will your records really have any value 500 years from now?
Once retention periods have been established for all records, a Records Retention
Schedule can be developed. The schedule formalizes the retention and disposition of
the agency’s records and establishes the agency’s “normal course of doing business”.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
9
Retention Schedules 2-2040
A properly prepared and approved Records Retention Schedule is an agency’s legal
authority to do whatever needs to be done with records and documents entrusted to the
agency’s care. It certifies the life, care, and disposition of all agency records. If
subpoenaed records have been destroyed, agency schedules (AND EVIDENCE OF
COMPLIANCE WITH THOSE SCHEDULES) will defend the agency’s actions.
However, to prove there was no adverse intent when records were destroyed,
schedules must be specific and consistently used. Adverse intent (to keep records out
of court) is both a civil and criminal offense.
The state uses two forms to create Records Retention Schedules: the Records
Retention Schedule Approval Request, STD Form 72 (pdf); and the Records Retention
Schedule, STD Form 73 (pdf). The Form 72 contains signature elements from the
agency involved, the Records Manager, the approval authority, and an archival review.
The Form 73 is the schedule itself and contains an agency description or mission
statement plus the listing of all agency records. Both of these forms are for state
agencies but could easily be adapted/modified for use by local government.
Use of these or similar forms help an agency ensure their schedule contains all the
elements necessary to withstand legal scrutiny. The signatures of the program
manager (record custodian) and agency Records Manager attest to the completeness
and accuracy of the information on the schedule. The approval authority should be the
government body having administrative authority over the agency. For local
government this authority could be the County Board of Supervisors, County
Administration, Mayor’s Office, City Administrator or similar government functions.
Archival review at the local level could be from a county or city historical society,
historical museum, library, or similar organization.
In state government schedules are considered current for five years unless amended
sooner due to a significant change in an agency’s record keeping practices. A change
of mission, added functions, new programs, etc. would all trigger an amendment to an
existing schedule. Regardless of any amendments, a new schedule must be prepared
and approved after five years to ensure the schedule accurately and completely reflects
the agency’s records holdings and disposition. Renewing schedules more frequently is
always an option, and is required in some states. Local government agencies should
adopt whatever cycle is most practical within their jurisdiction.
Physical location, complexity, and activity levels of records are some of the factors to
consider when determining how many schedules are needed to support an agency’s
records management program. Small agencies housed in one facility with narrowly
focused missions may only need one schedule for the entire agency. Larger, more
complex agencies may need many schedules to efficiently and effectively document the
varied records maintained by the agency. For example, County Health Services in a
large populous county would probably require separate schedules for Children’s
Services, Mental Health, Health Promotion, Elder Care Services, etc. On the other
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
10
hand, a small county Health Services Agency might use a single schedule and list
record series in groups under each different agency function.
Disposition of Records 2-2050
Once records have fulfilled their administrative, fiscal, or legal function they should be
disposed of as soon as possible in accordance with their Records Retention Schedule.
A properly completed schedule provides an agency with the legal authority to dispose of
records entrusted to its care. Disposition may include sending appropriate records to an
archival facility, recycling unneeded records, and/or destroying unneeded confidential
records. Remember, in the event of litigation the court will want to know what the
agency does in the normal course of doing business. Your Records Retention
Schedule spells out the normal course of business for how your agency handles and
disposes of its records.
In general, most agencies keep records well beyond the record’s administrative, fiscal,
or legal value “just in case” the records may be desired for future purposes. That is one
of the worst reasons to retain records because excess records over-burden staff, slow
response times to public requests, and extend the agency’s legal liability. A court can
not demand an agency produce documents that have been destroyed in accordance
with accepted and documented (your retention schedule) industry practices.
Summary 2-2060
Records Management's primary concern is the efficient, effective and economical
management of information. The guiding principle of Records Management is to insure
that information is available when and where it is needed, in an organized and efficient
manner, and in a well-maintained environment. Records Management is more than
retention schedules and the disposition of records; records management also
encompasses all the record-keeping requirements that allow an organization to
establish and maintain control over information flow and administrative operations.
Records Management seeks to control and manage records through the entirety of their
life cycle, from their creation to their final disposition.
In today’s litigious society Records Management is more important than ever but
unfortunately is still overlooked and under-funded at all levels of government. In court
an astute attorney can discredit an agency in the eyes of a judge or jury by attacking the
way the agency handles its records. The fact that the records may refute or support a
particular position is obscured by the attack on how the agency accounts for and
handles those records. The agency’s legal position in the litigation may be influenced
by how well or how poorly they comply with accepted records management practices.
A sound records management program doesn’t cost – it pays. It pays by improving
customer service, increasing staff efficiency, allocating scarce resources, and providing
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
11
a legal foundation for how an agency conducts its daily mission. It helps identify and
justify opportunities for new technology. Microfilm, optical disk, optical character
recognition, workflow, e-mail, bar code, and other related technologies cannot be
adequately evaluated and cost justified without a good records management program.
Other benefits of effective records management include:
Space Savings
Reduced expenditures for new filing equipment
Increased efficiency in information retrieval
Compliance with legal, administrative, and fiscal retention requirements
Identification and protection of vital records
Control over creation of new records
Identification of records with research value
Identification of records with historical value
Acknowledgement 2-2070
The California State Archives would like to acknowledge the League of California Cities
and the City Clerks Association of California for their major contribution to these
guidelines. Attachment C represents several years of effort by the League and the
Association to provide standard retention periods for record series common to most city
jurisdictions. Attachment D – County Records Retention Guidelines has been
permanently removed.
Please forward comments and/or corrections to these retention periods to the California
State Archives.
For assistance in developing a Records Management Program or to comment on this
web site please contact:
Laren Metzer
Deputy State Archivist
Secretary of State
Archives Division
1020 O Street
Sacramento, CA 95814
(916) 653-3834, Fax (916) 653-7134
lmetzer@sos.ca.gov
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT A
A-1
Administrative Records - Typical Retention Periods
Type of Record Years Remarks
Correspondence
Chron Files 2
General/Public 3
Controlled 2
Reports 3
Subject Files 3
Reproduction/Printing Requests 2
Financial >4/7 = 4 yrs for state funds/7 for federal funds<
Expense Reports 4/7 Or until audited, whichever is first
Budgets 4/7 Or until audited, whichever is first
Billing/Accounting Reports 4/7 Or until audited, whichever is first
Budget Change Proposals 4/7 Or until audited, whichever is first
Budget Change Concepts 4/7 Or until audited, whichever is first
Audits 4/7
Invoices 4/7 Or until audited, whichever is first
Fees/Receipts 4/7 Or until audited, whichever is first
Checks/Ledgers/Registers 4/7 Or until audited, whichever is first
Cal Stars Reports Active+1 Active until new budget approved*
Cost Recovery - Federal Active+7 Active until claim paid then 7 or until audited,
whichever is first*
Cost Recovery - State Active+4 Active until claim paid then 4 or until audited,
whichever is first*
Grants Active+2 Active until end of grant year*
Equipment/Supplies/Space
Inventory Active Active until revised*
Purchase Request/Order Active+4/7 Active until items received(4/7 if subject to audit)*
Service Orders/Authorizations Active Active until service performed*
Vendor Information Active Active until revised*
Building Maintenance/Leases Active Active until lease terminates*
Inspection Reports/Moves/Space Active Active until revised/rescinded/superseded*
Equipment Maintenance Active+2 Active until maintenance complete*
Hardware/Software
Documentation
Active Active until revised/rescinded/superseded*
Vehicle Files 2
Personnel
Duty Statements Active Active until revised*
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT A
A-2
Employee Records Active+1 Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, Confidential Destruction. (CD)*
Attendance Active+1 Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, CD.*
Travel Active+1 Active until travel complete. PRA 6254, IPA 1798.40,
CD.*
Training 3 PRA 6254, IPA 1798.40, CD.
Applications 2 PRA 6254, IPA 1798.40, GC 12946, CD.
Interview Documents 2 PRA 6254, IPA 1798.40, CD.
Affirmative Action Active Active until revised*
Merit Awards 3 PRA 6254, IPA 1798.40, CD.
Superior Accomplishments 3 PRA 6254, IPA 1798.40, CD.
Labor Relations 2
Production/Assignment Logs 2
Overtime Logs 2 PRA 6254, IPA 1798.40, CD.
Action Requests/Grievances 2 PRA 6254, IPA 1798.40, CD.
Toxic Exposure Reports Active Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, CD. Transfer Rpt with employee.*
Policy/Procedure/Organization
Policies (All) Active Active until revised*
Procedures (All) Active Active until revised*
Compliance Requirements Active Active until revised*
Organization Charts Active Active until revised*
Mission Statements Active Active until revised*
Associations Active Active while membership is current*
Meetings/Minutes/Agendas 2
Activity Reports 2
Studies/Statistics 3
Feasibility Studies 5
Request for Proposals 3
Delegation Orders Active Active until revised/superseded/Revoked*
Conferences/Committees 3
Contracts Active+4/7 Active until contract terminates/+4/7 if subject to
audit*
Emergency Preparedness Active Active until revised*
Public Hearings 5
Health/Safety 3
Plans and Goals Active Active until revised/rescinded/superseded/Complete*
Records Management
Records Retention Schedule Active Active until revised*
Records Transfer List (STD 71) Active Active until disposal of records*
Records Destruction
Authorization
4
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT A
A-3
Forms File Active+1 Active until revised/rescinded/superseded*
Legislation/Regulations/Legal
Bill Analysis 3 PRA 6254
Research Information 3 PRA 6254
Proposed
Legislation/Regulations
4 PRA 6254
Legal Opinions Active+1 Active until issues resolved*
Law Suits/Small Claims Active+1 Active until litigation complete*
Enrolled Bill Report 4 PRA 6254
PRA/IPA Files 2
Public Relations
Clippings 2
Press Releases 2
Speeches 2
* “Active” retention is for Perpetual Records that remain “active” until some event
occurs. After the event occurs the records are disposed of or may require retention for
an additional short period of time.
The “Remarks” section of a retention schedule also identifies records not subject to
public disclosure because of code or statute, as well as any other unusual or significant
characteristics about a record series. PRA refers to the California Public Records Act
and IPA refers to the Information Practices Act. CD stands for Confidential Destruction.
Most administrative records are small in volume and the records retained for less than
five years.
Program Records:
There are no typical retention periods for program records because they are unique to
the individual office. They represent the reason the office exists and their retention is
usually specified in some statute or regulation that established the office or program. A
few program records may be identified for permanent retention however most will be
retained for a specific number of years, or as perpetual records with an “Active” period,
just like administrative records.
Most program records are large in volume and may be required much longer than
administrative records. As with administrative records, program records should be
retained only as long as they have some administrative, fiscal, or legal value. After that
they should be disposed of in accordance with an approved Records Retention
Schedule.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
B-1
Records Management and Archives Resources
Many resources exist to assist you in your records management program. This list is
not all-inclusive but will provide you with several contacts where you can ask questions
and receive professional answers to many records management issues. All of these
resources provide information free of charge and some also offer membership in the
organization, which entitles you to additional benefits.
AIIM - Association for Information and Image Management, International.
AIIM is a global industry association connecting users and suppliers of enterprise
content management (ECM) technologies - tools and methods that help capture,
manage, store, preserve and deliver content in support of business processes. AIIM is a
neutral and unbiased source of information. They produce educational events and
conferences, provide up-to-the-minute industry information, and are ANSI/ISO-
accredited for standards development. Local chapters provide networking and
educational opportunities throughout the country.
World Headquarters
1100 Wayne Avenue, Suite 1100
Silver Spring, MD 20910
1-800-477-2446
http://www.aiim.org/
ARMA International – Association of Records Managers and Administrators.
The mission of ARMA International is to provide education, research, and networking
opportunities to information professionals, to enable them to use their skills and
experience to leverage the value of records, information, and knowledge as corporate
assets and as contributors to organizational success. ARMA has a network of local
chapters that provide educational opportunities for members and non-members alike.
ARMA International
4200 Somerset Dr., #215
Prairie Village, KS 66208
1-800-422-2762
http://www.arma.org/
NAGARA – National Association of Government Archives and Records Administrators.
NAGARA is an association dedicated to the improvement of federal, state, and local
government records and information management. Their goal is to promote the
availability of our documentary legacy by improving the quality of records and
information management at all levels of government
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
B-2
NAGARA
48 Howard Street
Albany, NY 12207
1-518-463-8644
http://www.nagara.org/
NARA – National Archives and Records Administration
Major source for national archives and records management issues and policies.
Develops standard Record Retention Schedules for federal agencies.
National Archives and Records Administration
700 Pennsylvania Avenue, NW
Washington, D.C. 20408
1-800-234-8861
http://www.archives.gov/index.html
COSHRC
Council of State Historical Records Coordinators
Provides internet links to all State Archives and Records Management Offices.
http://www.coshrc.org/arc/states.htm
InterPARES
International Research on Permanent Authentic Records in Electronic Systems
Source for international research papers seeking to recommend standards in the
electronic records industry.
http://interpares.org/
CA Secretary of State
Provides records management guidelines for local government agencies through the
California State Archives web site.
California State Archives
1020 O Street
Sacramento, CA 95814
(916) 653-3834
lmetzer@sos.ca.gov
CA Department of General Services – California Records and Information
Management (CalRIM)
CalRIM establishes guidelines for state agencies to manage their records programs,
including the management of electronic records and using technology such as imaging.
CalRIM provides training, Master Service Agreements to streamline the contracting
process for records and imaging technologies and consultation, and other services to
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
B-3
help customers establish and maintain effective records programs. CalRIM also reviews
and maintains all state agency records retention schedules.
Department of General Services
Procurement Division
California Records and Information Management Program
1500 5th Street, Suite 101
Sacramento, California 95814
(916) 324-4809
http://www.osp.dgs.ca.gov/calrim/default.htm
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-1
LOCAL GOVERNMENT
RECORDS RETENTION
GUIDELINES
August 1999
City Clerks’ Association of California
California State Archives 2002 Version
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-2
LOCAL GOVERNMENT RECORDS
RETENTION GUIDELINES
TABLE OF CONTENTS
DISCLAIMER………………………………………………………………………C-3
RECORD CLASSIFICATIONS………….…………………………………..…..C-4
ITEM INDEX……………………………………………………………………….C-5
LEGEND & CITATIONS…………………………………………………………C-16
ADMINISTRATIVE RECORDS………………………………..………………..C-17
DEVELOPMENT RECORDS…………………………………..……………….C-25
FINANCE RECORDS………………………………………………..………….C-29
PUBLIC SAFETY RECORDS……………………………………….…………C-32
EMERGENCY MANAGEMENT……………………………….……….C-32
FIRE SAFETY……………………………………………………………C-32
HAZARDOUS MATERIALS……………………………………………C-33
LAW ENFORCEMENT………………………………………….………C-33
PUBLIC WORKS………………………………………………………………..C-42
TRANSPORTATION……………………………………………………………C-47
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-3
Disclaimer
Local Government Retention Schedule Guidelines
The guidelines as enclosed have been endorsed by resolution of the General Assembly
of the League of California Cities, and by the City Clerks Association of California. They
represent extensive research as to the minimum legal requirements for the retention of
local government records and do not reflect the administrative, operational, financial or
historical needs of the jurisdiction. It is strongly recommended that cities consult with
legal counsel when formulating their retention schedules so as to best meet their
particular needs.
The committee’s research was as complete as possible and reviewed by many legal
officers but may not include every record series pertinent to local government. The
guidelines are just that and are fluid, very much subject to additions and updates which
will be coordinated through the office of the State Archivist under the Secretary of State.
Reference to retention periods, unless otherwise indicated, refers to the current year
plus the years shown. For example, Cu + 2 refers to the Current year plus two, or 1998
plus years 1997 and 1996.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-4
RECORDS RETENTION CLASSIFICATIONS – CITY GOVERNMENT
August 1999
ADMINISTRATION PUBLIC SAFETY
Audit Animal Control*
Community Services Emergency Management
Elections Fire Safety
General Subject Administration
Grants Personnel
Human Resources Property
Information Services Reports
Legal/Legislative Hazardous Materials
Municipal Clerk Health & Welfare
Policies & Procedures Law Enforcement
Public Information Administration
Public Financing Authority Investigations
Risk Management Patrol
Services
DEVELOPMENT
Administration PUBLIC WORKS
Building
Code Enforcement Parks
Engineering Sanitation/Solid Waste/
Environmental Quality Wastewater
Housing Streets/Alleys
Municipal Facilities Utilities
Planning Water
Property
Redevelopment
FINANCE TRANSPORTATION
Accounting Administration
Administrative Services Airport
Fixed Assets Ground Transportation
License Harbor
Payroll
Purchasing
Reports
Treasurer
*Anticipate will be addressed by County Officials
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-5
INDEX .
ITEM CATEGORY PAGE
Abandoned Vehicles Development C-26
Abandonment Development C-28
Abandonment/Vacations Public Works C-43
Accident Reports - City Assets Administration C-24
Accounting/Cash Reconciliation Public Safety C-33
Accounts Payable Finance C-29
Accounts Receivable Finance C-29
Acquisition/Disposition Development C-28
Adjustments Finance C-29
Administration – General Subject Administration C-19
Administration – Public Financing Authority Administration C-23
Administrative/Internal Public Safety C-33
Affidavit Index Administration C-17
Agenda Reports (Master, Subject Files) Administration C-22
Agendas Administration C-22
Agendas, Board Public Works C-42
Agreements Transportation C-47
Air Quality Development C-27
Airport Certification Transportation C-47
Airport Noise Monitoring and Complaint Transportation C-47
Alarm Records Public Safety C-33
Annexation Case Files Development C-28
Annual Financial Report Administration C-17
Apparatus/Vehicle Public Safety C-32
Appeals, Civil Administration C-22
Applications - Aircraft Storage Transportation C-47
Applications - Parking Transportation C-47
Applications - Slip Rentals Transportation C-47
Applications - Special Events Transportation C-47
Applications Finance C-29
Applications, Absentee Ballots Administration C-17
Applications, Boards, Commissions, Committees Administration C-22
Appraisals Development C-28
Acquisition/Disposition Development C-28
Arrest/Conviction Public Safety C-36
Articles of Incorporation Administration C-22
Asbestos Development C-27
Assessment Districts Administration C-23
Assessment Districts Finance C-29
Asset Forfeiture - Investigations/Proceedings Case File Public Safety C-34
Asset Forfeiture - Notifications Public Safety C-34
Assisted, Challenged Voters List Administration C-17
Audits Finance C-30
Auto for Hire Transportation C-48
Ballots Administration C-17
Ballots – Prop. 218 Administration C-17
Bank Reconciliation Finance C-29
Bank Statements Finance C-30
Benchmark Data Development C-25
Benefit Plan Claims Administration C-20
Benefit Plan Enrollment, Denied Administration C-20
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-6
INDEX .
ITEM CATEGORY PAGE
Bids & Proposals (Unsuccessful) Development C-25
Bids, RFQ’s, RFP’s Finance C-30
Billing Records Finance C-29
Billing/Customer Records Public Works C-44
Biographies Administration C-19
Blueprints, Specifications Development C-26
Bond, Personnel Fidelity Administration C-20
Bonds - Administration Finance C-31
Bonds - Security Development C-25
Bonds - Development Development C-25
Bonds - Account Statements Finance C-31
Bonds - Bonds and Coupons Finance C-31
Bonds Administration C-17
Bonds Development C-27
Bonds, Insurance Administration C-24
Books, Fire Code Public Safety C-32
Brochures, publications, newsletter, bulletins Administration C-24
Budget adjustments, journal entries Finance C-29
Budget Operating (copies) Administration C-17
Budget Operating (copies) Finance C-29
Budget Administration C-17
Budget, Accounting Finance C-29
Budget, Adopted Finance C-29
Budget, Proposed Finance C-29
Business License Finance C-29
Calendar Administration C-17
Calendar, City Administration C-24
California Environmental Quality Act (CEQA) Development C-27
Canvass Administration C-17
Capital Improvement Projects Development C-27
Capital Improvements, Construction Development C-28
Cards - Dispatch Public Safety C-38
Cards - Field Interview Public Safety C-38
Case Books, Investigative Public Safety C-34
Case Files - Homicide Investigator’s File Public Safety C-34
Case Files - Narcotics (No arrest, Narcotics Cases) Public Safety C-34
Case Files - Officer Involved Shootings Public Safety C-34
Case Files Development C-26
Case Files, Planning and Zoning Development C-28
Case Log Administration C-22
Case Records - (High Profile) Administration C-22
Case Records - (Routine) Administration C-22
Certificates (Building) Development C-26
Certificates (Planning) Development C-28
Certificates of Election Administration C-17
Charter - Amendments/Measures Administration C-17
Checks Finance C-29
Chemicals/Film Inventories Public Safety C-39
Citations - 11357(e), Juvenile Public Safety C-38
Citations - 11357b H&S, 11357c H&S, Public Safety C-38
11360b H&S Violations
Citations - California Vehicle Code Infractions (Duplicates) Public Safety C-39
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-7
INDEX .
ITEM CATEGORY PAGE
Citations - Cite and Release Public Safety C-38
Citations - Parking/Traffic, Duplicates Public Safety C-39
Citations - Transmittals Public Safety C-39
Claim Files Public Safety C-33
Claims, Damage Administration C-24
Classifications and Appointments Administration C-19
Closures Public Works C-43
Code Books Development C-25
Collections/Landfill Public Works C-42
Community Development Block Grant and Administration C-19
Urban Development
Community Services – Library Administration C-17
Community Services – Plaques Administration C-17
Community Services – Sports Organization Administration C-17
Congestion Management Development C-27
Connection Records Public Works C-44
Construction (Approved) Development C-26
Construction Tracking, Daily Development C-27
Contractor Development C-25
Contracts and Agreements – Excl. Capital Improvement Administration C-22
Contracts and Agreements – Incl. Capital Improvement Administration C-22
Correspondence Administration C-19
Correspondence Development C-25
Court - Daily Schedule Public Safety C-34
Court - Sign-In Logs Public Safety C-34
Court - Tracking System Records Public Safety C-34
Crime - Felony Crimes With Or Without Arrests Public Safety C-36
Crime - Misdemeanor/Infractions Public Safety C-36
Crime - Supplemental, Felony Capital Crimes, Public Safety C-36
Crimes Punishable by Death, Life Imprisonment
Deeds & Promissory Notes Development C-28
Deferred Compensation Finance C-30
Department Manual Public Safety C-33
Deposits, Receipts Finance C-29
Destruction - Guns Public Safety C-36
Destruction - Narcotics Public Safety C-36
Development (includes CDBG) Development C-25
Development Agreements Development C-25
Development Conditions Development C-25
Development Standards Development C-25
Disposition of Arrest/Court Action Public Safety C-36
Drawings, Project Plan Development C-25
Drawings, Traffic Control Plan Development C-27
Easements, Dedications, Rights-of-Way Public Works C-43
Employee Handbook Administration C-20
Employee Programs Administration C-20
Employee Rights Administration C-20
Employee Time Sheets Finance C-30
Environmental Review Development C-27
Equipment - Communication Public Safety C-33
Equipment - Inventory Public Safety C-33
Equipment - Inventory/Sign-out Cards- Photo Lab Public Safety C-39
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-8
INDEX .
ITEM CATEGORY PAGE
Equipment - Operations Files - Photo Lab Public Safety C-39
Equipment - Radio Logs (Communication) Public Safety C-39
Evidence, Disposition Forms Public Safety C-34
Exposure - Personnel Public Safety C-32
Facilities (Sanitation/Solid Waste/Wastewater) Public Works C-42
Facilities (Utilities) Public Works C-44
Facility Rentals/Use Development C-28
Fair Political Practices - Administration, Statements Administration C-18
Fair Political Practices - Campaign disclosure, elected Administration C-18
Fair Political Practices - Campaign disclosure, not elected Administration C-18
Fair Political Practices - Campaign disclosure, unsuccessful Administration C-18
Fair Political Practices - Candidate Statements Administration C-18
Fair Political Practices - History Administration C-18
Fair Political Practices - Statement of Economic Interest, Administration C-18
Elected
Fair Political Practices - Statement of Economic Interest, Administration C-18
not elected
False Alarm (Duplicate) Public Safety C-36
Federal and State Grants Administration C-19
Field Books Public Works C-43
Field, Non-fire and Logs Public Safety C-32
Financial, Annual Finance C-30
Financial Records - Grants Administration C-19
Financial Records, Public Financial Authority Administration C-24
Fingerprint - Applicants Files Public Safety C-34
Fingerprint - Inked/Palm Cards Public Safety C-34
Fingerprint - Records Latent Public Safety C-34
Fingerprint - Suspect, Adult/Juvenile Public Safety C-34
Fire, Non-arson and Logs Public Safety C-32
Flood Control - Drainage Facilities Public Works C-44
Flood Control - Flood Zones Public Works C-44
Flood Control - Insurance Programs Public Works C-44
Flood Control - Polices/Procedures Public Works C-45
Flood Control - Reports/Studies Public Works C-45
Flood Control Development C-27
Flood Records Development C-28
Franchises Development C-25
Fueling Transportation C-47
Gas & Electric Rates Public Works C-44
General Administrative Administration C-23
General Orders Public Safety C-39
General Orders, Policies/Procedures Public Safety C-32
General Plan Amendments - Approved Development C-28
General Plan Amendments - Denied Development C-28
General Plan and Elements Development C-28
General Subject Files Development C-25
Goals & Objectives Administration C-19
Grants - Parks (refer to Admin.) Public Works C-42
Grants - Street/Alleys (see Admin.) Public Works C-43
Grants – Water (see Admin.) Public Works C-45
Grants, Community/Urban Development (includes CDBG) Development C-25
Grievance Files Public Safety C-40
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-9
INDEX .
ITEM CATEGORY PAGE
Guns, Dealers Record of Sale Public Safety C-34
Hazardous Waste Disposal Public Safety C-33
Hazardous Waste Disposal Transportation C-47
Hearing or Review Administration C-17
Historic Preservation Inventory Development C-25
History, Sanitation Public Works C-42
Hourly Employees Administration C-20
Immigrant Administration C-20
Incident Files Development C-25
Incident Reports Administration C-24
Incident Public Safety C-32
Incineration Plants, Sludge Public Works C-42
Incinerator Operations, Treatment Plant Public Works C-42
Index, Attorney Case Administration C-22
Informant Files Public Safety C-34
Inspection Development C-26
Inspection, Runway Transportation C-47
Inspection, Safety Self Transportation C-47
Inspections, Fire Prevention Public Safety C-32
Insurance, ACCEL JT Powers Agreement Administration C-24
Insurance, Certificates Administration C-24
Insurance, Liability/Property Administration C-24
Insurance, Workers Compensation Administration C-24
Internet, World Wide Web Administration C-22
Interpretations Development C-28
Intersection Records Public Works C-43
Inventory Finance C-29
Inventory, Equipment Parts & Supplies Transportation C-47
Inventory, Equipment & Supplies Public Safety C-32&C-33
Inventory, Equipment - Parks Public Works C-42
Inventory, Equipment - Water Public Works C-45
Inventory, Information Systems Administration C-22
Inventory, Records Administration C-23
Inventory, Traffic Control Device Public Works C-43
Inventory, Vehicle Ownership and Title Transportation C-47
Investigations - Background Public Safety C-40
Investigations - Background Hired Public Safety C-40
Investigations - Notifications Public Safety C-34
Investigations, Evidence Arson - Administration Public Safety C-32
Investigations, Evidence Arson - Reports Public Safety C-33
Investment Transactions Finance C-30
Invoices Finance C-29
Jail - Daily Logs Public Safety C-35
Jail - Inmate Record Public Safety C-35
Jail - Inspection Files Public Safety C-35
Jail - Surveys Public Safety C-35
Journals - Utility Billing Finance C-29
Journals, Fire Station Public Safety C-32
Labor Distribution Finance C-30
Land Uses, non-conforming Development C-25
Landscape - Parks Public Works C-42
Landscaping – Streets/Alleys Public Works C-43
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-10
INDEX .
ITEM CATEGORY PAGE
Ledger, General - Voucher Finance C-29
Legal Advertising Administration C-23
Licenses - Bicycle Public Safety C-35
Licenses - Bingo, Mace Public Safety C-35
Licenses - Business License Review Board Public Safety C-35
Administrative Files
Licenses - Duplicate (Pink), Secondhand Dealer, Public Safety C-35
Pawn Brokers
Licenses, Permits Transportation C-47
Liens & Releases - Recorded Development C-26
Liens & Releases - Supporting Development C-26
Lighting Public Works C-43
Lobbyist Registration Administration C-18
Locations Public Works C-45
Logs Development C-27
Logs - Administration Development C-25
Logs - Auto Theft Public Safety C-35
Logs - Case Assignment Public Safety C-35
Logs - Code Enforcement Development C-27
Logs - Daily, Activity Public Safety C-35
Logs - Daily, Officer Public Safety C-35
Logs - Daily, Report Summary Public Safety C-35
Logs - Investigative (Pre-Arrest) Public Safety C-35
Logs - Juvenile Detention Public Safety C-35
Logs - Property Control Public Safety C-35
Logs - Rap Sheet Public Safety C-35
Logs - Subpoena Public Safety C-35
Logs, Attorney Service Request Administration C-23
Logs, Fire Equipment/Gear Public Safety C-32
Lot Split Cases Development C-28
Maintenance and Operations Transportation C-47
Maintenance and Operations - Municipal Facilities Development C-28
Maintenance and Operations - Parks Public Works C-42
Maintenance and Operations - Public Works C-42
Sanitation/Solid Waste/Wastewater
Maintenance and Operations - Service Public Works C-45
Maintenance and Operations - Streets/Alleys Public Works C-43
Maintenance and Operations - Well & Pumping Public Works C-45
Maintenance, FAA Transportation C-47
Management Reports Administration C-24
Maps & Plats Development C-26
Maps - Parks Public Works C-42
Maps - Streets/Alleys Public Works C-43
Maps - Water Public Works C-45
Maps, City Boundary Development C-28
Maps, Plans, Drawings, Exhibits, Photos Development C-28
Maps, Precincts/Voter Information Administration C-18
Maps, Septic Tank Public Works C-42
Master Plans - Streets/Alleys Public Works C-43
Master Plans - Water Public Works C-45
Master Plans, Annual Development C-26
Media Relations Administration C-24
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-11
INDEX .
ITEM CATEGORY PAGE
Medical Leave Administration C-20
Medical - Personnel Public Safety C-32
Meter Operations Public Works C-45
Meter Reading Finance C-30
Minutes Administration C-23
Minutes, Board Public Works C-42
Motor Vehicle Pulls (DMV) Administration C-20
Municipal Code Administration C-23
Mutual Aid, Strategic Plans Public Safety C-32
Negotiation Administration C-20
Network Information Systems (LAN/WAN) Administration C-22
Nomination Papers Administration C-18
Non-Criminal Occurrences Public Safety C-36
Non-Safety Employees Administration C-21
Notices, Meeting Administration C-23
Notifications and Publications Administration C-18
Oaths of Office Administration C-18
Opinions Administration C-23
Ordinances Administration C-23
Parades & Special Events File Public Safety C-40
Parking - Lots Public Works C-43
Parking - Regulations Public Works C-43
Patrol Requests (Correspondence) Public Safety C-39
Pawn Slips/Tickets Public Safety C-35
Permits - Alcoholic Beverage Control License Public Safety C-40
Permits - Concealed Weapons Public Safety C-40
Permits - National Pollutant Discharge Elimination Public Works C-45
System (NPDES)
Permits - Others Public Works C-45
Permits Development C-26
Permits Public Works C-43
Permits, Construction Development C-26
Permits, Encroachment Public Works C-43
Permits, Hazardous Materials Storage Public Safety C-33
Permits, Improvement Public Works C-43
Permits, Other Development C-26
Permits, Oversize Load Public Works C-43
Permits, Parking Public Works C-43
Permits, Paving Public Works C-43
Permits, Uniform Fire Code Public Safety C-32
Permits, Use (Temporary) Public Works C-43
PERS Employee Deduction Reports Finance C-30
PERS, Social Security, SSI Administration C-21
Personnel Records (copies) Administration C-21
Pest Control Development C-27
Petitions - Elections Administration C-18
Petitions- Legal/Legislative Administration C-23
Photographs - Daily Report (Negatives) Public Safety C-35
Photographs - Inmates (Negatives) Public Safety C-35
Photographs - Negative Log Public Safety C-40
Photographs - Negatives, Misc. Public Safety C-40
Photographs - Personnel Public Safety C-40
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-12
INDEX .
ITEM CATEGORY PAGE
Photographs Development C-26
Photographs - Parks Public Works C-42
Photographs - Streets/Alleys Public Works C-43
Photographs, Negatives, Film Administration C-24
Plans, Capital Improvement, Projects Public Works C-43
Plans, Proposed Public Works C-42
Policies & Procedures, Departmental Administration C-19
Policies and Procedures - Naming and numbering Public Works C-43
Policies and Procedures - Speed Limits Public Works C-44
Policies and Procedures - Parks Public Works C-42
Policies and Procedures - Water Public Works C-45
Policy, Council/Proclamations Administration C-23
Precinct Records Administration C-19
Press Releases Public Safety C-40
Press, Video Programs (Community Relations) Public Safety C-40
Program Files and Directories Administration C-22
Programs - Federal Aid Urban Public Works C-44
Programs - Traffic Safety Public Works C-44
Programs Development C-27
Programs, Household Hazardous Waste Public Safety C-33
Projects, Not Completed or Denied Development C-26
Promotional Marketing – Eternal, Internal Administration C-19
Property Files Public Safety C-40
Property Original Public Safety C-37
Property, Pawn Broker/Secondhand Public Safety C-40
Public Records Request Administration C-23
Radar Calibration Records Public Safety C-39
Railroad Right-of-way Public Works C-42
Range Inventory Public Safety C-37
Rates - Sanitation/Solid Waste/Wastewater Public Works C-42
Rates - Water Public Works C-45
Reclamation Public Works C-45
Records Management Disposition Certification Administration C-23
Records Management Administration C-23
Records Retention Schedule Administration C-23
Recruitment Administration C-21
Recycling Programs Public Works C-42
Redevelopment Development C-28
Register Finance C-30
Registers, Transient Vessel Reservation Transportation C-48
Registration Files, Arson, Sex and Narcotics Public Safety C-36
Regulations Development C-27
Regulations Public Works C-42
Relocation Files Development C-28
Report, Accident (Copies) Transportation C-48
Reports - Accident and Incident (Aircraft) Transportation C-48
Reports - Accident Public Safety C-39
Reports - Accident Public Works C-42
Reports - Activity Public Safety C-33
Reports - Airport Operational (Administrative) Transportation C-47
Reports - Airport Operational (Regulatory) Transportation C-47
Reports - Audit Administration C-17
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-13
INDEX .
ITEM CATEGORY PAGE
Reports - Bridges & Overpasses Public Works C-44
Reports - Chemical Emissions Public Safety C-33
Reports - Conservation Public Works C-45
Reports - Consumption Public Works C-45
Reports - Corrosion Control Public Works C-45
Reports - Dealer of Gun Sales, Duplicate Public Safety C-40
Reports - Departmental Administration C-19
Reports - Discharge Monitoring Public Works C-45
Reports - Drinking Water Corrections Public Works C-45
Reports - Federal and State Tax Finance C-30
Reports - Human Resources Administration C-21
Reports - Hydrograph Public Works C-45
Reports - Inspection Public Works C-44
Reports - Lead Service Line Public Works C-45
Reports - NOTAM (Notice to Airmen) Transportation C-48
Reports - Others Public Works C-42
Reports - Public Education Public Works C-46
Reports - Quality Parameters Public Works C-46
Reports - Sanitary Surveys Public Works C-46
Reports - Source Water Public Works C-46
Reports - Staff Administration C-19
Reports - State Certification Public Works C-46
Reports - Studies (Sanitation/Solid Waste/Wastewater) Public Works C-42
Reports - Studies Public Works C-42
Reports - Studies Public Works C-43
Reports - Survey Response Files Public Safety C-33
Reports - Tonnage Public Works C-42
Reports - Traffic Collision Fatalities Public Safety C-39
Reports - Traffic Count Public Works C-44
Reports - Variances, Water System Public Works C-46
Reports - Vehicle Accident Public Works C-44
Reports - Well Level Public Works C-46
Reports Development C-26
Reports Public Safety C-37
Reports, Federal and State - Code Enforcement Development C-27
Reports/Studies Public Works C-43
Requisitions - Purchase Orders Finance C-40
Requisitions - Stores Finance C-40
Research Project Files Public Safety C-37
Resolutions Administration C-23
Resolutions, Board Public Works C-42
Restraining Orders, Emergency Protective Orders, Public Safety C-40
Temporary Restraining Orders, Legal Stipulations,
Orders After Hearing
Reviews, Internal/External Periodic Administration C-17
Risk Management Reports Administration C-24
Roster of Voters Administration C-19
Rosters (Divisional) Public Safety C-40
Routes, School Bus & Truck Public Works C-44
Safety Employees Administration C-21
Salary Records Finance C-30
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-14
INDEX .
ITEM CATEGORY PAGE
Schedules - Daily Public Safety C-40
Schedules - Municipal Clerk Administration C-23
Schedules - Watch Assignment/Timekeeping Records Public Safety C-40
Schedules, Class & Events Public Works C-42
Sealed - Adult Found Factually Innocent Public Safety C-38
Sealed - Juvenile Public Safety C-38
Seismic Retrofit Program Development C-26
Signage Public Works C-44
Signs (Temporary) Development C-26
Slip Rental Index Transportation C-48
Slip Rental Permits Transportation C-48
Slip Rental Waiting List Transportation C-48
Soil Development C-27
Soil Reports Development C-27
Sources Public Works C-46
Speaker Requests Public Safety C-40
Special Districts Development C-27
Special Projects Administration C-19
State Controller Finance C-30
Statistical (Crime Analysis) Public Safety C-37
Statistical (UCR), Uniform Crime Reports Public Safety C-37
Street Names and House Numbers Development C-26
Street/Alley (Abandonment/ Vacation) Development C-27
Studies, Special Projects & Areas Development C-26
Subpoenas (Duplicate) Public Safety C-38
Support Services Administration C-19
Surplus Property - Auction Finance C-29
Surplus Property - Disposal Finance C-29
Surveyor Field Notes Public Works C-46
Surveys Development C-26
Surveys and Studies Administration C-21
Surveys, Water System Sanitary Public Works C-46
Tapes - Audio, Telephone and Radio Communications Public Safety C-38
Tapes - Audio, Video Administration C-23
Tapes - Surveillance/Security Video (Jail) Public Safety C-38
Tapes Information Systems Administration C-22
Taxes Receivable Finance C-29
Tests - Bacteriological Analysis Public Works C-46
Tests - Chemical Analysis Public Works C-46
Tests - Quality Public Works C-46
Tests, Densitometer Results (Photo Lab) Public Safety C-40
Traffic Signals Development C-27
Traffic Signals Public Works C-44
Training - Bulletins Public Safety C-41
Training - Event Files Public Safety C-41
Training - Lesson Plans, Range Public Safety C-41
Training Materials Public Safety C-33
Training - Personnel Public Safety C-32
Training - Personnel (by name) Public Safety C-41
Training - Schedules, Range Public Safety C-41
Training Records - Non-Safety Administration C-21
Training Records - Personnel (by name) Administration C-21
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-15
INDEX .
ITEM CATEGORY PAGE
Training Records - Safety Administration C-21
Travel Records Administration C-19
Underground Public Works C-44
Underground Storage Tank - Public Safety C-33
Maintenance and Operations
Underground Storage Tank - Compliance Public Safety C-33
Unsuccessful Grants Administration C-19
Use of Force Supervisory Review Files Public Safety C-38
Utility Rebates Finance C-30
Valve Main Records Public Works C-46
Vehicle Assignment Transportation C-47
Vehicle Ownership & Title Finance C-29
Vehicle - Assignment Reports Public Safety C-39
Vehicle - Down Reports Public Safety C-39
Vehicle Mileage Reimbursement Rates Administration C-21
Vehicle - Repossession/Private Impounds Public Safety C-39
Vehicle - Service Schedules Public Safety C-39
Vendor Register Finance C-30
Vests, Bulletproof Letters Public Safety C-39
Violations, Drinking Water Public Works C-46
Violations, Building, Property & Zoning Development C-27
Volunteer Card Files Public Safety C-41
Voter Affidavits Administration C-19
Voter Registration Signature Copy Administration C-19
Warrant Register Finance C-29
Warrants - Felony Public Safety C-38
Warrants - Misdemeanor Criminal Public Safety C-38
Warrants - Parking Public Safety C-39
Warrants - Served Public Safety C-38
Warrants - Traffic Public Safety C-39
Warrants - Unserved (Local) Public Safety C-38
Weapons, Database Public Safety C-39
Weed Abatement Public Safety C-33
Weigh Scales Public Works C-44
Workers Compensation Administration C-24
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-16
LEGEND
Records Retention
AC = Active AD = Adoption
AU = Audit CL = Closed/Completion
CU = Current Year DOB = Date of Birth
E = Election L = Life
P = Permanent S = Supersede
T = Termination
CITATIONS
B&P – Business and Professions H&S – Health & Safety
CAC – California Administrative Code HUD – Housing and Urban
Development
CCP – Code of Civil Procedure OSHA – Occupational Safety & Health
Act
CCR – Code of California Regulations PC – Penal Code
CEQA – California Environmental POST – Police Officers Standards
Quality Act Training
CFR – Code of Federal Regulations UFC – Uniform Fire Code
EC – Election Code USC – United States Code
FMLA – Family & Medical Leave Act, WIC – Welfare & Institutions Code
1993
GC – Government Code
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-17
ADMINISTRATION
Record Series Retention Citation Descriptor
AUDIT
Annual Financial
Report
CL + 2 GC34090 Independent auditor analysis
Bonds CL + 10 GC34090;
CCP 337.5
Final bond documentation
Budget P GC34090 Annual operating budget approved by Legislative
Body
Budget Operating
(copies)
S GC34090 Departmental Reference
Hearing or Review AU + 2 GC34090;
OMB A-128
Documentation created and or received in connection
with an audit hearing or review
Reports AU + 4 GC34090;
OMB A-128
Internal and/or external
Reviews,
Internal/External
Periodic
CU GC34090;
GC6250
Daily, weekly, monthly, quarterly or other summary,
review, evaluation, log, list, statistics, except a report
COMMUNITY
SERVICES
Libraries CU + 2 GC 34090 Books, art, gifts, donations, exhibits, theatre, music,
special events, etc.
Plaques P Historic value
Sports Organization S + 2
ELECTIONS
Affidavit Index CL + 5 EC 17001
Applications, Absentee
Ballots and Envelopes
E + .5
EC 17505;
EC 17302
From date of election
Assisted, Challenged
Voters List
E + .5 EC 17304 From date of election
Ballots E + .5 EC 17302 From date of election; ballots submitted to
precincts/City Clerk that were not used - unless
contested (EC 17302(c)) retention by court order
Ballots
Prop. 218
(Assessment
Districts)
P California
Constitution
Art. XIII
Property related fees (Assessment Ballot proceeding)
Calendar E + 2 GC 34090
Canvass P GC 22932;
EC 17130;
EC 2653
Notifications and Publication of Election; Records
used to compile final election results, including tally
sheets, voting machine tabulation, detailed
breakdown of results; special election results
Certificates of Election T + 4 GC 81009(a)
(d)
Certificates of election; Original reports and
statements
Charter
Amendments/
Measures
P GC34458-60;
GC34090
Chapter designations by Secretary of State following
adoption of voters
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-18
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Fair Political Practices
Administration/
Campaign
Statements and
Conflict of Interest
CU + 5 FPPC Opinions
Campaign
disclosure, Elected
P GC81009(b)
(g)
FPPC Filings
Campaign
disclosure,
Not Elected
E + 5 GC81009(b) FPPC Filings
Campaign
disclosure -
Unsuccessful
(all other
committees)
E + 7 GC81009 FPPC Filings
Candidate
Statements
E + 4 Sample ballot retained permanently.
History P GC 34090 History of elections, sample ballots, certificates of
destruction, other resolutions re: elections
Statement of
economic interest -
Elected Officials
T + 7 GC
81009(e)
FPPC Filings
Statement of
economic interest -
Not Elected
E + 5 GC
81009(b)
FPPC Filings
Lobbyist Registration P EC
81009(b)
Statements
Maps, Precincts/Voter
Information
E + 2 GC 34090;
EC 17501;
EC 17301
Nomination Papers
Successful
Unsuccessful
E + 4
E + 2
EC 17100
GC
81009(b)
Notifications and
Publications
E + 2 GC 34090 Proof of publication or posting, certification and listing
of notice of posting; copy of newspaper notice and
certification of offices to be voted for at forthcoming
election
Oaths of Office T + 6 GC34090;
29 USC
1113
Elected Officials
Petitions .75 EC 17200,
17400; GC
7253.5; EC
14700 + GC
3756:8
From date of filing or election; Initiative, referendum,
recall, Charter Amendments
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-19
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Precinct Records E + .5
EC 17503 From date of election: Precinct official material;
declaration of intention, precinct board member
applications, orders appointing members of precinct
boards and designating polling places
Includes notice of appointment of office and record of
service
Roster (Of Voters) E + 5 EC 17300 From date of election; Initiative, referendum recall,
general municipal election, Charter Amendments
Voter Affidavits CL + 5 EC 17000
Voter Registration
Signature Copy
CU + 5 EC 17000 Fire, special or school district
GENERAL SUBJECT
Administration P GC 34090
Biographies CU + 2 GC34090
Classifications and
Appointments
P GC 34090;
GC 12946;
29 CFR
516.6(2); 29
CFR 1602.4
Includes supplemental Personnel records. Wage rate
tables 2 years.
Correspondence/
Originating Department
CU + 2 GC34090(d) If not attached to agreement or project file
Goals & Objectives CU + 2 GC34090 Departmental goals & objectives
Policies & Procedures,
Departmental
S + 5 GC34090(d) Retain while current
Promotional Marketing
External CU + 7
Internal 2
Reports
Departmental CU + 2 GC34090 Special/or final summary, review or evaluation
Staff CU + 2 GC34090 Non-agenda related, includes supporting
documentation
Special Projects CU + 2 GC34090
Support Services CU + 2 GC34090 Reproduction; printing; postal/mailing services, other
internal resources
Travel Records CU + 2 GC34090
GRANTS
Community
Development Block
Grant and Urban
Development
T + 4 GC34090;
24 CFR
570.502
24
CFR85.42*
Applications, reports, contracts, supporting documents;
*OMB Cir. A-102, A-110, A-128
Federal and State CL + 5 GC34090 Refer to grant application close-out procedure
Financial Records CL + 5 GC34090 Refer to grant application close-out procedure
Unsuccessful CL + 2 GC34090 Applications not entitled
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-20
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
HUMAN RESOURCES
Benefit Plan Claims P
GC6250 et
seq;
OMB A-129
29 CFR
1602.30;
32; Lab Rel
Sec 1174*
May include dental, disability, education, health, life and
vision including dependent care and Employee
Assistance
*29 CFR 1637.3; 29 USC 1027; 29 CFR 1627.3; 29 USC
1113
Benefit Plan
Enrollment, Denied
CL + 4 GC34090;
OMB A-128
Bond, Personnel
Fidelity
T + 2
GC34090 Employee Fidelity Bonds
Employee Handbook S + 2 GC 34090 General employee information including benefit plans
Employee Programs CL + 2 GC 34090;
GC 12946
Includes EAP and Recognition
Employee Rights
General Employees
Safety (Police)
T + 2
T + 5
GC12946;
29 CFR
1602; 29
USC 211
(e); 203(m);
207(g)
May include Arbitration, grievances, union requests,
sexual harassment and Civil Rights, complaints,
disciplinary actions
Hourly Employees T + 6 GC12946;
GC34090*
*29 CFR 1627.3, Labor Relations Section 1174
Immigrant Immigratio
n
Reform/Co
n-trol Act
1986 Pub. L
99-603
I-9's
Medical Leave CL + 30
FMLA 1993
US OSHA;
29 CFR ;
1910.20*
May include Family leave; certifications; tests; W-4's;
*29 CFR 1602.30.32; 49 CFR 193-9;
Motor Vehicle Pulls
(DMV)
CL + 7 GC12946, * *CA 91009; 8 USC 1324 (a)
Negotiation P 29 USC
Sections
211(c),
203(m),
207(g)
Notes, notebooks, correspondence, contracts, and
Memorandums of Agreements
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-21
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Non-Safety Employees T + 3 Reference:
29 CFR
1627.3;
CCR Sec
1174; 29
CFR
1602.30.32;
GC6250 et
seq; 29
CFR; GC
12946,
34090*
Non-safety employees may include: Release
Authorizations; Certifications; Reassignments; outside
employment; commendations disciplinary actions;
terminations; Oaths of Office; evaluations-pre-employee
medicals; fingerprints; identification cards (ID=s)
*1607.4; 29 CFR 655.202; 29 CFR 516.6 et seq; 45 CFR
1068.6(a)
Personnel Records
(copies)
CU + 2 GC34090;
GC6250
Attendance; evaluations; drafts; worksheets; postings
PERS, Social Security,
SSI
P 29 CFR
1627.3(2);
GC 12946,
34090
EEOC/ADEA
Recruitment CL + 3
Reference:
GC12946;
GC6250 et
seq;
29 CFR
1602 et seq
29 CFR
1607;
29CFR
1627.3
Applications, resumes, alternate lists/logs, indices;
ethnicity disclosures; examination materials;
examination answer sheets, job bulletins; eligibility;
electronic database
Reports CU + 2 GC34090 Employee statistics, benefit activity; liability loss
Safety Employees T + 5
Reference:
29 CFR
16273; CCR
Sec 1174;
29 CFR
1607.4; *
Police, fire, emergency employees may include; Release
Authorizations; Certifications Reassignments; outside
employment; commendations disciplinary actions;
terminations; Oaths of Office; evaluations-pre employee
medicals *29 CFR 1602.30.32; 29 CFR 655.202; 29 CFR
516.6 et seq; 45 CFR 1068.6(a)
Surveys and Studies CU + 2 GC 12946,
34090; 29
CFR
516.6(2); 29
CFR
1602.14
Includes classification, wage rates
Training Records
Non-Safety
CU + 7 GC6250 et
seq
Employee applications, volunteer program training,
class training materials, internships;
Personnel (by name) T + 7 GC34090 Paperwork documenting officers internal and external
training
Safety CU + 2 GC34090 Certifications/designations
Vehicle Mileage
Reimbursement Rates
S + 2 GC 34090 Annual mileage reimbursement rates
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-22
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
INFORMATION
SERVICES
Internet, World Wide
Web
S + 2 GC34090 Management/Policies and supporting documentation
Inventory, Information
Systems
S + 2 GC34090 Hardware/Software Inventory logs; systems manuals
Network Information
Systems (LAN/WAN)
CU + 4 GC34090;
CCP 337.2;
343
Configuration maps and plans
Program Files and
Directories
CU + 2
CU + (2
mos.)
CU + 1
CU + .5
GC34090;
GC34090.7
Annual backup
Daily backup
Monthly backup
Weekly backup
Tapes Information
Systems
CU + 2
GC34090 System Generation
LEGAL/ LEGISLATIVE
Agendas CU + 2 GC34090 Original agendas and special meeting notices, including
certificates of posting, original summaries, original
communications and action agendas for Council,
Boards and Commissions
Agenda Reports
(Master, Subject Files)
CU + 2 GC34090
(d)
Documentation received, created and/or submitted to
Council
Appeals, Civil CU + 3 CCP
583.320(a)(
3); GC
34090
Applications, Boards,
Commissions,
Committees
CL + 2 GC34090 Not selected
Applications, Boards,
Commissions,
Committees
T + 5 GC34090;
GC40801
Selected
Articles of
Incorporation
P GC34090;
CCP 337.2
Case Log CL + 7 CCP 337.2;
343
From Close of cases listed; Chronological listing of
cases
Case Records - (High
Profile)
P GC6254 Significant cases which have importance/or set legal
precedence. Includes logs, complaints, police reports,
court orders, motions, notes, briefs
Case Records CO + 7 42 USC
s1983
Includes logs, complaints, police reports, court orders,
motions, notes, briefs, closing statements (unless
minors - 3 years after attaining 18)
Contracts and
Agreements
Excl. Capital
Improvement
T + 5
CCP 337.2,
343;
B&P7042.5;
*
Includes leases, equipment, services or supplies
*PU7685; 48 CFR:2; GC53066
Incl. Capital
Improvement
P 2.08.110;* Construction
*GC37090a; 4004; H&S 19850
Index, Attorney Case L GC6254 Including notations on activities related to case
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-23
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Legal Advertising CU + 4 CCP 343,
349 et seq.;
GC 911.2;
GC 34090
Includes public notices, legal publications
Logs, Attorney Service
Request
CU + 2 GC34090 Service request, summaries of monthly requests
Minutes P GC34090(d)
; GC36814;
GC40801
Official minutes and hearing proceedings of governing
body or board, commission or committee
Notices, Meeting CU + 2 GC
34090.7,
54960.1(c)(
1)
Special meetings
Opinions S + 2 GC34090;
GC6254
Confidential
Ordinances P GC34090(d)
40806
Charter amendments; municipal code
Petitions CU + 1 GC50115;
GC6253
Submitted to legislative bodies
Resolutions
P GC34090(d)
40801
Legislative actions
Tapes, Audio/Video CU + 3
mos.
GC 34090.7 When used for minute preparation and may have
historical value.
MUNICIPAL CLERK
Assessment Districts P GC 34090 Original documentation
Inventory, Records
CU + 2
GC34090;
80 OPS
Atty. Gen.
106
Inventory of non-current or inactive records holdings
and location, indices. Tapes may be recycled.
Municipal Code P GC 34090 Supplements included
Public Records
Request
CL + 2 GC 34090
Records Management CL + 2 GC34090 Document includes retrieval, transfers - inactive
Records Management
Disposition
Certification
P
GC34090 Documentation of final disposition or records
Records Retention
Schedules
S + 4 CCP 343
POLICIES/
PROCEDURES
General Administrative S + 2
GC34090;
40801
All city policies and procedures
Policy, Council/
Proclamations
S + 2 GC34090 Policies, directives rendered by Council not assigned a
resolution or ordinance number
PUBLIC FINANCING
AUTHORITY
Administration P GC 34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-24
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Financial Records P GC 34090,
40802,
53901
Management Reports 2 GC 34090
PUBLIC INFORMATION
Brochures,
publications,
newsletter, bulletins
S + 2 GC 34090
Calendar, City CU + 2 GC 34090
Media Relations CU + 2 GC 34090 Includes cable, newspaper, radio, message boards,
presentations.
RISK MANAGEMENT
Accident Reports - City
Assets
CL + 7 29 CFR
1904.2; 29;*
Reports and related records
* CFR 1904.6
Bonds, Insurance P CCP 337.2;
343
Bonds and insurance policies insuring city property and
other assets
Claims, Damage CL + 5 GC34090;
GC25105.5
Paid/Denied
Incident Reports CL + 7 29 CFR
1904.2; 29
CFR 1904.6
Theft, arson, vandalism, property damage or similar
occurrence (excluding fire/law enforcement)
Insurance, ACCEL JT
Powers Agreement
P
GC34090 (Authority California Cities Excess Liability Insurance) B
Accreditation/ MOU=s/agreement/agendas
Insurance, Certificates P GC34090 Insurance certificates filed separately from contracts,
includes insurance filed by licensees
Insurance,
Liability/Property
P
GC34090 May include liability, property, Certificates of
Participation, deferred, use of facilities
Insurance, Workers
Compensation
P GC6410;
29 CFR
1910.20
Indemnity; PERS - working files - originals with
Administrator
Photographs,
Negatives, Film
CL + 2 GC34090
Risk Management
Reports
CL + 5 OMB 1220-
0029; 29
CFR1904.4;
GC 34090
Federal OSHA Forms; Loss Analysis Report; Safety
Reports ; Actuarial Studies
Workers
Compensation
P CCR 14311;
15400.2;
CA
Labor Code
110-139.6
Claim Files, Reports, Incidents
(working files) originals filed with Administrator
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-25
DEVELOPMENT
Record Series Retention Citation Descriptor
ADMINISTRATION
Benchmark Data CU + 2 GC34090d Horizontal, vertical & control
Bids & Proposals
(Unsuccessful)
CL + 2 GC34090d
Bonds
Development
CL + 10 CCP 337.5 Housing; Industrial Development
Security CL + 2 GC34090 Documentation created and or received in connection
with the performance of work/services for the city, or
for parcel maps and subdivision work
Code Books P GC34090e National Electrical Code, Uniform Building, Fire,
Mechanical, Plumbing & Supplements
Contractor CU + 2 GC34090d Current listing
Correspondence CU + 2 GC34090d Working documentation
Development
Conditions
L GC34090 Mitigation measures; filed with case files
Development
Agreements
P CCP337,
337.1(a),
337.15;
GC34090;4
8 CFR
4.703
Infrastructure contracts, franchises. Original
maintained for 7 years.
Development
Standards
P GC34090a Landscape mediums, parkway landscape
development, public works construction
Drawings, Project Plan CU + 2 GC34090d Does not include those usually filed with case or
project
Franchises P GC65864,
65869.5,
34090*
Including subdivision agreements, contracts for sale
or purchase of property, cable, grant of easements
and/pr involving construction of improvements
*CCP 337.2, 343; AC16023
General Subject Files CU + 2 GC34090d Internal working files including correspondence
Grants,
Community/Urban
Development (includes
CDBG)
CL + 4 24CFR
570.502(b)
(3);
241CFR
85.42 &
OMB Cir. A-
110, Attach.
C; *
Project files, contracts, proposals, statements, reports,
sub-recipient dockets, Environmental review, grant
documents, applications, inventory, consolidated plan,
etc. Includes Section 108 loan guarantee *OMB Cir.
A-102 & 128, HUD regulations
Historic Preservation
Inventory
2 GC34090d Historic structures & landmarks
Incident Files 2 GC34090d Emergency Call Outs
Land Uses,
nonconforming
P GC34090a Building or site usage which does not conform to
current standards
Logs CU + 5 Logs, registers or similar records listing permits,
certificates of occupancy issued; may include
inspection, building activity, daily, plan check, utility
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-26
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Maps & Plats P GC34090a Engineering & field notes and profiles; cross-section
of roads, streets, right-of-way, bridges; may include
annexations, parks, tracts, block, storm drains, water
easements, bench marks, trees, grading, landfill, fire
hydrants, base maps, etc.
Master Plans, Annual S + 2 GC34090 Special or long range program plan for municipalities –
coordination of services; strategic planning
Permits, Construction P GC34090a;
H&S19850;
4003; 4004
Plans, building, signs, grading, encroachment,
including blueprints and specifications
Permits, Other CL + 2 GC34090d Alterations, encroachment, excavations, road, street
sidewalks & curb alterations, transportation,
swimming pool drainage, temporary uses, etc.
Photographs S + 2 GC34090d Aerial photographs
Projects, Not
Completed or Denied
CL + 2 GC34090d Building, engineering, planning
Reports CU + 2 GC34090 Activity, periodic
Seismic Retrofit
Program
P GC34090a Includes Certificates of Compliance
Street Names and
House Numbers
P GC34090a Street dedications, closings, address
assignment/changes
Studies, Special
Projects & Areas
CL + 2 GC34090d Engineering, joint powers, noise, transportation
Surveys P GC34090a Recording data and maps
BUILDING
Blueprints,
Specifications
CL + 2 GC34090d Submitted by contractors with application for permit
and builds for Certificate of Occupancy
Certificates L GC34090a Compliance, elevation, occupancy which affect real
property
Construction
(Approved)
P GC34090a;
4003; 4004;
H&S 19850,
19853
New commercial and residential construction, tenant
improvements room additions, spa, signs, block wall,
remodel including security bonds
Inspection CL + 2 GC34090d Correspondence, fees, appeal requests, reports
Permits P GC34909a;
H&S 19850;
4003;4004
Plans, building, signs, grading, encroachment permits
Signs (Temporary) S + 2 GC34090d Home occupations, off-premise signs
CODE ENFORCEMENT
Abandoned Vehicles CL + 2 GC34090d
Case Files CL + 2 GC34090d Building, housing and mobile home code violation
records including inspections; public nuisance
rubbish and weed abatement, vehicle abatement,
citations, massage parlor permits, general
Liens & Releases,
Supporting
Recorded
CL + 2
P
GC34090
Utilities, abatement, licenses
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-27
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Logs CU + 2 GC34090d Lien Recovery, citations, complaints
Regulations S + 2 GC34090d Includes rules
Reports, Federal and
State
P GC34090a Code enforcement statistics; may contain records
affecting title to real property or liens thereon
Violations, Building,
Property & Zoning
CL + 2 GC34090d Supporting code enforcement activity
ENGINEERING
Capital Improvement
Projects
CL + 10 CC337.15 Supporting documents including bidders list,
specifications, reports, plans, work orders, schedules,
etc.
Construction Tracking,
Daily
P CC337.15 Assesses value of real property
Drawings, Traffic
Control Plan
P GC34090a Signs, signing & striping, road construction
Flood Control CL + 2 GC34090d Storm Drains
Special Districts P GC34090a Supporting documents re: improvement, lighting,
underground utility; bonds, taxes & construction
Street/Alley
(Abandonment/
Vacation)
CL + 2 GC34090d Relinquishment of rights and fee title
Traffic Signals CL + 2 GC34090d Counts, collisions, accidents
ENVIRONMENTAL
QUALITY
Air Quality (AQMD) CU + 7 CCP
338(k);
GC34090
Participants/voucher logs, Total Daily Mileage Survey
(TDM); various local authorities; Commute Alternative
Asbestos P GC34090a Documents abatement projects, public buildings
California
Environmental Quality
Act (CEQA)
P GC34090a
+ CEQA
Guidelines
Exemptions, Environmental Impact Report, Mitigation
monitoring, negative declaration, notices of
completion and determination, comments, statements
of overriding considerations
Congestion
Management
CU + 2 GC34090d Ride sharing, trip reduction
Environmental Review CL + 2 GC34090d Correspondence, consultants, issues, conservation
Pest Control CU + 2 GC34090d Pesticide applications, inspections & sampling,
documents
Soil CL + 2 GC34090d Analysis, construction recommendations
Soil Reports P GC34090d Final Reports
HOUSING
Bonds CL + 4 CCP 337 Revenue Bond Documentation
Programs CL + 3 24 CFR
570.502(b)(
3); 24 CFR
85.42 &
OMB Cir. A-
110, #C
Includes comprehensive Housing Authority Strategy,
Meeting Credit Certificate, Housing bond advisory,
HOME, In-Lieu Housing Mitigation, Low/Moderate
Housing, Rental Housing Assistance
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-28
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Redevelopment
Budgets
Bond Issues
P
P
GC 34090,
40802,
53901
GC43900 et
seq.
Includes annual audit
MUNICIPAL FACILITY
Capital Improvements,
Construction
P 2.083110;
GC34090a;
4004; H&S
19850;
GC34090a
Contains records re: Planning, design, construction,
conversion or modification of local government-owned
facilities, structures & systems
Facility Rentals/Use CU + 2 GC34090 Permits, contracts, diagrams, schedules, insurance
binders
Maintenance &
Operations
CU + 2 GC34090d Service requests, invoices, supporting documentation;
buildings, equipment, field engineering, public
facilities including work orders and graffiti removal
PLANNING
Case files, Planning
and Zoning
P GC34909a;
H&S 19850;
4003;4004
Pertains to real property. May include blueprints,
drawings, maps, plans, reports, evaluations,
correspondence, uses, permits, variances, studies,
appeals, compliance certificates, lot line adjustments
or other planning-related matters brought before
legislative body
Certificates L GC34090 Retain during life of structure
Flood Records CU + 2 GC34090
General Plan and
Elements
P GC34090 Includes sphere of influence
General Plan
Amendments
Approved
Denied
CL + 2
CU + 3
GC34090
GC65103; *
* GC50110
Interpretations CU + 2 GC34090
Maps, Plans,
Drawings, Exhibits,
Photos
P GC34090;
H&S 19850;
GC34090.7
Zoning, tentative subdivision, parcel, land use map,
aerial photos, specific plans
PROPERTY
Abandonment P GC34090a Buildings, Condemnation, Demolition
Acquisition/
Disposition
Disposition
CL + 10 GC34090a;
GC6254
Supporting documents re: sale, purchase, exchange,
lease or rental of property by City
Annexation Case Files P GC34090a Reports, agreements, public notices
Appraisals CL + 2 GC34090;
GC6254(h)
Exempt until final acquisition or contract agreement
obtained
Deeds & Promissory
Notes
P GC34090a * * 24 CFR 570.502(b)(3); 24 CFR 8.42 & OMB Circ. SA-
110
Maps, City Boundary P GC34090d Recorded maps, surveys, monuments
Lot Split Cases P GC34090
Relocation Files CL + 2 GC34090 e.g., Redevelopment
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-29
FINANCE
Record Series Retention Citation Descriptor
ACCOUNTING
Accounts Payable AU + 4 GC34090 Invoices, check copies, supporting documents
Accounts Receivable AU + 4 GC 34090
Applications CL + 2 GC34090 Utility connections, disconnects, registers, service
Assessment Districts P GC 34090 Collection information; Original documentation files
with municipal clerk
Bank Reconciliation AU + 5 GC34090; 26
CFR 16001-1
Statements, summaries for receipts, disbursements &
reconciliation
Billing Records AU + 2 GC34090 Customer name, service address, meter reading, usage,
payments, applications/cancellations
Budget AU + 2 GC 34090
Budget adjustments,
journal entries
AU + 2 GC34090 Account transfers
Checks AU + 5 GC34090;
CCP 337
Includes payroll, canceled & voided checks
Deposits, Receipts AU + 4 GC 34090;
CCP 337
Checks, coins, currency
Invoices AU + 2 GC34090 Copies sent for fees owed, billing, related documents
Journals
Utility Billing CU + 2 GC34090 Billing including monthly activity
Ledger, General P GC34090; * * CCP 337
Voucher AU + 4 GC34090;
CCP 337
Account postings with supporting documents
Taxes, Receivable AU + 3 CCP338
Warrant Register AU + 2 GC 34090.7
ADMINISTRATIVE
SERVICES
Budget Operating
(copies)
S GC34090 Departmental Reference
Budget, Proposed CU + 2 GC34090 Presented to Council
Adopted P GC 34090
FIXED ASSETS
Inventory AU + 4 GC34090; 26
CFR 301 65-
1(F)
Reflects purchase date, cost, account number
Surplus Property
Auction AU + 2 GC34090 Listing of property
Disposal AU + 4 GC34090;
CCP 337
Sealed bid sales of equipment
Vehicle Ownership &
Title
L VC 9900 et
seq.
Title transfers when vehicle sold
LICENSE
Business T + 4 GC34090;
CCP 337
Paid & reports
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-30
FINANCE (CONTINUED)
Record Series Retention Citation Descriptor
PAYROLL
Adjustments AU + 4 GC 34090
29 CFR
516.5 – 516.6
Audit purposes
Employee Time Sheets AU + 6 GC34090; 29
CFR 516.2*
Signed by employee for audit & FEMA Reports
*20 CFR 516.6(1); IRS Reg. 31.6001-1(e)(z); R&T 19530;
LC 1174(d)
PERS Employee
Deduction Reports
T + 4 GC34090;
CAC 22-
1085-2
Record of deductions
(PERS Public Employee Retirement System) *26CFR
31.6001-1;29 CFR 516.5, 516.6, LC 1174(d)
Register P GC34090;
GC37207
Labor costs by employee & program
Salary Records T + 3 GC34090; 29
CFR 516.2
Deduction authorization, beneficiary designations,
unemployment claims, garnishments
PURCHASING
Bids, RFQ’s, RFP’s
Successful
Unsuccessful
AU + 4
AU + 5
CU + 2
GC34090;
CCP 337; *
Requests for Qualifications; Requests for Proposals
regarding goods and services * GC 25105-1; GC 34090
Requisitions
Purchase Orders AU + 4 GC34090;
CCP 337
Original documents
Stores CU + 2 GC34090 Completed forms for ordering
Vendor Register P GC34090 Alpha vendor listing of purchase orders, invoices,
account numbers and check date
REPORTS
Audits P GC 34090
Deferred Compensation T + 5 GC34090; 26
CFR 16001-
1*
Records of employee contributions and city payments
*29 CFR 1627.3(2)
Federal and State Tax AU + 4 GC34090;
29USC 436
*
Forms 1096, 1099, W-4’s and W-2's
*26 CFR 31.6001.1-4; IRS REG 31.6001-1(e)(2);R&T
19530;29 CFR 516.5-516.6
Financial, Annual AU + 7 GC 34090.7
Investment
Transactions
P GC34090;
CCP 337;
GC 53607
Summary of transactions, inventory & earnings report
Labor Distribution AU + 2 GC34090 Costs by employee & program
Meter Reading CU + 2 GC34090
State Controller P GC34090 Controller may destroy after 5 years
Utility Rebates CU + 2 GC34090
TREASURER
Bank Statements AU + 2 FC 3368,
30210; GC
43900 et
seq.
Financing authority
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-31
FINANCE (CONTINUED)
Record Series Retention Citation Descriptor
Bonds
Account
Statements
CL + 10 GC34090;
CCP 337.5
Monthly statement of transactions.
Administration CL + 10 GC34090;
CCP 337.5
Supporting documents
Bonds and
Coupons
CL + 2 GC34090;
53921
Paid/canceled
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-32
PUBLIC SAFETY
Record Series Retention Citation Descriptor
EMERGENCY
MANAGEMENT
Mutual Aid, Strategic
Plans
S + 2 GC34090
FIRE SAFETY
ADMINISTRATION
Books, Fire Code S + 3 GC34090.7
CCP 340.5
Include OPS manuals
General Orders,
Policies/Procedures
S + 2
Inspections, Fire
Prevention
CL + 3 UFC 103.34 Alarm/sprinkler systems, prevention efforts
Investigations,
Evidence Arson
P PC 799 Support prosecution resulting in homicide
Investigations,
Evidence Arson
CL + 6 PC 800 Great bodily harm, inhabited structure or property
Journals, Fire Station CU + 2 GC34090 Activities, personnel, engine company
Permits, Uniform Fire
Code
CL + 2 GC34090
PERSONNEL
Exposure T + 30 29 CFR
1910.1020
Sampling results, collection methodology, background
Exposure T + 1 29 CFR
1910.1020
Laboratory reports and worksheets
Medical T + 30 29 CFR
1910.1020
Medical T + 2 29 CFR
1910.1020; *
Employees less than one year
*GC34090
Training T + 2 GC34090 Certifications/designations
PROPERTY
Apparatus/Vehicle CU + 2 GC34090
CCP 340.5 *
Repair and Maintenance
*8 CAL Code Reg. 3203 (b) (1)
Inventory, Equipment &
Supplies
CU + 2 GC34090
Logs, Fire
Equipment/Gear
CU + 2 GC34090
REPORTS
Incident CL + 3 GC34090
CCP338 *
Dispatch and daily logs
*CCP 340.5
Field, Non-fire and Logs CU + 2 GC34090
Fire, Non-arson and
Logs
CU + 2 GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-33
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Investigations,
Evidence Arson
CL + 3 PC 801; UFC
104.32
Structure
Weed Abatement CL + 2 GC34090 Reports, assessments, resolutions, documentation
HAZARDOUS
MATERIALS
Hazardous Waste
Disposal
CU + 10 CAL OSHA;
40 CFR
122.21
Documentation re handling and disposal of hazardous
waste
Permits, Hazardous
Materials Storage
CU + 2 GC34090 Departments consistently recommend permanent
retention of environmentally sensitive materials.
Programs, Household
Hazardous Waste
S + 2 GC34090
Training Materials S + 2 Cal Code * Standards and Administration
*Reg. 3204(d), et seq.
Underground Storage
Tank
Compliance
Maintenance &
Operation.
P
CU + 2
GC34090a
GC34090
Documents re: storage
Location, installation, removal, remediation
LAW ENFORCEMENT
ADMINISTRATION
Accounting/Cash
Reconciliation
CU + 2
GC34090
Alarm Records CU + 2 GC34090
Claim Files CL + 6 PC 832.5 Claim copy, correspondence, photographs, supporting
documents relative to incidents involving the Police
Department filed by citizens
Department Manual S Changes to manual are recorded in the General Orders
(permanent)
Equipment
Communication
T + 2 GC34090 Retained until termination of equipment use; Manuals,
instructions, procedures
Inventory S + 2 GC34090 Listing of equipment assigned to division, to whom it is
assigned
Reports
Activity
CU + 2 GC34090 Weekly/monthly/quarterly/
annual activity/statistical reports by division. Retain
only one form for retention period
Chemical Emissions CU + 2 GC34090
Survey
Response
Files
CU + 2 GC34090 Surveys, responses, correspondence with other
agencies requesting statistical data
INVESTIGATIONS
Administrative/Internal
CL + 5 PC 832.5
EVC 1045
GC 12946
PC 801.5;
803(c)
VC 2547
Initiated by citizens complaints or internally initiated;
includes complaint, reports, findings
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-34
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Asset Forfeiture
Investigations/
Proceedings
Case File
CL + 2 GC34090
Notifications CU + 2 GC34090 To legal property owner prior to case filing that property
is subject to asset forfeiture proceedings. If case is
filed, notification becomes part of forfeiture case file.
Case Books,
Investigative
CL + 2 GC34090 Retained by division until a case is suspended/closed;
transfer to Records Division to be filed with associated
Daily Report (DR) file
Case Files
Homicide
Investigator’s
File
P PC 799
Narcotics (No
arrest, Narcotics Cases)
CL + 2 GC34090 Retained by division until no longer useful for
investigative purposes
Officer Involved
Shootings
CL + 25 GC34090
Court
Daily
Schedule
CU + 1 GC34090.7 Printouts of daily court scheduling
Sign-In Logs CU + 2 GC34090 Logs officers’ names, time in/out for court appearances
Tracking
System Records
CU + 2 GC34090 Database records subpoena number, officer name, case
number, defendant name, district attorney name, court
information disposition
Evidence, Disposition
Forms
Attach to duplicate Property Report, file w/DR in
Records Division
Fingerprint
Applicants Files
T + 2 GC34090 Paperwork authorizing fingerprinting and background
checks for city employment applicants and business
license applicants
Inked/Palm
Cards
AC + 20 Persons booked into detention facility; (Copies
distributed to county, state, federal agencies)
Records
Latents
Approp. PC
Section
1) Retain for applicable case statute of limitation; 2) or
until evidence in case is destroyed; Hard copy and
digitized
Suspect,
Adult/Juvenile
CL Law
Enforcement
Management
Guide by
POST
Adults/juveniles suspected of a crime, taken for
comparison. Destroy after original purpose achieved
Guns, Dealers Record
of Sale
CU + 6 PC 12070 Applicants, Monthly Gun Audits, Applications Denied,
Stolen (DOJ File)
Informant Files T + 10 Legal notifications, identification information, payment
information, activities information
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-35
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Record Series Retention Citation Descriptor
Jail
Daily Logs
CU + 6 GC34090 Daily report of staffing, bookings/releases, transfers,
transportation
Inmate Record Dependent on facility’s classification; see Laws and
Guidelines for Local Detention Facilities by Board of
Corrections (State of California)
Inspection Files CL + 6 Inspections by various agencies
Surveys CL + 2 GC34090 Prepared quarterly, forwarded to State Board of
Corrections
Licenses
Bicycle
CU + 2 GC34090
Bingo, Mace CU + 2 GC34090
Business
License Review Board
Administrative Files
T + 1 GC34090
Duplicate (Pink),
Secondhand
Dealer,
Pawn Brokers
CU + 2 GC34090 Original to licensee, Blue duplicate to DOJ; Pink
duplicate retained by agency; renewals issued annually
by local agency
Logs
Auto Theft
S
Case
Assignment
CU + 1
Daily
Activity
CU + 2 GC34090
Officer CU + 2 GC34090 Daily activity of incidents not reported by use of official
report
Report
Summary
CU + 2 GC34090 Report numbers, type, names, dates retained for
research value
Investigative
(Pre-Arrest)
CL + 10 GC34090 Retained by division until cases are suspended and
closed
Juvenile
Detention
CU + 2 GC34090 Logs document juvenile processing per CYA
Property
Control
CU + 2 GC34090 Logs items coming into and going out of property room
Rap Sheet CL + 2 GC34090 Requests for criminal history
Subpoena CU + 2 GC34090 Subpoenas received/served daily
Pawn Slips/Tickets CU + 3 B & P 21628
Photographs Crime Scene, Registrant/Applicant, Photo file, Accident.
Retain according to practical and functional
association.
Daily Report
(Negatives)
T GC34090 Assigned DR number, retained as form of evidence,
destroyed at same time evidence for associated case is
destroyed
Inmates
(Negatives)
CU + 20 By Prisoner number
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-36
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Registration Files,
Arson, Sex and
Narcotics
Life of
registrant
within juris-
diction
Fingerprint Card, photo, information also forwarded to
DOJ
Arrest/Conviction H&S
Section 11357 (b), (c),
(d), (e) or H&S Section
11360 (b) violations
(Occurring after
January 1, 1996)
2 (Man-
datory
destruc-
tion from
date of
convic-tion
or date of
arrest with
no convic-
tion)
H&S
11361.5
Applicable to convictions occurring after January 1,
1996 or arrests not followed by a conviction occurring
after January 1, 1996; Exception: H&S 11357(e), the
record shall be retained until a juvenile offender attains
the age of 18 years, then destroyed pursuant to 11361.5
Arrest/Conviction
H&S Section 11357(b),
(c), (d), (e) or H&S
Section 11360 (b)
violations (Occurring
before January 1, 1996)
Man-datory
Destruc-
tion
(Upon
notice from
Depart-
ment of
Justice)
H&S 11361.5
(c)
Applicable to convictions occurring prior to January 1,
1996 or arrests not followed by a conviction occurring
prior to January 1, 1996 for violations of H&S Code
11357, 11364, 11365 and 11550
Crime
Felony Crimes
With
Or Without
Arrests
See
descriptor
PC 800
PC 801
Prosecution for an offense punishable by imprisonment
in state prison for eight years or more must commence
within 6 years after offense commission.
