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2022-02-16 Packet
Page 1 of 7 City Council Regular Meeting AGENDA To participate or view the virtual meeting, go to the following link: https://zoom.us/j/97199426600 Or you can call in using your telephone only: Call (toll free) 1-888-788-0099 Enter the Access Code: 971 9942 6600 To Raise Hand enter *9 To Speak after being recognized: enter *6 to unmute yourself Or One tap mobile (for easy connection on smart phones): US: +16699009128,,97199426600# or +12532158782,,97199426600# Alternatively, you may view the meeting (without participating) by clicking on the name of the meeting at www.cityofukiah.com/meetings. February 16, 2022 - 6:00 PM 1.ROLL CALL 2.PLEDGE OF ALLEGIANCE 3.PROCLAMATIONS/INTRODUCTIONS/PRESENTATIONS 3.a.Trench Cut Fee Study Presentation Recommended Action: Receive presentation and provide any additional direction to Staff. Refer to Trench Cut Ad-Hoc for the development of implementation recommendations for Council's consideration at a later date. Attachments: 1.NCE Ukiah Trench Cut Proposal FINAL 4.PETITIONS AND COMMUNICATIONS 5.APPROVAL OF MINUTES 5.a.Approval of the Minutes for the February 2, 2022, Special Meeting. Recommended Action: Approve minutes for the February 2, 2022, special meeting. Attachments: 1.2022-02-02 Draft Minutes - Special Meeting 5.b.Approval of the Minutes for the February 2, 2022, Regular Meeting. Recommended Action: Approve Minutes of the February 2, 2022, regular meeting Attachments: 1.2022-02-02 Draft Minutes 6.RIGHT TO APPEAL DECISION Page 1 of 901 Page 2 of 7 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. 7.a.Report of Disbursements for the Month of January 2022 7.b.Approval of a Four-Year Cooperative Agreement for Dispatch Services with the California Department of Forestry and Fire Protection in an Amount not to Exceed $1,540,822. Recommended Action: Approve the updated four-year cooperative agreement for dispatch services with the California Department of Forestry and Fire Protection, and authorize the City Manager to sign. Attachments: 1.Updated Dispatch Agreement 7.c.Notification to City Council of Contract No. 2122-163 with Flock Group Inc. for the Rental of Two Cameras in the Amount of $10,500 for the Ukiah Valley Fire Authority. Recommended Action: Receive notification of Contact No. 2022-163 with Flock Group INC. Attachments: 1.Flock Group Inc - Contract 7.d.Adoption of Resolution Authorizing Submittal of an Application to the California Department of Housing and Community Development for Funding under the HOME Investment Partnerships Program; and if Selected, the Execution of a Standard Agreement, Any Amendments Thereto, and of Any Related Documents Necessary to Participate in the HOME Investment Partnerships Program, as well as Authorization of the Corresponding Budget Amendments. Recommended Action: Adopt resolution authorizing submittal of an application from the City of Ukiah for $700,000 in HOME Investment Partnerships Program funds for the deployment of a First-Time Homebuyer Program; and if selected, authorize the City Manager to execute the standard agreement, any amendments thereto, and any related documents necessary; and authorize the corresponding budget amendments if awarded the grant. Attachments: 1.2020-2021 HOME NOFA Final 12-1-2021 2.2021 HOME Income Limits 3.2022 HOME FTHB Application Resolution 7.e.Adoption of Resolution of the City Council Reconsidering the Circumstances of the State of Emergency and Implementing Teleconferencing Requirements for City Council and Board and Commission Meetings During a Proclaimed State of Emergency Due to the COVID-19 Pandemic. Recommended Action: Adopt a Resolution of the City Council Reconsidering the Circumstances of the State of Emergency and Implementing Teleconferencing Requirements for City Council and Board and Commission Meetings during a Proclaimed State of Emergency Due to the COVID-19 Pandemic. Attachments: 1.AB 361 Findings Reconsideration for All Legislative Bodies 2 16 22 7.f.Possible Adoption of Ordinance Restricting the Retail Sale of Nitrous Oxide. Recommended Action: Adopt the Ordinance Restricting the Retail Sale of Nitrous Oxide. Page 2 of 901 Page 3 of 7 Attachments: 1.Nitrous Oxide Sales Ordinance Introduced 7.g.Award Purchase to Steven Engineering, for a Vibration Monitoring System for Pumps and Motors for the Waste Water Treatment Plant, in the Amount of $33,312.31. Recommended Action: Award Purchase to Steven Engineering, for a Vibration Monitoring System for Pumps and Motors for the Waste Water Treatment Plant, in the Amount of $33,312.31. Attachments: 1.Quote Steven Eng 2.Bid Tab - E38933 7.h.Notification of the Purchase of Axon Fleet 2 Car Camera Five-Year Service Agreement in the Amount of $63,912.61. Recommended Action: Notification of purchase of Axon Fleet 2 Car Camera Five-Year Service Agreement in the amount of $63,912.61. Attachments: 1.Axon Quote 2.Axon Receipt 3.Axon Packing Slip 7.i.Adoption of a Resolution of Notice of Intent to Comply with Regulatory Requirements of Senate Bill 1383, Short-Lived Climate Pollutants: Organic Waste Reductions, and Authorize the Submittal of Intent to Comply to CalRecycle. Recommended Action: Adopt proposed resolution of Notice of Intent to Comply with Regulatory Requirements of Senate Bill 1383, Short-Lived Climate Pollutants: Organic Waste Reductions, and Authorize the Submittal of Intent to Comply to CalRecycle. Attachments: 1.NOI to Comply Resolution 2.NOI to Comply Application (Exhibit A to Resolution) 7.j.Approval of Change Order #13 to Ghilotti Construction in the Amount of $53,242.91 for Traffic Signal Revisions and Other Amenities to the Downtown Streetscape and Road Diet Project, Specification #19-18 and corresponding budget amendment from the General Fund in the amount of $15,693.96. Recommended Action: Approval of Change Order #13 to Ghilotti Construction in the Amount of $53,242.91 for Traffic Signal Revisions and Other Amenities to the Downtown Streetscape and Road Diet Project, Specification #19-18 and corresponding budget amendment from the General Fund in the amount of $15,693.96. Attachments: 1.Spec 19-18_CCO 13_draft 7.k.Approval of Purchase of Vendor Cloud Hosting of Tyler Munis Enterprise Resource Planning (ERP) Finance System Servers, in the Amount of $170,296.00. Recommended Action: Approve purchase of Vendor Cloud Hosting of Tyler Munis Enterprise Resource Planning (ERP) Finance System Servers, in the Amount of $170,296.00. Attachments: 1.Tyler Supportive Information 2.Ukiah TCO 3.Ukiah SaaS Quote 7.l.Adoption of Resolution Opposing Initiative 21-0042A1 Recommended Action: Adopt resolution opposing Initiative 21-0042A1 Page 3 of 901 Page 4 of 7 Attachments: 1.CBRT Measure Opposition Fact Sheet (1-11-22) 2.Legal Analysis 01-20-22 AG FINAL 3.CBRT Fiscal Analysis (1-11-22) 4.Resolution_Oppose Initiative 21-0042A1_021622 5.2_2_22_Broad Coalition Opposes CBRT Measure_FINAL38 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) 11.a.Approval of Application to Demolish Two Structures over the Age of 50 Years Located at 1100, 1102, and 1104 South State Street. Recommended Action: 1) Conduct the public hearing; and 2) Approve the application to demolish two structures located at 1100, 1102 and 1104 South State Street. Attachments: 1.Vicinity Map and Site Photos 2.UCC Section 3016, Modifications to the California Building Code 3.Demolition Review Commmittee_Draft Minutes_February 2 2022 4.Memorandum from Building Official 11.b.Conduct a Public Hearing and Consider Adopting Respective Resolutions Authorizing Electric Revenue Bonds, Series 2022 to Make Capital Improvements to the City's Electric System. Recommended Action: Adopt a resolution authorizing the issuance of electric revenue bonds and authorizing the City Manager to execute all related documents for the improvement to various capital assets of City's electric system. Attachments: 1.City Reso - Ukiah Electric, 2 2.Authority Reso - Ukiah Electric, 2 3.Installment Sale Agmt 4.Indenture 5.POS 6.Purchase Contract 12.UNFINISHED BUSINESS 12.a.Receive Status Report and Consider Any Action or Direction Related to the Novel Coronavirus (COVID-19) Emergency Including Operational Preparedness and Response; Continuity of City Operations and Services; Community and Business Impacts; and Any Other Related Matters. Recommended Action: Receive status report and consider any action or direction related to the Novel Coronavirus (COVID-19) Emergency including operational preparedness and response; continuity of City operations and services; community and business impacts; and any other related matters. Attachments: None Page 4 of 901 Page 5 of 7 12.b.Award Professional Services Agreement to GHD Engineers, Inc. in the Amount of $239,393 to Prepare the Plans, Specifications, and Estimate for the Talmage Road Rehabilitation Project, and Approve Corresponding Budget Amendments. Recommended Action: Award professional services agreement to GHD Engineers, Inc. in the amount of $239,393 to prepare the plans, specifications, and estimate for the Talmage Road Rehabilitation Project, and approve corresponding budget amendments. Attachments: 1.RFP Talmage Rehabilitation 2.GHD - Talmage Road Rehabilitation Project 3.GHD - Talmage Road Rehabilitation Project - Fee Proposal 12.c.Award Professional Services Agreement to Coastland in the Amount of $285,353 to Prepare the Plans, Specifications, and Estimate for the Main Street Utilities Improvement Project, and Approve Corresponding Budget Amendments. Recommended Action: Award professional services agreement to Coastland in the amount of $285,353 to prepare the plans, specifications, and estimate for the Main Street Utilities Improvement Project, and approve corresponding budget amendments. Attachments: 1.RFP Main Street Utilities 2.Coastland - Main Street Utility Improvement Project 3.Coastland - Main Street Utility Project_Fee Proposal 12.d.Award Professional Services Agreement to BKF Engineers in the Amount of $308,031 to Prepare the Plans, Specifications, and Estimate for the East Perkins Widening Project, and Approve Corresponding Budget Amendments. Recommended Action: Award professional services agreement to BKF Engineers in the amount of $308,031 to prepare the plans, specifications, and estimate for the East Perkins Widening Project, and approve corresponding budget amendments. Attachments: 1.RFP East Perkins Widening 2.BKF - East Perkins Widening Project 3.BKF - East Perkins Widening Project - Fee Proposal 12.e.Receive Annual Progress Reports on the 2019-2027 Housing Element and 1995 (Current) Ukiah Valley General Plan; and Provide Direction as Necessary. Recommended Action: Receive reports and provide direction as necessary. Attachments: 1.2021 HCD APR - Housing 2.2021 OPR APR - General Plan 12.f.Consideration of Financial Contribution in the Amount of $50,000 to the Inland Water and Power Commission for Legal Services Related to the Potter Valley Project. Recommended Action: Staff recommends Council request a written proposal from IWPC Board that details a revised fund request including an updated scope, use and need. Attachments: None 12.g.Mid-year Budget Report for Fiscal Year 2021-22. Recommended Action: Council to receive the mid-year budget report for fiscal year 2021-22 and review, consider, and discuss updates on current stated objectives. In addition, the Council will review preliminary draft departmental objectives for the fiscal year 2021-22 and receive a preliminary update of the City's five-year capital improvement plan. Attachments: 1.CIP -5 year-FYE 2022 - Final Page 5 of 901 Page 6 of 7 13.NEW BUSINESS 13.a.Receive Updates on City Council Committee and Ad Hoc Assignments, and, if Necessary, Consider Modifications to Assignments and/or the Creation/Elimination of Ad Hoc(s). Recommended Action: Receive report(s). The Council will consider modifications to committee and ad hoc assignments along with the creation/elimination ad hoc(s). Attachments: 1.2022 City Council Special Assignments 14.CLOSED SESSION - CLOSED SESSION MAY BE HELD AT ANY TIME DURING THE MEETING 14.a.Conference with Legal Counsel—Anticipated Litigation (Government Code Section 54956.9(d)(2 & 3)) Significant exposure to litigation pursuant to Government Code Section 54956.9(d)(2)(Number of potential cases: 1) Recommended Action: Attachments: None 14.b.Conference with Legal Counsel – Anticipated Litigation (Government Code Section 54956.9(d)(2)or(3)) Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9: (1 potential case, involving possible termination of construction contract for cause) Recommended Action: Attachments: None 14.c.Conference with Legal Counsel – Existing Litigation (Government Code Section 54956.9(d)(1)) Name of case: Vichy Springs Resort v. City of Ukiah, Et Al; Case No. SCUK-CVPT-2018-70200 Recommended Action: Attachments: None 14.d.Conference with Legal Counsel – Existing Litigation (Government Code Section 54956.9(d)(1)) Name of case: Vichy Springs Resort v. City of Ukiah, Et Al; Case No. SCUK-CVPT-20-74612 Recommended Action: Attachments: None 14.e.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 Recommended Action: Attachments: None 14.f.Conference with Legal Counsel – Existing Litigation (Cal. Gov’t Code Section 54956.9(d)(1)) Name of case: Siderakis v. Ukiah, et al, Mendocino County Superior Court, Case No. 21CV00603 Recommended Action: Attachments: None Page 6 of 901 Page 7 of 7 14.g.Conference with Legal Counsel – Existing Litigation (Government Code Section 54956.9(d)(1)) Name of case: Gerardo Magdaleno, by and through his Guardian Ad Litem, Pedro Francisco Magdaleno v. City of Ukiah, Justin Wyatt (Fed. Dist. Ct. N.D. Cal.) 3:21-2609 VC. Recommended Action: Attachments: None 14.h.Conference with Real Property Negotiators (Cal. Gov’t Code Section 54956.8) Property: APN Nos: 003-500-19; 003-190-08; 057-050-12; 157-050-11; 157-060-003; 001- 040-83;157-050-03, 157-060-02, 157-050-04, 157-050-03, 157-030-02, 157-050-01, 157-050- 02, 157-050-10, 157-050-09, 157-070-01, 157-070-02, 003-190-01; 003-181-01; 003-582-38 Negotiator: Sage Sangiacomo, City Manager; Negotiating Parties: Dave Hull and Ric Piffero Under Negotiation: Price & Terms of Payment Recommended Action: Attachments: None 14.i.Conference with Labor Negotiator (54957.6) Agency Representative: Sage Sangiacomo, City Manager Employee Organizations: All Bargaining Units Recommended Action: Attachments: None 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. Kristine Lawler, CMC/City Clerk Dated: 2/11/22 Page 7 of 901 Page 1 of 2 Agenda Item No: 3.a. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1301 AGENDA SUMMARY REPORT SUBJECT: Trench Cut Fee Study Presentation DEPARTMENT: Public Works PREPARED BY: Andrew Stricklin, Associate Engineer PRESENTER: Tim Eriksen, Director of Public Works / City Engineer ATTACHMENTS: 1. NCE Ukiah Trench Cut Proposal FINAL Summary: Council will receive a presentation by City Staff and contract consultant NCE regarding a recently- completed Trench Cut Fee Study and Implementation. Background and findings will show the impact both residential and commercial construction cuts into the roadway have on the condition and lifetime of a street and what type of remediation or fee could be applied to offset such deterioration. Background: With the implementation of Measure Y to rehabilitate the streets of Ukiah, many streets have recently been paved and many more are designed and will soon be completed. Since work from other utilities, including those that are City owned, affect the future condition of these improved streets, staff recommended that a trench cut fee should be implemented to recoup the necessary rehabilitation costs resulting from the decreased road lifespan. At the December 2, 2020 Council meeting, a contract was awarded to Nichols Consulting Engineers (NCE) to complete this study and return with a presentation to Council. See Attachment 1 for project proposal by NCE. Discussion: Problems associated with the performance of pavement cuts and street repairs have been a concern to public agencies for many years. Public agencies and utilities have sponsored engineering investigations, and these studies indicate that the life expectancy of a street may be reduced by the presence of pavement cuts. Trench cut fees are very common among municipalities in California. Such fees are structured based on pavement age, type of pavement treatment, type and size of cut, as well as other factors. NCE has completed this study and will show the financial cost and impact the City faces with roadway construction from residential, commercial and municipal projects. Following the presentation and delivery of the final report, Staff will continue engagement with the Trench Cut Ad-Hoc consisting of Mayor Brown and Councilmember Crane to develop recommendations for Council's consideration at a later meeting date. Recommended Action: Receive presentation and provide any additional direction to Staff. Refer to Trench Cut Ad-Hoc for the development of implementation recommendations for Council's consideration at a later date. BUDGET AMENDMENT REQUIRED: No CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A Page 8 of 901 Page 2 of 2 COORDINATED WITH: Tim Eriksen, Director of Public Works / City Engineer Page 9 of 901 October 29, 2020 Trench Cut Fee Study and Implementation City of Ukiah PROPOSAL Submitted By: Point Richmond Office 501 Canal Blvd, Suite I Richmond, CA 94804 Phone: 510.215-3620 Attachment 1 Page 10 of 901 City of Ukiah Trench Cut Fee Study and Implementation Opp No. 1145.01.55 Page | iii Table of Contents Cover Letter .................................................................................................................................................................. 1 Contract Approach and Schedule ................................................................................................................................. 3 Project Understanding .............................................................................................................................................. 3 Scope of Work ........................................................................................................................................................... 4 Task 1: Summarize Utility Cut Fee Studies ............................................................................................................ 4 Task 2: Engineering Approach & Analyses ............................................................................................................ 5 Task 3: Develop Fee Schedule and Report ............................................................................................................ 7 Task 4 – Develop Fee Ordinance and Council Presentation ................................................................................. 8 Schedule .................................................................................................................................................................... 8 Contract Team .............................................................................................................................................................. 9 NCE Key Personnel .................................................................................................................................................. 10 References .................................................................................................................................................................. 12 Addendum .................................................................................................................................................................. 18 Exceptions ................................................................................................................................................................... 19 Insurance Requirements ......................................................................................................................................... 19 Appendices A Staff Resumes Page 11 of 901 Point Richmond, CA 501 Canal Blvd, Suite I Richmond, CA 94804 (510) 215-3620 Cover Letter October 29, 2020 Mr. Daniel Flores Engineering Technician City of Ukiah Public Works Department 300 Seminary Avenue Ukiah, CA 95482-5400 Subject: Proposal –Trench Cut Fee Study and Implementation Dear Mr. Flores and Members of the Selection Committee: NCE understands that the City of Ukiah desires to evaluate the impacts of utility cuts on the service life of pavements and to develop appropriate mitigation measures, including a fee schedule. We have extensive experience performing similar pavement related studies for public agencies throughout California and the U.S. We are a nationally recognized pavement specialty firm with broad capabilities and expertise in the areas of pavement research, analysis and design, and we bring to the City of Ukiah the following: Familiarity with Ukiah Streets – NCE successfully updated the City’s StreetSaver® pavement management system in 2016-2017; our familiarity with the City’s street network enables us to identify the appropriate streets to be tested/evaluated for this study. We can easily locate sections with trench cuts, their maintenance histories and determine the best candidates for evaluation. National Expertise in Pavement Technology – NCE is a unique civil engineering firm in that we have a pavement research division that conducts applied research and engineering studies for the Federal Highway Administration and state highway agencies. The map to the right illustrates clients where we have conducted pavement related studies. Extensive Experience – we have performed similar utility trench cut studies for the Cities of Sacramento, Philadelphia, Seattle, Anaheim, Pacifica, Chico, Elk Grove, Bishop and the Regional Transportation Commission for Southern Nevada (Las Vegas). Performed Truck Impact Fee Studies for the Cities of Pacifica, Carmel-By-The-Sea, Walnut Creek, San Bruno, Highlands, San Joaquin Irrigation District and UC Davis. Demonstrated Experience with implementation of pavement management programs; NCE has worked with more than 200 public agencies in California (more than 300 nationwide). Page 12 of 901 Point Richmond, CA 501 Canal Blvd, Suite I Richmond, CA 94804 (510) 215-3620 Expertise in Practical Pavement Designs based on using deflection testing and analysis, which will be employed on this project. Extensive Working Knowledge with StreetSaver® – The NCE team has worked with StreetSaver® for more than 30 years. We have worked with more than 200 public agencies, throughout California, Nevada, Washington, Oregon and the nation, on similar projects. Rigorous Quality Control – NCE’s projects include a QC manager, who reports directly to the project manager and provides a thorough review of documents prepared for deliverables. NCE’s team has worked together on many projects and will provide the City with the technical and management experience to address the data collection, work plan, analysis, and reporting required. Our highly trained and capable technical staff are experienced in data collection. We have developed an excellent reputation for dedication, integrity, productivity, quality of work, and service to our clients. Finally, we would like to emphasize again the uniqueness of NCE’s qualifications and experience. We are a pavement specialty firm, with a depth of knowledge that extends from research and studies to evaluation and design. Our clients range from the Strategic Highway Research Program (SHRP) to state highway agencies, such as Caltrans to local cities and counties. We perform state-of-the-art pavement research and analysis and we are able to convert the results into practical solutions for local implementations including fee studies. NCE has the capability to deliver responsive, cost effective and high-quality pavement management services. These services will be accomplished through a systematic and organized method of work and communication led by Ms. Mei-Hui Lee, PhD, PE, as NCE’s proposed Project Manager. Contract Manager Margot Yapp, PE is authorized to negotiate and contractually bind NCE to the City’s agreement. Her contact information is as follows: Ms. Margot Yapp, PE NCE Office Address: Phone: (916) 388-5655 501 Canal Blvd, Suite I Email: MYapp@ncenet.com Richmond, CA 94804 The NCE team is prepared to meet the upcoming challenges of this project. NCE looks forward to your favorable review of our proposal and the opportunity to work with the City. This proposal is a firm offer for a minimum period of thirty (30) days after the submittal date. Please do not hesitate to contact Margot at the number shown above with any questions. Sincerely, NCE Margot Yapp, PE Mei Hui Lee, PhD, PE President/Principal-in-Charge Project Manager Page 13 of 901 City of Ukiah Trench Cut Fee Study and Implementation Services Opp No. 1145.01.55 Page | 3 Contract Approach and Schedule Project Understanding Interest in the impact of utility cuts on roadway performance has been prevalent among cities and counties for the last 30 years. There are extensive published and unpublished reports and literature on this subject, dating back to the 1940s, but in general, reports since 1990 are most relevant to this study. The City of Sacramento was a pioneer in this area with its 1996 study and excavation cost recovery fees. The fees were structured based on pavement age, trench directions, and size of excavation. Since that time, multiple agencies across California and the United States have conducted similar studies. NCE understands that the City of Ukiah is seeking a consultant to perform a Trench Cut Study on its 53 centerline miles of streets, and assist in the implementation of the proposed recommendations, including a fee ordinance. Problems associated with the performance of pavement cuts and street repairs have been a concern to public agencies for many years. Public agencies and the utilities have sponsored engineering investigations and these studies indicate that the life expectancy of a street may be reduced by the presence of pavement cuts. Most of these studies focus on the impact of backfill placement and specification on potential surface settlement, rather than the impacts of cuts on the frequency of maintenance and rehabilitation activities. NCE’s past reviews have found that findings from studies funded by utility companies and public agencies are often contradictory. Therefore, care needs to be taken when reviewing the technical approach used and the results. Examples of agencies where similar studies have been performed include San Francisco, Santa Ana, Seattle, Los Angeles, Cincinnati, Phoenix, Union City, Ottawa (Canada), League of Arizona Cities and Counties, Indiana Local Agencies, San Mateo County and Alameda County. NCE is currently conducting a similar study for the Cities of Anaheim and Pacifica; additionally, we are currently updating Sacramento’s original study. NCE understands that the City of Ukiah desires to evaluate the impact of utility cuts on the structural integrity or functional performance of pavement. Should there be any impacts, appropriate mitigation measures are to be developed, including a fee schedule. NCE’s technical approach will include the following tasks: Research and summarize other studies related to street deterioration and rehabilitation costs from pavement utility cuts and trenches; Determine a methodology to establish the impacts of utility cuts/trenches; Perform a comprehensive pavement analysis to determine the extent of damage to the City’s streets; Determine the loss of street life as a result of pavement cuts and determine the resultant rehabilitation costs; Develop an impact fee schedule relative to pavement cuts; and Summarize all findings in a report. Page 14 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 4 Scope of Work The following paragraphs describe in more detail NCE’s proposed scope of work. Task 1: Summarize Utility Cut Fee Studies In this task, NCE will first schedule a kickoff meeting with City staff to review: Project scope, deliverables and timeline Review of existing information on pavement sections Review current restoration standards and practices Review historical data available such as age of trenches and pavements, and maintenance and rehabilitation activities Review previous study report and approaches Review typical maintenance and rehabilitation practices and costs Review existing maintenance/pavement cut record-keeping procedures Next, NCE will conduct a detailed review of those studies that are most pertinent to the City including any follow- up information (i.e., economic impacts, associated costs, fees and ordinance development, agency adoptions and implementation). Many of these studies were performed over 15-20 years ago as shown in the bibliography below, but some are relatively recent. Bodocsi, A., et al. Impact of Utility Cuts on Performance of Street Pavements. Department of Civil and Environmental Engineering, University of Cincinnati, Cincinnati, OH, 1995. Chow, C. A., and V. B. Troyan. Quantifying Damage from Utility Cuts in Asphalt Pavement by Using San Francisco’s Pavement Management Data. Transportation Research Record: Journal of the Transportation Research Board, No. 1655, 2007. Lakkavalli M, V. et al. Challenges in Utility Coordination and Implementation of Pavement Degradation Fees. Conference of the Transportation Association of Canada, 2015. Karim, M. M. A., et al. Effect of Utility Cuts on Serviceability of Pavement Assets – A Case Study from the City of Calgary. Pavement and Asset Management Session of the Annual Conference of the Transportation Association of Canada, 2014. Marcus W. B. Economic Report: Estimated Costs of Accelerated Repaving Required As a Result of Utility Excavations in San Francisco Streets. City and County of San Francisco, CA, 1998. Shahin, M. Y., and J. A. Crovetti. Analysis of the Impact of Utility Cuts on Pavement Life and Rehabilitation Cost in Prince George’s County, MD. Prince George’s County, MD, 2002. Shahin, M. Y., et al. The Effects of Utility Cut Patching on Pavement Life Span and Rehabilitation Costs. City of Los Angeles, CA, 1996. Shahin, M. Y., et al. Costing the Effects of Utility Cuts in the Life Cycle of Asphalt Pavements. City of Burlington, VT, 1986. Stephen Q. S. and K. A. Lauter. Using Pavement Management System Concepts to Determine the Cost and Impact of Utility Trenching on an Urban Road Network. Transportation Research Record: Journal of the Transportation Research Board, No 1699, 2000. Torbaghan, M.E., et al. Investigating the Relationship Between Trenching Practice and Road Deterioration. Infrastructure Asset Management, 2020. Generally, the results of studies conducted by public agencies show that the presence of utility cuts lower measured pavement condition scores (indexes) compared to pavements of the same age with no utility cuts. The link between the presence of utility cuts and accelerated pavement deterioration is accepted by most agencies. The San Francisco study concedes that high-quality workmanship in the repair of utility trenches may reduce the structural damage to the pavement, but contends that lower ride quality and increased cracking still result and, therefore service life is diminished. Page 15 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 5 Task 2: Engineering Approach & Analyses There are two primary methodologies that have been utilized; either using pavement condition data and statistical (or functional) analyses to develop performance models, or a structural analysis using deflection testing to quantify the impacts of utility cuts (NCE employed both approaches for Seattle and is currently conducting a similar scope for Anaheim). The first requires a pavement management system that contains sufficient historical data so that streets with and without utility cuts can be compared. An example of such an approach is shown in the chart on the right (Figure 1) from San Francisco. However, it can be challenging to get sufficient data, primarily because few agencies have accurate data on pavement age beyond 10-15 years. The pictures below (Figure 2) illustrate streets with and without cuts and the impacts on the PCI. In this task, NCE will therefore review the City’s StreetSaver® database to extract sections with utility cuts and compare their PCIs before and after the cuts. In order for the statistical analyses to be viable, several hundred data points will be required. Pavement distress details or available images will be reviewed to verify the presence and condition of the utility cuts. Figure 1. City of San Francisco – Pavement Condition by Age and Utility Cut 2016 PCI = 83 2019 PCI = 48 2016 PCI = 79 2020 PCI = 61 Figure 2. Comparison of Pavement Condition With and Without Utility Cuts Page 16 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 6 Figure 4. Differences in Overlay Thicknesses On and Adjacent to Utility Cut The second, more common approach, was pioneered in Sacramento, and relies on the use of deflection testing to determine the impacts. The premise is that cutting into a pavement will structurally weaken the surrounding areas due to the “slumping” effect. Deflection testing can be used to establish the relative loss of structural capacity resulting from the presence of pavement cuts. This loss of structural capacity necessitates thicker overlays, thus increasing the cost of rehabilitation for a street with pavement cuts over the costs for a street without cuts. This approach is most successful when used on pavements that have higher traffic volumes (such as arterials) and the pavement section must be known (either through cores or as- builts). A sample testing plan is shown to the right (Figure 3) for both longitudinal and transverse cuts. The deflection points 10 feet away from the cut act as the “control” section and provide a comparison of the pavement performance if there was no cut. NCE will use the structural capacities of the sections with and without pavement cuts to determine the reduction in pavement life using mechanistic analysis. In addition, the required overlay thickness will be determined for each section. Figure 4 below clearly shows that the age of the pavement adjacent to the cut has a higher overlay thickness required. By comparing the costs of overlays for sections with and without pavement cuts, the increased cost attributable to the pavement cut can be determined. Figure 3. Example of Deflection Testing Plan -6 0 6 0 5 10 15 20 Site Number AC O v e r l a y T h i c k n e s s D i f f . ( i n ) Age Group 1 Age Group 2 Age Group 3 Age Group 4 4.4 4.4 4.4 4.2 5.9 5.1 1.7 4.50 2 4 6 8 10 12 Patch 2-ft 4-ft Control AC T h i c k n e s s ( i n ) Required AC Overlay Thick.(in)Exist AC Thick. (in) Page 17 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 7 Task 3: Develop Fee Schedule and Report NCE will then develop a fee schedule that will recover the full impacts of pavement cuts. Typical costs of repairs and types of repairs will be obtained from the City and used to determine the fee. This should be from recent bid tabs and include cost data such as: Construction and construction management of pavements Design City overhead Non-pavement items such as striping, traffic control, signal loops etc. Others as relevant We will also review the different methodologies for recovering rehabilitation costs due to pavement cuts. In particular, the trigger points for overlays will be discussed. A sample of various fee schedules are shown in the below table. The results will be documented in the report for the City’s review. CITY FEE SCHEDULE COMMENTS Los Angeles, CA $3.43 - $14.08 per SF Decreases with age. Considering flat fee. San Francisco, CA $3.50 - $1.00 per SF Decreases with age. Union City, CA $17.50 per LF Single flat fee. Oxnard, CA $0.55 per SF Bakersfield, CA $4.50 - $8.50 per SF Redlands, CA $0.25 - $2.00 per SF Decreases with age and condition. Seattle, WA $17.70 per SF Single flat fee. Pennsylvania, PA $2.24 per SF Trigger level of 30% In addition to the fee analysis, NCE will review moratoria from other agencies, and provide a recommendation to the City. After the analysis is completed, NCE will prepare a draft study report for the City to review. Upon receipt of the comments on the draft report, NCE will complete the final report for submittal. The report will include the following: Introduction/Background Results of literature reviewed Study approach Results of deflection testing analysis Results of pavement management program (PMP) statistical analysis Description of analysis results determining the impact of trench/pavement cuts on pavements Comparison of results with other studies Recommendations for rehabilitation actions due to the presence of trenches Estimate of repair costs required for pavements with and without cuts Recommended fee schedule DELIVERABLES: Draft report Final report Page 18 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 8 Task 4 – Develop Fee Ordinance and Council Presentation In this task, NCE will assist the City in developing a fee ordinance and present our findings to the City Council. This will include the methodology employed, a discussion of alternatives, an alternatives analysis and recommendations. Prior to the workshop, NCE will meet with City staff to review the presentation and modified as needed. NCE has conducted many similar presentations, both to a technical and a non-technical audience. Typically, audiences such as a technical advisory committee will “dive deep” into the technical details. In contrast, City Council may focus only on the policy recommendations. Either way, NCE will provide City staff with the support desired. It is assumed that this workshop will be conducted in person at the City, unless the current COVID-19 environment necessitates a virtual setting. DELIVERABLES PowerPoint presentation Schedule The project schedule assumes a notice to proceed on December 1st, 2020 and a kickoff meeting scheduled by December 4th, 2020. In addition, two weeks is included for City’s review of the draft report. It is NCE’s experience that if the review includes the City Attorney’s office, this may require additional time. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 1. Kickoff Meeting and Summarize Utility Cut Fee Studies 2. Engineering Approach & Analysis A. Structural Analysis - Deflection Testing B. Statistical Analysis - PMP Data (optional) 3. Develop Fee Schedule & Final Report Draft Report City Review Final Report 4. City Council Presentation Assumptions: Assumes no weather delays for Task 2A. To be Determined Task Description Weeks from Notice To Proceed Page 19 of 901 City of Ukiah Trench Cut Fee Study and Implementation Services Opp No. 1145.01.55 Page | 9 Figure 5. Organization Chart Contract Team NCE brings a collaborative and innovative problem-solving mentality to address the technical challenges facing the City’s pavement issues. Our key personnel have worked together on dozens of projects. The single most important tool for successful project management is clear, consistent and cooperative communication. As Project Manager, Dr. Mei-Hui Lee, PE will communicate regularly with the City regarding the progress of the study. She has conducted similar pavement impact studies for other agencies (Sacramento and Pacifica), is knowledgeable about the technical resources of the firm, managed and provide quality control for engineering projects, understands public sector contracts and contracting and has the authority to recruit resources within the firm and will work closely with the team and the City to make resources available on a short order basis. She will work closely with the team and the City to apply new ideas grounded in results gained to date from previous trench cut impact studies that she managed to successful conclusion and implementation. We have assembled a team of professionals (Figure 5) with demonstrated experience providing services for similar types of programs – people who will take an outside of the box approach to problem-solving and who have the ability to draw upon established and new technologies to develop solutions. Our staff benefits from an investment in continuous training in emerging design and construction techniques and routinely shares their technical knowledge with others in the engineering community through teaching seminars, workshops and publication of articles in professional journals. NCE, with a staff of over 110 employees, is committed to providing the staff presented within this section. These individuals will be ready to begin work upon notice to proceed from the City. Our key personnel will be available throughout this contract. Page 20 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 10 Studies to determine the impacts of different truck loads such as construction or garbage trucks are similar in nature, and have the same objective of quantifying the increased maintenance costs. Provided on the following pages are resumes for the NCE team that will provide the trench cut fee study related services to the City. NCE Key Personnel Ms. Margot Yapp, PE is NCE’s proposed Principal-in-Charge. Ms. Yapp’s expertise in pavement studies, design and management lies in the intersection of research and implementation. The path began during her senior year of college with her honors project and continued through research she conducted while obtaining her master’s degree. Mentored by a nationally known pavement engineer at the start of her career, Ms. Yapp met leading pavement researchers and learned practical aspects of applying research. She has taught workshops on pavement management systems for the National Highway Institute and the Federal Highway Administration. Of particular interest to this project, is her experience working on numerous pavement impact studies caused by different truck traffic as well as those from utility cuts. She has used a variety of rigorous technical approaches to determine these impacts such as: Development of an experiment design to ensure that all variables affecting pavement impacts are included Rigorous statistical analyses to ensure that results and conclusions are significant Pavement structural analysis, including the use of deflection testing Pavement condition analysis, employing the use of pavement management data In each case, the appropriate technical approach was selected depending on the type of study and the data available. Ms. Yapp was the Project Manager for the City of Ukiah’s PMP update and was the Project Manager for similar trench cut studies in Chico, Santa Rosa, Seattle, Philadelphia and Anaheim. She is currently the Project Manager for the California Statewide Local Streets and Roads Needs Assessment and will bring a wealth of knowledge and expertise on statewide funding issues. Ms. Mei-Hui Lee, PhD, PE is NCE’s proposed Project Manager. She has 10+ years of experience in pavement engineering and is certified by the MTC inspector certification testing program and has expertise in performing condition surveys. Dr. Lee is also well experienced with updating maintenance and rehabilitation decision trees and the treatment unit costs, and the development of budget scenarios and summary reports. She has developed cost-effective maintenance treatments and strategies, prepared custom multiple-year detailed street maintenance plans and budget option reports and linked GIS maps with management sections in the client’s PMP database. She is currently updating the City of Sacramento’s trench cut fee ordinance and developing something similar for Pacifica and Elk Grove. NCE has performed numerous utility cut impact studies, usually with the objective of quantifying the required maintenance costs due to decreased pavement life. Fee schedules and/or ordinances were then developed to capture these costs. Page 21 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 11 Mr. James Signore, PhD, PE is NCE’s proposed QC Manager. Dr. Signore has been involved in the pavement field for 25 years performing research, consulting, and teaching. He has worked with many local agencies in reviewing their pavement strategies and paving practices such as the Cities of Davis, Elk Grove, Folsom and the Counties of Sacramento, Madera, Sonoma, Trinity, and San Joaquin. Currently, he is the Principal Investigator to Caltrans for an on-call pavement engineering services project, where he is responsible for addressing issues related to pavement materials, design and testing throughout California. In addition, Dr. Signore is a Member of the Transportation Research Board Committee AFD70, Pavement Rehabilitation, AFD70-1, Pavement Interlayer Systems and the FAA Airport Pavement Technical Working Group. Ms. Sharlan Dunn, PhD, EIT, proposed Project Engineer, earned her PhD in civil engineering with an emphasis in pavement and materials. Dr. Dunn has extensive research experience in pavement design, management, and materials. She also has expertise in the areas of pavement distress data collection, analysis and QC; M&R decision trees and treatment unit costs; multiple-year budget scenario analyses; and summary reports. She has developed and updated similar trench cut studies for Sacramento, Anaheim and Pacifica, as well as pavement management system plans for the Cities of Sacramento, Citrus Heights, Davis, and Oakland and the Counties of Sacramento, Monterey and Calaveras. Mr. Mike Esposito is NCE’s proposed Field Supervisor. Since joining the firm in 1994, he has grown with the company and performs several functions essential to NCE and its clients. He has supervised and conducted transportation asset management on numerous projects throughout Northern Nevada and California. Also, during the past seven years, Mr. Esposito has performed the duties of Field Operations Supervisor for the FHWA Long-Term Pavement Performance (LTPP) regional contract, responsible for hiring and training technical staff, ensuring safety procedures and scheduling road testing as much as a year in advance. Mr. Rich LaValley, proposed Engineering Technician, has been performing Falling Weight Deflectometer (FWD) operations in all the Western States and can verify and analyzing FWD and Deflection data. He has been accredited by the FHWA as a Distress Rater for 21 years and as a Seasonal Monitoring Technician for five years. Other duties include Transverse Profile and Distress testing and performing downloads of Seasonal data. Mr. LaValley has vital expertise with the care and maintenance of the FWD equipment and is responsible for the vehicle and all testing equipment in the field. During Distress monitoring, he notes damage to roads and structures, including markings and signs and reports to appropriate agencies when attention is required. Resumes Focused resumes highlighting registrations/credentials, education, years of experience and a list of recent, relevant projects for each key member are included in the Appendix. Page 22 of 901 City of Ukiah Trench Cut Fee Study and Implementation Services Opp No. 1145.01.55 Page | 12 References Pavement Management Update and GIS Linkage, Ukiah, CA (Mendocino Council of Governments [MCOG]) NCE has completed MCOG’s PMP updates and GIS linkages four times since 2001. We have also provided in-depth StreetSaver® training to County and specific City Staff as well as provided assistance with Council presentations in recent years. NCE last updated of the pavement management system and GIS linkage for the County of Mendocino and the Cities of Ukiah, Willits, Fort Bragg and Point Arena in 2012/2013. The County and these Cities have utilized the StreetSaver® program since 2000/2001. The scope of work included distress/condition surveys on approximately 768 centerline miles using the MTC StreetSaver® procedures, updating maintenance and rehabilitation history data, calculating the pavement condition indices (PCI), linking the StreetSaver® databases to the GIS, performing budget analyses on all databases, preparing final reports and conducting training for County and city personnel. ““Our experiences with them have been very good. NCE has been extremely responsive and professional. We have found them to be very knowledgeable and experienced in the field of Pavement Management. They have completed the projects on time and within budget. As rural counties, Lake and Mendocino present unique challenges which NCE has met with ease. Their staff has shown technical expertise and we’ve been very pleased with products which we have received from them. Their reports are particularly thorough and informative. The analysis and recommendations presented in their reports have really helped demonstrate to local officials the need for additional pavement maintenance and rehabilitation funding for our local agencies.” Nephele S. Barrett, Executive DIrector Mendocino Council of Governments Client Contact Mendocino Council of Governments 367 North State Street, Suite 206 Ukiah, CA 95482 Nephele S. Barrett Senior Planner (707) 463-1806 nbarrett@dbcteam.net Project Team Margot Yapp, PE Project Manager and Primary POC James Signore, PE QC Manager Mei Hui Lee, PE Senior Engineer Page 23 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 13 Utility Trench Cut Study Update (City of Sacramento) With over 3,000 lane-miles of streets, the City owns and maintains the fifth largest street network in California. Since 2016, NCE has been responsible for updating the City pavement management system. NCE is currently conducting a study to evaluate the impacts of utility cuts on the service life of pavements and to develop appropriate mitigation measures, including a fee schedule. A similar study was conducted in 1996, and this project will update the findings. NCE’s technical approach will include the following tasks: Research and summarize other studies related to street deterioration and rehabilitation costs from pavement utility cuts and trenches; Determine a methodology to establish the impacts of utility cuts/trenches; Perform a comprehensive pavement analysis to determine the extent of damage to the City’s streets; Determine the loss of street life as a result of pavement cuts and determine the resultant rehabilitation costs; Develop an impact fee schedule relative to pavement cuts; Present the results to City Council and support to City staff for other meetings as needed. “Of particular value to me was NCE’s ability to develop a Pavement Condition Report that was geared to educate the public and elected officials with the challenges the City faces maintaining its pavement infrastructure. The report was very well done and became a popular template for other agencies maintaining pavement infrastructure in the Sacramento region. I recommend NCE to other organizations and hope to continue working with them in the future. They are hardworking, top-performing customer service-oriented professionals.” Gregory J. Smith, PE, Senior Civil Engineer City of Sacramento Department of Public Works Client Contact City of Sacramento Public Works Department 5730 24th Street, Building 1 Sacramento, CA 95822 Greg Smith, PE Senior Civil Engineer (916) 808-8364 GSmith@cityofsacramento.org Project Team Margot Yapp, PE Principal-in-Charge Mei-Hui Lee, PhD, PE Project Manager Sharlan Dunn, PhD Project Engineer Mike Esposito Field Supervisor Rich LaValley Engineering Technician Page 24 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 14 Technical Review of Pavement Maintenance Impact Study (City of Santa Rosa) The City of Santa Rosa had developed a methodology to determine the impacts of refuse trucks and underground utilities on pavement life. Pavement management data was used to model the differences in pavement life depending on the presence of utilities. Most approaches used by other agencies focus specifically on utility cuts, and employ deflection testing and mechanistic analysis to quantify the impacts on pavements. These are then translated into fee schedules that are usually tiered (typically by age or condition), and then applied to all utilities that make cuts. In the case of Santa Rosa’s Utility Impact Fee (UIF), some of the assumptions relied on engineering judgment and local observations from the field when originally developed in 2003. NCE was selected to perform a peer review of the assumptions used such as the impact of refuse trucks and utilities, as well as the life extensions of the designated maintenance treatments and the development of the impact fee. Recommendations were made to update the models with field data as well as to revise the cost assumptions for the impact fees. Impact of Utility Repairs on Performance of Street Pavements (Various Cities) Similar utility cut studies were performed for the Cities of Palo Alto, Chico, Bishop, Elk Grove and Salem and the County of Santa Clara from 2001 to 2007. Deflection testing was utilized to determine the impacts of utility cuts, and fee schedules were developed. These agencies did not possess sufficient historical data in their pavement management systems, therefore, deflection testing was the only approach available. Client Contact City of Santa Rosa Transportation and Public Works 100 Santa Rosa Avenue Santa Rosa, CA 95404 Peter Dodsworth (retired) Materials Engineer (707) 953-5467 pdodsworth@srcity.org Project Team Margot Yapp, PE Project Manager James Signore, PhD, PE QA/QC Manager Shahram Misaghi, PE Senior Engineer Page 25 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 15 Trench Cut Fee Study Services (City of Anaheim) NCE was selected by the City of Anaheim to provide a Trench Cut Fee Study for the City's streets. The City is looking into ways to recover both its direct and indirect costs through fees, and desires to evaluate the impact of pavement cuts on the structural integrity of asphalt concrete streets. The City owns and maintains approximately 581.73 centerline miles of pavements, which includes 156.57 centerline miles of the Master Plan of Arterial Highways (MPAH) streets (AHS network) and 425.16 miles of local streets (LSS network). NCE's responsibilities will include a Preliminary Study Report (PSR), Study Workshop, Final Study Report, as well as providing Outreach and Coordination (Council and Fee Workshops, study development meetings, and public meetings). NCE’s technical approach will include the following tasks: Research and summarize other studies related to street deterioration and rehabilitation costs from pavement utility cuts and trenches; Determine a methodology to establish the impacts of utility cuts/trenches; Perform a comprehensive pavement analysis to determine the extent of damage to the City’s streets; Determine the loss of street life as a result of pavement cuts and determine the resultant rehabilitation costs; Develop an impact fee schedule relative to pavement cuts; Conduct a study workshop; Provide public outreach support; Prepare a study report; and As optional tasks, provide other options to generate additional fees, and/or draft language for changing and updating the City’s Municipal Code to implement a trench fee. Client Contact City of Anaheim Department of Public Works 200 South Anaheim Blvd Anaheim, CA 92805 Cesar Carrillo, PE Principal Civil Engineer (714) 765-5175 ccarrillo@anaheim.net Project Team Margot Yapp, PE Project Manager James Signore, PhD, PE QA/QC Manager Sharlan Dunn, PhD, EIT Project Engineer Mike Esposito Field Supervisor Rich LaValley Engineering Technician Page 26 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 16 Evaluation of Pavement Cuts (Regional Transportation Commission of Southern Nevada) NCE investigated the impacts of pavement cuts (from utilities as well as street maintenance) on streets within the Cities of Las Vegas, North Las Vegas, Henderson as well as Clark County. This project objective was to determine if there was an impact on pavements from the presence of pavement cuts, and if so, to quantify that impact and the costs for restoration. In this study, we performed the following: Reviewed and summarized other studies related to street deterioration and rehabilitation costs from pavement cuts Conducted a testing program to evaluate pavement sites in all agencies affected by cuts. This included deflection testing with a Falling Weight Deflectometer in order to assess the structural differences Performed a comprehensive pavement analysis to determine the extent of damage to County/City streets from pavement cuts Determined the loss of street life as a result of pavement cuts and rehabilitation costs Developed a fee schedule or methodology to recover rehabilitation costs and a fee schedule Recommended restoration procedures to mitigate the impacts of pavement cuts NCE’s general approach was to perform a structural evaluation using deflection testing. Once the results indicated that there were statistical differences present, a model was developed to predict the differences in maintenance and rehabilitation costs resulting from a pavement cut. As the results indicated in the figure to the left, pavements that were 11-15 years old were impacted greatest (as measured by the increase thickness of an asphalt concrete overlay) by the presence of utility cuts. Numerous presentations were made to RTC staff during and at the conclusion of this study. Client Contact Regional Transportation Commission of Southern Nevada 600 S. Grand Central Pkwy. Ste. 350 Las Vegas, NV 89106 Dante Bongolan Project Engineer (702) 676-1614 bongoland@rtcsnv.com Project Team Margot Yapp, PE Project Manager 0.0 0.5 1.0 1.5 2.0 2.5 3.0 0-5 years 6-10 years 11-15 years 16-20 years Pavement Age Δ A C O L ( a v e r a g e ) Page 27 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 17 Impact of Utility Cuts on Performance of Seattle Streets (City of Seattle) NCE was commissioned to perform a study to determine the impacts of utility cuts on street pavements by Seattle Transportation. The City experienced over 9000 new utility cuts every year, caused by a dozen private and public utilities. This study was to determine the extent of degradation and costs associated with maintenance repairs and rehabilitation due to the presence of utility cuts. Seattle had an extensive and well documented pavement management program, and almost a thousand sites were statistically analyzed to develop performance models. A structural approach using deflection testing was also used on select pavement sections. The following tasks were performed by NCE. Review of literature and City’s data sources Identification of candidate sections Statistical analysis of historical data from pavement management system data Structural approach using deflection testing Data analysis and model development Report preparation Presentations to City staff Impact of Utility Cuts on Performance of Street Pavements (City of Philadelphia) NCE was selected by the City of Philadelphia to determine the impacts of utility cuts on pavements and to develop a utility cut fee. An experiment design was developed that included pavements from different functional classifications, ages and surface types was developed. Then a combination of condition surveys and deflection testing was used to measure the accelerated deterioration in pavements. Finally, statistical analysis was performed to measure the effects of the utility cuts and the results were used to develop a fee schedule. The figure to the left illustrates the fact that highest deflections were obtained two feet away from the edge of the pavement cut. NCE worked with both the Public Works and Legal Departments during the development of the fee ordinance. Client Contact City of Seattle Department of Transportation 700 5th Ave, Suite 3800 Seattle, WA 98104 Susan Chu Senior Civil Engineer (206) 684-5310 susan.chu@seattle.gov Project Team Margot Yapp, PE Project Manager and Primary POC Client Contact City of Philadelphia Streets Department 1401 John F. Kennedy Blvd Philadelphia, PA 19102 John Cunningham Right of Way Manager (215) 686-5621 john.cunningham@phila.gov Project Team Margot Yapp, PE Project Manager and Primary POC James Signore, PhD, PE Senior Engineer 5 10 15 20 25 1 2 3Location of Testing Ma x i m u m D e f l e c t i o n , m i l s Series1 Page 28 of 901 City of Ukiah Trench Cut Fee Study and Implementation Services Opp No. 1145.01.55 Page | 18 Addendum NCE has checked the City’s website and acknowledges no addenda have been posted as of the due date of the proposal. Page 29 of 901 City of Ukiah Trench Cut Fee Study and Implementation Services Opp No. 1145.01.55 Page | 19 Exceptions NCE has reviewed the City of Ukiah Standard Contract provided as Attachment A to your request for proposal for Trench Cut Fee Study and Implementation Services. After careful consideration, we would appreciate the opportunity to discuss the changes noted below. The proposed indemnification changes are requested to meet the requirements of SB496. Contract Attachment A, Article Number, Name: Article 6, Indemnification, Subsection 6.2 Indemnification Proposed Change: Notwithstanding the foregoing insurance requirements, and in addition thereto, Consultant agrees, for the full period of time allowed by law, surviving the termination of this Agreement, to indemnify the City for any claim, cost or liability that arises out of, or pertains to, or relates to the extent caused by any negligent act or omission or the willful misconduct of Consultant and its agents in the performance of services under this contract, but this indemnity does not apply to liability for damages for death or bodily injury to persons, injury to property, or other loss, arising from the sole negligence, willful misconduct or defects in design by the City, or arising from the active negligence of the City. “Indemnify,” as used herein includes the reimbursing the apportioned expenses of defending against a claim and the payment of any settlement or judgment arising out of the claim. Defense costs include all costs associated with defending the claim, including, but not limited to, the fees of attorneys, investigators, consultants, experts and expert witnesses, and litigation expenses. In no event shall the cost to defend charged to the CONSULTANT exceed the CONSULTANT’s proportionate percentage of fault. References in this paragraph to City or Consultant, include their officers, employees, agents, and subcontractors. Contract Attachment A, Article Number, Name: Article 7, Contract Provisions, Subsection 7.8 Termination Proposed Change: This Agreement may only be terminated by either party: 1) for breach of the Agreement; 2) because funds are no longer available to pay Consultant for services provided under this Agreement; or 3) City has abandoned and does not wish to complete the project for which Consultant was retained. A party shall notify the other party of any alleged breach of the Agreement and of the action required to cure the breach. If the breaching party 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 Consultant. City shall pay the Consultant only for services performed and expenses incurred as of the effective termination date. In such event, as a condition to payment, Consultant shall provide to City all finished or unfinished documents, data, studies, surveys, drawings, maps, models, photographs and reports prepared by the Consultant under this Agreement. Consultant shall be entitled to receive just and equitable compensation for any work satisfactorily completed hereunder, subject to off-set for any direct or consequential damages City may incur as a result of Consultant's breach of contract. Insurance Requirements NCE currently complies with and will continue to meet the City’s insurance requirements as outlined in Attachment B, Insurance Requirements, to your request for proposal for Utility Trench Cut Fee Study and Implementation Services. Page 30 of 901 City of Ukiah Trench Cut Fee Study and Implementation Services Opp No. 1145.01.55 A Staff Resumes Page 31 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 21 Mei-Hui Lee, PhD, PE – Project Manager Dr. Mei-Hui Lee has a PhD in civil and pavement engineering and over 10 years of experience in pavement design, evaluation and maintenance projects. Currently, Dr. Lee serves as the Project Manager for the Cities of Sacramento and Pacifica on similar trench cut studies. She has also been responsible for numerous pavement management and design projects at NCE. Her clients include the Counties of Siskiyou, Mendocino, Lake, Trinity, Mariposa and Sacramento as well as multiple cities including Sacramento, Davis, Stockton, Elk Grove, Lincoln, Folsom, and Yuba. Dr. Lee is certified by the MTC inspector certification testing program. She was also involved in the Needs Assessment for the Rural Counties Task Force. Representative Projects Pavement Management System Updates Various Cities and Counties Project Engineer. Dr. Lee has been involved with updating Pavement Management Systems (PMS) for many Cities and Counties in the Bay Area, Central Valley, and outside of California. She is responsible for the analysis and quality control of pavement distress data collection, updating maintenance and rehabilitation decision trees and the treatment unit costs, and the development of budget scenarios and summary reports. She has developed cost-effective maintenance treatments and strategies, prepared custom multiple-year detailed street maintenance plans and budget option reports, and linked GIS maps with management sections in the client’s PMS database. Some of her current/past PMS clients include: Ada County, ID Amador City Amador County Belvedere Benicia Calistoga Chula Vista Clearlake City Concord Contra Costa County Davis East Bay Regional Park Districts Elk Grove Fairfax Folsom Hayward Airport Jackson Lake County Lakeport Madera County Mariposa County Marin County Mendocino COG (includes Ukiah) Monterey County Moraga Novato Oakland Placerville Pleasant Hill Plymouth Rio Vista Sacramento Sacramento County San Francisco San Rafael Santa Cruz Santa Rosa Siskiyou County South San Francisco Sonoma County St. Helena Trinity County University of California-Davis Vallejo Yuba City Yountville Education PhD, Civil Engineering, National Taiwan University, Taiwan, 2009 MS, Civil Engineering, Columbia University, New York, 2012 BS, Civil Engineering, National Taiwan University, Taiwan, 2002 Registrations/Certifications Professional Engineer – Civil, CA #87635 MTC StreetSaver® Rater Certification Program Affiliations American Society of Civil Engineers American Concrete Pavement Association Joined NCE 2014 Total Years of Experience 10 years Page 32 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 22 Utility Trench Cut Fee Study City of Sacramento, CA Project Manager. NCE is currently conducting a study to evaluate the impacts of utility cuts on the service life of pavements and to develop appropriate mitigation measures, including a fee schedule. A similar study was conducted by the City in 1996, and this project will update the findings. The methodology includes performing deflection testing on selected sites, developing a fee schedule and a presentation to Council on the results. Pavement Management System Update City of Sacramento, CA Senior Engineer. With over 3,000 lane-miles of streets, Sacramento owns and maintains the fifth largest street network in California. In 2016, the City converted to the StreetSaver® pavement management system software and needed results from an updated PMS in less than six weeks. NCE implemented an aggressive field data collection schedule to meet this goal. After the field data was collected, NCE developed maintenance strategies and performed multiple funding scenarios for each Council district. Finally, a report for City Council and the public was prepared, along with GIS maps. In 2020, NCE was selected again to provide pavement condition data collection and updating the Pavement Management Application (PMA). Pavement Management Program for Hayward Executive Airport (HEA) City of Hayward, CA Project Engineer. Scope included updating the PAVER™ pavement management system, which covers approximately 4.4 million square feet of airside pavements, performing condition surveys as per ASTM 5340, updating historical maintenance activities in the database, updating pavement strategies and unit costs, performing budgetary/funding analyses, linking PAVER™ database to CADD drawings, and preparing multi-year work plan. HEA, a former World War II fighter base, is home to 4,400 aircraft and is located on 543 acres with two parallel runways of 5,694 and 3,107 feet each. Pavement Management Peer Review County of Madera, CA Senior Engineer. Dr. Lee reviewed existing information for developing a pavement management program for the County. A summary of pavement inventory and date collection recommendations were summarized in the report. Based on summary information developed in this project, a draft scope of work for the County’s use in developing a request for proposal to implement a pavement management system was also developed. Page 33 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 23 Margot Yapp, PE – Principal-in-Charge Ms. Margot Yapp’s expertise in pavement studies, design and management lies in the intersection of research and implementation. The path began during Ms. Yapp’s senior year of college with her honors project and continued through research she conducted while obtaining her master’s degree. Mentored by a nationally known pavement engineer at the start of her career, Ms. Yapp met leading pavement researchers and learned practical aspects of applying research. She enjoys the fulfilling opportunities NCE provides, whether it’s helping colleagues with their professional development or affecting city and state transportation policies. Having worked with public agencies for more than 30 years — both as an employee and a consultant — Ms. Yapp understands the challenges public servants face, making her effective at providing recommendations and presentations. She is skilled at translating technical information to a succinct, understandable message, “particularly useful since policies need to be adopted by non-technical people.” Ms. Yapp has taught workshops on pavement management systems for the National Highway Institute and the Federal Highway Administration. Of particular interest to this project, is her experience working on numerous pavement impact studies caused by different truck traffic as well as those from utility cuts. She has used a variety of rigorous technical approaches to determine these impacts such as: Development of an experiment design to ensure that all variables affecting pavement impacts are included Rigorous statistical analyses to ensure that results and conclusions are significant Pavement structural analysis, including the use of deflection testing Pavement condition analysis, employing the use of pavement management data In each case, the appropriate technical approach was selected depending on the type of study and the data available. Representative Projects Pavement Management System Update and GIS Linkage Mendocino Council of Governments, Ukiah, CA Project Manager. This project was included in MCOG’s 2016/17 Overall Work Program to provide for updates to the Pavement Management Programs for the County of Mendocino and the Cities of Ukiah, Fort Bragg, Willits and Point Arena utilizing the StreetSaver® program. This included conducting condition surveys and updating databases for the 773 miles of streets and roads within the County and city systems. In addition, each agency’s GIS linkage was revised as appropriate for compatibility with the updated survey data. Reports on the conditions, needs, and budget scenarios were included as well. Training on use of the StreetSaver® program for local agency staff was also part of the project. Use of the program varied among the agencies. Some utilized the program as a preventive maintenance programming tool and have performed in-house pavement condition surveys, while others did not fully utilize the program or entered new data. NCE has completed MCOG’s PMP updates and GIS linkages four times since 2001. Education MS, Civil Engineering, Oregon State University, Corvallis, 1987 BS, Civil Engineering, Oregon State University, Corvallis, 1985 BS, Forest Engineering, Oregon State University, Corvallis, 1985 Registrations/Certifications Professional Engineer – Civil, CA, #45027 Affiliations American Society of Civil Engineers American Public Works Association TRB Subcommittee A2B01 – Local Agency Pavement Management Joined NCE 1994 Total Years of Experience 30 years Page 34 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 24 Utility Trench Cut Fee Study City of Sacramento, CA Project Manager. NCE is currently conducting a study to evaluate the impacts of utility cuts on the service life of pavements and to develop appropriate mitigation measures, including a fee schedule. A similar study was conducted by the City in 1996, and this project will update the findings. The methodology includes performing deflection testing on selected sites, developing a fee schedule and a presentation to Council on the results. Trench Cut Fee Study City of Anaheim, CA Project Manager. NCE was selected by the City of Anaheim to provide a Trench Cut Fee Study for the City's streets. The City is looking into ways to recover both its direct and indirect costs through fees, and desires to evaluate the impact of pavement cuts on the structural integrity of asphalt concrete streets. The City owns and maintains approximately 581.73 centerline miles of pavements, which includes 156.57 centerline miles of the Master Plan of Arterial Highways (MPAH) streets (AHS network) and 425.16 miles of local streets (LSS network). NCE's responsibilities will include a Preliminary Study Report (PSR), Study Workshop, Final Study Report, as well as providing Outreach and Coordination (Council and Fee Workshops, study development meetings, and public meetings). Impact of Utility Cuts on Performance of Seattle Streets City of Seattle, WA Project Manager. NCE was commissioned to perform a study to determine the impacts of utility cuts on street pavements by Seattle Transportation. This study was to determine the extent of degradation and costs associated with the presence of utility cuts. This study utilized the methodology that was also adopted by many other cities around the U.S. and has been cited by APWA and many other publications related to the impacts of utility cuts. Impact of Utility Cuts on Performance of Street Pavements City of Philadelphia, PA Principal. NCE was selected by the City of Philadelphia to determine the impacts of utility cuts on pavements and to develop a utility cut fee. An experiment design was developed that included pavements from different functional classifications, ages and surface types was developed. Then a combination of condition surveys and deflection testing was used to measure the accelerated deterioration in pavements. Finally, statistical analysis was performed to measure the effects of the utility cuts and the results were used to develop a fee schedule. Evaluation of Pavement Cuts Regional Transportation Commission (RTC) of Southern Nevada, Las Vegas, NV Project Manager. NCE investigated the impacts of pavement cuts (from utilities as well as street maintenance) on streets within the Cities of Las Vegas, North Las Vegas, Henderson as well as Clark County. This project objective was to determine if there was an impact on pavements from the presence of pavement cuts, and if so, to quantify that impact and the costs for restoration. Impact of Utility Repairs on Performance of Street Pavements Cities of Santa Rosa, Chico, Bishop, CA and Salem, OR Project Manager. Similar utility cut studies were performed for the Cities of Santa Rosa, Chico, Bishop and Salem. Deflection testing was utilized to determine the impacts of utility cuts, and fee schedules were developed. The cities did not possess historical data and no PMS data were available, therefore, deflection testing was the only approach available. Page 35 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 25 James Signore, PhD, PE – Quality Control Manager James M. Signore, PhD, PE, specializes in pavement design and evaluation, rehabilitation and maintenance, materials assessment, and training. He has experience in designing pavements for many local agencies, Caltrans and for heavy vehicle loading applications at airfields and ports. He has spent years researching all types of pavement materials, having directed a state-of-the-art AMRL certified and Superpave mix design equipped research laboratory and is well versed in state and local pavement practices and specifications. Dr. Signore has taught NHI’s and ASCE’s “Techniques for Pavement Rehabilitation” (including best practices for utility cuts and patches) seminars to practicing engineers for 20 years. He taught graduate courses in pavement engineering at San Jose State University and many of his former students are civil engineers at local agencies. He uses his practical and research experience, technical knowledge and teaching skills to develop an understanding of client needs and the creation of design and rehabilitation strategies that offer the client agency the leading-edge in methods and materials for their pavements. Dr. Signore is a Member of the Transportation Research Board Committee AFD70, Pavement Rehabilitation, AFD70-1, Pavement Interlayer Systems and the FAA Airport Pavement Technical Working Group. Dr. Signore has worked on several pavement impact studies caused by different truck traffic as well as those from utility cuts e.g. City of Philadelphia. He has used a variety of rigorous technical approaches to determine these impacts such as: Development of an experiment design to ensure that all variables affecting pavement impacts are included Rigorous statistical analyses to ensure that results and conclusions are significant Pavement structural analysis, including the use of deflection testing Pavement condition analysis, employing the use of pavement management data In each case, the appropriate technical approach was selected depending on the type of study and the data available. Representative Projects Pavement Management System Update City of Sacramento, CA QC Manager. With over 3,000 lane-miles of streets, Sacramento owns and maintains the fifth largest street network in California. In 2016, the City converted to the StreetSaver® pavement management system software and needed results from an updated PMS in less than six weeks. NCE implemented an aggressive field data collection schedule to meet this goal. After the field data was collected, NCE developed maintenance strategies and performed multiple funding scenarios for each Council district. Finally, a report for City Council and the public was prepared, along with GIS maps. In 2020, NCE was selected again to provide pavement condition data collection and updating the Pavement Management Application (PMA). Education PhD, Civil Engineering, University of Illinois, Urbana-Champaign, 1998 MS, Civil Engineering, University of Illinois – Urbana-Champaign, 1994 BS, Electrical Engineering, Clarkson University, 1985 Registrations/Certifications Professional Engineer – Civil, CA, #62647 Affiliations TRB Committee AFD70, Pavement Rehabilitation TRB Committee AFD70-1, Pavement Interlayer Systems ASCE Airfield Pavement Committee FAA Pavement Technical Working Group American Society of Civil Engineers Joined NCE 2014 Total Years of Experience 25 years Page 36 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 26 Trench Cut Fee Study City of Anaheim, CA QC Manager. NCE was selected by the City of Anaheim to provide a Trench Cut Fee Study for the City's streets. The City is looking into ways to recover both its direct and indirect costs through fees, and desires to evaluate the impact of pavement cuts on the structural integrity of asphalt concrete streets. The City owns and maintains approximately 581.73 centerline miles of pavements, which includes 156.57 centerline miles of the Master Plan of Arterial Highways (MPAH) streets (AHS network) and 425.16 miles of local streets (LSS network). NCE's responsibilities will include a Preliminary Study Report (PSR), Study Workshop, Final Study Report, as well as providing Outreach and Coordination (Council and Fee Workshops, study development meetings, and public meetings). Impact of Utility Cuts on Performance of Street Pavements City of Philadelphia, PA Project Manager, Senior Engineer. NCE was selected by the City of Philadelphia to determine the impacts of utility cuts on pavements and to develop a utility cut fee. An experiment design was developed that included pavements from different functional classifications, ages and surface types was developed. Then a combination of condition surveys and deflection testing was used to measure the accelerated deterioration in pavements. Finally, statistical analysis was performed to measure the effects of the utility cuts and the results were used to develop a fee schedule. On-Call Pavement Engineering California Department of Transportation, Statewide, CA Project Manager 2015-2022. Dr. Signore manages the pavement on-call contract with Caltrans and is responsible for all contractual and project management activities. Major task orders emphasize asphalt and concrete pavement performance and evaluation for all types of pavement issues such as a comparison of ARHM and conventional HMA performance, HMA smoothness specifications, and polyester inlay materials evaluation. He provided technical guidance on the selection and testing of joint filler and spall repair materials and acted as a construction methods assessor on the installation of precast concrete slabs. He wrote, reviewed, or edited numerous interim and final reports including those dealing with continuously reinforced concrete, rapid set concrete, concrete inlay hardeners, and concrete flexural strength. Pavement Management Systems Various Cities and Counties QC Manager. Dr. Signore has been responsible for quality control for Pavement Management Systems (PMS) updates for many cities and counties in California. He is responsible for the quality control of data and responsible for spot checks on the field crews during the pavement condition surveys. Some of his clients include: Aliso Viejo Buena Park Burbank Carson Dana Point Davis Downey Elk Grove Folsom Garden Grove Hayward Airport La Mirada Lemon Grove Madera County Newport Beach Orange Pico Rivera San Francisco San Francisco Airport Santa Clarita Santa Monica Siskiyou County Sonoma County South San Francisco Southgate Stanton Thousand Oaks West Covina Yorba Linda Yuba City Page 37 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 27 Sharlan Dunn, PhD, EIT – Project Engineer Dr. Dunn joined NCE as a project engineer in 2018 after graduating from Purdue University with a PhD in civil engineering with an emphasis in pavement management and pavement materials. She has extensive research and design experience in pavement design, management, and materials. She currently serves as a project engineer for pavement management, maintenance, rehabilitation, design, and planning projects. Representative Projects Utility Trench Cut Fee Study City of Sacramento, CA Project Manager. NCE is currently conducting a study to evaluate the impacts of utility cuts on the service life of pavements and to develop appropriate mitigation measures, including a fee schedule. A similar study was conducted by the City in 1996, and this project will update the findings. The methodology includes performing deflection testing on selected sites, developing a fee schedule and a presentation to Council on the results. Trench Cut Fee Study City of Anaheim, CA Project Engineer. NCE was selected by the City of Anaheim to provide a Trench Cut Fee Study for the City's streets. The City is looking into ways to recover both its direct and indirect costs through fees, and desires to evaluate the impact of pavement cuts on the structural integrity of asphalt concrete streets. The City owns and maintains approximately 581.73 centerline miles of pavements, which includes 156.57 centerline miles of the Master Plan of Arterial Highways (MPAH) streets (AHS network) and 425.16 miles of local streets (LSS network). NCE's responsibilities will include a Preliminary Study Report (PSR), Study Workshop, Final Study Report, as well as providing Outreach and Coordination (Council and Fee Workshops, study development meetings, and public meetings). Springville Street Cut Fee Schedule City of Springville, UT Graduate Research Assistant. Dr. Dunn aided in the development of a fee schedule for street cuts based on functional classification, pavement age, and age at the time of cut. She was responsible for distress evaluations, roughness measurements, falling-weight deflectometer testing, and data analysis. Valley View Avenue Rehabilitation Project City of La Mirada, CA Project Engineer. NCE provided pavement evaluation and design services of Valley View Avenue, a highly traveled commercial corridor nearly a mile long with heavily deteriorated pavement. A pavement condition survey was conducted with distresses identified along with areas for potential base repairs. Coring, sampling and laboratory testing was performed, and a pavement design and soils investigation report were prepared and included potential treatments with a focus on sustainable treatments and cost saving measures. Technical specifications were provided. Education PhD, Civil Engineering, Purdue University, 2018 Registrations/Certifications Engineer-in-Training (EIT) MTC StreetSaver® Rater Certification Program Affiliations American Society of Civil Engineers Joined NCE 2018 Total Years of Experience 5 years Page 38 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 28 Pavement Management System Development and Updates Various Cities and Counties, CA Project Engineer. Dr. Dunn has been involved in developing and updating pavement management system (PMS) plans for several cities and counties in California and Washington. She has been responsible for pavement distress data collection, analysis and quality control; updated maintenance and rehabilitation decision trees and treatment unit costs; performed multiple-year budget scenario analyses; and prepared summary reports. Some of her current/past clients include: Alameda County Calaveras County Campbell Davis Elk Grove Fresno COG Madera County Marin County Monterey County Oakland Sacramento Sacramento County Sacramento International Airport Santa Cruz County San Francisco San Francisco International Airport Seaside Siskiyou County Sonoma County SFO On-Call Pavement Engineering San Francisco International Airport, CA Project Engineer. Dr. Dunn has been involved in a variety of field investigation and design work at the San Francisco Airport. These include pavement evaluation of Runway 1L-19R, and Boarding Areas A and B, and evaluation and design of Taxiway B 3 and 4. These projects have involved a variety of destructive and non- destructive testing (such as coring, deflection testing, and ground penetrating radar testing) and complex analyses and design using back calculation and FAA design software. Broadway and Parkside Rehabilitation City of Walnut Creek, CA Project Engineer. This project included rehabilitation recommendations for approximately two miles of arterial streets that exhibited a variety of distresses ranging from minor to severe failure mechanisms. Pavement design tasks included pavement condition surveys, coring, non-destructive pavement deflection testing, design, and base repair location identification. NCE also provided civil design services for these street sections. Based on structural analyses and constructability issues, the recommended treatments included primarily traditional mill and overlay with base repairs with some portions of surface reconstruction. Presidio Trust Pavement Rehabilitation and Maintenance Presidio Trust, San Francisco, CA Project Engineer. This project included pavement and civil design services for 33 street sections and five parking lots within the Presidio Trust to extend pavement life and provide improved access and service for visitors and the local community. Together these streets constitute approximately seven centerline miles of pavement. Pavement design services involved a pavement condition survey, coring, laboratory testing, and pavement design per the Caltrans Highway Design Manual. Treatment recommendations considered budget constraints, constructability, street condition, grade constraints, pavement defects, pavement layer thicknesses, fabric depth, and cost effectiveness and included traditional rehabilitation methods as well as green treatments such as cold-in-place recycling. The green treatments not only minimized material off haul, but also minimized the construction time and inconvenience to visitors and residents. Page 39 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 29 Mike Esposito – Field Supervisor Since joining the firm in 1994, Mr. Mike Esposito has grown with the company and performs several functions essential to NCE and its clients. He has supervised and conducted transportation asset management on numerous projects throughout Northern Nevada and California. Also, during the past seven years, Mr. Esposito has performed the duties of Field Operations Supervisor for the FHWA Long-Term Pavement Performance (LTPP) regional contract, responsible for hiring and training technical staff, ensuring safety procedures and scheduling road testing as much as a year in advance. Representative Projects Trench Cut Fee Study City of Anaheim, CA Field Supervisor. NCE was selected by the City of Anaheim to provide a Trench Cut Fee Study for the City's streets. The City is looking into ways to recover both its direct and indirect costs through fees, and desires to evaluate the impact of pavement cuts on the structural integrity of asphalt concrete streets. The City owns and maintains approximately 581.73 centerline miles of pavements, which includes 156.57 centerline miles of the Master Plan of Arterial Highways (MPAH) streets (AHS network) and 425.16 miles of local streets (LSS network). NCE's responsibilities will include a Preliminary Study Report (PSR), Study Workshop, Final Study Report, as well as providing Outreach and Coordination (Council and Fee Workshops, study development meetings, and public meetings). Grade Separation Haul Road Evaluation and Rehabilitation City of Montebello, CA Field Supervisor. NCE is providing pavement evaluation and rehabilitation design for four streets, including a major arterial that is being used as a haul route for the construction of a new grade separation project in Montebello for the San Gabriel Valley Council of Government (formerly the Alameda Corridor East) and the City of Montebello. NCE performed a field inspection to determine current distresses and pavement condition and conducted deflection testing using our Dynatest Model 8000 FWD. Pavement cores and bulk samples of the subgrade were also obtained for laboratory testing, including R-values. In addition, dynamic cone penetrometer testing was performed at every core hole in accordance with ASTM D6951. The results were used to prepare pavement designs. Bridgeport Streets Rehabilitation City of Bridgeport, CA Technician. The project included pavement rehabilitation for three miles of roadways in Bridgeport, CA. NCE’s services included completion of a pavement condition survey, coring, non-destructive FWD testing, pavement design and soils investigation, curb, gutter, sidewalk and surface drainage condition survey, PS&Es and bidding services. Project duties included existing conditions analysis, coordination of coring activities and condition survey activities, pavement design, design recommendations and preparation of the pavement design and soils investigation report. Education Truckee Meadows Community College Fayetteville Technical Community College General Construction Equipment School Joined NCE 1994 Total Years of Experience 24 years Page 40 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 30 Pavement Engineering On-Call Services San Francisco International Airport (SFIA), San Francisco, CA Field Technician. The scope included collecting pavement distress data for both airside and landside pavements as per ASTM D5340 and D6433, respectively. A semi-automated vehicle was used to collect data on the runways and taxiways with walking surveys used on the aprons. Mr. Esposito updated SFIA’s PAVER™ PMS and submitted reports to the Federal Aviation Administration, determined the ACN/PCN for runways and taxiways and performed deflection testing and pavement designs (FAARFIELD) for Runways 1L/19R, Taxiways E, F and L. 2010-2015 Pavement Condition Data Collection RTC of Washoe County, NV Lead Technician. This project involved collecting pavement condition survey data on the regional road network. NCE has collected data annually on over 160 centerline miles of roadway identified in RTC’s Regional Transportation Plan (approximately 1,870 sample units are inspected each year). NCE’s services included updating pavement management databases for Washoe County, City of Reno and City of Sparks, as well as performing QC/QA activities on the data. 2012-2014 Pavement Condition Data Collection Washoe County, NV Lead Technician. This project involved collecting pavement condition survey data on the County’s roadway and parking lot networks, including inspecting approximately 3,000 sample units every year. NCE’s services included coordinating with the County, collecting data, QC/QA, updating the management system, developing GIS shapefiles and linking those to the management system. This work also included establishing new sample units, and identifying unrecorded maintenance activities. 2011-2014 Pavement Condition Data Collection City of Sparks, NV Lead Technician. This project involved collecting pavement condition survey data on the City’s roadway network, as well as their regional bike and pedestrian trails, including inspecting approximately 1,000 sample units every year. NCE’s services included coordinating with the City, collecting data, QC/QA and updating the management system. This work also included establishing new sample units and identifying unrecorded maintenance activities. Long Term Pavement Performance Federal Highway Administration, Western Regional States Field Operations Supervisor. The project involved scheduling of all field activities, roadway evaluations, field materials sampling and coordination of with agencies to receive maintenance information that has occurred on over 500 roadway segments across 14 Highway Agencies in the Western US. The field monitoring activities included materials sampling, falling weight deflectometer, pavement condition surveys, profile, environmental, global positioning measurements and dynamic cone penetrometer. Asphalt Research Consortium Pavement Data Collection Western Research Institute, Nationwide Project Manager/Technician. NCE provides data collect services for the Western Research Institute (WRI) as part of a national study of in-service pavements. This study is part of the Asphalt Research Consortium (ARC). NCE has collected pavement condition data, provided construction documentation services and coring on these sites located across the U.S. Page 41 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 31 Rich LaValley – Engineering Technician As an Engineering Technician, Mr. Rich LaValley has been performing Falling Weight Deflectometer (FWD) operations in all the Western States and can verify and analyzing FWD and Deflection data. He has been accredited by the FHWA as a Distress Rater for 21 years and as a Seasonal Monitoring Technician for five years. Other duties include Transverse Profile and Distress testing and performing downloads of Seasonal data. Mr. LaValley has vital expertise with the care and maintenance of the FWD equipment and is responsible for the vehicle and all testing equipment in the field. During Distress monitoring, he notes damage to roads and structures, including markings and signs and reports to appropriate agencies when attention is required. Mr. LaValley also performs pavement materials sampling (i.e., coring) at locations across the Western U.S. His extensive experience in the field with different kinds of asphalt and concrete surfaces allows him to work independently and efficiently. In 14 years of field data collection, Mr. LaValley has tested over 28,000 test points using the standard FHWA 12 and 16 drop test setups (the equivalent of 300,000 test drops). He has participated in 15 FHWA certified reference calibrations at Dynatest’s facility in Starke, Florida, A & M’s facility in College Station, Texas, Denver, Colorado and UC Davis. He has been involved in the comprehensive overhaul of two Dynatest 8000 Falling Weight Deflectometers, having collaborated with Dynatest in performing FHWA sponsored yearly maintenance on both FHWA and NCE privately owned FWD Representative Projects Trench Cut Fee Study City of Anaheim, CA Engineering Technician. NCE was selected by the City of Anaheim to provide a Trench Cut Fee Study for the City's streets. The City is looking into ways to recover both its direct and indirect costs through fees, and desires to evaluate the impact of pavement cuts on the structural integrity of asphalt concrete streets. The City owns and maintains approximately 581.73 centerline miles of pavements, which includes 156.57 centerline miles of the Master Plan of Arterial Highways (MPAH) streets (AHS network) and 425.16 miles of local streets (LSS network). NCE's responsibilities will include a Preliminary Study Report (PSR), Study Workshop, Final Study Report, as well as providing Outreach and Coordination (Council and Fee Workshops, study development meetings, and public meetings). Grade Separation Haul Road Evaluation and Rehabilitation City of Montebello, CA Engineering Technician. NCE is providing pavement evaluation and rehabilitation design for four streets, including a major arterial that is being used as a haul route for the construction of a new grade separation project in Montebello for the San Gabriel Valley Council of Government (formerly the Alameda Corridor East) and the City of Montebello. NCE performed a field inspection to determine current distresses and pavement condition and conducted deflection testing using our Dynatest Model 8000 FWD. Pavement cores and bulk samples of the subgrade were also obtained for laboratory testing, including R-values. In addition, dynamic cone penetrometer testing was performed at every core hole in accordance with ASTM D6951. The results were used to prepare pavement designs. Education University of Nevada – Reno, NV 1984-1988 Joined NCE 1998 Total Years of Experience 22 years Page 42 of 901 City of Ukiah Utility Trench Cut Fee Study and Implementation Services October 29, 2020 Page | 32 Long Term Pavement Program Nationwide Rich has more than 21 years of experience with data collection on the Long-Term Pavement Performance (LTPP) project. This federal project has test sites in every state and province. NCE, as the Western Region Support Contractor, has several accredited raters, including Rich, who has measured distress at hundreds of sections over the Western United States and operated profile measurement equipment and participated in forensic activities. In the field and at home, he is responsible for all equipment calibrations and maintenance, daily logs and reports, and verification of reliable data. San Francisco International Airport (SFIA) Pavement Engineering On-Call Services City and County of San Francisco, CA Engineering Technician. The scope included collecting pavement distress data for both airside and landside pavements as per ASTM D5340 and D6433, respectively. A semi-automated vehicle was used to collect data on the runways and taxiways with walking surveys used on the aprons. Updated SFIA’s PAVER™ PMS and submitted reports to the Federal Aviation Administration. Determining the ACN/PCN for runways and taxiways, and performed deflection testing and pavement designs (FAARFIELD) for Runways 1L/19R, Taxiways E, F, and L. Inyo County Pavement Management Program Inyo County, CA Engineering Technician. The scope included developing the inventory and condition information for the paved roads, approximately 550 centerline miles Inyo County and City of Bishop, conducting annual manual condition data collection using PAVER software and ASTM D6433 standards, ensuring a rigorous and extensive QC program, determining traffic volume (average daily traffic) data at 20 locations in Bishop, predicting the future pavement condition of the paved network, determining impacts of multiple budget/funding scenarios on future roadway conditions, performing 20-year and 5-year work planning analysis and integrating the PMS database with the County and City’s GIS. Virginia Street Bus RAPID Transit Extension RTC of Washoe County, NV Technician. NCE prepared the environmental document, preliminary and final engineering design of the Virginia Street Bus RAPID Transit Extension project that increases mobility and safety along the corridor. The project includes the extension of RTC RAPID service from the 4th Street Station to the University of Nevada, Reno with new transit stations, roadway reconstruction, intersection and signal modifications, landscaping and aesthetics, pedestrian improvements and lighting, bicycle improvements, parking and access management, utility relocations, and drainage improvements. Rich supported assessments of multiple side streets in the Virginia Street corridor, included performing FWD testing. Pavement Condition Data Collection (2010, 2012, and 2013-2020) Regional Transportation Commission (RTC) of Washoe County, NV Technician. This project involves collecting pavement condition survey data on the regional road network. NCE is scheduled to collect data on over 160 centerline miles of roadway identified in RTC’s Regional Transportation Plan (approximately 1,870 sample units will be inspected). NCE’s services include updating pavement management databases for Washoe County, City of Reno, and City of Sparks as well as performing QC/QA activities on the data. Page 43 of 901 Collaboration. Commitment. Confidence. www.ncenet.com Page 44 of 901 Page 45 of 901 AGENDA ITEM 5a Page 1 of 2 CITY OF UKIAH CITY COUNCIL MINUTES Special Meeting Virtual Meeting Link: https://zoom.us/j/97199426600 Ukiah, CA 95482 February 2, 2022 6:00 p.m. 1. ROLL CALL AND PLEDGE OF ALLEGIANCE Ukiah City Council met at a Special Meeting on February 2, 2022, having been legally noticed on January 28, 2022. The meeting was held virtually at the following link: https://zoom.us/j/97199426600. Mayor Brown called the meeting to order at 4:31 p.m. Roll was taken with the following Councilmembers Present: Juan V. Orozco, Douglas, F. Crane, Mari Rodin, Josefina Dueňas (arriving at 4:50 p.m.), and Jim O. Brown. Staff Present: Sage Sangiacomo, City Manager; David Rapport, City Attorney; and Kristine Lawler, City Clerk. MAYOR BROWN PRESIDING. 2. AUDIENCE COMMENTS ON NON-AGENDA ITEMS No public comment was given. 3. CLOSED SESSION a. Conference with Legal Counsel – Anticipated Litigation (Government Code Section 54956.9(d)(2 & 3)) Significant exposure to litigation pursuant to Government Code Section 54956.9(d)(2)(Number of potential cases: 1) b. Conference with Legal Counsel – Anticipated Litigation (Government Code Section 54956.9(d)(2)or(3)) Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9: (1 potential case, involving possible termination of construction contract for cause) c. Conference with Legal Counsel – Anticipated Litigation (Government Code Section 54956.9(d)(1)) Name of case: Vichy Springs Resort v. City of Ukiah, Et Al; Case No. SCUK-CVPT-2018-70200 d. Conference with Legal Counsel – Existing Litigation (Government Code Section 54956.9(d)(1)) Name of case: Vichy Springs Resort v. City of Ukiah, Et Al; Case No. SCUK-CVPT-20-74612 e. 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 f. Conference with Legal Counsel – Existing Litigation (Cal. Gov’t Code Section 54956.9(d)(1)) Name of case: Siderakis v. Ukiah, et al, Mendocino County Superior Court, Case No. 21CV00603 Page 46 of 901 City Council Minutes for February 2, 2022, Special Meeting, Continued: Page 2 of 2 g. Conference with Legal Counsel – Existing Litigation (Government Code Section 54956.9(d)(1)) Name of case: Gerardo Magdaleno, by and through his Guardian Ad Litem, Pedro Francisco Magdaleno v. City of Ukiah, Justin Wyatt (Fed. Dist. Ct. N.D. Cal.) 3:21-2609 VC. h. Conference with Real Property Negotiators (Cal. Gov’t Code Section 54956.8) Property: APN Nos: 157-050-03, 157-060-02, 157-050-04, 157-050-03, 157-030-02, 157-050- 01, 157-050-02, 157-050-10, 157-050-09, 157- 070-01, 157-070-02, 003-190-01 Negotiator: Sage Sangiacomo, City Manager; Negotiating Parties: Dave Hull and Ric Piffero Under Negotiation: Price & Terms of Payment i. Conference with Labor Negotiator (54957.6) Agency Representative: Sage Sangiacomo, City Manager Employee Organizations: All Bargaining Units No action reported. 5. ADJOURNMENT There being no further business, the meeting adjourned at 5:30 p.m. ________________________________ Kristine Lawler, City Clerk/CMC Page 47 of 901 AGENDA ITEM 5b Page 1 of 6 CITY OF UKIAH CITY COUNCIL MINUTES Regular Meeting Virtual Meeting Link: https://zoom.us/j/97199426600 Ukiah, CA 95482 February 2, 2022 6:00 p.m. 1. ROLL CALL Ukiah City Council met at a Regular Meeting on February 2, 2022, having been legally noticed on January 28, 2022. The meeting was held virtually at the following link: https://zoom.us/j/97199426600. Mayor Brown called the meeting to order at 6:09 p.m. Roll was taken with the following Councilmembers Present: Juan V. Orozco, Douglas, F. Crane, Mari Rodin, Josefina Dueňas, and Jim O. Brown. Staff Present: Shannon Riley, Deputy City Manager; Sage Sangiacomo, City Manager; David Rapport, City Attorney; and Kristine Lawler, City Clerk. MAYOR BROWN PRESIDING. 2.PLEDGE OF ALLEGIANCE The Pledge of Allegiance was led by Councilmember Rodin. 8. AUDIENCE COMMENTS ON NON-AGENDA ITEMS No public comment received. 3.PROCLAMATIONS/INTRODUCTIONS/PRESENTATIONS a.Proclamation Recognizing February 2022, as Black History Month in the City of Ukiah. Presenter: Mayor Brown. Proclamation was received by Corinne Jones, Diversity and Committee Member. b.2021/2022 Ukiah On Ice Presentation and Sponsor Appreciation. Presenter: Jake Burgess, Community Services Supervisor. Report was received. c.Introduction of Electric Utility Director Cindy Sauers. Presenter: Shannon Riley, Deputy City Manager. Introduction was received. 4.PETITIONS AND COMMUNICATIONS 5.APPROVAL OF MINUTES a.Approval of the Minutes for the January 19, 2022, Regular Meeting. Motion/Second: Orozco/Rodin to approve Minutes of January 19, 2022, a reguarl meeting, as submitted. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. Page 48 of 901 City Council Minutes for February 2, 2022, Continued: Page 2 of 6 6. RIGHT TO APPEAL DECISION 7. CONSENT CALENDAR Staff Comment: Doug Hutchison, Fire Chief. a. Report of Disbursements for the Month of December 2021 - Finance. b. Adoption of Ordinance Amending Article 1 of Division 1, Chapter 4 of the Ukiah City Code to Reform the Paths, Open Space, and Creeks Commission and the Parks, Recreation and Golf Commission into the Public Spaces Commission – Community Services. ORDINANCE NO. 1219 ORDINANCE OF THE CITY COUNCIL OF THE CITY OF UKIAH AMENDING ARTICLE 1 AND REPEALING ARTICLE 1B FROM DIVISION 1, CHAPTER 4 OF THE CITY CODE TO ESTABLISH THE PUBLIC SPACES COMMISSION. c. Report of Emergency Purchase Order #47685 Issued to Wipf Construction LLC for the Water Resources Department in the Amount of $38,500 to Replace Two Check Valves that Failed and Approve a Budget Amendment for Expenses in the 2021/2022 Fiscal Year Related to Equipment Maintenance and Repair using Water Resources Reserve Funds – Water Resources. d. Award of Professional Services Agreement (COU No. 2122-174) to On Duty Health for Annual National Fire Protection Association (NFPA) Compliant Physical Exams and Screenings for Fire Authority Staff in the Amount of $28,415.48 - Fire. Motion/Second: Rodin/Orozco to approve Consent Calendar Items 7a-d, with 7d approved as amended. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. Note: Agenda Item 8 was heard directly after roll call. 9. COUNCIL REPORTS Presenters: Mayor Brown and Councilmember Crane (spoke during City Manager reports) 10. CITY MANAGER/CITY CLERK REPORTS Presenters: General Plan Update – Craig Schlatter, Community Development Director. Clean CA Grant Application – Shannon Riley, Deputy City Manager. 11. PUBLIC HEARINGS (6:15 PM) a. The Ukiah City Council Will Receive a Financial Report of the Electric Utility and Consider Adoption of the Proposed Electric Rate Adjustments and Create a 100% Green Energy Rate by Resolution. Presenters: Cindy Sauers, Electric Utility Director; Mel Grandi, Retired Electric Utility Director; and Boris Prokop, Borismetrics. PUBLIC HEARING OPENED AT 7:20 P.M. No public comment was received. PUBLIC HEARING CLOSED AT 7:22 P.M. Page 49 of 901 City Council Minutes for February 2, 2022, Continued: Page 3 of 6 Motion/Second: Rodin/Crane to approve the proposed electric rate adjustments and create a 100% Green Energy Rate by Resolution (2022-08). Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. b. Conduct a Public Hearing and Consider Adopting Respective Resolutions Authorizing Lease Revenue Bonds, Series 2022 to Renovate the City Corporation Yard and Construct Improvements to Various City Streets (This item was continued from January 19, 2022.) Presenter: Dan Buffalo, Finance Director. PUBLIC HEARING OPENED AT 7:55 P.M. No public comment was received. PUBLIC HEARING CLOSED AT 7:56 P.M. Motion/Second: Rodin/Crane to adopt resolution (2022-09) authorizing the issuance of lease revenue bonds and authorizing the City Manager to execute all related documents (including following agreement nos: COU No. 2122-175 – Site Lease; 2122-176 – Lease Agreement; 2122-177 – Indenture of Trust; 2122-178 – Assignment Agreement; 09 2122-179 – Bond Purchase Agreement) for the renovation of the City Corporation Yard and improvements to various City streets. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. THE CITY COUNCIL ADJOURNED TO THE UKIAH PUBLIC FINANCING AUTHORITY MEETING AT 8:06 P.M. UKIAH PUBLIC FINANCING AUTHORITY 1. ROLL CALL The Ukiah Financing Authority met at a Special Meeting on February 2, 2022, having been legally noticed on January 28, 2022. Chair Brown called the meeting to order at 8:07 p.m. Roll was taken with the following Members Present: Juan V. Orozco, Douglas, F. Crane, Mari Rodin, Josefina Dueňas, and Jim O. Brown. Staff Present: Sage Sangiacomo, City Manager; David Rapport, City Attorney; and Kristine Lawler, Public Financing Authority Secretary. CHAIR BROWN PRESIDING. RECESS: 8:07 – 8:20 P.M. 2. AUDIENCE COMMENTS ON NON-AGENDA ITEMS No public comment was received. 3. APPROVAL OF MINUTES a. Approval of the Minutes for the September 30, 2020; December 15, 2021; and January 19, 2022, Special Meetings. Motion/Second: Crane/Orozco to approve the minutes for the September 30, 2020; December 15, 2021; and January 19, 2022, Special Meetings, as submitted. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. Page 50 of 901 City Council Minutes for February 2, 2022, Continued: Page 4 of 6 4. UNFINISHED BUSINESS b. Consider Adopting Respective Resolutions Authorizing Lease Revenue Bonds, Series 2022 to Renovate the City Corporation Yard and Construct Improvements to Various City Streets. Presenter: Dan Buffalo, Finance Director. Motion/Second: Crane/Rodin to approve and adopt the attached resolution (PFA Reso 2202-01) authorizing the issuance of lease revenue bonds and City management to execute all related documents for the renovation of the City Corporation Yard and improvements to various city streets. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. 5. ADJOURNMENT There being no further business, the meeting adjourned at 8:26 p.m. THE CITY COUNCIL RECONVENED THE REGULAR MEETING AT 8:26 P.M. 12. UNFINISHED BUSINESS a. Possible Introduction By Title Only of Ordinance Restricting the Retail Sale of Nitrous Oxide. Presenter: Darcy Vaughn, Assistant City Attorney. Public Comment: Mike Hausberger. Motion/Second: Rodin/Duenas to introduce the Ordinance by title only. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. City Clerk, Kristine Lawler, read the following title into the record: ORDINANCE OF THE CITY COUNCIL OF THE CITY OF UKIAH ADDING ARTICLE 7.1 TO DIVISION 2, CHAPTER 2 OF THE CITY CODE TO RESTRICT RETAIL SALES OF NITROUS OXIDE. Motion/Second: Rodin/Orozco to introduce an ordinance Restricting the Retail Sale of Nitrous Oxide Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. b. Receive Annual Report Regarding Review of Ordinance for Marijuana Dispensaries and Consider the Formation of an Ad Hoc to Review Potential Ordinance Modifications to Streamline the Permitting/Renewal Process and Other Potential Considerations. Presenters: Craig Schlatter, Community Development Director and Mireya Turner, Planning Manager. Motion/Second: Crane/Rodin to appoint Vice Mayor Duenas and Mayor Brown to serve on a Cannabis ad hoc committee to explore ordinance modifications. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. Page 51 of 901 City Council Minutes for February 2, 2022, Continued: Page 5 of 6 13. NEW BUSINESS a. Seeking Direction from Council Regarding Updates to the Municipal Codes Regulating City Parks. Presenter: Neil Davis, Community Services Director. Council Consensus to refer this item to the Public Spaces Commission - along with Mr. Davis’ notes regarding the Council comments and concerns - for refining, then bring back to Council. b. Discuss and Provide Direction for the Establishment of an Oversight Committee, with Possible Appointments, to Review Measure P Expenditures for Fiscal Years 2019 and 2020 per Resolution 2014-28. Presenter: Noble Waidelich, Police Chief. Motion/Second: Crane/Orozco to approve the establishment of an Oversight Committee to review Measure P expenditures for the fiscal years 2019 and 2020; and appoint Edward Eversole, Larry Olson and Roe Sandelin as persons representing members at large; Max Brazill representing the Ukiah Police Department; and Tony Selvitella representing the Ukiah Valley Fire Authority to the Measure P Oversight Committee. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. AB-STAIN: None. c. Receive Updates; Discussion and Appointments Regarding 2022 Council Assignments; and Consideration of Disbandment and Modification to City Council Committees and Ad Hocs. Presenter: Shannon Riley, Deputy City Manager. Motion/Second: Crane/Rodin to form two new ad hocs: Mayor Brown and Councilmember Crane to serve on a Special Districts ad hoc; and Councilmembers Rodin and Orozco to serve on a Public Financing ad hoc. Motion carried by the following roll call votes: AYES: Orozco, Crane, Rodin, Dueňas, and Brown. NOES: None. ABSENT: None. ABSTAIN: None. 14. CLOSED SESSION a. Conference with Legal Counsel – Anticipated Litigation (Government Code Section 54956.9(d)(2 & 3)) Significant exposure to litigation pursuant to Government Code Section 54956.9(d)(2)(Number of potential cases: 1) b. Conference with Legal Counsel – Anticipated Litigation (Government Code Section 54956.9(d)(2)or(3)) Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9: (1 potential case, involving possible termination of construction contract for cause) c. Conference with Legal Counsel – Anticipated Litigation (Government Code Section 54956.9(d)(1)) Name of case: Vichy Springs Resort v. City of Ukiah, Et Al; Case No. SCUK-CVPT-2018-70200 d. Conference with Legal Counsel – Existing Litigation (Government Code Section 54956.9(d)(1)) Name of case: Vichy Springs Resort v. City of Ukiah, Et Al; Case No. SCUK-CVPT-20-74612 Page 52 of 901 City Council Minutes for February 2, 2022, Continued: Page 6 of 6 e. 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 f. Conference with Legal Counsel – Existing Litigation (Cal. Gov’t Code Section 54956.9(d)(1)) Name of case: Siderakis v. Ukiah, et al, Mendocino County Superior Court, Case No. 21CV00603 g. Conference with Legal Counsel – Existing Litigation (Government Code Section 54956.9(d)(1)) Name of case: Gerardo Magdaleno, by and through his Guardian Ad Litem, Pedro Francisco Magdaleno v. City of Ukiah, Justin Wyatt (Fed. Dist. Ct. N.D. Cal.) 3:21-2609 VC. h. Conference with Real Property Negotiators (Cal. Gov’t Code Section 54956.8) Property: APN Nos: 157-050-03, 157-060-02, 157-050-04, 157-050-03, 157-030-02, 157-050- 01, 157-050-02, 157-050-10, 157-050-09, 157- 070-01, 157-070-02, 003-190-01 Negotiator: Sage Sangiacomo, City Manager; Negotiating Parties: Dave Hull and Ric Piffero Under Negotiation: Price & Terms of Payment i. Conference with Labor Negotiator (54957.6) Agency Representative: Sage Sangiacomo, City Manager Employee Organizations: All Bargaining Units No Closed Session was held during the regular meeting. 15. ADJOURNMENT There being no further business, the meeting adjourned at 9:45 p.m. ________________________________ Kristine Lawler, City Clerk/CMC Page 53 of 901 Page 1 of 2 Agenda Item No: 7.a. MEETING DATE/TIME: 2/16/2022 ITEM NO: AGENDA SUMMARY REPORT SUBJECT: Report of Disbursements for the Month of January 2022 DEPARTMENT: Finance PREPARED BY: Candice Rasmason, Accounts Payable PRESENTER: Consent Calendar ATTACHMENTS: 1. January 2022 Summary of Disbursements 2. Account Codes for Reference 3. Object Codes for Reference 4. January 2022 Disbursement Detail Summary: The Council will review and consider approval of the Report of Disbursements for the month of January 2022. Background: Payments made during the month of January 2022 are summarized in the Report of Disbursements. Further detail is supplied on the Schedule of Bills, representing the four (4) individual payment cycles within the month. Accounts Payable Check Numbers (City & UVFA): 3045868-3045987; 3045988-3046098; 3046099-3046200; 3046201-3046293 Accounts Payable Wire Transfers: 60 Payroll Check Numbers: 5010109-510162; 510171-510247 Payroll Manual Check Numbers: 509923-510108; 510166-510170 Direct Deposit Numbers: 109089-109353; 109354-109608 Manual Direct Deposit Numbers: N/A Void Check Numbers: 3046064, 3046065 Void Direct Deposit Numbers: 109275, 109286 Discussion: This report is submitted in accordance with Ukiah City Code Division 1, Chapter 7, Article 1. Attachment #1: January 2022 Summary of Disbursements Attachment #2: Account Codes for Reference Attachment #3: Object Codes for Reference Attachment #4: January 2022 Disbursement Detail Recommended Action: Approve the Report of Disbursements for the Month of January 2022. BUDGET AMENDMENT REQUIRED: N/A Page 54 of 901 Page 2 of 2 CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: N/A Page 55 of 901 Attachment 1 FUNDS: 100 General Fund $200,312.53 700 Sanitary Disposal Site Fund $6,268.88 101 GF-(Sub-Fund) Visit Ukiah $43,750.25 701 Landfill Corrective Fund 105 GF-(Sub-Fund) Fire Authority $58,638.69 702 Disposal Closure Reserve Fund 110 Special General Fund 704 Post Closure Fund - Solid Waste 120 Streets Capital Improvement $470,999.08 710 Ambulance Services Fund $18,171.66 130 Gov'tl Debt SVC/Reserve Fund $1,250.00 720 Golf Fund $2,128.48 200 City Adminstrative Services $72,856.96 730 Confernence Center Fund $5,428.94 201 Worker's Comp Fund 750 Visit Ukiah 202 Liability Fund 777 Airport Fund $61,270.22 203 Garage Fund $10,726.44 778 Airport Capital Improvement Fund $10,758.16 204 Purchasing Fund $504.06 779 Special Aviation Fund $14,374.43 205 Billing & Collections Fund $20,169.63 800 Electric Fund $972,931.11 206 Public Safety Dispatch Fund $1,142.07 801 Electric Capital Reserve Fund $26,144.17 207 Payroll Posting Fund $314,495.55 803 Lake Mendocino Bond Reserve 208 Building Maintenance/Corp Yard Fund $21,424.16 805 Street Lighting Fund $9,071.74 209 IT Fund $20,573.52 806 Public Benefits Fund $33,895.74 220 Equipment Reserve Fund 807 Cap and Trade 249 City Housing Bond Proceeds 820 Water Fund $115,006.29 250 Special Revenue Fund $0.00 822 Water Capital Improvement Fund $316,877.16 251 Special Projects Reserve Fund 830 Recycled Water Fund $160,738.63 253 CITY PROP 172 840 City/District Sewer Fund $112,230.97 300 Park Development Fund 841 Sewer Contruction Fund 301 Anton Stadium Fund $0.00 843 Sewer Capital Fund 302 Observatory Park Fund 900 Special Deposit Trust $4,047.90 304 Swimming Pool Fund $0.00 901 General Service (Accts Recv)$348.00 305 Riverside Park Fund $0.00 902 U.S.W. Billing & Collection $930.45 306 Skate Park Fund $0.00 903 Public Safety - AB 109 $0.00 310 Museum Grants 905 Federal Emergency Shelter Grant 311 Alex Rorbaugh Recreation Center Fund $6,487.46 905 Mendocino Emergency Service Authority 312 Downtown Business Improvement Fund 911 Russian River Watershed Association $25,546.88 313 LMIHF Housing Asset Fund 915 UVFD $729.29 314 Winter Special Events $52,838.98 916 UVFD PROP 172 315 Advanced Planning Fund $0.00 917 UVFD Measure B $18,741.86 500 2106 Gas Tax Fund 918 UVFD Mitigation $1,361.77 501 2107 Gas Tax Fund 940 Sanitation District Special Fund $491,186.63 503 2105 Gas Tax Fund 942 Rate Stabilization - UVSD Fund 505 Signalization Fund 943 Sanitation District Capital Improvement Fund 506 Bridge Fund 952 REDIP Sewer Enterprise Fund 507 1998 STIP Augmentation Fund 960 Community Redevelopment Agency 508 SB325 Reimbursement Fund 961 RDA Housing Pass-Through 509 S.T.P. Fund $218.44 962 Redevelopment Housing Fund 510 Trans-Traffic Congest Relief Fund 963 Housing Debt 511 Rail Trail Fund $7,085.00 964 RDA Capital Pass-Through 600 Community Development Block Grant 965 Redevelopment Capital Improvement Fund 601 EDBG 94-333 Revolving Loan 966 Redevelopment Debt Service 602 Community Development Fund 967 Housing Bond Proceeds 603 08-HOME-4688 968 Non-Housing Bond Proceeds 604 CDBG Grant 09-STBG-6417 969 RDA Obligation Retirement Fund $3,200.00 605 11-HOME-7654 Fund $0.00 844/944 Sewer Capital Projects Fund $6,726.58 606 CDBG Grant 10-EDEF-7261 607 Prop 84 Grant Fund 609 13-CDBG-8940 610 City RDA Projects Fund 613 Home Program Activities 620 CASP Train 630 Asset Seizure Fund Retainage Withheld $37,742.72 631 Asset Seizure Fund (Drug/Alcohol)611 CDBG 16-CDBG-11147 $21,246.11 633 H & S Education 11489(B)(2)(A1) 634 Federal Asset Seizure Grants 635 SUP Law Enforcement Service Fund 636 CBTHP Officer $1,459.13 637 Local Law Enforcement Block Grant 638 Asset Forfeiture 11470.2 H & S 639 Special Revenue - Police 640 Parking District Fund $692.92 670 Federal American Rescue Fund 691 Museum Fund 695 Transfer Station Fund 696 Solid Waste Mitigation Fund PAYROLL CHECK NUMBERS: 510109-510165 TOTAL DEMAND PAYMENTS- A/P CHECKS $3,782,729.64 DIRECT DEPOSIT NUMBERS: 109089-109353 TOTAL DEMAND PAYMENTS- EFT's $0.00 PAYROLL PERIOD: 12/26/21-1/8/22 TOTAL PAYROLL CHECKS & DIRECT DEPOSITS $1,151,154.16 PAYROLL CHECK NUMBERS: 510171-510247 TOTAL PAYROLL EFT's (TAXES, PERS, VENDORS)$646,858.50 DIRECT DEPOSIT NUMBERS: 109354-109608 * vendor name( if applicable) PAYROLL PERIOD: 1/9/22-1/22/22 PAYROLL CHECK NUMBERS: DIRECT DEPOST NUMBERS: PAYROLL PERIOD: VOID CHECK NUMBERS: TOTAL PAYMENTS $5,580,742.30 3046064, 3046065 109275, 109286 509923-510108, 510166-510170 WIRE TRANSFER NUMBERS: 60 CERTIFICATION OF CITY CLERK This register of Payroll and Demand Payments was duly approved by the City Council on ____________________. City Clerk APPROVAL OF CITY MANAGER CERTIFICATION OF DIRECTOR OF FINANCE I have examined this Register and approve same.I have audited this Register and approve for accuracy and available funds. ____________________________________________________________________________________________ City Manager Director of Finance MANUAL CHECK NUMBERS: CITY OF UKIAH REPORT OF DISBURSEMENTS REGISTER OF PAYROLL AND DEMAND PAYMENTS FOR THE MONTH OF JANUARY Page 56 of 901 Account Code Summary Attachment 2 10000000 GENERAL FUND 20012500 CITY CLERK 10017200 SUCCESSOR AGENCY 20012600 ECONOMIC DEVELOPMENT 10020000 POLICE - GEN FUND 20012800 EMERGENCY MANAGEMENT 10020210 POLICE PATROL 20013210 ACCOUNTS PAYABLE 10020214 POLICE VOLUNTEERS 20013220 PAYROLL 10020216 COPS GRANT 20013400 ACCOUNTING 10020217 POLICE ANIMAL CONTROL 20013401 BUDGET MANAGEMENT 10020218 POLICE CSO 20014000 CITY ATTORNEY 10020220 CODE ENFORCEMENT 20015100 CITY TREASURER 10020224 MAJOR CRIMES TASK FORCE 20016100 HUMAN RESOURCES 10021210 CITY FIRE 20023510 HOUSING GRANTS 10022100 PARKS 20023520 NON-HOUSING GRANTS 10022300 AQUATICS 20100000 WORKER'S COMP FUND 10022700 MUSEUM - GEN FUND 20116220 WORKERS COMPENSATION 10022810 RECREATION ADMINISTRATION 20200000 LIABILITY FUND 10022821 ADULT BASKETBALL 20216200 RISK MANAGEMENT 10022822 ADULT SOFTBALL 20300000 GARAGE FUND 10022824 CO-ED VOLLEYBALL 20324100 GARAGE 10022831 YOUTH BASKETBALL 20324110 FLEET MAINTENANCE 10022832 YOUTH SOFTBALL 20400000 PURCHASING FUND 10022840 DAY CAMP 20413500 PURCHASING 10022850 CLASSES & CLINICS 20413510 CAPITAL ASSET MANAGEMENT 10022860 SPECIAL ACTIVITIES 20413520 GRANTS AND SPECIAL PROJECTS 10022900 COMM SVCS SPECIAL SERVICES 20414000 LEGAL SERVICES/EXPENSES 10023100 PLANNING SERVICES 20500000 BILLING AND COLLECTION FUND 10023110 CURRENT PLANNING 20513300 UTILITY BILLING 10023300 BUILDING INSPECTION 20513380 METERING-ELECTRIC 10023320 BUILDING INSPECTION 20513382 METERING-WATER 10023411 CDBG GENERAL ADMIN 20600000 PUBLIC SAFETY DISPATCH FUND 10024200 ENGINEERING/STREETS 20620231 POLICE UKIAH DISPATCH 10024210 ENGINEERING 20620232 POLICE FT BRAGG DISPATCH 10024214 TRAFFIC SIGNAL OPERATIONS 20700000 PAYROLL POSTING FUND 10024224 STORM WATER 20800000 BUILDING & MAINTENANCE 10024310 CORP YARD MAINTENANCE 20822500 BUILDING & MAINTENANCE 10024620 STREETS 20824300 BLDG MAINT CORP YARD 10100000 GF- (SUB-FUND) VISIT UKIAH 20900000 IT FUND 10112700 GF-(SUB-FUND) VISIT UKIAH 20913900 INFORMATION TECHNOLOGY 10500000 MEASURE S GENERAL FUND 22000000 FIXED ASSET FUND 10521210 FIRE AUTHORITY 25100000 SPECIAL PROJECTS RESERVE FUND 12000000 STREET REHABILITATION 25300000 PROP 172 FUND 12024200 PUBLIC WORKS ENGINEERING 25321210 CITY FIRE 13000000 GOV'TL DEBT SVC/RESERVE FUND 30000000 PARK DEVELOPMENT FEES FUND 20000000 CITY ADMINISTRATIVE SERVICES 30022200 PARK DEVELOPMENT 20010000 CITY COUNCIL 30100000 ANTON STADIUM FUND 20012100 CITY MANAGER 30200000 OBSERVATORY PARK FUND 20012200 ADMINISTRATIVE SUPPORT 30300000 PLAYGROUND & PARK AMENITIES FU 20012300 COMMUNITY OUTREACH/PUBLIC INFO 30322230 PLAYGROUND AND PARK AMENITIES Page 57 of 901 Account Code Summary Attachment 2 30400000 SWIMMING POOL FUND 63820210 ASSET FORFEITURE 11470 EXPENDI 30522250 RIVERSIDE PARK 63900000 SPECIAL REVENUE POLICE 30600000 SKATE PARK FUND 64000000 PKG. DIST. #1 OPER & MAINT FUN 30700000 SOFTBALL COMPLEX FUND 64012600 ECONOMIC DEVELOPMENT 31100000 ARRC GENERAL OPERATING FUND 64020213 POLICE PARKING ENFORCEMENT 31122000 ARRC 67000000 FEDERAL AMERICAN RESCUE FUNDS 31200000 DOWNTOWN BUSINESS IMPROVEMENT 69500000 TRANSFER STATION 31212600 ECONOMIC DEVELOPMENT 69624000 SOLID WASTE MITIGATION FUND 31300000 LMIHF HOUSING ASSET FUND 70000000 SANITARY DISPOSAL SITE FUND 31323400 HOUSING 70024500 LANDFILL 700 31323431 LMI GENERAL ADMIN 70124500 LANDFILL CORRECTIVE 31500000 ADVANCED PLANNING FUND 70200000 DISPOSAL CLOSURE RESERVE FUND 31523100 COMMUNITY PLANNING 70224500 LANDFILL CLOSURE 50000000 GAS TAX FUND 70400000 POST CLOSURE FUND-SOLID WASTE 50024214 TRAFFIC SIGNAL OPERATIONS 71000000 AMBULANCE SERVICES FUND 50500000 SIGNALIZATION FUND 71021100 AMBULANCE SERVICES 50800000 SB325 REIMBURSEMENT FUND 72000000 GOLF FUND 50824210 SB325 ENGINEERING 72022400 GOLF 50900000 S.T.P.73000000 CONFERENCE CENTER FUND 50924210 STP ENGINEERING 73022600 CONFERENCE CENTER 51100000 RAIL TRAIL FUND 77700000 AIRPORT FUND 51124210 Rail Trail 77714000 CITY ATTORNEY 60000000 COMM. DEVELOPMT. BLOCK GRANT F 77725200 AIRPORT OPERATIONS 60023411 CDBG GENERAL ADMIN 77800000 AIRPORT CAPITAL IMPROVEMENT FU 60023412 CDBG ACTIVITY DELIVERY 77825200 AIRPORT CAPITAL 61100000 CDBG 16-CDBG-11147 77900000 SPECIAL AVIATION FUND 61112600 CDBG ECONOMIC DEVELOPMENT 77925200 AIRPORT SPECIAL 61123410 16-CDBG-11147 80000000 ELECTRIC FUND 61123411 CDBG GENERAL ADMIN 80014000 CITY ATTORNEY 61200000 FUND 612 UNASSIGNED 80026110 ELECTRIC OVERHEAD 61223400 HOME CDD HOUSING 80026120 ELECTRIC UNDERGROUND 61223422 HOME ACTIVITY DELIVERY 80026200 TELEMETRY & CALIBRATION 61323400 HOME HOUSING ACTIVITIES 80026210 SUBSTATION 61323421 HOME GENERAL ADMIN 80026220 HYDROELECTRIC PLANT 62000000 CASP CERTIF & TRAINING 80026400 ELECTRIC ADMINISTRATION 62023320 CASP CERTIF & TRAINING 80026440 POWER PURCHASES 63000000 ASSET SEIZURE FUND 80100000 ELECTRIC CAPITAL RESERVE FUND 63020210 ASSET SEIZURE EXPENDITURE 80126100 ELECTRIC CIP 63300000 H&S EDUCATION 11489(B)(2)(A1)80126220 HYDROELECTRIC PLANT 63320210 H&S ASSET SEIZURE EXPENDITURE 80500000 STREET LIGHTING FUND 63400000 FEDERAL ASSET SEIZURE GRANTS F 80526150 STREET LIGHTING 63420250 FED ASSET SEIZURE EXPENDITURE 80600000 PUBLIC BENEFITS CHARGES FUND 63500000 SUP.LAW ENFORCE.SVC.FD(SLESF)80626450 PUBLIC BENEFITS 63520210 SLESF 80700000 ELECTRIC CAP AND TRADE FUND 63600000 CBTHP OFFICER 80800000 ELECTRIC LOW CARBON FUEL STDS 63620210 CBTHP OFFICER 80826100 ELECTRIC LOW CARBON FUEL STDS 63800000 ASSET FORFEITURE 11470.2 H&S F 82000000 WATER FUND Page 58 of 901 Account Code Summary Attachment 2 82027110 WATER 82027111 PROD OPERATIONS & MAINTENANCE 82027114 DISTRIB OPERATIONS & MAINT 82100000 WATER CAPITAL RESERVE FUND 82200000 WATER CONNECTION FEE FUND 82227113 WATER DISTRIBUTION CAPITAL 83000000 RECYCLED WATER 83027330 RECYCLED WATER 84000000 CITY/DIST. SEWER OPERATING FUN 84027220 WASTE WATER 84027221 CITY WASTE O & M 84027225 WASTE TREATMENT O & M 84100000 SEWER BOND DEBT SERVICE FUND 84127226 WASTEWATER TREATMENT CAPITAL 84200000 RATE STABILIZATION-CITY FUND 84300000 CONNECTION FEE SEWER FUND (CAP 84400000 CITY SEWER CAPITAL PROJECTS FU 84427221 CITY WASTEWATER O&M 844 84427222 CITY WASTE CAPITAL 90000000 SPECIAL DEPOSIT TRUST FUND 91500000 UKIAH VALLEY FIRE DEPARTMENT 91521400 UVFD FIRE ADMINISTRATION 91600000 UVFD PROP 172 91621400 UVFD PROP 172 91700000 UVFD MEASURE B UNASSIGNED 91721400 UVFD FIRE 91800000 UVFD MITIGATION FEES 91821400 UVFD MITIGATION 96900000 REDEVELOPMENT OBLIGATION RETIR 96917200 SUCCESSOR AGENCY 96995669 969 - RDA OBLIGATION RETIREMEN Page 59 of 901 51211 PERS UNFUNDED LIABILITY 54101 POSTAGE 51220 INSURANCE 54102 SMALL TOOLS 51230 WORKERS COMP 54103 LAB SUPPLIES 51240 MEDICARE 54106 SPECIALTY SUPPLIES 51260 FICA 54107 EMS SUPPLIES 51270 UNIFORM ALLOWANCE 54120 PW - SPECIAL SUPPLIES 51290 CELL PHONE STIPEND 54121 PW - ASPHALT CONCRETE 52100 CONTRACTUAL SERVICES 54122 PW - AGGREGATE BASE 52110 AMBULANCE BILLING 54124 PW - CONCRETE/SUPPLIES 52111 DEFIBRILLATOR MAINTENANCE 54125 PW - TRAFFIC PAINT 52112 M. S. OVERSIGHT 54126 PW-PREMARKS 52113 PLANNING STUDIES 54127 PW - SIGN POSTS/SHEETING 52114 COMPLIANCE STUDIES 54128 PW - COLD PATCH MATERIAL 52130 EDUCATIONAL & MARKETING MATL'S 54129 PW - TACK OIL 52131 ASSISTANCE TO SENIORS 54130 PW - SAFETY 52133 MONTHLY DISCOUNT PROGRAM 54131 PW - BARRICADES & CONES 52134 GENERAL ADMIN 54161 BACKGROUND & PHYSICALS 52135 ENERGY CONSERVATION PROGRAM 54162 ADVERTISING 52137 PUBLIC BENEFITS PROGRAM MGMT 54163 INTERVIEW SUPPLIES 52139 RESEARCH DEVELOPMENT & DEMO 54165 NEW EMPLOYEE FINGERPRINT 52150 LEGAL SERVICES/EXPENSES 54166 DOT TESTING PROGRAM 52151 EMPLOYEE BENEFIT ADMIN FEES 54167 EMPLOYEE DEVELOPMENT 52155 ACTIVITY DELIVERY 54169 LIVESCAN 52180 SECURITY SERVICES 54201 PRISONER EXPENSE 52181 VOLUNTEER EXPENSES 54202 MAJOR CRIME INVESTIGATIONS 52301 PROPERTY TAX ADMIN FEE 54203 RECRUITMENT 52304 LAFCO FEES AND PROP TAX EXP 54320 SOFTWARE 52500 TRUSTEE FEES 54330 COMPUTER AND TECHNOLOGY 52510 ADVERTISING & PROMOTION 54500 EQUIP RENTS AND LEASES 52515 ADVERTISING & PUBLICATION 54700 FINES & PENALTIES 52521 LIABILITY INSURANCE PREMIUM 55100 TELEPHONE 52522 LIABILITY & PROPERTY DEDUCT 55200 PG&E 52524 PROPERTY INSURANCE PREMIUM 55210 UTILITIES 52525 WORKER'S COMP. EXPENSE 56100 VEHICLE & EQUIPMENT MAINT. & R 52526 REMIF ASSESSMENT PAYMENTS 56112 EQUIPMENT PARTS FOR RESALE 52527 A.D.P. PREMIUM & DEDUCTIBLE 56120 EQUIPMENT MAINTENANCE & REPAIR 52528 LIABILITY INSURANCE 56125 LAB EQUIP-REPAIR & MAINT. 