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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 Page 2 of 3 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 Page 3 of 3 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 Page 2 of 2 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/. Page 2 of 6 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 Page 3 of 6 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 Page 4 of 6 (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 Page 5 of 6 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 1 1 1 1 1 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 1 1 1 1 1 1 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 2 1 1 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 1 1 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 2 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 1 1 1 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 4 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 5 1 1 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 7 1 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 1 1 1 1 1 1 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 10 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 1 1 1 1 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 2 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 1 1 1 1 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 1 1 1 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 1 1 1 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 1 1 1 1 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 1 1 1 1 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 1 1 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 7 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. 1 1 1 1 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 1 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 1 of 5 2 of 5 3 of 5 4 of 5 5 of 5 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 4 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 S:u\agrtms06\short form construction contract March 16, 2017 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 S:u\agrtms06\short form construction contract March 16, 2017 2 ($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. S:u\agrtms06\short form construction contract March 16, 2017 3 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 S:u\agrtms06\short form construction contract March 16, 2017 4 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 S:u\agrtms06\short form construction contract March 16, 2017 5 (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. S:u\agrtms06\short form construction contract March 16, 2017 6 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 S:u\agrtms06\short form construction contract March 16, 2017 7 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. S:u\agrtms06\short form construction contract March 16, 2017 8 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. S:u\agrtms06\short form construction contract March 16, 2017 9 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. S:u\agrtms06\short form construction contract March 16, 2017 10 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. S:u\agrtms06\short form construction contract March 16, 2017 11 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. S:u\agrtms06\short form construction contract March 16, 2017 12 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 S:u\agrtms06\short form construction contract March 16, 2017 13 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 S:u\agrtms06\short form construction contract March 16, 2017 14 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 S:u\agrtms06\short form construction contract March 16, 2017 15 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. S:u\agrtms06\short form construction contract March 16, 2017 16 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 3 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 7 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 10 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 1 – EXECUTIVE SUMMARY Costco Wholesale Project Final RPEIR 10007 April 2017 1-19 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 1 – EXECUTIVE SUMMARY Costco Wholesale Project Final RPEIR 10007 April 2017 1-20 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 Costco Wholesale Project Final RPEIR 10007 April 2017 2-1 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 2 – INTRODUCTION Costco Wholesale Project Final RPEIR 10007 April 2017 2-2 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 2 – INTRODUCTION Costco Wholesale Project Final RPEIR 10007 April 2017 2-3 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. 2 – INTRODUCTION Costco Wholesale Project Final RPEIR 10007 April 2017 2-4 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. Costco Wholesale Project Final RPEIR 10007 April 2017 3-1 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 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-2 INTENTIONALLY LEFT BLANK 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-3 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-4 INTENTIONALLY LEFT BLANK 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-5 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. 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-6 INTENTIONALLY LEFT BLANK 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-7 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-8 INTENTIONALLY LEFT BLANK 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-9 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. 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-10 INTENTIONALLY LEFT BLANK 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-11 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-12 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-13 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 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-14 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. 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-15 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-16 INTENTIONALLY LEFT BLANK 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-17 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. 3 – RESPONSES TO COMMENTS Costco Wholesale Project Final RPEIR 10007 April 2017 3-18 INTENTIONALLY LEFT BLANK Costco Wholesale Project Final RPEIR 10007 April 2017 4-1 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-2 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-3 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-4 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-5 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off  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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-6 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-7 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-8 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-9 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-10 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-11 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-12 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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. 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-13 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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 4 – MITIGATION MONITORING AND REPORTING PROGRAM Costco Wholesale Project Final RPEIR 10007 April 2017 4-14 Table 4-1 Mitigation Monitoring and Reporting Program Mitigation Measure Monitoring Responsibility Timing Sign Off 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 May 2017  1-1 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 Final CEQA Addendum #2 May 2017  1-2 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 Final CEQA Addendum #2 May 2017  1-3 (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. City of Ukiah Recycled Water Project Final CEQA Addendum #2 May 2017  1-4 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 May 2017  2-1 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 May 2017  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 May 2017  3-2 (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 Final CEQA Addendum #2 May 2017  3-3 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: City of Ukiah Recycled Water Project Final CEQA Addendum #2 May 2017  3-4 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 City of Ukiah Recycled Water Project Final CEQA Addendum #2 May 2017  3-5 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 City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 3 2016 cx 30xi16 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 4 2016 cx 30xi16 “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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 5 2016 cx 30xi16 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 6 2016 cx 30xi16 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 City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 7 2016 cx 30xi16 (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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 8 2016 cx 30xi16 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, City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 9 2016 cx 30xi16 (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: City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 10 2016 cx 30xi16 (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 City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 11 2016 cx 30xi16 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 12 2016 cx 30xi16 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: City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 13 2016 cx 30xi16 (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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 14 2016 cx 30xi16 (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, City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 15 2016 cx 30xi16 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 16 2016 cx 30xi16 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 City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 17 2016 cx 30xi16 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 City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 18 2016 cx 30xi16 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 19 2016 cx 30xi16 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 20 2016 cx 30xi16 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 City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 21 2016 cx 30xi16 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 22 2016 cx 30xi16 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 23 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 24 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. City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 EXHIBIT G – DAVIS-BACON REQUIREMENTS G-2 (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: City of Ukiah 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 G-5 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, City of Ukiah Agreement No.: D16-01035 Project No.: C-06-8076-110 EXHIBIT G – DAVIS-BACON REQUIREMENTS G-6 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