Commencement of prosecution defined in PC 804.
Exception: See PC 803 - Tolling/Extension of time
periods; Appeals process and “Three Strikes” also
considerations in assigning retention.
Misdemeanor/
Infractions
CL + 2 GC34090 No arrests, identifiable property or missing persons
(See: Note 1)
Supplemental
Felony Capital Crimes,
Crimes Punishable by
Death, Life
Imprisonment
P PC 799 No statutory limitation for prosecution. Includes
Murder, kidnapping for ransom, treason, procuring
execution by perjury, train wrecking, assault with a
deadly weapon by a life-term prisoner, bombing
resulting in death or bodily injury, making defective war
materials that cause death
Destruction
Guns
P
Narcotics P
Disposition of
Arrest/Court Action
Retention determined by action taken; i.e., recordable
arrest or detention (released no arrest)
False Alarm (Duplicate) CU + 2 GC34090
Non-Criminal
Occurrences
CU + 2 GC34090 Injured or sick persons; missing persons where person
has been returned; traffic collision reports not used as
the basis for criminal charges
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-37
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Property Original Until case
is adjudi-
cated/
disposi-tion
deter-
mined
Copy retained in records case file; Refer to Managing
Property in Law Enforcement Agencies (By POST)
Range Inventory S + 2 GC34090 Quarterly reports of inventories of weapons and
ammunition held by Department Range
Reports
CU + 2 GC34090 Arrest & Citation Register; Arson Offenses; Crimes
Against Senior Citizens; Death in Custody; Domestic
Violence; FBI Include Return A/Supp;
Hate Crime Incidents; Homicide Reports, Supp.;
Officers Killed or Assaulted; Original to FBI - DOJ;
Uniform Crime Reports
Statistical (Crime
Analysis)
CU + 2 GC34090 Internally generated information using activity logs,
citizen calls, current and past crime statistic reports,
finance dept expenditure and budget records; citations,
crime reports, accident reports, permits, receipts.
Reports created for variety of purposes including
increases/decreases in criminal activity; officer
workload, deployment, time usage
Statistical (UCR),
Uniform Crime Reports
Mandatory to DOJ
(LEIC); FBI Include
Return A/Supplement;
Supplementary
Homicide Report; Law
Enforcement Officers
Killed or Assaulted;
Monthly Return of
Arson Offenses Know
to Law Enforcement;
Number of Violent
Crimes Committed
Against Senior Citizens;
Monthly Report of
Domestic violence
Related Calls for
Assistance; Monthly
Arrest and Citation
Register; Monthly Hate
Crimes Incidents; Death
In Custody Reporting.
CU + 2 GC34090 Originals sent to FBI, DOJ
Research Project Files CL + 2 GC34090 May include request forms, background materials, staff
reports, final project reports and supporting data
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-38
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Sealed
Adult Found
Factually Innocent
Manda-tory
Destruc-
tion Upon
and Pursu-
ant to Court
Order
PC 851.8 General provision: Upon petition, records of agency
must be sealed and destroyed in accordance with the
provisions set by court record; exceptions.
Juvenile Manda-tory
Destruc-
tion upon
and pursu-
ant to court
order
WIC 826 (a)
& (b)
WIC 781 (a)
Upon petition, local laws enforcement records within
WIC 826(b) may be destroyed as ordered by the court, if
related probation and juvenile court records have been
destroyed by the probation officer. Records involving
arrests, detention and/or petitioning juvenile before
juvenile court
Subpoenas (Duplicate) CU + 2 GC34090
Tapes
Audio,
Telephone and Radio
Communications
CU + 180
days
GC34090.6 Exception: Recordings used as evidence in a criminal
prosecution or claim filed or litigation or potential
claims and litigation shall be preserved for 100 days
after conclusion of the court action
Surveillance/Se
curity Video (Jail)
CU + 13
mos.
GC34090.6
Use of Force
Supervisory Review
Files
CU + 2 GC34090 Includes review forms, arrest report copies, logs
Warrants
Felony
Recall after
10 years.
Excep-tion:
Murder/
Escape
Recommended by the California Law Enforcement
Warrant Officer’s Association
Misdemeanor
Criminal
Recall after
5 years
Recommended by the California Law Enforcement
Warrant Officer’s Association
Served CU Includes Warrant Service Information Card, alpha index
card
Unserved
(Local)
Until
served,
recalled or
purged
PATROL
Cards
Dispatch
CU + 2 GC34090
Field Interview CL + 2 GC34090
Citations
11357(e),
Juvenile
CL + 2 11361.5 H&S
11357b H&S,
11357c H&S, 11360b
H&S Violations
CL + 2 11361.5
H&S*
*CA Admin Code, Chapter 1, Title II, Sec. 708
Cite and
Release
CL + 2 GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-39
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
California
Vehicle Code
Infractions (Duplicates)
CU + 90
days
GC34090 Original is forwarded to court.
Parking/Traffic,
Duplicates
CU + 2 GC34090.7 Originals are forwarded to court after agency
processing; includes citations electronically created
Transmittals CU + 2 GC34090 Listing of citations forwarded to court, filed for
reference
Equipment
Radio Logs
(Communication)
CU + 2 GC34090 Documents problems, malfunctions, resolution to
provide equipment performance history
General Orders P
Patrol Requests
(Correspondenc
e)
CU + 2 GC34090 From citizens for patrol presence
Radar Calibration
Records
T + 2 GC34090 Documentation of Radar instruments retained during
use/ownership
Reports
Accident
CL + 2 GC34090 Non-Jury
Traffic Collision
Fatalities
P
Vehicle
Assignment
Reports
S Record of assignments
Down Reports CU + 1 Printouts reporting which vehicles are down for repair,
maintenance, etc.
Repossession/P
rivate Impounds
CU + 2 GC34090
Service
Schedules
S GC34090
Vests, Bulletproof
Letters
CU + 2 GC34090 Authorization to purchase
Warrants
Parking
Recall after
1 year
Recommended by the California Law Enforcement
Warrant Officer’s Association
Traffic Recall after
5 years
Recommended by the California Law Enforcement
Warrant Officer’s Association
Weapons, Database P Departmentally-owned weapons, personal weapons,
alternate weapons, secondary handguns; produces
inventory reports
SERVICES
Chemicals/Film
Inventories
S
Equipment
Inventory/Sign-
out Cards- Photo
Lab
T
Operations Files
- Photo Lab
T Retain until equipment no longer owned/used by
department; Manuals, instructions, procedures for
use/operations of photographic equipment
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-40
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Grievance Files CL + 2 GC34090 Grievance filed by employees, supporting
documentation
Investigations,
Background
CL + 2 GC34090 Non hired
Background
Hired
P Include original reports re: PC 832.5 investigations
Parades & Special
Events File
CL + 2 GC34090 Reports, memos, correspondence, scripts, supplier
information, assignments, deployments, supporting
documentation
Permits
Alcoholic
Beverage Control
License
L + 2 GC34090 Approval process
Concealed
Weapons
CL + 2 GC34090
Photographs
Personnel
S + 2 GC34090
Negative Log CU + 2 GC34090
Negatives, Misc. CU + 2 GC34090 Not case-related (Public relations, promotions, events,
ceremonies, staff photos)
Press Releases CU + 2 GC34090
Press, Video Programs
(Community Relations)
CU + 2 GC34090 Collection of videos of programs and events; outside
press coverage of department
Property Files CU + 2 GC34090 Original reports and supplemental documentation (Lost,
Found, Safekeeping)
Property, Pawn
Broker/Secondhand
CU + 2 GC34090 Sales, slips. Dealer required to file duplicate with
agency
Reports
Dealer of Gun
Sales, Duplicate
CU + 6
mos.
GC34090.7 Original maintained by DOJ. Dealer required to file
duplicate with agency
Restraining Orders,
Emergency Protective
Orders, Temporary
Restraining Orders,
Legal Stipulations,
Orders After Hearing
CU
(See
descriptor)
Destroy after law enforcement actions described in PC
273.5, 273.6, 646.9, 12028.5, 13700 and Family Code
Sections 6380-6383 are fulfilled and effective date of
restraining order has expired.
Rosters (Divisional) S + 2 GC34090 Personnel assigned to division.
Schedules
Daily
CU + 2
GC34090
Schedules of Officers on duty
Watch
Assignment/
Timekeeping
Records
CU + 2 GC34090
Speaker Requests CU + 2 GC34090 Community and business requests for public
appearances, speakers
Tests, Densitometer
Results (Photo Lab)
T + 2 GC34090 Daily tests of development chemicals/processes for
quality control.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-41
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Training
Bulletins
P
Event Files CU + 2 GC34090 Correspondence, brochures, promotional materials, info
on speakers, guests, supporting documents
Lesson Plans,
Range
CL + 15 Scope, content, time period of courses
Personnel (by
name)
T + 7 GC34090 Paperwork documenting officers’ internal and external
training
Schedules,
Range
CU + 2 GC34090 Daily, weekly, monthly schedules of training events at
range
Volunteer Card Files T + 2 GC34090 Volunteers’ identification, contact information
Note 1: The destruction of felony, misdemeanor and infraction Crime/Supplemental Reports is
permitted providing:
1. They do not relate to an unadjudicated arrest except for H&S 11357 or H&S 11360
violations;
2. They do not relate to unserved warrants;
3. They do not involve identifiable items which have not been recovered;
4. They do not relate to PC 290, PC 457.1, or H&S 11590 registrants;
5. They do not relate to violations listed in PC Sections 799 and 800;
6. The cases are not presently involved in either a civil or criminal litigation.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-42
PUBLIC WORKS
Record Series Retention Citation Descriptor
PARKS
Agendas, Board CU + 2 GC34090
Grants (refer to Admin.)
Inventory, Equipment AU + 2 GC34090 Warranties, purchase orders
Landscape CU + 2 GC34090 Drawings, contracts, complaints, specifications,
photos, reports
Maintenance/
Operations
C + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints
Maps P GC34090 Irrigation, plot plans
Minutes, Board P GC34090
Photographs S + 2 GC34090
Plans, Proposed CU + 2 GC34090 Future plans, new sites, expansions
Policies and
Procedures
S + 2 GC34090 Includes rules and regulations
Railroad Right-of-way CL + 3 36 CFR
64.11
Land acquisitions, correspondence, improvements,
statutory records
Reports
Accident CL + 2 GC34090 Patrons, employees
Others CL + 2 GC34090
Studies CL + 2 GC34090 Future sites, expansions
Resolutions, Board P GC34090
Schedules, Class &
Events
CU + 2 GC34090 Enrollment, liability releases, evaluations, attendance,
flyers
SANITATION/ SOLID
WASTE/
WASTEWATER
Collections/Landfill CU + 2 GC34090 Daily records, usage
Facilities CU + 2 GC34090 Correspondence, maps, patron list
History, Sanitation P GC34090 Where City-owned
Incineration Plants,
Sludge
CU + 2 40 CFR
61.54
Sludge, sampling, charging rate to measure mercury
content
Incinerator Operations,
Treatment Plant
CU + 2 40 CFR
60.153
Gas flow through wet scrubbing, oxygen content of
exhaust gas, sludge rate, temperatures, fuel flow, total
solids and volatile solids
Maintenance and
Operations
CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints
Maps, Septic Tank P GC34090 Location maps
Rates CU + 2 GC34090
Recycling Programs S + 2 GC34090
Regulations S + 2 GC34090 Includes legislation
Reports
Studies CL + 2 GC34090
Tonnage CU + 2 GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-43
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
STREETS/ALLEYS
Abandonment/
Vacations
P GC34090
Closures P GC34090
Easements,
Dedications, Rights-of-
Way
P GC34090
Field Books P GC34090
Grants (see Admin.)
Intersection Records CU + 2 GC34090 Includes correspondence, volume counts, accident
history
Inventory, Traffic
Control Device
S + 2 GC34090 Signs, lights
Landscaping CU + 2 GC34090 Plants, tree maintenance, work orders
Lighting CU + 2 GC34090 Maintenance, work orders
Maintenance/
Operations
CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints, signals, striping
Maps P GC34090 Fire hydrants, lighting districts, wheel chair ramps,
storm drains, streets, sidewalks, sewers
Master Plans CU + 2 GC34090 Copies
Parking
Lots CU + 2 GC34090
Regulations S + 2 GC34090
Reports/Studies CL + 2 GC34090
Permits
Encroachment P GC34090
Improvement CL + 2 GC34090 May include curbs, sidewalks; Applications for
excavation, fill, alterations
Oversize
Load
CL + 2 GC34090
Parking CL + 2 GC34090 Residential
Paving CL + 2 GC34090
Use
(Temporary)
CU + 2 GC34090 Includes Special Events
Photographs S + 2 GC34090 Includes aerials
Plans, Capital
Improvement, Projects
P GC34090 Streets, curbs, gutters, sidewalks, storm drains
Policies and
Procedures
S + 2 GC34090 Includes rules, regulations, standards
Naming and
numbering
P GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-44
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Speed Limits S + 2 GC34090
Programs
Federal Aid
Urban
CL + 23 CFR 633
(a) & (c)
Traffic Safety S + 2 GC34090 Drivers Education, Pedestrian Safety, Bicycle Lanes
Reports
Bridges &
Overpasses
L GC34090 Life of structure
Inspection CU + 2 GC34090 Includes intersection, sidewalks. Bridges and
Overpasses, keep life of structure
Studies CL + 2 GC34090 Traffic volume, accident history, requests, statistics,
drawings supporting traffic devices
Traffic Count CL + 2 GC34090 Evaluation of traffic volume
Vehicle
Accident
CL + 2 GC34090
Routes, School Bus &
Truck
S + 2 GC34090 Truck routes, access ramps, rest areas
Signage L + 2 GC34090 Log books, index register cards, inventory lists,
records of traffic signs
Traffic Signals L Logs, drawings, wiring diagrams, codes, circuit
numbers, installation records, testing and
maintenance.
Weigh Scales S + 2 GC34090
UTILITIES
Facilities T + 2 GC34090 If city owned
Gas & Electric Rates S + 2 GC34090
Underground P GC34090 GC4003, GC4004; H&S 19850
WATER
Billing/Customer
Records
CU + 2 GC34090 Billings, correspondence, complaints
Connection Records P GC34090 Maps, water line connections
Flood Control
Drainage
Facilities
P GC34090 Includes dams, lakes, basins, creeks
Flood Zones P GC34090 Includes flood maps
Insurance
Programs
S + 2 GC34090 Includes copies of policies, rules, programs
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-45
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Policies/
Procedures
S + 2 GC34090 Rules and Regulations
Reports/
Studies
CL + 2 GC34090
Grants (see Admin.)
Inventory, Equipment CU + 2 GC34090
Locations P GC34090 Mains, valves, hydrants, wells
Maintenance and
Operations
CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints
Service CU + 2 GC34090 Includes work orders, entry cards, manholes, service
to property owners
Well & Pumping CU + 2 GC34090 Times operational, power used and quantity
Maps P GC34090 Line location; easements
Master Plans CU + 2 GC34090 Copies
Meter Operations CU + 2 GC34090 Reader reports, orders, tests Maintenance Reports
Permits
National
Pollutant
Discharge
Elimination
System
NPDES)
P 40 CFR
122.28
Municipalities of 100,000/more, compliance with Clean
Water Act re: pollutants
Others CU + 2 GC34090 May depend on terms of state or federal agency
Policies and
Procedures
S + 2 GC34090 Includes rules and regulations
Rates S + 2 GC34090
Reclamation CU + 5 40 CFR
122.41
Daily operations including sewage flow, grit removal,
chlorine usage, lab analysis results, etc.
Reports
Conservation CU + 2 GC34090
Consumption CU + 2 GC34090
Corrosion
Control
CU + 12 40 CFR
141.91
Compliance documentation
Discharge
Monitoring
CU + 5 40 CFR
122.41
Average amount of pollution discharged into waters of
municipality.
Drinking
Water
Corrections
CU + 10 40 CFR
141.33
Hydrograph P GC34090 Daily flow of streams
Lead
Service Line
CU + 12 40 CFR
141.91
Compliance documentation
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-46
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Public
Education
CU + 12 40 CFR
141.91
Compliance documentation
Quality
Parameters
CU + 12 40 CFR
141.91
Compliance documentation
Sanitary
Surveys
CU + 10 40 CFR
141.33
Statistics, reports, correspondence
Source
Water
CU + 12 40 CFR
141.91
Compliance documentation, e.g. lead & copper
State
Certification
CU + 12 40 CFR
141.91
Compliance documentation
Variances,
Water System
CU + 5 40 CFR
141.33
Well Level CU + 2 GC34090
Sources CU + 2 GC34090 May include wells, rivers, lakes, districts
Surveyor Field Notes P GC34090 Notes preparatory to maps of water installations
Surveys, Water System
Sanitary
CU + 10 40 CFR
141.33
Statistics, reports, correspondence
Tests
Bacteriological
Analysis
CU + 5 40 CFR
141.33
Compliance records include location, date, method
and results; corrections, analysis of bacterial content
Chemical
Analysis
CU + 10 40 CFR
141.33
Compliance records include location, date, method
used and results; corrections, analysis of chemical
content
Quality CU + 12 40 CFR
141.91
Compliance documentation including sampling data,
analysis, reports, surveys, documents, evaluation,
schedules, valves, etc.
Valve Main Records P GC34090
Violations, Drinking
Water
CU + 3 40 CFR
141.33
Retention applies to each violation
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-47
TRANSPORTATION
Record Series Retention Citation Descriptor
ADMINISTRATION
Agreements T + 4 CCP 337 Including concessionaire, slip rental, facility storage
Applications
Aircraft Storage
Parking
Slip Rentals
T + 2 GC34090 Payment invoices, inventory listings, billing correspondence
and other related documents
Special Events CU + 2 GC34090 Permits, correspondence, related documents re use of
rights of way
Fueling AU + 3 CCP 337 Meter readings, fuel consumption reports, invoices, receipts
and records pertaining to refueling operations
Hazardous Waste
Disposal
CU + 10 CAL
OSHA;
40 CFR
122.21
Documentation re: the handling and disposal of hazardous
waste
Inventory, Equipment
Parts & Supplies
L + 2 Includes vehicles, aircraft, vessels and related documents re
repairs
Inventory, Vehicle
Ownership and Title
L + 2 Owners manual, warranty documents, Department of Motor
Vehicle title and registration, and related documents
Licenses, Permits CU + 2 Forms, related documentation re: licenses and permits
required by federal and state agencies
Maintenance/
Operations
L + 2 GC34090 Related to requests for service and work orders for fuel,
vehicle and equipment maintenance and repairs
Report, Accident
(Copies)
CU + 2 GC34090 Memos and working documents
Vehicle Assignment CU + 2 GC34090 Log books, request forms, lists
AIRPORT
Airport Certification P 14 CFR
139.207b &
171.13-
171.213
Federal Aviation Administration (FAA) required manuals
Airport Noise
Monitoring and
Complaint
CU + 10 Correspondence, studies, memos, reports, log books,
documents related to assessment of noise levels at airports
and resolution of complaints
Inspection, Runway CU + 10 Maintenance including Inspection reports, work orders and
related records
Inspection, Safety Self CU + 2 CFR
139.327
Safety inspection and related document include reviews and
analysis of all aspects of airport operation
Maintenance, FAA P 14 CFR
171.13 -
171.213
Forms and reports required by FAA including Forms FAA-
198, -418, -6030-1, -6790-4
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-48
TRANSPORTATION (CONTINUED)
Record Series Retention Citation Descriptor
Reports
Accident and
Incident
(Aircraft)
CL + 8 Accidents, injuries, property damages, general conditions re
pilot and aircraft
Airport
Operational
(Regulatory)
P Annual and special reports to federal and state regulatory
agencies.
Airport
Operational
(Administrative)
CU + 2 Logs, statistical summaries; administrative records
NOTAM (Notice
to Airmen)
CU + 3 Reports re: conditions affecting airport
maintenance/operations
GROUND
TRANSPORTATION
Auto for Hire T + 4 GC34090 License, permits for Taxicabs, shuttles, etc
HARBOR
Registers, Transient
Vessel Reservation
AU + 3 Reservation applications, receipts, and index registers
relating to boats in transit, temporarily moored
Slip Rental Index CU + 5 Annual and periodic reports of slip renters
Slip Rental Permits CL + 2 Applications, statement of rental conditions, vessel
inspection check sheets, copy of DMV registration, boat
owner information, and other documents re: dock slip
spaces
Slip Rental Waiting List CU + 2
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT D LOCAL GOVERNMENT RECORDS RETENTION GUIDELINES County Records June 2002 California State Archives
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT D 2 The document entitled “Local Government Records Retention Guidelines, County Records” at one time appeared on this website as Attachment D to Local Government Records Management Guidelines. Upon learning that Gladwell Governmental Services, Inc. asserts a copyright to the document’s content, the Secretary of State has permanently removed the document from this website. If you received from our office, or utilized, downloaded or reproduced from this website any portion of Attachment D, we ask that you contact the business that asserts a copyright to this material, Gladwell Governmental Services, Inc. Gladwell Governmental Services, Inc. can be contacted through its attorney, Kevin D. Hughes, Esq., Tisdale & Nicholson, LLP, 2029 Century Park East, Suite 900, Los Angeles, CA, 90067; telephone (310) 286-1260; fax (310) 286-2351; e-mail: KHughes@T-NLaw.com.
ATTACHMENT 3
RESOLUTION NO. 2017-XX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH ESTABLISHING A
RECORDS RETENTION SCHEDULE
WHEREAS, Sections 34090 and 34090.5 of the Government Code of the State of California
provide for the disposition of public records; and
WHEREAS, Section 34090.7 of the Government Code of the State of California provides for the
destruction of records that are no longer needed for reference, and in a manner prescribed by
the legislative body of the City; and
WHEREAS, each records series title contained in the Records Retention Schedule has been
reviewed by the Department Director, City Attorney, and City Clerk who is responsible for
Records Management; and
WHEREAS, a Records Retention Schedule was adopted by the City Council on November 1,
2000, as Resolution No 2001-30; and
WHEREAS, these revised Records Retention Schedules reflect more accurately the department
records, but will be subject to additions and updates as necessary which will be coordinated
through the City Clerk’s office and brought back to Council for final approval.
NOW, THEREFORE, IT IS HEREBY RESOLVED, that the City Council of the City of Ukiah
does hereby resolve that the attached Records Retention Schedule (Exhibit A) is hereby
adopted and supersedes the Records Retention Schedule adopted through Resolution 2001-30.
The City Clerk is directed to supervise and implement the amended schedule.
PASSED AND ADOPTED this 7th day of June, 2017, by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
__________________________
Jim O. Brown, Mayor
ATTEST:
____________________
Kristine Lawler, City Clerk
RECORDS RETENTION
GUIDELINES
MAY 17, 2017
City of Ukiah, 300 Seminary Avenue, Ukiah, CA 95482
EXHIBIT A
TABLE OF CONTENTS
Definition of a Record ............................................................... 1
Record Retention Instructions ................................................... 2
Submitting Records for Storage
Retrieving Records from Storage
Record Review for Destruction
Legend and Code Citations....................................................... 5
Department Retention Sections:
Administration ...................................................................... 6
Airport .................................................................................. 9
City Clerk ........................................................................... 10
Community Services .......................................................... 13
Electric Utility ...................................................................... 15
Finance .............................................................................. 16
Fire ..................................................................................... 22
Human Resources / Risk Management .............................. 24
Planning & Community Development ................................. 27
Police ................................................................................. 30
Public Works ...................................................................... 36
Water & Sewer ................................................................... 40
DEFINITION OF A RECORD
(Edited from the California State Archives Records Management Handbook; Records Retention)
Government Code Section 6252(e) - “Official Record” includes any writing containing
information relating to the conduct of the public’s business prepared, owned, used, or retained
by any State or local agency regardless of physical form or characteristics.
EXAMPLES OF NON-RECORDS:
Copies of originals, if the original still exists and is in the filing system.
Letters of Transmittal and acknowledgements of receipt which do not add any
information to the material transmitted.
Requests for printing services, after the request has been filled to the customer’s
satisfaction.
Notes, including stenographic notebooks and stenotype tapes, and dictating media
which have been transcribed.
Miscellaneous notices of community affairs, employee meetings, holidays.
Stocks of publications or blank forms that are kept for supply purposes only.
Library and reference material.
RECORDS RETENTION INSTRUCTIONS:
Submitting Records for Storage
When files are ready to go into storage retention, place them in a banker box (obtained
from purchasing).
Fill out a Transfer Notice (Exhibit A) as follows:
o Using Records Retention Guidelines, locate your department and the document
you will are sending to storage.
o Enter the “Title” listed in the Guidelines into the section labeled “Official Record
Title.” If there are multiple Titles, enter each one (the titles are how documents
are located in the database and retrieved from storage.)
o List each folder by name and relevant year(s) of the documents within the file;
example:
Print out three completed Transfer Notice forms, and place inside the box with the files.
Contact the City Clerk’s office to arrange for the boxes to be processed for retention.
The City Clerk’s office will assign a location and box number, and will stamp those onto the
banker box, write the numbers on each of the three Transfer Notice copies, and enter them into
the Records Retention database. The Clerk will then give back one of the Transfer Notices for
your files; one goes into the Clerk’s Master Retention Binders, and the third copy stays inside
the box.
Retrieving Records from Storage
Send email request to Clerk detailing which files you would like to have pulled from
storage.
Record Review for Destruction
Clerk will distribute a Destruction Notice (Exhibit B) and listing of the boxes that have
expired and need to be reviewed for possible destruction.
If only a portion of the box is to be kept, remove those documents and start a new box
with a new Transfer Notice; then process that per the ‘Submitting Records for Storage;
section above, and deliver that to the City Clerk (Note: keeping records past retention
date will require City Manager and City Attorney approval.)
If the entire box is to be kept, then on the Records Transfer Notice change the
‘Date/Year to consider destruction,’ and give the Transfer Notice with the new retention
year back to the Clerk.
For boxes that are okay to proceed with destruction:
o Review any Legal Holds (a notice will come with the Clerk’s listing).o If there are no legal holds and the records are approved for destruction, then
obtain Department Head's signature and return the signed Destruction Notice, to
the Clerk’s office.
Once records have been approved for destruction by the department, they will be reviewed by
the City Clerk and the City Attorney before going to Council for final destruction approval.
2
RECORDS TRANSFER NOTICE Date Department (from Records Retention Schedule) User/Sender (first and last) Location Box Official Record Title (from Records Retention Schedule) Records are? Public or Confidential Information Record Dates FROM to Date/Year to consider destruction Permanent? Yes or No Retention Period (from Records Retention Schedule) Detailed Listing of Tote Box Contents (Please type only): Instructions: 1. Please complete form, typed, supplying all information2.Place 3 copies inside Tote Box on top of records (one copy will be returned to you indicating the Location and Box Number)3.Email klawler@cityofukiah.com notification box is ready for pickupEXHIBIT A 3
RECORDS DESTRUCTION NOTICE FOR CITY OF UKIAH
Date: Department: Records Coordinator:
Kristine Lawler, City Clerk
Current retention schedules show that the attached records listed are now ready for destruction.
NOTE: Please review the attached City Attorney’s message regarding Legal Hold documents, and
keep this in mind when reviewing your files.
Instructions: 1. Review the attached listing (if needed, you may obtain a copy of the retention
guidelines from City Clerk)
2.If only a portion of the box is to be kept, remove it and start a new box with a new
transfer notice; then deliver that to the City Clerk (Note: keeping records past
retention date will require City Manager and City Attorney approval.)
3.If the entire box is to be kept, change the date/year to consider destruction, and give
the transfer notice with the new retention year back to the City Clerk (See note
above.)
4. For boxes that are okay to proceed with destruction, obtain Department Head's
signature and return this notice, signed, to City Clerk.
Thank you for your cooperation in keeping our records management system working smoothly.
Kristine Lawler, City Clerk
Signatures Authorizing Destruction
Department Head City Clerk City Attorney Council Approval Destroyed
Date:Date:Date:Date:Date:
EXHIBIT B
4
AC Active
AD Adoption
AU Audit
CL Closed/Completion
CU Current Year
D.O.B.Date of Birth
E Election
L Life
P Permanent
S Supersede
T Termination
B&P Business and Professions
CCP Code of Civil Procedure
CCR Code of California
CEQA California Environmental Quality Act
CFR Code of Federal Regulations
EC Election Code
FMLA Family & Medical Leave Act, 1993
GC Government Code
H&S Health & Safety
HUD Housing & Urban Development
OSHA Occupational Safety Health Act
PC Penal Code
POST Police officers Standards Training
UFC Uniform Fire Code
USC United States Code
WIC Welfare & Institutions Code
LEGEND
Records Retention
CITATIONS
5
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
Retention
Period
Statutory
Reference
(subject to change)
Notes
ADMINISTRATION
Bonds Development CL + 10 CCP 337.5
Security CU + 2 GC34090 Documentation created and/or
received in connection with the
performance of work/services for the
City, or for parcel maps and
subdivision work.
Budget, Proposed CU + 2 GC34090 Presented to Council
Budget, Adopted P GC34090 Annual Operating Budget approved
by Legislative Body
Drawings, Project Plan CL + 2 GC34090a Does not include those usually filed
with case or project
GENERAL
Correspondence CU + 3 GC34090(d)If not attached to agreement or
project file
General Subject Files CU + 3 GC34090(d)Internal working files including
correspondence for projects
Goals and Objectives CU + 2 GC 34090 Departmental goals and objectives
Promotional Marketing CU + 7
Reports - Departmental CU + 3 GC 34090 Special/or final summary, review or
evaluation
Reports - Staff CU + 3 GC 34090 Non-agenda related, includes
supporting documentation
Special Projects CL + 2 GC 34090
Support Services CU + 2 GC 34090 Reproduction; printing; postal/mailing
services, other internal resources
GRANTS
Grants, Community/Urban Devalopment
(Includes CDBG)
T + 5 24 CFR
570.502(b)(3);
241 CFR 85.42
& OMB Cir. A-
110, Attach c;*
Project files, applications, contracts,
proposals, statemens, reports, sub-
recipient documents, applications,
inventory, consolidated plan, etc.
Includes Section 108 loan guarantee
*OMB Cir. A-102 & 128, HUD
regulations
Federal and State T + 5 GC 34090 Refer to grant application close-out
procedure
Financial Reports T + 5 GC 34090 Refer to grant application close-out
procedure
Unsuccessful CL + 2 GC 34090 Applications not awarded/funded
HOUSING
Bonds CL + 4 CCP 337 Revenue Bond Documentation
Programs CL + 3 24 CFR
570.502(b)(3);
34 CFR 85.42
& OMB Cir. A-
110, #C
Includes comprehensive Housing
Authority Strategy, Meeting Credit
Certificate, Housing bond advisory,
HOME, In-leiu Housing Mitigation,
Low/Moderate Housing, Rental
Housing Assistance
Title
6
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
LEGAL/LEGISLATIVE
Agendas CU + 2 GC 34090 Original agendas an special meeting
notices, including certificates of
posting, original summaries, original
communications and action agendas
for Council, Boards, and
Commisssions
Agenda Reports (Master, Subject Files)CU + 2 GC 34090 (d)Documentation received, created
and/or submitted to Council
Liens, Law Suits P
Logs, Attorney Service Request CU + 2 GC34090 Service request, summaries of
monthly requests
Minutes P GC 34090 (d);
GC 36814; GC
40801
Official minutes and hearing
preceedings of governing body or
board, commission or committee
Notices, Meetings CU + 2 GC 34090.7,
54960.(c)(1)
Special Meetings
Opinions S + 2 GC 34090; GC
6254
Confidential and Public
General Administrative S + 2 GC 34090;
40801
All City policies and procedures
Policy: Council Proclamations/Directives S + 2 GC34090 Policies, directives rendered by
Council not assigned a resolution or
ordinance number
Policies and Procedures, Departmental S + 5 GC34090(d)Retain while current
Acquisition/Appraisals/Disposition CL + 10 GC34090a;
GC6254
Supporting documents regaurding
sale, purchase, exchange, lease or
rental of property by City, until final
acquisition or contract agreement
obtained
Annexation Case Files P GC34090a;
GC6254
Reports, Agreements and Public
Notices
Appraisals CL + 2 GC34090; GC
6254(h)
Exempt until final acquisition or
contract agreemetn obtained
POLICIES/PROCEDURES
PROPERTY
7
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ADMINISTRATION
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Administration P GC 34090
Financial Records P GC34090,
40802, 53901
Management Reports P GC 34090
Brochures, publications, newsletter,
bulletins
S + 3 GC 34090
Calendar, City CU + 2 GC 34090
Media Relations CU + 2 GC 34090 Includes cable, newspaper, radio,
message boards, presentations
Accident Reports - Copies and regarding
City assets
CL + 7 29 CFR 1904.2;
29; CFR1904.6
Memos and working documents,
reports and related records
Bonds, Insurance P CCP 337.2;
343
Bonds and insurance policies
insuring City property and other
assets
Claims, Damage CL + 5 GC 34090; GC
25105.5
Paid/Denied; Includes photographs,
negatives, film, etc.
Incident Reports CL + 7 29 CFR 1904.2;
29 CFR 1904.6
Theft, arson, vandalism, property
damage, or similar occuranence
(excluding fire/law enforcement)
Insurance, ACCELJT Powers Agreement CL + 7 GC 34090 (Authority California Cities Excess
Liability Insurance_ -B Accreditation /
MOU's / agreement / agendas
Insurance, Certificates and Policies P GC 34090 Insurance certificates filed separately
from contracts, includes insurance
filed by licencees, REMIF insurance
documents
Insurance, Liability and Property P GC 34090 May include liability, property,
Certificates of Participation, deferred,
use of facilities
Risk Management Reports CL + 5 OMB 1220-
0029; 29
CFR1904.4;
GC 34090
Federal OSHA Forms, Loss Analysis
Report; Safety Reports; Actuarial
Studies
Agendas, Minutes, Resolutions P GC 34090
Redevelopment: Budgets P GC 34090,
40802, 53901
Includes annual audit
Bond Issues P GC 43900 et
seq.
Includes annual audit
RISK MANAGEMENT
SUCCESSOR AGENCY / UKIAH REDEVELOPMENT AGENCY
PUBLIC FINANCING AUTHORITY
PUBLIC INFORMATION
8
CITY OF UKIAH RECORDS RETENTION GUIDELINES
AIRPORT
Retention
Period
Statutory
Reference
(subject to change)
Notes
Agreements T + 4 CCP 337 Including concessionaire, slip rental,
facility storage
Airport Certification P 14 CFR
139.207b &
171.13 - 17.213
Federal Aviation Adminsitration
(FAA) required manuals, Licenses
Airport Noise Monitoring and Complaint CU + 10 Correspondence, Airport Master
Plan, studies, memos, reports, log
books, documents related to
assessment of noise levels at
airports and resolution of complaints
Applications - Special Events CU + 2 GC 34090 Permits, correspondence, related
documents regarding use of rights of
way
Correspondence CU + 2 GC 34090 d Working documentation if not
attached to agreement or project file
Fueling AU + 3 CCP 337 Meter readings, fuel consumption
reports, invoices, receipts and
records pertaining to refueling
operations
Inspection, Runway CU + 10 Maintenance including inspection
reports, work orders and related
records, grant programs
Inventory, Equiptment Parts and Supplies L + 2 Includes vehicles, aircraft and related
documents regarding repairs
Maintenance, FAA P 14 CFR; 171.13
- 171.213
Forms and reports required by FAA
including Forms Faa-198, -418, -
6030.1, -6790.4
Accident and Incident (Aircraft)CL + 8 Accidents, injuries, property
damages, general conditions
regarding pilot and aircraft
Airport Operational (Regulartory)P Annual and special reports to federal
and state regulatory agencies
Airport Operational (Administrative)CU + 2 Logs, statistical summaries;
administrative records, scheduling
Weed Abatement CL + 2 GC 34090 Reports, assessments, resolutions,
documentation
NOTAM (Notice to Airmen)CU + 3 Reports re: conditions affecting
airport maintenance / operations
ADMINISTRATION
Title
REPORTS
9
CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
Retention
Period
Statutory
Reference
(subject to change)
Notes
Bids & Proposals (Unsuccessful)CL + 2 GC34090d
Contractor CU + 2 GC34090d Current Qualified Contractors List
Correspondence CU + 2 GC34090d Working documentation
Franchises P GC34090d Including subdivision agreements,
contracts for sale or purchase of
property, cable, grant of easments
and/or involving construction of
improvements *CCP 337.2, 343;
AC16023
General Subject Files CU + 2 GC 34090d Internal working files including
correspondence
Affidavit Index CL + 5 EC17001
Calendar E + 2 GC34090
Candidate Statements E + 4 Sample ballot retained permanently
Canvass P GC22932;
EC17130;
EC2653
Notifications and Publication of
Election; Records used to compile
final election results, including tally
sheets, voting machine tabulation,
detailed breakdown of results;
special election results
Certificates of Election T + 4 GC81009(a)(d)Certificates of election; Original
reports and statements
FPPC - Administration/Campaign
Statements and Conflict of Interest
CU + 5 FPPC Opinions; FORM 460/470;
FORM 700
FPPC - Campaign disclosure, Elected P GC81009(b) (g)FPPC Filings; FORM 410
FPPC - Campaign disclosure, Not Elected E + 5 GC81009(b)FPPC Filings; FORM 410
FPPC - Statement of Economic Interest -
Elected
T + 7 GC81009(e) FPPC Filings; FORM 700
FPPC - Statement of Economic Interest -
Not Elected
E + 5 GC81009(b)FPPC Filings; FORM 700
History P GC34090 History of elections, sample ballots,
certificates of destruction, other
resolutions re: election
Nomination Papers
(Successful/Unsuccessful)
E + 4 EC17100/
GC81009
Notifications and Publications E + 2 GC34090
Oaths of Office T + 6 GC34090; 29
USC 1113
Elected Officials
Petitions - Election .75 (8 mo)EC17200;
17400;
GC7253.5;
EC14700;
GC3756.8
From date of filing or election;
Initiative, referendum, recall, Charter
Amendments
Historical P Biographies, City Seal,
Commendations, etc…
HISTORICAL
Title
ELECTIONS
ADMINISTRATION
10
CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Agendas and Agenda Reports CU + 2 GC34090 Original agendas and special
meeting notices, including certificates
of posting, original summaries,
original communications and action
agendas for Council, Boards and
Commissions; Documentation
received, created and /or submitted
to Council
Appeals, Civil CU + 3 CCP
583.320(a)(3);
GC34090
Applications, Boards, Commissions,
Committees - Not Selected
CL + 2 GC34090 Not Selected
Applications, Boards, Commissions,
Committees - Selected
T + 5 GC34090;
GC40801
Selected
Articles of Incorporation P GC34090;
CCP337.2
Case Records P GC6254;
42USCs1983
Significant cases which have
importance/or set legal precedence;
includes logs, complaints, police
reports, court orders,motions, notes,
briefs, closing statements (unless
minors - 3 years after attaining 18)
Contracts and Agreements P CCP337.2,
343; B&P
7042.5;
PU7685; 48
CFR:2;
GC53066
Construction
GC37090a;
4004; H&S
19850
Includes equipment leases, services
or supplies
Legal Advertising CU + 4 CCP343, 349,
et seq;
GC911.2;
GC34090
Includes public notices, legal
publications
Minutes P GC34090(d);
GC36814;
GC40801
Official minutes and hearing
proceedings of governing body or
board, commission or committee
Notices, Meeting CU + 2 GC34090.7,
54960.1(c)(1)
Special Meetings
Ordinances P GC34090(d);
40806
municipal code
Petitions - to Council CU + 1 GC50115;
GC6253
Submitted to legislative bodies
Proclamations - General CU + 5 General Proclamations
Resolutions P GC34090(d);
40801
Legislative actions
Tapes, Audio/Video CU + 3 mos.GC34090.7,
54960.1(c)(1)
When used for minute preparations
and may have historical value
LEGAL/LEGISLATIVE
11
CITY OF UKIAH RECORDS RETENTION GUIDELINES
CITY CLERK
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Inventory, Records CU + 2 GC34090;
80OPS Atty.
Gen. 106
Inventory of non-current or inactive
records holdings and location,
indices. Tapes may be recycled.
Municipal Code P GC34090 Supplements included
Public Records Requests CL + 2 GC34090
Records Management CL + 2 GC34090 Document includes retrieval,
transfers-inactive
Records Management Disposition
Certification
P GC34090 Documentation of final disposition or
records
Records Retention Schedules S + 4 CCP343
Acquisition/Disposition CL + 10 GC34090a;
GC6254
Supporting documents re: sale,
purchase, exchange, lease or rental
of property by City
Appraisals CL + 2 GC34090;
GC6254(h)
Exempt until final acquisition or
contract agreement obtained
Deeds & Promissory Notes P GC34090a**24 CFR 570.502(b)(3); 24 CFR 8.42
& OMB Circ. SA-110
Lease Agreements P Ukiah Conference Center, Ukiah
Regional Airport, and all other City
properties
MUNICIPAL CLERK
PROPERTY
12
CITY OF UKIAH RECORDS RETENTION GUIDELINES
COMMUNITY SERVICES
Retention
Period
Statutory
Reference
(subject to change)
Notes
Capital Improvements Construction P GC34090a;
4004;
H&S19850;GC
34090
Contains records regarding planning,
design, construction, conversion or
modification of local government-
owned facilities, structures & systems
Correspondence/Originating Department CU + 2 GC34090d Working documentation if not
attached to agreement or project file
Minutes & Agendas - Airport Commission P GC34090
Minutes & Agendas - Parks, Recreation and
Golf Commission
P GC34090
General Subject Files CU + 2 GC3409.d
Libraries CU + 2 GC34090 Books, art, gifts, donations, exhibits,
theater, music, special events, etc.
Plaques P Historic value
Sports Organizations S + 2
Capital Improvements, Construction P GC34090a;
4004; HandS
19850;
GC34090
Contains records regarding planning,
design, construction,conversion or
modification of local government-
owned facilities, structures and
systems
Facility Rentals/Use CU + 2 GC34090 Permits, contracts, diagrams,
Maintenance and Operations CU + 2 GC34090d Service requests, invoices,
ti d t ti b ildi Inventory, Equipment AU + 2 GC34090 Warranties, purchase orders
Landscape CU + 2 GC34090 Drawings, contracts, complaints,
ifi i h Maps P GC34090
Photographs S + 2 GC34090
Plans, Proposed CU + 2 GC34090 Future plans, new sites, expansions
Policies and Procedures S + 2 GC34090 Includes rules and regulations
INFORMATION SERVICES
Internet, World Wide Web S + 3 GC34090 Management/Polocies and supporting
documentation
Inventory, Information Systems S + 3 GC34090 Hardware/Software Inventory Logs;
systems manuals
Network Information Systems S + 4 GC 34090;
CCP 337.2; 343
Configuaration maps and plans
Program Files and Directories CU + 2; CU
+ (2 mos.)
CU + 1 CU
+ .5
GC 34090; GC
34090.7
Annual backup, Daily backup,
Monthly backup, Weekly backup
Tapes Information Systems CU + 2 GC 34090 System Generation
Museum C + 2 GC30490 Books, art, gifts, donations, exhibits,
Landscaping and Maintenance CU + 2 GC34090
PARKING DISTRICTS
MUSEUM
GOLF COURSE
Title
ADMINISTRATION
COMMUNITY SERVICES
MUNICIPAL FACILITIES
13
CITY OF UKIAH RECORDS RETENTION GUIDELINES
COMMUNITY SERVICES
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Inventory, Equipment AU + 2 GC34090 Warranties, purchase orders
Landscape CU + 2 GC34090 Drawings, contracts, complaints,
specifications, photos, reports
Maintenance/Operations CU + 2 GC34090 Includes work orders, inspection,
i l i t lit Maps P GC34090 Irrigations, plot plans, landscaping
lParades and Special Events, etc. CL + 2 GC34091 Reports, memos, correspondence,
scripts, supplier information,
assignments, deployments,
supporting documentation
Photographs S + 2 GC34090
Plans, Proposed CU + 2 GC34090 Future plans, new sites, expansions
Plaques - Parks P Historical value
Policies and Procedures S + 2 GC34090 Includes rules and regulations
Railroad Right-of-way CL + 3 36 CFR 64.11 Land acquisitions, correspondence,
improvements, statutory records
Reports: Accident CL + 2 GC34090 Patrons, employees
Others CL + 2 GC34090
Studies CL + 2 GC34090 Future Sites, expansions
Schedules,Classes, and Small Events CU + 2 GC34090 Enrollment, laibility releases,
evaluations
Sports Organizations S + 2
Liability Insurance Forms CU + 2
Inventory, Equipment AU + 2 GC34090 Warranties, purchase orders
Policies and Procedures S + 2 GC34090 Includes rules and regulations
UKIAH VALLEY CONFERENCE CENTER
PARKS AND RECREATION
14
CITY OF UKIAH RECORDS RETENTION GUIDELINES
ELECTRIC UTILITY
Retention
Period
Statutory
Reference
(subject to change)
Notes
Correspondence CU + 2 GC 34090d Working documentation if not
attached to agreement or project file
General Subject Files CU + 2 GC3409.d
Grants: Federal & State
CL + 5 GC 34090 Refer to grant applicaion close-out
procedure
Licenses, Permits CU + 2 Forms, related documentation
regarding licenses and permits
required by federal and state
agencies
Maps & Plans P GC 34090a Engineering & field notes and
profiles; cross-section of roads,
streets, right-of-way, bridges; may
include annexations, parks, tracts,
block, storm drains, water easements,
bench marks, trees grading, landfill,
fire hydrants, base maps, etc…
Special Districts P GC 34090a Supporting documents regarding
improvement, lighting, underground,
utility, bonds, taxes & construction
Studies, Special Projects & Area CL + 2 GC 34090
Surveys P GC 34090 Statistics, reports, correspondence
CODE ENFORECMENT
Liens & Releases - Supporting CL + 2 GC 34090 Utilities, abatement, licenses
Liens & Releases - Recorded P GC 34090 Utilities, abatement, licenses
Hazardous Waste Disposal CU + 10 CAL OSHA; 40
CFR 122.21
Documentation regarding the
handling and disposal of hazardous
waste
Underground Storage Tank - Compliance P GC 34090a Documetns regarding storage
Underground Storage Tank - Maintenance
& Operation
CU + 2 GC 34090 Location, installation, removal,
remediation
Lighting CU + 2 GC 34090 Maintenance, work orders
Inventory, Traffic Control Devices S + 2 GC 34090 signs, lights
Maintenance/Operations CU + 2 GC 34090a
Traffic Signals L
Tree Trimming
Electric Rates S + 2 GC 34090
Facilities T + 2 GC 34090 If City owned
Meter Operations CU + 2 GC 34090
Underground Electric P GC 34090
Overhead Electric P GC 34090
Utility Rebates CU + 2 GC 34090
Hydroelectric Plant
Maintenance and Operations CU + 2 GC 34090 Includes work orders, inspection,
repairs, cleaning, reports, complaints
Maintenance and Operations - Service CU + 2 GC 34090 Includes work orders, entry cards,
manholes, service to property owners
WATER
Title
ADMINISTRATION
HAZARDOUS MATERIALS
STREETS/ALLEYS
UTILITIES
15
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Account Statements AU + 25 GC 34090;
CCP 337.5
Monthly statement of transactions,
Trustee Statements
Assessment District P GC 34090 Collection information
Bank Reconcilliations/Statements AU + 25 GC 34090; 26
CFR 16001-1;
FC 3368;
30210; GC
43900 et seq.
Statements, summaries for receipts,
disbursements & reconcilliations,
cleared checks; Financing authority
Bankrupty Files CL + 7
Bond Trustee Statements AU + 25 Bond trustee statements
Financial Statements AU + 25 Monthly Financial Statements which
include income, Expense, Balance
sheets and Cash Reports
Ledger, General P GC 34090;
CCP 337
Detail which shows the posting of
Journals
Journals: Appropriation & Expenditures AU + 25
Journals: Utility Billing AU + 25 GC 34090 Billing including monthly activity
Journals: General Journals AU + 25 Consists of the General Journals with
supporting documentation
Journals: Vouchers AU + 4 GC 34090;
CCP 337
Account postings with supporting
documents
ACCOUNTS PAYABLE
Accounts Payable/Warrants Paid AU + 5 GC 34090 Invoices, check copies, supporting
documents, travel records, vehicle
mileage reimbursement rates
Warrant Register AU + 2 GC 34090.7
Report of Disbursements AU + 4 Sealed, permanent copy & Finance
Director approved
1099s CU + 4 1099s
Accounts Receivable AU + 2 GC 34090
Airport Billing Charges AU + 2 Includes Misc. Billing
Airport Payment Book AU + 2
Bad Debt Write-Off 7
Billing Edit Lists Shows the detail of utility payment
activity.
Reports Check register, reports from weekly
runs
Cash Receipts Edit List AU + 2 Shows the detail of counter receipts
being posted to the General Ledger
Cash Receipt Register AU + 4 Cashier Balancing
Cash Receipt Stubs AU + 4 Daily packets from the front counter-
Cash Receipts
Deposits, Receipts, Customer Receipts AU + 4 GC 34090;
CCP 337
Checks, coins, currency
Emergency Response - Billing AU + 4
Emergency Response - Paid
Invoices GC 34090 Copies sent for fees owed, billing,
related documents
Misc. Billings AU + 2 Hard copy
Title
ACCOUNTING
ACCOUNTS RECEIVABLE
16
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Taxes, Receivable AU + 3 CCP 338 TOT, Property, Sales, etc.
Administration CL + 10 GC 34090;
CCP 337.5
Supporting documents
Agreements T + 4 CCP 337 Including concessionaire, facility
storage
Bonds CL + 4 GC 34091;
CCP 337.5
Revenue and final Bond
Documentation
Bonds and Coupons CL + 2 GC 34090;
53921
Paid/canceled
Budget AU + 2 GC 34090
Budget Adjustments, Journal Entries AU + 2 GC 34090 Account transfers
Budget Operating (copies)S GC 34090 Departmental Reference
Security CL + 4 GC 34090 Documentation created and/or
received in connection with the
performance of work/services for the
city, or for parcel maps and
subdivision work
Budget Operating (copies)S GC 34090 Departmental Reference
Correspondence CU + 2 GC 34090d Working documentation if not
attached to agreement or project file
Applications/Agreements: Aircraft Storage T + 4 CCP 337 Hangar Lease Contracts
Billing/Customer Receipts AU + 2 GC 34090 Billings, correspondence, complaints
Dailys'AU + 4 Daily sales, gallons, and charges
Invoices AU + 2 GC 34090 Copies sent for fees owed, billing,
related documents
Jet Fuel Tax Return AU + 4 Monthly
Rates S + 2 GC 34090
Annual Financial Report P GC 34090 Independent auditor analysis
Hearing or Review AU + 2 GC 34090;
OMB A-128
Documentation created and or
received in connection with an audit
hearing or review
Reports AU + 4 GC 34090;
OMB A-128
Internal and/or external
Reviews, internal/External Periodic CU GC 34090; GC
6250
Daily, weekly, monthly, quarterly or
other summary, review, evaluation,
log, lists, statistics, except a report
Billing, Adjustment, and Cash Registers T + 5 GC 34090;
CCP 337
Paid & reports
Closed Business files T + 5 GC 34090;
CCP 337
License Register & Penalty Register T + 5 GC 34090;
CCP 337
Paid & reports
Fixed Asset Records L + 4
Inventory AU + 4 GC 34090; 26
CFR 301 65-
1(F)
Reflects purchase date, cost,
account number
ADMINISTRATIVE SERVICES
AIRPORT
AUDIT
BUSINESS LICENSES
FIXED ASSETS
17
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Surplus Property: Auction AU + 2 GC 34090 Listing of property
Disposal AU + 4 GC 34090;
CCP 337
Sealed bid sales of equipment
Vehicle Ownership & Title L + 4 VC 9900 et Title transfers when vehicle sold
Billing/Customer Receipts AU + 2 GC 34090 Billings, correspondence, complaints
Invoices AU + 2 GC 34090 Copies sent for fees owed, billing,
related documents
Rates S + 2 GC 34090
Airport CL + 5 GC 34090 Refer to grant application close-out
procedure
Community Development Block Grant &
Urban Development
T + 4 GC 34090; 24
CFR 570.502;
24 CFR 85.42;
OMB Cir. A-
110, A-102-
128; HUD
Regulations
Applications, reports, contracts,
supporting documents; Project files,
proposals, statements, sub-recipient
dockets, Environmental Review,
grant documents, inventory,
consolidated plans, etc…Includes
Section 108 loan guarantee
Community Services CL + 5 GC 34090 Refer to grant application close-out
procedure
Development CL + 2 CCP 337.5 Housing; Industrial Development
Federal and State CL + 5 GC 34090 Refer to grant application close-out
procedure
Financial Reports CL + 5 GC 34090 Refer to grant application close-out
procedure
Public Works CL + 5 GC 34090 Refer to grant application close-out
procedure
Unsuccessful CL + 2 GC 34090 Applications not entitled
Contracts P CCP337.2,
343; B&P
7042.5;
PU7685; 48
CFR:2;
GC53066
Construction
GC37090a;
4004; H&S
19850
Includes equipment leases, services
or supplies
Correspondence AU + 2 GC 34090 Billings, correspondence, complaints
Invoices AU + 2 GC 34090 Copies sent for fees owed, billing,
related documents
Rates S + 2 GC 34090
Applications for Permits CL +2
Billing/Customer Receipts AU + 2 GC 34090 Billings, correspondence, complaints
Cash Posting Register AU + 4
GOLF COURSE
GRANTS
LANDFILL
PARKING DISTRICT & ENFORCEMENT
PAYROLL
18
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Adjustments AU + 4 GC 34090; 29
CRF 516.5-
516.6
Audit purposes
Benefit Distribution AU + 6 Benefits employee received during
pay period
Calculation totals AU + 2 Pay period category information
Checks AU + 5 GC 34090;
CCP 337
Includes payroll, canceled & voided
checks
Check Register AU + 2 GC 34090;
CCP 337
Employee name and amount of
check
Deferred Compensation T + 5 GC 34090; 26
CFR; 16001-1;
29 CFR
1627.3(2)
Records of employee contributions
and City payments
Direct Deposit AU + 5
Employee Distribution 5 Employee payroll - detail to each
account number
Employee Time Sheets AU + 6 GC 34090; 29
CFR 516.2; 20
CFR 516.6(1);
IRS Reg.
31.6001-
1(e)(z); R&T
19530; LC
1174(d)
Signed by employee for audit &
FEMA Reports
Feature Distribution 25 Separate all pay codes, ABT's and
list of employee per section
Federal & State Reports: Payroll AU + 4
Interface to Financial AU + 2
Journals AU + 2
Labor Distribution AU + 2 GC 34090 Costs by employee and program
Ledgers AU + 6
PERS Employee Deduction Reports T + 4 GC 34090; 22
CCR 1085-2
Record of deductions (PERS Public
Employee Retirement System)
*26CFR 31.6001-1; 29 CFR 516.5,
516.6, LC 1174(d)
PERS, Social Security, SSI P 29 CRF
1627.3(2); GC
12946, 34090
EEOC/ADEA
Productive-Non Productive Report CU + 1
Register P GC 34090; GC
37207
Labor costs by employee & program
Salary Records T + 3 GC 34090; 29
CFR 516.2
Deduction authorization, beneficiary
designations, unemployment claims,
garnishments
Vacation, Sick Leave Report CU + 1
Validation AU + 2
Workman's Compensation T + 10 Reports, working files
Administration P GC 34090
Financial Records P GC 34090;
40802; 53901
Management Reports 2 GC 34090
PUBLIC FINANCING AUTHORITY
19
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Bids, RFQ's, RFP's - Successful AU + 5 GC 34090;
CCP 337;
GC25105-1;
GC34090
Requests for Qualifications;
Requests for Proposals regarding
goods and services
Bids, RFQ's, RFP's - Unsuccessful CU + 2 GC 34090;
CCP 337;
GC25105-1;
GC34090
Requests for Qualifications;
Requests for Proposals regarding
goods and services
Requisitions AU + 4
Purchase Orders AU + 4 GC 34090;
CCP 337
Original documents
Stores CU + 2 GC 34090 Completed forms for ordering
Vendor Register P GC 34090 Alpha vendor listing of purchase
orders, incovices, account numbers
and check date
Audits P GC 34090
Departmental CU + 1
Federal and State Tax AU + 4 GC 34090; 29
USC 436; 26
CFR 31.6001.1-
4; IRS REG
31.6001-
1(e)(2); R&T
19530; 29 CFR
516.5-516.6
Forms 1096, 1099, W-4s and W-2s
Financial, Annual AU + 7
Financial, Monthly AU + 25 Includes Income, Expense, Balance
sheets and Cash Reports
General Ledger P GC 34090;
CCP 337
Detail which shows the posting of
Journals
Investment Transactions P GC 34090;
CCP 337; GC
53607
Summary of transactions, inventory &
earnings report
State Controller P GC 34090 Controller may destroy after 5 years
Statistics Report AU + 4 Utility billing statistics
Investment Transactions P GC 34090;
CCP 337; GC
53607
Summary of transactions, inventory &
earnings report
Accounts Receivable Control AU + 4
Accounts Receivable Journals AU + 4
Accounts Receivable Ledgers AU + 4
Applications: Parking
Billing/Customer Records ACU + 2 GC 34090 Billings, correspondence, complaints
Meter Books AU + 4
Meter Operations CU + 2 GC 34090 Reader reports, orders
Rates S + 2 GC 34090
Statistics Reports AU + 4 Monthly report for utilities
PURCHASING
REPORTS
TREASURER
UTILITIES and PARKING
20
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FINANCE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Utility Receipt Stubs AU + 4
Applications CL + 2 GC 34090 Utility connections, disconnects,
registers, service
Billing Records AU + 2 GC 34090 Customer name, service address,
meter reading, usage, payments,
applications/Cancellations
Deposits, Receipts, Customer Receipts AU + 4 GC 34090;
CCP 337
Checks, coins, currency
Invoices GC 34090 Copies sent for fees owed, billing,
related documents
21
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FIRE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Books, Fire Code S + 3 GC34090.7
CCP 340.5
National Fire Code; include OPS
manuals
Correspondence CU + 2 GC34090d Working Documentation if not
attached to agreement or project file
General Orders, Policies/Procedures S + 2
Inspections, Fire Prevention CL + 3 UFC 103.34 Alarm/sprinkler systems, prevention
efforts
Investigations, Evidence Arson P PC 799 Support prosecution resulting in
homicide
Investigations, Evidence Arson CL + 6 PC 800 Great bodily harm, inhabited
structure or property
Journals, Fire Station CU + 2 GC34090 Activities, personnel, engine
company
Permits, Uniform Fire Code CL + 2 GC34090 Underground tank removal and
installation
CODE ENFORCEMENT
Case Files Cl + 2 GC34090d Building, housing and mobile home
code violation records including
inspections; public nuisance, rubbish
and weed abatement, citations,
general
Mutual Aid, Strategic Plans S + 2 GC34090
Hazardous Waste Disposal CU + 10 CAL OSHA; 40
CFR 122.21
Documentation regarding handling
and disposal of hazardous waste
Permits, Hazardous Materials Storage,
Confined space entry permits (OSHA)
CU + 2 GC34090 Departments consistantly
recommend permanent retention of
environmentally sensitive materials
Programs, Houshold Hazardous Waste S + 2 GC34090
Training Materials S + 2 CCR 1910.120 Manuals, materials, etc.
Exposure T + 30 29 CFR
1910.1020
Sampling results;
collectionsmethodology, background
Exposure T + 1 29 CFR
1910.1020 Laboratory reports and worksheets
Medical T + 30 29 CFR
1910.1020
Medical T + 2 29 CFR
1910.1020; *
Employees less than one year
*GC34090
Training T + 2 GC34090 Certifications/designations
Apparatus/Vehicle CU + 2 GC34090 Repair and maintenance *8 Cal Code
Reg. 3203(b)(1)
Inventory, Equiptment & Supplies CU + 2 GC34090
Logs, Fire Equiptment/Gear Fire helmets CU + 2
GC34090 (Total of 5 years)
Incident CL + 3 CG34090
CCP338*Dispatch and daily logs *CCP340.5
PROPERTY
REPORTS
Title
ADMINISTRATION
EMERGENCY MANAGEMENT
HAZARDOUS MATERIALS
PERSONNEL
22
CITY OF UKIAH RECORDS RETENTION GUIDELINES
FIRE
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Field, Non-fire and Logs CU + 2 GC34090
Fire, Non-arson and Logs CU + 2 GC34090
Investigations CL + 3 PC 801; PC
799; UFC
104.32
Structures, arson resulting in
death(s), and other reports required
by the National Fire Information
Reporting System (NFIRS) pertaining
to investigation
Patient Care Reports CU + 7
Weed Abatement CL + 2 GC34090 Reports, assessments, resolutions,
documentation
23
CITY OF UKIAH RECORDS RETENTION GUIDELINES
HUMAN RESOURCES/RISK MANAGEMENT
Retention
Period
Statutory
Reference
(subject to change)
Notes
Classifications and Appointments P GC 34090; GC
12946; 29 CFR
516.6 (2); 29
CFR 1602.4
Includes supplemental Personnel
records. Wage rate tables 2 years.
Correspondence CU + 3 GC34090(d)If not attached to agreement or
project file
General Subject Files CU + 3 GC34090(d)Internal working files including
correspondence for projects
Benefit Plans P GC 6250 et
seq; OMB A-
129 29 CFR
1603.30; 32;
Lab Rel Sec
1174; 29 CFR
1637.3; 29
USC 1027; 29
CFR 1627.3; 29
USC 113
May include dental disability,
education, health, life and vision
including dependent care and
Employee Assistance
Bond, Personnel fidelity T + 2 GC 34090 Employee fidelity Bonds
Employee Handbook S + 2 GC 34090 General Employee information
including benefit plans
Employee Programs CL +2 GC 34090; GC
12946
Includes EAP and Recognitions
Employee Rights - General Employees T + 2 GC 12935; 29
CFR 1602; 29
USC 211(e);
203(m); 207(g)
May include Arbitration, grievances,
union requests, sexual harassment
and Civic rights, complaints,
disciplinary actions
Employee Rights - Safety (Police)T + 2 GC 34090 May include Arbitration, grievances,
union requests, sexual harassment
and Civic rights, complaints,
disciplinary actions
Fingerprint - Application Files T + 2 GC 34090 Paperwork authorizing fingerprinting
and background checks for city
employement applicants
Hourly Employees T + 6 GC 12946; GC
34090; 29 CFR
1627.3, Labor
Relations
Section 1174
I-9 Date of hire
+ 3, or 1 yr
after
employeem
ent ends
I-9s
Insurance - Workers Compensation P GC 6410; 29
CFR 1910.20
Indemnity; PERS - working files -
originals with Administrator
Title
ADMINISTRATION
HUMAN RESOURCES
24
CITY OF UKIAH RECORDS RETENTION GUIDELINES
HUMAN RESOURCES/RISK MANAGEMENT
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Medical Leave CL + 30 FMLA 1993 US
OSHA; 20
CFR; 29 CFR
1602.30.32; 49
CFR 193-9
May include fmaily leave;
certifications; tests
Motor Vehicle Pulls (DMV)CL + 7 GC 12946; CA
91009; 8 USC
1324(a)
Negotiation P 29 USC
Sections
211(c), 203(m),
207(g)
Notes, notebooks, correspondence,
contracts, and Memorandums of
Agreements
Non-Safety Employees T + 3 29 CFR 1627.3;
CCR 1174; 29
CFR
1602.30.32; GC
6250 et seq; 29
CFR; GC
12946, 34090;
1607.4; 29 CFR
655 202 29
Non-safety employees may include:
release authorizations; certifications;
reassignments; outside employment;
commendations, disciplinary actions;
terminations, Oaths of Office;
evaluations-pre-employee medicals;
fingerprints; identification cards (ID's)
Personnel Records (Supervisors)CU + 2 GC 34090; GC
6250
Attendence; evaluations; drafts;
worksheets; postings
PERS, Social Security, SSI P 29 CFR
1627.3(2); GC
12946, 34090
EEOC/ADEA
Recruitment CL + 10 GC 12946; GC
6250 et seq; 29
CFR 1602 et
seq 29 CFR
1607; 29 CFR
1627.3
Applications, resumes, alternate
lists/logs, indices; ethnicity
disclosures; examination materials;
examination answer sheets, job
bulletins; eligibility; electronic
database
Reports CU + 2 GC 34090 Employee statistics, benefit activity;
liabilitiy loss
Safety Employees T + 5 29 CFR 16273;
Labor Relations
Sec. 1174; 29
CFR 1607.4
Police, fire, emergency employees
may include: release authorizations;
certifications; reassignments; outside
employment; commendations,
disciplinary actions; terminations,
Oaths of Office; evaluations-pre-
employee medicals
Surveys and Studies CU + 2 GC 12946,
34090; 29 CFR
516.6(2); 29
Includes classification, wage rates
Training Records - Non-Safety CU + 7 GC 3250 et seq Employee applications, volunteer
program training, class training
materials, internships
Training Records - Personnel (by name)T + 7 GC 34090 Paperwork documenting officers'
internal and external training
Training Records - Safety CU + 2 GC 34090 Certifications/designations
Vehicle Mileage Reimbursement Rates S + 2 GC 34090 Annual mileage reimbursement rates -
Authorized by City Council
25
CITY OF UKIAH RECORDS RETENTION GUIDELINES
HUMAN RESOURCES/RISK MANAGEMENT
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Workers Compensation P CCR 14311;
15411.2 Calif.
Labor Code
110-139 6
Claim files, reports, incidents
(working files) originals filed with
Administrator
Accident Reports - Copies and regarding
City assets
CL + 7 29 CFR 1904.2;
29; CFR1904.6
Memos and working documents,
reports and related records
Bonds, Insurance P CCP 337.2;
343
Bonds and insurance policies
insuring City property and other
assets
Claims, Damage CL + 5 GC 34090; GC
25105.5
Paid/Denied; Includes photographs,
negatives, film, etc.
Incident Reports CL + 7 29 CFR 1904.2;
29 CFR 1904.6
Theft, arson, vandalism, property
damage, or similar occuranence
(excluding fire/law enforcement)
Insurance, ACCELJT Powers Agreement CL + 7 GC 34090 (Authority California Cities Excess
Liability Insurance_ -B Accreditation /
MOU's / agreement / agendas
Insurance, Certificates and Policies P GC 34090 Insurance certificates filed separately
from contracts, includes insurance
filed by licencees, REMIF insurance
documents
Insurance, Liability and Property P GC 34090 May include liability, property,
Certificates of Participation, deferred,
use of facilities
Risk Management Reports CL + 5 OMB 1220-
0029; 29
CFR1904.4;
GC 34090
Federal OSHA Forms, Loss Analysis
Report; Safety Reports; Actuarial
Studies
RISK MANAGEMENT
26
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PLANNING COMMUNITY DEVELOPMENT
Retention
Period
Statutory
Reference
(subject to change)
Notes
Correspondence CU + 2 GC34090d Working documentation if not
attached to agreement or project file
Development Agreements P CCP337;
337.1(a);
337.15;
GC34090; 48
CFR 4.703
Infrastructure contracts, franchises.
Original maintained for 7 years
Development Conditions L GC34090 Mitigation measures; filed with case
files
Development Standards P GC34090a Landscape mediums, parkway
landscape development, public works
construction
Drawings, Project Plan CU + 2 GC34090d Does not include those usually filed
with case of project
General Subject Files CU + 2 GC34090d Internal working files including
correspondence
Historical Preservation Inventory 2 GC34090d Historic structures and landmarks
Land Uses, nonconforming P GC34090a Building or site usage which does not
conform to current standards
Logs CU + 5 Logs, registers or similar records
listing permits, certificates of
occupancy issued; may include
inspection, building activity, daily,
plan check, utility
Master Plans, Annual S + 2 GC34090 Special or long range program plan
for municipalities - coordination of
services; strategic planning.
Photographs S + 2 GC34090d Aerial photographs
Projects, not Completed or Denied CL + 2 GC34090d Building, engineering, planning
Reports CU + 2 GC34090 Periodic activity
Seismic Retofit Program P GC34090a Includes Certificates of Compliance
Street Names and House Numbers P GC34090a Street dedications, closings, address
assignment/changes
Studies, Special Projects & Area CL + 2 GC34090d Planning & Building, joint powers,
noise, transportation
Blueprints, Specifications P GC34090a;
H&S19850;
4003; 4004
Plans, building, signs, grading,
including blueprints and
specifications
Certificates Compliance, elevation, occupancy
which affect real property
Code Books P GC34090e National Electric Code, Uniform
building, fire, Mechanical, Plumbing
& Supplements
Construction (Approved)P New commercial and residential
construction, tenant improvements
room additions, spa, signs, block wall
remodel including security bonds
Inspection CL + 2 Correspondence, fees, appeal
requests, reports
Title
ADMINISTRATION
BUILDING
27
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PLANNING COMMUNITY DEVELOPMENT
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Permits P GC34090a;
H&S19850;
4003; 4004
Plans, building, signs, grading,
Signs (Temporary)S + 2 GC34090d Home occupation, off-premise signs
Soil CL + 2 GC34090d Analysis, construction
recommendations
Soil Reports P GC34090d Final Reports
Appraisals
CL + 2
GC34090;
GC6254(h)
Exempt until final acquisition or
contract agreement obtained
Bonds CL + 4 CCP337 Revenue Bond Documentation
Deeds & Promissory Notes P GC34090a;24C
FR570.502(B)(3
); 24CFR8.42 &
OMB circ. SA-
110
Programs CL + 3 24FR570.502(b
)(3); 24
CRF85.42 &
OMB Cir.A110,
#C
Includes comprehensive Housing
Authority Strategy, Meeting Credit
Certificate, Housing bond advisory,
HOME, In-Lieu Housing Mitigation,
Low/Moderate Housing, Rental
Housing Assistance
Bond Issues P GC34090,
40802, 53901;
GC43900 et
seq.
Includes annual audit
Air Quality (AQMD)CU + 7 CCP338(k);
GC34090
Participants/voucher logs, total Daily
Mileage Survey (TDM); various local
authorities; commute Alternative.
Asbestos P GC34090a Documents abatement projects,
public buildings (permitting through
Environmental Health Dept.)
California Environmental Quality Act (CEQA)P GC34090a +
CEQA
Guidelines
Exemptions, Environmental Impact
Report, Mitigation monitoring,
Negative Declaration, Notices of
Completion and Determination,
comments, Statements of Overiding
Consideration.
Congestion Management CU +2 GC34090d Ride sharing, trip reduction
Environmental Review CU +2 GC34090d Correspondence, consultants,
issues, conservation
Capital improvements, Construction P 2.083110;
GC34090a;
4004;
H&S19850
Contains records re: Planning,
design, construction, conversion or
modification of local government-
owned facilities, structures & systems
Facility Rentals/Use CU + 2 Permits, contracts, diagrams,
schedules, insurance binders
ENVIRONMENTAL QUALITY
ECONOMIC DEVELOPMENT AND HOUSING
MUNICIPLE FACILITY
28
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PLANNING COMMUNITY DEVELOPMENT
Retention
Period
Statutory
Reference
(subject to change)
Notes
Title
Maintenance Operations CU + 2 Service requests, invoices,
supporting documentation; buildings,
equipment, field engineering, public
facilities including work orders and
graffit removal
Case Files: Planning and Zoning P GC34090a;
H&S19850;
4003; 4004
Pertains to real property. May include
blueprints, drawings, maps, plans,
reports, evaluations,
correspondence, uses, permits,
variances, studies, appeals,
compliance certificates, lot line
adjustments or other planning related
matters brought before legislative
body
Certificates L GC34090 Retain during life of structure
General Plan and Elements P GC34090 Includes Sphere of Influence
General Plan Amendments - Approved CL + 2 GC34090
General Plan Amendments - Denied CU + 3 GC65109;
GC50110
Interpretations CU + 2 GC34090
Maps, Plans, Drawings, Exhibits, Photos P GC34090;
H&S19850;
GC34090.7
Zoning, tentative subdivision, parcel,
land use map, aerial photos, specific
plans
Abandonment P GC34090a Buildings, condemnation, Demolition
Acquisition/Disposition CL + 10 GC34090a;
GC6254
Supporting documents re: sale,
purchase, exchange, lease or rental
of property by City
Annexation Case Files P GC34090a Reports, agreements, public notices
Maps, City Boundary P GC34090d Recorded maps, surveys,
monuments
Lot Split Cases P GC34090
Relocation Files CL + 2 GC34090 e.g., Redevelopment
Reports/Studies CL + 2 GC34090 Future sites, expansions
PROPERTY
PLANNING
29
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
Retention
Period
Statutory
Reference
(subject to change)
Notes
Accounting/Cash Reconciliations CU + 2 GC 34090
Alarm Records CU + 2 GC 34090
Claim Files CL + 6 PC 832.5 Claim copy, correspondence,
photographs, supporting relative to
incidents involving the Police
Department filed by citizens
Correspondence CU + 2 GC 34090.d Working documentation if not
attached to agreement or project file
Department Manual S Changes to manual are recorded in
General Orders (permanent)
Equipment - Communication T + 2 GC 34090 Retained until two years after
termination of equipment use 2 years
after; manuals, instructions,
procedures
Equipment - Inventory S + 2 GC 34090 Listing of equitment assigned to
division, to whom it is assigned
Reports - Activity CU + 2 GC 34090 Weekly/monthly/quarterly/annual
activity/statistical reports by division.
Retain only one form for retention
period
Reports - Survey Response Files CU + 2 GC 34090 Surveys, responses, correspondence
with other agencies requesting
statistical data
Abandoned Vehicles CL + 2 GC 34090.d
Case Files CL + 2 GC 34090.d Vehicle abatement, citations
Logs CU + 2 GC 34090.d Lien recovery, citations, complaints
Reguations S + 2 GC 34090.d Includes rules
Reports, Federal and State P GC 34090.a Code enforcement statistics; may
contain records affecting title to real
property or liens thereon
Administrative/Internal CL + 2 PC 832.5, EVC
1045, GC
12946, PC
801.5, 803(c)
VC 2547
Initiated internally; includes
complaint, reports, findings
Citizen Complaints CL + 5 PC 832.5, EVC
1045, GC
12946, PC
801.5, 803(c)
VC 2547
Initiated by citizens complaints;
includes complaint, reports, findings
Arrest/Conviction
H&S Section 11357(b),(c),(d),(e) or
H&S Section 11360(b) violations (Occurring
after January 1, 1996)
Mandatory
Destruction
from date of
conviction
or date of
arrest with
no
conviction
H&S 11361.5 Applicable to convictions occurring
after January 1, 1996, or arrests not
followed by a conviction occurring
after January 1, 1996; Exception:
H&S 11357(e), the record shall be
retained until a juvenile offender
attains the age of 18 years, then
destroyed pursuant to 11361.5
Title
ADMINISTRATION
CODE ENFORCEMENT
INVESTIGATIONS
30
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Arrest/Conviction
H&S Section 11357(b),(c),(d),(e) or
H&S Section 11360(b) violations (Occurring
after January 1, 1996)
Mandatory
Destruction
upon notice
from DOJ
H&S 11361.5 Applicable to convictions occurring
prior to January 1, 1996, or arrests
not followed by a conviction occurring
prior to January 1, 1996, for
violations of H&S Code 11357,
11364, 11365 and 11550
Asset Forfeiture -
Investigations/Proceedings
CL + 2 GC 34090
Asset Forfeiture - Case Files CU + 2 GC 34090
Notifications CU + 2 GC 34090 To legal property owner prior to case
Case Books, investigative CL + 2 GC 34090 Retained by division until a case is
suspended/closed; transfer to
Records Division to be filed with
associated Daily Report (DR) file
Case Files - Homicide, Investigator's File P PC 799
Case Files - Narcotics - No arrest,
Narcotics Cases
CL + 2 GC 34090
Officer Involved Shootings CL + 25 GC 34090
Court - Daily Schedule CU + 1 GC 34090.7 Printouts of daily court scheduling,
subpoenas
Court - Sign-in Logs CU + 2 GC 34090 Logs officers' names, time in/out for
court appearances
Court - Tracking System Records CU + 2 GC 34090 Database records subpoena number,
officer name, case number,
defendant name, district attorney
name, court information disposition
Crime - Felony Crimes With or Without
Arrests
CL + 7 PC 800
PC 801
Prosecution for an offense
punishable by imprisonment in state
prison for eight years or more must
commence within 6 years after
offense commission.