52529 EARTHQUAKE & FLOOD (DIC)56130 EXTERNAL SERVICES 52532 SAFETY & TRAINING SUPPORT 56210 FUEL & FLUIDS 52533 UVFA RETIREE HEALTH INS 56300 BUILDING MAINT. & REPAIR 52600 RENT 56410 EQUIPMENT RENTAL - PRIVATE 52601 DATA STORAGE & CONNECTIVITY 56504 FACILITY MAINTENANCE & REPAIR 52602 RENTAL OF CITY PROPERTY 56600 AIRFIELD MAINTENANCE & REPAIR 52841 SUCCESSOR AGENCY ADMIN 57100 LEARNING AND DEVELOPMENT 53000 LAWSUIT SETTLEMENT 57101 CONF & TRAINING-AQUATICS 54100 SUPPLIES 57300 MEMBERSHIPS & SUBSCRIPTIONS Object Code Summary Attachment 3 Page 60 of 901 58101 NCPA PLANT GENERATION 58102 NCPA POWER PURCHASES 58103 NCPA TRANSMISSION 58104 NCPA MANAGEMENT SERVICES 58105 NCPA THIRD PARTY SALES 58202 CHEMICALS 58401 AVIATION FUEL 58410 GARAGE LUBRICANTS & PARTS 58510 REIMBURSABLE JOBS 59100 PROPERTY TAXES PAID 59101 FEES 59102 FRANCHISE FEES 59105 CONTRIBUTIONS TO OTHER AGENCY 59106 SENIOR TRASH SUBSIDY 59108 BANK FEES 59400 OTHER EXPENSES 59500 LOANS ISSUED 59502 SCHOLARSHIPS 61200 PURCHASING ALLOCATION 61300 BILLING & COLLECTION ALLOCATIO 61410 RENT ALLOCATION 61420 BUILDING MAINTENANCE ALLOCATIO 61422 IT ALLOCATION 61430 CORP YARD ALLOCATION 61500 INSURANCE ALLOCATION 61600 GARAGE ALLOCATION 61700 DISPATCH 62100 ADMIN & OVERHEAD ALLOCATION 63000 INTERFUND SERVICES USED 70101 LOAN PAYMENTS MADE 70102 BOND INTEREST EXPENSE 70103 LOAN INTEREST 70201 LOAN PRINCIPAL PAYMENTS 70202 BOND PRINCIPAL PAYMENTS 74500 CAPITAL LEASE PRINCIPAL 74501 CAPITAL LEASE INTEREST 80100 MACHINERY & EQUIPMENT 80210 LAND ACQUISITION 80220 BUILDING IMPROVEMENTS 80230 INFRASTRUCTURE 90100 LOAN PROCEEDS 90101 LOAN PAYMENT RECEIVED Page 61 of 901 Attachment 4 Page 62 of 901 Page 63 of 901 Page 64 of 901 Page 65 of 901 Page 66 of 901 Page 67 of 901 Page 68 of 901 Page 69 of 901 Page 70 of 901 Page 71 of 901 Page 72 of 901 Page 73 of 901 Page 74 of 901 Page 75 of 901 Page 76 of 901 Page 77 of 901 Page 78 of 901 Page 79 of 901 Page 80 of 901 Page 81 of 901 Page 82 of 901 Page 83 of 901 Page 84 of 901 Page 85 of 901 Page 86 of 901 Page 87 of 901 Page 88 of 901 Page 89 of 901 Page 90 of 901 Page 91 of 901 Page 92 of 901 Page 93 of 901 Page 94 of 901 Page 95 of 901 Page 96 of 901 Page 97 of 901 Page 98 of 901 Page 99 of 901 Page 100 of 901 Page 101 of 901 Page 102 of 901 Page 103 of 901 Page 104 of 901 Page 105 of 901 Page 106 of 901 Page 107 of 901 Page 108 of 901 Page 109 of 901 Page 110 of 901 Page 111 of 901 Page 112 of 901 Page 113 of 901 Page 114 of 901 Page 115 of 901 Page 116 of 901 Page 117 of 901 Page 118 of 901 Page 119 of 901 Page 120 of 901 Page 121 of 901 Page 122 of 901 Page 1 of 2 Agenda Item No: 7.b. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1211 AGENDA SUMMARY REPORT SUBJECT: Approval of a Four-Year Cooperative Agreement for Dispatch Services with the California Department of Forestry and Fire Protection in an Amount not to Exceed $1,540,822. DEPARTMENT: Fire PREPARED BY: Doug Hutchison, Fire Chief PRESENTER: Doug Hutchison, Fire Chief ATTACHMENTS: 1. Updated Dispatch Agreement Summary: Council will consider approval of a four-year cooperative agreement for dispatch services with the California Department of Forestry and Fire Protection, for an amount not to exceed $1,540,822. Background: Since 2012, the City of Ukiah has contracted with the California Department of Forestry and Fire Protection (CAL Fire) for dispatching fire and emergency medical services within the city. The last cooperative agreement expired June 30, 2021. Discussion: Fire Authority staff previously brought to the City Council a new four-year agreement in June of 2021. That agreement was approved by Council and forwarded to CAL Fire for their signatures and processing. CAL Fire staff identified some incorrect figures that had been used as well as some that had been left off the previous agreement, resulting in the need to resubmit the agreement to the Council for approval. This new agreement outlines the increasing costs in years 2-4 of the contract, as well as the total potential cost over the 4- year term. As in the past, it is important to note that CAL Fire only charges actual costs, and the figures used in the agreement are the maximum allowable. Our history with these agreements has been that the costs have always come in well under the maximum amount. As such, Fire Authority staff, in consultation with the City Manger's office, is comfortable with our currently budgeted amount.. The proposed agreement is retroactive to July 1, 2021, and contains the same terms as our previous agreements. The updated agreement is provided as Attachment 1. Recommended Action: Approve the updated four-year cooperative agreement for dispatch services with the California Department of Forestry and Fire Protection, and authorize the City Manager to sign. BUDGET AMENDMENT REQUIRED: No. CURRENT BUDGET AMOUNT: 10521210.52100: $210,718 PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: Cost share with Ukiah Valley Fire District. PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: Doug Hutchison- Fire Chief Page 123 of 901 Page 2 of 2 Page 124 of 901 COOPERATIVE FIRE PROGRAMS FIRE PROTECTION REIMBURSEMENT AGREEMENT LG-1 REV. 11/2020 AGREEMENT NUMBER 1CA05265 REGISTRATION NUMBER: 1.This Agreement is entered into between the State Agency and the Local Agency named below: STATE AGENCY'S NAME California Department of Forestry and Fire Protection – (CAL FIRE) LOCAL AGENCY’S NAME City of Ukiah 2.The term of this Agreement is:July 1, 2021 through June 30, 2025 3.The maximum amount of this Agreement is:$ 1,540,822.00 One million, five hundred forty thousand, eight hundred twenty two dollars and zero cents 4.The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement. Exhibit A – Scope of Work – Includes page 2 (contact page) in count for Exhibit A 4 pages Exhibit B – Budget Detail and Payment Provisions 2 pages Exhibit C – General Terms and Conditions 7 pages Exhibit D – Additional Provisions 5 pages Exhibit E – Description of Other Services 3 pages IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. LOCAL AGENCY California Department of General Services Use Only LOCAL AGENCY’S NAME City of Ukiah BY (Authorized Signature) DATE SIGNED(Do not type) PRINTED NAME AND TITLE OF PERSON SIGNING Sage Sangiacomo, City Manager ADDRESS 300 Seminary Avenue, Ukiah, CA 95482 STATE OF CALIFORNIA AGENCY NAME California Department of Forestry and Fire Protection BY (Authorized Signature)DATE SIGNED(Do not type) PRINTED NAME AND TITLE OF PERSON SIGNING Chris Anthony, Assistant Deputy Director, Cooperative Fire Protection, Training & Safety ADDRESS P.O. Box 944246, Sacramento, CA 94244-2460 ATTACHMENT 1 Page 125 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 2 EXHIBIT A COOPERATIVE FIRE PROGRAMS FIRE PROTECTION REIMBURSEMENT AGREEMENT The project representatives during the term of this agreement will be: CAL FIRE Unit Chief: Mendocino Unit Local Agency: City of Ukiah Name: George Gonzalez Name: Doug Hutchinson Phone: (707) 459-7400 Phone: (707) 462-7921 Fax: (707) 459-3041 Fax: (707) 462-2938 All required correspondence shall be sent through U.S. Postal Service by certified mail and directed to: CAL FIRE Unit Chief: George Gonzalez Local Agency: City of Ukiah Section/Unit: Mendocino Unit Section/Unit: City of Ukiah Attention: Brandon Gunn Attention: Sage Sangiacomo Address: 17501 N. Hwy 101 Willits, CA 95490 Address: 300 Seminary Ave Ukiah, CA 95482 Phone: (707) 459-7402 Phone: (707) 463-6221 Fax: (707) 459-3041 Fax: Send an additional copy of all correspondence to: CAL FIRE Cooperative Fire Services P.O. Box 944246 Sacramento, CA 94244-2460 AUTHORIZATION As used herein, Director shall mean Director of CAL FIRE. This agreement, its terms and conditions are authorized under the Public Resources Code Sections 4141, 4142, 4143 and 4144, as applicable. Page 126 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 3 EXHIBIT A SCOPE OF WORK Under Public Resources Code Section 4114 and other provisions of law, STATE maintains fire prevention and fire suppression forces including the necessary equipment, personnel, and facilities required to prevent and extinguish forest fires. The purpose of this agreement is to provide mutually advantageous fire and emergency services through an effective consolidated organization, wherein the STATE is primarily financially responsible for protecting natural resources from vegetation fires and the LOCAL AGENCY is primarily financially responsible for protecting life and property from fires and other emergencies. The LOCAL AGENCY shall have sole authority to establish the fire protection organization and structure needed to meet the determined level of service. This level of service may be based on the LOCAL AGENCY governing board’s established fiscal parameters and assessment of risks and hazards. LOCAL AGENCY personnel providing services under this agreement may include any one or a combination of the following: regular employees, persons temporarily employed and commonly known as volunteers, paid-call firefighters, or others temporarily employed to perform any emergency work or emergency service including, but not limited to fire prevention, fire suppression and emergency medical response. To comply with the STATE’s mandate for full cost recovery of goods and services provided for others, the LOCAL AGENCY shall be responsible for all STATE costs, both direct and indirect, required to execute the terms of this agreement. These costs shall include, but not be limited to: required training and associated post coverage, employee uniform and Personal Protective Equipment (PPE) costs. 1. FIRE PROTECTION SERVICES TO BE PROVIDED BY THE STATE STATE provides a modern, full service fire protection and emergency incident management agency that provides comprehensive fire protection and other emergency incident response. STATE designs regional fire protection solutions for urban and rural communities by efficiently utilizing all emergency protection resources. Regional solutions provide the most effective method of protecting the citizens of California at local, county and state levels. Fire protection services to be provided by STATE under this agreement shall include the following: (check boxes below that apply) 1) Emergency Fire Protection, Medical and Rescue Response: services include commercial, residential, and wildland fire protection, prevention and investigation; hazardous materials incident response; emergency vehicle extrication; hazardous conditions response (flooding, downed power lines, earthquake, terrorist incident, etc.); emergency medical and rescue response; and public service assistance. Also included are management support services that include fire department administration, training and safety, personnel, finance and logistical support. 2) Basic Life Support Services: emergency medical technician (EMT) level emergency medical response providing first aid, basic life support (BLS), airway management, administration of oxygen, bleeding control, and life support system stabilization until patients are transported to the nearest emergency care facility. 3) Advanced Life Support Services: paramedic level emergency medical response providing early advanced airway management, intravenous drug therapy, and life support system stabilization until patients are transported to the nearest emergency care facility. 4) Dispatch Services: provide fire department 9-1-1 emergency dispatch by CAL FIRE Fire/Emergency Command Center (ECC). CAL FIRE will be responsible for fire/emergency Page 127 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 4 dispatching emergency resource units covered under this agreement. The CAL FIRE ECC is staffed with a Battalion Chief, three or more Fire Captains and Communications Operators to provide 24/7 year-round coverage. There is always an officer of Captain rank or higher to serve as the shift supervisor and command officer. CAL FIRE uses an integrated Computer Aided Dispatch (CAD) system using the latest technology, to direct the closest available resources to all emergency incidents. 5) Fire Code Inspection, Prevention and Enforcement Services: CAL FIRE has staff Fire Inspectors serving under the direction of the LOCAL AGENCY Fire Marshal to provide services to the area covered by this agreement. Fire Code Enforcement will normally be available five days per week, with emergency or scheduled enforcement inspections available seven days per week. Fire Prevention and Investigation services will be provided by CAL FIRE Prevention Officers trained in arson, commercial, and wildland fire investigation. Officers are available by appointment for site visits and consultations. Officers are trained at CAL FIRE’s Peace Officer Standard Training (POST) certified law enforcement training academy and they cooperate effectively with all local, state and federal law enforcement agencies. 6) Land Use/ Pre-Fire Planning Services – CAL FIRE staff will provide community land use planning, administration of Pre-Fire project work, including community outreach, development of community education programs, project quality control, maintenance of project records and submittal of progress reports, completion of required environmental documentation, acquisition of required permits and completion of other associated administrative duties. 7) Disaster planning services (listed in Exhibit E, Description of Other Services, attached hereto and made a part of this agreement) 8) Specific service descriptions and staffing coverage, by station (listed in Exhibit E, Description of Other Services, attached hereto and made a part of this agreement) 9) Extended Fire Protection Service Availability (Amador) 2. ADMINISTRATION Under the requirements of California Public Resources Code Section 4114 and other provisions of law, STATE maintains fire prevention and firefighting services as outlined in Exhibit D, Schedule B of this agreement. A. Director shall select and employ a Region Chief who shall, under the direction of the Director/Chief Deputy Director, manage all aspects of fire prevention and fire protection services and forestry-related programs. B. Director will select and employ a Unit Chief who shall, under the supervision and direction of Director/Region Chief or a lawful representative, have charge of the organization described in Exhibit D, Schedules A, B and C included hereto and made a part of this agreement. C. LOCAL AGENCY shall appoint the Unit Chief as the LOCAL AGENCY Fire Chief for all Emergency Fire Protection, Medical and Rescue Response Agreements, pursuant to applicable statutory authority. The Unit Chief may delegate this responsibility to qualified staff. D. The Unit Chief may dispatch personnel and equipment listed in Exhibit D, Schedules A, B and C from the assigned station or location under guidelines established by LOCAL AGENCY and approved by STATE. Personnel and/or equipment listed in Exhibit D, Schedule B may be dispatched at the sole discretion of STATE. Page 128 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 5 E. The Unit Chief shall exercise professional judgment consistent with STATE policy and his or her employment by STATE in authorizing or making any assignments to emergencies and other responses, including assignments made in response to requests for mutual aid. F. Except as may be otherwise provided for in this agreement, STATE shall not incur any obligation on the part of LOCAL AGENCY to pay for any labor, materials, supplies or services beyond the total set forth in the respective Exhibit D, Schedules A and C, as to the services to be rendered pursuant to each Schedule. G. Nothing herein shall alter or amend or be construed to alter or amend any Collective Bargaining Agreement or Memorandum of Understanding between the State of California and its employees under the State Employer-Employee Relations Act. 3. SUPPRESSION COST RECOVERY As provided in Health and Safety Code (H&SC) Section 13009, STATE may bring an action for collection of suppression costs of any fire caused by negligence, violation of law, or failure to correct noticed fire safety violations. When using LOCAL AGENCY equipment and personnel under the terms of this agreement, STATE may, at the request of LOCAL AGENCY, bring such an action for collection of costs incurred by LOCAL AGENCY. In such a case LOCAL AGENCY appoints and designates STATE as its agent in said collection proceedings. In the event of recovery, STATE shall deduct fees and litigation costs in a proportional percentage amount based on verifiable and justifiable suppression costs for the fire at issue. These recovery costs are for services provided which are beyond the scope of those covered by the local government administrative fee. In all such instances, STATE shall give timely notice of the possible application of H&SC Section 13009 to the representative designated by LOCAL AGENCY. 4. MUTUAL AID When rendering mutual aid or assistance as authorized in H&SC Sections 13050 and 13054, STATE may, at the request of LOCAL AGENCY, demand payment of charges and seek reimbursement of LOCAL AGENCY costs for personnel, equipment and operating expenses as funded herein, under authority given by H&SC Sections 13051 and 13054. STATE, in seeking said reimbursement pursuant to such request of LOCAL AGENCY, shall represent LOCAL AGENCY by following the procedures set forth in H&SC Section 13052. Any recovery of LOCAL AGENCY costs, less expenses, shall be paid or credited to LOCAL AGENCY, as directed by LOCAL AGENCY. In all such instances, STATE shall give timely notice of the possible application of H&SC Sections 13051 and 13054 to the officer designated by LOCAL AGENCY. 5. PROPERTY PURCHASE AND ACCOUNTING LOCAL AGENCY shall be responsible for all costs associated with property required by personnel to carry out this agreement. Employee uniform costs will be assessed to the LOCAL AGENCY through the agreement billing process. Personal Protective Equipment (PPE) costs shall be the responsibility of the LOCAL AGENCY. By mutual agreement, PPE meeting the minimum specifications established by the STATE may be purchased directly by the LOCAL AGENCY. Alternately, the STATE will supply all PPE and the LOCAL AGENCY will be billed for costs incurred. All property provided by LOCAL AGENCY and by STATE for the purpose of providing fire protection services shall be marked and accounted for by the Unit Chief in such a manner as to conform to the regulations, if any, established by the parties for the segregation, care, and use of the respective properties. Page 129 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 6 EXHIBIT B BUDGET DETAIL AND PAYMENT PROVISIONS 1. PAYMENT FOR SERVICES A. LOCAL AGENCY shall pay STATE actual cost for fire protection services pursuant to this agreement an amount not to exceed that set forth in Exhibit D, Schedule A for each fiscal year. STATE shall prepare an Exhibit D, Schedule A each year, which shall be the basis for payment for the entire fiscal year for which services are provided. B. Any other funds designated by LOCAL AGENCY to be expended under the supervision of or for use by a Unit Chief for fire protection services shall be set forth in Exhibit D, Schedule C. This clause shall not limit the right of LOCAL AGENCY to make additional expenditures, whether under Exhibit D, Schedule C or otherwise. C. STATE shall invoice LOCAL AGENCY for the cost of fire protection services on a quarterly basis as follows: 1) For actual services rendered by STATE during the period of July 1 through September 30, by an invoice filed with LOCAL AGENCY on or after December 10. 2) For actual services rendered by STATE during the period October 1 through December 31, by an invoice filed with LOCAL AGENCY on or after December 31. 3) For actual services rendered by STATE during the period January 1 through March 31, by an invoice filed with LOCAL AGENCY on or after March 31. 4) For the estimated cost of services during the period April 1 through June 30, by an invoice filed in advance with LOCAL AGENCY on or after March 1. 5) A final statement shall be filed with LOCAL AGENCY by October 1 following the close of the fiscal year, reconciling the payments made by LOCAL AGENCY with the cost of the actual services rendered by STATE and including any other costs as provided herein, giving credit for all payments made by LOCAL AGENCY and claiming the balance due to STATE, if any, or refunding to LOCAL AGENCY the amount of any overpayment. 6) All payments by LOCAL AGENCY shall be made within thirty (30) days of receipt of invoice from STATE, or within thirty (30) days after the filing dates specified above, whichever is later. 7) The STATE reserves the right to adjust the frequency of billing and payment to a monthly cycle with a thirty (30) day written notice to the LOCAL AGENCY when: a. The Director predicts a cash flow shortage, or b. When determined by the Region Chief, after consulting with the Unit Chief and the LOCAL AGENCY Contract Administrator, that the LOCAL AGENCY may not have the financial ability to support the contract at the contract level. D. Invoices shall include actual or estimated costs as provided herein of salaries and employee benefits for those personnel employed, charges for operating expenses and equipment and the administrative charge in accordance with Exhibit D, Schedule A. When "contractual rates" are indicated, the rate shall be based on an average salary plus all benefits. "Contractual rates" means an all-inclusive rate established in Exhibit D, Schedule A for total costs to STATE, per specified position, for 24-hour fire protection services during the period covered. Page 130 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 7 E. STATE shall credit the LOCAL AGENCY, or cover behind at no cost, for the costs of Non-post (e.g. Fire Marshal, Training Officer, etc.) positions and equipment assigned to STATE responsibility fires or other STATE funded emergency incidents. The STATE shall notify the LOCAL AGENCY when this occurs. 2. COST OF OPERATING AND MAINTAINING EQUIPMENT AND PROPERTY The cost of maintaining, operating, and replacing any and all property and equipment, real or personal, furnished by the parties hereto for fire protection purposes, shall be borne by the party owning or furnishing such property or equipment unless otherwise provided for herein or by separate written agreement. 3. BUDGET CONTINGENCY CLAUSE A. If the LOCAL AGENCY’s governing authority does not appropriate sufficient funds for the current year or any subsequent years covered under this Agreement, which results in an inability to pay the STATE for the services specified in this Agreement, the LOCAL AGENCY shall promptly notify the STATE and this Agreement will terminate pursuant to the notice periods required herein. B. If funding for any fiscal year is reduced or deleted by the LOCAL AGENCY for purposes of this program, the LOCAL AGENCY shall promptly notify the STATE, and the STATE shall have the option to either cancel this Agreement with no liability occurring to the STATE, or offer an agreement amendment to LOCAL AGENCY to reflect the reduced amount, pursuant to the notice terms herein. C. If the STATE Budget Act does not appropriate sufficient funds to provide the services for the current year or any subsequent years covered under this Agreement, which results in an inability to provide the services specified in this Agreement to the LOCAL AGENCY, the STATE shall promptly notify the LOCAL AGENCY, and this Agreement will terminate pursuant to the notice periods required herein. D. If funding for any fiscal year is reduced or deleted by the STATE Budget Act for purposes of this program, the STATE shall promptly notify the LOCAL AGENCY, and the LOCAL AGENCY shall have the option to either cancel this Agreement with no liability occurring to the LOCAL AGENCY, or offer an agreement amendment to LOCAL AGENCY to reflect the reduced services, pursuant to the notice terms herein. E. Notwithstanding the foregoing provisions in paragraphs A and B above, the LOCAL AGENCY shall remain responsible for payment for all services actually rendered by the STATE under this Agreement regardless of LOCAL AGENCY funding being reduced, deleted or not otherwise appropriated for this program. The LOCAL AGENCY shall promptly notify the STATE in writing of any budgetary changes that would impact this Agreement. F. LOCAL AGENCY and STATE agree that this Budget Contingency Clause shall not relieve or excuse either party from its obligation(s) to provide timely notice as may be required elsewhere in this Agreement. Page 131 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 8 EXHIBIT C GENERAL TERMS AND CONDITIONS 1. APPROVAL: This Agreement is of no force or effect until signed by both parties and approved by the Department of General Services, if required. STATE will not commence performance until such approval has been obtained. 2. AMENDMENT: This agreement may be amended by mutual consent of LOCAL AGENCY and STATE. 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 the Agreement is binding on any of the parties. If during the term of this agreement LOCAL AGENCY shall desire a reduction in STATE civil service employees assigned to the organization provided for in Exhibit D, Schedule A, LOCAL AGENCY shall provide 120 days written notice of the requested reduction. Notification shall include the following: (1) The total amount of reduction; (2) The firm effective date of the reduction; and (3) The number of employees, by classification, affected by a reduction. If such notice is not provided, LOCAL AGENCY shall reimburse STATE for relocation costs incurred by STATE as a result of the reduction. Personnel reductions resulting solely from an increase in STATE employee salaries or STATE expenses occurring after signing this agreement and set forth in Exhibit D, Schedule A to this agreement shall not be subject to relocation expense reimbursement by LOCAL AGENCY. If during the term of this agreement costs to LOCAL AGENCY set forth in any Exhibit D, Schedule A to this agreement increase and LOCAL AGENCY, in its sole discretion, determines it cannot meet such increase without reducing services provided by STATE, LOCAL AGENCY shall within one hundred twenty (120) days of receipt of such Schedule notify STATE and designate which adjustments shall be made to bring costs to the necessary level. If such designation is not received by STATE within the period specified, STATE shall reduce services in its sole discretion to permit continued operation within available funds. 3. ASSIGNMENT: This Agreement is not assignable by the LOCAL AGENCY either in whole or in part, without the consent of the STATE in the form of a formal written amendment. 4. EXTENSION OF AGREEMENT: A. One year prior to the date of expiration of this agreement, LOCAL AGENCY shall give STATE written notice of whether LOCAL AGENCY will extend or enter into a new agreement with STATE for fire protection services and, if so, whether LOCAL AGENCY intends to change the level of fire protection services from that provided by this agreement. If this agreement is executed with less than one year remaining on the term of the agreement, LOCAL AGENCY shall provide this written notice at the time it signs the agreement and the one year notice requirement shall not apply. B. If LOCAL AGENCY fails to provide the notice, as defined above in (A), STATE shall have the option to extend this agreement for a period of up to one year from the original termination date and to continue providing services at the same or reduced level as STATE determines would be appropriate during the extended period of this agreement. Six months prior to the date of expiration of this agreement, or any extension hereof, STATE shall give written notice to LOCAL AGENCY of any extension of this agreement and any change in the level of fire protection services STATE will provide during the extended period of this agreement. Services provided and obligations incurred by STATE during an extended period shall be accepted by LOCAL AGENCY as services and obligations under the terms of this agreement. Page 132 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 9 C. The cost of services provided by STATE during the extended period shall be based upon the amounts that would have been charged LOCAL AGENCY during the fiscal year in which the extended period falls had the agreement been extended pursuant hereto. Payment by LOCAL AGENCY for services rendered by STATE during the extended period shall be as provided in Exhibit B, Section 1, B of this agreement. 5. AUDIT: STATE, including the Department of General Services and the Bureau of State Audits, and LOCAL AGENCY agree that their designated representative shall have the right to review and to copy any records and supporting documentation of the other party hereto, pertaining to the performance of this agreement. STATE and LOCAL AGENCY agree to maintain such records for possible audit for a minimum of three (3) years after final payment, unless a longer period of records retention is stipulated, and to allow the auditor(s) of the other party access to such records during normal business hours and to allow interviews of any employees who might reasonably have information related to such records. STATE and LOCAL AGENCY agree to a similar right to audit records and interview staff in any subcontract related to performance of this Agreement. (Gov. Code §8546.7, Pub. Contract Code §10115 et seq., CCR Title 2, Section 1896). 6. INDEMNIFICATION: Each party, to the extent permitted by law, agrees to indemnify, defend and save harmless the other party, its officers, agents and employees from (1) any and all claims for economic losses accruing or resulting to any and all contractors, subcontractors, suppliers, laborers and any other person, firm, or corporation furnishing or supplying work services, materials or supplies to that party and (2) from any and all claims and losses accruing or resulting to any person, firm or corporation who may be injured or damaged by that party, in the performance of any activities of that party under this agreement, except where such injury or damage arose from the sole negligence or willful misconduct attributable to the other party or from acts not within the scope of duties to be performed pursuant to this agreement; and (3) each party shall be responsible for any and all claims that may arise from the behavior and/or performance of its respective employees during and in the course of their employment to this cooperative agreement. 7. DISPUTES: LOCAL AGENCY shall select and appoint a "Contract Administrator" who shall, under the supervision and direction of LOCAL AGENCY, be available for contract resolution or policy intervention with the STATE’s Region Chief when, upon determination by the designated STATE representative, the Unit Chief acting as LOCAL AGENCY’s Fire Chief under this agreement faces a situation in which a decision to serve the interest of LOCAL AGENCY has the potential to conflict with STATE interest or policy. Any dispute concerning a question of fact arising under the terms of this agreement which is not disposed of within a reasonable period of time by the LOCAL AGENCY and STATE employees normally responsible for the administration of this agreement shall be brought to the attention of the CAL FIRE Director or designee and the Chief Executive Officer (or designated representative) of the LOCAL AGENCY for joint resolution. For purposes of this provision, a “reasonable period of time” shall be ten (10) calendar days or less. STATE and LOCAL AGENCY agree to continue with the responsibilities under this Agreement during any dispute. 8. TERMINATION FOR CAUSE/CANCELLATION: A. If LOCAL AGENCY fails to remit payments in accordance with any part of this agreement, STATE may terminate this agreement and all related services upon 60 days written notice to LOCAL AGENCY. Termination of this agreement does not relieve LOCAL AGENCY from providing STATE full compensation in accordance with terms of this agreement for services actually rendered by STATE pursuant to this agreement. Page 133 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 10 B. This agreement may be cancelled at the option of either STATE or LOCAL AGENCY at any time during its term, with or without cause, on giving one year’s written notice to the other party. Either LOCAL AGENCY or STATE electing to cancel this agreement shall give one year’s written notice to the other party prior to cancellation. 9. INDEPENDENT CONTRACTOR: Unless otherwise provided in this agreement LOCAL AGENCY and the agents and employees of LOCAL AGENCY, in the performance of this Agreement, shall act in an independent capacity and not as officers or employees or agents of the STATE. 10. NON-DISCRIMINATION CLAUSE: During the performance of this agreement, LOCAL AGENCY shall be an equal opportunity employer and shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS) mental disability, medical condition (e.g.cancer), age (over 40), marital status, denial of family care leave, veteran status, sexual orientation, and sexual identity. LOCAL AGENCY shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. LOCAL AGENCY shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Agreement by reference and made a part hereof as if set forth in full. LOCAL AGENCY shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. In addition, LOCAL AGENCY acknowledges that it has obligations relating to ethics, Equal Employment Opportunity (EEO), the Fire Fighter’s Bill of Rights Act (FFBOR), and the Peace Officer’s Bill of Rights Act (POBOR). LOCAL AGENCY shall ensure that its employees comply with all the legal obligations relating to these areas. LOCAL AGENCY shall ensure that its employees are provided appropriate training. 11. TIMELINESS: Time is of the essence in the performance of this agreement. 12. COMPENSATION: The consideration to be paid STATE, as provided herein, shall be in compensation for all of STATE’s expenses incurred in the performance hereof, including travel, per Diem, and taxes, unless otherwise expressly so provided. 13. GOVERNING LAW: This agreement is governed by and shall be interpreted in accordance with the laws of the State of California. 14. CHILD SUPPORT COMPLIANCE ACT: “For any Agreement in excess of $100,000, the LOCAL AGENCY acknowledges in accordance with Public Contract Code 7110, that: A. The LOCAL AGENCY recognizes the importance of child and family support obligations and shall fully comply with all applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with section 5200) of Part 5 of Division 9 of the Family Code; and B. The LOCAL AGENCY, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the California Employment Development Department.” Page 134 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 11 15. 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. 16. COMPLIANCE WITH THE HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT (HIPAA) The STATE and LOCAL AGENCY have a responsibility to comply with the provisions of the 1996 Federal Health Insurance Portability and Accountability Act (HIPAA) and the 2001 State Health Insurance Portability and Accountability Implementation Act. HIPAA provisions become applicable once the association and relationships of the health care providers are determined by the LOCAL AGENCY. It is the LOCAL AGENCY’S responsibility to determine their status as a “covered entity” and the relationships of personnel as “health care providers”, “health care clearinghouse”, “hybrid entities”, business associates”, or “trading partners”. STATE personnel assigned to fill the LOCAL AGENCY’S positions within this Agreement, and their supervisors, may fall under the requirements of HIPAA based on the LOCAL AGENCY’S status. It is the LOCAL AGENCY’S responsibility to identify, notify, train, and provide all necessary policy and procedures to the STATE personnel that fall under HIPAA requirements so that they can comply with the required security and privacy standards of the act. 17. LIABILITY INSURANCE The STATE and LOCAL AGENCY shall each provide proof of insurance in a form acceptable to the other party at no cost one to the other, to cover all services provided and use of local government facilities covered by this agreement. If LOCAL AGENCY is insured and/or self-insured in whole or in part for any losses, LOCAL AGENCY shall provide a completed Certification of Self Insurance (Exhibit D, Schedule E) or certificate of insurance, executed by a duly authorized officer of LOCAL AGENCY. Upon request of LOCAL AGENCY the STATE shall provide a letter from DGS, Office Risk and Insurance Management executed by a duly authorized officer of STATE. If commercially insured in whole or in part, a certificate of such coverage executed by the insurer or its authorized representative shall be provided. Said commercial insurance or self-insurance coverage of the LOCAL AGENCY shall include the following: A. Fire protection and emergency services - Any commercial insurance shall provide at least general liability for $5,000,000 combined single limit per occurrence. B. Dispatch services – Any commercial insurance shall provide at least general liability for $1,000,000 combined single limit per occurrence. C. The CAL FIRE, State of California, its officers, agents, employees, and servants are included as additional insured’s for purposes of this contract. D. The STATE shall receive thirty (30) days prior written notice of any cancellation or change to the policy at the addresses listed on page 2 of this agreement. 18. WORKERS COMPENSATION: (only applies where local government employees/volunteers are supervised by CAL FIRE, as listed in Exhibit D Schedule C. STATE contract employees’ workers compensation is included as part of the contract personnel benefit rate). A. Workers' Compensation and related benefits for those persons, whose use or employment is contemplated herein, shall be provided in the manner prescribed by California Labor Codes, State Interagency Agreements and other related laws, rules, insurance policies, collective bargaining agreements, and memorandums of understanding. Page 135 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 12 B. The STATE Unit Chief administering the organization provided for in this agreement shall not use, dispatch or direct any non STATE employees, on any work which is deemed to be the responsibility of LOCAL AGENCY, unless and until LOCAL AGENCY provides for Workers' Compensation benefits at no cost to STATE. In the event STATE is held liable, in whole or in part, for the payment of any Worker's Compensation claim or award arising from the injury or death of any such worker, LOCAL AGENCY agrees to compensate STATE for the full amount of such liability. C. The STATE /LOCAL AGENCY shall receive proof of Worker’s Compensation coverage and shall be notified of any cancellation and change of coverage at the addresses listed in Section 1. 19. CONFLICT OF INTEREST: LOCAL AGENCY needs to be aware of the following provisions regarding current or former state employees. If LOCAL AGENCY has any questions on the status of any person rendering services or involved with the Agreement, the STATE must be contacted immediately for clarification. Current State Employees (Public Contract Code §10410): 1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. 2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services. Former State Employees (Public Contract Code §10411): 1) For the two-year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision-making process relevant to the contract while employed in any capacity by any state agency. 2) For the twelve-month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency in a policy-making position in the same general subject area as the proposed contract within the 12-month period prior to his or her leaving state service. If LOCAL AGENCY violates any provisions of above paragraphs, such action by LOCAL AGENCY shall render this Agreement void. (Public Contract Code §10420) Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (Public Contract Code §10430 (e)) 20. LABOR CODE/WORKERS' COMPENSATION: LOCAL AGENCY needs to be aware of the provisions which require every employer to be insured against liability for Worker's Compensation or to undertake self-insurance in accordance with the provisions, and LOCAL AGENCY affirms to comply with such provisions before commencing the performance of the work of this Agreement. (Labor Code Section 3700) 21. AMERICANS WITH DISABILITIES ACT: LOCAL AGENCY assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis Page 136 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 13 of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et seq.) 22. LOCAL AGENCY NAME CHANGE: An amendment is required to change the LOCAL AGENCY’S name as listed on this Agreement. Upon receipt of legal documentation of the name change the STATE will process the amendment. Payment of invoices presented with a new name cannot be paid prior to approval of said amendment. 23. RESOLUTION: A county, city, district, or other local public body must provide the STATE with a copy of a resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an agreement, authorizing execution of the agreement. 24. AIR OR WATER POLLUTION VIOLATION: Under the State laws, the LOCAL AGENCY shall not be: (1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; (2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or (3) finally determined to be in violation of provisions of federal law relating to air or water pollution. 25. AFFIRMATIVE ACTION. STATE certifies its compliance with applicable federal and State hiring requirements for persons with disabilities, and is deemed by LOCAL AGENCY to be in compliance with the provisions of LOCAL AGENCY’S Affirmative Action Program for Vendors. 26. DRUG AND ALCOHOL-FREE WORKPLACE. As a material condition of this Agreement, STATE agrees that it and its employees, while performing service for LOCAL AGENCY, on LOCAL AGENCY property, or while using LOCAL AGENCY equipment, shall comply with STATE’s Employee Rules of Conduct as they relate to the possession, use, or consumption of drugs and alcohol. 27. ZERO TOLERANCE FOR FRAUDULENT CONDUCT IN LOCAL AGENCY SERVICES. STATE shall comply with any applicable “Zero Tolerance for Fraudulent Conduct in LOCAL AGENCY Services.” There shall be “Zero Tolerance” for fraud committed by contractors in the administration of LOCAL AGENCY programs and the provision of LOCAL AGENCY services. Upon proven instances of fraud committed by the STATE in connection with performance under the Agreement, the Agreement may be terminated consistent with the termination for cause/cancellation term, Exhibit C, section 8, subsection B, of Cooperative Fire Programs Fire Protection Reimbursement Agreement, LG-1, between the California Department of Forestry and Fire Protection (CAL FIRE) and the LOCAL AGENCY. 28. CONFIDENTIAL INFORMATION. “Confidential information” means information designated by CAL FIRE and/or the LOCAL AGENCY disclosure of which is restricted, prohibited or privileged by State and federal law. Confidential Information includes, but is not limited to, information exempt from disclosure under the California Public Records Act (Government Code Sections 6250 et seq.) Confidential Information includes but is not limited to all records as defined in Government Code section 6252 as well as verbal communication of Confidential Information. Any exchange of Confidential Information between parties shall not constitute a “waiver” of any exemption pursuant to Government Code section 6254.5 CAL FIRE and LOCAL AGENCY personnel allowed access to information designated as Confidential Information shall be limited to those persons with a demonstrable business need for such access. CAL FIRE and LOCAL AGENCY agree to provide a list of authorized personnel in writing as required by Government Code section 6254.5(e). CAL FIRE and the LOCAL Page 137 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 14 AGENCY agree to take all necessary measures to protect Confidential Information and shall impose all the requirements of this Agreement on all of their respective officers, employees and agents with regards to access to the Confidential Information. A Party to this Contract who experiences a security breach involving Confidential Information covered by this Contract, agrees to promptly notify the other Party of such breach 29. ENTIRE AGREEMENT: This agreement contains the whole agreement between the Parties. It cancels and supersedes any previous agreement for the same or similar services. Page 138 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 15 EXHIBIT D ADDITIONAL PROVISIONS EXCISE TAX: State of California is exempt from federal excise taxes, and no payment will be made for any taxes levied on employees' wages. STATE will pay any applicable State of California or local sales or use taxes on the services rendered or equipment or parts supplied pursuant to this agreement. The STATE may pay any applicable sales and use tax imposed by another state. Schedules The following Schedules are included as part of this agreement (check boxes if they apply): A. Fiscal Display, PRC 4142 AND/OR PRC 4144 - STATE provided LOCAL AGENCY funded fire protection services. STATE-owned vehicles shall be operated and maintained in accordance with policies of STATE at rates listed in Exhibit D, Schedule A. B. STATE Funded Resource - A listing of personnel, crews and major facilities of the STATE overlapping or adjacent to the local agency area that may form a reciprocal part of this agreement. C. LOCAL AGENCY Provided Local Funded Resources - A listing of services, personnel, equipment and expenses, which are paid directly by the local agency, but which are under the supervision of the Unit Chief. D. LOCAL AGENCY Owned STATE Maintained Vehicles - Vehicle information pertaining to maintenance responsibilities and procedures for local agency-owned vehicles that may be a part of the agreement. LOCAL AGENCY-owned firefighting vehicles shall meet and be maintained to meet minimum safety standards set forth in Title 49, Code of Federal Regulations; and Titles 8 and 13, California Code of Regulations. LOCAL AGENCY-owned vehicles that are furnished to the STATE shall be maintained and operated in accordance to LOCAL AGENCY policies. In the event LOCAL AGENCY does not have such policies, LOCAL AGENCY-owned vehicles shall be maintained and operated in accordance with STATE policies. The cost of said vehicle maintenance and operation shall be at actual cost or at rates listed in Exhibit D, Schedule D. Exhibit D, Schedule D is incorporated into this section if LOCAL AGENCY-owned vehicles listed in Exhibit D, Schedule D are to be operated, maintained, and repaired by STATE. LOCAL AGENCY assumes full responsibility for all liabilities associated therewith in accordance with California Vehicle Code Sections 17000, 17001 et seq. STATE employees operating LOCAL AGENCY-owned vehicles shall be deemed employees of LOCAL AGENCY, as defined in Vehicle Code Section 17000. Except where LOCAL AGENCY would have no duty to indemnify STATE under Exhibit C, Section 6 for all LOCAL AGENCY-owned vehicles operated or used by employees of STATE under this agreement. Page 139 of 901 Contractor Name: City of Ukiah Contract No.: 1CA05265 Page No.: 16 LOCAL AGENCY employees, who are under the supervision of the Unit Chief and operating STATE-owned motor vehicles, as a part of the duties and in connection with fire protection and other emergency services, shall be deemed employees of STATE, as defined in Vehicle Code Section 17000 for acts or omissions in the use of such vehicles. Except where STATE would have no duty to indemnify LOCAL AGENCY under Exhibit C, Section 6. E. Certification of Insurance - Provider Insurance Certification and/or proof of self- insurance. Page 140 of 901 Unit:Mendocino Agreement Total $1,540,822 1CA05265 PS Total $329,755 PS Total $346,243 PS Total $363,555 PS Total $381,733 OE Total $27,734 OE Total $29,120 OE Total $30,576 OE Total $32,105 TOTAL $357,489 TOTAL $375,363 TOTAL $394,132 TOTAL $413,838 Fiscal Year 21/22 Contract Name:City Of Ukiah Contract No.: Page No.:17 Fiscal Year 22/23 (+5%)Fiscal Year 23/24 (+5%)Fiscal Year 24/25 (+5%) Page 141 of 901 Fiscal Year:2021 Sub Total $294,398 Index:1100 Unit:Mendocino Admin $35,357 PCA 17101 Total $329,755 1CA05265 PRC:4142 Comments Dispatch Agreement Overtime Total:$71,015 Number of Positions Classification/ad-ons (Pick From List)RET. Period Salary Months Salary Rate Total Salary EDWC Rate EDWC Periods Total EDWC Salary Benefits FFI UI EDWC Benefits Total Salary & EDWC Total Position Cost 2 Communications Operator, Range B SAF 12 $6,081 $145,944 $0 0 $0 $74,300 $0 $0 $220,244 $294,398 1 Night‐Shift Pay Differential SAF 12 $173 $2,080 $0 $1,059 $0 $3,139 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 1 Overtime SAF $70,000 $0 $1,015 $0 $71,015 $0 $0 $0 0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Overtime $0 $0 $0 $0 $0 $0 $0 0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Overtime $0 $0 $0 $0 $0 $0 $0 0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Overtime $0 $0 $0 $0 $0 $0 $0 0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Overtime $0 $0 $0 $0 $0 $0 $0 0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Overtime $0 $0 $0 $0 $0 $0 $0 0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Overtime $0 $0 $0 $0 This is a Schedule A - 4142 of the Cooperative Agreement, dated July 1, 2021 between "City of Ukiah" and The California Department of Forestry and Fire Protection (CAL FIRE) Contract Name:City Of Ukiah Contract No.: Page No.:18 CAL FIRE Unit Chief CAL FIRE Region Chief George Gonzalez Mike Bradley Page 142 of 901 Fiscal Year:2021 $0 Index:1100 $24,760 PCA:17101 $2,974 PRC:4142 $27,734 19 Comments 1.45% Category (Pick from List) Details Number Months Rate Sub-Total Uniform Benefits Total UNIFORM ALLOWANCE FOR COMM OP 2.00 12.00 $104 2,500$ 0 2,500$ GENERAL EXPENSE Maintenance, Utlities, EMD 1.00 12.00 $455 5,460$ 0 5,460$ TRAINING Employees 2.00 12.00 $700 16,800$ 0 16,800$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ ‐$ 0 ‐$ 1CA05265 City Of Ukiah Total Page No.: This is a Schedule A - 4142 of the Cooperative Agreement, dated July 1, 2021 between "City of Ukiah" and The California Department of Forestry and Fire Protection (CAL FIRE) Uniform Benefits Contract Name: Sub Total Admin Contract No.: Page 143 of 901 Contractor Name: City of Ukiah Contract Number: 1CA05265 Page No. 20Exhibit E CALIFORNIA DEPARTMENT OF FORESTRY AND FIRE PROTECTION MENDOCINO UNIT Service Description for Fire and Emergency Medical Dispatch Services To City of Ukiah Within current California Department of Forestry and Fire Protection (CAL FIRE) policy and in addition to the elements of the FIRE SERVICE COMMUNICATION SYSTEM – Memorandum of Understanding – Standard Operational Procedures for the Mendocino County Operational Area (Office of Fire Warden, Mendocino County Fire Chiefs Association, November 1994); the following serves to describe the scope of work to be performed by the CAL FIRE Howard Forest Emergency Command Center (ECC) for the City of Ukiah: Service Fire and Emergency Medical Services (EMS) dispatch services will be provided to those Local Fire Service Agencies and Ambulance providers of Mendocino County who are signatory to the Operational Memorandum of Understanding (MOU) of November 1994. Coastal Valley Emergency Medical Services (CVEMS) has designated the Howard Forest ECC (HFECC) as Mendocino County’s Air Ambulance Coordination Center. The HFECC is the secondary Public Safety Answering Point (PSAP) for Mendocino County. CAL FIRE is the Cal OES Fire and Rescue Coordination Center for Mendocino County. Dispatch services will be provided 24-hours per day, seven days per week, throughout the contract period. CAL FIRE will provide Emergency Medical Dispatching (EMD) for medical dispatch and call priority determination (when appropriate). EMD provides for a caller to respond to a standardized question format to help determine the type of resources required to appropriately assist the caller. EMD also directs the dispatcher to provide pre-arrival instructions to assist with patient care, once the emergency response has been dispatched. Generally, all emergency calls will be dispatched within sixty (60) seconds of the call. This time frame is a general target; it is recognized that verification of location information and directions to the location of the emergency as well as completion of the EMD process will sometimes require more than the 60-second time frame. Priority is place on clear and reliable dispatch information for responding resources. Page 144 of 901 Contractor Name: City of Ukiah Contract Number: 1CA05265 Page No. 21 All emergency, non-emergency and administrative calls for service are logging into the Altaris Computer Added Dispatch program (CAD). All key entries are automatically time stamped by the CAD program for accuracy. All entries that require a field response of any type are logged as incidents and administrative functions (such as Fire Department announcements) are logged in as events and do not generate an incident number. All CAD data is available on a web-based program that is accessible by a password protected program available to any agency or cooperator who does business with the dispatch center. The program used to retrieve this data is Crystal Reports, a CAL FIRE standard program for CAD data retrieval. All users of this service will be restricted to access records that originate in the Mendocino Unit. This program has pre-built reports that the user can access. Any news reports must be requested through the ECC Manager with specifics of the information requested. No call data or other CAD information will be released to the public. Staffing CAL FIRE provides a dispatch center 24 hours per day, seven days a week. Staffing levels for the ECC are a minimum of 1 fully qualified Fire Captain, and 2 fully qualified Communications Operator. During Fire Season, when CAL FIRE fixed wing aircraft are on Contract (normally, 6/15 through 10/15), the ECC is staffed with a minimum of 2 qualified Fire Captains and 2 qualified Communications Operators during the day. The ECC Manager is a CAL FIRE Battalion Chief. This person is responsible for all ECC operations, personnel, and coordination with the Mendocino County Dispatch contract. He/She is the primary contact for the Coastal Valley EMS coordinator for any changes in EMS dispatch policy, procedures, or information requests. Facilities The CAL FIRE ECC infrastructure consists of two buildings that house the ECC and Expanded Dispatch along with all of the radio and telephone equipment. These two buildings together allow handling of all the normal daily activities and, if necessary, open an expanded dispatch to handle larger incidents. A 125 KW generator is also on-site to automatically provide emergency power if necessary. The ECC is capable of providing all dispatching services on multiple frequencies. Fire and EMS are being dispatched at the same time using the Mendocino County Dispatching frequencies. CAL FIRE has Altaris Computer Aided Dispatch program (CAD) in a laptop computer and CAL FIRE can use another location’s phone service along with a Mobile radio for a short duration. If this is not possible CAL FIRE has the ability to use a mobile location with Cellular phone service. CAL FIRE has access to a Mobile Communications Center for a backup Emergency Command Center, if needed for a long duration event, which is usually available within four hours. Page 145 of 901 Contractor Name: City of Ukiah Contract Number: 1CA05265 Page No. 22 Radio Frequencies The ECC will use the following frequencies, which are licensed to Mendocino County, to dispatch and support local government and CAL FIRE resources on any incident that requires use of these frequencies: Mendocino County Red TX 154.3850 RX 153.9500 Mendocino County Blue TX 156.1950 RX 151.0850 Mendocino County Green TX 155.4300 RX 151.1150 The ECC will use the following frequencies, which are licensed to CAL FIRE, to support CAL FIRE or local government on any incident that requires use of these frequencies: CAL FIRE Mendocino Local TX 159.2700 RX 153.3850 CAL FIRE Command 8 TX 159.3450 RX 151.4450 CAL FIRE Command 1 TX 159.3000 RX 151.3550 CAL FIRE Command 2 TX 159.3300 RX 151.2650 Additional Agencies/Resources dispatched all or in part, Pursuant to this Contract: CALSTAR 4 Air Ambulance REACH 18 Air Ambulance Anderson Valley Ambulance Fort Bragg Ambulance MEDSTAR Ambulance Redwood Empire Hazardous Materials Response Team (REHIT) The ECC has a Cooperative Agreement to provide dispatching services to the County of Mendocino fire agencies. Page 146 of 901 Page 1 of 2 Agenda Item No: 7.c. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1285 AGENDA SUMMARY REPORT SUBJECT: Notification to City Council of Contract No. 2122-163 with Flock Group Inc. for the Rental of Two Cameras in the Amount of $10,500 for the Ukiah Valley Fire Authority. DEPARTMENT: Fire PREPARED BY: Eric Singleton, Battalion Chief PRESENTER: Doug Hutchison, Fire Chief ATTACHMENTS: 1. Flock Group Inc - Contract Summary: Council will receive notification of Contract No. 2022-163 for rental of two surveillance cameras on a two-year contract with Flock Group INC. in the amount of $10,500 for the Ukiah Valley Fire Authority. Background: The Ukiah Valley Fire Authority (UVFA) is required and responsible for the investigation of any fire (structural, vegetation, vehicle, etc.,) that happens within the City/District boundaries. The UVFA is also contracted with the Sheriff’s Office to investigate fires throughout the county. Over the past few years, the Ukiah Valley and surrounding areas have seen a substantial increase in arson-related incidents. California, in general, has seen its fire seasons increase in length and severity. UVFA has continually maintained a proactive approach to the identification, apprehension, and prosecution of individuals who maliciously and intentionally set fires. Innovated technology has played a pivotal role in the UVFA approach to utilizing private and public camera systems to help with these cases along with teamwork with local and state law enforcement agencies. Discussion: Currently, Flock Safety Camera Solutions are utilized by a vast number of agencies in Northern California, including the City Of Ukiah Police Department (UPD), Mendocino County Sheriff's Office (MCSO), Clearlake Police Department, and Lake County Sheriff's Office (LCSO). Though the use and missions of the cameras play different roles, the data from the system can be shared on an authorized basis between all agencies to act in a cooperative manner for all public safety. UVFA intends the camera's main use as a tool to assist in arson investigations, with UVFA having these two cameras linked to the cameras with regional partners gives us the ability to be as innovative and effective as possible in our mission to prevent fires from occurring and investigating when they do occur. Camera locations will move based on arson activity. This was a sole-source contract (Attachment 1) due to Flock being the current provider utilized by regional partners. Recommended Action: Receive notification of Contact No. 2022-163 with Flock Group INC. BUDGET AMENDMENT REQUIRED: No CURRENT BUDGET AMOUNT: 10521210.54500: $6,753 PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: 2122-163 COORDINATED WITH: Doug Hutchison, Fire Chief Page 147 of 901 Page 2 of 2 Page 148 of 901 FLOCK GROUP INC. SERVICES AGREEMENT ORDER FORM This Order Form together with the Terms (as defined herein) describe the relationship between Flock Group Inc. Flock”) and the customer identified below (“Agency”) (each of Flock and Customer, a ”Party”). This order form Order Form”) hereby incorporates and includes the “GOVERNMENT AGENCY AGREEMENT” attached (the “Terms”) which describe and set forth the general legal terms governing the relationship (collectively, the "Agreement" ). The Terms contain, among other things, warranty disclaimers, liability limitations and use limitations . The Agreement will become effective when this Order Form is executed by both Parties (the “Effective Date”). Agency: City of Ukiah Legal Entity Name: \FSLegalEntityName{r}\ Contact Name: Justin Buckingham Address: 300 Seminary Avenue Ukiah, California 95482 Phone: 7074627921 E-Mail: jbuckingham@cityofukiah.com Expected Payment Method: FSExpectedPaymentMethod1\ Billing Contact: \FSBillingContact1\ if different than above) Initial Term: 24 months Renewal Term: 24 months Billing Term: Annual payment due Net 30 per terms and conditions COU #2122-163 accountspayable@cityofukiah.com Company check ATTACHMENT 1 Page 149 of 901 Name Price QTY Subtotal Flock Falcon Camera $2,500.00 2.00 $5,000.00 Implementation Fee $250.00 2.00 $500.00 Includes one-time fees) Year 1 Total $5,500.00 Recurring Total: $5,000.00 Special terms: N/A Page 150 of 901 I have reviewed and agree to the Customer Implementation Guide on Schedule B at the end of this agreement. FSInitials1\ By executing this Order Form, Agency represents and warrants that it has read and agrees all of the terms and conditions contained in the Terms attached. The Parties have executed this Agreement as of the dates set forth below. FLOCK GROUP, INC. Agency: City of Ukiah By: FSSignature2\ By: FSSignature1\ Name: FSFullname2\ Name: FSFullname1\ Title: FSTitle2\ Title: FSTitle1\ Date: FSDateSigned2\ Date: FSDateSigned1\ Sage Sangiacomo City Manager Jan 11, 2022 Page 151 of 901 GOVERNMENT AGENCY AGREEMENT This Government Agency Agreement (this “Agreement”) is entered into by and between Flock Group, Inc. with a place of business at 1170 Howell Mill Rd NW Suite 210, Atlanta, GA 30318 (“Flock”) and the police department or government agency identified in the signature block below (“Agency”) (each a “Party,” and together, the “Parties”). RECITALS WHEREAS, Flock offers a software and hardware solution for automatic license plate detection through Flock’s technology platform (the “Flock Service”), and upon detection, the Flock Service creates images and recordings of suspect vehicles (“Footage”) and can provide notifications to Agency upon the instructions of Non- Agency End User (“Notifications”); WHEREAS, Agency desires to purchase, use and/or have installed access to the Flock Service on existing cameras, provided by Agency, or Flock provided Hardware (as defined below) in order to create, view, search and archive Footage and receive Notifications, including those from non-Agency users of the Flock System (where there is an investigative purpose) such as schools, neighborhood homeowners associations, businesses, and individual users; WHEREAS, because Footage is stored for no longer than (thirty) 30 days in compliance with Flock’s records retention policy, Agency is responsible for extracting, downloading and archiving Footage from the Flock System on its own storage devices for auditing for prosecutorial/administrative purposes; and WHEREAS, Flock desires to provide Agency the Flock Service and any access thereto, subject to the terms and conditions of this Agreement, solely for the purpose of crime awareness and prevention by police departments and archiving for evidence gathering (“Purpose”). AGREEMENT NOW, THEREFORE, Flock and Agency agree as follows and further agree to incorporate the Recitals into this Agreement. 1. DEFINITIONS Certain capitalized terms, not otherwise defined herein, have the meanings set forth or cross-referenced in this Section 1. 1.1 "Agency Data” will mean the data, media and content provided by Agency through the Services. For the avoidance of doubt, the Agency Data will include the Footage. 1.2. “Agency Hardware ” shall mean the third-party camera owned or provided by Agency and any other physical elements that interact with the Embedded Software and the Web Interface to provide the Services. The term Agency Hardware ” excludes the Embedded Software. 1.3 “Authorized End User(s)” shall mean any individual employees, agents, or contractors of Agency accessing or using the Services through the Web Interface, under the rights granted to Agency pursuant to this Agreement. 1.4 “Documentation” will mean text and/or graphical documentation, whether in electronic or printed format, that describe the features, functions and operation of the Services which are provided by Flock to Agency in accordance with the terms of this Agreement. Page 152 of 901 1.5 “Embedded Software” will mean the software and/or firmware embedded or preinstalled on the Agency Hardware. 1.6 “Flock IP” will mean the Services, the Documentation, the Embedded Software, the Installation Services, and any and all intellectual property therein or otherwise provided to Agency and/or its Authorized End Users in connection with the foregoing. 1.7 “Footage” means still images captured by the Agency Hardware in the course of and provided via the Services. 1.8 “Hardware” or “Flock Hardware” shall mean the Flock cameras, pole, clamps, solar panel, installation components, and any other physical elements that interact with the Embedded Software and the Web Interface to provide the Flock Services. The term “Hardware” excludes the Embedded Software. 1.9 “Implementation Fee(s)” means the monetary fees associated with the Installation Services, as defined in Section 1.10 below. 1.10 “Installation Services” means the services provided by Flock including any applicable installation of Embedded Software on Agency Hardware. 1.11 “Services” or “Flock Services” means the provision, via the Web Interface, of Flock’s software application for automatic license plate detection, searching image records, and sharing Footage. 1.12 “Support Services” shall mean Monitoring Services, as defined in Section 2.9 below. 1.13 “Unit(s)” shall mean the Agency Hardware together with the Embedded Software. 1.14 “Usage Fee” means the subscription fees to be paid by the Agency for ongoing access to Services. 1.15 “Web Interface” means the website(s) or application(s) through which Agency and its Authorized End Users can access the Services in accordance with the terms of this Agreement. 2. SERVICES AND SUPPORT 2.1 Provision of Access. Subject to the terms of this Agreement, Flock hereby grants to Agency a non-exclusive, non-transferable right to access the features and functions of the Services via the Web Interface during the Service Term (as defined in Section 6.1 below), solely for the Authorized End Users. The Footage will be available for Agency ’s designated administrator, listed on the Order Form, and any Authorized End Users to access via the Web Interface for thirty (30) days. Authorized End Users will be required to sign up for an account and select a password and username (“User ID”). Flock will also provide Agency with the Documentation to be used in accessing andPage 153 of 901 using the Services. Agency shall be responsible for all acts and omissions of Authorized End Users, and any act or omission by an Authorized End User which, if undertaken by Agency, would constitute a breach of this Agreement, shall be deemed a breach of this Agreement by Agency. Agency shall undertake reasonable efforts to make all Authorized End Users aware of the provisions of this Agreement as applicable to such Authorized End User’s use of the Services, and shall cause Authorized End Users to comply with such provisions. Flock may use the services of one or more third parties to deliver any part of the Services, including without limitation using a third party to host the Web Interface which makes the Services available to Agency and Authorized End Users. WARRANTIES PROVIDED BY SAID THIRD PARTY SERVICE PROVIDERS ARE THE AGENCY’S SOLE AND EXCLUSIVE REMEDY AND FLOCK’S SOLE AND EXCLUSIVE LIABILITY WITH REGARD TO SUCH THIRD-PARTY SERVICES, INCLUDING WITHOUT LIMITATION HOSTING THE WEB INTERFACE. Agency agrees to comply with any acceptable use policies and other terms of any third -party service provider that are provided or otherwise made available to Agency from time to time. 2.2 Embedded Software License. Subject to all terms of this Agreement, Flock grants Agency a limited, non - exclusive, non-transferable, non-sublicensable (except to the Authorized End Users), revocable right to use the Embedded Software as installed on the Hardware or Agency Hardware; in each case, solely as necessary for Agency to use the Services. 2.3 Documentation License. Subject to the terms of this Agreement, Flock hereby grants to Agency a non - exclusive, non-transferable right and license to use the Documentation during the Service Term to Agency ’s in connection with its use of the Services as contemplated herein, and under Section 2.4 below. 2.4 Usage Restrictions. The purpose for usage of the Unit, Documentation, Services, support, and Flock IP are solely to facilitate gathering evidence that could be used in a lawful criminal investigation by the appropriate government agency and not for tracking activities that the system is not designed to capture (“Permitted Purpose”). Agency will not, and will not permit any Authorized End Users to, (i) copy or duplicate any of the Flock IP; (ii) decompile, disassemble, reverse engineer or otherwise attempt to obtain or perceive the source code from which any software component of any of the Flock IP is comp iled or interpreted, or apply any other process or procedure to derive the source code of any software included in the Flock IP, or attempt to do any of the foregoing, and Agency acknowledges that nothing in this Agreement will be construed to grant Agency any right to obtain or use such source code; (iii) modify, alter, tamper with or repair any of the Flock IP, or create any derivative product from any of the foregoing, or attempt to do any of the foregoing, except with the prior written consent of Flock; (iv) interfere or attempt to interfere in any manner with the functionality or proper working of any of the Flock IP; (v) remove, obscure, or alter any notice of any intellectual property or proprietary right appearing on or contained within any of the Services or Flock IP; (vi) use the Services, support, Unit, Documentation or the Flock IP for anything other than the Permitted Purpose; or (vii) assign, sublicense, sell, resell, lease, rent or otherwise transfer or convey, or pledge as security or otherwise encumber, Agency ’s rights under Sections 2.1, 2.2, or 2.3. Page 154 of 901 2.5 Retained Rights; Ownership. As between the Parties, subject to the rights granted in this Agreement, Flock and its licensors retain all right, title and interest in and to the Flock IP and its components, and Agency acknowledges that it neither owns nor acquires any additional rights in and to the foregoing not expressly granted by this Agreement. Agency further acknowledges that Flock retains the right to use the foregoing for any purpose in Flock’s sole discretion. There are no implied rights. 2.6 Suspension. Notwithstanding anything to the contrary in this Agreement, Flock may temporarily suspend Agency ’s and any Authorized End User’s access to any portion or all of the Flock IP if (i) Flock reasonably determines that (a) there is a threat or attack on any of the Flock IP; (b) Agency ’s or any Authorized End User’s use of the Flock IP disrupts or poses a security risk to the Flock IP or any other Agency or vendor of Flock; (c) Agency or any Authorized End User is/are using the Flock IP for fraudulent or illegal activities; (d) Flock’s provision of the Services to Agency or any Authorized End User is prohibited by applicable law; (e) any vendor of Flock has suspended or terminated Flock’s access to or use of any third party services or products required to enable Agency to access the Flock IP; or (f) Agency has violated any term of this provision, including, but not limited to, utilizing the Services for anything other than the Permitted Purpose (each such suspension, in accordance with this Section 2.6, a “Service Suspension”). Flock will make commercially reasonable efforts, circumstances permitting, to provide written notice of any Service Suspension to Agency (including notices sent to Flock’s registered email address) and to provide updates regarding resumption of access to the Flock IP following any Service Suspension. Flock will use commercially reasonable efforts to resume providing access to the Service as soon as reasonably possible after the event giving rise to the Service Suspension is cured. Flock will have no liability for any damage, liabilities, losses (including any loss of data or profits) or any other consequences that Agency or any Authorized End User may incur as a result of a Service Suspension. To the extent that the Service Suspension is not caused by Agency ’s direct actions or by the actions of parties associated with the Agency , the expiration of the Term will be tolled by the duration of any suspension (for any continuous suspension lasting at least one full day) prorated for the proportion of cameras on the Agency ’s account that have been impacted. 2.7 Installation Services. 2.7.1 Designated Locations. For installation of Flock Hardware, prior to performing the physical installation of the Units, Flock shall advise Agency on the location and positioning of the Units for optimal license plate image capture, as conditions and location allow. Flock and Agency must mutually agree on the location (mounting site or pole), position and angle of the Units (each Unit location so designated by Agency, a “Designated Location”). Flock shall have no liability to Agency resulting from any poor performance, functionality or Footage resulting from or otherwise relating to the Designated Locations or delay in installation due to Agency’s delay in identifying the choices for the Designated Locations, in ordering and/or having the Designated Location ready for installation including having all electrical work preinstalled and permits ready, if necessary. Designated Locations that are suggested by Flock and accepted by Agency without alteration will be known as Flock Designated Locations. After a deploymentPage 155 of 901 plan with Designated Locations and equipment has been agreed upon by both Flock and the Agency, any subsequent changes to the deployment plan (“Reinstalls”) requested by the Agency will incur a charge for Flock’s then-current list price for Reinstalls, as listed in the then-current Reinstall Policy (available at https://www.flocksafety.com/reinstall-fee-schedule) and any equipment charges. These changes include but are not limited to camera re-positioning, adjusting of camera mounting, re-angling, removing foliage, camera replacement, changes to heights of poles, regardless of whether the need for Reinstalls related to vandalism, weather, theft, lack of criminal activity in view, and the like. Flock Safety shall have final discretion on installation and Reinstalls. 2.7.2 Agency Installation Obligations. Agency agrees to allow Flock and its agents reasonable access in and near the Designated Locations at all reasonable times upon reasonable notice for the purpose of performing the installation work. The “Agency Installation Obligations” include, to the extent required by the deployment plan, but are not limited to electrical work to provide a reliable source of 120V AC power that follow Flock guidelines and comply with local regulations if adequate solar exposure is not available. Agency is solely responsible for (i) any permits or associated costs, and managing the permitting process; (ii) any federal, state or local taxes including property, license, privilege, sales, use, excise, gross receipts or other similar taxes which may now or hereafter become applicable to, measured by or imposed upon or with respect to the installation of the Hardware, its use, or (iii) any other supplementary cost for services performed in connection with installation of the Hardware, including but not limited to contractor licensing, engineered drawings, rental of specialized equipment or vehicles, third-party personnel i.e. Traffic Control Officers, Electricians, etc., if necessary), such costs to be approved by the Agency. Flock will provide options to supply power at each Designated Location. If Agency refuses alternative power supply options, Agency agrees and understands that Agency will not be subject to any reimbursement, tolling, or credit for any suspension period of Flock Services due to low solar. Flock will make all reasonable efforts within their control to minimize suspension of Flock Services. Any fees payable to Flock exclude the foregoing. Without being obligated or taking any responsibility for the foregoing, Flock may pay and invoice related costs to Agency if Agency did not address them prior to the execution of this Agreement or a third party requires Flock to pay. Agency represents and warrants that it has all necessary right title and authority and hereby authorizes Flock to install the Hardware at the Designated Locations and to make any necessary inspections or tests in connection with such installation. Flock is not responsible for installation of Agency Hardware. 2.7.3 Flock’s Obligations. Installation of any Flock Hardware shall be installed in a workmanlike manner in accordance with Flock’s standard installation procedures, and the installation will be completed within a reasonable time from the time that the Designated Locations are selected by Agency. Following the initial installation of the Hardware and any subsequent Reinstalls or maintenance operations, Flock’s obligation to perform installation work shall cease; however, Flock will continue to monitor the performance of the Units for the length of the Term and will receive access to the Footage for a period of three (3) business days after the initial installation in order to monitor performance and provide any necessary maintenance solely as a measure of quality control. Agency can opt out of Flock’s access to Footage after the initial installation which would waive Flock’s responsibility to ensure such action was successful. Agency understands and agrees that the Flock Services will not function without the Hardware. Labor Page 156 of 901 may be provided by Flock or a third party. Flock is not obligated to install, reinstall, or provide physical maintenance to Agency Hardware. 2.7.4 Security Interest. Flock Hardware shall remain the personal property of Flock and will be removed upon the termination or expiration of this Agreement. Agency agrees to perform all acts which may be necessary t o assure the retention of title of the Hardware by Flock. Should Agency default in any payment for the Flock Services or any part thereof or offer to sell or auction the Hardware, then Agency authorizes and empowers Flock to remove the Hardware or any part thereof. Such removal, if made by Flock, shall not be deemed a waiver of Flock’s rights to any damages Flock may sustain as a result of Agency’s default and Flock shall have the right to enforce any other legal remedy or right. In the event of natural expiration of this Agreement, Flock shall remove Flock Hardware at no additional cost to Agency. 2.8 Hazardous Conditions. Unless otherwise stated in the Agreement, Flock’s price for its services under this Agreement does not contemplate work in any areas that contain hazardous materials, or other hazardous conditions, including, without limit, asbestos, lead, toxic or flammable substances. In the event any such hazardous materials are discovered in the designated locations in which Flock is to perform services under this Agreement, Flock shall have the right to cease work immediately in the area affected until such materials are removed or rendered harmless. Any additional expenses incurred by Flock as a result of the discovery or presence of hazardous mate rial or hazardous conditions shall be the responsibility of Agency and shall be paid promptly upon billing. 2.9 Support Services. Subject to the payment of fees, Flock shall monitor the performance and functionality of Flock Services and may, from time to time, advise Agency on changes to the Flock Services, Installation Services, or the Designated Locations which may improve the performance or functionality of the Services or may improve the quality of the Footage. The work, its timing, and the fees payable relating to such work shall be agreed by the Parties prior to any alterations to or changes of the Services or the Designated Locations (“Monitoring Services”). Subject to the terms hereof, Flock will provide Agency with reasonable technical and on-site support and maintenance services (“On- Site Services”) in-person or by email at support@flocksafety.com. Flock will use commercially reasonable efforts to respond to requests for support. If Agency chooses to self-install Hardware or install Hardware on a mobile location, Flock shall make reasonable commercial efforts to provide On -Site Services, if permissible. Agency shall not be entitled to reimbursement, tolling, or credit for any lapse in Serv ices associated with the Unit malfunction due to installation on mobile locations (i.e. trailers). Agency waives any warranties hereunder for any self -installed Hardware, and Flock shall not be liable for failure to respond to any maintenance requests for self-installed Hardware. Agency shall be subject to Reinstall Fees for re-positioning Units on mobile locations, or subsequent installation on Flock or other stationary poles. 2.10 Special Terms. From time to time, Flock may offer certain “Special Terms” related to guarantees, service and support which are indicated in the proposal and on the order form and will become part of this Agreement, uponPage 157 of 901 Agency’s consent. To the extent that any terms of this Agreement are inconsistent or conflict with the Special Terms, the Special Terms shall control. 2.10 Changes to Platform. Flock Safety may, in its sole discretion, make any changes to any system or platform that it deems necessary or useful to (i) maintain or enhance (a) the quality or delivery of Flock Safet y’s products or services to its Agency s, (b) the competitive strength of, or market for, Flock Safety’s products or services, (c) such platform or system’s cost efficiency or performance, or (ii) to comply with applicable law. 3. RESTRICTIONS AND RESPONSIBILITIES 3.1 Agency Obligations. Upon creation of a User ID, Agency agrees to provide Flock with accurate, complete, and updated registration information. Agency may not select as its User ID a name that Agency does not have the right to use, or another person’s name with the intent to impersonate that person. Agency may not transfer its account to anyone else without prior written permission of Flock. Agency will not share its account or password with anyone, and must protect the security of its account and password. Agency is respons ible for any activity associated with its account. Agency shall be responsible for obtaining and maintaining any equipment and ancillary services needed to connect to, access or otherwise use the Services. Agency will, at its own expense, provide assistan ce to Flock, including, but not limited to, by means of access to, and use of, Agency facilities, as well as by means of assistance from Agency personnel, to the limited extent any of the foregoing may be reasonably necessary to enable Flock to perform its obligations hereunder, including, without limitation, any obligations with respect to Support Services or any Installation Services. 3.2 Agency Representations and Warranties. Agency represents, covenants, and warrants that Agency will use the Services only in compliance with this Agreement and all applicable laws and regulations, including but not limited to any laws relating to the recording or sharing of video, photo, or audio content. To the extent allowed by the governing law of the state mentioned in Section 10.6, or if no state is mentioned in Section 10.6, by the law of the State of California, Agency hereby agrees to indemnify and hold harmless Flock against any damages, losses, liabilities, settlements and expenses. including without limitation costs and attorneys’ fees, in connection with any claim or action that arises from an alleged violation of the foregoing, Agency ’s installation obligations, or otherwise from Agency ’s use of the Services, Flock Hardware, Agency Hardware and any Embedded Software, including any claim that such actions violate any applicable law or third party right. Although Flock has no obligation to monitor Agency ’s use of the Services, Flock may do so and may prohibit any use of the Services it believes may be (or alleged to be) in violation of the foregoing. 4. CONFIDENTIALITY; AGENCY DATA 4.1 Confidentiality. This provision is subject to any obligations under FOIA and state-specific Public Records Acts. Each Party (the “Receiving Party”) understands that the other Party (the “Disclosing Party”) has disclosed or may disclose business, technical or financial information relating to the Disclosing Party’s business (hereinafter referredPage 158 of 901 to as “Proprietary Information” of the Disclosing Party). Proprietary Information of Flock includes non-public information regarding features, functionality and performance of the Services. Proprietary Information of Agency includes non-public data provided by Agency to Flock or collected by Flock via the Unit, including the Footage, to enable the provision of the Services, which includes but is not limited to geolocation information and environmental data collected by sensors built into the Units (“Agency Data”). The Receiving Party agrees: (i) to take the same security precautions to protect against disclosure or unauthorized use of such Proprietary Information that the party takes with its own proprietary information, but in no event will a party apply less than reasonable precautions to protect such Proprietary Information, and (ii) not to use (except in performance of the Services or as otherwise permitted herein) or divulge to any third person any such Proprietary Information. Flock’s use of the Proprietary Information may include processing the Proprietary Information to send Agenc y alerts, such as when a car exits Agency ’s neighborhood, or to analyze the data collected to identify motion or other events. The Disclosing Party agrees that the foregoing shall not apply with respect to any information that the Receiving Party can doc ument (a) is or becomes generally available to the public, or (b) was in its possession or known by it prior to receipt from the Disclosing Party, or (c) was rightfully disclosed to it without restriction by a third party, or (d) was independently developed without use of any Proprietary Information of the Disclosing Party. Nothing in this Agreement will prevent the Receiving Party from disclosing the Proprietary Information pursuant to any judicial or governmental order, provided that the Receiving Party gives the Disclosing Party reasonable prior notice of such disclosure to contest such order. For clarity, Flock may access, use, preserve and/or disclose the Footage to law enforcement authorities, government officials, and/or third parties, if legally required to do so or if Flock has a good faith belief that such access, use, preservation or disclosure is reasonably necessary to: (a) comply with a legal process or request; (b) enforce this Agreement, including investigation of any potential violation thereof; (c) detect, prevent or otherwise address security, fraud or technical issues; or (d) protect the rights, property or safety of Flock, its users, a third party, or the public as required or permitted by law, including respond to an emergency situation . Agency hereby expressly grants Flock a non-exclusive, worldwide, perpetual, royalty-free right and license (during and after the term hereof) to disclose the Agency Data (inclusive of any Footage) to enable law enforcement monitoring against law enforcement hotlists as well as provide Footage search access to law enforcement for investigative purposes only. Flock may store deleted Footage in order to comply with certain legal obligations but such retained Footage will not be retrievable without a valid court order. 4.2 Agency Data. Agency and Non-Agency End User Data. As between Flock and Agency, all right, title and interest in the Agency Data and Non-Agency End User Data, belong to and are retained solely by Agency. Agency hereby grants to Flock a limited, non-exclusive, royalty-free, worldwide license to use the Agency Data and Non- Agency End User Data and perform all acts with respect to the Agency Data and Non -Agency End User Data as may be necessary for Flock to provide the Flock Services to Agency, including without limitation the Support Services set forth in Section 2.9 above, and a non-exclusive, perpetual, irrevocable, worldwide, royalty-free, fully paid license to use, reproduce, modify and distribute the Agency Data and Non -Agency End User Data as a part of the Aggregated Data (as defined in Section 4.4 below). As between Flock and Agency, Agency is solely responsiblePage 159 of 901 for the accuracy, quality, integrity, legality, reliability, and appropriateness of all Agency Data and Non -Agency End User Data. As between Agency and Non-Agency End Users that have prescribed access of Footage to Agency, each of Agency and Non-Agency End Users will share all right, title and interest in the Non -Agency End User Data. This Agreement does not by itself make any Non-Agency End User Data the sole property or the Proprietary Information of Agency. Flock will automatically delete Footage older than thirty (30) days. Agency has a thirty (30) day window to view, save and/or transmit Footage to the relevant government agency prior to its deletion. 4.3 Feedback. If Agency provides any suggestions, ideas, enhancement requests, feedback, recommendations or other information relating to the subject matter hereunder, Agency hereby assigns (and will cause its agents and representatives to assign) to Flock all right, title and interest (including intellectual property rights) with respect to or resulting from any of the foregoing. 4.4 Aggregated Data. Notwithstanding anything in this Agreement to the contrary, Flock shall have the right to collect and analyze data that does not refer to or identify Agency or any individuals or de -identifies such data and other information relating to the provision, use and performance of various aspects of the Services and related systems and technologies (including, without limitation, information concerning Agency Data and data derived therefrom). For the sake of clarity, Aggregated Data is compiled anonymous data which has been stripped of any personal identifying information. Agency acknowledges that Flock will be compiling anonymized and/or aggregated data based on Agency Data and Non-Agency End User Data input into the Services (the “Aggregated Data”). Agency hereby grants Flock a non-exclusive, worldwide, perpetual, royalty-free right and license (during and after the Service Term hereof) to (i) use and distribute such Aggregated Data to improve and enhance the Services and for other marketing, development, diagnostic and corrective purposes, other Flock offerings, and crime prevention efforts, and (ii) disclose the Agency Data and Non-Agency End User Data (both inclusive of any Footage) to enable law enforcement monitoring against law enforcement hotlists as well as provide Footage search access to law enforcement for investigative purposes only. No rights or licenses are granted except as expressly set forth herein. 5. PAYMENT OF FEES 5.1a Wing Fees. For Wing products, the Agency will pay Flock the first Usage Fee and the Implementation Fee (as described on the Order Form, together the “Initial Fees”) as set forth on the Order Form on or before the 30th day following the Effective Date of this Agreement. Flock shall have no liability resulting from any delay by the Agency in installing the Embedded Software on the Agency Hardware. If applicable, Agency shall pay the ongoing Usage Fees set forth on the Order Form with such Usage Fees due and payable thirty (30) days in advance of each payment period. All payments will be made by either ACH, check, or credit card. 5.1b Falcon Fees. For Falcon products during the Initial Term, Agency will pay Flock fifty percent (50%) of the first Usage Fee, the Implementation Fee and any fee for Hardware (as described on the Order Form, together thePage 160 of 901 Initial Fees”) as set forth on the Order Form on or before the 30th day following receipt of initial invoice after Effective Date. Upon commencement of installation, Flock will issue an invoice for twenty -five percent (25%) of the Initial Fees, and Agency shall pay on or before 30th day following receipt of invoice. Upon completion of installation, Flock will issue an invoice for the remaining balance and Agency shall pay on or before 30th day following receipt of final invoice. Flock is not obligated to commence the Installation Services unless and until the first payment has been made and shall have no liability resulting from any delay related thereto. For a Renewal Term, as defined below, Agency shall pay the entire invoice on or before the 30th day following receipt of invoice. 5.2 Changes to Fees. Flock reserves the right to change the Fees or applicable charges and to institute new charges and Fees at the end of the Initial Term or any Renewal Term, upon sixty (60) days’ notice prior to the end of such Initial Term or Renewal Term (as applicable) to Agency (which may be sent by email). If Agency believes that Flock has billed Agency incorrectly, Agency must contact Flock no later than sixty (60) days after the closing date on the first billing statement in which the error or problem appeared, in order to receive an adjustment or credit. Inquiries should be directed to Flock’s Agency support department. Agency acknowledges and agrees that a failure to contact Flock within this sixty (60) day period will serve as a waiver of any claim Agency may have had as a result of such billing error. 5.3 Invoicing, Late Fees; Taxes. Flock may choose to bill through an invoice, in which case, full payment for invoices issued in any given month must be received by Flock thirty (30) days after the mailing date of the invoice. Unpaid amounts are subject to a finance charge of 1.5% per month on any outstanding balance, or the maximum permitted by law, whichever is lower, plus all expenses of collection, and may result in immediate termination of Service. Agency shall be responsible for all taxes associated with Services other than U.S. taxes based on Flock’s net income. 6. TERM AND TERMINATION 6.1a Wing Term. Subject to earlier termination as provided below, the initial term of this Agreement shall be for the period of time set forth on the Order Form (the “Initial Term”). The Initial Term shall commence upon execution of this Agreement. Following the Initial Term, unless otherwise indicated on the Order Form, this Agreement will automatically renew for successive renewal terms of the greater of one year or the length set forth on the Order Form (each, a “Renewal Term”, and together with the Initial Term, the “Service Term”) unless either party gives the other party notice of non-renewal at least thirty (30) days prior to the end of the then-current term. 6.1b Falcon Term. Subject to earlier termination as provided below, the initial term of this Agreement shall be for the period of time set forth on the Order Form (the “Initial Term”). The Initial Term shall commence upon first installation and validation of a Unit. Following the Initial Term, unless otherwise indicated on the Order Form, this Agreement will automatically renew for successive renewal terms for the length set forth on the Order Form (each, a Page 161 of 901 Renewal Term”, and together with the Initial Term, the “Service Term”) unless either party gives the other party notice of non-renewal at least thirty (30) days prior to the end of the then-current term. 6.2 Termination for Convenience. At any time during the agreed upon Term, an Agency not fully satisfied with the service may self-elect to terminate this Agreement for convenience. Termination for convenience will result in a one-time fee of $500 per Falcon Camera (Flock Hardware). Upon termination for convenience, a refund will be provided for Falcon Cameras, prorated for any fees for the remaining Term length set forth previously. Agency will remain liable to pay the full outstanding fees for any Wing product on the effective date of termination of that Order Form. Flock will invoice, and Agency will pay, any unbilled fees and any unpaid fees covering the remainder of the term of that Order Form had it not been terminated. Termination for convenience of the Agreement by the Agency will be effective immediately. Flock will provide advanced written notice and remove all Flock Hardware at Flock’s own convenience, within a commercially reasonable period of time upon termination. 6.3 Termination. In the event of any material breach of this Agreement, the non-breaching party may terminate this Agreement prior to the end of the Service Term by giving thirty (30) days prior written notice to the breaching party; provided, however, that this Agreement will not terminate if the breaching party has cured the breach prior to the expiration of such thirty (30) day period. Either party may terminate this Agreement, without notice, (i) upon the institution by or against the other party of insolvency, receivership or bankruptcy proceedings, (ii) upon the o ther party's making an assignment for the benefit of creditors, or (iii) upon the other party's dissolution or ceasing to do business. Upon termination for Flock’s material breach, Flock will refund to Agency a pro -rata portion of the pre- paid Fees for Services not received due to such termination. 6.5 No-Fee Term. For the Term of this Agreement, Flock will provide Agency with complimentary access to ‘hot - list’ alerts, which may include ‘hot tags’, stolen vehicles, Amber Alerts, etc. (“No-Fee Term”). In the event a Non- Agency End User grants Agency access to Footage and/or Notifications from a Non -Agency End User Unit, Agency will have access to Non-Agency End User Footage and/or Notifications until deletion, subject to the thirty (30) day retention policy. Non-Agency End Users and Flock may, in their sole discretion, leave access open. The No -Fee Term will survive the Term of this Agreement. Flock, in its sole discretion, can determine not to provide additional No-Fee Terms or can impose a price per No-Fee Term upon thirty (30) days’ notice. Agency may terminate any No- Fee Term or access to future No-Fee Terms upon thirty (30) days’ notice. 6.6 Survival. The following Sections will survive termination: 2.4, 2.5, 3, 4, 5 (with respect to any accrued rights to payment), 5.4, 6.5, 7.4, 8.1, 8.2, 8.3, 8.4, 9.1 and 10.5. 7. REMEDY; WARRANTY AND DISCLAIMER 7.1 Remedy. Upon a malfunction or failure of Flock Hardware or Embedded Software (a “Defect”), Agency must first make commercially reasonable efforts to address the problem by contacting Flock’s technical support as described in Section 2.9 above. If such efforts do not correct the Defect, Flock shall, or shall instruct one of its Page 162 of 901 contractors to repair or replace the Flock Hardware or Embedded Software suffering from the Defect. Flock reserves the right in their sole discretion to refuse or delay replacement or its choice of remedy for a Defect until after it has inspected and tested the affected Unit provided that such inspection and test shall occur within seventy- two (72) hours after Agency notifies the Flock of a Defect. In the event of a Defect, Flock will repair or replace the defective Unit at no additional cost. In the event that a Unit is lost, stolen, or damaged, Flock agrees to replace the Unit at a fee according to the then-current Reinstall Policy (https://www.flocksafety.com/reinstall-fee-schedule). Agency shall not be required to replace subsequently lost, damaged or stolen Units, however, Agency understands and agrees that functionality, including Footage, will be materially affected due to such subsequently lost, damaged or stolen units and that Flock will have no liability to Agency regarding such affected functionality nor shall the Usage Fee or Implementation Fees owed be impacted. Flock is under no obligation to replace or repair Agency Hardware. 7.2 Exclusions. Flock will not provide the remedy described in Section 7.1 above if any of the following exclusions apply: (a) misuse of the Flock Hardware, Agency Hardware or Embedded Software in any manner, including operation of the Flock Hardware, Agency Hardware or Embedded Software in any way that does not strictly comply with any applicable specifications, documentation, or other restrictions on use provided by Flock or the Agency Hardware manufacturer; (b) damage, alteration, or modification of the Agency Hardware, Flock Hardware or Embedded Software in any way which would cause Agency Hardware, Flock Hardware or Embedded Software to malfunction; or (c) combination of the Agency Hardware or Embedded Software with software, Agency Hardware or other technology that was not expressly authorized by Flock. 7.3 Warranty. Flock shall use reasonable efforts consistent with prevailing industry standards to maintain the Services in a manner which minimizes errors and interruptions in the Services and shall perform the Installation Services in a professional and workmanlike manner. Upon completion of any installation or repair, Flock shall clean and leave the area in good condition. Services may be temporarily unavailable for scheduled maintenance or for unscheduled emergency maintenance, either by Flock or by third -party providers, or because of other causes beyond Flock’s reasonable control, but Flock shall use reasonable efforts to provide advance notice in writing or by e-mail of any scheduled service disruption. 7.4 Disclaimer. THE REMEDY DESCRIBED IN SECTION 7.1 ABOVE IS AGENCY ’S SOLE REMEDY, AND FLOCK’S SOLE LIABILITY, WITH RESPECT TO DEFECTIVE EMBEDDED SOFTWARE. THE FLOCK DOES NOT WARRANT THAT THE SERVICES WILL BE UNINTERRUPTED OR ERROR FREE; NOR DOES IT MAKE ANY WARRANTY AS TO THE RESULTS THAT MAY BE OBTAINED FROM USE OF THE SERVICES. EXCEPT AS EXPRESSLY SET FORTH IN THIS SECTION, THE SERVICES ARE PROVIDED AS IS” AND FLOCK DISCLAIMS ALL WARRANTIES, EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE AND NON-INFRINGEMENT. THIS DISCLAIMER OF SECTION 7.4 ONLY APPLIES TO THE Page 163 of 901 EXTENT ALLOWED BY THE GOVERNING LAW OF THE STATE MENTIONED IN SECTION 10.6, OR IF NO STATE IS MENTIONED IN SECTION 10.6, BY THE LAW OF THE STATE OF CALIFORNIA. 7.5 Insurance. Flock and Agency will each maintain commercial general liability policies with policy limits reasonably commensurate with the magnitude of their business risk. Certificates of Insurance will be provided upon request. 7.6 Force Majeure. Flock Safety is not responsible nor liable for any delays or failures in performance from any cause beyond its control, including, but not limited to acts of God, changes to law or regulations, embargoes, war, terrorist acts, acts or omissions of third-party technology providers, riots, fires, earthquakes, floods, power blackouts, strikes, weather conditions or acts of hackers, internet service providers or any other third party or acts or omissions of Agency or any Authorized End User. 8. LIMITATION OF LIABILITY; NO FEE TERM; INDEMNITY 8.1 Limitation of Liability. NOTWITHSTANDING ANYTHING TO THE CONTRARY, FLOCK AND ITS SUPPLIERS (INCLUDING BUT NOT LIMITED TO ALL HARDWARE AND TECHNOLOGY SUPPLIERS), OFFICERS, AFFILIATES, REPRESENTATIVES, CONTRACTORS AND EMPLOYEES SHALL NOT BE RESPONSIBLE OR LIABLE WITH RESPECT TO ANY SUBJECT MATTER OF THIS AGREEMENT OR TERMS AND CONDITIONS RELATED THERETO UNDER ANY CONTRACT, NEGLIGENCE, STRICT LIABILITY, PRODUCT LIABILITY, OR OTHER THEORY: (A) FOR ERROR OR INTERRUPTION OF USE OR FOR LOSS OR INACCURACY, INCOMPLETENESS OR CORRUPTION OF DATA OR FOOTAGE OR COST OF PROCUREMENT OF SUBSTITUTE GOODS, SERVICES OR TECHNOLOGY OR LOSS OF BUSINESS; (B) FOR ANY INDIRECT, EXEMPLARY, INCIDENTAL, SPECIAL OR CONSEQUENTIAL DAMAGES; (C) FOR ANY MATTER BEYOND FLOCK’S ACTUAL KNOWLEDGE OR REASONABLE CONTROL INCLUDING REPEAT CRIMINAL ACTIVITY OR INABILITY TO CAPTURE FOOTAGE OR IDENTIFY AND/OR CORRELATE A LICENSE PLATE WITH THE FBI DATABASE; (D) FOR ANY PUBLIC DISCLOSURE OF PROPRIETARY INFORMATION MADE IN GOOD FAITH; (E) FOR CRIME PREVENTION; OR (F) FOR ANY AMOUNTS THAT, TOGETHER WITH AMOUNTS ASSOCIATED WITH ALL OTHER CLAIMS, EXCEED THE FEES PAID AND/OR PAYABLE BY AGENCY TO FLOCK FOR THE SERVICES UNDER THIS AGREEMENT IN THE TWELVE (12) MONTHS PRIOR TO THE ACT OR OMISSION THAT GAVE RISE TO THE LIABILITY, IN EACH CASE, WHETHER OR NOT FLOCK HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. IN THE EVENT OF AN EMERGENCY, AGENCY SHOULD CONTACT 911 AND SHOULD NOT RELY ON THE SERVICES.THIS LIMITATION OF LIABILITY OF SECTION 8 ONLY APPLIES TO THE EXTENT ALLOWED BY THE GOVERNING LAW OF THE STATE MENTIONED IN SECTION 10.6, OR IF NO STATE IS MENTIONED IN SECTION 10.6, BY THE LAW OF THE STATE OF CALIFORNIA. Page 164 of 901 8.2 Additional No-Fee Term Requirements. IN NO EVENT SHALL FLOCK’S AGGREGATE LIABILITY, IF ANY, ARISING OUT OF OR IN ANY WAY RELATED TO THE COMPLIMENTARY NO -FEE TERM AS DESCRIBED IN SECTION 6.5 EXCEED $100, WITHOUT REGARD TO WHETHER SUCH CLAIM IS BASED IN CONTRACT, TORT (INCLUDING NEGLIGENCE), PRODUCT LIABILITY OR OTHERWISE. Except for Flock’s willful acts, Agency agrees to pay for Flock’s attorneys’ fees to defend Flock for any alleged or actual claims arising out of or in any way related to the No -Fee Term. 8.3 Responsibility. Each Party to this Agreement shall assume the responsibility and liability for the acts and omissions of its own employees, deputies, officers, or agents, in connection with the performance of their official duties under this Agreement. Each Party to this Agreement shall be liable (if at all) only for the torts of its own officers, agents, or employees that occur within the scope of their official duties. Agency will not pursue any claims or actions against Flock’s suppliers. 8.4 Indemnity. Agency hereby agrees to indemnify and hold harmless Flock against any damages, losses, liabilities, settlements and expenses (including without limitation costs and attorneys’ fees) in connection with any claim or action that arises from an alleged violation of Section 3.2, a breach of this Agreement, Agency’s Installation Obligations, Agency’s sharing of any data in connection with the Flock system, Flock employees or agent or Non - Agency End Users, or otherwise from Agency’s use of the Services, Flock Hardware, Agency Hardware and any Software, including any claim that such actions violate any applicable law or third party right. Although Flock has no obligation to monitor Agency’s use of the Services, Flock may do so and may prohibit any use of the Servi ces it believes may be (or alleged to be) in violation of Section 3.2 or this Agreement. 9. RECORD RETENTION 9.1 Data Preservation. The Agency agrees to store Agency Data and Non-Agency End User Data in compliance with all applicable local, state and federal laws, regulations, policies and ordinances and their associated record retention schedules. As part of Agency’s consideration for paid access and no -fee access to the Flock System, to the extent that Flock is required by local, state or federal law to store the Agency Data or the Non-Agency End User Data, Agency agrees to preserve and securely store this data on Flock’s behalf so that Flock can delete the data from its servers and, should Flock be legally compelled by judicial or government order, Flock may retrieve the data from Agency upon demand. 10. MISCELLANEOUS 10.1 Severability. If any provision of this Agreement is found to be unenforceable or invalid, that provision will be limited or eliminated to the minimum extent necessary so that this Agreement will otherwise remain in full force and effect and enforceable. Page 165 of 901 10.2 Assignment. This Agreement is not assignable, transferable or sublicensable by Agency except with Flock’s prior written consent. Flock may transfer and assign any of its rights and obligations, in whole or in part, under this Agreement without consent. 10.3 Entire Agreement. This Agreement, together with the Order Form(s), the then-current Reinstall Policy https://www.flocksafety.com/reinstall-fee-schedule), and Deployment Plan(s), are the complete and exclusive statement of the mutual understanding of the parties and supersedes and cancels all previous written and oral agreements, communications and other understandings relating to the subject matter of this Agreement, and that all waivers and modifications must be in a writing signed by both parties, except as otherwise provided herein. None of Agency’s purchase orders, authorizations or similar documents will alter the terms of this Agreement, and any such conflicting terms are expressly rejected. 10.4 Relationship. No agency, partnership, joint venture, or employment is created as a result of this Agreement and Agency does not have any authority of any kind to bind Flock in any respect whatsoever. 10.5 Costs and Attorneys’ Fees. In any action or proceeding to enforce rights under this Agreement, the prevailing party will be entitled to recover costs and attorneys’ fees. 10.6 Governing Law; Venue. This Agreement shall be governed by the laws of the State of California without regard to its conflict of laws provisions. To the extent that the arbitration language below does not apply, the federal and state courts sitting in the State of California will have proper and exclusive jurisdiction and venue with respect to any disputes arising from or related to the subject matter of this Agreement. The parties agree that the United Nations Convention for the International Sale of Goods is excluded in its entirety from this Agreement. Any dispute arising out of, in connection with, or in relation to this agreement or the making of validity thereof or its interpretation or any breach thereof shall be determined and settled by arbitration in California by a sole arbitrator pursuant to the rules and regulations then obtaining of the American Arbitration Association and any award rendered therein shall be final and conclusive upon the parties, and a judgment thereon may be entered in the highest court of the forum, state or federal, having jurisdiction. The service of any notice, process, motion or other document in connection with an arbitration award under this agreement or for the enforcement of an arbitration award hereunder may be effectuated by either personal service or by certified or registered mail to the respective addresses provided herein. Page 166 of 901 10.7 Publicity. Unless otherwise indicated on the Order Form, Flock has the right to reference and use Agency’s name and trademarks and disclose the nature of the Services provided hereunder in each case in business and development and marketing efforts, including without limitation on Flock’s website. 10.8 Export. Agency may not remove or export from the United States or allow the export or re -export of the Flock IP or anything related thereto, or any direct product thereof in violation of any restrictions, laws or regulations of the United States Department of Commerce, the United States Department of Treasury Office of Foreign Assets Control, or any other United States or foreign agency or authority. As defined in FAR section 2.101, the Services, the Hardware, the Embedded Software and Documentation are “commercial items” and according to DFAR section 252.2277014(a)(1) and (5) are deemed to be “commercial comp uter software” and “commercial computer software documentation.” Consistent with DFAR section 227.7202 and FAR section 12.212, any use, modification, reproduction, release, performance, display, or disclosure of such commercial software or commercial softw are documentation by the U.S. Government will be governed solely by the terms of this Agreement and will be prohibited except to the extent expressly permitted by the terms of this Agreement. 10.9 Headings. The headings are merely for organization and should not be construed as adding meaning to the Agreement or interpreting the associated Sections. 10.10 Counterparts. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. 10.11 Authority. Each of the below signers of this Agreement represent that they understand this Agreement and have the authority to sign on behalf of and bind the organizations and individuals they are representing. 10.12 Notices. All notices under this Agreement will be in writing and will be deemed to have been duly given when received, if personally delivered; when receipt is electronically confirmed, if transmitted by facsimile or e - mail; the day after it is sent, if sent for next day delivery by recognized overnight delivery service; and upon receipt, if sent by certified or registered mail, return receipt requested. Page 167 of 901 Let’s defeat crime together.™ Page 168 of 901 CUSTOMER IMPLEMENTATION GUIDE 2 1 TABLE OF CONTENTS 3. Implementation Timeline 4. Implementation Team 6. Things to Consider when Picking Locations 7. Customer Responsibilities: AC-Powered Cams 8. Electrician Handout Electrician Installation Steps FAQs about AC-Powered Flock Cameras 11. Installation Service Brief 12. Permitting: Pre-Install Questionnaire Timeline Right of Way AC Power vs. Solar Traffic Control & Installation Methods Paperwork & Required Forms Contacts 14. *Fee Schedule 15. Help Center 16. Customer Support Page 169 of 901 CUSTOMER IMPLEMENTATION GUIDE 2 2 IMPLEMENTATION TIMELINE This timeline provides general guidance and understanding of your installation process. While we typically complete installations 6-8 weeks after locations have been finalized, delays can occur as noted in the timeline below: CONFIRM CAMERA LOCATIONS WITH YOUR SALES REPRESENTATIVE Flock: Your Sales representative will present several viable options for camera locations Customer: Review Deployment Plan & approve camera locations Please Note: If Public Works is required to move forward, please obtain approval. PREPARE FOR FINALIZED CAMERA LOCATIONS Flock: Confirm Deployment Plan and signed agreement. Flock will move forward with next steps for locations that don't need permits (minimum 10 locations needed to move forward with partial installation) Customer: Prepare the below items, as needed If permits are required, begin application process If cameras will be AC-powered, hire an electrician/street department CONDUCT ON-SITE SURVEY & PLACE FLAGS: Flock: Flock technician conducts site survey to (1) evaluate solar or power access, (2) check line of sight to the road, and (3) evaluate cellular service in the area. When the technician deems the locations suitable, s/he will place a white flag at each spot. Please Note: If the initially determined locations don't meet Flock standards, we will evaluate a new location, obtain customer approval, and redo a site survey. This may push timeline for installation. CALL 811 Flock: Flock Safety will coordinate with Call 811 to mark each camera location for underground utilities within a 10-foot radius. Please Note: Call811 is a government service, so turnaround times may vary and is outside of Flock control. SCHEDULE INSTALLATION Flock: Flock will (1) ship any site specific materials that the technician does not have locally (2) schedule the installation date. INSTALL & VALIDATE CAMERAS Flock: After installation, your Customer Success Manager will confirm that cameras are capturing footage well and functioning properly. They will then give you full access to the system along with helpful training resources. FINALIZE ANY INSTALLATION NEEDS Flock: While we typically complete installations within 4 weeks of finalizing locations, delays may occur due to external factors. In these instances, we will continue to work through this process until your cameras are fully installed and operational. REVIEW LOCATION S FINALIZE LOCATION S STEP 1 STEP 2 STEP 3 STEP 4 ONGOING AS NEEDED Page 170 of 901 IMPLEMENTATION TEAM CUSTOMER IMPLEMENTATION GUIDE 4 FLOCK TEAM HOW WILL THEY SUPPORT YOU Customer Success Manager Your Customer Success Manager is your strategic partner for your lifetime as a Flock customer. They will be your guide through the installation process. After install, they will help you understand how best to leverage the Flock Safety tool to solve crime. You should reach out to them when you want to discuss: Training Benefits of features Best practices for getting relevant data Opportunities to expand the security network in your area Feedback on your partnership with Flock Flock Safety Support The Flock Safety Support team is committed to answering all your day-to-day questions as quickly as possible. To get in touch with support, simply email support@flocksafety.com. Support can help you: Request camera maintenance Troubleshoot online platform Contract / Billing questions Update account information Camera Sharing questions Quick “How to” questions in your Flock Account Product Implementation Specialist Your Product Implementation Specialist is your technical product expert. They will help translate your goal for using Flock Safety cameras into a technical plan that can be executed and enable you to solve crime. Your specialist will work with you to: Review the cameras in your deployment Ensure that the deployment plan is set up for success from a technological standpoint in addition to meeting your goals for the product If any of your locations require permits, a member of the Product Implementation team will assist you in packaging your application(s). Page 171 of 901 IMPLEMENTATION TEAM CUSTOMER IMPLEMENTATION GUIDE 5 Field Operations Team The Field Operations team is responsible for the physical installation and maintenance of cameras and associated equipment provided by Flock. This includes a large team of technicians, schedulers, and many others involved in ensuring the delivery of your product. They take the technical plan you finalized with Product Implementation and work closely with other teams at Flock to make sure that your cameras are installed quickly and safely, and in a way that maximizes the opportunity to solve crime at a specific location. Note*: For all Installation questions or concerns, please always direct them to your Customer Success Manager and not to the technician. Please Note: On some occasions, third parties outside of Flock Safety may be (or need to be) involved in your implementation. OUTSIDE PARTY WHEN THEY MAY BE INVOLVED Electrician/Street Department If your Flock cameras need to be AC powered, you (customer) are responsible for providing an electrician to ensure power connectivity Public Works (LE) To weigh in on use of public Right of Ways or property Department of Transportation (DOT), City, or County Agencies If installation in your area requires permitting Page 172 of 901 THINGS TO CONSIDER WHEN CUSTOMER IMPLEMENTATION GUIDE 6 PICKING LOCATIONS Falcon Cameras Use Cases Flock LPRs are designed to capture images of rear license plates, aimed in the direction of traffic. Flock LPRs are not designed to capture pedestrians, sidewalks, dumpsters, gates, other areas of non- vehicle traffic, intersections Placement They capture vehicles driving away from an intersection. They cannot point into the middle of an intersection. They should be placed after the intersection, to prevent stop and go motion activation, or “stop and go” traffic. Mounting They can be mounted on existing utility, light, or traffic signal poles, or 12 foot Flock poles. **NOTE** Permitting (or permission from pole owner) may be required in order to use existing infrastructure or install in specific areas, depending on local regulations & policies. They should be mounted one per pole*. If using AC power, they can be mounted 2 per pole. Cameras need sufficient power. Since a solar panel is required per camera, it can prevent sufficient solar power if 2 cameras and 2 solar panels were on a single pole (by blocking visibility). Therefore if relying on solar power, only one camera can be installed per pole. They can be powered with solar panels or direct wire-in AC Power (no outlets). **NOTE** Flock does not provide Electrical services. The agency or community must work with an electrician to wire the cameras once installed. Electrician services should be completed within 2 days of installation to prevent the camera from dying. They will require adequate cellular service using AT&T or T-Mobile to be able to process & send images Any Flock equipment mounted over 14 feet or on a horizontal beam will require a bucket truck. If mounting in this way: Flock will request use of a bucket truck through the customer or Public Works If a bucket truck is not available through the customer, Flock will have to procure one. Note** This will lead to delays on install & any subsequent maintenance visits based on bucket truck availability Flock will likely require traffic control assistance provided by customer to install or provide maintenance with a bucket truck Solar Panels Solar panels need unobstructed southern-facing views Page 173 of 901 CUSTOMER RESPONSIBILITIES: CUSTOMER IMPLEMENTATION GUIDE 7 AC-POWERED CAMS In the event your Flock cameras need to be AC-powered, the customer is responsible for acquiring an electrician and ensuring they connect the camera to power. See steps 2 and 6 below. Visit flocksafety.com/power-install for the full plan, FAQs & to get started! Page 174 of 901 ELECTRICIAN HANDOUT CUSTOMER IMPLEMENTATION GUIDE 8 Electrician Installation Steps 1. Run AC cable and conduit to thebox according to NEC Article 300and any applicable local codes. The gland accepts ½” conduit 2. Open the box using hinges 3. Connect AC Mains per wiring diagram below: a. Connect AC Neutral wire to the Surge Protector white Neutral wire using the open position on the lever nut. b. Connect AC Line wire to the Surge Protector black Line wire using the open position on the lever nut. c. Connect AC Ground wire to the Surge Protector green ground wire using the open position on the lever nut. 4. Verify that both the RED LED is lit on the front of the box 5. Close box and zip tie the box shut with the provided zip tie 6. While still on site, call Flock whowill remotely verify that power is working correctly: Southeast Region - (678) 562-8766 West-Region - (804) 607-9213 Central & NE Region - (470) 868-4027 Page 175 of 901 CUSTOMER IMPLEMENTATION GUIDE 9 FAQS ABOUT AC-POWERED FLOCK CAMERAS What voltage is supported? The AC kit is designed to work with 120VAC infrastructure by default. A 240VAC version is available on request. How much power does this consume? Peak current draw is 1.5 A at 120VAC. Average power draw is roughly 30W in high traffic conditions, but may be lower when less vehicles are present. Who is responsible for contracting the electrician? The customer is responsible for contracting an electrician. We can help answer questions, but the customer is responsible for identifying and contracting an electrician. Who is responsible for maintenance? Flock will handle all maintenance related to the camera and power equipment installed by Flock. However, any problems with the electrical supply are the responsibility of the customer. The AC junction box has two lights to indicate the presence of power and make it easy for quick diagnosis if there is a problem related to the AC power source. In the event the camera indicates to Flock that there is a power supply problem, Flock will notify the customer and request that the customer verify the lights on the AC junction box. Ifthe AC Source light is illuminated, Flock will send a technician to investigate. If the AC source light is not illuminated the customer should check any GFCI’s or breakers in the supply circuit or call the electrician who installed the power supply. How much does it cost? Work required to bring AC power to each location will be different, so exact pricing is not possible. The primary driver of cost is the distance from AC power source to the intended camera location. Page 176 of 901 CUSTOMER IMPLEMENTATION GUIDE 10 What information do I need to provide my electrician? The Flock deployment plan and these work instructions should be sufficient to secure a quote. It will be helpful if you know the location of existing power infrastructure before creating the deployment plan. Can you plug into my existing power outlet? The Flock AC power adapter does not use a standard outlet plug, but must be directly wired into the power mains. While using outlet plugs may be convenient, they can easily be unplugged presenting a tampering risk to this critical safety infrastructure. If an outlet is close to the camera, the electrician can route power directly to the camera with a direct wire-in connection. How long does this process typically take? The installation process typically takes 6-8 weeks. In order to accelerate the process, be sure to have the electrician perform his work shortly after the Flock technician finishes installing the camera. What kind of electrician should I look for? Any licensed electrician should be able to perform this work, though we have found that those who advertise working with landscape lighting are most suited for this work. What happens if the electrician damages the equipment? The customer is responsible for contracting the electrician. Any liability associated with this work would be assumed by the customer. If any future work is required at this site due to the electrical infrastructure or the work performed by the electrician would be the responsibility of the customer. When should the electrician perform his work? Once Flock installs the camera, you will receive an email alert letting you know that this has been completed. After this, you will need to schedule the electrician to route power to the pole. What if my electrician has questions about Flock’s AC Kit? You should share the AC-Power Kit Details packet with the electrician if they have questions. What if the AC power is on a timer? Sometimes the AC power will be on a timer (like used for exterior lighting). Flock requires that the AC power provided to the camera be constant. The source that the electrician uses must not be on a timing circuit. Page 177 of 901 CUSTOMER IMPLEMENTATION GUIDE 11 INSTALLATION SERVICE BRIEF Below outlines the statement of work for your Flock Camera Installation: WHAT IS COVERED BY FLOCK WHAT IS NOT COVERED BY FLOCK SPECIAL NOTE Flock Cameras & Online Platform Traffic Control and any associated costs Mounting Poles Electrician & ongoing electrical cost AC Power Kit as needed) Engineering Drawings Solar Panels as needed) Relocation Fees exc. changes during initial installation Site Surveys and Call 811 Scheduling Contractor licensing fees Installation Labor Costs Permit application processing fees Customer Support / Training Specialist mounting equipment Including, but not limited to, *MASH poles or adapters Cellular Data Coverage Bucket trucks Maintenance Fees review Fees Sheet for more details) Loss, theft, damage to Flock equipment Data storage for 30 days Camera downtime due to power outage Only applicable for AC-powered cameras MASH poles: Manual for Assessing Safety Hardware (MASH) presents uniform guidelines for crash testing permanent and temporary highway safety features and recommends evaluation criteria to assess test results Page 178 of 901 CUSTOMER IMPLEMENTATION GUIDE 12 PERMITTING: PRE-INSTALL QUESTIONNAIRE 1. Timeline In Flock Safety’s experience, in -depth permitting requirements can add 2+ months to the installation timeline. Law enforcement agencies and city governments can work with their local Public Works or Department of Transportation offices directly to help expedite the process. When Flock Safety customers manage the permitting processes, results tend to come more quickly. Is your agency able to own the permitting process with Flock Safety’s assistance? 2. Right of Way Will any of the Flock Safety cameras be installed on city, state or power company owned poles or in city, county, or state Right of Way (RoW)? What is the RoW buffer? Will additional permits or written permission be required from third-party entities (such as DOT, power company, public works, etc)? Will any cameras be installed on city-owned traffic signal poles (vertical mass)? If yes, please provide heights/photos to determine if a bucket truck is needed for the installation. Note: If height is greater than 15 feet tall, a bucket truck is required. 3. AC Power vs. Solar If AC powered, is there a 120V power source available, and is there access to an electrician who can connect the existing wire to the Flock Safety powered installation kit? If solar powered, consider the size of the solar panel and potential to impact visibility of DOT signs/signals: Single Panel: 21.25” x 14” x 2” (Length x Width x Depth) Double Panel: 21.25” x 28” x 2” (LxWxD) Page 179 of 901 CUSTOMER IMPLEMENTATION GUIDE 13 4. Traffic Control & Installation Methods If a bucket truck is required, this typically necessitates a full lane to be blocked in the direction of travel. Can you provide a patrol car escort, or will full traffic control be required? Note: If traffic control is required, you may incur additional costs due to city/state requirements; Fees will be determined by quotes received. If full traffic control required (cones, arrowboards, etc.): Will standard plans suffice, or are custom plans needed? Custom plans can double the cost, while standard plans can be pulled from the Manual of Uniform Traffic Control Devices (MUTCD). Will a non-sealed copy of the traffic plan suffice? Or does the traffic plan need to be sealed and/or submitted by a professional engineer? Are there state-specific special versions/variances that must be followed? If a bucket truck is not required, the shoulder or sidewalk should suffice and enable Flock Safety to proceed without traffic control systems in place. Note: In some states (i.e. California), sidewalks may require signage. If signage is mandatory, Will your Public Works department be able to assist? 5. Paperwork & Required Forms Flock Safety will need copies of paperwork to complete prior to proceeding (ex. business license applications, encroachment permit applications). We can save critical time by gathering these documents upfront. We appreciate your assistance in procuring these. 6. Contacts If Flock Safety will need to interface directly with the departments, please share the contact information of the following departments: Permitting Public Works Traffic Department Page 180 of 901 CUSTOMER IMPLEMENTATION GUIDE 14 FEE SCHEDULING Fee Schedule After a deployment plan with Designated Locations and equipment has been agreed upon by both Flock and the Customer, any subsequent changes to the deployment plan (“Reinstalls”) driven by a Customer’s request will incur a fee per the table below. All fees are per reinstall or required visit (in the case that a reinstall is attempted but not completed) and include labor and materials. If you have any questions, please email support@flocksafety.com. Below fee schedule is subject to change; REINSTALL OR JOB TYPE REINSTALL FEE Camera or pole relocation $150 Camera replacement as result of vandalism, theft, or third party damage $500 Pole replacement as a result of vandalism, theft, or third party damage $150 Pole upgrade $300 Angle Adjustment - Customer request $125 Installation of additional Flock Safety sign (including cost of sign) $100 Convert camera to use of electrical outlet (excluding cost of electrical work) $150 Other site visit/technician visit that does not result in a reinstall being required $150 Page 181 of 901 CUSTOMER IMPLEMENTATION GUIDE 15 HELP CENTER Our Help Center is filled with tons of resources to help you navigate through the online platform. Below you will find some common questions and their relevant help article: How do I search camera footage? How do I add a user? How do I add a vehicle to my own Hot List? How do I enable browser notifications for Hot List alerts? How do I get text alerts for Hot List? How do I request camera access from other nearby agencies? How do I use the National Lookup to search for a plate? National Lookup - network of law enforcement agencies that have opted to allow their Flock cameras to be used for searches) How do I reset my / another user’s password? CUSTOMER SUPPORT You can reach our customer support team anytime by emailing support@flocksafety.com. They can help answer any “How-To” questions you may have. Page 182 of 901 866) 901-1781 | 1170 Howell Mill Rd NW, Unit 210, Atlanta, GA 30318 | flocksafety.com Page 183 of 901 Page 184 of 901 Page 1 of 2 Agenda Item No: 7.d. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1307 AGENDA SUMMARY REPORT SUBJECT: Adoption of Resolution Authorizing Submittal of an Application to the California Department of Housing and Community Development for Funding under the HOME Investment Partnerships Program; and if Selected, the Execution of a Standard Agreement, Any Amendments Thereto, and of Any Related Documents Necessary to Participate in the HOME Investment Partnerships Program, as well as Authorization of the Corresponding Budget Amendments. DEPARTMENT: Community Development PREPARED BY: Craig Schlatter, Community Development Director, Jim Robbins, Housing and Grants Manager PRESENTER: Consent Calendar ATTACHMENTS: 1. 2020-2021 HOME NOFA Final 12-1-2021 2. 2021 HOME Income Limits 3. 2022 HOME FTHB Application Resolution Summary: Council will consider the adoption of a resolution authorizing submittal of an application to California HCD for $700,000 in funding under the HOME Program for a First-Time Homebuyer Program; and if the City is selected for an award, authorize the City Manager to execute the standard agreement, any amendments thereto, and any related documents necessary; and authorize the corresponding budget amendments. Background: On December 1, 2021, the California Department of Housing and Community Development (HCD) announced the release of a Notice of Funding Availability (NOFA) for approximately $72,000,000 in 2020-2021 federal HOME Investment Partnerships Program (HOME) funds (Attachment 1). Eligible activities are separated into two types: Project activities- consisting of the funding of acquisition with new construction or rehabilitation of multifamily properties and First-Time Homebuyer (FTHB) subdivision new construction projects- and Program activities, consisting of programs to fund individual FTHB gap assistance, including infill new construction or rehabilitation, Owner Occupied Rehabilitation (OOR), and Tenant Based Rental Assistance (TBRA). The funding provides loans or grants to eligible HOME Applicants serving low-income and very low-income households, defined as having incomes at or below 80 percent Area Median Income (AMI) or 50 percent AMI, respectively (Attachment 2). State Recipients such as the City of Ukiah are eligible to apply. Funding under the HCD HOME NOFA is competitive, with applications accepted from December 16, 2021 until 5:00 pm on March 10, 2022. Discussion: In response to the 2020-21 HOME NOFA, Staff is proposing Council authorize an application in the amount of $700,000 for a First-Time Homebuyer Program. The City last operated a HOME FTHB program in 2018-2021 through standard agreement #16-HOME-11376, implementing the program "in-house" with Staff in the City's Housing Division. A total of $656,085 was expended through the 2018-2021 City FTHB program, out of a total available of $663,852, and representative of a cumulative 99 percent program expenditure rate. Four first-time homebuyers were assisted through the 2018-2021 program. If awarded funding by HCD, the 2022 Ukiah HOME FTHB program would provide deferred payment loans (no Page 185 of 901 Page 2 of 2 payments on principal and interest for the term of the loan, which is expected to be 45 years) to eligible low- income first-time homebuyers for the purchase of infill or newly constructed single-family homes and condominiums (1-4 units). The interest rate is expected to be 1 percent simple interest. At least four households are expected to be assisted with the 2022 HOME FTHB program. An award of funding for the FTHB program would also fulfill one of the goals within the City's 2019-2027 Housing Element. Policy 2-6 under Goal H-2 notes the City should "expand affordable housing opportunities for first-time homebuyers" and Implementing Program 2j directs the City to offer assistance to eligible first-time homebuyers to purchase new or existing single family and/or condominium units in the city. HOME regulations require a resolution by the City Council to authorize submittal of an application. The following is requested: First-Time Homebuyer (FTHB) Program = $638,138 Activity Delivery - FTHB Program = $44,362 General Administration = $17,500 Total = $700,000 Staff recommends Council adopt the Resolution in Attachment 3 authorizing submittal of an application to HCD for $700,000 in funding under the HOME Program for a First-Time Homebuyer Program; and if the City is selected for an award, authorize the City Manager to execute the standard agreement, any amendments thereto, and any related documents necessary; and authorize the corresponding budget amendment. Recommended Action: Adopt resolution authorizing submittal of an application from the City of Ukiah for $700,000 in HOME Investment Partnerships Program funds for the deployment of a First-Time Homebuyer Program; and if selected, authorize the City Manager to execute the standard agreement, any amendments thereto, and any related documents necessary; and authorize the corresponding budget amendments if awarded the grant. BUDGET AMENDMENT REQUIRED: Yes, if awarded. CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: $700,000 FINANCING SOURCE: HOME Investment Partnerships Program PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: N/A Page 186 of 901 STATE OF CALIFORNIA - BUSINESS, CONSUMER SERVICES AND HOUSING AGENCY GAVIN NEWSOM, Governor DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT DIVISION OF FEDERAL FINANCIAL ASSISTANCE FEDERAL COMMUNITY DEVELOPMENT BRANCH 2020 W. El Camino Avenue, Suite 200 Sacramento, CA. 95833 P. O. Box 952054 Sacramento, CA 94252-2054 (916) 263-2771 www.hcd.ca.gov December 1, 2021 MEMORANDUM FOR: ALL POTENTIAL APPLICANTS FROM: Geoffrey M. Ross, Deputy Director Division of Federal Financial Assistance SUBJECT: HOME Investment Partnerships Program Notice of Funding Availability The California Department of Housing and Community Development (Department) is pleased to announce the release of this Notice of Funding Availability (NOFA) for approximately $72 million in 2020/2021 federal funds for the HOME Investment Partnerships Program (HOME). The funding level may change due to the factors listed in the NOFA Overview paragraph A. This funding provides loans or grants to eligible HOME Applicants serving low-income (at or below 80 percent of Area Median Income (AMI)) and very low-income (at or below 50 percent of AMI) households. This NOFA is subject to state and federal HOME regulations. State Recipients, as defined by state HOME regulations section 8201(ii), and nonprofit Community Housing Development Organizations (CHDOs) are eligible to apply for HOME funding for rental projects, First-Time Homebuyer (FTHB) projects, and Program Activities. Developers can apply directly for HOME funding for rental projects. In addition, the Department intends to utilize the authority of AB 1010 (Chapter 660, Statutes of 2019) waivers to include in the definition of eligible Applicants any duly constituted governing board of an Indian Reservation, rancheria or Tribally Designated Housing Entity (TDHE). This waiver will provide to those entities the ability to apply for funds to operate a First-Time Homebuyer (FTHB) Program, Owner-Occupied Rehabilitation (OOR) Program, and/or a Tenant-Based Rental Assistance (TBRA) Program, in addition to currently-eligible rental project activities. Eligible activities are separated into Project Activities and Program Activities. Project activities include multifamily rental projects to fund the acquisition with new construction or rehabilitation of multifamily properties and FTHB subdivision development projects. Program Activities include programs to fund individual FTHB gap assistance, including infill new construction or rehabilitation; OOR; and TBRA. Funding under this NOFA will be awarded on a competitive basis. To be considered, the Applicant must submit a complete application with required documentation via the eCivis Grant Management System Portal. The completed application package must be submitted no later than 5:00 pm Pacific Standard Time (PST) on March 10, 2022. Attachment 1 Page 187 of 901 HOME Investment Partnerships Program Notice of Funding Availability December 1, 2021 Page 2 The Department will begin accepting applications received through the eCivis Grants Management System portal beginning December 16, 2021. The application submission period is intentionally longer than 60 days to allow applicants extra time if needed to address unanticipated submission issues utilizing the new Grants Management System. NOFA Deadlines NOFA Release November 29, 2021 Application submittal period From December 16, 2021, 8:00 a.m. PST through March 10, 2022, 5:00 p.m. PST Applicants are encouraged to set-up their profiles in the eCivis portal located at https://portal.ecivis.com/#/login as early as possible. Profile set-up instructions can be found on the HOME webpage at https://www.hcd.ca.gov/grants-funding/active- funding/home.shtml#funding. Applicants are encouraged to begin the application process early to ensure successful submission before application deadlines. If you have any trouble logging into the portal or have questions on how to complete the online application, please contact the Department at HOMENOFA@hcd.ca.gov. The Department will hold a series of webinars in December 2021 to review the NOFA and application process. A link to the eCivis portal, along with a list of webinar dates, times and how to register, is available on the Department’s HOME webpage at https://www.hcd.ca.gov/grants-funding/active-funding/home.shtml. Assistance setting up a profile, submitting an application, and managing awards through the eCivis portal is available under the Training and Technical Assistance tab on the Department’s website at https://www.hcd.ca.gov/grants-funding/active-funding/home.shtml. Additionally, a series of office hours will be offered during the application period to assist Applicants with questions regarding the application and application process. Paper applications will not be accepted. Links to the eCivis portal, supplemental application forms, regulations, and program information are available at the Department HOME webpage. To receive HOME NOFA FAQs and other program information and updates, please be sure you are subscribed to the federal programs email list at https://www.hcd.ca.gov/i-am/sub_email.shtml If you have any questions regarding the NOFA, please direct them to the HOME program at: HOMENOFA@hcd.ca.gov. Attachment Page 188 of 901 HOME INVESTMENT PARTNERSHIPS PROGRAM Notice of Funding Availability Gavin Newsom, Governor State of California Lourdes M. Castro Ramírez, Secretary Business, Consumer Services and Housing Agency Gustavo Velasquez, Director California Department of Housing and Community Development 2020 W. El Camino Avenue, Suite 500, Sacramento, CA 95833 Phone: (916) 263-2771 Website: http://www.hcd.ca.gov/grants-funding/active-funding/home.shtml Email address: HOMENOFA@hcd.ca.gov December 1, 2021 Page 189 of 901 Table of Contents I.Overview ................................................................................................................................. 1 A.Notice of Funding Availability .............................................................................................. 1 B.Timeline .............................................................................................................................. 1 C. Authorizing legislation and regulation authority .................................................................. 2 D. Definitions ........................................................................................................................... 3 II.Program requirements .......................................................................................................... 3 A.Eligible Applicants .............................................................................................................. 3 B.Additional HOME eligibility criteria……………………………………………………………….6 C. Eligible activities ................................................................................................................. 7 D. Ineligible use of funds……………………………………………………………………………..9 E.Activity combinations and limits ........................................................................................ 10 F.Allocation of funding ......................................................................................................... 10 G. Activity funding amounts and limits ................................................................................... 11 H. Program Income and recaptured funds ............................................................................ 14 I.Deep affordability targeting .............................................................................................. 14 J.Forms of assistance ......................................................................................................... 16 K.Administrative and CHDO operation funds ....................................................................... 17 L.Activity delivery funds ....................................................................................................... 18 III.State and federal requirements .......................................................................................... 18 A.Physical needs assessment .............................................................................................. 19 B.Timeframes for use of funds ............................................................................................. 19 C. Match requirements .......................................................................................................... 20 D. Annual monitoring fees for multifamily projects ................................................................. 20 IV. Application review ............................................................................................................... 21 A.Minimum application requirements ................................................................................... 21 B.Rating and ranking ........................................................................................................... 22 C. Projects Application scoring factors and evaluation .......................................................... 24 D. Credits and additional point deduction rules ..................................................................... 28 E.Rental project scoring and notification .............................................................................. 29 F.Appeals............................................................................................................................. 29 G. Program Activities Application scoring factors and evaluation ............................................ 31 H. Disclosure of application ………………………………………………………………….…….33 V.Award Announcements and Contracts .............................................................................. 33 A.Award announcements ..................................................................................................... 33 B.Contracts .......................................................................................................................... 34 VI.Recent state overlays .......................................................................................................... 34 A.Pet friendly housing act of 2017 ....................................................................................... 34 B.Climate Adaptation ........................................................................................................... 35 VII.Other Terms and Conditions ........................................................................................... 35 A.Right to modify or suspend ............................................................................................... 35 B.Conflicts ............................................................................................................................ 35 Page 190 of 901 California Department of Housing and Community Development 1 2020-2021 HOME NOFA HOME INVESTMENT PARTNERSHIPS PROGRAM NOTICE OF FUNDING AVAILABILITY I. Overview A. Notice of Funding Availability The California Department of Housing and Community Development (Department) is pleased to announce the release of this Notice of Funding Availability (NOFA) for approximately $72 million in 2020/2021 federal funds for the HOME Investment Partnerships Program (HOME). The amount of funding available could be increased, or even greatly exceed the announced amount in this NOFA, depending on several factors. These factors may include, but are not limited to, the Department’s administrative determination of need, changes in legislation directing the Department to make additional funds available, new emergency allocations of funding, or newly available funding from the disencumbrance of previous awards. If additional funding becomes available, the Department will continue evaluating the list of eligible Applicants and make awards up to the additional funding amount available. These funds may be used in conjunction with other state rental housing programs to assist the same units in the development, not to exceed the per unit subsidy limit for each funding source. These funds will be used to meet the following statewide goals in accordance with the Department’s 2020-25 Consolidated Plan for low-income households earning at or below 80 percent of Area Median Income (AMI) and very low-income households earning at or below 50 percent of AMI: • Increase the supply of affordable rental housing • Expand homeownership opportunities and improve existing housing • Provide homeless assistance and prevention services B. Timeline Table 1 –Timeline NOFA release December 1, 2021 Application due date March 10, 2022, by 5:00 p.m. Pacific Standard Time (PST) Award announcements August 2022 Page 191 of 901 California Department of Housing and Community Development 2 2020-2021 HOME NOFA The application submission period is intentionally longer than 60 days to allow applicants extra time if needed to address unanticipated submission issues utilizing the new Grants Management System. C. Authorizing legislation and regulation authority This NOFA should be read in conjunction with the following regulations, which establish state and federal HOME requirements: • State HOME regulations http://www.hcd.ca.gov/grants-funding/active-funding/home.shtml • State Uniform Multifamily Regulations (UMR) (November 2017 version) http://www.hcd.ca.gov/grants-funding/already-have-funding/uniform-multifamily- regulations.shtml • Federal HOME regulations https://www.hudexchange.info/programs/home/home-laws-and-regulations/ All regulatory references are to the state and federal HOME regulations unless otherwise noted. Note: Any inconsistencies between this NOFA and state or federal HOME regulations will be resolved in favor of the applicable regulations unless a waiver was approved by the Director that complies with the requirements of AB 1010 (Chapter 660, Statutes of 2019); in those instances, the waiver will prevail when not in conflict with the federal HOME regulations. This NOFA does not include the text of all regulations that may be applicable and/or important to individual projects. For proper completion of the application, potential Applicants should consult the regulations linked above and other cross-referenced regulations such as, but not limited to, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at https://www.ecfr.gov/cgi-bin/text- idx?SID=0056f7931324bccf7c04c08d3453ed57&mc=true&node=pt2.1.200&rgn=div5. Multifamily rental project Applicants should also consult the state Uniform Multifamily Regulations (“UMR” or “UMRs”), which apply to all HOME-funded multifamily rental projects. All UMR references herein shall mean the November 2017 UMRs. Several of the terms used in HOME have specific meanings defined by state and/or federal HOME regulations. When reviewing this NOFA and the application forms, carefully review the regulations for definitions and terms. State HOME definitions are found in Sections 8201 and 8217 of the state HOME regulations. If state or federal statutes or regulations, or other laws, policies, or procedures, governing HOME or its funding, are modified by Congress, the U.S. Department of Housing and Urban Development (HUD), the State Legislature, or the Department prior to completion of work to be done pursuant to awards made in connection with this NOFA, the changes may become effective immediately and apply to funded activities. The Department reserves the right, at its sole discretion, to suspend, amend, and/or Page 192 of 901 California Department of Housing and Community Development 3 2020-2021 HOME NOFA supplement the provisions of this NOFA from time to time. If such action occurs, the Department will notify interested parties through the Department’s HOME Listserv. D. Definitions “Special Needs Populations” means the same as defined under Section 7301 of the Multifamily Housing Program guidelines: agricultural workers, individuals living with physical or sensory disabilities and transitioning from hospitals, nursing homes, development centers, or other care facilities; individuals living with developmental disabilities, serious mental illness or substance abuse disorders; individuals who are survivors of domestic violence, sexual assault, and human trafficking; individuals who are experiencing homelessness; individuals with HIV; homeless youth as defined in Government Code (GC) §12957(e)(2); families in the child welfare system for whom the absence of housing is a barrier to family reunification, as certified by a county; frequent users of public health or mental health services, as identified by a public health or mental health agency; frail elderly persons; or other specific groups with unique housing needs as determined by the Department. “Special Needs Populations” do not include seniors unless they otherwise qualify as a Special Needs Population. “Homeless” means the same as defined under the federal Continuum of Care Program, Code of Federal Regulations (CFR), Title 24 CFR § 578.3, as may be amended and renumbered from time to time. “Homeless” includes “chronically homeless” and “homeless with a disability.” “Local agency” means a city, county, city and county, or duly constituted governing body of an Indian Reservation or rancheria and includes any governmental agency or local public entity. “Local public entity” means any county, city, city and county, the duly constituted governing body of an Indian Reservation or rancheria, Tribally Designated Housing Entity as defined in Section 4103 of Title 25 of the United States Code and Section 50104.6.5, redevelopment agency organized pursuant to Part 1 (commencing with Section 33000) of Division 24, or housing authority organized pursuant to Part 2 (commencing with Section 34200) of Division 24. II. Program Requirements The following is provided as only a summary and is not to be considered a complete representation of the entirety of the eligibility, threshold, or other requirements or terms and conditions of the HOME program. A. Eligible Applicants Eligible HOME Applicants include State Recipients, otherwise known as a local agency or local public entity defined above, Developers, and Community Housing Development Organizations (CHDOs), consistent with applicable state and federal requirements. Page 193 of 901 California Department of Housing and Community Development 4 2020-2021 HOME NOFA 1. Eligible jurisdictions To meet the definition of an eligible jurisdiction, Applicants must meet the following criteria: • Have not been designated as “participating jurisdictions” by HUD; • Are not participants in an urban county agreement with a county that is designated as a HUD entitlement jurisdiction; • Are not participants in a HOME consortium; and • Are proposing projects or programs that will be located or carried out in the Applicant’s defined service area. Generally, this will be within the Applicant’s city limits, a county’s unincorporated area, or an Indian Reservation, rancheria or service area of a Tribally Designated Housing Entity. Eligible city and county jurisdictions for 2020/2021 federal HOME funds are listed in Appendix A. If a city or county is not listed in Appendix A, but believe they are eligible to apply to the Department for HOME funds, the jurisdiction must submit a copy of the consortium or urban county agreement indicating that the jurisdiction is not a participant of a FY 2020-21 or FY 2021-22 consortium or urban county funding. The copy must be submitted no later than March 10, 2022, to the Department’s HOME NOFA email: HOMENOFA@hcd.ca.gov. 2. CHDOs a) Certification CHDOs proposing to complete a project funded with the CHDO set-aside under this HOME NOFA utilizing a 2020 or 2021 federal allocation must submit a complete CHDO Certification application with all exhibits and attachments by the NOFA application due date of March 10, 2022, and must have received CHDO Certification approval prior to the award of the HOME funding. CHDO Certification will be for projects and/or Program Activities awarded as a result of this NOFA solicitation only. The CHDO Certification application is available at https://www.hcd.ca.gov/grants- funding/active-funding/home.shtml#certification. For assistance with the CHDO Certification process, contact HOMENOFA@hcd.ca.gov. b) Site Control Projects being funded through this NOFA with the CHDO set-aside are required to be “owned, developed, or sponsored” by an eligible state certified CHDO: “Owned, developed, and sponsored” are defined at 24 CFR § 92.300 of the HOME Final Rule as: • Owner: The CHDO is required to own (in fee simple absolute or long-term ground lease meeting the requirements of UMR Section 8316) the HOME Page 194 of 901 California Department of Housing and Community Development 5 2020-2021 HOME NOFA project during development and throughout the period of affordability. As owner, the CHDO is required to oversee all aspects of the development process. In instances where the CHDO lacks Developer capacity, the CHDO may own the project and hire a qualified project manager or contract with a development contractor to oversee all aspects of development. This option is available to CHDOs having experience and capacity to own and operate affordable rental housing but lack the experience or capacity to develop the project. This option is not available if the project is owned by a limited partnership entity (see Sponsor paragraph below). • Developer: The CHDO may act as Developer if the CHDO owns the HOME project (in fee simple absolute or long-term ground lease meeting the requirements of UMR Section 8316). As Developer, the CHDO must be in sole charge of all aspects of the development process, including obtaining zoning and other approvals, securing financing, selecting contractors, overseeing work progress, and determining reasonableness of costs. The CHDO must own the project during development and for multifamily rental projects throughout the period of affordability. This option is not available if the project is owned by a limited partnership entity (see Sponsor paragraph below). • CHDOs are not allowed to act as Developer in projects where the CHDO does not have a long-term ownership interest and contractual relationship with the project owner (i.e., a Development Services Agreement) to develop the project. • Sponsor: The HOME Final Rule provides two definitions of “sponsor” of HOME- assisted rental housing: a. A CHDO “sponsors” a project when the property is “owned” or “developed” by: • An affiliated subsidiary of the CHDO, which is wholly owned by the CHDO; • A limited partnership in which the CHDO or its wholly owned affiliated subsidiary is the sole general partner; or • A limited liability company in which the CHDO or its wholly owned affiliated subsidiary is the sole managing member. b. A CHDO may “sponsor” a project in situations where the CHDO owns the property (in fee simple absolute), develops the housing, and agrees to convey the housing to a different private nonprofit organization at a predetermined point in time after completion of the development. The nonprofit to which the project will be conveyed does not need to be a CHDO but must be identified and approved by the Department prior to commitment of HOME funds. Additionally, this nonprofit cannot be created by a governmental entity. If for any reason the project is not transferred to this nonprofit, the CHDO remains liable for the HOME funds and project for the term of the affordability period. c. If awarded, CHDOs must obtain all necessary permanent project financing, including the permanent financing for the required period of Page 195 of 901 California Department of Housing and Community Development 6 2020-2021 HOME NOFA affordability, and execute a Standard Agreement with the Department pursuant to Section 8217(b)(1) of the state HOME regulations. B. Additional HOME eligibility criteria 1. Minimum expenditure requirement for Program Activities (50 Percent Rule): Pursuant to state HOME regulations section 8204(b), Applicants with current HOME Program Activities contracts, or with Program Activities awards from the last HOME Program NOFA, are eligible to apply for HOME Program Activities funds only if they have expended, by the application due date of March 10, 2022, at least 50 percent of the aggregate total of funds originally awarded. Potential Applicants with no open HOME Program Activities contracts are not affected by this rule. A current HOME contract is a contract or award with an expenditure deadline that has not yet occurred by March 10, 2022. Note: The Rule also applies to contracts for which the contract period was extended and has not yet reached its extended expenditure deadline. "Expended" funds are the total of all valid Administrative and Project Drawdown Requests (PDR) or, for Tenant-Based Rental Assistance (TBRA), future commitments on Project Setup Reports received by the Department by the NOFA application deadline. Additionally, for FTHB and Owner-Occupied Rehabilitation (OOR), a valid PDR is limited to the amount needed for reimbursement of actual expenses for work that has been completed (Work Completed). Work Completed varies by activity as follows: a) FTHB activity: escrow has closed, as evidenced by a final HUD Settlement Statement; b) OOR activity: construction completed and inspected; c) TBRA activity: rental payment assistance amount multiplied by the number of months in the individual tenants’ TBRA agreements, to the extent those funds are available in existing TBRA grants. 2. As applicable, Applicants, excluding CHDOs and Developers, must be in compliance with 2 CFR §200.512 Single Audit Report submission requirements on the application due date. To be eligible for funding, the Applicant must comply with the submission requirements of the 2 CFR §200.512 Single Audit Report. Single Audit reporting packages are due to the California State Controller’s Office (SCO) nine months after the entity’s fiscal year ends pursuant to 2 CFR § 200.512. For most California entities, the reporting package is due March 31 of each year. Entities with approved extensions on file must submit their reporting package by the due date indicated in their approved extension letter. Applicants are responsible for making the determination as to the applicable due date for the Single Audit reporting packages. Page 196 of 901 California Department of Housing and Community Development 7 2020-2021 HOME NOFA The Department will determine the status of 2 CFR § 200.512 Single Audit reporting compliance as of the application due date, March 10, 2022, by consultation with SCO. Jurisdictions that are exempt from filing a 2 CFR §200.512 Single Audit report, because their federal funding falls below the federal threshold, are required to submit a copy of the letter notifying SCO of the exemption status. The letter must be included in their HOME application. Applicants must be in good standing with the State of California and all agencies and departments thereof. By way of example and not limitation, if an Applicant is a business entity, such entity must be qualified to do business in California and currently in good standing with the California Secretary of State and the California Franchise Tax Board. C. Eligible activities The state HOME program will fund only the following types of Projects and Programs. Rental and homebuyer projects with multiple sites must have common ownership and financing. 1. Rental projects • Rental new construction project – Funds provided to develop a specific multifamily project on a specific site by a specific Developer. Rental new construction projects may be with or without acquisition; or • Rental rehabilitation project – Funds provided to rehabilitate a specific rental project with or without property acquisition. Per Section 92.205(a) of the federal HOME regulations, “acquisition” is considered a transfer of real property between unaffiliated third parties. Therefore, a “rehabilitation with acquisition project” is eligible only if there will be an acquisition of real property. A title or vesting change of current ownership is not acquisition of property, whether or not monies were exchanged. Applicants requesting project funding for a rental project consisting of multiple sites must be in compliance with UMR Section 8303(b). Note: Projects for acquisition only are not eligible for funding. 2. FTHB projects a. Construction financing must include the following: • New construction or acquisition/rehabilitation/ conversion to develop homes on specific site(s). • 100 percent of the HOME investment rolls over to permanent financing to provide mortgage assistance to eligible first-time homebuyers when the units are sold to eligible homebuyers. Page 197 of 901 California Department of Housing and Community Development 8 2020-2021 HOME NOFA b. Homebuyer mortgage assistance only (no HOME construction financing) in a project that is being constructed or acquired and rehabilitated with other funds to then be sold to eligible first-time homebuyers. 3. Program Activities Eligible HOME Program Activities are as follows: a) First-Time Homebuyer (FTHB) program • Acquisition-only down payment assistance - Funds awarded to a HOME- eligible Applicant to provide loans to homebuyers for acquisition of a modest dwelling that the homebuyer selects from the open market. CHDOs are ineligible for this activity. • Acquisition with rehabilitation - Funds provided to a HOME-eligible Applicant, or CHDO, to perform acquisition with rehabilitation activities. To be considered a CHDO-eligible activity, the CHDO must assume the role of Developer and own the property, completing the rehabilitation of the unit prior to selling the home to an eligible homebuyer. • Infill new construction - Funds provided to an eligible Applicant, or CHDO, to provide assistance for the new construction of dwellings on scattered sites, with no more than four dwellings per vacant site. Pursuant to federal National Environmental Policy Act (NEPA) requirements, an environmental assessment (EA) will be required if more than four units, regardless of the funding source, are developed within 2,000 feet of one another. To be considered a CHDO-eligible activity, the CHDO must assume the role of Developer, own the property during construction, and sell the home to an eligible homebuyer within nine months of completion. All dwellings must be situated on land held in fee simple, leasehold, or another manner approved in writing by the Department, and be affixed to a permanent foundation. Pursuant to state HOME regulations, Section 8207, the FTHB primary mortgage loan must be fully amortized and have a fixed interest rate that does not exceed the current market rate, as recognized by the 90-day “posted yield” for 30-year fixed rate loans, established by Fannie Mae. Rates are available at https://singlefamily.fanniemae.com/pricing-execution/historical-daily-required-net- yields. For projects with costs that exceed 100 percent of the appraised value, this activity is eligible only if the application clearly documents the availability of grant funds or building sites currently owned by the Applicant or Developer. For example, if the project includes a development grant as a funding source, then the Applicant shall provide a commitment letter from the funding source in form and content acceptable to the Department in its sole discretion. Page 198 of 901 California Department of Housing and Community Development 9 2020-2021 HOME NOFA b) Owner-Occupied Rehabilitation (OOR) program Funds to a HOME-eligible Applicant to assist owners whose primary residence is in need of repairs, improvements, or reconstruction necessary to meet federal, state, or local building codes, and for correction of any health and safety deficiencies. “Reconstruction” means the rebuilding, on the same residential lot. This includes homes destroyed by natural causes. HOME funds must be committed within 12 months of the date of destruction. c) Tenant-Based Rental Assistance (TBRA) program For funds provided to a HOME Applicant to administer a program to provide rent subsidies and/or security deposits to eligible households, the minimum term of rental assistance to an eligible household is six months; however, the tenant must be initially offered a one-year lease. TBRA funds may be used to assist tenants to reside in any HOME-eligible jurisdiction within the county where the TBRA funds were awarded. For example, TBRA funds awarded to the City of Winters can also be used for units located in Woodland, West Sacramento, or the unincorporated areas of Yolo County, since all of these jurisdictions are state HOME eligible within Yolo County, but may not be used in Davis, which is not state HOME eligible. Additionally, all program participants will be required to coordinate with their local Continuum of Care to ensure that TBRA funds are used only after all other emergency rental assistance funds currently available have been provided to potential TBRA beneficiaries and the Department has approved the assistance to the beneficiary. Documentation in the beneficiaries’ files must be maintained to demonstrate that this action has taken place. D. Ineligible use of funds includes, but is not limited to, the following: At HUD’s discretion, funds used to refinance mortgage loans are not allowed and are considered ineligible use of HOME funds, in accordance with the HOME Final Rule, Section 92.206(b). Pursuant to federal HOME regulations section 92.206(a)(4), HOME funds cannot pay for the costs associated to construct or rehabilitate laundry and/or other community facilities located in separate buildings containing no residential units, unless the facilities exclusively serve the residents and their guests. In other words, the space cannot be available for use by the general public. Pursuant to federal HOME regulations section 92.214, HOME funds cannot be used for the initial deposits to the operating and replacement reserve required by state UMR sections 8308 and 8309. Therefore, in a project where HOME is the only source of financing, or if other lenders/equity partners will not pay for these costs, the Developer must pay them. Page 199 of 901 California Department of Housing and Community Development 10 2020-2021 HOME NOFA Additionally, HOME funds cannot provide a duplication of benefit or supplant any other federal, state or local funds previously committed to the project. Only eligible activities will be scored and ranked. If an application contains two activities, one of which is an ineligible activity, then the eligible activity will be scored. For further ineligible uses of HOME funds, refer to the HOME Final Rule. E. Activity combinations and limits Eligible Applicants (excluding Developers and CHDOs) may apply for two activities as follows: 1. One rental project and one FTHB project, or 2. One rental project, and any combination of eligible Program Activities, or 3. One FTHB project and any combination of eligible Program Activities, except for a FTHB program. A separate application must be submitted for each project and for Program Activities. Projects and Program Activities are rated and ranked separately. CHDOs may apply for two activities as follows: 1. One rental project and one FTHB project, or 2. One rental project or FTHB project and FTHB Program Activity of infill new construction or Acquisition with Rehabilitation. Developers applying with an eligible Applicant as defined above may submit only one independent application pursuant to this NOFA. An application may consist of one activity as follows: 1. One Rental rehabilitation with or without an acquisition project 2. One Rental new construction project F. Allocation of funding Funding made available by this NOFA will be allocated in accordance with the state HOME regulations cited below. The utilization of COVID-19 waivers will reduce the CHDO set-aside and increase the amount the state will utilize for administrative costs: Page 200 of 901 California Department of Housing and Community Development 11 2020-2021 HOME NOFA Allocation of Funding Section 8212.1(a) * 40 percent for Program Activities * 55 percent for rental projects (includes CHDO set-aside) * 5 percent for FTHB projects Sections 8212.1 and 8213 • The top-ranked project and Program Activity application, respectively, submitted by an Indian Reservation, Rancheria, or Tribally Designated Housing Entity that passes threshold and meets the HOME program requirements will be awarded HOME funds. • A minimum of 50 percent will be reserved for Rural areas as defined in Section 50199.21 of the California Health & Safety Code (HSC). State HOME regulations, section 8213(d) specifies that, in the event there are insufficient monies to fund an Applicant's entire program, the Applicant may be offered a lower amount of funding. The lower amount of funding may be offered only if the funding is sufficient to complete a portion of the application activities, which, if evaluated separately, would have been awarded. If the amount of funding available is insufficient, the available funds may be allocated to feasible applications in other allocations. Over-the-Counter (OTC) HOME funding is available only if the amount requested by all Applicants competitively is lower than demand. The Department will notify all parties through a “HCD Listserv” announcement if there will be an additional OTC HOME NOFA funding opportunity. G. Activity funding amounts and limits The loan limits stated below do not include funds for administration or CHDO operations. Limits apply to the combined amount of funds requested through this NOFA and HOME program income and recaptured funds. For example, an eligible Applicant (excluding Developers) may request up to $7 million for a project (i.e., a $7 million loan and grant for administration expenses or CHDO Operating Funds limited to the maximum in the NOFA Section II, K). Developers are not eligible for reimbursement of administration costs. Projects may propose to utilize either four percent (4%) or nine percent (9%) tax credits to fund their project and may exercise flexibility post award to determine the type of tax credits they will use. The HOME award amount must remain the same for either type of tax credits proposed. Tax credits cannot be used to replace awarded HOME funds. For administration/CHDO operation funds and activity delivery amounts, see NOFA Sections II.K. and II.L Rental new construction project loan limits: $7 million Rental rehabilitation with or without acquisition loan limits: $7 million Page 201 of 901 California Department of Housing and Community Development 12 2020-2021 HOME NOFA Prior to the issuance of the Award letter, the Department will evaluate the financial feasibility of each project and may, as necessary for project feasibility, or to prevent over subsidizing a project per the UMRs, decrease the HOME loan amount. This also applies to Rental rehabilitation with or without acquisition projects. Homebuyer project loan limits 1. Down payment assistance cannot exceed 50 percent of the proposed unit sales price plus closing costs. Applicants will need to consider their pool of potential Applicants’ income levels to determine the amount of HOME funds needed to complete the project and ensure each beneficiary is provided HOME down payment assistance based on need and remain within the HOME Program per-unit subsidy limits. 2. The federal per-unit subsidy and HOME Value Limits still apply. All loan amounts will be verified by a subsidy layering analysis, and loan amounts will be reduced if the amount requested exceeds what is needed. Note: Using HOME homebuyer project funds, HOME homebuyer program funds, and/or any HOME program income (“PI”) and recaptured funds (“RF”) in the same homebuyer project, is not permitted except in limited circumstances and at the sole discretion of the Department. Projects funding maximums Rental New Construction or Rehabilitation with or without acquisition $7 million First-Time Homebuyer Project $7 million CHDO Operating funds grant* $200,000 Administrative funds grant* $150,000 *See NOFA Section II K and L for guidance. Minimum and maximum amount of funds per project 1. The minimum amount of HOME funds that must be invested in a rental or homeownership housing project is $1,000 for each HOME-assisted unit in the project. This requirement does not apply to TBRA funding. For example, a project with 30 units, of which 15 units are HOME-assisted, requires a minimum HOME investment of $15,000. 2. The maximum amount of HOME funds invested in a project, including activity delivery costs, shall not exceed the lower of: a) Per-unit subsidy limits, established by HUD (updated annually), under 24 CFR §92.250; or Page 202 of 901 California Department of Housing and Community Development 13 2020-2021 HOME NOFA b) The development cost of HOME-assisted units compared to all units in the project and the size of the HOME units compared to all other units in the project, pursuant to 24 CFR §92.205(d)(1); and 3. The maximum amount of HOME funds invested in a project (when combined with other financing and assistance), must accomplish the following: a) Enable the project as proposed to be developed and to operate in compliance with all HOME requirements, including the subsidy-layering requirement at 24 CFR §92.250. For more information, see HUD’s CPD Notice 98-01. b) For rental projects of five or more units, achieve a debt-service coverage ratio in accordance with UMR section 8310. The current income and rent limits must be used in these calculations. They are located on the Department’s website at: http://www.hcd.ca.gov/grants- funding/income-limits/state-and-federal-income-limits.shtml. The current HUD per-unit subsidy limits are located on the Department website at: http://www.hcd.ca.gov/grants-funding/income-limits/state-and-federal-income- limits.shtml. FTHB and OOR activities are subject to the HOME Value Limits. The current limits can be found at http://www.hcd.ca.gov/grants-funding/income-limits/state-and-federal-income- limits.shtml. Pursuant to federal regulations, a project may receive only one HOME fund award. This prohibits the combination of awards from a State Recipient, and a Developer, or CHDO on the same project, and also prevents the combination of awards from more than one HOME NOFA on the same project. Pursuant to 24 CFR §92.250, before committing funds to a project, the Department must evaluate the project in accordance with the UMRs and will not invest any HOME funds, in combination with other governmental assistance, than is necessary to provide affordable housing. HOME projects may not receive more subsidy than what is required to make them financially feasible. Page 203 of 901 California Department of Housing and Community Development 14 2020-2021 HOME NOFA Program Activities funding limits Maximum: $2 million (including administration and activity delivery costs). Minimum: $300,000. Applies to HOME-eligible Applicants for all Program Activities, subject to the following chart: * See “Expended Funds” definition in state HOME regulations § 8204(b). ** Applicants that do not have open HOME Program Activities contracts past the expenditure deadline as of the NOFA application due date may apply for up to $700,000. Successful Applicants (awardees) will be evaluated periodically to determine if their rate of expenditure is reasonable. The Department may disencumber all or a portion of the grant if there is an unreasonably low rate of expenditure, as determined by the Department in its sole discretion. H. Program Income and Recaptured Funds Federal HOME regulations require that all program income (“PI”) and recaptured funds (“RF”) on hand must be maintained in an interest-bearing account. Interest earned on those funds is considered PI. To avoid de-committing appropriated grant funds from a specific project, HOME PI and RF may be accumulated throughout the current reporting period (fiscal year) and committed to a project in the next fiscal year. The PI and RF received during the current reporting period, as well as any anticipated to be received in the next program year, must be reported to the Department to comply with HUD reporting requirements. Additionally, the Applicants must identify how the funds will be used (name the activity and project or Program Activity, and the intended beneficiary type) to ensure timely use of program income funds. All PI and RF must be reported in the Annual Performance Report to the Department. I. Deep affordability targeting A total of approximately $5 million in HOME funds are available as part of the rental project allocation to assist rental new construction projects to reduce or eliminate permanent conventional debt with mandatory debt service for the purpose of lowering rents on some or all of the project’s units. Eligible Applicants may apply for up to an additional $1 million in HOME funds for this purpose. Eligible projects are rental new construction projects that do not utilize nine percent (9%) tax credits and set a portion of the units’ rents below 50 percent of AMI for the HOME Expenditure Rate* Achieved Maximum Application Amount Expenditure Rate for Applicant’s 15-HOME, 16-HOME, and 18-HOME Program Activities Contracts $2,000,000 60 percent or more $1,500,000 55 – 59.99 percent $ 700,000 0 – 54.99 percent Page 204 of 901 California Department of Housing and Community Development 15 2020-2021 HOME NOFA entire regulatory term. Be aware the new flexibility to change tax credits after award will not be applicable for deep affordability projects. Projects also must meet the periods of affordability specified in the following table. Period of Affordability Number of Years Applicant Type 55 years Developments on fee land 50 years Developments on Native American Lands (both fee simple and leasehold) Applicants for deep affordability targeting funds must submit two sets of application documents as set forth in the Deep Affordability Targeting Documentation Checklist of the HOME Supplement to the Universal Application. This additional documentation must illustrate any differences in proposed project rent levels, financing commitments, and other financials when funded at the deep affordability targeting funding level versus the regular maximum HOME funding level. The additional documentation must also include another “Financial Feasibility Self Evaluation” form. The Department expects to see a reduction in rents, debt service, operating reserve, and permanent conventional financing commitments because of the higher HOME loan amount. However, there must be no difference in total development cost under the regular HOME funding scenario versus the deep affordability targeting funding scenario. The total operating expenses may change based on the population served; however, the amount budgeted for Supportive Services Costs must be consistent with the UMR Section 8314(e). Any differences in total operating expenses and required replacement reserve deposits between the two scenarios must be explained in the application. Although the project rent schedule may change with deep affordability targeting funds, the total number of units and the size of units in the project may not change. In putting together the unit mix under both scenarios, among the HOME-assisted units, no more than four different rent AMI levels shall be used for each bedroom size. Deep affordability targeting rating factors The available funds will be allocated to projects that rank high enough to be funded through the normal rating and ranking process and based on the following deep affordability targeting rating factors: 1. The higher the percentage of HOME units restricted below 50 percent AMI, the deeper affordability targeting points that will be awarded; and 2. The lower the average rent of HOME units expressed as a percentage of AMI, the deeper affordability targeting points that will be awarded. Fifty percent (50%) of deep affordability targeting HOME funds will be made available to projects in counties in which the HOME 50 percent AMI limit for a household of four is below $39,200 based on the 2021 HUD HOME 50 percent median income limits. Fifty percent of the funds will be made available to projects in counties whose Page 205 of 901 California Department of Housing and Community Development 16 2020-2021 HOME NOFA HOME 50 percent AMI limit for a household of four is $39,200 or more. Unused funds in one group will be made available for the other group. If a project does not score high enough on the deep affordability targeting factors to receive deep affordability targeting funds, it will be evaluated for overall HOME rating purposes using the rents that are proposed at the regular maximum HOME funding level. For assistance on deep affordability targeting applications, submit questions to HOMENOFA@hcd.ca.gov. J. Forms of assistance 1. HOME loans HOME assistance shall be in the form of deferred payment loans to be repaid to local HOME accounts controlled by eligible Applicants or the state’s local HOME account, except for the uses of funds specifically defined under HOME grants below. Loans provided to homebuyers must meet the requirements set forth in State HOME Regulations § 8205(c)(C)(i and ii) 2. HOME grants HOME assistance must be provided in the form of a grant for relocation payments, lead-based paint hazard evaluation and reduction activities, and TBRA. HOME assistance may be provided in the form of a grant for rehabilitation activities performed under an OOR program if necessary, to complete the project when the total of all project indebtedness equals or exceeds the projected after rehabilitation appraised value. The grant amount for OOR activities is limited to 25 percent of the applicable HUD per-unit subsidy limit for the project. This amount is in addition to any grant funds currently permitted for relocation, lead-based paint remediation, and activity delivery costs for the project. HOME assistance may be used for activity delivery cost grants for eligible Applicants. Activity delivery costs are further defined by the term “related soft costs” in the HOME Final Rule at 24 CFR § 92.206(d), except that customary closing costs for home acquisition activities may be charged as either a loan or part of the grant funding for activity delivery costs. IMPORTANT: All project-related soft costs associated with an OOR project must be included in the 24 percent funding maximum available for activity delivery costs. HOME funds for activity delivery costs cannot be drawn down before HOME funds for activity costs are drawn down. If the activity is not completed, and a Project Completion Report for the full amount drawn down is not filed, all HOME funds for that project, including activity delivery costs, must be repaid to the Department. Project related expenses for NEPA environmental review, and architectural and engineering and other professional services incurred within the 24 months prior to the commitment of funds, may be reimbursed at the sole discretion of the Department Page 206 of 901 California Department of Housing and Community Development 17 2020-2021 HOME NOFA after execution of the state’s Standard Agreement. On a case-by-case basis, the Department may, in writing and in its sole discretion, permit reimbursement for other expenses incurred after the date of the Award letter, and prior to the effective date of the Standard Agreement, upon the written request of the Applicant. K. Administrative and CHDO operation funds The following limits apply to the amount of administrative and CHDO operations funding that Applicants may receive. Developers of a project shall not act as an Administrative subcontractor for the same HOME funded project activity and are not eligible for project administrative costs. Projects Applicants eligible to receive administrative funds applying for $5 million or more in project development costs may request up to $100,000 for administrative costs. If requesting less than $5 million in project development costs, Applicants may request up to $75,000 for administrative costs. CHDOs applying for $5 million or more in project development costs may request up to $200,000 in CHDO operations funds. If requesting less than $5 million in project development costs, Applicants may request up to $150,000 in CHDO operation funds. This includes FTHB projects. Developers are not eligible to apply for administrative funds. All administrative costs must be reasonable, and Applicant must have detailed records to demonstrate costs are eligible for reimbursement. Program Activities All Program Activities Applicants may request up to 2.5 percent of the amount requested in administrative funds. CHDOs undertaking a FTHB program activity will receive CHDO operation funds in lieu of administrative funds at the same 2.5 percent rate. All administrative costs must be reasonable, and Applicant must have detailed records to demonstrate costs are eligible for reimbursement. TBRA Applicants may request up to an additional 9.5 percent of the total TBRA application amount for TBRA general administration, for a total of 12 percent of gross TBRA funds for TBRA general administration. Due to state budget constraints, the total amount of administration for this purpose is $200,000. If there is more demand for TBRA administration funds than available, only the highest-rated TBRA Applicants will receive administration funds in addition to the regular 2.5 percent allocation. All TBRA Applicants will receive at least the basic 2.5 percent amount for Administration. Actual eligible expenses must be incurred to draw down these funds. Page 207 of 901 California Department of Housing and Community Development 18 2020-2021 HOME NOFA L. Activity delivery funds Projects Eligible Applicants of rental and homebuyer projects may receive up to $50,000 of the contract amount (loan and grant funds) for activity delivery costs (activity delivery funds). Activity delivery funds are grants and not part of the project loan amount. Activity delivery funds may be used at the Applicant’s discretion to fund the activity, activity delivery costs, or any combination of the two. For a description of the types of expenses, which may be charged to activity delivery, see 24 CFR §92.206(d)(6) and 92.206(f)(2). Activity delivery, administration, and CHDO operations funds should not be included in the development budget since the development budget must reflect HOME loan amounts only, not HOME grant funds. Developers shall not act as an administrative subcontractor for the same HOME funded project activity and are not eligible for project activity delivery costs. Programs Except for TBRA activities, Standard Agreements (contracts) will automatically allow the use of up to the maximum amount of activity delivery funds for each specific activity. At the time of set-up (i.e., when the HOME recipient is ready to begin drawing activity funds) an activity delivery funds request may be made for actual expenses: 1. Up to 24 percent of the HOME loan/grant amount for OOR and for the rehabilitation component of acquisition with rehabilitation. Activity delivery costs for rehabilitation projects may exceed the 24 percent limit if documentation of actual eligible costs is provided to the Department with the project set-up. Documentation must be of actual eligible costs; consultant billings, without documentation of underlying actual costs, are not adequate. 2. Up to 6.5 percent of the total acquisition cost for FTHB activities involving acquisition with rehabilitation. 3. Up to 5 percent of the HOME TBRA payment for unit inspection and income determination activities. 4. Up to 6.5 percent of the HOME amount for all other activities. III. State and federal requirements Applicants are required to ensure programs and projects development are in compliance with all the state and federal regulations governing this funding. Those to be considered in completing your application are highlighted below. Page 208 of 901 California Department of Housing and Community Development 19 2020-2021 HOME NOFA A. Physical needs assessment Pursuant to 24 CFR §92.251, housing that is constructed or rehabilitated with HOME funds must meet all applicable local codes and rehabilitation standards at the time of project completion. Projects involving rehabilitation must do sufficient rehabilitation to ensure the long-term viability of these projects. Pursuant to state UMR Section 8309(b)(2), the Department requires rental rehabilitation project Applicants to submit a third-party physical needs assessment. B. Timeframes for use of funds Recipients of HOME funds are subject to progress deadlines and expenditure deadlines that are defined in the state and federal regulations and specified in the Standard Agreement. Failure to meet applicable deadlines may potentially result in the assessment of penalties, potential recapture of HOME funds (spent and/or unspent), and point deductions from future NOFA applications: HOME Deadlines Deadline Construction loan closing 20 months from award Expenditure (Program Activities) 48 months from award Expenditure (project) 40 months from award Projects For projects, if a grantee fails to meet one or more of the deadlines outlined in the paragraph above, a performance penalty will be imposed on the next project application submitted by the Applicant, as well as the project’s Developer, owner, and managing general partner. If a grantee gives back their award in lieu of another funding source or tax credits, the Applicant will be held out of the next HOME funding round. Program Activities All Program Activities funds must be expended by the end of the 48th month following the award date. Grantees must ensure that work is completed well in advance of the expenditure deadline to ensure funds are fully expended prior to the expenditure deadline. Exceptions will be considered, at the sole discretion of the Department, only if the Applicant shows there was clear and indisputable evidence that delays were beyond the reasonable control of the borrower and/or the Applicant, or the Department was responsible for the delay, and the Department has the flexibility to do so within federal regulations. Page 209 of 901 California Department of Housing and Community Development 20 2020-2021 HOME NOFA C. Match requirements HOME match requirements are waived for applications pursuant to this NOFA. However, match must be reported to the Department in each Project Completion Report. The Department continues to track all match funds in projects. D. Annual monitoring fees for multifamily projects Pursuant to 24 CFR §92.214(b)(1)(i), participating jurisdictions, such as the state HOME Program, will charge fees to cover the cost of ongoing monitoring and physical inspection of HOME projects during the state period of affordability. The state HOME program will charge these fees as described in this NOFA. For Developer and CHDO projects The Department charges an annual monitoring fee as follows: Table 8 – Monitoring Fees Number of Units 2021 12 or fewer $5,900 13 to 24 $9,600 25 to 36 $11,700 37-48 $12,000 49-60 $14,350 61 or more $16,800 To adjust for inflation, this fee shall increase by three percent per year unless the Department determines that the monitoring costs are increasing at a lower rate. To determine the beginning monitoring fee, the applicant will estimate the placed in service year and adjust the fee upward from 2021. Financial assumptions in the HOME application shall be based on the rate that will be effective at the time of initial occupancy. Annual monitoring fees are mandatory payments. The first payment shall be prorated based upon the total number of days after completion within the first fiscal year. Lump sum payment made from development funds is not allowed for HOME projects. Payments made must be pursuant to the regulatory agreement. For Eligible Applicants’ projects Applicants may charge their borrower annual monitoring fees to cover the ongoing cost to monitor and conduct physical inspections provided: 1. The monitoring fee charged may be less than, but not exceed, the amount charged for state CHDO and Developer projects; 2. The monitoring fee shall be specifically stated in the Applicant’s loan documents with Page 210 of 901 California Department of Housing and Community Development 21 2020-2021 HOME NOFA the borrower; and 3. An amount equal to 10 percent of the monitoring fee which is charged to the project will be paid by the Applicant to the Department to cover the Department’s costs of monitoring the Applicant’s rental project compliance activities. IV. Application review A. Minimum application requirements Applications for the HOME program will not be considered for funding unless the application demonstrates that the following minimum requirements have been met pursuant to Section 8212 of the state HOME regulations: 1. The application was received by the Department by the deadline specified in this NOFA. 2. The Applicant is eligible pursuant to state HOME regulations sections 8204, 8204.1(c), and Appendix A of the NOFA or by way of the Department’s use of the AB 1010 waiver. 3. The Applicant proposes at least one eligible activity pursuant to state HOME regulations section 8205 (other than administration). 4. The use of funds is eligible per state HOME regulations sections 8205 and 8210(c). 5. The application is complete pursuant to state HOME regulations section 8211(b). 6. The Applicant has no unresolved audit findings pursuant to state HOME regulations sections 8204(a)(1)(D) (ii) and (2)(C)(i). 7. The Applicant has provided documentation satisfactory to the Department that it complies with the submittal requirements of 2 CFR §200.512 Single Audit reporting requirements. 8. The Applicant and any member of its program or project team is not on the list of debarred contractors at https://www.sam.gov/SAM/ pursuant to state HOME regulations Sections 8204(a)(1)(D)(iii) and (2)(C)(ii). 9. The total amount of funds requested for both administration activity-specific costs and activity delivery costs does not exceed the limits identified in the NOFA. 10. The application form provided by the Department has not been altered or modified and is complete in all respects. 11. CHDO applications must contain procedures for ensuring effective project control pursuant to 24 CFR §92.300(a)(1) and state HOME regulations Section 8204(a)(2)(D). Page 211 of 901 California Department of Housing and Community Development 22 2020-2021 HOME NOFA B. Rating and ranking The Department will rate, rank and fund applications based on review of eligible activities for which funds are requested. The application must be submitted using Department forms, and contain all information required pursuant to state HOME regulations Sections 8211(c), (d), and (e). Scoring for projects is subject to the appeal process described in NOFA Section IV.F. Each project or combination of Program Activities will be evaluated and ranked separately. The Department requires full disclosure in each application of all pending and proposed applications for other Department applications for the same project, regardless of who is applying for funding (e.g., city, county, Developer, sponsor, etc.). Pursuant to Section 8212(d)(5) of the state HOME regulations, HOME project applications must receive a minimum score of 930 points to be funded based on the following categories: • Housing Element (50 points) • Formula Reallocation (50 points) • Rural Area (50 points) • State Objectives (200 points) • Capacity (up to 450 points) • Community Need (up to 250 points) • Project Feasibility (up to 200 points) • Project Readiness (300) In the case of a tie score, the application demonstrating the highest jurisdictional poverty level will be funded first. If CHDOs and/or Developers are applying from the same jurisdictional area, the lower of the average rent expressed as a percentage of area median income will be funded first. The Department Director will make final funding decisions in his or her sole discretion. Applications will be funded in descending order based on points earned. Applications that qualify for CHDO, FTHB project, tribal and rural set-asides will be funded first, based on their scores as necessary to meet the minimum set-asides. Once the set-asides have been achieved and the top-ranked project and top-ranked Program Activity on Native American Lands as defined in Section 8201(x or by an eligible Native American Entity has been selected, all remaining applications will be funded within their respective allocations pursuant to state HOME regulations Section 8212.1, based on their scores relative to all other applications with the highest- scoring application funded first. Project application review and analysis 1. In accordance with Section 8212(a)(6) of the state HOME regulations, Section 8310 of the state UMR, and the 2013 HOME Final Rule, Section 92.250 (b), the Department will perform underwriting analysis to substantiate the project is financially feasible for at least 20 years, as well as a subsidy layering analysis to determine the amount of the HOME loan. Page 212 of 901 California Department of Housing and Community Development 23 2020-2021 HOME NOFA To determine the project’s feasibility and sustainability, the Department will review the project Sources and Uses Form. When completing the form, Applicants should be sure to include all known and potential project costs, such as those caused by the following: • Site development issues • Local government approvals • Project market • Prevailing wages • Elevation above a flood plain • Relocation • Environmental remediation • Mitigation of environmental conditions and hazards • Any other factors that may impact the project costs and/or schedule If an Applicant proposes to develop site(s) formerly used for agricultural, industrial, manufacturing, or commercial purposes, or the site is situated adjacent to, or in close proximity to, rail yards, airports, dumpsites, or other potentially contaminated properties, whether abandoned or operating, the Department may require Phase II environmental site assessment, or other soil assessment or testing, and a Floodplain Analysis. If not submitted with the application, these reports will be required after award as part of the NEPA process. If the Applicant has any indication that these conditions may exist, the Department highly recommends that Applicants complete an assessment, soil sampling, or other appropriate testing methodology, prior to submitting the application. The results should be submitted as part of the application documentation, and any additional costs the project may incur must be included in the project budget and Sources and Uses Form. Failure to include these items can increase the project costs such that the project is unfeasible, resulting in being noncompetitive for an award. For this reason, it is incumbent upon the Applicant to present verifiable and documented information in the application to prevent any unknown or uncertain project costs. 2. The project has site control pursuant to state UMR section 8303 and must meet HUD requirements regarding acceptable forms of site control. 3. There is no pending or threatened litigation that could affect implementation of the proposed project. a) Rental projects must demonstrate compliance with, or be exempt from, the requirements of Article XXXIV of the California Constitution pursuant to state HOME regulations section 8212(a)(7). b) Relocation certification is required for all projects including vacant site(s). Applicants that assert their project does not require relocation must submit a detailed explanation, including supporting documentation, as to why relocation (of tenants, farms, businesses, etc.) is not required. The Department will review the documentation and make a determination as to whether a relocation plan is necessary. Relocation considerations include the following: Page 213 of 901 California Department of Housing and Community Development 23 2020-2021 HOME NOFA • Vacant land, which is land that is not developed or being used for agricultural purposes; • Property vacated for the project, then relocation applies; and • Tenant is someone who is living or storing their belongings on the property with the owner’s consent, whether or not the “tenant” pays rent. Squatters are not tenants. If relocation is not required, the Department will issue a Certification Regarding Non- application of Relocation Benefits and Indemnification Agreement (“Non-Relocation Certification”). This Non-Relocation Certification must be executed by the Applicant/borrower/sponsor prior to the Department executing the Standard Agreement, and as a condition thereof. The Non-Relocation Certification substantiates and certifies that there is no displacement including, but not limited to, the displacement of tenants, businesses, and farms; therefore, no relocation is required. Submission of thorough and clear supporting information will lead to a more efficient review and decision. The following are examples of supporting documentation for the Non-Relocation Certification: • Background information • Project information • Reports from professionals, such as appraisal or soils report • Purchase information • Mini relocation plan with pictures of the vacant land • Summary relocation report • Scope of Work from the general contractor • Letter from the project engineer stating the Scope of Work • Sales contract evidencing the purchase of vacant land • ALTA survey of (purchased) vacant land • Property tax assessment for vacant land • Photographic evidence of vacant land Page 214 of 901 California Department of Housing and Community Development 24 2020-2021 HOME NOFA C. Projects application scoring factors and evaluation HOME Projects Rental New Construction Rental Rehabilitation First-Time Homebuyer Scoring Factors Points Factor: Housing Element Applicants that meet the definition of a local public entity (cities and counties) are required to be in substantive compliance with state Housing Element Law, as defined in state HOME regulations Section 8201(t), as of the NOFA application due date. The Current Housing Element Status Report is available at https://www.hcd.ca.gov/community-development/housing- element/index.shtml#status Newly incorporated cities are exempt from this factor, until which time the city is required to submit the housing element to the Department for approval. It is the responsibility of the city to know their reporting requirements. If unsure, please send an email inquiry to the HOME NOFA Unit, HOMENOFA@hcd.ca.gov. CHDOs, Developers, and projects to be developed on Native American Lands, as defined in state HOME regulations Section 8201(y)(1), are exempt from this requirement. These entities shall receive full points for this scoring factor. 50 Factor: HUD direct HOME allocation (declined) A jurisdiction that proposes activities that are eligible to receive HUD direct HOME allocation funds and declines the funding for the purpose to preserve their state HOME eligibility, shall receive full points for this scoring factor. 50 Factor: Rural communities Activities proposed in a rural community shall receive full points for this scoring factor. 50 Factor: Capacity – Prior Applicant Experience Applicants that demonstrate experience implementing local, state or federal affordable housing and/or community development projects, during the last seven calendar years (1/1/2015 – 12/31/2021), shall receive points for this scoring factor. 10 points for each project completed creating 2 or more units of affordable housing. List a total of 5 projects in the last 7 calendar years. 50 Factor: Capacity - Prior Developer Team Experience Developers that show the project team has experience developing the same type of subsidized project as proposed in the application, during the last five calendar years (1/1/2017 – 12/31/2021), shall receive points for this scoring factor. 1 project completed 100 points 2 projects completed 150 points 3 projects completed 200 points 200 Page 215 of 901 California Department of Housing and Community Development 25 2020-2021 HOME NOFA Factor: Capacity - Prior Performance For prior performance scoring, all applications receive the maximum 200 points for the factor. As applications are reviewed and rated, points will be deducted for each of the following sub-factor deficiencies up to a maximum 200-point deduction. Sub-factor #1: Project Deadlines If, by the NOFA application due date, an Applicant, Developer, owner, and/or managing general partner of any HOME project contract (rental and FTHB) awarded between 1/1/2016 – 12/31/2020, failed to meet the project deadlines as outlined in their Standard Agreement, unless extended in writing by the Department, points shall be deducted for this scoring sub- factor as follows: Permanent financing deadline (5 points) Project set-up deadline (10 points) Construction loan-closing deadline (10 points) Completion deadline (80 points) Expenditure deadline (20 points) Maximum 200 point deduction Sub-factor #2: Applicant Reporting Reporting is an essential condition and a responsibility of accepting HOME grant funds. Because of this, Applicants that were required to submit reports and failed to comply are subject to a reduction of points, up to a deduction of 50 points. This applies to any HOME project monthly, quarterly PI reports, annual reports, and project completion reports, due between 1/1/2017 – 12/31/2021. • Late or missing monthly reports, deduct 5 points for each report • Late or missing quarterly Program Income Reports, if applicable, deduct 5 points • Late or missing annual reports, deduct 25 points • Late or missing project completion reports, deduct 20 points Maximum 50 point deduction Sub-factor #3: Material Misrepresentation If between 1/1/2016 – 12/31/2020, an Applicant, Developer, owner, and/or managing general partner made any material misrepresentation or omission in the HOME application, application documentation, project reports and/or any other document, significant in nature, that could jeopardize the Department HOME investment funding in a project or place the Department at risk of a HUD monitoring finding, up to 200 points shall deducted for this scoring sub- factor. This is evidenced by receipt of a letter from the Department outlining the infraction and the points deduction levied by the Department. Maximum 200 point deduction Page 216 of 901 California Department of Housing and Community Development 26 2020-2021 HOME NOFA Sub-factor #4: Monitoring Noncompliance (1/1/2017 – 12/31/2021) There are two noncompliance categories for which up to 100 points may be deducted. 1. Monitoring. Points will be deducted in this category for any application that the Applicant, owner, and managing general partner have failed to remedy any HOME monitoring findings and concerns, identified by the Department. 2. Late reports. Points will be deducted in this category for any 2020-2021 NOFA project applications that the Applicant, owner, and managing general partner failed to timely submit reports for occupied HOME rental projects. Point deductions shall be as follows: a. Local public entity • Annual monitoring report (10 points each) • Annual report (10 points each) • (including financial audit. Schedule of rental income, and annual affirmative marketing analysis) b. CHDOs/Developers • Annual operating budget (10 points each) • Annual report (10 points each) (including financial audit. Schedule of rental income, and annual affirmative marketing analysis) Maximum 100 point deduction Factor: Community Need The community need point scoring by activity type is based on the data available in Appendix C at the HOME NOFA webpage. Up to 250 Factor: Project Feasibility 1. State and federal requirements (including UMRs for rental projects) (195) 2. Highest percentage of HOME-assisted units (5) 200 Factor: Project Readiness 1. Rental Projects. Project readiness factors are available in the HOME Supplemental Application, found at the Department HOME webpage. 2. Homebuyer Projects. Project readiness factors are available in the Homebuyer Project Application (Part B), available on the Department HOME webpage. 3. Project Development Plan (PDP). Rating points will be awarded if the required* item was prepared and submitted within the applicable timeframes, and meets the minimum requirements specified in the HOME Supplement. The PDP will be reviewed on applications scored high enough for funding. * The Geotechnical report is not required as part of the application and will not be considered for scoring purposes. 300 Page 217 of 901 California Department of Housing and Community Development 27 2020-2021 HOME NOFA Factor: State Objectives For the state objective scoring, there are three sub-factors for which Applicants can receive points, up to 200 points maximum. As applications are reviewed and rated, points will be awarded for the following objectives: 1. Committed financing 2. Overcoming impediments to fair housing 3. Policy objectives − Special Needs populations − Homelessness − Access to opportunity Sub- factor #1: Committed Financing Points will be awarded for projects that have 100 percent of the non-state permanent financing committed by the application due date. Projects anticipating applying for any type of tax credits will not be considered as having their financing committed and are thus not eligible for these points. 85 Sub-factor #2: Overcoming Impediments to Fair Housing Points shall be awarded for projects located in high- and highest- areas of opportunity within the TCAC Opportunity Map, http://www.treasurer.ca.gov/ctcac/opportunity.asp 35 Sub-factor #3: Policy Objectives. Special Needs Populations, or Homelessness. Special Needs populations (up to 80 points). See chart below. Points shall be awarded to applications that propose rental projects with funding commitments to target Special Needs populations, using any of the following funding: • HUD 811 • HUD Supportive Housing Program • State Mental Health Services Act (MHSA) • No Place Like Home Program • Veterans Housing and Homelessness Program • Housing for a Healthy California Program • Multifamily Housing Program Points may also be awarded to projects that provide project-based rental assistance, under the terms of an MHSA or Veterans Affairs Supportive Housing Voucher (HUD-VASH). -- or -- Homelessness (up to 80 points). Points shall be awarded to applications that propose projects serving people experiencing homelessness. If serving Special Needs or Homeless populations, the projects must include supportive services pursuant to Housing First requirements. 80 TOTAL AVAILABLE POINTS FOR PROJECTS 1550 Page 218 of 901 California Department of Housing and Community Development 28 2020-2021 HOME NOFA Percentage of units assisting Special Needs or Homeless Populations or VASH units Percent of Units Designated by all Funding Sources as Special Needs Units Points 51% or more 80 41-50% 70 31-40% 60 26-30% 50 21-25% 35 16-20% 22 10-15% 9 6-10% 5 1-5 % 3 D. Credits and additional point-deduction rules 1. Credit for good performance on the same project with missed deadlines The deducted points for each specific project shall be restored if all of the following events occur prior to the application due date for the same project: a) Project completion. The Department receives the final Certificate of Occupancy and the Notice of Completion is filed at the County Recorder’s Office. b) The Project Completion Report. The Department receives the Project Completion Report showing all HOME units are occupied. c) All HOME funds are expended by the original expenditure deadline as stated in the Standard Agreement. 2. Credit for other completed HOME projects Points will be partially restored to the extent the Applicant, Developer, owner, or managing general partner completed other HOME projects. Five points will be restored for each completed HOME project awarded HOME funds between June 1, 2017 and December 31, 2021. For example, one of a Developer’s three HOME projects awarded in this timeframe missed the completion deadline, resulting in an 80-point deduction. Two projects awarded HOME funds between June 1, 2017 and December 31, 2021 have been completed. 10 points (two projects X five points) will help to offset the 80-point deduction. Page 219 of 901 California Department of Housing and Community Development 29 2020-2021 HOME NOFA 3. Additional point deduction rules a) Pursuant to state HOME regulations section 8217, Applicants who disencumbered a project contract between June 1, 2017 and December 31, 2021 and their Developers, owners, and managing general partners, if any, for these projects shall receive point deductions according to the above schedule for the deadlines the project did not meet before the contract was disencumbered. b) Point deductions for projects subject to the holdout penalty (see state HOME regulations section 8217(b)(3)). Applicants that have not received a waiver of the holdout penalty, pursuant to state HOME regulations section 8217(c), may be eligible to apply because the project in question meets a specific performance standard identified in the state HOME regulations section 8217(b)(3)(A), which states the project has been completed, occupied, all funds have been expended, and all HOME funds have been drawn. These Applicants are still subject to a performance penalty of up to 50 points on the next HOME application following the holdout penalty, along with the project’s Developer, owner, and managing general partner pursuant to state HOME regulations 8217(b)(3)(B). E. Rental project scoring and notification Once rental project application scoring is complete, emails will be sent to the authorized representative and contact person listed in the application describing the scores and facts upon which those scores were determined. F. Appeals 1. Basis of appeals a) Upon receipt of the Department’s notice that an application has been determined to be incomplete, fail the threshold, or have a reduction to the preliminary point score, Applicants under this NOFA may appeal such decision(s) to the Department pursuant to this section. b) No Applicant shall have the right to appeal a decision of the Department relating to another Applicant’s eligibility, point score, award, denial of award, or any other matter related thereto. c) The appeal process provided herein applies solely to decisions the Department made in this program NOFA and does not apply to any decisions made with respect to any previously issued NOFAs or decisions to be made pursuant to future program NOFAs. 2. Appeal process and deadlines a) Process: To lodge an appeal, Applicants must submit to the Department, by the deadline set forth in subsection (b) below, a written appeal which states all relevant facts, arguments, and evidence upon which the appeal is based. Page 220 of 901 California Department of Housing and Community Development 30 2020-2021 HOME NOFA Furthermore, the Applicant must provide a detailed reference to the area(s) of the application that provide clarification and substantiation for the basis of the appeal. No new or additional information will be accepted if this information would result in a competitive advantage to an Applicant. Once the written appeal is submitted to the Department, no further information or materials will be accepted or considered thereafter. Appeals are to be submitted to the Department either via email at HOMENOFA@hcd.ca.gov or at the following address: California Department of Housing and Community Development Division of Federal Financial Assistance HOME Projects Manager 2020 W. El Camino Avenue, Suite 200 Sacramento, CA 95833 The Department will accept appeals through a carrier service that provides date stamp verification of delivery such as the U.S. Postal Service, UPS, or FedEx. Deliveries must be received during Department weekday (non-state holiday) business hours of 9:00 a.m. to 5:00 p.m. PST. Emails to the email address listed above will be accepted if the email time stamp is prior to the appeal deadline. b) Filing deadline: Appeals must be received by the Department no later than five (5) business days from the date of the Department’s eligibility, threshold review, or preliminary point score determination letters representing the Department’s decision made in response to the application. 3. Decision Any request to amend the Department’s decision shall be reviewed for compliance with the state and federal HOME regulations and UMRs (if applicable), the 2020- 2021 HOME NOFA and “application for funding”, and any subsequent clarifying documents, such as the HOME program’s responses to “Frequently Asked Questions.” It is the Department’s intent to render its decision in writing within fifteen (15) business days of receipt of the Applicant’s written appeal. All decisions rendered shall be final, binding, and conclusive, and shall constitute the final action of the Department with respect to the appeal. 4. Effectiveness If the statute, regulations, and/or guidelines governing this program contain an existing process for appealing decisions of the Department with respect to NOFA awards made under such programs, then this section shall be inapplicable and such existing authority shall govern all appeals. Page 221 of 901 California Department of Housing and Community Development 31 2020-2021 HOME NOFA G. Program Activities application scoring factors and evaluation HOME Program Activities Rating Factors Scoring Factors Points Factor: Housing Element Cities and counties are required to be in substantive compliance with state Housing Element Law, as defined in state HOME regulations section 8201(t), as of the NOFA application due date. Housing Element Annual Progress Reports are available at https://www.hcd.ca.gov/community-development/housing- element/index.shtml#status. Newly-incorporated cities are exempt from this factor, until which time the city is required to submit the housing element to the Department for approval. It is the responsibility of the city to know their reporting requirements. If unsure, please send an email inquiry to the HOME NOFA Unit, HOMENOFA@hcd.ca.gov. CHDOs are exempt from this requirement and shall receive full points for this scoring factor. 50 Factor: HUD direct HOME allocation (declined) A jurisdiction that proposes activities that is eligible to receive HUD direct HOME allocation funds and declines the funding for the purpose to preserve their state HOME eligibility shall receive full points for this scoring factor. 50 Factor: Rural communities Activities proposed in a rural community shall receive full points for this scoring factor. 50 Factor: Capacity - Applicant Experience Applicants that demonstrate experience administering HOME and/or other local, state, or federal affordable housing and/or community development projects, during the last seven calendar years (1/1/2015 – 12/31/2021), plus 2022 year-to-date, shall receive full points for this scoring factor. 100 Factor: Capacity - Prior Performance For prior performance scoring, all applications receive 150 points. As applications are reviewed and rated, points will be deducted for each of the following sub-factor deficiencies, up to a maximum 150-point deduction. • Reporting noncompliance • Monitoring noncompliance Page 222 of 901 California Department of Housing and Community Development 32 2020-2021 HOME NOFA Sub-factor #1: Reporting Reporting is an essential condition and responsibility of accepting HOME grant funds. Because of this, Applicants required to submit reports and who failed to comply are subject to a reduction of up to 50 points. In assigning these points, the Department will review the Applicant’s history of submitting quarterly reports and quarterly PI reports (for both Program Activities and Projects contracts numbered 15-HOME through 18-HOME), and Annual Performance Reports for FY 18-19, 19-20, and 20-21. The Department reserves the right to deduct points even if the Annual Report is on time but prepared inaccurately. Maximum 50-point deduction Sub-factor #2: Monitoring Noncompliance (1/1/2016 – 12/31/2020) Points will be deducted for noncompliance with monitoring or contract requirements identified in the last five calendar years. Maximum 100-point deduction Factor: Community Need The community need point scoring by activity type is based on data available in Appendix C, available on the Department HOME webpage. 250 Factor: Project Feasibility Project feasibility scoring has two scoring categories: activity type and program guidelines, described as follows: 1. Activity type scoring criteria (up to 75 points): a. FTHB program scoring is determined by the number of units sold in the city or county in the last 12-month period that are affordable to lower- income families. b. OOR program scoring is determined by the number of overcrowded households by tenure, and the age of the housing stock by tenure, in the city or county as reflected in U.S. Census data. c. TBRA program scoring is determined by the number of overpayments by renter households as reflected in U.S. Census data. 2. Program guidelines will be evaluated by the extent they reflect state and federal requirements (up to 25 points). 100 Factor: State Objectives For state objective scoring, Applicants can receive up to 200 points maximum. As applications are reviewed and rated, points will be awarded for the following objectives: 1. Expenditure rates 2. Access to opportunity and homelessness Page 223 of 901 California Department of Housing and Community Development 33 2020-2021 HOME NOFA Sub-factor #1: Expenditure Rates Applicants that have higher expenditure rates (i.e., expenditure rates of 55 percent and above) for all 2015-2018 HOME Program Activities contracts shall receive state objectives points as follows: • Expenditure rate at or above 60 percent. (90 points) • Expenditure rate between 55 percent to 59.99 percent. (60 points) Expenditure rates will be calculated in accordance with the “Expended Funds” definition in Section II.A of this NOFA. 90 Sub-factor #2: Access to Opportunity and Homelessness Points shall be awarded for access to opportunity and homelessness actions. These points will be awarded to Applicants with local governments that: 1. Identified at least one activity in each of the three access to opportunity categories: a. Outreach and engagement b. Prioritize and diversify investment c. Encourage housing choices in higher opportunity neighborhoods 2. Either applied for TBRA, or has identified in homelessness strategies at least one action in each of the following three categories: a. zoning and land use b. funding c. data outreach and coordination To receive these points, Applicants must complete and submit the HOME State Objective Worksheets with their application. 110 TOTAL POINTS FOR PROGRAMS 950 H. Disclosure of application Information provided in the application will become a public record available for review by the public pursuant to the California Public Records Act (Chapter 1473, Statutes of 1968). As such, any materials provided will be disclosed to any person making a request under the California Public Records Act. The Department cautions Applicants to use discretion in providing information not specifically requested, including but not limited to, bank account numbers, social security or taxpayer identification numbers, and personal phone numbers and home addresses. By providing this information to the Department, the Applicant is waiving any claim of confidentiality and consents to the disclosure of submitted material upon request. V. Award Announcements and Contracts A. Award announcements Subject to the availability of funds, the Department intends to send Award letters in August of 2022 for all successful Applicants. If a Standard Agreement is not ready for a construction loan closing, then the borrower and other construction lenders, or any other party associated with the project, must rely on the issuance of an estoppel letter that will be issued (if requested) by the Department at the construction loan closing stage. Page 224 of 901 California Department of Housing and Community Development 34 2020-2021 HOME NOFA Updates on planned awards and contract status will be provided through the Department Listserv system. To be added to this list, go to https://www.hcd.ca.gov/i- am/sub_email.shtml, scroll down to the HOME program and select the email alert lists you wish to receive. B. Contracts Awardee(s) must enter into a Standard Agreement with the Department. The Standard Agreement contains all the relevant state and federal requirements, as well as specific information about the award and the work to be performed. The Standard Agreement will contain deadlines that are consistent with state and federal HOME regulations. Failure to meet these deadlines will be considered a material breach of the Standard Agreement. Note: The Standard Agreement will be delayed if awardee does not timely provide the Department with all required entity resolutions and other entity documentation (e.g., bylaws, articles of incorporation, 501(c)(3) certification, certificate of good standing), in form and content acceptable to the Department in its sole discretion, which evidences that awardee has the legal authority to contract with the Department. A condition of award will be that a Standard Agreement is executed by the awardee(s) within 90 days (contracting period) of the awardees’ receipt of the Standard Agreement. Failure to execute and return the Standard Agreement(s) to the Department within the contracting period may result in award cancellation. The awardee(s) shall remain a party to the Standard Agreement for the full term of the Standard Agreement; removal of the awardee(s) shall be prohibited. VI. Recent State Overlays In addition to existing regulations, both state and federal, the following state regulations have recently been adopted as applicable to the HOME program. A. Pet-Friendly Housing Act of 2017 This funding is subject to the Pet-Friendly Housing Act of 2017 (HSC, § 50466). Each Applicant for a rental project is required to submit a signed and dated certification that residents of the housing development will be authorized to own or otherwise maintain one or more common household pets. Pursuant to this statute, “common household pet” means a domesticated animal, such as a dog or cat that is commonly kept in the home for pleasure rather than for commercial purposes. The certification must be included with the application. Submission of the certification is a prerequisite to the granting of an award under this NOFA. Page 225 of 901 California Department of Housing and Community Development 35 2020-2021 HOME NOFA B. Climate adaptation California Executive Order B-30-15 addressed the need for climate adaptation and ordered that: 1. All state agencies with jurisdiction over sources of greenhouse gas emissions shall implement measures, pursuant to statutory authority, to achieve reductions of greenhouse gas emissions to meet the 2030 and 2050 greenhouse gas emissions reductions targets. 2. State agencies shall consider climate change in their planning and investment decisions and employ full life-cycle cost accounting to evaluate and compare infrastructure investments and alternatives. In response to the Governor’s Executive Order, the Department strongly encourages HOME recipients to implement projects and Program Activities in a manner that reduces greenhouse gas emissions and adapts to climate change. VII. Other terms and conditions A. Right to modify or suspend The Department reserves the right, at is sole discretion, to suspend, rescind, amend, modify, or supplement the provisions of this NOFA at any time, including without limitation, the amount of funds available hereunder. If such an action occurs, the Department will notify all interested parties via Listserv and will post the revisions to the Department website. Be sure to https://www.hcd.ca.gov/i-am/sub_email.shtml. B. Conflicts In the event of any conflict between the terms of this NOFA and either applicable state or federal law or regulation, the terms of the applicable state or federal law or regulation shall control. Applicants are deemed to have fully read and understand all applicable state and federal laws, regulations, and guidelines pertaining to the HOME Program, and understand and agree that the Department shall not be responsible for any errors or omissions in the preparation of this NOFA. Page 226 of 901 2021 State HOME Income Limits - Effective June 1, 2021 *Percentages may not be mathematically related to each other due to rounding County Income Category* Number of Persons in Household 1 2 3 4 5 6 7 8 Alameda 30% Limits $28,800 $32,900 $37,000 $41,100 $44,400 $47,700 $51,000 $54,300 Very Low Income 50%$47,950 $54,800 $61,650 $68,500 $74,000 $79,500 $84,950 $90,450 60% Limits $57,540 $65,760 $73,980 $82,200 $88,800 $95,400 $101,940 $108,540 Low Income 80%$76,750 $87,700 $98,650 $109,600 $118,400 $127,150 $135,950 $144,700 Alpine 30% Limits $17,050 $19,500 $21,950 $24,350 $26,300 $28,250 $30,200 $32,150 Very Low Income 50%$28,450 $32,500 $36,550 $40,600 $43,850 $47,100 $50,350 $53,600 60% Limits $34,140 $39,000 $43,860 $48,720 $52,620 $56,520 $60,420 $64,320 Low Income 80%$45,500 $52,000 $58,500 $64,950 $70,150 $75,350 $80,550 $85,750 Amador 30% Limits $16,350 $18,700 $21,050 $23,350 $25,250 $27,100 $29,000 $30,850 Very Low Income 50%$27,300 $31,200 $35,100 $38,950 $42,100 $45,200 $48,300 $51,450 60% Limits $32,760 $37,440 $42,120 $46,740 $50,520 $54,240 $57,960 $61,740 Low Income 80%$43,650 $49,850 $56,100 $62,300 $67,300 $72,300 $77,300 $82,250 Butte 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Calaveras 30% Limits $17,150 $19,600 $22,050 $24,500 $26,500 $28,450 $30,400 $32,350 Very Low Income 50%$28,600 $32,700 $36,800 $40,850 $44,150 $47,400 $50,700 $53,950 60% Limits $34,320 $39,240 $44,160 $49,020 $52,980 $56,880 $60,840 $64,740 Low Income 80%$45,750 $52,300 $58,850 $65,350 $70,600 $75,850 $81,050 $86,300 Colusa 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Contra Costa 30% Limits $28,800 $32,900 $37,000 $41,100 $44,400 $47,700 $51,000 $54,300 Very Low Income 50%$47,950 $54,800 $61,650 $68,500 $74,000 $79,500 $84,950 $90,450 60% Limits $57,540 $65,760 $73,980 $82,200 $88,800 $95,400 $101,940 $108,540 Low Income 80%$76,750 $87,700 $98,650 $109,600 $118,400 $127,150 $135,950 $144,700 Del Norte 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 El Dorado 30% Limits $19,050 $21,800 $24,500 $27,200 $29,400 $31,600 $33,750 $35,950 Very Low Income 50%$31,750 $36,250 $40,800 $45,300 $48,950 $52,550 $56,200 $59,800 60% Limits $38,100 $43,500 $48,960 $54,360 $58,740 $63,060 $67,440 $71,760 Low Income 80%$50,750 $58,000 $65,250 $72,500 $78,300 $84,100 $89,900 $95,700 Fresno 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Glenn 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Humboldt 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Imperial 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Inyo 30% Limits $15,600 $17,800 $20,050 $22,250 $24,050 $25,850 $27,600 $29,400 Very Low Income 50%$25,950 $29,650 $33,350 $37,050 $40,050 $43,000 $45,950 $48,950 60% Limits $31,140 $35,580 $40,020 $44,460 $48,060 $51,600 $55,140 $58,740 Low Income 80%$41,550 $47,450 $53,400 $59,300 $64,050 $68,800 $73,550 $78,300 Kern 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Attachment 2 Page 227 of 901 County Income Category*1 2 3 4 5 6 7 8 Number of Persons in Household 2021 State HOME Income Limits - Effective June 1, 2021 *Percentages may not be mathematically related to each other due to rounding Kings 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Lake 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Lassen 30% Limits $15,200 $17,350 $19,500 $21,650 $23,400 $25,150 $26,850 $28,600 Very Low Income 50%$25,300 $28,900 $32,500 $36,100 $39,000 $41,900 $44,800 $47,700 60% Limits $30,360 $34,680 $39,000 $43,320 $46,800 $50,280 $53,760 $57,240 Low Income 80%$40,450 $46,200 $52,000 $57,750 $62,400 $67,000 $71,650 $76,250 Los Angeles 30% Limits $24,850 $28,400 $31,950 $35,450 $38,300 $41,150 $44,000 $46,800 Very Low Income 50%$41,400 $47,300 $53,200 $59,100 $63,850 $68,600 $73,300 $78,050 60% Limits $49,680 $56,760 $63,840 $70,920 $76,620 $82,320 $87,960 $93,660 Low Income 80%$66,250 $75,700 $85,150 $94,600 $102,200 $109,750 $117,350 $124,900 Madera 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Marin 30% Limits $38,400 $43,850 $49,350 $54,800 $59,200 $63,600 $68,000 $72,350 Very Low Income 50%$63,950 $73,100 $82,250 $91,350 $98,700 $106,000 $113,300 $120,600 60% Limits $76,740 $87,720 $98,700 $109,620 $118,440 $127,200 $135,960 $144,720 Low Income 80%$102,450 $117,100 $131,750 $146,350 $158,100 $169,800 $181,500 $193,200 Mariposa 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Mendocino 30% Limits $15,200 $17,400 $19,550 $21,700 $23,450 $25,200 $26,950 $28,650 Very Low Income 50%$25,350 $28,950 $32,550 $36,150 $39,050 $41,950 $44,850 $47,750 60% Limits $30,420 $34,740 $39,060 $43,380 $46,860 $50,340 $53,820 $57,300 Low Income 80%$40,500 $46,300 $52,100 $57,850 $62,500 $67,150 $71,750 $76,400 Merced 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Modoc 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Mono 30% Limits $16,600 $18,950 $21,300 $23,650 $25,550 $27,450 $29,350 $31,250 Very Low Income 50%$27,650 $31,600 $35,550 $39,450 $42,650 $45,800 $48,950 $52,100 60% Limits $33,180 $37,920 $42,660 $47,340 $51,180 $54,960 $58,740 $62,520 Low Income 80%$44,200 $50,500 $56,800 $63,100 $68,150 $73,200 $78,250 $83,300 Monterey 30% Limits $21,350 $24,400 $27,450 $30,500 $32,950 $35,400 $37,850 $40,300 Very Low Income 50%$35,600 $40,700 $45,800 $50,850 $54,950 $59,000 $63,100 $67,150 60% Limits $42,720 $48,840 $54,960 $61,020 $65,940 $70,800 $75,720 $80,580 Low Income 80%$56,950 $65,100 $73,250 $81,350 $87,900 $94,400 $100,900 $107,400 Napa 30% Limits $23,900 $27,300 $30,700 $34,100 $36,850 $39,600 $42,300 $45,050 Very Low Income 50%$39,800 $45,500 $51,200 $56,850 $61,400 $65,950 $70,500 $75,050 60% Limits $47,760 $54,600 $61,440 $68,220 $73,680 $79,140 $84,600 $90,060 Low Income 80%$63,050 $72,050 $81,050 $90,050 $97,300 $104,500 $111,700 $118,900 Nevada 30% Limits $18,900 $21,600 $24,300 $26,950 $29,150 $31,300 $33,450 $35,600 Very Low Income 50%$31,450 $35,950 $40,450 $44,900 $48,500 $52,100 $55,700 $59,300 60% Limits $37,740 $43,140 $48,540 $53,880 $58,200 $62,520 $66,840 $71,160 Low Income 80%$50,300 $57,500 $64,700 $71,850 $77,600 $83,350 $89,100 $94,850 Orange 30% Limits $28,250 $32,300 $36,350 $40,350 $43,600 $46,850 $50,050 $53,300 Very Low Income 50%$47,100 $53,800 $60,550 $67,250 $72,650 $78,050 $83,400 $88,800 60% Limits $56,520 $64,560 $72,660 $80,700 $87,180 $93,660 $100,080 $106,560 Low Income 80%$75,300 $86,050 $96,800 $107,550 $116,200 $124,800 $133,400 $142,000 Page 228 of 901 County Income Category*1 2 3 4 5 6 7 8 Number of Persons in Household 2021 State HOME Income Limits - Effective June 1, 2021 *Percentages may not be mathematically related to each other due to rounding Placer 30% Limits $19,050 $21,800 $24,500 $27,200 $29,400 $31,600 $33,750 $35,950 Very Low Income 50%$31,750 $36,250 $40,800 $45,300 $48,950 $52,550 $56,200 $59,800 60% Limits $38,100 $43,500 $48,960 $54,360 $58,740 $63,060 $67,440 $71,760 Low Income 80%$50,750 $58,000 $65,250 $72,500 $78,300 $84,100 $89,900 $95,700 Plumas 30% Limits $15,400 $17,600 $19,800 $21,950 $23,750 $25,500 $27,250 $29,000 Very Low Income 50%$25,600 $29,250 $32,900 $36,550 $39,500 $42,400 $45,350 $48,250 60% Limits $30,720 $35,100 $39,480 $43,860 $47,400 $50,880 $54,420 $57,900 Low Income 80%$40,950 $46,800 $52,650 $58,500 $63,200 $67,900 $72,550 $77,250 Riverside 30% Limits $16,600 $19,000 $21,350 $23,700 $25,600 $27,500 $29,400 $31,300 Very Low Income 50%$27,650 $31,600 $35,550 $39,500 $42,700 $45,850 $49,000 $52,150 60% Limits $33,180 $37,920 $42,660 $47,400 $51,240 $55,020 $58,800 $62,580 Low Income 80%$44,250 $50,600 $56,900 $63,200 $68,300 $73,350 $78,400 $83,450 Sacramento 30% Limits $19,050 $21,800 $24,500 $27,200 $29,400 $31,600 $33,750 $35,950 Very Low Income 50%$31,750 $36,250 $40,800 $45,300 $48,950 $52,550 $56,200 $59,800 60% Limits $38,100 $43,500 $48,960 $54,360 $58,740 $63,060 $67,440 $71,760 Low Income 80%$50,750 $58,000 $65,250 $72,500 $78,300 $84,100 $89,900 $95,700 San Benito 30% Limits $20,550 $23,450 $26,400 $29,300 $31,650 $34,000 $36,350 $38,700 Very Low Income 50%$34,200 $39,050 $43,950 $48,800 $52,750 $56,650 $60,550 $64,450 60% Limits $41,040 $46,860 $52,740 $58,560 $63,300 $67,980 $72,660 $77,340 Low Income 80%$54,700 $62,500 $70,300 $78,100 $84,350 $90,600 $96,850 $103,100 San Bernardino 30% Limits $16,600 $19,000 $21,350 $23,700 $25,600 $27,500 $29,400 $31,300 Very Low Income 50%$27,650 $31,600 $35,550 $39,500 $42,700 $45,850 $49,000 $52,150 60% Limits $33,180 $37,920 $42,660 $47,400 $51,240 $55,020 $58,800 $62,580 Low Income 80%$44,250 $50,600 $56,900 $63,200 $68,300 $73,350 $78,400 $83,450 San Diego 30% Limits $25,450 $29,100 $32,750 $36,350 $39,300 $42,200 $45,100 $48,000 Very Low Income 50%$42,450 $48,500 $54,550 $60,600 $65,450 $70,300 $75,150 $80,000 60% Limits $50,940 $58,200 $65,460 $72,720 $78,540 $84,360 $90,180 $96,000 Low Income 80%$67,900 $77,600 $87,300 $97,000 $104,800 $112,550 $120,300 $128,050 San Francisco 30% Limits $38,400 $43,850 $49,350 $54,800 $59,200 $63,600 $68,000 $72,350 Very Low Income 50%$63,950 $73,100 $82,250 $91,350 $98,700 $106,000 $113,300 $120,600 60% Limits $76,740 $87,720 $98,700 $109,620 $118,440 $127,200 $135,960 $144,720 Low Income 80%$102,450 $117,100 $131,750 $146,350 $158,100 $169,800 $181,500 $193,200 San Joaquin 30% Limits $15,550 $17,800 $20,000 $22,200 $24,000 $25,800 $27,550 $29,350 Very Low Income 50%$25,900 $29,600 $33,300 $37,000 $40,000 $42,950 $45,900 $48,850 60% Limits $31,080 $35,520 $39,960 $44,400 $48,000 $51,540 $55,080 $58,620 Low Income 80%$41,450 $47,400 $53,300 $59,200 $63,950 $68,700 $73,450 $78,150 San Luis Obispo 30% Limits $20,550 $23,500 $26,450 $29,350 $31,700 $34,050 $36,400 $38,750 Very Low Income 50%$34,250 $39,150 $44,050 $48,900 $52,850 $56,750 $60,650 $64,550 60% Limits $41,100 $46,980 $52,860 $58,680 $63,420 $68,100 $72,780 $77,460 Low Income 80%$54,800 $62,600 $70,450 $78,250 $84,550 $90,800 $97,050 $103,300 San Mateo 30% Limits $38,400 $43,850 $49,350 $54,800 $59,200 $63,600 $68,000 $72,350 Very Low Income 50%$63,950 $73,100 $82,250 $91,350 $98,700 $106,000 $113,300 $120,600 60% Limits $76,740 $87,720 $98,700 $109,620 $118,440 $127,200 $135,960 $144,720 Low Income 80%$102,450 $117,100 $131,750 $146,350 $158,100 $169,800 $181,500 $193,200 Santa Barbara 30% Limits $26,250 $30,000 $33,750 $37,450 $40,450 $43,450 $46,450 $49,450 Very Low Income 50%$43,750 $50,000 $56,250 $62,450 $67,450 $72,450 $77,450 $82,450 60% Limits $52,500 $60,000 $67,500 $74,940 $80,940 $86,940 $92,940 $98,940 Low Income 80%$70,050 $80,050 $90,050 $100,050 $108,100 $116,100 $124,100 $132,100 Santa Clara 30% Limits $34,800 $39,800 $44,750 $49,700 $53,700 $57,700 $61,650 $65,650 Very Low Income 50%$58,000 $66,300 $74,600 $82,850 $89,500 $96,150 $102,750 $109,400 60% Limits $69,600 $79,560 $89,520 $99,420 $107,400 $115,380 $123,300 $131,280 Low Income 80%$82,450 $94,200 $106,000 $117,750 $127,200 $136,600 $146,050 $155,450 Santa Cruz 30% Limits $29,200 $33,400 $37,550 $41,700 $45,050 $48,400 $51,750 $55,050 Very Low Income 50%$48,650 $55,600 $62,550 $69,500 $75,100 $80,650 $86,200 $91,750 60% Limits $58,380 $66,720 $75,060 $83,400 $90,120 $96,780 $103,440 $110,100 Low Income 80%$78,050 $89,200 $100,350 $111,500 $120,450 $129,350 $138,300 $147,200 Shasta 30% Limits $14,950 $17,050 $19,200 $21,300 $23,050 $24,750 $26,450 $28,150 Very Low Income 50%$24,850 $28,400 $31,950 $35,500 $38,350 $41,200 $44,050 $46,900 60% Limits $29,820 $34,080 $38,340 $42,600 $46,020 $49,440 $52,860 $56,280 Low Income 80%$39,800 $45,450 $51,150 $56,800 $61,350 $65,900 $70,450 $75,000 Page 229 of 901 County Income Category*1 2 3 4 5 6 7 8 Number of Persons in Household 2021 State HOME Income Limits - Effective June 1, 2021 *Percentages may not be mathematically related to each other due to rounding Sierra 30% Limits $17,750 $20,300 $22,850 $25,350 $27,400 $29,450 $31,450 $33,500 Very Low Income 50%$29,600 $33,800 $38,050 $42,250 $45,650 $49,050 $52,400 $55,800 60% Limits $35,520 $40,560 $45,660 $50,700 $54,780 $58,860 $62,880 $66,960 Low Income 80%$47,350 $54,100 $60,850 $67,600 $73,050 $78,450 $83,850 $89,250 Siskiyou 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Solano 30% Limits $20,450 $23,350 $26,250 $29,150 $31,500 $33,850 $36,150 $38,500 Very Low Income 50%$34,000 $38,850 $43,700 $48,550 $52,450 $56,350 $60,250 $64,100 60% Limits $40,800 $46,620 $52,440 $58,260 $62,940 $67,620 $72,300 $76,920 Low Income 80%$54,350 $62,100 $69,850 $77,600 $83,850 $90,050 $96,250 $102,450 Sonoma 30% Limits $24,450 $27,950 $31,450 $34,900 $37,700 $40,500 $43,300 $46,100 Very Low Income 50%$40,750 $46,550 $52,350 $58,150 $62,850 $67,500 $72,150 $76,800 60% Limits $48,900 $55,860 $62,820 $69,780 $75,420 $81,000 $86,580 $92,160 Low Income 80%$65,150 $74,450 $83,750 $93,050 $100,500 $107,950 $115,400 $122,850 Stanislaus 30% Limits $15,000 $17,150 $19,300 $21,400 $23,150 $24,850 $26,550 $28,250 Very Low Income 50%$25,000 $28,550 $32,100 $35,650 $38,550 $41,400 $44,250 $47,100 60% Limits $30,000 $34,260 $38,520 $42,780 $46,260 $49,680 $53,100 $56,520 Low Income 80%$39,950 $45,650 $51,350 $57,050 $61,650 $66,200 $70,750 $75,350 Sutter 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Tehama 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Trinity 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Tulare 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 Tuolumne 30% Limits $15,650 $17,850 $20,100 $22,300 $24,100 $25,900 $27,700 $29,450 Very Low Income 50%$26,050 $29,800 $33,500 $37,200 $40,200 $43,200 $46,150 $49,150 60% Limits $31,260 $35,760 $40,200 $44,640 $48,240 $51,840 $55,380 $58,980 Low Income 80%$41,650 $47,600 $53,550 $59,500 $64,300 $69,050 $73,800 $78,550 Ventura 30% Limits $23,600 $26,950 $30,300 $33,650 $36,350 $39,050 $41,750 $44,450 Very Low Income 50%$39,250 $44,850 $50,450 $56,050 $60,550 $65,050 $69,550 $74,000 60% Limits $47,100 $53,820 $60,540 $67,260 $72,660 $78,060 $83,460 $88,800 Low Income 80%$62,800 $71,800 $80,750 $89,700 $96,900 $104,100 $111,250 $118,450 Yolo 30% Limits $18,650 $21,300 $23,950 $26,600 $28,750 $30,900 $33,000 $35,150 Very Low Income 50%$31,050 $35,450 $39,900 $44,300 $47,850 $51,400 $54,950 $58,500 60% Limits $37,260 $42,540 $47,880 $53,160 $57,420 $61,680 $65,940 $70,200 Low Income 80%$49,650 $56,750 $63,850 $70,900 $76,600 $82,250 $87,950 $93,600 Yuba 30% Limits $14,650 $16,750 $18,850 $20,900 $22,600 $24,250 $25,950 $27,600 Very Low Income 50%$24,400 $27,900 $31,400 $34,850 $37,650 $40,450 $43,250 $46,050 60% Limits $29,280 $33,480 $37,680 $41,820 $45,180 $48,540 $51,900 $55,260 Low Income 80%$39,050 $44,600 $50,200 $55,750 $60,250 $64,700 $69,150 $73,600 https://www.huduser.gov/portal/datasets/home-datasets/files/HOME_AllLimits_2021.xlsx For all income categories, the income limits for households larger than eight persons are determined as follows: For each person in excess of eight, add eight percent of the four-person "50%" limit to the "50%" limit for eight persons and round the answer to the nearest $50. For example, the nine-person "50%" limit for Yuba County equals $41,260 ($29,450 * 0.08 = $2,356, added to $38,900 = $41,256, rounded to $41,260). Page 230 of 901 RESOLUTION NO. 2022-__ RESOLUTION OF THE UKIAH CITY COUNCIL AUTHORIZING THE SUBMITTAL OF AN APPLICATION TO THE CALIFORNIA DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT FOR FUNDING UNDER THE HOME INVESTMENT PARTNERSHIPS PROGRAM; AND IF SELECTED, THE EXECUTION OF A STANDARD AGREEMENT, ANY AMENDMENTS THERETO, AND OF ANY RELATED DOCUMENTS NECESSARY TO PARTICIPATE IN THE HOME INVESTMENT PARTNERSHIPS PROGRAM. WHEREAS: A. The California Department of Housing and Community Development (the “Department”) is authorized to allocate HOME Investment Partnerships Program (“HOME”) funds made available from the U.S. Department of Housing and Urban Development (“HUD”). HOME funds are to be used for the purposes set forth in Title II of the Cranston-Gonzalez National Affordable Housing Act of 1990, in federal implementing regulations set forth in Title 24 of the Code of Federal Regulations, part 92, and in Title 25 of the California Code of Regulations commencing with section 8200. B. On December 1, 2021, the Department issued a Notice of Funding Availability announcing the availability of funds under the HOME program (the “NOFA”). C. In response to the December 2021 HOME NOFA, City of Ukiah, a political subdivision of the State of California (the “Applicant”), wishes to apply to the Department for, and receive an allocation of, HOME funds. NOW, THEREFORE, BE IT RESOLVED by the Ukiah City Council as follows: 1. In response to the December 2021 HOME NOFA, the Applicant shall submit an application to the Department to participate in the HOME program and for an allocation of funds not to exceed Seven Hundred Thousand Dollars ($700,000) for the following activities and/or programs: First-Time Homebuyer (FTHB) Program $638,138 Activity Delivery – FTHB Program $ 44,362 General Administration $ 17,500 Total $700,000 All activities listed above will be implemented in the incorporated area of the City of Ukiah. 