Commencement of prosecutino
defined in PC 804. Exception: See
PC 803-Tolling/Extension of time
periods; Appeals process and "Three
Strikes" also consideration in
assigning retention for the City's
cases
Crime - Misdemeanor/Infractions CL + 7 GC 34090 No arrests, identifiable property or
Crime - Supplemental, Felony Capital
Crimes, Crimes Punishable by Death, Life
Imprisonment
P PC 799 No statutory limitation for
prosecution. Includes murder,
kidnapping for ransom, treason,
proccuring execution by perjury, train
wrecking, assault with a deadly
weapon by a life-term prisoner,
bombing resulting in death or bodily
injury, making defective war materials
that cause death
Destruction - Guns, Narcotics P
Disposition of Arrest/Court Action Retention determined by action
Evidence, Disposition Forms Attach to duplicate Property Report,
file with DR in Recrds Division
Fingerprint Application Files T + 2 GC 34090 Paperwork authorizing fingerprinting
for business licenses and taxi service
31
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Fingerprint Inked/Palm Cards AC + 20 Persons booked into detention
facility; (Copies distrbuted to county,
state, federal agencies)
Records Latents Approp. PC
Section
1) Retain for applicable case statute
of limitation; 2) or until evidence in
case is destroyed; Hard copy and
digitized
Records Suspect, Adult/Juvinile CL Law
Enforcement
Management
guide by POST
Adults/juveniles suspected of a
crime, taken for comparison. Destroy
after original purpose achieved
Guns, Dealers Record of Sale CU + 6 PC 12070 Applicants, Monthly Gun Audits,
applications denied, stolen (DOJ File)
Licenses/permits - Bicycle CU + 2 GC 34090
Licenses/permits - Taxi, Auto for Hire T + 4 GC 34090 License, permits for taxicabs,
shuttles, etc…
Licenses/permits - Duplicate (Pink)
Secondhand Dealer, Pawn Brokers
CU + 3 GC 34090 Original to licensee, Blue duplicate to
DOJ; Pink duplicate retained by
agency; renewals issued annually by
local agency; includes permits
Logs - Auto Theft S
Logs - Case Assignment CU + 1
Logs - Daily Activity CU + 2 GC 34090
Logs - Officer CU + 2 GC 34090 Daily activity of incidents not reported
by use of offical report
Logs - Report Summary CU + 2 GC 34090 Report numbers, type, names, dates
retained for research value
Logs - Investigative (Pre-Arrest)CL + 10 GC 34090 Retained by division until cases are
suspended and closed
Logs - Juvenile Detention CU + 2 GC 34090 Logs document juvenile processing
per CYA
Logs - Property Control CU + 2 GC 34090 Lost items coming into and going out
of property room
Logs - Rap Sheet CL + 2 GC 34090 Requests for criminal history
Logs - Subpoena CU + 2 GC 34090 Subpoenas received/served daily on
Police Department employees
Non-Criminal Occurrences CU + 7 GC 34090 Injured or sick persons; missing
persons where person has been
erturned; traffic collision reports not
used as the basis for criminal
charges
Pawn Slips/Tickets CU + 3 B & P 21628 Copies from pawn shops
Photographs Crime Scene, registrant/applicant,
photo file, accident. Retain according
to practical and functional association
Photographs - Daily Report (Negatives)T GC 34090 Assigned DR number, retained as
form of evidence, destroyed at same
time evidence for associated case is
destroyed
Photographs - Inmates (Negatives)CU + 20 By prisoner number
32
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Property Original Until case is
adjudicated/
disposition
determined
Copy retained in records case file;
refer to managing property in law
enforcement agencies (by POST)
Range Inventory S + 2 GC 34090 Reports of inventories of weapons
and ammunition held by department
range.
Registration Files, Arson, Sex and
Narcotics
Life of
registrant
within
jurisdiction
Fingerprint card, photo, information
also forwarded to DOJ
Reports CU + 2 GC 34090 Arrest & citation register, arson
offenses, crimes against senior
citizens, death in custody, domestic
violence, FBI include return A/Supp.,
hate crime incidents, homicide
reports - supp., officers killed or
assaulted, original to FBI-DOJ,
uniform crime reports
Sealed Adult Found Factually Innocent Mandatory
destruction
upon and
pursuant to
Court Order
General provision: Upon petition,
records of agency must be sealed
and destroyed in accordance with the
provisions set by court record,
exceptions
Juvenile Mandatory
destruction
upon and
pursuant to
Court Order
Upon peition, local laws enforcement
records within WIC 826(b) may be
destroyed as ordered by the court, if
related probation and juvenile court
records have been destroyed by the
probation officer. Records involving
arrests, detention and/or petitioning
juvenile before juvenile court
Tapes - Audio, Telephone and Radio
Communications
CU + 180
days
GC 34090.6 Exception: recordins used as
evidence in a criminal prosecution or
claim filed or litigation or potential
claims and litigation shall be
preserved for 100 days after
conclusion of the court action
Use of Force Supervisory Review Files CU + 2 GC 34090 Includes review forms, arrest report
copies, logs
Citations - 11357(e), Juvenile CL + 2 H&S 11361.5
Citations - 11357b H&S, 11357c H&S,
11360b H&S Violations
CL + 2 H&S 11361.5,
CA Admin.
Code, Chapter
1, Title II, Sec.
708
Citations - Cite and release CL + 2 GC 34090
Citations - California Vehicle Code
Infractions (Duplicates)
CU + 90
days
GC 34090 Original is forwarded to court
Citations - Parking/Traffic, Duplicates CU + 2 GC 34090.7 Originals are forwarded to court after
agency processing; includes citations
electronically created
PATROL
33
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Citations - Transmittals CU + 2 GC 34090 Listing of citations forwarded to court,
filed for reference
Equipment - Radio Logs (Communication)CU + 2 GC 34090 Document problems, malfunctions,
resolution to provide equipment
performance history
General Orders P
Radar Calibration Records T + 2 Documentation of radar instruments
retained during use/ownership
Reports - Accident CL + 2 GC 34090 Non-Jury
Traffic Colllision Fatalities P
Vehicle - Assignment Reports S Record of assignments
Vehicle - Down Reports CU + 1 Printouts reporting which vehicles are
down for repair, maintenance, etc.
Vehicle - Repossessions/Private Impounds CU + 2 GC 34090
Vehicle - Service Schedules S GC 34090
Vests, Bulletproof Letters CU + 2 GC 34090 Authorization to purchase
Weapons, Database P Departmentally-owned weapons,
personal weapons, alternate
weapons, secondary handguns,
produces inventory reports
Grievance Files CL + 2 GC 34090 Grievance filed by employees,
supporting documentation
Investigations - Background CL + 2 GC 34090 Non-hired
Investigations - Background Hired P Include original reports re: PC 832.5
investigations
Parades & Special Events File CL + 2 GC 34090 Reports, memos, correspondence,
scripts, supplier information,
assignments, deployments,
supporting documentation
Permits - Alcoholic Beverage Control
License
L + 2 GC 34090
Permits - Concealed Weapons CL + 2 GC 34090
Photographs - Personnel S + 2 GC 34090
Press Releases CU + 2 GC 34090
Press, Video Programs (Community
Relations)
CU + 2 GC 34090 Collection of videos of programs and
events, outside press coverage of
department
Property Files CU + 2 GC 34090 Original reports and supplemental
documentation (Lost, found,
safekeeping)
Property, Pawn Broker/Secondhand CU + 2 GC 34090 Sales slips. Dealer required to file
duplicate with agency
Reports - Dealer of Gun Sales, Duplicate CU + 6 mos.GC 34090.7 Original maintained by DOJ. Dealer
required to file duplicate with agency
Restraining Orders, Emergency Protective
Orders, Temporary Restraining Orders,
Legal Stipulations, Orders After Hearing
CU (See
descriptor)
Destroy after law enforcement
actions described in PC 273.5, 273.6,
649.9, 12028.5, 13700 and Family
Code Sections 6380-6383 are
fulfilled and effective date of
restraining order has expired
Rosters (Divisional)S + 2 GC 34090 Personnel assigned to division
Schedules - Day CU + 2 GC 34090 Schedules of Officers on duty
SERVICES
34
CITY OF UKIAH RECORDS RETENTION GUIDELINES
POLICE
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Schedules - Watch
Assignment/Timekeeping Records
CU + 2 GC 34090
Speaker Requests CU + 2 GC 34090 Community and business requests
for public appearances, speakers
Training - Bulletins P GC 34090
Training - Event Files CU + 2 GC 34090 Correspondence, brochures,
promotional materials , information
on speakers, guests, supporting
documents
Training - Lesson Plans, Range CL + 15 GC 34090 Scope, content, time period of
courses
Training Personnel (by name)T + 7 GC 34090 Paperwork documenting officers'
internal and external training
Training schedules, Range CU + 2 GC 34090 Daily, weekly, monthly schedules of
training events at range
Volunteer Card Files T + 2 GC 34090 Volunteers identification, contact
information
35
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS
Retention
Period
Statutory
Reference
(subject to change)
Notes
Benchmark Data P GC 34090d Horizontal, vertical & control
Correspondence CU + 2 GC 34090d Working documentation if not
attached to agreement or project file
Grants - Community Development Block
Grant and Urban Development
T + 4 GC 34090; 24
CFR 570.502
24 CFR 85.42;
OMB Cir. A-
102, A-110, A-
128
Applications, reports, contracts,
supporting documents
Grants - Federal and State CL + 5 OR
S
GC 34090 Refer to grant application close-out
procedures. Grants can be
superceded by individual grant
Licenses/Permits P Encroachment Permits, etc…
Maps & Plats P Engineering & field notes and
profiles; cross-section of roads,
streets, right-of-way, bridges; may
include annexations, parks, tracts,
block, storm drains, water
easements, bench marks, trees,
grading, landfill, fire hydrants, base
maps, etc…
Permits P GC 34090a;
H&S 19850;
4003; 4004
Encroachment Permits
Permits, Construction P GC 34090a;
H&S 19850;
4003; 4004
Plans, building, signs, grading,
encroachment, including blueprints
and specifications
Projects, Not Completed or Denied CL + 2 GC 34090d Building, engineering, planning
Studies, Special Projects & Area CL + 2 Engineering, joint powers, noise,
Surveys P Recording data and maps
Capital Improvement Projects CL + 10 CC 337.15 Supporting documents including
bidders list, specifications, reports,
plans, work orders, schedules, etc…
Congestion Management CU + 2 GC 34090d Ride sharing, trip reduction
Construction Tracking, Daily P CC 337.15 Assesses value of real property
Drawings, Traffic Control Plan P GC 34090a Signs, signing & striping, road
construction
Flood Control CL + 2 GC 34090d Storm drains
Soil CL + 2 GC 34090d Analysis, construction
Soil Reports P GC 34090d Final Reports
Special Districts P GC 34090a Suporting documents regarding
improvement, lighting, underground
utility; bonds, taxes & construction
Traffic Signals CL + 2 GC 34090d Counts, collisions, accidents
Title
ADMINISTRATION
ENGINEERING
36
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Air Quality (AQMD)CU + 7 CCP 338(K);
GC 34090
Participants/voucher logs, Total Daily
Mileage (TDM) survey; various local
authorities; commute alternative
California Environmental Quality Act
(CEQA)
P GC 34090a,
and CEQA
Guidelines
Exemptions, environmental impact
report, mitigation monitoring, negatie
declaration, notices of completion
and determination, comments,
statements of overriding
considerations
Inventory, Equipment Parts and Supplies L + 2 Includes vehicles and related
documents regarding repairs
Inventory, Vehicle Ownership and Title L + 2 Owner's manual, warranty
documents, Department of Motor
Vehicles title and registration, related
docuemtns
Licenses, Permits CU + 2 Forms, related documentation
regarding licenses and permits
required by federal and state
agencies
Maintenance/Operations-Garage L + 2 GC 34090 Related to requests for service and
work orders for fuel, vehicle and
equipment maintenance and repairs
Vehicle Assignment CU + 2 GC 34090 Log books, request forms, lists
Hazardous Waste Disposal CU + 10 CAL OSHA; 40
CFR 122.21
Documentation regarding the
handling and disposal of hazardous
waste
Underground Storage Tank - Compliance P GC 34090a Documetns regarding storage
Underground Storage Tank - Maintenance
& Operation
CU + 2 GC 34090 Location, installation, removal,
remediation
Appraisals SL + 2 GC 34090; GC
6254(h)
Exempt until final acquisition or
contract agreement obtained
Deeds & Promissory Notes P GC 34090a; 24
CRF
570.502(B)(3);
24 CRF 8.42 &
OMB Circ. SA-
110
Lot Split Cases P GC 34090
Maps, City Boundary P GC 34090d Recorded maps, surveys,
monuments
Railroad Right-of-way CL + 3 36 CFR 64.11 Land acquisitions, correspondence,
improvements, statutory records
Studies CL + 2 GC 34090
ENVIRONMENTAL QUALITY
GARAGE
HAZARDOUS MATERIALS
PROPERTY
REPORTS
37
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Parades & Special Events File CL + 2 GC 34090 Reports, memos, correspondence,
scripts, supplier information,
assignments, deployments,
supporting documentation
Collections/Landfill CU + 2 GC 34090 Daily records, usage
Facilities CU + 2 GC 34090 Correspondence, maps, patron list
History, Sanitation P GC 34090 Where City-owned
Recycling Programs S + 2 GC 34090
Tonnage - Landfill CU + 2 GC 34090
Abandonments/Vacations P GC 34090 Relingquishment of rights and fee
title
Closures P GC 34090
Easements, Dedications, Rights-of-Way P GC 34090
Field Books P GC 34090
Grants: Federal & State CL + 5 OR
S
GC 34090 Refer to grant application close-out
procedure
Intersection Records CU + 2 GC 34090 Includes correspondence, volume
counts, accident history
Inventory, Traffic Control Device S + 2 GC 34090 Signs, lights
Landscaping CU + 2 GC 34090 Plants, tree maintenance, work
orders
Maintenance/Operations-Streets/Alleys CU + 2 GC 34090 Includes work orders, inspection,
repairs, cleaning, reports,
complaints, signals, striping
Maps P GC 34090 Fire hydrants, lighting districts, wheel
chair ramps, storm drains, streets,
sidewalks, sewers
Master Plans CU + 2 GC 34090 Copies
Parking - Lots CU + 2 GC 34090
Parking - Regulations S + 2 GC 34090
Reports/Studies CL + 2 GC 34090
Permits - Encroachment P GC 34090
Permits - Improvement CL + 2 GC 34090
Oversize Load CL + 2 GC 34090
Permits - Parking CL + 2 GC 34090
Permits - Paving CL + 2 GC 34090
Permits - Use (Temporary)CL + 2 GC 34090 Includes Special Events
Photographs S + 2 GC 34090 Includes aerials
Plans, Capital Improvement, Projects P GC 34090 Streets, curbs, gutters, sidewalks,
storm drains
Procedures - Naming and Numbering P GC 34090
Procedures - Speed Limits S + 2 GC 34090
Programs - Federal Aid Urban CL + 3 23 CFR 633(a)
& (c)
Programs - Traffic Safety S + 2 GC 34090 Drivers education, pedestrian safety,
bycycle lanes
Reports - Bridges & Overpasses L + 2 GC 34090 Life of structure
SERVICES
SOLID WASTE/LANDFILL
STREETS/ALLEYS
38
CITY OF UKIAH RECORDS RETENTION GUIDELINES
PUBLIC WORKS
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Reports - Inspection CU + 2 GC 34090 Includes intersection, sidewalks.
Bridges and overpasses, keep life of
Studies CL + 2 GC 34090 Traffic volume, accident history,
Studies - Traffic Count CL + 2 GC 34090 Evaluation of traffic volume
Studies - Vehhicle Accident CL + 2 GC 34090
Routes, School Bus & Truck S + 2 GC 34090 Truck routes, access ramps, rest
areas
Signage L + 2 GC 34090 Log books, index register cards,
inventory lists, records of traffic signs
Traffic Signals L Logs, drawings, wiring diagrams,
codes, circuit numbers, installation
records, testing and maintenance
Weigh Scales S + 2 GC 34090
Flood Control - Drainage Facilities P GC 34090 Includes dams, lakes, basins, creeks
Flood Control - Flood Zones P GC 34090 Includes flood maps
WATER
39
CITY OF UKIAH RECORDS RETENTION GUIDELINES
WATER AND SEWER
Retention
Period
Statutory
Reference
(subject to change)
Notes
Correspondence CU + 2 GC 34090d Working documentation if not
attached to agreement or project file
Maps & Plans P GC 34090a Engineering & field notes and
profiles; cross-section of roads,
streets, right-of-way, bridges; may
include annexations, parks, tracts,
block, storm drains, water
easements, bench marks, trees
grading, landfill, fire hydrants, base
maps, etc…
Special Districts P GC 34090a Supporting documents regarding
improvement, lighting, underground,
utility, bonds, taxes & construction
Liens & Releases - Supporting CL + 2 GC 34090 Utilities, abatement, licenses
Liens & Releases - Recorded P GC 34090 Utilities, abatement, licenses
Collections CU + 2 GC 34090 Daily records, usage
Facilities CU + 2 GC 34090 correspondence, maps, patron list
History, Sanitation P GC 34090 Where City-owened
Incinerator, Treatement Plant, Sludge CU + 2 40 CFR 60.153 Gas flow through wet scrubbing,
oxygen content of exhaust gas,
sludge rate, temperatures, fule flow,
total solids and volatile solids
Maintenance and Operations CU + 2 GC 34090 Includes work orders, inspection,
repairs, cleaning reports, complaints
Maps, Septic TankReclamation P GC 34090 Location maps
Reclamation CU + 5 40 CFR 122.41 Daily operations including sewage
flow, grit removal, chlorine usage, lab
analysis results, etc…
Recycling Programs S + 2 GC 34090
Regulations S + 2 GC 34090 Includes legislation
Reports - Studies CL + 2 GC 34090
Grants: Federal & State CL + 5 GC 34090 Refer to grant applicaion close-out
procedure
Inventory, Traffic Control Device S + 2 GC 34090 signs, lights
Lighting CU + 2 GC 34090 Maintenance, work orders
Maintenance/Operations CU + 2 GC 34090 Includes work orders, inspection,
repairs, cleaning, reports,
complaints, signals
Maps P GC 34090 Fire hydrants, lighting districts, storm
drains, sewers
Traffic Signals L Logs, Drawings, wiring diagrams,
codes, circuit numbers, installation
records, testing and maintenance
Reports CL + 2 GC 34090d Counts, collisions, accidents
Electric Rates S + 2 GC 34090
UTILITIES
Title
ADMINISTRATION
CODE ENFORECMENT
SANITATION/SOLID WASTE/WASTEWATER
STREETS/ALLEYS
40
CITY OF UKIAH RECORDS RETENTION GUIDELINES
WATER AND SEWER
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Facilities T + 2 GC 34090 If City owned
Meter Reading CU + 2 GC 34090
Underground P GC 34090
Utility Rebates CU + 2 GC 34090
Connection Records P GC 34090 Maps, water line connections
Flood Control - Drainage Facilities P GC 34090
Flood Control - Flood Zones P GC 34090 Includes dams, lakes, basins, creeks
Flood Control - Insurance Programs S + 2 GC 34090 Includes flood maps
Flood Control - Policies/Procedures S + 2 GC 34090 Includes copies of policies, rules,
programs
Flood Control - Reports/Studies CL + 2 GC 34090 rules and Reguations
Inventory, Equipment CU + 2 GC 34090
Locations P GC 34090 Mains, valves, hydrants, wells
Maintenance and Operations CU + 2 GC 34090 Includes work orders, inspection,
repairs, cleaning, reports, complaints
Maintenance and Operations - Service CU + 2 GC 34090 Includes work orders, entry cards,
manholes, service to property owners
Maintenance and Operations - Well &
Pumping
CU + 2 GC 34090 Times operations, power used and
quantity
Maps P GC 34090 Line locations; easements
Master Plans CU + 2 GC 34090 copies
Meter Operations CU + 2 GC 34090 Reader reports, orders, tests,
Permits - National Pollutant Discharge
Elimination System (NPDES)
P 40 CFR 122.28
Permits - Others CU + 2 GC 34090 Municipalities of 100,000 or more,
compliance with Clean Water Act
regarding pollutants
Policies and Procedures S + 2 GC 34090 May depend on terms of state or
federal agency
Rates S + 2 GC 34090 Includes rules and regulations
Reclamation CU + 5 40 CFR 122.41 Daily operations including grit
removal, chlorine usage, labe
analysis relusts, etc…
Reports - Conservation CU + 2 GC 34090
Reports - Consumption CU + 2 GC 34090
Reports - Corrosion Control CU + 12 40 CFR 141.91 Compliance documentation
Reports - Discharge Monitoring CU + 5 40 CFR 141.91 Average amount of pollution
Reports - Drinking Water Corrections CU + 10 40 CFR 141.91
Reports - Hydrograph P 40 CFR 141.91 Daily flow of streams
Reports - Lead Service Line CU + 12 40 CFR 141.91 Compliance documentation
Reports - Public Education CU + 12 40 CFR 141.91 Compliance documentation
Reports - Quality Parameters CU + 12 40 CFR 141.91 Compliance documentation
Reports - Sanitary Surveys CU + 10 40 CFR 141.91 Statistics, reports, correspondence
Reports - Source Water CU + 12 40 CFR 141.91 Compliance documentation, e.g. lead
Reports - State Certification CU + 12 40 CFR 141.91 Compliance documentation
Reports - Variances, Water System CU + 5 40 CFR 141.33
WATER
41
CITY OF UKIAH RECORDS RETENTION GUIDELINES
WATER AND SEWER
Retention
Period
Statutory
Reference
(subject to change)
NotesTitle
Reports - Well Level CU + 2 GC 34090 May include wells, rivers, lakes,
districts
Sources CU + 2 GC 34090 Notes preparatory to maps of water
installations
Surveyor Field Notes P GC 34090 Statistics, reports, correspondence
Surveys, Water System Sanitary CU + 10 40 CFR 141.33
Tests - Bacteriological Analysis CU + 5 40 CFR 141.33 Compliance records include location,
date, method and results;
corrections, analysis of bacterial
content
Tests - Chemical Analysis CU + 10 40 CFR 141.33 Compliance records include location,
date, method and results;
corrections, analysis of chemical
content
Tests - Quality CU + 12 40 CFR 141.91 Compliance documentation including
sampling data, analysis, reports,
surveys, documents, evaluation,
schedules, valves, etc…
Valve Main Records P GC 34090
Violations, Drinking Water CU + 3 40 CFR 141.33 Retention applies to each violation
42
May 5, 2017
This contract is for the services of Keith Gaudette of City of Light Sound and Recording {COL)
and The City of Ukiah for the 2017 Sundays in the Park Concert Series, in Ukiah, Ca.
City of Light agrees to provide sound reinforcement, monitoring desk, load-in and load-out,
and the appropriate staff to ensure a quality event for the concerts at Todd Grove Park in
Ukiah. COL will also abide by the guidelines set out in each tech rider provided by each band.
The City of Ukiah contracts COL for the following concert dates:
June 11 Top Shelf/ Johnny Young Band $2032.00
June 25 Royal Jelly Jive $2032.00
July 11 Orgone $2032.00
July 23 Ozomatli $2032.00
July 30 David luning Band $2032.00
August 13 Tainted Love $2032.00
Total:$ 12,192.00
If requested by the City of Ukiah additional load-in and load-out services may be provided by
COL for the concerts by providing two people, for a maximum of five hours per concert, to be
paid by the COL and invoiced separately from the services quoted above to the City of Ukiah .
Load-in is 12:00pm each day (or earlier depending on the sound requirements of the act) with
the band load-in at 3:00pm. The sound check is to occur between 4:00-5:30pm. ALL SOUND
CHECKS ARE TO BE COMPLETED BY 5:30PM AT EACH CONCERT. Concerts will begin at 6:00pm
sharp. COL will possibly act as the second on mixing in the event the band comes with their own
sound person. Details will be forthcoming.
City of Ukiah will also provide ample electrical requirement for each concert. Payments will be
made on the day of each concert.
City Manager
300 Seminary Ave.
Ukiah, CA 95482
Keith Gaudette
City of Light
P.O. Box 460
Lakeport CA 95453
Please return document to Jake Burgess at jburgess@cityofukiah.com or City of Ukiah, 411
West Clay St., Ukiah, CA 95482. Thank you .
Page 2 of 2
number of employee leave banks, such Personal Leave and Executive Leave, and occurs in the fiscal
year beginning July. In order to use this program for the floating holiday hours, the City requested the
Bargaining Units to agree to amend the Holiday provision allowing the floating holiday hours to be
credited to the employee’s vacation accrual at the beginning of each fiscal year. All Units agreed and the
Addenda (Attachments 1-6) have also been ratified by each Unit for Council’s approval.
Staff recommends that City Council adopt the attached Resolution (Attachment 7) approving the six
addenda to the Bargaining Unit MOUs, which amends the Holiday provision to allow the floating holiday
credit to be added to each employee’s vacation accrual balance in the beginning of each fiscal year.
FISCAL IMPACT:
Budgeted
Amount in
16-17 FY
New Appropriation
Source of Funds
(Title & No.)
Account Number
Budget
Amendment
Required
Previous Contract
or Purchase Order
No.
N/A N/A N/A Yes No N/A
ADDENDUM TO THE DEPARTMENT HEAD UNIT
2015-2018
MEMORANDUM OF UNDERSTANDING
This Addendum to the 2015-2018 Memorandum of Understanding (MOU) between the Department Head Unit
and the City of Ukiah, effective on July 1, 2017, is entered for the purpose of amending the Holiday provisions
of the current MOU.
In an effort to streamline the annual accrual process and utilize the current functionality within the City’s
financial software system, the Finance Department requested the City to review the current practice of manually
adding the 8-hour floating holiday credit to each employee’s vacation accrual in the first full pay period of
August each year, and asked to have the payroll procedure amended to allow for the 8-hour floating holiday to
be added at the beginning of the fiscal year of each year. This would allow for the 8-hour holiday to be
automatically added to the employee’s vacation accrual through the annual accrual processing program.
Based on the proposal presented to the City Manager, and information provided by Payroll and Human
Resources, the City and Unit agree to the following change to the 8-hour floating holiday provision:
HOLIDAYS
Employees are provided with the following paid holidays (Memo 7/1/90):
DATE HOLIDAY
December 31 New Year's Eve
January 1 New Year's Day
3rd Monday, January Martin Luther King Birthday
3rd Monday, February President's Day
Last Monday, May Memorial Day
July 4 Independence Day
1st Monday, September Labor Day
2nd Monday, October Columbus Day
November 11 Veterans' Day
4th Thursday, November Thanksgiving Day
4th Friday, November Day following Thanksgiving
December 24 Christmas Eve
December 25 Christmas Day
Added to vacation accrual each fiscal year 8 hours floating Holiday credit
The 8-hours floating holiday credit is added to each employee’s vacation accrual in the beginning of the fiscal
year of each year.
WHEREFORE, this addendum to the 2015-2018 Memorandum of Understanding is ratified and adopted
pursuant to the recommendation of the following representatives this 7th day of June, 2017, and will be
ATTACHMENT 1
incorporated into the MOU during the next round of negotiations. All terms and conditions set forth in the
MOU which are not specifically modified by this Addendum shall remain in full force and effect.
CITY OF UKIAH DEPARTMENT HEAD UNIT
_____________________________________ _________________________________________
Sage Sangiacomo, City Manager Tim Eriksen, Public Works Director/City Engineer
ADDENDUM TO THE MANAGEMENT UNIT
2015-2018
MEMORANDUM OF UNDERSTANDING
This Addendum to the 2015-2018 Memorandum of Understanding (MOU) between the Management Unit and
the City of Ukiah, effective on July 1, 2017, is entered for the purpose of amending the Holiday provisions of
the current MOU.
In an effort to streamline the annual accrual process and utilize the current functionality within the City’s
financial software system, the Finance Department requested the City to review the current practice of manually
adding the 8-hour floating holiday credit to each employee’s vacation accrual in the first full pay period of
August each year, and asked to have the payroll procedure amended to allow for the 8-hour floating holiday to
be added at the beginning of the fiscal year of each year. This would allow for the 8-hour holiday to be
automatically added to the employee’s vacation accrual through the annual accrual processing program.
Based on the proposal presented to the City Manager, and information provided by Payroll and Human
Resources, the City and Unit agree to the following change to the 8-hour floating holiday provision:
HOLIDAYS
Employees are provided with the following paid holidays (Memo 7/1/90):
DATE HOLIDAY
December 31 New Year's Eve
January 1 New Year's Day
3rd Monday, January Martin Luther King Birthday
3rd Monday, February President's Day
Last Monday, May Memorial Day
July 4 Independence Day
1st Monday, September Labor Day
2nd Monday, October Columbus Day
November 11 Veterans' Day
4th Thursday, November Thanksgiving Day
4th Friday, November Day following Thanksgiving
December 24 Christmas Eve
December 25 Christmas Day
Added to vacation accrual each fiscal year 8 hours floating Holiday credit
The 8-hours floating holiday credit is added to each employee’s vacation accrual in the beginning of the fiscal
year of each year.
WHEREFORE, this addendum to the 2015-2018 Memorandum of Understanding is ratified and adopted
pursuant to the recommendation of the following representatives this 7th day of June, 2017, and will be
ATTACHMENT 2
incorporated into the MOU during the next round of negotiations. All terms and conditions set forth in the
MOU which are not specifically modified by this Addendum shall remain in full force and effect.
CITY OF UKIAH MANAGEMENT UNIT
_____________________________________ _________________________________________
Sage Sangiacomo, City Manager Kerry Randall, Facilities Administrator
_____________________________________
Rick Seanor, Deputy Public Works Director
ADDENDUM TO THE FIRE UNIT
2015-2018
MEMORANDUM OF UNDERSTANDING
This Addendum to the 2015-2018 Memorandum of Understanding (MOU) between the Fire Unit and the City
of Ukiah, effective on July 1, 2017, is entered for the purpose of amending the Holiday provisions of the current
MOU.
In an effort to streamline the annual accrual process and utilize the current functionality within the City’s
financial software system, the Finance Department requested the City to review the current practice of manually
adding the 11.2-hour floating holiday credit to each employee’s vacation accrual in the first full pay period of
August each year, and asked to have the payroll procedure amended to allow for the 11.2-hour floating holiday
to be added at the beginning of the fiscal year of each year. This would allow for the 11.2-hour holiday to be
automatically added to the employee’s vacation accrual through the annual accrual processing program.
Based on the proposal presented to the City Manager, and information provided by Payroll and Human
Resources, the City and Unit agree to the following change to the 11.2-hour floating holiday provision:
HOLIDAYS
Employees are provided with the following paid holidays (Memo 12/1/80, updated 7/1/90):
DATE HOLIDAY
December 31 ½ day afternoon, New Year's Eve
January 1 New Year's Day
3rd Monday, January Martin Luther King Birthday
3rd Monday, February Washington's Day
Last Monday, May Memorial Day
July 4 Independence Day
1st Monday, September Labor Day
September 9 Admission Day
2nd Monday, October Columbus Day
November 11 Veterans' Day
4th Thursday, November Thanksgiving Day
4th Friday, November Day following Thanksgiving
December 24 ½ day afternoon, Christmas Eve
December 25 Christmas Day
Added to vacation accrual each fiscal year 11.2 hours floating Holiday credit (28-84 MOU)
The 11.2-hours floating holiday credit is added to each employee’s vacation accrual in the beginning of the
fiscal year of each year.
WHEREFORE, this addendum to the 2015-2018 Memorandum of Understanding is ratified and adopted
pursuant to the recommendation of the following representatives this 7th day of June, 2017, and will be
ATTACHMENT 3
incorporated into the MOU during the next round of negotiations. All terms and conditions set forth in the
MOU which are not specifically modified by this Addendum shall remain in full force and effect.
CITY OF UKIAH FIRE UNIT
_____________________________________ _________________________________________
Sage Sangiacomo, City Manager Eric Singleton, Fire Engineer
_____________________________________
Rebecca Schwenger, Fire Engineer
________________________________
Ryan Nelson, Firefighter
ADDENDUM TO THE ADMINISTRATIVE & MAINTENANCE UNIT
2015-2018
MEMORANDUM OF UNDERSTANDING
This Addendum to the 2015-2018 Memorandum of Understanding (MOU) between the Administrative &
Maintenance Unit and the City of Ukiah, effective on July 1, 2017, is entered for the purpose of amending the
Holiday provisions of the current MOU.
In an effort to streamline the annual accrual process and utilize the current functionality within the City’s
financial software system, the Finance Department requested the City to review the current practice of manually
adding the 8-hour floating holiday credit to each employee’s vacation accrual in the first full pay period of
August each year, and asked to have the payroll procedure amended to allow for the 8-hour floating holiday to
be added at the beginning of the fiscal year of each year. This would allow for the 8-hour holiday to be
automatically added to the employee’s vacation accrual through the annual accrual processing program.
Based on the proposal presented to the City Manager, and information provided by Payroll and Human
Resources, the City and Unit agree to the following change to the 8-hour floating holiday provision:
HOLIDAYS
The following shall be the officially observed City holidays for this Unit:
1. 1st day of January, New Year’s Day
2. Martin Luther King Day
3. 3rd Monday of February, Washington’s Birthday
4. Last Monday in May, Memorial Day
5. 4th of July, Independence Day
6. 1st Monday in September, Labor Day
7. 2nd Monday in October, Columbus Day
8. 11th of November, Veteran’s Day
9. 4th Thursday in November, Thanksgiving Day
10. Day following Thanksgiving
11. 24th of December, Christmas Eve
12. 25th of December, Christmas Day
13. December 31st, New Year’s Eve
In addition to the above each employee shall be given eight hours leave with pay as a floating holiday.
The 8-hour floating holiday credit is added to each employee’s vacation accrual in the beginning of the
fiscal year of each year.
Should any of these Holidays fall on Saturday, the preceding Friday shall be considered the paid Holiday.
Should any of these Holidays fall on Sunday, the following Monday shall be considered a paid Holiday.
WHEREFORE, this addendum to the 2015-2018 Memorandum of Understanding is ratified and adopted
pursuant to the recommendation of the following representatives this 7th day of June, 2017, and will be
ATTACHMENT 4
incorporated into the MOU during the next round of negotiations. All terms and conditions set forth in the
MOU which are not specifically modified by this Addendum shall remain in full force and effect.
CITY OF UKIAH ADMINISTRATIVE & MAINTENANCE UNIT
_____________________________________ ____________________________________
Sage Sangiacomo, City Manager Jeff Walker, Utility Team Leader
_____________________________________
Raul Ramos, Parks/Golf Service Worker II
OPERATING ENGINEERS LOCAL NO. 3
_____________________________________
Joe Louis Wildman, Business Representative
ADDENDUM TO THE WATER UTILITIES/MECHANICS UNIT
2015-2018
MEMORANDUM OF UNDERSTANDING
This Addendum to the 2015-2018 Memorandum of Understanding (MOU) between the Water
Utilities/Mechanics Unit and the City of Ukiah, effective on July 1, 2017, is entered for the purpose of
amending the Holiday provisions of the current MOU.
In an effort to streamline the annual accrual process and utilize the current functionality within the City’s
financial software system, the Finance Department requested the City to review the current practice of manually
adding the 8-hour floating holiday credit to each employee’s vacation accrual in the first full pay period of
August each year, and asked to have the payroll procedure amended to allow for the 8-hour floating holiday to
be added at the beginning of the fiscal year of each year. This would allow for the 8-hour holiday to be
automatically added to the employee’s vacation accrual through the annual accrual processing program.
Based on the proposal presented to the City Manager, and information provided by Payroll and Human
Resources, the City and Unit agree to the following change to the 8-hour floating holiday provision:
10.C HOLIDAYS
The following shall be the officially observed City holidays for this Unit:
1. 1st day of January, New Year’s Day
2. Martin Luther King Day
3. 3rd Monday of February, Washington’s Birthday
4. Last Monday in May, Memorial Day
5. 4th of July, Independence Day
6. 1st Monday in September, Labor Day
7. 2nd Monday in October, Columbus Day
8. 11th of November, Veteran’s Day
9. 4th Thursday in November, Thanksgiving Day
10. Day following Thanksgiving
11. 24th of December, Christmas Eve
12. 25th of December, Christmas Day
13. December 31st, New Year’s Eve
In addition to the above each employee shall be given eight hours leave with pay as a floating holiday.
The 8-hour floating holiday credit is added to each employee’s vacation accrual in the beginning of the
fiscal year of each year.
Should any of these Holidays fall on Saturday, the preceding Friday shall be considered the paid Holiday.
Should any of these Holidays fall on Sunday, the following Monday shall be considered a paid Holiday.
WHEREFORE, this addendum to the 2015-2018 Memorandum of Understanding is ratified and adopted
pursuant to the recommendation of the following representatives this 7th day of June, 2017, and will be
ATTACHMENT 5
incorporated into the MOU during the next round of negotiations. All terms and conditions set forth in the
MOU which are not specifically modified by this Addendum shall remain in full force and effect.
CITY OF UKIAH WATER UTILITIES/MECHANICS UNIT
_____________________________________ ____________________________________
Sage Sangiacomo, City Manager Mario Dogali, Water & Sewer Attendant II
_____________________________________
Vincente Martinez, Water & Sewer Attendant I
OPERATING ENGINEERS LOCAL NO. 3
_____________________________________
Joe Louis Wildman, Business Representative
ADDENDUM TO THE IBEW/ELECTRIC UNIT
2015-2018
MEMORANDUM OF UNDERSTANDING
This Addendum to the 2015-2018 Memorandum of Understanding (MOU) between the IBEW Local
1245/Electric Unit and the City of Ukiah, effective on July 1, 2017, is entered for the purpose of amending the
Holiday provisions of the current MOU.
In an effort to streamline the annual accrual process and utilize the current functionality within the City’s
financial software system, the Finance Department requested the City to review the current practice of manually
adding the 8-hour floating holiday credit to each employee’s vacation accrual in the first full pay period of
August each year, and asked to have the payroll procedure amended to allow for the 8-hour floating holiday to
be added at the beginning of the fiscal year of each year. This would allow for the 8-hour holiday to be
automatically added to the employee’s vacation accrual through the annual accrual processing program.
Based on the proposal presented to the City Manager, and information provided by Payroll and Human
Resources, the City and Unit agree to the following change to the 8-hour floating holiday provision:
XI. HOLIDAYS
Employees are provided with the following paid holidays (Electric Unit MOU 1990-92):
DATE HOLIDAY
December 31 New Year's Eve
January 1 New Year's Day
3rd Monday, January Martin Luther King Birthday
3rd Monday, February Washington's Day
Last Monday, May Memorial Day
July 4 Independence Day
1st Monday, September Labor Day
2nd Monday, October Columbus Day
November 11 Veterans' Day
4th Thursday, November Thanksgiving Day
4th Friday, November Day following Thanksgiving
December 24 Christmas Eve
December 25 Christmas Day
Added to vacation accrual each fiscal year 8 hours floating Holiday credit
The 8-hours floating holiday credit is added to each employee’s vacation accrual in the beginning of the fiscal
year of each year.
When a holiday falls on a Saturday the holiday will be observed on the Friday before the holiday. When a
holiday falls on a Sunday the holiday will be observed on the Monday following the holiday.
ATTACHMENT 6
WHEREFORE, this addendum to the 2015-2018 Memorandum of Understanding is ratified and adopted
pursuant to the recommendation of the following representatives this 7th day of June, 2017, and will be
incorporated into the MOU during the next round of negotiations. All terms and conditions set forth in the
MOU which are not specifically modified by this Addendum shall remain in full force and effect.
CITY OF UKIAH IBEW LOCAL 1245/ELECTRIC UNIT
_____________________________________ _____________________________________________
Sage Sangiacomo, City Manager Jim Lozano, IBEW Local 1245 Employee Representative
_____________________________________________
Ben Keffeler, IBEW Local 1245 Employee Representative
_____________________________________________
Rodney Huffman, IBEW Local 1245 Employee
Representative
_____________________________________________
JV Macor, IBEW Local 1245 Business Representative
ATTACHMENT 7
RESOLUTION NO. 2017-
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH ADOPTING ADDENDUM TO
THE MEMORANDUM OF UNDERSTANDINGS BETWEEN THE CITY OF UKIAH AND THE
DEPARTMENT HEAD, MANAGEMENT , FIRE, WATER UTILITIES/GARAGE, ADMINISTRATIVE &
MAINTE NANCE, AND IBEW/ELECTRIC UNITS
WHEREAS, the Employee/Employer Relations Officer and her Designee have met and
conferred in good faith with representatives of the Department Head, Management, Fire,
Administrative & Maintenance, Water Utilities/Garage, and IBEW/Electric Unit; and
WHEREAS, Addenda to the 2015-2018 Department Head, Management, Fire, Water
Utilities/Garage, Administrative & Maintenance, and IBEW/Electric Unit Memoranda of
Understanding, changing the effective date of the floating holiday credit within the Holiday provision to
the beginning of the fiscal year of each year has been agreed to by the parties; and
WHEREAS, said Addenda have been presented to the City Council for its consideration.
NOW, THEREFORE, BE IT RESOLVED that the Addenda to the Department Head,
Management, Fire, Water Utilities/Garage, Administrative & Maintenance, and IBEW/Electric Unit
MOUs are hereby adopted and the Employee/Employer Relations Officer is authorized to enter into
these Agreements.
PASSED AND ADOPTED this 7th day of June 2017, by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
_______________________________
Jim O. Brown, Mayor
ATTEST:
________________________________
Kristine Lawler, City Clerk
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GHD
2235 Mercury Way Suite 150 Santa Rosa California 95407 USA
T 707 523 1010 F 707 527 8679 W www.ghd.com
May 26, 2017 Reference No. 0250210001/8410035
Tim Eriksen
Public Works Director / City Engineer
City of Ukiah
300 Seminary Avenue
Ukiah, CA 95482
Re: Proposal for Professional Engineering Services: Supplemental Design Services for the
Redwood Business Park Transportation Improvements and Talmage Road Interchange Projects,
Ukiah, CA
Dear Mr. Eriksen:
GHD is pleased to provide this proposal for professional engineering services for additional design efforts
and coordination on the Redwood Business Park Transportation Improvements and Talmage Road
Interchange Projects (Agreement dated March 9, 2010). This proposal is based on direction provided by
City staff and our recent discussions regarding the addition overlay design to southern Airport Park
Boulevard (APB), the addition of full-depth reconstruction of Talmage Road from APB east to within 10
feet of the Caltrans right-of-way, changing the vehicle detection system at the intersection of APB /
Talmage Road from detector loops to video detection, revising the bidding schedules for these projects
from unit pricing to lump sum per California I-Bank funding requirements, and coordinating the design
revisions between the Redwood Business Park Transportation Improvements and Talmage Road
Interchange design plans.
Background
The previous Amendment 9 scope of services approved by the City Council and signed by the City
Manager on January 6, 2017 addressed previously out-of-scope items the City wanted to include in the
project. These items included:
Design revisions and coordination with other consultants on the Hastings Avenue widening and
the intersection of Washington Avenue / Hastings Avenue / South State Street;
Revisions to the City’s front-end contract requirements;
Changing the vehicle detection system at APB / Commerce Boulevard from detector loops to
video detection;
Adding approximately 2,440 linear feet of full-depth pavement reconstruction on APB including
signing and striping;
Adding Low Impact Development (LID) storm water quality improvements to the APB
reconstruction area;
Additional right-of-way coordination with Caltrans on the Talmage Road Interchange
improvements; and
The addition bid phase services for the Redwood Business Park Transportation Improvements
project.
The previous Amendment 10 scope of services approved by the City Council and signed by the City
Manager on May 19, 2017 addressed previously out-of-scope Right-of-Way items the City needed to
include in the project. The scope includes:
2017-05-26 GHD Amendment Proposal.docx 2
Right-of-way and property research to document property information, easements, utilities and
other items which may pertain to the area the City is planning to relinquish to the State.
Preparation of a records report to document chain of title history for the area to be relinquished.
Preparation of a legal description, plat map and utility exhibit map for the area to be relinquished.
Field stake the Right-of-Way relinquishment area.
Prepare a Record of Survey of the relinquishment area and file with the County Surveyor’s office.
In working to complete the above items, we have incorporated a subgrade enhancement geotextile that
significantly reduces the structural section of the pavement, as well as incorporated fiber reinforcement
into the hot mix asphalt specifications to improve the strength and longevity of the new pavement. The
above additions and revisions to the project design have resulted in an approximately 20 additional sheets
to the set of plans (originally 27 sheets), as well as extensive revisions to the technical special provisions
and the project quantity estimate.
Additional Project Scope
While design efforts to complete the Amendment 9 scope of services summarized above were underway,
the City directed GHD to proceed with the design of approximately 1,760 linear feet of pavement overlay
for southern APB, changing the previously designed vehicle loop detection system at APB / Talmage
Road to video detection, and reconstructing Talmage Road from APB east to within approximately 10 feet
of the Caltrans right-of-way including the requisite LID improvements. The reconstruction of Talmage
Road was requested due to a fairly recently pavement failure that is occurring on the westbound Talmage
Road approach to APB. The City desires to reconstruct the entire width of Talmage Road. A Traffic Index
of 11.5 is proposed for the new pavement structural section.
The key goal of this scope of services remains to finalize the design of the Redwood Business Park
Transportation Improvements project and deliver construction documents for bidding by mid-April 2017.
Task 1. APB Overlay Design
This task is for the design of approximately 1,760 linear feet of a 2.5” thick fiber-reinforced hot mix asphalt
overlay with conform details, cross sections and typical cross sections. A leveling course of 0” to 3” is also
included to improve the pavement cross slope for drainage. Conforms at the existing gutter will be
achieved with an edge grind, and conforms at existing median curbs will be to the existing face of the
curb. Also included in this task is quantity estimates for the pavement, striping and related items of work.
Task 2. APB / Talmage Road Vehicle Detection Revision
This task changes the design of the vehicle detection loop system at the intersection of APB / Talmage
Road to use a video detection system manufactured by GRIDSMART Technologies, Inc. The
development of the technical specifications for the video detection system has already been completed.
This task is for the revision of the traffic signal plan and schedule only, as well as revisions to the cost
estimate.
Task 3: Talmage Road Reconstruction & LID
This task includes additional design and coordination efforts to revise the plans and typical cross sections,
and prepare design cross sections for the reconstruction of Talmage Road from APB east to within
2017-05-26 GHD Amendment Proposal.docx 3
approximately 10 feet of the Caltrans right-of-way including the requisite LID improvements. Also included
are revisions to the SUSMP document for the LID requirements, project quantities and cost estimate.
Task 4: Revise Special Provisions
The City is funding the construction of the Redwood Business Park Transportation Improvements project
and Talmage Road Interchange project with funding from the California Infrastructure Bank (I-Bank).
During the funding approval process the City discovered that the I-Bank requires projects it funds to bid as
a lump sum (fixed price). The items of work, payment and bidding schedules within the special provisions
for each of these projects are currently written for unit price bidding, which is typical for transportation and
utility improvement projects.
In this task, GHD will revise the special provisions and bidding schedules for the Redwood Business Park
Transportation Improvements project and Talmage Road Interchange project to accommodate a fixed
price bid with provisions for a specific schedule of values from the construction contractor from which
construction progress payments can be qualitatively assessed.
Task 5: Talmage Road Interchange Design Coordination
Tasks 2 and 3 require design revisions to and coordination with the plans, special provisions and quantity
estimates prepared for the Talmage Road Interchange project in order to coordinate both projects where
the project limits overlap. Key coordination items include the Talmage Road pavement reconstruction, the
removal of conduits and conductors for vehicle detector loops, striping and related items.
Proposed Fee
GHD proposes to complete this scope of services (Tasks 1 – 4) for a time-and-materials fee not to exceed
$36,319 without written authorization from the City per the attached fee estimate (Attachment 1). Services
not included in this proposal can be provided on a time-and-materials basis per the attached GHD
Standard Fee Schedule (Attachment 2) or by a negotiated fee. Budgets will be separated between the
Redwood Business Park Transportation Improvements project and Talmage Road Interchange project for
invoicing purposes.
We are available to begin immediately upon written acceptance of this proposal or receipt of an executed
contract amendment. We propose to work efficiently to meet the City’s and other stakeholder’s
expectations and goals for this project.
Summary
GHD is committed to continuing to provide the City with the high-quality service and flexibility you have
come to expect. We understand that these projects have been ongoing for some time, and that there have
been numerous changes in direction and approach throughout the course of the projects to address
options the City wanted to explore and new issues as they arise. We are excited at the prospect of
completing the design by mid-April 2017 so the City can advertise them for bidding and begin construction
this summer.
2017-05-26 GHD Amendment Proposal.docx 4
We welcome the opportunity to continue to work with the City of Ukiah and the project stakeholders on
these important projects, and look forward to contributing to their success. Should you have any
questions, please do not hesitate to contact me.
Sincerely,
GHD Inc.
Matt Kennedy, PE, TE
Project Manager
Attachments:
1. GHD Fee Estimate
2. Standard Fee Schedule
Cc: Bill Silva, PE
Project Principal
Attachment 1Project Name: Redwood Business Park / Talmage Interchange Client: City of UkiahPrepared by: Matt KennedyDate:Job Number: 0250210001/8410035LABOR CATEGORY > PD Job Civil Sr. Traff Traff Sr Proj. CAD WP PA TOTAL Sub- TOTALMgr. Eng. Eng. Eng. Scientist Designer HOURS con-RATE > $225 $195 $160 $195 $165 $140 $125 $100 $100 sultant(s) FEETask / Item/Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /HrTASK-1.0 APB Overlay Design8 24 40 1 73 $438 $10,9381.2 Quantities / Estimate0$0 $00 8 24 0 0 0 40 0 1 73 $438 $0 $10,938TASK- 2.0 APB / Talmage Vehicle Detection4 6 6 1 17 $102 $2,7220 0 0 4 6 0 6 0 1 17 $102 $0 $2,722TASK- 3.0 Talmage Road Reconstruction & LID6 16 24 1 47 $282 $7,1123 16 4 23 $138 $3,7830 9 32 0 0 0 28 0 1 70 $420 $0 $10,895TASK- 4.0 Revise Special Provisions2 8 4 1 15 $90 $2,8402 8 8 1 19 $114 $3,5044 16 12 0 0 0 0 0 2 34 $204 $0 $6,344TASK- 5.0 Talmage Road Interchange Coordination4 8 2 4 16 1 35 $210 $5,4200 4 8 2 4 0 16 0 1 35 $210 $0 $5,4204 37 76 6 10 0 90 0 6 229 $1,374 $0 $36,319*OTHER DIRECT COSTS include telephone, mileage, printing, photocopies and other miscellaneous direct expenses.*OTHER DIRECT COSTSPROJECT TOTALS3.1 Talmage Road Reconstruction5.1 Talmage Road Revisions / CoordinationGHD - PROJECT FEE ESTIMATING SHEETMay 26, 2017LABOR COSTS FEE COMPUTATION1.1 Overlay Design3.2 Talmage Road LID2.1 Video Detection SUBTOTAL TASK 5.0SUBTOTAL TASK 2.0SUBTOTAL TASK 1.0 SUBTOTAL TASK 4.0 SUBTOTAL TASK 3.04.1 Redwood Business Park Special Provisions4.2 Talmage Road Special Provisions5/26/2017Page 1
Fee Schedule
2016 USA West Fee Schedule
1
Principals: Environmental Scientists:
Level E $185 – 205 Level A $95 - 105
Level F $220 - 250 Level B $110 - 120
Level C $125 – 130
Associates: Level D $130 – 145
Level D $160 - 170 Level E $160 – 175
Level E $180 – 195 Level F $195 – 205
Level F $215 - 240
Industrial Hygienists /
Specialist: Safety Professionals:
Level B $170 Level A $105
Level C $180 Level B $115 – 120
Level D $190 Level C $125 – 135
Level E $210 - 230 Level D $145 - 160
Level F $250 Level E $170 – 180
Engineers: Technicians/Technologists:
Level A $110 – 115 Level A $80
Level B $115 – 125 Level B $95
Level C $135 – 145 Level C $110 – 115
Level D $150 – 165 Level D $120 – 135
Level E $175 – 195 Level E $140 – 155
Level F $210 – 235 Level F $170 - 190
Geologists/Hydrogeologists: Draft/CADD:
Level A $110 Level A $75
Level B $120 Level B $85 – 90
Level C $130 - 150 Level C $95
Level D $155 – 180 Level D $110 – 120
Level E $185 – 200 Level E $125 – 155
Level F $210 Level F $165
Environmental Planners: Technical Apprentices: $80 - 90
Level A $115
Level B $125 Intern: $73.00
Level C $130
Level D $135 – 150 Administrative Support: $62.00
Level E $160 – 190
Level F $205 – 210
Environmental Chemists:
Level A $115
Level B $125
Level C $130
Level D $135 – 150
Level E $160 – 190
Attachment 2
Fee Schedule
2016 USA West Fee Schedule
2
Employee time will be billed in accordance with the fees listed above. These rates are subject to
change on a semi-annual basis. For other than professional employees, time spent over 8 hours
per day, time spent on swing shifts, and time spent on Saturdays will be charged at 1.5 times
the hourly billing rate. Work on Sundays will be charged at 2.0 times the hourly billing rate and
holiday work will be charged at 2.5 times the hourly billing rate. All field personnel charges are
portal to portal. Professional employees will not be charged out at premium charge rates for
overtime work.
Expenses and other similar project related costs are billed out at cost plus 15%. The cost of
using equipment and specialized supplies is billed on the basis of employee hours dedicated to
projects. Our rates are:
A. Office consumables: $6.00/hr
B. Environmental Dept/Construction Inspector consumables: $11.00/hr
C. Survey Field consumables: $15.00/hr
D. Various Environmental, Construction and Land Surveying equipment: At market B. C. D.
Payment for work and expenses is due and payable upon receipt of our invoice. Amounts
unpaid thirty (30) days after the issue date of our invoice shall be assessed a service charge of
one and one half (1.5) percent per month.
(*) These rates do not apply to forensic-related services, or to work for which Prevailing Wage obligations exist. It is the responsibility of the client to
notify GHD Inc in writing if Prevailing Wage obligations are applicable, in which case the fees will be adjusted proportionate to the increase in labor
cost.
Page 2 of 2
It is therefore Staff’s recommendation to award the bid to Gregg Simpson Trucking in the amount of
$36,097.88.
FISCAL IMPACT:
Budgeted
Amount
In 16-17
Source of Funds
(From) To Account Number Budget Amendment
Required
$40,000 800 Fund 80100000.80220.17005 Yes No
DATE:3/16/2017
Bids may be emailed, faxed, or hand delivered, to the contact information listed REQ. NO.E35427
herein, and by the specified deadline, or the bid will be rejected.
BIDS WILL BE RECEIVED UNTIL
Submitted by:1:30 p.m., April 11,2017
(Company Name AT THE OFFICE OF THE PROCUREMENT MANAGER
& Address)300 SEMINARY AVE. CITY of UKIAH
BY: Mary Horger
Email: mhorger@cityofukiah.com
BIDS ARE REQUESTED FOR THE FOLLOWING ITEMS:
QUANTITY DESCRIPTION UNIT PRICE EXTENDED PRICE
Hydroelectric Plant Gratings and Handrails as per attached specifications:
130 SF Item #A1 - Grating and Structural Support
17.3 LF Item #B1 - Handrail with Kick Plate
12.7 LF Item #B2 - Handrail without Kick Plate
29.5 LF Item #B3 - Kick Plate
6.75 LF Item #B4 - Chains (double length)
A MANDATORY Pre-Bid Meeting will be held at 11 a.m., March 28, 2017 at the
Lake Mendocino Hydroelectric Plant, located at 1229 Lake Mendocino Drive,
Ukiah, California 95482.
TOTAL ===>>:
Payment Terms: NET 30
1.LOCAL PREFERENCE: Local Vendors shall be given an allowance of five percent (5%), up to a maximum allowance of $2,500, on any bid for
supplies, equipment and/or materials per Ukiah City Code Section 1522.D.4. A Local Vendor is defined as one which, 1) conducts business in an
office or other business premises with a physical location in Mendocino County, 2) holds a valid business license issued by Mendocino County
or one of the cities in Mendocino County for that business location, and 3) has conducted business in complaince with 1) and 2) for not less than
six (6) months prior to requesting the preference. The City shall receive satisfactory proof that a business qualifies as a local vendor before it
may receive the local preference. In the event that there is a tie bid, where one bidder is local, the other is not, and the bid is equal in price and
quality, the award shall go to the Local Vendor.
2.Right is reserved to reject any and all bids.
3.Right is reserved to accept separate items unless specifically denied by bidder.
4.Right is reserved to reject a bid from any bidder who has previously failed to perform adequately for the City of Ukiah.
5.In CASE OF DEFAULT, the City of Ukiah may procure the items quoted on from other sources and hold the original bidder liable for any increased
costs.
6.The price, terms, delivery point, and delivery date may individually or collectively be the basis of the awarding of the bid.
7.In submitting the bid, bidder agrees that the bid shall remain open and may not be revoked or withdrawn for 60 days from the bid due date, unless
a different time period is specified in RFB.
8.Bidder agrees to perform according to its bid, if the City's acceptance is communicated to the bidder within the time specified in number 7 above.
REQUEST FOR BID
UKIAH, CALIFORNIA 95482
P: (707) 463-6233, F: (707) 313-3621
300 SEMINARY AVENUE
PAGE ___ OF ___
ALL BIDS SHALL BE F.O.B. UKIAH, CA.
TERMS:
SIGNATURE:
PRINT NAME:
DATE:
PHONE:
LEAD TIME ARO :
EMAIL:
REQUEST FOR BID
City of Ukiah
SPECIFICATION E35427
2017 Hydroelectric Plant Gratings and Handrails
March 16, 2017
Mandatory Pre-Bid Meeting
11 a.m., March 28, 2017
at the
Lake Mendocino Hydroelectric Plant
1229 Lake Mendocino Drive
Ukiah, California 95482
Bid Due Date
1:30 p.m., April 11, 2017
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
2
I. Introduction
City of Ukiah is seeking bids from qualified Contractors to furnish and install gratings and handrails
inside the City’s hydroelectric powerhouse at 1229 Lake Mendocino Drive, Ukiah, CA 95482.
II. Bid Procedure
PLEASE TAKE NOTICE: This Request for Bid (RFB) is issued as an open market purchase under
Section 1522 of the Ukiah City Code. This is not a formal or informal bid under the provisions of state law
governing RFB’s for Public Projects. The procedures governing open market purchases are at the discretion
of the Purchasing Officer and may vary from bid to bid, depending on the City’s needs. The City Code
encourages the Purchasing Officer to use modern communications, including the telephone, e-mail and the
internet, to obtain the lowest possible price, consistent with the City’s needs. The Purchasing Officer does
use City bidder’s lists when soliciting bids. You may contact the Purchasing Officer if you would like to be
placed on the City’s bidder’s list.
III. Contact Person
The City has designated Mary Horger, Procurement Manager as the contact person for questions
related to the work requested. Questions are to be submitted in writing, and can be done so by fax at
(707) 313-3621, or by e-mail at mhorger@cityofukiah.com.
IV. Mandatory Pre-Bid Meeting
A mandatory pre-bid conference will be held March 28, 2017 at 11 a.m. at the project site located
at the Lake Mendocino Hydroelectric Plant located at 1229 Lake Mendocino Drive, Ukiah to fully acquaint
interested Contractors with local conditions, construction and labor required so that he or she may fully
understand the facilities, difficulties and restrictions attending the execution of the work under the Contract.
Failure to attend the mandatory bid conference will be just cause for the bid to be rejected as non-responsive.
Bidders shall thoroughly examine and be familiar with the Plans and Special Provisions. The failure of any
bidder to receive or examine any form, instrument, addendum, or other document, or to visit the site and
acquaint himself with conditions there existing, shall in no way relieve the bidder from any obligation with
respect to his or her proposal or to the contract. The drawings for the work show conditions as they are
supposed or believed by the Engineer to exist; but, it is neither intended nor shall it be inferred that the
conditions as shown thereon constitute a representation by the Engineer, the City or its officers that such
conditions are actually existent, nor shall the City, the Engineer or any of their officers or representatives be
liable for any loss sustained by the Contractor as a result of a variance between the conditions shown on the
drawings and the conditions actually revealed during the progress of the work or otherwise.
Oral statements or instructions made during this mandatory pre-bid conference will not constitute an
amendment to this solicitation. The City will determine the appropriate action necessary, if any, and may
issue a written amendment to the bid request.
The bidder shall investigate to his or her satisfaction the conditions to be encountered, the character, quality
and quantities of work to be performed and materials to be furnished and the requirements of the Plans,
Special Provisions, Standard Specifications, Standard Plans, and Contract Documents. The submission of a
proposal shall be considered conclusive evidence that the bidder has made such examination and has accepted
the project workplace as a safe workplace to perform the work of the Contract.
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
3
V. Bid Submittal Instructions
Bids can be submitted in hardcopy, fax, or by email. Bids are due on or before 1:30 p.m, April 11,
2017 to:
City of Ukiah Purchasing Department
Attn: Mary Horger
411 West Clay Street
Phone: (707) 463-6233, Fax: (707) 313-3621
Email: mhorger@cityofukiah.com
It will be the sole responsibility of the bidders to have their bids delivered to the City before the
closing hour and date. Late bids will not be considered and will be returned unopened to the sender. The City
will not be responsible for any cost incurred by the Contractor in preparation of their bid response.
VI. Scope of Work
Contractor shall furnish and install removable fiberglass reinforced plastic (FRP) gratings over floor
openings, piping and conduit, and removable handrails and toe boards to provide safe access for workers
around equipment and to limit access to some areas. All work is to be installed in the Lake Mendocino
hydroelectric power plant building. The finished gratings and hand rail system must comply with California
Building Code (current is 2013 CBC), OSHA, and Cal/OSHA. Permit application and accompanying
calculations shall be prepared by others.
Work is described in the Technical Specifications included as Appendix A, attached hereto, and as
shown on the following plans and details provided in Appendix B:
DRAWINGS (23 total)
CVR – Cover Sheet
EXISTING CONDITIONS
EC1 – UNIT 1 DISCHARGE
EC2 – UNIT 2 DISCHARGE
EC3 – UNIT 1 GENERATOR
EC4 – UNIT 2 GENERATOR
EC5 – UNIT 1 EQUIP RACK AREA
STRUCTURAL SUPPORT
S1 – UNIT 1 DISCHARGE
S2 – UNIT 2 DISCHARGE
S3 – UNIT 1 GENERATOR
S4 – UNIT 2 GENERATOR
S5 – UNIT 1 EQUIP RACK AREA
GRATINGS, HANDRAILS AND TOEBOARDS
GR1 – UNIT 1 DISCHARGE
GR2 – UNIT 2 DISCHARGE
GR3 – UNIT 1 GENERATOR
GR4 – UNIT 2 GENERATOR
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
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GR5 – UNIT 1 EQUIP RACK AREA
DETAILS
D1 – DETAILS A-D, CONNECTIONS
D2 – DETAILE E-H, CONNECTIONS
D3 – SECTIONS I-J, CONN & X-BRACE
D4 – DETAILS K-N, CONN EQ RACK AREA
D5 – DETAIL O, COLUMNS
D6 – DETAIL Q, COLUMNS
D7 – DETAIL P, HANDRAILS
The City of Ukiah Hydroelectric Plant at Coyote Dam will be operating during the performance of the
work. Contractor shall provide all required safety protections, including hearing protection, for his
employees. Bidders will have an opportunity to observe the operating conditions and tight working
environment during the Mandatory Pre-Bid Meeting.
VII. Measurement and Payment
Measurement and Payment shall be in accordance with the attached Bid Form, with the following
applying:
1) The sum of the Extended Bid Amounts in the Bid Form shall constitute compensation for the
performance of the entire City of Ukiah Hydroelectric Plant Gratings and Handrail Project
outlined in these Construction Documents.
2) Compensation for project overhead items not specifically described in the Bid Items, such as but
not limited to, mobilization/demobilization, submittals and calculations, superintendence, layout,
surface preparation, safety, cleanup and disposal, and profit, shall be distributed among the
identified Bid Items, and no additional compensation will be allowed therefore.
3) All Units of Work and Extended Bid Amounts shall be considered final unless additional areas of
work are added.
4) Items of Work
a) Grating and Structural Support
The contract price paid per square foot (SF) of grating surface shall include full compensation
for furnishing all labor, materials, tools, equipment, and incidentals, for performing all work
necessary to construct supported grated surfaces, complete in place. The work of this item
shall include installing anchorage for, fabricating, assembling and adhering FRP structural
framing, support angles and beam seats, and making all connections; and cutting, sealing,
installing and securing molded grating sections.
b) Handrails, Chains, and Toe Boards
The contract price paid per linear foot (LF) shall include full compensation for furnishing all
labor, materials, tools, equipment, and incidentals, for performing all work necessary to
construct handrails, chains, and kick plates, complete in place. The work of this item shall
include installing wall mount, floor mount and grating mount anchorage for handrails and
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
5
kick plates, fabricating, assembling handrail and kick plate assemblies, making all
connections; and installing rail mount and wall mount eyes and securing chains.
c) Grating Support Pedestals
Work of this item will include furnishing all labor, materials, tools, equipment, and
incidentals, for performing all work necessary for installing grating support pedestals,
complete in place. The work of this item shall include anchoring and installing base plates,
installing uprights, adjusting heights and installing supports.
Full compensation for installing pedestals where indicated on the drawings or where required
to reduce deflection of the grating to meet the specified criteria shall be considered as
included in the contract unit price for a) Grating and Structural Support, and no additional
compensation will be allowed.
VIII. Terms
The City asks that vendors specify their desired payment preferences in their bid response. The actual
payment terms of the contract will be open for negotiation during the contract phase. If no special payments
are requested prior to issuing the work, the City will assume net 30 terms.
The City reserves the right to award to the lowest, responsible bidder. The City also reserves the right
to waive any irregularities and technicalities and request rebids should it be deemed in its best interests to do
so. The price, terms, delivery point, and delivery date may individually or collectively be the basis of the
awarding of the bid. In addition, the City reserves the right to make the selection of specific parts of a bid, or
multiple proposals that will best meet the needs of the City as defined in this RFB. In addition, the City
reserves the right to reject any or all bids. The awarded contractor will enter a “Short Form Construction
Contract”, Attachment A.
IX. Warranty
Unless otherwise indicated, the Contractor must provide a 1 year workmanship warranty from the
date of final acceptance. The Contractor shall replace promptly and at his own expense any materials and/or
workmanship which fail during this warranty period.
X. Bidder Qualifications
The City will satisfy itself that the potential contractors are reputable firms with a proven track record
and a proven product. Contractors are asked to provide the information requested under Work Performance
History Capability. References are to be those who you have performed similar scope of work as asked for in
this RFB. References are to include the contact name and phone number. A minimum of three references are
requested.
XI. Insurance Requirements
Bidder’s attention is directed to the insurance requirements – see Attachment B. Contractors shall
furnish to the City, upon award of contract, certificates of insurance covering full liability under Worker’s
Compensation laws of the State of California, Comprehensive General Liability and Business Auto Insurance
with policy limits of not less than $1,000,000 naming the City as an additional insured party.
It is highly recommended that contractors confer with their respective insurance carriers or brokers to
determine in advance of bid submission the availability of insurance certificates and endorsements as
prescribed and provided herein. If an apparent awarded contractor fails to comply with the insurance
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
6
requirements, that contractor may be disqualified from award of the contract. If you have questions regarding
the City’s requirements, please contact the City’s Risk Manager at 707-463-6287.
XII. License and Additional Requirements
1) Compliance with Laws and Regulations: All materials, parts and equipment furnished pursuant to
these specifications shall be in compliance with the laws and regulations of the State of California and OSHA.
The contractor shall, if requested by the City, supply certification and evidence of such compliance.
2) Legal Requirements and Permits: The contractor agrees to fully comply with all local, City, State and
Federal laws, regulations and ordinances governing performance of contractual services required, and it will
be the responsibility of the contractor to obtain any and all necessary licenses, permits or clearances,
including the actual cost of licenses.
3) License Requirements: Bidder/Contractor must possess a current State of California contractor’s
license and a City of Ukiah business license. (For information business license, please contact Kathy
Norris, City of Ukiah Finance Department at 707-463-6202.)
a) The Contractor shall possess a valid State of California Class A license. Bidder shall provide
proof of possession of the proper licenses and certificates of registration necessary to perform the
work. Employees actually performing the tasks shall provide proof of proper certificates of
registration for same.
b) The bidder shall keep in force a City of Ukiah business license for the extent of the project.
c) Where subcontractors/jobbers are used, bidder shall provide the City with proof of proper
licenses, certificates and proof of insurance for work performed.
4) Notice to Bidders – Contractor Registration and Prevailing Wages –No contractor or subcontractor
may be listed on a bid proposal for a public works project (submitted on or after March 1, 2015)
unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5
[with limited exceptions from this requirement for bid purposes only under Labor Code section
1771.1(a)]. No contractor or subcontractor may be awarded a contract for public work on a public
works project (awarded on or after April 1, 2014) unless registered with the Department of Industrial
Relations pursuant to Labor Code section 1725.5. The prime contractor shall be responsible for
posting job site notices as prescribed by regulation. This project is subject to compliance monitoring
and enforcement by the Department of Industrial Relations.
Each laborer or mechanic of Contractor or any subcontractor engaged in work on the project under
this contract shall be paid, pursuant to provisions of Section 1770, including amendments thereof, of
the Labor Code of the State of California, the Director of the Department of Industrial Relations,
State of California, has ascertained the general prevailing rate of wages for straight time, overtime
Saturdays, Sundays and Holidays including employer payment for health and welfare, vacation,
pension and similar purposes, copies of the General Prevailing Wage Determination (applicable to
the work), for the locality in which the work is to be done can be reviewed at Website:
www.dir.ca.gov/dlsr/pwd/northern.html .
The Labor Commissioner through the Division of Labor Standards Enforcement (DLSE) may at any
time require contractor and subcontractors to furnish electronic certified payroll records directly to
DLSE. Commencing with contracts awarded on or after April 1, 2015, all contractors and
subcontractors must furnish electronic certified payroll records directly to the DLSE.
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
7
INDEMNIFY AND HOLD HARMLESS AGREEMENT
Contractor agrees to accept all responsibility for loss or damage to any person or entity, and to
defend, indemnity, hold harmless and release the City, its officers, agents and employees, from and against
any and all actions, claims, damages, disabilities, or costs of litigation that may be asserted by any person or
entity, arising out of or in connection with the negligent or willful misconduct in the performance by
contractor hereunder, whether or not there is concurrent, passive or active negligence on the part of the City,
but excluding liability due to the sole active negligence or willful misconduct of the City. This
indemnification obligation is not limited in any way by any limitation on the amount or type of damages or
compensation payable to or for Contractor or its agents under Workmen's Compensation acts, disability
benefits acts or other employee's benefits acts.
Contractor shall be liable to the City for any loss or damage to City property arising from or in
connection with Contractor performance hereunder. The undersigned acknowledges that this document,
together with the resulting purchase order issued by the City, the executed Short Form Construction Contract,
the insurance requirements for contractors, and the Contractor Statement Regarding insurance coverage
comprise a written agreement between the Contractor and the City binding on both parties.
The undersigned declares they are familiar with the items specified and have carefully read the RFB
specification/requirements, checked all of the figures stated on the specifications and accepts full
responsibility for any error or omission in the preparation of this bid.
This bid is submitted by, (check one)
____ Individual Owner ____ Partnership ____ Corporation _____ Other
Legal Name of Bidder ___________________________________________________________
Address of Bidder ______________________________________________________________
Tax ID# ______________________________________________________________________
Phone Number______________________________ Fax Number ________________________
California State Contractor’s License #: Expiration Date:
DIR Public Works Contractor Registration #:
By: ______________________________________________ Date _____________________
Signature
Print or Type Name: ____________________________________________________________
Title
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
8
WORK PERFORMANCE DATA
HISTORY AND CAPABILITY: Provide the name, locations and a narrative statement on the work performed.
WORK PERFORMED
1. COMPANY NAME:
CONTACT:
ADDRESS:
PHONE:
2. COMPANY NAME:
CONTACT:
ADDRESS:
PHONE:
3. COMPANY NAME:
CONTACT:
ADDRESS:
PHONE:
4. COMPANY NAME:
CONTACT:
ADDRESS:
PHONE:
5. COMPANY NAME:
CONTACT:
ADDRESS:
PHONE:
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
9
SUBCONTRACTORS: The bidder must submit a list of subcontractors whom he proposes to employ on the work with
proper firm name and business address of each.
1) Subcontractor’s Name Work to be performed
Address
City/State/Zip
Phone Number Fax Number
California State Contractor License # DIR Public Works Contractor Registration #
2) Subcontractor’s Name Work to be performed
Address
City/State/Zip
Phone Number Fax Number
California State Contractor License # DIR Public Works Contractor Registration #
3)Subcontractor’s Name Work to be performed
Address
City/State/Zip
Phone Number Fax Number
California State Contractor License # DIR Public Works Contractor Registration #
City of Ukiah Hydroelectric Plant Gratings and Handrails - RFB
10
BIDDER/CONTRACTOR STATEMENT
REGARDING INSURANCE COVERAGE
(Submit with Bid)
PROPOSER/CONTRACTOR HEREBY CERTIFIES that he/she has reviewed and understands the insurance coverage
requirements specified in the Request for Bid for:
City of Ukiah 2017 Hydroelectric Plant Gratings and Handrails
Should we/I be awarded the contract, we/I certify that we/I can meet the specified requirements for insurance, including
insurance coverage of the subcontractors, and agree to name the City of Ukiah as Additional Insured for the work
specified. And we/I will comply with the provisions of Section 3700 of the Labor Code, which require every employer to
be insured against liability for worker’s compensation or to undertake self-insurance in accordance with the provisions of
that code, before commencing the performance of the work specified.
Please Print (Person, Firm, or Corporation)
Signature of Authorized Representative
Please Print (Name & Title of Authorized Representative)
Date Phone Number
Rev: 11/20/08 Page 1 of 2
Attachment A - INSURANCE REQUIREMENTS FOR CONTRACTORS
Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to
persons or damages to property which may arise from or in connection with the performance of the work
hereunder by the Contractor, his agents, representatives, employees or subcontractors.
I. Minimum Scope of Insurance
Coverage shall be at least as broad as:
A. Insurance Services Office Commercial General Liability coverage (Form No. CG 20 10 10 01 and
Commercial General Liability – Completed Operations Form No. CG 20 37 10 01).
B. Insurance Services Office form number CA 0001 (Ed. 1/87) covering Automobile Liability, code 1
(any auto).
C. Worker’s Compensation insurance as required by the State of California and Employer’s Liability
Insurance.
II. Minimum Limits of Insurance
Contractor shall maintain limits no less than:
A. General Liability: $1,000,000 per occurrence for bodily injury, personal injury and property damage
including operations, products and completed operations. If Commercial General Liability
Insurance or other form with a general aggregate limit is used, either the general aggregate limit
shall apply separately to this project/location or the general aggregate limit shall be twice the
required occurrence limit. Insurance must be written on an occurrence basis.
B. Automobile Liability: $1,000,000 per accident for bodily injury and property damage. Insurance must
be written on an occurrence basis.
C. Worker’s Compensation Employer’s Liability: $1,000,000 per accident for bodily injury or disease.
III. Deductibles and Self-Insured Retentions
Any deductibles or self-insured retentions must be declared to and approved by the City. The City may require
the insurer to reduce or eliminate such deductibles or self-insured retentions with respect to the City, its officers,
officials, employees and volunteers; or the Contractor to provide a financial guarantee satisfactory to the City
guaranteeing payment of losses and related investigations, claim administration and defense expenses; or to
approve the deductible without a guarantee.
IV. REQUIRED Insurance Provisions
Proof of general liability and automobile liability policies are to contain, or be endorsed to contain, the
following provisions:
A. The City, its officers, officials, employees, and volunteers are to be covered as ADDITIONAL
INSURED with respect to liability arising out of automobiles owned, leased, hired or borrowed by or on
behalf of the contractor; and with respect to liability arising out of work or operations performed by or on
behalf of the Contractor including materials, parts or equipment, furnished in connection with such work or
operations. General liability coverage can be provided in the form of a n endorsement to the Contractor’s
insurance, or as a separate owner’s policy.
B. The workers’ compensation policy is to be endorsed with a waiver of subrogation. The
insurance company, in its endorsement, agrees to waive all rights of subrogation against the City, its
officers, officials, employees and volunteers for losses paid under the terms of this policy which arises
from the work performed by the named insured for the City. NOTE: You cannot be added as an additional
insured on a workers’ compensation policy.
C. For any claims related to this project, the Contractor’s insurance coverage shall be primary insurance
with respect to the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance
maintained by the City, its officers, officials, employees, or volunteers shall be in excess of the
Contractor’s insurance and shall not contribute with it.
Rev: 11/20/08 Page 2 of 2
D. Each insurance policy required by this clause shall be endorsed to state that coverage shall not be
canceled by either party, except after thirty (30) days’ prior written notice by certified mail, return receipt
requested, has been given to the City.
E. Note: (This protects the Contractor) -Coverage shall not extend to any indemnity coverage for the
active negligence of the additional insured in any case where an agreement to indemnify the additional
insured would be invalid under Subdivision (b) of Section 2782 of Civil Code.
V. RATING - Acceptability of Insurers
Insurance is to be placed with admitted California insurers with a current A.M. Best’s rating of no less than A- for
financial strength, AA for long-term credit rating and AMB-1 for short-term credit rating.
VI. Verification of Coverage
Contractor shall furnish the City with original certificates and amendatory endorsements affecting coverage
required by this clause. The endorsements should be on forms provided by the City. If endorsements are on
forms other than the City’s forms, those endorsements or policies must provide coverage that is equivalent to or
better than the forms requested by the City. All certificates and endorsements are to be received and approved
by the City before work commences. The City reserves the right to require complete, certified copies of all
required insurance policies, including endorsements affecting the coverage required by these specifications at
any time.
VII. Subcontractors
Contractor shall include all subcontractors as insured under its policies or shall furnish separate certificates and
endorsements for each subcontractor. All coverage for subcontractors shall be subject to all of the requirements
stated herein.
If you have questions regarding our insurance requirements contact:
Risk Manager
(707) 463-6287 FAX (707) 463-6204
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1
SHORT FORM CONSTRUCTION CONTRACT
This Agreement is made and entered on _______, in Ukiah,
California, by and between __________, a CA General Partnership
[corporation, partnership, sole properietor] ("Contractor") and the City of Ukiah
("City"), a general law municipal corporation.
RECITALS:
1. The plans and specifications for this work ("the Work")
are contained in Exhibit A – Bid Specification, which is attached
hereto and incorporated herein by this reference.
2. Contractor is properly licensed and qualified to perform
the work.
3. Whenever this Agreement calls for City approval or
notification, the approval or notification must be signed by the
City Manager or his or her designee.
AGREEMENT:
Wherefore, in consideration of the foregoing facts and the
terms and conditions as further stated herein, the parties hereby
agree as follows.
1. PERFORMANCE OF THE WORK
Contractor will perform the Work as further provided herein.
1.1 Time of Performance. Contractor shall commence the Work
when receiving a formal Notice to Proceed, and shall complete the
Work by no later than _____________________.
1.1.1. [check if applicable] It is agreed by the parties to
the contract that time is of the essence and that, in case all
the work is not completed before or upon the expiration of the
time limit as set forth, damage, other than those cost items
identified in section 1.1.2, will be sustained by the City and
that it is and will be impracticable to determine the actual
amount of damage by reason of such delay; and it is therefore
agreed that, subject to Sections 1.13-1.14, below, the
Contractor will pay to the City the sum of five hundred dollars
ATTACHMENT B
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($500.00) per day for each and every calendar day's delay beyond
the time prescribed.
1.1.2 [check if applicable] In case the work called for
under this contract is not completed within the time limit
stipulated herein, the City shall have the right as provided
hereinabove, to extend the time of completion thereof. If the
time limit be so extended, the City shall have the right to
charge to the Contractor and to deduct from the final payment
for the work the actual cost to the City of engineering,
inspection, superintendence and other overhead expenses which
are directly chargeable to the contract and which accrue during
the period of such extension, except that the cost of final
unavoidable delays shall not be included in such charges.
1.2 Construction of Contract Documents. Contractor will
perform the Work in compliance with the plans and specifications
set forth in the attached Exhibit A. If there is any inconsistency
or conflict between the plans and the specifications, the
specifications will prevail. If there is any inconsistency between
the plans and the specifications and this agreement, the terms of
this Agreement shall prevail, unless expressly stated otherwise in
a particular specification.
1.3 Contractor furnished items. Contractor will furnish all
necessary labor, materials, tools, equipment, and transportation
necessary to perform the Work.
1.4 New SB 854 requirements
1.4.1 No contractor or subcontractor may be listed on a
bid proposal for a public works project (submitted on or after
March 1, 2015) unless registered with the Department of
Industrial Relations pursuant to Labor Code section 1725.5 [with
limited exceptions from this requirement for bid purposes only
under Labor Code section 1771.1(a)].
1.4.2 No contractor or subcontractor may be awarded a
contract for public work on a public works project (awarded on
or after April 1, 2015) unless registered with the Department of
Industrial Relations pursuant to Labor Code section 1725.5.
1.4.3 This project is subject to compliance monitoring
and enforcement by the Department of Industrial Relations.
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1.4.4 The Labor Commissioner through the Division of
Labor Standards Enforcement (DLSE) may at any time require
contractors and subcontractors to furnish electronic certified
payroll records directly to DLSE. Commencing with contracts
awarded or after April 1, 2015, all contractors and
subcontractors must furnish electronic certified payroll records
directly to the DLSE.
1.4.5 The Prime Contractor is required to post job
notices at the job site as prescribed by regulations (currently,
8 CCR §16451(d).)
1.5 Use of Employees.
1.5.1. Contractor and any subcontractors shall pay
all mechanics and laborers employed by them to work upon the site
of the work unconditionally and without subsequent deductions or
rebate on any account the full amounts due at the time of payment
at wage rates not less than those contained in the applicable
prevailing wage determination, regardless of any contractual
relationship which may be alleged to exist between the Contractor
and subcontractors and such laborers and mechanics.
1.5.2. Contractor shall comply with the California
Labor Code Section 1775. In accordance with said Section 1775,
Contractor shall forfeit as a penalty to the City, $50.00 for each
calendar day or portion thereof, for each workman paid less than
the stipulated prevailing rates for such work or craft in which
such workman is employed for any work done under the Contract by
him or her or by any subcontractor under him or her in violation
of the provisions of the Labor Code and in particular, Labor Code
Sections 1770 to 1780, inclusive. In addition to said penalty and
pursuant to Section 1775, the difference between such stipulated
prevailing wage rates and the amount paid to each workman for each
calendar day or portion thereof for which each workman was paid
less than the stipulated prevailing wage rate shall be paid to
each workman by the Contractor.
1.5.3. Pursuant to the provision of Section 1770 of
the Labor Code of the State of California, City has ascertained
the general prevailing rate of wages (which rate includes employer
payments for health and welfare, vacation, pension and similar
purposes) applicable to the work to be done, for straight time
work. The holiday wage rate listed shall be applicable to all
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holidays recognized in the collective bargaining agreement of the
particular craft, classification, or type of workers concerned.
Copies of the General Prevailing Wage Determination are on file in
the office of the City Engineer and are available to the Contractor
on request. The Contractor shall post the wage determination at
the site of work in a prominent place where the workers can easily
see it.
1.5.4. City will not recognize any claim for
additional compensation because the Contractor has paid any rate in
excess of the prevailing wage rate obtained from the City Engineer.
The possibility of wage increases is one of the elements to be
considered by the Contractor in determining his or her bid and will
not in any circumstances be considered as the basis for a claim
against the City.
1.5.5. Travel and Subsistence Payments.
Contractor shall make travel and subsistence payments to
each worker needed to execute the work in accordance with the
requirements in Section 1773.8 of the Labor Code (Chapter 880,
Statutes of 1968).
1.5.6. Apprentices.
Attention is directed to the provisions in Sections
1777.5 (Chapter 1411, Statutes of 1968) and 1777.6 of the
California Labor Code concerning the employment of apprentices
by the Contractor or any subcontractor under him. Contractor and
any subcontractor under him or her shall comply with the
requirements of said sections in the employment of apprentices.
Information relative to apprenticeship standards,
wage schedules and other requirements may be obtained from the
Director of Industrial Relations, ex officio the Administrator
of Apprenticeship, San Francisco, California, or from the
Division of Apprenticeship Standards and its branch offices.
Copies of Labor Code Sections 1771 (requiring prevailing wages),
1775 (imposing penalties, including a $50 per day, per worker
forfeiture, for failure to pay prevailing wages), 1776 (requiring
contractor to maintain available for inspection certified payroll
records), 1777.5 (requiring certain apprenticeship programs), 1813
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(imposing penalties for failure to make records available for
inspection) and 1815 (requiring time and ½ for overtime) are
available at the Department of Industrial Relations website at
http://www.dir.ca.gov/
1.6 CITY Inspector. CITY may designate an architect, engineer,
other design professional or other inspector ("Inspector") to
supervise and/or inspect Contractor's performance of the Work. The
Inspector shall have no authority to change the Work, the
compensation for performing the Work or the time for completing the
Work without City's prior written approval. City shall notify the
Contractor in writing, if it designates an Inspector.
1.7 Site Conditions. Contractor acknowledges that it has
inspected the work site and any improvements involving the Work and
satisfied itself as to the conditions which can affect the Work or
its cost. Contractor has not relied on any representation by CITY
or its officers or employees as to the condition of the site or the
houses or any condition that might affect the cost of performing
this Agreement.
1.8 New Products Required. All equipment, materials or
fixtures furnished by Contractor under this Agreement shall be new
and of the most suitable grade for the intended purpose, unless
otherwise specifically provided.
1.9 Compliance with Laws. The Contractor shall give all
notices and comply with all applicable laws, ordinances, codes,
rules and regulations. The Contractor shall secure and pay for all
permits, fees, and licenses necessary for the proper execution and
completion of the work.
1.10 Protection of Site and Improvements. The Contractor
shall preserve and protect the site, grounds and any involved
improvements and shall not alter or damage any portion thereof,
except as is absolutely necessary in order to perform the Work. The
Contractor shall repair or replace, as directed by CITY, any
property that it damages, looses or destroys in violation of this
paragraph. Contractor shall assume full responsibility for
maintaining the safety of the worksite in compliance with all
applicable state and federal worker safety and protection laws and
shall maintain the worksite in compliance with all such laws.
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1.11 Inspection of Work. The Contractor shall ensure that
the Work is available for inspection by CITY or its Inspector at
all reasonable times and that no work is covered up or rendered
incapable of inspection without prior notice to CITY or its
Inspector and a reasonable opportunity for inspection. The presence
or absence of an CITY inspector or the conduct of an inspection by
CITY or its Inspector shall not relieve the Contractor from any
contract requirement or compliance with Exhibit A.
1.12 Title. The Contractor warrants that it conveys full and
complete title, free of all liens and encumbrances, to all materials,
supplies, fixtures and equipment furnished to CITY under this
Agreement and agrees to fully defend and indemnify CITY, its
officers and employees, and the houses and homebuyers included in
the Work from and against any claim, lien, charge, debt, cost,
expense or liability arising from a breach of said warranty.
1.13 Warranties. In addition to any other warranties in this
contract, the Contractor warrants that the Work conforms to the
contract requirements and is free of any defect in equipment,
material or workmanship for a period of one year from the date of
final acceptance of the Work by CITY. If CITY accepts any part of
the Work before final acceptance of the entire Work, the warranty
shall continue for the period of one year from the date of such
partial acceptance. The Contractor shall remedy, at the Contractor's
expense, any failure to conform, or any defect. [Initial if
following sentence applies /_/ /_/] CITY shall retain __% of the
Contract Amount to secure the Contractor's warranty and shall remit
the unused portion of that amount at the end of the warranty period.
The time limit of this warranty shall not apply to any latent defects,
or gross negligence or fraud on the part of the Contractor.
1.14. Extension of Time.
Should any delays occur which the City may consider unavoidable, as
herein defined, the Contractor shall, pursuant to his or her
application, be allowed an extension of time proportional to said
delay or delays, beyond the time herein set forth, in which to
complete this contract; and liquidated damages for delay shall not
be charged against the Contractor by the City during an extension
of time granted because of unavoidable delay or delays.
Any claim by Contractor for a time extension based on unavoidable
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delays shall be based on written notice delivered to the City within
15 days of the occurrence of the event giving rise to the claim.
Failure to file said written notice within the time specified shall
constitute a waiver of said claim. Notice of the full extent of the
claim and all supporting data must be delivered to the City within
45 days of the occurrence unless the City specifies in writing a
longer period. All claims for a time extension must be approved by
the City and incorporated into a written change order.
1.15. Unfavorable Weather and Other Conditions.
During unfavorable weather and other conditions, the Contractor
shall pursue only such portions of the work as shall not be damaged
thereby. No portions of the work whose satisfactory quality or
efficiency will be affected by any unfavorable conditions shall be
constructed while these conditions remain, unless, by special means
or precautions approved by the City, the Contractor shall be able
to overcome them.
The Contractor shall be granted a time extension of one day for each
unfavorable weather day that prevents him or her from placing
concrete forms or placing and finishing concrete or asphalt concrete.
Such unfavorable weather day is defined as a rain day where
precipitation prevents the contractor from performing the work more
than four (4) continuous hours within the authorized work period or
a temperature day where the ambient temperature is below that
specified for the placement of materials associated with the
controlling work item for more than four (4) continuous work hours
of the authorized work period.
1.16. Saturday, Sunday, Holiday and Night Work.
No work shall be done between the hours of 6 p.m. and 7 a.m., nor
on Saturdays, Sundays or legal holidays except such work as is
necessary for the proper care and protection of work already
performed, or except in cases of absolute necessity and in any case
only with the permission of the City.
It is understood, however, that night work may be established as a
regular procedure by the Contractor if he or she first obtains the
written permission of the City and that such permission may be
revoked at any time by the City if the Contractor fails to maintain
at night adequate force and equipment for reasonable prosecution
and to justify inspection of the work.
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1.17. Hours of Labor.
Eight (8) hours of labor shall constitute a legal day's work and
the Contractor or any subcontractor shall not require or permit more
than eight hours of labor in a day from any person employed by him
or her in the performance of the work under this contract, unless
paying compensation for all hours worked in excess of eight (8)
hours per day at not less than 1 ½ times the basic rate of pay.
The Contractor shall forfeit to the City, as a penalty, the sum of
twenty-five dollars ($25.00) for each workman employed in the
execution of the contract by him or her or by any subcontractor,
for each calendar day during which such laborer, workman, or
mechanic is required or permitted to labor more than eight hours in
violation of the provisions of Section 1810 to 1816, inclusive,
(Article 3, Chapter 1, Part 7, Division 2) of the Labor Code of the
State of California and any acts amendatory thereof.
2. CONTRACT PRICE
CITY shall pay the Contractor for performance of this Agreement
time and materials with a total not to exceed amount of _______.
3. PAYMENT OF CONTRACT PRICE
3.1 City shall pay any invoice for completed work, and approved
by the City, within thirty (30) days of its receipt by City. All
payments under this contract shall be made upon the presentation of
certificates in writing from the City and shall show that the work
covered by the payments has been done and the payments thereof are
due in accordance with this contract.
4. INDEMNIFICATION AND INSURANCE.
4.1 Indemnification. The Contractor shall do all of the work
and furnish all labor, materials, tools and appliances, except as
otherwise herein expressly stipulated, necessary or proper for
performing and completing the work herein required in the manner
and within the time herein specified. The mention of any specific
duty or liability imposed upon the Contractor shall not be construed
as a limitation or restriction of any general liability or duty
imposed upon the Contractor by this contract, said reference to any
specific duty or liability being made herein merely for the purpose
of explanation.
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The right of general supervision by the City shall not make the
Contractor an agent of the City and the liability of the Contractor
for all damages to persons or to public or private property, arising
from the Contractor's execution of the work, shall not be lessened
because of such general supervision.
Until the completion and final acceptance by the City of all the
work under and implied by this contract, the work shall be under
the Contractor's responsible care and charge. The Contractor shall
rebuild, repair, restore and make good all injuries, damages, re-
erections and repairs, occasioned or rendered necessary by causes
of any nature whatsoever, excepting only acts of God and none other,
to all or any portions of the work, except as otherwise stipulated.
To the fullest extent permitted by law, Contractor shall indemnify
and hold harmless the City and its officers, directors, agents, and
employees from and against all claims, damages, losses and expenses
including but not limited to attorneys' fees, costs of suit, expert
witness fees and expenses and fees and costs of any necessary private
investigators arising out of or resulting from the performance of
the work, provided that any such claim, damage, loss or expense (1)
is attributable to bodily injury, sickness, disease or death, or to
injury to or destruction of tangible property, other than the work
itself, including the loss of use resulting therefrom and (2) is
caused in whole or in part by any act or omission of the Contractor,
any subcontractor, or anyone directly or indirectly employed by any
of them, or anyone for whose acts any of them may be liable,
regardless of whether or not it is caused in part by a party
indemnified hereunder, or by the negligence or omission of a party
indemnified herein.
In any and all claims against the City or any of its agents or
employees by any employee of the Contractor, any subcontractor,
anyone directly or indirectly employed by any of them, or anyone
for whose acts any of them may be liable, the indemnification
obligation shall not be limited in any way by any limitation on the
amount or type of damages, compensation or benefits payable by or
for the Contractor or any subcontractor under workers' or workmen's
compensation acts, disability benefit acts, or other employee
benefit acts. The obligation to indemnify shall extend to and
include acts of the indemnified party which may be negligent or
omissions which may cause negligence.
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The City shall have the right to estimate the amount of such damage
and to cause the City to pay the same and the amount so paid for
such damage shall be deducted from the money due the Contractor
under this contract; or the whole or so much of the money due or to
become due the Contractor under this contract as may be considered
necessary by the City, shall be retained by the City until such
suits or claims for damages shall have been settled or otherwise
disposed of and satisfactory evidence to that effect furnished to
the City.
.
4.2 Insurance. Contractor shall procure and maintain for the
duration of the contract insurance against claims for injuries to
persons or damages to property which may arise from or in connection
with the performance of the work hereunder by the Contractor, his
or her agents, representatives, employees or subcontractors.
4.2.1. Minimum Scope of Insurance
Coverage shall be at least as broad as:
1. Insurance Services Office Commercial Liability
Coverage (occurrence form CG 0001).
2. Insurance Services Office form number CA 0001 (Ed.
1/87) covering Automobile Liability, code 1 (any auto).
3. Worker's Compensation insurance as required by the
State of California and Employer's Liability Insurance.
4.2.2. Minimum Limits of Insurance
Contractor shall maintain limits no less than:
1. General Liability: $1,000,000 per occurrence for
bodily injury, personal injury, and property damage. If
Commercial General Liability Insurance or other form with
a general aggregate limit is used, either the general
aggregate limit shall apply separately to this
project/location or the general aggregate limit shall be
twice the required occurrence limit.
2. Automobile Liability: $1,000,000 per accident
for bodily injury and property damage.
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3. Employer's Liability: $1,000,000 per accident
for bodily injury and property damage.
4.2.3. Deductibles and Self-insured Retentions
Any deductibles or self-insured retentions must be
declared to and approved by the City. At the option of
the City, either: the insurer shall reduce or eliminate
such deductibles or self-insured retentions as respects
the City, its officers, officials, employees and
volunteers; or the Contractor shall provide a financial
guarantee satisfactory to the City guaranteeing payment
of losses and related investigations, claim
administration and defense expenses.
4.2.4. Other Insurance Provisions
The general liability and automobile liability policies
are to contain, or be endorsed to contain, the following
provisions:
1. The City, its officers, officials, employees, and
volunteers are to be covered as insureds with respect to
liability arising out of automobiles owned, leased, hired
or borrowed by or on behalf of the contractor; and with
respect to liability arising out of work or operations
performed by or on behalf of the Contractor including
materials, parts or equipment furnished in connection
with such work or operations. General liability coverage
can be provided in the form of an endorsement to the
Contractor's insurance, or as a separate owner's policy.
2. For any claims related to this project, the
Contractor's insurance coverage shall be primary
insurance as respects the City, its officers, officials,
employees, volunteers. Any insurance or self-insurance
maintained by the City, its officers, officials,
employees, or volunteers, shall be excess of the
Contractor's insurance and shall not contribute with it.
3. Each insurance policy required by this clause shall
be endorsed to state that coverage shall not be canceled
by either party, except after thirty (30) days' prior
written notice by certified mail, return receipt
requested, has been given to the City.
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4.2.5. Acceptability of Insurers
Insurance is to be placed with admitted California
insurers with an A.M. Best's rating of no less than A-
for financial strength, aa for long-term credit rating
and AMB-1 for short-term credit rating.
4.2.6. Verification of Coverage
Contractor shall furnish the City with original
certificates and amendatory endorsements effecting
coverage required by this clause. The endorsements shall
be on forms provided by the City or on other than the
City's forms, provided those endorsements or policies
conform to the requirements. All certificates and
endorsements are to be received within 15 days from
written notice of contract award, and the work shall not
commence until the certificates and endorsements have
been approved by the City. The City reserves the right to
require complete certified copies of all required
insurance policies, including endorsements effecting the
coverage required by these Special Provisions at any time.
4.2.7. Subcontractors
Contractor shall include all subcontractors as insureds
under its policies or shall furnish separate certificates
and endorsements for each subcontractor. All coverages
for subcontractors shall be subject to all of the
requirements stated herein.
5. TERMINATION.
This Agreement may only be terminated by City: 1) for breach
of the agreement; 2) because funds are no longer available to pay
Contractor for services provided under this Agreement; or 3) City
has abandoned and does not wish to complete the project for which
Contractor was retained. City shall notify Contractor of any
alleged breach of the agreement and of the action required to cure
the breach. If Contractor fails to cure the breach within the time
specified in the notice, the contract shall be terminated as of that
time. If terminated for lack of funds or abandonment of the project,
the contract shall terminate on the date notice of termination is
given to Contractor. City shall pay the Contractor only for services
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performed and expenses incurred as of the effective termination date,
unless terminated because the Contractor has failed to
satisfactorily cure a breach after notice in which event City shall:
a. retain any amounts earned under the Contract but not yet
paid by City;
b. take possession of all material and fixtures on the job
site;
c. have the right to complete the Work and recover from
Contractor any increased cost to complete the Work above the amounts
that would have been paid to Contractor hereunder, together with
any other damages suffered by City as a result of said breach.
6. MODIFICATION OF AGREEMENT.
City may, from time to time, request changes in the Work, the
time to complete the work or the compensation to be paid for the
Work. Such changes must be incorporated in written amendments to
this Agreement. To be effective, all such changes as referred to
in this section must be agreed upon in writing by both parties to
this agreement.
7. ASSIGNMENT.
The Contractor shall not assign any interest in this Agreement,
and shall not transfer any interest in the same (whether by
assignment or novation), without the prior written consent of City.
8. APPLICATION OF LAWS.
The parties hereby agree that all applicable Federal, State
and local rules, regulations and guidelines not written into this
Agreement shall hereby prevail during the period of this Agreement.
9. INDEPENDENT CONTRACTOR.
It is the express intention of the parties hereto that Con-
tractor is an independent contractor and not an employee, joint
venturer, or partner of City for any purpose whatsoever. City shall
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have no right to, and shall not control the manner or prescribe the
method of accomplishing those services contracted to and performed
by Contractor under this Agreement, and the general public and all
governmental agencies regulating such activity shall be so informed.
Those provisions of this Agreement that reserve ultimate
authority in City have been inserted solely to achieve compliance
with federal and state laws, rules, regulations, and interpretations
thereof. No such provisions and no other provisions of this
Agreement shall be interpreted or construed as creating or
establishing the relationship of employer and employee between
Contractor and City.
Contractor shall pay all estimated and actual federal and state
income and self-employment taxes that are due the state and federal
government and shall furnish and pay worker's compensation insurance,
unemployment insurance and any other benefits required by law for
himself and his employees, if any. Contractor agrees to indemnify
and hold City and its officers, agents and employees harmless from
and against any claims or demands by federal, state or local
government agencies for any such taxes or benefits due but not paid
by Contractor, including the legal costs associated with defending
against any audit, claim, demand or law suit.
Contractor warrants and represents that it is a properly
licensed for the work performed under this Agreement with a sub-
stantial investment in its business and that it maintains its own
offices and staff which it will use in performing under this
Agreement.
10. GOVERNING LAW.
This Agreement shall be governed by and construed in accordance
with the laws of the State of California and any legal action
concerning the agreement must be filed and litigated in the proper
court in Mendocino County, each party consenting to jurisdiction
and venue of California state courts in Mendocino County.
11. SEVERABILITY.
If any provision of the Agreement is held by a court of com-
petent jurisdiction to be invalid, void, or unenforceable, the
remaining provisions shall nevertheless continue in full force and
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effect without being impaired or invalidated in any way.
12. INTEGRATION.
This Agreement, including the exhibits attached hereto,
contains the entire agreement among the parties and supersedes all
prior and contemporaneous oral and written agreements,
understandings, and representations among the parties. No
amendments to this Agreement shall be binding unless executed in
writing by all of the parties.
13. WAIVER.
No waiver of any of the provisions of this Agreement shall be
deemed, or shall constitute a waiver of any other provision, nor
shall any waiver constitute a continuing waiver. No waiver shall
be binding unless executed in writing by the party making the waiver.
14. NOTICES.
Whenever notice, payment or other communication is required or
permitted under this Agreement, it shall be deemed to have been
given when personally delivered, emailed, telefaxed or deposited in
the United States mail with proper first class postage affixed
thereto and addressed as follows:
CONTRACTOR CITY
_____________ City of Ukiah
_____________ 300 Seminary Ave.
_____________ Ukiah, CA. 95482
Email: Email:
FAX: FAX:
Service by telefax shall bear a notation of the date and place of
transmission and the facsimile telephone number to which transmitted.
Either party may change the address to which notices must be sent
by providing notice of that change as provided in this paragraph.
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15. PARAGRAPH HEADINGS.
The paragraph headings contained herein are for convenience
and reference only and are not intended to define or limit the scope
of this agreement.
16. EXECUTION OF AGREEMENT.
This Agreement may be executed in duplicate originals, each
bearing the original signature of the parties. Alternatively,
this Agreement may be executed and delivered by facsimile or other
electronic transmission, and in more than one counterpart, each of
which shall be deemed an original, and all of which together shall
constitute one and the same instrument. When executed using either
alternative, the executed agreement shall be deemed an original
admissible as evidence in any administrative or judicial
proceeding to prove the terms and content of this Agreement.
WHEREFORE, the parties have entered this Agreement on the date
first written above.
CONTRACTOR CITY OF UKIAH
By:___________________________ By:___________________________
Sage Sangiacomo
City Manager
California Contractor's License Number __________ [Number or N/A]
CITY OF UKIAH - BID RESULTS
E35427 - Hydroelectric Plant Gratings and Handrails - Bid Opening 5/18/17
Item #QTY UOM Description Unit Ext'd Unit Ext'd
A1 125 SF Grating and Structural Support 139.05$ 17,381.25$ 180.00$ 22,500.00$
B1 20 LF Handrail with Kick Plate 315.00$ 6,300.00$ 348.00$ 6,960.00$
B2 12.7 LF Handrail without Kick Plate 377.96$ 4,800.09$ 436.00$ 5,537.20$
B3 30 LF Kick Plate 113.75$ 3,412.50$ 122.00$ 3,660.00$
B4 6.75 LF Chains (double length)622.82$ 4,204.04$ 376.00$ 2,538.00$
TOTAL:36,097.88$ 41,195.20$
Gregg Simpson Ferranti
Page 2 of 2
Discussion: At the May 2, 2017, Measure P Oversight Committee meeting, the committee members held
a meeting, and City of Ukiah representatives: Sage Sangiacomo, Daniel Buffalo, Kirk Thomsen and Chris
Dewey also attended. Finance Director Daniel Buffalo reviewed the City’s Annual Measure P Financial
Report, and the Oversight Members asked questions concerning the Public Safety budgets and overall
staffing needs of both Police and Fire.
The Committee discussed Police and Fire services within Ukiah, and the need to continue public safety
staffing levels within the Ukiah community. Specifically, police department workload and the need for further
fire staffing for the merged fire services of the City and Ukiah Valley Fire District were concerns that the
committee members discussed and encouraged continued efforts to improved service levels.
The Committee found that the City is meeting the objectives of the spending plan and voted unanimously
to adopt the City’s Annual Measure P Financial Report (Attachment #2) as their final report – which includes
staffing levels, and the historical expenditures of funds to support public safety.
The Committee also directed staff to report back to the Council about the meeting , and to present their
adopted Measure P Financial Report.
Recommendations: Resolution 2014-28 requires that the City Council conduct a Public Hearing, receive
the adopted Measure P Annual Financial Report, and disband the Oversight Committee (per Resolution
2014-28) if no further action is desired by the Ukiah City Council.
Note: the Measure P Financial Report will be included in the FY 17-18 Budget and all subsequent
documents on an annual basis as a matter of standard practice and not just in Oversight Committee review
years.
FISCAL IMPACT:
Budgeted
Amount in
16-17 FY
New Appropriation
Source of Funds
(Title & No.)
Account Number
Budget
Amendment
Required
Previous
Contract or
Purchase Order
No.
N/A N/A N/A Yes No N/A
RESOLUTION NO. 2014-28
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH ESTABLISHING AN
EXPENDITURE PLAN FOR PUBLIC SAFETY AND AN OVERSIGHT BOARD TO MAKE
PERIODIC REPORTS ON THE PERFORMANCE OF THE EXPENDITURE PLAN
WHEREAS:
1. The City of Ukiah is 47 square miles in size, but is surrounded by additional urban areas
and residential subdivisions within an unincorporated portion of Mendocino County. The
Ukiah Valley is the most populous portion of Mendocino County, containing, at least, 2/3 of
the total county population; and
2. The California Department of Finance estimates the population of the City of Ukiah ("City")
Ias of January 1, 2004, at 15,907 people and 16,185 as of January 1, 2014; and
3. Ukiah is the County Seat for Mendocino County and a commercial center for Mendocino
County, Lake County, Southern Humboldt County and Northern Sonoma County; and
I4. As such during business hours, the City population swells to perhaps as many as 40,000
people, including people who work, shop and receive services in Ukiah; and
5. Ukiah also is located on U.S. Highway 101, which is the major north-south highway west of I
Interstate Highway 5, and links southem California to Northem California and Oregon; and
6. Consequently, a small city with a population of 15,907 people in 2004 and 16,185 in 2014
must provide law enforcement, fire protection and emergency medical services to a day
time population of 40,000, and respond to emergencies within the City, on U.S. Highway
101, and on a mutual aid basis within the larger Ukiah Valley; and
7. Public safety services are a general fund obligation of the City, which receives revenues
from ad valorem property taxes, sales taxes and vehicle license fees. The City receives
only 1% of the gross receipts from taxable retail sales within the City and less than 10% of
the property taxes collected from real property located within the City; and
8. While population within the Ukiah Valley and City of Ukiah has grown over the last 30
years, calls for police services have also grown significantly. Calls for police services has
increased from around 2500 calls in 1969 to over 25,000 in 2014, or by 1000%. Calis for
service have increased in virtually every category, including assaults with weapons,
burglary, thefts and shoplifting, drugs, sexual assaults and domestic violence; and
9. In contrast, between the years 1989 and 2003, the number of sworn officers in the Ukiah
Police Department has remained constant at 28 officers; and
10. Calls for fire services have also grown. Between 1986 and 2012, fire calls increased 61%
from 1.353 in 1986 to 3,277 in 2012; and
11. In 1988, the Ukiah Valley Fire District contracted with the City of Ukiah to provide fire
services. The combined fre department had 15 firefighters; and
12. In 1988, the Ukiah Valley Fire District and City of Ukiah fire departments elected to
I independently provide fire services to their communities. Over the next 20 years, City of
Ukiah Fire Department continued to provide at least 15 firefighter staffing; and
13. In 2003, due to the State of California's budget deficit, the City's general fund revenues
were decreased significantly; and
14. As a result, the City was faced with substantial deficits for fiscal years 2004-2005, which
required lay-offs or other reductions in expenditures for public safety services in the City;
and
15. These budget deficits lead to deferment of equipment replacements, including fire engines,
the City's ladder truck and police patrol cars; and
16. To address the significant demands of an increased public safety workload and provide
funding for necessary equipment, in June of 2005, the Citizens of Ukiah passed by a
majority vote, Measure S, a '/z cent general sales tax measure (" Measure S Sales Tax"),
and Measure T, an accompanying advisory measure, which said that the first priority for
additional sales tax funds should be support of essential public safety services; and
17. Measure S provided funding that has been used to increase the Police Department staffing
from 28 sworn officers to 32 sworn officers. The 4 additional officers (one per work shift)
were added to address workload increases and decrease response times; and
18. Measure S allowed the Fire Department to replace aging fire equipment, including the
City's essential ladder truck, and other fire vehicles, and maintain a staff of at least 15
firefighters, with at least 4 firefighters on duty per shift for emergency services; and
19. In 2008, the Nation, State of California and the City of Ukiah, experienced a recession
which significantly reduced city revenues from sales taxes, including revenues received
from Measure S. Due to these budget deficits, the City's general fund revenues were
significantly decreased; and
20. This unanticipated nation-wide recession forced the City of Ukiah to eliminate open
positions, layoff personnel and reduce general fund budgets; and
21. Over the last six years, every employee in the City of Ukiah has had a 5% reduction in pay,
and absorbed increases to their health insurance costs, in addition to various unpaid
furloughs and reduced work hours which were made necessary by significantly reduced
sales and property tax revenues ; and
22. The City of Ukiah fully complied with the PERS retirement cost reductions, reducing
retirements costs for new employees; and
23. The Police Department was reduced over a two year period from 32 sworn officers to 30
sworn, then 26 sworn officers, because of the 2008 recession and reduction in General
Fund revenues and Measure S revenues; and
24. The Fire Department operated ambulance service was eliminated as an additional measure
to economize in response to the 2008 recession and reduction in Measure S Sales Tax and
General Fund revenues, because the cost of the ambulance service exceeded the limited
compensation from reduced Medi-Cal and Medi-Care reimbursements; and
25. As the economy improved, and General Fund revenues and Measure S Sales Tax
revenues have been restored to the levels prevailing before the 2008 recession, the City of
Ukiah has worked to improve public safety services to the Ukiah community; and
26. For a two year period commencing January 1, 2014 and ending on December 31, 2015, the
City of Ukiah and the Ukiah Valley Fire District have entered a contract to provide fire
services to the entire Ukiah Valley and City of Ukiah; and
27. This agreement has increased the available on-duty firefighting staff to 18 firefighters, (11-
City paid personnel, 6-District personnel, and shared Fire Chief ) a combined two-
department volunteer firefighter force, with an increased firefighter capacity to at least 6
firefighters on-duty each day for firefighting and Paramedic medical services; and
28. The City Council has reauthorized the Police Department to increase staffing back to 32
sworn officers. The additional officers (which allow for an extra officer per work shift) were
added to address workload increases and decreased response times; and
29. Unlike the City's 1% share of the current 825% statewide sales tax, all sales taxes
produced by Measure S must remain in the City of Ukiah. These taxes cannot be taken
away by the State of California. Although enacted as a general tax which can lawfully be
used for any municipal purpose, the City Council has and by this resolution will continue to
place the Measure S Sales Tax revenue in a designated account within its budget and
financial statements so that its use for public safety services can be reviewed, audited and
accounted for; and
30. In addition, it is the intent of this resolution to commit the City to maintain the amount of
general fund revenues supporting public safety at or above current levels. This resolution
also commits the City to maintain the current level of public safety services, including a
minimum of 32 sworn police officer, and the level of fire prevention and protective services
commensurate with the City of Ukiah's portion of any City and District contractual
agreement forjoint fire, paramedic and fire prevention operations; and
31. Measure S will sunset in September of 2015. Without the continuation of Measure S Sales
Tax revenue, the City of Ukiah could not maintain current Police and Fire services. Without
Measure S Sales Tax revenues, the City of Ukiah would be forced to reduce or eliminate
some or all of these essential public safety services.
NOW, THEREFORE, BE IT RESOLVED AS FOLLOWS:
1. EXPENDITURE PLAN: While the revenue received by the City from Measure S
Sales Tax is unrestricted general fund revenue, by this resolution, the City Council commits to
using these revenues to provide public safety services. "Public safety services" means law
enforcement and crime prevention services provided by the Ukiah Police Department, and fire
protection and prevention and emergency medical services provided by the Ukiah Fire
Department, by contract with the Ukiah Valley Fire Protection District or any other arrangement
approved by the City Council. These taxes may be used to pay for such public safety services
expenses as the training and salaries, including overtime and specialty pay, and fringe benefits,
of public safety officers and support staff working in the Police Department and of firefighters,
emergency medical technicians and support staff providing fire prevention and protection
services to the City. These funds may also be used for operating expenses, and the purchase
of vehicles, equipment and supplies, and capital improvements used exclusively for Public
safety services.
A. Accountinq for Public Safetv Services Revenue. In each fiscal year
commencing with the 2014-2015 fiscal year, for purposes of accounting for the use of these
revenues, the City shall continue to credit to an account or fund in the City's budget and
financial records, to be designated by the Finance Director, all of the following: (1) Measure S
Sales Tax revenue; and (2) "Public Safety Revenue" which is the revenue produced by the
Police and Fire Departments.
3
B. Minimum level of Public Safetv Services. The City shall maintain a minimum
level of public safety services, but nothing in this resolution prevents the City Council from
establishing a higher level of public safety services, reorganizing or changing the method of
providing public safety services or reducing staffing for public safety where required by financial
necessity resulting from circumstances beyond the control of the City, such as a prolonged
recession like the one experienced in 2008 or other prolonged and substantial reduction in
general fund revenues. The minimum level of public safety services shall be the level of such
services available in the City in the 2014-15 fiscal year, including the following: (1) thirty-two
32) full-time peace officers as defined in Penal Code Section 7 and Title 3, Part 2, Chapter 4.5
commencing with Section 830), and the level of fire prevention and protective services
commensurate with the City of Ukiah's portion of any City and District contractual agreement for
joint fire, paramedic, and fire prevention operations .
2. OVERSIGHT COMMITTEE. Every two years after the Effective Date of Ordinance No.
1149, extending the Measure S sales tax, the City Council shall appoint five people to an
Oversight Committee" the only function of which shall be to review the City's budget for public
safety services and the expenditure of the revenues so budgeted. The persons appointed to the
Oversight Committee should represent a broad range of interests in the City, including such
interests as business owners, ethnic minorities, (1) Ukiah City firefighter, (1) Ukiah City peace
officer, homeowners and tenants.
The City Manager shall provide the Oversight Committee with any information it requests which
is not exempt from disclosure under the California Public Records Act and shall assist it in
organizing and analyzing the information so provided. The Oversight Committee must prepare
a written report which shall be presented to the City Council at a noticed public hearing and
which shall be available to the general public for not less than 10 calendar days prior to the
scheduled hearing date. The report shall contain an analysis of the level and types of service
provided by the City's police department and fire department or other arrangement approved by
the City Council, the revenues and expenditures of the designated fund or account. It shall also
make recommendations concerning the future use of these funds and levels and types of
service. The Oversight Committee shall dissolve after it files its report with the City Council,
until a new Oversight Committee is appointed for the next two year review.
3. ACCOUNTING FOR MEASURE S SALES TAX REVENUE. All Measure S Sales
Tax revenues and all interest on said revenues shall be credited to the designated fund or
account and shall be designated for use in accordance with this Resolution.
PASSED AND ADOPTED ON JUNE 24, 2014, BY THE FOLLOWING ROLL CALL VOTE:
AYES: Councilmembers Scalmanini, Crane, Thomas, Landis, and Mayor Baldwin
NOES: None
ABSENT: None
ABSTAIN: None
Philip E. Idwin, Mayor
ATTEST:
s.
i _ G , -
Kristine Lawler, City Clerk
4
i
RESOLUTION NO. 2014-29
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH PLACING MEASURE ON
BALLOT FOR THE NOVEMBER 4, 2014 REGULAR MUNICIPAL ELECTION, TRANSMITTING
MEASURE TO CITY ATTORNEY FOR IMPARTIAL ANALYSIS AND ESTABLISHING
DEADLINE FOR ARGUMENTS FOR OR AGAINST THE MEASURE.
WHEREAS,
1. Election Code Section 10403 authorizes the City Council of the City of Ukiah (City) to
request the Mendocino County Board of Supervisors to conduct a municipal election on behalf of
the City and consolidate that election with any other elections scheduled for that date; and
2. On June 4, 2014, the City Council adopted a resolution requesting the Mendocino
County Board of Supervisors to perform those services and consolidate the City election with
statewide general election scheduled for that date;
3. On June 24, 2014, the City Council adopted Ordinance No. 1149, extending the
one-half of one percent sales tax, approved in the election held on June 7, 2005, which only
becomes effective if approved by not less than a majority of the voters voting in the November 4,
2014, election; and
4. The Elections Code requires the City Council to set forth in a resolution the exact form
of any ballot measures to appear on the election ballot and to take other steps related thereto;
NOW, THEREFORE, BE IT RESOLVED that:
1. The City Council hereby places a measure on the ballot for the November 4, 2014.
election which shall read as follows:
MEASURE _
Shall the one-half of one percent (0.5%) transaction and use tax used to fund essential
public services, including police, fire prevention and protection, and emergency medical services,
set to expire on September 25, 2015, be extended by Ordinance No. 1149 until repealed by
majority vote in a municipal election?
Yes No
2. Measure form: City of Ukiah Ordinance No. 1149, enacted by the voters pursuant to
subsection 1 of this Resolution. shall be in the form set forth in Attachment 1.
3. The City Clerk shall transmit a copy of the ballot measure set forth in section 1 of this
Resolution and the form of Ordinance No. 1149 set forth in Attachment 1 to this Resolution to the
City Attorney for the preparation of an impartial analysis as required by Elections Code Section
9280.
4. The City Clerk shall post the notice of the deadline for filing ballot arguments for or
against the above ballot measures on June 25, 2014.
I
5. In accordance with Election Code Section 9286, ballot arguments for or against the
measures are required to be filed by July 8, 2014, after which no arguments for or against the
Resolution 2014-29
Page 1 of 2
J
measures will be accepted.
PASSED AND ADOPTED by the City Council of the City of Ukiah on June 24, 2014, by the
following roll call vote:
AYES: Councilmembers Scalmanini, Crane, Thomas, Landis, and Mayor Baldwin
NOES: None
ABSTAIN: None
ABSENT: None
Philip E. aldwin, Mayor
ATTEST:
i.
Kristine Lawler, City Clerk
Resolution 2014-29
Page 2 of 2
I
MEASURE
ORDINANCE NO. 1149
AN ORDINANCE OF THE VOTERS OF THE CITY OF UKIAH EXTENDING THE EXISTING
TRANSACTIONS AND USE TAX BY AMENDING SECTION 1799.5 OF CHAPTER 8C OF
DIVISION 1 OF THE UKIAH CITY CODE
The voters of the City of Ukiah hereby ordain as follows:
SECTION 1. FINDINGS. The voters of the City of Ukiah hereby find as follows:
The City Council and the people of the City of Ukiah hereby find:
1. At an election held on June 7, 2005, by a vote of 1442 for and 634 against, 69.46% of the
voters of the City of Ukiah approved, as a general tax, a one-half cent (0.5%) Transaction
and Use Tax, commonly called a "Sales Tax" and known as "Measure S."
2. Measure S is codified at Chapter 8c of Division 1 of the Ukiah City Code and has an
expiration date under Ukiah City Code Section 1799.5 on the tenth anniversary of the
Operative Date thereof, unless extended by a majority vote in a subsequent municipal
election.
3. The Operative Date of Measure S was the date when the half-cent transactions and use tax
was first imposed. That date was September 25, 2005, 110 days after the voters approved
the measure.
4. Under Ukiah City Code Section 1799.5, the Measure S Sales Tax will terminate on
September 25, 2015.
5. When Measure S passed, the voters overwhelmingly answered "Yes" to the question posed
by Measure T, an accompanying advisory measure which asked: "Should additional funds
for public safety, including police, fire and emergency medical services, be the first priority
for the use of new sales tax revenues in the City of Ukiah?"
6. In 2005, when Measures S and T passed, the City spent $5,670,719 on public safety,
including police, fire and emergency medical services.
7. Under the guidance from Measure T, the City has spent as follows for public safety:
i . 5,286,893 1,092,344 0- 6,379,237
i i 5,177,424 2,277,084 27,861 7,482,369
i i : 5,451,375 2,322,584 3,794 7,777,753
i • 6,127,841 2, 129,720 1,337 8,258,898
7,152,310 2,013,673 79,918 9,245,901
5,991,911 2,153,968 136,321 8,282,200
6,233,347 2,229,049 88,158 8,550,554
6,826,934 2,412,549 7,670 9,247,153 j
6,250,200 2,371,888 500 8,622,588
Page 1 of 3
I8. While Measure S revenues are general fund revenues subject to the budgeting discretion of
the City Council, it has, in fact, used the taxes from Measure S exclusively for public safety.
In addition, the City Council has increased general fund support for public safety by over
4.5 million since 2005. The City Council chose consistently throughout the financial crisis I
since 2008 to sustain funding for public safety, and added to it from the General Fund, even
I in the face of making significant spending reductions in other city operations and non-safety
personnel. Despite this level of spending the City has struggled to maintain adequate
personnel and equipment to meet the demands for public safety services which have
increased substantially over the past 10 years.
9. The 10 year sunset in Measure S has created a significant problem for the City's Police
Department in recruiting and retaining new peace officers, because the City cannot assure
new recruits that it will have funding for their positions, after the tax revenue from Measure
S terminates in 2015.
10. This measure, if passed by the voters, continues the sales tax enacted by Measure S
beyond its current repealed date and provides that the tax will remain in effect until it is
repealed by majority vote at a municipal election.
11. The City Council determined at its special meeting on June 24, 2014, to place this measure
on the ballot for the regular municipal election on November 4, 2014, as authorized by
Revenue and Taxation Code section 7285.9.
12. While this measure will continue the tax indefinitely, unless repealed or amended by the
voters, a City Council resolution adopted at its meeting on June 24, 2014, will establish a
committee composed of inembers of the public (the Oversight Committee) to review and
report on the use of the revenue from the tax. The extension of the tax shall be approved if
the measure receives at least a majority of affirmative votes.
13. Based on all of the information presented at the City Council meetings on June 18 and 24,
2014, both written and oral, including the staff reports, minutes, and other relevant
materials, the City Council finds that under CEQA Guidelines 15060(c)(2) and 15378,
subdivisions (2) and (4) of subdivision (b), this action does not constitute a project under
CEQA and, therefore, review under CEQA is not required.
SECTION 2. AMENDMENT OF SECTION 1799.5 OF THE UKIAH CITY CODE.
Section 1799.5, "Repeal of Tax," of the Ukiah City Code shall be amended to read as follows:
1799.5 REPEAL OF TAX
The tax imposed by this chapter shall be made permanent and remain in full force and
effect, unless and until repealed by a majority vote at a general municipal election.
SECTION 3. ORDINANCE TO BE SUBMITTED TO THE VOTERS.
This ordinance shall be submitted to the voters at an election to be held on November 4, 2014.
Upon approval by a majority of the voters of the City voting on this ordinance, the Transactions
and Use Tax set forth in City of Ukiah Ordinance No. 1063 ("Measure S") shall be continued
indefinitely, unless repealed by majority vote in a subsequent municipal election.
ISECTION4. SEVERABILITY. i
If any provision of this ordinance or the application thereof to any person or circumstance is
held invalid by a court of competent jurisdiction, the remainder of the ordinance and the
Page 2 of 3
application of such provision to the other persons or circumstances shall not be affected
thereby. The voters of the City of Ukiah hereby declare that they would have adopted each and
every provision of this ordinance regardless of the invalidity of any other provision.
SECTION 5. CODIFICATION.
Upon adoption of this ordinance pursuant to the voter approval referenced herein, the City
Clerk, in consultation with the City Attorney, is hereby authorized and directed to codify this
ordinance in the Ukiah City Code.
SECTION 6. EFFECTIVE DATE.
If this ordinance is approved by a majority of the voters voting on the issue at the November 4,
2014 election, pursuant to Elections Code Section 9217, this ordinance shall become effective
ten (10) days after the City Council declares the results of the election. The Operative Date of
the Transactions and Use Tax set forth in City of Ukiah Ordinance No. 1063 shall not be
affected by this ordinance.
Approved on June 24, 2014 by the following roll call vote of the Ukiah City Council:
AYES: Councilmembers Scalmanini, Crane, Thomas, Landis, and Mayor Baldwin
NOES: None
ABSENT: None
ABSTAIN: None
Philip E. Idwin, Mayor
ATTEST:
li '
Kristine Lawler, City Clerk II
Page3of3
CITY OF UKIAH
MEASURE P ANALYSIS
Fiscal Year 2015-16
Measure P: Transaction and Use Tax
Measure P
Baseline Increase
Expenditure Uses by Category FY 2014-15 FY 2015-16 (Decrease)
Police:
Sworn officers (Note 1)32 32 -
Misc personnel (Note 2)18 19 1
Personnel 6,049,608$ 6,684,697$ 635,088$
Operations (Note 3)2,660,085 2,488,139 (171,946)
Capital 186,594 206,006 19,412
Total police (Note 4)8,896,287 9,378,842 482,555
Fire:
Firefighters:
City 11 11 -
UVFD 6 6 -
Personnel 1,506,406 1,721,394 214,988
Operations:
Contractual 516,180 393,179 (123,001)
Other 530,822 778,557 247,736
Capital 30,400 31,129 730
Total fire 2,583,807 2,924,260 340,453
Total public safety 11,480,094 12,303,102 823,008
Dedicated Revenue Sources
Measure P transaction and use tax 2,465,521 2,563,698 98,177
Public safety revenue:
Police 262,254 277,132 14,878
Fire 37,235 73,828 36,593
Other (Note 5)739,607 574,112 (165,495)
Total revenue 3,504,617 3,488,770 (15,847)
Excess (deficiency) revenues over expenditures (7,975,477) (8,814,332) (838,855)
Other Financing Sources
General revenues, general fund 7,975,477 8,814,332 838,855
Remaining resources -$ -$ -$
Notes:
1) The City budgeted for 32 officers in FY 15-16. Actual number of filled positions fluctuated higher and lower due to illness/injury/attrition.
2) Increase reflects addition of a dispatch supervisor.
3) Includes dispatch services.
4) Excludes parking enforcement expenditures.
5) Includes dispatch service revenue, except for general fund contributions. Excludes parking enforcement revenues.
Uses and Sources
Public Safety Activities
Comparative, Baseline (2015) to June 30, 2016
Eligible Measure P Costs
Prepared by Finance Department
2/22/2017
-
1,000,000
2,000,000
3,000,000
4,000,000
5,000,000
6,000,000
7,000,000
8,000,000
9,000,000
10,000,000
2008-09 2009-2010 2010-2011 2011-2012 2012-2013 2013-2014 2014-2015 2015-2016
Measure S/P Over Time
Expenditures to Revenues
FY 2008-09 to 2015-16
Police expenditures Fire expenditures Measure S revenue General revenues
Page 2 of 4
hearing and recommended by a 4-1 vote that the City Council certify the FEIR and adopt a Resolution adopting
the Statement of Overriding Considerations (Attachment #1). The Commission recommended by a unanimous
vote approval of the Airport Business Park Planned Development Ordinance Amendment (Attachment #2).
Discussion: The EIR completed in January 2013 analyzed the potential for the Project to result in significant
impacts to Aesthetics, Air Quality, Urban Decay, Geology and Soils, Hazards and Hazardous Materials,
Hydrology and Water Quality, Land Use and Planning, Noise, Public Services and Utilities, Transportation and
Traffic, Global Climate Change, Biological Resources, Population and Housing, and Cultural Resources.
Below is a summary of the level of impact identified for the environmental areas analyzed in the EIR:
Less than Significant: The EIR analysis concluded that the Project’s potential impacts related to
Urban Decay, Land Use and Planning, Noise, Public Services and Utilities, and Population and
Housing would be less than significant (LTS). No mitigation measures are needed for impacts
identified as LTS.
Potentially Significant Impacts: The EIR analysis concluded the Project’s potential impacts related
to Aesthetics (light and glare), Geology and Soils, Hazards and Hazardous Materials, Hydrology and
Water Quality, Biological Resources, and Cultural Resources would be potentially significant (PS).
The EIR identified mitigation measures that would reduce these impacts to LTS.
Significant and Unavoidable: The EIR analysis concluded the Project’s potential impacts to Air
Quality (operational emissions and cumulative operational emissions), Transportation and Traffic
(level of service and queuing), and Global Climate Change (operational emissions exceed established
threshold) would be significant and unavoidable (SU). The EIR identifies mitigation measures that
would reduce the impacts identified; however, the mitigation measures would not reduce the impacts
to LTS. Since the impacts could not be reduced to LTS with the mitigation measures, the impacts are
considered to be significant and unavoidable.
Statement of Overriding Considerations: A project with significant and unavoidable impacts may be
approved if the economic, legal, social, technological or other benefits of the proposed project outweigh the
significant and unavoidable environmental effects of the project; in which case these environmental effects
may be considered “acceptable.” CEQA Guidelines section 15093 requires decision makers to balance the
economic, social, technological, or other benefits of the proposed project against its unavoidable environmental
impacts when deciding whether or not to approve a project with significant and unavoidable impacts.
In order to approve a project that would result in significant and unavoidable environmental effects identified
in the EIR that cannot be reduced to a less than significant level, the Lead Agency must state in writing the
specific reasons to support the project approval based on a balancing of project benefits against impacts
remaining significant as identified in the Final EIR and/or other information in the record. This is formally known
as a “Statement of Overriding Considerations” and is made pursuant to CEQA Guidelines, Section 15093. The
findings required for a Statement of Overriding Considerations are made in addition to the findings required by
CEQA Guidelines section 15091.
Before approving a project with significant and unavoidable environmental impacts, a Lead Agency is required
to first certify the FEIR (Attachment #3) and adopt a Statement of Overriding Considerations. If findings of
overriding consideration are not adopted by the Lead Agency in those instances where unavoidable project-
related environmental effects identified in the EIR would remain significant, the Lead Agency cannot approve
the proposed project.
Staff requests the City Council adopt the Statement of Overriding Considerations by identifying potential
benefits of the Project, should the Council be in a position to identify benefits of the Project that would outweigh
the significant and unavoidable impacts identified in the EIR.
Below is a list and description of the potential benefits of the Project identified by staff.
Page 3 of 4
Fiscal Benefits. A fiscal impact analysis (FIA) was prepared for the Project. The FIA identifies the
potential fiscal benefits to the City of Ukiah general fund that would result from the Project. Based on
the FIA, the Project is estimated to result in an annual increase to the City’s general fund of $471,194
to $709,149. In addition, Measure S sales tax proceeds are estimated to range from $198,051 to
$308,856. Combined, the Project is estimated to result in a net annual fiscal benefit to the City of
$611,798 to $960,557.
The FIA also identified fiscal benefits of the Project for Mendocino County and a variety of special
districts.
Increased Area Employment: The Costco store would employ between 175 to 200 people, with
most of the employees expected to be hired from the Ukiah area. The split between full-time and
part-time employees would be 50-50.
Wages and Benefits: Information provided by the applicant provides a sampling of wages: Service
Assistant $11.50 - $20.30 per hour; Service Clerk $12.00 - $22.00 per hour; and Meat Cutters $12.00
- $23.50 per hour. Costco also provides benefits, including medical, dental, vision, pharmacy, mental
health, life insurance, disability, long-term care, employee assistance program, flexible spending
accounts, employee stock purchase program, 11 paid holidays, college student retention program,
and a 401(k) program. Part-time employees working more than 20 hours per week receive core
medical, dental, and vacation benefits after 6 months and are guaranteed 24 hours of work per week.
Construction Employment: At least some of the companies working on the construction of the
Project would be from the Ukiah area which would result in a temporary increase in construction
employment in the area. Non-local construction employment would benefit the City through an
increase in lodging, dining, and shopping by out of area construction employees.
Redirection of Vehicle Trips: The Ukiah Costco has the potential to redirect trips to the Ukiah store
that are currently being made by Ukiah-based Costco members to the Costco stores in Santa Rosa
and Rohnert Park. In 2012, Costco had 18,228 members with Ukiah addresses. These members
made 201,803 trips to the Santa Rosa and Rohnert Park Costco stores in 2012.
City Objectives: The Project is also consistent with the City objectives identified in the DEIR (page
2-5), including: locating regional retail development within existing commercial areas of the City,
enhancing the retail opportunities within the City, further developing the Airport Industrial Park in
accordance with the General Plan; encouraging urban design that enhances the U.S. Highway 101
corridor; reducing vehicle trips to retail centers in Sonoma County to reduce regional air pollution and
greenhouse gas emissions; encouraging development that generates revenue to pay for the City
services received by the development; and increasing job opportunities in the City.
Rezoning. Pursuant to Zoning Ordinance section 9265(A), map and text amendments, including amendments
to planned developments, are allowed with a rezoning approval. Costco’s rezoning application proposes an
amendment to the Airport Industrial Park Planned Development. Specifically, a rezoning of the land use
designation of the site from Industrial/Auto Commercial and Light Manufacturing/Mixed Use to Retail
Commercial.
AIP PD Ordinance 1146 includes the zoning requirements for property located within the boundaries of the
AIP PD. In addition to the AIP PD Land Use Map, the text of AIP PD Ordinance 1146 has been revised to
reflect the changes in the amount and location of Retail Commercial, Industrial/Auto Commercial and Light
Manufacturing/Mixed that would result from the proposed rezoning.
Page 4 of 4
Recommendation:
1. Consider certification of the Costco Final Environmental Impact Report (FIER) including the Energy
Analysis, and Overriding Considerations; and
2. Consider introduction by title only of an Ordinance rezoning the Costco Project site to Retail
Commercial.
FISCAL IMPACT:
Budgeted Amount in 15-16 FY
New Appropriation
Source of Funds
(Title & No.)
Account Number Budget Amendment Required
Previous Contract or Purchase Order No.
N/A N/A N/A Yes No N/A
1
ATTACHMENT 1
RESOLUTION NO.
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH (1) MAKING FINDINGS
PURSUANT TO CALIFORNIA ENVIRONMENTAL QUALITY ACT ("CEQA") GUIDELINES
SECTION 15090 IN CONNECTION WITH THE CERTIFICATION OF THE COSTCO WHOLESALE
REVISED PROJECT ENVIRONMENTAL IMPACT REPORT AND (2) ADOPTING FINDINGS TO
ADDRESS SIGNIFICANT ENVIRONMENTAL IMPACTS IN ACCORDANCE WITH PUBLIC
RESOURCES CODE (“PRC”) SECTION 21081 AND CEQA GUIDELINES SECTIONS 15091
AND A STATEMENT OF OVERRIDING CONSIDERATIONS IN ACCORDANCE WITH PRC
§21081(b) AND CEQA GUIDELINES §15093.
WHEREAS:
1. On June 21, 2016, the California Court of Appeal in Citizens for Safety First v. City of Ukiah
et.al., Case No. A145581, held that under the California Environmental Quality Act (CEQA)
the City could not add as an Addendum to the environmental impact report (EIR) for the
Costco Wholesale Project an Energy Analysis after the EIR had been certified by the City
Council. Except for this procedural error, the court of appeals found that the EIR fully
complied with CEQA. Accordingly, it remanded the case to the Mendocino County Superior
Court with instructions to issue a writ of mandate compelling the City to set aside its
certification of the Costco EIR and its approval of the Costco Project and to circulate a draft
Energy Analysis section in the EIR for public comment and consider the Energy Analysis
before recertifying a FEIR for and approving the Costco Project; and
2. On September 23, 2016, the Mendocino County Superior Court issued a peremptory writ of
mandate which directed the City to set aside its certification of the EIR by Resolution No.
2013-34, dated December 18, 2013 and its Findings and Statement of Overriding
Considerations by Resolution 2013-35, dated December 18, 2013, its Findings of Fact for
an adoption of the Addendum to the EIR by Resolution No. 2014-47, and its amendment to
the land use designation for the Costco Project site from Industrial/Automotive Commercial
to Retail Commercial, adopted on January 14, 2014; and
3. On November 16, 2016, in Resolution No. 2016-62, the City Council set aside the approvals
described in Recital No. 2, above; and
4. On December 2, 2016, the City filed its return to the peremptory writ of mandate showing its
compliance with its commands; and
5. On February 12, 2017, in order to solicit review and public comment, the City gave Notice
of Recirculation to responsible agencies, organizations and interested parties of a portion of
the Draft Environmental Impact Report for the Costco Project, consisting of Section 3.15
Recirculated Partial Draft Environmental Impact Report (“RPDEIR”), containing an energy
analysis of the project in compliance with Appendix F of the CEQA Guidelines and California
Clean Energy Committee v. City of Woodland (2014) 225 Cal. App. 4th 173. Pursuant to 14
California Code of Regulations (“CCR”) §15088, subsections (c) and (f) of the CEQA
Guidelines, the City limited public comment to the RPDEIR; and
6. On March 27, 2017, the 45-day public comment period ended; and
2
7. The City has prepared a Final RPEIR for inclusion in the Final EIR (“FEIR”) for the Costco
Project, which includes the responses to comments on the RPEIR which were submitted
during the 45-day public comment period. The final RPEIR supplements the Final EIR
approved by Resolution No. 2013-34, which resolution is attached hereto as Exhibit A and
incorporated herein by this reference; and
8. By this Resolution, the City Council (1) makes findings in support of its decision and certifies
the Final EIR for the Costco Project, including a mitigation monitoring and reporting program
for the Costco Wholesale Project, which is comprised of: (a) the Draft EIR, dated January
2013; (b) the Final EIR, dated November 2013 as approved by the City Council on
December 18, 2013 (“2013 EIR”), through the adoption of Exhibit A (Resolution No. 2013-
34),; (c) the RPDEIR, dated February 2017, and the Final RPEIR, dated April 2017 which is
adopted by this Resolution and (2) readopts the Findings Pursuant to Public Resources
Code (“PRC”) Section 21081 and CEQA Guidelines Section 15091 and a Statement of
Overriding Considerations as set forth in Resolution No. 2013-35, attached hereto as
Exhibit B, and incorporated herein, as required by PRC Section 21081(b) and CEQA
Guidelines Section 15093; and
9. Based on the certification of the FEIR for the Costco Project and the findings herein, the
Planning Commission has recommended and the City Council has determined to introduce
and adopt an ordinance re-designating the Costco Site with a Retail Commercial land use
classification;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Ukiah finds as follows:
1. The EIR for the Costco Project was prepared and made available for public review and
comment in full compliance with the procedures set forth in CEQA and the CEQA Guidelines.
2. The revised EIR with the Energy Analysis was considered by the Planning Commission at a
public meeting on May 24, 2017 and the Planning Commission voted 4-1 to recommend that
the City Council certify the revised FEIR for the Costco Project, which was considered by the
City Council at a public meeting on June 7, 2017.
3. The City Council has considered all documents submitted during the public comment period
for the revised EIR with the Energy Analysis and all testimony presented during its meetings
as well as the revised FEIR, the Staff Reports, dated February 13, 2017 to March 29, 2017,
the Costco Warehouse and Fueling Station project files, and the minutes or recording of the
May 24, 2017 Planning Commission meeting. The Staff Reports are incorporated herein by
reference. The City Council has independently reviewed and analyzed this resolution and the
revised FEIR for the Costco Project and they accurately reflect the Council’s independent
judgment and analysis.
4. The findings in Exhibit A (Resolution No. 2013-34) are incorporated herein by reference as
though set forth in full.
5. The findings in Exhibit B (Resolution No. 2013-35) are incorporated herein by reference as
though set forth in full.
3
6. The Statement of Overriding Considerations as set forth in Exhibit B are incorporated herein
by reference as though set forth in full.
7. Based on the Energy Analysis in Section 3.15.4 of the revised FEIR and the mitigations
described in Section 3.15.5, the Costco Project will not have a significant adverse
environmental impact. The Project would have a significant adverse impact on the environment
from its use of energy, if the energy use by the Project would (1) result in wasteful, inefficient,
or unnecessary consumption of energy, (2) conflict with existing energy standards and
regulations, or (3) adversely affect local and regional energy resources or require additional
capacity.
8. The City Council finds that energy use by the Costco Project will not have any of the significant
adverse environmental impacts described in No. 7, above.
9. The Costco Project will not result in the inefficient, unnecessary, or wasteful consumption
of energy per Public Resources Code Section 21100(b)(3):
a. Operational Energy Use: Site and Structures
i. Energy Use During Construction:
1. The building system uses pre-engineered, metal components. The
metal building system contains 80% recycled content and is itself
100% recyclable. This results in the consumption of less fossil fuels
during transportation, as compared to conventional masonry, due to
the need for less material for the project.
2. Locally extracted and manufactured building materials will be
utilized where feasible. Pre-manufactured building components,
including structural framing and metal panels, are designed to
minimize waste during construction.
ii. Operational Energy Usage: Site and Structures
1. The Project building and site design contain the following energy
conserving features that the City Council finds will avoid inefficient,
unnecessary, or wasteful consumption of energy:
a. Parking lot light standards are designed to provide even light
distribution and use 20% less energy compared to a greater
number of fixtures at lower heights.
b. Pre-manufactured building components, including structural
framing and metal panels, are designed to minimize waste
during construction. Pre-manufactured metal wall panels
with insulation are designed to conserve energy by
increasing R-value and solar reflectivity. Building heat
absorption is reduced by a decrease in the thermal mass of
4
the metal wall when compared to a typical masonry block
wall.
c. Pre-manufactured building components, including structural
framing and metal panels, are designed to minimize waste
during construction. Pre-manufactured metal wall panels
with insulation are designed to conserve energy by
increasing R-value and solar reflectivity. Building heat
absorption is reduced by a decrease in the thermal mass of
the metal wall when compared to a typical masonry block
wall.
d. Reflective roof material will meet the requirements for the
USEPA’s Energy Star energy efficiency program. Reflective
roofs produce lower heat absorption and thereby lower
energy usage during the summer months.
e. Triple glazed skylights are used on the roof to reduce the
need for interior lighting. A “daylight harvesting” system
monitors and adjusts the mechanical and lighting systems in
order to conserve energy. The system includes the skylights,
light monitors, energy efficient lighting fixtures, and
associated control systems. On a typical sunny day, fewer
than one third of the interior lights are needed.
f. Tree plantings are planned to reduce summer heat gain
within the parking field.
g. Proposed planting incorporates a substantial amount of
drought tolerant species.
h. The proposed irrigation system incorporates the use of deep
root watering bubblers for parking lot shade trees to
minimize water usage and ensure that water goes directly to
the intended planting areas.
iii. Ongoing Energy and Water Use:
a. The Project’s energy performance would be 12% more
efficient than the Title 24 performance standards.
b. Project includes high efficiency restroom water fixtures,
which result in a water savings of 40% beyond the building
standard.
c. The Project incorporates drought resistant landscaping and
water-efficient irrigation reduced demand for water.
5
b. Operational Energy Use: Transportation
i. Mitigation Measures addressed in the FEIR sections 3.2.2b, 3.10.2a,
3.10.2b, and 3.10.2c. result in an estimated 8.97% savings in transportation
energy, which does not include the likely energy savings from current
Costco customers in the market area of the Project not driving to the
Costco store in Sonoma County.
10. The Project will not conflict with energy standards and regulations.
a. The proposed warehouse building will not exceed applicable state standards,
because it will be 12% more efficient than the Title 24 performance standards.
11. The Project will not have an adverse impact on local and regional energy resources
and will not require additional energy production capacity.
a. The City of Ukiah has adequate capacity to serve the project from existing
distribution facilities.
b. The City of Ukiah derives 49% of its electrical energy from renewable energy
sources such as small hydroelectric energy and geothermal energy. It derives
another 25% of its electrical energy from large hydroelectric generating facilities.
c. Onsite renewable energy could come from solar energy panels. The project
includes pre-wiring and an engineered roof to accommodate solar panels, which
Costco will evaluate after the warehouse store is in operation based on cost of the
solar system, tax incentives, the quantity of solar energy producible, and the cost
of energy from Ukiah’s Electric Utility.
Adopted on June 7, 2017, by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
_____________________________
Jim O. Brown, Mayor
ATTEST:
______________________________
Kristine Lawler, City Clerk
Attachment #2
1
ORDINANCE NO. _______
ORDINANCE OF THE CITY COUNCIL OF THE CITY OF UKIAH AMENDING THE AIRPORT
INDUSTRIAL PARK PLANNED DEVELOPMENT
The City Council of the City of Ukiah hereby ordains as follows:
Section One
The purpose of this amendment to the Airport Industrial Park (AIP) Planned Development
Ordinance No, 1146, adopted on January 15, 2014, as revised by Ordinance No. 1173, adopted
as an urgency ordinance on November 16, 2016, is to change the land use designation for 4.1
acres in the AIP from the Industrial/Automotive Commercial land use designation and 11.2
acres from the light Manufacturing/Mixed Use land use designation, totaling approximately 15.3
acres, to the Retail Commercial land use designation.
Section Two
The overall purpose of the Airport Industrial Park Planned Development is to provide for a
coordinated development of compatible industrial, office, and commercial land uses, and to
protect and preserve the pond and wetland area within the AIP. It details both allowed and
permitted uses within each land use category, regulates nuisances, and provides development
standards and design guidelines. The AIP Planned Development is consistent with the "Master
Plan" land use designation for the property contained in the Ukiah General Plan.
Section Three
This ordinance also formally amends the Land Use Map (Exhibit “A”) that illustrates which land
use designations are assigned to the various properties throughout the Airport Industrial Park.
The map shows 4.1 acres in the AIP formerly designated by Ordinance No. 1173 as an
Industrial/Automotive Commercial land use designation and 11.2 acres formerly designated as a
light Manufacturing/Mixed Use land use designation as a Retail Commercial land use
designation. The land use designations apply to the 138-acre Airport Industrial Park in the
following manner:
1. Professional Office: Applies to the northwest portion of the site, bounded by Talmage
Road on the north, Airport Park Boulevard on the east, and Commerce Drive on the south
(approximately 12.6 acres).
2. Highway Commercial: Applies only to the northeastern portion of the site, bounded by
Talmage Road to the north, Airport Park Boulevard to the west, Highway 101 to the east,
and the existing large commercial retail store property to the south (approximately 1.4
acres).
3. Retail Commercial: Applies to 13.44 acres north of Commerce Drive, and approximately
38.71 acres south of Commerce Drive, bounded by Airport Park Boulevard on the west, and
Highway 101 on the east (approximately 52.3 acres).
4. Industrial: Applies to the property situated at the southern end of the Airport Industrial Park
(approximately 18.3 acres).
5. Industrial/Automotive Commercial: Applies to approximately 3.9 acres east of Airport
Park Boulevard between Retail Commercial designated lands located on the north and
south ends of the Airport Industrial Park Planned Development. These approximately 3.9
acres include APNs 180-080-56, 180-080-60, 180-080-61.
Attachment #2
2
6. Light Manufacturing/Mixed-Use: Applies to the lands west of Airport Park Boulevard
south of Commerce Drive. Includes the (2) acres adjacent to and north of the existing
Mendocino Brewing Company parcel, and the approximate one (1) acre west of and
adjacent to the existing pond. It also includes the approximate 3.27 acres east of Airport
Park Boulevard south of the Retail Commercial designated lands and north of the existing
pond (approximately 32.8 acres).
7. Open Space: Applies to the +/- 2.47 acres of pond and wetlands east of Airport Park
Boulevard in the southern portion of the Park.
8. Roads and landscaping: Approximately 14.2 acres.
9. Total Acreage AIP: Approximately 138 acres.
Section Six
The Airport Industrial Park Planned Development was originally approved by City Council
Resolution No. 81-59 on March 4, 1981, embodied in Use Permit No. 81-39. It was amended
and further articulated in 1991 when the City Council adopted Resolution No. 91-4. In 1992, the
City Council adopted a revised Ordinance (929) to allow "General Commercial" in addition to the
approved "Highway Oriented Commercial" land uses in the area bounded by Talmage Road on
the north, Highway 101 on the east, Commerce Drive on the south, and Airport Park Boulevard
on the west. This Ordinance also created the Planned Development Ordinance out of what was
previously a Use Permit. On June 19, 1996, the City Council adopted Ordinance 964, which
amended the AIP Planned Development to make it a more organized and useable set of
regulations. On October 30, 1996, the Planned Development was amended again by the
adoption of Ordinance 964, which created an Industrial/Automotive Commercial Land Use
Designation for the 16 acres directly south of the home improvement center/hardware store
facility east of Airport Park Boulevard. On April 2, 1997, the Planned Development was
amended by the adoption of Ordinance 991, which permitted drive-thru restaurants on the lands
designated as Highway Commercial. On November 3, 1999, the Ordinance was amended by
Ordinance 1024 to designate the 32 acres south of Hastings Avenue and west of Airport Park
Boulevard as Industrial/Mixed-Use. On September 6, 2000, the Ordinance was revised by
Ordinance 1030 to list hotels and sit-down restaurants as “allowed” uses in the Professional
Office Land Use Designation. On January 7, 2004, the Ordinance was amended by Ordinance
1051 to change the “Industrial Mixed Use” designation to “Light Manufacturing/Mixed Use,” and
to establish new standards for commercial, professional office, light manufacturing, and low
density residential land uses in the Light Manufacturing/Mixed-Use area that are separate from
those contained in Section “G” of this Ordinance. On August 1, 2007, the Ordinance was
amended by Ordinance 1098 to change the land use designation on approximately 14.5 acres
of land in the southern portion of the Airport Industrial Park Planned Development east of Airport
Park Boulevard. Ordinance 1098 changed the land use designation of approximately 8 acres of
land designated Industrial/Automotive Commercial to Light Manufacturing/Mixed Use, and
changed the land use designation of approximately 6.5 acres designated Industrial to Light
Manufacturing/Mixed Use. Ordinance 1146 adopted on January 15, 2014 changed the land
use Designation on: 1) approximately 4.1 acres that was designated Industrial/Automotive
Commercial to Retail Commercial; and 2) on approximately 11.2 acres of Light
Manufacturing/Mixed Use to Retail Commercial in order to allow the development of the Costco
Warehouse and Fueling Station Project. The change in the land use designations increased
the amount of land designated Retail Commercial by +/- 15.3 acres and decreased the amount
of land designated Industrial/Auto Commercial by +/- 4.1 acre. It also decreased the amount of
land designated Light Manufacturing/Mixed Use +/- 11.2 by acres respectively. These latter
designations were rescinded on November 16, 2016, by Ordinance No. 1173 to comply with the
writ of mandate issued in Citizens for Safety First v. City of Ukiah. By the adoption of this
Ordinance those land use designations are restored to the Retail Commercial land use
designation.
Attachment #2
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Section Seven
Airport Industrial Park Planned Development, as amended herein, provides a mixture of
industrial, commercial, low density residential, office, and open space land uses within a
Planned Development (PD), consistent with the City of Ukiah General Plan Master Plan land
use designation.
Section Eight
The Development Map (Generalized Land Use Map) for this Planned Development, as well as
the design guidelines and development standards constitute the Concept Development Plan, as
required by Article 14, Chapter 2 (Zoning) of the Ukiah Municipal Code. The Development Map
(Generalized Land Use Map) attached as Exhibit "A", is approved. The Traffic Circulation Plan
for this Planned Development is discussed in Section "I" on page 24, and the Circulation Map,
attached as Exhibit "B", is approved.
Section Nine
Development standards not addressed in the Planned Development regulations shall be those
specified in the City of Ukiah Zoning Code.
Section Ten
Amendment to this ordinance requires City Council action. All Major Variance, Use and Site
Development Permits for proposed developments within the Airport Industrial Park require City
Planning Commission review and action. Minor permits are subject to the review and action by
the City Zoning Administrator. Decisions on Major and Minor Variance, Site Development and
Use Permits made by the City Planning Commission or Zoning Administrator are appealable to
the City Council pursuant to section 9266 of the Ukiah Municipal Code.
Section Eleven
Some small commercial land uses may be permitted on the Industrial designated land if they
are primarily intended to provide commercial type services to employees within the Airport
Industrial Park.
Section Twelve
This version of the Airport Industrial Park (AIP) Planned Development supersedes all past
versions, and shall govern and regulate the growth and development within the AIP.
Section Thirteen
The regulations for this Planned Development, as required in Article 14, Chapter 2 (Zoning), of
the Ukiah Municipal Code are as follows:
A. INDUSTRIAL DESIGNATION
1. Allowed Uses
The following industrial uses are allowed in the Industrial designation with the securing of a
Site Development Permit.
a. Manufacturing - activities or operations involving the processing, assembling,
blending, packaging, compounding, or fabrication of previously prepared materials or
substances into new products.
b. Warehouse and Distribution Activities - includes warehousing, and storage not
available to the general public; warehousing and distribution activities associated
with manufacturing, wholesaling, or non-retail business uses; delivery and transfer
services; freight forwarding; moving and storage; distribution terminals for the
assembly and breakdown of freight; or other similar use involving shipping,
warehousing, and distribution activities.
Attachment #2
4
c. Wholesaling and Related Uses - includes establishments engaged in wholesale
trade or warehousing activities including maintaining inventories of goods;
assembling, sorting, and grading goods into large lots; breaking bulk and
redistribution in smaller lots; selling merchandise to retailers, industrial, commercial,
institutional, or business users, or other wholesalers.
d. Contractor's Offices - includes business office for building, plumbing, electrical,
roofing, heating, air conditioning, and painting contractors including storage of
incidental equipment and supplies.
e. Agricultural - allowed as a continuation of the existing land use, including all
necessary structures and appurtenances.
f. Research and Development Laboratories, and computer and data processing.
g. Accessory Uses and Structures - activities such as administrative offices and
warehouses which are related and ancillary to an allowed use. Ancillary structures
containing ancillary uses shall be located on the same parcel as the primary
use/structure, and shall not exceed 25% of the gross floor area of structure(s)
containing the primary use.
2. Permitted Uses
The following small commercial, business support, and repair service land uses may be
permitted in the Industrial land use designation with the securing of a Use Permit,
provided they are situated on a parcel no larger than one-half acre in size, and do not
exceed 20 percent of the total land dedicated to the Industrial Land Use Designation:
a. Delicatessen, sandwich shop, or small sit-down restaurant (no drive-thru restaurants
shall be permitted).
b. Small grocery or convenience store.
c. Banking facility.
d. Child day-care facility.
e. Industrial and business support services - establishments primarily engaged in
providing services to business and industry, such as blueprinting and photocopying,
janitorial and building maintenance, equipment rental and leasing, medical labs,
commercial testing laboratories and answering services.
f. Public Facilities - includes all public and quasi-public facilities such as utility
substations, post offices, fire stations, and government offices.
g. Repair Services - includes repair services such as radio and television, furniture,
automotive repair, body and fender shops.
h. Communication Installations - includes radio and television stations, telegraph and
telephone offices, cable T.V., and microwave stations.
B. PROFESSIONAL OFFICE DESIGNATION
1. Purpose
The purpose of the Professional Office Land Use Designation is to provide opportunity
for a variety of business and professional offices, as well as a limited number of highway
commercial land uses. Land uses such as child care facilities, delicatessens, and small
Attachment #2
5
retail stores and shops are intended to be ancillary components to professional office
development projects, and the limited highway commercial land uses.