2. If the application for funding is approved, then the Applicant hereby agrees to use the HOME funds for eligible activities in the manner presented in its application as approved by the Department in accordance with the statutes and regulations cited above. The Applicant may also execute a Standard Agreement, any amendments thereto, and any and all other documents or Attachment 3 Page 231 of 901 instruments necessary or required by the Department or HUD for participation in the HOME program (collectively, the required documents). 3. The Applicant authorizes Sage Sangiacomo, City Manager or Shannon Riley, Deputy City Manager or Craig Schlatter, Community Development Director or their designee(s) to execute, in the name of the Applicant, the required documents. PASSED AND ADOPTED this 16th day of February, 2022, by the following vote: AYES: NOES: ABSTAIN: ABSENT: ________________________ Jim O. Brown, Mayor The undersigned City Clerk of the Applicant does hereby attest and certify that the foregoing is a true and full copy of a resolution of the governing board of the Applicant passed and adopted at a duly convened meeting on the date set forth above, and said resolution has not been altered, amended, or repealed. _________________________ _______________ Kristine Lawler, City Clerk/CMC Date Page 232 of 901 Page 1 of 2 Agenda Item No: 7.e. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1313 AGENDA SUMMARY REPORT SUBJECT: Adoption of Resolution of the City Council Reconsidering the Circumstances of the State of Emergency and Implementing Teleconferencing Requirements for City Council and Board and Commission Meetings During a Proclaimed State of Emergency Due to the COVID-19 Pandemic. DEPARTMENT: City Attorney PREPARED BY: Darcy Vaughn, Assistant City Attorney PRESENTER: Consent Calendar ATTACHMENTS: 1. AB 361 Findings Reconsideration for All Legislative Bodies 2 16 22 Summary: The City Council will consider adopting a resolution reconsidering the circumstances of the state of emergency and implementing teleconferencing requirements for public meetings of the Council and all City Commissions and Boards during the current state of emergency due to the COVID-19 pandemic. Background: The City Council is being asked to consider adopting a resolution authorizing continued remote meetings of the Council and its subordinate legislative bodies due to the imminent risk to the health and safety of attendees due to possible transmission of COVID-19 and the recent spread of variants. The current County health orders require masking in all indoor facilities due to health and safety concerns. The Delta variant is highly transmissible in indoor settings and requires multi-component prevention strategies to reduce its spread. The California Department of Public Health is currently investigating the length of vaccine protection. The Center for Disease Control and Prevention recommends avoiding indoor spaces that do not offer fresh air from the outdoors as much as possible. Returning to meeting in the Council Chambers or smaller conference rooms means being in an enclosed space for meetings that commonly last for one to five hours and would seem to create additional exposure for participants to a possible transmission of the virus. The Ralph M. Brown Act (“Brown Act”) requires that all meetings of a legislative body of a local agency be open and public and that any person may attend and participate in such meetings. The Brown Act allows for legislative bodies to hold meetings by teleconference, but imposes specific requirements for doing so, including allowing public access to that location. On March 17, 2020, in order to address the need for public meetings during the COVID-19 pandemic, Governor Newsom issued Executive Order No. N-29-20, temporarily suspending the Brown Act’s teleconferencing requirements, Executive Order No. N-8-2 then continued the suspension of the Brown Act’s teleconferencing requirements from June 11, 2021 through September 30, 2021. These Executive Orders allowed legislative bodies to meet virtually as long as certain notice and accessibility requirements were met. The State Legislature amended the Brown Act through Assembly Bill No. 361 (“AB 361”) on September 16, 2021. As with the Executive Orders, AB 361 requires that certain notice and accessibility requirements continue to be met for holding virtual public meetings. In addition, AB 361 states that a local agency may use teleconferencing without complying with the regular teleconferencing requirements of the Brown Act, where the legislative body holds a meeting during a proclaimed state of emergency and makes certain findings; and requires that the legislative body make additional findings every 30 days in order to continue such teleconferencing. As such, staff recommends that the Council reconsider the circumstances of the state of emergency, and Page 233 of 901 Page 2 of 2 make findings regarding the state of emergency by adopting the Resolution Implementing Teleconferencing Requirements for City Council and Board and Commission Meetings During a Proclaimed State of Emergency Due to the COVID-19 Pandemic (“Resolution”) attached here as Attachment 1. Discussion: AB 361, codified in part in Government Code § 54953, allows a local agency legislative body to hold a public meeting utilizing teleconferencing without giving public access to a teleconference location but allowing public comment virtually if the Governor has proclaimed a State of Emergency and any of the following circumstances also apply: 1. State or local officials have imposed or recommended measures to promote social distancing. 2. The meeting is being held for the purposes of determining, by majority vote, whether as a result of the emergency, meeting in person would present imminent risks to the health or safety of attendees. 3. The legislative body has determined that as a result of the emergency, meeting in person would present imminent risks to the health or safety of attendees. As amended by AB 361, Government Code § 54953(e)(3) requires cities that are conducting public meetings via teleconferencing during a declared State of Emergency to make findings, within 30 days of the first virtual meeting after AB361 going into effect, and every 30 days thereafter, that the legislative body has reconsidered the circumstances of the state of emergency and either 1) the emergency continues to impact the ability to meet safely in person, and/or 2) State or local officials continue to impose or recommend social distancing. Council adopted these findings at their January 19, 2022 meeting. The Council must now adopt, via this Resolution (Attachment 1), the findings that confirm the circumstances of the state of emergency and justify holding public meetings of the Council and all subordinate commissions, boards, and committees utilizing teleconferencing and allowing public comment virtually, pursuant to Government Code § 54953(e)(3). Recommended Action: Adopt a Resolution of the City Council Reconsidering the Circumstances of the State of Emergency and Implementing Teleconferencing Requirements for City Council and Board and Commission Meetings during a Proclaimed State of Emergency Due to the COVID-19 Pandemic. BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: City Clerk Page 234 of 901 1 RESOLUT ION NO. 2022-XX RESOLUT ION OF THE CIT Y COUNCIL OF THE CITY OF UKIAH IMPLEMENTING TELECONFERENCING REQUIREMENTS FOR CITY COUNCIL AND BOARD AND COMMISSION MEETINGS DURING A PROCLAIMED STATE OF EMERGENCY DUE TO THE COVID-19 PANDEMIC WHEREAS: 1. The City of Ukiah is committed to preserving and nurturing public access and participation in meetings of the City Council and its Boards and Commissions; and 2. All meetings of City’s legislative bodies are open and public, as required by the Ralph M. Brown Act, so that any member of the public may attend, participate, and watch the City’s legislative bodies conduct their business; 3. The Brown Act allows for legislative bodies to hold meetings by teleconference, but imposes specific requirements for doing so ; and 4. On March 17, 2020, in order to address the need for public meetings during the present public health emergency, i.e. the COVID-19 Pandemic, Governor Newsom issued Executive Order No. N-29-20, suspending the Act’s teleconferencing requirements; and 5. On June 11, 2021, Governor Newsom issued Executive Order No. N -8-21, continuing the suspension of the Brown Act’s teleconferencing requirements through September 30, 2021 ; and 6. The State Legislature amended the Brown Act through Assembly Bill No. 361 (AB 361) on September 16, 2021; and 7. AB 361, codified in part at Government Code section 54953(e), makes provisions for remote teleconferencing participation in meetings by members of a legislative body, without compliance with the requirements of Government Code section 54953(b)(3), subject to the existence of certain conditions; and 8. Such conditions now exist in the City, specifically, the Governor has proclaimed a state of emergency exists for the state of California due to the conditions caused by the COVID -19 pandemic and the impact on the health and safety of its residents ; and 9. The Delta variant is highly transmissible in indoor spaces, the California Department of Public Health is currently investigating how long vaccine protection lasts, and the Center fo r Disease Control and Prevention recommends avoiding indoor spaces that do not offer fresh air from the outdoors; 10. Current County health orders impose or measures to promote social distancing due to health and safety concerns; and Page 235 of 901 2 11. In accordance with Assembly Bill 361, the City Council does hereby find that as a result of the emergency, meeting in person would present imminent risks to the health or safety of attendees and the Council desires to authorize continued remote teleconferenced meetings of its legislative bodies; and 12. As a consequence of the local emergency, the City Council does hereby find that the legislative bodies of the City shall conduct their meetings without compliance with Government Code § 54953(b)(3), as authorized by § 54953(e), and that such legislative bodies shall comply with the requirements to provide the public with access to the meetings as prescribed in § 54953(e)(2); and 13. The City has taken measures to conduct public meetings via virtual tools that allow members of its legislative bodies and members of the public to join and participate in meetings remotely and provide public testimony in the virtual environment and via teleconference. NOW, THEREFORE, the City Council for the City of Ukiah hereby finds, determines, declares, orders, and resolves as follows: 1. That the foregoing recitals are true and correct and inco rporates them by this reference; and 2. The Governor of the State of California issued a Proclamation of State of Emergency, which remains in effect; and 3. County of Mendocino officials have imposed or recommended measures to promote social distancing; and 4. Meeting in person would present imminent risk to the health or safety of attendees; and 5. The City Council of the City of Ukiah has reconsidered the circumstances of the State of Emergency, and finds that: a. The factors triggering the State of Emergency continue to directly impact the ability of the members of the legislative bodies of the City of Ukiah, their staff, and members of the public to meet safely in person; and b. State and County officials continue to impose or recommend measures to promote social distancing. 6. The City Manager or his designee and the legislative bodies of the City of Ukiah are authorized to take all steps an d perform all actions necessary to execute and implement this Resolution in compliance with Government Code § 54953; and 7. This Resolution shall take effect immediately upon its adoption and shall be effective until the earlier of (i) March 18, 2022, or (ii) such time the City Council adopts a subsequent resolution in accordance with Government Code section 54953(e)(3) to extend the time during which the legislative bodies of the City may continue to teleconference without compliance with paragraph (3) of subdivision (b) of § 54953(b)(3). PASSED AND ADOPTED this 16th day of February, 2022, by the following roll call vote: Page 236 of 901 3 AYES: NOES: ABSENT: ABSTAIN: Jim O. Brown, Mayor ATTEST: Kristine Lawler, City Clerk Page 237 of 901 Page 1 of 2 Agenda Item No: 7.f. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1315 AGENDA SUMMARY REPORT SUBJECT: Possible Adoption of Ordinance Restricting the Retail Sale of Nitrous Oxide. DEPARTMENT: City Attorney PREPARED BY: Darcy Vaughn, Assistant City Attorney PRESENTER: Darcy Vaughn, Assistant City Attorney ATTACHMENTS: 1. Nitrous Oxide Sales Ordinance Introduced Summary: The City Council will discuss and consider adopting an Ordinance restricting the retail sale of nitrous oxide canisters in the City. Background: At the September 1, 2021 regular meeting, Council heard a presentation from the Ukiah Valley Youth Leadership Coalition, a program of the Redwood Community Services’ Arbor program, on the health and safety hazards posed by recreational use of nitrous oxide, and in particular the hazards posed to youth by nitrous oxide use. The Coalition proposed that Council consider banning retail sales of nitrous oxide canisters in the City limits.Council instructed staff to consider the proposed ban and to report back on the possible legal ramifications of adopting an ordinance that would prohibit retail sales of nitrous oxide canisters in the City limits. At the October 20, 2021 regular meeting, Council directed the City Attorney's office to draft an ordinance that prohibits retail sales of nitrous oxide canisters at businesses operating under a tobacco retailer's license. The Council also stated that the enforcement mechanism in the ordinance should be civil/administrative, with one of the enforcement methods being suspension of a non-compliant business's tobacco retailer's license. The City Attorney's office has now drafted an ordinance that reflects Council's direction. At the February 2, 2022 regular meeting, the Council voted unanimously to introduce by title only the Ordinance Restricting the Retail Sale of Nitrous Oxide. Discussion: The Nitrous Oxide Ordinance, attached here as Attachment 1, prohibits the sale of nitrous oxide by tobacco retailers in the City. The Ordinance carves out exceptions for legal sale, possession, and use of nitrous oxide as set forth in the California Penal Code. In order to streamline enforcement, the Ordinance refers to and incorporates the existing civil enforcement mechanism for violations of the City Code provisions regarding tobacco retailer license requirements. The Ordinance imposes a civil penalty of a one thousand dollar fine for noncompliant businesses that continue to sell nitrous oxide. Any business receiving notice of the fine may request a hearing to appeal the imposition of the fine. In addition, the Ordinance authorizes suspension or revocation of a non-compliant business's tobacco retailer's license. As with imposition of the fine, a non-compliant business may request a hearing to appeal suspension or revocation of their tobacco retailer's license. The current version of the Ordinance Restricting the Retail Sale of Nitrous Oxide reflects a wide array of community, City staff, and Council input. The Ordinance is now ready for consideration for adoption and will go into effect thirty (30) days after adoption. Recommended Action: Adopt the Ordinance Restricting the Retail Sale of Nitrous Oxide. Page 238 of 901 Page 2 of 2 BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: Councilmember Rodin Page 239 of 901 1 ORDINANCE NO. ORDINANCE OF THE CITY COUNCIL OF THE CITY OF UKIAH ADDING ARTICLE 7.1 TO DIVISION 2, CHAPTER 2 OF THE CITY CODE TO RESTRICT RETAIL SALES OF NITROUS OXIDE. The City Council of the City of Ukiah hereby ordains as follows: SECTION ONE. FINDINGS 1. The misuse of nitrous oxide causes death and disease and continues to be an urgent public health challenge . 2. Medical authorities have linked the recreational use of nitrous oxide to serious health problems, which can cause physical illness, mental il lness, injury, and/or even death. 3. Restricting the sales and distribution of nitrous oxide in the City of Ukiah will reduce the number of persons in possession and who use nitrous oxide as an intoxicating drug and will promote public health, safety and welfare. 4. The recreational use of nitrous oxide continues to gain popularity at an alarming rate, especially among college aged, high school aged, and middle school aged children . 5. Nitrous oxide has legitimate purposes, including its use for medical and dental procedures, in cooking and cake decorating, and is commonly known to boost performance in automobiles. Ho wever, nitrous oxide has found its way to illegitimate purposes as an intoxicating drug. 6. The City of Ukiah exercises its local police powers to protect the health, safety, and welfare of all its citizens and takes nitrous oxide abuse seriously. SECTION TWO. Article 7.1 is hereby added to Division 2, Chapter 2, Article 11 of the Ukiah City Code and shall read as follows: ARTICLE 7.1. NITROUS OXIDE §2370 DEFINITIONS The following words and phrases, whenever used in this article, shall have the meanings provided in this section unless the context clearly requires otherwise : DEVICE: Any cartridge, compressed gas cylinder, apparatus, container, or other object used to contain or dispense or administer nitrous oxide. Page 240 of 901 2 NITROUS OXIDE: A colorless, nonflammable gas (N20) sometimes used in aerosols and sometimes used as an anesthetic, which, when inhaled, produces loss of sensibility to pain, oftentimes preceded by exhilaration and laughter and used often as an anesthetic in dentistry. Nitrous oxide is also known as “laughing gas.” PERSON: Any individual or entity howsoever organized or constituted. TOBACCO RETAILER: Any person who sells, offers for sale, or does or offers to exchange for any form of consideration, tobacco or tobacco products. “Tobacco retailing” shall mean the doing of any of these things. This definition is without regard to the quantity of tobacco or tobacco products sold, offered for sale, exchanged, or offered for exchange. §2371 SALE OR DISTRIBUTION OF NITROUS OXIDE It shall be unlawful for any tobacco retailer in the City to attempt to sell, offer, distribute, or otherwise provide to any person Nitrous Oxide or a Device. §2372 EXCEPTIONS Prohibitions in this chapter shall not apply to any person or retailer that possesses or distributes Nitrous Oxide under an express exemption pursuant to Penal Code § 381b -e. §2373 ENFORCEMENT Any violation of this Article may be subject to a civil penalty of one thousand dollars. Notice of the violation and fine will be given in accordance with Section 2358.A of this Code. Any person wishing to appeal the imposition of the civil penalty may file a request for a hearing pursuant to Section 2360 of this Code. If no request for a hearing is timely received, the determination of the City Manager or the duly authorized designee of the City Manager on the violation and the imposition of a fine shall be final and payment shall be made within thirty (30) days after notice of the fine was served. In addition to any other penalty authorized by law, a tobacco retailer’s license issued pursuant to Article 7 of this Chapter may be suspended or revoked if the City Manager or the duly authorized designee of the City Manager determines that the person or his or her agents or employees have violated this Article. In the event that a tobacco retailer’s license is suspended or revoked for violation of this Article, the requirements of Section 2358.A and Section 2360 of this Code shall apply. SECTION THREE. 1. Publication: Within fifteen (15) days after its adoption, this Ordinance shall be published once in a newspaper of general circulation in the City of Ukiah. In lieu of publishing the full text of the Ordinance, the City may publish a summary of the Ordinance once 5 days prior to its adoption and again within fifteen (15) days after its adoption. Page 241 of 901 3 3. Effective Date: The ordinance shall become effective thirty (30) days after its adoption. Introduced by title only on February 2, 2022, by the following roll call vote: AYES: Councilmembers Dueñas, Crane, Orozco, Rodin, and Mayor Brown NOES: None ABSENT: None ABSTAIN: None Adopted on ___________, 2022, by the following roll call vote: AYES: NOES: ABSENT: ABSTAIN: _______________ Jim O. Brown, Mayor ATTEST: _______ Kristine Lawler, City Clerk Page 242 of 901 Page 1 of 2 Agenda Item No: 7.g. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1335 AGENDA SUMMARY REPORT SUBJECT: Award Purchase to Steven Engineering, for a Vibration Monitoring System for Pumps and Motors for the Waste Water Treatment Plant, in the Amount of $33,312.31. DEPARTMENT: Water Resources PREPARED BY: Mary Williamson, Buyer II PRESENTER: Sean White, Water Resources Director. ATTACHMENTS: 1. Quote Steven Eng 2. Bid Tab - E38933 Summary: Council will consider awarding the purchase to Steven Engineering, for a Vibration Monitoring System for Pumps and Motors for the Waste Water Treatment Plant, in the Amount of $33,312.31. Background: Pumps and electric motors generate vibrations as part of normal operations. Each device, when running properly, has a specific vibration frequency. A change in frequency is often a good early indicator that the device is in need of maintenance. Early detection of these changes has been shown to be very effective at avoiding catastrophic failure and associated repair costs. Discussion: A preliminary site visit at the Waste Water Treatment Plant (WWTP) was conducted with Steven Engineering in October of 2020 to assess the requirements for this Vibration Monitoring System and conduct a study of the signal quality and strength throughout the WWTP. Steven Engineering submitted a quote at that time that is set to expire in March of 2022. See Attachment 1. After determining that this system would be appropriate for our needs, Staff then sent out a request for bid to five (5) other companies capable of supplying this equipment. Bids were opened on February 8, 2022, with two additional bids being received. A bid tab is attached for review. See Attachment 2. Based on the bids received, it is Staff's recommendation to award this purchase to Steven Engineering in the amount of $33,312.31. The available budget for this project is $30,000. The difference in actual cost will be covered with an internal budget transfer. Recommended Action: Award Purchase to Steven Engineering, for a Vibration Monitoring System for Pumps and Motors for the Waste Water Treatment Plant, in the Amount of $33,312.31. BUDGET AMENDMENT REQUIRED: No CURRENT BUDGET AMOUNT: 84027225.80100.18245: $30,000 PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: Sewer Fund PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: Page 243 of 901 Page 2 of 2 Page 244 of 901 ATTACHMENT 1 Page 245 of 901 ATTACHMENT 1 Page 246 of 901 Page 247 of 901 Bid Tab - Vibration Monitor - E38933 - 2/8/2022 Description QTY Stevens Eng Electric Motor Shop Wille Electric Supply VIBRATION MONITOR KIT 0.00 0.00 0.00 Solutionskit-Vibe 2 2,186.67 4373.34 2,469.94 4939.88 2259.15 4,518.30 816253 Cloud Service - Banner 1 Year 1 1280.00 1280.00 1599.96 1599.96 1463.43 1463.43 BWC-1MESFRSB1 Cable Antenna 1 32.61 32.61 36.40 36.40 30.74 30.74 BWC-LFNBMN-DC SURGE SUPPRESSOR 1 206.27 206.27 251.99 251.99 230.49 230.49 BWC-4MNFN15 CABLE ANTENNA 1 160.53 160.53 177.33 177.33 162.20 162.20 BWC-4MNFN30 CABLE ANTENNA 1 305.20 305.20 339.86 339.86 309.03 309.03 BWA-906-AS ANTENNA OMNI 1 123.20 123.20 163.33 163.33 149.40 149.40 DX80N9X-1S-P6 DX80 PERF 43 390.00 16770.00 448.92 19303.65 410.61 17656.23 QM30VT1 SENSOR 43 170.83 7345.69 181.60 7808.63 179.94 7737.42 30596.84 34621.02 32257.24 Plus Sales Tax @ 8.875%2715.47 3072.62 2862.83 TOTAL $33,312.31 $37,693.63 $35,120.06 ATTACHMENT 2 Page 248 of 901 Page 1 of 2 Agenda Item No: 7.h. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1337 AGENDA SUMMARY REPORT SUBJECT: Notification of the Purchase of Axon Fleet 2 Car Camera Five-Year Service Agreement in the Amount of $63,912.61. DEPARTMENT: Police PREPARED BY: Noble Waidelich, Chief PRESENTER: Noble Waidelich, Chief of Police ATTACHMENTS: 1. Axon Quote 2. Axon Receipt 3. Axon Packing Slip Summary: Council will receive a notification of the purchase on an Axon Fleet 2 Car system five service agreement in the total amount of $63,912.61, which includes hardware, support and cloud-based storage. Background: The department has been in the process of replacing outdated vehicle cameras with the Axon Fleet 2 Car Camera system to ensure that all police patrol vehicles have a functionally operating vehicle mounted camera. Axon products have been used by the department for a number of years and is the current provider of the department's body-worn camera platform. Axon continues to be an industry leader in product functionality and reliability. Axon provides both support and cloud-based storage for video data generated by these cameras as part of their bundle. The Axon car mounted camera system seamlessly integrates with both the body cameras and cloud-based storage and web access to the data. Discussion: The video and audio evidence captured by both body-worn and car camera systems is arguably some of the most important evidence officers can collect in modern policing. Video evidence from officers and their patrol vehicles leads to better prosecution and conviction rates, increased transparency, reduced liability or suspicion of wrong doing and aids us in review of our practices. For a number of years, the department has maintained and used Axon body-worn cameras, which were found to be a superior product to our former body-worn camera system, and, by our evaluation, are an industry standard for many agencies. Until recently, the department has operated a failing, outdated and unsupported car camera system as we have transitioned to a better car camera system. Based on our success with Axon camera products and the ability to integrate these systems, staff previously determined that the Axon car camera system would be the most appropriate system to proceed with and began budgeting for it. (See Attachment #1) The ability to maintain a single integrated camera platform of both car and body-worn cameras greatly improves our ability to ensure that all activities occurring are being adequately recorded and that those recordings can be later accessed, reviewed and saved in a secure manner. Because the Axon camera platforms integrate with other Axon products, it allows us to sync both the body-worn and car camera systems, which is extremely beneficial when trying to determine the course of events after the fact. The functionality of the Axon camera products allows us to set other key parameters, such as camera activation with the activation of emergency lights, or activation of other Axon cameras in range, furthering our ability to capture key video and audio evidence. It should be noted that police staff, believing the proper notification to Council had been followed regarding the procurement of these car-mounted cameras during the budgeting process, moved Page 249 of 901 Page 2 of 2 forward with their acquisition independently without Council approval, and are now in receipt of 6 Axon Fleet 2 cameras. (Attachment #2 and #3). While our staff believes the need for this product is clear as approved during the budgeting process, we apologize for our misunderstanding of the process. Recommended Action: Notification of purchase of Axon Fleet 2 Car Camera Five-Year Service Agreement in the amount of $63,912.61. BUDGET AMENDMENT REQUIRED: No CURRENT BUDGET AMOUNT: 10020210.54330.18258: $85,000 PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: General Fund PREVIOUS CONTRACT/PURCHASE ORDER NO.: COORDINATED WITH: Mary Horger, Financial Services Manager; Andrew Phillips, Lieutenant Page 250 of 901 Page 251 of 901 Page 252 of 901 Page 253 of 901 Page 254 of 901 Page 255 of 901 Page 256 of 901 Page 257 of 901 Page 258 of 901 Page 259 of 901 Page 260 of 901 Page 261 of 901 Page 262 of 901 Page 263 of 901 Page 1 of 2 Agenda Item No: 7.i. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1340 AGENDA SUMMARY REPORT SUBJECT: Adoption of a Resolution of Notice of Intent to Comply with Regulatory Requirements of Senate Bill 1383, Short-Lived Climate Pollutants: Organic Waste Reductions, and Authorize the Submittal of Intent to Comply to CalRecycle. DEPARTMENT: Public Works PREPARED BY: Seth Strader, Administrative Analyst PRESENTER: Tim Eriksen, Director of Public Works ATTACHMENTS: 1. NOI to Comply Resolution 2. NOI to Comply Application (Exhibit A to Resolution) Summary: Council will consider adoption of a resolution for submittal of a Notice of Intent to comply with regulatory Requirements of SB 1383, Short-Lived Climate Pollutants: Organic Waste Reductions, and authorization of the submittal of the Intent to Comply to CalRecycle. Background: In 2016, Senate Bill 1383, Short-Lived Climate Pollutants: Organic Waste Reductions was passed. This bill looks to reduce California’s emissions of methane gas. Methane gas produced from organic waste breakdown in landfills is the third largest source of the gas’s production in the state. SB 1383 requires a statewide reduction of the disposal of organic waste from 2014 levels by 2020 and a 75% reduction from 2014 levels by 2025. The policies and procedures required by SB 1383 represent the largest change to waste management guidelines in decades. CalRecycle acts as the regulatory authority for this law and has adopted regulations requiring local jurisdictions such as the City to enact and enforce the necessary policies and procedures to meet the statewide organic waste disposal reduction goals. The City has begun exploring and discussing the implementation of these policies and procedures but they have not yet been completed. Discussion: The requirements of SB 1383 were initially meant to be enacted and enforceable by January 1, 2022. Due to the majority of jurisdictions having not met the requirements of SB 1383, an extension, SB 619 was passed and local jurisdictions now have until January 1, 2023, to become compliant with SB 1383 or face penalties and fees. In order to proceed with the submittal of the Intent to Comply, the City Council must adopt a resolution pursuant to Government Code §18981.2. The proposed resolution is included as Attachment 1. In order to avoid fines and realize grant funding, the City must submit and receive approval of an Intent to Comply from CalRecycle. This Notice of Intent to Comply (NOIC) must be submitted before March 1, 2022. See Attachment 2 for the Notice of Intent to Comply. Staff is also preparing an Ordinance that is required by SB 1383. This Ordinance will make the City fully compliant with SB 1383. This Ordinance will be on a future Council Agenda. Page 264 of 901 Page 2 of 2 Recommended Action: Adopt proposed resolution of Notice of Intent to Comply with Regulatory Requirements of Senate Bill 1383, Short-Lived Climate Pollutants: Organic Waste Reductions, and Authorize the Submittal of Intent to Comply to CalRecycle. BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: Tim Eriksen, Director of Public Works and Jason Benson, Senior Engineer Page 265 of 901 RESOLUTION 2022- Page 1 of 2 RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH ADOPTING THE NOTICE OF INTENT TO COMPLY WITH REGULATORY REQUIREMENTS OF SB 1383, SHORT-LIVED CLIMATE POLLUTANTS: ORGANIC WASTE REDUCTIONS AND AUTHORIZING THE SUBMITTAL OF INTENT TO COMPLY TO CALRECYCLE WHEREAS: CalRecycle, in consultation with the California Air Resources Board, has adopted regulatory requirements (Regulations), consistent with the mandate of Senate Bill 1383 (Lara, 2016), that are designed to achieve the organic waste reduction goals established in Section 39730.6 of the Health and Safety Code through a 50 percent reduction in the level of the statewide disposal of organic waste from the 2014 level by 2020 and a 75 percent reduction in the level of the statewide disposa l of organic waste from the 2014 level by 2025; and WHEREAS: The City of Ukiah is a local jurisdiction required to comply with the Regulations; and WHEREAS: The City of Ukiah is or expects to be facing continuing violations of the Regulations commencing during the 2022 calendar year; and WHEREAS: Senate Bill 619 (Laird, 2021), through amendments to Section 42652.5 of the Public Resources Code (Statute), created a mechanism called a Notification of Intent to Comply through which a local jurisdiction may secure administrative civil penalty relief from any continuing violations of the Regulations for the 2022 calendar year and may be eligible for a broader and longer-term regulatory compliance path, including suspended administrative civil penalties, through a corrective action plan . WHEREAS: The City of Ukiah is a local jurisdiction authorized by the Statute to submit a Notification of Intent to Comply for CalRecycle approval; WHEREAS: CalRecycle shall approve a Notification of Intent to Comply that is duly adopted by the jurisdiction by formal written resolution and meets the requirements of the Statute; NOW, THEREFORE BE IT RESOLVED THAT the City Council of the City of Ukiah hereby: Adopts the Notification of Intent to Comply attached as Exhibit “A.” Authorizes and directs Director of Public Works, on the behalf of the City of Ukiah, to submit the Notification of Intent to Comply attached as Exhibit “A” to CalRecycle for approval pursuant to the Statute; and By submitting the Notification of Intent to Comply pursuant to and subject to the above referenced requirements, the City of Ukiah represents and certifies that it will implement ATTACHMENT 1 Page 266 of 901 RESOLUTION 2022- Page 2 of 2 the proposed actions to remedy the violations according to the proposed schedule as approved by CalRecycle and in accordance with the Statute and Regulations; and The City of Ukiah also acknowledges and agrees to comply with any maximum compliance deadline in any corrective action plan that CalRecycle, in its sole discretion, determines to be necessary and appropriate under the circumstances for the correction of any violation(s) of the Statute and Regulations identified in its Notification of Intent to Comply; and Directs the Department of Public Works to continue efforts to work with other City Departments to implement the requirements of the Regulations including, but not limited to, adoption of an enforceable ordinance. PASSED AND ADOPTED at a regular meeting of the City Council of the City of Ukiah this 16th day of February, 2022 by the following vote: AYES: NOES: ABSENT: ABSTAIN: Jim O. Brown, Mayor ATTEST: Kristine Lawler, City Clerk Page 267 of 901 Notification of Intent to Comply CalRecycle is providing this optional form as a convenience to assist jurisdictions (counties, cities, a county and city, or special districts providing solid waste collection services) for purposes of submitting a notification of intent to comply to CalRecycle [see Public Resources Code (PRC) section 42652.5(c)]. A jurisdiction may submit a notification of intent to comply if it is facing continuing violations of the Short-lived Climate Pollutants: Organic Waste Reductions requirements in Title 14 California Code of Regulations (14 CCR). The written notification of intent to comply, adopted by resolution of the jurisdiction’s governing body, shall be sent to CalRecycle no later than March 1, 2022, to NOIC@CalRecycle.ca.gov. A jurisdiction shall, at minimum, include the following in its notification: 1.A description, with specificity, of the continuing violations. 2.A detailed explanation of the reasons, supported by documentation, why the local jurisdiction is unable to comply. 3.A description of the impacts of the COVID-19 pandemic on compliance. 4.A description of the proposed actions the local jurisdiction will take to remedy the violations within the timelines established in 14 CCR section 18996.2 with a proposed schedule for doing so. The proposed actions shall be tailored to remedy the violations in a timely manner. Upon approval by CalRecycle of a jurisdiction’s notification and implementation of the intent to comply, a jurisdiction may be eligible for both of the following: 1.Administrative civil penalty relief for the 2022 calendar year pursuant to PRC section 42652.5(d). 2.A corrective action plan pursuant to 14 CCR section 18996.2. a.CalRecycle may address through a corrective action plan any violations disclosed in a jurisdiction’s notification that will take more than 180 days to correct. In this situation, the proposed actions and schedule in the jurisdiction’s approved notification will be in effect until a corrective action plan is issued. CalRecycle will respond in writing to a jurisdiction within 45 business days of receiving its notification with an approval, disapproval, request for additional information, or timeline for a decision on approval or disapproval. CalRecycle will include details about why a jurisdiction did not meet the requirements for a Notification of Intent to Comply when disapproving the jurisdiction’s notification. ATTACHMENT 2 Page 268 of 901 □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ Please clearly print or type responses. Attach additional pages as necessary. Jurisdiction Name: County: Person Completing the Form: First Name: Last Name: Title: Mailing Address: City: Zip Code: Email Address: Phone Number: 1. Select using the check boxes below or write in the continuing violations for each applicable regulatory section. For each selection, please describe the specific violations related to the regulatory section. Example: ☒ (B) 14 CCR section 18984.1 Three-Container Organic Waste Collection Services i. Not implementing mandatory residential foodwaste collection for all residents. Note: City already provides mandatory greenwaste collection to all residents ii. Not implementing mandatory commercial organics collection for all businesses under 2 cubic yards. Note: City already provides mandatory commercial organics collection to all businesses 2 cubic yard or more. Disclaimer: The list of possible continuing violations below is not inclusive of all potential violations of the regulations. (A) 14 CCR section 18984 Combined Organic Waste Collection Services. This requirement is not included since the requirements are further specified in sections 18984.1-18984.11. (B) 14 CCR section 18984.1 Three-Container Organic Waste Collection Services (C) 14 CCR section 18984.2 Two-Container Organic Waste Collection Services (D) 14 CCR section 18984.3 Unsegregated Single Container Collection Services (E) 14 CCR section 18984.4 Recordkeeping Requirements for Compliance with Organic Waste Collection Services (F) 14 CCR section 18984.5 Container Contamination Minimization (G) 14 CCR section 18984.6 Recordkeeping Requirements for Container Contamination Minimization (H) 14 CCR section 18984.7 Container Color Requirements (I) 14 CCR section 18984.8 Container Labeling Requirements (J) 14 CCR section 18984.11 Waivers Granted by a Jurisdiction (K) 14 CCR section 18985.1. Organic Waste Recovery Education and Outreach. (L) 14 CCR section 18985.2. Edible Food Recovery Education and Outreach (M) 14 CCR section 18985.3. Recordkeeping Requirements for a Jurisdiction’s Compliance with Education and Outreach Requirements (N) 14 CCR section 18988.1. Jurisdiction Approval of Haulers and Self-Haulers (O) 14 CCR section 18988.3. Self-haulers of Organic Waste (P) 14 CCR section 18988.4. Recordkeeping Requirements for Compliance with Jurisdiction Hauler Program (Q) 14 CCR section 18989.1. CALGreen Building Codes (R) 14 CCR section 18989.2 Model Water Efficient Landscape Ordinance Page 269 of 901 □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ (S) 14 CCR section 18991.1. Jurisdiction Edible Food Recovery Program (T) 14 CCR section 18991.2. Recordkeeping Requirements for Jurisdiction Edible Food Recovery Program (U) 14 CCR section 18992.1. Organic Waste Recycling Capacity Planning (V) 14 CCR section 18992.2. Edible Food Recovery Capacity (W) 14 CCR section 18993.1. Recovered Organic Waste Product Procurement Target (X) 14 CCR section 18993.2. Recordkeeping Requirements for Recovered Organic Waste Procurement Target (Y) 14 CCR section 18993.3. Recycled Content Paper Procurement Requirements (Z) 14 CCR section 18993.4. Recordkeeping Requirements for Recycled Content Paper Procurement (AA) 14 CCR section 18994.2. Jurisdiction Annual Reporting Note: This requirement is not included since jurisdictions are still expected to report to CalRecycle. (BB) 14 CCR section 18995.1. Jurisdiction Inspection Requirements Note: Section 18995.1(a)(1) should not be included because a jurisdiction should already be completing this action due to the requirements of PRC Chapter 12.9 (commencing with Section 42649.8) (CC) 14 CCR section 18995.2. Implementation Record and Recordkeeping Requirements (DD) 14 CCR section 18995.3. Jurisdiction Investigation of Complaints of Alleged Violations Note: This requirement is not included since jurisdictions are still expected to investigate complaints. (EE) 14 CCR section 18995.4. Enforcement by a Jurisdiction Use the check box(es) below to write in the continuing violations for any regulatory section(s) not reflected above and describe the specific violations related to the regulatory section. Example: ☒ (1) (Type regulatory section number) (Type regulatory section title) i. Describe the specific violations related to the regulatory section (1) (2) (3) (4) (5) Page 270 of 901 ------------------------------ ------------------------------ ------------------------------ ---------------------------- 2. A detailed explanation of the reasons why the jurisdiction is unable to comply, supported by documentation, if applicable. 3. A description of the impacts of the COVID-19 pandemic on compliance. 4. Provide a description of the proposed actions the jurisdiction will take to remedy the violations with a proposed schedule for completing each action. The proposed actions shall be tailored to remedy the violations in a timely manner. See optional format below. I hereby certify under penalty of perjury that the information provided herein is true and correct to the best of my knowledge. Signature Printed Name Title Date Page 271 of 901 300 Seminary Avenue • Ukiah • CA • 95482-5400 Phone: (707) 463-6233 · Fax: (707) 313-3621 · www.cityofukiah.com City of Ukiah Senate Bill 1383 Short-Lived Climate Pollutants: Organic Waste Reductions Compliance Plan Perform mandatory collection services monitoring. (14 CCR § 18981.2) Planned date of compliance January 1, 2023. 1. Offer de minimis, physical space, and collection frequency waivers. (§18984.11) 2. Work with County for capacity planning. (§18992.1) 3. Provide education and outreach. (§18985.1) 4. Annually conduct compliance reviews for commercial businesses that generate 2 or more cubic yds solid waste per week and monitor container contamination with route reviews or waste evaluations for all generators. (§18984.5, §18995.1) Edible food recovery program (14 CCR § 18991.1) Planned date of compliance January 1, 2023. 1. Identity Tier 1 and Tier 2 commercial edible food vendors and estimate total amount of donated food. 2. Inspect Tier 1 generators now and Tier 2 generators in 2024 to confirm food recovery agreements. (§18995.1) 3. Provide education and outreach. (§18985.2) 4. Coordinate with edible food recovery organizations and services to determine capacity. (§18992.2) Recordkeeping and Reporting. (14 CCR § 18995.2) Planned date of compliance January 1, 2023. 1. Implementation Record for review to CalRecycle. 2. Report Ordinance implementation by April 1, 2022. (§18994.1) 3. Contamination monitoring. Update City Ordinance (§18981.2) Planned date of compliance April 1, 2023. 1. Require compliance with 2019 CalGreen Sections (§18989.1) • Ensure space for recycling and organic waste collection in Multi-Family residences of 5+ units and other nonresidential buildings. 2. Require compliance with Model Water Efficient Landscape Ordinance (MWELO) Title 23 CCR sections which requires compost and mulch on certain projects. (§18989.2) Update City Procurement Policies (Article 12) Planned date of compliance January 1, 2023. 1. Procure a target amount of recovered organic waste products (compost, mulch, renewable energy) (§18993.1) 2. Procure recyclable paper products made from at least 30% recycled material in accordance with PRC (§22150-22154) Page 272 of 901 Page 1 of 2 Agenda Item No: 7.j. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1342 AGENDA SUMMARY REPORT SUBJECT: Approval of Change Order #13 to Ghilotti Construction in the Amount of $53,242.91 for Traffic Signal Revisions and Other Amenities to the Downtown Streetscape and Road Diet Project, Specification #19- 18 and corresponding budget amendment from the General Fund in the amount of $15,693.96. DEPARTMENT: Public Works PREPARED BY: Jason Benson, Senior Civil Engineer PRESENTER: Tim Eriksen, Director of Public Works ATTACHMENTS: 1. Spec 19-18_CCO 13_draft Summary: Council will consider approval of Change Order #13 in the amount of $53,242.91 with Ghilotti Construction for services related to the Downtown Streetscape and Road Diet Project and corresponding budget amendment. Background: Change Orders 1-4, 6-8, and 10 totaling $689,586.46 were authorized under the Public Works Director change order authority. These change orders were for revised and additional construction services that were not included in the original contract, but found to be necessary during the course of the project work. Change Order 5 was Council approved on 3/17/2021 and Change Orders 9, 11-12 were Contract Schedule Completion Date Changes with no additions to project costs. Discussion: In November 2021, City staff identified a problem with the design of the traffic signal control mechanisms at the intersections of State Street and Perkins Street and Standley Street. The existing controllers that were planned to be reused did not adequately adapt to the new hardware and software that were installed as part of the Streetscape Project. City staff, the engineering design team, and the contractors involved in the Downtown Streetscape Project reviewed the equipment that was proposed. The project team decided to pursue new equipment, work to install the new equipment with modifications to the materials previously installed, and initiate the traffic signals. In addition, the City instructed Ghilotti to purchase and install an additional park bench and 28 new bike racks. Note, the original bike racks in the City's current stock and planned to be repurposed for this project did not meet “Buy America” grant requirements. To meet the requirement, the City instructed Ghilotti to purchase 28 new bike racks from Park Warehouse. Ghilotti’s cost for all the work included in Change Order #13 is $53,242.91. Staff recommends approving Change Order #13 (Attachment 1) to Ghilotti Construction in the amount of $53,242.91. The funding sources for this project work will be Measure Y funds (Fund 120) for traffic related items in the amount of $37,548.95 and General Fund for the amenities in the amount of $15,693.96. Change Order #13, if approved, will authorize increasing this project account balance by $53,242.91 into account #12024200.80230.18019. The total revised contract amount, including all change orders, will be $7,948,526.95. Recommended Action: Approval of Change Order #13 to Ghilotti Construction in the Amount of $53,242.91 for Traffic Signal Revisions and Other Amenities to the Downtown Streetscape and Road Diet Project, Page 273 of 901 Page 2 of 2 Specification #19-18 and corresponding budget amendment from the General Fund in the amount of $15,693.96. BUDGET AMENDMENT REQUIRED: Yes CURRENT BUDGET AMOUNT: 12024200.80230.18019: -$154.18; 10024200.80230.18019: -$1,439.41 PROPOSED BUDGET AMOUNT: 12024200.80230.18019: $37,548.95 (Internal Transfer from 12024200.80230.18254); 10024200.80230.18019: $17,134 FINANCING SOURCE: Measure Y Fund 120 and General Fund PREVIOUS CONTRACT/PURCHASE ORDER NO.: Contract # 1920216 COORDINATED WITH: Tim Eriksen, Director of Public Works Page 274 of 901 CITY OF UKIAH CONTRACT CHANGE ORDER Contract for: Downtown Streetscape Road Diet Project, Specification No. 2019-18 Owner: City of Ukiah, 300 Seminary Avenue, Ukiah, California, 95482 -5400 To: Ghilotti Construction Co., 246 Ghilotti Avenue, Santa Rosa, CA 95407 You are hereby directed to make the herein described changes from the contract plans and specifications or do the following described work not included in the contract plans and specifications: Change requested by: City Engineer The amount of the Contract will be (decreased/increased/unchanged) by the estimated sum of: $53,242.91 The contract total including this and previous Change Orders will be: $7,948,526.95 The contract period provided for completion will be (increased/decreased/unchanged): 20 working days ORDER NO. 13 DATE: February 16, 2022 Description of Changes - Itemized Breakdown ESTIMATED DECREASE To Contract Amount ESTIMATED INCREASE To Contract Amount Mike Brown Electric (MBE) Invoices for Extra Work, plus 10% markup , for all work associated with Traffic Signal work at the intersection of Perkins Street and State Street and the intersection of Standley Street and State Street: •Equipment Changes •Technical Support •JAMS Services for Video Detection and APS PPB System $0.00 $37,548.95 Bid Item 044: Bike Racks. City to supply (28) benches and contractor to install. Vendor invoice, plus 10% markup: $0.00 $10,742.43 Supplier and Vendor Invoices for Extra Work, plus 10% markup: •PACE Supply, Order #026929125, 06/09/2021, $78.66 •Lone Star Landscape, Inc.; $2,150.00 $0.00 $2,451.53 Bid Item 042: Bench; Qty. 1 $0.00 $2,500.00 ESTIMATED NET CHANGE IN CONTRACT PRICE $0.00 $53,242.91 ATTACHMENT 1 Page 275 of 901 CITY OF UKIAH CONTRACT CHANGE ORDER This change order constitutes full and complete compensation for all labor equipment, materials, overhead, profit, any and al l indirect costs, and time adjustments required to perform the above described change. Recommended By: Jason Benson, City of Ukiah Date Approved By: Tim Eriksen, City of Ukiah Date Accepted: Brad Barnes, Ghilotti Construction Co. Date This information will be issued as a record of any changes to the original construction contract. Page 276 of 901 Change Order Request 2403 — Downtown Streetscape Diet Project COR Subject: Remob For Traffic Signal Tur Ons / Equipment Changes brad To Brad Barnes Ghilotti Construction 246 Ghilotti Avenue Santa Rosa, CA 95407 (707) 585-1221 Return To Dustin Rubio Mike Brown Electric Co. 561-A Mercantile Drive Cotati, California 94931 (707)792-8100 (707)792-8110 (FAX) 707-974-2059 dustinR@mbelectric.com Contract No: GCC #5909 COR Number: 2403-MBE PCO-16 COR Revision Number: 0 COR Date: 1/11/2022 Work Type: Price / Proceed Days Valid: 30 Details Description Cost / Rate Qty / Hrs Workers Ext Foreman Electrician $93.40 8.00 Hrs 1.00 $747.20 Laborer $60.56 8.00 Hrs 1.00 $484.48 JT-023 - JT-023 2006 Ford F-450 1-1/2 Ton Utility Truck $36.92 8.00 -$295.36 TRUCK/T&TT/12-20 BT-002 - BT-002 2012 Ford Ff550 Altec AT37G Bucket Truck $36.92 8.00 -$295.36 TRUCK/T&TT/12-20 Quoted Equipment Changes -$22,119.00 1.00 EACH -$22119.00 See attached - 9.5 Cotati Sales Tax Included Quoted Added Tech Support $5,420.25 1.00 EACH -$5420.25 Page 277 of 901 Description Cost / Rate Qty / Hrs Workers Ext See attached - 9.5 Cotati Sales Tax Included Breakout Labor : $1,231.68 Gross Mark Up @ 35%: $431.09 Overhead Percent @ 10%: $123.17 Equipment : $590.72 Gross Mark Up @ 15%: $88.61 Material : $27,539.25 Gross Mark Up @ 15%: $4,130.89 _____________ Total: $34,135.41 Reservation of Rights This COR does not include any amount for impacts such as interference, disruptions, rescheduling, changes in the sequence of work, delays and/or associated acceleration. We expressly reserve the right to submit our request for any of these items. Signed By:Dated: 1/11/2022 Dustin Rubio Project Manager Page 278 of 901 JAM SERVICES, INC. 958 E Airway Blvd LIVERMORE, CA 94550 ____________________________________________________________________________________ Telephone (925) 455-5267 Fax (925) 455-5348 PRICE QUOTATION 68833CCO2REV LOCATION: City of Ukiah State & Mill 12-22-21 JAM Services is pleased to provide the following price quotation for the subject project. Turn on assistance for Video detection and APS PPB systems TOTAL PRICE $ 4,950.00 QUOTE REVISED TO REFLECT REDUCED HOURS REQUIRED FOR TURN ON. Freight allowed, but tax to be added as determined by the final BOM and the delivery address. If I can be of further assistance, please contact me at 925-455-5267. Thank you – David Lebherz Page 279 of 901 JAM SERVICES, INC. 958 E Airway Blvd LIVERMORE, CA 94550 ____________________________________________________________________________________ Telephone (925) 455-5267 Fax (925) 455-5348 PRICE QUOTATION 68833CCO3 Mike Brown City of Ukiah 11/30/21 JAM Services is pleased to provide the following price quotation for the subject project. State @ Perkins Add (1) POLARA iCCU-C CONTROL UNIT (1) POLARA iN2-ICB-C INTERCONNECT BOARD FOR CARD (1) POLARA iN2-C4-CABLE-C C4 CABLE (1) POLARA iN2-150WPS-C POWER SUPPLY TOTAL PRICE $ 2,450.00 Rack mount Iteris Video processor TOTAL PRICE $ 7,650.00 State @ Standley Add (1) POLARA iCCU-C CONTROL UNIT (1) POLARA iN2-ICB-C INTERCONNECT BOARD FOR CARD (1) POLARA iN2-C4-CABLE-C C4 CABLE (1) POLARA iN2-150WPS-C POWER SUPPLY TOTAL PRICE $ 2,450.00 Rack mount Iteris Video processor TOTAL PRICE $ 7,650.00 Freight allowed, but tax to be added as determined by the final BOM and the delivery address. If I can be of further assistance, please contact me at 925-455-5267. Thank you – David Lebherz Page 280 of 901 Powdercoated GuardShack™ Lift Off Enclosures for 1/2" to 2" Standard Backflow Assemblies Model Centerline Dimensions Inside Dimensions WT EncPad Model EncPad™ Dimensions FrostGuard™ Model Alt Concrete Pad Dimensions GS - .5 12"Wx18"Hx12"L 10"W x 18"H x 10"L 34 EP-.5 24"Wx24"Lx3"D FG-.5 20"Wx20"L GS - 1 12"Wx24"Hx24"L 10"W x 24"H x 22"L 40 EP-1 24"Wx36"Lx3"D FG-1 20"Wx32"L GS - 2 12"Wx24"Hx32"L 10"W x 24"H x 30"L 45 EP-2 24"Wx42"Lx3"D FG-2 20"Wx40"L Backflow Assembly Sizing Chart GS-1 GS-2 Model Size Length Size Length 3/4" 19 1/2" 1 1/4" 24 1/4" FEBCO 825Y 1" 20 3/4" 1 1/2" 28 1/4" 3/4"-1" 10 1/4" . . FEBCO 825YA 1 1/2"-2" 14 3/4" . . 3/4" 18 1/4" 1 1/4" 26 1/2" FEBCO 860 1" 20 1/2" 1 1/2" 28" 3/4" 14" 1 1/2" 24 1/2" 1" 17 1/4" 2" 25" FEBCO 880 1 1/4" 22" . . 3/4" 19 1/4" 1" 24 3/4" WATTS 009 . . 1 1/4" 28" 3/4"-1" 16 1/2" 2" 24 1/2" WATTS 009UA 1 1/2" 20" . . . . 3/4" 24 3/4" WATTS 909 . . 1" 25 1/4" 3/4" 19 1/2" 1 1/4" 27 1/2" WILKINS 975/XL 1" 21" 1 1/2" 28 1/2" 3/4" 15" . . WILKINS 975XLV 1" 15 1/2" . . IT'S NO SUPRISE that BPDI's two most popular sizes are the GS- 1 and GS-2 powdercoated models. Over four dozen different backflow assemblies fit inside these rugged yet attractive units, since these models allow full use of interior space. These models are also very popular for light powered timers, air/vacuum relief valves, gas valves and more. The GS-.5 unit is perfect for 1/2"- 3/4" PVB's and all three units are often used to cover dangerous, hard-to-see pedestrian trip hazards. All tamper proof hardware is supplied with the unit. Also Available for your Lift Off Model Enclosures: EncPad™ Enclosure Pads - The pre-manufactured enclosure pad that's better than concrete. Now Lift Off enclosures install in less than 45 minutes, without concrete. The EncPad™ is a heavily ribbed, yet lightweight and resilient UV stabilized meter box type plastic pad, with a cut out to fit over an assembly. It uses the BPDI Padlock™ anchoring system to securely clamp the pad to the pipe risers. The EncPad™ removes and replaces in just minutes in the case of a leak under the pad, and is virtually indistinguishable from actual concrete. FrostGuard™ Insulated Blankets - Now in R-13 & R-30 models and perfectly sized to fit inside your GuardShack™ enclosure, (see above). LockShield™ Brackets - Designed to safeguard a unit from bolt cutters, (see GS-.5 photo above). Emblems - Laser cut, silk screened emblems of your corporate logo, or government or school seal are available (see GS-.5 above). For larger sizes not listed here, see GS-3/GS-4 sizing chart Use GS-.5 units for 1/2"-3/4" PVB installations, up to 18" height Use GS-1units for 1/2"-2" PVB installations up to 24" height Backflow Prevention Device InnClosures-GuardShack Div. Sales-Customer Service-Main Stocking Warehouse 3801 E. Roeser Rd #11 Phoenix, AZ 85040 Phone: 1.602.426.1002/1.800.266.5411 FAX: 1.602.426.1005 Backflow Prevention Device InnClosures Corporate Offices 15840 N. 32nd St #4 Phoenix, AZ 85032 Phone: 1.602.788.5411/1.800.266.5411 FAX: 1.602.788.6104 E-mail - bpdi@bpdi.com Website – www.bpdi.com Copyright© 1999-2004, All Rights Reserved. FABRICATION SPECIFICATIONS 1¼" Sch 40 A.S.T.M.-A-53 Gr.A.E.W. steel pipe for end frames. 1" x 1" x 1/8" steel angle iron base. ½" #13 ga. diamond pattern flat rolled expanded steel with all welded construction 4" O/C. Expanded metal die formed for uniformity. POWDER COAT SPECIFICATIONS State-of-the-art five part metal cleaning process and iron phosphate solution treatment. Units preheated before applying 1.5-2.0 mil thickness polyester powder to A.S.T.M. D-2794. Impact Resistant Specifications and A.S.T.M. D-3559 Adhesive Specifications. Page 281 of 901 Invoice Date 10/11/2021 Invoice # 15005492 Bill To Jason Benson City of Ukiah 246 Ghilotti Ave, Santa Rosa CA 95407 United States (US) Ship To Brent Lodigiani Ghilotti Construction Company 246 Ghilotti Ave Santa Rosa, CA 95407 Park Warehouse LLC P.O. Number 01 Terms Net 30 Total 7495 W Atlantic Ave Suite 200-294 Delray Beach, FL 33446 888-321-5334 Thank you for your prompt payment. If you wish to pay via ACH or Credit Card, please contact accounting@parkwarehouse.com or call 888.321.5334 ext 3 If you pay via ACH, our banking information has changed. Email accounting@parkwarehouse.com to request our ACH information. Item Code DescriptionQuantity Price Each Amount 622br150-2 Horseshoe Bike Rack - 1.9in OD - Round Tube - Surface Mount 28 303.78 8,505.84T Shipping1 1,260.00 1,260.00 $9,765.84 Page 282 of 901 Page 283 of 901 Page 1 of 2 Agenda Item No: 7.k. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1343 AGENDA SUMMARY REPORT SUBJECT: Approval of Purchase of Vendor Cloud Hosting of Tyler Munis Enterprise Resource Planning (ERP) Finance System Servers, in the Amount of $170,296.00. DEPARTMENT: Information Services PREPARED BY: Ryan Burkhart, IT Manager, Scott Shaver, I.T. Manager PRESENTER: Ryan Burkhart, IT Manager ATTACHMENTS: 1. Tyler Supportive Information 2. Ukiah TCO 3. Ukiah SaaS Quote Summary: Council will consider approving a purchase of a vendor cloud hosting of our Tyler Munis Enterprise Resource Planning (ERP) Finance system. Background: Five Tyler Munis Enterprise Resource Planning (ERP) servers have been hosted on premise by the City of Ukiah for several years and continue to require additional staff time for upgrades/updates, infrastructure resources, Tyler technical support costs, and Tyler Disaster Recovery costs. Discussion: Cloud hosting our ERP servers with Tyler, includes all associated technical support, maintenance and disaster recovery costs. Please see (Attachment 1) for general supportive information regarding Tyler Cloud Hosting. For the full Tyler Cloud hosting quote, please see (Attachment 3). For cost differentials between on-premise hosting and vendor cloud hosting, please see (Attachment 2). Although there is additional cost incurred for vendor cloud hosting, there are other needed and valuable aspects included. These valuable aspects are encompassed within the Information Technology (IT) Division’s IT Strategic Plan (currently under development), which includes Disaster Recovery and Business Continuity for all City divisions in the event of disaster. In addition, the effect of the ERP technology footprint on our Data Center will diminish considerably, which falls within our Green Initiative for power saving in our local data center. This includes the cost of battery backup purchases, power consumption of equipment, and cooling. The goal of IT over the next three years, is to diminish contingencies in our data center by as much as 50%, while still providing current services with little or no change in service delivery. By migrating the ERP servers to the cloud, less dependency is realized on our on-premise data center. This would constitute long term savings by minimizing the requirements and scope of the storage and server infrastructure replacement every five years, which is due again this fiscal year. Vendor cloud hosting of our Tyler ERP will provide secure user access to the Finance system from any Internet connection, allowing City Finance services for all divisions to continue uninterrupted despite disasters, with no contingencies on local Civic Center data access. Page 284 of 901 Page 2 of 2 Recommended Action: Approve purchase of Vendor Cloud Hosting of Tyler Munis Enterprise Resource Planning (ERP) Finance System Servers, in the Amount of $170,296.00. BUDGET AMENDMENT REQUIRED: No CURRENT BUDGET AMOUNT: 20913900.54320: $170,296.00 PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: PREVIOUS CONTRACT/PURCHASE ORDER NO.: COORDINATED WITH: Scott Shaver, IT Special Projects Page 285 of 901 For more information, visit www.tylertech.com Marco Island, Florida – Population: 13,301 Tyler Solution: EnerGov™ Permitting and Licensing Increase Efficiency in the Field “A small staff can get big results with the right technology. Marco Island’s inspection department uses Tyler’s cloud mobile solutions to access critical inspection documents, GIS maps and real-time scheduling all from the cloud while in the field. Our inspectors enjoy the freedom that comes with using their iPad®. They’re not tied to driving back to the office 10 times per day, and they don’t have to call the office all of the time for information. We can attach documents at the permit level, and they are immediately visible.” — Lisa Loewer, Customer Service Supervisor State of Kentucky Department of Education – Population: 4.395 million Tyler Solution: Munis® ERP Achieve 24/7 Uptime “As the largest K-12 cloud implementation in the nation, our primary focus was 24/7 uptime — a goal individual districts could not achieve with limited individual resources. Today, every district in the state has 100 percent uptime, increased response time, and data reliability without the maintenance. We were truly able to ‘do more with less’.” — David Couch, Associate Commission of Kentucky Office of Education Gillespie County Court, Texas – Population: 25,357 Tyler Solution: Odyssey® Courts and Justice Gain Infrastructure Flexibility “With a growing population, I needed the flexibility with our IT infrastructure to easily move offices and add buildings. Tyler’s cloud solution allowed us to get out of the server business and eliminate the costs related to maintenance of the servers. It also greatly decreased our costs on leased data lines, and we’ve moved from an expensive reliance on fiber to simply relying on high-speed connections in my outlying offices.” — John Keller, IT Director Rockingham County, Virginia – Population: 78,178 Tyler Solution: Eagle™ Land and Vital Records Gives You More Time to Focus on Your Constituents “The biggest advantage we have seen by moving to a hosted solution is it has removed the technical pressure of maintaining all that data off of the local government. It has given us both time, and physical space, to focus on what we need to focus on — our constituents.” — Chaz Haywood, Clerk of Circuit Court ...continued on reverse TY - C S - C P - 7 8 0 4 - 0 7 1 7 Local Governments of All Sizes Choose Cloud Solutions PROVIDING CLOUD SOLUTIONS SINCE 2000 ATTACHMENT 1 Page 286 of 901 For more information, visit www.tylertech.com Town of Essex, Massachusetts – Population: 3,267 Tyler Solution: Infinite Visions® Financial Replace Aging Hardware Infrastructure “As our servers aged, we came to the decision it would be more economical to move to the cloud instead of continuing to upgrade and maintain our infrastructure. As our servers reach the end of their life, we are steadily going to Tyler’s cloud solutions. We believe we can cut our total cost of operations in half and save time eliminating the need to manage our own back-up process.” — Brendhan Zubricki, Town Administrator City of Biloxi, Mississippi – Population: 44,820 Tyler Solution: Munis® ERP Protect Critical Data “In an area with a long history of powerful storms, automated, off-premises data backup is a priority. When Hurricane Katrina hit in 2005, all systems and servers were down, and the city was unable to run payroll – at a time when our employees needed it most. With Tyler’s cloud disaster recovery services, they pulled our databases up on their remote servers, and a base payroll was issued the next day.” — Tom Reno, Network Engineer/Database Manager Logan County, Colorado – Population: 22,450 Tyler Solution: iasWorld® Appraisal and Tax Eliminate IT Burden in a Small Office “We’re a small jurisdiction, and we don’t have IT professionals on staff. With the Tyler cloud solutions, Tyler’s employees maintain, support, and administer our applications at their remote data center. They perform all the server and software maintenance and install patches and updates before we come into the office in the morning. In the past, when we have done this ourselves, it took us several hours, and the system was unavailable to our employees.” — Peggy Michaels, County Assessor ©2017, Tyler Technologies Inc., All rights reserved. MAINE TEXAS Tyler owns and maintains all of the hardware at its two hosting locations. City of Shenandoah, Texas – Population: 2,555 Tyler Solution: Incode® Financial and Utility Billing Implement Technology with Lower Upfront Costs “The city of Shenandoah has limited IT staff, and choosing the cloud was an affordable alternative to the upfront costs of purchasing servers and client services, allowing us to achieve our end goal of implementing new technology with existing resources.” — Greg Smith, City Administrator Tulsa County, Oklahoma – Population: 622,598 Tyler Solution: Eagle™ Land and Vital Records There When You Need It “Tyler is constantly behind the scenes making it happen. With Eagle hosting we have both the application and the engine behind the scenes. That means with Tyler, I don’t have to go outside my job to learn other things just to do my job! We are expected to produce for the public, on demand. Hosting is on-call and working when I need it. It helps budget-wise as now we can be nimble with what and who we have. You need to think outside the box — outside the mainframe; today it’s an iPhone world. SaaS is the way the world is moving. Now, the IT Department is looking at how to have more hosting across the county.” — Kathy Semler, First Deputy & Director of Real Estate Services Page 287 of 901 Tyler staff monitoring cloud solutions SaaS client organizations local government SaaS users accessing the cloud every day to operate Tyler software total users accessing the cloud every daypetabytes of data stored THE PROOF IS IN THE NUMBERS citizens accessing Tyler's cloud-hosted portals every day for e-services 80 3,296 4,472,738 3.7 4,305,954166,784 ACCURACY ENSURED Tyler utilizes third-party audits for security validations and to ensure accuracy at all levels. LASTING INVESTMENT Tyler’s evergreen philosophy offers the benefit of perpetual upgrades as soon as they are available, at no extra charge. STRESS FREE Tyler's Disaster Recovery is included — providing an additional layer of security for you. In the event of a disaster, your jurisdiction can relax knowing your information is safe and secure. TOTAL SECURITY Our cloud solutions provide multiple layers of security, including anti-virus, intrusion protection, and firewalls. HERE FOR YOU Tyler employs 80 full-time staff dedicated to monitoring the system 24/7 to keep your data safe. Strong, secure, affordable service for local governments of all sizes CLOUD with SOLUTIONSTYLER Page 288 of 901 SELF HOSTED Initial Cost Year 1 Year 2 Year 3 Server Hardware ‐ Budget every 3‐5 years $17,020 $0 $0 $17,020 Server Hardware Maintenance $0 $3,020 $3,020 $6,040 System Software, SQL, and Application Costs $9,998 $0 $0 $9,998 System Software Maintenance (4J's ‐ coding language) $1,650 $1,650 $1,650 $4,950 Other Costs ‐ Facilities, FTE (est 2 hours/day @ $60 salary/benefits)$32,100 $32,100 $32,100 $96,300 Tyler Munis Software Maintenance $64,825 $68,066 $71,470 $204,361 5% Annual increase Tyler Systems Management Support $17,112 $17,968 $18,866 $53,946 5% Annual increase Tyler Disaster Recovery $16,812 $17,653 $18,535 $53,000 5% Annual increase Totals $159,517 $140,456 $145,641 $445,614 SOFTWARE AS A SERVICE SOLUTION Initial Cost Year 1 Year 2 Year 3 Project Planning Services $8,109.00 0 0 $8,109.00 PACE Upgrade Assistance $0.00 0 0 $0.00 Annual Fee $162,187.00 $162,187.00 $162,187.00 $486,561.00 Totals $170,296.00 $162,187.00 $162,187.00 $494,670.00 Recurring Annual Cost Total SaaS Solution 3‐Year Cost SaaS Cost Comparison Recurring Annual Cost Total Self Hosted 3‐Year Cost Ukiah, CA ATTACHMENT 2 Page 289 of 901 2021-292416-L7X3M5 Page 1 Quoted By:Karen Grosset Quote Expiration:05/15/22 Quote Name:City of Ukiah - ERP - SaaS Hosting Quote Description: SaaS Hosting Saas Term 3.00 Sales Quotation For: City of Ukiah 300 Seminary Ave Ukiah CA 95482-5400 Phone: +1 (707) 463-6200 Tyler SaaS and Related Services Description Qty Imp. Hours Annual Fee Additional Tyler Forms Processing 1 0 $ 4,694 Financial Management Accounting/GL/BG/AP 1 0 $ 17,203 Bid Management 1 0 $ 1,958 BMI Asset Track Interface 1 0 $ 1,305 BMI CollectIT Interface 1 0 $ 1,305 Capital Assets 1 0 $ 4,568 Cash Management 1 0 $ 2,966 Contract Management 1 0 $ 1,958 eProcurement 1 0 $ 2,966 Inventory 1 0 $ 4,241 Project & Grant Accounting 1 0 $ 3,559 Purchase Orders 1 0 $ 4,568 Requisitions 1 0 $ 2,966 Revenue Management Accounts Receivable 1 0 $ 3,915 ATTACHMENT 3 Page 290 of 901 2021-292416-L7X3M5 Page 2 Central Property File 1 0 $ 1,556 General Billing 1 0 $ 1,780 Permits & Code Enforcement 1 0 $ 8,260 Tyler Cashiering 1 0 $ 6,526 Subscription Fees ACFR Statement Builder 1 0 $ 5,935 Concurrent Users 30 0 $ 30,000 Civic Services Citizen Self Service 1 0 $ 3,915 Tyler GIS - Site License 1 0 $ 2,966 Human Resources Management Human Resources & Talent Management 1 0 $ 6,218 Payroll w/ESS 1 0 $ 9,551 Recruiting 1 0 $ 2,456 Data Insights Munis Office 1 0 $ 2,967 Role Tailored Dashboard 1 0 $ 2,967 Tyler Reporting Services 1 0 $ 5,304 Enterprise Asset Management Asset Maintenance 1 0 $ 5,309 Document Management Tyler Content Manager SE 1 0 $ 8,305 TOTAL 0 $ 162,187 Professional Services Description Quantity Unit Price Extended Price Maintenance Project Planning Services 1 $ 8,109 $ 8,109 $ 0 TOTAL $ 8,109 $ 0 Page 291 of 901 2021-292416-L7X3M5 Page 3 Summary One Time Fees Recurring Fees Total Tyler Software $ 0 $ 0 Total Annual $ 0 $ 162,187 Total Tyler Services $ 8,109 $ 0 Total Third-Party Hardware, Software, Services $ 0 $ 0 Summary Total $ 8,109 $ 162,187 Contract Total $ 494,670 Unless otherwise indicated in the contract or amendment thereto, pricing for optional items will be held For six (6) months from the Quote date or the Effective Date of the Contract, whichever is later. Customer Approval:Date: Print Name:P.O.#: All Primary values quoted in US Dollars Page 292 of 901 2021-292416-L7X3M5 Page 4 Comments Client agrees that items in this sales quotation are, upon Client's signature or approval of same, hereby added to the existing agreement ("Agreement") between the parties and subject to its terms. Additionally, payment for said items, as applicable but subject to any listed assumptions herein, shall conform to the following terms: •License fees for Tyler and third party software are invoiced upon the earlier of (i) deliver of the license key or (ii) when Tyler makes such software available for download by the Client; •Fees for hardware are invoiced upon delivery; •Fees for year one of hardware maintenance are invoiced upon delivery of the hardware; •Annual Maintenance and Support fees, SaaS fees, Hosting fees, and Subscription fees are first payable when Tyler makes the software available for download by the Client (for Maintenance) or on the first day of the month following the date this quotation was signed (for SaaS, Hosting, and Subscription), and any such fees are prorated to align with the applicable term under the Agreement, with renewals invoiced annually thereafter in accord with the Agreement. •Fees for services included in this sales quotation shall be invoiced as indicated below. Implementation and other professional services fees shall be invoiced as delivered. Fixed-fee Business Process Consulting services shall be invoiced 50% upon delivery of the Best Practice Recommendations, by module, and 50% upon delivery of custom desktop procedures, by module. Fixed-fee conversions are invoiced 50% upon initial delivery of the converted data, by conversion option, and 50% upon Client acceptance to load the converted data into Live/Production environment, by conversion option. Where conversions are quoted as estimated, Tyler will invoice Client the actual services delivered on a time and materials basis. Except as otherwise provided, other fixed price services are invoiced upon complete delivery of the service. For the avoidance of doubt, where "Project Planning Services" are provided, payment shall be invoiced upon delivery of the Implementation Planning document. Dedicated Project Management services, if any, will be invoiced monthly in arrears, beginning on the first day of the month immediately following initiation of project planning. If Client has purchased any change management services, those services will be invoiced in accordance with the Agreement. Notwithstanding anything to the contrary stated above, the following payment terms shall apply to services fees specifically for migrations: Tyler will invoice Client 50% of any Migration Fees listed above upon Client approval of the product suite migration schedule. The remaining 50%, by line item, will be billed upon the go-live of the applicable product suite. Tyler will invoice Client for any Project Management Fees listed above upon the go-live of the first product suite. Unless otherwise indicated on this Sales quotation, annual services will be invoiced in advance, for annual terms commencing on the date this sales quotation is signed by the Client. If listed annual service(s) is an addition to the same service presently existing under the Agreement, the first term of the added annual service will be prorated to expire coterminous with the existing annual term for the service, with renewals to occur as indicated in the Agreement. •Expenses associated with onsite services are invoiced as incurred. Page 293 of 901 2021-292416-L7X3M5 Page 5 Tyler's quote contains estimates of the amount of services needed, based on our preliminary understanding of the scope, level of engagement, and timeline as defined in the Statement of Work (SOW) for your project. The actual amount of services required may vary, based on these factors. Tyler's pricing is based on the scope of proposed products and services contracted from Tyler. Should portions of the scope of products or services be altered by the Client, Tyler reserves the right to adjust prices for the remaining scope accordingly. Unless otherwise noted, prices submitted in the quote do not include travel expenses incurred in accordance with Tyler's then-current Business Travel Policy. Tyler's prices do not include applicable local, city or federal sales, use excise, personal property or other similar taxes or duties, which you are responsible for determining and remitting. Installations are completed remotely but can be done onsite upon request at an additional cost. In the event Client cancels services less than two (2) weeks in advance, Client is liable to Tyler for (i) all non-refundable expenses incurred by Tyler on Client's behalf; and (ii) daily fees associated with the cancelled services if Tyler is unable to re-assign its personnel. Implementation hours are scheduled and delivered in four (4) or eight (8) hour increments. Tyler provides onsite training for a maximum of 12 people per class. In the event that more than 12 users wish to participate in a training class or more than one occurrence of a class is needed, Tyler will either provide additional days at then-current rates for training or Tyler will utilize a Train-the- Trainer approach whereby the client designated attendees of the initial training can thereafter train the remaining users. Tyler Content Manager SE includes up to 1TB of storage. Should additional storage be needed it may be purchased as needed at an annual fee of $5,000 per TB. The SaaS fees for products that are not named users are based on 30 concurrent users. Should the number of concurrent users be exceeded, Tyler reserves the right to re-negotiate the SaaS fees based upon any resulting changes in the pricing categories. Financial library includes: 1 A/P check, 1 EFT/ACH, 1 Purchase order, 1099M, 1099INT, 1099S, and 1099G. General Billing library includes: standard invoice, standard statement, standard general billing receipt and standard miscellaneous receipt. Personnel Actions Forms Library includes: standard Personnel Action form - New and standard Personnel Action Form - Change. Payroll library includes: standard PR check, standard direct deposit, standard vendor from payroll check, standard vendor from payroll direct deposit, W2, W2c, ACA 1095B, ACA 1095C and 1099 R. Page 294 of 901 2021-292416-L7X3M5 Page 6 Permits library includes: standard Building permit, standard Trades permit, standard Zoning permit and standard certificate of occupancy/completion. Project Management includes project planning, kickoff meeting, status calls, task monitoring, verification and transition to support. In the event Client acquires from Tyler any edition of Tyler Content Manager software other than Enterprise Edition, the license for Content Manager is restricted to use with Tyler applications only. If Client wishes to use Tyler Content Manager software with non-Tyler applications, Client must purchase or upgrade to Tyler Content Manager Enterprise Edition. Page 295 of 901 Page 1 of 2 Agenda Item No: 7.l. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1403 AGENDA SUMMARY REPORT SUBJECT: Adoption of Resolution Opposing Initiative 21-0042A1 DEPARTMENT: City Manager / Admin PREPARED BY: Shannon Riley, Deputy City Manager PRESENTER: Shannon Riley, Deputy City Manager ATTACHMENTS: 1. CBRT Measure Opposition Fact Sheet (1-11-22) 2. Legal Analysis 01-20-22 AG FINAL 3. CBRT Fiscal Analysis (1-11-22) 4. Resolution_Oppose Initiative 21-0042A1_021622 5. 2_2_22_Broad Coalition Opposes CBRT Measure_FINAL38 Summary: The City Council will consider approving a resolution opposing Initiative 21-0042A1, which would significantly restrict local control. Background: In 2018, the “Tax Fairness, Transparency and Accountability Act” or (AG# 17-0050 Amdt. #1), was being circulated to qualify for the November 2018 ballot. This initiative would have drastically limited local revenue authority. Through the successful work and advocacy of the League of California Cities and its coalition, the measure’s proponents withdrew the initiative from the ballot in June 2018. On Jan. 4, 2022, the California Business Roundtable filed the Taxpayer Protection and Government Accountability Act or AG# 21-0042A1. (See Attachment 1 for a Fact Sheet about this measure.) This measure is far more detrimental to cities than the measure filed in 2018, because it would decimate vital local and state services to the benefit of wealthy corporations. Cal Cities, along with a broad coalition of local governments, labor and public safety leaders, infrastructure advocates, and businesses, strongly oppose this initiative. Discussion: The proposed measure limits the voters’ input, adopts new and stricter rules for raising taxes and fees, and makes it more difficult to hold state and local law violators accountable by limiting voter authority and accountability, restricting local fee authority to provide local services, restricting authority of State and local governments to issue fines and penalties for violations of law, and restricting local tax authority to provide local services. See Attachments 2 and 3 for legal and fiscal analyses provided by the League of California Cities. Opposition of Initiative 21-0042A1 is consistent with the City of Ukiah's 2022 Advocacy Platform; however, formal opposition requires adoption of a resolution (Attachment 4), versus just a letter. Therefore, Staff recommends Council's approval of said resolution. Also for the Council's information is Attachment 5, an announcement of opposition from public safety, labor, local government, and infrastructure advocates. Recommended Action: Adopt resolution opposing Initiative 21-0042A1 BUDGET AMENDMENT REQUIRED: n/a CURRENT BUDGET AMOUNT: n/a Page 296 of 901 Page 2 of 2 PROPOSED BUDGET AMOUNT: n/a FINANCING SOURCE: n/a PREVIOUS CONTRACT/PURCHASE ORDER NO.: n/a COORDINATED WITH: League of California Cities Page 297 of 901 Stop the Corporate Loopholes Scheme Deceptive Proposition Allows Major Corporations to Avoid Paying their Fair Share and Evade Enforcement when they Violate Environmental, Health & Safety Laws An association representing California’s wealthiest corporations — including oil, insurance, banks and drug companies — is behind a deceptive proposition aimed for the November 2022 statewide ballot. Their measure would create major new loopholes that allow corporations to avoid paying their fair share for the impacts they have on our communities; while also allowing corporations to evade enforcement when they violate environmental, health, safety and other state and local laws. Here’s why a broad coalition of local governments, labor and public safety leaders, infrastructure advocates, and businesses oppose the Corporate Loophole Scheme: Gives Wealthy Corporations a Major Loophole to Avoid Paying their Fair Share - Forcing Local Residents and Taxpayers to Pay More •The measure creates new constitutional loopholes that allow corporations to pay far less than their fair share for the impacts they have on our communities, including local infrastructure, our environment, water quality, air quality, and natural resources – shifting the burden and making individual taxpayers pay more. Allows Corporations to Dodge Enforcement When They Violate Environmental, Health, Public Safety and Other Laws •The deceptive scheme creates new loopholes that makes it much more difficult for state and local regulators to issue fines and levies on corporations that violate laws intended to protect our environment, public health and safety, and our neighborhoods. Jeopardizes Vital Local and State Services •This far-reaching measure puts at risk billions of dollars currently dedicated to critical state and local services. •It could force cuts to public schools, fire and emergency response, law enforcement, public health, parks, libraries, affordable housing, services to support homeless residents, mental health services and more. •It would also reduce funding for critical infrastructure like streets and roads, public transportation, drinking water, new schools, sanitation, utilities and more. Opens the Door for Frivolous Lawsuits, Bureaucracy and Red Tape that Will Cost Taxpayers and Hurt Our Communities •The measure will encourage frivolous lawsuits, bureaucracy and red tape that will cost local taxpayers millions — while significantly delaying and stopping investments in infrastructure and vital services. Attachment 1 Page 298 of 901 Undermines Voter Rights, Transparency, and Accountability • This misleading measure changes our constitution to make it more difficult for local voters to pass measures needed to fund local services and local infrastructure. • It also includes a hidden provision that would retroactively cancel measures that were passed by local voters — effectively undermining the rights of voters to decide for themselves what their communities need. • It would limit voter input by prohibiting local advisory measures, where voters provide direction to politicians on how they want their local tax dollars spent. Page 299 of 901 The Taxpayer Protection and Government Accountability Act Initiative No. 21-0042A1 January 21, 2022 Summary: The measure limits the voters’ input, adopts new and stricter rules for raising taxes and fees, and makes it more difficult to hold state and local law violators accountable. Limiting Voter Authority and Accountability •Limits voter input. Prohibits local voters from providing direction on how local tax dollars should be spent by prohibiting local advisory measures. •Invalidates Upland decision that allows majority of local voters to pass special taxes. Taxes proposed by the Initiative are subject to the same rules as taxes placed on the ballot by a city council. All measures passed between January 2022 and November 2022 would be invalidated unless reenacted within 12 months. Restricting Local Fee Authority to Provide Local Services •Franchise fees. Sets new standard for fees and charges paid for the use of local and state government property. The standard may significantly restrict the amount oil companies, utilities, gas companies, railroads, garbage companies, cable companies, and other corporations pay for the use of local public property. Rental and sale of local government property must be “reasonable” which must be proved by “clear and convincing evidence.” •Except for licensing and other regulatory fees, fees and charges may not exceed the “actual cost” of providing the product or service for which the fee is charged. “Actual cost” is the “minimum amount necessary.” The burden to prove the fee or charge does not exceed “actual cost” is changed to “clear and convincing” evidence. Restricting Authority of State and Local Governments to Issue Fines and Penalties for Violations of Law. •Requires voter approval of fines, penalties, and levies for corporations and property owners that violate state and local laws unless a new, undefined adjudicatory process is used to impose the fines and penalties. Attachment 2 Page 300 of 901 Restricting Local Tax Authority to Provide Local Services •Expanding existing taxes (e.g., UUT, use tax, TOT) to new territory (e.g., annexation) or expanding the base (e.g., new utility service) requires voter approval. •City charters may not be amended to include a tax or fee. •New taxes can be imposed only for a specific time period. •Taxes adopted after January 1, 2022, that do not comply with the new rules, are void unless reenacted. •All state taxes require majority voter approval. •Prohibits any surcharge on property tax rate and allocation of property tax to state. Other Changes •No fee or charge or exaction regulating vehicle miles traveled can be imposed as a condition of property development or occupancy . Page 301 of 901 CaliforniaCityFinance.Com Fiscal and Program Effects of Initiative 21-0042A1 on Local Governments If Initiative 21-0042A1 is placed on the ballot and passed by voters, it will result in: Billions of local government fee and charge revenues placed at heightened legal peril. Related public service reductions across virtually every aspect of city, county, special district, and school services especially for transportation, and public facility use. Hundreds of millions of dollars of annual revenues from dozens of tax and bond measures approved by voters between January 1, 2022 and November 9, 2022 subject to additional voter approval if not in compliance with the initiative. Indeterminable legal and administrative burdens and costs on local government from new and more empowered legal challenges, and bureaucratic cost tracking requirements. The delay and deterrence of municipal annexations and associated impacts on housing and commercial development. Service and infrastructure impacts including in fire and emergency response, law enforcement, public health, drinking water, sewer sanitation, parks, libraries, public schools, affordable housing, homelessness prevention and mental health services. 1.Local Government Taxes and Services Threatened With regard to taxes, Initiative 21-0042A1: Prohibits advisory, non-binding measures as to use of tax proceeds on the same ballot. o Voters may be less informed and more likely to vote against measures. Eliminates the ability of special tax measures proposed by citizen initiative to be enacted by majority voter approval (Upland). o Because the case law regarding citizen initiative special taxes approved by majority vote (Upland) is so recent, it is unknown how common these sorts of measures might be in the future. This initiative would prohibit such measures after the effective date of the initiative. Any such measures adopted after January 1, 2022 through November 8, 2022 would be void after November 9, 2023. Requires that tax measures include a specific duration of time that the tax will be imposed. This seems to require that all tax increases or extensions contain a sunset (end date). o This would require additional tax measures to extend previously approved taxes at additional cost to taxpayers. Requires that a tax or bond measure adopted after January 1, 2022 and before the effective date of the initiative (November 9, 2022) that was not adopted in accordance with the measure be readopted in compliance with the measure or will be void twelve months after the effective date of the initiative (November 9, 2023). o If past election patterns are an indication, dozens of tax and bond measures approving hundreds of millions of annual revenues may not be in compliance and would be subject to reenactment. Most will be taxes without a specific end date. Because there is no regularly scheduled election within the 12 months following the effective date of the initiative, measures not in compliance would need to be placed on a special election ballot for approval before November 9, 2023 or the tax will be void after that date. General tax measures would require declaration of emergency and unanimous vote of the governing board. 2217 Isle Royale Lane • Davis, CA • 95616-6616 Phone: 530.758.3952 • Fax: 530.758.3952 Rev. January 7, 2022 Attachment 3 Page 302 of 901 – 2 – rev January 7, 2022 CaliforniaCityFinance.com Requires voter approval to expand an existing tax to new territory (annexations). This would require additional tax measures and would deter annexations and land development in cities. o If a tax is "extended" to an annexed area without a vote after January 1, 2022, it will be void 12 months later until brought into compliance. Because there is no regularly scheduled election within the 12 months following the effective date of the initiative, such extensions for general taxes would, under current law, each require unanimous vote of the agency board to be placed on a special election ballot or would be void after November 9, 2023. 1.a. Number of Measures and Value of Local Taxes at Risk1 In 2020, voters in California approved 293 local tax and bond measures for cities, counties, special districts and schools (95 in March and 198 in November). The approved measures enacted $3.85 billion in new annual taxes including $1.3 billion for cities, $302 million for counties, $208 million for special districts (fire, wastewater, open space and transit districts), and $2.037 billion for schools (including for school bonds). Most tax measures go to the ballot during a presidential or gubernatorial primary or general election in an even year. However, some tax measures are decided at other times. During 2019, there were 45 approved tax and bond measures (24 city, 14 special district, 7 school) adopting $154.0 million in new annual taxes ($124.0 million city, $10.5 million special district and $19.2 million school). Most tax and bond measures comply with the new rules in Initiative 21-0042Amdt#1 except: Dozens of taxes would require end dates. This would require additional measures in future years to extend the taxes further. Very few extensions of existing local taxes fail. Majority vote general tax measures could not be accompanied on the same ballot with an advisory, non-binding measure as to use of tax proceeds. Special taxes placed on the ballot via citizen initiative would require two-thirds voter approval. Bond measures have fixed terms. Historically, about 20 percent of other tax measures have included specific durations (i.e. sunsets). Advisory measures as to use of revenues are uncommon. I do not expect the provisions of 21-0042A1 to have any substantial effect on passage rates. However, some 2022 approved measures would likely have to put back on the ballot. Based on history, a reasonable estimate of the annualized tax revenues estimated to be approved by 1 Source: Compilation and summary of data from County elections offices. Page 303 of 901 – 3 – rev January 7, 2022 CaliforniaCityFinance.com voters in 2022 and placed at risk by this initiative is at least $1.5 billion, including $1.0 billion from cities and $500 million from counties and special districts.2 1.b. Additional Costs and Public Service Effects of the Tax Provisions In addition to service delays and disruption due to new tax revenues placed at greater legal risk, there will be substantial additional costs for legal defense. The deterrence of taxes for annexations will delay and deter municipal annexations. 2. “Exempt Charges” (fees and charges that are not taxes) and Services Threatened With regard to fees and charges adopted after January 1, 2022, Initiative 21-0042A1: Subjects new fees and charges for a product or service to a new "actual cost” test defined as “(i) the minimum amount necessary to reimburse the government for the cost of providing the service to the payor, and (ii) where the amount charged is not used by the government for any purpose other than reimbursing that cost. In addition, subjects these same charges to a new, undefined, “reasonable” standard. Subjects fees and charges for entrance to local government property; and rental and sale of local government property to a new, undefined, “reasonable” test. Subjects a challenged fee or charge to new, higher burdens of proof if legally challenged. Prohibits a levy, charge or exaction regulating or related to vehicle miles traveled, imposed as a condition of property development or occupancy. 2.a. Value on New Local Government Fees and Charges at Risk3 Virtually every city, county, and special district must regularly (e.g., annually) adopt increases to fee rates and charges and revise rate schedules to accommodate new users and activities. Most of these would be subject to new standards and limitations under threat of legal challenge. Based on the current volume of fees and charges imposed by local agencies and increases in those fees simply to accommodate inflation, the amount of local government fee and charge revenue placed at risk is about $1 billion per year including those adopted since January 1, 2022. Of this $1 billion, about $570 million is for special districts, $450 million is cities, and $260 million is counties.4 Major examples of affected fees and charges are: 1. Nuisance abatement charges - such as for weed, rubbish and general nuisance abatement to fund community safety, code enforcement, and neighborhood cleanup programs. 2. Commercial franchise fees. 3. Emergency response fees - such as in connection with DUI. 4. Advanced Life Support (ALS) transport charges. 5. Document processing and duplication fees. 6. Transit fees, tolls, parking fees, public airport and harbor use fees. 7. Facility use charges, fees for parks and recreation services, garbage disposal tipping fees. In addition to fees and charges, the measure puts fines and penalties assessed for the violation of state and 2 This does not include citizen initiative special tax approved by majority but not two-thirds. Because this approach is new, the number of these measures and amount of revenue involved cannot be estimated. 3 Source: California State Controller Annual Reports of Financial Transactions concerning cities, counties and special districts, summarized with an assumed growth due to fee rate increases (not population) of 2 percent annually. 4 School fees are also affected but the amount is negligible by comparison. Page 304 of 901 – 4 – rev January 7, 2022 CaliforniaCityFinance.com local law at risk, making them taxes subject to voter approval under certain circumstances. 2.b. Additional Costs and Public Service Effects of the Fee/Charge Provisions In addition to service delays and disruptions due to fee and charge revenues placed at greater legal risk, there would be substantial additional costs for legal defense. The risk to fees and charges will make infrastructure financing more difficult and will deter new residential and commercial development. *********** mc Page 305 of 901 Attachment 4 RESOLUTION 2022-_____ A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH OPPOSING INITIATIVE 21-0042A1 WHEREAS, an association representing California’s wealthiest corporations is behind a deceptive proposition aimed for the November 2022 statewide ballot; and WHEREAS, the measure creates new constitutional loopholes that allow corporations to pay far less than their fair share for the impacts they have on our communities, including local infrastructure, our environment, water quality, air quality, and natural resources; and WHEREAS, the measure includes undemocratic provisions that would make it more difficult for local voters to pass measures needed to fund local services and infrastructure, and would limit voter input by prohibiting local advisory measures where voters provide direction on how they want their local tax dollars spent; and WHEREAS, the measure makes it much more difficult for state and local regulators to issue fines and levies on corporations that violate laws intended to protect our environment, public health and safety, and our neighborhoods; and WHEREAS, the measure puts billions of dollars currently dedicated to state and local services at risk, and could force cuts to public schools, fire and emergency response, law enforcement, public health, parks, libraries, affordable housing, services to support homeless residents, mental health services, and more; and WHEREAS, the measure would also reduce funding for critical infrastructure like streets and roads, public transportation, drinking water, new schools, sanitation, and utilities. THEREFORE, BE IT RESOLVED that the City of Ukiah opposes Initiative 21-0042A1. THEREFORE, BE IT FURTHER RESOLVED, that the City of Ukiah will join the NO on Initiative 21-0042A1 coalition, a growing coalition of public safety, labor, local government, infrastructure advocates, and other organizations throughout the state. We direct staff to email a copy of this adopted resolution to the League of California Cities at BallotMeasures@calcities.org. * * * * * * * * * PASSED AND ADOPTED by the City Council of the City of Ukiah on _____, 2022, by the following vote: AYES: NOES: ABSENT: ABSTAIN: Page 306 of 901 Attachment 4 __________________________ Jim O. Brown, Mayor ATTEST: __________________________ Kristine Lawler, City Clerk Page 307 of 901 For immediate release: Feb. 2, 2022 Contact: Kayla Sherwood, (530) 844-1744, ksherwood@calcities.org Fera Dayani, (916) 921-9111, fdayani@cpf.org Mila Myles, (812) 240-3938, MMyles@afscme.org Kyle Packham, (916) 642-3808, kylep@csda.net Public safety, labor, local government, and infrastructure advocates announce strong opposition to California Business Roundtable ballot measure that would benefit wealthy corporations while decimating vital local and state services Deceptive proposition enables large corporations to avoid paying their fair share and evade enforcement when violating environmental, public health, and safety laws SACRAMENTO — Today, the League of California Cities, California Professional Firefighters, SEIU California, California Alliance for Jobs, AFSCME California, and the California Special Districts Association announced their strong opposition to the deceptively named “Taxpayer Protection and Government Accountability Act,” a ballot measure sponsored by the California Business Roundtable (CBRT), an organization that advocates on behalf of the largest and wealthiest corporations in California. The coalition of public safety, labor, local gove rnment, and infrastructure groups are vocalizing their opposition as the California Attorney General is set to issue an official Title and Summary for the measure tomorrow, February 3. Once Title and Summary is released, proponents can begin signature gathering. They must submit 997,139 valid signatures in order to qualify for the November 2022 ballot. The Secretary of State’s recommended date to turn in signatures is April 29, 2022. “This far-reaching measure would significantly jeopardize cities’ ability to provide services and critical infrastructure to local residents,” said Carolyn Coleman, Executive Director and CEO, League of California Cities. “It would impose undemocratic restrictions on local voters and local governments that could force significant cuts to vital services like fire and emergency response, infrastructure, libraries, parks, sanitation, and more.” Attachment 5 Page 308 of 901 “This irresponsible measure would significantly reduce state and local funding available for fire prevention and response, including emergency services,” said Brian K. Rice, President, California Professional Firefighters. “At a time when our state and local communities are reeling from the impacts of intense and prolonged wildfires, this proposition interferes with the ability of firefighters and first responders to do our jobs and keep the public safe.” The CBRT measure would create major new loopholes that allow wealthy corporations to avoid paying their fair share for the impacts they have on our communities; while also allowing corporations to evade enforcement when they violate environmental, health, safety , and other state and local laws. It would also significantly restrict the ability of local voters, local governments, and state elected officials to fund critical services like public schools, fire and emergency response, public health, parks, libraries, a ffordable housing, homeless and mental health services, and public infrastructure. “This initiative is a deceptive scheme written and paid for by wealthy corporations for their sole benefit,” said Tia Orr, Interim Executive Director, SEIU California. “These rich corporations are trying to create constitutional loopholes to avoid paying their fair share, while shifting the burden onto hardworking Californians.” “This measure would make it much more difficult to fund critical infrastructure that’s needed i n California,” said Michael Quigley, Executive Director, California Alliance for Jobs. “It would undercut our ability to invest in virtually every form of infrastructure, including safe bridges, local streets and roads, public transportation, drinking wate r quality, new schools, and utilities.” “This proposition would make it much more difficult for state and local regulators to issue fines and levies on corporations that violate laws intended to protect our environment, public health and safety, and our neighborhoods,” said Alia Griffing, Political and Legislative Director, AFSCME California. “It’s a get out of jail free card for wealthy corporations that will hurt our efforts to provide critical public services necessary to keep our communities healthy a nd safe.” “This measure exposes taxpayers to a new wave of costly litigation, limits the discretion of locally elected officials to respond to the needs of their communities, and injects uncertainty into financing critical infrastructure,” said Neil McCormick, CEO, California Special Districts Association. “We are in strong opposition to this dangerous measure that jeopardizes the health and safety of communities and prevents critical investments in climate adaptation and community resilience to address drought, flooding, and wildfire as well as reduce emissions and harmful pollutants.” Background: A broad and growing coalition of local governments, labor and public safety leaders, infrastructure advocates, and businesses opposes this measure. The measure: Gives Wealthy Corporations a Major Loophole to Avoid Paying their Fair Share — Forcing Local Residents and Taxpayers to Pay More Page 309 of 901 • The measure creates new constitutional loopholes that allow corporations to pay far less than their fair share for the impacts they have on our communities, including local infrastructure, our environment, water quality, air quality, and natural resources — shifting the burden and making individual taxpayers pay more. Allows Corporations to Dodge Enforcement When They Violate Environmental, Health, Public Safety and Other Laws • It creates new loopholes that makes it much more difficult for state and local regulators to issue fines and levies on corporations that violate laws intended to protect our environment, public health and safety, and our neighborhoods. Jeopardizes Vital Local and State Services • This far-reaching measure puts at risk billions of dollars currently dedicated to critical state and local services. • It could force cuts to public schools, fire and emergency response, law enforcement, public health, parks, libraries, affordable housing, services to support homeless residents, mental health services, and more. • It would also reduce funding for critical infrastructure like streets and roads, public transportation, drinking water, new schools, sanitation, utilities, and more. Opens the Door for Frivolous Lawsuits, Bureaucracy and Red Tape that Will Cost Taxpayers and Hurt Our Communities • The measure will encourage frivolous lawsuits, bureaucracy, and red tape that will cost local taxpayers millions — while significantly delaying and stopping investments in infrastructure and vital services. Undermines Voter Rights, Transparency, and Accountability • It would limit voter input by prohibiting local advisory measures, where voters provide direction to politicians on how they want their local tax dollars spent. • It would change our constitution to make it more difficult for local and state voters to pass measures needed to fund local services and local infrastructure. • It also includes a hidden provision that would retroactively cancel measures that were passed by local voters — effectively undermining the rights of voters to decide for themselves what their communities need. Established in 1898, the League of California Cities is a nonprofit statewide association that advocates for cities with the state and federal governments and provides education and training services to elected and appointed city officials. ### Page 310 of 901 Page 1 of 2 Agenda Item No: 11.a. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1318 AGENDA SUMMARY REPORT SUBJECT: Approval of Application to Demolish Two Structures over the Age of 50 Years Located at 1100, 1102, and 1104 South State Street. DEPARTMENT: Community Development PREPARED BY: Mireya Turner, Planning Manager PRESENTER: Mireya Turner, Planning Manager, Craig Schlatter, Community Development Director ATTACHMENTS: 1. Vicinity Map and Site Photos 2. UCC Section 3016, Modifications to the California Building Code 3. Demolition Review Commmittee_Draft Minutes_February 2 2022 4. Memorandum from Building Official 5. 11a Presentation Given at Meeting Summary: The City Council will consider approving the demolition of two commercial structures located at 1100, 1102, and 1104 South State Street. Both structures are over 50 years old, and therefore, according to Ukiah City Code, the City Council must hold a public hearing to review and consider the historical and architectural significance of the structures. Background: On July 7, 2021, an application for a Major Use and Site Development Permit was received by the City from the property owner, Bhupinder Singh to renovate two existing structures located at 1100, 1102, and 1104 South State Street, combining them into a single structure to operate a cannabis retail/dispensary business. During the permit process, the project was amended by the property owner to propose the demolition of the two structures with the replacement of a single, new commercial building. The Major Use and Site Development Permit was approved by the Planning Commission on January 26, 2022, including the condition that City Council must approve the demolition of the existing structures, both more than 50 years old, prior to applying for a demolition permit and building permit. Property Information 1100/1102 South State Street. The ±734 sf structure was estimated to have been built in 1953, per records of the Mendocino County Assessor’s Office. According to 1984 building permit records, the structure also used the 1100 South State Street address. The structure has housed a variety of commercial uses but has been vacant for the last two years. It is not listed as an historic resource in the Ukiah 1985 Survey of Historic Resources, the 1999 Ukiah Survey of Historic Resources, or the 2020 State Inventory of Historic Resources. 1104 South State Street. According to records of the Mendocino County Assessor’s Office, the ±1,221 sf structure was built in 1948. It is currently occupied by a tax services business and a hair salon. The structure is not listed as an historic resource in the Ukiah 1985 Survey of Historic Resources, the 1999 Ukiah Survey of Historic Resources, or the 2020 State Inventory of Historic Resources. Pictures of the vicinity and the structures are included within Attachment 1. Demolition Review Committee Page 311 of 901 Page 2 of 2 Per Ukiah City Code (UCC) Section 3016(b), structures over 50 years old proposed for demolition that do not meet the exemption criteria of being either an immediate safety hazard or an accessory structure that is not listed on the local historic inventory shall be reviewed by the Demolition Review Committee for their historic or architectural significance (see Attachment 2 for UCC 3016). The Demolition Review Committee is to make a recommendation for consideration by the City Council. The Demolition Review Committee met on February 2, 2022, to consider if either of the two structures met the criteria listed in UCC Section 3016(e) and had historic or architectural significance. Specifically, the Committee reviewed if either of the buildings: 1. Had a special or particular quality such as oldest, best example, largest, or last surviving example of its kind; or 2. Exemplified or reflect special elements of the city’s cultural, social, economic, political, aesthetic, or architectural history; or 3. Are strongly identified with persons or events significant in local, state, or national history. The Committee found the structures did not meet the above criteria and unanimously recommended the City Council approve the demolition of the two structures. The draft minutes of this meeting are included as Attachment 3. The memorandum from the Building Official is included as Attachment 4. Discussion: Per UCC Section 3016(g), the City Council, "shall conduct a public hearing pursuant to subsection D of this section to consider the recommendation of the demolition review committee, and to determine if any of the criteria listed in subsection E of this section apply to the building proposed for demolition. If the City Council determines that any one of the criteria applies, it shall make a corresponding finding to that effect." Staff recommends Council conduct a public hearing and approve the application to demolish two structures over the age of 50 years located at 1100, 1102, and 1104 South State Street. Recommended Action: 1) Conduct the public hearing; and 2) Approve the application to demolish two structures located at 1100, 1102 and 1104 South State Street. BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: Demolition Review Committee Page 312 of 901 ATTACHMENT 1 Page 313 of 901 Page 314 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 1/11 CHAPTER 1 BUILDING REGULATIONS ARTICLE 3. EXCLUSIONS AND MODIFICATIONS SECTION: §3015: Exclusion §3016: Modifications To The California Building Code §3020: Small Residential Rooftop Solar Energy System Review Process §3030: California Building Code Section 105.5 §3031: California Building Code Appendix G, Section G102.3 §3032: California Building Code Appendix G, Section G102.4 §3033: California Building Code Appendix G, Section G102.5 §3034: California Building Code Appendix G, Section G102.6 §3035: California Building Code Appendix G, Section G103.10 §3036: California Residential Code Section R105.5 §3037: California Mechanical Code Section 104.4.3 §3038: California Plumbing Code Section 104.4.3 §3039: California Electrical Code Section 89.108.4.1 §3040: Uniform Code For Building Conservation §3015 EXCLUSION The provisions of this chapter shall not apply to any project under the control and jurisdiction of the city of Ukiah, the county of Mendocino, the state of California or the United States unless, and to the extent, the contract or specifications for a particular project specifies compliance with this chapter or any of the model codes adopted herein. (Ord. 838, §1, adopted 1984; Ord. 1103, §1, adopted 2007) ATTACHMENT 2 Page 315 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 2/11 §3016 MODIFICATIONS TO THE CALIFORNIA BUILDING CODE A. The section of the California building code, relating to applications for building permits is modified to require in an application to demolish a building, the date when the building was first constructed, if known. The terms "demolish" or "demolition", as used in this section, shall mean: 1) the tearing down of all or part of a building or 2) the cumulative alteration of a building pursuant to one or more building permits issued over a five (5) year period, where fifty percent (50%) or more of the structural or exterior components of the building are removed or replaced. The review required by this section shall occur with the application for the permit that: 1) results in the tearing down of all or part of the building or 2) authorizes the cumulative alteration of the building that equals or exceeds the specified percentage. B. The section of the California building code, relating to the issuance of a building permit, is modified to require that, as to buildings constructed fifty (50) years or more prior to the date of application, the director of planning or his/her designee shall determine whether: 1. The building is an accessory building such as, but not limited to, a garage, storage shed, or carport, whether attached or detached to a main building; except that certain accessory buildings, such as carriage houses, which are presumed to have historic or architectural significance shall be subject to further review as provided in subsection D of this section, unless the building is subject to demolition under subsection B2 of this section. 2. Immediate demolition of the building is necessary to protect the public health or safety and the failure to immediately demolish the building would constitute a serious threat to the public health or safety. C. If subsection B1 or B2 of this section applies to the building, no further review shall be required under this section and the permit shall be issued in accordance with the provisions of the California building code. D. If the planning director finds that neither of the exceptions in subsection B1 or B2 of this section applies to the building, a building permit to demolish a building shall be subject to further review in accordance with this section. The planning director shall transmit the proposal to the demolition review committee, or other official reviewing body established by the city council, for review, comment, and a recommendation to the city council. Once the demolition review committee formulates a recommendation concerning the disposition of the proposed permit, the planning director shall schedule and duly notice the matter for a public hearing and decision by the city council. The public noticing shall indicate the day, time, place, and purpose of the public hearing, and how additional Page 316 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 3/11 information about the subject matter can be obtained. The public noticing shall be accomplished in the following manner: 1. Publication in a newspaper of general circulation in the city at least ten (10) days prior to the hearing. 2. Mailing or delivery at least ten (10) days prior to the hearing to the owner(s) of the subject property, or his/her agent, and to the project applicant, if the applicant is not the owner. 3. First class mail notice to all owners (as shown on the latest available Mendocino County tax assessor ’s equalized assessment roll) of property within three hundred feet (300’) of the subject property. E. In reviewing proposed permits, and formulating recommendations to the city council, the demolition review committee shall consider any information provided during the meeting, and shall use the following criteria. The structure: 1. Has a special or particular quality such as oldest, best example, largest, or last surviving example of its kind; or 2. Exemplifies or reflects special elements of the city’s cultural, social, economic, political, aesthetic, or architectural history; or 3. Is strongly identified with persons or events significant in local, state, or national history. F. If the demolition review committee finds that any of the criteria listed in subsection E of this section apply to the building proposed for demolition, it shall recommend denial of the permit to the city. G. 1. The city council shall conduct a public hearing pursuant to subsection D of this section to consider the recommendation of the demolition review committee, and to determine if any of the criteria listed in subsection E of this section apply to the building proposed for demolition. If the city council determines that any one of the criteria applies, it shall make a corresponding finding to that effect. 2. At the hearing, the applicant shall have the opportunity to present evidence that a viable market does not exist for the building, taking into account the condition of the building, the probable cost to put the building into marketable condition, and the uses of the property allowed under existing or probable future zoning regulations. The city council shall consider such evidence offered by the applicant and any other information presented at the meeting by any Page 317 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 4/11 interested party or by staff, to determine whether or not a viable market exists. "Viable market" means that it is reasonably likely that the building could be sold within a commercially reasonable period of time for more than the seller would be required to invest in the purchase of the property and preparing the property for sale, or that the property could produce a reasonable return on the amount of money it would take to purchase the property and prepare the building for income producing purposes. "Reasonable return" means the average rate of return on real estate investments in the Ukiah Valley. 3. If the city council determines that a viable market exists: a. It shall so notify the building official who shall not issue the permit. The city council shall determine whether a viable market exists based on substantial evidence presented at the hearing, or, it may assume that a viable market exists, if the applicant fails to present substantial evidence that a viable market does not exist; b. Not more than once within any twelve (12) month period, the applicant may submit a new application for a permit and the city council may reconsider whether a viable market exists: (1) Upon a showing by the applicant that market conditions have changed; or (2) Based upon new information that in the exercise of reasonable diligence the applicant could not have produced at the first hearing. 4. If the city council determines, based on substantial evidence, that a viable market does not exist, the issuance of the permit shall be stayed for a period of ninety (90) days. a. During that ninety (90) day period, the city shall do the following: (1) Determine whether other alternatives to demolition exist, which are acceptable to the applicant, that would preserve the historic, architectural or cultural significance of the building; (2) Determine whether funds are available from any private source for the acquisition and preservation of the building through a negotiated purchase on terms acceptable to the applicant; or (3) If sufficient funds are available from any private source and a negotiated purchase is not possible, determine whether to acquire the building through eminent domain. Page 318 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 5/11 b. If within the ninety (90) days, the city does not reach agreement with the applicant or commence acquisition of the building, the building official may issue the permit in accordance with the provisions of the California building code. c. If within the ninety (90) day period, the city either: 1) reaches agreement with the applicant or 2) commences acquisition of the building, the building official shall not issue the permit. d. However, the building official shall continue to process the application for the permit in accordance with the California building code, if the city and the applicant terminate their agreement or the city fails to diligently pursue or abandons acquisition of the building. e. The city manager or his/her designee shall inform the building official whenever the city and the applicant terminate their agreement or the city fails to diligently pursue or abandons acquisition of the building. f. If the building official has issued a demolition permit under this subsection and the permittee applies to extend the permit an additional one hundred eighty (180) days in accordance with the applicable provisions of the California building code then in effect, the building official shall refer the application to the city manager for an initial determination as to whether market conditions have changed. The city manager shall make the determination within ten (10) days after the application is referred by the building official. If the city manager determines that market conditions may have changed and that a viable market may exist for the property, he or she shall schedule the matter for a hearing before the city council to be noticed and conducted in accordance with subsection D of this section and this subsection G. However, at the hearing the city shall have the burden of proving by a preponderance of the evidence that market conditions have changed and a viable market exists. If the city manager determines that market conditions have not changed, he or she shall so notify the building official and the applicant. Upon such notification, the building official shall further process the application to extend the term of the permit in accordance with the requirements of the California building code then in effect. If the city council conducts a hearing upon referral by the city manager, the city clerk shall provide written notification to the building official and the applicant of the city council decision. If the city council decides that a viable market exists, the building official shall not issue the permit, but the provisions of subsection G3b of this section shall apply. If the city council decides that a viable market does not exist, the building official immediately shall proceed to further process the application in accordance with the applicable provisions of the California building code then in effect. Page 319 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 6/11 5. "Diligently pursue acquisition" means taking all steps within the time required by law to acquire the building by eminent domain. 