2. General Requirements
a. Child care facilities, delicatessens, and small commercial retail stores and shops
shall not exceed 20 percent of the total developable square footage of any one
parcel. The resulting square footage that comprises this 20 percent shall only be
developed with individual store/shop spaces that do not exceed 2,000 square feet in
size.
3. Allowed Uses
The following uses are allowed in the Professional Office designation with the securing
of a Site Development Permit:
a. Professional and business offices such as accountants, engineers, architects,
landscape architects, surveyors, attorneys, advertising, consultants, bookkeeping,
medical and dental offices, and other similar activities.
b. Business and office support services - includes services such as branch banks,
savings and loan, credit unions, insurance brokers, real estate sales, blueprinting
and photocopying and answering services.
c. Child day-care facility.
d. Retail commercial in the built-out northwest portion of this area outside the
boundaries of the Redwood Business Park.
e. Hotels and sit-down restaurants (no drive-thru restaurants).
4. Permitted Uses
The following uses are permitted in the Professional Office Designation with the securing
of a Use Permit:
a. Delicatessen and sandwich shop.
b. Small grocery or convenience store.
c. Small retail commercial stores and shops of 2,000 square feet or less, and in
combination not exceeding 20 percent of the total developable square footage on a
parcel.
C. HIGHWAY COMMERCIAL DESIGNATION
1. Allowed Uses
The following uses are allowed in the Highway Commercial designation with the
securing of a Site Development Permit:
a. Businesses such as motels, sit-down and drive-thru restaurants, service stations,
and other similar uses that provide services and merchandise primarily to highway
travelers.
b. Retail commercial stores.
D. RETAIL COMMERCIAL DESIGNATION
1. Allowed Uses
Attachment #2
6
The following uses are allowed in the Retail Commercial designation with the securing of
a Site Development Permit:
a. Retail commercial stores.
b. Child day-care facility.
c. Delicatessen, sandwich shop, and ice cream parlor.
2. Permitted Uses
The following uses are permitted in the Retail Commercial designation with the securing
of a Use Permit:
a. Restaurants (no drive-thru restaurants).
b. Small grocery or convenience store.
c. Banking facility.
E. INDUSTRIAL/AUTOMOTIVE COMMERCIAL DESIGNATION
1. Allowed Uses
The following uses are allowed in the Industrial/Automotive Commercial Land Use
Designation with the securing of a Site Development Permit:
a. All the allowed industrial uses listed in Item A (1) above.
b. Automobile dealerships, except for those that exclusively sell used vehicles.
2. Permitted Uses
The following uses are allowed in the Industrial/Automotive Commercial Land Use
Designation with the securing of a Use Permit:
a. All the permitted industrial land uses listed in Item A (2) above.
b. Delicatessen, sandwich shop, or small sit-down restaurant (no drive-thru
restaurants).
c. Automotive service (gas) station.
d. Small grocery store, mini-market, or convenience store.
e. Uses related to automobile dealerships such as tire stores, autoparts stores, car-
washing facilities, automobile repair business, etc.
F. LIGHT MANUFACTURING/MIXED-USE DESIGNATION
1. Purpose and Intent
The purpose of the Light Manufacturing / Mixed-Use land use designation is to provide
for a compatible mix of light manufacturing activities, commercial land uses, professional
offices, and limited low-density residential uses. The intent is to provide an opportunity
for a diversity of land uses to locate near each other that would typically be viewed as
incompatible, but because of creative site planning and design, they can function in
harmony without adversely impacting one another. For example, the Ordinance permits
“live-work” land uses where small dwelling units can be incorporated into low intensity
Attachment #2
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light manufacturing or warehousing operations. There is also opportunity for low-density
apartments to be situated above commercial shops and professional offices.
The purpose of the Light Manufacturing / Mixed-Use designation is also to promote
Smart Growth and New Urbanism planning techniques. The Ordinance contains design
standards that will lead to the development of office, light manufacturing, commercial,
and residential uses in a pedestrian oriented, aesthetically pleasing, mixed-use
neighborhood.
The Ordinance requires light manufacturing land uses, if proposed, to be situated along
the railroad tracks on the rear of the parcels, and to develop other land uses along the
front of the parcels on Airport Park Boulevard, except for the parcels east of Airport Park
Boulevard where light manufacturing land uses can occur anywhere on the parcels with
the required yard setbacks. The majority of parking facilities are required to be situated
in-between the light manufacturing and commercial land uses in the middle of the
parcels, rather than along the Airport Park Boulevard frontage.
The land uses along Airport Park Boulevard are held to a higher design and site
planning standard than the light manufacturing land uses, because it is situated in the
more visible location, and because light manufacturing land uses are highly desired and
a lesser design standard provides an inherent incentive.
It is possible to develop full light manufacturing, office, or commercial land uses on a
parcel, provided they are laid out and designed to be compatible with surrounding land
uses. Professional office and commercial land uses, if proposed as stand along
developments must adhere to a high site planning and design standard.
The regulations are intended to create a compatible mix of land uses with ample
landscaping and strategic open areas, pedestrian walkways, and attractive architecture
in an inviting scale, with hidden parking and practical functionality.
2. General Requirements
a. Light manufacturing and warehousing land uses should be located along the railroad
tracks on the western portion of the current parcels or anywhere on the designated
parcels east of Airport Park Boulevard with the required yard setbacks. Light
manufacturing and warehousing can be situated along Airport Park Boulevard if it
conforms to the site planning and design standards for commercial development.
b. The majority of parking spaces for mixed-use development shall be located in-
between the light manufacturing/warehousing land uses and the land uses along
Airport Park Boulevard. Every attempt shall be made to create parking that cannot
be seen from public streets.
c. Shared access is strongly encouraged between land uses on the same and adjacent
parcels to reduce encroachments onto Airport Park Boulevard.
d. Street trees and a meandering sidewalk are required along Airport Park Boulevard.
e. The architectural facades for buildings situated along and facing Airport Park
Boulevard shall be consistent with Section 5(f) of this Subsection, and shall be
designed to soften height, bulk, and mass.
f. The orientation, height, and design of buildings, as well as the theme for property
development shall be based on creating compatibility between land uses.
g. There is opportunity for low density residential land uses such as apartment units
Attachment #2
8
above offices or commercial spaces, but densities are limited west of Airport Park
Boulevard because of airport constraints to a total of 60 people per acre on a given
parcel.
3. Permitted Land Uses
a. Notwithstanding Subsection “K”, all light manufacturing, commercial, professional
office, low density residential, and mixed-use projects require the securing of a Use
Permit from the City Planning Commission. The Use Permit process shall include an
analysis of site planning and architecture, pursuant to Section 9262 of the Ukiah
Municipal Code.
4. Required Findings
a. Prior to approving a Use Permit for a project situated on land in the Mixed-Use
designation, the Planning Commission and/or the City Council shall make the
following findings:
1. The proposed land use is consistent with the goals and policies of the Ukiah
General Plan, the provisions of the Airport Industrial Park Planned Development
Ordinance, the Ukiah Municipal Code, and the Ukiah Airport Master Plan.
2. The proposed land use is compatible with surrounding land uses and will not be
detrimental to the public’s health, safety and general welfare.
3. There is sufficient variety, creativity, and articulation to the architecture and
design of the structure(s) to avoid monotony and/or a box-like uninteresting
external appearance.
4. For all land uses other than light manufacturing, there is uniqueness and an
exemplary approach to the site planning, design, and architecture, consistent
with the Site Planning and Design Standards contained herein, that results in a
quality and sophisticated development.
5. The Findings shall not be vague. The findings shall be sufficiently detailed to
apprise a reviewing court of the basis for the action by bridging the gap between
the evidence and the decision-maker’s conclusions, and shall be based upon
evidence contained in the administrative record.
5. Site Planning and Design Standards - Commercial Development
The following site planning and design standards are specifically adopted for the Light
Manufacturing/Mixed-Use Land Use Designation. They shall apply to all commercial,
professional office, low-density residential, and mixed-use development projects not
involving light manufacturing/ warehousing unless it is situated along the Airport Park
Boulevard street frontage. The Development Standards contained in Section “G” and
the Design Standards in Section “I” of this Ordinance shall apply to the Light
Manufacturing/Mixed Use designation unless superseded by the following specific
standards:
a. Yard Setbacks:
1. Front: 25 feet from the Airport Park Boulevard right-of-way.
Architectural features, such as bay windows, porches and landing spaces,
column treatments, and similar features may extend up to two-feet into the
required front yard setback.
2. Side and Rear: The side and rear yard setbacks shall be determined in the
discretionary review process. Factors that shall be considered include, but are
Attachment #2
9
not limited to Building Code requirements, traffic circulation, landscaping
requirements, softening of the bulk and mass of structures, and compatibility with
adjacent structures and land uses.
3. Relief: Relief from the front yard setback requirements may be granted through
the approval of a variance, pursuant to Chapter 2, Article 20 of the Ukiah
Municipal Code.
b. Maximum Building Height:
1. The maximum height of any building or structure shall be 40 feet, provided it
complies with the side-slope criteria for the Ukiah Airport.
2. Mechanical penthouse and equipment may extend an additional 10 feet beyond
the maximum height provided it is adequately screened from view.
3. Relief: Relief from the height standards may be granted through the
discretionary review process if a finding is made that the proposed height is
compatible with the scale and character of the development on adjacent and
nearby parcels and would not have an adverse impact on the health and safety
of the general public.
c. Minimum Lot Area:
1. The minimum lot area for parcels in the mixed-use area shall be determined
through the subdivision and/or discretionary review process. In no case shall lots
be created that are less than 20,000 square feet in size.
d. Maximum Lot Coverage:
1. Commercial and mixed land uses may cover up to 40 percent of a lot provided
that the site planning, architecture, parking, and landscaping are consistent with
the requirements of the AIP Planned Development Ordinance.
2. Relief: Relief from the lot coverage standard may be granted through the
discretionary review process provided a finding is made that the proposed lot
coverage is compatible with the scale and character of the development on
adjacent and nearby parcels and would not have an adverse impact on the
health and safety of the general public.
e. Building Orientation:
1. Buildings shall be shaped and oriented to take advantage of passive solar energy
and solar collection in the winter, and to control solar cooling loads in the
summer.
2. Buildings shall be shaped and oriented to be compatible with surrounding land
uses in terms of noise, visual privacy, and functionality.
f. Architectural Design:
1. Buildings shall incorporate projecting columns, exterior wainscoting, framed
panels, and/or other features to provide relief to large open blank walls.
2. Architectural features such as arches, raised and decorative parapets, decorated
and flared cornices, extended eaves and overhangs, balconies, entry insets, and
a variety of roof angles and pitches are required to make buildings unique and
interesting.
Attachment #2
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3. Windows shall be used to break up the mass and volume of buildings into
smaller components. Buildings shall use different shaped and framed windows
in a coordinated theme. Awnings and other attractive window treatments are
strongly encouraged.
4. All four elevations of buildings shall incorporate the architectural design
requirements listed above in a reasonable and feasible manner.
5. The use of strong or loud colors as the dominant building color shall not be
permitted. The dominant colors used on buildings shall be subdued and earth
tone in nature. Colors of buildings shall be compatible with adjoining buildings.
6. Storage areas, loading docks and ramps, transformers, storage tanks, refuse
collection areas, mechanical equipment, and other appurtenant items of poor
visual quality shall be screened by the use of masonry walls, landscaping
materials, or decorative fencing. All roof mounted electrical and mechanical
equipment and/or ductwork shall be screened from view by an enclosure which is
consistent with the building design. Fences exceeding six (6) feet in height may
be appropriate for some commercial and industrial uses to screen the outdoor
storage of building materials, supplies, construction equipment, etc. The
Planning Commission may consider fences exceeding six (6) on a case-by-case
basis during the review of Site Development and Use Permit applications.
g. Signs:
1. The colors, materials, and lighting of every sign on a site shall be restrained and
harmonious with the building and site.
2. Freestanding signs shall be tastefully designed with an interesting base, and
shall not exceed twelve feet in height from finished grade. If a freestanding sign
is placed on a berm, the Planning Commission shall have the discretion to limit
its height to less than twelve feet from finished grade. No pole signs are
permitted. Freestanding signs shall have a decorative support base.
3. The size and amount of signs shall generally comply with the requirements of the
Ukiah Municipal Code (UMC). The Planning Commission shall have the
discretion to reduce the size and amount of signs to something less than
permitted by the U.M.C. if they make a finding that the proposed size and amount
of signage is out of scale with the building and too dominating on the site.
4. Signs are not permitted on the roof or projecting above the roof of any building.
5. Relief: Relief from the sign standards may be granted through the discretionary
review process provided a finding is made that the proposed sign is compatible
with the scale and character of the development on adjacent and nearby parcels
and would not have an adverse impact on the health and safety of the general
public.
h. Pedestrian Orientation:
1. Pedestrian walkways shall be included that directly and safely link all parking
areas with building entrances, off-site transportation facilities, established
sidewalks, and adjacent public rights-of-way.
2. Outdoor pedestrian spaces shall be landscaped and include such features as
planters along sidewalks, pedestrian oriented signs, attractive street furniture,
low-level lighting, and outdoor seating areas.
Attachment #2
11
3. Lots with frontages along the primary street shall provide a 5-foot wide
meandering sidewalk located within the required front setback. The sidewalk may
be located over the public utility easement. Every effort shall be made to link
developments with attractive and accessible pedestrian facilities.
4. Secondary streets accessing the rear portion of parcels shall include 5-foot wide
sidewalks or alternative pedestrian facilities that link the development on the rear
portion of the parcels with Airport Park Boulevard.
i. Lighting:
1. Exterior lighting shall be subdued and of low wattage. It shall enhance building
design and landscaping, as well as provide safety and security.
2. Exterior lighting shall not spill out and create glare on adjoining properties, and
shall not be directed towards the night sky.
3. Light standard heights shall be predicated on the lighting need of the particular
location and use. Tall lighting fixtures that illuminate large areas shall be
prohibited.
4. Lighting fixtures, standards, and all exposed accessories shall be harmonious
with building design, and innovative in style.
5. All pedestrian and building access areas shall be adequately lighted to provide
safety, security, and aesthetic quality, without violating number 2 above.
j. Energy Conservation:
1. Passive solar orientation is required. Active solar design is strongly encouraged.
2. Deciduous trees and/or other vegetation shall be planted on the south side of
buildings whenever feasible to increase energy efficiency.
3. Sunlight shall be used for direct heating and illumination whenever possible.
4. Solar heating equipment need not be screened, but shall be as unobtrusive as
possible and complement the building design. Every effort shall be made to
integrate solar panels into the roof design, flush with the roof slope.
k. Outdoor Storage and Service Areas:
1. Storage areas shall be limited to the rear of a site, and shall be screened from
public view with a solid fence or wall using concrete, wood, stone, brick, or other
similar material.
2. All outdoor storage areas and enclosures shall be screened, when possible, with
landscaping.
3. If trash and recycling areas are required in the discretionary review process, they
shall be designed to harmonize with the building and landscaping, and shall be
consistent with the size and design requirements of the Ukiah Municipal Code.
l. Landscaping:
1. Landscaping shall comply with Section “I” of this Ordinance.
2. Landscaping Plans shall include outdoor shaded sitting/resting areas for
Attachment #2
12
employees and the general public, unless infeasible.
m. Ukiah Airport Master Plan:
1. All development within the Airport Industrial Park shall comply with the Federal
Aviation Administration side slope criteria, density requirements (B1"
Compatibility Zone = 60 persons per acre / C Compatibility Zone = 150
people per acre) and all other applicable provisions of the Ukiah Airport Master
Plan.
n. Public Utility Easements, Public Streets, and Access Driveways:
1. All Public Utility Easements, Public Streets, and Access Driveways shall comply
with Section “H” of this Ordinance.
6. Site Planning and Design Standards for Light Manufacturing and Industrial
Development
The Site Planning and Design Standards for Light Manufacturing and Industrial
development are less demanding than those for commercial, professional office and
mixed-use development. The lesser design standards are meant to encourage and
promote light manufacturing and industrial development, particularly along the western
portion of the parcels. The Following Site Planning and Design Standards shall apply to
all Light Manufacturing and Industrial Development:
a. Yard Setbacks:
1. Front: 25 feet from the Airport Park Boulevard right-of-way if located along the
frontage. If the development does not have frontage along Airport Park
Boulevard, and is served by a private access easement, the front yard setback
shall be determined in the discretionary review process. Architectural features,
such as bay windows, porches and landing spaces, column treatments, and
similar features may extend up to two-feet into the required front yard setback.
2. Side and Rear: The side and rear yard setbacks shall be determined in the
discretionary review process. Factors that shall be considered include, but are
not limited, to Building Code requirements, traffic circulation, landscaping
requirements, softening of the bulk and mass of structures, and compatibility with
adjacent structures and land uses.
3. Relief: Relief from the front yard setback requirements may be granted through
the approval of a variance.
b. Maximum Building Height:
1. The maximum height of any building or structure shall be 50 feet, provided it
complies with the side-slope criteria for the Ukiah Airport.
2. Mechanical penthouse and equipment may extend an additional 10 feet beyond
the maximum height provided it is adequately screened from view.
3. Relief: Relief from the height standards may be granted through the
discretionary review process if a finding is made that the proposed height is
compatible with the scale and character of the development on adjacent and
nearby parcels and would not have an adverse impact on the health and safety
of the general public.
c. Minimum Lot Area:
1. The minimum lot area for light manufacturing and industrial development parcels
Attachment #2
13
in the mixed-use area shall be determined through the subdivision and/or
discretionary review process. In no case shall lots be created that are less than
20,000 square feet in size.
d. Maximum Lot Coverage:
1. Light manufacturing and industrial land uses may cover up to 60 percent of a lot
provided that the site planning, architecture, parking, and landscaping are
consistent with the requirements of the AIP Planned Development Ordinance.
2. Relief: Relief from the lot coverage standard may be granted through the
discretionary review process provided a finding is made that the proposed lot
coverage is compatible with the scale and character of the development on
adjacent and nearby parcels and would not have an adverse impact on the
health and safety of the general public.
e. Building Orientation:
1. Buildings shall be shaped and oriented to take advantage of passive solar energy
and solar collection in the winter, and to control solar cooling loads in the
summer.
2. Buildings shall be shaped and oriented to be compatible with surrounding land
uses in terms of noise, visual privacy, and functionality.
f. Architectural Design:
1. Buildings shall incorporate projecting columns, exterior wainscoting, framed
panels, and/or other features to provide relief to large open blank walls.
2. The use of strong or loud colors as the dominant building color shall not be
permitted. The dominant colors used on buildings shall be subdued and earth
tone in nature. Colors of buildings shall be compatible with adjoining buildings.
g. Signs:
1. The colors, materials, and lighting of every sign on a site shall be restrained and
harmonious with the building and site.
2. Freestanding signs shall be tastefully designed with an interesting base, and
shall not exceed eight feet in height from finished grade. If a freestanding sign is
placed on a berm, the Planning Commission shall have the discretion to limit its
height to less than eight feet from finished grade. No pole signs are permitted.
3. The size and amount of signs shall comply with the requirements of the Ukiah
Municipal Code (UMC). The Planning Commission shall have the discretion to
reduce the size and amount of signs to something less than permitted by the
U.M.C. if they make a finding that the proposed size and amount of signage is
out of scale with the building and too dominating on the site.
4. Signs are not permitted on the roof of any building.
5. Relief: Relief from the sign standards may be granted through the discretionary
review process provided a finding is made that the proposed sign is compatible
with the scale and character of the development on adjacent and nearby parcels
and would not have an adverse impact on the health and safety of the general
public.
i. Lighting:
1. Exterior lighting shall be subdued. It shall enhance building design and
Attachment #2
14
landscaping, as well as provide safety and security.
2. Exterior lighting shall not spill out and create glare on adjoining properties, and
shall not be directed towards the night sky.
3. Light standard heights shall be predicated on the lighting need of the particular
location and use. Tall lighting fixtures that illuminate large areas shall be
prohibited.
k. Outdoor Storage and Service Areas:
1. Storage areas shall be limited to the rear of a site, and shall be screened from
public view with a solid fence or wall using concrete, wood, stone, brick, or other
similar material.
2. All outdoor storage areas and enclosures shall be screened, when possible, with
landscaping.
l. Landscaping:
1. Landscaping shall generally comply with Section “I” of this Ordinance, although a
lesser amount of landscaping may be approved depending upon the scale,
intensity, and visibility of the development.
m. Ukiah Airport Master Plan:
1. All development within the Airport Industrial Park shall comply with the Ukiah
Municipal Airport Master Plan.
n. Pedestrian Orientation:
1. Pedestrian walkways shall be included that directly link all parking areas with
building entrances, off-site transportation facilities, established sidewalks, and
adjacent public rights-of-way.
2. Lots with frontages along the primary streets shall provide a 5-foot wide
meandering sidewalk located within the required front setback. The sidewalk may
be located over the public utility easement. Every effort shall be made to link
developments with attractive and accessible pedestrian facilities.
3. Secondary streets accessing the rear portion of parcels shall include 5-foot wide
sidewalks or alternative pedestrian facilities that link the development on the rear
portion of the parcels with Airport Park Boulevard.
G. OPEN SPACE
1. Purpose
The purpose of the Open Space land use designation is to provide for the protection and
preservation of an existing pond and wetland area and its habitats, to provide contrast to
the built environment, to preserve the existing scenic qualities of the area, and to
preserve capacity and water quality of the storm water drainage system.
2. General Requirements
All areas designated “Open Space” shall be kept in their natural state except for areas
already disturbed with drainage or utility infrastructure, in which case maintenance and
repairs may occur. Otherwise, no development is allowed or permitted.
3. Allowed Uses
The following uses are allowed in the Open Space designation:
a. Open Space
Attachment #2
15
b. Maintenance and repair of existing drainage and utility infrastructure.
c. Restoration of wetlands including, but not limited to removal of non-native vegetation
and the replanting with native wetland plant species.
d. Trash removal
4. Permitted Uses
The following uses are permitted in the Open Space designation with the securing of a
Minor Use Permit:
a. None
5. Minimum Lot Size Requirement
a. None
6. Prohibited Uses
a. Construction and development
b. Public Access
c. Off-Road vehicle activity, except for City vehicles
d. Application of pesticides and/or herbicides
H. NUISANCES
1. No lot shall be used in such a manner as to create a nuisance to adjacent parcels.
Proposed uses shall comply with the performance criteria outlined below:
a. All activities involving the storage of flammable and explosive materials shall be
provided with adequate safety devices against the hazard of fire and explosion by
adequate fire-fighting and fire suppression equipment and devices standard in
industry. All incineration is prohibited.
b. Devices which radiate radio-frequency energy shall be so operated as not to cause
interference with any activity carried on beyond the boundary line of the property
upon which the device is located.
c. The maximum sound level radiated by any use of facility, when measured at the
boundary line of the property upon which the sound is generated, shall not be
obnoxious by reason of its intensity or pitch, as determined by standards prescribed
in the Ukiah Municipal Code and/or City General Plan.
d. No vibration shall be permitted so as to cause a noticeable tremor beyond the
property line.
e. Any use producing emissions shall comply with all the requirements of the
Mendocino County Air Quality Management District.
f. Projects involving the use of toxic materials or hazardous substances shall comply
with all Federal, State, and all local Laws and regulations.
2. Prohibited Uses or Operations
Industrial uses such as petroleum bulk stations, cement batching plants, pulp and paper
mills, lumber mills, refineries, smelting plants, rendering plants, junk yards, auto
wrecking, and similar "heavy industrial" uses which typically create external and
environmental effects are specifically prohibited due to the detrimental effect the use
Attachment #2
16
may have upon the general appearance, function, and environmental quality of nearby
uses.
I. DEVELOPMENT STANDARDS
The following standards have been established to ensure compatibility among uses and
consistency in the appearance and character of development. These standards are
intended to guide the planning, design, and development of both individual lots and the
entire Airport Industrial Park. Projects shall be reviewed on a case-by-case basis for high
quality design, efficient function, and overall compatibility with surrounding land uses.
1. Minimum Lot Requirement
The minimum lot area shall be 20,000 square feet. Each lot shall have a minimum
frontage of 100 feet on a public street. Except for lots fronting on Airport Park
Boulevard, or other public streets shown on the Land Use Map, access easements to a
public street may be authorized in lieu of public street frontage in the discretion of the
appropriate decision-maker and with the approval of the City Engineer. Proposed
access easements shall be consistent with the standards contained in Table 4-1. The
Planning Commission may approve a public street frontage of less than 100 feet for lots
located on cul-de-sacs, street curves, or having other extraordinary characteristics.
2. Maximum Lot Coverage
No more than 40 percent of the lot shall be covered by buildings or structures. Above
ground parking lots and landscaping areas shall not be included in the calculation of lot
coverage. Industrial land uses may cover a maximum of 60 percent of a lot provided
that the site planning, architecture, parking, and landscaping are consistent with the
requirements of the AIP Planned Development Ordinance.
3. Minimum Building Setbacks
All buildings and structures shall be setback from the property line a minimum of 25 feet
along the entire street frontage. Lots abutting U.S. Highway 101 shall maintain a
minimum setback of 60 feet from the property line adjacent to the freeway. Side yard
setbacks shall be determined in the Site Development or Use Permit review process.
4. Maximum Building Height
The maximum height of any building or structure shall be 50 feet. Mechanical
penthouse and equipment may extend an additional 10 feet beyond the maximum
building height.
5. Ukiah Airport Master Plan
All development within the Airport Industrial Park shall comply with the Federal Aviation
Administration side slope criteria, density requirements (B1" Compatibility Zone = 60
persons per acre / C Compatibility Zone = 150 people per acre) and all other
applicable provisions of the Ukiah Airport Master Plan.
6. Screening
Storage areas, loading docks and ramps, transformers, storage tanks, refuse collection
areas, mechanical equipment, and other appurtenant items of poor visual quality shall be
screened by the use of masonry walls, landscaping materials, or decorative fencing. All
roof mounted electrical and mechanical equipment and/or ductwork shall be screened
from view by an enclosure which is consistent with the building design. Fences
exceeding six (6) feet in height may be appropriate for some commercial and industrial
uses to screen the outdoor storage of building materials, supplies, construction
equipment, etc. The Planning Commission may consider fences exceeding six (6) on a
case-by-case basis during the review of Site Development and Use Permit applications.
Attachment #2
17
7. Public Utility Easement
All lots shall provide a 5-foot easement in the required front setback for the provision of
utilities.
8. Sidewalk Requirements
Lots with frontages along the primary street shall provide a 5-foot curvilinear sidewalk
located within the required front setback. The sidewalk may be located over the public
utility easement. Every effort shall be made to link developments with attractive and
accessible pedestrian facilities.
9. Bicycle Lanes
Class III Bicycle lanes shall be provided on all primary streets according to CalTrans
standards.
10. Development Integration
Every effort shall be made to "master plan" development within the Airport Industrial
Park. Applicants shall be encouraged to coordinate development proposals to ensure
compatible architectural themes, high quality site planning, efficient and functional traffic
circulation, coordinated pedestrian circulation, and compatible land uses.
11. Required Public Streets
Lot line adjustments, parcel maps, tentative and final subdivision maps, and Site
Development and Use Permits shall not be approved, unless public streets identified on
the Land Use Map serving the parcels covered by the lot line adjustment, map or permit
have been or will be dedicated to the City of Ukiah upon approval of the lot line
adjustment, map or permit.
12. Street Width Standards
The following street standards have been established by the Ukiah Department of Public
Works. All primary and secondary streets shall be designed and constructed in
accordance with these standards:
Table 4-1: Minimum Street Standards
Airport Park Boulevard and Commerce Drive
Primary Secondary Access
Easement
1. Right-of-way 66 feet 44 feet 32 feet
2. Pavement 64 feet 40 feet 30 feet
a. travel lanes (2) 14 feet 20 feet 15 feet
b. left turn lane 12 feet 12 feet
3. Curbs (both sides) 1 foot 1 foot
4. Cul-de-sac (turn-arounds) 100 feet diameter
5. Curb Returns Radius 35 feet 35 feet
13. Access Driveways and Deceleration Lanes
a. Every effort shall be made to minimize access driveways along Airport Park
Boulevard. All driveway and intersection radii shall be designed to accommodate
heavy truck turning movements, consistent with the requirements of the City
Engineer.
b. Every effort shall be made to design common driveways for individual developments.
Attachment #2
18
c. No Talmage Road access shall be permitted for the parcel or parcels located at the
southeast corner of Talmage Road and Airport Park Boulevard.
d. All major driveways, as determined by the City Engineer, shall have left turn pockets
in the median area where feasible.
e. Deceleration and acceleration lanes shall not be required unless the City Engineer
determines they are necessary to ensure safety and efficient traffic flow.
14. Minimum Parking and Loading Requirements
a. No loading or unloading shall be permitted on the street in front of the building. A
sufficient number of off-street loading spaces shall be provided to meet the needs of
the approved use. Adequate apron and dock space also shall be provided for truck
maneuvering on individual lots.
b. The number of entrance/exit driveways shall be limited to one per every 100 feet of
street frontage with a maximum curb cut of 40 feet. The Planning Commission may
relax these standards when a comprehensive plan for an entire block has been
prepared and presented to the City Planning Commission for review and approval.
c. Adequate off-street parking shall be provided to accommodate the parking needs of
employees, visitors, and company vehicles. The minimum number of off-street
parking spaces shall generally be provided according to the requirements of the
Ukiah Municipal Code.
d. The Planning Commission may deviate from the parking requirements contained in
the Ukiah Municipal Code on a case-by-case basis. Any deviation must be
supported by findings related to a unique use, such as a Mixed-use development, or
use not specifically described in the Ukiah Municipal Code, and findings that
otherwise demonstrate no on-street parking congestion will result.
15. Signage
Except as indicated elsewhere in this Ordinance, building identification and other signs
shall generally comply with the sign regulations for industrial, commercial and office land
uses contained in the Ukiah Municipal Code. All proposed development projects shall
include a detailed sign program.
J. DESIGN GUIDELINES
The following guidelines shall be used by the Planning Commission when approving a Site
Development or Use Permit to ensure high quality design, and the coordination and
consistency of development.
1. Landscaping and Open Space
a. A comprehensive landscape plan shall be submitted for review and approval as a
part of the Site Development or Use Permit process.
b. Existing trees shall be retained whenever possible.
c. A variety of tree species shall be used that provides diversity in form, texture, and
color.
d. Landscaping at corners should be arranged to maintain traffic visibility.
e. Landscaping along an entire street frontage should be coordinated to achieve a
uniform appearance.
Attachment #2
19
f. Landscaping shall be proportional to the building elevations.
g. Landscape plantings shall be those which grow well in Ukiah's climate without
extensive irrigation. Native species are strongly encouraged.
h. All landscape plantings shall be of sufficient size, health and intensity so that a viable
and mature appearance can be attained in three years.
I. Deciduous trees shall constitute the majority of the trees proposed along the south
and west building exposures; non-deciduous street species shall be restricted to
areas that do not inhibit solar access.
j. Parking lots with twelve (12) or more parking stalls shall have a tree placed between
every four (4) parking stalls within a continuous linear planting strip, rather than
individual planting wells, unless clearly infeasible. Parking lot trees shall primarily be
deciduous species, and shall be designed to provide a tree canopy coverage of 50
percent over all paved areas within ten years of planting. Based upon the design of
the parking lot, a reduced number of trees may be approved through the
discretionary review process.
k. Parking lots shall have a perimeter planting strip with both trees and shrubs.
l. Parking lots with twelve (12) or more parking stalls shall have defined pedestrian
sidewalks or marked pedestrian facilities within landscaped areas and/or separated
from automobile travel lanes. Based upon the design of the parking lot, and the use
that it is serving, relief from this requirement may be approved through the
discretionary review process.
m. Street trees may be placed on the property proposed for development instead of
within the public right-of-way if the location is approved by the City Engineer, based
upon safety and maintenance factors.
n. All new developments shall include a landscaping coverage of 20 percent (20%) of
the gross area of the parcel, unless because of the small size of a parcel, such
coverage would be unreasonable. A minimum of 50 percent (50%) of the
landscaped area shall be dedicated to live plantings.
o. Landscaping Plans shall include an automatic irrigation system.
p. All required landscaping for commercial development projects shall be adequately
maintained in a viable condition.
q. The Planning Director, Zoning Administrator, Planning Commission, or City Council
shall have the authority to modify the required elements of a Landscaping Plan
depending upon the size, scale, intensity, and location of the development project.
2. Orientation and Location of Buildings
a. The location of buildings shall be coordinated with other buildings and open space
on adjacent lots, and should include design elements, oriented to pedestrian usage,
such as, linked walkways and sidewalks.
b. Buildings should be sited to preserve solar access opportunities, and should include
passive and active solar design elements.
Attachment #2
20
c. Buildings should be oriented to minimize heating and cooling costs.
d. Buildings should be creatively sited to provide open views of the site and surrounding
environment.
e. Buildings shall not be sited in the middle of large parking lots.
3. Architectural Design
a. Individual projects shall exhibit a thoughtful and creative approach to site planning
and architecture.
b. Projects shall be designed to avoid the cumulative collection of large structures with
similar building elevations and facades.
c. Buildings shall be limited in height, bulk, and mass, and shall be designed to avoid a
box-like appearance.
4. Building Exteriors
a. Colors and building materials shall be carefully selected, and must be compatible
with surrounding developments, and shall be finalized during the Site Development
or Use Permit process.
b. The Planning Commission may permit exterior walls of architectural metal where it is
compatible with adjacent structures, and the overall appearance and character of the
Airport Industrial Park.
5. Lighting
a. A lighting plan shall be submitted for review and approval with all Site Development
and Use Permit applications. All lighting plans shall emphasize security and safety,
and shall minimize energy usage.
b. Lighting for developments shall include shielded, non-glare types of lights.
c. Lighting shall not be directed towards Highway 101, the Ukiah Municipal Airport,
adjacent properties, or upwards towards the sky.
6. Design Amenities
a. Bicycle parking facilities shall be provided near the entrance to buildings. One (1)
bicycle space shall be provided for every ten (10) employees, plus one (1) space for
every fifty (50) automobile parking spaces.
b. Fountains, kiosks, unique landscape islands, outdoor sitting areas, and other quality
design amenities are encouraged.
K. CIRCULATION PLAN
The Circulation Plan for the Airport Industrial Park is illustrated on the attached Exhibit "B".
As shown, the plan includes points of access at Talmage Road at the north, Hastings
Avenue at the northwest, and Airport Road at the southwest. In lieu of the originally
envisioned southern access road (Airport Park Boulevard to Norgard Lane) an emergency
access is provided through the airport to a future gated encroachment along the southern
portion of Airport Road. Internal access includes an extension of Airport Road from the west
into the southern portion of the site; Airport Park Boulevard from Talmage Road on the
north, extending south to intersect with the Airport Road extension; and Commerce Drive
from west to east in the northern portion of the AIP. All streets within the AIP shall be public.
Attachment #2
21
Property owners of parcels with frontage along the railroad right-of-way are encouraged to
plan for possible future use of the railroad.
L. DISCRETIONARY REVIEW
The discretionary permit review process for development projects within the Airport
Industrial Park (AIP) is the same as for discretionary permits elsewhere in the City. As
articulated in Section 9 of this ordinance, a Site Development Permit or Use Permit is
required for development projects proposed in the AIP.
1. Site Development Permits and Use Permits
a. As articulated in Section 9 above, development projects within the Airport Industrial
Park are subject to the Site Development or Use Permit process, depending upon
the proposed use and its location. A Site Development Permit shall not be required
for any development proposal requiring a Use Permit. Within the Use Permit review
process, all site development issues and concerns shall be appropriately analyzed.
b. All Major Use Permits, Variances, and Site Development Permits for proposed
developments within the Airport Industrial Park require City Planning Commission
review and action. Minor Use Permits, Variances, and Site Development Permits
shall be subject to Zoning Administrator review and action.
c. Decisions on Site Development and Use Permits made by the City Planning
Commission and Zoning Administrator are appealable to the City Council pursuant to
Section 9266 of the Ukiah Municipal Code.
d. Major modifications to approved Site Development Permits and Use Permits, as
determined by the Planning Director, shall require the filing of a new application,
payment of fees, and a duly noticed public hearing before the Planning Commission.
Minor modifications to approved Site Development Permits and Use Permits, as
determined by the Planning Director shall require the filing of a new application,
payment of processing fees and a duly noticed public hearing before the City Zoning
Administrator.
e. The Planning Commission's decision on major modifications to an approved Site
Development Permit, Variance or Use Permit is appealable to the City Council. The
Zoning Administrator's decision on minor modifications to an approved Site
Development Permit, Variance or Use Permit is appealable directly to the City
Council.
2. Building Modifications
a. Exterior modifications to existing buildings shall be designed to complement and
harmonize with the design of the existing structure and surrounding developments.
b. A Site Development Permit shall be required for all substantial exterior modifications
to existing structures, site design elements, and landscaping within the Airport
Industrial Park. The application procedure shall be that prescribed in Article 20 the
Ukiah Municipal Code.
Section Fourteen
Whenever a use is not listed in this Planned Development Ordinance as a permitted or allowed
use in any of the land use designations, the Planning Director shall determine whether the use
is appropriate in the land use designation where the subject property is situated, and make a
decision as to whether or not it is an allowed or permitted land use. In making this
determination, the Planning Director shall find as follows:
Attachment #2
22
1. That the use would not be incompatible with existing nearby land uses, or the allowed
and permitted land uses listed for the particular land use designation.
2. That the use would not be detrimental to the continuing development of the area in
which the use would be located.
3. That the use would be in harmony and consistent with the purpose and intent of the
Airport Industrial Park Planned Development Ordinance and Ukiah General Plan.
4. In the case of determining that a use not articulated as an allowed or permitted use
could be established with the securing of a Use Permit, the Planning Director shall find
that the proposed use is similar in nature and intensity to the uses listed as allowed
uses. All determinations of the Planning Director regarding whether a use can be
allowed or permitted in any land use designation within the Airport Industrial Park shall
be final unless a written appeal to the City Council, stating the reasons for the appeal,
and the appeal fee, if any, established from time to time by City Council Resolution, is
filed with the City Clerk within ten (10) days of the date the decision was made. Appeals
may be filed by an applicant or any interested party. The City Council shall conduct a
duly noticed public hearing on the appeal in accordance to the applicable procedures as
set forth in this chapter. At the close of the public hearing, the City Council may affirm,
reverse, revise or modify the appealed decision of the Planning Director. All City Council
decisions on appeals of the Planning Director's actions are final for the City of Ukiah.
Section Fifteen
This Ordinance shall be published as required by law and shall become effective thirty (30) days
after it is adopted.
Introduced by title only on June 7, 2017, by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
Passed and adopted on June 21, 2017, by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
Jim O. Brown, Mayor
ATTEST:
Kristine Lawler, City Clerk
Attachment #2
23
FINAL
Costco Wholesale Project
Recirculated Partial Environmental Impact Report
SCH # 2011112025
Prepared for:
City of Ukiah
300 Seminary Avenue
Ukiah, California 95482
Prepared by:
1102 R Street
Sacramento, California 95811
Contact: Brian Grattidge
APRIL 2017
Printed on 30% post-consumer recycled material.
Costco Wholesale Project Final RPEIR 10007
April 2017 TOC-i
TABLE OF CONTENTS
Chapter Page No.
1 EXECUTIVE SUMMARY ........................................................................................... 1-1
2 INTRODUCTION.......................................................................................................... 2-1
3 COMMENTS AND RESPONSES ............................................................................... 3-1
4 MITIGATION MONITORING AND REPORTING PROGRAM .......................... 4-1
TOC–TABLE OF CONTENTS
Costco Wholesale Project Final RPEIR 10007
April 2017 TOC-ii
INTENTIONALLY LEFT BLANK
Costco Wholesale Project Final RPEIR 10007
April 2017 1-1
CHAPTER 1
EXECUTIVE SUMMARY
1.1 INTRODUCTION
The Costco Wholesale Project (Project) is a proposed Costco Wholesale Warehouse within
the City of Ukiah (City). The City, as the lead agency under the C alifornia Environmental
Quality Act (CEQA), determined that an Environmental Impact Repor t (EIR) should be
prepared. The Notice of Preparation was released on November 7, 2011. The Draft EIR
(State C learinghouse #2011112025) was released on January 30, 2013, for a public rev iew
period of 45 days. The City Council of Ukiah certified the Final EIR on December 18, 2013.
Following certification of the EIR, the City approved the necessary entitlements for the
Project, including rezoning of the Project Site and a Site Development Permit. The City
Council then introduced the first reading of Ordinance 1146, rezoning the Project Site to
Retail Comme rcial. On January 15, 2014, the Ordinance was approved by the City Council.
The City of Uki ah Planning Commission approved the Sit e Development Permit on January
22, 2014. The City Council heard an appeal of the Planning Commission’s action on March
5, 2014, and upheld the approval of the Site Development Permit.
On June 21, 2016, the Court of Appeals ruled that the Final EIR did not adequately address the
potential energy impacts of the project (Ukiah Citizens for Safety First v. City of Ukiah (2016)
248 Cal.App.4th 256). The City Council of Ukiah subsequently set aside the Final EIR on
November 16, 2016, and directed that the EIR be revised and recirculated to address the Court of
Appeal ruling. The Recirculated Partial Draft EIR (RPDEIR) was prepared in response to this
decision. The RPDEIR did not revise the EIR in any respect other than the Energy Section
(section 3.15) as directed by the Court of Appeal Decision, as the Court of Appeal Decision
upheld all other aspects of the EIR. As the RPDEIR document is limited to the Energy Section
(section 3.15), pursuant to CEQA Guidelines Section 15088.5, subdivision (c), the DEIR and the
FEIR were not recirculated for public review and comment.
The City of Ukiah, as the lead agency under CEQA, prepared an EIR for the Project and
prepared this document, entitled Final Recirculated Partial EIR (Final RPEIR).
This Executive Summary includes, for informational purposes only, a summary of environmental
impacts and alternatives to the proposed project identified in the Draft EIR, as revised by the
Final EIR dated December 2013, and the RPDEIR.
1.2 PROJECT DESCRIPTION
The approved Costco Wholesale Project includes the construction of a new Costco Wholesale
warehouse, with a maximum size of 148,000 square feet (SF), and a fueling faci lity on
approximately 15.33 acres. The fueling facility will have 16 vehi cle fueling positions (with the
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-2
capacity to expand to 20 positions in the future). The plans submitted with Costco’s building
permit application propose a warehouse of 141,125 SF, with a bakery, pharmacy, optical center,
hearing aid testing center, food court, photo center, tire center, and fueling facility along with the
sale of between 3,800 and 4,000 products. The tire center would be a 5,442 SF attached building
with member access through the inside of the main Costco building and would include retail tire
sales and a tire installation facility. The fueling facility is separate from the main building site,
and would include a 2,816 SF canopy and 16 fueling positions (expandable to 20 positions). The
fueling facility occupies approximately 2.37 acres, located in the southeast corner of the site
adjacent to US 101. Store hours are anticipated to be 10:00 a.m. to 8:30 p.m. Monday through
Friday, 9:30 a.m. to 6:00 p.m. on Saturday, and 10:00 a.m. to 6:00 p.m. on Sunday. Fueling
facility hours would be Monday through Friday, 6:00 a.m. to 9:30 p.m., Saturday and Sunday
from 6:00 a.m. to 7:00 p.m. Delivery hours will generally occur between 4:00 a.m. and 2:30 p.m.
The Costco facility would employ approximately 175 to 200 people.
The Project Site is located in the City of Ukiah, Mendocino County, California. The Project Site
consists of at least portions of twelve parcels totaling 15.33 acres (Assessor’s Parcel Numbers
180-110-8 through 10, 180-080-57 through 59, and 180-080-62 through 67). The Project Site is
bounded by commercial uses (north and south), US 101 (east), and Airport Park Boulevard
(west) (Figure 2-2). The Project Site is within the Airport Industrial Park (AIP) Planned
Development. The Airport Industrial Park is bounded by Talmage Road to the north, Ukiah
Municipal Airport to the west, and US 101 to the east and south.
1.3 ALTERNATIVES TO THE PROPOSED PROJECT
The purpose of the alternatives analysis in an EIR is to describe a range of reasonable
alternatives to the project that could feasibly attain the objectives of the project, and to evaluate
the comparative merits of the alternatives (CEQA Guidelines Section 15126.6(a)).
Additionally, CEQA Guidelines Section 15126.6 requires consideration of alternatives that could
avoid or substantially lessen any significant adverse environmental effects of the proposed
project, including alternatives that may be more costly or could otherwise impede the project’s
objectives. The range of alternatives considered must include those that offer substantial
environmental advantages over the proposed project and may be feasibly accomplished in a
successful manner considering economic, environmental, social, technological, and legal factors.
The DEIR analyzed the following alternatives:
No Project Alternative (Existing Conditions, No Change)
Reduced Project Size Alternative (No Gas Station)
Off-site Alternative (West Side Airport Park Blvd.)
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-3
The Reduced Project Size Alternative (No Gas Station) was selected as the Environmentally
Superior Alternative. However, as discussed in the DEIR (Section 5.5), the significant and
unavoidable impacts associated with the Project would not be reduced to less than significant by
this alternative. In addition, the feasibility of the alternative would have to be determined by the
decision making body of the lead agency.
1.4 SUMMARY OF ENVIRONMENTAL IMPACTS
Table 1-1 presents a summary of Project impacts and proposed mitigation measures that would
further avoid or minimize potential impacts. It also indicates the level of significance of each
environmental impact both before and after the application of the recommended mitigation
measure(s). Table 1-1 includes any minor revisions made to mitigation measures as a result of
the comments on the Draft EIR and RPDEIR.
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-4
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Aesthetics
Impact 3.1.1: Implementation of the Project
would not change the existing visual character
or quality of the site and its surroundings.
None required. LTS
Impact 3.1.2: Implementation of the Project
may create a new source of substantial light or
glare which would adversely affect daytime or
nighttime views in the area.
Measure 3.1.2: : All outdoor light fixtures shall be located, aimed or shielded so as to minimize stray light
trespassing across property boundaries. Fixtures shall be full cut-off and nighttime friendly, consistent with
LEED goals and Green Globes criteria for light pollution reduction.
The project applicant will be required to prepare a photometric plan demonstrating that lighting will not
spillover onto adjacent properties. Furthermore, the Project will adhere to all City regulations relating to
signage and the shielding of light in order to reduce any potential negative effects from new light sources
(per Building Code Sections §3225, §3226, §3227). The revised light plan shall demonstrate an average
light level no greater than 4 footcandle (fc) at grade (ground surface), and shall not exceed 10 fc in any
location. Light trespass onto adjacent private property shall not exceed 0.2 fc (at the property line). Light
trespass onto adjacent public rights of way or private roadway easements shall not exceed 0.2 fc
measured at the centerline of the right of way. Pole-mounted parking lot lighting shall be turned off one
hour after the store closes. Alternatively, 50% of pole-mounted lighting may be turned off if the City or store
operator requests additional security lighting. These standards shall be included in the Project conditions of
approval as well as the mitigation monitoring and reporting program.
LTS
Impact 3.1.3: The Project would not contribute
to a significant cumulative visual impact.
None required. LTS
Air Quality
Impact 3.2.1: Construction activities
associated with development of the Project
would not generate significant short-term
emissions of criteria pollutants.
None required. LTS
Impact 3.2.2: Operation of the Project would
generate significant emissions of criteria air
pollutants that could contribute to existing
nonattainment conditions and degrade air
quality.
Measure 3.2.2a: The Project will incorporate sustainability features in building and site design with
the goal of reaching a building efficiency rating that is greater than the Title 24 requirement, in order
to reduce energy consumption and associated GHG emissions. As set forth in the "Project
Description," the project will incorporate the following sustainability features:
Parking lot light standards are designe d to provide even light distribution and use 20%
less energy compared to a greater number of fixtures at lower heights. The use of metal
SU
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-5
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
halide lamps provide a color corrected white light and a higher level of perceived
brightness with less energy than oth er lamps such as high pressure sodium.
Locally extracted and manufactured building materials will be utilized where feasible.
Pre-manufactured building components, including structural framing and metal panels, are
designed to minimize waste during construction.
Pre-manufactured metal wall panels with insulation are designed to conserve energy by
increasing R-value and solar reflectivity. Building heat absorption is reduced by a decrease in the
thermal mass of the metal wall when compared to a typical masonry block wall.
Reflective roof material will meet the requirements for the USEPA’s Energy Star energy efficiency
program. Reflective roofs produce lower heat absorption and thereby lower energy usage during
the summer months.
Skylights are used on the roof to reduce the need for interior lighting. A “daylight harvesting”
system monitors and adjusts the mechanical and lighting systems in order to conserve energy.
The system includes the skylights, light monitors, energy efficient lighting fixtures, and associated
control systems. On a typical sunny day, fewer than one third of the interior lights are needed.
Tree plantings to reduce summer heat gain within the parking field.
Planting to incorporate a substantial amount of drought tolerant species.
Irrigation system to incorporate the use of deep root watering bubblers for parking lot shade trees
to minimize water usage and ensure that water goes directly to the intended planting areas.
Measure 3.2.2b: The applicant shall implement the following measures to reduce motor vehicle trips
and emissions associated with Project operations:
Promote the use of alternative fueled vehicles (i.e., CNG, electric, etc.) for Project operations.
The applicant shall implement two or more of the following measures:
o Warehouse equipment, including forklifts, will be electric powered.
o Landscaping equipment will be electric powered.
o Preferred parking for zero emission vehicles.
o Retail fueling station will include a CNG refueling station.
o Customer parking will include a minimum of one (1) electric recharge station.
Provide commute incentives for employees to utilize alternative transportation, such as
carpool/vanpool, transit, cycling, or walking. A Costco carpool and alternative transportation
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-6
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
manager shall be designated to oversee the implementation of these TDM measures. Costco will
provide its employees the following incentives:
o Four carpool parking spaces reserved for Costco employees;
o Bicycle parking as required by City standards;
o Employee locker rooms;
o Rideshare Program, including recognition of rideshare participants at monthly staff meetings
and an annual update of rideshare benefits and incentives provided to employees;
o A Rideshare Bulletin Board to be located in the employee breakroom, which will contain
information about the Rideshare Program, transit, bike routes, and other alternate commute
information;
o A Rideshare Newsletter to be published and posted on the Rideshare Bulletin Board on a
quarterly basis;
o Costco employees commuting to work in a rideshare program will be eligible for a guaranteed
ride home program in the event of an emergency or unexpected situation (such as
unscheduled overtime) on the days they rideshare.
o The applicant shall increase transit accessibility. Such measures could include the purchase of
transit passes for employees. Also, implement Mitigation Measure 3.10.2a.
The applicant shall improve the pedestrian and bicycle network. Implement Mitigation Measure
3.10.2b a Measure 3.2.2c: Use low VOC architectural coatings and 2c.
If the applicant demonstrates, with substantial evidence that the City finds credible and with which it
agrees, that any of the above measures are infeasible, the City may allow fewer than all of the above
measures to be implemented for the Project. This exception does not excuse the applicant from
complying with at least two of the measures listed above to promote the use of alternative fueled
vehicles and equipment.
Impact 3.2.3: Project traffic would not
substantially increase localized carbon
monoxide concentrations at sensitive
receptors in the project vicinity.
None required. LTS
Impact 3.2.4: Project operation would not
create objectionable odors affecting a
substantial number of people.
None required. LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-7
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Impact 3.2.5: Construction and operation of
the Project would result in cumulatively
considerable increases of criteria pollutant
emissions.
Implement Mitigation Measures 3.2.2a through 3.2.2d. SU
Urban Decay
Impact 3.3.1: The Project would not result in
long term commercial building vacancies and
therefore would not result in increased urban
decay conditions.
None required. LTS
Impact 3.3.2: The Project, in conjunction with
other development, would not result in long
term commercial building vacancies and
therefore would not result in increased urban
decay conditions.
None required. LTS
Geology and Soils
Impact 3.4.1: The Project could expose
people to injury or structures to damage from
potential rupture of a known earthquake fault,
strong ground shaking, seismic-related ground
failure, or landslides.
Measure 3.4.1a (For Seismic Ground Shaking) - Prior to the issuance of a building permit for any
portion of the Project site, the Project sponsor shall:
1. Submit to the City Building Services Division a site-specific, design level geotechnical
investigation prepared for each development parcel by a registered geotechnical engineer. The
investigation shall comply with all applicable state and local code requirements and:
a. Include an analysis of the expected ground motions at the site from known active faults
using accepted methodologies;
b. Determine structural design requirements as prescribed by the most current version of the
California Building Code, including applicable City amendments, to ensure that structures
can withstand ground accelerations expected from known active faults;
c. Determine the final design parameters for walls, foundations, foundation slabs, utilities,
roadways, parking lots, sidewalks, and other surrounding related improvements;
2. Project plans for foundation design, earthwork, and site preparation shall incorporate all of the
mitigations in the site specific investigations.
3. The Project structural engineer shall review the site specific investigations, provide any
additional necessary mitigation to meet Building Code requirements, and incorporate all
LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-8
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
applicable mitigations from the investigation in the structural design plans and shall ensure that
all structural plans for the Project meet current Building Code requirements.
4. A registered City geotechnical engineer or third-party registered engineer retained to review the
geotechnical reports shall review each site-specific geotechnical investigation, approve the final report, and
require compliance with all geotechnical mitigations contained in the investigation in the plans submitted for
the grading, foundation, structural, infrastructure and all other relevant construction permits.
5. The City shall review all Project plans for grading, foundations, structural, infrastructure and all
other relevant construction permits to ensure compliance with the applicable geotechnical
investigation and other applicable Code requirements.
Measure 3.4.1b (For liquefaction and earthquake induced settlement) – Prior to the issuance of
a building permit for any portion of the Project site, the Project sponsor shall:
1. Submit to the City a site-specific, design level geotechnical investigation prepared for each
building site or installed facility location by a registered geotechnical engineer. The
investigation shall comply with all applicable state and local code requirements and:
a. Provide site specific engineering requirements for mitigation of liquefiable soils;
b. Specify liquefaction mitigations that shall use proven methods, generally accepted by
registered engineers, to reduce the risk of liquefaction to a less than significant level such as:
i. subsurface soil improvement,
ii. deep foundations extending below the liquefiable layers,
iii. structural slabs designed to span across areas of non-support,
iv. soil cover sufficiently thick over liquefaction soil to bridge liquefaction zones,
v. dynamic compaction,
vi. compaction grouting,
vii. jet grouting,
viii. mitigation for liquefaction hazards suggested in the California Geological Survey's
Geology (CGS) Guidelines for Evaluating and Mitigating Seismic Hazards (CGS
Special Publication 117, 1997) including edge containment structures (berms, dikes,
sea walls, retaining structures, compacted soil zones), removal or treatment of
liquefiable soils, modification of site geometry, lowering the groundwater table, in-situ
ground densification, deep foundations, reinforced shallow foundations, and structural
design that can withstand predicted displacements.
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-9
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
2. The geotechnical investigation shall evaluate these mitigations and identify the most effective
and practicable mitigation methods for inclusion in the Project plans. These identified
mitigations shall be reviewed to ensure compliance with the CGS Geology Guidelines related
to protection of the public safety from liquefaction.
3. Project plans for foundation design, earthwork, and site preparation shall incorporate all of the
mitigations in the site specific investigations.
4. The Project structural engineer shall review the site specific investigations, provide any
additional necessary mitigation to meet Building Code requirements, and incorporate all
applicable mitigations from the investigation in the structural design plans and shall ensure that
all structural plans for the Project meet current Building Code requirements.
5. A registered City geotechnical engineer or third-party registered engineer retained to review the
geotechnical reports shall review each site-specific geotechnical investigation, approve the final report, and
require compliance with all geotechnical mitigations contained in the investigation in the plans submitted for
the grading, foundation, structural, infrastructure and all other relevant construction permits.
6. The City shall review all Project plans for grading, foundations, structural, infrastructure and all
other relevant construction permits to ensure compliance with the applicable geotechnical
investigation and other applicable Code requirements.
Impact 3.4.2: Construction of the Project
would involve grading and movement of earth,
which could expose soils to erosion and result
in the loss of topsoil.
None required. LTS
Impact 3.4.3: The Project could be located on
fill soils that are potentially unstable, or that
could become unstable as a result of the
Project, and potentially result in on- or off-site
landslide, lateral spreading, subsidence,
liquefaction, or collapse.
Implement Mitigation Measures 3.4.1a and 3.4.1b. LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-10
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Impact 3.4.4: The Project would not make a
cumulatively considerable contribution to
cumulative effects associated with erosion,
topsoil loss or increased exposure to seismic
or other risks.
None required. LTS
Hazards and Hazardous Materials
Impact 3.5.1: The Project would not create a
significant hazard to the public or the
environment through the routine transport,
use, or disposal of hazardous materials.
None required. LTS
Impact 3.5.2: During construction, the Project
could create a hazard to the public or the
environment through upset or accident
conditions involving the release of hazardous
materials or hazardous wastes to the
environment.
Measure 3.5.2: Hazards Remediation. If contaminated soil and/or groundwater are encountered or
suspected contamination is encountered during Project construction activities, work shall be halted in
the area, and the type and extent of the contamination shall be identified in accordance with
coordination of the overseeing agency (RWQCB, DTSC, and/or MCEHD). A qualified professional, in
consultation with regulatory agencies (RWQCB, DTSC, and/or MCEHD) shall then develop an
appropriate method to remediate the contamination, and determine the appropriate disposal method
of any contaminated soil and/or groundwater. At this time, the available studies suggest that no
contaminated soil or groundwater will be found on site. Nevertheless, this mitigation measure would
require remediation procedures in the unlikely event that contamination is encountered. Additionally,
if required by an overseeing agency, a remediation plan shall be implemented either before or in
conjunction with continued Project construction.
LTS
Impact 3.5.3: The Project site is located within
an airport land use plan and would not result in
a safety hazard for people residing or working
in the project area.
None required. LTS
Impact 3.5.4: The Project would not impair
implementation of or physically interfere with
an adopted emergency response plan or
emergency evacuation plan.
None required. LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-11
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Impact 3.5.5: The Project would not contribute
to a significant cumulative impact related to
hazards or hazardous materials.
None required. LTS
Hydrology and Water Quality
Impact 3.6.1: Project construction activities
would disturb surface soils and could cause
erosion and the release of sediment and
construction related water quality pollutants to
receiving waters.
None required. LTS
Impact 3.6.2: Subsurface excavation during
Project construction could require dewatering,
which may result in a discharge that could
adversely affect water quality.
Measure 3.6.2: In the event that construction period dewatering is required, The Project Applicant
will coordinate with the City concerning dewatering activities and compliance with the provisions in
the permit, such as the effluent limitations in the permit, prior to discharge. The applicant will:
Submit a Report of Waste Discharge and Application for NPDES Permit along with a feasibility
study of reuse of the groundwater to the RWQCB.
Discharge flows only upon receipt of the Discharge Authorization Letter from the RWQCB.
LTS
Impact 3.6.3: Project construction could
require dewatering, but would not result in
significant lowering of groundwater levels.
None required. LTS
Impact 3.6.4: The proposed installation of new
impervious surfaces associated with the
proposed Costco building and parking lot
would result in an increase in impervious
surfaces on site. This could decrease
stormwater infiltration and increase stormwater
flows, causing downstream flooding, erosion,
or sedimentation.
Measure 3.6.4: The Applicant shall prepare and submit to the City engineer and the North Coast
Regional Water Quality Control Board for approval a Final Drainage Plan. The Final Drainage Plan
shall include design/plan level depiction of the proposed stormwater drainage facilities on site,
including the proposed storm drainage system, vegetated swales, and the water quality features. The
following measures shall be implemented within the Final Drainage Plan, based on modeled runoff
volumes and flow rates specific to with-Project conditions:
The applicant shall design, implement, and maintain a stormwater system such that there would
be no net increase in project condition downstream peak flows; and/or, with respect to the
additional impervious surface area proposed for the project, the [applicant] shall design and
implement volume- and/or flow-based Treatment Control Best Management Practices (BMPs) as
defined in Attachment 4 (pages 5-6) of the State Water Resources Control Board (SWRCB) small
municipal separate storm sewer systems (MS4s) General Permit (Small MS4 General Permit)
(SWRCB Order 2003-0005-DWQ).
LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-12
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
The Final Drainage Plan is not required to include retention and/or retention features if such
features are not necessary to satisfy the above requirements.
Prior to implementation, design drawings and any related documents or specifications with
respect to these required mitigation measures shall be submitted to the City of Ukiah and the
North Coast Regional Water Quality Control Board.
Modification of storm drain facilities within the State right-of-way (U.S. 101), may require an
encroachment permit, and shall be submitted to the California Department of Transportation.
Impact 3.6.5: The proposed Project would
include installation of a new refueling station
and new impervious surfaces. During Project
operation, stormwater runoff from these areas
could contain elevated pollutant levels, and
could result in increased pollutant loading
downstream.
None required. LTS
Impact 3.6.6: Increase in the impervious
surfaces under the proposed Project would not
significantly affect groundwater recharge in the
Project area.
None required. LTS
Impact 3.6.7: The Project would not subject
people and structures to increased risk of
floods from the potential failure of the Coyote
Dam at Lake Mendocino.
None required. LTS
Impact 3.6.8: Project implementation, in
conjunction with other foreseeable
development in the city, could result in
cumulative hydrology and water quality
impacts.
Implement Mitigation Measure 3.6.4. LTS
Land Use and Planning
Impact 3.7.1: The proposed Project would not
physically divide an established community.
None required. LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-13
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Impact 3.7.2: The proposed Project would not
conflict with any applicable land use plan,
policy, or regulation adopted for the purpose of
avoiding or mitigating an environmental effect.
None required. LTS
Impact 3.7.3: The proposed Project would not
conflict with any applicable habitat
conservation plan or natural community
conservation plan.
None required. NI
Impact 3.7.4: The proposed Project, in
combination with other developments in the
vicinity, would not contribute to potential
cumulative land use impacts.
None required. LTS
Noise
Impact 3.8.1: Construction and grading
activities associated with the development of
the Project would not increase noise levels at
nearby noise-sensitive receptor locations.
None required. LTS
Impact 3.8.2: Operational activities associated
with the Project could increase ambient noise
levels at nearby noise-sensitive land uses.
This impact would be less than significant.
None required. LTS
Impact 3.8.3: Traffic associated with operation
of the Project would not result in a significant
increase in noise exposure on area roadways.
None required. LTS
Impact 3.8.4: Project operational activities
would not expose people working in the
Project area to excessive noise levels, for a
Project located within an airport land use plan.
None required. LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-14
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Impact 3.8.5: Noise associated with the
Project in combination with other local
development would not result in cumulatively
considerable noise increases.
None required. LTS
Public Services and Utilities
Impact 3.9.1: Implementation of the Project
would not result in the need for new or
physically altered police facilities.
None required. LTS
Impact 3.9.2: Implementation of the Project
would not result in the need for new or
physically altered fire and emergency service
facilities.
None required. LTS
Impact 3.9.3: Implementation of the Costco
Wholesale warehouse and fuel station project
would indirectly increase student enrollment at
UUSD schools, but not to the extent that new
facilities would be required.
None required. LTS
Impact 3.9.4: The Project would not result in
increased use of existing neighborhood and
regional parks or other recreational facilities
such that substantial physical deterioration of
these facilities would occur or be accelerated,
nor would the Project include recreational
facilities or require the construction or
expansion of recreational facilities that might
have an adverse physical effect on the
environment.
None required. LTS
Impact 3.9.5: Implementation of the Project
would not significantly increase the demand
for water supply.
None required. LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-15
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Impact 3.9.6: The Project would not exceed
wastewater treatment requirements or require
construction of new wastewater facilities or
expansion of existing facilities.
None required. LTS
Impact 3.9.7: The Project would be served by
a landfill with sufficient permitted capacity to
accommodate the Project’s solid waste
disposal, and would comply with federal,
State, and local statutes and regulations
related to solid waste.
None required. LTS
Impact 3.9.8: The Costco Wholesale
warehouse Project would not exceed existing
gas and electric supply or result in wasteful,
inefficient, or unnecessary consumption of
energy.
None required. LTS
Impact 3.9.9: The Project would not make a
cumulatively considerable contribution to
public services and utilities impacts associated
with cumulative development in the Project
vicinity.
None required. LTS
Transportation and Traffic
Impact 3.10.1: Implementation of the Project
would increase traffic volumes on area
roadways. This impact is potentially significant.
Measure 3.10.1: The City shall construct Talmage Road Interchange improvements, including the
provision of two left-turn lanes on the westbound Talmage Road approach to Airport Park Blvd. The
improvements include the following components:
Closure of the existing stop-controlled US 101 Southbound Off-Ramp right-turn to westbound
Talmage Road
All US 101 Southbound Off-Ramp traffic would be redirected to access Talmage Road via a new
full access intersection where the current loop ramp connects with Talmage Road so that all off-
ramp traffic would utilize the off-loop ramp.
The existing US 101 Southbound Off-Ramp loop would be reconfigured to a more standard 90-
degree angle.
SU
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-16
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
The intersection of the loop ramp with Talmage Road would be controlled by a new traffic signal.
Both the eastbound Talmage Road and northbound US 101 Southbound Off-Ramp right- turn
lanes will have right-turn overlap phasing, while the westbound Talmage Road approach would
include protected left-turn phasing.
The design would also provide for two left-turn lanes on the westbound Talmage Road approach
to Airport Park Boulevard, which should extend the entire distance to the adjacent intersection.
Since the left-turn lanes would extend all the way to the intersection, signs and markings on the
off-ramp are provided to direct drivers to the correct lane for their destination.
Intersection markings should be incorporated that provide guidance so as not to create a trap-
lane situation for drivers in the far northbound left lane.
Removal of the existing northbound right-turn overlap phasing at Airport Park Boulevard/Talmage Road.
The City shall coordinate with the California Department of Transportation regarding
improvements to state facilities. The traffic mitigations shall be completed before
Costco is issued a certificate of occupancy. The City shall establish a funding
mechanism to pay for the cost of the improvements.
Impact 3.10.2: Implementation of the Project
would conflict with adopted policies, plans, or
programs regarding public transit, pedestrian,
or bicycle facilities, or otherwise decrease the
performance or safety of such facilities.
Measure 3.10.2a: Provide a concrete pad suitable for future location of bus shelter on the northern
frontage of the Project site, adjacent to the proposed sidewalk.
Measure 3.10.2b: The Project Applicant shall implement the following measures to reduce potential
pedestrian impacts associated with the Project:
Install sidewalks along the project frontage on Airport Park Boulevard as identified in the project site plan.
Install high visibility crosswalk markings across driveway entrances to the project including the
existing cul-de-sac on the north side of the project to increase visibility of pedestrians.
Install ADA compliant curb ramps at driveway crossings and transition points along the project
frontage. Also, ensure that the existing curb ramps at the existing cul-de-sac intersection with
Airport Park Boulevard are compliant with current ADA standards.
Provide an adequate pedestrian connection from the street frontage and main parking area to the
retail store entrance (per Ordinance 1098).
Measure 3.10.2c: The Project Applicant shall implement the following measures to reduce potential
bicycle impacts associated with the Project:
Install Class III bike lanes along the Project frontage on Airport Park Boulevard.
LTS
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-17
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
The Project Applicant shall comply with Ordinance 1098, Airport Industrial Park Planned
Development, requirements to install the required number of bicycle parking spaces (long- term
spaces [bicycle lockers or covered parking spaces to reduce exposure to the elements and
vandalism] for Project employees and short-term spaces for Project patrons and employees [at a
convenient location adjacent to the store’s primary entry points]). Bicycle racks should be an
appropriate design and installed correctly to ensure proper function.
Impact 3.10.3: Implementation of the Project
would increase traffic volumes on area
roadways under Near-Term conditions. This
impact is potentially significant.
Implement Mitigation Measure 3.10.1 SU
Impact 3.10.4: Implementation of the Project
would increase traffic volumes on area
roadways under Future (2030) conditions. This
impact is potentially significant.
Implement Mitigation Measure 3.10.1 SU
Impact 3.10.5: Under Future plus Project
conditions, traffic associated with the Project
would contribute to inadequate queuing
storage at Talmage Road/Airport Park Blvd.
and Talmage Road/US 101 Southbound Off-
Ramp. This impact is potentially significant.
Implement Mitigation Measure 3.10.1
Measure 3.10.4: In addition to the planned City-constructed left-turn lane on the westbound
approach of Airport Road, the City shall construct a left-turn lane on the eastbound Hastings Avenue
approach should be installed at South State Street/Hastings Avenue-Airport Road. Implementation of
the recommended improvements at Talmage Road/Airport Park Boulevard would result in acceptable
operating conditions during both the a.m. and p.m. peak hours.
SU
Global Climate Change
Impact 3.11.1: The project could generate
GHG emissions that may have a significant
impact on the environment or conflict with an
applicable plan, policy or regulation adopted to
reduce GHG emissions.
The project shall implement Mitigation Measures 3.2.2a through 3.2.2d. SU
1 – EXECUTIVE SUMMARY
Costco Wholesale Project Final RPEIR 10007
April 2017 1-18
Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Biological Resources
Impact 3.12.1: Implementation of the
proposed Project may adversely impact
special-status species.
Measure 3.12.1: The following measures shall be implemented to reduce potential impacts on
nesting birds:
1. If construction-related activities are to occur during the nesting bird season (February 15
through August 31), a qualified biologist shall conduct a preconstruction survey of all potential
nesting habitats within 30 days prior to the start of activities (grubbing, dirt-moving,
mobilization, or other construction-related activities) and within 500 feet of construction
activities. If ground-disturbing activities are delayed or suspended for more than 30 days after
the pre-construction survey, the site shall be resurveyed. The results of these surveys shall be
documented in a technical memorandum that shall be submitted to the California Department
of Fish and Game (if nesting birds are documented) and the City of Ukiah.
2. If an active nest is found during the preconstruction survey, a no-work buffer of 500 feet will be
established unless otherwise approved by the California Department of Fish and Game (DFG).
The qualified biologist will coordinate with DFG to determine the appropriate nest avoidance,
monitoring, and protective measures appropriate for the species and site conditions. In addition
to establishment of a no-work buffer, these measures may include daily or spot-check
monitoring of the nesting activity as deemed appropriate by DFG.
3. If the preconstruction survey indicates that nests are inactive or potential habitat is unoccupied
during the construction period, no further mitigation is required. Trees and shrubs that have
been determined to be unoccupied by birds or that are located more than 500 feet from active
nests may be removed (500 feet is the distance regularly recommended by DFG to prevent
impacts to active avian nests).
LTS
Impact 3.12.2: Implementation of the
proposed Project would not conflict with any
local policies or ordinances for the protection
of biological resources.
None required. LTS
Impact 3.12.3: Implementation of the
proposed Project would not contribute to a
significant cumulative impact to biological
resources.
None required. LTS
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Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Population and Housing
Impact 3.13.1: The Project would not induce
substantial population growth or concentration
of population in the area, either directly or
indirectly.
None required. LTS
Impact 3.13.2: The Project, in conjunction with
past, present and reasonably foreseeable
projects, would not contribute to a cumulatively
considerable effect related to population, or
housing.
None required. LTS
Cultural Resources
Impact 3.14.1: Implementation of the
proposed project could result in a substantial
adverse change to historic resources as
defined by CEQA Section 15064.5.
None required. NI
Impact 3.14.2: Ground-disturbing activities
associated with implementation of the
proposed project could result in the substantial
adverse change of previously unknown
archaeological or paleontological resources as
defined by CEQA Section 15064.5.
Measure 3.14.2: If cultural resources are encountered, all activity in the vicinity of the find shall cease until it
can be evaluated by a qualified archaeologist and a Native American representative. Prehistoric
archaeological materials might include obsidian and chert flaked- stone tools (e.g., projectile points, knives,
scrapers) or toolmaking debris; culturally darkened soil (“midden”) containing heat-affected rocks, artifacts, or
shellfish remains; and stone milling equipment (e.g., mortars, pestles, handstones, or milling slabs); and
battered stone tools, such as hammerstones and pitted stones. Historic-period materials might include stone,
concrete, or adobe footings and walls; filled wells or privies; and deposits of metal, glass, and/or ceramic
refuse. If the archaeologist and Native American representative determine that the resources may be
significant, they will notify the City of Ukiah. An appropriate treatment plan for the resources should be
developed. The archaeologist shall consult with Native American representatives in determining appropriate
treatment for prehistoric or Native American cultural resources.
In considering any suggested mitigation proposed by the archaeologist and Native American
representative, the City will determine whether avoidance is necessary and feasible in light of factors
such as the nature of the find, project design, costs, and other considerations. If avoidance is
infeasible, other appropriate measures (e.g., data recovery) will be instituted. Work may proceed in
other parts of the project area while mitigation for cultural resources is being carried out.
LTS
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Table 1-1
Summary of Impacts and Mitigation Measures
Environmental Impact Mitigation Measures
Level of Significance
After Mitigation
Impact 3.14.3: Ground-disturbing construction
associated with implementation of the
proposed project could result in damage to
previously unidentified human remains.
Measure 3.14.3: If human remains are encountered unexpectedly during construction excavation
and grading activities, State Health and Safety Code Section 7050.5 requires that no further
disturbance shall occur until the County Coroner has made the necessary findings as to origin and
disposition pursuant to PRC Section 5097.98. If the remains are determined to be of Native American
descent, the coroner has 24 hours to notify the NAHC. The NAHC will then identify the person(s)
thought to be the Most Likely Descendent, who will help determine what course of action should be
taken in dealing with the remains.
LTS
Impact 3.14.4: The Project would not make a
cumulatively considerable contribution to
cumulative effects to cultural resources.
None required. LTS
Energy
Impact 3.15.1: The Project would not result in
wasteful, inefficient, or unnecessary
consumption of energy; conflict with existing
energy standards and regulations; or
adversely affect local and regional energy
resources or require additional supply, the
provision of which could have a substantial
impact on the environment.
No additional mitigation measures are required to avoid a potentially significant impact.
Implementation of Mitigation Measures 3.2.2 a and b, and Measures 3.10.2 a, b, and c, would further
reduce energy consumption.
LTS
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CHAPTER 2
INTRODUCTION
2.1 INTRODUCTION
In accordance with CEQA Guidelines Sections 15089 and 15132, a lead agency must prepare a
Final Environmental Impact Report (EIR) before approving a project. The purpose of a Final EIR
is to provide an opportunity for the lead agency to respond to comments made by the general
public and public agencies regarding the project. The City of Ukiah (City) acting as lead agency
has prepared this Final EIR, which is based on the Costco Wholesale Project Recirculated Partial
Draft EIR (RPDEIR) and referred to herein as the Final Recirculated Partial Environmental Impact
Report (Final RPEIR), regarding the Costco Wholesale Project in compliance with CEQA. The
Final RPEIR is an informational document intended to disclose to the City and the public the
environmental consequences of approving and implementing the Costco Wholesale Project.
Pursuant to CEQA Guidelines 15132, this Final RPEIR includes the public and agency
comments received on the RPDEIR, responses thereto, and revisions to the Mitigation
Monitoring and Reporting Program (MMRP). All written comments received during the public
review period (February 13 to March 30, 2017) on the RPDEIR are addressed in this Final
RPEIR.
The responses in the Final RPEIR clarify, correct, and/or amplify text in the RPDEIR, as
appropriate. No text changes to the Draft were made as a result of the public review process.
This document has been prepared in accordance with the California Environmental Quality Act
(CEQA; California Public Resources Code (PRC), Sections 21000–21177).
This Final RPEIR is intended to be a companion to the February 2017 RPDEIR, which is
incorporated by reference and bound separately. Given the narrow scope of the RPDEIR, which
was prepared in response to the Court of Appeals ruling in Ukiah Citizens for Safety First v. City
of Ukiah (2016) 248 Cal.App.4th 256, this Final RPEIR focuses on the responses to those
comments directly related to the contents of the RPDEIR, in accordance with CEQA Guidelines
Section 15088.5
2.2 BACKGROUND
In accordance with CEQA, the City released a Notice of Preparation (NOP) on November 7,
2011. The purpose of the NOP was to provide notification that an EIR for the project was being
prepared and to solicit guidance on the scope and content of the document. The Draft EIR (State
Clearinghouse #2011112025) was released on January 30, 2013, for a public review period of 45
days. The City Council of Ukiah certified the Final EIR on December 18, 2013. Following
certification of the EIR, the City approved the necessary entitlements for the Project, including
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rezoning of the Project Site and a Site Development Permit. The City Council then introduced
the first reading of Ordinance 1146, rezoning the Project Site to Retail Commercial. On January
15, 2014, the Ordinance was approved by the City Council. The City of Ukiah Planning
Commission approved the Site Development Permit on January 22, 2014. The City Council
heard an appeal of the Planning Commission’s action on March 5, 2014, and upheld the approval
of the Site Development Permit.
On June 21, 2016, the Court of Appeals ruled that the Final EIR did not adequately address the
potential energy impacts of the project (Ukiah Citizens for Safety First v. City of Ukiah (2016)
248 Cal.App.4th 256). The City Council of Ukiah subsequently set aside the Final EIR and
associated Project approvals on November 16, 2016, and directed that the EIR be revised and
recirculated to address the Court of Appeal ruling. As the Court of Appeal Decision upheld all
other aspects of the EIR, the RPDEIR document is limited to the Energy Section (section 3.15).
Pursuant to CEQA Guidelines Section 15088.5, subdivision (c), the non-energy related sections
of the Draft EIR were not recirculated for public review and comment.
2.3 CEQA REQUIREMENTS
Under CEQA, the Lead Agency must prepare and certify a Final Environmental Impact Report
(Final EIR) prior to approving a proposed project. The contents of a Final EIR are specified in
Section 15132 of the CEQA Guidelines, which states that the Final EIR shall consist of:
a. The Draft EIR or a revision of the Draft.
b. Comments and recommendations received on the Draft EIR either verbatim or in summary.
c. A list of persons, organizations, and public agencies commenting on the Draft EIR.
d. The responses of the Lead Agency to significant environmental points raised in the
review and consultation process.
e. Any other information added by the Lead Agency.
The Lead Agency must provide each public agency that commented on the Draft EIR with a copy of
the Lead Agency’s response to such comments a minimum of 10-days before certifying the Final EIR.
The Final EIR that will be considered for certification by the decision makers of the City of
Ukiah will include the following:
The Draft EIR, dated January 2013
The Final EIR, dated November 2013
The RPDEIR, dated February 2017
The Final RPEIR, dated April 2017
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2.4 USE OF THE FINAL EIR
The Final EIR allows the public and the City an opportunity to review revisions to the Draft EIR
and the Responses to Comments. The Final EIR serves as the environmental document to
support approval of the proposed project, either in whole or in part, or one of the alternatives to
the project discussed in the Draft EIR.
As required by Section 15090 (a) (1)-(3) of the CEQA Guidelines, a Lead Agency, in certifying a
Final EIR, must make the following three determinations:
1. The Final EIR has been completed in compliance with CEQA.
2. The Final EIR was presented to the decision-making body of the Lead Agency, and the
decision-making body reviewed and considered the information in the Final EIR prior to
approving the project.
3. The Final EIR reflects the Lead Agency’s independent judgment and analysis.
As required by Section 15091 of the CEQA Guidelines, no public agency shall approve or
carry out a project for which an EIR has been certified that identifies one or more significant
environmental effects of the project unless the public agency makes one or more written
findings (Findings of Fact) for each of those significant effects, a ccompanied by a brief
explanation of the rationale for each finding supported by substantial evidence in the record.
The possible findings are:
1. Changes or alterations have been required in, or incorporated into the project which avoid
or substantially lessen the significant environmental effect as identified in the final EIR.
2. Such changes or alterations are within the responsibility and jurisdiction of another public
agency and not the agency making the finding. Such changes have been adopted by such
other agency or can and should be adopted by such other agency.
3. Specific economic, legal, social, technological, or other considerations, including
provision of employment opportunities for highly trained workers, make infeasible the
mitigation measures or project alternatives identified in the Final EIR.
Additionally, pursuant to Section 15093(b) of the CEQA Guidelines, when a Lead Agency
approves a project that would result in significant unavoidable impacts that are disclosed in the
Final EIR, the agency must state in writing the reasons supporting the action. The Statement of
Overriding Considerations shall be supported by substantial evidence in the Lead Agency’s
administrative record. The Findings of Fact and Statement of Overriding Considerations are
included in a separate document that will be considered for adoption by the City’s decision
makers at the time of project approval.
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2.5 RESPONSES TO COMMENTS
A list of public agencies and individuals commenting on the RPDEIR is included in Chapter
3 in this Final EIR. A total of two comment letters were received from public agencies. Two
comments were received from the public .
Responses to comments received appear in Chapter 3 of this Final Recirculated Partial EIR. Each
comment letter on the RPDEIR is designated with a letter and presented with brackets indicating
how the letter has been divided into individual comments. Each comment is given a binomial
with the letter of the comment letter appearing first, followed by the comment number. For
example, comments in Letter C are numbered C-1, C-2, C-3, and so on. Immediately following
the letter are responses, each with binomials that correspond to the bracketed comments.
2.6 MITIGATION MONITORING AND REPORTING PROGRAM
The Mitigation Monitoring and Reporting Program (MMRP) for the proposed project, presented
in Chapter 4 of this Final RPEIR, includes all of the mitigation measures required of the
proposed project by the Draft EIR and RPDEIR.
If the City Council chooses to approve the proposed project or one of the alternatives described
in the RPDEIR, the Council will be required to adopt the MMRP at the same time it adopts its
CEQA Findings, as required by Section 21081.6 of the Public Resources Code.
2.7 OVERVIEW OF THE PUBLIC PARTICIPATION AND
REVIEW PROCESS
The City notified all responsible and trustee agencies and all known interested groups,
organizations, and individuals that the RPDEIR was available for review. The following list of
actions took place during the preparation, distribution, and review of the Recirculated Portions of
the Draft EIR:
The Notice of Completion was filed with the State Clearinghouse on February 13, 2017,
to start the required 45-day public review period. The City distributed a Notice of
Availability (NOA) to interested groups, organizations, and individuals and published a
notice in the Ukiah Daily Journal, a newspaper of general circulation.
Copies of the RPDEIR were available for review on the City’s website and at the Planning &
Community Development Department, 300 Seminary Avenue, Ukiah, California.
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CHAPTER 3
RESPONSES TO COMMENTS
This chapter contains the comment letters received in response to the Recirculated Portions of
the Draft EIR (RPDEIR). Each comment letter is designated with a letter, each comment is
bracketed, and responses are provided to each comment. CEQA Guidelines section 15088(a)
states that “[t]he lead agency shall evaluate comments on environmental issues received from
persons who reviewed the Draft EIR and shall prepare a written response. The lead agency shall
respond to comments that were received during the noticed comment period and any extensions
and may respond to late comments.” Additionally, as discussed in Chapter 2 of this Final RPEIR,
CEQA Guidelines Section 15088.5(f)(2) authorizes a lead agency to respond only to comments
on the portions of a Draft EIR that were recirculated for additional public review and comment.
Consistent with this guidance, the City stated in the RPDEIR that commenters should l imit
comments to the issues discussed in the RPDEIR.
In this Final RPEIR, the City provides responses to comments made on the RPDEIR. The
responses amplify or clarify information provided in the RPDEIR and/or refer the reader to the
appropriate place in the document where the requested information can be found. Comments that
are not directly related to environmental issues (e.g., opinions on the merits of the project
unrelated to its environmental impacts) may either be discussed or noted for the record.
No changes were made to the RPDEIR and minor clarifications/ amplifications do not constitute
significant new information under CEQA.
Below is a list of agencies and persons commenting on the RPDEIR.
Federal Agencies
There were no comments received from federal agencies by the close of the comment
review period.
State Agencies
Katy Sanchez, Associate Environmental Planner, Native American Heritage Commission
Local Agencies
Adele Phillips, Planner II, County of Mendocino Planning & Building Services
Public Comment
James F. Houle, Redwood City
Robert Taylor, Ukiah
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Response to Comment Letter A
Adele Phillips, Planner II
County of Mendocino Planning & Building Services
A-1 The comment letter states that the Mendocino County Department of Planning and
Building Services Planning Division has reviewed the RPDEIR and has no comment.
This comment is noted, and no response is required.
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Response to Comment Letter B
Katy Sanchez, Associate Environmental Planner, Native American
Heritage Commission
B-1 The commenter states that the Native American Heritage Commission (NAHC) has
reviewed the Draft Environmental Impact Report and provides notice regarding the
requirements of AB 52 and SB 18. Any project with a notice of preparation or a
notice of negative declaration or mitigated negative declaration that is filed on or after
July 1, 2015 is required to comply with the requirements of AB 52. SB 18 applies to
any project that involves the adoption of a general plan or specific plan amendment,
or the designation or proposed designation of open space. The commenter
recommends that lead agencies consult with all California Native American tribes
that are affiliated with the geographic area of the Project as early as possible to
protect tribal cultural resources and urges consultation with NAHC for Native
American Tribal Consultation Lists and Sacred Lands File searches.
As the Notice of Preparation for the Project’s EIR was filed on November 7, 2011,
this predates the requirements of AB 52, and therefore the mandates specified by AB
52 do not apply to the Project. The Project would not involve a general plan or
specific plan amendment, nor would it involve the designation or proposed
designation of open space. Therefore, requirements set forth by SB 18 would not
apply to the Project. Applicable California Native American tribes have been
consulted and cultural resources impacts were evaluated in the Draft Environmental
Impact Report for the Project. The RPDEIR did not involve any changes to the EIR or
Project related to cultural or historic resources. The comment is noted, and no
response is required.
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Response to Comment Letter C
James F. Houle
C-1 The commenter notes that his comments pertain only to the potential energy impacts of
the Project as listed in Section 3.15 of the RPDEIR and presents his opinion that Ukiah
does not have the need for additional vehicle fueling stations. The comment is noted.
C-2 The commenter states that Ukiah currently includes 14 gasoline and diesel fueling
stations with 100 fueling positions located between Talmage Road in southern Ukiah
and the north Ukiah on-ramp to the freeway. The commenter notes that there is rarely
a line for use of these stations. The comment is unrelated to the energy evaluation
described in the RPDEIR, the comment is noted, and no response is required.
C-3 The commenter expresses his expectation that the fueling station associated with the
Project would drive conveniently located gasoline stations to go out of business, and
increase Costco profits. The commenter further notes that Costco stores do not have a
requirement to include a gasoline station, and that the fuel consumed to access the
Project’s fueling station would be close to savings obtained by using the Project’s
discounted fueling stations. The energy consumption for project-related vehicle trips
has been described and analyzed in the RPDEIR (see REDEIR Table 3.15-6,
Transportation Fuels, Project Operations). The cost of the fuel sold at the proposed
project is not an environmental issue, and no additional response is required.
C-4 The commenter states his observation that traffic issues around Costco stores in Santa
Rosa and Rohnert Park occur due to Costco gasoline stations. The commenter expects
that a similar increase in traffic on Airport Boulevard would occur due to the
Project’s fueling station. The commenter notes that there are no plans for expansion
of Airport Boulevard’s handling capacity and requests that a traffic analysis be
conducted. An analysis of traffic impacts was provided in the Project’s Draft EIR, not
in the RPDEIR. The comment is unrelated to the energy evaluation and analysis
described in the RPDEIR or the adequacy of the RPDEIR. As such, this comment is
outside the scope of the RPDEIR and, as noted above, the City does not have an
obligation to respond to comments outside the scope of the RPDEIR (CEQA
Guidelines Section 15088.5(f)(2)). No additional response is required.
C-5 The commenter notes that over the 6 years since the preparation of the DEIR, the
efficiency of solar panels has increased by 50%, and states that Project energy savings
with these higher-efficiency solar panels was not evaluated. The commenter
expresses his opinion that energy use impacts resulting from the Project’s warehouse
would be considerable and states that these impacts should be examined. The
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commenter states that other concerns regarding the Project are left unanswered and
requests that these be addressed by the City Council.
Energy consumption at the proposed warehouse is analyzed in the RPDEIR. As no
significant impacts were identified, the lead agency cannot mandate the inclusion of
solar panels as part of the project to avoid or reduce an impact. The project is wired to
accommodate solar panels at such time as they would be a financially beneficial
energy source. See RPDEIR page 3.15-20.
C-6 The commenter states that CALTRANS has not approved the design for the Highway
101 off-ramp and states that work cannot proceed without this approval. The
comment is unrelated to the energy evaluation and analysis described in the RPDEIR
or the adequacy of the RPDEIR. As such, this comment is outside the scope of the
RPDEIR and, as noted above, the City does not have an obligation to respond to
comments outside the scope of the RPDEIR (CEQA Guidelines Section
15088.5(f)(2)). The comment is noted, and no response is required.
C-7 The commenter states that expansion of the WALMART operation would occur once
the Project is approved. The commenter states that the potentiality of this event has not
been addressed and requests that another traffic study be prepared and future increased
traffic demands be considered. The comment is unrelated to the energy evaluation and
analysis described in the RPDEIR or the adequacy of the RPDEIR. As such, this
comment is outside the scope of the RPDEIR and, as noted above, the City does not
have an obligation to respond to comments outside the scope of the RPDEIR (CEQA
Guidelines Section 15088.5(f)(2)). The comment is noted, and no response is required.
C-8 The commenter notes that no source of finance for the highway off-ramp expansion
and Airport Boulevard has been identified. The commenter expresses their impression
that the City would not be able to fund this from its general funds. The comment is
unrelated to the energy evaluation and analysis described in the RPDEIR or the
adequacy of the RPDEIR. As such, this comment is outside the scope of the RPDEIR
and, as noted above, the City does not have an obligation to respond to comments
outside the scope of the RPDEIR (CEQA Guidelines Section 15088.5(f)(2)). The
comment is noted, and no response is required.
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Response to Comment Letter D
Robert Taylor
D-1 The commenter discusses general concerns with the long approval process for the
proposed project. Commenter further notes the public scrutiny on other projects in
the region.
There are no comments specific to the energy analysis or the adequacy of the
RPDEIR. As such, this comment is outside the scope of the RPDEIR and, as noted
above, the City does not have an obligation to respond to comments outside the scope
of the RPDEIR (CEQA Guidelines Section 15088.5(f)(2)). The comment is noted,
and no response is required. The Planning Commission and City Council will
consider all public comments when considering action on the proposed project.
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CHAPTER 4
MITIGATION MONITORING AND REPORTING PROGRAM
4.1 INTRODUCTION
Section 15097 of the Guidelines for the California Environmental Quality Act (CEQA) requires
that, whenever a public agency approves a project based on a Mitigated Negative Declaration or
an Environmental Impact Report (EIR), the public agency shall establish a mitigation monitoring
or reporting program to ensure that all adopted mitigation measures are implemented.
The mitigation monitoring and reporting program (MMRP) contained herein is intended to
satisfy this requirement of the CEQA Guidelines as it relates to the Costco Wholesale Project
(Project). This MMRP is intended to be used by City staff and mitigation monitoring personnel
to ensure compliance with mitigation measures during project implementation. Mitigation
measures identified in this MMRP were developed in the Draft EIR prepared for the Project. No
new mitigation measures were proposed in the RPDEIR, as mitigation measures outlined
previously in the Draft EIR would adequately reduce energy impacts.
The Draft EIR for the P roject presents a detailed set of mitigation measures required
for implementation.
As noted above, the intent of the MMRP is to ensure the effective implementation and
enforcement of all adopted mitigation measures. The MMRP will provide for monitoring of
construction activities, as necessary, and in the field identification and resolution of
environmental concerns.
4.2 MITIGATION MONITORING AND REPORTING
PROGRAM DESCRIPTION
Compliance
The City of Ukiah will coordinate monitoring activities and document the implementation of
mitigation measures. The table below identifies the mitigation measures, the monitoring actions,
the implementing entities, the responsible parties for monitoring actions, and the timi ng of
mitigation actions. The entity identified as having implementing responsibility has the primary
duty to execute the mitigation measures. The “applicant” shall refer to the entity seeking
entitlements for development of the project in the project area. In some instances this may
require contracting for specialized consultant services. In instances where the implementing
responsibility is shared between the City and construction contractors, the City would be
responsible for ensuring that the mitigation requirements are implemented.
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Field Monitoring of Mitigation Measures
Prior to the issuance of grading and building permits, City staff will be responsible for ensuring
compliance with mitigation monitoring applicable to the project design phase.
During construction and following the project, the City’s Public Works Department will assign
inspectors who will be responsible for monitoring the implementation of the mitigation
measures. The inspectors will report to the City’s Public Works Department and will be
thoroughly familiar with the mitigation measures in the MMRP. In addition, the inspectors will
be familiar with construction contract requirements, schedules, standard construction practices,
and mitigation techniques. The City will be responsible for on-site, day-to-day monitoring of
construction activities, reviewing construction plans and equipment staging/access plans to
ensure conformance with adopted mitigation measures. The City will also have the authority to
enforce mitigation measures by suspending particular construction activities.
Once construction has been completed, the City will monitor the project as necessary.
If any mitigation measures are not being implemented, the City may pursue corrective action.
Penalties that may be applied include, but are not limited to, the following: (1) a written
notification and request for compliance; (2) withholding of permits; (3) administrative fines; (4)
a stop-work order; (5) criminal prosecution and/or administrative fines; (6) forfeiture of securi ty
bonds or other guarantees; (7) revocation of permits or other entitlements.
Changes to Mitigation Measures
Any substantive change in the monitoring plan made by City Staff shall be reported in writi ng to
the Planning Division. Modifications to the mitigation may be made by City staff subject to one
of the following findings, documented by evidence included in the record:
a. The mitigation measure included in the Final EIR and MMRP is no longer required
because the significant environmental impact identified in the Final EIR has been found
not to exist or to occur at a level which makes the impact less than significant as a result
of changes in the project, changes in conditions of the environment or other factors.
Or
b. The modified or substitute mitigation measure to be included in the MMRP provides a
quantified level of environmental protection equal to or greater than that afforded by the
mitigation included in the Final EIR and the MMRP; and the modified or substitute
mitigation measures do not have significant adverse effects on the environment in
addition to or greater than those which were considered by the responsible hearing bodies
in their decisions on the Final EIR and the proposed project; and the modified or
substitute mitigation measures are feasible, and the City through measures included in the
MMRP or other City procedures can ensure their implementation.
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Findings and related documentation supporting the findings involving modifications to
mitigation measures shall be maintained in the project file with the MMRP and shall be made
available to the public upon request.
Mitigation Monitoring and Reporting Program
The table presented on the following pages provides the MMRP for the proposed project. The
MMRP identifies the following:
1. an explanation of each impact by issue area, summarized as an impact statement;
2. the full text of the mitigation measure(s) applicable to each impact statement;
3. the method and/or process by which the mitigation measure will be implemented;
4. the timing of implementation of each mitigation measure; and
5. the party responsible for ensuring implementation of each mitigation measure.
Following completion of the monitoring and reporting process, the final monitoring results will
be filed with the Project’s Environmental Record.
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Aesthetics
Measure 3.1.2: : All outdoor light fixtures shall be located, aimed or shielded so as to
minimize stray light trespassing across property boundaries. Fixtures shall be full cut-off
and nighttime friendly, consistent with LEED goals and Green Globes criteria for light
pollution reduction. The project applicant will be required to prepare a photometric plan
demonstrating that lighting will not spillover onto adjacent properties. Furthermore, the
Project will adhere to all City regulations relating to signage and the shielding of light in
order to reduce any potential negative effects from new light sources (per Building Code
Sections §3225, §3226, §3227). The revised light plan shall demonstrate an average light
level no greater than 4 footcandle (fc) at grade (ground surface), and shall not exceed 10
fc in any location. Light trespass onto adjacent private property shall not excee d 0.2 fc (at
the property line). Light trespass onto adjacent public rights of way or private roadway
easements shall not exceed 0.2 fc measured at the centerline of the right of way. Pole-
mounted parking lot lighting shall be turned off one hour after the store closes.
Alternatively, 50% of pole-mounted lighting may be turned off if the City or store operator
requests additional security lighting. These standards shall be included in the Project
conditions of approval as well as the mitigation monitoring and reporting program.
City of Ukiah Planning and
Community Development
Department
Plan prepared and approved
prior to issuance of building
permit. Monitoring ongoing
during construction.
Air Quality
Measure 3.2.2a: The Project will incorporate sustainability features in building and site
design with the goal of reaching a building efficiency rating that is greater than the Title
24 requirement, in order to reduce energy consumption and associated GHG emissions.
As set forth in the "Project Description," the project will incorporate the following
sustainability features:
Parking lot light standards are designed to provide even light distribution and use 20%
less energy compared to a greater number of fixtures at lower heights. The use of metal
halide lamps provide a color corrected white light and a higher level of perceived
brightness with less energy than other lamps such as high pressure sodium.
Locally extracted and manufactured building materials will be utilized where feasible.
Pre-manufactured building components, including structural framing and metal
panels, are designed to minimize waste during construction.
City of Ukiah Planning and
Community Development
Department
Plan prepared and approved
prior to issuance of building
permit. Monitoring ongoing
during construction.
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Pre-manufactured metal wall panels with insulation are designed to conserve energy
by increasing R-value and solar reflectivity. Building heat absorption is reduced by a
decrease in the thermal mass of the metal wall when compared to a typical masonry
block wall.
Reflective roof material will meet the requirements for the USEPA’s Energy Star
energy efficiency program. Reflective roofs produce lower heat absorption and
thereby lower energy usage during the summer months.
Skylights are used on the roof to reduce the need for interior lighting. A “daylight
harvesting” system monitors and adjusts the mechanical and lighting systems in order
to conserve energy. The system includes the skylights, light monitors, energy efficient
lighting fixtures, and associated control systems. On a typical sunny day, fewer than
one third of the interior lights are needed.
Tree plantings to reduce summer heat gain within the parking field.
Planting to incorporate a substantial amount of drought tolerant species.
Irrigation system to incorporate the use of deep root watering bubblers for parking lot
shade trees to minimize water usage and ensure that water goes directly to the
intended planting areas.
Measure 3.2.2b: The applicant shall implement the following measures to reduce motor
vehicle trips and emissions associated with Project operations:
Promote the use of alternative fueled vehicles (i.e., CNG, electric, etc) for Project
operations. The applicant shall implement two or more of the following measures:
o Warehouse equipment, including forklifts, will be electric powered.
o Landscaping equipment will be electric powered.
o Applicant/operator owned service or delivery vehicles shall be low or zero emission
vehicles.
o Preferred parking for zero emission vehicles.
o Retail fueling station will include a CNG refueling station.
o Customer parking will include a minimum of one (1) electric recharge station.
Provide commute incentives for employees to utilize alternative transportation, such
as carpool/vanpool, transit, cycling, or walking. A Costco carpool and alternative
City of Ukiah Planning and
Community Development
Department
Plan prepared and approved
prior to issuance of building
permit. Monitoring ongoing
during construction.
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transportation manager shall be designated to oversee the implementation of these
TDM measures. Costco will provide its employees the following incentives:
o Four carpool parking spaces reserved for Costco employees;
o Bicycle parking as required by City standards;
o Employee locker rooms;
o Rideshare Program, including recognition of rideshare participants at monthly staff
meetings and an annual update of rideshare benefits and incentives provided to
employees;
o A Rideshare Bulletin Board to be located in the employee breakroom, which will
contain information about the Rideshare Program, transit, bike routes, and other
alternate commute information;
o A Rideshare Newsletter to be published and posted on the Rideshare Bulletin
Board on a quarterly basis;
o Costco employees commuting to work in a rideshare will be eligible for a
guaranteed ride home program in the event of an emergency or unexpected
situation (such as unscheduled overtime) on the days they rideshare.
o The applicant shall increase transit accessibility. Such measures could include the
purchase of transit passes for employees. Also, implement Mitigation Measure
3.10.2a.
The applicant shall improve the pedestrian and bicycle network. Implement Mitigation
Measure 3.10.2b and 2c.
If the applicant demonstrates, with substantial evidence that the City finds credible and
with which it agrees, that any of the above measures are infeasible, the City may allow
fewer than all of the above measures to be implemented for the Project. This exception
does not excuse the applicant from complying with at least two of the measures listed
above to promote the use of alternative fueled vehicles and equipment.
Measure 3.2.2c: Use low VOC architectural coatings. City of Ukiah Planning and
Community Development
Department
Plan prepared and approved
prior to issuance of building
permit. Monitoring ongoing
during construction.
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Geology and Soils
Measure 3.4.1a (For Seismic Ground Shaking) - Prior to the issuance of a building permit
for any portion of the Project site, the Project sponsor shall:
1. Submit to the City Building Services Division a site-specific, design level
geotechnical investigation prepared for each development parcel by a registered
geotechnical engineer. The investigation shall comply with all applicable state and
local code requirements and:
a. Include an analysis of the expected ground motions at the site from known active
faults using accepted methodologies;
b. Determine structural design requirements as prescribed by the most current
version of the California Building Code, including applicable City amendments, to
ensure that structures can withstand ground accelerations expected from known
active faults;
c. Determine the final design parameters for walls, foundations, foundation slabs,
utilities, roadways, parking lots, sidewalks, and other surrounding related
improvements;
2. Project plans for foundation design, earthwork, and site preparation shall incorporate
all of the mitigations in the site specific investigations.
3. The Project structural engineer shall review the site specific investi gations, provide
any additional necessary mitigation to meet Building Code requirements, and
incorporate all applicable mitigations from the investigation in the structural design
plans and shall ensure that all structural plans for the Project meet current Building
Code requirements.
4. A registered City geotechnical engineer or third-party registered engineer retained to
review the geotechnical reports shall review each site-specific geotechnical
investigation, approve the final report, and require compliance with all geotechnical
mitigations contained in the investigation in the plans submitted for the grading,
foundation, structural, infrastructure and all other relevant construction permits.
5. The City shall review all Project plans for grading, foundations, structural,
infrastructure and all other relevant construction permits to ensure compliance with
the applicable geotechnical investigation and other applicable Code requirements.
City of Ukiah Planning and
Community Development
Department, City Building
Services Division
Plan prepared and approved
prior to issuance of building
permit.
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Measure 3.4.1b (For liquefaction and earthquake induced settlement) – Prior to the
issuance of a building permit for any portion of the Project site, the Project sponsor sh all:
1. Submit to the City a site-specific, design level geotechnical investigation prepared
for each building site or installed facility location by a registered geotechnical
engineer. The investigation shall comply with all applicable state and local code
requirements and:
a. Provide site specific engineering requirements for mitigation of liquefiable soils;
b. Specify liquefaction mitigations that shall use proven methods, generally
accepted by registered engineers, to reduce the risk of liquefaction to a less than
significant level such as:
i. subsurface soil improvement,
ii. deep foundations extending below the liquefiable layers,
iii. structural slabs designed to span across areas of non-support,
iv. soil cover sufficiently thick over liquefaction soil to bridge liquefaction zones,
v. dynamic compaction,
vi. compaction grouting,
vii. jet grouting,
viii. mitigation for liquefaction hazards suggested in the California Geological
Survey's Geology (CGS) Guidelines for Evaluating and Mitigating Seismic
Hazards (CGS Special Publication 117, 1997) including edge containment
structures (berms, dikes, sea walls, retaining structures, compacted soil
zones), removal or treatment of liquefiable soils, modification of site
geometry, lowering the groundwater table, in-situ ground densification, deep
foundations, reinforced shallow foundations, and structural design that can
withstand predicted displacements.
2. The geotechnical investigation shall evaluate these mitigations and identify the most
effective and practicable mitigation methods for inclusion in the Project plans. These
identified mitigations shall be reviewed to ensure compliance with the CGS Geology
Guidelines related to protection of the public safety from liquefaction.
3. Project plans for foundation design, earthwork, and site preparation shall incorporate
all of the mitigations in the site specific investigations.
City of Ukiah Planning and
Community Development
Department, City Building
Services Division
Plan prepared and approved
prior to issuance of building
permit.
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4. The Project structural engineer shall review the site specific investigations, provide
any additional necessary mitigation to meet Building Code requirements, and
incorporate all applicable mitigations from the investigation in the structural design
plans and shall ensure that all structural plans for the Project meet current Building
Code requirements.
5. A registered City geotechnical engineer or third-party registered engineer retained to
review the geotechnical reports shall review each site-specific geotechnical
investigation, approve the final report, and require compliance with all geotechnical
mitigations contained in the investigation in the plans submitted for the grading,
foundation, structural, infrastructure and all other relevant construction permits.
6. The City shall review all Project plans for grading, foundations, structural,
infrastructure and all other relevant construction permits to ensure compliance with
the applicable geotechnical investigation and other applicable Code requirements.
Hazards and Hazardous Materials
Measure 3.5.2: Hazards Remediation. If contaminated soil and/or groundwater are
encountered or suspected contamination is encountered during Project construction
activities, work shall be halted in the area, a nd the type and extent of the
contamination shall be identified in accordance with coordination of the overseeing
agency (RWQCB, DTSC, and/or MCEHD). A qualified professional, in consultation with
regulatory agencies (RWQCB, DTSC, and/or MCEHD) shall then develop an appropriate
method to remediate the contamination, and determine the appropriate disposal method
of any contaminated soil and/or groundwater. At this time, the available studies suggest
that no contaminated soil or groundwater will be found on site. Nevertheless, this
mitigation measure would require remediation procedures in the unlikely event that
contamination is encountered. Additionally, if required by an overseeing agency, a
remediation plan shall be implemented either before or in conjunction with continued
Project construction.
City of Ukiah Planning and
Community Development
Department
During project construction.
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Hydrology and Water Quality
Measure 3.6.2: In the event that construction period dewatering is required, The Project
Applicant will coordinate with the City concerning dewatering activities and compliance
with the provisions in the permit, such as the effluent limitations in the permit, prior to
discharge. The applicant will:
Submit a Report of Waste Discharge and Application for NPDES Permit along with a
feasibility study of reuse of the groundwater to the RWQCB.
Discharge flows only upon receipt of the Discharge Authorization Letter from the
RWQCB.
City of Ukiah Planning and
Community Development
Department
Prior to project construction.
Measure 3.6.4: The Applicant shall prepare and submit to the City engineer and the
North Coast Regional Water Quality Control Board for approval a Final Drainage Plan.
The Final Drainage Plan shall include design/plan level depiction of the proposed
stormwater drainage facilities on site, including the proposed storm drainage system,
vegetated swales, and the detention basin. The following measures shall be implemented
within the Final Drainage Plan, based on modeled runoff volumes and flow rates specific
to with-Project conditions:
The applicant shall design, implement, and maintain a stormwater retention and/or
detention feature(s) such that there would be no net increase in project condition
peak flows; and/or, with respect to the additional impervious surface area proposed
for the project, the [applicant] shall design and implement volume- and/or flow-
based Treatment Control Best Management Practices (BMPs) as defined in
Attachment 4 (pages 5-6) of the State Water Resources Control Board (SWRCB)
small municipal separate storm sewer systems (MS4s) General Permit (Small MS4
General Permit) (SWRCB Order 2003-0005-DWQ).
Prior to implementation, design drawings and any related documents or specifications
with respect to these required mitigation measures shall be submitted to the City of
Ukiah and the North Coast Regional Water Quality Control Board.
City of Ukiah Planning and
Community Development
Department
Plan prepared and approved
prior to issuance of building
permit. Monitoring ongoing
during construction.
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Transportation and Traffic
Measure 3.10.1: Construct Talmage Road Interchange improvements, including the
provision of two left-turn lanes on the westbound Talmage Road approach to Airport Park
Blvd. The improvements include the following components:
Closure of the existing stop-controlled US 101 Southbound Off-Ramp right-turn to
westbound Talmage Road
All US 101 Southbound Off-Ramp traffic would be redirected to access Talmage
Road via a new full access intersection where the current loop ramp connects with
Talmage Road so that all off-ramp traffic would utilize the off -loop ramp.
The existing US 101 Southbound Off -Ramp loop would be reconfigured to a more
standard 90-degree angle.
The intersection of the loop ramp with Talmage Road would be controlled by a new
traffic signal.
Both the eastbound Talmage Road and northbound US 101 Southbound Off-Ramp
right-turn lanes will have right-turn overlap phasing, while the westbound Talmage
Road approach would include protected left-turn phasing.
The design would also provide for two left-turn lanes on the westbound Talmage
Road approach to Airport Park Boulevard, which should extend the entire distance to
the adjacent intersection.
Since the left-turn lanes would extend all the way to the intersection, signs and
markings on the off-ramp are provided to direct drivers to the correct lane for their
destination.
Intersection markings should be incorporated that provide guidance so as not to
create a trap-lane situation for drivers in the far northbound left lane.
Removal of the existing northbound right-turn overlap phasing at Airport Park
Boulevard/Talmage Road.
The City shall coordinate with the California Department of Transportation regarding
improvements to state facilities. The traffic mitigations shall be completed before Costco
is issued a certificate of occupancy. The City shall establish a funding mechanism to pay
for the cost of the improvements.
City of Ukiah Planning and
Community Development
Department (in coordination
with the City of Ukiah Public
Works Department and
California Department of
Transportation)
The project funding shall be
obligated prior to the issuance of
a building permit. The
interchange improvements shall
be substantially completed prior
to issuance of the certificate of
occupancy for the Project.
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Measure 3.10.2a: Provide a concrete pad suitable for future location of bus shelter on the
northern frontage of the Project site, adjacent to the proposed sidewalk.
City of Ukiah Planning and
Community Development
Department and Mendocino
Transit Authority
The concrete pad location will be
identified on the approved
building plan, as determined
through coordination between
the City and the Mendocino
Transit Authority.
Measure 3.10.2b: The Project Applicant shall implement the following measures to
reduce potential pedestrian impacts associated with the Project:
Install sidewalks along the project frontage on Airport Park Boulevard as identified in
the project site plan.
Install high visibility crosswalk markings across driveway entrances to the project
including the existing cul-de-sac on the north side of the project to increase visibility
of pedestrians.
Install ADA compliant curb ramps at driveway crossings and transition points along
the project frontage. Also, ensure that the existing curb ramps at the existing cul-de-
sac intersection with Airport Park Boulevard are compliant with current ADA
standards.
Provide an adequate pedestrian connection from the street frontage and main parking
area to the retail store entrance (per Ordinance 1098).
City of Ukiah Planning and
Community Development
Department
Complete prior to certificate of
occupancy.
Measure 3.10.2c: The Project Applicant shall implement the following measures to
reduce potential bicycle impacts associated with the Project:
Install Class III bike lanes along the Project frontage on Airport Park Boulevard.
The Project Applicant shall comply with Ordinance 1098, Airport Industrial Park
Planned Development, requirements to install the required number of bicycle parking
spaces (long-term spaces [bicycle lockers or covered parking spaces to reduce
exposure to the elements and vandalism] for Project employees and short-term
spaces for Project patrons and employees [at a convenient location adjacent to the
store’s primary entry points]). Bicycle racks should be an appropriate design and
installed correctly to ensure proper function.
City of Ukiah Planning and
Community Development
Department
Complete prior to certificate of
occupancy.
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Measure 3.10.4: In addition to the planned left-turn lane on the westbound approach of
Airport Road, a left-turn lane on the eastbound Hastings Avenue approach should be
installed at South State Street/Hastings Avenue-Airport Road. Implementation of the
recommended improvements at Talmage Road/Airport Park Boulevard would result in
acceptable operating conditions during both the a.m. and p.m. peak hours.
City of Ukiah Planning and
Community Development
Department
City shall incorporate
improvements into planned
improvements at South
Street/Hastings. To be
completed within five years of
Project operation (as measured
from certificate of occupancy).
Biological Resources
Measure 3.12.1: The following measures shall be implemented to reduce potential
impacts on nesting birds:
1. If construction-related activities are to occur during the nesting bird season
(February 15 through August 31), a qualified biologist shall conduct a
preconstruction survey of all potential nesting habitats within 30 days prior to the
start of activities (grubbing, dirt-moving, mobilization, or other construction-related
activities) and within 500 feet of construction activities. If ground-disturbing activities are
delayed or suspended for more than 30 days after the pre-construction survey, the site
shall be resurveyed. The results of these surveys shall be documented in a technical
memorandum that shall be submitted to the California Department of Fish and Game (if
nesting birds are documented) and the City of Ukiah.
2. If an active nest is found during the preconstruction survey, a no-work buffer of
500 feet will be established unless otherwise approved by the California Department
of Fish and Game (DFG). The qualified biologist will coordinate with DFG to determine
the appropriate nest avoidance, monitoring, and protective measures appropriate for
the species and site conditions. In addition to establishment of a no-work buffer,
these measures may include daily or spot-check monitoring of the nesting activity as
deemed appropriate by DFG.
3. If the preconstruction survey indicates that nests are inactive or potential habitat is
unoccupied during the construction period, no further mitigation is required. Trees
and shrubs that have been determined to be unoccupied by birds or that are located
more than 500 feet from active nests may be removed (500 feet is the distance
regularly recommended by DFG to prevent impacts to active avian nests).
City of Ukiah Planning and
Community Development
Department
30 days prior to construction IF
construction begins February 15
through August 31.
If active nest is found,
monitoring schedule to be
determined by the qualified
biologist and the California
Department of Fish and Game
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Cultural Resources
Measure 3.14.2: If cultural resources are encountered, all activity in the vicinity of the find
shall cease until it can be evaluated by a qualified archaeologist and a Native American
representative. Prehistoric archaeological materials might include obsidian and chert
flaked-stone tools (e.g., projectile points, knives, scrapers) or toolmaking debris; culturally
darkened soil (“midden”) containing heat-affected rocks, artifacts, or shellfish remains;
and stone milling equipment (e.g., mortars, pestles, handstones, or milling slabs); and
battered stone tools, such as hammerstones and pitted stones. Historic-period materials
might include stone, concrete, or adobe footings and walls; filled wells or privies; and
deposits of metal, glass, and/or ceramic refuse. If the archaeologist and Native American
representative determine that the resources may be significant, they will notify the City of
Ukiah. An appropriate treatment plan for the resources should be developed. The
archaeologist shall consult with Native American representatives in determining
appropriate treatment for prehistoric or Native American cultural resources.
In considering any suggested mitigation proposed by the archaeologist and Native
American representative, the City will determine whether avoidance is necessary and
feasible in light of factors such as the nature of the find, project design, costs, and other
considerations. If avoidance is infeasible, other appropriate measures (e.g., data
recovery) will be instituted. Work may proceed in other parts of the project area while
mitigation for cultural resources is being carried out.
Measure 3.14.3: If human remains are encountered unexpectedly during construction
excavation and grading activities, State Health and Safety Code Section 7050.5 requires
that no further disturbance shall occur until the County Coroner has made the necessary
findings as to origin and disposition pursuant to PRC Section 5097.98. If the remains are
determined to be of Native American descent, the coroner has 24 hours to notify the NAHC.
The NAHC will then identify the person(s) thought to be the Most Likely Descendent, who
will help determine what course of action should be taken in dealing with the remains.
RESOLUTION NO. 2015- 26
RESOLUTION OF THE CITY OF UKIAH ADOPTING AN ADDENDUM TO THE
ADOPTED INITIAL STUDY/MITIGATED NEGATIVE DECLARATION IN
ACCORDANCE WITH THE CALIFORNIA ENVIRONMENTAL QUALITY ACT FOR
THE CITY'S RECYCLED WATER PROJECT
WHEREAS, prior to the adoption of this resolution, the City of Ukiah (City) prepared an
Initial Study/Mitigated Negative Declaration (IS/MND) on the City's proposed Recycled
Water Project (Project or Proposed Project) pursuant to the California Environmental
Quality Act 1970, as amended (CEQA), and state and local guidelines implementing
CEQA; and
WHEREAS, the purpose of the Proposed Project is to replace/augment existing water
supplies in Ukiah Valley in Mendocino County, California. Recycled water use within the
Ukiah Valley would offset existing and future water demands for irrigation and frost
protection of agricultural land, and in doing so, would support the local agricultural
industry. It would also offset urban irrigation demands, ease storage limitations at the
Ukiah Wastewater Treatment Plant (UWWTP), and reduce treated wastewater
discharges to the Russian River; and
WHEREAS, the Proposed Project consists of approximately 8.6-miles of recycled water
pipeline ranging in size from of 8- to 24-inches in diameter to provide recycled water
from the City's existing Ukiah WWTP to approximately 76.2 acres of agricultural and
urban landscape irrigation lands within the Ukiah Valley. Specifically, a total of 65
parcels covering 762 acres would be supplied with 1,348 AFY of recycled water for
irrigation purposes. In addition, about 259 acres would be supplied with 124 AFY of
recycled water for frost protection; and
WHEREAS, the City is the lead agency on the Project, and the City Council is the
decision-making body for the Proposed Project; and
WHEREAS, the City adopted the IS/MND and approved the Project (SCH
2013032072) on June 5, 2013; and
WHEREAS, since the adoption of the IS/MND, the City has made minor changes to the
alignment of recycled water facilities in order to achieve design efficiencies; and
WHEREAS, the State Water Resources Control Board (State Water Board) is providing
partial funding for the Proposed Project under the State Revolving Fund (SRF) Program
and has requested additional environmental analysis to evaluate the potential effects of
reducing discharges to the Russian River as a result of implementing the Proposed
Recycled Water Project; and
WHEREAS, Section 1211 of the Water Code requires that before making a change in
the point of discharge, place of use, or purpose of use of treated wastewater, the owner
of the treatment plant must seek approval from the Division of Water Rights (Division) by
filing a Petition for Change; and
1
I
WHEREAS, the City filed a Wastewater Change Petition with the Division and was given
the identifier WW0082. Division staff prepared an analysis to evaluate: 1) the
incremental decrease in streamflow that could result from the approval of WW0082; and
2) whether the decrease could impair in-stream beneficial uses; and
WHEREAS, this Addendum is an informational document and is intended to be used by
the City under Public Resources Code section 21166 and the related CEQA Guidelines,
specifically sections 15162 through 15164; and
WHEREAS, the conclusion of this Addendum is that the proposed changes will not
result in new significant impacts, substantially increase the severity of previously
disclosed impacts or involve any of the other conditions related to changed
circumstances or new information that can require a subsequent or supplemental EIR
under Public Resources Code section 21166 and CEQA Guidelines section 15162
beyond those impacts and conditions already identified in the City's Public Draft and
Final IS/MND (SCH #2013032072), which was certified and approved by the City on
June 5, 2013; and
WHEREAS, this Addendum also concludes that the reduction of discharges to the
Russian River as a result of implementing the Proposed Recycled Water Project will not
result in any substantial change in impacts, and does not result in any new significant
impacts; and
WHEREAS, an Addendum is the appropriate level of CEQA analysis and the
appropriate method of amending the June 5, 2013 Adopted IS/MND, pursuant to
Sections 15162 and 15164 of the CEQA Guidelines, and
WHEREAS, the City voluntarily provided for a 14-day comment period with the State
Clearinghouse and did not receive any comments on the Addendum or the Proposed
Project.
NOW, THEREFORE, BE IT RESOLVED THAT THE CITY COUNCIL OF THE CITY OF
UKIAH DOES RESOLVE, DECLARE, DETERMINE AND ORDER THE FOLLOWING:
SECTION 1. The City Council has: (1) independently reviewed and analyzed
the CEQA Final Addendum and other information in the record and has considered the
information contained therein prior to acting upon or approving the Proposed Project; (2)
the CEQA Addendum to the Initial Study/Mitigated Negative Declaration prepared for the
Proposed Project has been completed in compliance with CEQA and is consistent with
State and local guidelines implementing CEQA; and (3) the Addendum represents the
independent judgment and analysis of the City as lead agency for the Proposed Project.
The City designates the City's Public Works Director as the custodian of documents and
records of proceedings on which this decision is based.
SECTION 2. The City Council does hereby adopt the Addendum to the Initial
Study/Mitigated Negative Declaration prepared for the Proposed Project. The
Addendum, Final Initial Study/Mitigated Negative Declaration and Mitigation Monitoring
and Reporting Program are: (1) on file with the City at its Public Works Department at
300 Seminary Avenue, Ukiah; and (2) available for inspection by any interested party.
2
SECTION 3. The City Council hereby authorizes the Director of Public Works
or his designee to file a Notice of Determination with the State Clearinghouse and the
Mendocino County Clerk-Recorder for this Addendum.
PASSED AND ADOPTED this 15th day of July, 2015 by the following roll call vote:
AYES: Councilmembers Mulheren, Doble, Brown, Scalmanini, and Mayor Crane
NOES: None
ABSENT: None
ABSTAIN:None
Douglas F. rane, Mayor
ATTEST:
ZZ
Kristine Lawler, City Clerk
3
uk0413r1-8660_8-5x11.psdPROJECT
Recycled Water
Final CEQA Addendum #2
SCH #2013032072
Initial Study/Mitigated Negative
Declaration Approved on June 5, 2013
May 2017
Final CEQA Addendum #2
City of Ukiah
Recycled Water Project
SCH #2013032072
Initial Study/Mitigated Negative Declaration
Approved on June 5, 2013
Prepared by:
SMB Environmental, Inc.
May 2017
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017 i
Table of Contents
Chapter 1
Introduction ........................................................................................................... 1-1
1.1
California Environmental Quality Act (CEQA) ................................................................... 1-1
1.2
Purpose of this Addendum ................................................................................................ 1-3
1.3
Impact Terminology .......................................................................................................... 1-4
1.4
Organization of this Document .......................................................................................... 1-4
Chapter 2
Description of Proposed Project Changes ......................................................... 2-1
2.1
Proposed Project Changes ............................................................................................... 2-1
Chapter 3
Environmental Analysis ....................................................................................... 3-1
3.1
Explanation of Environmental Review Process ................................................................ 3-1
3.2
Evaluation of Proposed Changes ..................................................................................... 3-2
Chapter 4
Conclusion ............................................................................................................ 4-1
List of Figures
Figure 1: Proposed Storage Facility Overview/Location...……………………………………..2-2
Figure 2: Proposed Storage Facility Site Plan….....……………………………………………..2-3
List of Tables
Table 1: Environmental Review of Proposed Project Changes………………………………3-3
Attachments
Table A-1: Air Quality Emissions – Original Storage Facility………………………………..A-1
Table A-2: Air Quality Emissions – Revised Storage Facility………………………………..A-1
Emission Model Estimates for Original Storage Facility………………………………………A-2
Emission Model Estimates for Revised Storage Facility………………………………………A-3
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
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Chapter 1 Introduction
This Addendum assesses the environmental impacts of proposed changes to the City of Ukiah’s (City)
proposed Recycled Water Project (Proposed Project). The City prepared an Initial Study/Mitigated
Negative Declaration (IS/MND) and on June 5, 2013 adopted the IS/MND and approved the Project
(SCH #2013032072). Subsequently in May 2015, the City prepared and approved an Addendum on minor
project changes to the original Proposed Project description and further evaluated the potential effects of
reducing flows to the Russian River. Both of these documents are included by reference. The State Water
Resources Control Board (State Water Board) is providing partial funding for the Proposed Project under
the State Revolving Fund (SRF) Program and in August of 2015 issued Order WW0082 approving the
City’s petition to change the purpose of use and the place of use of 1,472 acre-feet of treated wastewater.
The City, as the lead agency under the California Environmental Quality Act (CEQA), will consider the
potential incremental environmental impacts of the Proposed Project changes when it considers whether
or not to approve this Addendum to the Project. This Addendum is an informational document and is
intended to be used by the City under Public Resources Code section 21166 and the related CEQA
Guidelines, specifically sections 15162 through 15164.1
The conclusion of this Addendum is that the proposed changes will not result in new significant impacts,
substantially increase the severity of previously disclosed impacts, nor involve any of the other conditions
related to changed circumstances or new information that can require a subsequent or supplemental EIR
under Public Resources Code section 21166 and CEQA Guidelines section 15162 beyond those impacts
and conditions already identified in the City’s Public Draft and Final IS/MND (SCH #2013032072) (also
referred to as IS/MND throughout this document), which was certified and approved by the City on June
5, 2013 and the May 2015 Addendum. As discussed in this Addendum, CEQA and the CEQA Guidelines
do not require a subsequent or supplemental negative declaration or environmental impact report for the
proposed changes.
1.1 California Environmental Quality Act (CEQA)
For a proposed modified project, State CEQA Guidelines (Sections 15162 and 15164) provide that an
Addendum to an adopted IS/MND may be prepared if only minor technical changes or additions are
necessary or none of the following conditions calling for the preparation of a subsequent IS/MND have
occurred:
• Substantial changes in the project which require major revisions to the IS/MND due to the
involvement of new significant environmental effects or a substantial increase in the severity of
previously identified significant effects;
• Substantial changes with respect to the circumstances under which the project is undertaken
which require major revisions to the IS/MND due to the involvement of new significant
environmental effects or a substantial increase in the severity of previously identified significant
effects; or
• New information of substantial importance, which was not known and could not have been
known with the exercise of reasonable diligence at the time of IS/MND adoption, shows any of
the following:
i) The project will have one or more significant effects not discussed in the IS/MND,
1 The CEQA Guidelines are contained in Title 14 of the California Code of Regulations.
City of Ukiah Recycled Water Project
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ii) The project will result in impacts substantially more severe than those disclosed in the
IS/MND,
iii) Mitigation measures or alternatives previously found not to be feasible would in fact be
feasible and would substantially reduce one or more significant effects of the project, but
the project proponent declines to adopt the mitigation measure or alternative, or
iv) Mitigation measures or alternatives that are considerably different from those analyzed in
the IS/MND would substantially reduce one or more significant effects on the
environment, but the project proponent declines to adopt the mitigation measure or
alternative.
Specific CEQA language in CEQA Guidelines Section 15162 and 15164 is presented below.
15162. Subsequent EIRs and Negative Declarations
(A) When an EIR has been certified or a negative declaration adopted for a project, no subsequent
EIR shall be prepared for that project unless the lead agency determines, on the basis of
substantial evidence in the light of the whole record, one or more of the following:
(1) Substantial changes are proposed in the project which will require major revisions of the
previous EIR or negative declaration due to the involvement of new significant
environmental effects or a substantial increase in the severity of previously identified
significant effects;
(2) Substantial changes occur with respect to the circumstances under which the project is
undertaken which will require major revisions of the previous EIR or Negative Declaration
due to the involvement of new significant environmental effects or a substantial increase in
the severity of previously identified significant effects; or
(3) New information of substantial importance, which was not known and could not have been
known with the exercise of reasonable diligence at the time the previous EIR was certified as
complete or the Negative Declaration was adopted, shows any of the following:
a. The project will have one or more significant effects not discussed in the previous
EIR or negative declaration;
b. Significant effects previously examined will be substantially more severe than shown
in the previous EIR;
c. Mitigation measures or alternatives previously found not to be feasible would in fact
be feasible, and would substantially reduce one or more significant effects of the
project, but the project proponents decline to adopt the mitigation measure or
alternative; or
d. Mitigation measures or alternatives which are considerably different from those
analyzed in the previous EIR would substantially reduce one or more significant
effects on the environment, but the project proponents decline to adopt the mitigation
measure or alternative.
City of Ukiah Recycled Water Project
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(B) If changes to a project or its circumstances occur or new information becomes available after
adoption of a negative declaration, the lead agency shall prepare a subsequent EIR if required
under subsection (a). Otherwise the lead agency shall determine whether to prepare a subsequent
negative declaration, an Addendum, or no further documentation.
(C) Once a project has been approved, the lead agency's role in project approval is completed, unless
further discretionary approval on that project is required. Information appearing after an approval
does not require reopening of that approval. If after the project is approved, any of the conditions
described in subsection (A) occurs, a subsequent EIR or negative declaration shall only be
prepared by the public agency which grants the next discretionary approval for the project, if any.
In this situation no other responsible agency shall grant an approval for the project until the
subsequent EIR has been certified or subsequent negative declaration adopted.
(D) A subsequent EIR or subsequent negative declaration shall be given the same notice and public
review as required under Section 15087 or Section 15072. A subsequent EIR or negative
declaration shall state where the previous document is available and can be reviewed.
As described in Chapter 3 of this Addendum, none of the conditions described in CEQA Guidelines
section 15162 (which implements Public Resources Code section 21166) has occurred. Under such
circumstances, CEQA Guidelines section 15164 allows for the preparation of an Addendum as described
below:
15164. Addendum to an EIR or Negative Declaration
(A) The lead agency or responsible agency shall prepare an Addendum to a previously certified EIR
if some changes or additions are necessary but none of the conditions described in Section 15162
calling for preparation of a subsequent EIR have occurred.
(B) An Addendum to an adopted Negative Declaration may be prepared if only minor technical
changes or additions are necessary or none of the conditions described in Section 15162 calling
for the preparation of a subsequent EIR or negative declaration have occurred.
(C) An Addendum need not be circulated for public review but can be included in or attached to the
final EIR or adopted negative declaration.
(D) The decision making body shall consider the Addendum with the final EIR or adopted negative
declaration prior to making a decision on the project.
(E) A brief explanation of the decision not to prepare a subsequent EIR pursuant to Section 15162
should be included in an Addendum to an EIR, the lead agency's findings on the project, or
elsewhere in the record. The explanation must be supported by substantial evidence.
1.2 Purpose of this Addendum
The purpose of this Addendum is to evaluate proposed changes to the original project analyzed in the
IS/MND to demonstrate that the Proposed Project changes do not trigger any of the conditions described
above. Based on the analysis provided below, an Addendum to the IS/MND is the appropriate CEQA
document.
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1.3 Impact Terminology
This Addendum uses the terminology below to describe the levels of significance of impacts that the
IS/MND concluded that Proposed Project would have. This terminology is helpful for determining how
the environmental impacts, if any, of the proposed pipeline alignment changes compare to the
environmental impacts described in the IS/MND.
• The Proposed Project is considered to have no impact on a particular resource topic if the analysis
concludes that it would not affect that particular resource.
• An impact is considered less than significant if the analysis concludes that the impact would
cause no substantial adverse change to the environment and that accordingly it would not require
mitigation.
• An impact is considered less than significant with mitigation incorporated if the analysis
concludes that, with the inclusion of mitigation measures to which the project proponent has
agreed, the impact would cause no substantial adverse change to the environment.
• An impact is considered potentially significant if the analysis concludes that the impact exceeds
applicable regulatory thresholds of significance and cannot be reduced to a less-than-significant
level with potentially feasible mitigation.
In assessing the impacts of the proposed alignment changes to the project as originally approved, the City
is not assessing whether impacts are significant compared with existing physical conditions (i.e.,
conditions without implementation of any part of the project). Rather, the City is assessing how the
incremental impacts, if any, associated with the proposed changes compare with the impacts disclosed in
the IS/MND. This approach is expressly sanctioned by the governing statutory and regulatory provisions
and case law. (See Public Resources Code, § 21166; CEQA Guidelines, § 15162; Bowman v. City of
Petaluma (1986) 185 Cal.App.3d 1065, 1078-1082; Temecula Band of Luiseño Mission Indians v.
Rancho Cal. Water Dist. (1996) 43 Cal.App.4th, 425, 438-439).
1.4 Organization of this Document
CEQA Guidelines do not specify the format of addendums. The content and format of this Addendum is
as follows.
• Chapter 1, “Introduction,” identifies the purpose, terminology, and organization of the
Addendum.
• Chapter 2, “Description of Proposed Project Change,” identifies the proposed project refinements
in detail.
• Chapter 3, “Environmental Analysis,” presents the analysis for each component of the project
change. This chapter identifies the proposed project change's impacts in relevant resource
categories.
• Chapter 4, “Conclusion,” summarizes the conclusions of the environmental review in this
Addendum.
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
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Chapter 2 Description of Proposed Project Changes
This chapter provides a summary of the proposed changes to the City’s Proposed Recycled Water Project
(Proposed Project) as described in the March 2013 Public Draft IS/MND, the May 2013 Final IS/MND,
and the May 2015 Addendum. These are included by reference.
2.1 Proposed Project Changes
As originally described in the March 2013 Public Draft IS/MND, the May 2013 Final IS/MND, and as
revised in the May 2015 Addendum, the Proposed Project includes the construction and operation of a
new single tertiary treated recycled water storage pond at the wastewater treatment plant. The storage
facility was originally sized at a capacity of approximately 1.6 million gallon (MG) in the IS/MND and
was revised to 3 MG during the May 2015 Addendum. Now the City is proposing to increase the size of
the storage facility from 3 MG to 66 MG to make more efficient use of the 1,472 acre-feet per year (afy)
of tertiary treated water rather than discharging that water into the Russian River as is consistent with the
August 2015 Wastewater Order WW0082 from the State Water Resources Control Board. The expanded
storage facility will be located on the same 43-acre parcel, which is owned by the City. The storage pond
at the wastewater treatment plant will accommodate the variation in potential customer demand patterns
and also serve as an equalization basin to buffer the potential variation in effluent flow at the WWTP.
This storage pond will be setback from the Russian River by approximately 250-feet and will be designed
to withstand a 100-year flood event as described in the Original IS/MND. Also, the storage facility will
be lined with a synthetic liner to prevent the movement of recycled water and pollutants such as salts and
nutrients to groundwater or surface waters. Figure 1 provides an overview of the location of the storage
facility and Figure 2 provides a more detailed site plan of the storage facility.
In addition, there are some minor changes or adjustments to the estimated recycled water demands
between the phases and end uses. However, these minor changes and alterations do not increase the size
of the Proposed Project as it was evaluated in the original IS/MND and the subsequent May 2015
Addendum. In addition, these minor changes and alterations do not result in any physical changes to the
project description that would change or alter the environment. As a result, these minor changes and
alterations are not and do not need to be evaluated in this Addendum as per the requirements of CEQA.
Proposed
Storage
Facility
Figure
1
Proposed
Storage
Facility
Overview/Loca9on
DATEREVBYDESCRIPTIONDATECHECKEDDRAWNDESIGNED8660A.10JOB NO.DRAWING NO.SHEET NO.SCALES ACCORDINGLYVERIFY SCALESTHIS SHEET, ADJUSTIF NOT ONE INCH ONBAR IS ONE INCH ONORIGINAL DRAWING01"OF XXSEPTEMBER 2016CITY OF UKIAHRECYCLED WATER PROJECT - PHASES 1-312345678910111213ABCDEF12345678910111213ABCDEFGG®PROJECT ENGINEERPROJECT M ANAGER
PRINCIPALNOT FOR CONSTRUCTIONWVWVWV570568569
56
8
569
56
5
570 574 575 575570569569 571570 570 575575 580 580575580580 580
565
56
0
56
0
56
5
560 570576577570
570565
565
570570
57
5
575
570571571
569
568
567
566
575
565
56055
5 555
56
0
5
6
5
575DDPlot Date: 14-APR-2017 1:48:28 PMUser: M Roper M odel: Layout1 ColorTable: gshade.ctb DesignScript: Carollo_Std_Pen_v0905 - Civil2.pen PlotScale: 2:1PROJECT NO.LAST SAVED BY:FILE NAME:CIVIL8660A10C020.dgnMLJLG JG arretty
KEY SITE PLAN - POND STORAGE,8660A10100'050'200'FILE:A8660A10_01C100GENERAL NOTES:C-20PUMP STATION AND PIPINGCHLORINE CONTACT BASINSTERTIARY TREATMENT SITE LAYOUTPOND 3WWTP PERCOLATION SLUDGE LAGOONWWTP EXIST CELL 3CELL 1CELL 2STORAGE PONDTRIPLE CELLED RUSSI
AN RI
VERFLOW METER VAULTFLOW DIVERSION AND PUMP OUT DRAINGRAVITY MAIN CELL 2 INLET PLANCC-22BC-21DC-23CELL 1 INLET PLANEC-24CELL 3 INLET PLANFC-25REFER TO G-05 AND G-05A FOR SCHEMATIC DRAWINGS OF SYSTEM.1.OVERALL SITE PLANPUMP STATION GC-26FIGURE 2CITY OF UKIAH - RECYCLED WATER PROJECT
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
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3-1
Chapter 3 Environmental Analysis
This chapter evaluates the potential for the proposed changes to have new significant impacts on the
environment that were not previously addressed in the IS/MND, substantially more severe environmental
impacts than were addressed in the IS/MND, or trigger the new information standards stated in CEQA
Guideline section 15162. The purpose of this review is to evaluate the categories in terms of any
“changed condition” (i.e. changed circumstances, project changes, or new information of substantial
importance) that may result in a changed environmental result. A determination that no such changed
condition exists does not necessarily mean that the overall project will have no potential impacts in an
environmental category, but that the change to the Project will result in a reduction or no change in the
condition or status of the impact since it was analyzed and addressed with mitigations in the IS/MND.
3.1 Explanation of Environmental Review Process
Table 1 evaluates any potential environmental impacts from the construction and operation of the
proposed changes with the environmental impacts of the original storage facility size as discussed in the
IS/MND. This comparative analysis has the following elements, which are the basis for the discussion in
Table 1 below:
(A) Were the Impact(s) Analyzed in the IS/MND?
This column provides a cross-reference to the pages of the IS/MND where information and
analysis may be found relative to the environmental issue listed under each topic.
(B) What were the Environmental Impact Conclusions in the IS/MND?
This column provides a summary of the original environmental impact conclusions for
implementing the Proposed Project in the IS/MND.
(C) Do Proposed Changes Involve New Significant Impacts or Substantially More
Severe Impacts?
Pursuant to Section 15162(a)(1) of the CEQA Guidelines, this column indicates whether the
proposed project change will result in new significant impacts that have not already been
considered and mitigated by the IS/MND or a substantial increase in the severity of a previously
identified significant impact.
(D) Any New Circumstances Involving New Significant Impacts or Substantially More
Severe Impacts?
Pursuant to Section 15162(a)(2) of the CEQA Guidelines, this column indicates whether there
have been changes to the circumstances under which the project is being undertaken which have
occurred subsequent to the City’s adoption of the IS/MND that would result in the revised
pipeline facilities having new significant environmental impacts that were not considered in the
IS/MND or that substantially increase the severity of a previously identified significant impact.
(E) Any New Information Requiring New Analysis or Verification?
Pursuant to Section 15162(a)(3)(A-D) of the CEQA Guidelines, this column indicates whether
new information of substantial importance which was not known and could not have been known
with the exercise of reasonable diligence at the time the City adopted the IS/MND is available
requiring an update to the analysis of the IS/MND because the new information shows that:
(1) The project will have one or more significant effects not discussed in the IS/MND; or
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
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(2) Significant effects previously examined will be substantially more severe than shown
in the IS/MND; or
(3) Mitigation measures or alternatives previously found not to be feasible would in fact
be feasible and would substantially reduce one or more significant effects of the project,
but the project proponents decline to adopt the mitigation measure or alternative; or that
(4) Mitigation measures or alternatives which are considerably different from those
analyzed in the IS/MND would substantially reduce one or more significant effects on the
environment, but the project proponents decline to adopt the mitigation measure or
alternative.
If the answer to any of the above questions (C) through (E) for the incremental impacts of the
project change is ‘Yes,’ then the preparation of a subsequent or supplemental IS/MND or an EIR
could be required. However, if the additional analysis completed as part of this Addendum finds
that the applicable conclusions of the IS/MND remain the same and no new significant impacts
are identified, or identified environmental impacts are not found to be more severe, or additional
“considerably different” mitigation unacceptable to the proponent is not necessary, then the
question would be answered ‘No’ and no supplemental or subsequent IS/MND or EIR is required.
(E) Are Prior Mitigation Measures Sufficient for Addressing Any New Potential
Changes or Impacts
This column indicates whether the prior environmental documents provide mitigation measures to
address effects in the related impact category. In some cases, the mitigation measures have
already been implemented. A “yes” response will be provided in either instance. If “NA” is
indicated, this Addendum concludes that the impact does not occur with this project change and
therefore no mitigation measures are needed.
(F) Discussion and Mitigation Section
IS/MND Discussion
A discussion of the relevant portions of the IS/MND is provided under each environmental
category in order to clarify the answers. The discussion provides information about the
IS/MND’s treatment of the particular environmental issue and the status of any mitigation
measure that the IS/MND required or that has already been implemented.
IS/MND Mitigation Measures
Applicable mitigation measures from the IS/MND that apply to the project are listed under each
environmental category.
Project Change Discussion
A discussion of the environmental impacts, if any, of the revised pipeline alignment under the
standards established by CEQA Guidelines section 15162(a) for each environmental resources
section or category.
3.2 Evaluation of Proposed Changes
Table 1 evaluates the potential for the proposed changes to have new significant impacts on the
environment that were not previously addressed in the IS/MND, substantially more severe environmental
impacts than were addressed in the IS/MND or trigger the new information standards stated in CEQA
Guideline section 15162. The purpose of this review is to evaluate the categories in terms of any
“changed condition” (i.e. changed circumstances, project changes, or new information of substantial
City of Ukiah Recycled Water Project
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importance) that may result in a changed environmental result. A determination that no such changed
condition exists does not necessarily mean that the overall project will have no potential impacts in an
environmental category, but that the change to the Project will result in a reduction or no change in the
condition or status of the impact since it was analyzed and addressed with mitigations in the IS/MND.
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
Aesthetics/Visual
IS/MND
Page 3-2
LTS
No
No
No
N/A
IS/MND Discussion:
As identified in the IS/MND, The Proposed Project, including the location of the proposed storage facility is not
located in or near any designated scenic vista, designated highway, and would not affect any visual resources.
Further, the implementation of the Proposed Project would have no to less than significant potential impacts to
aesthetic and visual resources. As a result, implementation of the Proposed Project as described in the IS/MND
would not result in significant unavoidable impacts to the visual character or add substantial amounts of light and
glare.
IS/MND Mitigation Measures:
• None identified or necessary.
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to aesthetic/visual resources as the
Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The Proposed Project change will not result in new significant impacts that
have not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a
previously identified significant impact. The Revised Proposed Project therefore would not have any incrementally
significant aesthetics/visual effects as defined in CEQA Guideline section 15162(a).
Agricultural
Resources
IS/MND
Pages 3-3
and 3-4
LTS
No
No
No
N/A
IS/MND Discussion:
As identified in the IS/MND, implementation of the Proposed Project would have no to less than significant
potential impacts to agricultural resources. The Proposed Project would not convert Prime Farmland, Unique
Farmland, or Farmland of Statewide Importance (Farmland), as shown on the maps prepared pursuant to the
Farmland Mapping and Monitoring Program of the California Resources Agency, to non-agricultural use. The
Proposed Project would be primarily constructed within existing roadways within the City. In addition, the Proposed
Project will not be located on any existing agricultural fields or farmlands. As a result, the Proposed Project would
not convert any farmland to non-agricultural usage. No mitigation is required or necessary.
IS/MND Mitigation Measures:
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Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
• None identified or necessary.
Project Change Discussion:
The proposed changes to the Proposed Project would not have increased impacts to agricultural resources as the
Original Proposed Project. The proposed changes to the Proposed Project would not convert Prime Farmland,
Unique Farmland, or Farmland of Statewide Importance, as shown on the maps prepared pursuant to the Farmland
Mapping and Monitoring Program of the California Resources Agency, to non-agricultural use. As a result, any of
these impacts are not considered to be significant. Further, the construction activities associated with the revised
storage facility would be substantially the same as they were originally described in the IS/MND as it would be
constructed on the same 43-acre parcel that is owned by the City. The Original Storage Facility would take up
approximately 2-5 acres of land adjacent to the Ukiah WWTP. Now the Revised Storage Facility would take up
approximately 22 acres of land that is owned by the City. However, the lands the proposed storage pond would be
located on is owned by the City and has not been in agriculture production since 2012. Further and as explained
above, the proposed changes to the Proposed Project would not convert Prime Farmland, Unique Farmland, or
Farmland of Statewide Importance, as shown on the maps prepared pursuant to the Farmland Mapping and
Monitoring Program of the California Resources Agency, to non-agricultural use. As a result, any of these impacts
are not considered to be significant. The Proposed Project change will not result in new significant impacts that have
not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously
identified significant impact. The Revised Proposed Project therefore would not have any incrementally significant
effects to agricultural resources as defined in CEQA Guideline section 15162(a).
Air Quality
IS/MND
Pages 3-5
through 3-10
LTS/M
No
No
No
Yes
IS/MND Discussion:
As described in the IS/MND, construction of the Proposed Project would result in temporary, but not significant and
unavoidable, impacts to air quality. The Mendocino County Air Quality Management District (MCAQMD) has
deferred to using the Bay Area Air Quality Management District’s (BAAQMD) Thresholds of Significance
estimating air quality impacts. However, the Bay Area Air Quality Management District’s approach to analyses of
construction impacts as noted in their BAAQMD CEQA Guidelines is to emphasize implementation of effective and
comprehensive control measures rather than detailed quantification of emissions. As a result, the Proposed Project’s
construction related dust impacts would be reduced further with the implementation of dust effective dust control
measures and would remain less than significant.
IS/MND Mitigation Measures:
• Mitigation Measure AIR-1: Dust Control
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to air quality as the Original Proposed
Project. The construction activities associated with the revised storage facility would be substantially the same as
they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is owned
by the City. The increased size of the facility would result in increased air quality emissions but would not exceed
any of the established thresholds of significance. See Attachment A for detailed Air Quality Analysis for the
proposed change in size of the storage facility. Further, BAAQMD’s approach to analyses of construction impacts as
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Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
noted in their BAAQMD CEQA Guidelines is to emphasize implementation of effective and comprehensive control
measures rather than detailed quantification of emissions. With implementation of these dust control measures
(Mitigation Measures AIR-1 in the IS/MND and listed above), the Proposed Project’s construction-related dust
impacts would be even further reduced and would remain less-than-significant. The Proposed Project change will
not result in new significant impacts that have not already been considered and mitigated by the IS/MND or a
substantial increase in the severity of a previously identified significant impact. The Revised Proposed Project
therefore would not have any incrementally significant air quality effects as defined in CEQA Guideline section
15162(a).
Biological
Resources
IS/MND
Pages 3-11
through 3-17
LTS/M
No
No
No
Yes
IS/MND Discussion:
As identified in the IS/MND, the Proposed Project could have a substantial adverse effect, either directly or through
habitat modifications, on species identified as a candidate, sensitive, or special-status species in local or regional
plans, policies, or regulations, or by the CDFW or USFWS. Specifically, the construction activities of the Proposed
Project have the potential to affect these species in various ways ranging from removal and/or disturbance.
However, with the implementation of the following mitigation measures any impacts would be reduced to less than
significant levels.
IS/MND Mitigation Measures:
• Mitigation Measure BIO-1: Conduct Breeding/nesting Surveys
• Mitigation Measure BIO-2: Conduct Pre-Construction Surveys for Western Pond Turtle
• Mitigation Measure BIO-3: Avoid Cutting Through Creeks/Drainages
• Mitigation Measure BIO-4: Implement Construction Best Management Practices
• Mitigation Measure BIO-5: Develop and Implement a Frac-Out Contingency Plan
• Mitigation Measure BIO-6: Obtain all Required Authorizations
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to biological resources as the Original
Proposed Project. The construction activities associated with the revised storage facility would be substantially the
same as they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is
owned by the City. The Proposed Project change will not result in new significant impacts that have not already
been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously identified
significant impact. The Revised Proposed Project therefore would not have any incrementally significant effects on
biological resources as defined in CEQA Guideline section 15162(a).
Cultural Resources
IS/MND
Pages 3-18
through 3-21
LTS/M
No
No
No
Yes
IS/MND Discussion:
The IS/MND concluded that the construction of the Proposed Project would not have any direct impacts on
identified historical and archeological resources. However, construction of the Proposed Project could have
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-6
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
significant impacts on unidentified and undiscovered buried cultural resources. However, with the implementation
of the following mitigation measures, any impacts would be reduced to less than significant levels.
IS/MND Mitigation Measures:
• Mitigation Measure CR-1: Halt work if cultural resources are discovered
• Mitigation Measure CR-2: Stop work if paleontological remains are discovered
• Mitigation Measure CR-3: Halt work if human remains are found
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to cultural resources as the Original
Proposed Project. The construction activities associated with the revised storage facility would be substantially the
same as they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is
owned by the City. The Proposed Project change will not result in new significant impacts that have not already
been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously identified
significant impact. The Revised Proposed Project therefore would not have any incrementally significant effects on
cultural resources as defined in CEQA Guideline section 15162(a).
Geology and Soils
IS/MND
Pages 3-22
and 3-23
LTS/M
No
No
No
Yes
IS/MND Discussion:
As described in the IS/MND, the Proposed Project may be located in areas that consist of medium dense to dense
fine granular soils. In addition, perched groundwater could be present. As such, the soil in some areas of the
alignment may have a high susceptibility to liquefaction during seismic shaking. Other portions of the Project may
be less susceptible to liquefaction and related damage. Lateral spreading, often associated with liquefaction, is less
likely because there are no steep banks or hard ground bordering the Project area, but could still potentially be a
hazard. However, with the implementation of the following mitigation measure, any impacts are reduced to less
than significant levels. As a result, the following mitigation is proposed:
IS/MND Mitigation Measure:
• Mitigation Measure GEO-1: Perform Geotechnical Investigation
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to geology and soils as the Original
Proposed Project. The construction activities associated with the revised storage facility would be substantially the
same as they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is
owned by the City. The Proposed Project change will not result in new significant impacts that have not already
been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously identified
significant impact. The Revised Proposed Project therefore would not have any incrementally significant effects on
geology and soils as defined in CEQA Guideline section 15162(a).
Greenhouse Gas
Emissions
IS/MND
Pages 3-24
LTS
No
No
No
Yes
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-7
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
through 3-25
IS/MND Discussion:
With the implementation of mitigation, the Proposed Project would not result in any residual significant and
unavoidable impacts related to greenhouse gas emissions. Therefore, project implementation would not result in any
residual significant impacts related to greenhouse emissions.
IS/MND Mitigation Measures:
• None Identified or Necessary
Project Change Discussion:
The proposed changes to the Proposed Project would have the same chances to cause a generate greenhouse gas
emissions as the Original Proposed Project. The construction activities associated with the revised storage facility
would be substantially the same as they were originally described in the IS/MND as it would be constructed on the
same 43-acre parcel that is owned by the City. The proposed project change will not result in new significant
impacts that have not already been considered and mitigated by the IS/MND or a substantial increase in the severity
of a previously identified significant impact. The Revised Proposed Project therefore would not have any
incrementally significant effects on greenhouse gas emissions as defined in CEQA Guideline section 15162(a).
Hazards and
Hazardous
Materials
IS/MND
Pages 3-26
through 3-29
LTS/M
No
No
No
Yes
IS/MND Discussion:
With the implementation of mitigation, the Proposed Project would not result in any residual significant and
unavoidable impacts related to risks of upset or accidental release of hazards and hazardous materials. Therefore,
project implementation would not result in any residual significant impacts related to hazards and hazardous
materials.
IS/MND Mitigation Measures:
• Mitigation Measure HAZ-1: Store, Handle, Use Hazardous Materials in Accordance with Applicable Laws
• Mitigation Measure HAZ-2: Properly Dispose of Contaminated Soil and/or Groundwater
• Mitigation Measure HAZ-3: Properly Dispose of Hydrostatic Test Water
• Mitigation Measure HAZ-4: Consult with FAA, Ukiah Municipal Airport, USFWS, and CDFW
Project Change Discussion:
The proposed changes to the Proposed Project would have the same chances to cause a significant hazard to the
public and/or the environment as the Original Proposed Project. The construction activities associated with the
revised storage facility would be substantially the same as they were originally described in the IS/MND as it would
be constructed on the same 43-acre parcel that is owned by the City. The Proposed Project change will not result in
new significant impacts that have not already been considered and mitigated by the IS/MND or a substantial
increase in the severity of a previously identified significant impact. The Revised Proposed Project therefore would
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-8
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
not have any incrementally significant effects on the potential to cause a significant hazard to the public and/or the
environment as defined in CEQA Guideline section 15162(a).
Hydrology and
Water Quality
IS/MND
Pages 3-30
through 3-33
LTS/M
No
No
No
Yes
IS/MND Discussion:
With implementation of the mitigation measures listed in the IS/MND, implementation of the Proposed Project
would not result in any residual significant impacts related to increased risk of flooding from stormwater runoff,
from water quality effects from long-term urban runoff, or from short-term alteration of drainages and associated
surface water quality and sedimentation. Based on these circumstances, the Proposed Project would not result in any
residual significant and unavoidable adverse impacts to surface water hydrology and water quality.
IS/MND Mitigation Measures:
• Mitigation Measure HWQ-1: Implement Construction Best Management Practices
• Mitigation Measure HWQ-2: Implement Recycled Water Best Management Practices
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to hydrology and water quality than the
Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The City is proposing to increase the size of the storage facility from 3 MG to
66 MG to make more efficient use of the 1,472 acre-feet per year (afy) of tertiary treated water rather than
discharging that water into the Russian River as is consistent with the August 2015 Wastewater Order WW0082
from the State Water Resources Control Board. The Proposed Project change will not result in new significant
impacts that have not already been considered and mitigated by the IS/MND or a substantial increase in the severity
of a previously identified significant impact. The Revised Proposed Project therefore would not have any
incrementally significant hydrology and water quality effects as defined in CEQA Guideline section 15162(a).
Land Use and
Planning
IS/MND
Page 3-34
NI
No
No
No
N/A
IS/MND Discussion:
The IS/MND concluded that the Proposed Project would not have any adverse or significant effects on land use or
land use planning. Specifically, the Proposed Project would not result in a disruption, physical division, or isolation
of existing residential or open space areas. The Proposed Project would not conflict with any applicable land use
plan, policy, or regulation of an agency with jurisdiction over the Project area. The Proposed Project would also not
conflict with the provisions of an adopted Habitat Conservation Plan, Natural Conservation Community Plan, or
other approved local, regional, or state habitat conservation plan. As a result, no mitigation is necessary.
IS/MND Mitigation Measures:
• None identified or necessary.
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-9
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to land use and land use planning as the
Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The Proposed Project change will not result in new significant impacts that
have not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a
previously identified significant impact. The Revised Proposed Project therefore would not have any incrementally
significant land use and land use planning effects as defined in CEQA Guideline section 15162(a).
Mineral Resources IS/MND
Page 3-35
NI No No No Yes
IS/MND Discussion:
The Proposed Project is not located in an area identified as containing mineral resources classified MRZ-2 by the
State geologist that would be of value to the region and the residents of the state. As a result, the Proposed Project
would not result in the loss of availability of known mineral resources; therefore, no impact is expected. No
mitigation is required.
IS/MND Mitigation Measures:
• None identified or necessary.
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts to mineral resources as the Original
Proposed Project. The construction activities associated with the revised storage facility would be substantially the
same as they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is
owned by the City. The Proposed Project change will not result in new significant impacts that have not already
been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously identified
significant impact. The Revised Proposed Project therefore would not have any incrementally significant mineral
resource effects as defined in CEQA Guideline section 15162(a).
Noise
IS/MND
Pages 3-36
through 3-38
LTS/M
No
No
No
Yes
IS/MND Discussion:
The Proposed Project has the potential to generate noise during the construction phase through the use of equipment
and construction vehicle trips. Once constructed, the Proposed Project would not create any new sources of
operational noise. Therefore, operation of the pipeline would not result in permanent noise impacts. Construction of
the Proposed Project would generate temporary and intermittent noise. Noise levels would fluctuate depending on
the particular type, number, and duration of use of various pieces of construction equipment.