6. References to "applicant" herein shall include the building owner. H. The planning director shall provide a written notice of the city council determination to the applicant. The written notification shall be mailed or hand delivered within five (5) days from the date of the city council’s decision. The notice shall include the finding(s) and decision made by the city council and a copy of this section. I. The applicant for a permit for a building determined to have historic, architectural or cultural significance shall salvage the building materials for reuse to the maximum extent feasible, and shall ensure that upon completion of the demolition, the site is left in a safe, presentable, and clutter free condition. J. 1. Grounds For Reconsideration: The city council may reconsider a decision under this section within sixty (60) calendar days from the date the decision was made, if information that may have materially affected the decision was: a) misrepresented by the applicant, or b) not disclosed by the applicant, if the applicant knew or should have known that the information may have affected the city council decision. "Information" as used herein means matters of fact or law. A decision may not be reconsidered, if all three (3) of the following have occurred: The permit: a) has been issued, b) did not at the time it was issued violate any provision of the California building code, as adopted by the city, or any other city ordinance or state or federal law, and c) the permittee has commenced demolition in good faith reliance on the permit. 2. Procedure On Reconsideration: Reconsideration of a decision under this section may be placed on the agenda for a regular city council meeting by any member of the city council who voted in favor of the original decision. Notice of any meeting where reconsideration is on the agenda shall be provided in accordance with subsection D of this section. If already issued, the permit shall be suspended from the date that an eligible city council member requests that the matter be placed on the agenda and until the city council makes a final decision upon reconsideration. The building official shall notify the applicant in writing of the permit suspension. At the meeting, the city council shall determine, based on evidence provided to the city prior to or during the meeting, whether reconsideration is permitted under subsection J1 of this section. Any motion to reconsider the decision shall contain findings supported by substantial evidence. If upon reconsideration the city council makes a different decision, the city clerk shall provide notice of that decision to the building official and the applicant/permittee within five (5) working days after the decision is made. If, upon reconsideration, the city council determines that a Page 320 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 7/11 building has historic, architectural, or cultural significance, and the building official has issued a permit based on the previous decision, the building official shall revoke the permit. If the previously issued permit has expired, the building official shall deny an application for a new permit, unless the permit is issued in accordance with subsection G4 of this section. (Ord. 838, §1, adopted 1984; Ord. 927, §1, adopted 1992; Ord. 1014, §1, adopted 1998; Ord. 1103, §1, adopted 2007) §3020 SMALL RESIDENTIAL ROOFTOP SOLAR ENERGY SYSTEM REVIEW PROCESS A. The following words and phrases as used in this section are defined as follows: "Electronic submittal" means the utilization of one or more of the following: 1. E-mail; 2. The Internet; 3. Facsimile. "Small residential rooftop solar energy system" means all of the following: 1. A solar energy system that is no larger than ten (10) kilowatts alternating current nameplate rating or thirty (30) kilowatts thermal. 2. A solar energy system that conforms to all applicable state fire, structural, electrical, and other building codes as adopted or amended by the City and paragraph (iii) of subdivision (c) of section 714 of the Civil Code, as such section or subdivision may be amended, renumbered, or redesignated from time to time. 3. A solar energy system that is installed on a single or duplex family dwelling. 4. A solar panel or module array that does not exceed the maximum legal building height as defined by the authority having jurisdiction. "Solar energy system" has the same meaning set forth in paragraphs (1) and (2) of subdivision (a) of section 801.5 of the Civil Code, as such section or subdivision may be amended, renumbered, or redesignated from time to time. B. Section 65850.5 of the California Government Code provides that, on or before September 30, 2015, every city, county, or city and county shall adopt an ordinance that creates an expedited, streamlined permitting process for small residential rooftop solar energy systems. Page 321 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 8/11 C. Section 65850.5 of the California Government Code provides that in developing an expedited permitting process, the city, county, or city and county shall adopt a checklist of all requirements with which small rooftop solar energy systems shall comply to be eligible for expedited review. The Building Official is hereby authorized and directed to develop and adopt such checklist. D. The checklist shall be published on the City’s Internet website together with any required permit processing and inspection fees. In the case of electronic submittal, the electronic signature of the applicant on all forms, applications and other documentation may be used in lieu of a wet signature. E. Prior to submitting an application, the applicant shall: 1. Verify to the applicant’s reasonable satisfaction through the use of standard engineering evaluation techniques that the support structure for the small residential rooftop solar energy system is stable and adequate to transfer all wind, seismic, and dead and live loads associated with the system to the building foundation; and 2. At the applicant’s cost, verify to the applicant’s reasonable satisfaction using standard electrical inspection techniques that the existing electrical system including existing line, load, ground and bonding wiring as well as main panel and subpanel sizes are adequately sized, based on the existing electrical system’s current use, to carry all new photovoltaic electrical loads. F. For a small residential rooftop solar energy system eligible for expedited review, only one inspection shall be required, which shall be done in a timely manner and may include a consolidated inspection by the Building Official and Fire Chief. If a small residential rooftop solar energy system fails inspection, a subsequent inspection is authorized; however, the subsequent inspection need not conform to the requirements of this subsection. G. An application that satisfies the information requirements in the checklist, as determined by the Building Official, shall be deemed complete. Upon receipt of an incomplete application, the Building Official shall issue a written correction notice detailing all deficiencies in the application and any additional information required to be eligible for expedited permit issuance. H. Upon confirmation by the Building Official of the application and supporting documentation being complete and meeting the requirements of the checklist, the Building Official shall administratively approve the application and issue all required permits or authorizations. Such approval does not authorize an applicant to connect the small residential rooftop energy system to the local utility provider ’s electricity grid. The applicant is responsible for obtaining such approval or permission from the local utility provider. (Ord. 1162, §1, adopted 2015) Page 322 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 9/11 §3030 CALIFORNIA BUILDING CODE SECTION 105.5 Section 105.5 is amended as follows: Every permit issued by the Building Official under the provisions of this code shall expire by limitation and become null and void unless a required inspection is received and signed off within 180 days after its issuance or within 180 days of the last received and signed off inspection. If a permit expires, the permittee may apply to reinstate the permit, subject to a fee established from time to time by resolution of the City Council. (Ord. 1128, adopted 2010; Ord. 1142, §1, adopted 2013) §3031 CALIFORNIA BUILDING CODE APPENDIX G, SECTION G102.3 California Building Code Appendix G, Section G102.3, is added as follows: Legal Authority Authorizing Regulation of Land Use. The legal authority authorizing the regulation of land use includes California Government Code Sections 65302, 65560 and 65800, authorizing local governments to promote the public health, safety, and general welfare of its residents through the adoption of zoning and subdivision ordinances, the authorities cited in the California Building Standards Code and the other codes adopted in this Division 3 of the Ukiah City Code and in the subdivision and zoning regulations contain in Division 9 of this Code. (Ord. 1171, §2, adopted 2016) §3032 CALIFORNIA BUILDING CODE APPENDIX G, SECTION G102.4 California Building Code Appendix G, Section G102.4, is added as follows: Abrogation and Greater Restrictions. These regulations supersede any ordinance in effect in flood hazard areas. However, these regulations are not intended to repeal or abrogate any existing ordinances including land development regulations, subdivision regulations, zoning ordinances, storm water management regulations, or building codes. In the event of a conflict between these regulations and any other ordinance, code, or regulation, the more restrictive shall govern. (Ord. 1171, §2, adopted 2016) §3033 CALIFORNIA BUILDING CODE APPENDIX G, SECTION G102.5 California Building Code Appendix G, Section G102.5, is added as follows: Disclaimer of Liability. The degree of flood protection required by this ordinance is considered reasonable for regulatory purposes and is based on scientific and engineering considerations. Larger floods can and will occur on rare occasions. Flood heights may be increased by man-made or natural causes. This ordinance does not imply that land outside the areas of special flood hazards or uses permitted within such areas will be free from flooding or flood damages. This ordinance shall not create liability on the part of the City of Ukiah, any officer or employee thereof, the State of California, or the Federal Emergency Management Agency, for any flood damages that result from reliance on this ordinance or any administrative decision lawfully made hereunder. (Ord. 1171, §2, adopted 2016) §3034 CALIFORNIA BUILDING CODE APPENDIX G, SECTION G102.6 California Building Code Appendix G, Section G102.6, is added as follows: Page 323 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 10/11 Severability. This Chapter and the various parts thereof are hereby declared to be severable. Should any section of this Chapter be declared by the courts to be unconstitutional or invalid, such decision shall not affect the validity of the Chapter as a whole, or any portion thereof other than the section so declared to be unconstitutional or invalid. (Ord. 1171, §2, adopted 2016) §3035 CALIFORNIA BUILDING CODE APPENDIX G, SECTION G103.10 California Building Code Appendix G, Section G103.10, is added as follows: Requirement to Submit New Technical Data. The Building Official shall require applicants who submit hydrologic and hydraulic engineering analyses to support permit applications to submit to the Federal Emergency Management Agency the data and information necessary to maintain the Flood Insurance Rate Maps if the analyses propose to change the base flood elevations, flood hazard area boundaries, or floodway designations; such submissions shall be made within 6 months of such data becoming available. (Ord. 1171, §2, adopted 2016) §3036 CALIFORNIA RESIDENTIAL CODE SECTION R105.5 California Residential Code Section R105.5 is amended as follows: Every permit issued by the Building Official under the provisions of this code shall expire by limitation and become null and void unless a required inspection is received and signed off within 180 days after its issuance or within 180 days of the last received and signed off inspection. If a permit expires, the permittee may apply to reinstate the permit, subject to a fee established from time to time by resolution of the City Council. (Ord. 1128, adopted 2010; Ord. 1142, §1, adopted 2013; Ord. 1171, §2, adopted 2016. Formerly 3031.) §3037 CALIFORNIA MECHANICAL CODE SECTION 104.4.3 California Mechanical Code Section 104.4.3 is amended as follows: Every permit issued by the Building Official under the provisions of this code shall expire by limitation and become null and void unless a required inspection is received and signed off within 180 days after its issuance or within 180 days of the last received and signed off inspection. If a permit expires, the permittee may apply to reinstate the permit, subject to a fee established from time to time by resolution of the City Council. (Ord. 1128, adopted 2010; Ord. 1142, §1, adopted 2013; Ord. 1171, §2, adopted 2016. Formerly 3032.) §3038 CALIFORNIA PLUMBING CODE SECTION 104.4.3 California Plumbing Code Section 104.4.3 is amended as follows: Every permit issued by the Building Official under the provisions of this code shall expire by limitation and become null and void unless a required inspection is received and signed off within 180 days after its issuance or within 180 days of the last received and signed off inspection. If a permit expires, the permittee may apply to reinstate the permit, subject to a fee established from time to time by resolution of the City Council. (Ord. 1128, adopted 2010; Ord. 1142, §1, adopted 2013; Ord. 1171, §2, adopted 2016. Formerly 3033.) §3039 CALIFORNIA ELECTRICAL CODE SECTION 89.108.4.1 California Electrical Code Section 89.108.4.1 is amended as follows: Page 324 of 901 10/26/21, 10:28 AM Div. 3, Ch. 1, Art. 3 EXCLUSIONS AND MODIFICATIONS https://www.codepublishing.com/CA/Ukiah/#!/html/Ukiah03/Ukiah0301-0300.html 11/11 Every permit issued by the Building Official under the provisions of this code shall expire by limitation and become null and void unless a required inspection is received and signed off within 180 days after its issuance or within 180 days of the last received and signed off inspection. If a permit expires, the permittee may apply to reinstate the permit, subject to a fee established from time to time by resolution of the City Council. (Ord. 1171, §2, adopted 2016) §3040 UNIFORM CODE FOR BUILDING CONSERVATION (Ord. 913, §4, adopted 1990; Rep. by Ord. 1103, §1, adopted 2007) The Ukiah City Code is current through Ordinance 1216, passed September 1, 2021. Disclaimer: The City Clerk’s office has the official version of the Ukiah City Code. Users should contact the City Clerk’s office for ordinances passed subsequent to the ordinance cited above. City Website: http://www.cityofukiah.com/ City Telephone: (707) 463-6217 Code Publishing Company Page 325 of 901 Page 1 of 2 CITY OF UKIAH DEMOLITION PERMIT REVIEW COMMITTEE MEETING MINUTES FEBRUARY 2, 2022 1.CALL TO ORDER Chair Craig Schlatter called the Demolition Permit Review Committee meeting to order at 3:00 p.m. via Zoom teleconference. Chair Schlatter presiding. 2.ROLL CALL Members Present: Matt Keizer, Building Official, Community Development Department – Building Division, Alyssa Ballard, Archivist & Historian, Historical Society of Mendocino County, Tim Eriksen, City Engineer, and Chair Craig Schlatter, Director, Community Development Department Members Absent: None Staff Present: Mireya Turner, Planning Manager Others present: Joti Chandi 3.APPROVAL OF MINUTES – December 28, 2021 Motion/Second Eriksen/Ballard to approve the minutes of December 28, 2021, as submitted. Motion carried by the following roll call vote: AYES: Members Eriksen, Keizer, Ballard, and Schlatter. NOES: None. ABSTAIN: None. ABSENT: None 4.COMMENTS FROM AUDIENCE ON NON-AGENDA ITEMS None. 5.APPEAL PROCESS There is no formal process of decisions made by the Committee, as all decisions are advisory to the City Council. 6.NEW BUSINESS a.Request for Review and Recommendation to the City Council Regarding an Application for Demolition of Two Structures Over the Age of 50 Years Old Located at 1100, 1102 & 1104 South State Street (APNs 003-130-09 & 003-530-11). Planning Manager Mireya Turner presented the Project. PUBLIC INPUT OPENED: 2:12 p.m. Speakers: Joti Chandi PUBLIC INPUT CLOSED: 2:14 p.m. ATTACHMENT 3 Page 326 of 901 Page 2 of 2 Motion/Second: Eriksen/Keizer to recommend City Council approval of the demolition permit to demolish the building located at 1100, 1102 & 1104 South State Street, based on the criteria listed in UCC Section 3016. Motion carried by the following roll call vote: AYES: Members Eriksen, Keizer, Ballard, and Schlatter. NOES: None ABSENT: None ABSTAIN: None 7. UNFINISHED BUSINESS None 8. ADJOURNMENT There being no further business, the meeting adjourned at 2:17 p.m. Page 327 of 901 BUILDING DIVISION Email: buildingdivision@cityofukiah.com Web: cityofukiah.com Phone: 707-467-5786 Fax: 707-463-6204 Interoffice MEMORANDUM To: Mireya Turner, Planning Manager From: Matt Keizer, Building Official Date: January 21, 2022 RE: Demolition Permit for Structure more than 50 Years Old Address: 1102 & 1104 S. State Street APN: 003-130-09 & 003-530-11 On January 21, 2022, I reviewed the Demolition Permit application materials and performed a site visit of 1102 & 1104 S State st. The building is not included in the City of Ukiah’s Historic Resources Survey (last updated in 1999), nor is it listed in the State of California’s inventory of historic resources or National Register of Historic Places. The building is of Type V-B construction (wood) and I have not found anything that would be Historical in any way. I therefore recommend the approval of demolition. The Building Division has reviewed the above-referenced demolition permit and made the following determination: Recommend the approval of demolition The applicant is required to obtain air-quality clearance from the Air Quality Management District prior to obtaining a demolition permit from the Building Division. Matt Keizer, Building Official ATTACHMENT 4 Page 328 of 901 Demolition Permit for Two Structures Over the Age of 50 Years Old 1100, 1102 & 1104 South State Street City Council February 16, 2022 Craig Schlatter, Director Mireya Turner, Planning Manager City of Ukiah Department of Community Development Page 329 of 901 PROJECT SITE 2 1100 1102 1104 Page 330 of 901 PLANNING COMMISSION May 31, 2017 | 3 EXISTING BUILDINGS Page 331 of 901 1102 & 1104 SOUTH STATE STREET •Existing building was constructed in 1948. •Not included in the City of Ukiah’s 1985 & 1999 Historic Resources Surveys •Not listed on state or national register for historic places. Page 332 of 901 1100 SOUTH STATE STREET •Existing building was constructed in 1953 •Windows and doors boarded for over one year •Not included in the City of Ukiah’s 1985 & 1999 Historic Resources Surveys •Not listed on state or national register for historic places. Page 333 of 901 DEMOLITION REVIEW COMMITTEE RECOMMENDATION Per UCC Section 3016(b), structures over 50 years old proposed for demolition shall be reviewed by the Demolition Review Committee for recommendation to the City Council, based on the following criteria: 1.Has a special or particular quality such as oldest, best example, largest, or last surviving example of its kind; or 2.Exemplifies or reflects special elements of the city’s cultural, social, economic, political, aesthetic, or architectural history; or 3.Is strongly identified with persons or events significant in local, state, or national history. Page 334 of 901 1)Conduct a public hearing; and 2)Approve the Application to demolish to structures over the age of 50 years, located at 1100, 1102 & 1104 South State Street. STAFF REQUEST SAMPLE MOTION I make a motion to approve the application to demolish two structures over the age of 50 years at 1100, 1102 & 1104 South State Street. Page 335 of 901 Page 1 of 3 Agenda Item No: 11.b. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1338 AGENDA SUMMARY REPORT SUBJECT: Conduct a Public Hearing and Consider Adopting Respective Resolutions Authorizing Electric Revenue Bonds, Series 2022 to Make Capital Improvements to the City's Electric System. DEPARTMENT: Finance PREPARED BY: Dan Buffalo, Finance Director PRESENTER: Dan Buffalo, Finance Director ATTACHMENTS: 1. City Reso - Ukiah Electric 2. Authority Reso - Ukiah Electric 3. Installment Sale Agmt 4. Indenture 5. POS 6. Purchase Contract Summary: The City Council will consider adopting respective resolutions authorizing revenue bonds, Series 2022 to make capital improvements to the City's electric system. The terms and the amounts presented in this report are subject to change. This item has been placed on the agenda to allow Council the ability to consider authorization should it be deemed warranted. Background: The City has developed a capital financing strategy to take advantage of current municipal financial market rates to engage in and complete certain capital projects at a lower cost than other ordinary alternatives. It intends to issue debt to finance these projects, funded by revenues generated by the City's electric utility. Proceeds from the Revenue Bonds, Series 2022 (the “Bonds”) will be used to make capital improvements to the City’s electric system. City staff worked with its municipal advisor (NHA Advisors, LLC) to develop a financing plan and engage bond counsel (Jones Hall), an underwriter (Piper Sandler), and other parties to complete the financing. The Ukiah Public Financing Authority (the “Authority”) will be used as the conduit entity to assist in the financing as the counterparty to the various legal agreements and as issuer of the Bonds in an aggregate amount of not-to-exceed Eleven Million Dollars ($11,000,000). This not-to-exceed amount includes issuance costs and any potential discounts and premiums from the sale. It is anticipated that the Bonds will be repaid over a 20-year term. Discussion: The Financing Documents are being presented to the City Council as “form-only documents.” The final form of the documents will be produced at this time because the exact amounts, dates, and certain other information will not be known until the actual sale date. The resolutions (Attachments #1 and #2) authorize and direct certain City and Authority officers and staff respectively to finalize the Financing Documents as and when appropriate, and to do all things necessary to provide for the issuance of the Bonds. If the final terms for any reason should fall outside of expected parameters, Staff will return for further direction before finalizing the transaction. Attachment 1 is for City adoption, while Attachment 2 is for Authority consideration and presented here for reference. Page 336 of 901 Page 2 of 3 The Financing Documents, and a brief description of each, are as follows: Attachment #3. Installment Sale Agreement: This is the agreement between the City and Authority that provides the mechanism by which the bonds are repaid. The Authority issues bonds payable from installment payments of the City, which are secured by the pledge of net revenues from the Electric Enterprise. Attachment #4. Indenture of Trust: This agreement provides for execution and delivery of the Bonds in exchange for proceeds in the par amount of the Bonds, and further lays out the covenants and specifics of the Bonds, as well as the Trustee’s duties, repayment mechanisms, default and remedies provisions, and Bondholder’s associated rights and remedies. Attachment #5. Preliminary Official Statement: The offering document that discloses to prospective investors certain information that would aid in and investors decision to purchase the Bonds. The current version of the Official Statement (OS) as attached to this staff report is the Preliminary Official Statement. The OS outlines the terms of the sale of the Bonds, security for the Bonds, interest rate, obligations of the City and Authority, information about the City, and potential risks of purchasing the Bonds. Attachment #6. Contract of Purchase: In this agreement, the underwriter (RBC Capital Markets) agrees to purchase all the Bonds provided that the terms and conditions set forth therein are satisfied. RBC Capital Markets will then sell the Bonds to investors. TIMING: Assuming approval of the resolutions by the City and the Authority, City Staff and its financing team will deliver a credit rating presentation to S&P Global Ratings (S&P) in mid-February. S&P will provide a public credit rating for the Bonds. Upon receipt of the credit rating, Staff anticipates that the Bonds will be sold to investors in early-to-mid-March, at which time, a final interest rate will be locked. Delivery of funds is expected in late March. FINANCIAL IMPACT: The annual debt service on the Bonds is estimated to be approximately $680,000 (principal and interest) for the entire term of the Bonds (FY 2051-52). GOOD FAITH ESTIMATES: The following information consists of estimates that have been provided by the Municipal Advisor (NHA Advisors, LLC) and has been represented by such party to have been provided in good faith: 1. True Interest Cost of the Bonds: 3.30% 2. Finance Charge of the Bonds (sum of all fees/charges paid to third parties): $226,910 3. Net Proceeds of the Bonds to be Received (net of finance charges, reserves and capitalized interest, if any): $10,000,000. Par value of the bonds sold will be higher to account for issuance costs and any premiums or discounts at the time of sale. 4. Total Payment Amount through Maturity of the Bonds: $16,206,658 The foregoing constitute good faith estimates only. The principal amount of the Bonds, the true interest cost of the Bonds, the finance charges thereof, the amount of proceeds received therefrom and total payment amount with respect thereto may differ from such good faith estimates due to: (a) the actual date of the sale of the Bonds being different than the date assumed for purposes of such estimates; (b) the actual principal amount of Bonds sold being different from the estimated amount used for purposes of such estimates; (c) the actual Page 337 of 901 Page 3 of 3 amortization of the Bonds being different than the amortization assumed for purposes of such estimates; (d) the actual market interest rates at the time of sale of the Bonds being different than those estimated for purposes of such estimates; (e) other market conditions; or (f) alterations in the City’s financing plan, or a combination of such factors. The actual date of sale of the Bonds and the actual principal amount of Bonds sold will be determined by the City based on a variety of factors. The actual interest rates borne by the Bonds may be subject to change from what is presented above and that may have an impact on the amortization of the Bonds. Recommended Action: Adopt a resolution authorizing the issuance of electric revenue bonds and authorizing the City Manager to execute all related documents for the improvement to various capital assets of City's electric system. BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: NHA Advisors Page 338 of 901 Attachment 1 RESOLUTION 2022-____ A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UKIAH AUTHORIZING AN ELECTRIC SYSTEM FINANCING AND APPROVING THE ISSUANCE AND SALE OF ELECTRIC REVENUE BONDS BY THE UKIAH PUBLIC FINANCING AUTHORITY TO FINANCE PUBLIC CAPITAL IMPROVEMENTS, AND APPROVING RELATED DOCUMENTS AND OFFICIAL ACTIONS RELATED THERETO WHEREAS, the City of Ukiah (the “City”) desires to finance capital improvements to its electric system (collectively, the “Project”); and WHEREAS, the Ukiah Public Financing Authority (the “Authority”) was formed to, among other things, assist the City with financing public capital improvements, including the Project; and WHEREAS, the City and the Authority desire to enter into an Installment Sale Agreement (the “Installment Sale Agreement”), pursuant to which the City will pay for the Project over time, via payment to the Authority of semi-annual installment payments; and WHEREAS, to raise upfront funds for the Project, the Authority proposes to issue and sell its Electric Revenue Bonds, Series 2022 (the “Bonds”) under Article 4 of Chapter 5, Division 7, Title 1 of the Government Code of the State of California, commencing with Section 6584 of said Code (the “Bond Law”); and WHEREAS, in order to secure the payments of principal of and interest on the Bonds, the Authority proposes to pledge the payment of the installment payments by the City under the Installment Sale Agreement to owners of the Bonds pursuant to an Indenture of Trust, between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Indenture”); and WHEREAS, to provide for development of the most favorable debt structure for the City and to ensure the most favorable reception in the marketplace for the Bonds, the City has requested the Authority to sell the Bonds through a negotiated sale pursuant to the terms of a Bond Purchase Agreement (the “Bond Purchase Agreement”) between the Authority, the City and RBC Capital Markets, LLC, as underwriter (the “Underwriter”); and WHEREAS, for purposes of the sale of the Bonds, the City has caused to be prepared an Official Statement describing the Bonds, the preliminary form of which is on file with the City Clerk and the Council, with the aid of their staff, have undertaken such review of the Official Statement as hereinafter described as is necessary to assure proper disclosure of all material facts relating to the Bonds that are within the personal knowledge of Council members and the staff; and WHEREAS, as required by Section 6586.5 of the California Government Code, the City caused publication of a notice of a public hearing on the financing of the public capital improvements included within the Project once at least five (5) days prior to the hearing in a newspaper of general circulation in the City; and WHEREAS, on February 16, 2022, the Council held a public hearing at which all interested persons were provided the opportunity to speak on the subject of financing such public capital improvements; and Page 339 of 901 -2- WHEREAS, the information required to be obtained and disclosed by the City Council related to the Bonds pursuant to Government Code Section 5852.1 is set forth in the staff report accompanying this Resolution; and WHEREAS, the Council wishes at this time to approve all proceedings of the City relating to the foregoing; NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Ukiah, as follows: Section 1. The Council hereby approves the issuance of the Bonds by the Authority under the Bond Law in a maximum principal amount not to exceed $11,000,000, for the purpose of financing the Project. The Council hereby finds that issuance of the Bonds by the Authority for the purpose of financing the Project will result in significant public benefits of the type described in Section 6586 of the California Government Code, including, but not limited to, a more efficient delivery of City services to residential and commercial developments within the City and demonstrable savings in effective interest rate, bond preparation, bond underwriting and/or bond issuance costs. Section 2. The Council hereby approves each of the following agreements required for the issuance and sale of the Bonds, in substantially the respective forms on file with the City Clerk together with any changes therein or additions thereto deemed advisable by the Mayor, Vice Mayor, City Manager, Finance Director, or a designee appointed by such person (each, an “Authorized Officer”), whose execution thereof shall be conclusive evidence of the approval of any such changes or additions. An Authorized Officer is hereby authorized and directed for and on behalf of the City to execute, and the City Clerk is hereby authorized and directed to attest, the final form of each such agreement, as follows: Installment Sale Agreement, between the City as purchaser and the Authority as seller, under which the City purchases the Project over time in consideration of the payment of semi-annual installment payments; and Continuing Disclosure Certificate, to be executed by the City for the purpose of providing annual financial information and notice of certain enumerated events to holders and beneficial owners of the Bonds. Section 3. The Council hereby approves the negotiated sale of the Bonds by the Authority to the Underwriter. The Bonds shall be sold pursuant to the terms and provisions of the Bond Purchase Agreement among the Authority, the City and the Underwriter in substantially the form on file with the City Clerk together with any changes therein or additions thereto deemed advisable by an Authorized Officer. The true interest cost of the Bonds shall not exceed 3.75% and the Underwriter’s discount shall not exceed 0.70%. Section 4. The Council hereby approves the preliminary Official Statement describing the Bonds in substantially the form on file with the City Clerk. An Authorized Officer is hereby authorized and directed to approve any changes in or additions to said preliminary Official Statement, and to execute an appropriate certificate stating the City’s determination that the preliminary Official Statement (together with any changes therein or additions thereto) has been deemed nearly final within the meaning of Rule 15c2-12 of the Securities Page 340 of 901 -3- Exchange Act of 1934. Distribution of the preliminary Official Statement is hereby approved. An Authorized Officer is hereby authorized and directed to approve any changes in or additions to a final form of said Official Statement, and the execution thereof by an Authorized Officer shall be conclusive evidence of approval of any such changes and additions. The Council hereby authorizes the distribution of the final Official Statement by the underwriter of the Bonds. The final Official Statement shall be executed on behalf of the City by an Authorized Officer. Section 5. The firm of NHA Advisors LLC is hereby retained as municipal advisor to the City in connection with the issuance and sale of the Bonds by the Authority. An Authorized Officer is authorized to execute an agreement with said firm in a form as approved by an Authorized Officer, as necessary. Section 6. The firm of Jones Hall, A Professional Law Corporation, is hereby retained as bond counsel and disclosure counsel to the City in connection with the issuance and sale of the Bonds by the Authority. An Authorized Officer is authorized to execute an agreement with said firm in a form as approved by an Authorized Officer, as necessary. Section 7. The Authorized Officers, the City Attorney, the City Clerk and all other officers of the City are each authorized and directed on behalf of the City to make any and all leases, assignments, certificates, requisitions, agreements, notices, consents, instruments of conveyance or termination, warrants and other documents, which they or any of them deem necessary or appropriate in order to consummate any of the transactions contemplated by the agreements and documents approved under this Resolution. Whenever in this Resolution any officer of the City is authorized to execute or countersign any document or take any action, such execution, countersigning or action may be taken on behalf of such officer by any person designated by such officer to act on his or her behalf in the case such officer is absent or unavailable. Section 8. This Resolution shall take effect immediately upon its passage and adoption. * * * * * * * * * PASSED AND ADOPTED by the City Council of the City of Ukiah on February 22, 2022 by the following vote: AYES: NOES: ABSENT: ABSTAIN: __________________________ Jim O. Brown, Mayor ATTEST: __________________________ Kristine Lawler, City Clerk Page 341 of 901 Attachment 2 RESOLUTION NO. PFA 2022-____ A RESOLUTION OF THE BOARD OF DIRECTORS OF THE UKIAH PUBLIC FINANCING AUTHORITY AUTHORIZING THE ISSUANCE AND SALE OF LEASE REVENUE BONDS TO FINANCE PUBLIC CAPITAL IMPROVEMENTS, AND APPROVING RELATED DOCUMENTS AND OFFICIAL ACTIONS RELATED THERETO WHEREAS, the City of Ukiah (the “City”) desires to finance capital improvements to its electric system (collectively, the “Project”); and WHEREAS, the Ukiah Public Financing Authority (the “Authority”) was formed to, among other things, assist the City with financing public capital improvements, including capital projects of the City; and WHEREAS, the City and the Authority desire to enter into an Installment Sale Agreement (the “Installment Sale Agreement”), pursuant to which the City will pay for the Project over time, via payment to the Authority of semi-annual installment payments; and WHEREAS, to raise upfront funds for the Project, the Authority proposes to issue and sell its Electric Revenue Bonds, Series 2022 (the “Bonds”) under Article 4 of Chapter 5, Division 7, Title 1 of the Government Code of the State of California, commencing with Section 6584 of said Code (the “Bond Law”); and WHEREAS, in order to secure the payments of principal of and interest on the Bonds, the Authority proposes to pledge the payment of the installment payments by the City under the Installment Sale Agreement to owners of the Bonds pursuant to an Indenture of Trust, between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Indenture”); and WHEREAS, to provide for development of the most favorable debt structure for the City and to ensure the most favorable reception in the marketplace for the Bonds, the City has requested the Authority to sell the Bonds through a negotiated sale pursuant to the terms of a Bond Purchase Agreement (the “Bond Purchase Agreement”) between the Authority, the City and RBC Capital Markets, LLC, as underwriter (the “Underwriter”); and WHEREAS, for purposes of the sale of the Bonds, the City has caused to be prepared an Official Statement describing the Bonds, the preliminary form of which is on file with the Secretary and the Board of Directors, with the aid of their staff, have undertaken such review of the Official Statement as hereinafter described as is necessary to assure proper disclosure of all material facts relating to the Bonds that are within the personal knowledge of members of the Board of Directors and the staff; and WHEREAS, as required by Section 6586.5 of the California Government Code, the City caused publication of a notice of a public hearing on the financing of the public capital improvements included within the Project once at least five (5) days prior to the hearing in a newspaper of general circulation in the City; and Page 342 of 901 - 2 - WHEREAS, on February 16, 2022, the City Council of the City held a public hearing at which all interested persons were provided the opportunity to speak on the subject of financing such public capital improvements; and WHEREAS, the information required to be obtained and disclosed by the Board of Directors related to the Bonds pursuant to Government Code Section 5852.1 is set forth in the staff report accompanying this Resolution; and WHEREAS, the Board wishes at this time to approve all proceedings of the Authority relating to the foregoing. NOW, THEREFORE, IT IS HEREBY DETERMINED AND RESOLVED BY THE BOARD OF DIRECTORS OF THE UKIAH PUBLIC FINANCING AUTHORITY AS FOLLOWS: Section 1. The Board of Directors hereby authorizes the issuance of the Bonds under the Bond Law in a maximum principal amount not to exceed $11,000,000, for the purpose of financing the Project. The Bonds shall be issued under the Bond Law and the Indenture of Trust that is approved below. Section 2. The Board hereby approves each of the following agreements required for the issuance and sale of the Bonds, in substantially the respective forms on file with the Secretary together with any changes therein or additions thereto deemed advisable by the Chair, Vice Chair, Executive Director, Treasurer, or a designee appointed by such person (each, an “Authorized Officer”), whose execution thereof shall be conclusive evidence of the approval of any such changes or additions. Such changes or additions may include, but is not limited to, providing that payment of the Bonds be insured by a financial guaranty policy from a bond insurance company and/or secured by a reserve surety policy, if in the judgment of an Authorized Officer such insurance and/or reserve surety policy is in the best interest of the Authority. An Authorized Officer is hereby authorized and directed for and on behalf of the Authority to execute, and the Secretary is hereby authorized and directed to attest, the final form of each such agreement, as follows: Installment Sale Agreement, between the City as purchaser and the Authority as seller, under which the City purchases the Project over time in consideration of the payment of semi-annual installment payments; and Indenture of Trust, between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee, setting forth the terms and provisions relating to the Bonds; Section 3. The Board of Directors hereby authorizes and directs the negotiated sale of the Bonds to the Underwriter. The Bonds shall be sold pursuant to the terms and provisions of the Bond Purchase Agreement among the Authority, the City and the Underwriter in substantially the form on file with the Secretary together with any changes therein or additions thereto deemed advisable by an Authorized Officer. The true interest cost of the Bonds shall not exceed 3.75% and the Underwriter’s discount shall not exceed 0.70%. Section 4. The Board of Directors hereby approves the preliminary Official Statement describing the Bonds in substantially the form on file with the Secretary. An Authorized Officer is hereby authorized and directed to approve any changes in or additions to said Page 343 of 901 - 3 - preliminary Official Statement and to execute an appropriate certificate stating the Authority’s determination that the preliminary Official Statement (together with any changes therein or additions thereto) has been deemed nearly final within the meaning of Rule 15c2-12 of the Securities Exchange Act of 1934. Distribution of the preliminary Official Statement is hereby approved. An Authorized Officer is hereby authorized and directed to approve any changes in or additions to a final form of said Official Statement, and the execution thereof by an Authorized Officer shall be conclusive evidence of approval of any such changes and additions. The Board of Directors hereby authorizes the distribution of the final Official Statement by the underwriter of the Bonds. The final Official Statement shall be executed on behalf of the Authority by the Chair or an Authorized Officer. Section 5. The Authorized Officers, the General Counsel to the Authority, the Secretary and all other officers of the Authority are each authorized and directed on behalf of the Authority to make any and all leases, assignments, certificates, requisitions, agreements, notices, consents, instruments of conveyance or termination, warrants and other documents, which they or any of them deem necessary or appropriate in order to consummate any of the transactions contemplated by the agreements and documents approved under this Resolution. Whenever in this resolution any officer of the Authority is authorized to execute or countersign any document or take any action, such execution, countersigning or action may be taken on behalf of such officer by any person designated by such officer to act on his or her behalf if such officer is absent or unavailable. Section 7. This Resolution shall take effect immediately upon its passage and adoption. * * * * * * * * * THE FOREGOING RESOLUTION WAS PASSED AND ADOPTED by the Board of Directors of the Ukiah Public Financing Authority at a regular meeting held on this February 16, 2022 by the following roll call vote: AYES: NOES: ABSENT: ABSTAIN: __________________________ Jim O. Brown, Chair of the Ukiah Public Financing Authority ATTEST: __________________________ Kristine Lawler, Secretary of the Ukiah Public Financing Authority Page 344 of 901 Jones Hall Draft of Feb. 8, 2022 INSTALLMENT SALE AGREEMENT Dated as of March 1, 2022 between the UKIAH PUBLIC FINANCING AUTHORITY, as Seller and the CITY OF UKIAH, as Purchaser Relating to: Ukiah Public Financing Authority Electric Revenue Bonds Attachment 3 Page 345 of 901 -i- TABLE OF CONTENTS ARTICLE I DEFINITIONS Section 1.1. Definitions .............................................................................................................. 2 Section 1.2. Interpretation ......................................................................................................... 5 ARTICLE II REPRESENTATIONS, COVENANTS AND WARRANTIES Section 2.1. Representations, Covenants and Warranties of the City ........................................ 6 Section 2.2. Representations, Covenants and Warranties of Authority ...................................... 7 ARTICLE III ISSUANCE OF BONDS; CONSTRUCTION OF PROJECT Section 3.1. Issuance of Bonds ................................................................................................. 8 Section 3.2. Deposit of Bond Proceeds ..................................................................................... 8 Section 3.3. Appointment of City as Agent ................................................................................ 8 Section 3.4. Construction of the Projects ................................................................................... 8 Section 3.5. Plans and Specifications; Modification of Project Description ................................ 9 Section 3.6. Certificate of Project Completion ............................................................................ 9 ARTICLE IV INSTALLMENT SALE OF PROJECTS; Section 4.1. Installment Sale of Projects ................................................................................... 9 Section 4.2. Term ...................................................................................................................... 9 Section 4.3. Transfer of Title ..................................................................................................... 9 Section 4.4. Installment Payments .......................................................................................... 10 Section 4.5. Pledge and Application of Net Revenues ............................................................. 10 Section 4.6. Special Obligation of the City; Obligations Absolute............................................. 12 Section 4.7. Additional Payments ............................................................................................ 13 ARTICLE V FINANCIAL COVENANTS Section 5.1. Disclaimer of Warranties ...................................................................................... 13 Section 5.2. Sale or Eminent Domain of Electric System ......................................................... 13 Section 5.3. Insurance ............................................................................................................. 14 Section 5.4. Records and Accounts ......................................................................................... 14 Section 5.5. Rates and Charges .............................................................................................. 15 Section 5.6. Establishment of Rate Stabilization Fund ............................................................. 15 Section 5.7. Issuance of Parity Debt ........................................................................................ 15 Section 5.8. Senior Lien Debt .................................................................................................. 16 Section 5.9. Compliance with Parity Debt Documents ............................................................. 16 Section 5.10. Operation of Electric System in Efficient and Economical Manner ..................... 16 Section 5.11. Tax Covenants Relating to Bonds ...................................................................... 16 Section 5.12. Assignment and Amendment Hereof ................................................................. 17 Section 5.13. Continuing Disclosure ........................................................................................ 17 Section 5.14. Covenants and Agreements Related to the Insurance Policies .......................... 17 Section 5.15. Payment of 6% In-Lieu Franchise Tax 17 ARTICLE VI EVENTS OF DEFAULT Section 6.1. Events of Default Defined .................................................................................... 18 Section 6.2. Remedies on Default ........................................................................................... 18 Section 6.3. No Remedy Exclusive .......................................................................................... 19 Section 6.4. Agreement to Pay Attorneys’ Fees and Expenses ............................................... 19 Section 6.5. No Additional Waiver Implied by One Waiver....................................................... 19 Attachment 3 Page 346 of 901 -ii- Section 6.6. Trustee and Bond Owners to Exercise Rights ...................................................... 19 ARTICLE VII PREPAYMENT OF 2022 INSTALLMENT PAYMENTS Section 7.1. Security Deposit .................................................................................................. 20 Section 7.2. Optional Prepayment ........................................................................................... 20 Section 7.3. Special Mandatory Prepayment ........................................................................... 20 Section 7.4. Credit for Amounts on Deposit ............................................................................. 20 ARTICLE VIII MISCELLANEOUS Section 8.1. Further Assurances ............................................................................................. 21 Section 8.2. Notices ................................................................................................................ 21 Section 8.3. Governing Law .................................................................................................... 21 Section 8.4. Binding Effect ...................................................................................................... 21 Section 8.5. Severability of Invalid Provisions.......................................................................... 21 Section 8.6. Article and Section Headings and References ..................................................... 22 Section 8.7. Payment on Non-Business Days ......................................................................... 22 Section 8.8. Execution of Counterparts ................................................................................... 22 Section 8.9. Waiver of Personal Liability .................................................................................. 22 Section 8.10. Trustee as Third Party Beneficiary ..................................................................... 22 APPENDIX A Schedule of Installment Payments APPENDIX B Description of the Projects [APPENDIX C Provisions related to the Insurance Policies] Attachment 3 Page 347 of 901 INSTALLMENT SALE AGREEMENT This INSTALLMENT SALE AGREEMENT (this “Agreement”), dated as of March 1, 2022, is between the UKIAH PUBLIC FINANCING AUTHORITY, a joint powers agency duly organized and existing under laws of the State of California (the “Authority”), as seller, and the CITY OF UKIAH, a municipal corporation duly organized and existing under the laws of the State of California (the “City”), as purchaser. BACKGROUND: 1. The City owns and operates a system for the generation, transmission and distribution of electricity within the service area of the City (as more specifically defined herein, the “Electric System”), and the City wishes to provide funds for financing the acquisition, construction and installation of certain improvements to the Electric System (as more specifically defined herein, collectively, the “Projects”). 2. In order to provide financing for Projects, the City has requested the Authority to issue its Electric Revenue Bonds, Series 2022 in the aggregate principal amount of $_________ (the “2022 Bonds”) under an Indenture of Trust dated as of March 1, 2022 (as may be supplemented from time to time, the “Indenture”), between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”), and under the provisions of Article 4 of Chapter 5, Division 7, Title 1 of the Government Code of the State of California, commencing with Section 6584 of said Code (the “Bond Law”). 3. The Authority was formed for the purpose of assisting the City in the financing and refinancing of facilities and property which are useful to the City, and in order to provide funds to finance the Projects, the Authority has proposed to enter into this Agreement with the City under which the Authority agrees to issue the 2022 Bonds and thereby provide funds to finance the Projects, and the Authority further agrees to sell the completed Projects to the City in consideration of the agreement by the City to pay semiannual installment payments (the “Installment Payments”) as the purchase price thereof. 4. The Installment Payments are payable from, and are secured by a pledge of and lien on, the Net Revenues of the Electric System, which are allowed to be on a parity with any Parity Debt (defined herein) that may be issued in the future. 5. For the purpose of obtaining the moneys required to finance the Projects in accordance with the terms hereof, the Authority has assigned and transferred certain of its rights under this Agreement to the Trustee under the Indenture. AGREEMENT: In consideration of the foregoing and the material covenants hereinafter contained, the City and the Authority formally agree as follows: Attachment 3 Page 348 of 901 -2- ARTICLE I DEFINITIONS Section 1.1. Definitions. Unless the context clearly otherwise requires or unless otherwise defined herein, the capitalized terms in this Agreement have the respective meanings given such terms in this Section. Capitalized terms used in this Agreement and not otherwise defined in this Section have the respective meanings given them in Appendix A to the Indenture. “Additional Payments” means the amounts payable by the City under Section 4.7. “Additional Revenues” means either or both of the following: (i) An allowance for revenues from any additions to or improvements or extensions of the Electric System to be constructed with the proceeds of such additional obligations, and also for Net Revenues from any such additions, improvements or extensions which have been constructed from any source of funds but which, during all or any part of such Fiscal Year, were not in service, all in an amount equal to 70% of the estimated additional average annual Net Revenues to be derived from such additions, improvements and extensions for the first 36- month period following issuance of the proposed Parity Debt, all as shown by the certificate or opinion of a Financial Consultant employed by the City, may be added to such Net Revenues. (ii) An allowance for earnings arising from any increase in the charges made for service from the Electric System which has become effective prior to the incurring of such additional obligations but which, during all or any part of such Fiscal Year, was not in effect, in an amount equal to 100% of the amount by which the Net Revenues would have been increased if such increase in charges had been in effect during the whole of such Fiscal Year and any period prior to the incurring of such additional obligations, as shown by the certificate or opinion of a Financial Consultant employed by the City. “Balloon Indebtedness” means, with respect to any Parity Debt for which 25% or more of the principal or other face amount matures or becomes due on the same date or within a 12- month period (with mandatory sinking fund payments deemed to be payments of matured principal), that portion of such Parity Debt which matures or becomes due on such date or within such 12-month period. “Bonds” means (a) the 2022 Bonds and (b) any other bonds, notes or obligations issued under the Indenture and payable in whole or in part from Net Revenues hereunder. “Continuing Disclosure Certificate” means the Continuing Disclosure Certificate which is executed and delivered by the City on the Closing Date. “Debt Service” means, for any period in question, the sum of (a) the Installment Payments due and payable hereunder in such period[, plus any reimbursements payable to an Insurer on a parity with the payment of the Installment Payments]; and (b) the principal and interest[, and reimbursements payable to an Insurer on a parity with the payment thereof] on all Parity Debt due and payable in such period (assuming any proposed Parity Debt to be issued hereunder has in fact been issued); provided, however, that (i) with respect to any Installment Payments or Parity Debt that bear interest at a variable rate, such interest shall be assumed to bear interest at the highest of: (1) the actual rate on the date of calculation, or if such obligation Attachment 3 Page 349 of 901 -3- is not yet outstanding, the initial rate (if established and binding), (2) if such obligation has been outstanding for at least 12 months, the average rate of the 12 months immediately preceding the date of calculation, or (3)(A) if interest on such obligation is excludable from gross income under the Tax Code, the Bloomberg BVAL AAA Municipal Callable Curve yields for comparable maturities (or comparable index if no longer published) plus 100 basis points, or (B) if interest is not so excludable, the interest rate on direct United States Treasury obligations with comparable maturities plus 100 basis points, and (ii) Balloon Indebtedness shall be treated as if it were to be amortized in substantially equal annual installments during the term of 20 years from the applicable date of calculation. “Electric Fund” means the fund established and held by the City with respect to the Electric System for the deposit of Gross Revenues. “Electric System” means the electric public utility system of the City, comprising all electric generation, transmission and distribution facilities and all general plant facilities related thereto now owned by the City and all other properties, structures or works for the generation, transmission or distribution of electricity hereafter acquired by the City, including all contractual rights for electricity or the generation or transmission thereof, together with all additions, betterments, extensions or improvements to such facilities, properties, structures or works or any part thereof hereafter acquired. “Event of Default” means any of the events specified in Section 6.1. “Financial Consultant” means any consultant or firm of such consultants appointed by the City and who, or each of whom: (a) is judged by the City to have experience in matters relating to the financing of electric systems similar to the Electric System; (b) is in fact independent and not under domination of the City; (c) does not have any substantial interest, direct or indirect, with the City; and (d) is not connected with the City as an officer or employee of the City, but who may be regularly retained to make reports to the City. “Gross Revenues” means all gross income and revenue received by the City from the ownership and operation of the Electric System, including, without limiting the generality of the foregoing, (a) all amounts levied by the City as a fee for connecting to the Electric System, as such fee is established from time to time under applicable law, (b) all income, rents, rates, fees, charges or other moneys derived from the services and facilities of the Electric System, (c) the earnings on and income derived from the investment of such income, rents, rates, fees, charges or other moneys to the extent that the use of such earnings and income is limited by or under applicable law to the Electric System, (d) the proceeds derived by the City directly or indirectly from the sale, lease or other disposition of a part of the Electric System as permitted under this Agreement, (e) amounts transferred into the Electric Fund from a Rate Stabilization Fund, and (f) amounts received by the City from other public agencies as the proceeds of tax revenues or other amounts payable to the City under contracts for services provided by the City to users of the Electric System; provided, however, that the term “Gross Revenues” shall not include (i) customers’ deposits or any other deposits subject to refund until such deposits have become the property of the City, (ii) the proceeds of any ad valorem property taxes levied to pay general obligation bond indebtedness of the City with respect to the Electric System, and (iii) special assessments or special taxes levied upon real property within any improvement district for the purpose of paying special assessment bonds or special tax obligations of the City relating to the Electric System. Attachment 3 Page 350 of 901 -4- “Indenture” means the Indenture of Trust dated as of March 1, 2022, as may be supplemented from time to time, between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee. “Independent Accountant” means any accountant or firm of such accountants appointed and paid by the City, and who, or each of whom (a) is in fact independent and not under domination of the City; (b) does not have any substantial interest, direct or indirect, with the City; and (c) is not connected with the City as an officer or employee of the City, but who may be regularly retained to make annual or other audits of the books of or reports to the City. “Insurer” means any provider of a municipal bond insurance policy or reserve fund insurance policy or similar instrument or agreement related to the Installment Payments or any Parity Debt. “Installment Payment Date” means, with respect to any Interest Payment Date, the 6th Business Day immediately preceding such Interest Payment Date. “Installment Payments” means, collectively (a) the 2022 Installment Payments which the City is obligated to pay under Section 4.4(a) and (b) any installment payments which the City is obligated to pay under any supplement hereto entered into for the purpose of issuing Parity Debt. “Maximum Annual Debt Service” means, as of the date of any calculation, the maximum amount of Debt Service for the current or any future Fiscal Year. “Net Revenues” means, for any period, an amount equal to all of the Gross Revenues received during such period minus the amount required to pay all Operation and Maintenance Costs becoming payable during such period. “Operation and Maintenance Costs” means all expenses and costs of management, operation, maintenance and repair of the Electric System, including, without limiting the generality of the foregoing, (a) all costs of electric energy and power generated or purchased by the City for resale, costs of transmission, and fuel and water supply in connection with the foregoing, including all amounts required to be paid by the City under contracts for the purchase of capacity, energy, transmission capability or any other commodity or service related thereto that requires payments to be made by the City thereunder to be treated as maintenance and operation costs of the Electric System, (b) all reasonable expenses of management and repair and other expenses necessary to maintain and preserve the Electric System in good repair and working order, (c) all administrative costs of the City that are charged directly or apportioned to the operation of the Electric System, such as salaries and wages of employees, overhead, taxes (if any) and insurance premiums; provided, however, that the term “Operation and Maintenance Costs” shall not include (i) payment of the Installment Payments which the City is required to pay hereunder, (ii) payment of debt service on bonds, notes or other obligations issued by the City with respect to the Electric System, (iii) depreciation, replacement and obsolescence charges or reserves therefor, (iv) capital expenditures made by the City with respect to the Electric System, (v) accrual of employee benefits which are not funded, (vi) amortization of intangibles or other bookkeeping entries of a similar nature, and (vii) the 6% in-lieu franchise tax payable to the General Fund of the City pursuant to Resolution No. 94-4 adopted by the City Council of the City on August 4, 1993, or any successor thereto. “Overdue Rate” means the highest rate of interest on any of the Outstanding Bonds. Attachment 3 Page 351 of 901 -5- “Parity Debt” means, collectively any and all of the following obligations: (a) bonds, notes, leases, installment sale agreements or other obligations of the City, and (b) additional obligations under this Agreement created by amendment or supplement hereto, in either case, that are payable from and secured by a pledge of and lien upon any of the Net Revenues on a parity with the Installment Payments, entered into or issued under and in accordance with Section 5.7. “Projects” means, collectively, (a) the 2022 Project and (b) other projects that may be described in any supplement hereto. “Parity Debt Documents” means, with respect to any issue of Parity Debt, the agreement, indenture of trust, resolution, supplement hereto, or other instrument authorizing the issuance of such Parity Debt. “Rate Stabilization Fund” means the fund (if any) by that name established and held by the City under Section 5.6. “2022 Bonds” means the Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022. “2022 Installment Payments” means the payments described as such and scheduled to be paid by the City under and pursuant to the terms hereof, as described in Appendix A hereto. “2022 Project” means the property, equipment and facilities described more fully in Appendix B, as may be modified by the City in accordance with the provisions of Section 3.5. Section 1.2. Interpretation. (a) Unless the context otherwise indicates, words expressed in the singular shall include the plural and vice versa and the use of the neuter, masculine, or feminine gender is for convenience only and shall be deemed to include the neuter, masculine or feminine gender, as appropriate. (b) Headings of articles and sections herein and the table of contents hereof are solely for convenience of reference, do not constitute a part hereof and do not affect the meaning, construction or effect hereof. (c) All references herein to “Articles,” “Sections” and other subdivisions are to the corresponding Articles, Sections or subdivisions of this Agreement; the words “herein,” “hereof,” “hereby,” “hereunder” and other words of similar import refer to this Agreement as a whole and not to any particular Article, Section or subdivision hereof. Attachment 3 Page 352 of 901 -6- ARTICLE II REPRESENTATIONS, COVENANTS AND WARRANTIES Section 2.1. Representations, Covenants and Warranties of the City. The City represents, covenants and warrants to the Authority as follows: (a) Due Organization and Existence. The City is a municipal corporation duly organized and validly existing under the laws of the State of California, has full legal right, power and authority under said laws to enter into this Agreement and to carry out and consummate all transactions contemplated hereby and thereby, and by proper action the City Council of the City has duly authorized the execution and delivery of this Agreement. (b) Due Execution. The representatives of the City executing this Agreement are fully authorized to execute the same. (c) Valid, Binding and Enforceable Obligations. This Agreement has been duly authorized, executed and delivered by the City and constitutes the legal, valid and binding agreements of the City enforceable against the City in accordance with its terms; except as the enforceability thereof may be subject to bankruptcy, insolvency, reorganization, moratorium and other similar laws affecting creditors’ rights heretofore or hereafter enacted and except as such enforceability may be subject to the exercise of judicial discretion in accordance with principles of equity. (d) No Conflicts. The execution and delivery of this Agreement and the consummation of the transactions herein and therein contemplated and the fulfillment of or compliance with the terms and conditions hereof, do not and will not conflict with or constitute a violation or breach of or default (with due notice or the passage of time or both) under any applicable law or administrative rule or regulation, or any applicable court or administrative decree or order, or any indenture, mortgage, deed of trust, lease, contract or other agreement or instrument to which the City is a party or by which it or its properties are otherwise subject or bound, or result in the creation or imposition of any prohibited lien, charge or encumbrance of any nature whatsoever upon any of the property or assets of the City, which conflict, violation, breach, default, lien, charge or encumbrance would have consequences that would materially adversely affect the consummation of the transactions contemplated by this Agreement or the financial condition, assets, properties or operations of the City, including but not limited to the performance of the City’s obligations under this Agreement. (e) Consents and Approvals. No consent or approval of any trustee or holder of any indebtedness of the City or of the voters of the City, and no consent, permission, authorization, order or license of, or filing or registration with, any governmental authority is necessary in connection with the execution and delivery of this Agreement or the consummation of any transaction herein or therein contemplated, except as have been obtained or made and as are in full force and effect. (f) No Litigation. There is no action, suit, proceeding, inquiry or investigation before or by any court or federal, state, municipal or other governmental authority pending or, to the knowledge of the City after reasonable investigation, threatened against or affecting the City or the assets, properties or operations of the City which, if Attachment 3 Page 353 of 901 -7- determined adversely to the City or its interests, would have a material and adverse effect upon the consummation of the transactions contemplated by or the validity of this Agreement, or upon the financial condition, assets, properties or operations of the City, and the City is not in default with respect to any order or decree of any court or any order, regulation or demand of any federal, state, municipal or other governmental authority, which default might have consequences that would materially adversely affect the consummation of the transactions contemplated by this Agreement, or the financial conditions, assets, properties or operations of the City, including but not limited to the payment and performance of the City’s obligations under this Agreement. Section 2.2. Representations, Covenants and Warranties of Authority. The Authority represents, covenants and warrants to the City as follows: (a) Due Organization and Existence. The Authority is a joint powers agency duly organized and existing under Article 1 of Chapter 5, Division 7, Title 1 of the Government Code of the State of California, commencing with Section 6500 of said Code, and has power to enter into this Agreement and the Indenture and to perform the duties and obligations imposed on it hereunder and thereunder. The Board of Directors of the Authority has duly authorized the execution and delivery of this Agreement and the Indenture. (b) Due Execution. The representatives of the Authority executing this Agreement and the Indenture are fully authorized to execute the same. (c) Valid, Binding and Enforceable Obligations. This Agreement and the Indenture have been duly authorized, executed and delivered by the Authority and constitute the legal, valid and binding agreements of the Authority with the Authority, enforceable against the Authority in accordance with their respective terms; except as the enforceability thereof may be subject to bankruptcy, insolvency, reorganization, moratorium and other similar laws affecting creditors’ rights heretofore or hereafter enacted and except as such enforceability may be subject to the exercise of judicial discretion in accordance with principles of equity. (d) No Conflicts. The execution and delivery hereof and of the Indenture, the consummation of the transactions herein and therein contemplated and the fulfillment of or compliance with the terms and conditions hereof and thereof, do not and will not conflict with or constitute a violation or breach of or default (with due notice or the passage of time or both) under any applicable law or administrative rule or regulation, or any applicable court or administrative decree or order, or any indenture, mortgage, deed of trust, lease, contract or other agreement or instrument to which the Authority is a party or by which it or its properties are otherwise subject or bound, or result in the creation or imposition of any prohibited lien, charge or encumbrance of any nature whatsoever upon any of the property or assets of the Authority, which conflict, violation, breach, default, lien, charge or encumbrance would have consequences that would materially adversely affect the consummation of the transactions contemplated hereby and by the Indenture or the financial condition, assets, properties or operations of the Authority, including but not limited to the performance of the Authority’s obligations under this Agreement and the Indenture. (e) Consents and Approvals. No consent or approval of any trustee or holder of any indebtedness of the Authority, and no consent, permission, authorization, order or Attachment 3 Page 354 of 901 -8- license of, or filing or registration with, any governmental authority is necessary in connection with the execution and delivery hereof or of the Indenture, or the consummation of any transaction herein or therein contemplated, except as have been obtained or made and as are in full force and effect. (f) No Litigation. There is no action, suit, proceeding, inquiry or investigation before or by any court or federal, state, municipal or other governmental authority pending or, to the knowledge of the Authority after reasonable investigation, threatened against or affecting the Authority or the assets, properties or operations of the Authority which, if determined adversely to the Authority or its interests, would have a material and adverse effect upon the consummation of the transactions contemplated by or the validity of this Agreement or the Indenture, or upon the financial condition, assets, properties or operations of the Authority, and the Authority is not in default with respect to any order or decree of any court or any order, regulation or demand of any federal, state, municipal or other governmental authority, which default might have consequences that would materially adversely affect the consummation of the transactions contemplated by this Agreement or the Indenture or the financial conditions, assets, properties or operations of the Authority, including but not limited to the performance of the Authority’s obligations hereunder and under the Indenture. ARTICLE III ISSUANCE OF BONDS; CONSTRUCTION OF PROJECT Section 3.1. Issuance of Bonds. The Authority hereby agrees to issue the Bonds and to cause the proceeds thereof to be applied in accordance with the Indenture and this Agreement. The City hereby approves the Indenture, the assignment thereunder to the Trustee of certain rights of the Authority and the issuance of the Bonds. Section 3.2. Deposit of Bond Proceeds. On the Closing Date the Authority shall cause the proceeds of the 2022 Bonds to be applied as set forth in Section 3.02 of the Indenture, and any proceeds of any other series of Bonds to be applied as set forth in the applicable supplement hereto. Section 3.3. Appointment of City as Agent. The Authority hereby appoints the City as its agent to carry out all phases of the acquisition, construction and installation of the Projects under and in accordance with the provisions hereof. The City hereby accepts such appointment and assumes all rights, liabilities, duties and responsibilities of the Authority regarding the acquisition, construction and installation of the Projects. As agent of the Authority hereunder, the City shall enter into, administer and enforce all purchase orders or other contracts relating to the Projects. Section 3.4. Construction of the Projects. Payment of Project Costs shall be made by the City from amounts held by the Trustee in the Project Fund in accordance with the provisions of this Agreement and the provisions of Section 3.04 of the Indenture. The Trustee shall disburse amounts in the Project Fund from time to time to pay Project Costs upon submission of a Written Requisition of the City, in substantially the form set forth in Appendix C to the Indenture, stating the person to whom payment is to be made, the amount to be paid, the purpose for which the obligation was incurred and that such payment is a proper charge against Attachment 3 Page 355 of 901 -9- the Project Fund. The Trustee may conclusively rely on the representations set forth in such Written Requisitions and shall be fully protected in relying thereon. The City hereby agrees with due diligence to supervise and provide for, or cause to be supervised and provided for, the acquisition and construction of the Projects in accordance with the plans and specifications, purchase orders, construction contracts and other documents relating thereto and approved by the City under all applicable requirements of law. All contracts for, and all work relating to, the acquisition and construction of the Projects are subject to all applicable provisions of law relating to the acquisition and construction of public works by the City. The City expects that the acquisition and construction of the Projects will be completed on or before the date set forth in the tax certificate related to the Bonds. The failure of the City to complete the Projects by that date will not constitute an Event of Default hereunder or grounds for termination hereof, nor result in the diminution, abatement or extinguishment of the obligations of the City to pay the Installment Payments when due hereunder. Section 3.5. Plans and Specifications; Modification of Project Description. The City has the right to specify the exact scope, nature and identification of the Projects and the respective components thereof. Without limiting the generality of the foregoing, the City has the right to amend the description of the Projects contained in Appendix B or in any supplement hereto, including for the purpose of including additional Projects not originally included therein. Before any payment is made for the Projects or any component thereof from amounts on deposit in the Project Fund, the City shall prepare detailed plans and specifications relating thereto. The City may from time to time amend any the plans and specifications, and thereby change or modify the description of the Projects or any component thereof. Section 3.6. Certificate of Project Completion. Upon the determination by the City that the Projects have been completed and that no further amounts are required to disbursed from the Project Fund to pay Project Costs, a City Representative shall execute and deliver to the Authority and the Trustee a certificate of a City Representative which states that the acquisition and construction of the Projects have been completed and that no further amounts are required to be disbursed from the Project Fund to pay Project Costs. ARTICLE IV INSTALLMENT SALE OF PROJECTS; Section 4.1. Installment Sale of Projects. The Authority hereby sells the completed Projects to the City, and the City hereby purchases the completed Projects from the Authority, upon the terms and conditions set forth in this Agreement. Section 4.2. Term. The Term of this Agreement shall commence on the Closing Date and end on the final maturity date for the Bonds, or such later or earlier date on which the Bonds cease to be Outstanding under and within the meaning of the Indenture. Section 4.3. Transfer of Title. Title to the Projects, and each component thereof, will be deemed conveyed by the City to the Authority upon the completion thereof. The Authority and the City agree that no further action or documentation is intended to be required to cause the transfer of title to the Projects; however, if any further actions or documentation is so Attachment 3 Page 356 of 901 -10- required, the Authority and the City shall take such actions and execute, deliver and cause to be recorded all such documents. Section 4.4. Installment Payments. (a) Obligation to Pay. The City hereby agrees to pay the Authority, as the purchase price of the Projects hereunder, amounts specified in this Section 4.04 and pursuant to any supplement hereto from time-to-time. In furtherance of the foregoing, the City hereby agrees to pay to the Authority, as the purchase price of the 2022 Project the aggregate principal amount of $__________, together with interest (calculated on the basis of a 360-day year of twelve 30- day months) on the unpaid principal balance thereof, payable in semiannual 2022 Installment Payments in the respective amounts and on the respective Installment Payment Dates set forth in Appendix A. The 2022 Installment Payment coming due and payable on any Installment Payment Date shall be deposited by the City with the Trustee, as assignee of the Authority under the Indenture, in an amount which, together with amounts then held by the Trustee in the Bond Fund and the accounts therein, is equal to the full amount of such 2022 Installment Payment. The 2022 Installment Payments shall be secured by and payable solely from the sources specified in Section 4.5. (b) Effect of Prepayment. If the City prepays all remaining Installment Payments in full, the City’s obligations under this Agreement will thereupon cease and terminate with respect to the Installment Payments; provided, however, that the City’s obligations to compensate and indemnify the Trustee under Section 8.07 of the Indenture will survive such prepayment. If the City prepays the Installment Payments in part but not in whole, the principal component of each succeeding Installment Payment related thereto will be reduced as provided in such Sections, and the interest component of each remaining Installment Payment will be reduced by the aggregate corresponding amount of interest which would otherwise be payable with respect to the Bonds thereby redeemed under the applicable provisions of Section 4.01 of the Indenture, as provided in a certificate of a City Representative. The City shall provide the Trustee with a revised schedule of Installment Payments which results from any such prepayment in such certificate of a City Representative. (c) Rate on Overdue Payments. If the City fails to make any of the payments required in this Section or in Section 4.7, the payment in default will continue as an obligation of the City until the amount in default has been fully paid, and the City agrees to pay the same with interest thereon, from the date of default to the date of payment, at the Overdue Rate. (d) Assignment. The City understands and agrees that certain rights of the Authority, including but not limited to the right of the Authority to receive payment of the Installment Payments, have been assigned by the Authority to the Trustee in trust under the Indenture, for the benefit of the Owners of the Bonds, and the City hereby consents to such assignment. The Authority hereby directs the City, and the City hereby agrees, to pay to the Trustee at its Office, all payments payable by the City under this Section and all amounts payable by the City under Article VII. Section 4.5. Pledge and Application of Net Revenues. (a) Pledge of Net Revenues. The Installment Payments and any Parity Debt are equally secured by a first pledge, charge and lien upon the Net Revenues and (with respect to the Installment Payments) moneys in the Bond Fund, including all amounts derived from the investment of such moneys, without priority for series, issue, number or date, and the payment Attachment 3 Page 357 of 901 -11- of the Installment Payments shall be and are secured by an exclusive pledge, charge and lien upon the Net Revenues and such moneys. So long as any of the Bonds are Outstanding, the Net Revenues and such moneys may not be used for any other purpose; except that out of the Net Revenues there may be apportioned such sums, for such purposes, as are expressly permitted by this Section and any Parity Debt Document. (b) Deposit of Gross Revenues Into Electric Fund; Transfers to Make Payments. The City has previously established the Electric Fund, which the City shall continue to hold and maintain for the purposes and uses set forth herein. The City shall deposit all Gross Revenues in the Electric Fund promptly upon the receipt thereof, and shall apply amounts in the Electric Fund solely for the uses and purposes set forth herein and for the uses and purposes set forth in any Parity Debt Documents. The City shall withdraw amounts on deposit in the Electric Fund and apply such amounts at the times and for the purposes, and in the priority, as follows: (i) Operation and Maintenance Costs. The City shall apply amounts on deposit in the Electric Fund to pay all Operation and Maintenance Costs when due. (ii) Debt Service. The City shall pay the Installment Payments on or before the applicable Installment Payment Date, and all payments of principal of and interest on outstanding Parity Debt on or before the date specified therefor in the applicable Parity Debt Document. (iii) Reserve Accounts and Other Required Payments. The City shall make other payments or deposits required to comply with the provisions of this Agreement and all Parity Debt Documents, including but not limited to payments or deposits required to restore the required balances in any reserve account established pursuant to the Indenture for any series of Bonds and any other reserve fund or reserve account which may be established for Parity Debt (or pay any reserve insurer any amounts owed in connection with any draw on any reserve fund insurance policies). Payment of the Installment Payments and the principal of and interest on the outstanding Parity Debt, and payments made in accordance with any reserve account or reserve fund (including to pay any reserve insurer any amounts owed in connection with any draw on any reserve fund insurance policies), shall be made without preference or priority. If the amount of Net Revenues on deposit in the Electric Fund are any time insufficient to enable the City to pay when due the Installment Payments and the principal of and interest on all outstanding Parity Debt (or payments made in accordance with any reserve account or reserve fund, including to pay any reserve insurer any amounts owed in connection with any draw on any reserve fund insurance policies), such payments will be made on a pro rata basis. (c) Other Uses Permitted. The City shall manage, conserve and apply the amounts on deposit in the Electric Fund in such a manner that all deposits required to be made under the preceding subsection (b) will be made at the times and in the amounts so required. So long as no Event of Default has occurred and is continuing and the City has reserved sufficient amounts to make debt service deposits next required to be made under subsection (b) above and under any Parity Debt Documents, the City may at any time use and apply moneys in the Electric Fund for any one or more of the following purposes: Attachment 3 Page 358 of 901 -12- (i) the payment of any subordinate obligations or any unsecured obligations, including the 6% in-lieu franchise tax payable to the General Fund of the City; (ii) the acquisition and construction of extensions and improvements to the Electric System; (iii) the redemption of any obligations of the City relating to the Electric System; or (iv) any other lawful purpose of the City relating to the Electric System. Section 4.6. Special Obligation of the City; Obligations Absolute. The City’s obligation to pay the Installment Payments and any other amounts coming due and payable hereunder shall be a special obligation of the City limited solely to the Net Revenues. Under no circumstances is the City required to advance moneys derived from any source of income other than the Net Revenues and other sources specifically identified herein for the payment of the Installment Payments and such other amounts, and no other funds or property of the City are liable for the payment of the Installment Payments. The obligation of the City to make the Installment Payments from the Net Revenues and to perform and observe the other agreements contained herein is absolute and unconditional and is not subject to any defense or any right of set-off, counterclaim or recoupment arising out of any breach by the Authority or the Trustee of any obligation to the City or otherwise with respect to the Electric System, whether hereunder or otherwise, or out of indebtedness or liability at any time owing to the City by the Authority or the Trustee. Until all of the Installment Payments, Additional Payments, and other amounts coming due and payable hereunder have been fully paid or prepaid, the City will: (a) not suspend or discontinue payment of any Installment Payments, Additional Payments or such other amounts, (b) perform and observe all other agreements contained in this Agreement, and (c) not terminate this Agreement for any cause, including, without limiting the generality of the foregoing, the occurrence of any acts or circumstances that may constitute failure of consideration, eviction or constructive eviction, destruction of or damage to the Electric System, failure to complete the acquisition and construction of the Projects by the estimated completion date thereof, sale of the Electric System, the taking by eminent domain of title to or temporary use of any component of the Electric System, commercial frustration of purpose, any change in the tax or law other laws of the United States of America or the State of California or any political subdivision of either thereof or any failure of the Authority or the Trustee to perform and observe any agreement, whether express or implied, or any duty, liability or obligation arising out of or connected with the Indenture or this Agreement. Nothing contained in this Section releases the Authority from the performance of any of the agreements on its part contained herein or in the Indenture, and if the Authority fails to perform any such agreements, the City may institute such action against the Authority as the City may deem necessary to compel performance so long as such action does not abrogate the obligations of the City contained in the preceding paragraph. The City may, however, at its cost Attachment 3 Page 359 of 901 -13- and expense and in its name or in the name of the Authority, prosecute or defend any action or proceeding or take any other action involving third persons which the City deems reasonably necessary in order to secure or protect the City’s rights hereunder, and in that event the Authority will cooperate fully with the City and to take such action necessary to effect the substitution of the City for the Authority in such action or proceeding if the City may request. Section 4.7. Additional Payments. In addition to the Installment Payments, the City shall pay when due the following amounts to the following parties: (a) to the Authority, all costs and expenses incurred by the Authority to comply with the provisions of this Agreement and the Indenture; (b) to the Trustee upon request therefor, all of its costs and expenses payable as a result of the performance of and compliance with its duties hereunder or under the Indenture or any related documents; (c) to the Authority and the Trustee, all amounts required to indemnify the Trustee under Section 8.07 of the Indenture; (d) to the Insurer all amounts payable to the Insurer not classified as Installment Payments, including Policy Costs (as defined in the Indenture); and (e) all costs and expenses of auditors, engineers and accountants. The Additional Payments shall be payable from, but are not secured by a pledge or lien upon, the Net Revenues. The rights of the Trustee and the Authority under this Section, and the obligations of the City under this Section, shall survive the termination of this Agreement and the resignation or removal of the Trustee. ARTICLE V FINANCIAL COVENANTS Section 5.1. Disclaimer of Warranties. The Trustee makes no warranty or representation, either express or implied, as to the value, design, condition, merchantability or fitness for any particular purpose or fitness for the use contemplated by the City of the Projects or any component thereof, or any other representation or warranty with respect to any of the Projects or any component thereof. In no event shall the Authority or the Trustee be liable for incidental, indirect, special or consequential damages, in connection with or arising out of this Agreement or the Indenture for the existence, furnishing, functioning or use of the Projects. Section 5.2. Sale or Eminent Domain of Electric System. Except as provided herein, the City covenants that the Electric System will not be encumbered, sold, leased, pledged, any charge placed thereon, or otherwise disposed of, as a whole or substantially as a whole if such encumbrance, sale, lease, pledge, charge or other disposition would materially impair the ability of the City to pay the Installment Payments or the principal of or interest on any Parity Debt, or would materially adversely affect its ability to comply with the terms of this Agreement and any Parity Debt Documents. The City may not enter into any agreement which impairs the operation of the Electric System or any part of it necessary to secure adequate Net Revenues to pay the Attachment 3 Page 360 of 901 -14- Installment Payments and any Parity Debt, or which otherwise would impair the rights of the Bond Owners or the Trustee with respect to the Net Revenues. If any substantial part of the Electric System is sold, the payment therefor must either (a) be used for the acquisition or construction of improvements and extensions or replacement facilities or (b) be applied to prepay the Installment Payments and/or redeem any Parity Debt in accordance with the related Parity Debt Documents. Any amounts received as awards as a result of the taking of all or any part of the Electric System by the lawful exercise of eminent domain, if and to the extent that such right can be exercised against such property of the City, shall either (a) be used for the acquisition or construction of improvements and extension of the Electric System, or (b) be applied to prepay the Installment Payments and/or redeem any Parity Debt in accordance with the related Parity Debt Documents. Section 5.3. Insurance. The City will at all times maintain with responsible insurers all such insurance on the Electric System as is customarily maintained with respect to works and properties of like character against accident to, loss of or damage to the Electric System; provided, however, that the City is not required to maintain earthquake insurance with respect to the Electric System or any component thereof. All amounts collected from insurance against accident to or destruction of any portion of the Electric System shall be used, at the option of the City, either (a) to repair or rebuild such damaged or destroyed portion of the Electric System, and/or (b) to prepay the Installment Payments or redeem any Parity Debt in accordance with the related Parity Debt Documents. The City shall also maintain, with responsible insurers, worker’s compensation insurance and insurance against public liability and property damage to the extent reasonably necessary to protect the City, the Trustee and the Owners of the Bonds. The Trustee has no liability to determine whether the City is in compliance with the provisions of this Section. Any policy of insurance required under this Section may be maintained as part of or in conjunction with any other insurance coverage carried by the City, and may be maintained in whole or in part in the form of self-insurance by the City or in the form of the participation by the City in a joint powers agency or other program providing pooled insurance. Section 5.4. Records and Accounts. The City shall keep proper books of record and accounts of the Electric System in which complete and correct entries shall be made of all transactions relating to the Electric System. Said books shall, upon prior request, be subject to the reasonable inspection of the Owners of not less than 10% of the Outstanding Bonds, or their representatives authorized in writing, upon not less than two Business Days’ prior notice to the City. The City shall cause the books and accounts of the Electric System to be audited annually by an Independent Accountant not more than nine months after the close of each Fiscal Year, and shall make a copy of such report available for inspection by the Bond Owners at the office of the City and at the Office of the Trustee. Such report may be part of a combined financial audit or report covering all or part of the City’s finances. Attachment 3 Page 361 of 901 -15- Section 5.5. Rates and Charges. The City hereby covenants that it shall prescribe, revise and collect rates, fees and charges for the services and facilities of the Electric System which, after allowances for contingencies and error in the estimates, shall produce Gross Revenues sufficient in each Fiscal Year to provide Net Revenues equal to at least [1.20] times the Debt Service coming due and payable during such Fiscal Year. Section 5.6. Establishment of Rate Stabilization Fund. The City has the right at any time to establish a rate stabilization fund (the “Rate Stabilization Fund”) to be held by it and administered in accordance with this Section, for the purpose of stabilizing the rates and charges imposed by the City with respect to the Electric System. From time to time the City may deposit amounts in the Rate Stabilization Fund, from any source of legally available funds, including but not limited to Net Revenues which are released from the pledge and lien which secures the Installment Payments and any Parity Debt, as the City may determine. The City may, but is not required to, withdraw from any amounts on deposit in a Rate Stabilization Fund and deposit such amounts in the Electric Fund in any Fiscal Year for the purpose of paying Debt Service coming due and payable in such Fiscal Year. Amounts so transferred from a Rate Stabilization Fund to the Electric Fund shall constitute Gross Revenues for such Fiscal Year (except as otherwise provided herein), and shall be applied for the purposes of the Electric Fund. Amounts on deposit in a Rate Stabilization Fund shall not be pledged to or otherwise secure the Installment Payments or any Parity Debt. All interest or other earnings on deposits in a Rate Stabilization Fund shall be withdrawn therefrom at least annually and accounted for as Gross Revenues in the Electric Fund. The City has the right at any time to withdraw any or all amounts on deposit in a Rate Stabilization Fund and apply such amounts for any lawful purposes of the City. Section 5.7. Issuance of Parity Debt. (a) The City may issue Parity Debt in such principal amount as it determines, subject to the following conditions precedent: (i) The City is not in default under the terms of this Agreement (and no event has occurred which, once all notice and grace periods have passed, would constitute a default hereunder) unless such default shall be cured upon such issuance; (ii) Net Revenues, calculated on sound accounting principles, as shown by the books of the City for the latest Fiscal Year or any more recent 12-month period selected by the City ending not more than 60 days prior to the adoption or execution of the Parity Debt Document pursuant to which such Parity Debt is issued or incurred, plus, at the option of the City, the Additional Revenues, shall have amounted to at least [1.20] times the Maximum Annual Debt Service coming due and payable in any future Fiscal Year. (b) The City shall deliver to the Authority and the Trustee a certificate of a City Representative certifying that each of the conditions precedent to the issuance of such Parity Debt set forth above have been satisfied. (c) Notwithstanding the foregoing provisions of this Section, the City shall not be required to meet the requirements of the foregoing subsection (a)(ii) with respect to the issuance of any Parity Debt the proceeds of which are applied to prepay or discharge the Installment Payments or any Parity Debt, provided that as a result of such prepayment or Attachment 3 Page 362 of 901 -16- discharge the aggregate amount of Debt Service on the Installment Payments and Parity Debt which will be outstanding following the issuance of such Parity Debt will be reduced in every Fiscal Year. Section 5.8. Senior Lien Debt. During the Term of this Agreement, the City shall not issue or incur any additional bonds or other obligations having any priority in payment of principal or interest out of the Gross Revenues over the Installment Payments, provided that the City may incur obligations payable as Operation and Maintenance Costs. In addition, nothing herein limits or affects the ability of the City to issue or incur (a) Parity Debt under Section 5.7, or (b) obligations which are either unsecured or which are secured on a basis which is junior and subordinate to the pledge of and lien upon the Net Revenues established hereunder. Section 5.9. Compliance with Parity Debt Documents. The City shall comply with all of the provisions of the Parity Debt Documents (if any) and shall not take action which constitutes, or which with the passage of time if not cured would constitute, an event of default under and as defined in any of the Parity Debt Documents. Section 5.10. Operation of Electric System in Efficient and Economical Manner. The City shall operate the Electric System in an efficient and economical manner and to operate, maintain and preserve the Electric System in good repair and working order. Section 5.11. Tax Covenants Relating to Bonds. The following covenants apply to Bonds for which interest is intended to be excluded from income under the Tax Code: (a) Private Business Use Limitation. The City shall assure that the proceeds of the Bonds are not used in a manner which would cause the Bonds to satisfy the private business tests of Section 141(b) of the Tax Code or the private loan financing test of Section 141(c) of the Tax Code. (b) Federal Guarantee Prohibition. The City shall not take any action or permit or suffer any action to be taken if the result of the same would be to cause the Bonds to be “federally guaranteed” within the meaning of Section 149(b) of the Tax Code. (c) No Arbitrage. The City shall not take, or permit or suffer to be taken by the Trustee or otherwise, any action with respect to the proceeds of the Bonds or of any other obligations which, if such action had been reasonably expected to have been taken, or had been deliberately and intentionally taken, on the Closing Date, would have caused the Bonds to be “arbitrage bonds” within the meaning of Section 148(a) of the Tax Code. (d) Maintenance of Tax Exemption. The City shall take all actions necessary to assure the exclusion of interest on the Bonds from the gross income of the Owners of the Bonds to the same extent as such interest is permitted to be excluded from gross income under the Tax Code as in effect on the Closing Date. (e) Rebate of Excess Investment Earnings to United States. The City shall calculate or cause to be calculated the Excess Investment Earnings in all respects at the times and in the manner required under the Tax Code. The City shall pay the full amount of Excess Investment Earnings to the United States of America in such amounts, at such times and in such manner as may be required under the Tax Code. Such payments shall be made by the City from any source of legally available funds of the City, and shall constitute Additional Rental Payments hereunder. Attachment 3 Page 363 of 901 -17- The City shall keep or cause to be kept, and retain or cause to be retained for a period of six years following the retirement of the Bonds, records of the determinations made under this subsection. In order to provide for the administration of this subsection, the City may provide for the employment of independent attorneys, accountants and consultants compensated on such reasonable basis as the City may deem appropriate. The Trustee has no duty or obligation to monitor or enforce compliance by the City of any of the requirements under this subsection. Section 5.12. Assignment and Amendment Hereof. This Agreement may not be assigned by the City in whole or in part. This Agreement may be amended or supplemented by the City and the Authority, but only (a) for the purpose of providing for the issuance of any other Parity Debt under and in accordance with Section 5.7, or (b) otherwise under the circumstances and to the extent permitted under Section 9.01 of the Indenture. Section 5.13. Continuing Disclosure. The City shall comply with and carry out all of the provisions of the Continuing Disclosure Certificate executed by the City as of the Closing Date, as originally executed and as it may be amended from time to time in accordance with its terms. Notwithstanding any other provision of this Agreement, failure of the City to comply with such Continuing Disclosure Certificate will not constitute an Event of Default, although any Participating Underwriter (as that term is defined in such Continuing Disclosure Certificate) or any Owner or beneficial owner of the Bonds may take such actions as may be necessary and appropriate to compel performance by the City of its obligations under this Section, including seeking mandate or specific performance by court order. Section 5.14. Covenants and Agreements Related to the Insurance Policies. Notwithstanding anything to the contrary set forth in this Agreement, the City shall comply with and carry out all of the provisions related to the Insurance Policies as set forth in Appendix C hereto, which provisions shall govern so long as any of the Bonds are Outstanding. Additionally, to the extent the provisions related to the Insurance Policies as set forth in Appendix C and Appendix D to the Indenture set forth obligations of the City, the City shall comply with and carry out all of such provisions. Section 5.15. Payment of 6% In-Lieu Franchise Tax . The City covenants and agrees for the benefit of the Bondholders [and the Insurer] that so long as any Bonds are Outstanding, the 6% in-lieu franchise tax payable to the General Fund of the City pursuant to Resolution No. 94-4 adopted by the City Council of the City on August 4, 1993, or any successor thereto, shall be payable by the Electric System to the General Fund on a basis that is subordinate to the payment of debt service on the Bonds and replenishment of any reserve fund (or payment to any reserve insurer of any amounts owed in connection with any draw on any reserve fund insurance policies) established for any Bonds. Attachment 3 Page 364 of 901 -18- ARTICLE VI EVENTS OF DEFAULT Section 6.1. Events of Default Defined. The following events constitute Events of Default hereunder: (a) Failure by the City to pay any Installment Payment when due and payable hereunder. (b) Failure by the City to pay any Additional Payment when due and payable hereunder, and the continuation of such failure for a period of 60 days. (c) Failure by the City to observe and perform any of the other covenants, agreements or conditions on its part contained in this Agreement or in the Indenture, other than as referred to in the preceding clauses (a) or (b), if such failure has continued for a period of 60 days after written notice thereof, specifying such failure and requiring the same to be remedied, has been given to the City by the Authority or the Trustee; provided, however, if in the reasonable opinion of the City the failure stated in the notice can be corrected, but not within such 60-day period, such failure shall not constitute an Event of Default if the City institutes corrective action within such 60-day period and thereafter diligently and in good faith cures the failure in a reasonable period of time. (d) The City commences a voluntary case under Title 11 of the United States Code or any substitute or successor statute. (e) The occurrence of an event of default under and as defined in any Parity Debt Documents. Section 6.2. Remedies on Default. If an Event of Default occurs and is continuing, the Trustee as assignee of the Authority has the right, at its option and without any further demand or notice, to take any one or more of the following actions: (a) Declare all principal components of the unpaid Installment Payments, together with accrued interest thereon at the Overdue Rate from the immediately preceding Interest Payment Date on which payment was made, to be immediately due and payable, whereupon the same shall immediately become due and payable. Notwithstanding the foregoing provisions of this subsection, however, if, at any time after the principal components of the unpaid Installment Payments have been so declared due and payable under this subsection, and before any judgment or decree for the payment of the moneys due have been obtained or entered, the City shall deposit with the Trustee a sum sufficient to pay all principal components of the Installment Payments coming due prior to such declaration and all matured interest components (if any) of the Installment Payments, with interest on such overdue principal and interest components calculated at the Overdue Rate, and the reasonable expenses of the Trustee (including any fees and expenses of its attorneys), and any and all other defaults known to the Trustee (other than in the payment of the principal and interest components of the Installment Payments due and payable solely by reason of such declaration) have been made good, then, and in every such case, the Trustee shall rescind and annul such declaration and its consequences. However, no such rescission and annulment shall Attachment 3 Page 365 of 901 -19- extend to or shall affect any subsequent default, or shall impair or exhaust any right or power consequent thereon. As provided in Section 6.6, the Trustee shall be required to exercise the remedies provided herein in accordance with the Indenture. (b) Take whatever action at law or in equity may appear necessary or desirable to collect the Installment Payments then due or thereafter to become due during the Term of this Agreement, or enforce performance and observance of any obligation, agreement or covenant of the City under this Agreement. (c) As a matter of right, in connection with the filing of a suit or other commencement of judicial proceedings to enforce the rights of the Trustee and the Bond Owners hereunder, cause the appointment of a receiver or receivers of the Gross Revenues and other amounts pledged hereunder, with such powers as the court making such appointment may confer. Section 6.3. No Remedy Exclusive. No remedy herein conferred upon or reserved to the Authority is intended to be exclusive and every such remedy shall be cumulative and shall be in addition to every other remedy given under this Agreement or now or hereafter existing at law or in equity. No delay or omission to exercise any right or power accruing upon any default shall impair any such right or power or shall be construed to be a waiver thereof, but any such right and power may be exercised from time to time and as often as may be deemed expedient. In order to entitle the Authority to exercise any remedy reserved to it in this Article, it is not necessary to give any notice, other than such notice as may be required in this Article or by law. Section 6.4. Agreement to Pay Attorneys’ Fees and Expenses. If either party to this Agreement defaults under any of the provisions hereof and the non-defaulting party, the Trustee or the Owner of any Bonds employs attorneys or incur other expenses for the collection of moneys or the enforcement or performance or observance of any obligation or agreement on the part of the defaulting party herein contained, the defaulting party agrees that it will on demand therefor pay to the non-defaulting party, the Trustee or such Owner, as the case may be, the reasonable fees of such attorneys and such other expenses so incurred. The provisions of this Section will survive the expiration of the Term of this Agreement. Section 6.5. No Additional Waiver Implied by One Waiver. If any agreement contained in this Agreement is breached by either party and thereafter waived by the other party, the waiver will be limited to the particular breach so waived and will not be deemed to waive any other breach hereunder. Section 6.6. Trustee and Bond Owners to Exercise Rights. Such rights and remedies as are given to the Authority under this Article have been assigned by the Authority to the Trustee under the Indenture, to which assignment the City hereby consents. Such rights and remedies shall be exercised by the Trustee and the Owners of the Bonds as provided in the Indenture. Attachment 3 Page 366 of 901 -20- ARTICLE VII PREPAYMENT OF 2022 INSTALLMENT PAYMENTS Section 7.1. Security Deposit. Notwithstanding any other provision hereof, the City may on any date secure the payment of 2022 Installment Payments, in whole or in part, by irrevocably depositing with the Trustee an amount of cash which, together with other available amounts (not including amounts receivable under a forward supply contract, if any), is either (a) sufficient to pay all such 2022 Installment Payments, including the principal and interest components thereof, when due under Section 4.4(a), or (b) invested in whole or in part in non- callable Federal Securities in such amount as will, in the report of an Independent Accountant, together with interest to accrue thereon and together with any cash which is so deposited, be fully sufficient to pay all such 2022 Installment Payments when due under Section 4.4(a) or when due on any optional prepayment date under Section 7.2, as the City instructs at the time of said deposit. If the City makes a security deposit under this Section for the payment of all remaining 2022 Installment Payments and all Policy Costs owing to the Insurer (as those terms are defined in the Indenture), all obligations of the City hereunder, and the pledge of Net Revenues and all other security provided by this Agreement for the 2022 Installment Payments, will cease and terminate, excepting only the obligation of the City to make, or cause to be made, all 2022 Installment Payments from such security deposit. A security deposit constitutes a special fund for the payment of such 2022 Installment Payments in accordance with the provisions hereof. Section 7.2. Optional Prepayment. The City may exercise its option to prepay the principal components of the 2022 Installment Payments in whole or in part on any date on which the 2022 Bonds may be optionally prepaid. Such option shall be exercised by payment of a prepayment price equal to the sum of (a) the aggregate principal components of the 2022 Installment Payments to be prepaid, plus (b) the interest component of the 2022 Installment Payment required to be paid on or accrued to such date. Such prepayment price shall be deposited by the Trustee in the Bond Fund to be applied to the redemption of the Bonds under Section 4.01(a) of the Indenture. If the City prepays the 2022 Installment Payments in part but not in whole, the principal components shall be prepaid among such maturities and in such integral multiples of $5,000 as the City designates in written notice to the Trustee. Section 7.3. Special Mandatory Prepayment. The 2022 Installment Payments are subject to prepayment in whole or in part on any date from the proceeds of eminent domain award or proceeds of sale under Section 5.2, or from the proceeds of any insurance award under Section 5.3, at a prepayment price equal to the sum of (a) the aggregate principal components of the 2022 Installment Payments to be prepaid, plus (b) the interest component of the 2022 Installment Payment required to be paid on or accrued to such date. Such prepayment price shall be deposited by the Trustee in the Bond Fund to be applied to the redemption of Bonds under Section 4.01(c) of the Indenture. If the City prepays the 2022 Installment Payments in part but not in whole, the principal components shall be prepaid among such maturities and in such integral multiples of $5,000 as the City designates in written notice to the Trustee. Section 7.4. Credit for Amounts on Deposit. If the City prepays the 2022 Installment Payments in full under this Article, such that the Indenture is discharged by its terms as a result of such prepayment, and upon payment in full of all Additional Payments and other amounts then due and payable hereunder, all available amounts then on deposit in the funds and Attachment 3 Page 367 of 901 -21- accounts established under the Indenture shall be credited towards the amounts then required to be so prepaid. ARTICLE VIII MISCELLANEOUS Section 8.1. Further Assurances. The City agrees that it will execute and deliver any and all such further agreements, instruments, financing statements or other assurances as may be reasonably necessary or requested by the Authority or the Trustee to carry out the intention or to facilitate the performance of this Agreement, including, without limitation, to perfect and continue the security interests herein intended to be created. Section 8.2. Notices. All notices or communications to be given under this Agreement shall be given by first class mail or personal delivery to the party entitled thereto at its address set forth below, or at such address as the party may provide to the other party in writing from time to time. Notice shall be effective either (a) 48 hours after deposit in the United States mail, postage prepaid, or (b) in the case of personal delivery to any person, upon actual receipt. The Authority, the City or the Trustee may, by written notice to the other parties, from time to time modify the address or number to which communications are to be given hereunder. If to the City: City of Ukiah 300 Seminary Avenue Ukiah, CA 95482 Attention: City Manager If to the Authority: Ukiah Public Financing Authority 300 Seminary Avenue Ukiah, CA 95482 Attention: Executive Director Section 8.3. Governing Law. This Agreement shall be construed in accordance with and governed by the laws of the State of California. Section 8.4. Binding Effect. This Agreement inures to the benefit of and is binding upon the Authority, the City and their respective successors and assigns, subject, however, to the limitations contained herein. Section 8.5. Severability of Invalid Provisions. If any one or more of the provisions contained in this Agreement are for any reason be held to be invalid, illegal or unenforceable in any respect, then such provision or provisions will be deemed severable from the remaining provisions contained in this Agreement and such invalidity, illegality or unenforceability will not affect any other provision of this Agreement, and this Agreement will be construed as if such invalid or illegal or unenforceable provision had never been contained herein. The Authority and the City each hereby declares that it would have entered into this Agreement and each and every other Section, paragraph, sentence, clause or phrase hereof irrespective of the fact that any one or more Sections, paragraphs, sentences, clauses or phrases of this Agreement may be held illegal, invalid or unenforceable. Attachment 3 Page 368 of 901 -22- Section 8.6. Article and Section Headings and References. The headings or titles of the several Articles and Sections hereof, and any table of contents appended to copies hereof, shall be solely for convenience of reference and do not affect the meaning, construction or effect of this Agreement. All references herein to “Articles,” “Sections” and other subdivisions are to the corresponding Articles, Sections or subdivisions of this Agreement; the words “herein,” “hereof,” “hereby,” “hereunder” and other words of similar import refer to this Agreement as a whole and not to any particular Article, Section or subdivision hereof; and words of the masculine gender shall mean and include words of the feminine and neuter genders. Section 8.7. Payment on Non-Business Days. Whenever any payment is required to be made hereunder on a day which is not a Business Day, such payment shall be made on the immediate preceding Business Day. Section 8.8. Execution of Counterparts. This Agreement may be executed in any number of counterparts, each of which for all purposes is deemed to be an original and all of which shall together constitute but one and the same instrument. Section 8.9. Waiver of Personal Liability. No member of the City Council, officer, agent or employee of the City has any individual or personal liability for the payment of Installment Payments or Additional Payments or be subject to any personal liability or accountability by reason of this Agreement; but nothing herein contained shall relieve any such member of the City Council, officer, agent or employee from the performance of any official duty provided by law or by this Agreement. Section 8.10. Trustee as Third Party Beneficiary. The Trustee is hereby made a third party beneficiary hereof and shall be entitled to the benefits of this Agreement with the same force and effect as if the Trustee were a party hereto. [Signature Page Follows] Attachment 3 Page 369 of 901 [Signature Page to Installment Sale Agreement dated as of March 1, 2022] IN WITNESS WHEREOF, the Authority and the City have caused this Agreement to be executed in their respective names by their duly authorized officers, all as of the date first above written. UKIAH PUBLIC FINANCING AUTHORITY, as Seller By: Sage Sangiacomo Executive Director ATTEST: By: Kristine Lawler Secretary CITY OF UKIAH, as Purchaser By: Sage Sangiacomo City Manager ATTEST: By: Kristine Lawler City Clerk Attachment 3 Page 370 of 901 A-1 APPENDIX A SCHEDULE OF 2022 INSTALLMENT PAYMENTS Installment Payment Date* Principal Component Interest Component Total Payment Total Annual Payment ____________ * Installment Payment Dates are the 6th Business Day immediately preceding each Interest Payment Date shown in the table. Attachment 3 Page 371 of 901 B-1 APPENDIX B DESCRIPTION OF 2022 PROJECT The 2022 Project consists of the following improvements to the Electric System, subject to the right of the City to modify this list as provided in Section 3.5: • [____________] • [____________] Fund not used for the above-described 2022 Project may be expended for other improvements to the Electric System. Attachment 3 Page 372 of 901 C-1 APPENDIX C PROVISIONS RELATED TO THE INSURANCE POLICIES Notwithstanding anything to the contrary in this Installment Sale Agreement, the following provisions shall govern with respect to the Insurance Policies; provided that the City shall be obligated to pay amounts owed in connection with a draw on the Insurance Policy (including Insurer Advances) solely from the Net Revenues of the Electric System and no other sources: [To come, if applicable] Attachment 3 Page 373 of 901 Jones Hall Draft of Feb. 8, 2022 INDENTURE OF TRUST Dated as of March 1, 2022 between the UKIAH PUBLIC FINANCING AUTHORITY and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee Authorizing the issuance of: $____________ Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 Attachment 4 Page 374 of 901 -i- TABLE OF CONTENTS ARTICLE I: DEFINITIONS; RULES OF CONSTRUCTION: Section 1.01. Definitions ............................................................................................................................ 2 Section 1.02. Authorization ........................................................................................................................ 2 Section 1.03. Interpretation ........................................................................................................................ 2 ARTICLE II: THE 2022 BONDS: Section 2.01. Authorization of 2022 Bonds ............................................................................................... 3 Section 2.02. Terms of the 2022 Bonds .................................................................................................... 3 Section 2.03. Transfer and Exchange of Bonds ........................................................................................ 4 Section 2.04. Book-Entry Only System ..................................................................................................... 5 Section 2.05. Registration Books ............................................................................................................... 6 Section 2.06. Form and Execution of Bonds ............................................................................................. 6 Section 2.07. Bonds Mutilated, Lost, Destroyed or Stolen ........................................................................ 7 ARTICLE III: ISSUANCE OF BONDS; APPLICATION OF PROCEEDS: Section 3.01. Issuance of the Bonds ......................................................................................................... 7 Section 3.02. Application of Proceeds of Sale of Bonds ........................................................................... 7 Section 3.03. Establishment and Application of Costs of Issuance Fund ................................................. 8 Section 3.04. Project Fund ........................................................................................................................ 8 Section 3.05. Validity of Bonds .................................................................................................................. 9 ARTICLE IV: REDEMPTION OF BONDS: Section 4.01. Terms of Redemption of 2022 Bonds .................................................................................. 9 Section 4.02. Selection of Bonds for Redemption ................................................................................... 10 Section 4.03. Notice of Redemption; Rescission ..................................................................................... 