Back-up beepers associated with trucks and equipment used for material loading and unloading at the staging area
would generate significantly increased noise levels over the ambient noise environment in order to be discernable
and protect construction worker safety as required by OSHA (29 CFR 1926.601 and 29 CFR 1926.602). Businesses
and residences in the vicinity of the project area could thus be exposed to these elevated noise levels.
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-10
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
Construction activities associated with the project would be temporary in nature and related noise impacts would be
short-term. However, since construction activities could substantially increase ambient noise levels at noise-
sensitive locations, construction noise could result in potentially significant, albeit temporary, impacts to sensitive
receptors. Compliance with the City noise ordinance and implementation of the following mitigation measures is
expected to reduce impacts related to construction noise, to a less-than-significant level.
IS/MND Mitigation Measures:
• Mitigation Measure NOI-1: Limit Construction Hours
• Mitigation Measure NOI-2: Locate Staging Areas away from Sensitive Receptors
• Mitigation Measure NOI-3: Maintain Mufflers on Equipment
• Mitigation Measure NOI-4: Idling Prohibition and Enforcement
• Mitigation Measure NOI-5: Equipment Location and Shielding
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impacts on noise and sensitive receptors as the
Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The Proposed Project change will not result in new significant impacts that
have not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a
previously identified significant impact. The Revised Proposed Project therefore would not have any incrementally
significant effects on noise and sensitive receptors as defined in CEQA Guideline section 15162(a).
Population and
Housing
IS/MND
Page 3-39
through 3-40
NI
No
No
No
N/A
IS/MND Discussion:
The Proposed Project would not induce population growth either directly or indirectly. The Proposed Project/Action
would be to serve the City with up to 2,500 afy of tertiary treated recycled water for irrigation purposes. This would
help supplement the City’s current groundwater supplies, but would not be a sufficient supply to induce urban
growth in the area. Construction of the Proposed Project/Action would avoid the need to demolish any existing
houses and would not affect any other housing structures. In addition, construction, operation, and maintenance
would not result in any substantial increase in numbers of permanent workers/employees. Therefore, no impacts are
anticipated and no mitigation is required.
IS/MND Mitigation Measures:
• None identified or necessary.
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impact on population and/or housing as the
Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The Proposed Project change will not result in new significant impacts that
have not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a
previously identified significant impact. The Revised Proposed Project therefore would not have any incrementally
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-11
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
significant effects on population and/or housing as defined in CEQA Guideline section 15162(a).
Public Services IS/MND
Page 3-41
NI
No
No
No
N/A
IS/MND Discussion:
The Proposed Project would not generate population growth and the operation and maintenance of the Proposed
Project would not be labor intensive. In addition, the Proposed Project would not increase the demand for the kinds
of public services that would support new residents, such as schools, parks, fire, police, or other public facilities. As
a result, no impacts are anticipated and no mitigation is required.
IS/MND Mitigation Measures:
• None identified or necessary
Project Change Discussion:
The proposed changes to the Proposed Project would have the same or less impact on public services as the Original
Proposed Project. The construction activities associated with the revised storage facility would be substantially the
same as they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is
owned by the City. The Proposed Project change will not result in new significant impacts that have not already
been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously identified
significant impact. The Revised Proposed Project therefore would not have any incrementally significant effects on
public services as defined in CEQA Guideline section 15162(a).
Recreation IS/MND
Page 3-42
NI
No
No
No
N/A
IS/MND Discussion:
The Proposed Project would not contribute to population growth. Therefore, the Proposed Project would not
increase the use of existing neighborhood and regional parks or other recreational facilities such that substantial
physical deterioration of the facility would occur or be accelerated. As a result, no impact is expected and no
mitigation is required.
IS/MND Mitigation Measures:
• None identified or necessary.
Project Change Discussion:
The proposed changes to the Proposed Project would have the same or less impact on recreation as the Original
Proposed Project. The construction activities associated with the revised storage facility would be substantially the
same as they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is
owned by the City. The Proposed Project change will not result in new significant impacts that have not already
been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously identified
significant impact. The Revised Proposed Project therefore would not have any incrementally significant effects on
recreation as defined in CEQA Guideline section 15162(a).
IS/MND
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-12
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
Socioeconomics Pages 3-43
and 3-44
LTS No No No N/A
IS/MND Discussion:
While, not a specific CEQA resource category, the IS/MND conducted an evaluation on the Proposed Project’s
potential to have socioeconomic impacts in order to comply with the National Environmental Policy Act (NEPA).
As such, the IS/MND concluded that the Proposed Project would not have any socioeconomic impacts. The
Proposed Project does not propose any features that would result in disproportionate adverse human health or
environmental effects, have any physical effects on minority or low-income populations, and/or alter socioeconomic
conditions of populations that reside or work within the City and vicinity.
IS/MND Mitigation Measures:
• None identified or necessary.
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impact on socioeconomics as the Original
Proposed Project. The construction activities associated with the revised storage facility would be substantially the
same as they were originally described in the IS/MND as it would be constructed on the same 43-acre parcel that is
owned by the City. The Proposed Project change will not result in new significant impacts that have not already
been considered and mitigated by the IS/MND or a substantial increase in the severity of a previously identified
significant impact. The Revised Proposed Project therefore would not have any incrementally significant effects on
socioeconomics as defined in CEQA Guideline section 15162(a).
Traffic and
Transportation
IS/MND
Pages 3-45
through 3-46
LTS/M
No
No
No
Yes
IS/MND Discussion:
Through the implementation of the mitigation measures identified in the IS/MND, potentially significant traffic
impacts resulting from the construction of the Proposed Project would be reduced to a less-than-significant level
through proper construction sequencing, maintenance of two-way traffic, where possible, during construction, and
measures to avoid the creation of traffic hazards. Based on these findings, the Proposed Project would not result in
any residual significant and unavoidable impacts to traffic.
IS/MND Mitigation Measures:
• Mitigation Measure TRA-1: Prepare and Implement Traffic Control Plan
• Mitigation Measure TRA-2: Return Roads to Pre-construction Condition
Project Change Discussion:
The proposed changes to the Proposed Project would have the same impact on traffic and transportation as the
Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The Proposed Project change will not result in new significant impacts that
have not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017
3-13
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
previously identified significant impact. The Revised Proposed Project therefore would not have any incrementally
significant effects on traffic and transportation as defined in CEQA Guideline section 15162(a).
Utilities and Service
Systems
IS/MND
Pages 3-47
through 3-48
LTS
No
No
No
N/A
IS/MND Discussion:
Construction and operation of the Proposed Project would not involve activities that would cause a significant
impact to existing utility services.
IS/MND Mitigation Measures:
• None identified or necessary.
Project Change Discussion:
The proposed changes to the Proposed Project would have the same or less impact on utilities and service systems as
the Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The Proposed Project change will not result in new significant impacts that
have not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a
previously identified significant impact. The Revised Proposed Project therefore would not have any incrementally
significant effects on utilities and service systems as defined in CEQA Guideline section 15162(a).
Mandatory
Findings of
Significance
IS/MND
Pages 3-49
and 3-50
LTS/M
No
No
No
Yes
IS/MND Discussion:
With the incorporation of the previously identified mitigation measures, the Proposed Project will not substantially
degrade the quality of the environment, reduce the habitat of a fish or wildlife species, cause a fish or wildlife
population to drop below self-sustaining levels, threaten to eliminate a plant or animal community, reduce the
number or restrict the range of a rare or endangered plant or animal, or eliminate important examples of the major
periods of California history or prehistory. Any impacts from the Proposed Project in these areas are considered
here to be less-than-significant with the implementation and incorporation of the above mentioned mitigation
measures. In accordance with CEQA Guidelines Section 15183, the environmental analysis in this Initial Study was
conducted to determine if there were any project-specific effects as a result of the Proposed Project. No direct
project-specific significant effects were identified that could not be mitigated to a less-than-significant level.
Mitigation Measures incorporated herein mitigate any potential contribution to cumulative (as well as direct)
impacts associated with these environmental issues. Therefore, the Proposed Project does not have impacts that are
individually limited, but cumulatively considerable. As a result of mitigation included in this environmental
document, the Proposed Project would not result in substantial adverse effects to humans, either directly or
indirectly.
IS/MND Mitigation Measures:
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017 3-14
Table 1
Environmental Review of Proposed Project Changes
Environmental Issue Area
Where Impact(s)
were Analyzed
in
Prior
Environmental
Documents.
What were the
Environmental
Impact
conclusions for
the Original
Proposed
Project?
Do Proposed
Changes
Involve
New
Significant
or
Substantially
More
Severe
Impacts?
Any New
Circumstances
Involving New
Significant
Impacts
or Substantially
More Severe
Impacts?
Any New
Information
Requiring
New
Analysis or
Verification?
Are Prior
Mitigation
Measures
Sufficient for
Addressing
Any New
Potential
Changes or
Impacts?
•See previous mitigation measures for each resource category as identified above.
Project Change Discussion:
The proposed changes to the Proposed Project would have the same or less impacts the environment and humans as
the Original Proposed Project. The construction activities associated with the revised storage facility would be
substantially the same as they were originally described in the IS/MND as it would be constructed on the same 43-
acre parcel that is owned by the City. The Proposed Project change will not result in new significant impacts that
have not already been considered and mitigated by the IS/MND or a substantial increase in the severity of a
previously identified significant impact. The Revised Proposed Project therefore would not have any incrementally
significant effects on the environment and humans as defined in CEQA Guideline section 15162(a).
City of Ukiah Recycled Water Project
Final CEQA Addendum #2
May 2017 4-1
Chapter 4 Conclusion
The conclusion of this Addendum is that the proposed changes to the Proposed Project will not result in
new significant impacts, substantially increase the severity of previously disclosed impacts or involve any
of the other conditions related to changed circumstances or new information that can require a subsequent
or supplemental EIR under Public Resources Code section 21166 and CEQA Guidelines section 15162
beyond those impacts and conditions already identified in the City’s Public Draft and Final IS/MND
(SCH #2013032072), which was certified and approved by the City on June 5, 2013. Thus, an Addendum
is the appropriate level of CEQA analysis and the appropriate method of amending the June 5, 2013
Adopted IS/MND, pursuant to Sections 15162 and 15164 of the CEQA Guidelines. As discussed in this
Addendum, CEQA and the CEQA Guidelines do not require a subsequent or supplemental negative
declaration or environmental impact report for the proposed alignment changes. Therefore, it would be
appropriate for the City to approve the Proposed Changes and supplemental analysis to the Proposed
Project based on this Addendum.
A A
Air Quality Emissions Calculations
A-1
Table A-1: Air Quality Emissions – Original Storage Facility
Construction Activities
Construction Emissions (lbs/day)
ROG CO NOx PM10 PM2.5*
Grubbing/Land Clearing 3.8 15.0 28.6 51.1 11.4
Grading/Excavation 3.7 25.5 25.3 51.1 11.4
Drainage/Utilities/Subgrade 2.4 11.8 17.0 50.9 11.2
Paving/Lining 1.7 9.3 10.6 0.9 0.8
Maximum (lbs/day)** 3.8 25.5 28.6 51.1 11.4
Total Tons/Project/Year 0.1 0.8 0.9 1.9 0.4
Thresholds of Significance
Pounds per Day 80 550 80 80 80
Tons per Project/Year 15 100 15 15 15
Significant Impact? No No No No No
Notes
1) The Mendocino County Air Quality Management District (MCAQMD) has deferred to using the Bay Area
Air Quality Management District’s (BAAQMD) Thresholds of Significance estimating air quality impacts.
2)The
BAAQMD
does
not
have
a
threshold
for
PM2.5;
however,
the
same
threshold
for
PM10
is
used
herein.
3)Maximum
daily
emissions
refers
to
the
maximum
emissions
that
would
occur
in
one
day.
Not
all
phases
will
be
occurring
concurrently;
therefore,
the
maximum
daily
emissions
are
not
a
summation
of
the
daily
emission
rates
of
all
phases.
4) BAAQMD’s
May
2011
Thresholds
were
invalidated
by
Alameda
County
Superior
Court
and
BAAQMD
recommends
using
its
1999
Thresholds.
Table A-2: Air Quality Emissions – Revised Storage Facility
Construction Activities
Construction Emissions (lbs/day)
ROG CO NOx PM10 PM2.5*
Grubbing/Land Clearing 3.8 15.0 28.6 51.1 11.4
Grading/Excavation 7.0 58.5 45.6 51.9 12.0
Drainage/Utilities/Subgrade 2.4 11.8 17.0 50.9 11.2
Paving/Lining 1.7 9.3 10.6 0.9 0.8
Maximum (lbs/day)** 7.0 58.5 45.6 51.9 12.0
Total Tons/Project/Year 0.2 1.3 1.3 1.9 0.4
Thresholds of Significance
Pounds per Day 80 550 80 80 80
Tons per Project/Year 15 100 15 15 15
Significant Impact? No No No No No
Notes
1) The Mendocino County Air Quality Management District (MCAQMD) has deferred to using the Bay Area
Air Quality Management District’s (BAAQMD) Thresholds of Significance estimating air quality impacts.
2)The
BAAQMD
does
not
have
a
threshold
for
PM2.5;
however,
the
same
threshold
for
PM10
is
used
herein.
3)Maximum
daily
emissions
refers
to
the
maximum
emissions
that
would
occur
in
one
day.
Not
all
phases
will
be
occurring
concurrently;
therefore,
the
maximum
daily
emissions
are
not
a
summation
of
the
daily
emission
rates
of
all
phases.
4)BAAQMD’s
May
2011
Thresholds
were
invalidated
by
Alameda
County
Superior
Court
and
BAAQMD
recommends
using
its
1999
Thresholds.
Road Construction Emissions Model, Version 6.3.2
Emission Estimates for ->Total Exhaust Fugitive Dust Total Exhaust Fugitive Dust
Project Phases (English Units)ROG (lbs/day) CO (lbs/day) NOx (lbs/day) PM10 (lbs/day) PM10 (lbs/day) PM10 (lbs/day) PM2.5 (lbs/day) PM2.5 (lbs/day) PM2.5 (lbs/day) CO2 (lbs/day)
Grubbing/Land Clearing 3.8 15.0 28.6 51.1 1.1 50.0 11.4 1.0 10.4 4,807.4
Grading/Excavation 3.7 25.5 25.3 51.1 1.1 50.0 11.4 1.0 10.4 5,530.4
Drainage/Utilities/Sub-Grade 2.4 11.8 17.0 50.9 0.9 50.0 11.2 0.8 10.4 2,954.4
Paving 1.7 9.3 10.6 0.9 0.9 - 0.8 0.8 - 1,471.8
Maximum (pounds/day)3.8 25.5 28.6 51.1 1.1 50.0 11.4 1.0 10.4 5,530.4
Total (tons/construction project)0.1 0.8 0.9 1.9 0.0 1.9 0.4 0.0 0.4 175.9
Notes: Project Start Year ->2018
Project Length (months) -> 4
Total Project Area (acres) -> 5
Maximum Area Disturbed/Day (acres) -> 5
Total Soil Imported/Exported (yd3/day)->285
Emission Estimates for ->Total Exhaust Fugitive Dust Total Exhaust Fugitive Dust
Project Phases (Metric Units)ROG (kgs/day) CO (kgs/day) NOx (kgs/day) PM10 (kgs/day) PM10 (kgs/day) PM10 (kgs/day) PM2.5 (kgs/day) PM2.5 (kgs/day) PM2.5 (kgs/day) CO2 (kgs/day)
Grubbing/Land Clearing 1.7 6.8 13.0 23.2 0.5 22.7 5.2 0.5 4.7 2,185.2
Grading/Excavation 1.7 11.6 11.5 23.2 0.5 22.7 5.2 0.5 4.7 2,513.8
Drainage/Utilities/Sub-Grade 1.1 5.4 7.7 23.1 0.4 22.7 5.1 0.4 4.7 1,342.9
Paving 0.8 4.2 4.8 0.4 0.4 - 0.4 0.4 - 669.0
Maximum (kilograms/day)1.7 11.6 13.0 23.2 0.5 22.7 5.2 0.5 4.7 2,513.8
Total (megagrams/construction project)0.1 0.7 0.8 1.7 0.0 1.7 0.4 0.0 0.4 159.6
Notes: Project Start Year ->2018
Project Length (months) -> 4
Total Project Area (hectares) -> 2
Maximum Area Disturbed/Day (hectares) -> 2
Total Soil Imported/Exported (meters3/day)->218
Total PM10 emissions shown in column F are the sum of exhaust and fugitive dust emissions shown in columns H and I. Total PM2.5 emissions shown in Column J are the sume of exhaust and fugitive dust emissions shown in columns K
and L.
City of Ukiah Recycled Water Project - Original Storage Facility
City of Ukiah Recycled Water Project - Original Storage Facility
PM10 and PM2.5 estimates assume 50% control of fugitive dust from watering and associated dust control measures if a minimum number of water trucks are specified.
PM10 and PM2.5 estimates assume 50% control of fugitive dust from watering and associated dust control measures if a minimum number of water trucks are specified.
Total PM10 emissions shown in column F are the sum of exhaust and fugitive dust emissions shown in columns H and I. Total PM2.5 emissions shown in Column J are the sum of exhaust and fugitive dust emissions shown in columns K
and L.
A-2
Road Construction Emissions Model, Version 6.3.2
Emission Estimates for ->Total Exhaust Fugitive Dust Total Exhaust Fugitive Dust
Project Phases (English Units)ROG (lbs/day)CO (lbs/day)NOx (lbs/day)PM10 (lbs/day)PM10 (lbs/day)PM10 (lbs/day)PM2.5 (lbs/day)PM2.5 (lbs/day)PM2.5 (lbs/day)CO2 (lbs/day)
Grubbing/Land Clearing 3.8 15.0 28.6 51.1 1.1 50.0 11.4 1.0 10.4 4,807.4
Grading/Excavation 7.0 58.5 45.6 51.9 1.9 50.0 12.0 1.6 10.4 11,858.6
Drainage/Utilities/Sub-Grade 2.4 11.8 17.0 50.9 0.9 50.0 11.2 0.8 10.4 2,954.4
Paving 1.7 9.3 10.6 0.9 0.9 - 0.8 0.8 - 1,471.8
Maximum (pounds/day)7.0 58.5 45.6 51.9 1.9 50.0 12.0 1.6 10.4 11,858.6
Total (tons/construction project)0.2 1.3 1.3 1.9 0.1 1.9 0.4 0.1 0.4 287.3
Notes: Project Start Year ->2018
Project Length (months) ->4
Total Project Area (acres) ->22
Maximum Area Disturbed/Day (acres) ->5
Total Soil Imported/Exported (yd3/day)->1290
Emission Estimates for ->Total Exhaust Fugitive Dust Total Exhaust Fugitive Dust
Project Phases (Metric Units)ROG (kgs/day)CO (kgs/day)NOx (kgs/day)PM10 (kgs/day)PM10 (kgs/day)PM10 (kgs/day)PM2.5 (kgs/day)PM2.5 (kgs/day)PM2.5 (kgs/day)CO2 (kgs/day)
Grubbing/Land Clearing 1.7 6.8 13.0 23.2 0.5 22.7 5.2 0.5 4.7 2,185.2
Grading/Excavation 3.2 26.6 20.7 23.6 0.9 22.7 5.5 0.7 4.7 5,390.3
Drainage/Utilities/Sub-Grade 1.1 5.4 7.7 23.1 0.4 22.7 5.1 0.4 4.7 1,342.9
Paving 0.8 4.2 4.8 0.4 0.4 - 0.4 0.4 - 669.0
Maximum (kilograms/day)3.2 26.6 20.7 23.6 0.9 22.7 5.5 0.7 4.7 5,390.3
Total (megagrams/construction project)0.2 1.2 1.1 1.7 0.1 1.7 0.4 0.0 0.4 260.6
Notes: Project Start Year ->2018
Project Length (months) ->4
Total Project Area (hectares) ->9
Maximum Area Disturbed/Day (hectares) ->2
Total Soil Imported/Exported (meters3/day)->986
Total PM10 emissions shown in column F are the sum of exhaust and fugitive dust emissions shown in columns H and I. Total PM2.5 emissions shown in Column J are the sume of exhaust and fugitive dust emissions shown in columns K
and L.
City of Ukiah Recycled Water Project - Revised Storage Facility
City of Ukiah Recycled Water Project - Revised Storage Facility
PM10 and PM2.5 estimates assume 50% control of fugitive dust from watering and associated dust control measures if a minimum number of water trucks are specified.
PM10 and PM2.5 estimates assume 50% control of fugitive dust from watering and associated dust control measures if a minimum number of water trucks are specified.
Total PM10 emissions shown in column F are the sum of exhaust and fugitive dust emissions shown in columns H and I. Total PM2.5 emissions shown in Column J are the sum of exhaust and fugitive dust emissions shown in columns K
and L.
A-3
Attachment #3
RESOLUTION NO. XXXX-XX
RESOLUTION OF THE CITY OF UKIAH ADOPTING AN ADDENDUM TO THE
ADOPTED INITIAL STUDY/MITIGATED NEGATIVE DECLARATION IN
ACCORDANCE WITH THE CALIFORNIA ENVIRONMENTAL QUALITY ACT FOR THE
CITY’S RECYCLED WATER PROJECT
WHEREAS, prior to the adoption of this resolution, the City of Ukiah (City) prepared an
Initial Study/Mitigated Negative Declaration (IS/MND) on the City’s proposed Recycled
Water Project (Project or Proposed Project) pursuant to the California Environmental
Quality Act 1970, as amended (CEQA), and state and local guidelines implementing
CEQA; and
WHEREAS, the purpose of the Proposed Project is to replace/augment existing water
supplies in Ukiah Valley in Mendocino County, California. Recycled water use within the
Ukiah Valley would offset existing and future water demands for irrigation and frost
protection of agricultural land, and in doing so, would support the local agricultural
industry. It would also offset urban irrigation demands, ease storage limitations at the
Ukiah Wastewater Treatment Plant (UWWTP), and reduce treated wastewater discharges
to the Russian River. Proposed Project, analyzed under the Initial Study/Mitigated
Negative Declaration, consisted of approximately; and
WHEREAS, the City is the lead agency on the Project, and the City Council is the decision-
making body for the Proposed Project; and
WHEREAS, the City adopted the IS/MND and approved the Project (SCH #2013032072)
on June 5, 2013; and
WHEREAS, this Addendum assesses the effects of changing the size/capacity of the
storage facility from 3 million gallons (MG) to 66 MG in order to make more efficient use
of the 1,472 acre-feet per year (AFY) of tertiary treated water rather than discharging that
water into the Russian River as is consistent with the August 2015 Wastewater Order
WW0082 from the State Water Resources Control Board; and
WHEREAS, this Addendum is an informational document and is intended to be used by
the City under Public Resources Code section 21166 and the related CEQA Guidelines,
specifically sections 15162 through 15164; and
WHEREAS, the conclusion of this Addendum is that the proposed changes will not result
in new significant impacts, substantially increase the severity of previously disclosed
impacts or involve any of the other conditions related to changed circumstances or new
information that can require a subsequent or supplemental EIR under Public Resources
Code section 21166 and CEQA Guidelines section 15162 beyond those impacts and
conditions already identified in the City’s Public Draft and Final IS/MND (SCH
#2013032072), which was certified and approved by the City on June 5, 2013; and
WHEREAS, an Addendum is the appropriate level of CEQA analysis and the appropriate
method of amending the June 5, 2013 Adopted IS/MND, pursuant to Sections 15162 and
15164 of the CEQA Guidelines, and
Attachment #3
WHEREAS, the City voluntarily provided for a 14-day comment period with the State
Clearinghouse and did not receive any comments on this Addendum or the Proposed
Project.
NOW, THEREFORE BE IT RESOLVED THAT THE CITY COUNCIL OF THE CITY OF
UKIAH DOES RESOLVE, DECLARE, DETERMINE AND ORDER THE FOLLOWING:
SECTION 1. The City Council has: (1) independently reviewed and analyzed
the CEQA Final Addendum and other information in the record and has considered the
information contained therein prior to acting upon or approving the Proposed Project; (2)
the CEQA Addendum to the Initial Study/Mitigated Negative Declaration prepared for the
Proposed Project has been completed in compliance with CEQA and is consistent with
State and local guidelines implementing CEQA; and (3) the Addendum represents the
independent judgment and analysis of the City as lead agency for the Proposed Project.
The City designates the City’s Public Works Director as the custodian of documents and
records of proceedings on which this decision is based.
SECTION 2. The City Council does hereby adopt the Addendum to the Initial
Study/Mitigated Negative Declaration prepared for the Proposed Project. The Addendum,
Final Initial Study/Mitigated Negative Declaration and Mitigation Monitoring and Reporting
Program are: (1) on file with the City at its Public Works Department at 300 Seminary
Avenue, Ukiah; and (2) available for inspection by any interested party.
SECTION 3. The City Council hereby authorizes the Director of Public Works
or his designee to file a Notice of Determination with the State Clearinghouse and the
Mendocino County Clerk-Recorder for this Addendum.
PASSED, APPROVED AND ADOPTED by the City Council of the City of Ukiah at
a regular meeting held on June 7, 2017.
AYES:
NOES:
ABSENT:
ABSTAIN:
_______________________________
Jim O. Brown, Mayor
ATTEST:
________________________________
Kristine Lawler, City Clerk
APPROVED AS TO FORM:
___________________________
David Rapport, City Attorney
PROPOSITION 1 WATER RECYCLING
CITY OF UKIAH
AND
CALIFORNIA STATE WATER RESOURCES CONTROL BOARD
INSTALLMENT SALE AGREEMENT AND GRANT
RECYCLED WATER PIPELINE PROJECT
PROJECT NO. C-06-8076-110
AGREEMENT NO. D16-01035
AMOUNT: $32,085,000
ELIGIBLE START DATE: APRIL 12, 2017
END DATE: OCTOBER 19, 2048
COMPLETION OF CONSTRUCTION DATE: OCTOBER 19, 2018
FINAL DISBURSEMENT REQUEST DATE: APRIL 19, 2019
DATED AS OF APRIL 12, 2017
THIS PAGE INTENTIONALLY LEFT BLANK
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
i
TABLE OF CONTENTS
ARTICLE I DEFINITIONS ......................................................................................................................... 1
1.1 Definitions. .......................................................................................................................................... 1
1.2 Exhibits and Appendices Incorporated............................................................................................... 4
ARTICLE II REPRESENTATIONS, WARRANTIES, AND COMMITMENTS ........................................... 4
2.1 General Recipient Commitments. ...................................................................................................... 4
2.2 Authorization and Validity. .................................................................................................................. 5
2.3 No Violations. ..................................................................................................................................... 5
2.4 No Litigation. ...................................................................................................................................... 5
2.5 Solvency. ............................................................................................................................................ 5
2.6 Legal Status and Eligibility. ................................................................................................................ 5
2.7 Financial Statements and Continuing Disclosure. ............................................................................. 5
2.8 Completion of Project. ........................................................................................................................ 5
2.9 Award of Construction Contracts. ...................................................................................................... 6
2.10 Notice. ................................................................................................................................................ 6
2.11 Findings and Challenge ..................................................................................................................... 7
2.12 Project Access. .................................................................................................................................. 8
2.13 Project Completion; Initiation of Operations. ..................................................................................... 8
2.14 Continuous Use of Project; Lease or Disposal of Project. ................................................................. 8
2.15 Project Reports. ................................................................................................................................. 8
2.16 Federal Disadvantaged Business Enterprise (DBE) Reporting. ........................................................ 9
2.17 Records.............................................................................................................................................. 9
2.18 Audit. ................................................................................................................................................ 10
ARTICLE III FINANCING PROVISIONS ................................................................................................. 10
3.1 Contingent Disbursement/Purchase and Sale of Project. ................................................................ 10
3.2 Amounts Payable by the Recipient. ................................................................................................. 11
3.3 Obligation Absolute. ......................................................................................................................... 12
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
ii
3.4 No Obligation of the State. ............................................................................................................... 12
3.5 Disbursement of Project Funds; Availability of Funds. ..................................................................... 12
3.6 Withholding of Disbursements and Material Violations. ................................................................... 13
3.7 Pledge; Rates, Fees and Charges; Additional Debt. ....................................................................... 14
3.8 Financial Management System and Standards. .............................................................................. 15
3.9 Accounting and Auditing Standards. ................................................................................................ 15
3.10 Other Assistance. ............................................................................................................................ 15
ARTICLE IV MISCELLANEOUS PROVISIONS ..................................................................................... 15
4.1 Amendment. ..................................................................................................................................... 15
4.2 Assignability. .................................................................................................................................... 15
4.3 Bonding. ........................................................................................................................................... 16
4.4 Competitive Bidding ......................................................................................................................... 16
4.5 Compliance with Law, Regulations, etc. .......................................................................................... 16
4.6 Conflict of Interest. ........................................................................................................................... 16
4.7 Damages for Breach Affecting Tax-Exempt Status or Federal Compliance .................................... 16
4.8 Disputes. .......................................................................................................................................... 16
4.9 Governing Law. ................................................................................................................................ 17
4.10 Income Restrictions. ........................................................................................................................ 17
4.11 Indemnification and State Reviews. ................................................................................................ 17
4.12 Independent Actor. .......................................................................................................................... 18
4.13 Leveraging Covenants. .................................................................................................................... 18
4.14 Non-Discrimination Clause. ............................................................................................................. 18
4.15 No Third Party Rights. ..................................................................................................................... 19
4.16 Operation and Maintenance; Insurance. ......................................................................................... 19
4.17 Permits, Subcontracting, and Remedies. ........................................................................................ 19
4.18 Prevailing Wages. ............................................................................................................................ 20
4.19 Public Funding. ................................................................................................................................ 20
4.20 Recipient’s Responsibility for Work. ................................................................................................ 20
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
iii
4.21 Related Litigation. ............................................................................................................................ 20
4.22 Rights in Data. ................................................................................................................................. 20
4.23 State Water Board Action; Costs and Attorney Fees. ..................................................................... 20
4.24 Termination; Immediate Acceleration; Interest. ............................................................................... 20
4.25 Timeliness. ....................................................................................................................................... 21
4.26 Unenforceable Provision.................................................................................................................. 21
4.27 Useful Life. ....................................................................................................................................... 21
4.28 Venue............................................................................................................................................... 21
4.29 Waiver and Rights of the State Water Board................................................................................... 21
ARTICLE V TAX COVENANTS .............................................................................................................. 21
5.1 Purpose. ........................................................................................................................................... 21
5.2 Tax Covenant. .................................................................................................................................. 22
5.3 Governmental Unit. .......................................................................................................................... 22
5.4 Financing of a Capital Project. ......................................................................................................... 22
5.5 Ownership and Operation of Project. ............................................................................................... 22
5.6 Temporary Period. ............................................................................................................................ 22
5.7 Working Capital. ............................................................................................................................... 22
5.8 Expenditure of Proceeds. ................................................................................................................. 22
5.9 Private Use and Private Payments. ................................................................................................. 22
5.10 No Sale, Lease or Private Operation of the Project. ....................................................................... 23
5.11 No Disproportionate or Unrelated Use. ........................................................................................... 23
5.12 Management and Service Contracts. .............................................................................................. 23
5.13 No Disposition of Financed Property. .............................................................................................. 24
5.14 Useful Life of Project. ....................................................................................................................... 24
5.15 Installment Payments. ..................................................................................................................... 24
5.16 No Other Replacement Proceeds. ................................................................................................... 24
5.17 No Sinking or Pledged Fund. ........................................................................................................... 24
5.18 Reserve Amount. ............................................................................................................................. 25
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
iv
5.19 Reimbursement Resolution. ............................................................................................................ 25
5.20 Reimbursement Expenditures. ........................................................................................................ 25
5.21 Change in Use of the Project. .......................................................................................................... 25
5.22 Rebate Obligations. ......................................................................................................................... 25
5.23 No Federal Guarantee. .................................................................................................................... 25
5.24 No Notices or Inquiries from IRS. .................................................................................................... 26
5.25 Amendments. ................................................................................................................................... 26
5.26 Reasonable Expectations. ............................................................................................................... 26
EXHIBIT A - SCOPE OF WORK & INCORPORATED DOCUMENTS
EXHIBIT A - FBA –FINAL BUDGET APPROVAL
EXHIBIT B - FUNDING AMOUNT
EXHIBIT C - PAYMENT SCHEDULE
EXHIBIT D - SPECIAL CONDITIONS
EXHIBIT E - PROGRAMMATIC CONDITIONS & CROSS-CUTTERS
EXHIBIT F - SCHEDULE OF SYSTEM OBLIGATIONS
EXHIBIT G - DAVIS-BACON REQUIREMENTS
EXHIBIT H - COMPLIANCE WITH CROSS-CUTTING STATE AUTHORITIES
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
1
2016 cx 30xi16
WHEREAS,
1. The State Water Board is authorized to provide financial assistance under this Agreement pursuant to
the following:
Chapter 6.5 of Division 7 of the California Water Code (State Act)
Title VI of the federal Water Pollution Control Act (Federal Act)
Section 79765 - 79768 of the Water Code (Prop 1)
2. The State Water Board determines eligibility for financial assistance, determines a reasonable
schedule for providing financial assistance, establishes compliance with the Federal Act, State Act,
and Prop 1, and establishes the terms and conditions of a financial assistance agreement.
3. The Recipient has applied to the State Water Board for financial assistance for the Project described
in Exhibit A of this Agreement and the State Water Board has selected the application for financial
assistance.
4. The State Water Board proposes to assist in providing financial assistance for eligible costs of the
Project, and the Recipient desires to participate as a recipient of financial assistance from the State
Water Board and evidence its obligation to pay Installment Payments, which obligation will be
secured by Net Revenues, as defined herein, upon the terms and conditions set forth in this
Agreement, all pursuant to the Federal Act and the State Act and Prop 1.
NOW, THEREFORE, in consideration of the premises and of the mutual representations, covenants and
agreements herein set forth, the State Water Board and the Recipient, each binding itself, its successors
and assigns, do mutually promise, covenant, and agree as follows:
ARTICLE I DEFINITIONS
1.1 Definitions.
Unless otherwise specified, each capitalized term used in this Agreement has the following meaning:
"Additional Payments" means the Additional Payments described in Section 3.2(c) of this Agreement.
"Agreement" means this Installment Sale Agreement and Grant, including all exhibits and attachments.
"Allowance" means an amount based on a percentage of the accepted bid for an eligible project to help
defray the planning, design, and construction engine ering and administration costs of the Project.
"Authorized Representative" means the duly appointed representative of the Recipient as set forth in the
certified original of the Recipient’s authorizing resolution that designates the authorized representati ve by
title.
"Bank" means the California Infrastructure and Economic Development Bank.
“Bond Funded Portion of the Project Funds” means any portion of the Project Funds which was or will be
funded with Bond Proceeds.
“Bond Proceeds” means original proceeds, investment proceeds, and replacement proceeds of Bonds.
"Bonds" means any series of bonds issued by the Bank , the interest on which is excluded from gross
income for federal tax purposes, all or a portion of the proceeds of which have been, are, or will be
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
2
2016 cx 30xi16
applied by the State Water Board to fund all or any portion of the Project Costs or that are secured in
whole or in part by Installment Payment paid hereunder.
"Code" as used in Article V of this Agreement means the Internal Revenue Code of 1986, as amended,
and any successor provisions and the regulations of the U.S. Department of the Treasury promulgated
thereunder.
"Completion of Construction" means the date, as determined by the Division after consultation with the
Recipient, that the work of building and erection of the Project is substantially complete.
“CWSRF” means the Clean Water State Revolving Fund.
“Days” means calendar days unless otherwise expressly indicated.
“Disbursement Period” means the period during which Project Funds may be disbursed.
"Division" means the Division of Financial Assistance of the State Water Board or any other segment of
the State Water Board authorized to administer this Agreement.
“Eligible Start Date” means the date set forth in Exhibit B, establishing the date on or after which
construction costs may be incurred and eligible for reimbursement hereunder, subject to the 60-day look
back period established in the Reimbursement Resolution.
“Enterprise Fund” means the enterprise fund of the Recipient in which Revenues are deposited.
“Final Disbursement Request Date” means the date after which date, no further Project Funds
disbursements may be requested.
"Fiscal Year" means the period of twelve (12) months terminating on June 30 of any year, or any other
annual period selected and designated by the Recipient as its Fiscal Year in accordance with applicable
law.
"Force Account" means the use of the Recipient's own employees or equipment.
“GAAP” means generally accepted accounting principles, the uniform accounting and reporting
procedures set forth in publications of the American Institute of Certified Public Accountants or its
successor, or by any other generally accepted authority on such procedures, and includes, as appli cable,
the standards set forth by the Governmental Accounting Standards Board or its successor.
"Initiation of Construction" means the date that notice to proceed with work is issued for the Project, or, if
notice to proceed is not required, the date of commencement of building and erection of the Project.
"Installment Payments" means Installment Payments due and payable by the Recipient to the State
Water Board under this Agreement, the amounts of which are set forth as Exhibit C hereto.
“Listed Event” means, so long as the Recipient has outstanding any System Obligation subject to Rule
15c2-12, any of the events required to be reported pursuant to Rule 15c2-12(b)(5).
"Loan Repayments" means repayments due and payable by the Recipient to the State Water Boa rd
under this Agreement, the amounts of which are set forth as Exhibit C hereto.
“Material Event” means any event that, as determined by the Division, might cause the State Water Board
to violate the terms and conditions of its agreements with USEPA or its bond covenants, including any of
the following: (a) revenue shortfalls; (b) unscheduled draws on the Reserve Fund, if any, or the
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Enterprise Fund; (c) substitution of insurers, or their failure to perform; (d) adverse findings by the
Regional Water Quality Control Board; (e) litigation related to the Revenues, the System, or the Project,
whether pending or anticipated; (f) any false warranty or representation made by the Recipient relevant to
this Agreement; (g) loss, theft, damage, or impairment to the Revenues or the System; (h) seizure of, or
levy on any collateral securing this Agreement; (i) dissolution or cessation of operations by the Recipient,
termination of Recipient’s existence, insolvency of Recipient, or filing of a voluntary or involuntary
bankruptcy petition by or on behalf of Recipient; (j) any event set forth in section 2.10 of this Agreement.
"Material Obligation" means (a) any senior or parity obligation of the Recipient payable from Revenues as
identified as of the date of this Agreement in Exhibit F, (b) the Obligation, and (c) such additional
obligations as may hereafter be issued in accordance with the provisions of such obligations and this
Agreement.
"Net Revenues" means, for any Fiscal Year, all Revenues received by the Recipient less the Operations
and Maintenance Costs for such Fiscal Year.
"Obligation" means the obligation of the Recipient to make Installment Payments and Additional
Payments as provided herein, as evidenced by the execution of this Agreement, proceeds of such
obligations being used to fund the Project as specified in the Project Description in Exhibit A and Exhibit A-
FBA and in the documents thereby incorporated by reference.
"Operations and Maintenance Costs" means the reasonable and necessary costs paid or incurred by the
Recipient for maintaining and operating the System, determined in accordance with GAAP, including all
reasonable expenses of management and repair and all other expenses necessary to maintain and
preserve the System in good repair and working order, and including all reasonable and necessary
administrative costs of the Recipient that are charged directly or apportioned to the operation of the
System, such as salaries and wages of employees, overhead, taxes (if any), the cost of permits, licenses ,
and charges to operate the System and insurance premiums; but excluding, in all cases depreciation,
replacement, and obsolescence charges or reserves therefor and amortization of intangibles.
"Policy" means the State Water Board's “Policy for Implementing the Clean Water State Revolving Fund,”
as amended from time to time, and the WRFP Guidelines.
“Project” means the Project financed by this Agreement as described in Exhibit A, Exhibit A-FBA, and in
the documents incorporated by reference herein.
"Project Completion" means the date, as determined by the Division after consultation with the Recipient,
that operation of the Project is initiated or is capable of being initiated, whichever comes first.
"Project Costs" means the incurred costs of the Recipient which are eligible for financial assistance under
this Agreement, which are allowable costs as defined under the Policy, and which are reasonable,
necessary and allocable by the Recipient to the Project under GAAP, plus capitalized interest.
“Project Funds” means all moneys disbursed to the Recipient by the State Water Board pursuant to this
Agreement.
“Recipient” means the City of Ukiah.
“Regional Water Quality Control Board” or “Regional Water Board” means the appropriate Regional Water
Quality Control Board.
“Reimbursement Resolution” means the Recipient’s reimbursement resolution identified in Exhibit A of
this Agreement.
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“Reserve Fund” means the reserve fund required pursuant to Exhibit D of this Agreement.
"Revenues" means, for each Fiscal Year, all gross income and revenue received or receivable by the
Recipient from the ownership or operation of the System, determined in accordance with GAAP, including
all rates, fees, and charges (including connection fees and charges) as received by the Recipient for the
services of the System, and all other income and revenue howsoever derived by the Recipient from the
ownership or operation of the System or arising from the System, including all income from the deposit or
investment of any money in the Enterprise Fund or any rate stabilization fund of the Recipient or held on
the Recipient’s behalf, and any refundable deposits made to establish credit, and advances or
contributions in aid of construction.
“Rule 15c2-12(b)(5)” means Rule 15c2-12(b)(5) promulgated by the Securities and Exchange
Commission pursuant to the Securities Exchange Act of 1934, as amended.
“SRF” means the Clean Water State Revolving Fund.
“State” means State of California.
“State Water Board” means the State Water Resources Control Board.
"System" means all water collection, transport, treatment, storage, and delivery facilities, including land
and easements thereof, owned by the Recipient, including the Project, and all other properties, structures,
or works hereafter acquired and constructed by the Recipient and determined to be a part of the System,
together with all additions, betterments, extensions, or improvements to such facilities, properties,
structures, or works, or any part thereof hereafter acquired and constructed.
“System Obligation” means any long-term obligation of the Recipient payable from the Revenues,
including this Obligation and obligations reflected in Exhibit F.
“WRFP Guidelines” means the Water Recycling Funding Program Guidelines, as amended by the State
Water Board on June 16, 2015.
“Year” means calendar year unless otherwise expressly indicated.
1.2 Exhibits and Appendices Incorporated.
All exhibits and appendices to this Agreement, including any amendments and supplements hereto, are
hereby incorporated herein and made a part of this Agreement.
ARTICLE II REPRESENTATIONS, WARRANTIES, AND COMMITMENTS
The Recipient represents, warrants, and commits to the following as of the Eligible Start Date set forth on
the first page hereof and continuing thereafter for the term of this Agreement.
2.1 General Recipient Commitments.
The Recipient shall comply with all terms, provisions, conditions, and commitments of this Agreement,
including all incorporated documents, and to fulfill all assurances, declarations, representations, and
commitments in its application, accompanying documents, and communications filed in support of its
request for financial assistance.
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2.2 Authorization and Validity.
The execution and delivery of this Agreement, including all incorporated documents, has been
duly authorized by the Recipient. This Agreement constitutes a valid and binding obligation of the
Recipient, enforceable in accordance with its terms, except as such enforcement may be limited
by law.
2.3 No Violations.
The execution, delivery, and performance by Recipient of this Agreement, including all
incorporated documents, do not violate any provision of any law or regulation in effect as of the
date set forth on the first page hereof, or result in any breach or default under any contract,
obligation, indenture, or other instrument to which Recipient is a party or by which Recipient is bound
as of the date set forth on the first page hereof.
2.4 No Litigation.
There are no pending or, to Recipient’s knowledge, threatened actions, claims, investigations,
suits, or proceedings before any governmental authority, court, or administrative agency which
materially affect the financial condition or operations of the Recipient, the System, the Revenues,
and/or the Project.
2.5 Solvency.
None of the transactions contemplated by this Agreement will be or have been made with an actual intent
to hinder, delay, or defraud any present or future creditors of Recipient. As of the date set forth on the first
page hereof, Recipient is solvent and will not be rendered insolvent by the transactions contemplated by
this Agreement. Recipient is able to pay its debts as they become due.
2.6 Legal Status and Eligibility.
Recipient is duly organized and existing and in good standing under the laws of the State of California,
and will remain so during the term of this Agreement. Recipient shall at all times maintain its current legal
existence and preserve and keep in full force and effect its legal rights and authority. Recipient shall
maintain its eligibility for funding under this Agreement for the term of this Agreement.
2.7 Financial Statements and Continuing Disclosure.
The financial statements of Recipient previously delivered to the State Water Board as of the date(s) set
forth in such financial statements: (a) are materially complete and correct; (b) present fairly the financial
condition of the Recipient; and (c) have been prepared in accordance with GAAP. Since the date(s) of
such financial statements, there has been no material adverse change in the financial condition of the
Recipient, nor have any assets or properties reflected on such financial statements been so ld,
transferred, assigned, mortgaged, pledged or encumbered, except as previously disclosed in writing by
Recipient and approved in writing by the State Water Board.
The Recipient is current in its continuing disclosure obligations associated with its mat erial debt.
2.8 Completion of Project.
The Recipient shall expeditiously proceed with and complete construction of the Project in sub stantial
accordance with Exhibit A and Exhibit A-FBA.
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2.9 Award of Construction Contracts.
(a) The Recipient shall award the prime construction contract no later than the date specified in
Exhibit A.
(b) The Recipient shall promptly notify the Division in writing both of the award of the prime
construction contract for the Project and of Initiation of Construction of the Project. The Recipient
shall make all reasonable efforts to complete construction in substantial conformance with
the terms of the contract by the Completion of Construction date established in Exhibit A. Such
date shall be binding upon the Recipient unless modified in writing by the Division upon a
showing of good cause by the Recipient. The Recipient shall deliver any request for extension of
the Completion of Construction date no less than 90 days prior to the Completion of Construction
date. The Division will not unreasonably deny a timely request, but the Division may deny
requests received after this time.
2.10 Notice.
(a) The Recipient shall notify the Division in writing within five (5) working days of the occurrence of
the following:
(1) Material defaults on this Obligation;
(2) Unscheduled draws on debt service reserves held for this Obligation, if any, reflecting
financial difficulties;
(3) Bankruptcy, insolvency, receivership or similar event of the Recipient;
(4) Actions taken pursuant to state law in anticipation of filing for bankruptcy;
(5) Listed Events or Material Events, except as set forth in subdivisions (b) or (c) of this section;
(6) Change of ownership of the Project or change of management or service contract s, if any,
for operation of the Project; or
(b) The Recipient shall notify the Division within 10 working days of the following:
(1) Material defaults on System Obligations, other than this Obligation;
(2) Unscheduled draws on debt service reserves held for System Obligations, other than this
Obligation, if any, reflecting financial difficulties;
(3) Unscheduled draws on credit enhancements on System Obligations, if any, reflecting
financial difficulties;
(4) Substitution of credit or liquidity providers, if any, or their failure to perform;
(5) Any litigation pending or threatened against Recipient regarding its water or wastewater
capacity or its continued existence, circulation of a petition to challenge rates, consideration
of dissolution, or disincorporation, or any other material threat to the Recipient’s Revenues;
(6) Adverse tax opinions, the issuance by the Internal Revenue Service of proposed or final
determinations of taxability, Notices of Proposed Issue (IRS Form 5701-TEB) or other
material notices of determinations with respect to the tax status of any tax-exempt bonds;
(7) Rating changes on outstanding System Obligations, if any; or
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(8) Issuance of additional parity obligations.
(c) The Recipient shall notify the Division promptly of the following:
(1) Any substantial change in scope of the Project. The Recipient shall undertake no substantial
change in the scope of the Project until written notice of the proposed change has been
provided to the Division and the Division has given written approval for the change;
(2) Cessation of all major construction work on the Project where such cessation of work is
expected to or does extend for a period of thirty (30) days or more;
(3) Any circumstance, combination of circumstances, or condition, which is expected to or does
delay Completion of Construction for a period of ninety (90) days or more beyond the
estimated date of Completion of Construction previously provided to the Division;
(4) Discovery of any potential archeological or historical resource. Should a potential
archeological or historical resource be discovered during construction of the Project, the
Recipient agrees that all work in the area of the find will cease until a qualified archeologist
has evaluated the situation and made recommendations regarding preservation of the
resource, and the Division has determined what actions should be taken to protect and
preserve the resource. The Recipient shall implement appropriate actions as directed by the
Division;
(5) Discovery of any unexpected endangered or threatened species, as defined in the federal
Endangered Species Act. Should a federally protected species be unexpectedly encountered
during construction of the Project, the Recipient agrees to promptly notify the Division. This
notification is in addition to the Recipient’s obligations under the federal Endangered Species
Act;
(6) Any Project monitoring, demonstration, or other implementation activities such that the State
Water Board and/or Regional Water Quality Control Board staff may observe and document
such activities;
(7) Any public or media event publicizing the accomplishments and/or results of this Agreement
and provide the opportunity for attendance and participation by state representatives with at
least ten (10) working days’ notice to the Division; or
(8) Completion of Construction of the Project, and actual Project Completion.
2.11 Findings and Challenge.
Upon consideration of a voter initiative to reduce Revenues, the Recipient shall make a finding regarding
the effect of such a reduction on the Recipient's ability to satisfy the rate covena nt set forth in Section 3.7
of this Agreement. The Recipient shall make its findings available to the public and shall request, if
necessary, the authorization of the Recipient’s decision-maker or decision-making body to file litigation to
challenge any such initiative that it finds will render it unable to satisfy the rate covenant set forth in
Section 3.7 and its obligation to operate and maintain the Project for its useful life. The Recipient shall
diligently pursue and bear any and all costs related to such challenge. The Recipient shall notify and
regularly update the State Water Board regarding the status of any such challenge.
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2.12 Project Access.
The Recipient shall ensure that the State Water Board, the Governor of the State, the United States
Environmental Protection Agency, the Office of Inspector General, any m ember of Congress, the
President of the United States, or any authorized representative of the foregoing, will have safe and
suitable access to the Project site at all reasonable times during Project construction and thereafter for
the term of the Obligation. The Recipient acknowledges that, except for a subset of information regarding
archaeological records, the Project records and locations are public records , including but not limited to
all of the submissions accompanying the application, all of the documents incorporated by Exhibit A and
Exhibit A-FBA, and all reports, disbursement requests, and supporting documentation submitted
hereunder.
2.13 Project Completion; Initiation of Operations.
Upon Completion of Construction of the Project, the Recipient shall expeditiously initiate Project
operations.
2.14 Continuous Use of Project; Lease or Disposal of Project.
The Recipient agrees that, except as provided in this Agreement, it will not abandon, substantially
discontinue use of, lease, or dispose of all or a significant part or portion of the Project during the useful
life of the Project without prior written approval of the Division. Such approval may be conditioned as
determined to be appropriate by the Division, including a condition requiring repayment of all disbursed
Project Funds or all or any portion of all remaining funds covered by this Agreement together with
accrued interest and any penalty assessments that may be due.
2.15 Project Reports.
(a) Status Reports. The Recipient shall provide expeditiously status reports no less frequently
than quarterly, starting with the execution of this Agreement. These reports must accompany
any disbursement request and are a condition precedent to any disbursement. At a
minimum the reports will contain the following information:
(1) A summary of progress to date including a description of progress since the last report,
percent construction complete, percent contractor invoiced, and percent schedule
elapsed;
(2) A description of compliance with environmental requirements;
(3) A listing of change orders including amount, description of work, and change in contract
amount and schedule; and
(4) Any problems encountered, proposed resolution, schedule for resolution, and status of
previous problem resolutions.
(b) Project Completion Report. The Recipient shall submit a Project Completion Report to the
Division with a copy to the appropriate Regional Water Quality Control Board on or before the
due date established by the Division and the Recipient at the time of final project inspection. The
Project Completion Report must address the following:
(1) Describe the Project,
(2) Describe the water quality problem the Project sought to address,
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(3) Discuss the Project’s likelihood of successfully addressing that water quality problem in
the future, and
(4) Summarize compliance with environmental conditions, if applicable.
(5) If the Recipient fails to submit a timely Project Completion Report, then the State Water
Board may stop processing pending or future applications for new financial assistance,
withhold disbursements under this Agreement or other agreements, and begin
administrative proceedings.
(c) As Needed Reports. The Recipient shall provide expeditiously, during the term of this
Agreement, any reports, data, and information reasonably required by the Division, including but
not limited to material necessary or appropriate for evaluation of the funding program or to fulfill
any reporting requirements of the state or federal government.
(d) Recycled water reports. Commencing with the date of Project Completion, the Recipient shall
submit annual reports for five (5) consecutive calendar years or until the Project’s actual total
annual recycled water deliveries equal the Project’s planned total recycled water deliveries.
(1) The Recipient shall submit annual reports in hard copy and/or electronically.
(2) The first annual report is due on February 28th following the first full calendar year of
operation and shall cover the period from the Project Completion through the end of the
first full calendar year thereafter. Subsequent annual reports are due by February 28th
following the calendar year covered. The annual reports shall be prepared in accordance
with the “Water Recycling Funding Program Guidelines.”
(3) The annual reports shall include the following:
(a) The planned total recycled water deliveries from the Recipient’s funding
application/user-connection schedule;
(b) A breakdown of the actual total annual recycled water deliveries by month and
type of use, presented in a table showing month vs. type of use. If the Recipient
supplements recycled water deliveries with potable or fresh water, the annual
report shall include the monthly and total amounts;
(c) The Project’s operation and maintenance costs for the year;
(d) The costs to Recipient’s end users of recycled water vs. potable/fresh water
during the year; and
(e) If the Project’s actual total recycled water deliveries are less than the planned
total recycled water deliveries, the Recipient shall provide a brief discussion on
its progress toward achieving the remaining system capacity.
2.16 Federal Disadvantaged Business Enterprise (DBE) Reporting.
The Recipient shall report DBE utilization to the Division on the DBE Utilization Report, State Water Board
Form DBE UR334. The Recipient must submit such reports to the Division annually within ten (10)
calendar days following October 1 until such time as the "Notice of Completion" is issued. The Recipient
shall comply with 40 CFR § 33.301.
2.17 Records.
(a) Without limitation of the requirement to maintain Project accounts in accordance with GAAP, the
Recipient shall:
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(1) Establish an official file for the Project which adequately document s all significant
actions relative to the Project;
(2) Establish separate accounts which will adequately and accurately depict all amounts
received and expended on the Project, including all assis tance funds received under this
Agreement;
(3) Establish separate accounts which will adequately depict all income received which is
attributable to the Project, specifically including any income attributable to assistance
funds disbursed under this Agreement;
(4) Establish an accounting system which will accurately depict final total costs of the
Project, including both direct and indirect costs;
(5) Establish such accounts and maintain such records as may be necessary for the State to
fulfill federal reporting requirements, including any and all reporting requirements under
federal tax statutes or regulations; and
(6) If Force Account is used by the Recipient for any phase of the Project, other than for
planning, design, and construction engineering and administration provided for by
allowance, accounts will be established which reasonably document all employe e hours
charged to the Project and the associated tasks performed by each employee. Indirect
Force Account costs are not eligible for funding.
(b) The Recipient shall maintain separate books, records and other material relative to the Project.
The Recipient shall also retain such books, records, and other material for itself and for each
contractor or subcontractor who performed or performs work on this project for a minimum of
thirty-six (36) years after Project Completion. The Recipient shall require that such books,
records, and other material are subject at all reasonable times (at a minimum during normal
business hours) to inspection, copying, and audit by the State Water Board, the Bureau of State
Audits, the United States Environmental Protect ion Agency (USEPA), the Office of Inspector
General, the Internal Revenue Service, the Governor, or any authorized representatives of the
aforementioned. The Recipient shall allow and shall require its contractors to allow interviews
during normal business hours of any employees who might reasonably have information related
to such records. The Recipient agrees to include a similar duty regarding audit, interviews, and
records retention in any contract or subcontract related to the performance of this Agreement.
The provisions of this section shall survive the discharge of the Recipient's Obligation and the
term of this Agreement.
2.18 Audit.
(a) The Division may call for an audit of financial information relative to the Project if the Division
determines that an audit is desirable to assure program integrity or if an audit becomes necessary
because of state or federal requirements. If an audit is called for, the audit shall be performed by
a certified public accountant independent of the Recipient and at the cost of the Recipient. The
audit shall be in the form required by the Division
(b) Audit disallowances will be returned to the State Water Board.
ARTICLE III FINANCING PROVISIONS
3.1 Contingent Disbursement/Purchase and Sale of Project.
The Recipient hereby sells to the State Water Board and the State Water Board hereby purchases from
the Recipient the Project. Simultaneously therewith, the Recipient hereby purchases from the State
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Water Board, and the State Water Board hereby sells to the Recipient, the Project in accordance with the
provisions of this Agreement. All right, title, and interest in the Project shall immediately vest in the
Recipient on the date of execution and delivery of this Agreement without further action on the part of the
Recipient or the State Water Board. The State Water Board’s disbursement of funds hereunder is
contingent on the Recipient’s compliance with the terms and conditions of this Agreement .
3.2 Amounts Payable by the Recipient.
(a) Installment Payments. Interest will accrue beginning with each disbursement. Beginning one
year after Completion of Construction, repayment of the principal of the Project Funds, together
with all interest accruing thereon, shall be repaid annually, and shall be fully amortized by the end
term date specified in Exhibit B.
The Installment Payments are based on a standard fully amortized assistance amount with equal
annual payments. The remaining balance is the previous balance, plus the disbursements, plus
the accrued interest on both, less the Installment Payment. Installment Payment calculations will
be made beginning one (1) year after Completion of Construction. Exhibit C is a payment
schedule based on the provisions of this article and an estimated disbursement schedule. Actual
payments will be based on actual disbursements.
Upon Completion of Construction and submission of necessary reports by the Recipient, the
Division will prepare an appropriate payment schedule and supply the same to the Recipient. The
Division may amend this schedule as necessary to accurately reflect amounts due under this
Agreement. The Division will prepare any necessary amendments to the payment schedule and
send them to the Recipient.
The Recipient shall make each Installment Payment on or before the due date therefor. A ten (10)
day grace period will be allowed, after which time a penalty in the amount of costs incurred by the
State Water Board will be assessed for late payment. These costs may include, but are not
limited to, lost interest earnings, staff time, bond debt service default penalties, if any, and other
related costs. For purposes of penalty assessment, payment will be deemed to have been made
if payment is deposited in the U.S. Mail within the grace period with postage prepaid and properly
addressed. Any penalties assessed will not be added to the assistance amount balance, but will
be treated as a separate account and obligation of the Recipient. The interest penalty will be
assessed from the payment due date.
The Recipient as a whole is obligated to make all payments required by this Agreement to the
State Water Board, notwithstanding any individual default by its constituents or others in the
payment to the Recipient of fees, charges, taxes, assessments, tolls or other charges ("Charges")
levied or imposed by the Recipient. The Recipient shall provide for the punctual payment to the
State Water Board of all amounts which become due under this Agreement and which are
received from constituents or others in the payment to the Recipient. I n the event of failure,
neglect or refusal of any officer of the Recipient to levy or cause to be levied any Charge to
provide payment by the Recipient under this Agreement, to enforce or to collect such Charge, or
to pay over to the State Water Board any money collected on account of such Charge necessary
to satisfy any amount due under this Agreement, the State Water Board may take such action in
a court of competent jurisdiction as it deems necessary to compel the performance of all duties
relating to the imposition or levying and collection of any of such Charges and the payment of the
money collected therefrom to the State Water Board. Action taken pursuant hereto shall not
deprive the State Water Board of, or limit the application of, any other remedy provided by law or
by this Agreement.
Each Installment Payment shall be paid by check and in lawful money of the United States of
America.
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The Recipient shall not be entitled to interest earned on undisbursed funds. Upon execution of
this Agreement, the State Water Board shall encumber an amount equal to the Obligation. The
Recipient shall pay Installment Payments and Additional Payments from Net Revenues and/or
other amounts legally available to the Recipient therefor. Interest on any funds disbursed to the
Recipient shall begin to accrue as of the date of each disbursement.
(b) Project Costs. The Recipient shall pay any and all costs connected with the Project including,
without limitation, any and all Project Costs. If the Project Funds are not sufficient to pay the
Project Costs in full, the Recipient shall nonetheless complete the Project and pay that portion of
the Project Costs in excess of available Project Funds, and shall not be entitled to any
reimbursement therefor from the State Water Board.
(c) Additional Payments. In addition to the Installment Payments required to be made by the
Recipient, the Recipient shall also pay to the State Water Board the reasonable extraordinary
fees and expenses of the State Water Board, and of any assignee of the State Water Board's
right, title, and interest in and to this Agreement, in connection with this Agreement, including all
expenses and fees of accountants, trustees, staff, contractors, consultants, costs, insurance
premiums and all other extraordinary costs reasonably incurred by the State Water Board or
assignee of the State Water Board.
Additional Payments may be billed to the Recipient by the State Water Board from time to time,
together with a statement executed by a duly authorized representative of the State Water Board,
stating that the amounts billed pursuant to this section have been incurred by the State Water
Board or its assignee for one or more of the above items and a copy of the invoice or statem ent
for the amount so incurred or paid. Amounts so billed shall be paid by the Recipient within thirty
(30) days after receipt of the bill by the Recipient.
(d) The Recipient may without penalty prepay all or any portion of the outstanding principal amoun t
of the Obligation provided that the Recipient shall also pay at the time of such prepayment all
accrued interest on the principal amount prepaid through the date of prepayment.
3.3 Obligation Absolute.
The obligation of the Recipient to make the Installment Payments and other payments required to be
made by it under this Agreement, from Net Revenues and/or other amounts legally available to the
Recipient therefor, is absolute and unconditional, and until such time as the Installment Payments and
Additional Payments have been paid in full, the Recipient shall not discontinue or suspend any
Installment Payments or other payments required to be made by it hereunder when due, whether or not
the System or any part thereof is operating or operable or has been completed, or its use is suspended,
interfered with, reduced or curtailed or terminated in whole or in part, and such Installment Payments and
other payments shall not be subject to reduction whether by off set or otherwise and shall not be
conditional upon the performance or nonperformance by any party of any agreement for any cause
whatsoever.
3.4 No Obligation of the State.
Any obligation of the State Water Board herein contained shall not be an obligation, debt, or liability of the
State and any such obligation shall be payable so lely out of the moneys encumbered pursuant to this
Agreement.
3.5 Disbursement of Project Funds; Availability of Funds.
(a) Except as may be otherwise provided in this Agreement, disbursement of Project Funds will be
made as follows:
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(1) Upon execution and delivery of this Agreement, the Recipient may request immediate
disbursement of any eligible incurred planning and design allowance as specified in Exhibit
B from the Project Funds through submission to the State Water Board of the Disbursement
Request Form 260, or any amendment thereto, duly completed and executed.
(2) The Recipient may request disbursement of eligible construction and equipment costs
consistent with budget amounts referenced in Exhibit B and Exhibit A-FBA. (Note that this
Agreement will be amended to incorporate Exhibit A-FBA after final budget approval.)
(3) Additional Project Funds will be promptly disbursed to the Recipient upon receipt of
Disbursement Request Form 260, or any amendment thereto, duly completed and
executed by the Recipient for incurred costs consistent with this Agreement, along with
receipt of status reports due under Section 2.15 above.
(4) The Recipient shall not request disbursement for any Project Cost until such cost has been
incurred and is currently due and payable by the Recipient, although the actual payment of
such cost by the Recipient is not required as a condition of disbursement request.
(5) Recipient shall spend Project Funds within 30 days of receipt. Any interest earned on
Project Funds shall be reported to the State Water Board and may be required to be
returned to the State Water Board or deducted from future disbursements.
(6) The Recipient shall not be entitled to interest earned on undisbursed funds.
(7) The Recipient shall not request a disbursement unless that Project Cost is allowable,
reasonable, and allocable.
(8) Notwithstanding any other provision of this Agreement, no disbursement shall be required
at any time or in any manner which is in violation of or in conflict with federal or state laws,
policies, or regulations.
(b) The State Water Board's obligation to disburse Project Funds is contingent upon the availability of
sufficient funds to permit the disbursements provided for herein. If sufficient fund s are not available
for any reason, including but not limited to failure of the federal or State government to appropriate
funds necessary for disbursement of Project Funds, the State Water Board shall not be obligated to
make any disbursements to the Recipient under this Agreement. This provision shall be construed
as a condition precedent to the obligation of the State Water Board to make any disbursements
under this Agreement. Nothing in this Agreement shall be construed to provide the Recipient with a
right of priority for disbursement over any other agency. If any disbursements due the Recipient
under this Agreement are deferred because sufficient funds are unavailable, it is the intention of the
State Water Board that such disbursement will be made to the Recipient when sufficient funds do
become available, but this intention is not binding.
3.6 Withholding of Disbursements and Material Violations.
(a) The State Water Board may withhold all or any portion of the funds provided for by this
Agreement in the event that:
(1) The Recipient has materially violated, or threatens to materially violate, any term, provision,
condition, or commitment of this Agreement; or
(2) The Recipient fails to maintain reasonable progress toward completion of the Project.
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(b) For the purposes of this Agreement, the terms “material violation” or “threat of material
violation” include, but are not limited to:
(1) Placement on the ballot of an initiative or referendum to reduce Revenues;
(2) Passage of such an initiative or referendum;
(3) Successful challenges by ratepayer(s) to the process used by Recipient to set, dedicate, or
otherwise secure Revenues; or
(4) Any other action or lack of action that may be construed by the Division as a material
violation or threat thereof.
3.7 Pledge; Rates, Fees and Charges; Additional Debt.
(a) Establishment of Enterprise Fund and Reserve Fund. In order to carry out its Material
Obligations, the Recipient covenants that it shall establish and maintain or shall have established
and maintained the Enterprise Fund. All Revenues received shall be deposited w hen and as
received in trust in the Enterprise Fund. As required in Exhibit D of this Agreement, the Recipient
shall establish and maintain a Reserve Fund.
(b) Pledge of Net Revenues, Enterprise Fund, and Reserve Fund. The Obligation hereunder shall be
secured by a lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund
specified in Exhibit D in priority as specified in Exhibit F (senior, parity, or subordinate). The
Recipient hereby pledges and grants such lien on and pledge of the Enterprise Fund, Net
Revenues, and any Reserve Fund specified in Exhibit D to secure the Obligation, including
payment of Installment Payments and Additional Payments hereunder. The Net Revenues in the
Enterprise Fund, shall be subject to the lien of such pledge without any physical delivery thereof
or further act, and the lien of such pledge shall be valid and binding as against all parties having
claims of any kind in tort, contract, or otherwise against the Recipient.
(c) Application and Purpose of the Enterprise Fund. Subject to the provisions of any outstanding
Material Obligation, money on deposit in the Enterprise Fund shall be applied and used first, to
pay Operations and Maintenance Costs, and thereafter, all amounts due and payable with
respect to the Material Obligations. After making all payments hereinabove required to be made
in each Fiscal Year, the Recipient may expend in such Fiscal Year any remaining money in the
Enterprise Fund for any lawful purpose of the Recipient, including payment of subordinate debt.
(d) Rates, Fees and Charges. The Recipient shall, to the extent permitted by law, fix, prescribe and
collect rates, fees and charges for the System during each Fiscal Year which are reasonable, fair,
and nondiscriminatory and which will be at least sufficient to yield during each Fiscal Year Net
Revenues equal to the debt service on System Obligations, including the Obligation, for such
Fiscal Year, plus any coverage ratio specified in Exhibit D of this Agreement. The Recipient may
make adjustments from time to time in such fees and charges and may make such classification
thereof as it deems necessary, but shall not reduce the rates, fees and charges then in eff ect
unless the Net Revenues from such reduced rates, fees, and charges will at all times be sufficient
to meet the requirements of this section.
(e) Additional Debt Test.
(1) Additional Senior Debt. The Recipient’s future debt that is secured by revenues pledged
herein may not be senior to this Obligation, except where the new senior obligation refunds or
refinances a senior obligation with the same lien position as the existing senior obligation, the
new senior obligation has the same or earlier repayment term as the refunded senior debt,
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the new senior debt service is the same or lower than the existing debt service, and the new
senior debt will not diminish the Recipient’s ability to repay its SRF obligations.
(2) Additional Parity Debt. Future debt that is secured by revenues pledged herein may be on
parity with this Obligation if the reserve and coverage requirements in Exhibit D to this
Agreement are met.
3.8 Financial Management System and Standards.
The Recipient shall comply with federal standards for financial management systems. The Recipient
agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit
preparation of reports required by the federal government and tracking of Project funds to a level of
expenditure adequate to establish that such funds have not been used in violation of federal or state law
or the terms of this Agreement. To the extent applicable, the Recipient shall be bound by, and to comply
with, the provisions and requirements of the federal Single Audit Act of 1984, Office of Management and
Budget (OMB) Circular No. A-133 and 2 CFR Part 200, subpart F, and updates or revisions, thereto.
3.9 Accounting and Auditing Standards.
The Recipient must maintain project accounts according to GAAP as issued by the Governmental
Accounting Standards Board (GASB) or its successor. The Recipient shall maintain GAAP-compliant
project accounts, including GAAP requirements relating to the reporting of infrastructure assets.
3.10 Other Assistance.
If funding for Project Costs is made available to the Recipient from sources other than this Agreement,
the Recipient shall notify the Division. The Recipient may retain such funding up to an amount which
equals the Recipient's local share of Project Costs. To the extent allowed by requirements of other
funding sources, excess funding shall be remitted to the State Water Board to be applied to Installment
Payments due hereunder, if any.
ARTICLE IV MISCELLANEOUS PROVISIONS
4.1 Amendment.
No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed
by the parties and approved as required. No oral understanding or agreement not incorporated in this
Agreement is binding on any of the parties.
4.2 Assignability.
The Recipient consents to any pledge, sale, or assignment to the Bank or a trustee for the benefit of the
owners of the Bonds, if any, at any time of any portion of the State Water Board's estate, right, title, and
interest and claim in, to and under this Agreement and the right to make all related waivers and
agreements in the name and on behalf of the State Water Board, as agent and attorney-in-fact, and to
perform all other related acts which are necessary and appropriate under this Agreement, if any, and the
State Water Board's estate, right, title, and interest and claim in, to and under this Agreement to
Installment Payments (but excluding the State Water Board's rights to Additional Payments and to
notices, opinions and indemnification under each Obligation). This Agreement is not assignable by the
Recipient, either in whole or in part, without the consent of the State Water Board in the form of a formal
written amendment to this Agreement.
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4.3 Bonding.
Where contractors are used, the Recipient shall not authorize construction to begin until each contractor
has furnished a performance bond in favor of the Recipient in the following amounts: faithful performance
(100%) of contract value; labor and materials (100%) of contract value. This requirement shall not apply
to any contract for less than $25,000.00.
4.4 Competitive Bidding
Recipient shall adhere to any applicable state law or local ordinance for competitive bidding and
applicable labor laws.
4.5 Compliance with Law, Regulations, etc.
The Recipient shall, at all times, comply with and require its contractors and subcontractors to comply
with all applicable federal and state laws, rules, guidelines, regulations, and requirements. Without
limitation of the foregoing, to the extent applicable, the Recipient shall:
(a) Comply with the provisions of the adopted environmental mitigation plan, if any, for the term of
this Agreement;
(b) Comply with the State Water Board's Policy;
(c) Comply with and require compliance with the list of state laws attached as Exhibit H.
(d) Comply with and require its contractors and subcontractors on the Project to comply with federal
DBE requirements; and
(e) Comply with and require its contractors and subcontractors to comply with the list of federal laws
attached as Exhibit E.
4.6 Conflict of Interest.
The Recipient certifies that its owners, officers, directors, agents, representatives, and employees are in
compliance with applicable state and federal conflict of interest laws.
4.7 Damages for Breach Affecting Tax-Exempt Status or Federal Compliance
In the event that any breach of any of the provisions of this Agreement by the Recipient shall result in the
loss of tax-exempt status for any bonds of the State or any subdivision or agency thereof, including Bonds
issued on behalf of the State Water Board, or if such breach shall result in an obligation on the part of the
State or any subdivision or agency thereof to reimburse the federal government by reason of any
arbitrage profits, the Recipient shall immediately reimburse the State or any subdivision or agency thereof
in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency
thereof due to such breach. In the event that any breach of any of the provisions of this Agreement by
the Recipient shall result in the failure of Project Funds to be used pursuant to the provisions of this
Agreement, or if such breach shall result in an obligation on the part of the State or any subdivision or
agency thereof to reimburse the federal government, the Recipient shall immediately reimburse the State
or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the
State or any subdivision or agency thereof due to such breach.
4.8 Disputes.
(a) The Recipient may appeal a staff decision within 30 days to the Deputy Director of the Division or
designee, for a final Division decision. The Recipient may appeal a final Division decision to the
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State Water Board within 30 days. The Office of the Chief Counsel of the State Water Board will
prepare a summary of the dispute and make recommendations relative to its final resolution,
which will be provided to the State Water Board’s Executive Director and each State Water Board
Member. Upon the motion of any State Water Board Member, the State Water Board will review
and resolve the dispute in the manner determined by the State Water Board. Should the State
Water Board determine not to review the final Division decision, this decision will represent a final
agency action on the dispute.
(b) This clause does not preclude consideration of legal questions, provided that nothing herein shall
be construed to make final the decision of the State Water Board, or any official or representative
thereof, on any question of law.
(c) Recipient shall continue with the responsibilities under this Agreement during any dispute.
(d) This section 4.8 relating to disputes does not establish an exclusive procedure for resolving
claims within the meaning of Government Code sections 930 and 930.4.
4.9 Governing Law.
This Agreement is governed by and shall be interpreted in accordance with the laws of the State of
California.
4.10 Income Restrictions.
The Recipient agrees that any refunds, rebates, credits, or other amounts (including any interest thereon)
accruing to or received by the Recipient under this Agreement shall be paid by the Recipient to the State
Water Board, to the extent that they are properly allocable to costs for which the Recipient has been
reimbursed by the State Water Board under this Agreement.
4.11 Indemnification and State Reviews.
The parties agree that review or approval of Project plans and specifications by the State Water Board is
for administrative purposes only , including conformity with application and eligibility criteria, and
expressly not for the purposes of design defect review or construction feasibility, and does not relieve the
Recipient of its responsibility to properly plan, design, construct, operate, and maintain the Project. To
the extent permitted by law, the Recipient agrees to indemnify, defend, and hold harmless the State
Water Board, the Bank, and any trustee, and their officers, employees, and agents for the Bonds, if any
(collectively, "Indemnified Persons"), against any loss or liability arising out of any claim or action brought
against any Indemnified Persons from and against any and all losses, claims, damages, liabilities , or
expenses, of every conceivable kind, character, and nature whatsoever arising out of, resulting from, or in
any way connected with (1) the System or the Project or the conditions, occupancy, use, possession,
conduct, or management of, work done in or about, or the planning, design, acquisition, installation , or
construction, of the System or the Project or any part thereof; (2) the carrying out of any of the
transactions contemplated by this Agreement or any related document; (3) any violation of any applicable
law, rule or regulation, any environmental law (including, without limitation, the Federal Comprehensive
Environmental Response, Compensation and Liability Act, the Resource Conservation and Recovery Act,
the California Hazardous Substance Account Act, the Federal Water Pollution Control Act, the Clean Air
Act, the Toxic Substances Control Act, the Occupational Safety and Health Act, the Safe Drinking Water
Act, the California Hazardous Waste Control Law, and California Water Code Section 13304, and any
successors to said laws), rule or regulation or the release of any toxic substance on or near the System;
or (4) any untrue statement or alleged untrue statement of any material fact or omission or alleged
omission to state a material fact necessary to make the statements required to be stated therein, in light
of the circumstances under which they were made, not misleading with respect to any information
provided by the Recipient for use in any disclosure document utilized in connection with any of the
transactions contemplated by this Agreement. The Recipient shall also provide for the defense and
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indemnification of the Indemnified Parties in any contractual provision extending indemnity to the
Recipient in any contract let for the performance of any work under this Agreement, and shall cause the
Indemnified Parties to be included within the scope of any provision for the indemnification and defense of
the Recipient in any contract or subcontract. To the fullest extent permitted by law, the Recipient agrees
to pay and discharge any judgment or award entered or made against Indemnified Persons with respect
to any such claim or action, and any settlement, compromise or other voluntary resolution. The
provisions of this section shall survive the term of this Agreement and the discharge of the Recipient's
Obligation hereunder.
4.12 Independent Actor.
The Recipient, and its agents and employees, if any, in the performance of this Agre ement, shall act in an
independent capacity and not as officers, employees, or agents of the State Water Board.
4.13 Leveraging Covenants.
(a) Tax Covenant. Notwithstanding any other provision hereof, the Recipient covenants and agrees
that it will comply with the Tax Covenants set forth in Article V of this Agreement.
(b) Disclosure of Financial Information, Operating Data, and Other Information. The Recipient
covenants to furnish such financial, operating and other data pertaining to the Recipient as may
be requested by the State Water Board to: (i) enable the State Water Board to cause the
issuance of Bonds and provide for security therefor; or (ii) enable any underwriter of Bonds
issued for the benefit of the State Water Board to comply with Rule 15c2-12(b)(5). The Recipient
further covenants to provide the State Water Board with copies of all continuing disclosure reports
and materials concerning the System required by the terms of any financing other than this
Agreement and to submit such reports to the State Water Board at the same time such reports
are submitted to any dissemination agent, trustee, nationally recognized municipal securit ies
information repository, the Municipal Securities Rulemaking Boar d’s Electronic Municipal Market
Access (EMMA) website or other person or entity.
4.14 Non-Discrimination Clause.
(a) During the performance of this Agreement, Recipient and its contractors and subcontractors shall
not unlawfully discriminate, harass, or allow harassment against any employee or applicant for
employment because of sex, race, color, ancestry, religious cre ed, national origin, sexual
orientation, physical disability (including HIV and AIDS), mental disability, medical condition
(cancer), age (over 40), marital status, denial of family care leave, or genetic information, gender,
gender identity, gender expression, or military and veteran status.