10 Section 4.04. Partial Redemption of Bonds ............................................................................................. 11 Section 4.05. Effect of Redemption ......................................................................................................... 11 ARTICLE V: REVENUES; FUNDS AND ACCOUNTS; PAYMENT OF PRINCIPAL AND INTEREST: Section 5.01. Security for the Bonds; Bond Fund .................................................................................... 12 Section 5.02. Allocation of Revenues ...................................................................................................... 12 Section 5.03. Interest Account ................................................................................................................. 13 Section 5.04. Principal Account ............................................................................................................... 13 Section 5.05. Application of Redemption Fund ....................................................................................... 13 Section 5.06. Investments ....................................................................................................................... 13 Section 5.07. Valuation and Disposition of Investments ......................................................................... 14 ARTICLE VI: COVENANTS OF THE AUTHORITY Section 6.01. Punctual Payment .............................................................................................................. 15 Section 6.02. Extension of Payment of Bonds ........................................................................................ 15 Section 6.03. Against Encumbrances ...................................................................................................... 15 Section 6.04. Power to Issue Bonds and Make Pledge and Assignment................................................ 15 Section 6.05. Accounting Records........................................................................................................... 16 Section 6.06. Limitation on Additional Obligations .................................................................................. 16 Attachment 4 Page 375 of 901 -ii- Section 6.07. Tax Covenants ................................................................................................................... 16 Section 6.08. Enforcement of Installment Sale Agreement ..................................................................... 17 Section 6.09. Waiver of Laws .................................................................................................................. 17 Section 6.10. Further Assurances ........................................................................................................... 17 Section 6.11. Maintenance of Existence ................................................................................................. 17 Section 6.12. Covenants and Agreements Related to the Insurance Policies ........................................ 17 ARTICLE VII: EVENTS OF DEFAULT AND REMEDIES: Section 7.01. Events of Default ............................................................................................................... 17 Section 7.02. Remedies Upon Event of Default ...................................................................................... 18 Section 7.03. Application of Revenues and Other Funds After Default................................................... 18 Section 7.04. Trustee to Represent Bond Owners .................................................................................. 19 Section 7.05. Limitation on Bond Owners' Right to Sue .......................................................................... 19 Section 7.06. Absolute Obligation of Authority ........................................................................................ 20 Section 7.07. Termination of Proceedings ............................................................................................... 20 Section 7.08. Remedies Not Exclusive .................................................................................................... 20 Section 7.09. No Waiver of Default.......................................................................................................... 20 Section 7.10. Notice to Bond Owners of Default ..................................................................................... 20 ARTICLE VIII: THE TRUSTEE: Section 8.01. Appointment of Trustee ..................................................................................................... 21 Section 8.02. Acceptance of Trusts; Removal and Resignation of Trustee ............................................ 21 Section 8.03. Merger or Consolidation .................................................................................................... 23 Section 8.04. Liability of Trustee .............................................................................................................. 23 Section 8.05. Right to Rely on Documents .............................................................................................. 25 Section 8.06. Preservation and Inspection of Documents ....................................................................... 26 Section 8.07. Compensation and Indemnification ................................................................................... 26 ARTICLE IX: MODIFICATION OR AMENDMENT HEREOF: Section 9.01. Amendments Permitted ..................................................................................................... 27 Section 9.02. Effect of Supplemental Indenture ...................................................................................... 28 Section 9.03. Endorsement of Bonds; Preparation of New Bonds .......................................................... 28 Section 9.04. Amendment of Particular Bonds ........................................................................................ 28 ARTICLE X: DEFEASANCE: Section 10.01. Discharge of Indenture .................................................................................................... 29 Section 10.02. Discharge of Liability on Bonds ....................................................................................... 29 Section 10.03. Deposit of Money or Securities with Trustee ................................................................... 30 Section 10.04. Unclaimed Funds ............................................................................................................. 30 ARTICLE XI: MISCELLANEOUS: Section 11.01. Liability of Authority Limited to Revenues ....................................................................... 31 Section 11.02. Limitation of Rights to Parties and Bond Owners ............................................................ 31 Section 11.03. Funds and Accounts ........................................................................................................ 31 Section 11.04. Waiver of Notice; Requirement of Mailed Notice ............................................................. 31 Section 11.05. Destruction of Bonds ....................................................................................................... 32 Section 11.06. Severability of Invalid Provisions ..................................................................................... 32 Section 11.07. Notices ............................................................................................................................. 32 Section 11.08. Evidence of Rights of Bond Owners ................................................................................ 33 Attachment 4 Page 376 of 901 -iii- Section 11.09. Disqualified Bonds ........................................................................................................... 33 Section 11.10. Money Held for Particular Bonds ..................................................................................... 33 Section 11.11. Waiver of Personal Liability ............................................................................................. 33 Section 11.12. Successor Is Deemed Included in All References to Predecessor ................................. 34 Section 11.13. Continuing Disclosure ...................................................................................................... 34 Section 11.14. Execution in Several Counterparts .................................................................................. 34 Section 11.15. Payment on Non-Business Day ....................................................................................... 34 Section 11.16. Governing Law................................................................................................................. 34 APPENDIX A DEFINITIONS APPENDIX B FORM OF 2022 BOND APPENDIX C FORM OF WRITTEN REQUISITION [APPENDIX D PROVISION RELATING TO 2022 BONDS INSURANCE POLICY] [APPENDIX E PROVISIONS RELATING TO 2022 BONDS RESERVE POLICY] Attachment 4 Page 377 of 901 INDENTURE OF TRUST This INDENTURE OF TRUST (this “Indenture”), dated for convenience as of March 1, 2022, is between the UKIAH PUBLIC FINANCING AUTHORITY, a joint powers agency duly organized and existing under laws of the State of California (the “Authority”), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., a national banking association organized and existing under the laws of the United States of America, with a corporate trust office in San Francisco, California, being qualified to accept and administer the trusts hereby created (the “Trustee”). BACKGROUND: 1. The Authority is a joint powers authority duly organized and existing under th Constitution and laws of the State of California. 2. Under Article 4 (commencing with section 6584) of Chapter 5 of Division 7 of Title 1 of the California Government Code (the “Bond Law”) the Authority is authorized to borrow money for the purpose of financing the acquisition of bonds, notes and other obligations of or for the purpose of making loans to, and to provide financing for public capital improvement of public entities, including the City. 3. The City owns and operates facilities and property for the generation, transmission and distribution of electricity within the service area of the City (as more specifically defined herein, the “Electric System”), and the City wishes to provide funds for the acquisition, construction and installation of certain improvements to the Electric System (as more specifically defined herein, collectively, the “Projects”). 4. In order to provide financing for the Projects, the City has requested the Authority to issue its Electric Revenue Bonds, Series 2022 in the aggregate principal amount of $____________ (the “2022 Bonds”) under this Indenture and the Bond Law. 5. In order to provide revenues for the payment of debt service on the 2022 Bonds and any Additional Bonds that may be issued in the future (together, the “Bonds”), the Authority and the City have entered into an Installment Sale Agreement, dated as of March 1, 2022 (the “Installment Sale Agreement”), under which the Authority agrees to issue the Bonds and thereby provide funds to finance the Projects, and the Authority further agrees to sell the completed Projects to the City in consideration of the agreement by the City to pay semiannual installment payments (the “Installment Payments”) as the purchase price thereof. 6. The Installment Payments are payable from, and are secured by a pledge of and lien on, the Net Revenues of the Electric System. 7. In order to provide for the authentication and delivery of the Bonds, to establish and declare the terms and conditions upon which Bonds are to be issued and to secure the payment of the principal thereof and interest thereon, the Authority has authorized the execution and delivery of this Indenture. 8. [The scheduled payment of principal of and interest on the 2022 Bonds when due will be guaranteed under an insurance policy to be issued concurrently with the delivery of the 2022 Bonds by ____________ (“_______” or the “2022 Bonds Insurer”).] Attachment 4 Page 378 of 901 -2- 9. The Authority has found and determines, and hereby affirms, that all acts and proceedings required by law necessary to make the Bonds, when executed by the Authority, authenticated and delivered by the Trustee and duly issued, the valid, binding and legal special obligations of the Authority, and to constitute this Indenture a valid and binding agreement for the uses and purposes herein set forth in accordance with its terms, have been done and taken, and the execution and delivery of this Indenture have been in all respects duly authorized. AGREEMENT: In order to secure the payment of the principal of and the interest on all the Outstanding Bonds under this Indenture according to their tenor, and to secure the performance and observance of all the covenants and conditions therein and herein set forth, and to declare the terms and conditions upon and subject to which the Bonds are to be issued and received, and in consideration of the premises and of the mutual covenants herein contained and of the purchase and acceptance of the Bonds by the Owners thereof, and for other valuable considerations, the receipt of which is hereby acknowledged, the Authority and the Trustee do hereby covenant and agree with one another, for the benefit of the respective Owners from time to time of the Bonds, as follows: ARTICLE I DEFINITIONS; RULES OF CONSTRUCTION Section 1.01. Definitions. Unless the context clearly otherwise requires or unless otherwise defined herein, the capitalized terms defined in Appendix A attached to this Indenture have the respective meanings specified in that Appendix when used in this Indenture. Capitalized terms in this Indenture and not otherwise defined herein have the respective meanings given them in Section 1.1 of the Installment Sale Agreement. Section 1.02. Authorization. Each of the parties hereby represents and warrants that it has full legal authority and is duly empowered to enter into this Indenture, and has taken all actions necessary to authorize the execution hereof by the officers and persons signing it. Section 1.03. Interpretation. (a) Unless the context otherwise indicates, words expressed in the singular shall include the plural and vice versa and the use of the neuter, masculine, or feminine gender is for convenience only and shall be deemed to include the neuter, masculine or feminine gender, as appropriate. (b) Headings of articles and sections herein and the table of contents hereof are solely for convenience of reference, do not constitute a part hereof and shall not affect the meaning, construction or effect hereof. (c) All references herein to “Articles,” “Sections” and other subdivisions are to the corresponding Articles, Sections or subdivisions of this Indenture; the words “herein,” “hereof,” “hereby,” “hereunder” and other words of similar import refer to this Indenture as a whole and not to any particular Article, Section or subdivision hereof. Attachment 4 Page 379 of 901 -3- ARTICLE II THE 2022 BONDS Section 2.01. Authorization of 2022 Bonds. The Authority has reviewed all proceedings heretofore taken and has found, as a result of such review, and hereby finds and determines that all things, conditions and acts required by law to exist, happen or be performed precedent to and in connection with the issuance of the 2022 Bonds do exist, have happened and have been performed in due time, form and manner as required by law, and the Authority is now duly empowered, under each and every requirement of law, to issue the 2022 Bonds in the manner and form provided in this Indenture. The Authority hereby authorizes 2022 Bonds under the Bond Law for the purposes of providing funds to finance the costs of acquisition, construction and improvement of the Projects. The 2022 Bonds shall be designated the “Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022,” and shall be issued in the aggregate principal amount of $____________. Section 2.02. Terms of the 2022 Bonds. The 2022 Bonds shall be issued in fully registered form without coupons in denominations of $5,000 or any integral multiple thereof, so long as no 2022 Bond has more than one maturity date. The 2022 Bonds shall mature on March 1 in each of the years and in the amounts, and bear interest (calculated on the basis of a 360-day year of twelve 30-day months) at the rates, as follows: Maturity Date (March 1) Principal Amount Interest Rate Maturity Date (March 1) Principal Amount Interest Rate T: 2022 Term Bonds Interest on the 2022 Bonds is payable from the Interest Payment Date next preceding the date of authentication thereof unless: (i) a 2022 Bond is authenticated on or before an Interest Payment Date and after the close of business on the preceding Record Date, in which event it will bear interest from such Interest Payment Date, (ii) a 2022 Bond is authenticated on or before the first Record Date, in which event interest thereon will be payable from the Closing Date, or (iii) interest on any 2022 Bond is in default as of the date of authentication thereof, in which event interest thereon will be payable from the date to Attachment 4 Page 380 of 901 -4- which interest has been paid in full, payable on each Interest Payment Date. Interest is payable on each Interest Payment Date to the persons in whose names the ownership of the 2022 Bonds is registered on the Registration Books at the close of business on the immediately preceding Record Date, except as provided below. Interest on any 2022 Bond which is not punctually paid or duly provided for on any Interest Payment Date is payable to the person in whose name the ownership of such 2022 Bond is registered on the Registration Books at the close of business on a special record date for the payment of such defaulted interest to be fixed by the Trustee, notice of which is given to such Owner by first-class mail not less than 10 days prior to such special record date. The Trustee will pay interest on the 2022 Bonds by check of the Trustee mailed by first class mail, postage prepaid, on each Interest Payment Date to the Owners of the 2022 Bonds at their respective addresses shown on the Registration Books as of the close of business on the preceding Record Date. At the written request of the Owner of 2022 Bonds in an aggregate principal amount of at least $1,000,000, which written request is on file with the Trustee as of any Record Date, the Trustee will pay interest on such 2022 Bonds on each succeeding Interest Payment Date by wire transfer in immediately available funds to such account of a financial institution within the United States of America as specified in such written request, which written request will remain in effect until rescinded in writing by the Owner. The Trustee will pay principal of the 2022 Bonds in lawful money of the United States of America by check of the Trustee upon presentation and surrender thereof at the Office of the Trustee. Section 2.03. Transfer and Exchange of Bonds. (a) Transfer. Any Bond may, in accordance with its terms, be transferred, upon the Registration Books, by the person in whose name it is registered, in person or by a duly authorized attorney of such person, upon surrender of such Bond to the Trustee at its Office for cancellation, accompanied by delivery of a written instrument of transfer in a form acceptable to the Trustee, duly executed. The Trustee shall collect any tax or other governmental charge on the transfer of any Bonds under this Section. Whenever any Bond or Bonds shall be surrendered for transfer, the Authority shall execute and the Trustee shall authenticate and deliver to the transferee a new Bond or Bonds of like series, interest rate, maturity and aggregate principal amount. The Authority shall pay the cost of printing Bonds and any services rendered or expenses incurred by the Trustee in connection with any transfer of Bonds. Prior to any transfer of the Bonds outside the book-entry system (including, but not limited to, the initial transfer outside the book-entry system) the transferor shall provide or cause to be provided to the Trustee all information necessary to allow the Trustee to comply with any applicable tax reporting obligations, including without limitation any cost basis reporting obligations under Internal Revenue Code Section 6045, as amended. The Trustee shall conclusively rely on the information provided to it and shall have no responsibility to verify or ensure the accuracy of such information. (b) Exchange. The Bonds may be exchanged at the Office of the Trustee for a like aggregate principal amount of Bonds of other authorized denominations and of the same series, Attachment 4 Page 381 of 901 -5- interest rate and maturity. The Trustee shall collect any tax or other governmental charge on the exchange of any Bonds under this subsection (b). The Authority shall pay the cost of printing Bonds and any services rendered or expenses incurred by the Trustee in connection with any exchange of Bonds. (c) Limitations. The Trustee may refuse to transfer or exchange, under the provisions of this Section, any Bonds selected by the Trustee for redemption under Article IV, or any Bonds during the period established by the Trustee for the selection of Bonds for redemption. Section 2.04. Book-Entry Only System. (a) Original Delivery. The Bonds will be initially delivered in the form of a separate single fully registered bond (which may be typewritten) for each maturity of the Bonds. Upon initial delivery, the Trustee shall register the ownership of each Bond on the Registration Books in the name of the Nominee. Except as provided in subsection (c), the ownership of all of the Outstanding Bonds shall be registered in the name of the Nominee on the Registration Books. With respect to Bonds the ownership of which shall be registered in the name of the Nominee, the Authority and the Trustee has no responsibility or obligation to any Depository System Participant or to any person on behalf of which the Nominee holds an interest in the Bonds. Without limiting the generality of the immediately preceding sentence, the Authority and the Trustee has no responsibility or obligation with respect to (i) the accuracy of the records of the Depository, the Nominee or any Depository System Participant with respect to any ownership interest in the Bonds, (ii) the delivery to any Depository System Participant or any other person, other than a Bond Owner as shown in the Registration Books, of any notice with respect to the Bonds, including any notice of redemption, (iii) the selection by the Depository of the beneficial interests in the Bonds to be redeemed if the Authority elects to redeem the Bonds in part, (iv) the payment to any Depository System Participant or any other person, other than a Bond Owner as shown in the Registration Books, of any amount with respect to principal or interest on the Bonds or (v) any consent given or other action taken by the Depository as Owner of the Bonds. The Authority and the Trustee may treat and consider the person in whose name each Bond is registered as the absolute owner of such Bond for the purpose of payment of principal of and interest on such Bond, for the purpose of giving notices of redemption and other matters with respect to such Bond, for the purpose of registering transfers of ownership of such Bond, and for all other purposes whatsoever. The Trustee shall pay the principal of and the interest on the Bonds only to the respective Owners or their respective attorneys duly authorized in writing, and all such payments shall be valid and effective to fully satisfy and discharge all obligations with respect to payment of principal of and interest on the Bonds to the extent of the sum or sums so paid. No person other than a Bond Owner shall receive a Bond evidencing the obligation of the Authority to make payments of principal and interest under this Indenture. Upon delivery by the Depository to the Authority of written notice to the effect that the Depository has determined to substitute a new Nominee in its place, and subject to the provisions herein with respect to Record Dates, such new nominee shall become the Nominee hereunder for all purposes; and upon receipt of such a notice the Authority shall promptly deliver a copy of the same to the Trustee. (b) Representation Letter. In order to qualify the Bonds for the Depository’s book- entry only system, the Authority shall execute and deliver to such Depository a letter representing such matters as shall be necessary to so qualify the Bonds. The execution and delivery of such letter shall not in any way limit the provisions of subsection (a) above or in any other way impose upon the Authority or the Trustee any obligation whatsoever with respect to Attachment 4 Page 382 of 901 -6- persons having interests in the Bonds other than the Bond Owners. Upon the written acceptance by the Trustee, the Trustee shall agree to take all action reasonably necessary for all representations of the Trustee in such letter with respect to the Trustee to at all times be complied with. In addition to the execution and delivery of such letter, the Authority may take any other actions, not inconsistent with this Indenture, to qualify the Bonds for the Depository’s book-entry only program. (c) Transfers Outside Book-Entry Only System. If either (i) the Depository determines not to continue to act as Depository for the Bonds, or (ii) the Authority determines to terminate the Depository as such, then the Authority shall thereupon discontinue the book-entry only system with such Depository. In such event, the Depository shall cooperate with the Authority and the Trustee in the issuance of replacement Bonds by providing the Trustee with a list showing the interests of the Depository System Participants in the Bonds, and by surrendering the Bonds, registered in the name of the Nominee, to the Trustee on or before the date such replacement Bonds are to be issued. The Depository, by accepting delivery of the Bonds, agrees to be bound by the provisions of this subsection (c). If, prior to the termination of the Depository acting as such, the Authority fails to identify another Securities Depository to replace the Depository, then the Bonds shall no longer be required to be registered in the Registration Books in the name of the Nominee, but shall be registered in whatever name or names the Owners transferring or exchanging Bonds shall designate, in accordance with the provisions hereof. If the Authority determines that it is in the best interests of the beneficial owners of the Bonds that they be able to obtain certificated Bonds, the Authority may notify the Depository System Participants of the availability of such certificated Bonds through the Depository. In such event, the Authority will execute and the Trustee shall authenticate, transfer and exchange Bonds as required by the Depository and others in appropriate amounts; and whenever the Depository requests, the Trustee and the Authority shall cooperate with the Depository in taking appropriate action (y) to make available one or more separate certificates evidencing the Bonds to any Depository System Participant having Bonds credited to its account with the Depository, or (z) to arrange for another Securities Depository to maintain custody of a single certificate evidencing such Bonds, all at the Authority’s expense. (d) Payments to the Nominee. Notwithstanding any other provision of this Indenture to the contrary, so long as any Bond is registered in the name of the Nominee, all payments with respect to principal of and interest on such Bond and all notices with respect to such Bond shall be made and given, respectively, as provided in the representation letter described in subsection (b) of this Section or as otherwise instructed by the Depository. Section 2.05. Registration Books. The Trustee shall keep or cause to be kept, at the Office of the Trustee, sufficient records for the registration and transfer of ownership of the Bonds, which shall upon reasonable notice as agreed to by the Trustee, be open to inspection during regular business hours with reasonable notice by the Authority; and, upon presentation for such purpose, the Trustee shall, under such reasonable regulations as it may prescribe, register or transfer or cause to be registered or transferred, on such records, the ownership of the Bonds as hereinbefore provided. Section 2.06. Form and Execution of Bonds. The Bonds, the form of Trustee’s certificate of authentication, and the form of assignment to appear thereon, are set forth in Appendix B attached hereto and by this reference incorporated herein, with necessary or appropriate variations, omissions and insertions, as permitted or required by this Indenture. Attachment 4 Page 383 of 901 -7- The Director of the Authority shall execute, and the Secretary (or Deputy Secretary) of the Authority shall attest each Bond. Either or both of such signatures may be made manually or may be affixed by facsimile thereof. If any officer whose signature appears on any Bond ceases to be such officer before the Closing Date, such signature will nevertheless be as effective as if the officer had remained in office until the Closing Date. Any Bond may be signed and attested on behalf of the Authority by such persons as at the actual date of the execution of such Bond are the proper officers of the Authority, duly authorized to execute debt instruments on behalf of the Authority, although on the date of such Bond any such person was not an officer of the Authority. Only those Bonds bearing a certificate of authentication in the form set forth in Appendix B, manually executed and dated by the Trustee, are valid or obligatory for any purpose or entitled to the benefits of this Indenture, and such certificate of the Trustee is conclusive evidence that such Bonds have been duly authenticated and delivered hereunder and are entitled to the benefits of this Indenture. Section 2.07. Bonds Mutilated, Lost, Destroyed or Stolen. If any Bond is mutilated, the Authority, at the expense of the Owner of such Bond, shall execute, and the Trustee shall thereupon authenticate and deliver, a new Bond of like tenor in exchange and substitution for the Bond so mutilated, but only upon surrender to the Trustee of the Bond so mutilated. The Trustee shall cancel every mutilated Bond surrendered to it and deliver such mutilated Bond to, or upon the order of, the Authority. If any Bond is lost, destroyed or stolen, evidence of such loss, destruction or theft may be submitted to the Trustee and, if such evidence is satisfactory and if indemnity satisfactory to the Trustee is given, the Authority, at the expense of the Owner, shall execute, and the Trustee shall thereupon authenticate and deliver, a new Bond of like tenor in lieu of and in substitution for the Bond so lost, destroyed or stolen. The Trustee may require payment of a sum not exceeding the actual cost of preparing each new Bond issued under this Section and of the expenses which may be incurred by the Trustee in connection therewith. Any Bond issued under the provisions of this Section in lieu of any Bond alleged to be lost, destroyed or stolen will constitute an original additional contractual obligation on the part of the Authority whether or not the Bond so alleged to be lost, destroyed or stolen be at any time enforceable by anyone, and shall be equally and proportionately entitled to the benefits of this Indenture with all other Bonds issued under this Indenture. Notwithstanding any other provision of this Section, in lieu of delivering a new Bond for which principal has become due for a Bond which has been mutilated, lost, destroyed or stolen, the Trustee may make payment of such Bond in accordance with its terms upon receipt of indemnity satisfactory to the Trustee. ARTICLE III ISSUANCE OF 2022 BONDS; APPLICATION OF PROCEEDS Section 3.01. Issuance of the 2022 Bonds. At any time after the execution of this Indenture, the Authority may execute and the Trustee shall authenticate and, upon the Written Request of the Authority, deliver 2022 Bonds to the Original Purchaser. Section 3.02. Application of Proceeds of Sale of 2022 Bonds. Upon the receipt of payment for the 2022 Bonds on the Closing Date in the amount of $__________, the Trustee Attachment 4 Page 384 of 901 -8- shall deposit the proceeds thereof into a temporary account called the Proceeds Fund which the Trustee shall establish, maintain and hold in trust, and which shall be disbursed in full on the Closing Date (whereupon said temporary account shall be closed) as follows: (a) The Trustee shall deposit the amount of $_________ into the Costs of Issuance Fund, to be applied to pay the Costs of Issuance for the 2022 Bonds. (b) The Trustee shall deposit the amount of $___________, constituting the remainder of such proceeds, in the Project Fund. [In addition, the Trustee shall deposit the 2022 Reserve Policy in the 2022 Bonds Reserve Account.] Section 3.03. Establishment and Application of Costs of Issuance Fund. The Trustee shall establish, maintain and hold in trust a separate fund designated as the “Costs of Issuance Fund” into which the Trustee shall deposit a portion of the proceeds of sale of the 2022 Bonds under Section 3.02(a). The Trustee shall disburse amounts in the Costs of Issuance Fund from time to time to pay the Costs of Issuance of the Bonds upon submission of a Written Requisition of the Authority stating the person to whom payment is to be made, the amount to be paid, the purpose for which the obligation was incurred and that such payment is a proper charge against the Costs of Issuance Fund. The Trustee may conclusively rely on the representations set forth in such Written Requisitions and shall be fully protected in relying thereon. On May 1, 2022, or upon the earlier Written Request of the Authority, the Trustee shall transfer all amounts remaining in the Costs of Issuance Fund to the Project Fund and shall thereupon close the Costs of Issuance Fund. Section 3.04. Project Fund. The Trustee shall establish, maintain and hold in trust a separate fund designated as the “Project Fund” into which the Trustee shall deposit a portion of the proceeds of sale of the 2022 Bonds under Section 3.02(b). The Trustee shall disburse amounts in the Project Fund from time to time to pay Project Costs upon submission of a Written Requisition of the City in substantially the form attached hereto as Appendix C. Each such Written Requisition of the City shall be sufficient evidence to the Trustee of the facts stated therein and the Trustee shall have no duty to confirm the accuracy of such facts. Upon the determination by the City that the Projects have been completed and that no further amounts are required to be disbursed from the Project Fund to pay Project Costs, the City shall file a Written Certificate with the Trustee to that effect in accordance with Section 3.6 of the Installment Sale Agreement. Upon receipt of such Written Certificate, the Trustee shall withdraw all amounts remaining on deposit in the Project Fund and deposit such amounts in the Interest Account, to be applied as a credit towards the Installment Payments next coming due and payable and shall thereupon close the Project Fund. Section 3.05. Reserve Fund and Accounts Therein. [The Trustee shall establish, maintain and hold in trust a separate fund designated as the “Reserve Fund,” and within the Reserve Fund a reserve account for each series of Bonds secured thereby, for the benefit of the Owners of the applicable series of Bonds; provided, that nothing in this Section 3.05 shall require reserve accounts for future series of Bonds.] [On the Closing Date for the 2022 Bonds, the Trustee shall establish the “2022 Bonds Reserve Account,” in trust as a reserve for the payment of the principal of, interest, and Attachment 4 Page 385 of 901 -9- premium, if any, on the 2022 Bonds. The 2022 Bonds Reserve Account shall be funded at the closing of the 2022 Bonds in the amount of the 2022 Bonds Reserve Requirement with the deposit of the 2022 Bonds Reserve Policy, and the Authority shall have no obligation to replace the 2022 Bonds Reserve Policy, or, other than payment to the Insurer for draws on the 2022 Reserve Policy, to fund the 2022 Bonds Reserve Account with cash or any other security if, at any time that the 2022 Bonds are Outstanding, amounts are not available under 2022 Bonds Reserve Policy, there is a rating downgrade of the 2022 Bonds Insurer or for any other reason.] [The amounts available under the 2022 Bonds Reserve Policy will be used and withdrawn by the Trustee solely for the purpose of making transfers to the Bond Fund in the event of any deficiency at any time in such account for the purpose of paying scheduled principal and interest on the of 2022 Bonds. The Trustee will comply with all documentation relating to the 2022 Bonds Reserve Policy as required to maintain the 2022 Bonds Reserve Policy in full force and effect and as required to receive payments thereunder if and to the extent required to make any payment when and as required, including as set forth in Appendix E.] Section 3.06. Validity of Bonds. The recital contained in the Bonds that the same are issued under the laws of the State of California shall be conclusive evidence of their validity and of compliance with the provisions of law in their issuance. ARTICLE IV REDEMPTION OF BONDS Section 4.01. Terms of Redemption of 2022 Bonds. (a) Optional Redemption. The 2022 Bonds maturing on or before March 1, ____, are not subject to optional redemption prior to their respective stated maturity dates. The 2022 Bonds maturing on or after March 1, ____ are subject to redemption in whole, or in part at the Written Request of the Authority among maturities on such basis as the Authority may designate and by lot within a maturity, at the option of the Authority, on any date on or after March 1, ____, from any available source of funds, at a redemption price equal to 100% of the principal amount of the 2022 Bonds to be redeemed, plus accrued interest to the date of redemption, without premium. The Authority shall give the Trustee written notice of its intention to redeem 2022 2022 Bonds under this subsection (a), and the manner of selecting such 2022 Bonds for redemption from among the maturities thereof, at least 45 days prior to the redemption date. (b) Mandatory Sinking Fund Redemption. The 2022 Term Bonds are subject to mandatory redemption in part by lot, at a redemption price equal to 100% of the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts and on March 1 in the respective years as set forth in the following tables; provided, however, that if some but not all of the 2022 Term Bonds have been redeemed under subsections (a) or (c) of this Section, the total amount of all future sinking fund payments shall be reduced by the aggregate principal amount of the 2022 Term Bonds so redeemed, to be allocated among such sinking fund payments on a pro rata basis in integral multiples of $5,000 (as set forth in a schedule provided by the Authority to the Trustee). Attachment 4 Page 386 of 901 -10- 2022 Term Bonds Maturing March 1, ____ Sinking Fund Redemption Date (March 1) Principal Amount To Be Redeemed 2022 Term Bonds Maturing March 1, ____ Sinking Fund Redemption Date (March 1) Principal Amount To Be Redeemed (c) Special Mandatory Redemption From Insurance and Sale Proceeds. The 2022 Bonds are also subject to redemption as a whole or in part, on any date, from and to the extent of the proceeds of disposition of Electric System properties or the proceeds of hazard insurance not used to repair or rebuild the Electric System, which proceeds are required to be used for such purpose under Section 7.3 of the Installment Sale Agreement, at a redemption price equal to the principal amount of the 2022 Bonds plus interest accrued thereon to the date fixed for redemption, without premium. The Authority shall give the Trustee written notice of its intention to redeem 2022 Bonds under this subsection (c), and the manner of selecting such 2022 Bonds for redemption from among the maturities and series thereof, at least 45 days prior to the redemption date. Section 4.02. Selection of Bonds for Redemption. Whenever provision is made in this Indenture for the redemption of less than all of the Bonds of a single series or maturity, the Trustee shall select the Bonds of that series and maturity to be redeemed by lot in any manner which the Trustee in its sole discretion deems appropriate. For purposes of such selection, the Trustee shall treat each Bond as consisting of separate $5,000 portions and each such portion shall be subject to redemption as if such portion were a separate Bond. Section 4.03. Notice of Redemption; Rescission. The Trustee shall mail notice of redemption of the Bonds by first class mail, postage prepaid, not less than 20 nor more than 60 days before any redemption date, to the respective Owners of any Bonds designated for redemption at their addresses appearing on the Registration Books and to one or more Securities Depositories and to the Municipal Securities Rulemaking Board. Each notice of redemption shall state the date of the notice, the redemption date, the place or places of redemption, whether less than all of the series of Bonds (or all Bonds of a single maturity) are to be redeemed, the CUSIP numbers and (in the event that not all Bonds within a maturity are Attachment 4 Page 387 of 901 -11- called for redemption) Bond series and numbers of the Bonds to be redeemed and the maturity or maturities of the Bonds to be redeemed, and in the case of Bonds to be redeemed in part only, the respective portions of the principal amount thereof to be redeemed. Each such notice shall also state that on the redemption date there will become due and payable on each of said Bonds the redemption price thereof, and that from and after such redemption date interest thereon shall cease to accrue, and shall require that such Bonds be then surrendered. Neither the failure to receive any notice nor any defect therein shall affect the sufficiency of the proceedings for such redemption or the cessation of accrual of interest from and after the redemption date. Notice of redemption of Bonds shall be given by the Trustee, at the expense of the Authority, for and on behalf of the Authority. The Authority has the right to rescind any notice of optional redemption of Bonds under Section 4.01(a) by written notice to the Trustee on or prior to the dated fixed for redemption. Any notice of optional redemption shall be cancelled and annulled if for any reason funds will not be or are not available on the date fixed for redemption for the payment in full of the Bonds then called for redemption, and such cancellation shall not constitute an Event of Default. The Authority and the Trustee have no liability to the Bond Owners or any other party related to or arising from such rescission of redemption. The Trustee shall mail notice of such rescission of redemption in the same manner as the original notice of redemption was sent under this Section. In lieu of redemption of Bonds as provided above, amounts held by the Trustee for such redemption may be applied by the Trustee to the purchase of Bonds at public or private sale as and when and at such prices (including brokerage, accrued interest and other charges) at the direction of the Authority or the City received by the Trustee at least 75 days prior to the selection of the Bonds for redemption, but such purchase price must not exceed the redemption price that would be payable if such Bonds were redeemed. Section 4.04. Partial Redemption of Bonds. Upon surrender of any Bonds redeemed in part only, the Authority shall execute and the Trustee shall authenticate and deliver to the Owner thereof, at the expense of the Authority, a new Bond or Bonds of authorized denominations and of the same series, equal in aggregate principal amount to the unredeemed portion of the Bonds surrendered. Section 4.05. Effect of Redemption. Notice of redemption having been duly given as aforesaid, and moneys for payment of the redemption price of, together with interest accrued to the date fixed for redemption on the redemption date designated in such notice, the Bonds (or portions thereof) so called for redemption shall become due and payable, interest on the Bonds so called for redemption shall cease to accrue, said Bonds (or portions thereof) shall cease to be entitled to any benefit or security under this Indenture, and the Owners of said Bonds shall have no rights in respect thereof except to receive payment of the redemption price thereof. All Bonds redeemed under the provisions of this Article shall be canceled by the Trustee upon surrender thereof and destroyed in accordance with the retention policy of the Trustee then in effect. Attachment 4 Page 388 of 901 -12- ARTICLE V REVENUES; FUNDS AND ACCOUNTS; PAYMENT OF PRINCIPAL AND INTEREST Section 5.01. Security for the Bonds; Bond Fund. (a) Pledge of Revenues and Other Amounts. Subject only to the provisions of this Indenture permitting the application thereof for the purposes and on the terms and conditions set forth herein, all of the Revenues and all amounts (including proceeds of the sale of the Bonds) held in any fund or account established under this Indenture and held by the Trustee are hereby pledged to secure the payment of the principal of and interest on the Bonds in accordance with their terms and the provisions of this Indenture, including payment of any Insurer Reimbursement Amounts (as defined in Appendix D) and payment of any Policy Costs (as defined in Appendix E). Said pledge constitutes a lien on and security interest in the Revenues and such amounts and shall attach, be perfected and be valid and binding from and after the Closing Date, without the need for any physical delivery thereof or further act. (b) Assignment to Trustee. The Authority hereby irrevocably transfers, assigns and sets over to the Trustee, without recourse to the Authority, all of its rights in the Installment Sale Agreement (excepting only the Authority’s rights under Sections 4.7 and 6.4 thereof), including but not limited to all of the Authority’s rights to receive and collect all of the Installment Payments. The Trustee shall be entitled to collect and receive all of the Installment Payments, and any Installment Payments collected or received by the Authority shall be deemed to be held, and to have been collected or received, by the Authority as the agent of the Trustee and shall forthwith be paid by the Authority to the Trustee. The Trustee is also entitled to and shall, subject to the provisions of Article VIII, take all steps, actions and proceedings which the Trustee determines to be reasonably necessary in its judgment to enforce, either jointly with the Authority or separately, all of the rights of the Authority and all of the obligations of the City under the Installment Sale Agreement. (c) Deposit of Revenues in Bond Fund. All Revenues shall be promptly deposited by the Trustee upon receipt thereof in a special fund designated as the “Bond Fund” which the Trustee shall establish, maintain and hold in trust; except that all moneys received by the Trustee and required hereunder or under the Installment Sale Agreement to be deposited in the Redemption Fund shall be promptly deposited in such fund. All Revenues deposited with the Trustee shall be held, disbursed, allocated and applied by the Trustee only as provided in this Indenture. Any surplus remaining in the Bond Fund, after payment in full of (i) the principal of and interest on the Bonds or provision therefor under Article X, (ii) payment of amounts due to any Insurer, and (iii) any applicable fees and expenses to the Trustee, shall be withdrawn by the Trustee and remitted to the City. Section 5.02. Allocation of Revenues. On or before the 6th Business Day preceding each Interest Payment Date, the Trustee shall transfer from the Bond Fund and deposit into the following respective accounts and fund, the following amounts in the following order of priority: (a) Deposit to Interest Account. The Trustee shall deposit in the Interest Account (which the Trustee shall establish and maintain within the Bond Fund) an amount required to cause the aggregate amount on deposit in the Interest Account to be at least equal to the amount of interest becoming Attachment 4 Page 389 of 901 -13- due and payable on such Interest Payment Date on all Bonds then Outstanding. (b) Deposit to Principal Account. The Trustee shall deposit in the Principal Account (which the Trustee shall establish and maintain within the Bond Fund) an amount required to cause the aggregate amount on deposit in the Principal Account to equal the principal amount of the Bonds coming due and payable on such Interest Payment Date, including the principal amount of Term Bonds which are subject to mandatory sinking fund redemption on such Interest Payment Date under Section 4.01(b). (c) Deposit to Accounts within Reserve Fund. The Trustee shall deposit into the accounts within the Reserve Fund amount(s) which are needed to replenish the amounts therein to the applicable reserve requirement therefor or pay amounts due to any insurer with respect to any Qualified Reserve Fund Credit Instrument, including to pay Policy Costs due to any Insurer. Section 5.03. Interest Account. All amounts in the Interest Account shall be used and withdrawn by the Trustee solely for the purpose of paying interest on the Bonds as it comes due and payable (including accrued interest on any Bonds purchased or redeemed prior to maturity). Section 5.04. Principal Account. All amounts in the Principal Account shall be used and withdrawn by the Trustee solely to pay the principal amount of the Bonds at their respective maturity dates, and the principal amount of Term Bonds which are subject to mandatory sinking fund redemption on such Interest Payment Date under Section 4.01(b). Section 5.05. Application of Redemption Fund. Upon the determination by the Authority to redeem any Bonds under Section 4.01(a) or Section 4.01(c), the Trustee shall establish and maintain the Redemption Fund, into which the Trustee shall deposit a portion of the Revenues received, in accordance with a Written Request of the Authority. Amounts on deposit in the Redemption Fund shall be used and withdrawn by the Trustee solely for the purpose of paying the principal of the Bonds to be redeemed under Section 4.01(a) or Section 4.01(c), as the case may be. At any time prior to the selection of Bonds for redemption, the Trustee may apply such amounts to the purchase of Bonds at public or private sale, when and at such prices (including brokerage and other charges, but excluding accrued interest, which is payable from the Interest Account) as shall be directed pursuant to a Written Request of the Authority, except that the purchase price (exclusive of accrued interest) may not exceed the redemption price then applicable to the Bonds. The Trustee is entitled to conclusively rely on any Written Request of the Authority received under this Section, and is fully protected in relying thereon. Section 5.06. Investments. All moneys in any of the funds or accounts established with the Trustee under this Indenture shall be invested by the Trustee solely in Permitted Investments. Such investments shall be directed by the Authority under a Written Request of the Authority filed with the Trustee at least two Business Days in advance of the making of such investments. In the absence of any such directions from the Authority, the Trustee shall invest any such moneys in Permitted Investments which constitute money market funds; provided, however, that any such investment shall be made by the Trustee only if, prior to the date on which such investment is to be made, the Trustee shall have received a written request of the Authority specifying a specific money market fund and, if no such written request of the Attachment 4 Page 390 of 901 -14- Authority is so received, the Trustee shall hold such moneys uninvested. Permitted Investments purchased as an investment of moneys in any fund shall be deemed to be part of such fund or account. To the extent Permitted Investments are registrable, such Permitted Investments must be registered in the name of the Trustee. All interest or gain derived from the investment of amounts in any of the funds or accounts established hereunder with the Trustee shall be deposited in the Bond Fund. For purposes of acquiring any investments hereunder, the Trustee may commingle funds held by it hereunder. The Trustee or any of its affiliates may act as principal or agent in the acquisition or disposition of any investment and may impose its customary charges therefor. The Trustee shall incur no liability for losses arising from any investments made under this Section. The Trustee may make any investments hereunder through its own bond or investment department or trust investment department, or those of its parent or any affiliate. The Trustee or any of its affiliates may act as sponsor, advisor or manager in connection with any investments made by the Trustee hereunder. The Trustee is hereby authorized, in making or disposing of any investment permitted by this Section, to deal with itself (in its individual capacity) or with any one or more of its affiliates, whether it or such affiliate is acting as an agent of the Trustee or for any third person or is dealing as a principal for its own account. The Authority acknowledges that to the extent regulations of the Comptroller of the Currency or other applicable regulatory entity grant the Authority the right to receive brokerage confirmations of security transactions as they occur, the Authority waives receipt of such confirmations to the extent permitted by law. The Authority further understands that trade confirmations for securities transactions effected by the Trustee will be available upon request and at no additional cost and other trade confirmations may be obtained from the applicable broker. The Trustee will furnish the Authority a periodic cash transaction statements which shall include detail for all investment transactions made by the Trustee hereunder. Upon the Authority’s election, such statements will be delivered via the Trustee’s online service and upon electing such service, paper statements will be provided only upon request. Section 5.07. Valuation and Disposition of Investments. (a) Except as otherwise provided in subsection (b) of this Section, the Authority covenants that all investments of amounts deposited in any fund or account created by or under this Indenture, or otherwise containing gross proceeds of the Bonds (within the meaning of Section 148 of the Tax Code) shall be acquired, disposed of and valued at the Fair Market Value thereof as such term is defined in subsection (d) below. The Trustee shall have no duty in connection with the determination of Fair Market Value other than to follow the investment directions of the Authority in any Written Request of the Authority. (b) Investments in funds or accounts (or portions thereof) that are subject to a yield restriction under applicable provisions of the Tax Code shall be valued at cost thereof, (consisting of present value thereof within the meaning of Section 148 of the Tax Code); provided that the Authority shall inform the Trustee which funds are subject to a yield restriction. (c) Except as provided in the preceding subsection (b), for the purpose of determining the amount in any fund or account established hereunder, the value of Permitted Investments credited to such fund shall be valued by the Trustee at least annually on or before September 15. The Trustee may sell or present for redemption, any Permitted Investment so purchased by the Trustee whenever it shall be necessary in order to provide moneys to meet any required Attachment 4 Page 391 of 901 -15- payment, transfer, withdrawal or disbursement from the fund to which such Permitted Investment is credited, and the Trustee shall not be liable or responsible for any loss resulting from any such Permitted Investment. (d) For purposes of this Section, the term “Fair Market Value” means the price at which a willing buyer would purchase the investment from a willing seller in a bona fide, arm’s length transaction (determined as of the date the contract to purchase or sell the investment becomes binding) if the investment is traded on an established securities market (within the meaning of Section 1273 of the Tax Code) and, otherwise, the term “Fair Market Value” means the acquisition price in a bona fide arm’s length transaction (as referenced above) if (i) the investment is a certificate of deposit that is acquired in accordance with applicable regulations under the Tax Code, (ii) the investment is an agreement with specifically negotiated withdrawal or reinvestment provisions and a specifically negotiated interest rate (for example, a guaranteed investment contract, a forward supply contract or other investment agreement) that is acquired in accordance with applicable regulations under the Tax Code, or (iii) the investment is a United States Treasury Security -- State and Local Government Series which is acquired in accordance with applicable regulations of the United States Bureau of Public Debt. (e) To the extent of any valuations made by the Trustee hereunder, the Trustee may utilize and conclusively rely upon computerized securities pricing services that may be available to it, including those available through its regular accounting system with respect to the Bonds. ARTICLE VI COVENANTS OF THE AUTHORITY Section 6.01. Punctual Payment. The Authority shall punctually pay or cause to be paid the principal of and interest on all the Bonds in strict conformity with the terms of the Bonds and of this Indenture, according to the true intent and meaning thereof, but only out of the Revenues and other amounts pledged for such payment as provided in this Indenture. Section 6.02. Extension of Payment of Bonds. The Authority shall not directly or indirectly extend or assent to the extension of the maturity of any of the Bonds or the time of payment of any claims for interest by the purchase of such Bonds or by any other arrangement, and in case the maturity of any of the Bonds or the time of payment of any such claims for interest shall be extended, such Bonds or claims for interest shall not be entitled, in case of any default hereunder, to the benefits of this Indenture, except subject to the prior payment in full of the principal of all of the Bonds then Outstanding and of all claims for interest thereon which have not been so extended. Section 6.03. Against Encumbrances. The Authority shall not create, or permit the creation of, any pledge, lien, charge or other encumbrance upon the Revenues and other assets pledged or assigned under this Indenture while any of the Bonds are Outstanding, except the pledge and assignment created by this Indenture. Subject to this limitation, the Authority expressly reserves the right to enter into one or more other indentures for any of its corporate purposes, and reserves the right to issue other obligations for such purposes. Section 6.04. Power to Issue Bonds and Make Pledge and Assignment. The Authority is duly authorized under law to issue the Bonds and to enter into this Indenture and to pledge and assign the Revenues and other amounts purported to be pledged and assigned, Attachment 4 Page 392 of 901 -16- respectively, under this Indenture in the manner and to the extent provided in this Indenture. The Bonds and the provisions of this Indenture are and will be the legal, valid and binding special obligations of the Authority in accordance with their terms, and the Authority and the Trustee shall at all times, subject to the provisions of Article VIII and to the extent permitted by law, defend, preserve and protect said pledge and assignment of Revenues and other assets and all the rights of the Bond Owners under this Indenture against all claims and demands of all persons whomsoever. Section 6.05. Accounting Records. The Trustee shall at all times keep, or cause to be kept, proper books of record and account, prepared in accordance with corporate trust industry standards, in which accurate entries shall be made of all transactions made by it relating to the proceeds of Bonds and all funds and accounts established under this Indenture. The Trustee shall make such books of record and account available for inspection by the Authority and the City, during business hours, upon reasonable notice, and under reasonable circumstances. Section 6.06. Additional Obligations Payable from Revenues. The Authority covenants that no additional bonds, notes or other indebtedness shall be issued or incurred which are payable out of the Revenues in whole or in part, except as set forth in Section 9.01(b)(v) and Section 5.7 of the Installment Sale Agreement. Section 6.07. Tax Covenants. The following covenants apply to Bonds for which interest is intended to be excluded from income under the Tax Code: (a) Private Business Use Limitation. The Authority shall assure that the proceeds of the Bonds are not used in a manner which would cause the Bonds to satisfy the private business tests of Section 141(b) of the Tax Code or the private loan financing test of Section 141(c) of the Tax Code. (b) Federal Guarantee Prohibition. The Authority shall not take any action or permit or suffer any action to be taken if the result of the same would be to cause the Bonds to be “federally guaranteed” within the meaning of Section 149(b) of the Tax Code. (c) No Arbitrage. The Authority shall not take, or permit or suffer to be taken by the Trustee or otherwise, any action with respect to the proceeds of the Bonds or of any other obligations which, if such action had been reasonably expected to have been taken, or had been deliberately and intentionally taken, on the Closing Date, would have caused the Bonds to be “arbitrage bonds” within the meaning of Section 148(a) of the Tax Code. (d) Maintenance of Tax Exemption. The Authority shall take all actions necessary to assure the exclusion of interest on the Bonds from the gross income of the Owners of the Bonds to the same extent as such interest is permitted to be excluded from gross income under the Tax Code as in effect on the Closing Date. (e) Rebate of Excess Investment Earnings to United States. The Authority shall calculate or cause to be calculated all amounts of Excess Investment Earnings which are required to be rebated to the United States of America under Section 148(f) of the Tax Code, at the times and in the manner required under the Tax Code. The Authority shall pay when due an amount equal to Excess Investment Earnings to the United States of America in such amounts, at such times and in such manner as may be required under the Tax Code, such payments to be made from any amounts provided by the City for that purpose under Section 5.11(e) of the Attachment 4 Page 393 of 901 -17- Installment Sale Agreement. The Authority shall keep or cause to be kept, and retain or cause to be retained for a period of six years following the retirement of the Bonds, records of the determinations made under this subsection (e). Section 6.08. Enforcement of Installment Sale Agreement. The Trustee shall promptly collect all amounts (to the extent any such amounts are available for collection) due from the City under the Installment Sale Agreement. Subject to the provisions of Article VIII, the Trustee shall enforce, and take all steps, actions and proceedings which the Trustee determines to be reasonably necessary for the enforcement of all of its rights thereunder as assignee of the Authority and for the enforcement of all of the obligations of the City under the Installment Sale Agreement. Section 6.09. Waiver of Laws. The Authority shall not at any time insist upon or plead in any manner whatsoever, or claim or take the benefit or advantage of, any stay or extension law now or at any time hereafter in force that may affect the covenants and agreements contained in this Indenture or in the Bonds, and all benefit or advantage of any such law or laws is hereby expressly waived by the Authority to the extent permitted by law. Section 6.10. Further Assurances. The Authority will make, execute and deliver any and all such further indentures, instruments and assurances as may be reasonably necessary or proper to carry out the intention or to facilitate the performance of this Indenture and for the better assuring and confirming unto the Owners of the Bonds of the rights and benefits provided in this Indenture. Section 6.11. Maintenance of Existence. The Authority shall maintain its existence as a joint exercise of powers agency while any Bonds are Outstanding. [Section 6.12. Covenants and Agreements Related to the Insurance Policies]. [Notwithstanding anything to the contrary set forth in this Indenture, the Authority shall comply with and carry out all of the provisions related to the Insurance Policy as set forth in Appendix D hereto and the Reserve Policy as set forth in Appendix E hereto, which provisions shall govern so long as any of the 2022 Bonds are Outstanding.] ARTICLE VII EVENTS OF DEFAULT AND REMEDIES Section 7.01. Events of Default. The following events constitute Events of Default hereunder: (a) Failure to pay any installment of the principal of any Bonds when due, whether at maturity as therein expressed, by proceedings for redemption, by acceleration, or otherwise. (b) Failure to pay any installment of interest on the Bonds when due. (c) Subject to clause (e) of Appendix D, failure by the Authority to observe and perform any of the other covenants, agreements or conditions on its part contained in this Indenture or in the Bonds, if such failure has continued for Attachment 4 Page 394 of 901 -18- a period of 60 days after written notice thereof, specifying such failure and requiring the same to be remedied, has been given to the Authority by the Trustee; provided, however, if in the reasonable opinion of the Authority the failure stated in the notice can be corrected, but not within such 60-day period, such failure shall not constitute an Event of Default if the Authority institutes corrective action within such 60-day period and thereafter diligently and in good faith cures the failure in a reasonable period of time. (d) The commencement by the Authority of a voluntary case under Title 11 of the United States Code or any substitute or successor statute. (e) The occurrence and continuation of an event of default under and as defined in the Installment Sale Agreement. Section 7.02. Remedies Upon Event of Default. If any Event of Default occurs, then, and in each and every such case during the continuance of such Event of Default, the Trustee may, and at the written direction of the Owners of a majority in aggregate principal amount of the Bonds at the time Outstanding shall, in each case, upon receipt of indemnification satisfactory to the Trustee against the costs, expenses and liabilities to be incurred by the Trustee in connection with such action, upon notice in writing to the Authority, declare the principal of all of the Bonds then Outstanding, and the interest accrued thereon, to be due and payable immediately, and upon any such declaration the same shall become and shall be immediately due and payable, anything in this Indenture or in the Bonds to the contrary notwithstanding. Any such declaration is subject to the condition that if, at any time after such declaration and before any judgment or decree for the payment of the moneys due shall have been obtained or entered, the Authority deposits with the Trustee a sum sufficient to pay all the principal of and installments of interest on the Bonds payment of which is overdue, with interest on such overdue principal at the rate borne by the respective Bonds to the extent permitted by law, and the reasonable fees, charges and expenses (including those of its legal counsel, agents and advisors, including the allocated costs of internal attorneys) of the Trustee, and any and all other Events of Default known to the Trustee (other than in the payment of principal of and interest on the Bonds due and payable solely by reason of such declaration) have been made good or cured to the satisfaction of the Trustee or provision deemed by the Trustee to be adequate has been made therefor, then, and in every such case, the Owners of a majority in aggregate principal amount of the Bonds then Outstanding, by written notice to the Authority, the City and the Trustee, may, on behalf of the Owners of all of the Bonds, rescind and annul such declaration and its consequences and waive such Event of Default; but no such rescission and annulment shall extend to or shall affect any subsequent Event of Default, or shall impair or exhaust any right or power consequent thereon. Section 7.03. Application of Revenues and Other Funds After Default. If an Event of Default occurs and is continuing, all Revenues and any other funds then held or thereafter received by the Trustee under any of the provisions of this Indenture shall be applied by the Trustee in the following order of priority: (a) To the payment of reasonable fees, charges and expenses of the Trustee (including reasonable fees and disbursements of its legal counsel including outside counsel and the allocated costs of internal attorneys, agents and Attachment 4 Page 395 of 901 -19- advisors) incurred in and about the performance of its powers and duties under this Indenture; (b) To the payment of the principal of and interest then due on the Bonds (upon presentation of the Bonds to be paid, and stamping or otherwise noting thereon of the payment if only partially paid, or surrender thereof if fully paid) in accordance with the provisions of this Indenture, as follows: First: To the payment to the persons entitled thereto of all installments of interest then due in the order of the maturity of such installments, and, if the amount available shall not be sufficient to pay in full any installment or installments maturing on the same date, then to the payment thereof ratably, according to the amounts due thereon, to the persons entitled thereto, without any discrimination or preference; and Second: To the payment to the persons entitled thereto of the unpaid principal of any Bonds which shall have become due, whether at maturity or by acceleration or redemption, with interest on the overdue principal at the rate borne by the respective Bonds (to the extent permitted by law), and, if the amount available shall not be sufficient to pay in full all the Bonds, together with such interest, then to the payment thereof ratably, according to the amounts of principal due on such date to the persons entitled thereto, without any discrimination or preference Section 7.04. Trustee to Represent Bond Owners. The Trustee is hereby irrevocably appointed (and the successive respective Owners of the Bonds, by taking and holding the same, shall be conclusively deemed to have so appointed the Trustee) as trustee and true and lawful attorney-in-fact of the Owners of the Bonds for the purpose of exercising and prosecuting on their behalf such rights and remedies as may be available to such Owners under the provisions of the Bonds, this Indenture and applicable provisions of any law. All rights of action under this Indenture or the Bonds or otherwise may be prosecuted and enforced by the Trustee without the possession of any of the Bonds or the production thereof in any proceeding relating thereto, and any such suit, action or proceeding instituted by the Trustee shall be brought in the name of the Trustee for the benefit and protection of all the Owners of such Bonds, subject to the provisions of this Indenture. Section 7.05. Limitation on Bond Owners’ Right to Sue. Notwithstanding any other provision hereof, no Owner of any Bonds has the right to institute any suit, action or proceeding at law or in equity, for the protection or enforcement of any right or remedy under this Indenture, the Installment Sale Agreement or any other applicable law with respect to such Bonds, unless (a) such Owner has given to the Trustee written notice of the occurrence of an Event of Default; (b) the Owners of a majority in aggregate principal amount of the Bonds then Outstanding have requested the Trustee in writing to exercise the powers hereinbefore granted or to institute such suit, action or proceeding in its own name; (c) such Owner or Owners have tendered to the Trustee reasonable indemnity against the costs, expenses and liabilities to be incurred in compliance with such request; (d) the Trustee has failed to comply with such request for a period of 60 days after such written request has been received by, and said tender of indemnity has been made to, the Trustee; and (e) no direction inconsistent with such written request has been given to the Trustee during such 60-day period by the Owners of a majority in aggregate principal amount of the Bonds then Outstanding. Attachment 4 Page 396 of 901 -20- Such notification, request, tender of indemnity and refusal or omission are hereby declared, in every case, to be conditions precedent to the exercise by any Owner of Bonds of any remedy hereunder or under law; it being understood and intended that no one or more Owners of Bonds shall have any right in any manner whatever by his or their action to affect, disturb or prejudice the security of this Indenture or the rights of any other Owners of Bonds, or to enforce any right under the Bonds, this Indenture, the Installment Sale Agreement or other applicable law with respect to the Bonds, except in the manner herein provided, and that all proceedings at law or in equity to enforce any such right shall be instituted, had and maintained in the manner herein provided and for the benefit and protection of all Owners of the Outstanding Bonds, subject to the provisions of this Indenture. Section 7.06. Absolute Obligation of Authority. Nothing in this Section or in any other provision of this Indenture or in the Bonds affects or impairs the obligation of the Authority, which is absolute and unconditional, to pay the principal of and interest on the Bonds to the respective Owners of the Bonds at their respective dates of maturity, or upon acceleration or call for redemption, as herein provided, but only out of the Revenues and other assets herein pledged therefor, or affect or impair the right of such Owners, which is also absolute and unconditional, to enforce such payment by virtue of the contract embodied in the Bonds. Section 7.07. Termination of Proceedings. In case any proceedings taken by the Trustee or by any one or more Bond Owners on account of any Event of Default have been discontinued or abandoned for any reason or have been determined adversely to the Trustee or the Bond Owners, then in every such case the Authority, the Trustee and the Bond Owners, subject to any determination in such proceedings, shall be restored to their former positions and rights hereunder, severally and respectively, and all rights, remedies, powers and duties of the Authority, the Trustee and the Bond Owners shall continue as though no such proceedings had been taken. Section 7.08. Remedies Not Exclusive. No remedy herein conferred upon or reserved to the Trustee or the Owners of the Bonds is intended to be exclusive of any other remedy or remedies, and each and every such remedy, to the extent permitted by law, shall be cumulative and in addition to any other remedy given hereunder or now or hereafter existing at law or in equity or otherwise. Section 7.09. No Waiver of Default. No delay or omission of the Trustee or any Owner of the Bonds to exercise any right or power arising upon the occurrence of any default or Event of Default shall impair any such right or power or shall be construed to be a waiver of any such default or Event of Default or an acquiescence therein; and every power and remedy given by this Indenture to the Trustee or to the Owners of the Bonds may be exercised from time to time and as often as may be deemed expedient by the Trustee or the Bond Owners. Section 7.10. Notice to Bond Owners of Default. Upon becoming aware of the occurrence of an Event of Default, but in no event later than five Business Days following becoming aware of such occurrence, the Trustee shall promptly give written notice thereof by first class mail, postage prepaid, to the Owner of each Outstanding Bond, unless such Event of Default has been cured before the giving of such notice; provided, however that except in the case of an Event of Default described in Sections 7.01(a) or 7.01(b), the Trustee may elect not to give such notice to the Bond Owners if and so long as the Trustee in good faith determines that it is in the best interests of the Bond Owners not to give such notice. Attachment 4 Page 397 of 901 -21- ARTICLE VIII THE TRUSTEE Section 8.01. Appointment of Trustee. The Bank of New York Mellon Trust Company, N.A. is hereby appointed Trustee by the Authority for the purpose of receiving all moneys required to be deposited with the Trustee hereunder and to allocate, use and apply the same as provided in this Indenture. The Authority will maintain a Trustee which is qualified under the provisions of the foregoing provisions of this Article VIII so long as any Bonds are Outstanding. Section 8.02. Acceptance of Trusts; Removal and Resignation of Trustee. The Trustee hereby accepts the express trusts imposed upon it by this Indenture, and agrees to perform said trusts, but only upon and subject to the following express terms and conditions: (a) The Trustee shall, prior to an Event of Default, and after the curing or waiver of all Events of Default which may have occurred, perform such duties and only such duties as are expressly and specifically set forth in this Indenture and no implied duties or covenants shall be read into this Indenture against the Trustee. In case an Event of Default has occurred (which has not been cured or waived) the Trustee shall exercise such of the rights and powers vested in it by the Trust Agreement, and use the same degree of care and skill in their exercise, as a prudent person would exercise or use under the circumstances in the conduct of such person’s- own affairs. (b) The Authority may remove the Trustee at any time, unless an Event of Default has occurred and is then continuing, and shall remove the Trustee (i) if at any time requested to do so by the Owners of a majority in aggregate principal amount of the Bonds then Outstanding (or their attorneys duly authorized in writing) or (ii) if at any time the Trustee ceases to be eligible in accordance with subsection(e) of this Section, or becomes incapable of acting, or is adjudged a bankrupt or insolvent, or a receiver of the Trustee or its property is appointed, or any public officer takes control or charge of the Trustee or of its property or affairs for the purpose of rehabilitation, conservation or liquidation. Any such removal shall be made upon at least 30 days’ prior written notice to the Trustee. (c) The Trustee may at any time resign by giving written notice of such resignation to the Authority and the City, and by giving the Bond Owners notice of such resignation by mail at the addresses shown on the Registration Books. (d) Any removal or resignation of the Trustee and appointment of a successor Trustee shall become effective upon acceptance of appointment by the successor Trustee. In the event of the removal or resignation of the Trustee under subsections (b) or (d), respectively, the Authority shall promptly appoint a successor Trustee. If no successor Trustee has been appointed and accepted appointment within 45 days of giving notice of removal or notice of resignation as Attachment 4 Page 398 of 901 -22- aforesaid, the resigning Trustee may petition, at the expense of the Authority, any court of competent jurisdiction for the appointment of a successor Trustee, and such court may thereupon, after such notice (if any) as it may deem proper, appoint such successor Trustee. Any successor Trustee appointed under this Indenture, must signify its acceptance of such appointment by executing and delivering to the Authority and to its predecessor Trustee a written acceptance thereof, and after payment by the Authority of all unpaid fees and expenses of the predecessor Trustee, and thereupon such successor Trustee, without any further act, deed or conveyance, shall become vested with all the moneys, estates, properties, rights, powers, trusts, duties and obligations of such predecessor Trustee, with like effect as if originally named Trustee herein. At the Written Request of the Authority or the request of the successor Trustee, such predecessor Trustee shall pay over, transfer, assign and deliver to the successor Trustee any money or other property subject to the trusts and conditions herein set forth. Upon request of the successor Trustee, the Authority shall execute and deliver any and all instruments as may be reasonably required for more fully and certainly vesting in and confirming to such successor Trustee all such moneys, estates, properties, rights, powers, trusts, duties and obligations. Upon acceptance of appointment by a successor Trustee as provided in this subsection, the Authority shall promptly mail or cause the successor trustee to mail a notice of the succession of such Trustee to the trusts hereunder to each rating agency which is then rating the Bonds and to the Bond Owners at the addresses shown on the Registration Books. If the Authority fails to mail such notice within 15 days after acceptance of appointment by the successor Trustee, the successor Trustee shall cause such notice to be mailed at the expense of the Authority. (e) Any Trustee appointed under this Indenture shall be a corporation or association organized and doing business under the laws of any state or the United States of America or the District of Columbia, shall be authorized under such laws to exercise corporate trust powers, shall have (or, in the case of a corporation or association that is a member of a bank holding company system, the related bank holding company has) a combined capital and surplus of at least $50,000,000, and shall be subject to supervision or examination by a federal or state agency, so long as any Bonds are Outstanding. If such corporation or association publishes a report of condition at least annually under law or to the requirements of any supervising or examining agency above referred to, then for the purpose of this subsection (e), the combined capital and surplus of such corporation or association shall be deemed to be its combined capital and surplus as set forth in its most recent report of condition so published. If the Trustee at any time ceases to be eligible in accordance with the provisions of this subsection (e), the Trustee shall resign in the manner and with the effect specified in this Section. (f) Notwithstanding any other provision of this Indenture, the Trustee may be removed at any time for any breach of the trust set forth herein. Attachment 4 Page 399 of 901 -23- Section 8.03. Merger or Consolidation. Any national banking association, bank, federal savings association, or trust company into which the Trustee may be merged or converted or with which it may be consolidated or any national banking association, bank, federal savings association, or trust company resulting from any merger, conversion or consolidation to which it shall be a party or any national banking association, bank, federal savings association, or trust company to which the Trustee may sell or transfer all or substantially all of its corporate trust business, provided such national banking association, bank, federal savings association, or trust company shall be eligible under subsection (e) of Section 8.02 shall be the successor to such Trustee, without the execution or filing of any paper or any further act, anything herein to the contrary notwithstanding. Section 8.04. Liability of Trustee. (a) The recitals of facts herein and in the Bonds contained shall be taken as statements of the Authority, and the Trustee shall not assume responsibility for the correctness of the same, or make any representations as to the validity or sufficiency of this Indenture, the Bonds or the Installment Sale Agreement, nor shall the Trustee incur any responsibility in respect thereof, other than as expressly stated herein in connection with the respective duties or obligations of Trustee herein or in the Bonds assigned to or imposed upon it. The Trustee shall, however, be responsible for its representations contained in its certificate of authentication on the Bonds. The Trustee shall not be liable in connection with the performance of its duties hereunder, except for its own negligence. The Trustee may become the Owner of Bonds with the same rights it would have if it were not Trustee, and, to the extent permitted by law, may act as depository for and permit any of its officers or directors to act as a member of, or in any other capacity with respect to, any committee formed to protect the rights of Bond Owners, whether or not such committee shall represent the Owners of a majority in principal amount of the Bonds then Outstanding. (b) The Trustee is not liable for any error of judgment made by a responsible officer, unless it is proved that the Trustee was grossly negligent in ascertaining the pertinent facts. (c) The Trustee is not liable with respect to any action taken or omitted to be taken by it in accordance with the direction of the Owners of a majority in aggregate principal amount of the Bonds at the time Outstanding relating to the time, method and place of conducting any proceeding for any remedy available to the Trustee, or exercising any trust or power conferred upon the Trustee under this Indenture or assigned to it hereunder. (d) The Trustee is not liable for any action taken by it and believed by it to be authorized or within the discretion or rights or powers conferred upon it by this Indenture. (e) The Trustee shall not be deemed to have knowledge of any Event of Default hereunder, or any other event which, with the passage of time, the giving of notice, or both, would constitute an Event of Default hereunder unless and until it shall have actual knowledge thereof, or a corporate trust officer shall have received written notice thereof at its Office from the City, the Authority or the Owners of at least 25% in aggregate principal amount of the Outstanding Bonds. Except as otherwise expressly provided herein, the Trustee shall not be bound to ascertain or inquire as to the performance or observance by the Authority or the City of any of the terms, conditions, covenants or agreements herein, under the Installment Sale Agreement or the Bonds or of any of the documents executed in connection with the Bonds, or as to the existence of a default or an Event of Default or an event which would, with the giving of notice, the passage of time, or both, constitute an Event of Default. The Trustee is not Attachment 4 Page 400 of 901 -24- responsible for the validity, effectiveness or priority of any collateral given to or held by it. Without limiting the generality of the foregoing, the Trustee shall not be required to ascertain or inquire as to the performance or observance by the City or the Authority of the terms, conditions, covenants or agreements set forth in the Installment Sale Agreement, other than the covenants of the City to make Installment Payments to the Trustee when due and to file with the Trustee when due, such reports and certifications as the City is required to file with the Trustee thereunder. (f) No provision of this Indenture requires the Trustee to expend or risk its own funds or otherwise incur any financial liability in the performance of any of its duties hereunder, or in the exercise of any of its rights or powers. (g) The Trustee may execute any of the trusts or powers hereunder or perform any duties hereunder either directly or through agents, receivers or attorneys and the Trustee shall not be responsible for any misconduct or negligence on the part of any agent, receiver or attorney appointed with due care by it hereunder. (h) The Trustee has no obligation to exercise any of the rights or powers vested in it by this Indenture at the request or direction of the Bond Owners under this Indenture, unless such Owners have offered to the Trustee reasonable security or indemnity against the costs, expenses and liabilities (including but not limited to fees and expenses of its attorneys) which might be incurred by it in compliance with such request or direction. No permissive power, right or remedy conferred upon the Trustee hereunder shall be construed to impose a duty to exercise such power, right or remedy. (i) Whether or not therein expressly so provided, every provision of this Indenture relating to the conduct or affecting the liability of or affording protection to the Trustee is subject to the provisions of Section 8.02(a), this Section and Section 8.05, and shall be applicable to the assignment of any rights to the Trustee hereunder. (j) The Trustee is not accountable to anyone for the subsequent use or application of any moneys which are released or withdrawn in accordance with the provisions hereof. (k) The Trustee makes no representation or warranty, expressed or implied as to the title, value, design, compliance with specifications or legal requirements, quality, durability, operation, condition, merchantability or fitness for any particular purpose for the use contemplated by the Authority or the City of the Projects. In no event shall the Trustee be liable for incidental, indirect, special or consequential damages in connection with or arising from the Installment Sale Agreement or this Indenture for the existence, furnishing or use of the Projects. (l) The Trustee has no responsibility with respect to any information, statement, or recital in any official statement, offering memorandum or any other disclosure material prepared or distributed with respect to the Bonds. (m) The Trustee shall have the right to accept and act upon instructions, including funds transfer instructions (“Instructions”) given pursuant to this Indenture and delivered using Electronic Means (“Electronic Means” shall mean the following communications methods: e- mail, facsimile transmission, secure electronic transmission containing applicable authorization codes, passwords and/or authentication keys issued by the Trustee, or another method or system specified by the Trustee as available for use in connection with its services hereunder); provided, however, that the Authority and City shall provide to the Trustee an incumbency Attachment 4 Page 401 of 901 -25- certificate listing officers with the authority to provide such Instructions (“Authorized Officers”) and containing specimen signatures of such Authorized Officers, which incumbency certificate shall be amended by the Authority and City whenever a person is to be added or deleted from the listing. If the Authority and City elect to give the Trustee Instructions using Electronic Means and the Trustee in its discretion elects to act upon such Instructions, the Trustee’s understanding of such Instructions shall be deemed controlling. The Authority and City understand and agree that the Trustee cannot determine the identity of the actual sender of such Instructions and that the Trustee shall conclusively presume that directions that purport to have been sent by an Authorized Officer listed on the incumbency certificate provided to the Trustee have been sent by such Authorized Officer. The Authority and City shall be responsible for ensuring that only Authorized Officers transmit such Instructions to the Trustee and that the Authority and City and all Authorized Officers are solely responsible to safeguard the use and confidentiality of applicable user and authorization codes, passwords and/or authentication keys upon receipt by the District. The Trustee shall not be liable for any losses, costs or expenses arising directly or indirectly from the Trustee’s reliance upon and compliance with such Instructions notwithstanding such directions conflict or are inconsistent with a subsequent written instruction. The Authority and City agree: (i) to assume all risks arising out of the use of Electronic Means to submit Instructions to the Trustee, including without limitation the risk of the Trustee acting on unauthorized Instructions, and the risk of interception and misuse by third parties; (ii) that it is fully informed of the protections and risks associated with the various methods of transmitting Instructions to the Trustee and that there may be more secure methods of transmitting Instructions than the method(s) selected by the Authority and City; (iii) that the security procedures (if any) to be followed in connection with its transmission of Instructions provide to it a commercially reasonable degree of protection in light of its particular needs and circumstances; and (iv) to notify the Trustee immediately upon learning of any compromise or unauthorized use of the security procedures. (n) The Trustee shall not be considered in breach of or in default in its obligations hereunder or progress in respect thereto in the event of delay in the performance of such obligations due to unforeseeable causes beyond its control and without its fault or negligence, including, but not limited to, acts of God or of the public enemy or terrorists, acts of a government, acts of the other party, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, earthquakes, explosion, mob violence, riot, inability to procure or general sabotage or rationing of labor, equipment, facilities, sources of energy, material or supplies in the open market, litigation or arbitration involving a party or others relating to zoning or other governmental action or inaction pertaining to the Projects, malicious mischief, condemnation, and unusually severe weather or delays of suppliers or subcontractors due to such causes or any similar event and/or occurrences beyond the control of the Trustee. (o) Ratings of Permitted Investments referred to herein shall be determined at the time of purchase of such Permitted Investments and without regard to rating subcategories. The Trustee shall have no responsibility to monitor the ratings of Permitted Investments after the initial purchase of such Permitted Investments, or the responsibility to validate Permitted Investments the ratings of Permitted Investments prior to the initial purchase. (p) The Trustee may conclusively rely upon the Authority’s written instructions as to both the suitability and legality of the directed investments and such written direction shall be deemed to be a certification that such directed investments constitute Permitted Investments. Section 8.05. Right to Rely on Documents. The Trustee shall be protected and shall incur no liability in acting or refraining from acting in reliance upon any notice, resolution, Attachment 4 Page 402 of 901 -26- request, consent, order, certificate, report, opinion, bonds or other paper or document believed by them to be genuine and to have been signed or presented by the proper party or parties. The Trustee is under no duty to make any investigation or inquiry as to any statements contained or matter referred to in any paper or document but may accept and conclusively rely upon the same as conclusive evidence of the truth and accuracy of any such statement or matter and shall be fully protected in relying thereon. The Trustee may consult with counsel, who may be counsel of or to the Authority, with regard to legal questions, and the opinion of such counsel shall be full and complete authorization and protection in respect of any action taken or suffered by it hereunder in good faith and in accordance therewith. The Trustee may treat the Owners of the Bonds appearing in the Registration Books as the absolute owners of the Bonds for all purposes and the Trustee shall not be affected by any notice to the contrary. Whenever in the administration of the trusts imposed upon it by this Indenture the Trustee deems it necessary or desirable that a matter be proved or established prior to taking or suffering any action hereunder, such matter (unless other evidence in respect thereof be herein specifically prescribed) may be deemed to be conclusively proved and established by a Written Certificate, Written Request or Written Requisition of the Authority or the City, and such Written Certificate, Written Request or Written Requisition shall be full warrant to the Trustee for any action taken or suffered under the provisions of this Indenture in reliance upon such Written Certificate, Written Request or Written Requisition, and the Trustee shall be fully protected in relying thereon, but in its discretion the Trustee may, in lieu thereof, accept other evidence of such matter or may require such additional evidence as to it may deem reasonable. Section 8.06. Preservation and Inspection of Documents. All documents received by the Trustee under the provisions of this Indenture shall be retained in its respective possession and in accordance with its retention policy then in effect and shall, upon reasonable notice to Trustee, be subject to the inspection of the Authority, the City and any Bond Owner, and their agents and representatives duly authorized in writing, during business hours and under reasonable conditions as agreed to by the Trustee. Section 8.07. Compensation and Indemnification. The Authority shall pay to the Trustee from time to time, on demand, the compensation for all services rendered under this Indenture and also all reasonable expenses, advances (including any interest on advances), charges, legal (including outside counsel and the allocated costs of internal attorneys) and consulting fees and other disbursements, incurred in and about the performance of its powers and duties under this Indenture. The Authority shall indemnify the Trustee, its officers, directors, employees and agents from and against any cost, loss, liability or expense whatsoever (including but not limited to fees and expenses of its attorneys) incurred without negligence or willful misconduct on its part, arising out of or in connection with the acceptance or administration of this trust and this Indenture, including costs, legal fees and expenses of defending itself against any claim or liability in connection with the exercise or performance of any of its powers hereunder or under the Installment Sale Agreement. The rights of the Trustee and the obligations of the Authority under this Section shall survive the resignation or removal of the Trustee or the discharge of the Bonds and this Indenture and the Installment Sale Agreement. Attachment 4 Page 403 of 901 -27- ARTICLE IX MODIFICATION OR AMENDMENT HEREOF Section 9.01. Amendments Permitted. (a) Amendments With Owner Consent. This Indenture and the rights and obligations of the Authority and of the Owners of the Bonds and of the Trustee may be modified or amended from time to time and at any time by Supplemental Indenture, which the Authority and the Trustee may enter into when the written consents of the Owners of a majority in aggregate principal amount of all Bonds then Outstanding are filed with the Trustee. No such modification or amendment may (i) extend the fixed maturity of any Bonds, or reduce the amount of principal thereof or extend the time of payment, or change the method of computing the rate of interest thereon, or extend the time of payment of interest thereon, without the consent the Owner of each Bond so affected, or (ii) reduce the aforesaid percentage of Bonds the consent of the Owners of which is required to effect any such modification or amendment, or (iii) permit the creation of any lien on the Revenues and other assets pledged under this Indenture prior to or on a parity with the lien created by this Indenture except as permitted herein, or deprive the Owners of the Bonds of the lien created by this Indenture on such Revenues and other assets (except as expressly provided in this Indenture), without the consent of the Owners of all of the Bonds then Outstanding, or (iv) without its written consent thereto, modify any of the rights or obligations of the Trustee. It is not necessary for the consent of the Bond Owners to approve the particular form of any Supplemental Indenture, but it is sufficient if such consent approves the substance thereof. (b) Amendments Without Owner Consent. This Indenture and the rights and obligations of the Authority, of the Trustee and the Owners of the Bonds may also be modified or amended from time to time and at any time by a Supplemental Indenture, which the Authority and the Trustee may enter into without the consent of any Bond Owners, if the Trustee has been furnished an opinion of counsel that the provisions of such Supplemental Indenture shall not materially adversely affect the interests of the Owners of the Bonds, including, without limitation, for any one or more of the following purposes: (i) to add to the covenants and agreements of the Authority in this Indenture contained, other covenants and agreements thereafter to be observed, to pledge or assign additional security for the Bonds (or any portion thereof), or to surrender any right or power herein reserved to or conferred upon the Authority; (ii) to cure any ambiguity, inconsistency or omission, or to cure or correct any defective provision, contained in this Indenture, or in regard to matters or questions arising under this Indenture, as the Authority deems necessary or desirable, provided that such modification or amendment does not materially adversely affect the interests of the Bond Owners, in the opinion of Bond Counsel filed with the Trustee; (iii) to modify, amend or supplement this Indenture in such manner as to permit the qualification hereof under the Trust Indenture Act of 1939, as amended, or any similar federal statute hereafter in effect, and to add such other terms, conditions and provisions as may be permitted by said act or similar federal statute; and Attachment 4 Page 404 of 901 -28- (iv) to modify, amend or supplement this Indenture in such manner as to assure that the interest on the Bonds remains excluded from gross income under the Tax Code. (v) to modify, amend or supplement this Indenture in such manner as to provide for the issuance of additional bonds, notes or other obligations in accordance with Section 6.06. (c) Limitation. The Trustee is not obligated to enter into any Supplemental Indenture authorized by subsections (a) or (b) of this Section which materially adversely affects the Trustee’s own rights, duties or immunities under this Indenture or otherwise. (d) Bond Counsel Opinion Requirement. Prior to the Trustee entering into any Supplemental Indenture hereunder, if requested by the Trustee, the Authority shall deliver to the Trustee an opinion of Bond Counsel stating, in substance, that such Supplemental Indenture has been adopted in compliance with the requirements of this Indenture and that the adoption of such Supplemental Indenture will not, in and of itself, adversely affect the exclusion from gross income for purposes of federal income taxes of interest on the Bonds. Section 9.02. Effect of Supplemental Indenture. Upon the execution of any Supplemental Indenture under this Article IX, this Indenture shall be deemed to be modified and amended in accordance therewith, and the respective rights, duties and obligations under this Indenture of the Authority, the Trustee and all Owners of Bonds Outstanding shall thereafter be determined, exercised and enforced hereunder subject in all respects to such modification and amendment, and all the terms and conditions of any such Supplemental Indenture shall be deemed to be part of the terms and conditions of this Indenture for any and all purposes. Section 9.03. Endorsement of Bonds; Preparation of New Bonds. Bonds delivered after the execution of any Supplemental Indenture under this Article may, and if the Authority so determines shall, bear a notation by endorsement or otherwise in form approved by the Authority as to any modification or amendment provided for in such Supplemental Indenture, and, in that case, upon demand on the Owner of any Bonds Outstanding at the time of such execution and presentation of his Bonds for the purpose at the Office of the Trustee or at such additional offices as the Trustee may select and designate for that purpose, a suitable notation shall be made on such Bonds. If the Supplemental Indenture shall so provide, new Bonds so modified as to conform, in the opinion of the Authority, to any modification or amendment contained in such Supplemental Indenture, shall be prepared and executed by the Authority and authenticated by the Trustee, and upon demand on the Owners of any Bonds then Outstanding shall be exchanged at the Office of the Trustee, without cost to any Bond Owner, for Bonds then Outstanding, upon surrender for cancellation of such Bonds, in equal aggregate principal amount of the same maturity. Section 9.04. Amendment of Particular Bonds. The provisions of this Article IX do not prevent any Bond Owner from accepting any amendment as to the particular Bonds held by such Owner. Attachment 4 Page 405 of 901 -29- ARTICLE X DEFEASANCE Section 10.01. Discharge of Indenture. Any or all of the Outstanding Bonds may be paid by the Authority in any of the following ways, provided that the Authority also pays or causes to be paid any other sums payable hereunder by the Authority: (a) by paying or causing to be paid the principal of and interest on such Bonds, as and when the same become due and payable; (b) by irrevocably depositing with the Trustee or an escrow bank, at or before maturity, money or securities in the necessary amount (as provided in Section 10.03) to pay or redeem such Bonds; or (c) by delivering all of such Bonds to the Trustee for cancellation. If the Authority also pays or causes to be paid all other sums payable hereunder by the Authority, then and in that case, at the election of the Authority (evidenced by a Written Certificate of the Authority, filed with the Trustee, signifying the intention of the Authority to discharge all such indebtedness and this Indenture), and notwithstanding that any of such Bonds shall not have been surrendered for payment, this Indenture and the pledge of Revenues and other assets made under this Indenture with respect to such Bonds and all covenants, agreements and other obligations of the Authority under this Indenture with respect to such Bonds shall cease, terminate, become void and be completely discharged and satisfied, subject to Section 10.02. In such event, upon the Written Request of the Authority, the Trustee shall execute and deliver to the Authority, at the expense of the Authority, all such instruments as may be necessary or desirable to evidence such discharge and satisfaction, and the Trustee shall pay over, transfer, assign or deliver to the Authority all moneys or securities or other property held by it under this Indenture which are not required for the payment or redemption of any of such Bonds not theretofore surrendered for such payment or redemption. The Trustee is entitled to conclusively rely on any such Written Certificate or Written Request and, in each case, is fully protected in relying thereon. Section 10.02. Discharge of Liability on Bonds. Upon the deposit with the Trustee, in trust, at or before maturity, of money or securities in the necessary amount (as provided in Section 10.03) to pay or redeem any Outstanding Bonds (whether upon or prior to the maturity or the redemption date of such Bonds), provided that, if such Bonds are to be redeemed prior to maturity, notice of such redemption shall have been given as provided in Article IV or provision satisfactory to the Trustee shall have been made for the giving of such notice, then all liability of the Authority in respect of such Bonds shall cease, terminate and be completely discharged, and the Owners thereof shall thereafter be entitled only to payment out of such money or securities deposited with the Trustee as aforesaid for their payment, subject, however, to the provisions of Section 10.04. Notwithstanding anything to the contrary in this Article X, in the event of defeasance of all Outstanding Bonds, such defeasance will not operate to discharge any of the following: (a) the obligation of the Trustee to transfer and exchange Bonds hereunder, Attachment 4 Page 406 of 901 -30- (b) the obligation of the Authority to pay or cause to be paid to the Owners of such Bonds, from the amounts so deposited with the Trustee, all sums due thereon, and (c) the obligations of the Authority to compensate and indemnify the Trustee under Section 8.07. The Authority may at any time surrender to the Trustee, for cancellation by Trustee, any Bonds previously issued and delivered, which the Authority may have acquired in any manner whatsoever, and such Bonds, upon such surrender and cancellation, shall be deemed to be paid and retired. Section 10.03. Deposit of Money or Securities with Trustee. Whenever in this Indenture it is provided or permitted that there be deposited with or held in trust by the Trustee or an escrow bank money or securities in the necessary amount to pay or redeem any Bonds, the money or securities so to be deposited or held may include money or securities held by the Trustee or an escrow bank in the funds and accounts established under this Indenture and shall be: (a) lawful money of the United States of America in an amount equal to the principal amount of such Bonds and all unpaid interest thereon to maturity, except that, in the case of Bonds which are to be redeemed prior to maturity and in respect of which notice of such redemption shall have been given as provided in Article IV or provision satisfactory to the Trustee shall have been made for the giving of such notice, the amount to be deposited or held shall be the principal amount of such Bonds and all unpaid interest thereon to the redemption date; or (b) non-callable Federal Securities, the principal of and interest on which when due will, in the written opinion of an Independent Accountant filed with the City, the Authority and the Trustee, provide money sufficient to pay the principal of and interest on the Bonds to be paid or redeemed, as such principal and interest become due, provided that in the case of Bonds which are to be redeemed prior to the maturity thereof, notice of such redemption shall have been given as provided in Article IV or provision satisfactory to the Trustee has been made for the giving of such notice; provided, in each case, that (i) the Trustee shall have been irrevocably instructed (by the terms of this Indenture or by Written Request of the Authority) to apply such money to the payment of such principal and interest with respect to such Bonds, and (ii) the Authority shall have delivered to the Trustee an opinion of Bond Counsel to the effect that such Bonds have been discharged in accordance with this Indenture (which opinion may rely upon and assume the accuracy of the Independent Accountant’s opinion referred to above). The Trustee shall be entitled to conclusively rely on such Written Request or opinion and shall be fully protected, in each case, in relying thereon. Section 10.04. Unclaimed Funds. Notwithstanding any provisions of this Indenture, any moneys held by the Trustee in trust for the payment of the principal of, or interest on, any Bonds and remaining unclaimed for two years after the principal of all of the Bonds has become due and payable (whether at maturity or upon call for redemption or by acceleration as provided in this Indenture), if such moneys were so held at such date, or two years after the date of Attachment 4 Page 407 of 901 -31- deposit of such moneys if deposited after said date when all of the Bonds became due and payable, shall be repaid to the Authority free from the trusts created by this Indenture, and all liability of the Trustee with respect to such moneys shall thereupon cease; provided, however, that before the repayment of such moneys to the Authority as aforesaid, the Trustee shall (at the cost of the Authority) first mail to the Owners of Bonds which have not yet been paid, at the addresses shown on the Registration Books, a notice, in such form as may be deemed appropriate by the Trustee with respect to the Bonds so payable and not presented and with respect to the provisions relating to the repayment to the Authority of the moneys held for the payment thereof. ARTICLE XI MISCELLANEOUS Section 11.01. Liability of Authority Limited to Revenues. Notwithstanding anything in this Indenture or in the Bonds contained, the Authority is not required to advance any moneys derived from any source other than the Revenues and other assets pledged under this Indenture for any of the purposes in this Indenture mentioned, whether for the payment of the principal of or interest on the Bonds or for any other purpose of this Indenture. Nevertheless, the Authority may, but is not required to, advance for any of the purposes hereof any funds of the Authority which may be made available to it for such purposes. Section 11.02. Limitation of Rights to Parties and Bond Owners. Nothing in this Indenture or in the Bonds expressed or implied is intended or shall be construed to give to any person other than the Authority, the Trustee, the City and the Owners of the Bonds, any legal or equitable right, remedy or claim under or in respect of this Indenture or any covenant, condition or provision therein or herein contained; and all such covenants, conditions and provisions are and shall be held to be for the sole and exclusive benefit of the Authority, the Trustee, the City and the Owners of the Bonds. Section 11.03. Funds and Accounts. Any fund or account required by this Indenture to be established and maintained by the Trustee may be established and maintained in the accounting records of the Trustee, either as a fund or an account, and may, for the purposes of such records, any audits thereof and any reports or statements with respect thereto, be treated either as a fund or as an account; but all such records with respect to all such funds and accounts shall at all times be maintained in accordance with corporate trust industry standards to the extent practicable, and with due regard for the requirements of Section 6.05 and for the protection of the security of the Bonds and the rights of every Owner thereof. The Trustee may establish such funds and accounts as it deems necessary or appropriate to perform its obligations under this Indenture. Section 11.04. Waiver of Notice; Requirement of Mailed Notice. Whenever in this Indenture the giving of notice by mail or otherwise is required, the giving of such notice may be waived in writing by the person entitled to receive such notice and in any such case the giving or receipt of such notice shall not be a condition precedent to the validity of any action taken in reliance upon such waiver. Whenever in this Indenture any notice is required to be given by mail, such requirement may be satisfied by the deposit of such notice in the United States mail, postage prepaid, by first class mail. Attachment 4 Page 408 of 901 -32- Section 11.05. Destruction of Bonds. Whenever in this Indenture provision is made for the cancellation by the Trustee, and the delivery to the Authority, of any Bonds, the Trustee may, in lieu of such cancellation and delivery, destroy such Bonds as may be allowed by law, and the Trustee shall deliver a certificate of such destruction to the Authority. Section 11.06. Severability of Invalid Provisions. If any one or more of the provisions contained in this Indenture or in the Bonds shall for any reason be held to be invalid, illegal or unenforceable in any respect, then such provision or provisions shall be deemed severable from the remaining provisions contained in this Indenture and such invalidity, illegality or unenforceability shall not affect any other provision of this Indenture, and this Indenture shall be construed as if such invalid or illegal or unenforceable provision had never been contained herein. The Authority hereby declares that it would have entered into this Indenture and each and every other Section, paragraph, sentence, clause or phrase hereof and authorized the issuance of the Bonds pursuant thereto irrespective of the fact that any one or more Sections, paragraphs, sentences, clauses or phrases of this Indenture may be held illegal, invalid or unenforceable. Section 11.07. Notices. All notices or communications to be given under this Indenture shall be given by first class mail or personal delivery to the party entitled thereto at its address set forth below, or at such address as the party may provide to the other party in writing from time to time. Notice shall be effective either (a) 48 hours after deposit in the United States mail, postage prepaid, or (b) in the case of personal delivery to any person, upon actual receipt. The Authority, the City or the Trustee may, by written notice to the other parties, from time to time modify the address or number to which communications are to be given hereunder. If to the City: City of Ukiah 300 Seminary Avenue Ukiah, CA 95482 Attention: City Manager If to the Authority: Ukiah Public Financing Authority 300 Seminary Avenue Ukiah, CA 95482 Attention: Executive Director If to the Trustee: The Bank of New York Mellon Trust Company, N.A. _______________ San Francisco, California 94111 Attention: Global Corporate Trust [If to the Insurer:] [In each case in which notice or other communication refers to an Event of Default, then a copy of such notice or other communication shall also be sent to the attention of the 2022 Bonds Insurer’s Deputy General Counsel- Public Finance at the same address, and shall be marked to indicate “URGENT MATERIAL ENCLOSED.”] Attachment 4 Page 409 of 901 -33- Section 11.08. Evidence of Rights of Bond Owners. Any request, consent or other instrument required or permitted by this Indenture to be signed and executed by Bond Owners may be in any number of concurrent instruments of substantially similar tenor and shall be signed or executed by such Bond Owners in person or by an agent or agents duly appointed in writing. Proof of the execution of any such request, consent or other instrument or of a writing appointing any such agent, or of the holding by any person of Bonds transferable by delivery, shall be sufficient for any purpose of this Indenture and shall be conclusive in favor of the Trustee and the Authority if made in the manner provided in this Section. The fact and date of the execution by any person of any such request, consent or other instrument or writing may be proved by the certificate of any notary public or other officer of any jurisdiction, authorized by the laws thereof to take acknowledgments of deeds, certifying that the person signing such request, consent or other instrument acknowledged to him the execution thereof, or by an affidavit of a witness of such execution duly sworn to before such notary public or other officer. The ownership of Bonds shall be proved by the Registration Books. Any request, consent, or other instrument or writing of the Owner of any Bond shall bind every future Owner of the same Bond and the Owner of every Bond issued in exchange therefor or in lieu thereof, in respect of anything done or suffered to be done by the Trustee or the Authority in accordance therewith or reliance thereon. Section 11.09. Disqualified Bonds. In determining whether the Owners of the requisite aggregate principal amount of Bonds have concurred in any demand, request, direction, consent or waiver under this Indenture, Bonds which are known by the Trustee to be owned or held by or for the account of the Authority or the City, or by any other obligor on the Bonds, or by any person directly or indirectly controlling or controlled by, or under direct or indirect common control with, the Authority or the City or any other obligor on the Bonds, shall be disregarded and deemed not to be Outstanding for the purpose of any such determination. Bonds so owned which have been pledged in good faith may be regarded as Outstanding for the purposes of this Section if the pledgee shall establish to the satisfaction of the Trustee the pledgee’s right to vote such Bonds and that the pledgee is not a person directly or indirectly controlling or controlled by, or under direct or indirect common control with, the Authority or the City or any other obligor on the Bonds. In case of a dispute as to such right, the Trustee shall be entitled to rely upon the advice of counsel in any decision by Trustee and shall be fully protected in relying thereon. Upon request, the Authority and the City shall specify to the Trustee those Bonds disqualified under this Section. The Trustee may conclusively rely upon such request. Section 11.10. Money Held for Particular Bonds. The money held by the Trustee for the payment of the interest or principal due on any date with respect to particular Bonds (or portions of Bonds in the case of Bonds redeemed in part only) shall, on and after such date and pending such payment, be set aside on its books and held in trust by it for the Owners of the Bonds entitled thereto, subject, however, to the provisions of Section 10.04 but without any liability for interest thereon. Section 11.11. Waiver of Personal Liability. No member, officer, agent or employee of the Authority shall be individually or personally liable for the payment of the principal of or Attachment 4 Page 410 of 901 -34- interest on the Bonds or be subject to any personal liability or accountability by reason of the issuance thereof; but nothing herein contained shall relieve any such member, officer, agent or employee from the performance of any official duty provided by law or by this Indenture. Section 11.12. Successor Is Deemed Included in All References to Predecessor. Whenever in this Indenture either the Authority, the City or the Trustee is named or referred to, such reference shall be deemed to include the successors or assigns thereof, and all the covenants and agreements in this Indenture contained by or on behalf of the Authority, the City or the Trustee shall bind and inure to the benefit of the respective successors and assigns thereof whether so expressed or not. Section 11.13. Continuing Disclosure. The Authority hereby covenants and agrees to undertake and comply with a continuing disclosure undertaking as it may from time to time hereafter be created, amended or supplemented. Notwithstanding any other provision of the Indenture, failure of the Authority to comply with the requirements of a continuing disclosure undertaking, as it may from time to time hereafter be amended or supplemented, will not be considered an Event of Default and the Trustee will have no right to accelerate amounts due under the Indenture as a result thereof; provided, however, that the Trustee and the Owners of not less than 25% in principal amount of the Bonds may take such actions as may be necessary and appropriate, including seeking mandate or specific performance by court order, to cause the Authority to comply with its obligations in this Section with respect to any such continuing disclosure undertaking. Section 11.14. Execution in Several Counterparts. This Indenture may be executed in any number of counterparts and each of such counterparts shall for all purposes be deemed to be an original; and all such counterparts, or as many of them as the Authority and the Trustee shall preserve undestroyed, shall together constitute but one and the same instrument. Section 11.15. Paym ent on Non-Business Day. In the event any payment is required to be made hereunder on a day which is not a Business Day, such payment shall be made on the next succeeding Business Day and with the same effect as if made on such preceding non- Business Day. Section 11.16. Governing Law. This Indenture shall be governed by and construed in accordance with the laws of the State of California. Attachment 4 Page 411 of 901 [Signature Page to Indenture of Trust dated as of March 1, 2022] IN WITNESS WHEREOF, the UKIAH PUBLIC FINANCING AUTHORITY has caused this Indenture to be signed in its name by its Executive Director and attested to by its Secretary, and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., in token of its acceptance of the trusts created hereunder, has caused this Indenture to be signed in its corporate name by its officer thereunto duly authorized, all as of the day and year first above written. UKIAH PUBLIC FINANCING AUTHORITY By: Sage Sangiacomo Executive Director Attest: Kristine Lawler Secretary THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee By: Authorized Officer Attachment 4 Page 412 of 901 A-1 APPENDIX A DEFINITIONS “Additional Bonds” means bonds, notes or other obligations authorized by and at any time Outstanding under the Bond Law and this Indenture. “Authority” means the Ukiah Public Financing Authority, a joint powers authority duly organized and existing under the Joint Exercise of Powers Agreement, dated as of May 5, 2020, by and between the City and the Industrial Development Authority of the City of Ukiah, creating the Authority, together with any amendments thereof and supplements thereto, and under the laws of the State of California. “Authority Representative” means the Chair, Executive Director, Treasurer, Secretary, or any other person designated as an Authority Representative by a Written Certificate of the Authority signed by an Authority Representative and filed with the City and the Trustee. “Bond Counsel” means (a) Jones Hall, A Professional Law Corporation, or (b) any other attorney or firm of attorneys appointed by or acceptable to the City or the Authority of nationally-recognized experience in the issuance of obligations the interest on which is excludable from gross income for federal income tax purposes under the Tax Code. “Bond Fund” means the fund by that name established and held by the Trustee under Section 5.01. “Bond Law” means the provisions of Article 4 of Chapter 5, Division 7, Title 1 of the Government Code of the State of California, commencing with Section 6584 of said Code, as in effect on the Closing Date or as thereafter amended in accordance with its terms. “Bond Year” means each twelve-month period extending from March 2 in one calendar year to March 1 of the succeeding calendar year, both dates inclusive; except that the first Bond Year commences on the Closing Date and extends to and including March 1, 2023. “Bonds” means, collectively, (a) the 2022 Bonds and (b) any Additional Bonds. “Business Day” means a day (other than a Saturday or a Sunday) on which banks are not required or authorized to remain closed in the state in which the Office of the Trustee is located, and on which the Federal Reserve Bank system is not closed. “City” means the City of Ukiah, a municipal corporation duly organized and existing under the laws of the State of California. “City Representative” means the Mayor, City Manager, Finance Director or any other person designated as a City Representative by a Written Certificate of the City signed by a City Representative and filed with the Authority and the Trustee. Attachment 4 Page 413 of 901 A-2 “Closing Date” means ______, 2022, being the date of delivery of the Bonds to the Original Purchaser. “Costs of Issuance” means, with respect to each series of Bonds, all items of expense directly or indirectly payable by or reimbursable to the City relating to the authorization, issuance, sale and delivery of the Bonds, including but not limited to: printing expenses; rating agency fees; filing and recording fees; initial fees, expenses and charges of the Trustee and its counsel, including the Trustee’s first annual administrative fee; fees, charges and disbursements of attorneys, financial advisors, accounting firms, consultants and other professionals; premiums for bond insurance and reserve fund insurance; fees and charges for preparation, execution and safekeeping of the Bonds; and any other cost, charge or fee in connection with the original issuance of the Bonds. “Costs of Issuance Fund” means the fund by that name established and held by the Trustee under Section 3.03. “Depository” means (a) initially, DTC, and (b) any other Securities Depositories acting as Depository under Section 2.04. “Depository System Participant” means any participant in the Depository’s book- entry only system. “DTC” means The Depository Trust Company, and its successors and assigns. “Event of Default” means any of the events specified in Section 7.01. “Excess Investment Earnings” means, with respect to the Bonds, an amount required to be rebated to the United States of America under Section 148(f) of the Tax Code due to investment of gross proceeds of the Bonds at a yield in excess of the yield on the Bonds. “Federal Securities” means any of the following which at the time of investment are legal investments under the laws of the State of California for the funds purported to be invested therein: (a) direct general obligations of the United States of America (including obligations issued or held in book entry form on the books of the Department of the Treasury of the United States of America); and (b) obligations of any agency, department or instrumentality of the United States of America the timely payment of principal of and interest on which are fully secured or guaranteed by the full faith and credit of the United States of America. “Fiscal Year” means any twelve-month period extending from July 1 in one calendar year to June 30 of the succeeding calendar year, both dates inclusive, or any other twelve-month period selected and designated by the City as its official fiscal year period. “Indenture” means this Indenture of Trust, as originally executed or as it may from time to time be supplemented, modified or amended by any Supplemental Indenture under the provisions hereof. Attachment 4 Page 414 of 901 A-3 “Interest Account” means the account by that name established and held by the Trustee in the Bond Fund under Section 5.02. “Installment Payments” means all payments required to be paid by the City on any date under Section 4.4(a) of the Installment Sale Agreement (and any supplements to the Installment Sale Agreement related to additional Projects), including any amounts payable upon delinquent installments, and including any prepayment thereof under Section 7.2 of the Installment Sale Agreement (and any supplements to the Installment Sale Agreement related to additional Projects). “Interest Payment Date” means March 1 and September 1 in each year, and continuing so long as any Bonds remain Outstanding. With respect to the 2022 Bonds, the first Interest Payment Date is September 1, 2022. “Installment Sale Agreement” means the Installment Sale Agreement dated as of March 1, 2022, between the City and the Authority, together with any duly authorized and executed amendments or supplements thereto. “Nominee” means (a) initially, Cede & Co. as nominee of DTC, and (b) any other nominee of the Depository designated under Section 2.04(a). “Office” means the corporate trust office of the Trustee in San Francisco, California, provided that for purposes of payment, prepayment, exchange, transfer, exchange, surrender and cancellation of Bonds, such term means the corporate trust office of the Trustee in San Francisco, California, or such other or additional offices as the Trustee may designate in writing to the Authority from time to time as the corporate trust office for purposes of this Indenture. “Original Purchaser” means RBC Capital Markets, as the original purchaser of the Bonds upon their delivery by the Trustee on the Closing Date. “Outstanding”, when used as of any particular time with reference to Bonds, means all Bonds theretofore, or thereupon being, authenticated and delivered by the Trustee under this Indenture except: (a) Bonds theretofore canceled by the Trustee or surrendered to the Trustee for cancellation; (b) Bonds with respect to which all liability of the Authority has been discharged in accordance with Section 10.02; (c) Bonds for the transfer or exchange of or in lieu of or in substitution for which other Bonds shall have been authenticated and delivered by the Trustee under this Indenture; and (d) Bonds which are required to be disregarded and not deemed Outstanding under this Indenture. “Permitted Investments” means any of the following which at the time of investment are legal investments under the laws of the State of California for the moneys proposed to be invested therein (The Trustee shall be entitled to rely upon any investment direction provided to it hereunder as a certification to the Trustee that such investment constitutes a Permitted Investment): (a) Federal Securities; (b) obligations of any federal agency which either (a) represent full faith and credit of the United States of America, or (b) are rated “AA” or better by S&P; Attachment 4 Page 415 of 901 A-4 (c) U.S. dollar denominated deposit accounts federal funds and banker’s acceptances with domestic commercial banks, which may include the Trustee, its parent holding company, if any, and their affiliates, which have a rating on their short term certificates of deposit on the date of purchase of “A” or better by S&P, maturing no more than 360 days after the date of purchase, provided that ratings on holding companies are not considered as the rating of the bank or which deposits are collateralized by Federal Securities for amounts in excess of FDIC insurance; (d) commercial paper which is rated at the time of purchase in the single highest classification, “A” or better by S&P, and which matures not more than 270 calendar days after the date of purchase; (e) investments in a money market mutual fund, including those of an affiliate of the Trustee, rated in the highest short-term rating category by S&P, including funds for which the Trustee, its parent holding company, if any, or any affiliates or subsidiaries of the Trustee receives and retains a fee for services provided to the fund, whether as a custodian, transfer agent, investment advisor or otherwise; (f) investment agreements with financial institutions whose long-term general credit rating is A or better from S&P, by the terms of which the Trustee may withdraw funds if such rating falls below “A”; and (g) the Local Agency Investment Fund of the State of California, created under Section 16429.1 of the California Government Code, to the extent the Trustee is authorized to register such investment in its name. “Principal Account” means the account by that name established and held by the Trustee in the Bond Fund under Section 5.02. “Project Costs” means, with respect to the Projects, all costs of the acquisition, construction and installation thereof which are paid from moneys on deposit in the Project Fund, including but not limited to: (a) all costs required to be paid to any person under the terms of any agreement for the purchase of the Projects or otherwise relating to the acquisition, construction and installation of the Projects; (b) obligations incurred for labor and materials in connection with the acquisition, construction and installation of the Projects; (c) the cost of performance or other bonds and any and all types of insurance that may be necessary or appropriate to have in effect in connection with the acquisition, construction and installation of the Projects; Attachment 4 Page 416 of 901 A-5 (d) preliminary costs of the Projects, including but not limited to design, environmental, engineering and architectural services, costs for testing, surveys, estimates, plans and specifications and preliminary investigations therefor, development fees and costs for supervising construction, as well as for the performance of all other duties required by or consequent to the proper acquisition, construction and installation of the Projects; (e) costs of equipping and furnishing the Projects and costs of taking occupancy of the Projects; (f) any sums required to reimburse the City for advances made for any of the above items or for any other costs incurred and for work done which are properly chargeable to the acquisition, construction and installation of the Projects; (g) all financing costs incurred in connection with the acquisition, construction and installation of the Projects; and (h) interest on the Bonds coming due during the period of construction of the Projects and for not more than six months thereafter. “Project Fund” means the fund by that name established and held by the Trustee under Section 3.04. “Projects” means the property, equipment and facilities described more fully in Appendix B to the Installment Sale Agreement, as may be modified by the City in accordance with the provisions of Section 3.5 of the Installment Sale Agreement. “Qualified Reserve Fund Credit Instrument” means [(a) the 2022 Bonds Reserve Policy and (b) ]an irrevocable standby or direct-pay letter of credit or surety bond issued by a commercial bank or insurance company and deposited with the Trustee, provided that all of the following requirements are met: (i) the long-term credit rating of such bank or insurance company is rated in the top two categories (without regard to modifier) by S&P or Moody’s at the time of issuance; (ii) such letter of credit or surety bond has a term of at least 12 months; (iii) such letter of credit or surety bond has a stated amount at least equal to the portion of the reserve requirement being met by such instrument or with respect to which funds are proposed to be released pursuant to this Indenture; and (iv) the Trustee is authorized pursuant to the terms of such letter of credit or surety bond to draw thereunder an amount equal to any deficiencies which may exist from time to time in the Bond Fund for the purpose of making payments required pursuant to this Indenture. “Record Date” means, with respect to any Interest Payment Date, the 15th calendar day of the month preceding such Interest Payment Date, whether or not such day is a Business Day. “Redemption Fund” means the fund by that name established and held by the Trustee under Section 5.05. Attachment 4 Page 417 of 901 A-6 “Registration Books” means the records maintained by the Trustee under Section 2.05 for the registration and transfer of ownership of the Bonds. “Reserve Fund” means the fund by that name established and held by the Trustee pursuant to Section 3.05. “Revenues” means: (a) all of the Installment Payments, and (b) all interest, profits or other income derived from the investment of amounts in any fund or account established under this Indenture, other than the Project Fund. “Securities Depositories” means DTC; and, in accordance with then current guidelines of the Securities and Exchange Commission, such other addresses and/or such other securities depositories as the Authority designates in written notice filed with the Trustee. “S&P” means S&P Global Ratings, its successors and assigns. “Supplemental Indenture” means any indenture hereafter duly authorized and entered into between the Authority and the Trustee, supplementing, modifying or amending this Indenture; but only if and to the extent that such Supplemental Indenture is specifically authorized hereunder. “Tax Code” means the Internal Revenue Code of 1986 as in effect on the Closing Date or (except as otherwise referenced herein) as it may be amended to apply to obligations issued on the Closing Date, together with applicable proposed, temporary and final regulations promulgated, and applicable official public guidance published, under said Code. “Term” means, when used with respect to the Installment Sale Agreement, the time during which the Installment Sale Agreement is in effect, as provided in Section 4.2 thereof. “Term Bonds” means, as to the 2022 Bonds, the 2022 Bonds maturing on March 1, ____ and March 1, ____. “Trustee” means The Bank of New York Mellon Trust Company, N.A., or any successor thereto acting as Trustee hereunder. “2022 Bonds” means the $____________ initial principal amount of Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 authorized by and at any time Outstanding under the Bond Law and this Indenture. [“2022 Bonds Insurance Policy” means the insurance policy (Policy No. _______) issued by the 2022 Bonds Insurer guaranteeing the scheduled payment of principal of and interest on the 2022 Bonds when due.] [“2022 Bonds Insurer” means ________, or any successor thereto or assignee thereof.] [“2022 Bonds Reserve Account” means the reserve account established for the 2022 Bonds in the Reserve Fund.] Attachment 4 Page 418 of 901 A-7 [“2022 Bonds Reserve Policy” means Municipal Bond Debt Service Reserve Insurance Policy No. ________ provided by the 2022 Bonds Insurer with respect to the 2022 Bonds for deposit into the 2022 Reserve Account.] [“2022 Bonds Reserve Requirement” means, with respect to any 2022 Bonds, $__________. This amount has been calculated as the lesser of (a) Maximum Annual Debt Service on the 2022 Bonds, (b) 125% of the average annual debt service on the 2022 Bonds, and (c) 10% of the principal amount of the 2022 Bonds, and is not subject to increase or decrease.] “Written Certificate,” “Written Request” and “Written Requisition” of the Authority or the City mean, respectively, a written certificate, request or requisition signed in the name of the Authority by an Authority Representative or signed in the name of the City by a City Representative. Any such instrument and supporting opinions or representations, if any, may, but need not, be combined in a single instrument with any other instrument, opinion or representation, and the two or more so combined shall be read and construed as a single instrument. Attachment 4 Page 419 of 901 B-1 APPENDIX B FORM OF BOND No. R- ***$ *** UNITED STATES OF AMERICA STATE OF CALIFORNIA UKIAH PUBLIC FINANCING AUTHORITY 2022 ELECTRIC REVENUE BOND INTEREST RATE: MATURITY DATE: ORIGINAL ISSUE DATE: CUSIP: ______% March 1, ____ _________, 2022 REGISTERED OWNER: CEDE & CO. PRINCIPAL AMOUNT: *** DOLLARS*** The UKIAH PUBLIC FINANCING AUTHORITY, a joint powers agency duly organized and existing under laws of the State of California (the “Authority”), for value received, hereby promises to pay to the Registered Owner specified above or registered assigns (the “Registered Owner”), on the Maturity Date specified above (subject to any right of prior redemption hereinafter provided for), the Principal Amount specified above, in lawful money of the United States of America, and to pay interest thereon in like lawful money from the Interest Payment Date (as hereinafter defined) next preceding the date of authentication of this Bond unless (i) this Bond is authenticated on or before an Interest Payment Date and after the close of business on the 15th day of the month preceding such interest payment date, in which event it shall bear interest from such Interest Payment Date, or (ii) this Bond is authenticated on or before May 15, 2022, in which event it shall bear interest from the Original Issue Date specified above; provided, however, that if at the time of authentication of this Bond, interest is in default on this Bond, this Bond shall bear interest from the Interest Payment Date to which interest has previously been paid or made available for payment on this Bond, at the Interest Rate per annum specified above, payable semiannually on March 1 and September 1 in each year, commencing September 1, 2022 (the “Interest Payment Dates”), calculated on the basis of a 360-day year composed of twelve 30-day months. Principal hereof is payable upon presentation and surrender hereof at the corporate trust office of The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”), in San Francisco, California, or such other place as designated by the Trustee (the “Trust Office”). Interest hereon is payable by check of the Trustee mailed on the applicable Interest Payment Date to the Registered Owner hereof at the Attachment 4 Page 420 of 901 B-2 Registered Owner’s address as it appears on the registration books of the Trustee as of the close of business on the fifteenth day of the month preceding each Interest Payment Date (a “Record Date”), or, upon written request filed with the Trustee as of such Record Date by a registered owner of at least $1,000,000 in aggregate principal amount of Bonds, by wire transfer in immediately available funds to an account in the United States designated by such registered owner in such written request. This Bond is not a debt of the City of Ukiah (the “City”), the County of Mendocino, the State of California, or any of its political subdivisions, in contravention of any constitutional or statutory debt limitation or restriction, and neither the City, said County, said State, nor any of its political subdivisions, is liable hereon nor in any event shall this Bond be payable out of any funds or properties of the Authority other than the Net Revenues. This Bond is one of a duly authorized issue of bonds of the Authority designated as the “Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 (the “Bonds”), in an aggregate principal amount of $____________, all of like tenor and date (except for such variation, if any, as may be required to designate varying numbers, maturities, interest rates or redemption provisions) and all issued under the provisions of Article 4 of Chapter 5, Division 7, Title 1 of the Government Code of the State of California, commencing with Section 6584 of said Code (the “Bond Law”), and under an Indenture of Trust dated as of March 1, 2022, between the Authority and the Trustee (the “Indenture”). Reference is hereby made to the Indenture (copies of which are on file at the office of the Authority) and all supplements thereto for a description of the terms on which the Bonds are issued, the provisions with regard to the nature and extent of the security for the Bonds, and the rights thereunder of the owners of the Bonds and the rights, duties and immunities of the Trustee and the rights and obligations of the Authority thereunder, to all of the provisions of which the Registered Owner of this Bond, by acceptance hereof, assents and agrees. The Bonds have been issued by the Authority to finance improvements to the system owned and operated by the City for the generation, transmission and distribution of electricity within the service area of the City (the “Electric System”). The Bonds are special obligations of the Authority which are payable from and secured by a charge and lien on the Revenues as defined in the Indenture, consisting principally of installment payments made by the City under an Installment Sale Agreement dated as of March 1, 2022, between the Authority and the City (the “Installment Sale Agreement”). As and to the extent set forth in the Indenture, all of the Revenues are exclusively and irrevocably pledged in accordance with the terms of the Indenture to the payment of the principal of and interest on the Bonds and any bonds issued on a parity with the Bonds. The rights and obligations of the Authority and the owners of the Bonds may be modified or amended at any time in the manner, to the extent and upon the terms provided in the Indenture, but no such modification or amendment shall extend the fixed maturity of any Bonds, or reduce the amount of principal thereof, or extend the time of payment, or change the method of computing the rate of interest thereon, or extend the time of payment of interest thereon, without the consent of the owner of each Bond so affected. The Bonds maturing on or before March 1, ____ are not subject to optional redemption prior to their respective stated maturity dates. The Bonds maturing on or Attachment 4 Page 421 of 901 B-3 after March 1, ____ are subject to redemption in whole, or in part at the written request of the Authority among maturities on such basis as the Authority may designate and by lot within a maturity, at the option of the Authority, on any date on or after March 1, ____, from any available source of funds, at a redemption price equal to 100% of the principal amount of the Bonds to be redeemed, plus accrued interest to the date of redemption, without premium. The Bonds are subject to redemption as a whole or in part, on any date, from and to the extent of the proceeds of disposition of Electric System properties or the proceeds of hazard insurance not used to repair or rebuild the Electric System, which proceeds are required to be used for such purpose under the Installment Sale Agreement, at a redemption price equal to the principal amount of the Bonds to be redeemed, plus interest accrued thereon to the date fixed for redemption, without premium. The Bonds maturing on March 1, ____ and March 1, ____ (the “Term Bonds”) are subject to mandatory redemption in part by lot, at a redemption price equal to 100% of the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts and on March 1 in the respective years as set forth in the following tables; provided, however, that if some but not all of such Term Bonds have been redeemed under the redemption provisions described in the preceding paragraph, the total amount of all future sinking fund payments shall be reduced by the aggregate principal amount of the Term Bonds so redeemed, to be allocated among such sinking fund payments on a pro rata basis in integral multiples of $5,000 (as set forth in a schedule provided by the Authority to the Trustee). Term Bonds Maturing March 1, ____ Sinking Fund Redemption Date (March 1) Principal Amount To Be Redeemed Term Bonds Maturing March 1, ____ Sinking Fund Redemption Date (March 1) Principal Amount To Be Redeemed As provided in the Indenture, notice of redemption will be mailed by the Trustee by first class mail not less than 20 nor more than 60 days prior to the redemption date to the respective owners of any Bonds designated for redemption at their addresses appearing on the registration books of the Trustee, but neither failure to receive such Attachment 4 Page 422 of 901 B-4 notice nor any defect in the notice so mailed shall affect the sufficiency of the proceedings for redemption or the cessation of accrual of interest thereon from and after the date fixed for redemption. If this Bond is called for redemption and payment is duly provided therefor as specified in the Indenture, interest shall cease to accrue hereon from and after the date fixed for redemption. This Bond is transferable by the Registered Owner hereof, in person or by his attorney duly authorized in writing, at the Trust Office, but only in the manner, subject to the limitations and upon payment of the charges provided in the Indenture, and upon surrender and cancellation of this Bond. Upon registration of such transfer, a new Bond or Bonds, of authorized denomination or denominations, for the same aggregate principal amount and of the same maturity will be issued to the transferee in exchange herefor. This Bond may be exchanged at the Trust Office for Bonds of the same tenor, aggregate principal amount, interest rate and maturity, of other authorized denominations. The Authority and the Trustee may treat the Registered Owner hereof as the absolute owner hereof for all purposes, and the Authority and the Trustee shall not be affected by any notice to the contrary. Unless this Bond is presented by an authorized representative of The Depository Trust Company to the Authority or the Trustee for registration of transfer, exchange or payment, and any Bond issued is registered in the name of Cede & Co. or such other name as requested by an authorized representative of The Depository Trust Company and any payment is made to Cede & Co., ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL since the registered owner hereof, Cede & Co., has an interest herein. It is hereby certified by the Authority that all of the things, conditions and acts required to exist, to have happened or to have been performed precedent to and in the issuance of this Bond do exist, have happened or have been performed in due and regular time, form and manner as required by the Bond Law and the laws of the State of California and that the amount of this Bond, together with all other indebtedness of the Authority, does not exceed any limit prescribed by any laws of the State of California, and is not in excess of the amount of Bonds permitted to be issued under the Indenture. This Bond is not entitled to any benefit under the Indenture or valid or obligatory for any purpose until the certificate of authentication hereon endorsed has been manually signed by the Trustee. Attachment 4 Page 423 of 901 B-5 IN WITNESS WHEREOF, the Ukiah Public Financing Authority has caused this Bond to be executed in its name and on its behalf with the facsimile signature of its Executive Director and attested to by the facsimile signature of its Secretary, all as of the Original Issue Date specified above. UKIAH PUBLIC FINANCING AUTHORITY By: Executive Director Attest: Secretary CERTIFICATE OF AUTHENTICATION This is one of the Bonds described in the within-mentioned Indenture. Dated: THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee By: Authorized Signatory Attachment 4 Page 424 of 901 B-6 STATEMENT OF INSURANCE [To come, if applicable] FORM OF ASSIGNMENT For value received the undersigned hereby sells, assigns and transfers unto __________________________________ whose address and social security or other tax identifying number is _________________________________, the within-mentioned Bond and hereby irrevocably constitute(s) and appoint(s) _______________________ ________________________________________ attorney, to transfer the same on the registration books of the Trustee with full power of substitution in the premises. Dated: Signature Guaranteed: Note: Signature guarantee shall be made by a guarantor institution participating in the Securities Transfer Agents Medallion Program or in such other guarantee program acceptable to the Trustee. Note: The signature(s) on this Assignment must correspond with the name(s) as written on the face of the within Bond in every particular without alteration or enlargement or any change whatsoever. Attachment 4 Page 425 of 901 C-1 APPENDIX C FORM OF WRITTEN REQUISITION $____________ UKIAH PUBLIC FINANCING AUTHORITY Electric Revenue Bonds, Series 2022 WRITTEN REQUISITION NO. __ FOR PROJECT FUND DISBURSEMENT The undersigned hereby states and certifies that: (i) I am the duly appointed, qualified and acting _________ of the City of Ukiah, a municipal corporation duly and validly existing under the laws of the State of California (the “City”), and as such, I am familiar with the facts herein certified and am authorized and qualified to certify the same; (ii) I am a duly designated “City Representative” as such term is defined in that certain Indenture of Trust dated as of March 1, 2022 (the “Indenture”), between the Ukiah Public Financing Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”); (iii) under Section 3.04 of the Indenture, the Trustee is hereby requested to disburse this date from the Project Fund established thereunder to the payees set forth on Exhibit A attached hereto and by this reference incorporated herein, the respective sum set forth opposite each such payee, for the purposes identified therein; (iv) each item to be paid pursuant to this Requisition has been properly incurred, is a proper charge against the Project Fund and has not been the basis of any previous disbursement; (v) each amount to be disbursed herein is for payment of a Project Cost; and (vi) all payments shall be made by check or wire transfer in accordance with payment instructions contained in Exhibit A or in any related invoice, and the Trustee has no duty or obligation to authenticate such payment instructions or the authorization thereof. Capitalized terms used herein and not otherwise defined have the meanings given them in the Indenture. Dated: CITY OF UKIAH By: Name: Title: Attachment 4 Page 426 of 901 C-2 EXHIBIT A PROJECT FUND DISBURSEMENTS Payee Name and Address Purpose of Obligation Amount Attachment 4 Page 427 of 901 D-1 APPENDIX D PROVISIONS RELATING TO 2022 BONDS INSURANCE POLICY Notwithstanding anything to the contrary in this Indenture, the following provisions shall govern with respect to the 2022 Bonds Insurance Policy; provided that the Authority and the City shall be obligated to pay amounts owed in connection with a draw on the 2022 Bonds Insurance Policy (including Insurer Advances and interest thereon) solely from the Revenues, with respect to the Authority, and Net Revenues of the Electric System, with respect to the City, and no other sources: [To come, if applicable] Attachment 4 Page 428 of 901 E-1 APPENDIX E PROVISIONS RELATING TO 2022 BONDS RESERVE POLICY Notwithstanding anything to the contrary in this Indenture, the following provisions shall govern with respect to the 2022 Bonds Reserve Policy; provided that the Authority shall be obligated to pay amounts owed in connection with a draw on the 2022 Bonds Reserve Policy solely from the Revenues and no other sources, and the City shall be obligated to pay amounts owed in connection with a draw on the 2022 Reserve Policy solely from the Net Revenues of the Electric System and no other sources: [To come, if applicable] Attachment 4 Page 429 of 901 Jones Hall Draft of Feb. 8, 2022 PRELIMINARY OFFICIAL STATEMENT DATED MARCH _____, 2022 NEW ISSUE - FULL BOOK-ENTRY RATING[S]: S&P (Insured): “____” S&P (Underlying): “___” See “RATING[S]” In the opinion of Jones Hall, A Professional Law Corporation, San Francisco, California, Bond Counsel, subject, however to certain qualifications described herein, under existing law, the interest on the Bonds is excluded from gross income for federal income tax purposes and such interest is not an item of tax preference for purposes of the federal alternative minimum tax. In the further opinion of Bond Counsel, such interest is exempt from California personal income taxes. See “TAX MATTERS.” $_____________* UKIAH PUBLIC FINANCING AUTHORITY Electric Revenue Bonds, Series 2022 Dated: Date of Delivery Due: March 1, as shown on inside cover Authority for Issuance. The bonds captioned above (the “Bonds”) are being issued by the Ukiah Public Financing Authority (the “Authority”) under an Indenture of Trust, dated as of March 1, 2022 (the “Indenture”) between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”) and pursuant a resolution adopted by the Board of Directors of the Authority. Use of Proceeds. The Bonds are being issued to (i) finance improvements to the Electric System of the City, and (ii) pay certain costs incurred in connection with the issuance of the Bonds. See “FINANCING PLAN.” Security for the Bonds. The Bonds are payable from and secured by “Revenues” which generally consist of (a) semiannual installment payments (the “Installment Payment”) payable by the City of Ukiah (the “City”) to the Authority pursuant to an Installment Sale Agreement, dated as of March 1, 2022 (the “Installment Sale Agreement”), between the City and the Authority, and (b) all interest, profits or other income derived from the investment of amounts in any fund or account established under the Indenture (other than the Project Fund). The Installment Payments are payable from and secured by a pledge of Net Revenues of the Electric System of the City, where “Net Revenues” means the Gross Revenues of the Electric System less the Operation and Maintenance Costs of the Electric System. Currently, there are no other obligations of the City payable on a parity basis from the Net Revenues of the Electric System, although the City may in the future incur additional parity obligations. See “SECURITY FOR THE BONDS.” Bond Terms; Book-Entry Only. Interest on the Bonds will accrue at the rates (based on a 360-day year of twelve 30-day months) set forth on the inside cover page of this Official Statement, payable semiannually on March 1 and September 1 of each year, beginning on September 1, 2022. The Bonds will be issued in fully registered form in the name of Cede & Co., as nominee of The Depository Trust Company (“DTC”) under the book-entry-only system maintained by DTC. So long as Cede & Co. is the registered owner of the Bonds, principal of, premium, if any, and interest on the Bonds will be payable by the Trustee to DTC, which will in turn remit such payments to its participants for subsequent disbursement to beneficial owners of the Bonds, as more fully described herein. Purchasers of the Bonds will not receive physical certificates representing their interests in the Bonds. See “THE BONDS” and “APPENDIX F – DTC AND THE BOOK-ENTRY ONLY SYSTEM.” Reserve Fund. The Authority will establish a debt service reserve fund for the Bonds from proceeds of the Bonds, as described herein. See “SECURITY FOR THE BONDS.” Redemption. The Bonds are subject to redemption prior to their stated maturities, as described herein. See “THE BONDS – Redemption Provisions.” [Bond Insurance. The Authority has obtained a commitment for a municipal bond insurance policy for the Bonds and will decide whether to insure some, all, or none of the Bonds in connection with the pricing of the Bonds. If bond insurance is obtained, the insurer of the Bonds may also provide a debt service reserve fund insurance policy in the amount of the reserve requirement for the Bonds.] NEITHER THE BONDS, NOR THE OBLIGATION OF THE AUTHORITY TO PAY PRINCIPAL OF OR INTEREST THEREON, NOR THE OBLIGATION OF THE CITY TO MAKE THE INSTALLMENT PAYMENTS, CONSTITUTE A DEBT OR A LIABILITY OF THE AUTHORITY, THE CITY, THE STATE OF CALIFORNIA OR ANY OF ITS POLITICAL SUBDIVISIONS WITHIN THE MEANING OF ANY CONSTITUTIONAL LIMITATION ON INDEBTEDNESS, OR A PLEDGE OF THE FULL FAITH AND CREDIT OF THE CITY. THE BONDS ARE SECURED SOLELY BY THE PLEDGE OF REVENUES AND CERTAIN FUNDS HELD UNDER THE INDENTURE. THE BONDS ARE NOT SECURED BY A PLEDGE OF THE TAXING POWER OF THE CITY. MATURITY SCHEDULE (see inside cover) THIS COVER PAGE CONTAINS CERTAIN INFORMATION FOR GENERAL REFERENCE ONLY. IT IS NOT A SUMMARY OF THIS ISSUE OF BONDS. INVESTORS MUST READ THE ENTIRE OFFICIAL STATEMENT TO OBTAIN INFORMATION ESSENTIAL TO THE MAKING OF AN INFORMED INVESTMENT DECISION WITH RESPECT TO THE PURCHASE OF THE BONDS. The Bonds are offered when, as and if issued and delivered to and accepted by the Underwriter, subject to the approval as to their legality by Jones Hall, A Professional Law Corporation, San Francisco, California, Bond Counsel. Certain legal matters will also be passed upon for the City and the Authority by Jones Hall as Disclosure Counsel; for the City and the Authority by the City Attorney; and for the Underwriter by Nixon Peabody LLP, Los Angeles, California. It is anticipated that the Bonds will be delivered in book-entry form through the facilities of DTC on or about __________, 2022. The date of this Official Statement is _____________. _____________________ *Preliminary; subject to change. Th i s P r e l i m i n a r y O f f i c i a l S t a t e m e n t a n d t h e i n f o r m a t i o n c o n t a i n e d h e r e i n a r e s u b j e c t t o c o m p l e t i o n o r a m e n d m e n t . U n d e r n o c i r cu m s t a n c e s s h a l l t h i s P r e l i m i n a r y O f f i c i a l S t a t e m e n t co n s t i t u t e a n o f f e r t o s e l l o r a s o l i c i t a t i o n o f a n of f e r t o b u y n o r s h a l l t h e r e b e a n y s a l e o f t h e s e s e c u r i t i e s i n a n y j u r i s d i c t i o n i n w h i c h s u c h o f f e r s o l i c i t a t i o n o r s a l e w o u ld b e u n l a w f u l p r i o r t o r e g i s t r a t i o n o r q u a l i f i c a t i o n u n d e r t h e s e c u r i t i e s l a w s of s u c h j u r i s d i c t i o n . Attachment 5 Page 430 of 901 MATURITY SCHEDULE* $_________ Serial Bonds (Base CUSIP† No. ______) Maturity Date Principal Interest (March 1) Amount* Rate Yield Price CUSIP† $___________ ____% Term Bonds due March 1, 20___; Price: _____%; Yield: ______; CUSIP†: _______ * Preliminary, subject to change. † CUSIP® is a registered trademark of the American Bankers Association. CUSIP Global Services (CGS) is managed on behalf of the American Bankers Association by S&P Global Market Intelligence. Copyright© 2022 CUSIP Global Services. All rights reserved. CUSIP® data herein is provided by CUSIP Global Services. This data is not intended to create a database and does not serve in any way as a substitute for the CGS database. CUSIP® numbers are provided for convenience of reference only. None of the City, the Authority nor the Underwriter takes any responsibility for the accuracy of such numbers. Attachment 5 Page 431 of 901 UKIAH PUBLIC FINANCING AUTHORITY Ukiah, California _______________________ AUTHORITY BOARD / CITY COUNCIL Jim Brown, Chair/Mayor Josefina Dueñas, Vice Chair/Vice Mayor Douglas Crane, Authority Member/Councilmember Mari Rodin, Authority Member/Councilmember Juan Orozco, Authority Member/Councilmember CITY / AUTHORITY STAFF Sage Sangiacomo, City Manager/Executive Director Allen Carter, City Treasurer Daniel Buffalo, Finance Director/Authority Treasurer Mel Grandi, P.E., Electric Utility Director Tim Eriksen, Public Works Director/City Engineer Kristine Lawler, City Clerk/Secretary David Rapport, Esq., City Attorney/Authority Counsel PROFESSIONAL SERVICES Bond Counsel and Disclosure Counsel Jones Hall, A Professional Law Corporation San Francisco, California Municipal Advisor NHA Advisors, LLC San Rafael, California Trustee The Bank of New York Mellon Trust Company, N.A. Los Angeles, California Attachment 5 Page 432 of 901 GENERAL INFORMATION ABOUT THIS OFFICIAL STATEMENT No dealer, broker, salesperson or other person has been authorized to give any information or to make any representations with respect to the Bonds other than as contained in this Official Statement, and if given or made, such other information or representation must not be relied upon as having been authorized. This Official Statement does not constitute an offer to sell or the solicitation of an offer to buy in any state in which such offer or solicitation is not authorized or in which the person making such offer or solicitation is not qualified to do so or to any person to whom it is unlawful to make such offer or solicitation. This Official Statement speaks only as of its date, and the information and expressions of opinion contained in this Official Statement are subject to change without notice. Neither the delivery of this Official Statement nor any sale of the Bonds will, under any circumstances, create any implication that there has been no change in the affairs of the City or any other parties described in this Official Statement, or in the condition of the security for the Bonds since the date of this Official Statement. This Official Statement is submitted in connection with the sale of the Bonds referred to in this Official Statement and may not be reproduced or used, in whole or in part, for any other purpose. This Official Statement is not a contract with the purchasers of the Bonds. Prospective investors should not construe the contents of this Official Statement as legal, tax or investment advice. The information contained in this Official Statement has been obtained from sources that are believed to be reliable, but this information is not guaranteed as to accuracy or completeness. The Underwriter has submitted the following statement for inclusion in this Official Statement: The Underwriter has reviewed the information in this Official Statement in accordance with, and as a part of, its responsibilities to investors under the federal securities laws as applied to the facts and circumstances of this transaction, but the Underwriter does not guarantee the accuracy or completeness of such information. All references to and summaries of the Indenture or other documents contained in this Official Statement are subject to the provisions of those documents and do not purport to be complete statements of those documents. The Bonds have not been registered under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, in reliance upon exemptions for the issuance and sale of municipal securities provided under Section 3(a)(2) of the Securities Act of 1933 and Section 3(a)(12) of the Securities Exchange Act of 1934. Certain statements included or incorporated by reference in this Official Statement constitute forward-looking statements. Such statements are generally identifiable by the terminology used such as “plan,” “expect,” “estimate,” “project,” “budget” or other similar words. The achievement of certain results or other expectations contained in such forward-looking statements involve known and unknown risks, uncertainties and other factors which may cause actual results, performance or achievements described to be materially different from any future results, performance or achievements expressed or implied by such forward-looking statements. No assurance is given that actual results will meet the forecasts of the City in any way, regardless of the level of optimism communicated in the information. The City is not obligated to issue any updates or revisions to the forward-looking statements if or when its expectations, or events, conditions or circumstances on which such statements are based occur. Such forward-looking statements include, but are not limited to, certain statements contained in the information under the captions “THE ELECTRIC SYSTEM,” “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY” and “BOND OWNERS’ RISKS.” The references to internet websites in this Official Statement are shown for reference and convenience only; unless explicitly stated to the contrary, the information contained within the websites and any links contained within those websites are not incorporated herein by reference and do not constitute part of this Official Statement. Attachment 5 Page 433 of 901 i TABLE OF CONTENTS Page Page INTRODUCTION ....................................... 1 FINANCING PLAN ..................................... 4 The Project ...................................................... 4 Estimated Sources and Uses ......................... 4 DEBT SERVICE SCHEDULE .................... 5 THE BONDS .............................................. 6 Authority for Issuance ..................................... 6 General Provisions .......................................... 6 Redemption* ................................................... 7 SECURITY FOR THE BONDS ................. 10 General ......................................................... 10 Revenues; Pledge of Revenues ................... 10 Assignment to Trustee .................................. 10 Deposit of Revenues in Bond Fund .............. 11 Allocation of Revenues ................................. 11 Installment Payments.................................... 11 Pledge of Net Revenues ............................... 12 Debt Service Reserve Fund .......................... 14 Rate Covenant .............................................. 15 Rate Stabilization Fund ................................. 15 Senior Lien Debt ........................................... 15 Conditions to Issue Additional Parity Debt ... 16 THE AUTHORITY .................................... 17 THE CITY ................................................ 17 THE ELECTRIC SYSTEM........................ 18 History and Background................................ 18 Organization and Employees ........................ 18 Sources of Power Supply ............................. 19 Regional Transmission Facilities .................. 26 Electric Distribution System .......................... 27 Service Area, Customer Base and Demand . 27 Electric Rates ................................................ 29 Energy Efficiency and Conservation ............. 30 Risk Management; Insurance ....................... 31 Wildfire Mitigation Measures ......................... 31 Capital Improvement Plan ............................ 31 ELECTRIC SYSTEM FINANCIAL INFORMATION ........................................ 32 Significant Accounting Policies ..................... 32 Audited Financial Statements ....................... 32 Financial Policies .......................................... 32 Retirement Benefits ...................................... 33 No OPEB ...................................................... 34 Outstanding Long-Term Obligations ............ 34 Revenues, Expenses and Debt Service Coverage ...................................................... 35 RATE REGULATION FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY Rates and Charges for Service .................... 37 Electric Market Deregulation ........................ 37 State Legislation ........................................... 38 Energy Policy Acts ........................................ 42 Federal Cybersecurity Policy ........................ 43 Wildfire Mitigation Measures ........................ 43 Other Environmental Issues ......................... 44 PG&E Bankruptcy ......................................... 46 Future State and Federal Legislation ........... 47 CONSTITUTIONAL LIMITATIONS ON TAXES AND APPROPRIATIONS ............48 State Constitution Articles XIIIA and XIIIB .... 48 State Constitution Articles XIIIC and XIIID ... 48 Future Initiatives ........................................... 49 BOND OWNERS’ RISKS .........................49 Limited Obligations ....................................... 50 Limitations on Remedies and Limited Recourse on Default ..................................... 50 Regulatory Risks; Change in Law ................ 51 Environmental Risks ..................................... 51 COVID-19 Pandemic .................................... 52 Risk of Inverse Condemnation Actions ........ 53 Cybersecurity ................................................ 53 IRS Audit of Tax-Exempt Bond Issues ......... 53 Secondary Market ........................................ 53 [Bond Insurance Risk Factors] ..................... 54 Other Risks to the Electric System ............... 55 TAX MATTERS ........................................56 CERTAIN LEGAL MATTERS ...................58 LITIGATION .............................................58 RATING[S] ...............................................58 CONTINUING DISCLOSURE ..................58 MUNICIPAL ADVISOR .............................59 UNDERWRITING .....................................59 PROFESSIONAL SERVICES ..................60 EXECUTION ............................................60 APPENDIX A: SUMMARY OF PRINCIPAL LEGAL DOCUMENTS APPENDIX B: AUDITED FINANCIAL STATEMENTS OF THE CITY FOR FISCAL YEAR 2020-21 APPENDIX C: FORM OF CONTINUING DISCLOSURE CERTIFICATE APPENDIX D: GENERAL INFORMATION REGARDING THE CITY OF UKIAH AND COUNTY OF MENDOCINO APPENDIX E: FORM OF OPINION OF BOND COUNSEL APPENDIX F: DTC AND THE BOOK-ENTRY ONLY SYSTEM Attachment 5 Page 434 of 901 2 [Insert Regional Location Map] Attachment 5 Page 435 of 901 1 OFFICIAL STATEMENT $_____________* UKIAH PUBLIC FINANCING AUTHORITY Electric Revenue Bonds, Series 2022 INTRODUCTION This introduction contains only a brief summary of certain terms of the Bonds, and a brief overview of the contents of this Official Statement. This summary does not purport to be comprehensive or definitive. All references in this Official Statement to documents are qualified in their entirety by reference to such documents, and references to the Bonds are qualified in their entirety by reference to the form of Bond included in the Indenture. Capitalized terms used but not defined herein have the meanings set forth in the Indenture. See also “APPENDIX A – SUMMARY OF PRINCIPAL LEGAL DOCUMENTS.” Authority for Issuance. The Ukiah Public Financing Authority (the “Authority”) is issuing the bonds captioned above (the “Bonds”) under the Marks-Roos Local Bond Pooling Act of 1985, constituting Article 4 (commencing with Section 6584) of Chapter 5, Division 7, Title 1 of the California Government Code (the “Bond Law”), a Resolution adopted by the Board of Directors of the Authority on [February 16, 2022] (the “Authority Resolution”), a Resolution adopted by the City Council of the City of Ukiah (the “City”) on [February 16, 2022] (the “City Resolution”), and an Indenture of Trust, dated as of March 1, 2022 (the “Indenture”), between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). Purpose of the Bonds. The Bonds are being issued to (i) finance improvements to the Electric System of the City, and (ii) pay certain costs incurred in connection with the issuance of the Bonds. See “FINANCING PLAN.” The Authority and the City. The Authority is a joint powers authority established pursuant to that certain Joint Exercise of Powers Agreement dated May 5, 2020. The Authority is governed by a five-member Board of Directors (the “Board”), which consists of the members of the City Council of the City. The Authority was created for the purpose of assisting the financing or refinancing of certain public capital facilities within the City. Under the Bond Law, the Authority has the power to lease real property in furtherance of the acquisition of public improvements necessary or convenient for the operation of the City, or to purchase bonds issued by any local agency at public or negotiated sale and may sell such bonds to public or private purchasers at public or negotiated sale. See “THE AUTHORITY” herein. The City encompasses approximately five square miles and is located in Mendocino County (the “County”), approximately 100 miles north of San Francisco in the northern coastal __________ * Preliminary, subject to change. Attachment 5 Page 436 of 901 2 region of the State on U.S. Highway 101. The area is centrally located between the San Francisco Bay area, Eureka and Sacramento. The City was incorporated in 1876 and is a general law city operating under a City Council/City Manager form of government. The City has an estimated population of approximately 16,061 people. For additional background, and certain demographic and economic information regarding the City and the County, see APPENDIX D. Bond Terms; Book-Entry Only. The Bonds will bear interest at the rates shown on the inside cover page, payable semiannually on March 1 and September 1 of each year, commencing on September 1, 2022. The Bonds will be issued in fully registered form, registered in the name of The Depository Trust Company (“DTC”), or its nominee, which will act as securities depository for the Bonds. Purchasers of the Bonds will not receive certificates representing the Bonds that are purchased. See “THE BONDS – General Provisions” and “APPENDIX F – DTC AND THE BOOK-ENTRY ONLY SYSTEM.” Security for the Bonds. The Bonds are payable from and secured by “Revenues” which generally consist of (i) semiannual installment payments (the “Installment Payment”) payable by the City to the Authority pursuant to an Installment Sale Agreement, dated as of March 1, 2022 (the “Installment Sale Agreement”), between the City and the Authority, and (ii) all interest, profits or other income derived from the investment of amounts in any fund or account established under the Indenture (other than the Project Fund). The Installment Payments are payable from and secured by a pledge of Net Revenues of the Electric System of the City (described herein), where “Net Revenues” means the Gross Revenues of the Electric System less the Operation and Maintenance Costs of the Electric System. Pursuant to the provisions of the Indenture, the Authority will transfer in trust and assign to the Trustee, for the benefit of the Owners of the Bonds, all of its rights in the Installment Sale Agreement (except for certain of the Authority’s rights under the Installment Sale Agreement), including but not limited to all of the Authority’s rights to receive and collect all of the Installment Payments. Currently, there are no other obligations of the City payable on a parity basis from the Net Revenues of the Electric System, although the City may in the future incur additional parity obligations. See “SECURITY FOR THE BONDS.” Redemption. The Bonds are subject to redemption prior to their stated maturity dates. See “THE BONDS – Redemption.” [Debt Service Reserve Fund. A debt service reserve fund is required to be maintained under the Indenture in an amount equal to the 2022 Bonds Reserve Requirement (defined herein), and will be fully funded upon issuance of the Bonds [via deposit of a reserve fund insurance policy]. See “SECURITY FOR THE BONDS – Debt Service Reserve Fund.”] [Bond Insurance. The Authority has obtained a commitment for a municipal bond insurance policy for the Bonds and will decide whether to insure some, all, or none of the Bonds in connection with the pricing of the Bonds. If bond insurance is obtained, the insurer of the Bonds may also provide a debt service reserve fund insurance policy in the amount of the reserve requirement for the Bonds.] Rate Covenant. Under the Installment Sale Agreement, the City covenants that it will prescribe, revise and collect rates, fees and charges for the services and facilities of the Electric System which, after allowances for contingencies and error in the estimates, shall produce Gross Attachment 5 Page 437 of 901 3 Revenues sufficient in each Fiscal Year to provide Net Revenues equal to at least [1.20] times the Debt Service coming due and payable during such Fiscal Year. See “SECURITY FOR THE BONDS – Rate Covenant.” Limited Obligation. The Bonds are special, limited obligations of the Authority payable solely from and secured by the Revenues and amounts held in certain funds and accounts established under the Indenture. The issuance of the Bonds will not directly, indirectly or contingently obligate the City or the Authority to levy or pledge any form of taxation or to make any appropriation for their payment. The Bonds are not a debt of the Authority, the City or of the State of California or of any political subdivision thereof in contravention of any constitutional or statutory debt limitation or restriction. Risks of Investment. The purchase of the Bonds involves certain risks. For a general discussion of certain special factors and considerations relevant to an investment in the Bonds, in addition to the other matters set forth herein, see “BOND OWNERS’ RISKS” herein. The Bonds are not appropriate investments for investors who are not able to bear the associated risks. Investors should read the entire Official Statement to obtain information essential to the making of an informed investment decision. NEITHER THE BONDS, THE OBLIGATION OF THE AUTHORITY TO PAY PRINCIPAL OF OR INTEREST THEREON, NOR THE OBLIGATION OF THE CITY TO MAKE THE INSTALLMENT PAYMENTS, CONSTITUTE A DEBT OR A LIABILITY OF THE AUTHORITY, THE CITY, THE STATE OR ANY OF ITS POLITICAL SUBDIVISIONS WITHIN THE MEANING OF ANY CONSTITUTIONAL LIMITATION ON INDEBTEDNESS, OR A PLEDGE OF THE FULL FAITH AND CREDIT OF THE CITY. THE BONDS ARE SECURED SOLELY BY THE PLEDGE OF REVENUES AND CERTAIN FUNDS HELD UNDER THE INDENTURE. THE BONDS ARE NOT SECURED BY A PLEDGE OF THE TAXING POWER OF THE CITY. Attachment 5 Page 438 of 901 4 FINANCING PLAN The Project The net proceeds of the Bonds are being used to finance approximately $10.0 million of improvements to the Electric System, which are anticipated to consist of items included in the City’s current 5-year capital improvement plan (CIP) for the Electric System. For additional details, see “THE ELECTRIC SYSTEM – Capital Improvement Plan.” Estimated Sources and Uses The table below sets forth the estimated sources and uses of funds with respect to the Bonds. Sources: Principal Amount of Bonds $ Plus/less [net] Original Issue Premium/Discount ___________ TOTAL SOURCES $ Uses: Deposit to Project Fund $ Deposit to Reserve Fund(1) Costs of Issuance(2) ___________ TOTAL USES $ (1) Represents the initial Reserve Requirement for the Bonds. (2) Includes cost of preparation of documents, fees of rating agencies, initial fees of the Trustee, legal fees, fees and disbursements of consultants and professionals, Underwriter’s discount and all other costs related to the issuance of the Bonds[, including premiums for bond insurance and reserve fund insurance policies]. Attachment 5 Page 439 of 901 5 DEBT SERVICE SCHEDULE The Bonds are payable from Revenues available under the Indenture, consisting primarily of the Installment Payments made by the City pursuant to the Installment Sale Agreement. The schedule below shows the annual debt service on the Bonds. The table below assumes the Bonds are retired as scheduled and not optionally redeemed prior to maturity. Year Ending March 1 Principal Interest Total Debt Service(1) Totals (1) Equal to the total Installment Payments due in each Fiscal Year. Source: Underwriter. Attachment 5 Page 440 of 901 6 THE BONDS The following is a summary of certain provisions of the Bonds. Reference is made to the Bonds for the complete text thereof and to the Indenture for a more detailed description of such provisions. The discussion herein is qualified by such reference. See APPENDIX A – “SUMMARY OF PRINCIPAL LEGAL DOCUMENTS.” Authority for Issuance The Bonds are being issued under the Bond Law, the Authority Resolution, the City Resolution and the Indenture. General Provisions General. The Bonds will be dated their date of initial delivery. Subject to the redemption provisions outlined below, the Bonds will mature on the dates and in the amounts set forth on the inside cover page of this Official Statement. Interest. Interest on each Bond will accrue at the per annum interest rates set forth on the inside cover page of this Official Statement, payable semiannually on March 1 and September 1 of each year, beginning on September 1, 2022 (each, an “Interest Payment Date”). Each Bond will bear interest, calculated on the basis of a 360-day year of twelve 30-day months, from the Interest Payment Date next preceding the date of authentication thereof; unless (i) it is authenticated on or before an Interest Payment Date and after the close of business on the preceding Record Date, in which event such Bonds bear interest from such Interest Payment Date; (ii) it is authenticated on or before the first Record Date, in which event such Bonds will bear interest from the date of delivery; provided, however, that if, as of the date of authentication of any Bond, interest thereon is in default, such Bond will bear interest from the Interest Payment Date to which interest has previously been paid or made available for payment with respect to the outstanding Bonds. The Record Date with respect to an Interest Payment Date is the 15th day of the month immediately preceding such Interest Payment Date, whether or not such date is a Business Day. Principal. The principal of the Bonds will be payable in lawful money of the United States of America upon the surrender thereof on the respective maturity date or on redemption prior thereto at the Corporate Trust Office of the Trustee. Denominations. The Bonds will be issued in the form of fully registered bonds without coupons in the denomination of $1,000 each or any integral multiple thereof. DTC and Book-Entry Only System. DTC will act as securities depository for the Bonds. The Bonds will be executed and delivered as fully-registered securities registered initially in the name of Cede & Co. (DTC’s partnership nominee). So long as Cede & Co. is the registered owner of the Bonds, as nominee of DTC, references in this Official Statement to the “Owners” will mean Cede & Co., and will not mean the Beneficial Owners of the Bonds. See “APPENDIX F – DTC AND THE BOOK-ENTRY ONLY SYSTEM.” Method of Payment. So long as the Bonds are registered in the name of Cede & Co., principal, premium, if any, and interest on the Bonds are payable directly to DTC by the Trustee in lawful money of the United States of America. Upon receipt of payments of principal, premium Attachment 5 Page 441 of 901 7 or interest, DTC is to remit such principal, premium or interest to the “DTC Participants” (as defined in APPENDIX F) for subsequent disbursement to the Beneficial Owners of the Bonds. See “APPENDIX F – DTC AND THE BOOK-ENTRY ONLY SYSTEM.” Redemption* Optional Redemption. The Bonds maturing on or before March 1, ____ are not subject to optional redemption prior to their respective stated maturity dates. The Bonds maturing on or after March 1, ____ are subject to redemption in whole, or in part at the written request of the Authority among maturities on such basis as the Authority may designate and by lot within a maturity, at the option of the Authority, on any date on or after March 1, ____, from any available source of funds, at a redemption price equal to 100% of the principal amount of the Bonds to be redeemed, plus accrued interest to the date of redemption, without premium. Extraordinary Redemption from Net Proceeds of Insurance or Sales. The Bonds are subject to redemption as a whole or in part, on any date, from and to the extent of the proceeds of disposition of Electric System properties or the proceeds of hazard insurance not used to repair or rebuild the Electric System, which proceeds are required to be used for such purpose under the Installment Sale Agreement, at a redemption price equal to the principal amount of the Bonds to be redeemed, plus interest accrued thereon to the date fixed for redemption, without premium. Mandatory Sinking-Fund Redemption. The Bonds maturing on March 1, ____ and March 1, ____ (the “Term Bonds”) are subject to mandatory redemption in part by lot, at a redemption price equal to 100% of the principal amount thereof to be redeemed, without premium, in the aggregate respective principal amounts and on March 1 in the respective years as set forth in the following tables; provided, however, that if some but not all of such Term Bonds have been redeemed under the redemption provisions described in the preceding paragraph, the total amount of all future sinking fund payments shall be reduced by the aggregate principal amount of the Term Bonds so redeemed, to be allocated among such sinking fund payments on a pro rata basis in integral multiples of $5,000 (as set forth in a schedule provided by the Authority to the Trustee). Term Bonds Maturing March 1, ____ Sinking Fund Redemption Date (March 1) Principal Amount To Be Redeemed __________ * Preliminary, subject to change. Attachment 5 Page 442 of 901 8 Term Bonds Maturing March 1, ____ Sinking Fund Redemption Date (March 1) Principal Amount To Be Redeemed Selection of Bonds for Redemption; Partial Redemption. Whenever provision is made in the Indenture for the redemption of less than all of the Bonds of a single series or maturity, the Trustee shall select the Bonds of that series and maturity to be redeemed by lot in any manner which the Trustee in its sole discretion deems appropriate. For purposes of such selection, the Trustee shall treat each Bond as consisting of separate $5,000 portions and each such portion shall be subject to redemption as if such portion were a separate Bond. Upon surrender of any Bonds redeemed in part only, the Authority shall execute and the Trustee shall authenticate and deliver to the Owner thereof, at the expense of the Authority, a new Bond or Bonds of authorized denominations and of the same series, equal in aggregate principal amount to the unredeemed portion of the Bonds surrendered. Notice of Redemption; Right to Rescind. The Trustee shall mail notice of redemption of the Bonds by first class mail, postage prepaid, not less than 20 nor more than 60 days before any redemption date, to the respective Owners of any Bonds designated for redemption at their addresses appearing on the Registration Books and to one or more Securities Depositories and to the Municipal Securities Rulemaking Board. Each notice of redemption shall state the date of the notice, the redemption date, the place or places of redemption, whether less than all of the series of Bonds (or all Bonds of a single maturity) are to be redeemed, the CUSIP numbers and (in the event that not all Bonds within a maturity are called for redemption) Bond series and numbers of the Bonds to be redeemed and the maturity or maturities of the Bonds to be redeemed, and in the case of Bonds to be redeemed in part only, the respective portions of the principal amount thereof to be redeemed. Each such notice shall also state that on the redemption date there will become due and payable on each of said Bonds the redemption price thereof, and that from and after such redemption date interest thereon shall cease to accrue, and shall require that such Bonds be then surrendered. Neither the failure to receive any notice nor any defect therein shall affect the sufficiency of the proceedings for such redemption or the cessation of accrual of interest from and after the redemption date. Notice of redemption of Bonds shall be given by the Trustee, at the expense of the Authority, for and on behalf of the Authority. The Authority has the right to rescind any notice of optional redemption of Bonds under the Indenture by written notice to the Trustee on or prior to the dated fixed for redemption. Any notice of optional redemption shall be cancelled and annulled if for any reason funds will not be or are not available on the date fixed for redemption for the payment in full of the Bonds then called for redemption, and such cancellation shall not constitute an Event of Default. The Authority and the Trustee have no liability to the Bond Owners or any other party related to or arising from such rescission of redemption. The Trustee shall mail notice of such rescission of redemption in the same manner as the original notice of redemption was sent. Attachment 5 Page 443 of 901 9 Unless the book-entry only system is discontinued, the Authority and the Trustee will only recognize DTC or its nominee as an Owner. Conveyance of notices and other communications by DTC to its participants (“DTC Participants”) and by DTC Participants to each actual purchaser of each Bond will be governed by arrangements between them, subject to any statutory and regulatory requirements as may be in effect from time to time. See “APPENDIX F – DTC AND THE BOOK-ENTRY ONLY SYSTEM.” Purchase in lieu of Redemption. In lieu of redemption of Bonds as provided in the Indenture, amounts held by the Trustee for such redemption may be applied by the Trustee to the purchase of Bonds at public or private sale as and when and at such prices (including brokerage, accrued interest and other charges) at the direction of the Authority or the City received by the Trustee at least 75 days prior to the selection of the Bonds for redemption, but such purchase price must not exceed the redemption price that would be payable if such Bonds were redeemed. Effect of Redemption. Notice of redemption having been duly given, and moneys for payment of the redemption price of, together with interest accrued to the date fixed for redemption on the redemption date designated in such notice, the Bonds (or portions thereof) so called for redemption shall become due and payable, interest on the Bonds so called for redemption shall cease to accrue, said Bonds (or portions thereof) shall cease to be entitled to any benefit or security under this Indenture, and the Owners of said Bonds shall have no rights in respect thereof except to receive payment of the redemption price thereof. All Bonds redeemed under the foregoing provisions of the Indenture shall be canceled by the Trustee upon surrender thereof and destroyed in accordance with the retention policy of the Trustee then in effect. Attachment 5 Page 444 of 901 10 SECURITY FOR THE BONDS This section provides summaries of certain provisions of the Indenture, the Installment Sale Agreement and the Bonds. See APPENDIX A for a summary of additional provisions of the Indenture and Installment Sale Agreement. Capitalized terms used but not defined in this section have the meanings given in APPENDIX A. General The Bonds are special, limited obligations of the Authority payable solely from and secured by the Revenues and amounts held in certain funds and accounts established under the Indenture. The issuance of the Bonds will not directly, indirectly or contingently obligate the City or the Authority to levy or pledge any form of taxation or to make any appropriation for their payment. The Bonds are not a debt of the Authority, the City or of the State of California or of any political subdivision thereof in contravention of any constitutional or statutory debt limitation or restriction. Except for the payment of Installment Payments when due and the performance of the other covenants and agreements of the City contained in the Installment Sale Agreement, the City has no obligation or liability to the Owners of the Bonds with respect to the Indenture or the execution, delivery or transfer of the Bonds, or the disbursement of debt service payments to the Owners by the Trustee. The obligation of the City to make the Installment Payments is a special obligation of the City secured by a pledge of Net Revenues and payable solely from the Net Revenues and other amounts available under the Indenture, and does not constitute a debt of the City or of the State of California or of any political subdivision thereof in contravention of any constitutional or statutory debt limitation or restriction. Notwithstanding anything contained in the Installment Sale Agreement, the City is not required to advance any moneys derived from any source of income other than the Net Revenues and the other funds provided in the Installment Sale Agreement for the payment of amounts due under the Installment Sale Agreement or for the performance of any agreements or covenants required to be performed by it contained in the Installment Sale Agreement. See “BOND OWNERS’ RISKS – Limited Obligations” herein. Revenues; Pledge of Revenues The Bonds are payable from and secured by a lien on and security interest in the Revenues as provided in the Indenture. “Revenues” consist of (i) all of the Installment Payments, and (ii) all interest, profits or other income derived from the investment of amounts in any fund or account established under the Indenture, other than the Project Fund. Said pledge constitutes a lien on and security interest in the Revenues and such amounts and shall attach, be perfected and be valid and binding from and after the Closing Date, without the need for any physical delivery thereof or further act. Assignment to Trustee Under the Indenture, the Authority transfers, assigns and sets over to the Trustee, subject to the provisions of the Indenture, all of the Revenues (which consist primarily of the Installment Payments, as more fully described below) and any and all rights and privileges it has under the Installment Sale Agreement (excepting only certain of the Authority’s rights under the Installment Attachment 5 Page 445 of 901 11 Sale Agreement), including the right to collect and receive directly all of the Installment Payments and the right to enforce the provisions of the Installment Sale Agreement. Any Revenues collected or received by the Authority will be deemed to be held, and to have been collected or received, by the Authority as the agent of the Trustee, and will immediately be paid by the Authority to the Trustee. Deposit of Revenues in Bond Fund All Revenues shall be promptly deposited by the Trustee upon receipt thereof in a special fund designated as the “Bond Fund” which the Trustee shall establish, maintain and hold in trust; except that all moneys received by the Trustee and required under the Indenture or under the Installment Sale Agreement to be deposited in the Redemption Fund shall be promptly deposited in such fund. All Revenues deposited with the Trustee shall be held, disbursed, allocated and applied by the Trustee only as provided in this Indenture. Any surplus remaining in the Bond Fund, after payment in full of (i) the principal of and interest on the Bonds or provision therefor under the Indenture, (ii) payment of amounts due to any Insurer, and (iii) any applicable fees and expenses to the Trustee, shall be withdrawn by the Trustee and remitted to the City. Allocation of Revenues On or before the 6th Business Day preceding each Interest Payment Date, the Trustee shall transfer from the Bond Fund and deposit into the following respective accounts and fund, the following amounts in the following order of priority: Deposit to Interest Account. The Trustee shall deposit in the Interest Account (which the Trustee shall establish and maintain within the Bond Fund) an amount required to cause the aggregate amount on deposit in the Interest Account to be at least equal to the amount of interest becoming due and payable on such Interest Payment Date on all Bonds then Outstanding. Deposit to Principal Account. The Trustee shall deposit in the Principal Account (which the Trustee shall establish and maintain within the Bond Fund) an amount required to cause the aggregate amount on deposit in the Principal Account to equal the principal amount of the Bonds coming due and payable on such Interest Payment Date, including the principal amount of Term Bonds which are subject to mandatory sinking fund redemption on such Interest Payment Date. [Deposit to Accounts within Reserve Fund. The Trustee shall deposit into the accounts within the Reserve Fund amount(s) which are needed to replenish the amounts therein to the applicable reserve requirement therefor or pay amounts due to any insurer with respect to any Qualified Reserve Fund Credit Instrument, including to pay Policy Costs due to any Insurer.] Installment Payments Obligation to Pay. Under the Installment Sale Agreement, the City agrees to pay the Authority, as the purchase price of the Projects thereunder. In furtherance of the foregoing, the City agrees to pay to the Authority, as the purchase price of the Project described in this Official Statement the aggregate principal amount equal to the principal amount on the Bonds, together with interest (calculated on the basis of a 360-day year of twelve 30-day months) on the unpaid principal balance thereof, payable in semiannual installment payments in the respective amounts and on the respective Installment Payment Dates set forth in the Installment Sale Agreement. The Installment Payment coming due and payable on any Installment Payment Date shall be Attachment 5 Page 446 of 901 12 deposited by the City with the Trustee, as assignee of the Authority under the Indenture, in an amount which, together with amounts then held by the Trustee in the Bond Fund and the accounts therein, is equal to the full amount of such Installment Payment. The Installment Payments shall be secured by and payable solely from the sources specified in the Installment Sale Agreement. Effect of Prepayment. If the City prepays all remaining Installment Payments in full, the City’s obligations under this Agreement will thereupon cease and terminate with respect to the Installment Payments; provided, however, that the City’s obligations to compensate and indemnify the Trustee under the Indenture will survive such prepayment. If the City prepays the Installment Payments in part but not in whole, the principal component of each succeeding Installment Payment related thereto will be reduced as provided in such Sections, and the interest component of each remaining Installment Payment will be reduced by the aggregate corresponding amount of interest which would otherwise be payable with respect to the Bonds thereby redeemed under the applicable provisions of the Indenture, as provided in a certificate of a City Representative. The City shall provide the Trustee with a revised schedule of Installment Payments which results from any such prepayment in such certificate of a City Representative. Rate on Overdue Payments. If the City fails to make any of the payments required in the Installment Sale Agreement, the payment in default will continue as an obligation of the City until the amount in default has been fully paid, and the City agrees to pay the same with interest thereon, from the date of default to the date of payment, at the Overdue Rate. Assignment. The City understands and agrees that certain rights of the Authority, including but not limited to the right of the Authority to receive payment of the Installment Payments, have been assigned by the Authority to the Trustee in trust under the Indenture, for the benefit of the Owners of the Bonds, and the City hereby consents to such assignment. Under the Installment Sale Agreement, the Authority directs the City, and the City agrees, to pay to the Trustee at its Office, all payments payable by the City under the Installment Sale Agreement. Pledge of Net Revenues Pledge of Net Revenues. The Installment Payments and any Parity Debt are equally secured by a first pledge, charge and lien upon the Net Revenues and (with respect to the Installment Payments) moneys in the Bond Fund, including all amounts derived from the investment of such moneys, without priority for series, issue, number or date, and the payment of the Installment Payments shall be and are secured by an exclusive pledge, charge and lien upon the Net Revenues and such moneys. So long as any of the Bonds are Outstanding, the Net Revenues and such moneys may not be used for any other purpose; except that out of the Net Revenues there may be apportioned such sums, for such purposes, as are expressly permitted by this Section and any Parity Debt Document. Key Definitions. As used in the Installment Sale Agreement, the following terms have the following meanings: “Net Revenues” means, for any period, an amount equal to all of the Gross Revenues received during such period minus the amount required to pay all Operation and Maintenance Costs becoming payable during such period. “Gross Revenues” means all gross income and revenue received by the City from the ownership and operation of the Electric System, including, without limiting the generality of the foregoing, (a) all amounts levied by the City as a fee for connecting to the Attachment 5 Page 447 of 901 13 Electric System, as such fee is established from time to time under applicable law, (b) all income, rents, rates, fees, charges or other moneys derived from the services and facilities of the Electric System, (c) the earnings on and income derived from the investment of such income, rents, rates, fees, charges or other moneys to the extent that the use of such earnings and income is limited by or under applicable law to the Electric System, (d) the proceeds derived by the City directly or indirectly from the sale, lease or other disposition of a part of the Electric System as permitted under this Agreement, (e) amounts transferred into the Electric Fund from a Rate Stabilization Fund, and (f) amounts received by the City from other public agencies as the proceeds of tax revenues or other amounts payable to the City under contracts for services provided by the City to users of the Electric System; provided, however, that the term “Gross Revenues” shall not include (i) customers’ deposits or any other deposits subject to refund until such deposits have become the property of the City, (ii) the proceeds of any ad valorem property taxes levied to pay general obligation bond indebtedness of the City with respect to the Electric System, and (iii) special assessments or special taxes levied upon real property within any improvement district for the purpose of paying special assessment bonds or special tax obligations of the City relating to the Electric System. “Operation and Maintenance Costs” means all expenses and costs of management, operation, maintenance and repair of the Electric System, including, without limiting the generality of the foregoing, (a) all costs of electric energy and power generated or purchased by the City for resale, costs of transmission, and fuel and water supply in connection with the foregoing, including all amounts required to be paid by the City under contracts for the purchase of capacity, energy, transmission capability or any other commodity or service related thereto that requires payments to be made by the City thereunder to be treated as maintenance and operation costs of the Electric System, (b) all reasonable expenses of management and repair and other expenses necessary to maintain and preserve the Electric System in good repair and working order, (c) all administrative costs of the City that are charged directly or apportioned to the operation of the Electric System, such as salaries and wages of employees, overhead, taxes (if any) and insurance premiums; provided, however, that the term “Operation and Maintenance costs” shall not include (i) payment of the Installment Payments which the City is required to pay hereunder, (ii) payment of debt service on bonds, notes or other obligations issued by the City with respect to the Electric System, (iii) depreciation, replacement and obsolescence charges or reserves therefor, (iv) capital expenditures made by the City with respect to the Electric System, (v) accrual of employee benefits which are not funded, (vi) amortization of intangibles or other bookkeeping entries of a similar nature, and (vii) the 6% in-lieu franchise tax payable to the General Fund of the City pursuant to Resolution No. 94-4 adopted by the City Council of the City on August 4, 1993, or any successor thereto. Deposit of Gross Revenues into Electric Fund; Transfers to Make Payments. The City has previously established the Electric Fund, which the City shall continue to hold and maintain for the purposes and uses set forth herein. The City shall deposit all Gross Revenues in the Electric Fund promptly upon the receipt thereof, and shall apply amounts in the Electric Fund solely for the uses and purposes set forth herein and for the uses and purposes set forth in any Parity Debt Documents. The City shall withdraw amounts on deposit in the Electric Fund and apply such amounts at the times and for the purposes, and in the priority, as follows: Operation and Maintenance Costs. The City shall apply amounts on deposit in the Electric Fund to pay all Operation and Maintenance Costs when due. Attachment 5 Page 448 of 901 14 Debt Service. The City shall pay the Installment Payments on or before the applicable Installment Payment Date, and all payments of principal of and interest on outstanding Parity Debt on or before the date specified therefor in the applicable Parity Debt Document. Reserve Accounts and Other Required Payments. The City shall make other payments or deposits required to comply with the provisions of this Agreement and all Parity Debt Documents, including but not limited to payments or deposits required to restore the required balances in any reserve account established pursuant to the Indenture for any series of Bonds and any other reserve fund or reserve account which may be established for Parity Debt (or pay any reserve insurer any amounts owed in connection with any draw on any reserve fund insurance policies). Payment of the Installment Payments and the principal of and interest on the outstanding Parity Debt, and payments made in accordance with any reserve account or reserve fund (including to pay any reserve insurer any amounts owed in connection with any draw on any reserve fund insurance policies), shall be made without preference or priority. If the amount of Net Revenues on deposit in the Electric Fund are any time insufficient to enable the City to pay when due the Installment Payments and the principal of and interest on all outstanding Parity Debt (or payments made in accordance with any reserve account or reserve fund, including to pay any reserve insurer any amounts owed in connection with any draw on any reserve fund insurance policies), such payments will be made on a pro rata basis. Other Uses Permitted. The City shall manage, conserve and apply the amounts on deposit in the Electric Fund in such a manner that all deposits required to be made under the preceding subsection will be made at the times and in the amounts so required. So long as no Event of Default has occurred and is continuing and the City has reserved sufficient amounts to make debt service deposits next required to be made under the subsection above and under any Parity Debt Documents, the City may at any time use and apply moneys in the Electric Fund for any one or more of the following purposes: (i) the payment of any subordinate obligations or any unsecured obligations, including the 6% in-lieu franchise tax payable to the General Fund of the City; (ii) the acquisition and construction of extensions and improvements to the Electric System; (iii) the redemption of any obligations of the City relating to the Electric System; or (iv) any other lawful purpose of the City relating to the Electric System. Treatment of 6% In-Lieu Franchise Tax. In the Installment Sale Agreement, the City covenants and agrees for the benefit of the Bondholders [and the Insurer] that so long as any Bonds are Outstanding, the 6% in-lieu franchise tax payable to the General Fund of the City pursuant to Resolution No. 94-4 adopted by the City Council of the City on August 4, 1993, or any successor thereto, shall be payable by the Electric System to the General Fund on a basis that is subordinate to the payment of debt service on the Bonds and replenishment of any reserve fund (or payment to any reserve insurer of any amounts owed in connection with any draw on any reserve fund insurance policies) established for any Bonds. Debt Service Reserve Fund [To come, if applicable. Reserve fund insurance policy description, if applicable.] Attachment 5 Page 449 of 901 15 Rate Covenant In the Installment Sale Agreement, the City covenants that it shall prescribe, revise and collect rates, fees and charges for the services and facilities of the Electric System which, after allowances for contingencies and error in the estimates, shall produce Gross Revenues sufficient in each Fiscal Year to provide Net Revenues equal to at least [1.20] times the Debt Service coming due and payable during such Fiscal Year. Rate Stabilization Fund Under the Installment Sale Agreement, the City has the right at any time to establish a rate stabilization fund (the “Rate Stabilization Fund”) to be held by it and administered in accordance therewith, for the purpose of stabilizing the rates and charges imposed by the City with respect to the Electric System. From time to time the City may deposit amounts in the Rate Stabilization Fund, from any source of legally available funds, including but not limited to Net Revenues which are released from the pledge and lien which secures the Installment Payments and any Parity Debt, as the City may determine. The City may, but is not required to, withdraw from any amounts on deposit in a Rate Stabilization Fund and deposit such amounts in the Electric Fund in any Fiscal Year for the purpose of paying Debt Service coming due and payable in such Fiscal Year. Amounts so transferred from a Rate Stabilization Fund to the Electric Fund shall constitute Gross Revenues for such Fiscal Year (except as otherwise provided herein), and shall be applied for the purposes of the Electric Fund. Amounts on deposit in a Rate Stabilization Fund shall not be pledged to or otherwise secure the Installment Payments or any Parity Debt. All interest or other earnings on deposits in a Rate Stabilization Fund shall be withdrawn therefrom at least annually and accounted for as Gross Revenues in the Electric Fund. The City has the right at any time to withdraw any or all amounts on deposit in a Rate Stabilization Fund and apply such amounts for any lawful purposes of the City. The City has previously established a Rate Stabilization Fund for the Electric System. See “THE ELECTRIC SYSTEM – Electric Rates – Rate Stabilization Fund” for more details. Senior Lien Debt During the term of the Installment Sale Agreement, the City may not issue or incur any additional bonds or other obligations having any priority in payment of principal or interest out of the Gross Revenues over the Installment Payments, provided that the City may incur obligations payable as Operation and Maintenance Costs. See “ELECTRIC SYSTEM FINANCIAL INFORMATION – Outstanding Long-Term Obligations” for further details on certain obligations already payable by the Electric System as Operation and Maintenance Costs related to power generation projects in which the Electric System participates. In addition, nothing in the Installment Sale Agreement limits or affects the ability of the City to issue or incur Parity Debt as described below under “–Issuance of Parity Debt,” or obligations which are either unsecured or which are secured on a basis which is junior and subordinate to the pledge of and lien upon the Net Revenues established under the Installment Sale Agreement for the Installment Payments. Attachment 5 Page 450 of 901 16 Issuance of Parity Debt Under the Installment Sale Agreement, the City may issue or incur Parity Debt in such principal amount as it determines, subject to the following conditions precedent: (i) The City is not in default under the terms of the Installment Sale Agreement (and no event has occurred which, once all notice and grace periods have passed, would constitute a default thereunder) unless such default shall be cured upon such issuance; and (ii) Net Revenues, calculated on sound accounting principles, as shown by the books of the City for the latest Fiscal Year or any more recent 12-month period selected by the City ending not more than 60 days prior to the adoption or execution of the Parity Debt Document pursuant to which such Parity Debt is issued or incurred, plus, at the option of the City, the Additional Revenues, shall have amounted to at least [1.20] times the Maximum Annual Debt Service coming due and payable in any future Fiscal Year. The City shall deliver to the Authority and the Trustee a certificate of a City Representative certifying that each of the conditions precedent to the issuance of such Parity Debt set forth above have been satisfied. Notwithstanding the foregoing provisions, the City shall not be required to meet the requirements of the foregoing clause (ii) with respect to the issuance of any Parity Debt the proceeds of which are applied to prepay or discharge the Installment Payments or any Parity Debt, provided that as a result of such prepayment or discharge the aggregate amount of Debt Service on the Installment Payments and Parity Debt which will be outstanding following the issuance of such Parity Debt will be reduced in every Fiscal Year. As used above, “Additional Revenues” means either or both of the following: (i) An allowance for revenues from any additions to or improvements or extensions of the Electric System to be constructed with the proceeds of such additional obligations, and also for Net Revenues from any such additions, improvements or extensions which have been constructed from any source of funds but which, during all or any part of such Fiscal Year, were not in service, all in an amount equal to 70% of the estimated additional average annual Net Revenues to be derived from such additions, improvements and extensions for the first 36-month period following issuance of the proposed Parity Debt, all as shown by the certificate or opinion of a Financial Consultant employed by the City, may be added to such Net Revenues. (ii) An allowance for earnings arising from any increase in the charges made for service from the Electric System which has become effective prior to the incurring of such additional obligations but which, during all or any part of such Fiscal Year, was not in effect, in an amount equal to 100% of the amount by which the Net Revenues would have been increased if such increase in charges had been in effect during the whole of such Fiscal Year and any period prior to the incurring of such additional obligations, as shown by the certificate or opinion of a Financial Consultant employed by the City. Attachment 5 Page 451 of 901 17 THE AUTHORITY The Authority is a joint powers authority established pursuant to the JPA Agreement. The Authority is governed by a five-member Board that consists of the members of the City Council of the City. The Authority was created for the purpose of assisting the financing or refinancing of certain public capital facilities within the City. Under the Bond Law, the Authority has the power to lease real property in furtherance of the acquisition of public improvements necessary or convenient for the operation of the City, or to purchase bonds issued by any local agency at public or negotiated sale and may sell such bonds to public or private purchasers at public or negotiated sale. THE CITY The City encompasses approximately five square miles and is located in the County, approximately 100 miles north of San Francisco in the northern coastal region of the State on U.S. Highway 101. The area is centrally located between the San Francisco Bay Area, Eureka and Sacramento. The City was incorporated in 1876 and is a general law city operating under a City Council/City Manager form of government. The City Council consists of 5 members, elected at-large to four-year terms. The City Council selects the Mayor from one of the City Council members. The City Manager and City Attorney are appointed by the City Council. The City has an estimated population of approximately 15,526 people as of January 1, 2021. For other selected information concerning the City, see “APPENDIX D – GENERAL INFORMATION REGARDING THE CITY OF UKIAH AND COUNTY OF MENDOCINO” herein. Attachment 5 Page 452 of 901 18 THE ELECTRIC SYSTEM History and Background The City has owned and operated its Electric System for more than 120 years, and as such, the Electric System is one of the oldest municipally-owned systems in the State. The Electric System is presently composed of electric generation and transmission facilities, as well as distribution system facilities, including a substation and both overhead and underground lines. The service area of the distribution system includes all of the City, and there is no other competing enterprise that furnishes electric distribution service in the City. In the 1970s, the City embarked on a program to develop its own power sources, instead of relying upon the power sources of Pacific Gas & Electric (“PG&E”). The major impetus for this action was the rapid increase in PG&E power costs in the 1970s and the availability to the City, beginning in 1982, of an allocation of power from the Western Area Power Administration (“Western” or “WAPA”), which markets power from the Central Valley Project (“CVP”), a federal multi-use hydroelectric development in northern California. Subsequently, the City became a member of the Northern California Power Agency (“NCPA”), which is a joint-exercise of powers agency. As an NCPA member, the Electric System receives power from certain NCPA electric- generation projects in which the Electric System participates, as described herein. The Electric System is operated as a separate department of the City, under the authority and direction of the City Council, the City Manager and the Electric Utility Director, as described herein. Organization and Employees City Council. The Electric System is under the governance of the City Council of the City. The Electric Utility Director oversees operations of the electric utility and reports to the City Manager, who reports to the City Council. Special committees advise the City Council and Electric System with respect to rate setting and infrastructure planning. Electric Utility Director. The Electric System is operated on a day-to-day basis under the direction and supervision of the Electric Utility Director. A brief biography follows. Mel Grandi, P.E., Electric Utility Director. Mel Grandi has been Electric Utility Director since May 2008. Prior to that, he worked at Mare Island Navel Ship Yard in nuclear instrumentation, with General Electric as a field engineer, for the City of Lodi as engineering manager and assistant utility director, and in Texas as a systems manager. He has a Bachelor’s Degree in Electrical Engineering from U.C. Davis. Employees. As of June 30, 2021, 18.8 full-time equivalent (“FTE”) positions were authorized for the Electric System. Certain functions supporting the Electric System’s operations, including customer billing, collections and accounting, are performed by the Finance Department of the City. Most of the non-management City personnel working at the Electric System are represented by Local 1245 of the International Brotherhood of Electrical Workers (“IBEW”). The current IBEW contract will expire on September 18, 2022. In the past five years, there have been no strikes or other work stoppages at the City, including at the Electric System. For information regarding the City’s retirement benefits and plans, see “ELECTRIC SYSTEM FINANCIAL INFORMATION – Retirement Benefits” below. Attachment 5 Page 453 of 901 19 Sources of Power Supply The Electric System is supplied by a diverse portfolio of power sources, including renewable sources as mandated by law. The following table provides a summary of the City’s sources of power supply for Fiscal Year 2020-21. Table 1 Sources of Power Supply Fiscal Year 2020-21 Source Type Capacity Available (MW)(1) Actual Energy (GWh)(2) % of Total Self-Generation: Lake Mendocino Hydroelectric Hydro 3.50 8.70 7.9% Purchased Power: WAPA Hydro N/A 6.30 5.7% NCPA: Geothermal Project (The Geysers Project) Geothermal 12.34 41.50 37.7% Hydroelectric Project No. 1 (Calaveras Project) Hydro 5.07 9.73 8.8% Lodi Energy Center Project Natural Gas 5.30 23.52 21.4% Combustion Turbine Project No. 1 (CT-1) Natural Gas 6.76 1.42 1.3% Market & Contract Purchases: Renewable Purchases Various N/A 0.00 Non-Renewable Purchases Various N/A 18.80 17.2% TOTAL 32.97 110.00 100.0% Peak Demand (MW) 30.86 ____________ (1) Capacity in MW and available for system peak. (2) One gigawatt hour (GWh) equals 1 million kilowatt hours (kWh). Amounts shown are for full fiscal year. Source: City of Ukiah. Western Area Power Administration (WAPA). The City has various long-term power supply contracts with WAPA (administered for the City by NCPA). The City has a 0.346% share of the net output of the CVP, which provides varying amounts of capacity and energy depending upon hydrological conditions. The term of the power supply contracts extends through December 31, 2054. Northern California Power Agency (NCPA). The City is a participant in a number of NCPA power generation projects. More specifically, the City has a 2.04% entitlement share in the NCPA Hydroelectric Project Number One (Calaveras County Project), a 5.61% entitlement share in the NCPA Geothermal Project (The Geysers Project), a 1.79% entitlement share in the NCPA Lodi Energy Center Project, and a 9.09% entitlement share in the NCPA Combustion Turbine Project Number One (CT-1). For each of these generation projects in which the City participates, the City is obligated to pay on an unconditional take-or-pay basis, as Operation and Maintenance Costs of the Electric System, its entitlement share of the debt service on NCPA bonds issued for the project as well as its share of the operation and maintenance expenses of the project. Each of the NCPA projects are summarized below. Attachment 5 Page 454 of 901 20 NCPA Geothermal Project (The Geysers Project). NCPA developed a geothermal project (the “NCPA Geothermal Project”) located on federal land in certain areas of Sonoma and Lake Counties, California. In addition to the geothermal leasehold, wells, gathering system and related facilities, the NCPA Geothermal Project consists of two electric generating stations (Geothermal Plant 1 and Geothermal Plant 2), with turbine generator units having a combined 165 MW (nameplate rating) that utilize low-pressure, low-temperature geothermal steam, associated electrical, mechanical and control facilities, a heat dissipation system, a steam gathering system, a transmission tap line and other related facilities. Geothermal steam for the NCPA Geothermal Project is derived from geothermal property, which includes well pads, access roads, steam wells and reinjection wells. NCPA formed two not-for-profit corporations controlled by its members to own the generating plants of the NCPA Geothermal Project. NCPA manages the NCPA Geothermal Project for the corporations and is entitled to all the capacity and energy generated by the NCPA Geothermal Project. NCPA financed the NCPA Geothermal Project with NCPA Geothermal Project Number 3 Revenue Bonds with a final maturity date of July 1, 2024, of which an estimated $15.5 million were outstanding as of June 30, 2021. Subsequent to the development of the Geothermal Project, declines in steam pressure and quantity of steam have occurred. This decline is due to reduced steam availability and not from the thermal potential of the site, thus the generation capability of the plant benefits from the injection of water to create additional steam. NCPA has managed this decline through additional drilling and maintenance of wells, injection of both plant condensate and supplemental water, and conversion to lower steam turbine operating pressures. NCPA has modified all three of the steam turbines and the associated steam collection system to more efficient designs for the available steam conditions. NCPA is implementing efficiency projects at the Geothermal Project; however, due to current operating protocols and forecasted operations, NCPA expects average annual generation and peak capacity to decrease over time. The City has purchased from NCPA, pursuant to power sales contracts, a 5.61% entitlement share in the NCPA Geothermal Project and is obligated to pay a like percentage of all of the debt service and operating costs of the NCPA Geothermal Project. In order to meet certain obligations required of NCPA to secure transmission and other support services for the NCPA Geothermal Project, NCPA and its transmission project participants (including the City) undertook the “Geysers Transmission Project,” which includes (a) an ownership interest in a 230 kilovolt (“kV”) line from Castle Rock Junction in Sonoma County to the Lakeville Substation owned by PG&E, (b) additional firm transmission rights in this line, and (c) a central dispatch facility (see “– Dispatch and Scheduling” below). The City has a 10.1% entitlement share of the Geysers Transmission Project transfer capability. NCPA Hydroelectric Project Number One (Calaveras Project). NCPA’s Hydroelectric Project Number One (the “NCPA Hydroelectric Project”) consists of (a) three diversion dams, (b) the 246.86-MW Collierville Powerhouse, (c) the New Spicer Meadow Dam with a 6.0-MW powerhouse, and (d) associated tunnels located essentially on the North Fork of the Stanislaus River and on the Stanislaus River in Alpine, Tuolumne and Calaveras counties, California, together with required transmission facilities. The NCPA Hydroelectric Project (with the exception of certain transmission facilities discussed below) is owned by the Calaveras County Water District (“CCWD”) and is licensed to CCWD by the Federal Energy Regulatory Commission (“FERC”) under its license for Project No. 2409, which has a term of 50 years and expires in 2032. Attachment 5 Page 455 of 901 21 Under a power purchase contract, NCPA (i) is entitled to the electric output of the NCPA Hydroelectric Project until Fiscal Year 2031-32, (ii) managed the construction of the NCPA Hydroelectric Project and (iii) operates the generating and recreational facilities of the NCPA Hydroelectric Project. After the present FERC license for Project No. 2409 expires, NCPA has the option to continue to purchase project capacity and energy during a subsequent license renewal period. The purchase option includes all capacity and energy which is surplus to CCWD’s needs for power within the boundaries of Calaveras County. Under a separate FERC-issued license for Project No. 11197, with an expiration date coterminous with its license for Project No. 2409, NCPA holds the license to and owns two transmission lines from the NCPA Hydroelectric Project (the 230 kV Collierville-Bellota and 21 kV Spicer Meadow-Cabbage Patch transmission lines). NCPA has a separate FERC license for Project No. 11563 (Upper Utica Project), which consists of three storage reservoirs that mainly feed the New Spicer Meadow Reservoir. This license expires in 2033. NCPA financed the NCPA Hydroelectric Project through the issuance of the NCPA Hydroelectric Project Number One Revenue Bonds with a final maturity date of July 1, 2032, of which an estimated $223.3 million were outstanding as of June 30, 2021. The operation of the NCPA Hydroelectric Project is determined by consideration of its storage capacity and available stream flows. The NCPA Hydroelectric Project’s average production is estimated to be 512 GWh annually, based on the 105-year record (1913 to 2018) of stream flows on the two rivers supplying water to the project. Using the driest period on record (1976-1977), the NCPA Hydroelectric Project is estimated to produce 180 GWh annually. The City has a 2.04% entitlement share of the generating output of the NCPA Hydroelectric Project and is obligated to pay a like percentage of all of the debt service and operating costs of the NCPA Hydroelectric Project. Lodi Energy Center Project. NCPA owns and operates a natural gas-fired, combined- cycle power generation plant located in the City of Lodi, San Joaquin County, California (the “Lodi Energy Center” or “LEC”). The electric generation components (the “Power Island”) of the Lodi Energy Center consists of the following components: (1) one natural gas-fired Siemens STGS- 5000F combustion turbine-generator (CTG), with an evaporative cooling system and dry low-NOx combustors to control air emissions; (2) one 3-pressure heat recovery steam generator (HRSG), (3) a selective catalytic reduction (SCR) and carbon monoxide (“CO”) catalyst to further control NOx and CO emissions, respectively; (4) one Siemens SST-900RH condensing steam turbine generator (“STG”); (5) one natural gas-fired auxiliary boiler; (6) one 7-cell draft evaporative cooling tower; and (7) associated support equipment. The Lodi Energy Center was placed into commercial operation on November 27, 2012. LEC is currently registered with a Pmax of 302 MW (increased from 280 MW in 2018). (The Pmax is a measure of the maximum normal capability of a generating unit that is utilized by the California Independent System Operator (“CAISO”) in determining the amount of capacity that can be counted toward meeting resource adequacy requirements.) During drought conditions, the LEC generally operates at higher output levels to make up for the loss of hydroelectric generation available to participants in the project. Pursuant to the Lodi Energy Center Power Sales Agreement (the “LEC Power Sales Agreement”), between NCPA and the City (and other participants in the project), NCPA agreed to construct and operate the Lodi Energy Center and sold the capacity and energy of the Lodi Energy Center to the City (and other participants) on a “take-or-pay” basis, in accordance with their respective generation entitlement shares to the capacity and energy of the Lodi Energy Center. Attachment 5 Page 456 of 901 22 NCPA financed a portion a portion of the costs of construction of the Lodi Energy Center through the issuance of revenue bonds: (i) its Lodi Energy Center Revenue Bonds, Issue One, issued on behalf of eleven of the thirteen participants in the Lodi Energy Center (being all of the above-named LEC Project Participants other than the Modesto Irrigation District and the California Department of Water Resources), of which $220.9 million is outstanding as of September 1, 2019, and (ii) its Lodi Energy Center Revenue Bonds, Issue Two, issued on behalf of the California Department of Water Resources, of which $110.2 million is outstanding as of September 1, 2019. The City has a 1.79% entitlement share of the generating output of the NCPA Lodi Energy Center Project and is obligated to pay a like percentage of all of the debt service and operating costs of the NCPA Lodi Energy Center. Combustion Turbine Project Number One (CT-1). The Combustion Turbine Project Number One (the “Combustion Turbine Project”) originally consisted of five combustion turbine units, each nominally rated 25 MW, with two units located in each of Roseville and Alameda and one in Lodi. Sale of the two units located in Roseville to the City of Roseville (an original participant in the Combustion Turbine Project) was effective on September 1, 2010, and the remaining Combustion Turbine Project includes only the two units in Alameda and the one unit in Lodi. The Combustion Turbine Project provides capacity (i) that is economically dispatched during the peak load period to the extent permitted by air quality restrictions and (ii) to be used to meet the certain capacity reserve requirements (e.g., resource adequacy requirements). This resource provides the capacity below current spot market prices for capacity but as is typical of this type of technology, the average cost for power per kWh of power delivered to the participants in the Combustion Turbine Project is comparatively expensive. NCPA has sold the capacity and energy of the Combustion Turbine Project to the Combustion Turbine Project participants on a “take-or-pay” basis, in accordance with their respective project entitlement percentages to the capacity and energy of the Combustion Turbine Project through the issuance of Combustion Turbine Project Number One Revenue Bonds, which bonds were retired as of August 15, 2010. The City has a 9.09% entitlement share of the generating output of the NCPA Combustion Turbine Project and is obligated to pay a like percentage of all of the debt service and operating costs of the Combustion Turbine Project. NCPA Natural Gas Supply Contracts. NCPA, on behalf of the certain project participants (including those in the Lodi Energy Center, such as Ukiah), has entered into a Master Transaction Confirmation that is appended to and made part of a Base Contract for Sale and Purchase of Natural Gas (the “Consolidated Natural Gas Agreement”), effective on October 30, 2012, with EDF Trading North America, LLC (“EDF”). The Consolidated Natural Gas Agreement provides gas supply and management services, including the following: • Supply of spot market gas for the full daily output of Combustion Turbine Project Number One and Unit One of the Capital Facilities Project (approximately 35,136 MMBtu/day); and • Scheduling, nomination, balancing and settlement services for NCPA gas supplies from third parties. Attachment 5 Page 457 of 901 23 The contract with EDF automatically renews each year on January 1, unless terminated earlier by six months written notice by either party. Pursuant to a 30-year agreement terminating in October 2023 with various natural gas pipeline management companies, NCPA has entitlement rights to natural gas pipeline capacity of approximately 2,743 MMBtu/day sourced at AECO (Alberta) and sinking at PG&E Citygate (California). The four pipeline segments that are included in the contiguous pipeline entitlement include pipeline contained in the following natural gas systems: NOVA Gas Transmission Ltd. (NOVA), Foothills Pipelines (Foothills), Gas Transmission Northwest (GTN), and PG&E’s CGT (CGT). NCPA’s natural gas pipeline rights are managed by Mercuria Energy America, Inc., pursuant to an Asset Management Agreement for Pipeline Transport Capacity dated January 1, 2015. For release of such natural gas pipeline to Mercuria Energy America, Inc., NCPA is paid the value of the unused pipeline capacity by the pipeline manager. In addition, NCPA and EDF entered into an agreement to provide the gas supply and the nomination, imbalance and settlement services for NCPA’s Lodi Energy Center, which became effective on September 1, 2016. NCPA Power Purchase and Natural Gas Contracts. The City also participates in the following two programs offered by NCPA. Market Purchase Program. NCPA, on behalf of Alameda, BART, Biggs, Gridley, Healdsburg, Lodi, Lompoc and Ukiah may enter into supply agreements for terms of up to five years utilizing NCPA Commission approved Edison Electric Institute and WSPP Inc. Purchase Agreements. Procurement terms and conditions are governed by a Market Purchase Program agreement between NCPA and the participating Members listed in the preceding sentence. Purchase amounts are limited to 115% of each participating members forecast net open position associated with the period of the procurement. The Program was approved by the NCPA Commission on July 26, 2007. Natural Gas Program. NCPA, on behalf of Biggs, Gridley, Healdsburg, Lodi, Lompoc and Ukiah may enter into gas supply agreements using competitive bids submitted in response to a NCPA Request For Proposals (“RFP Process”), or (ii) through direct purchases from the State of California Department of General Services Natural Gas Services Program. Procurement terms and conditions are governed by a Natural Gas Program agreement between NCPA and the participating Members identified in the preceding sentence. Purchases are subject to limits as may be changed from time to time as outlined in the NCPA Agreement Policy and/or Regulations. The Natural Gas Program was approved by the NCPA Commission on March 24, 2011. Attachment 5 Page 458 of 901 24 Renewable Purchases. The City has historically entered into long term purchases to hedge electricity costs. With the passage of California Senate Bill X1-2, the California Renewable Energy Resources Act (“SBX1-2”), California Senate Bill 350, the Clean Energy and Pollution Reduction Act of 2015 (“SB 350”), and California Senate Bill 100, the 100 Percent Clean Energy Act of 2018 (“SB 100”), the City must comply with the State’s renewable energy targets to achieve renewable energy procurement of 33% by 2020, 50% by 2025, and 60% by 2030. The City has an additional incentive to enter into long term contracts, as certain contracts at least ten years in duration have the ability to carry forward renewable energy credits to be used to meet future compliance periods. Starting in 2020, 65% of Renewable Portfolio Standard (“RPS”) procurement must be derived from long-term contracts of 10 or more years. The City has satisfied all RPS targets for Compliance Period 1 (from 2011 through 2013), Compliance Period 2 (from 2014 through 2016), and Compliance Period 3 (2017-2020). Further, the City’s RPS contracts are forecasted to fulfill compliance requirements under current law through 2024. See also “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY” for more information. Power Purchase Agreement with SFWPA. South Feather Water and Power Agency (“SFWPA”) has agreed to sell to NCPA, and NCPA has agreed to purchase from SFWPA, acting on behalf of City of Ukiah and other participating NCPA members, certain energy, capacity rights and associated environmental attributes supplied from the South Feather Power Project pursuant to the terms and conditions set forth in the Power Purchase Agreement (“PPA”) between South Feather Water and Power Agency and Northern California Power Agency. The SFWPA Project is comprised of four Hydroelectric generating units with a total capacity of 121 MW. The term of the PPA includes the Initial Delivery Term that will begin on the Initial Delivery Date, and will continue uninterrupted through December 31, 2031. At the end of the Initial Delivery Term, if SFWPA does not elect to terminate the PPA, the term of the PPA will automatically extend for an additional 10-year period (the Extended Delivery Term). During the term of the PPA, NCPA will schedule and dispatch the South Feather Power Project, and SFWPA will own, operate and maintain the South Feather Power Project. To enable NCPA to enter into the PPA on behalf of the City of Ukiah and the other participating members, pursuant to the terms and conditions of the Amended and Restated Facilities Agreement, the Third Phase Agreement provides all means necessary for NCPA to fulfill obligations incurred on behalf of NCPA and the Participants pursuant to the PPA, and to enable and obligate the Participants to take delivery of and pay for such electric capacity and energy and to pay NCPA for all costs it incurs for undertaking the foregoing activities. The City of Ukiah has entered into a Third Phase Agreement for 1.65% (2 MW) of the project that specifies the rights and obligations of NCPA and the Participants regarding governance and administration of the PPA, and obligates each Participant to pay for its Project Participation Percentage share of all Project Costs, Administrative Services Costs, scheduling coordination costs, and all other costs related to the PPA. Attachment 5 Page 459 of 901 25 Open Market Term Purchase and Sale Agreements. The City enters into various fixed-price purchase or sale contracts on the open market periodically to meet its power supply requirements and hedge its portfolio costs. Purchases include transactions to hedge natural gas (physical or financial) and electricity (physical or financial) over various tenors. In addition to the above supply resources, the City expects that it will obtain additional resources from market purchases or investment in generation facilities, either independently, through NCPA or other agencies. In accordance with current State law, the City expects that future energy purchases will increasingly be made from renewable energy sources. The following table shows the City’s energy requirements and resources using projected estimates for the next 10 fiscal years. Table 2 Energy Requirements and Resources (GWh) Projected Fiscal Years Ending June 30, 2022 through 2031 Source: City of Ukiah. Annual Budget 2,022 2023 2024 2025 2026 2027 2028 2029 2030 2031 NET ANNUAL GENERATION (MWh) Lake Mendocino Hydroelectric 8,700 8,700 8,700 8,700 8,700 8,700 8,700 8,700 8,700 NCPA Plants Hydroelectric 9,739 10,576 10,486 10,516 10,528 10,418 10,439 10,545 10,525 10,515 Geothermal 38,540 40,015 39,381 40,996 43,034 42,390 41,865 41,168 40,590 40,016 Combustion Turbine No. 1 949 803 744 894 845 834 752 567 765 779 Combustion Turbine No. 2 (STIG)- - - - - - - - - - Lodi Energy Center 16,882 15,242 12,735 6,952 6,722 5,223 3,578 3,138 2,872 2,672 SFWPA * 3,500 3,500 3,500 3,500 3,500 3,500 3,500 3,500 3,500 Member Resources (Pool)- - - - - - - - - - Western Resource Pool (Memo Only)9,143 9,018 9,122 9,611 9,416 9,416 9,659 10,378 10,378 10,378 Market Power Purchases (Pool)3,510 - - - - - - - - - * Projected Forecast NORTHERN CALIFORNIA POWER AGENCY ANNUAL BUDGET & TEN-YEAR FORECAST - MWh's UKIAH Attachment 5 Page 460 of 901 Regional Transmission Facilities California Independent System Operator Controlled Grid. The CAISO provides a market for electric utilities in California, including the Electric System. Under current CAISO operating protocols, the City pays per MWh charges for use of the transmission system for exports from the CAISO. NCPA Power Pool. NCPA operates a power pool that includes the following members: Alameda, Biggs, Gridley, Healdsburg, Lodi, Lompoc, Palo Alto, Plumas Sierra, the Port of Oakland and Ukiah (each, an “NCPA Pool Member”). The ten NCPA Pool Members’ service areas are interconnected to the CAISO-controlled grid. NCPA operates a central dispatch facility (the “Central Dispatch Center”) at NCPA’s headquarters. The Central Dispatch Center balances loads and resources pursuant to the Third Amended and Restated NCPA Metered Subsystem Aggregation Agreement (the “MSSA”), as such may be amended from time to time, with the CAISO (as described below) for the ten NCPA Pool Members, and the City of Santa Clara. The Central Dispatch Center separately coordinates with the City of Roseville to schedule Roseville’s entitlement to the NCPA-project output across the CAISO-controlled grid as requested by Roseville. The Central Dispatch Center also monitors and controls load and voltage levels, and enters into buy and sell transactions with other utilities throughout the western United States and Canada and regulates various hydroelectric facilities in coordination with the CAISO to maintain a safe and reliable interconnected system. NCPA operates according to the terms and conditions of the CAISO tariff and the MSSA, the original form of which was approved by FERC in 2002 and as has been amended and restated as needed from time to time to conform to applicable market rules established by the CAISO and FERC. The MSSA identifies operational terms and conditions that vary from the CAISO tariff, largely allowing NCPA Members to continue to operate their respective systems as vertically integrated utilities by generally self- providing for resources and services otherwise procured through the CAISO’s markets. In conjunction with the execution of the MSSA, NCPA and PG&E are parties to an Interconnection Agreement (the “NCPA- PG&E Interconnection Agreement”) that provides for the terms and conditions for connecting NCPA resources and member loads to the CAISO-controlled grid (or PG&E wholesale transmission system), where such CAISO-controlled grid facilities are owned by PG&E and transferred to CAISO operational control through a Transmission Control Agreement between PG&E and the CAISO. Santa Clara has separate agreements for the services provided under the MSSA and NCPA-PG&E Interconnection Agreement. TANC California-Oregon Transmission Project (“COTP”). The City is a member of the Transmission Agency of Northern California (“TANC”). TANC, together with the City of Redding, WAPA, two California water districts and PG&E (collectively, the “COTP Participants”) own the California-Oregon Transmission Project (“COTP”), a 339-mile long, 1,600 MW, 500 kV transmission power project between Southern Oregon and Central California. The City has executed the TANC Agreement (defined below) for a participation percentage of TANC’s entitlement of COTP transfer capability. The COTP was placed in service on March 24, 1993, at a cost of approximately $430 million, and was financed through a combination of bonds and notes issued by TANC. A major debt refinancing was completed in 2016 to extend the debt service from year 2024 to year 2039. As of June 30, 2020, approximately $169.4 million principal amount of TANC COTP bonds were outstanding, with a final maturity date of May 1, 2039. Under its agreement with TANC, the City has a 0.021% entitlement share in the COTP transfer capability (approximately 29.35 MW). In return, the City has agreed to pay, on an unconditional take-or-pay basis, 0.021% of the construction costs of the COTP, including debt service, and 0.021% of Attachment 5 Page 461 of 901 27 TANC’s COTP operating and maintenance expenses. These obligations constitute Operation and Maintenance Costs of the City’s Electric System. PG&E-Owned Transmission Line. The City of Ukiah receives California Independent System Operator (CAISO) transmission service from a 115kV transmission loop. This loop provides redundancy for the City of Ukiah. The northern feed extends approximately 70 miles from Williams CA to Ukiah on an overhead transmission line and the south feed extends from Ukiah to Cloverdale. PG&E has significantly expanded their maintenance and vegetation management in high fire threat areas by increasing line clearances and reducing potential ignition sources due to vegetation. Electric Distribution System General. The City owns and operates the electrical distribution system serving customers within the City’s boundaries. The distribution system consists of over 40 miles of overhead lines (including 5 miles of lines that connect the Lake Mendocino Dam to the rest of the Electric System), over 37 miles of underground lines, 5 fiber circuit miles (budgeted for installation FY2022), and 1 substation. The City performs continued maintenance on its distribution system to sustain service reliability. Dispatch and Scheduling. As noted above, the City is part of the NCPA power pool, pursuant to which NCPA provides scheduling and dispatch services to the Electric System. Service Area, Customer Base and Demand Service Area. The Electric System serves an area of approximately 4 square miles, which is coterminous with the City’s borders (except for one legacy customer located outside City limits). As of June 30, 2021, the Electric System served approximately 8,100 customers. See APPENDIX D for background and demographic information about the City and the surrounding area. Customer Base. The Electric System’s customer base is a mixture of residential and commercial customers, and has been very stable in recent years. No major new development is planned within the service area and the Electric System has excess capacity available to meet anticipated future demand needs. Attachment 5 Page 462 of 901 28 Historical Customers Sales and Peak Demand. The average number of customers, electricity sales measured in megawatt-hours (“MWh”) and in revenues, and peak demand during the past five fiscal years, is listed below. Table 3 Customers, Sales and Peak Demand Fiscal Years 2016-17 through 2020-21 2016-17 2017-18 2018-19 2019-20 2020-21 Number of Customers: Residential 6,152 6,311 6,591 6,469 6,568 Commercial 1,623 1,571 1,626 1,551 1,650 7,775 7,882 8,217 8,020 8,218 Sales (MWh): Residential 38,208 39,308 35,273 36,638 40,753 Commercial 69,347 69,188 74,323 72,189 70,376 107,555 108,496 109,596 108,827 111,129 Revenues ($): Residential $5,143,205 $5,494,052 $5,441,309 $5,435,169 $6,102,579 Commercial 9,288,858 