(b) The Recipient, its contractors, and subcontractors shall ensure that the evaluation and treatment
of their employees and applicants for employment are free from such discrimination and
harassment.
(c) The Recipient, its contractors, and subcontractors shall comply with the provisions of the Fair
Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov.
Code, §12990, subds. (a)-(f) et seq.;Cal. Code Regs., tit. 2, § 7285 et seq.) Such regulations are
incorporated into this Agreement by reference and made a part hereof as if set forth in full.
(d) The Recipient, its contractors, and subcontractors shall give written notice of their obligations
under this clause to labor organizations with which they have a collective bargaining or other
agreement.
(e) The Recipient shall include the nondiscrimination an d compliance provisions of this clause
in all subcontracts to perform work under this Agreement.
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4.15 No Third Party Rights.
The parties to this Agreement do not create rights in, or grant remedies to, any third party as a beneficiary
of this Agreement, or of any duty, covenant, obligation, or undertaking established herein.
4.16 Operation and Maintenance; Insurance.
The Recipient agrees to sufficiently and properly staff, operate and maintain all portions of the System
during its useful life in accordance with all applicable state and federal la ws, rules, and regulations.
The Recipient will procure and maintain or cause to be maintained insurance on the System with
responsible insurers, or as part of a reasonable system of self -insurance, in such amounts and against
such risks (including damage to or destruction of the System) as are usually covered in connection with
systems similar to the System. Such insurance may be maintained by a self -insurance plan so long as
such plan provides for (i) the establishment by the Recipient of a separate segregated self-insurance fund
in an amount determined (initially and on at least an annual basis) by an independent insurance
consultant experienced in the field of risk management employing accepted actuarial techniques and
(ii) the establishment and maintenance of a claims processing and risk management program.
In the event of any damage to or destruction of the System caused by the perils covered by such
insurance, the net proceeds thereof shall be applied to the reconstruction, repair or replacement of the
damaged or destroyed portion of the System. The Recipient shall begin such reconstruction, repair or
replacement as expeditiously as possible, and shall pay out of such net proceeds all costs and expenses
in connection with such reconstruction, repair or replacement so that the same shall be completed and
the System shall be free and clear of all claims and liens. If such net proceeds are insufficient to enable
the Recipient to pay all remaining unpaid principal portions of the Installment Payments, if any, the
Recipient shall provide additional funds to restore or replace the damaged portions of the System.
Recipient agrees that for any policy of insurance concerning or covering the construction of the Project, it
will cause, and will require its contractors and subcontractors to cause, a certificate of insurance to be
issued showing the State Water Board, its officers, agents, employees, and servants as additional
insured; and shall provide the Division with a copy of all such certificates prior to the commencement of
construction of the Project.
4.17 Permits, Subcontracting, and Remedies.
The Recipient shall comply in all material respects with all applicable federal, state and local laws, rules
and regulations. Recipient shall procure all permits, licenses and other authorizations necessary to
accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices
necessary and incidental to the due and lawful prosecution of the work. Signed copies of any such
permits or licenses shall be submitted to the Division before construction begins.
The Recipient shall not contract or allow subcontracting with excluded parties. The Recipient shall not
contract with any party who is debarred or suspended or otherwise excluded from or ineligible for
participation in any work overseen, directed, funded, or administered by the State Water Board program
for which this funding is authorized. For any work related to this Agreement, the Recipient shall not
contract with any individual or organization on the State Water Board’s List of Disqualified Businesses
and Persons that is identified as debarred or suspended or otherwise excluded from or ineligible for
participation in any work overseen, directed, funded, or administered by the State Water Board program
for which funding under this Agreement is authorized. The State Water Board’s List of Disqualified
Businesses and Persons is located at
http://www.waterboards.ca.gov/water_issues/programs/enforcement/fwa/dbp.shtml.
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4.18 Prevailing Wages.
The Recipient agrees to be bound by all applicable provisions of State Labor Code regarding prevailing
wages. The Recipient shall monitor all agreements subject to reimbursement from this Agreement to
ensure that the prevailing wage provisions of the State Labor Code are being met. In addition, the
Recipient agrees to comply with the provisions of Exhibit G (Davis-Bacon).
4.19 Public Funding.
This Project is publicly funded. Any service provider or contractor with which the Recipient contracts must
not have any role or relationship with the Recipient, that, in effect, substantially limits the Recipient's
ability to exercise its rights, including cancellat ion rights, under the contract, based on all the facts and
circumstances.
4.20 Recipient’s Responsibility for Work.
The Recipient shall be responsible for all work and for persons or entities engaged in work performed
pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and
providers of services. The Recipient shall be responsible for responding to any and all disputes arising
out of its contracts for work on the Project. The State Water Board will not mediate disputes between the
Recipient and any other entity concerning responsibility for performance of work.
4.21 Related Litigation.
Under no circumstances may the Recipient use funds from any disbursement under this Agreement to
pay costs associated with any litigation the Recipient pursues against the State Water Board or any
Regional Water Quality Control Board. Regardless of the outcome of any such litigation, and
notwithstanding any conflicting language in this Agreement, the Recipient agrees to repay all of the
disbursed funds plus interest in the event that Recipient does not complete the project.
4.22 Rights in Data.
The Recipient agrees that all data, plans, drawings, specifications, reports, computer programs, operating
manuals, notes, and other written or graphic work produced in the performance of this Agreement are
subject to the rights of the State as set forth in this section. The State shall have the right to reproduce,
publish, and use all such work, or any part thereof, in any manner and for any purposes whatsoever and
to authorize others to do so. If any such work is copyrightable, the Recipient may copyright the same,
except that, as to any work which is copyrighted by the Recipient, the State reserves a royalty-free,
nonexclusive, and irrevocable license to reproduce, publish, and use such work, or any part ther eof, and
to authorize others to do so, and to receive electronic copies from the Recipient upon request .
4.23 State Water Board Action; Costs and Attorney Fees.
Any remedy provided in this Agreement is in addition to and not in derogation of any other legal or
equitable remedy available to the State Water Board as a result of breach of this Agreement by the
Recipient, whether such breach occurs before or after completion of the Project, and exercise of any
remedy provided by this Agreement by the State Water Board shall not preclude the State Water Board
from pursuing any legal remedy or right which would otherwise be available. In the event of litigation
between the parties hereto arising from this Agreement, it is agreed that each party shall bear its own
costs and attorney fees.
4.24 Termination; Immediate Acceleration; Interest.
(a) This Agreement may be terminated by written notice during construction of the Project, or
thereafter at any time prior to complete satisfaction of the Obligation by the Recipient, at the
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option of the State Water Board, upon violation by the Recipient of any material provision of this
Agreement after such violation has been called to the attention of the Recipient and after failure
of the Recipient to bring itself into compliance with the provisions of this Agreement within a
reasonable time as established by the Division.
(b) In the event of such termination, the Recipient agrees, upon demand, to immediately repay to the
State Water Board an amount equal to Project Funds disbursed hereunder, accrued interest,
penalty assessments, and Additional Payments. In the event of termination, interest shall accrue
on all amounts due at the highest legal rate of interest from the date that notice of termination is
mailed to the Recipient to the date all monies due have been received by the State Water Board.
4.25 Timeliness.
Time is of the essence in this Agreement.
4.26 Unenforceable Provision.
In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the
parties agree that all other provisions of this Agreement have force and effect and shall not be affected
thereby.
4.27 Useful Life.
The Recipient warrants that the economic useful life of the Project, commencing at Project Completion, is
at least equal to the term of this Agreement, as set forth in Exhibit B.
4.28 Venue.
Any action arising out of this Agreement shall be filed and maintained in the Superior Court in and for the
County of Sacramento, California.
4.29 Waiver and Rights of the State Water Board.
Any waiver of rights by the State Water Board with respect to a default or other matter arising under this
Agreement at any time shall not be considered a waiver of rights with respect to any other default or
matter.
Any rights and remedies of the State Water Board provided for in this Agreement are in addition to any
other rights and remedies provided by law.
ARTICLE V TAX COVENANTS
5.1 Purpose.
The purpose of this Article V is to establish the reasonable expectations of the Recipient regarding the
Project and the Project Funds, and is intended to be and may be relied upon for purposes of Sections
103, 141 and 148 of the Code and as a certification described in Section 1.148-2(b)(2) of the Treasury
Regulations. This Article V sets forth certain facts, estimates and circumstances which form the basis for
the Recipient’s expectation that neither the Project nor the Bond Funded Portion of the Project Funds is to
be used in a manner that would cause the Obligation to be classified as “arbitrage bonds” under Section
148 of the Code or “private activity bonds” under Section 141 of the Code.
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5.2 Tax Covenant.
The Recipient agrees that it will not take or authorize any action or permit any action within its reasonable
control to be taken, or fail to take any action within its reasonable control, with respect to the Project
which would result in the loss of the exclusion of interest on the Bonds from gross income for federal
income tax purposes under Section 103 of the Code.
5.3 Governmental Unit.
The Recipient is a state or local governmental unit as defined in Section 1.103 -1 of the Treasury
Regulations or an instrumentality thereof (a "Governmental Unit") and is not the federal government or
any agency or instrumentality thereof.
5.4 Financing of a Capital Project.
The Recipient will use the Project Funds to finance costs it has incurred or will incur for the construction,
reconstruction, installation or acquisition of the Project. Such costs shall not have previously been
financed with the proceeds of any other issue of tax-exempt obligations.
5.5 Ownership and Operation of Project.
The Recipient exclusively owns and, except as provided in Section 5.12 hereof, operates the Project.
5.6 Temporary Period.
The Recipient reasonably expects that at least eighty-five percent (85%) of the Bond Funded Portion of
the Project Funds will be allocated to expenditures for the Project within three (3) years of the earlier of
the effective date of this Agreement or the date the Bonds are issued ("Applicable Date"). The Recipient
has incurred, or reasonably expects that it will incur within six (6) months of the Applicable Date, a
substantial binding obligation (i.e., not subject to contingencies within the control of the Recipient or a
related party) to a third party to expend at least five percent (5%) of the Bond Funded Portion of the
Project Funds on Project Costs. The completion of acquisition, construction, improvement and equipping
of the Project and the allocation of the Bond Funded Portion of the Project Funds to Project Costs will
proceed with due diligence.
5.7 Working Capital.
No operational expenditures of the Recipient or any related entity are being, have been or will be financed
or refinanced with Project Funds.
5.8 Expenditure of Proceeds.
The Bond Funded Portion of the Project Funds shall be used exclusively for the following purposes: (i)
Reimbursement Expenditures (as defined in Section 4.20 below), (ii) Preliminary Expenditures (as
defined in Section 4.20 below) in an aggregate amount not exceeding twenty percent (20%) of the Bond
Funded Portion of the Project Funds, (iii) capital expenditures relating to the Project originally paid by the
Recipient on or after the date hereof, (iv) interest on the Obligation through the later of three (3) years
after the Applicable Date or one (1) year after the Project is placed in servic e, and (v) initial operating
expenses directly associated with the Project in the aggregate amount not more than five percent (5%) of
the Bond Funded Portion of the Project Funds.
5.9 Private Use and Private Payments.
No portion of the Project Funds or the Project is being, has been or will be used in the aggregate for any
activities that constitute a Private Use (as defined below). No portion of the principal of or interest with
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
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2016 cx 30xi16
respect to the Installment Payments will be secured by any interest in property (whether or not the
Project) used for a Private Use or in payments in respect of property used for a Private Use, or will be
derived from payments in respect of property used for a Private Use. "Private Use" means any activity
that constitutes a trade or business that is carried on by persons or entities, other than a Governmental
Unit. The leasing of the Project or the access by or the use of the Project by a person or entity other than
a Governmental Unit on a basis other than as a member of the general public shall constitute a Private
Use. Use by or on behalf of the State of California or any of its agencies, instrumentalities o r subdivisions
or by any local Governmental Unit and use as a member of the general public will be disregarded in
determining whether a Private Use exists. Use under an arrangement that conveys priority rights or other
preferential benefits is generally not use on the same basis as the general public. Arrangements
providing for use that is available to the general public at no charge or on the basis of rates that are
generally applicable and uniformly applied do not convey priority rights or other preferential benefits. For
this purpose, rates may be treated as generally applicable and uniformly applied even if (i) different rates
apply to different classes of users, such as volume purchasers, if the differences in rates are customary
and reasonable; or (ii) a specially negotiated rate arrangement is entered into, bu t only if the user is
prohibited by federal law from paying the generally applicable rates, and the rates established are as
comparable as reasonably possible to the generally applicable rates. An arrangement that does not
otherwise convey priority rights or other preferential benefits is not treated, nevertheless, as general
public use if the term of the use under the arrangement, including all renewal options, is greater than 200
days. For this purpose, a right of first refusal to renew use under the arrangement is not treated as a
renewal option if (i) the compensation for the use under the arrangement is redetermined at generally
applicable, fair market value rates that are in effect at the time of renewal; and (ii) the use of the financed
property under the same or similar arrangements is predominantly by natural persons who are not
engaged in a trade or business.
5.10 No Sale, Lease or Private Operation of the Project.
The Project (or any portion thereof) will not be sold or otherwise disposed of, in whole or in part, to any
person who is not a Governmental Unit prior to the final maturity date of the Obligation. The Project will
not be leased to any person or entity that is not a Governmental Unit prior to the final maturity date of the
Obligation. Except as permitted under Section 5.12 hereof, the Recipient will not enter any contract or
arrangement or cause or permit any contract or arrangement to be entered with persons or entities that
are not Governmental Units if that contract or arrangement would confer on such persons or entities any
right to use the Project on a basis different from the right of members of the general public. The contracts
or arrangements contemplated by the preceding sentence include but are not limited to management
contracts, take or pay contracts or put or pay contracts, and capacity guarantee contracts.
5.11 No Disproportionate or Unrelated Use.
No portion of the Project Funds or the Project is being, has been, or will be used for a Private Use that is
unrelated or disproportionate to the governmental use of the Project Funds.
5.12 Management and Service Contracts.
The Recipient represents that, as of the date hereof, it is not a party to any contract, agreement or other
arrangement with any persons or entities engaged in a trade or business (other than Governmental Units)
that involve the management or operation of property or the provision of services at or with respect to the
Project that does not comply with the standards of the Treasury Regulations, Revenue Procedure 97 -13,
as modified by Revenue Procedure 2001-39 and IRS Notice 2014-67, or Revenue Procedure 2016-
44. The Recipient represents that it will not be party to any such contract, agreement or arrangement
with any person or entity that is not a Governmental Unit for the management of property or the provision
of services at or with respect to the Project, while the Obligation (including any obligation or series thereof
issued to refund the Obligation, as the case may be) is outstanding, except: (a) with respect to any
contract, agreement or arrangement that does not constitute “private business use” of the Project under
Code §§141(b), or (b) with respect to any contract, agreement or arrangement that complies with (i)
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
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2016 cx 30xi16
Revenue Procedure 97-13, 1997-1 C.B. 632, as amended by Revenue Procedure 2001-39, 2001-2 C.B.
38, and as amplified by Notice 2014-67, with respect to contracts entered into before August 18, 2017
and not materially modified or extended after August 18, 2017, or (ii) Revenue Procedure 2016-44, 2016-
36 I.R.B., with respect to contracts entered into or materially modified or extended on or after August 18,
2017, or (c) with respect to any contract, agreement or arrangement that does not give rise to use of the
Bond Funded Portion of the Project Funds or the Project by a non-Governmental Unit of more than the
amount of such non-qualified use permitted by the Code, or (d) in the event that the Recipient receives an
opinion of counsel, satisfactory to the State Water Board and the Bank and expert in the issuance of state
and local government bonds the interest on which is excluded from gross income under Section 103 of
the Code (“Nationally-Recognized Bond Counsel”), that such contract, agreement or arrangement will not
adversely affect the exclusion of the interest on th e Obligation from gross income for federal income
taxation purposes.
5.13 No Disposition of Financed Property.
As of the date hereof, the Recipient does not expect to sell or otherwise dispose of any portion of the
Project, in whole or in part, prior to the final maturity date of the Obligation.
5.14 Useful Life of Project.
As of the date hereof, the Recipient reasonably expects that the economic useful life of the Project,
commencing at Project Completion, will be at least equal to the term of this Agreement, as set forth on
Exhibit B hereto.
5.15 Installment Payments.
Installment Payments generally are expected to be derived from assessments, taxes, fees, charges or
other current Revenues of the Recipient in each year, and such current Revenues are expected to equal
or exceed the Installment Payments during each payment period. Any amounts accumulated in a sinking
fund or bona fide debt service fund to pay Installment Payments (whether or not deposited to a fund or
account established by the Recipient) will be disbursed to pay Installment Payments within thirteen
months of the initial date of accumulation or deposit. Any such fund used for the payment of Installment
Payments will be depleted once a year except for a reasonable carryover amount not exceeding earnings
on such fund or one-twelfth of the Installment Payments in either case for the immediately preceding
year.
5.16 No Other Replacement Proceeds.
The Recipient will not use any of the Bond Funded Portion of the Project Funds to replace or substitute
other funds of the Recipient that were otherwise to be used to finance the Project or which are or will be
used to acquire securities, obligations or other investment property reasonably expected to produce a
yield that is materially higher than the yield on the Bonds.
5.17 No Sinking or Pledged Fund.
Except as set forth in Section 5.18 below, the Recipient will not create or establish any sinking fund or
pledged fund which will be used to pay Installment Payments on the Obligation within the meaning of
Section 1.148-1(c) of the Treasury Regulations. If any sinking f und or pledged fund comes into being with
respect to the Obligation before the Obligation has been fully retired which may be used to pay the
Installment Payments, the Recipient will invest such sinking fund and pledged fund moneys at a yield that
does not exceed the yield on the Bonds.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
25
2016 cx 30xi16
5.18 Reserve Amount.
The State Water Board requires that the Recipient maintain and fund a separate account in an amount
equal to one (1) year of debt service with respect to the Obligation (the “Reserve Amount”) as set forth in
Exhibit D. The Recipient represents that the Reserve Amount is and will be available to pay debt service
with respect to the Obligation, if and when needed. The Reserve Amount consists solely of revenues of
the Recipient and does not include any proceeds of any obligations the interest on which is excluded from
gross income for federal income tax purposes or investment earnings thereon. The aggregate of the
Reserve Amount, up to an amount not exceeding the lesser of (i) ten percent of the aggregate principal
amount of the Obligation, (ii) the maximum annual debt service with respect to the Obligation, or (iii) 125
percent of the average annual debt service with respect to the Obligation, will be treated as a reasonably
required reserve fund.
5.19 Reimbursement Resolution.
The “reimbursement resolution” adopted by the Recipient is incorporated herein by reference, pursuant to
Exhibit A.
5.20 Reimbursement Expenditures.
Reimbursements are disallowed, except as specifically authorized in Exhibit B or Exhibit D of this
Agreement. To the extent so authorized, a portion of the Bond Funded Portion of the Project Funds may
be applied to reimburse the Recipient for Project Costs paid before the date hereof, so long as the Project
Cost was (i) not paid prior to sixty (60) days before the Recipient’s adoption of a declaration of official
intent to finance the Project, (ii) not paid more than eighteen (18) months prior to the date hereof or the
date the Project was placed-in-service, whichever is later, and (iii) not paid more than three (3) years prior
to the date hereof (collectively, “Reimbursement Expenditures”), unless such cost is attributable to a
“preliminary expenditure.” Preliminary expenditure for this purpose means architectural, engineering,
surveying, soil testing and similar costs incurred prior to the commencement of construction or
rehabilitation of the Project, but does not include land acquisition, site preparation and similar costs
incident to the commencement of acquisition, construction or rehabilitation of the Project. Preliminary
expenditures may not exceed 20% of the Bond Funded Portion of the Project Funds.
5.21 Change in Use of the Project.
The Recipient reasonably expects to use all Project Funds and the Project for the entire stated term to
maturity of the Obligation. Absent an opinion of Nationally-Recognized Bond Counsel to the effect that
such use of the Bond Funded Portion of the Project Funds will not adversely affect the exclusion from
federal gross income of interest on the Bonds pursuant to Section 103 of the Code; the Recipient will use
the Bond Funded Portion of the Project Funds and the Project solely as set forth in this Agreement.
5.22 Rebate Obligations.
If the Recipient satisfies the requirements of one of the spending exceptions to rebate specified in Section
1.148-7 of the Treasury Regulations, amounts earned from investments, if any, acquired with the Bond
Funded Portion of the Project Funds will not be subject to the rebate requirements imposed under Section
148(f) of the Code. If the Recipient fails to satisfy such requirements for any period, it will notify the State
Water Board and the Bank immediately and will comply with the provisions of the Code and the Treasury
Regulations at such time, including the payment of any rebate amount calculated by the State Water
Board or the Bank.
5.23 No Federal Guarantee.
The Recipient will not directly or indirectly use any of the Bond Funded Portion of the Project Funds in
any manner that would cause the Bonds to be "federally guaranteed" within the meaning of Section
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
26
2016 cx 30xi16
149(b) of the Code, taking into account various exceptions including any guarantee related to investments
during an initial temporary period until needed for the governmental purpose of the Bonds, investments as
part of a bona fide debt service fund, investments of a reasonably required reserve or replacement fund,
investments in bonds issued by the United States Treasury, investments in refunding escrow funds or
certain other investments permitted under the Treasury Regulations.
5.24 No Notices or Inquiries from IRS.
Within the last 10 years, the Recipient has not received any notice of a final action of the Internal
Revenue Service that determines that interest paid or payable on any debt obligation of the Recipient is
or was includable in the gross income of an owner or beneficial owner thereof for federal income tax
purposes under the Code.
5.25 Amendments.
The provisions in this Article may be amended, modified or supplemented at any time to reflect changes
in the Code upon obtaining written approval of the State Water Board and the Bank and an opinion of
Nationally-Recognized Bond Counsel to the effect that such amendment, modification or supplement will
not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Sec tion
103 of the Code.
5.26 Reasonable Expectations.
The Recipient warrants that, to the best of its knowledge, information and belief, and based on the facts
and estimates as set forth in the tax covenants in this Article, the expectations of the Recipient as set
forth in this Article are reasonable. The Recipient is not aware of any facts or circumstances that would
cause it to question the accuracy or reasonableness of any representation made in the provisions in this
Article V.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
27
2016 cx 30xi16
IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
CITY OF UKIAH:
By: ____________________________________
Name: Sage Sangiacomo
Title: City Manager
Date: __________________________________
STATE WATER RESOURCES CONTROL BOARD:
By: ____________________________________
Name: Leslie Laudon
Title: Deputy Director
Division of Financial Assistance
Date: __________________________________
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT A – SCOPE OF WORK
A-1
1. The Recipient agrees to start construction no later than the estimated date of August 1, 2017.
2. The Completion of Construction date is hereby established as October 19, 2018.
3. The Recipient agrees to ensure that its final Request for Disbursement is received by the Division no
later than six months after Completion of Construction, unless prior approval has been granted by the
Division. Otherwise, the undisbursed balance of this Agreement will be deobligated.
4. Incorporated by reference into this Agreement are the following documents:
(a) the Final Plans & Specifications, which are the basis for the construction contract to be awarded
by the Recipient (Agreement will be amended to incorporate such document);
(b) the Waste Discharge Requirement Order No. R1-2012-0068 and National Pollutant Discharge
Elimination System Permit No.CA0022888; and
(c) the Recipient’s Reimbursement Resolution No. 2015-45 dated November 4, 2015.
5. Reporting. Status Reports due at least quarterly.
6. Project Description:
The objective of the Project is to offset 1,294 Acre-Feet-per Year (AFY) of potable water for
irrigation, agricultural and industrial uses. The Project will construct a recycled water pipeline to
serve agricultural, urban irrigation and frost protection demands with an estimated 1,294 AFY of
recycled water. The Project also includes construction of associated storage and pump stations.
7. Signage.
The Recipient shall place a sign at least four feet tall by eight feet wide made of ¾ inch thick
exterior grade plywood or other approved material in a prominent location on the Project site and
shall maintain the sign in good condition for the duration of the construction period. The sign
must include the following disclosure statement and color logos (available from the Division):
“Funding for this $32,085,000 Recycled Water Pipeline Project has been provided in full
or in part by the Proposition 1 – the Water Quality, Supply, and Infrastructure
Improvement Act of 2014 and the Clean Water State Revolving Fund through an
agreement with the State Water Resources Control Board. California’s Clean Water
State Revolving Fund is capitalized through a variety of funding sources, including grants
from the United States Environmental Protection Agency and state bond proceeds.”
The Project sign may include another agency's required promotional information so long as the
above logos and disclosure statement are equally prominent on the sign. The sign shall be
prepared in a professional manner.
The Recipient shall include the following disclosure statement in any document , written report, or
brochure prepared in whole or in part pursuant to this Agreement:
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT A – SCOPE OF WORK
A-2
“Funding for this project has been provided in full or in part through an agreement with
the State Water Resources Control Board. California’s Clean Water State Revolving
Fund is capitalized through a variety of funding sources, including grants from the United
States Environmental Protection Agency and state bond proceeds. The contents of this
document do not necessarily reflect the views and policies of the foregoing, nor does
mention of trade names or commercial products constitute endorsement or
recommendation for use.”
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT B – FUNDING AMOUNT
B-1
1. Estimated Reasonable Cost. The estimated reasonable cost of the total Project, including associated
planning and design costs is thirty two million eighty-five thousand dollars and no cents
($32,085,000.00).
2. Project Financing. Subject to the terms of this Agreement, the State Water Board agrees to provide
Project Funds in the amount of up to thirty two million eighty-five thousand dollars and no cents
($32,085,000.00). A portion of this amount, ten million two hundred seventy-six thousand dollars and
no cents ($10,276,000.00), is anticipated to be a grant. The estimated amount of principal that will be
due to the State Water Board under this Agreement is twenty one million eight hundred nine thousand
dollars and no cents ($21,809,000.00).
3. Payment, Interest Rate, and Charges. The Recipient agrees to make all Installment Payments
according to the schedule in Exhibit C at an interest rate of one percent (1%) per annum. The
Recipient agrees to pay an Administrative Service Charge in lieu of interest as reflected in Exhibit C.
The Recipient agrees to pay a Small Community Grant Fund Charge in lieu of interest as reflected in
Exhibit C.
4. Proposition 1 Grant. Contingent on the Recipient’s performance of its obligations under this
Agreement, of the Project Funding the State Water Board agrees to make a grant of up to ten million
two hundred seventy-six thousand dollars and no cents ($10,276,000.00). Upon Completion of
Construction, the State Water Board will prepare an alternate payment schedule reflecting this grant.
5. Useful Life. The useful life of this Project is at least fifty (50) years.
6. [Reserved].
7. The term of this agreement is from the Eligible Start Date of April 12, 2017 to October 19, 2048.
8. Budget costs are contained in the Project Cost Table, which is part of Exhibit A-FBA. (This Agreement
will be amended to incorporate Exhibit A-FBA.)
9. Preliminary budget costs are as follows:
Planning and design allowances: $1,550,000
Construction costs and disbursements are not available until after this Agreement has been amended
to incorporate Exhibit A-FBA. Construction costs incurred prior to the Eligible Start Date on the cover
page of this Agreement are not eligible for reimbursement. Failure to begin construction according to
the timelines set forth in Exhibit A may require the Recipient to repay to the State Water Board all
disbursed Project Funds, including planning and design allowances.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT C – PAYMENT SCHEDULE
C-1
See the attached preliminary Payment Schedule dated April 26, 2017. The final Payment Schedule will
be forwarded to the Recipient after all disbursements have been paid and construction of the Project has
been completed.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT D – SPECIAL CONDITIONS
D-1
Recipient acknowledges and agrees to the following special conditions:
Environmental Special Conditions as follows:
The following documents are incorporated by reference and the Recipient shall comply with the
conditions herein:
1. The June 5, 2013 Mitigation Monitoring and Reporting Program, including but not limited to the
following mitigation measures:
AIR-1 for air quality;
BIO-1 through BIO-6 for biological resources;
CR-1 through CR-4 for cultural resources;
GEO-1 for geology and soils;
HAZ-1 through HAZ-3 for hazards and hazardous materials; and
HWQ-1 through HWQ-3 for hydrology and water quality.
2. The February 11, 2016 Section 106 of the National Historic Preservation Act Determination from the
State Water Board Cultural Resources Officer.
REPORTING TO THE STATE WATER BOARD:
The Recipient shall include the status of its environmental compliance with the measures identified in this
Exhibit D in the Project Quarterly Construction Status Reports, and shall report its environmental
compliance efforts with the measures identified herein in the final Project Quarterly Construction Status
Report for submittal to the State Water Board after the completion of the Project construction.
Financial Special Conditions as follows:
1. Recipient shall establish and maintain rates and charges sufficient to generate Revenues in the
amounts necessary to cover Operations and Maintenance Costs, and shall ensure that Net Re venues
are equal to at least 1.2 times the annual debt service in each Fiscal Year.
2. The proposed financing Agreement shall be on parity with the Water Revenue Refunding Bonds,
Series 2016. Issuance of additional debt requires Recipient’s Net Revenues, in the most recent
Fiscal Year, to be a minimum of 1.1 times the maximum annual debt service for existing and
proposed additional debt.
3. Recipient shall establish a restricted Reserve Fund, held in its Enterprise fund, equal to one year’s
debt service on this Obligation prior to the Completion of Construction. The restricted Res erve Fund
shall be maintained for the full term of the Agreement and shall be subject to lien and pledge as
security for this Obligation and its use shall be restricted to payment of this Obligation during the term
of this Agreement.
Technical Special Conditions as follows:
1. The Recipient must submit proof of enrollment under the General Order of Recycled Water with the
Project Completion Report. Final disbursement of the Project will not be processed until the notice is
received by Division of Financial Assistance.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT E – PROGRAMMATIC CONDITIONS & CROSS-CUTTERS
E-1
The Recipient agrees to comply with the following federal conditions:
(A) Federal Award Conditions
(1) American Iron and Steel. Unless the Recipient has obtained a waiver from USEPA on
file with the State Water Board or unless this Project is not a project for the construction,
alteration, maintenance or repair of a public water system or treatment work, the
Recipient shall not purchase “iron and steel products” produced outside of the United
States on this Project. Unless the Recipient has obtained a waiver from USEPA on file
with the State Water Board or unless this Project is not a project for the construction,
alteration, maintenance or repair of a public water system or treatment work , the
Recipient hereby certifies that all “iron and steel products” used in the Project were or will
be produced in the United States. For purposes of this section, the term "iron and steel
products" means the following products made primarily of iron or steel: lined or unlined
pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges,
pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and
construction materials. “Steel” means an alloy that includes at least 50 percent iron,
between .02 and 2 percent carbon, and may include other elements.
(2) Wage Rate Requirements (Davis-Bacon). The Recipient shall include in full the language
provided in Exhibit G of this Agreement in all contracts and subcontracts.
(3) Signage Requirements. The Recipient shall comply with the USEPA’s Guidelines for
Enhancing Public Awareness of SRF Assistance Agreements, dated June 3, 2015, as
otherwise specified in this Agreement.
(4) Public or Media Events. The Recipient shall notify the State Water Board and the EPA
contact as provided in the notice provisions of this Agreement of public or media events
publicizing the accomplishment of significant events related to this Project and provide
the opportunity for attendance and participation by federal representatives with at least
ten (10) working days’ notice.
(5) EPA General Terms and Conditions (USEPA GTCs). The Recipient shall comply with
applicable EPA general terms and conditions found at http://www.epa.gov/ogd, including
but not limited to the following:
(a) DUNS. No Recipient may receive funding under this Agreement unless it has
provided its DUNS number to the State Water Board.
(b) Executive Compensation. The Recipient shall report the names and total
compensation of each of its five most highly compensated executives for the
preceding completed fiscal year, as set forth in the USEPA GTCs.
(c) Contractors, Subcontractors, Debarment and Suspension, Executive Order
12549; 2 CFR Part 180; 2 CFR Part 1532. The Recipient shall comply with
Subpart C of 2 CFR Part 180 and shall ensure that its contracts include
compliance. The Recipient shall not subcontract with any party who is debarred
or suspended or otherwise excluded from or ineligible for participation in federal
assistance programs under Executive Order 12549, "Debarment and
Suspension". The Recipient shall not subcontract with any individual or
organization on USEPA's List of Violating Facilities. The Recipient shall obtain
certification from its contractors as to themselves and their principals as to the
following and hereby certifies as to itself and its principals :
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT E – PROGRAMMATIC CONDITIONS & CROSS-CUTTERS
E-2
i. Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by
any federal department or agency;
ii. Have not within a three (3) year period preceding this
Agreement been convicted of or had a civil judgment
rendered against them for commission of fraud or a
criminal offense in connection with obtaining, attempting
to obtain, or performing a public (federal, state or local)
transaction or contract under a public transaction;
violation of federal or state antitrust statutes or
commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false
statements, or receiving stolen property;
iii. Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (federal, state or
local) with commission of any of the offenses
enumerated in paragraph (ii) of this section; and
iv. Have not within a three (3) year period preceding this
application/proposal had one or more public transactions
(federal, state or local) terminated for cause or default.
v. Suspension and debarment information can be
accessed at http://www.sam.gov. The Recipient
represents and warrants that it has or will include a term
or conditions requiring compliance with this provision in
all of its contracts and subcontracts under this
Agreement. The Recipient acknowledges that failing to
disclose the information as required at 2 CFR 180.335
may result in the termination, delay or negation of this
Agreement, or pursuance of legal remedies, including
suspension and debarment.
(d) Conflict of Interest. To the extent applicable, the Recipient shall disclose to the
State Water Board any potential conflict of interest consistent with USEPA’s Final
Financial Assistance Conflict of Interest Policy at https://www.epa.gov/grants/epas-
final-financial-assistance-conflict-interest-policy. A conflict of interest may result in
disallowance of costs.
(e) Copyright and Patent.
i. USEPA and the State Water Board have the right to reproduce, publish, use
and authorize others to reproduce, publish and use copyrighted works or
other data developed under this assistance agreement.
ii. Where an invention is made with Project Funds, USEPA and the State Water
Board retain the right to a worldwide, nonexclusive, nontransferable,
irrevocable, paid-up license to practice the invention owned by the Recipient.
The Recipient must utilize the Interagency Edison extramural invention
reporting system at http://iEdison.gov and shall notify the Division when an
invention report, patent report, or utilization report is filed.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT E – PROGRAMMATIC CONDITIONS & CROSS-CUTTERS
E-3
(f) Credit. The Recipient agrees that any reports, documents, publications or other
materials developed for public distribution supported by this Agreement shall
contain the following statement:
“This project has been funded wholly or in part by the United States Environmental
Protection Agency and the State Water Resources Control Board. The contents of
this document do not necessarily reflect the views and policies of the
Environmental Protection Agency or the State Water Resources Control Board, nor
does the EPA or the Board endorse trade names or recommend the use of
commercial products mentioned in this document.”
(g) Electronic and Information Technology Accessibility. The Recipient is encouraged
to follow guidelines established under Section 508 of the Rehabilitation Act,
codified at 36 CFR Part 1194, with respect to enabling individuals with disabilities
to participate in its programs supported by this Project.
(h) Trafficking in Persons. The Recipient, its employees, contractors and
subcontractors and their employees may not engag e in severe forms of trafficking
in persons during the term of this Agreement, procure a commercial sex act during
the term of this Agreement, or use forced labor in the performance of this
Agreement. The Recipient must include this provision in its contracts and
subcontracts under this Agreement. The Recipient must inform the State Water
Board immediately of any information regarding a violation of the foregoing. The
Recipient understands that failure to comply with this provision may subject the
State W ater Board to loss of federal funds. The Recipient agrees to compensate
the State Water Board for any such funds lost due to its failure to comply with this
condition, or the failure of its contractors or subcontractors to comply with this
condition. The State Water Board may unilaterally terminate this Agreement if the
Recipient that is a private entity is determined to have violated the foregoing.
Trafficking Victims Protection Act of 2000.
(B) Super Cross-Cutters - Civil Rights Obligations. The Recipient must comply with the following
federal non-discrimination requirements:
(1) Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race, color,
and national origin, including limited English proficiency (LEP).
(2) Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons
with disabilities.
(3) The Age Discrimination Act of 1975, which prohibits age discrimination.
(4) Section 13 of the Federal Water Pollution Control Act Amendments of 1972, which prohibits
discrimination on the basis of sex.
(5) 40 CFR Part 7, as it relates to the foregoing.
(C) WRRDA Conditions
(1) Architectural and engineering contracts. Where the Recipient contracts for program
management, construction management, feasibility studies, preliminary engineering,
design, engineering, surveying, mapping, or architectural related services, the Recipient
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT E – PROGRAMMATIC CONDITIONS & CROSS-CUTTERS
E-4
shall ensure that any such contract is negotiated in the same manner as a contract for
architectural and engineering services is negotiated under chapter 11 of title 40, United
States Code, or an equivalent State qualifications-based requirement as determined by the
State Water Board.
(2) Fiscal sustainability. The Recipient certifies that it has developed and is implementing a
fiscal sustainability plan for the Project that includes an inventory of critical assets that are a
part of the Project, an evaluation of the condition and performance of inventoried assets or
asset groupings, a certification that the recipient has evaluated and will be implementing
water and energy conservation efforts as part of the plan, and a plan for maintaining,
repairing, and, as necessary, replacing the Project and a plan for funding such activities.
(D) Cross-Cutters
(1) Executive Order No. 11246. The Recipient shall include in its contracts and
subcontracts related to the Project the following provisions:
"During the performance of this contract, the contractor agrees as follows:
"(a) The contractor will not discriminate against any employee or applicant for employment because of
race, creed, color, or national origin. The contractor will take affirmative action to ensure that
applicants are employed, and that employees are treated during employment, without regard to their
race, creed, color, or national origin. Such action shall include, but not be limited to the following:
employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or
termination; rates of pay or other forms of compensation; and selection for train ing, including
apprenticeship. The contractor agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided by the contracting officer setting forth the provisions
of this nondiscrimination clause.
"(b) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of
the contractor, state that all qualified applicants will receive consideration for employment without
regard to race, creed, color, or national origin.
"(c) The contractor will send to each labor union or representative of workers with which he has a
collective bargaining agreement or other contract or understanding, a notice, to be provided by the
agency contracting officer, advising the labor union or workers' representative of the contractor's
commitments under Section 202 of Executive Order No. 11246 of September 24, 1965, and shall post
copies of the notice in conspicuous places available to employees and applicants for employment.
"(d) The contractor will comply with all provisions of Executive Order No. 11246 of Sept. 24, 1965, and
of the rules, regulations, and relevant orders of the Secretary of Labor.
"(e) The contractor will furnish all information and reports required by Executive Order No. 11246 of
September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant
thereto, and will permit access to his books, records, and accounts by the contracting agency and the
Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations,
and orders.
"(f) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract
or with any of such rules, regulations, or orders, this contract may be cancelled, terminated or
suspended in whole or in part and the contractor may be de clared ineligible for further Government
contracts in accordance with procedures authorized in Executive Order No. 11246 of Sept 24, 1965,
and such other sanctions may be imposed and remedies invoked as provided in Executive Order No.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT E – PROGRAMMATIC CONDITIONS & CROSS-CUTTERS
E-5
11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as
otherwise provided by law.
"(g) The contractor will include the provisions of Paragraphs (1) through (7) in every subcontract or
purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued
pursuant to Section 204 of Executive Order No. 11246 of Sept. 24, 1965, so that such provisions will be
binding upon each subcontractor or vendor. The contractor will take such action with respect to any
subcontract or purchase order as the contracting agency may direct as a means of enforcing such
provisions including sanctions for noncompliance: Provided, however, That in the event the contractor
becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such
direction by the contracting agency, the contractor may request the United States to enter into such
litigation to protect the interests of the United States."
(2) Disadvantaged Business Enterprises (40 CFR Part 33). The Recipient agrees to comply
with the requirements of USEPA’s Program for Utilization of Small, Minority and Women’s
Business Enterprises. The DBE rule can be accessed at www.epa.gov/osbp . The
Recipient shall comply with, and agrees to require its prime contractors to comply with 40
CFR Section 33.301, and retain all records documenting compliance with the six good faith
efforts. (IUP)
(3) Procurement Prohibitions under Section 306 of the Clean Air Act and Se ction 508 of the
Clean Water Act, including Executive Order 11738, Administration of the Clean Air Act and
the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or
Loans; 42 USC § 7606; 33 USC § 1368. Except where the purpose of this Agreement is to
remedy the cause of the violation, the Recipient may not procure goods, services, or
materials from suppliers excluded under the federal System for Award Management:
http://www.sam.gov/ .
(4) Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as
amended; 42 USC §§4601-4655. The Recipient must comply with the Act’s implementing
regulations at 49 CFR 24.101 through 24.105.
(5) Debarment and Suspension Executive Order No. 12549 (1986). The Recipient certifies
that it will not knowingly enter into a contract with anyone who is ineligible under the 40
CFR Part 32 to participate in the Project. Contractors on the Project must provide a similar
certification prior to the award of a contract and subcontractors on the project must provide
the general contractor with the certification prior to the award of any subcontract.
(6) The Recipient agrees that if its network or information system is connected to USEPA
networks to transfer data using systems other than the Environmental Information
Exchange Network or USEPA’s Central Data Exchange, it will ensure that any connections
are secure.
(E) Geospatial Data Standards
All geospatial data created pursuant to this Agreement that is submitted to the State Water Board
for use by USEPA or that is submitted directly to USEPA must be consistent with Federal
Geographic Data Committee endorsed standards. Information on these standards may be found
at www.fgdc.gov.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT F – SCHEDULE OF SYSTEM OBLIGATIONS
F-1
Except for the following and the Obligation evidenced by this Agreement, the Recipient certifies that it has
no outstanding System Obligations or other material debt, and that it is in compliance with all applicable
additional debt provisions of the following:
The following outstanding debt is senior to the Obligation:
Title Total Amount Debt Service Coverage
Requirement
End Date
None.
The following outstanding debt is on parity with the Obligation:
Title Total Amount Debt Service Coverage
Requirement
End Date
Water Revenue Refunding
Bonds, Series 2016
11,155,000 1.2 September 1,
2035
The following outstanding debt is subordinate to the Obligation:
Title Total Amount Debt Service Coverage
Requirement
End Date
None.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT G – DAVIS-BACON REQUIREMENTS
G-1
For purposes of this Exhibit only, “subrecipient” or “sub recipient” means the Recipient as defined in this
Agreement.
For purposes of this Exhibit only, “recipient” means the State Water Board.
I. Requirements For Sub recipients That Are Governmental Entities:
If a sub recipient has questions regarding when Davis-Bacon (DB) applies, obtaining the correct DB wage
determinations, DB provisions, or compliance monitoring, it may contact the State Water Board. The
recipient or sub recipient may also obtain additional guidance from DOL’s web site at
http://www.dol.gov/whd/
1. Applicability of the Davis- Bacon (DB) prevailing wage requirements.
DB prevailing wage requirements apply to the construction, alteration, and repair of treatment works
carried out in whole or in part with assistance made available by a State water pollution control revolving
fund and to any construction project carried out in whole or in part by assistance made available by a
drinking water treatment revolving loan fund. If a sub recipient encounters a unique situation at a site that
presents uncertainties regarding DB applicability, the sub recipient must d iscuss the situation with the
recipient State before authorizing work on that site.
2. Obtaining Wage Determinations.
(a) Sub recipients shall obtain the wage determination for the locality in which a covered activity subject to
DB will take place prior to issuing requests for bids, proposals, quotes or other methods for soliciting
contracts (solicitation) for activities subject to DB. These wage determinations shall be incorporated into
solicitations and any subsequent contracts. Prime contracts must contain a provision requiring that
subcontractors follow the wage determination incorporated into the prime contract.
(i) While the solicitation remains open, the sub recipient shall monitor www.wdol.gov weekly to ensure
that the wage determination contained in the solicitation remains current. The sub recipients shall amend
the solicitation if DOL issues a modification more than 10 days prior to the closing date (i.e. bid opening)
for the solicitation. If DOL modifies or supersedes the applicable wage determination less than 10 days
prior to the closing date, the sub recipients may request a finding from the State recipient that there is not
a reasonable time to notify interested contractors of the modification of the wage det ermination. The State
recipient will provide a report of its findings to the sub recipient.
(ii) If the sub recipient does not award the contract within 90 days of the closure of the solicitation, any
modifications or supersedes DOL makes to the wage determination contained in the solicitation shall be
effective unless the State recipient, at the request of the sub recipient, obtains an extension of the 90 day
period from DOL pursuant to 29 CFR 1.6(c)(3)(iv). The sub recipient shall monitor www.wdol.go v on a
weekly basis if it does not award the contract within 90 days of closure of the solicitation to ensure that
wage determinations contained in the solicitation remain current.
(b) If the sub recipient carries out activity subject to DB by issuing a task order, work assignment or
similar instrument to an existing contractor (ordering instrument) rather than by publishing a solicitation,
the sub recipient shall insert the appropriate DOL wage determination from www.wdol.gov into the
ordering instrument.
(c) Sub recipients shall review all subcontracts subject to DB entered into by prime contractors to verify
that the prime contractor has required its subcontractors to include the applicable wage determinations.
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Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT G – DAVIS-BACON REQUIREMENTS
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(d) As provided in 29 CFR 1.6(f), DOL may issue a revised wage determination applicable to a sub
recipient’s contract after the award of a contract or the issuance of an ordering instrument if DOL
determines that the sub recipient has failed to incorporate a wage determination or has used a wage
determination that clearly does not apply to the contract or ordering instrument. If this occurs, the sub
recipient shall either terminate the contract or ordering instrument and issue a revised solicitation or
ordering instrument or incorporate DOL’s wage determination retroactive to the beginning of the contract
or ordering instrument by change order. The sub recipient’s contractor must be compensated for any
increases in wages resulting from the use of DOL’s revised wage determination.
3. Contract and Subcontract provisions.
(a) The Recipient shall insure that the sub recipient(s) shall insert in full in any contract in excess of
$2,000 which is entered into for the actual construction, alteration and/or repair, including painting and
decorating, of a treatment work under the CWSRF or a construction project under the DWSRF - financed
in whole or in part from Federal funds or in accordance with guarantees of a Federal agency or financed
from funds obtained by pledge of any contract of a Federal agency to make a loan, grant or annual
contribution (except where a different meaning is expressly indicated), and which is subject to the labor
standards provisions of an y of the acts listed in § 5.1 or, for CWSRF projects, the FY 2015 Water
Resource Reform and Development Act, or for DWSRF projects, the Consolidated Appropriations Act,
2016, the following clauses:
(1) Minimum wages.
(i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally
and not less often than once a week, and without subsequent deduction or rebate on any account (except
such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the
Copeland Act (29 CFR part 3)), the full amount of wages and bon a fide fringe benefits (or cash
equivalents thereof) due at time of payment computed at rates not less than those contained in the wage
determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of
any contractual relationship which may be alleged to exist between the contractor and such laborers and
mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section
1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such
laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular
contributions made or costs incurred for more than a weekly period (but not less often than quarterly)
under plans, funds, or programs which cover the particular weekly period, are deemed to be
constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid
the appropriate wage rate and fringe benefits on the wage determination for the classification of work
actually performed, without regard to skill, except as provided in § 5.5(a)(4). Laborers or mechanics
performing work in more than one classification may be compensated at the rate specified for each
classification for the time actually worked therein: Provided that the employer's payroll records accurately
set forth the time spent in each classification in which work is performed. The wage determination
(including any additional classification and wage rates conformed under paragraph (a)(1)(ii) of th is
section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its
subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by
the workers. Sub recipients may obtain wage determinations from the U.S. Department of Labor’s web
site, www.dol.gov.
(ii)(A) The sub recipient(s), on behalf of EPA, shall require that any class of laborers or mechanics,
including helpers, which is not listed in the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage determination. The State award official shall
approve a request for an additional classification and wage rate and fringe benefits therefore only when
the following criteria have been met:
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Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT G – DAVIS-BACON REQUIREMENTS
G-3
(1) The work to be performed by the classification requested is not performed by a classification in the
wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to
the wage rates contained in the wage determination.
(B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or
their representatives, and the sub recipient(s) agree on the classification and wage rate (including the
amount designated for fringe benefits where appropriate), documentation of the action taken and the
request, including the local wage determination shall be sent by the sub re cipient (s) to the State award
official. The State award official will transmit the request, to the Administrator of the Wage and Hour
Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210 and
to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will
approve, modify, or disapprove every additional classification request within 30 days of receipt and so
advise the State award official or will notify the State award official within the 30-day period that additional
time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the classification or their
representatives, and the sub recipient(s) do not agree on the proposed classification and wage rate
(including the amount designated for fringe benefits, where appropriate), the award official shall refer the
request and the local wage determination, including the views of all interested parties and the
recommendation of the State award official, to the Administrator for determination. The request shall be
sent to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized
representative, will issue a determination within 30 days of receipt of the request and so advise the
contracting officer or will notify the contracting officer within the 30-day period that additional time is
necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs
(a)(1)(ii)(B) or (C) of this section, shall be paid to all workers performing work in the classification under
this contract from the first day on which work is performed in the classification.
(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics
includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the
benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
(iv) If the contractor does not make payments to a trustee or other third person, the contractor may
consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated
in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has
found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act
have been met. The Secretary of Labor may require the contractor to set aside in a separate account
assets for the meeting of obligations under the plan or program.
(2) Withholding. The sub recipient(s), shall upon written request of the EPA Award Official or an
authorized representative of the Department of Labor, withhold or cause to be withheld from the
contractor under this contract or any other Federal contract with the same prime contractor, or any other
federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the
same prime contractor, so much of the accrued payments or advances as may be considered necessary
to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor
or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the
work, all or part of the wages required by the contract, the (Agency) m ay, after written notice to the
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT G – DAVIS-BACON REQUIREMENTS
G-4
contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension
of any further payment, advance, or guarantee of funds until such violations have ceased.
(3) Payrolls and basic records.
(i) Payrolls and basic records relating thereto shall be maintained by the contra ctor during the course of
the work and preserved for a period of three years thereafter for all laborers and mechanics working at
the site of the work. Such records shall contain the name, address, and social security number of each
such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions
or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in
section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made
and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the
wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing
benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor
shall maintain records which show that the commitment to provide such benefits is enforceable, that the
plan or program is financially responsible, and that the plan or program has been communicated in writing
to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost
incurred in providing such benefits. Contractors employing apprentices or trainees under approved
programs shall maintain written evidence of the registration of apprenticeship programs and certification
of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates
prescribed in the applicable programs.
(ii)(A) The contractor shall submit weekly, for each week in which any contract work is performed, a copy
of all payrolls to the sub recipient, that is, the entity that receives the sub -grant or loan from the State
capitalization grant recipient. Such documentation shall be available on request of the State recipient or
EPA. As to each payroll copy received, the sub recipient shall provide written confirmation in a form
satisfactory to the State indicating whether or not the project is in compliance with the requirements of 29
CFR 5.5(a)(1) based on the most recent payroll copies for the specified week. The payrolls shall set out
accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i),
except that full social security numbers and home addresses shall not be included on the weekly payrolls.
Instead the payrolls shall only need to include an individually identifying number for each employee (e.g.,
the last four digits of the employee's social security number). The required weekly payroll in formation may
be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and
Hour Division Web site at http://www.dol.gov/whd/forms/wh347instr.htm or its successor site. The prime
contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and
subcontractors shall maintain the full social security number and current address of each covered worker,
and shall provide them upon request to the sub recipient(s) for transmission to the State or EPA if
requested by EPA, the State, the contractor, or the Wage and Hour Division of the Department of Labor
for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a
violation of this section for a prime contractor to require a subcontractor to provide addresses and social
security numbers to the prime contractor for its own records, without weekly submission to the sub
recipient(s).
(B) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the
contractor or subcontractor or his or her agent who pays or supervises the payment of the persons
employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be provided under § 5.5
(a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under § 5.5
(a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the
contract during the payroll period has been paid the full weekly wages earned, without rebate, either
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT G – DAVIS-BACON REQUIREMENTS
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directly or indirectly, and that no deductions have been made either directly or indirectly from the full
wages earned, other than permissible deductions as set forth in
Regulations, 29 CFR part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe
benefits or cash equivalents for the classification of work performed, as specified in the applicable wage
determination incorporated into the contract.
(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional
Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by
paragraph (a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil
or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States
Code.
(iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this
section available for inspection, copying, or transcription by authorized representatives of the State, EPA
or the Department of Labor, and shall permit such representatives to interview employees during working
hours on the job. If the contractor or subcontractor fails to submit the required records or to make them
available, the Federal agency or State may, after written notice to the contractor, sponsor, applicant, or
owner, take such action as may be necessary to cause the suspension of any further payment, advance,
or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such
records available may be grounds for debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees.
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they
performed when they are employed pursuant to and individually registered in a bona fide apprenticeship
program registered with the U.S. Department of Labor, Employment and Training Administration, Office of
Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency
recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment
as an apprentice in such an apprenticeship program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice.
The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be
greater than the ratio permitted to the contractor as to the entire work force under the registered program.
Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as
stated above, shall be paid not less than the applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any apprentice performing work on the job site in
excess of the ratio permitted under the registered program shall be paid not less than the applicable wage
rate on the wage determination for the work actually performed. Where a contractor is performing
construction on a project in a locality other than that in which its progra m is registered, the ratios and
wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or
subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the
rate specified in the registered program for the apprentice's level of progress, expressed as a percentage
of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid
fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship
program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed
on the wage determination for the applicable classification. If the Administrator determines that a diffe rent
practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that
determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a
State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program,
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Agreement No.: D16-01035
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EXHIBIT G – DAVIS-BACON REQUIREMENTS
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the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined
rate for the work performed until an acceptable program is approved.
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the
predetermined rate for the work performed unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced by formal certification by the U.S.
Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on
the job site shall not be greater than permitted under the plan approved by the Employment and Training
Administration. Every trainee must be paid at not less than the rate specified in the approved program for
the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the
applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of
the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full
amount of fringe benefits listed on the wage determination unless the Administrator of the Wage an d Hour
Division determines that there is an apprenticeship program associated with the corresponding
journeyman wage rate on the wage determination which provides for less than full fringe benefits for
apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in
a training plan approved by the Employment and Training Administration shall be paid not less than the
applicable wage rate on the wage determination for the classification of work actually performed. In
addition, any trainee performing work on the job site in excess of the ratio permitted under the registered
program shall be paid not less than the applicable wage rate on the wage determination for the work
actually performed. In the event the Employment and Training Administration withdraws approval of a
training program, the contractor will no longer be permitted to utilize trainees at less than the applicable
predetermined rate for the work performed until an acceptable program is approved.
(iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part
shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as
amended and 29 CFR part 30.
(5) Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29
CFR part 3, which are incorporated by reference in this contract.
(6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained
in 29 CFR 5.5(a)(1) through (10) and such other clauses as the EPA determines may by appropriate, and
also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The
prime contractor shall be responsible for the complianc e by any subcontractor or lower tier subcontractor
with all the contract clauses in 29 CFR 5.5.
(7) Contract termination; debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for
termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR
5.12.
(8) Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the
Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by
reference in this contract.
(9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this
contract shall not be subject to the general disputes clause of this contract. Such disputes shall be
resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6,
and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its
subcontractors) and sub recipient(s), State, EPA, the U.S. Department of Labor, or the employees or their
representatives.
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT G – DAVIS-BACON REQUIREMENTS
G-7
(10) Certification of eligibility.
(i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or
firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government
contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a
Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C.
1001.
4. Contract Provision for Contracts in Excess of $100,000.
(a) Contract Work Hours and Safety Standards Act. The sub recipient shall insert the following clauses
set forth in paragraphs (a)(1), (2), (3), and (4) of this section in full in any contract in an amount in excess
of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act.
These clauses shall be inserted in addition to the clauses required by Item 3, above or 29 CFR 4.6. As
used in this paragraph, the terms laborers and mechanics include watchmen and guards.
(1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work
which may require or involve the employment of laborers or mechanics shall require or permit any such
laborer or mechanic in any workweek in which he or she is employed on such w ork to work in excess of
forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less
than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such
workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set
forth in paragraph (a)(1) of this section the contractor and any subcontractor responsible therefore shall
be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United
States (in the case of work done under contract for the District of Columbia or a territory, to such District
or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to
each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause
set forth in paragraph (a)(1) of this section, in the sum of $10 for each calendar day on which such
individual was required or permitted to work in excess of the standard workweek of forty hours without
payment of the overtime wages required by the clause set forth in paragraph (a)(1) of this section.
(3) Withholding for unpaid wages and liquidated damages. The sub recipient, upon written request of the
EPA Award Official or an authorized representative of the Department of Labor, shall withhold or cause to
be withheld, from any moneys payable on account of work performed by the contractor or subcontractor
under any such contract or any other Federal contract with the same prime contractor, or any other
federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by
the same prime contractor, such sums as may be determined to be necessary to satisf y any liabilities of
such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set
forth in paragraph (b)(2) of this section.
(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the c lauses set forth in
paragraph (a)(1) through (4) of this section and also a clause requiring the subcontractors to include
these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by
any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (a)(1) through (4) of
this section. (b) In addition to the clauses contained in Item 3, above, in any contract subject only to the
Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR 5.1,
the Sub recipient shall insert a clause requiring that the contractor or subcontractor shall maintain payrolls
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT G – DAVIS-BACON REQUIREMENTS
G-8
and basic payroll records during the course of the work and shall preserve them for a period of three
years from the completion of the contract for all laborers and mechanics, including guards and watchmen,
working on the contract. Such records shall contain the name and address of each such employee, social
security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours
worked, deductions made, and actual wages paid. Further, the Sub recipient shall insert in any such
contract a clause providing that the records to be maintained under this paragraph shall be made
available by the contractor or subcontractor for inspection, copying, or transcription by authorized
representatives of the USEPA and the Department of Labor and the State Water Board, and the
contractor or subcontractor will permit such representatives to interview employees during working hours
on the job.
5. Compliance Verification.
(a) The sub recipient shall periodically interview a sufficient number of employees entitled to DB
prevailing wages (covered employees) to verify that contractors or subcontractors are paying the
appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews must be conducted in confidence.
The sub recipient must use Standard Form 1445 (SF 1445) or equivalent documentation to memorialize
the interviews. Copies of the SF 1445 are available from EPA on request.
(b) The sub recipient shall establish and follow an interview schedule based on its assessment of the
risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract or
subcontract. Sub recipients must conduct more frequent interviews if the initial interviews or other
information indicated that there is a risk that the contractor or subcontractor is not complying with DB.
Sub recipients shall immediately conduct interviews in res ponse to an alleged violation of the prevailing
wage requirements. All interviews shall be conducted in confidence."
(c) The sub recipient shall periodically conduct spot checks of a representative sample of weekly payroll
data to verify that contractors or subcontractors are paying the appropriate wage rates. The sub recipient
shall establish and follow a spot check schedule based on its assessment of the risks of noncompliance
with DB posed by contractors or subcontractors and the duration of the contract or subcontract. At a
minimum, if practicable, the sub recipient should spot check payroll data within two weeks of each
contractor or subcontractor’s submission of its initial payroll data and two weeks prior to the completion
date the contract or subcontract. Sub recipients must conduct more frequent spot checks if the initial spot
check or other information indicates that there is a risk that the contractor or subcontractor is not
complying with DB. In addition, during the examinations the sub recipient shall verify evidence of fringe
benefit plans and payments there under by contractors and subcontractors who claim credit for fringe
benefit contributions.
(d) The sub recipient shall periodically review contractors ’ and subcontractors’ use of apprentices and
trainees to verify registration and certification with respect to apprenticeship and training programs
approved by either the U.S Department of Labor or a state, as appropriate, and that contractors and
subcontractors are not using disproportionate numbers of, laborers, trainees and apprentices. These
reviews shall be conducted in accordance with the schedules for spot checks and interviews described in
Item 5(b) and (c) above.
(e) Sub recipients must immediately report potential violations of the DB prevailing wage requirements to
the EPA DB contact listed above and to the appropriate DOL Wage and Hour District Office listed at
http://www.dol.gov/whd/america2.htm .
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT H – COMPLIANCE WITH CROSS-CUTTING STATE AUTHORITIES
H-1
1. EMERGENCY DROUGHT REGULATIONS
The Recipient certifies that it complies with and shall continue to comply with the State Water Board’s
Drought Emergency Water Conservation regulations in Article 22.5 of Chapter 2 of Division 3 of Title 23
of the California Code of Regulations. The Recipient will include a discussion of its implementation in
reports submitted pursuant to Section 2.15 of this Agreement.
2. CALIFORNIA DEBT INVESTMENT ADVISORY COMMISSION (CDIAC)
Where Recipient is a public entity, Recipient acknowledges its responsibility to file debt obligations with
the CDIAC. Recipient understands that CDIAC has waived filing fees for State Water Board SRF debt.
3. COMPLIANCE WITH STATE REQUIREMENTS
Recipient represents that is in in compliance with the following conditions precedent and agrees that it will
continue to maintain compliance during the term of this Agreement:
(a) Monthly Water Diversion Reporting
If Recipient is a water diverter, Recipient must maintain compliance with Water Code section
5103, subdivision (e)(2)(A) by submitting monthly diversion reports to the Division of Water Rights
of the State Water Resources Control Board.
(b) Public Works Contractor Registration with Department Of Industrial Relations
To bid for public works contracts, Recipient and Recipient’s subcontractors must register with the
Department of Industrial Relations as required by Labor Code sections 1725.5 and 1771.1.
(c) Volumetric Pricing & Water Meters
If Recipient is an “urban water supplier” as defined by Water Code section 10617, Recipient must
charge each customer for actual water volume measured by water meter according to the
requirements of Water Code sections 526 and 527. Section 527 further requires that such
suppliers not subject to section 526 install water meters on all municipal and industrial service
connections within their service area by 2025.
(d) Urban Water Management Plan
If Recipient is an “urban water supplier” as defined by Water Code section 10617, the Recipient
certifies that this Project complies with the Urban Water Management Planning Act (Water Code,
§ 10610 et seq.). This shall constitute a condition precedent to this Agreement.
(e) Urban Water Demand Management
If Recipient is an “urban water supplier” as defined by Water Code section 10617, Recipient must
comply with water conservation measures established by SBx7-7. (Water Code, Sec. 10608.56.)
(f) Delta Plan Consistency Findings
If Recipient is a state or local public agency and the proposed action is covered by the Delta Plan,
Recipient must submit certification of project consistency with the Delta Plan to the Delta
City of Ukiah
Agreement No.: D16-01035
Project No.: C-06-8076-110
EXHIBIT H – COMPLIANCE WITH CROSS-CUTTING STATE AUTHORITIES
H-2
Stewardship Council according to the requirements of Water Code section 85225 and California
Code of Regulations, title 23, section 5002.
(g) Agricultural Water Management Plan Consistency
If Recipient is an agricultural water supplier as defined by Water Code section 10608.12,
Recipient must comply with Agricultural Water Management Planning requirements as mandated
by Water Code section 10852.
(h) Charter City Project Labor Requirements
If Recipient is a charter city as defined in Labor Code section 1782, subdivision (d)(2), Recipient
will comply with the requirements of Labor Code section 1782 and Public Contract Code section
2503 as discussed in the following subparts (1) and (2).
(1) Prevailing Wage
Recipient certifies that it is eligible for state funding assistance notwithstanding Labor
Code section 1782.
Specifically Recipient certifies that no charter provision nor ordinance authorizes a
construction project contractor not to comply with Labor Code’s prevailing wage rate
requirements, nor, within the prior two years (starting from January 1, 2015 or after) has
the city awarded a public works contract without requiring the contractor to comply with
such wage rate requirements according to Labor Code section 1782.
(2) Labor Agreements
Recipient certifies that no charter provision, initiative, or ordinance limits or constrains the
city’s authority or discretion to adopt, require, or utilize project labor agreements that
include all the taxpayer protection antidiscrimination provisions of Public Contract Code
section 2500 in construction projects, and that Recipient is accordingly eligible for state
funding or financial assistance pursuant to Public Contract Code section 2503.
ATTACHMENT 2
Page 1 of 1
RESOLUTION NO. 2017-XX
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH DESIGNATING IT AUTHORIZED
REPRESENTATIVE UNDER THE INSTALLMENT SALE AGREEMENT AND GRANT BETWEEN
THE CITY OF UKIAH AND THE CALIFORNIA STATE WATER RESOURCES CONTROL BOARD
FOR PROJECT NO. C-06-8076-110
WHEREAS:
1. The Installment Sale Agreement and Grant, Water Recycling Construction Financing, Recycled
Water Pipeline Project, Clean Water State Revolving Fund Water Recycling Project No. C-06-8076-
110 (“Agreement”) requires the City to a appoint a representative of the City to take various actions
specified in the Agreement on behalf of the City; and
2. The Authorized Representative must be designated by resolution of the City Council, a certified
original of which must accompany the first disbursement request and any other documents or
requests required or allowed under the Agreement; and
3. The City Council has determined that the City Manager Sage Sangiacomo is the appropriate City
official to designate as the City’s authorized representative;
NOW, THEREFORE, BE IT RESOLVED that City Manager Sage Sangiacomo is hereby designated as
the City’s Authorized Representative and he is empowered to take all actions required or allowed of the
City’s Authorized Representative under the Agreement.
PASSED AND ADOPTED at a regular meeting of the City Council of the City of Ukiah on June 7, 2017,
by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
_____________________________
Jim O. Brown, Mayor
ATTEST:
_____________________________
Kristine Lawler, City Clerk
PROJECT SUMMARY Estimate Class:100% Design
Project:Ukiah Recycled Water Project PIC:Tracy Clinton
Client:City of Ukiah PM:S Gray
Location:Ukiah CA Date:October 3, 2016
Zip Code:95482 By:RP
Carollo Job #8660A10 Reviewed:S Gray
NO.DESCRIPTION TOTAL
01 Mob and Demob $900,794
02 Shoring and Bracing $100,000
03 Dewatering $100,000
04 Traffic Control $250,000
05 16" PVC Pipeline (Open Cut)$5,882,157
06 Jack and Bore for 16" Pipe $1,336,790
07 12" PVC Pipeline (Open Cut)$286,572
08 Truck Fill Hydrant $12,610
09 4" Blow Off Assembly $143,000
10 2" Combination ARV $303,056
11 16" Butterfly Valve $121,550
12 RW Service Lines (JB)$429,500
13 RW Service Lines (Open Cut)$234,320
14 E&IC $1,077,590
15 Pump Station $748,799
16 Storage Pond $6,239,400
17 30" Gravity Feed Line $750,529
TOTAL DIRECT COST $18,916,666
Contingency 10.0%$1,891,667
Subtotal $20,808,332
General Contractor Overhead, Profit & Risk 10.0%$2,080,833
Subtotal $22,889,166
Escalation to Mid-Point 1.5%$343,337
Subtotal $23,232,503
Sales Tax (Based on )8.1%$1,887,641
Subtotal $25,120,144
Bid Market Allowance 0.0%$0
TOTAL ESTIMATED CONSTRUCTION COST $25,120,144
Engineering, Legal & Administration Fees 0.0%$0
Owner's Reserve for Change Orders 0.0%$0
TOTAL ESTIMATED PROJECT COST $25,120,144
x
The cost estimate herein is based on our perception of current conditions at the project location. This estimate reflects ou r professional
opinion of accurate costs at this time and is subject to change as the project design matures. Carollo Engineers have no control over
variances in the cost of labor, materials, equipment; nor services provided by others, contractor's means and methods of executing the
work or of determining prices, competitive bidding or market conditions, practices or bidding strategies. Carollo Engineers cannot and
does not warrant or guarantee that proposals, bids or actual construction costs will not vary from the costs presented as sho wn.
f/n: Ukiah Cost Estimate 100% 20161003.xlsm-PROJECT SUMMARYPage 1 of 1
Attachment 3
Page 2 of 2
be negotiated after the improvements are complete and the impacts are realized. Any changes will be
accounted and detailed in the lease.
Per section §22039 of the Public Contracts Code, staff is requesting Council’s approval of plans and
specifications number 17-09 for Transportation Improvements for Redwood Business Project. The
engineer’s estimate, for construction contract items only, for this project is $4,729,808. In addition, staff
estimates costs in the amount of $945,962 for construction management, inspection, materials testing, and
project administration. These additional services will be advertised through a request for proposals.
The proposed project will construct the following: minor widening, traffic signal modifications, and a 2nd left
turn lane for westbound traffic on Talmage Road at its intersection with Airport Park Boulevard, asphalt
pavement reconstruction / resurfacing on Airport Park Boulevard, a storm water bioretention system
utilizing tire derived aggregate backfill along Airport Park Boulevard, new traffic signals at the intersection
of Airport Park Boulevard and Commerce Drive, minor widening and traffic signal modifications at the
intersection of S. State Street and Hastings Avenue / Washington Avenue, and new sidewalk to fill in a
missing segment on the north side of Hastings Avenue just east of S. State Street along with ADA curb
ramps.
The attached plans and specifications still require a few remaining items to complete prior to advertising
for bids. In order to satisfy I-Bank funding the specifications must be changed to require a lump sum bid for
the project with a schedule of values. The schedule of values will include construction bid quantities. During
construction, this will enable staff to identify actual work quantities completed in order to determine a
percentage for payment under the lump sum bid. Upon review of the specifications, staff determined that
a detailed public notification section, similar to that used in the 2016 Sewer & Water Replacement project,
will need to be added. The plan sheets will be updated to show locations of underground utilities that were
identified by recent potholing. Lastly, the City needs to obtain final I-Bank authorization on the loan to
construct the project.
The plans and specifications for the project are available for City Council and public review at the Ukiah
Civic Center Engineering Department, 300 Seminary Avenue, Ukiah, California. In addition, the plans and
specifications are available for review as Attachments #2 (specifications) and #3 (plans), which are also
available online at https://cityofukiah.box.com/v/Item12d-Plans-Specs.
FISCAL IMPACT:
Budgeted
Amount in
16-17 FY
New Appropriation
Source of Funds
(Title & No.)
Account Number
Budget
Amendment
Required
Previous Contract
or Purchase
Order No.
N/A
I-Bank loan and funding in the capital budget which will be identified at contract award.
N/A Yes No N/A
MINUTES of the Traffic Engineering Committee April 11, 2017
Page 1
TRAFFIC ENGINEERING COMMITTEE MINUTES
April 11, 2017
Minutes
MEMBERS PRESENT
Tim Eriksen, TEC Chairman, Director of Public Works, City Engineer
Ben Kageyama, representing the City Manager
Sean Kaeser, representing the Chief of Police
Kevin Thompson, representing the Planning Director
Darin Malugani, representing the Supervisor of Public Works
Neil Davis, Public Representative, Active Transportation
MEMBERS ABSENT
John Lampi, Public Representative, TEC Vice Chairman
Carla Meyer, Mendocino Transit Authority
Keith Hewett, Public Representative
OTHERS PRESENT
Maureen Mulheren, Council Member
Lory Limbird, Public Works
Adele Phillips, Planning Department
Bruni Kobbe
Cynthia Ariosta, owner of Saucy
Shannon Riley, Department of City Manager
Wendy Jackson, 270 W. Gobbi Street
1.CALL TO ORDER
The Traffic Engineering Committee meeting was called to order by Chairman Eriksen at 3:08
pm in Conference Room No. 3, Ukiah Civic Center, 300 Seminary Avenue, Ukiah, California.
2.APPROVAL OF MINUTES – December 13, 2016
M/S: Kaeser/Thompson to approve December 13, 2016 minutes. Motion carried by an all
AYE voice vote of the members present.
3.AUDIENCE COMMENTS ON NON-AGENDA ITEMS
Bruni Kobbe passed out a packet which includes the preliminary plan for the new courthouse
site from Rau and Associates and an alternate proposal from the Friends of Gibson Creek.
The Friends of Gibson Creek would like City to take this alternative plan in consideration and
open up discussion about the courthouse site infrastructure in the TEC committee.
4.OLD BUSINESS
none
5.NEW BUSINESS
b.Discussion and possible action regarding decreasing the length of the loading
zone on the north side of W. Standley Street just west of N. State Street to allow
construction of bicycle parking at Saucy, 108 W. Standley Street (Neil Davis
verbal report).
MINUTES of the Traffic Engineering Committee April 11, 2017
Page 2
Member Neil Davis presented this item. Cynthia Ariosta, owner of Saucy, and the
Mendocino Environmental Center are interested in a community bicycle rack to keep
the right of way in front of their businesses free of bicycles. He proposed reducing
the loading zone by 12 feet with installation of 3 U-shaped bike racks which could
hold up to 6 bicycles. This leaves room for one car to park in the loading zone.
Public Comment: Cynthia Ariosta
Shannon Riley added that the bike rack at Patrona’s was part of the outdoor dining
pilot program while Schat’s Bakery paid for the bike rack in front of their business. A
policy needs to be established about the placement of bike racks in the city.
Motion/Second: Eriksen/Davis to have Engineering study this loading zone and
make recommendations about the dimensions that will work for bicycle parking
at the next TEC meeting. A recommendation will be made to take to City
Council along with a bike rack policy discussion.
Motion carried by an all AYE voice vote of the members present.
a.Discussion and possible action regarding removal of parking on the north side
of Gobbi Street between S. Oak Street and S. Dora Street in order to paint and
install Class 2 bicycle lanes and signage (Neil Davis verbal report).
Member Neil Davis presented this item. A Class 2 bike lane exists on Gobbi Street
from Orchard Avenue to Oak Street. Currently there is a gap in the bike lane from
Oak Street to Dora Street. This proposal is to make room for a bike lane by removing
parking on the north side of Gobbi Street. There are 33 parking spaces on both sides
of the street. The average number of parking spaces being used is 30%. This is a
priority project listed in the Ukiah Bike and Pedestrian Master Plan on page 97.
Public notification was achieved with posted laminated notices of this item with 3
signs placed on each side of the street. Copies of this notice were handed out to all
residents on the affected portion of Gobbi Street.
3:52 pm Wendy Jackson from 270 W. Gobbi Street arrived.
Public Comment: Wendy Jackson
Member Sean Kaeser suggested using the new Clay Street extension as an
east/west bike corridor because there is not as much traffic on Clay as compared to
Talmage, Gobbi or Perkins.
Motion/Second: Kageyama/Thompson to eliminate parking on the north side of
Gobbi Street between Oak Street and Dora Street in order to install a bike lane.
This proposal will be taken to council for approval.
Motion carried by the following roll call votes: AYES: Eriksen, Thompson, Davis,
Kageyama. NOES: Kaeser, Malugani.
MINUTES of the Traffic Engineering Committee April 11, 2017
Page 3
c.Discussion and possible action regarding Walk & Bike Mendocino’s Directional
Bike Route Plan (Neil Davis verbal report).
A desire was expressed from local bicyclists to have a directional route plan for the
best bike corridors. On-street sign markers or logos could be used to point out that
this is a preferred bike route. This is a recommendation of the Ukiah Bike and
Pedestrian Master Plan on page 79.
Member Neil Davis is going to mark new bike routes on a map and bring it back to
next meeting.
6.COMMITTEE MEMBER REPORTS
Neil Davis and Ben Kageyama are working on an Urban Greening Grant. The purpose of
this grant is to reduce carbon by reducing vehicle miles and to decrease energy usage by
planting trees to shade buildings. The project they are presenting is to extend the Rail Trail
3/10 mile to the north from Clara Avenue to Brush Street.
7.MISCELLANEOUS ITEMS
none
8.ADJOURNMENT
There being no further business, the meeting adjourned at 4:40 p.m.
Lory Limbird, Recording Secretary
40 FT.
Parking - 7 ft.
Bike Lane - 5 ft.
Travel Lane -
1
1 ft.
Travel Lane -
1
2 ft.
Bike Lane - 5 ft.
GOBBI ST.OAK ST
.SOUTH DORA ST.
GOBBI ST.COURT STREETWEST GOBBI
S
T
R
E
E
T
PROPOSED CLASS IIBICYCLE LANESGobbi Street
´
0 9045Feet
Document Path: S:\Public Works\Stricklin, Andrew\GIS Maps\GIS\Projects\Bicycle\Gobbi Proposed Bike Lanes.mxdDate Saved: 6/1/2017 4:26:02 PM
This map is a guide. Every reasonableeffort has been made to ensure the accuracyof the map and data provided. Parcel linesare not intended to represent surveyed data.Public Works
Curb
New CL
No Parking
Exist CL
RESOLUTION NO. 2017-55xx
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH REMOVING ON-STREET
PARKING ON THE NORTH SIDE OF WEST GOBBI STREET BETWEEN SOUTH OAK STREET
AND SOUTH DORA STREET.
WHEREAS, the City Council may by resolution designate portions of streets upon which the
standing, parking, or stopping of vehicles is prohibited or restricted pursuant to Article 11, Chapter
1, Division 8 of the Ukiah City Code; and
WHEREAS, the Traffic Engineering Committee (Traffic Engineer) considered the request to
establish a no parking zone on the north side of W. Gobbi St. between S. Oak St. and S. Dora St. at
its meeting on April 11, 2017; and
WHEREAS, the Traffic Engineer recommends the request to establish a no parking zone on the
north side of W. Gobbi St. between S. Oak St. and S. Dora St.
NOW, THEREFORE, IT IS HEREBY RESOLVED, that the City Council of the City of Ukiah does
establish a no parking zone on the north side of W. Gobbi St. between S. Oak St. and S. Dora St.
The City Engineer shall direct installation of signage and curb painting as necessary;
PASSED AND ADOPTED this 7th day of June 2017, by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
__________________________
Jim O. Brown, Mayor
ATTEST:
___________________________
Kristine Lawler, City Clerk