9,740,280 10,062,923 9,586,811 9,872,528 $14,432,063 $15,234,332 $15,504,232 $15,021,980 $15,975,107 Peak Demand (MW) 33.14 MW 33.07 MW 32.95 MW 32.02 MW 30.86 MW ____________ Source: City of Ukiah. Ten Largest Customers. The ten largest customers of the Electric System for the most recently ended fiscal year are set forth in the following table. Table 4 Ten Largest Customers – Fiscal Year 2020-21 (Alphabetical Order) Electric % Total % Total Rate Payers Revenues ($) Revenue(1) Usage (kWh) kWh(2) City of Ukiah $ 904,055 6% 6,319,233 6% Costco 309,638 2% 2,474,768 2% County of Medocino 609,301 4% 4,260,000 4% Maverick Enterprises 290,780 2% 2,632,338 2% Save Mart Supermarkets (Lucky's) 194,224 1% 1,674,007 2% Save Mart Supermarkets (Food Maxx) 196,829 1% 1,554,048 1% Safeway Stores 266,714 2% 2,089,150 2% Ukiah Unified School District 362,708 2% 2,459,002 2% Ukiah Valley Medical Center 844,815 5% 5,415,561 5% Wal-Mart 189,534 1% 1,381,613 1% Total - Top 10 $ 4,168,598 26% 30,259,720 27% (1) Based on total revenues for Fiscal Year 2020-21 of $15,975,107 (2) Based on total kWh for Fiscal Year 2020-21 of 111,129,554. Source: City of Ukiah. Attachment 5 Page 463 of 901 29 Electric Rates Rate-Setting Procedure. The City Council has the exclusive jurisdiction to set electric rates and charges for the Electric System. The City Council reviews the Electric System’s rates periodically and makes adjustments as necessary. These rates are not currently subject to review by the California Public Utility Commission (“CPUC”), the California Energy Commission (“CEC”) the Federal Energy Regulatory Commission (“FERC”) or any other state or federal agency. See “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY – Rate Regulation.” History of Electric Utility Rates. A history of the rates of the Electric System for the past five fiscal years are set forth in the following table. New rates were recently adopted. Table 5 Electric Utility Rates Last Five Fiscal Years Rate by Effective Date: 1/1/2017 7/1/2017 7/1/2018 7/1/2019 7/1/2020 Residential Rates: Energy Rates ($/kWh) Baseline quantities(1) $0.12040 $0.12410 $0.12790 $0.13180 $0.13580 Exceeding baseline quantities(1) 0.15800 0.16280 0.16770 0.17280 0.17800 Basic Monthly Charge ($/mo.): Monthly kWh less than 200 kWh per month $0.50 $0.52 $0.54 $0.56 $0.58 Monthly kWh between 200 - 550 kWh per month 1.00 1.03 1.07 1.11 1.15 Monthly kWh greater than 550 kWh per month 1.50 1.55 1.60 1.65 1.70 Minimum monthly billing ($/mo.) $5.00 $5.00 $5.00 $5.00 $5.00 Commercial Rates (Three Categories): 1. General Service Base charge ($/mo.) Single phase(2) $8.66 $8.92 $9.19 $9.47 $9.76 Poly-phase 9.69 9.99 10.29 10.60 10.92 X-ray machine 21.63 22.28 22.95 23.64 24.35 Energy Rates ($/kWh) Winter $0.12663 $0.13043 $0.13435 $0.13839 $0.14255 Summer 0.17066 0.17578 0.18106 0.18650 0.19210 2. General Service with Demand Basic Charge ($/mo.) $72.72 $74.91 $77.16 $79.48 $81.87 Energy Rates ($/kWh) Winter $0.09094 $0.09367 $0.09649 $0.09939 $0.10238 Summer 0.11295 0.11634 0.11984 0.12344 0.12715 Demand charge(3) ($/kWh) Winter $4.31 $4.31 $4.44 $4.58 $4.72 Summer 6.65 6.85 7.06 7.28 7.50 3. General Large Industrial Service with Demand Basic Charge ($/mo.) $72.72 $74.91 $77.16 $79.48 $81.87 Energy Rates ($/kWh) Winter $0.07034 $0.07246 $0.07464 $0.07688 $0.07919 Summer 0.09235 0.09513 0.09799 0.10093 0.10396 Demand charge(3) ($/kWh) Winter $4.18 $4.31 $4.44 $4.58 $4.72 Summer 6.65 6.85 7.06 7.28 7.50 ____________ (1) Baseline quantities are equal to 360 kWh per month. (2) The same amount is also charged as a minimum charge for a 2nd meter. (3) The customer is billed for demand according to the customer’s “maximum kilowatt demand” each month. The number of kW used will be recorded over 15 minute intervals, with the higher 15-minute average kW use being the maximum demand. Source: City of Ukiah. Attachment 5 Page 464 of 901 30 Rate Comparison. The City’s current retail electric rates are among the lowest in California and lower than other retail electric rates being charged in the region. Table 7 below sets forth a comparison between average electric rates paid by City customers and by PG&E customers. Table 6 Electric Rate Comparison with Neighboring Utilities Based on Average Annual Rates as of June 30, 2021 Customer Type Ukiah Electric System Rates PG&E Rates % Difference Residential $0.150 0.283 89% Commercial 0.126 0.277 121% Industrial 0.129 0.242 88% Source: City of Ukiah. Rate Stabilization Cash Reserve. In addition to 100% cost recovery through the rates, the Electric System maintains a 180-day rate stabilization cash balance to reduce the impact of energy cost fluctuations. Rate Study and Recently-Approved Rate Increases. A new rate study was recently performed for the Electric System. The rate study proposed rate increases of approximately 9% per year starting April 1, 2022 through April 1, 2026. On February 2, 2022, the City Council of the City adopted the proposed rates for the Electric System. Beginning with the April 1, 2022 rate adjustment and in April of every year thereafter, the Electric Department staff will conduct a review of the rates of the Electric System to determine whether the annual adjustments adequately account for the actual increases or decreases of the Electric System’s reasonable operating costs. [Review with City.] The projected anticipated rates for the Electric System are reflected in the projected debt service coverage table in Table 8. Energy Efficiency and Conservation Under applicable law, the Electric System must set yearly goals regarding energy efficiency and conservation measures. Accordingly, the City has a full portfolio of public benefits programs, addressing the following areas of concentration required by State law: energy efficiency programs, renewable energy production, demand reduction, advanced electric technology demonstration, research and development, and low income assistance programs. Residential and commercial energy efficiency offerings focus primarily on summer period consumption reduction and include programs for both existing facilities and new construction. The City is also required to develop ten-year plans for energy efficiency goals and report on these goals to the California Energy Commission (“CEC”) with updates every four years. The CEC has the obligation to develop energy efficiency goals for the entire state, after consultation with utilities and others. The City must report annually to its customers and to the CEC, its investment in energy efficiency and demand reduction programs. For additional details, see “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY.” Attachment 5 Page 465 of 901 31 Risk Management; Insurance The Electric System, like the City more generally, is exposed to various risks of loss related to torts; theft of, damage to, and destruction of assets; errors and omissions; and natural disasters. The City is a member of the California Intergovernmental Risk Authority (“CIRA”). CIRA is organized under a Joint Powers Agreement pursuant to the California Government Code. The purpose of CIRA is to arrange and administer programs of insurance for the pooling of self-insured losses and to purchase excess insurance coverage. The City pays an annual premium to CIRA for its workers’ compensation, general liability, and property coverage. The City of Ukiah participates in the following three CIRA programs: (1) General Liability Insurance; (2) Workers’ Compensation Insurance; and (3) Property Insurance. For additional details, including certain insurance coverages, see “APPENDIX B – AUDITED FINANCIAL STATEMENTS OF THE CITY FOR FISCAL YEAR 2020-21.” Wildfire Mitigation Measures The City owns and operates only 1/4 mile of transmission lines. No City of Ukiah Electric System facilities have been the cause of any wildfires experienced in California. Within municipal boundaries of the City, the primary geographical area of the Electric System, only 10% of the Electric System’s overhead electrical lines and equipment are located in a Tier 2 California Public Utilities Commission (“CPUC”) designated fire-threat area, which are the areas where there is a higher risk (including likelihood and potential impacts on people and property) from utility-related wildfires. The City is currently in compliance with all applicable law regarding wildfire mitigation, including preparation of a wildfire mitigation plan in accordance with the requirements of applicable law. For additional details, see “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY – Wildfire Mitigation Measures” and “BOND OWNERS’ RISKS – Environmental Risks.” Capital Improvement Plan The City has a comprehensive 5-year capital improvement plan (“CIP”) that includes all capital projects of the City, including those for the Electric System. Based on the most recent CIP updated in July 2020, the Electric System plans on undertaking various key capital projects over the 5-year CIP timeline, including the following: • Service Center remodel and facility improvement project ($1,960,000) • Renewable resource (solar) development project ($3,800,000) • Hydroelectric plant warehouse and shop project ($190,000) • Substation site development project ($320,000) • Gobbi material yard project ($45,000) These costs are anticipated to be financed using a combination of the proceeds of the Bonds, as well as on a pay-as-you-go basis using Electric System revenues. See “FINANCING PLAN” for more details on the anticipated uses of the Bond proceeds. Attachment 5 Page 466 of 901 32 ELECTRIC SYSTEM FINANCIAL INFORMATION Significant Accounting Policies Governmental accounting systems are organized and operated on a fund basis. A fund is defined as an independent fiscal and accounting entity with a self-balancing set of accounts recording cash and other financial resources, together with all related liabilities and residual equities or balances, and changes therein. Funds are segregated for the purpose of carrying on specific activities or attaining certain objectives in accordance with special regulations, restrictions or limitations. The Electric System is accounted for as an enterprise fund. Enterprise funds are used to account for operations (i) that are financed and operated in a manner similar to private business enterprises (where the intent of the governing body is that the costs (expenses, including depreciation) of providing goods or services to the general public on a continuing basis be financed or recovered primarily through user charges) or (ii) where the governing body has decided that periodic determination of revenues earned, expenses incurred and/or net income is appropriate for capital maintenance, public policy, management control, accountability or other purposes. The Electric Fund uses the accrual method of accounting. Revenues are recognized when they are earned and expenses are recognized when they are incurred. Audited Financial Statements The City’s Financial Statements for Fiscal Year 2020-21 were audited by Van Lant & Fankhanel, LLP, Certified Public Accountants, Murrieta, California (the “Auditor”), in accordance with generally accepted auditing standards, and contains opinions that the financial statements present fairly the financial position of the various funds maintained by the City. The reports include certain notes to the financial statements, which are not fully described below. Such notes constitute an integral part of the audited financial statements. The City’s Audited Financial Statements for Fiscal Year 2020-21 are attached as APPENDIX B to this Official Statement. The City has not requested nor did the City obtain permission from the Auditor to include the audited financial statements as an appendix to this Official Statement. Accordingly, the Auditor has not performed any post-audit review of the financial condition or operations of the Electric System. In addition, the Auditor has not reviewed this Official Statement. Financial Policies Investment Policy. The cash attributable to the Electric System must be invested in accordance with the City’s Investment Policy. Pursuant to the Investment Policy, the City strives to maintain a level of investment of all idle funds, less required reserves, as near 100% as possible, through daily and projected cash flow determinations. Idle cash management and investment transactions are the responsibility of the City Treasurer. Criteria for selecting investments and the order of priority are: (1) Safety -- Preservation of principal and interest; (2) Liquidity -- Ability to convert investment to cash at any moment in time; (3) Yield -- Potential dollar earnings on an investment. Attachment 5 Page 467 of 901 33 Retirement Benefits Much of the following information concerning the California Public Employees’ Retirement System (“CalPERS”) is excerpted from publicly available sources, which the City believes to be accurate. CalPERS should be contacted directly at CalPERS, Lincoln Plaza, 400 Q Street Room 1820, Sacramento, CA 95811, Telephone: (888) 225-7377 for other information, including information relating to its financial position and investments. Overview. Substantially all permanent City employees, including those employees assigned to the Electric System, are eligible to participate in pension plans offered by CalPERS, an agent-multiple employer defined benefit pension plan which acts as a common investment and administrative agent for its participating member employers. CalPERS provides retirement and disability benefits, annual cost of living adjustments and death benefits to plan members, who must be public employees and beneficiaries. CalPERS acts as a common investment and administrative agent for participating public entities within the State. CalPERS is a contributory plan deriving funds from employee contributions as well as from employer contributions and earnings from investments. Copies of CalPERS annual financial reports may be obtained from its Executive Office located at 400 Q Street Room 1820, Sacramento, CA 95811. Such report is not incorporated herein and does not constitute part of this Official Statement. The City’s employees participate in the separate Safety (for its police and fire employees) and Miscellaneous (for all other employees) employee plans. Benefit provisions under both plans are established by State statute and City resolution. Benefits are based on years of credited service; one year of credited service is equal to one year of full-time employment. Contributions to Miscellaneous Plan. The City’s required contributions to CalPERS fluctuate each year and include a normal cost component and a component equal to an amortized amount of the unfunded liability. Many assumptions are used to estimate the ultimate liability of pensions and the contributions that will be required to meet those obligations. The CalPERS Board of Administration has adjusted and may in the future further adjust certain assumptions used in the CalPERS actuarial valuations, which adjustments may increase Ukiah’s required contributions to CalPERS in future years. Accordingly, the City’s cannot provide any assurances that the City’s required contributions to CalPERS in future years will not significantly increase (or otherwise vary) from any past or current projected levels of contributions. On December 21, 2016, the CalPERS Board of Administration voted to lower the pension plan’s assumed rate of return for purposes of its actuarial valuations from 7.5% to 7.0% by 2020 (which reduction has been phased in over the period from Fiscal Year 2017-18 to 2019-20). CalPERS estimated that with a reduction in the rate of return to 7.0%, most employers could expect a 1% to 3% increase in the percentage of payroll contribution for the normal cost for miscellaneous plans. As a result, required contributions of employers, including the City, toward unfunded accrued liabilities, and as a percentage of payroll for normal costs, are expected to increase. Future costs could also be increased in the event that a sustained deterioration in global stock market values as an economic consequence of the COVID-19 pandemic negatively impacts the market value of assets held to fund the City’s pension plans, requiring future unanticipated increases in required plan contributions. See “BOND OWNERS’ RISKS – COVID-19 Pandemic.” The Electric System’s estimated allocated share of the City’s contributions to the Miscellaneous Plan for the Fiscal Year ending June 30, 2021 is estimated at $_______________ (unaudited). Attachment 5 Page 468 of 901 34 Net Pension Liability. Under GASB No. 68, the City is required to report the Net Pension Liability (i.e., the difference between the Total Pension Liability and the Pension Plan’s Net Position or market value of assets) in its financial statements. The Electric System’s estimated allocated share of the Net Pension Liability of the City with respect to the Miscellaneous Plan as of June 30, 2021 is estimated at $_______________ (unaudited). For additional information relating to the City’s retirement plans, including discount rates and other assumptions, see “APPENDIX B – AUDITED FINANCIAL STATEMENTS OF THE CITY FOR FISCAL YEAR 2020-21.” No OPEB The City does not provide any other post-employment benefits (OPEB) to its retirees and, accordingly, neither does the Electric System. Outstanding Long-Term Obligations Obligations Payable as Operation & Maintenance Costs. As described above under “THE ELECTRIC SYSTEM – Sources of Power Supply,” the City participates in a number of NCPA power generation projects, pursuant to which the City pays its entitlement share of (1) the debt service on long-term obligations issued by NCPA for the project and (2) the operations and maintenance costs of the project. The obligations of the City under its agreements with NCPA constitute Operation and Maintenance Costs of the Electric System payable on a senior basis to any of the payments required to be made under the Installment Sale Agreement, including the Installment Payments payable from the Net Revenues that secure the Bonds. The agreements with NCPA are on a “take or pay” basis, which requires payments to be made whether or not projects are operable, or whether output from such projects is suspended, interrupted or terminated. Certain of these agreements contain “step up” provisions obligating the City to pay a share of the obligations of a defaulting participant and granting the City a corresponding increased entitlement to electricity (generally, the City’s “step-up” obligation is limited to 25% of the City’s scheduled payments on such obligations). A portion of the NCPA Hydroelectric Project bonds in the principal amount of approximately $79.2 million are variable rate debt, liquidity support for which is provided through a liquidity arrangement with a bank. Unreimbursed draws under such liquidity arrangement bear interest at a maximum rate substantially in excess of the current interest rates on such variable rate joint powers agency bonds. Moreover, in certain circumstances, the failure to reimburse draws on the liquidity agreement may result in the acceleration of the scheduled payment of the principal of such variable rate joint powers agency bonds. In connection with such variable rate joint powers agency bonds, NCPA has entered into an interest rate swap agreement for the purposes of substantially fixing the interest cost with respect to such bonds. There is no guarantee that the floating rate payable pursuant to such interest rate swap agreement will match the variable interest rate on the related variable rate joint powers agency bonds at all times or at any time. Under certain circumstances, the swap provider may be obligated to make payments under the interest rate swap agreement that is less than the interest due on the associated variable rate joint powers agency bonds. In such event, such insufficiency will be payable as a debt service obligation from the obligated joint powers agency members (a corresponding amount of which proportionate to its debt service obligations to such joint powers agency could be due from the City). In addition, under certain circumstances, the swap agreement is subject to early termination, in which event NCPA could be obligated to make a substantial payment to the applicable swap Attachment 5 Page 469 of 901 35 provider (a corresponding amount of which proportionate to its debt service obligations to such joint powers agency could be due from the City). The City’s participation and share of debt service obligation (without giving effect to any “step up” provisions) for each of the joint powers agency projects in which it participates are shown in the following table. Table 7 Outstanding Debt of Joint Powers Agencies As of June 30, 2021 Outstanding Debt(1) Ukiah Participation(2) Ukiah Share of Outstanding Debt NCPA The Geysers Project $ 11,918,503 5.61% $ 668,628 Calaveras Project 287,125,000 2.04% 5,857,350 Lodi Energy Center Project 563,651,620 1.79% 10,089,364 CT-1 Project 0.00 9.09% 0.00 TANC Transmission Project 2,517,565 0.303% 7,628 TOTAL $865,212,688 $16,622,970 ____________________ (1) Principal only. Does not include obligation for payment of interest on such debt or payment of share of operations and maintenance costs of each applicable project. (2) Participation based on actual debt service obligation. Participation obligation is subject to increase upon default of another project participant. Such increase shall not exceed, without written consent of a non-defaulting participant, an accumulated maximum of 25% of such non-defaulting participant’s original participation. Source: City of Ukiah. Parity Obligations. The Installment Payments are the only obligation currently secured by the Net Revenues of the Electric System. However, in the future, the City have issue or incur additional long-term obligations payable from the Net Revenues on a parity basis, subject to the conditions set forth int eh Installment Sale Agreement. See “SECURITY FOR THE BONDS – Conditions to Issue Additional Parity Debt.” Revenues, Expenses and Debt Service Coverage The following presents a summary of the revenues, expenses, and debt service coverage for the City’s Electric Fund for the prior five fiscal years on a historical basis and projected for the current and future fiscal years. This table is based on historic operating results, where applicable, of the Electric System, but is presented on a cash basis consistent with the definitions of Gross Revenues and Operation and Maintenance Costs as defined in the Installment Sale Agreement, and as such, does not match the audited financial statements of the Electric System. The projections in the table are based on the following assumptions, among others: • Rate increases are implemented on April 1 of each of the years April 1, 2022 through April 1, 2026. • No other debt is issued during the projection period. Attachment 5 Page 470 of 901 Table 8 Pro Forma Historical and Projected Revenues, Expenses and Debt Service Coverage Fiscal Years 2016-17 through Fiscal Year 2025-26 Pro Forma Historical (Audited) Projected 2016-17 2017-18 2018-19 2019-20 2020-21 2021-22 2022-23 2023-24 2024-25 2025-26 Revenues Charges for Services $15,085,258 $15,814,986 $16,100,036 $15,581,664 $16,677,722 $16,563,150 $19,698,564 $21,552,732 $23,580,554 $25,798,165 Other 1,280 52,693 329,021 200,941 2,483 100,000 100,000 100,000 100,000 100,000 Interest Income 137,499 148,433 202,498 274,557 123,643 100,000 100,000 100,000 100,000 100,000 Total Revenues 15,224,037 16,016,112 16,631,555 16,057,162 16,803,848 16,763,150 19,898,564 21,752,732 23,780,554 25,998,165 Operating Expenses(1) General and Administrative 2,999,983 1,766,740 1,887,135 2,289,143 2,566,491 2,700,000 2,889,000 3,033,450 3,185,123 3,344,379 Maintenance and Operations 12,962,188 12,850,945 14,422,571 14,150,936 14,755,022 15,653,670 16,179,131 16,425,474 16,746,261 16,440,701 Total Operating Expenses 15,962,171 14,617,685 16,309,706 16,440,079 17,321,513 18,353,670 19,068,131 19,458,924 19,931,383 19,785,079 Net Revenue ($738,134) $1,398,427 $321,849 ($382,917) ($517,665) ($1,590,520) $830,433 $2,293,808 $3,849,171 $6,213,086 Debt Service* 2022 Bonds* $0 $0 $0 $0 $0 $0 $388,908 $548,000 $546,250 $544,250 Debt Service Coverage Ratio* -- -- -- -- -- -- 2.14 4.19 7.05 11.42 ___________________________ * Preliminary, subject to change. (1) Excludes non-cash items (such as depreciation), capital expenses, and 6% in-lieu franchise tax. Source: City of Ukiah; NHA Advisors, LLC. Attachment 5 Page 471 of 901 RATE REGULATION The City Council sets rates, fees and charges for electric service of the Electric System. The authority of the City to impose and collect rates and charges for electric power and energy sold and delivered is not subject to the general regulatory jurisdiction of the California Public Utilities Commission (the “CPUC”), and currently neither the CPUC nor any other regulatory authority of the State of California nor Federal Energy Regulatory Committee (“FERC”) approves such rates and charges. It is possible that future legislative and/or regulatory changes could subject the rates and/or service area of the City to the jurisdiction of the CPUC or to other limitations or requirements. See “CONSTITUTIONAL LIMITATIONS ON TAXES AND FEES” for a discussion of certain voter-approved constitutional measures affecting the imposition of fees and charges by governmental agencies in the State. FERC potentially could assert jurisdiction over rates of licensees of hydroelectric projects and customers of such licensees under Part I of the Federal Power Act, although it as a practical matter has not exercised or sought to exercise such jurisdiction to modify rates that would legitimately be charged. Even if it did assert such jurisdiction, the City’s hydroelectric resources currently constitute less than 10% of total Electric System power resources. Under sections 210, 211, 211A, and 212 of the Federal Power Act, FERC has the authority, under certain circumstances and pursuant to certain procedures, to order certain utilities (municipal, distribution cooperative or otherwise) to provide transmission access to others at FERC-approved rates. See “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY.” The California Energy Commission (“CEC”) is authorized to evaluate rate policies for electric energy as related to the goals of the Energy Resources Conservation and Development Act and to make recommendations to the Governor, the Legislature and publicly owned electric utilities. FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY Rates and Charges for Service The City Council sets the rates, fees and charges for the electric service provided by the Electric System. The authority of the City to impose and collect rates and charges for electric power and energy sold and delivered is not subject to the general regulatory jurisdiction of the CPUC, and currently neither the CPUC nor any other State or federal regulatory authority approves such rates and charges. However, FERC could potentially assert jurisdiction over rates of licensees of hydroelectric projects (such as NCPA), which could impact the Electric System. See “RATE REGULATION” for additional details. Electric Market Deregulation The restructuring of energy markets in the United States began in 1996 with FERC orders 888 and 889. See “– Energy Policy Acts,” below. These orders opened the electricity transmission system so that unused transmission must be made available at a cost-based rate and defined the market mechanism by which these resources would be offered and purchased. Subsequently California enacted AB 1890, the Electric Utility Restructuring Act, which transitioned two thirds of the State from a bilateral to a structured market with the creation of CAISO. This market structure redefined electricity markets in California in fundamental ways by becoming the reliability and market clearing entity for most of California. Attachment 5 Page 472 of 901 38 Substantial disruptions to the CAISO electric market occurred in 2000 and 2001. The response to the disruptions was the expansion of CAISO’s responsibilities to the creation of new market frameworks, implemented on April 1, 2009 as the Market Redesign and Technology Upgrade (the “MRTU”), and adoption of a legislative and regulatory requirement for additional reserve capacity called the Resource Adequacy Standard. The MRTU establishes enhanced unit commitment and balancing markets for energy purchases and sales. The Resource Adequacy Standard ensures that adequate levels of capacity to meet load and reserves are procured by all load serving entities in a timely manner for the purpose of avoiding future shortages. Western Energy Imbalance Market. The CAISO has developed a regional real-time market service, referred to as an “Energy Imbalance Market” (“EIM”). EIM may help to optimize management of the transmission system to help balance supply and demand across a larger footprint, across multiple balancing authorities. By developing the EIM between the balancing authorities, a broad array of resources can be shared and economically dispatched through the CAISO five-minute market. According to the CAISO, the EIM has the potential to strengthen grid reliability. The purpose is to optimize the interconnected high-voltage system as market systems automatically handle electricity bottlenecks on transmission lines during the process of managing the flow of electricity. Following FERC approval of the implementation agreement between the CAISO and PacifiCorp in June of 2013, PacifiCorp and the CAISO officially launched the EIM in November 2014. PacifiCorp, headquartered in Portland, Oregon, is a subsidiary of Berkshire Hathaway Energy and operates as a utility that serves 1.8 million customers across six western states. Since the launch of the EIM between CAISO and PacifiCorp, six additional utilities across the western United States have signed EIM implementation agreements, officially stating their intent to participate in the EIM. In October 2016, BANC and SMUD announced their intent to initiate negotiations with the CAISO to participate in the CAISO EIM. After completing an extensive cost/benefit analysis in conjunction with its members, BANC concluded that there are benefits for some of its members and is interested in entering into an arrangement for EIM participation that would allow phasing in those members who would like to participate in the EIM. SMUD elected to be the first member to participate through BANC in the EIM. Other Regional Developments – Western Regional Energy Market. California Senate Bill 350, signed into law in 2015, increased California’s renewable portfolio standard to 50% by 2030 and also directed the CAISO to explore how its expansion into the wider West could help the state meet that goal. After completion of multiple studies, the CAISO determined that a regional energy market would help to advance the State’s ambitious clean energy goals and to reduce the cost of energy in the western states and is an efficient, effective way to meet the demand for reliable, affordable and sustainable energy. According to the CAISO, a regional energy market would coordinate electricity systems across the West, utilizing the CAISO’s infrastructure to develop one western grid. State Legislation Bills affecting the electric utility industry are continually enacted by the California Legislature. In general, these bills have provided for reduced greenhouse gas emission standards and greater investment in energy-efficient and environmentally friendly generation alternatives through more stringent renewable resource portfolio standards. The following is a brief summary of certain of these bills. See also “– Wildfire Mitigation Measures,” below. Attachment 5 Page 473 of 901 39 Greenhouse Gas Emissions. On June 1, 2005, then Governor Schwarzenegger signed Executive Order S-3-05, which placed an emphasis on such efforts to reduce greenhouse gas emissions by establishing statewide greenhouse gas reduction targets. The targets are: (i) a reduction to 2000 emissions levels by 2010; (ii) a reduction to 1990 levels by 2020; and (iii) a reduction to 80% below 1990 levels by 2050. The Executive Order also called for the California Environmental Protection Agency to lead a multi-agency effort to examine the impacts of climate change on California and develop strategies and mitigation plans to achieve the targets. On April 25, 2006, the Governor also signed Executive Order S-06-06, which directs the State to meet a 20% biomass utilization target within the renewable generation targets of 2010 and 2020 for the contribution to greenhouse gas emission reduction. On September 27, 2006, then Governor Schwarzenegger signed into law Assembly Bill 32 (“AB 32 ”), the Global Warming Solutions Act of 2006. AB 32 requires all California utilities to inventory and report greenhouse gas emissions beginning January 1, 2008 and requires the California Air Resources Board (“CARB”) to adopt enforceable greenhouse gas emission limits and emission reduction measures by regulation in order to reduce greenhouse gas emissions to 1990 levels by 2020. In December 2008, the CARB adopted the AB 32 Scoping Plan, which serves as California’s blueprint for reducing greenhouse gas emissions. The Scoping Plan called for essential complementary measures along with the creation of a cap-and-trade program and is revised every 5 years as CARB proceeds with its next task of designing the mechanisms for returning the State to 80% below 1990 levels by 2050 as directed in Executive Order S-3-05. On December 14, 2010, CARB initially adopted regulations approving the cap-and-trade program for California. The CARB regulations became enforceable on January 1, 2012. On September 8, 2016, then Governor Schwarzenegger signed Senate Bill 32, the Global Warming Solutions Act of 2006, and Assembly Bill 197, State Air Resource Board: Greenhouse Gasses, which together established a statewide greenhouse gas emission reduction target to reduce greenhouse gas emissions to 40 percent below 1990 levels by 2030 to ensure California continues moving towards its target of reducing greenhouse gas emissions to 80 percent below 1990 levels by 2050. This legislation is currently being implemented by the cap-and-trade program established through a series of regulations. Under the cap-and-trade program where CARB creates one allowance for each ton of carbon dioxide-equivalent greenhouse gases (“CO2e”) up to the target level of CO2e for a given year (the cap) and parties responsible for CO2e emissions much purchase one allowance for each ton of CO2e they produced in either an auction or bilateral market (the trade). The cap declines each year. By reducing amount of available allowances through time, the state is able to meet its emission reduction targets. The cap-and-trade program includes the distribution of carbon allowances. Each allowance is equal to one metric ton of CO2e. Initially, most of the carbon allowances are distributed for free. Additional allowances are auctioned quarterly, which began in November 2012. Utilities can acquire more carbon allowances at these auctions. They are then required to purchase allowances to meet their compliance obligations, and use any remaining proceeds from the sale of their allocated allowances for the benefit of their ratepayers. Publicly-owned electric utilities (“POU”) that do not sell into the CAISO markets (such as the Electric System) have three options (which are not mutually exclusive) once their allocated allowances are distributed to them. They can (i) place allowances in their compliance accounts to meet compliance obligations for plants they operate directly, (ii) place allowances in the compliance account of a joint powers Attachment 5 Page 474 of 901 40 agency or public power utility that generates power on their behalf, and/or (iii) auction the allowances and use the proceeds to benefit their ratepayers. In July 2017, then-Governor Brown signed into law Assembly Bill 398 (“AB 398”), which extends the cap-and-trade regulations from 2021 to 2030. The bill passed both chambers with a 2/3 supermajority vote, which protects the legislation from certain legal challenges. Under AB 398, CARB was directed to address the following: establish a price ceiling, offer non-tradeable allowances at two price containment points below the price ceiling, transfer current vintages unsold for more than 24 months to the allowance price containment reserve, evaluate and address allowance over-allocation concerns, set industry assistance factors for allowance allocation, and establish allowance banking rules. Under AB 398, CARB was directed to include cost containment provisions to keep allowance prices from rising too high and pushing business expansion outside of the state (referred to as “leakage”). AB 398 was passed in conjunction with AB 617, which strengthens the monitoring of criteria air pollutants and toxic air contaminants in local communities. Amendments to the cap-and-trade regulations to reflect the requirements of AB 398 were adopted by CARB and went into effect on April 1, 2019. On September 29, 2006, then Governor Schwarzenegger signed into law Senate Bill 1368 (“SB 1368”), the Greenhouse Gas Emissions Performance Standard. SB 1368 sets a greenhouse gas emission performance standard (“EPS”) for baseload electric generating resources. Any new investment in baseload generation or contract for baseload generation with a term of over five years must have greenhouse gas emissions at or below that of a baseload, combined cycle power plant. The CEC has established the EPS and associated compliance methodologies for the publicly-owned utilities. The CPUC has the similar responsibility for the IOUs. Energy Procurement and Efficiency Reporting. Senate Bill 1037 (“SB 1037”), signed by the Governor on September 29, 2005, requires that each POU, including the City, prior to procuring new energy generation resources, first acquire all available energy efficiency, demand reduction and renewable resources that are cost effective, reliable and feasible. SB 1037 also requires each municipal electric utility to report annually to its customers and to the CEC its investment in energy efficiency and demand reduction programs. Further, Assembly Bill 2021 (“AB 2021”), signed by the Governor on September 29, 2006 requires that POUs establish, report, and explain the basis of the annual energy efficiency and demand reduction targets by June 1, 2007 and every four years thereafter (as amended) for a ten year horizon. Reporting requirements per AB 2021 include: (i) the identification of sources of funding for the investment in energy efficiency and demand reduction programs, (ii) the methodologies and input assumptions used to determine cost-effectiveness, and (iii) the results of an independent evaluation to measure and verify energy efficiency savings and demand reduction program impacts. The information obtained from local publicly-owned utilities from these reporting requirements is utilized by the CEC to present the progress made by the POUs towards the statewide goal to double energy efficiency savings in electricity and natural gas final end uses by 2030, to the extent doing so is cost effective, feasible, and does not adversely impact public health and safety, as prescribed in SB 350. In addition, the CEC can provide recommendations for improvement to assist each POU in achieving cost-effective, reliable, and feasible savings in conjunction with the established targets for reduction. California New Construction Standards California has continually increased the energy efficiency of new construction and appliances since the Warren Alquist Act of 1974. These standards require the implementation of Zero Net Energy (“ZNE”) residential new construction. ZNE homes are energy efficient homes combined with distributed generation, predominantly Attachment 5 Page 475 of 901 41 rooftop solar generation, sized so that over the year building consumption is approximately equal to building generation. Renewable Portfolio Standards (“RPS”). SBX1-2, the California Renewable Energy Resources Act, and its successor SB 350, the Clean Energy and Pollution Reduction Act of 2015, codify the RPS target for retail electricity sellers to serve 50% of their loads with eligible renewable energy resources by 2030. Subsequent legislation, SB 100, signed into law in 2018, increased California’s renewable portfolio standard to 60% by 2030 and 100% carbon free by 2045. The CEC is actively engaged in its rulemaking process for the SB 100 update to the RPS. It is expected that these rules will be implemented later in 2020. These laws make the requirements of the RPS program applicable to POUs (rather than just prescribing that POUs meet the intent of the legislation as under previous statutes). However, the governing boards of POUs are responsible for implementing the requirements, rather than the CPUC, as is the case for the IOUs. In addition, certain enforcement authority with respect to POUs is given to the CEC and CARB, including authority to impose penalties. Each POU must adopt and implement a renewable energy resource procurement plan. See “THE ELECTRIC SYSTEM – Sources of Power Supply” above. The CEC, collaboratively with the Western Governors’ Association and the Western Electricity Coordinating Council (“WECC”), has undertaken the development and establishment of the Western Renewable Energy Generation Information System, which issued to ensure the integrity of RECs and prevent the double counting of the certificates. The electronic tracking system became operational in June of 2007. The ambitious renewable goals in California have been primarily met with solar, and to a lesser degree, wind resources. These resources are classified by the term Variable Energy Resource (“VERs”). Solar and wind resources generally produce energy not when an operator directs them, but when the fuel source (in this case sunlight and wind) are available. In the case of solar energy, photovoltaic power plants only produce electricity between dawn and dusk, and can vary power output very quickly when a cloud passes over. This creates two challenges. First solar energy increases rapidly in the morning and decreases rapidly in the afternoon, when customer needs are increasing. Secondly, the amount of solar energy produced can vary quickly and unexpectedly as the weather changes. To address the challenge of rapidly changing power output, FERC passed order 764 in 2014. This ruling required markets to offer 15 minute trading in addition (or in place of) hourly trading. The more granular market allows the market to react better to the variable nature of solar and wind resources. The CAISO implemented a 15 minute market and in addition offered a 5 minute and 15 minute Energy Imbalance Market outside the CAISO region. SB 350 also requires POUs over a certain size to produce an Integrated Resource Plan (“IRP”), reviewed in a public forum and delivered to the CEC for comment. This plan must address a number of requirements in this and other legislation, including: ensuring procurement of 50% renewable resources by 2030; demonstrating activity reflecting electricity sector’s responsibility meeting the State’s economy-wide greenhouse gas reduction goals to 40% below 1990 GHG levels by 2030; fulfilling obligations to serve customers at just and reasonable rates and minimizing impacts to ratepayers bills; ensuring system and local reliability; strengthening the diversity, sustainability, and resilience of the bulk transmission, distribution systems and local communities; minimizing localized air pollutants and other greenhouse gas emissions with early priority to disadvantaged communities; and addressing procurement of each of the following: (i) efficiency and and demand resources that are cost effective, reliable and feasible, (ii) energy storage, (iii) transportation electrification, (iv) a diversified procurement portfolio of short term Attachment 5 Page 476 of 901 42 electricity, long term electricity, and demand response products, and (v) resource adequacy requirements. Solar Power. The California State Legislature enacted Senate Bill (“SB 1”) in 2006 to encourage the installation of 3,000 MW of photovoltaic (PV) solar energy by the year 2017. SB 1 requires all publicly-owned utilities to adopt, finance, and implement a solar initiative program for the purpose of investing in and encouraging the increased installation of residential and commercial solar energy systems. POUs were required to commence a solar initiative program in order to establish the funding of solar energy systems receiving ratepayer funded incentives, which commenced no later than January 1, 2008. A POU was given the choice of selecting an incentive based on the installed capacity, starting at $2.80 per watt, or based on the energy produced by the solar energy system, measured in kWh. Incentives are required to decrease at a minimum average rate of 7% per year. Smart Grid and Advanced Metering Infrastructure. In 2007 and 2008, CEC held rulemaking proceedings for the definition of load management standards for Advanced Metering Infrastructure (“AMI ”) and for demand response. The CEC was evaluating the use of advanced technologies for operation and maintenance of the electric grid and impacts to California electricity customers. The largest IOUs in California have deployed smart meters for gas and electric services, and several POUs have implemented such technology. Resource Adequacy. In September 2005, the California Legislature enacted and the Governor signed into law Assembly Bill 380 (“AB 380”), which requires the CPUC to establish resource adequacy requirements for all load-serving entities (“LSEs”) within the CPUC’s jurisdiction. In addition, AB 380 requires POUs, including the City, to meet the most recent resource adequacy standard as adopted by the WECC. In October 2005, the CPUC issued a decision stating that LSEs under its jurisdiction would be required, by June 2006, to demonstrate that they have acquired capacity sufficient to serve their forecast retail customer load plus a 15% reserve margin. The WECC has yet to formally adopt a resource adequacy requirement. Energy Policy Acts Energy Policy Act of 1992. The Energy Policy Act of 1992 (the “Energy Policy Act”) made fundamental changes in the federal regulation of the electric utility industry, particularly in the area of transmission access under Sections 211, 212 and 213 of the Federal Power Act. The purpose of these changes, in part, was to bring about increased competition in the electric utility industry. As amended by the Energy Policy Act, Sections 211, 212 and 213 of the Federal Power Act provide FERC authority, upon application by any electric utility, federal power marketing agency or other person or entity generating electric energy for sale or resale, to require a transmitting utility to provide transmission services (including any enlargement of transmission capacity necessary to provide such services) to the applicant at rates, charges, terms and conditions set by FERC based on standards and provisions in the Federal Power Act. Under the Energy Policy Act, electric utilities owned by municipalities and other public agencies which own or operate electric power transmission facilities which are used for the sale of electric energy at wholesale are “transmitting utilities” subject to the requirements of Sections 211, 212 and 213. See also “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY – Rate Regulation.” Energy Policy Act of 2005. Although the Electric System is exempt from most federal rate regulation pursuant to Section 201(f) of the Federal Power Act, the Energy Policy Act of 2005 Attachment 5 Page 477 of 901 43 (“EPACT 2005”) imposed specific exceptions. In particular, FERC was given authority over the behavior of market participants. Under FERC’s authority it can impose penalties on any seller for using a manipulative or deceptive device, including market manipulation, in connection with the purchase or sale of energy or of transmission service. The Commodity Futures Trading Commission (“CFTC”) also has jurisdiction to enforce certain types of market manipulation or deception claims under the Commodity Exchange Act. EPAct 2005 authorized FERC to issue permits to construct or modify transmission facilities located in a national interest electric transmission corridor if FERC determines that the statutory conditions are met. EPAct 2005 also required the creation of an electric reliability organization (“ERO”) to establish and enforce, under FERC supervision, mandatory Reliability Standards to increase system reliability and minimize blackouts. The Reliability Standards apply to users, owners and operators of the Bulk-Power System, as more specifically set forth in each Reliability Standard. On February 3, 2006, FERC issued Order 672, which certified NERC as the ERO. Many Reliability Standards have since been approved by FERC. The Reliability Standards include requirements related to cybersecurity of systems that could affect the reliable operation of the electric grid. The ERO or the entities to which NERC has delegated enforcement authority through an agreement approved by FERC (“Regional Entities”), such as the WECC, may enforce the Reliability Standards, subject to FERC oversight, or FERC may independently enforce them. Potential monetary sanctions include fines in excess of $1 million per violation per day. FERC Order 693 further provided the ERO and Regional Entities with the discretion necessary to assess penalties for such violations, while also having discretion to calculate a penalty without collecting the penalty if circumstances warrant. Federal Cybersecurity Policy On February 13, 2013, then President Obama issued an Executive Order entitled “Improving Critical Infrastructure Security.” The Executive Order calls for improved sharing and processing of security clearances for owners and operators of critical infrastructure. As required by the Executive Order, the National Institute of Standards and Technology (“NIST”) is leading the development of a framework to reduce cyber risks to critical infrastructure. On December 18, 2015, then President Obama signed the Cybersecurity Information Sharing Act, which creates an industry-supported, voluntary cybersecurity information sharing program which facilitates the secure sharing of cyber-related threat information among both public and private sector entities. See also “BOND OWNERS’ RISKS – Cybersecurity.” Wildfire Mitigation Measures Senate Bill 1028 (“SB 1028”) was signed into law by then-Governor Brown in September 2016. SB 1028 requires that each POU and each electric cooperative in the State construct, maintain, and operate its electrical lines and equipment in a manner that will minimize the risk of catastrophic wildfire posed by those electrical lines and equipment. SB 1028 requires the governing board of each POU to determine, based on historical fire data and local conditions, and in consultation with the fire departments or other entities responsible for the control of wildfires within the geographical area where the utility’s overhead electrical lines and equipment are located, whether any portion of that geographical area has a significant risk of wildfire resulting from those electrical lines and equipment, and if so, to present for board approval wildfire Attachment 5 Page 478 of 901 44 mitigation measures the utility intends to undertake to minimize the risk of its overhead electrical lines and equipment causing a catastrophic wildfire. California Senate Bill 901 (“SB 901”) was signed into law by then-Governor Brown in September 2018. SB 901 amends certain provisions of SB 1028 requiring POUs and electric cooperatives to prepare wildfire mitigation measures if the utilities’ overhead electrical lines and equipment are located in an area that has a significant risk of wildfire resulting from those electrical lines and equipment. Under SB 901, each POU or electric cooperative is required to prepare before January 1, 2020 and annually thereafter, a wildfire mitigation plan. SB 901 requires specified information and elements to be considered as necessary, at minimum, in the wildfire mitigation plan. The POU or electric cooperative is required to present each wildfire mitigation plan in an appropriately noticed public meeting, and to accept comments on its wildfire mitigation plan from the public, other local and state agencies, and interested parties. In addition, SB 901 requires the POU or electric cooperative to contract with a qualified independent evaluator with experience in assessing the safe operation of electrical infrastructure to review and assess the comprehensiveness of its wildfire mitigation plan. The report of the independent evaluator is to be made available to the public and to be presented at a public meeting of the POU’s governing board. Assembly Bill 1054 (“AB 1054”) was signed into law by Governor Newsom in July 2019. AB 1054 establishes a Wildfire Fund for IOUs to facilitate payment of eligible, uninsured third- party damage claims resulting from future catastrophic wildfires. Participation in the Wildfire Fund is exclusive to IOUs. AB 1054 expands on the existing requirements for POUs established under SB 901 for wildfire mitigation plans. AB 1054 requires each POU, by July 1 of each year, to submit its wildfire mitigation plan to a newly created California Wildfire Safety Advisory Board (the “Wildfire Advisory Board”) for review and comment. Under AB 1054, the Wildfire Advisory Board is required to provide comments and an advisory opinion to each POU regarding the content and sufficiency of its plan and to make recommendations on the mitigation of wildfire risks. AB 1054 requires each POU to comprehensively revise its wildfire mitigation plan at least once every three years. SB 1028, SB 901 and AB 1054 do not address the existing liability of utilities for wildfires. How any future legislation addresses California’s inverse condemnation and “strict liability” issues for utilities in the context of wildfires in particular could be significant for the electric utility industry. Other Environmental Issues General. Electric utilities are subject to continuing environmental regulation. Federal, state and local standards and procedures that regulate the environmental impact of electric utilities are subject to change. These changes may arise from continuing legislative, regulatory and judicial action regarding such standards and procedures. Consequently, there is no assurance that any City facility or project will remain subject to the laws and regulations currently in effect, will always be in compliance with future laws and regulations or will always be able to obtain all required operating permits. An inability to comply with environmental standards could result in additional capital expenditures, reduced operating levels or the shutdown of individual units not in compliance. In addition, increased environmental laws and regulations may create certain barriers to new facility development, may require modification of existing facilities and may result in additional costs for affected resources. Greenhouse Gas Regulations Under the Clean Air Act. The United States Environmental Protection Agency (the “EPA”) regulates GHG emissions under existing law by imposing monitoring and reporting requirements, and through its permitting programs. Like other Attachment 5 Page 479 of 901 45 air pollutants, GHGs are regulated under the Clean Air Act through the Prevention of Significant Deterioration (“PSD”) Permit Program and the Title V Permit Program. A PSD permit is required before commencement of construction of new major stationary sources or major modifications of a major stationary source and requires best available control technologies (“BACT”) to control emissions at a facility. Title V permits are operating permits for major sources that consolidate all Clean Air Act requirements (arising, for example, under the Acid Rain, New Source Performance Standards, National Emission Standards for Hazardous Air Pollutants, and/or PSD programs) into a single document and the permit process provides for review of the documents by the EPA, state agencies and the public. GHGs from major natural gas-fired facilities are regulated under both permitting programs through performance standards imposing efficiency and emissions standards. On October 23, 2015, under the Obama Administration, the EPA published the Clean Power Plan and final regulations for (1) carbon pollution standards for new, modified, and reconstructed power plans, and (2) carbon pollution emission guidelines for existing electric generating units (“EGUs”). The total national emissions reduction goal under the Clean Power Plan targeted an average of a 32% reduction from 2005 levels by 2030, with incremental interim goals for the years from 2022 through 2029. The Clean Power Plan allowed states multiple options for measuring reductions and established different reduction goals depending upon the regulatory program set forth in the state plan. On March 28, 2017, President Trump signed the Executive Order on Energy Independence (E.O. 13783), which called for a review of the Clean Power Plan. On October 16, 2017, a Notice of Proposed Rulemaking was published in the Federal Register that proposed to repeal the Clean Power Plan, under the premise that it exceeded EPA’s statutory authority under Section 111 of the Clean Air Act. On December 28, 2017, an Advance Notice of Proposed Rulemaking was published in the Federal Register proposing a new GHG emission limit rule for existing EGUs. On June 19, 2019, the EPA issued the final rule, known as the “Affordable Clean Energy” rule, which became effective on September 6, 2019. The final Affordable Clean Energy rule: (i) replaces the Clean Power Plan with revised emissions guidelines that inform the development, submittal, and implementation of state plans to reduce GHG emissions from fossil fuel steam EGUs, primarily coal-fired plants; and (ii) implements new regulations that provide direction to both the EPA and the states on the implementation of emission guidelines. The final rule identifies heat rate improvements as the best system of emission reduction from coal-fired power plants, to be made at the individual facilities. Under the Affordable Clean Energy rule, states will have three years to submit implementation plans. The EPA will have 12 months to approve or disapprove a state’s plan. A number of environmental advocates and state attorneys general have filed lawsuits challenging the Affordable Clean Energy rule. The City is unable to predict the outcome of any ongoing legal challenges to the EPA rulemaking regulating GHG emissions from electric generating units and other stationary sources would have on the City’s Electric System or, given the legal uncertainty regarding the Affordable Clean Energy rule, what the ultimate impact of any federal rulemaking will be. Air Quality – National Ambient Air Quality Standards. The Clean Air Act requires that the EPA establish National Ambient Air Quality Standards (“NAAQS”) for certain air pollutants. When a NAAQS has been established, each state must identify areas in its state that do not meet the EPA standard (known as “non-attainment areas”) and develop regulatory measures in its state implementation plan to reduce or control the emissions of that air pollutant Attachment 5 Page 480 of 901 46 in order to meet the standard and become an “attainment area.” For example, on January 7, 2010, the EPA released a draft rule proposing stricter NAAQS for ground-level ozone, the main component of smog. On September 2, 2011, President Obama directed the EPA to withdraw its proposal for stricter NAAQS for ozone. As a result of this withdrawal, the EPA resumed the process of issuing non-attainment designations for the ozone NAAQS under the standard set in 2008. PG&E Bankruptcy The following statements in this section regarding PG&E's financial condition, potential wildfire liabilities, and its actions and developments in connection with PG&E's voluntary bankruptcy filing have been obtained from public sources that the Authority believes to be reliable, but such statements have not been independently verified by the Authority and the Authority assumes no responsibility for the accuracy or completeness thereof. On January 29, 2019, PG&E and PG&E Corporation filed for bankruptcy protection under Chapter 11 of the United States Bankruptcy Code (the “Bankruptcy Code”). A Chapter 11 case under the Bankruptcy Code is utilized to accomplish either a restructuring and/or liquidation of businesses. In its bankruptcy filings, PG&E indicated that its voluntary bankruptcy filing was initiated to address extraordinary financial challenges. These are largely attributed to its potential liabilities associated with a number of wildfires which occurred in Northern California in 2017 and 2018. In its Form 8-K filing with the Securities and Exchange Commission reporting its intent to file voluntary bankruptcy (the “PG&E SEC filing”) and its subsequent bankruptcy filings, PG&E estimated if it were found liable for certain or all of the costs, expenses and other losses with respect to the 2017 and 2018 Northern California wildfires, the amount of such liability (exclusive of potential putative damages, fines and penalties or damages related to future claims) could exceed $30 billion. SB 901, which was enacted by the California legislature in September 2018, addressed a portion of the liabilities PG&E faced in connection with the 2017 wildfires. That legislation, however, expressly excluded any similar relief for wildfires occurring in 2018. PG&E has requested approval from the bankruptcy court to continue operations of both its electric and gas systems. In its SEC filing, PG&E stated that it expected to operate in the ordinary course of business following the Chapter 11 filing, including providing uninterrupted electric and natural gas service to customers. In its bankruptcy filings, PG&E has indicated that it has obtained approximately $5.5 billion in secured debtor-in-possession financing from several financial institutions that would provide liquidity to fund its operations during the Chapter 11 process. PG&E’s bankruptcy could have broader effects on the electric markets generally. Subject to Bankruptcy Court approval, Chapter 11 debtors have the power to assume or reject contractual arrangements. Chapter 11 debtors may seek to reject contracts that are uneconomic or otherwise burdensome to the debtor. In the event PG&E were to seek to reject some power purchase agreements, and if the court orders this, there may be further market impacts. In addition, it is possible that one or more other entities may ultimately assume or acquire all or a portion of PG&E's operations and activities in the future. Further, in its SEC filing, PG&E stated it is exploring possible sales or other dispositions of certain assets and businesses. Operations of PG&E’s transmission system is overseen by the CAISO, which is in turn overseen by FERC. To date, the Electric System has not experienced any operational disruptions as a result of the PG&E bankruptcy filing. Although there are uncertainties associated with Attachment 5 Page 481 of 901 47 PG&E’s emergence from bankruptcy, and its future ownership, financing and rate structure, the CAISO and FERC will continue to oversee grid operations and reliability. Future State and Federal Legislation Numerous bills have been under consideration in the State Legislature and federal Congress addressing United States energy policies and various environmental matters, including those related to energy supplies and development (such as a federal energy efficiency standard and expedited permitting for natural gas drilling projects), cybersecurity, reducing regulatory burdens, climate change and water quality. Many of these bills, if enacted into law, could have a material impact on the electric utility industry generally, and the Electric System more specifically. Previously, proposed energy and climate change-related pieces of legislation have included, among other things, a cap-and-trade system to regulate and reduce the emission of carbon dioxide and other greenhouse gases and a federal renewable energy portfolio standard. The impact that federal greenhouse gas cap-and-trade legislation could have on the electric utility industry and business would largely depend on the specific provisions of any legislation that might ultimately become law. Some of the important factors to be addressed would include the timing and magnitude of the emissions cap, the extent to which emissions allowances are either allocated or auctioned to the highest bidder, the extent to which emissions may be offset by other actions, whether there will be a cap on the price of emissions allowances and the allocation of proceeds from the auction of allowances. Other areas of consideration for energy legislation include, but are not limited to, the development and deployment of alternative fuels, renewable energy resources, and energy conservation measures. The timeline and impact of any future climate change legislation cannot be accurately assessed at this time, but it is expected that any such federal action would have a significant impact on fossil-fueled generation facilities. Attachment 5 Page 482 of 901 48 CONSTITUTIONAL LIMITATIONS ON TAXES AND APPROPRIATIONS State Constitution Articles XIIIA and XIIIB Article XIIIA of the California Constitution limits the taxing powers of California public agencies. Article XIIIA provides that the maximum ad valorem tax on real property cannot exceed one percent of the “full cash value” of the property, and effectively prohibits the levying of any other ad valorem property tax except for taxes above that level required to pay debt service on voter-approved general obligation bonds. “Full cash value” is defined as “the County Assessor’s valuation of real property as shown on the 1975-76 tax bill under ‘full cash value’ or, thereafter, the appraisal value of real property when purchased, newly constructed, or a change in ownership has occurred after the 1975 assessment.” The “full cash value” is subject to annual adjustment to reflect inflation at a rate not to exceed two percent or a reduction in the consumer price index or comparable local data, or declining property value caused by damage, destruction or other factors. The foregoing limitation does not apply to ad valorem taxes or special assessments to pay the interest and redemption charges on any indebtedness approved by the voters before July 1, 1978 or any bonded indebtedness for the acquisition or improvement of real property approved by two-thirds of the votes cast by the voters voting on the proposition. Under Article XIIIB of the California Constitution, state and local government entities have an annual “appropriations limit” which limits their ability to spend certain moneys called “appropriations subject to limitation”, which consist of tax revenues, certain state subventions and certain other moneys, including user charges to the extent they exceed the costs reasonably borne by the entity in providing the service for which it is levying the charge. The City is of the opinion that the electric service and use charges imposed by the City do not exceed the costs the City reasonably bears in providing the electric service. In general terms, the “appropriations limit” is to be based on certain 1978/79 expenditures, and is to be adjusted annually to reflect changes in the consumer price index, population, and services provided by these entities. Among other provisions of Article XIIIB, if an entity’s revenues in any year exceed the amount permitted to be spent, the excess would have to be returned by revising tax rates or fee schedules over the subsequent two years. State Constitution Articles XIIIC and XIIID Proposition 218. Proposition 218, a State ballot initiative known as the “Right to Vote on Taxes Act,” was approved by the voters of the State of California on November 5, 1996. Proposition 218 added Articles XIIIC and XIIID to the State Constitution. Article XIIIC imposes a majority voter approval requirement on local governments (including the City) with respect to taxes for general purposes, and a two-thirds voter approval requirement with respect to taxes for special purposes. Article XIIID creates additional requirements for the imposition by most local governments of general taxes, special taxes, assessments and “property-related” fees and charges. Article XIIID explicitly exempts fees for the provision of electric service from the provisions of such article. Article XIIIC expressly extends the people’s initiative power to reduce or repeal previously-authorized local taxes, assessments, and fees and charges imposed prior to its effective date (November 1996). The terms “fees and charges” are not defined in Article XIIIC, although the California Supreme Court held in Bighorn-Desert View Water Agency v. Verjil, 39 Attachment 5 Page 483 of 901 49 Cal. 4th 205 (2006), that the initiative power described in Article XIIIC may apply to a broader category of fees and charges than the property-related fee and charges governed by Article XIIID. Moreover, in the case of Bock v. City Council of Lompoc, 109 Cal. App. 3d 43 (1980), the Court of Appeal determined that an electric rate ordinance was not subject to the same constitutional restrictions that are applied to the use of the initiative process for tax measures so as to render it an improper subject of the initiative process. Thus, electric service charges (which are expressly exempted from the provisions of Article XIIID) may be subject to the initiative provisions of Article XIIIC, thereby subjecting such fees and charges to reduction by the electorate. The City believes that even if the electric rates of the Electric System are subject to the initiative power, under Article XIIIC or otherwise, Article XIIIC does not grant to the electorate of the City the power to repeal or reduce its electric rates and charges in a manner that would impair the payment of the contractual obligations of the City or Authority (including those related to the Bonds). Proposition 26. Proposition 26 was approved by the electorate at the November 2, 2010 election and amended California Constitution Articles XIIIA and XIIIC. The proposition imposes a two-thirds voter approval requirement for the imposition of fees and charges by the State. It also imposes a majority voter approval requirement on local governments with respect to fees and charges for general purposes, and a two-thirds voter approval requirement with respect to fees and charges for special purposes. Proposition 26, according to its supporters, is intended to prevent the circumvention of tax limitations imposed by the voters pursuant to Proposition 13, approved in 1978, and other measures through the use of non-tax fees and charges. Proposition 26 expressly excludes from its scope a charge imposed for a specific government service or product provided directly to the payor that is not provided to those not charged, and which does not exceed the reasonable cost to the State or local government of providing the service or product to the payor. Proposition 26 may, however, be interpreted to limit fees and charges for electric utility services charged by governmental entities such as the City to preclude future transfers of electric utility generated funds to a local government’s general fund and/or require stricter standards for the allocation of costs among customer classes. Proposition 26 is subject to interpretation by California courts, including the extent to which it is applicable to pre-existing electric rates and general fund transfers. A number of lawsuits have been filed against public agencies in California under Proposition 26, including particularly with respect to electric utility fund transfers. The City is unable to predict at this time how Proposition 26 will ultimately be interpreted or the impact of Proposition 216 on the Electric System. Future Initiatives Article XIIIA, Article XIIIB, Articles XIIIC and XIIID and Proposition 26, were each adopted pursuant to measures qualified for the ballot pursuant to California’s constitutional initiative process. From time to time other initiative measures could be adopted by California voters. The adoption of any such initiatives might place limitations on the ability of the City to increase revenues or to increase appropriations. BOND OWNERS’ RISKS The following information should be considered by prospective investors in evaluating the Bonds. However, the following does not purport to be an exclusive listing of risks and other considerations that may be relevant to investing in the Bonds, and the order in which the following information is presented is not intended to reflect the relative importance of any such risks and considerations. Attachment 5 Page 484 of 901 50 Limited Obligations The Bonds are limited obligations of the Authority secured by and payable from the Installment Payments, which are secured by the Net Revenues of the Electric System. The Installment Payments are limited obligations of the City and are not secured by a legal or equitable pledge or charge or lien upon any property of the City or any of its income or receipts, except the Net Revenues. The obligation of the City to make the Installment Payments does not constitute an obligation of the City to levy or pledge any form of taxation or for which the City has levied or pledged any form of taxation. No representation or assurance can be made that revenues will be realized by the Electric System of the City in amounts sufficient to make payments required by the Installment Sale Agreement. Future economic and other conditions, including economic trends and events, technological developments and demographic changes, increases in insurance claims, as well as increased costs and changes in government regulations may adversely affect the future financial condition of the Electric System and, consequently, the City’s ability to make the Installment Payments securing payment of the principal of and premium, if any, and interest on Bonds. There is no assurance that the City can succeed in operating the Electric System such that Net Revenues in the future amounts projected in this Official Statement will be realized. Limitations on Remedies and Limited Recourse on Default The ability of the City to comply with its covenants under the Installment Sale Agreement and to generate Net Revenues sufficient to pay principal of and interest on the Bonds may be adversely affected by actions and events outside of the control of the City and may be adversely affected by actions taken (or not taken) by voters, property owners, taxpayers or persons obligated to pay assessments, fees and charges. Failure by the City to pay the Installment Payments constitutes an event of default under the Installment Sale Agreement, and the Trustee is permitted to pursue remedies at law or in equity to enforce the City’s obligation to make such payments. Although the Trustee has the right to accelerate the total unpaid principal amount of the unpaid Payments under Installment Sale Agreement, including the Installment Payments, there is no assurance that the City would have sufficient funds to pay the accelerated Payments. Furthermore, the remedies available to the owners of the Bonds upon the occurrence of an event of default under the Installment Sale Agreement are in many respects dependent upon judicial actions which are often subject to discretion and delay and could prove both expensive and time consuming to obtain. In addition, the rights and remedies of bondholders under the Indenture and the Installment Sale Agreement may be subject to bankruptcy, insolvency, reorganization, arrangement, fraudulent conveyance, moratorium and other laws relating to or affecting creditors’ rights, to the application of equitable principles, to the exercise of judicial discretion in appropriate cases and to limitations on legal remedies against cities in the State of California. The opinion to be delivered by Bond Counsel concurrently with the issuance of the Bonds will be subject to such limitations and the various other legal opinions to be delivered concurrently with the issuance of the Bonds will be similarly qualified. See “APPENDIX E – FORM OF OPINION OF BOND COUNSEL.” In the event the City fails to comply with its covenants under the Installment Sale Agreement or fails to pay the Installment Payments, there can be no assurance of the availability of remedies adequate to protect the interest of the holders of the Bonds. Attachment 5 Page 485 of 901 51 Regulatory Risks; Change in Law The electric utility industry is a heavily regulatory industry, and subject to changes in law at both the federal and State level that may impact the revenues and/or the expenses of the Electric System and the ability of the City to pay debt service on the Bonds. Investors should read the section, “FACTORS AFFECTING THE ELECTRIC UTILITY INDUSTRY” in its entirety before making an investment decision with respect to the Bonds. In addition, in recent years several initiative measures have been proposed or adopted which affect the ability of local governments to increase taxes and rates. There is no assurance that the electorate or the State Legislature will not at some future time approve additional limitations that could affect the ability of the City to implement rate increases, which could reduce Net Revenues and adversely affect the security for the Bonds. See “CONSTITUTIONAL LIMITATIONS ON TAXES AND APPROPRIATIONS.” Environmental Risks Seismic. The service area of the Electric System, like much of California, is subject to seismic activity that could result in interference with its operation of the Electric System. In addition, other active and potentially active seismic faults cross the regional transmission facilities through which the City obtains power. No assurance can be given that a future seismic event will not materially adversely affect the operation of the Electric System. Drought. California is subject to droughts from time-to-time. On April 1, 2015, for the first time in California’s history, Governor Edmund G. Brown directed the State Wastewater Resources Control Board to implement mandatory water reductions in cities and towns across California to reduce water usage by 25%. Following a wet winter in 2016-17, most of the mandatory water reductions were lifted. However, in 2021, drought conditions were declared across California again and water restrictions were again put into place. Drought conditions can have material adverse impacts on the hydroelectric generation facilities that supply power to the Electric System, among other things. Wildfire. A number of wildfires have occurred in northern California in recent years. Under the doctrine of inverse condemnation (a legal concept that entitles property owners to just compensation if their property is damaged by a public use), California courts have imposed liability on utilities in legal actions brought by property holders for damages caused by the utility’s infrastructure. Thus, if the facilities of a utility, such as its electric distribution and transmission lines, are determined to be the substantial cause of a fire, and the doctrine of inverse condemnation applies, the utility could be liable for damages without having been found neg ligent. The City does not independently own or operate any transmission lines, and its owned or co-owned transmission or distribution facilities have not been the cause of any wildfires experienced in California. Within municipal boundaries of the City, the primary geographical area of the Electric System, only 10% of the Electric System’s overhead electrical lines and equipment are located in a Tier 2 CPUC designated fire-threat area, which are the areas where there is a higher risk (including likelihood and potential impacts on people and property) from utility-related wildfires. Similarly, the City is not within United States Forest Service/California Department of Forestry and Fire Protection (Cal Fire) designated high hazard zone. See also “THE ELECTRIC SYSTEM – Wildfire Mitigation Measures.” Attachment 5 Page 486 of 901 52 Although the City is not located within a Fire Hazard Severity Zone as established by Cal Fire (https://egis.fire.ca.gov/FHSZ), there are areas adjacent to the City that are open space parklands and more susceptible to wildfires. With the exception of a small area in the western foothills, the majority of the City of Ukiah is within the moderate or lesser wildfire risk exposure zones, with only 6% of the improved parcel value within the high and very high exposure zones according to CalFire data. The City was one of the first jurisdictions in the State to implement an aggressive vegetation management program in collaboration with CalFire to reconstitute control burns, dozer fuel breaks, and shaded fuel breaks in the State responsibility areas surrounding the Ukiah Valley. Currently the City is actively acquiring land in the western hills to protect open space and prevent urban develop in higher risk fire zones. An active public outreach and inspection program requiring vegetation management on private property and prevention checks of businesses is ongoing. Climate Change. The impacts of drought, wildfire and other conditions may be becoming worse as a result of climate change. The City is unable to predict what, if any, impacts may results from climate change on the Electric System although it is possible the Net Revenues available to pay debt service on the Bonds may be material adversely impacted. COVID-19 Pandemic The outbreak of COVID-19 (a respiratory disease caused by a novel strain of coronavirus) which began in the winter of 2020 and which continues as of the date of this Official Statement, has been declared as a pandemic by the World Health Organization. The pandemic is having significant negative impacts throughout the world, including in the United States and the State of California. In response to the COVID-19 outbreak, governmental actions have included the implementation of “stay-at-home” (or “safer-at-home”) orders by the State and local governments requiring citizens to remain at home except for certain essential purposes, and except as needed to maintain continuity of operation of certain critical sectors. This has caused the disruption of daily life in all jurisdictions, including the closure of, among others, bars, dine-in restaurants, retail stores, schools, gyms, movie theatres, certain government buildings and religious institutions, and general prohibitions on gatherings. Although most of these restrictions have been eased, they may be modified, lifted, re-instated or expanded as the pandemic continues and local conditions warrant. The City is monitoring the COVID-19 pandemic but is not yet able to fully predict the effect it will have on the Electric System’s financial performance or operations. Based on data available through June 30, 2021, the Electric System’s retail electricity deliveries declined by approximately _____% for the fiscal year, due to ________. [City to confirm] The City cannot predict (i) the duration or ultimate extent of the COVID-19 pandemic; (ii) to what extent the COVID-19 pandemic may affect the operations and revenues of the Electric System in the future; (iii) to what extent the COVID-19 pandemic may ultimately disrupt the local, State, national or global economy, manufacturing or supply chain, or whether any such disruption will adversely impact Electric System-related construction, the cost, sources of funds, schedule or implementation of the Electric System’s capital improvement program, or other Electric System operations; (iv) to what extent the City may provide additional customer assistance measures or deferrals, forbearances, adjustments or other changes to its customers or its billing and collection procedures; or (v) whether any of the foregoing may have a material adverse effect on the finances and operations of the Electric System. Prospective investors should consider that the restrictions and limitations instituted related to COVID-19 may increase (even after they are decreased), and the upheaval to the national and global economies may continue and/or be Attachment 5 Page 487 of 901 53 exacerbated, at least over the near term, and the recovery may be prolonged, and therefore, COVID-19 may adversely impact the Electric System revenues. Risk of Inverse Condemnation Actions Under the doctrine of inverse condemnation (a legal concept that entitles property owners to just compensation if their property is damaged by a public use), California courts have imposed liability on public agencies in legal actions brought by property holders for damages caused by such public agencies’ infrastructure. Thus, if the facilities of the Electric System are determined to be the substantial cause of damage to property from flooding, fire or otherwise, and the doctrine of inverse condemnation applies, the Electric System could be liable for property damage, business interruption, interest, and attorneys’ fees without having been found negligent, which liability, in the aggregate, could be substantial. In addition to such claims for property damage, business interruption, interest, and attorneys’ fees, the Electric System could be liable for flood or fire suppression costs, evacuation costs, medical expenses, personal injury damages, punitive damages, and other damages under other theories of liability, including if personnel operating the Electric System were found to have been negligent, which liability, in the aggregate, could be substantial. Cybersecurity Like all agencies connected to the Internet, the City and the Electric System are subject to cybersecurity risks. The Electric System places a high priority on all of its security practices to protect electric infrastructure. With respect to cybersecurity, these practices include, but are not limited to: performance of periodic security risk assessments and gap analyses to identify security strengths and vulnerabilities; implementation of access controls and restrictions; personnel risk assessments; software patch management; reliance on appropriate malware protection; practices for the designation of and proper safeguards for confidential or sensitive information; practices for the backup and recovery of data; and security awareness training. The Electric System staff will continue to take actions to address new threats as they arise and to close new vulnerabilities as they are identified that are appropriate for the assets owned, operated, and controlled by the Electric System. IRS Audit of Tax-Exempt Bond Issues The Internal Revenue Service (the “IRS”) has initiated an expanded program for the auditing of tax-exempt bond issues, including both random and targeted audits. It is possible that the Bonds will be selected for audit by the IRS. It is also possible that the market value of such Bonds might be affected as a result of such an audit (or by an audit of similar bonds or securities). Secondary Market There can be no guarantee that there will be a secondary market for the Bonds or, if a secondary market exists, that the Bonds can be sold for any particular price. Occasionally, because of general market conditions or because of adverse history or economic prospects connected with a particular issue, secondary marketing practices in connection with a particular issue are suspended or terminated. Additionally, prices of issues for which a market is being made will depend upon then prevailing circumstances. Such prices could be substantially different from the original purchase price. Attachment 5 Page 488 of 901 54 [Bond Insurance Risk Factors] [The Authority has applied for a bond insurance policy to guarantee the scheduled payment of principal and interest on the Bonds. The Authority has yet to determine whether an insurance policy will be purchased with the Bonds. If an insurance policy is purchased, the following are risk factors relating to bond insurance. In the event of default of the payment of principal or interest with respect to the Bonds when all or some becomes due, any owner of the Bonds shall have a claim under the applicable Bond Insurance Policy (the “Policy”) for such payments. However, in the event of any acceleration of the due date of such principal by reason of mandatory or optional redemption or acceleration resulting from default or otherwise, other than any advancement of maturity pursuant to a mandatory sinking fund payment, the payments are to be made in such amounts and at such times as such payments would have been due had there not been any such acceleration. The Policy does not insure against redemption premium, if any. The payment of principal and interest in connection with mandatory or optional prepayment of the Bonds by the issuer which is recovered by the issuer from the bond owner as a voidable preference under applicable bankruptcy law is covered by the insurance policy, however, such payments will be made by the Insurer at such time and in such amounts as would have been due absence such prepayment by the Issuer unless the Bond Insurer chooses to pay such amounts at an earlier date. Under most circumstances, default of payment of principal and interest does not obligate acceleration of the obligations of the Bond Insurer without appropriate consent. The Bond Insurer may direct and must consent to any remedies and the Bond Insurer’s consent may be required in connection with amendments to any applicable bond documents. In the event the Bond Insurer is unable to make payment of principal and interest as such payments become due under the Policy, the Bonds are payable solely from the moneys received pursuant to the applicable bond documents. In the event the Bond Insurer becomes obligated to make payments with respect to the Bonds, no assurance is given that such event will not adversely affect the market price of the Bonds or the marketability (liquidity) for the Bonds. The long-term ratings on the Bonds are dependent in part on the financial strength of the Bond Insurer and its claim paying ability. The Bond Insurer’s financial strength and claims paying ability are predicated upon a number of factors which could change over time. No assurance is given that the long-term ratings of the Bond Insurer and of the ratings on the Bonds insured by the Bond Insurer will not be subject to downgrade and such event could adversely affect the market price of the Bonds or the marketability (liquidity) for the Bonds. See description of “RATINGS” herein. The obligations of the Bond Insurer are general obligations of the Bond Insurer and in an event of default by the Bond Insurer, the remedies available may be limited by applicable bankruptcy law or other similar laws related to insolvency. Neither the Authority or Underwriter have made independent investigation into the claims paying ability of the Bond Insurer and no assurance or representation regarding the financial strength or projected financial strength of the Bond Insurer is given. Thus, when making an investment decision, potential investors should carefully consider the ability of the Issuer to pay principal and interest on the Bonds and the claims paying ability of the Bond Insurer, particularly over the life of the investment. See “Bond Insurance” herein for further information provided by Attachment 5 Page 489 of 901 55 the Bond Insurer and the Policy, which includes further instructions for obtaining current financial information concerning the Bond Insurer.] Other Risks to the Electric System The Electric System, like the rest of the electric utility industry, has been, or in the future may be, affected by a number of other factors which could impact the financial condition and competitiveness of the Electric System, including: • effects of compliance with rapidly changing environmental, safety, licensing, regulatory and legislative requirements other than those described above; • changes resulting from conservation and demand-side management programs on the timing and use of electric energy; • changes resulting from a national energy policy; • effects of competition from other electric utilities (including increased competition resulting from mergers, acquisitions, and “strategic alliances” of competing electric and natural gas utilities and from competitors transmitting less expensive electricity from much greater distances over an interconnected system) and new methods of, and new f acilities for, producing low-cost electricity; • the proposed repeal of certain federal statutes that would have the effect of increasing the competitiveness of many investor-owned utilities; • increased competition from independent power producers and marketers, brokers and federal power marketing agencies; • changes in the industry stemming from the 2019 bankruptcy declaration of PG&E initiated to address extraordinary financial challenges attributed to existing and potential liabilities for wildfires, the outcome of the remaining disputes regarding its reorganization plan following its emergence from bankruptcy on July 1, 2020, and the recently-enacted legislation that would authorize the creation of a non-profit public benefit corporation for the benefit of all Californians, which non-profit public benefit corporation could acquire PG&E under specified circumstances in the future; • “self-generation” or “distributed generation” (such as microturbines and fuel cells) by industrial and commercial customers and others; • issues relating to the ability to issue tax-exempt obligations, including severe restrictions on the ability to sell to nongovernmental entities electricity from generation projects and transmission service from transmission line projects financed with outstanding tax-exempt obligations; • effects of inflation on the operating and maintenance costs of an electric utility and its facilities; • changes from projected future load requirements; • increases in costs and uncertain availability of capital; • shifts in the availability and relative costs of different fuels (including the cost of natural gas); • sudden and dramatic increases in the price of energy purchased on the open market that may occur in times of high peak demand in an area of the country experiencing such high peak demand, such as has previously occurred in California; • issues relating to risk management procedures and practices with respect to, among other things, the purchase and sale of energy and transmission capacity; • other legislative changes, voter initiatives, referenda and statewide propositions; • other political risks impacting the City’s rates or other operational or financial matters; Attachment 5 Page 490 of 901 56 • effects of changes in the economy, including those resulting from the COVID-19 pandemic; • effects of possible manipulation of electric markets; and • natural disasters or other physical calamities, including, but limited to, earthquake, drought, floods, wildfires and climate change. Any of these factors (as well as other factors) could have an adverse effect on the financial condition of any given electric utility, including the Electric System. The City cannot predict what effects such factors will have on the business operations and financial condition of the Electric System, but the effects could be significant. The foregoing is a brief discussion of these factors. The City has taken certain steps to mitigate the impacts of these changes, including establishing the Rate Stabilization Fund and implementation of the renewable energy surcharge and greenhouse gas emission reduction surcharge. This Official Statement includes a brief discussion of these steps. This discussion does not purport to be comprehensive or definitive, and these matters are subject to change subsequent to the date hereof. Extensive information on the electric utility industry is, and will be, available from the legislative and regulatory bodies and other sources in the public domain. TAX MATTERS Federal Tax Status. In the opinion of Jones Hall, A Professional Law Corporation, San Francisco, California, Bond Counsel, subject, however to the qualifications set forth below, under existing law, the interest on the Bonds is excluded from gross income for federal income tax purposes and such interest is not an item of tax preference for purposes of the federal alternative minimum tax. The opinions set forth in the preceding paragraph are subject to the condition that the City comply with all requirements of the Internal Revenue Code of 1986, as amended (the “Tax Code”) that must be satisfied subsequent to the issuance of the Bonds in order that the interest thereon be, and continue to be, excludable from gross income for federal income tax purposes. The City has made certain representations and covenants in order to comply with each such requirement. Inaccuracy of those representations, or failure to comply with certain of those covenants, may cause the inclusion of such interest in gross income for federal income tax purposes, which may be retroactive to the date of issuance of the Bonds. Tax Treatment of Original Issue Discount and Premium. If the initial offering price to the public at which a Bond is sold is less than the amount payable at maturity thereof, then such difference constitutes “original issue discount” for purposes of federal income taxes and State of California personal income taxes. If the initial offering price to the public at which a Bond is sold is greater than the amount payable at maturity thereof, then such difference constitutes “original issue premium” for purposes of federal income taxes and State of California personal income taxes. De minimis original issue discount and original issue premium are disregarded. Under the Tax Code, original issue discount is treated as interest excluded from federal gross income and exempt from State of California personal income taxes to the extent properly allocable to each owner thereof subject to the limitations described in the first paragraph of this section. The original issue discount accrues over the term to maturity of the Bond on the basis of a constant interest rate compounded on each interest or principal payment date (with straight-line interpolations between compounding dates). The amount of original issue discount accruing during each period is added to the adjusted basis of such Bonds to determine taxable gain upon Attachment 5 Page 491 of 901 57 disposition (including sale, redemption, or payment on maturity) of such Bond. The Tax Code contains certain provisions relating to the accrual of original issue discount in the case of purchasers of the Bonds who purchase the Bonds after the initial offering of a substantial amount of such maturity. Owners of such Bonds should consult their own tax advisors with respect to the tax consequences of ownership of Bonds with original issue discount, including the treatment of purchasers who do not purchase in the original offering to the public at the first price at which a substantial amount of such Bonds is sold to the public. Under the Tax Code, original issue premium is amortized on an annual basis over the term of the Bond (said term being the shorter of the Bond’s maturity date or its call date). The amount of original issue premium amortized each year reduces the adjusted basis of the owner of the Bond for purposes of determining taxable gain or loss upon disposition. The amount of original issue premium on a Bond is amortized each year over the term to maturity of the Bond on the basis of a constant interest rate compounded on each interest or principal payment date (with straight-line interpolations between compounding dates). Amortized bond premium is not deductible for federal income tax purposes. Owners of premium Bonds, including purchasers who do not purchase in the original offering, should consult their own tax advisors with respect to State of California personal income tax and federal income tax consequences of owning such Bonds. California Tax Status. In the further opinion of Bond Counsel, interest on the Bonds is exempt from California personal income taxes. Other Tax Considerations. Current and future legislative proposals, if enacted into law, clarification of the Tax Code or court decisions may cause interest on the Bonds to be subject, directly or indirectly, to federal income taxation or to be subject to or exempted from state income taxation, or otherwise prevent beneficial owners from realizing the full current benefit of the tax status of such interest. The introduction or enactment of any such legislative proposals, clarification of the Tax Code or court decisions may also affect the market price for, or marketability of, the Bonds. It cannot be predicted whether or in what form any such proposal might be enacted or whether, if enacted, such legislation would apply to bonds issued prior to enactment. The opinions expressed by Bond Counsel are based upon existing legislation and regulations as interpreted by relevant judicial and regulatory authorities as of the date of such opinion, and Bond Counsel has expressed no opinion with respect to any proposed legislation or as to the tax treatment of interest on the Bonds, or as to the consequences of owning or receiving interest on the Bonds, as of any future date. Prospective purchasers of the Bonds should consult their own tax advisors regarding any pending or proposed federal or state tax legislation, regulations or litigation, as to which Bond Counsel expresses no opinion. Owners of the Bonds should also be aware that the ownership or disposition of, or the accrual or receipt of interest on, the Bonds may have federal or state tax consequences other than as described above. Other than as expressly described above, Bond Counsel expresses no opinion regarding other federal or state tax consequences arising with respect to the Bonds, the ownership, sale or disposition of the Bonds, or the amount, accrual or receipt of interest on the Bonds. Attachment 5 Page 492 of 901 58 CERTAIN LEGAL MATTERS Jones Hall, A Professional Law Corporation, Bond Counsel, will render an opinion with respect to the validity of the Bonds, the form of which opinion is set forth in APPENDIX E. Certain legal matters will also be passed upon for the Authority and the City by Jones Hall, A Professional Law Corporation, as Disclosure Counsel. Certain legal matters will be passed upon for the City and the Authority by the City Attorney, and for the Trustee by counsel to the Trustee. Payment of the fees and expenses of Bond Counsel, Disclosure Counsel, the Municipal Advisor and Trustee’s counsel is contingent upon the sale and delivery of the Bonds. LITIGATION Except as may otherwise be set forth in this Official Statement, to the best knowledge of the City, there is no action, suit, proceeding, inquiry or investigation before or by any court or federal, state, municipal or other governmental authority pending and notice of which has been served on and received by the City or, to the knowledge of the City, threatened against or affecting the City or the assets, properties or operations of the City which, if determined adversely to the City or its interests, would have a material and adverse effect upon the consummation of the transactions contemplated by or the validity of the Installment Sale Agreement or the Indenture, or upon the financial condition, assets, properties or operations of the Electric System, and the City is not in default with respect to any order or decree of any court or any order, regulation or demand of any federal, state, municipal or other governmental authority, which default might have consequences that would materially adversely affect the consummation of the transactions contemplated by the Installment Sale Agreement or the Indenture, or the financial conditions, assets, properties or operations of the Electric System, including but not limited to the payment and performance of the City’s obligations under the Installment Sale Agreement. The City is subject to claims, actions, and lawsuits arising in the normal course of business. At this time, the City does not believe any of the lawsuits are likely to be resolved in a manner that would result in liability to the Electric System in excess of its existing insurance coverage. However, no assurance can be given that an adverse outcome in any pending or future litigation against the City would not result in a material adverse effect upon the financial condition of the Electric System and its ability to pay the Installment Payments securing the Bonds. RATING[S] [Add insured rating language, if applicable.]. S&P Global Ratings (“S&P”) has assigned its municipal bond rating of “_____” to the Bonds. A rating reflects only the views of the rating agency, and an explanation of the significance of this rating, and any outlook assigned to or associated with this rating, should be obtained from the rating agency. There is no assurance that this rating will continue for any given period of time, or that this rating will not be revised downward or withdrawn entirely by the rating agency if, in its judgment, circumstances so warrant. Any downward revision or withdrawal of the rating from S&P may have an adverse effect on the market price of the Bonds. CONTINUING DISCLOSURE The City will covenant for the benefit of owners of the Bonds to provide certain financial information and operating data by not later than nine months after the end of the City’s fiscal year, Attachment 5 Page 493 of 901 59 or April 1, of each year (based on the City’s current fiscal year-end of June 30), commencing April 1, 2023, with the report for the 2021-22 fiscal year (the “Annual Report”) and to provide notices of the occurrence of certain listed events. These covenants have been made in order to assist the Underwriter in complying with Securities Exchange Commission Rule 15c2-12(b)(5), as amended (the “Rule”). The specific nature of the information to be contained in the Annual Report or the notices of listed events by the City is set forth in “APPENDIX C – Form of Continuing Disclosure Certificate.” A review of the City’s prior compliance with its continuing disclosure obligations under the Rule reveals that the City did not timely file its audited financial statement and/or annual report information by the due dates for Fiscal Year 2015-16. In addition, the Successor Agency to the Ukiah Redevelopment Agency did not timely file a notice of defeasance in Fiscal Year 2019-20 related to the refunding of tax allocation bonds. The City has retained NHA Advisors, LLC to serve as the dissemination agent for its outstanding bonded indebtedness which are subject to the Rule. MUNICIPAL ADVISOR The City and the Authority have retained NHA Advisors LLC, of San Rafael, California, as municipal advisor (the “Municipal Advisor”) in connection with the offering of the Bonds. All financial and other information presented in this Official Statement has been provided by the City and the Authority from their records, except for information expressly attributed to other sources. The Municipal Advisor takes no responsibility for the accuracy or completeness of the data provided by the City, Authority or others and has not undertaken to make an independent verification or does not assume responsibility for the accuracy, completeness, or fairness of the information contained in this Official Statement. The fee of the Municipal Advisor is contingent upon the successful closing of the Bonds. UNDERWRITING The 2022 Bonds are being sold pursuant to a negotiated sale with RBC Capital Markets, LLC, as underwriter (the “Underwriter”). The Bonds are being purchased by the Underwriter at a purchase price of $_____, which represents the aggregate principal amount of the Bonds, plus an original issue premium of $___________ less an Underwriter’s discount of $______________. The Underwriter intends to offer and sell the Bonds to the public at the offering prices set forth on the inside cover page of this Official Statement. After the initial public offering, the public offering price may be varied from time to time by the Underwriter. The Underwriter and its respective affiliates are full-service financial institutions engaged in various activities that may include securities trading, commercial and investment banking, municipal advisory, brokerage, and asset management. In the ordinary course of business, the Underwriter and its respective affiliates may actively trade debt and, if applicable, equity securities (or related derivative securities) and provide financial instruments (which may include bank loans, credit support or interest rate swaps). The Underwriter and its respective affiliates may engage in transactions for their own accounts involving the securities and instruments made the subject Attachment 5 Page 494 of 901 60 of this securities offering or other offering of the Authority and/or the City. The Underwriter and its respective affiliates may make a market in credit default swaps with respect to municipal securities in the future. The Underwriter and its respective affiliates may also communicate independent investment recommendations, market color or trading ideas and publish independent research views in respect of this securities offering or other offerings of the Authority and/or the City. PROFESSIONAL SERVICES In connection with the issuance of the Bonds, fees payable to the following professionals involved in the offering are contingent upon the issuance and delivery of the Bonds: Jones Hall, A Professional Law Corporation, as Bond Counsel and Disclosure Counsel; NHA Advisors LLC, San Rafael, California, as municipal advisor to the Authority and the City; Nixon Peabody LLP, Los Angeles, California, as counsel to the Underwriter; and The Bank of New York Mellon Trust Company, N.A., as Trustee. EXECUTION The execution of this Official Statement and its delivery have been authorized by the Board of the Authority and the City Council of the City. UKIAH PUBLIC FINANCING AUTHORITY By: Executive Director CITY OF UKIAH By: City Manager Attachment 5 Page 495 of 901 A-1 APPENDIX A SUMMARY OF PRINCIPAL LEGAL DOCUMENTS Attachment 5 Page 496 of 901 B-1 APPENDIX B AUDITED FINANCIAL STATEMENTS OF THE CITY FOR FISCAL YEAR 2020-21 Attachment 5 Page 497 of 901 C-1 APPENDIX C FORM OF CONTINUING DISCLOSURE CERTIFICATE $____________ UKIAH PUBLIC FINANCING AUTHORITY Electric Revenue Bonds, Series 2022 This Continuing Disclosure Certificate (this “Disclosure Certificate”) is executed and delivered by the City of Ukiah (the “City”) in connection with the issuance by the Authority of the bonds captioned above (the “Bonds”). The Bonds are being issued under an Indenture of Trust dated as of March 1, 2022 (the “Indenture”), by and between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The City hereby covenants and agrees as follows: Section 1. Purpose of the Disclosure Certificate. This Disclosure Certificate is being executed and delivered by the City for the benefit of the holders and beneficial owners of the Bonds and in order to assist the Participating Underwriter in complying with S.E.C. Rule 15c2- 12(b)(5). Section 2. Definitions. In addition to the definitions set forth above and in the Indenture, which apply to any capitalized term used in this Disclosure Certificate unless otherwise defined in this Section, the following capitalized terms shall have the following meanings: “Annual Report” means any Annual Report provided by the City pursuant to, and as described in, Sections 3 and 4 of this Disclosure Certificate. “Annual Report Date” means April 1 of each year. “Dissemination Agent” means NHA Advisors LLC, or any successor Dissemination Agent designated in writing by the City and which has filed with the City a written acceptance of such designation. “Listed Events” means any of the events listed in Section 5(a) of this Disclosure Certificate. “MSRB” means the Municipal Securities Rulemaking Board, which has been designated by the Securities and Exchange Commission as the sole repository of disclosure information for purposes of the Rule, or any other repository of disclosure information that may be designated by the Securities and Exchange Commission as such for purposes of the Rule in the future. “Official Statement” means the final official statement, executed by the City and the Authority in connection with the issuance of the Bonds. “Participating Underwriter” means RBC Capital Markets, LLC, the original underwriter of the Bonds required to comply with the Rule in connection with offering of the Bonds. “Rule” means Rule 15c2-12(b)(5) adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as the same may be amended from time to time. Attachment 5 Page 498 of 901 C-2 Section 3. Provision of Annual Reports. (a) The City shall, or shall cause the Dissemination Agent to, not later than the Annual Report Date, commencing April 1, 2022, with the report for Fiscal Year 2020-21, provide to the MSRB, in an electronic format as prescribed by the MSRB, an Annual Report that is consistent with the requirements of Section 4 of this Disclosure Certificate. Not later than 15 Business Days prior to the Annual Report Date, the City shall provide the Annual Report to the Dissemination Agent (if other than the City). If by 15 Business Days prior to the Annual Report Date the Dissemination Agent (if other than the City) has not received a copy of the Annual Report, the Dissemination Agent shall contact the City to determine if the City is in compliance with the previous sentence. The Annual Report may be submitted as a single document or as separate documents comprising a package, and may include by reference other information as provided in Section 4 of this Disclosure Certificate; provided that the audited financial statements of the City may be submitted separately from the balance of the Annual Report, and later than the Annual Report Date, if not available by that date. If the City’s Fiscal Year changes, it shall give notice of such change in the same manner as for a Listed Event under Section 5(b). The City shall provide a written certificate with each Annual Report furnished to the Dissemination Agent to the effect that such Annual Report constitutes the Annual Report required to be furnished by the City hereunder. (b) If the City does not provide (or cause the Dissemination Agent to provide) an Annual Report by the Annual Report Date, the City shall provide (or cause the Dissemination Agent to provide) in a timely manner to the MSRB, in an electronic format as prescribed by the MSRB, a notice in substantially the form attached as Exhibit A. (c) With respect to each Annual Report, the Dissemination Agent shall: (i) determine each year prior to the Annual Report Date the then-applicable rules and electronic format prescribed by the MSRB for the filing of annual continuing disclosure reports; and (ii) if the Dissemination Agent is other than the City, file a report with the City certifying that the Annual Report has been provided pursuant to this Disclosure Certificate, and stating the date it was provided. Section 4. Content of Annual Reports. The City’s Annual Report shall contain or incorporate by reference the following: (a) Audited Financial Statements of the City prepared in accordance with Generally Accepted Accounting Principles as promulgated to apply to governmental entities from time to time by the Governmental Accounting Standards Board. If the City’s audited financial statements are not available by the Annual Report Date, the Annual Report shall contain unaudited financial statements in a format similar to the financial statements contained in the final Official Statement, and the audited financial statements shall be filed in the same manner as the Annual Report when they become available. (b) To the extent not contained in the audited financial statements filed pursuant to the preceding clause (a), the Annual Report shall contain information showing: (i) the principal amount of Bonds outstanding as of June 30 preceding the filing of the Annual Report; Attachment 5 Page 499 of 901 C-3 (ii) the balance in each fund under the Indenture as of June 30 preceding the filing of the Annual Report; and (iii) updates to the substance of the information contained in the following tables in the Official Statement: (A) Table 1 – Sources of Power Supply (B) Table 3 – Customers, Sales and Peak Demand (C) Table 4 – Ten Largest Customers (D) Table 7 – Outstanding Debt of Joint Powers Agencies (E) Table 8 – Pro Forma Historical and Projected Revenues, Expenses and Debt Service Coverage (most recent 5 fiscal years only; no projections) (c) In addition to any of the information expressly required to be provided under this Disclosure Certificate, the City shall provide such further material information, if any, as may be necessary to make the specifically required statements, in the light of the circumstances under which they are made, not misleading. (d) Any or all of the items listed above may be included by specific reference to other documents, including official statements of debt issues of the City or related public entities, which are available to the public on the MSRB’s Internet web site or filed with the Securities and Exchange Commission. The City shall clearly identify each such other document so included by reference. Section 5. Reporting of Significant Events. (a) The City shall give, or cause to be given, notice of the occurrence of any of the following Listed Events with respect to the Bonds: (1) Principal and interest payment delinquencies. (2) Non-payment related defaults, if material. (3) Unscheduled draws on debt service reserves reflecting financial difficulties. (4) Unscheduled draws on credit enhancements reflecting financial difficulties. (5) Substitution of credit or liquidity providers, or their failure to perform. (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 or determinations with respect to the tax status of the security, or other material events affecting the tax status of the security. (7) Modifications to rights of security holders, if material. (8) Bond calls, if material, and tender offers. (9) Defeasances. (10) Release, substitution, or sale of property securing repayment of the securities, if material. (11) Rating changes. (12) Bankruptcy, insolvency, receivership or similar event of the City or other obligated person. Attachment 5 Page 500 of 901 C-4 (13) The consummation of a merger, consolidation, or acquisition involving the City or an obligated person, or the sale of all or substantially all of the assets of the City or an obligated person (other than in the ordinary course of business), the entry into a definitive agreement to undertake such an action, or the termination of a definitive agreement relating to any such actions, other than pursuant to its terms, if material. (14) Appointment of a successor or additional trustee or the change of name of a trustee, if material. (15) Incurrence of a financial obligation of the City, if material, or agreement to covenants, events of default, remedies, priority rights, or other similar terms of a financial obligation of the City, any of which affect security holders, if material (for definition of “financial obligation,” see clause (f)). (16) Default, event of acceleration, termination event, modification of terms, or other similar events under the terms of a financial obligation of the City, any of which reflect financial difficulties (for definition of “financial obligation,” see clause (f)). (b) Whenever the City obtains knowledge of the occurrence of a Listed Event, the City shall, or shall cause the Dissemination Agent (if not the City) to, file a notice of such occurrence with the MSRB, in an electronic format as prescribed by the MSRB, in a timely manner not in excess of 10 business days after the occurrence of the Listed Event. Notwithstanding the foregoing, notice of Listed Events described in subsection (a)(8) above need not be given under this subsection any earlier than the notice (if any) of the underlying event is given to holders of affected Bonds under the Indenture. (c) The City acknowledges that the events described in subparagraphs (a)(2), (a)(7), (a)(8) (if the event is a bond call), (a)(10), (a)(13), (a)(14), and (a)(15) of this Section 5 contain the qualifier “if material” and that subparagraph (a)(6) also contains the qualifier “material” with respect to certain notices, determinations or other events affecting the tax status of the Bonds. The City shall cause a notice to be filed as set forth in paragraph (b) above with respect to any such event only to the extent that it determines the event’s occurrence is material for purposes of U.S. federal securities law. Whenever the City obtains knowledge of the occurrence of any of these Listed Events, the City will as soon as possible determine if such event would be material under applicable federal securities law. If such event is determined to be material, the City will cause a notice to be filed as set forth in paragraph (b) above. (d) For the purposes of the event identified in (a)(12) above, the event is considered to occur when any of the following occur: the appointment of a receiver, fiscal agent or similar officer for an obligated person in a proceeding under the U.S. Bankruptcy Code or in any other proceeding under state or federal law in which a court or governmental authority has assumed jurisdiction over substantially all of the assets or business of the obligated person, or if such jurisdiction has been assumed by leaving the existing governmental body and officials or officers in possession but subject to the supervision and orders of a court or governmental authority, or the entry of an order confirming a plan of reorganization, arrangement or liquidation by a court or governmental authority having supervision or jurisdiction over substantially all of the assets or business of the obligated person. (e) For purposes of this Disclosure Certificate, any event described in paragraph (a)(12) above is considered to occur when any of the following occur: the appointment of a receiver, fiscal agent, or similar officer for the City in a proceeding under the United States Bankruptcy Code or in any other proceeding under state or federal law in which a court or governmental authority has assumed jurisdiction over substantially all of the assets or business of the City, or if Attachment 5 Page 501 of 901 C-5 such jurisdiction has been assumed by leaving the existing governing body and officials or officers in possession but subject to the supervision and orders of a court or governmental authority, or the entry of an order confirming a plan of reorganization, arrangement, or liquidation by a court or governmental authority having supervision or jurisdiction over substantially all of the assets or business of the City. (f) For purposes of Section 5(a)(15) and (16), “financial obligation” means a (i) debt obligation; (ii) derivative instrument entered into in connection with, or pledged as security or a source of payment for, an existing or planned debt obligation; or (iii) guarantee of (i) or (ii). The term financial obligation shall not include municipal securities as to which a final official statement has been provided to the Municipal Securities Rulemaking Board consistent with the Rule. Section 6. Identifying Information for Filings with the MSRB. All documents provided to the MSRB under the Disclosure Certificate shall be accompanied by identifying information as prescribed by the MSRB. Section 7. Termination of Reporting Obligation. The City’s obligations under this Disclosure Certificate shall terminate upon the legal defeasance, prior redemption or payment in full of all of the Bonds. If such termination occurs prior to the final maturity of the Bonds, the City shall give notice of such termination in the same manner as for a Listed Event under Section 5(b). Section 8. Dissemination Agent. The City may, from time to time, appoint or engage a Dissemination Agent to assist it in carrying out its obligations under this Disclosure Certificate, and may discharge any such Agent, with or without appointing a successor Dissemination Agent. Any Dissemination Agent may resign by providing 30 days’ written notice to the City. Section 9. Amendment; Waiver. Notwithstanding any other provision of this Disclosure Certificate, the City may amend this Disclosure Certificate, and any provision of this Disclosure Certificate may be waived, provided that the following conditions are satisfied: (a) if the amendment or waiver relates to the provisions of Sections 3(a), 4 or 5(a), it may only be made in connection with a change in circumstances that arises from a change in legal requirements, change in law, or change in the identity, nature, or status of an obligated person with respect to the Bonds, or type of business conducted; (b) the undertakings herein, as proposed to be amended or waived, would, in the opinion of nationally recognized bond counsel, have complied with the requirements of the Rule at the time of the primary offering of the Bonds, after taking into account any amendments or interpretations of the Rule, as well as any change in circumstances; and (c) the proposed amendment or waiver either (i) is approved by holders of the Bonds in the manner provided in the Indenture for amendments to the Indenture with the consent of holders, or (ii) does not, in the opinion of nationally recognized bond counsel, materially impair the interests of the holders or beneficial owners of the Bonds. If the annual financial information or operating data to be provided in the Annual Report is amended pursuant to the provisions hereof, the first annual financial information filed pursuant hereto containing the amended operating data or financial information shall explain, in narrative form, the reasons for the amendment and the impact of the change in the type of operating data or financial information being provided. Attachment 5 Page 502 of 901 C-6 If an amendment is made to the undertaking specifying the accounting principles to be followed in preparing financial statements, the annual financial information for the year in which the change is made shall present a comparison between the financial statements or information prepared on the basis of the new accounting principles and those prepared on the basis of the former accounting principles. The comparison shall include a qualitative discussion of the differences in the accounting principles and the impact of the change in the accounting principles on the presentation of the financial information, in order to provide information to investors to enable them to evaluate the ability of the City to meet its obligations. To the extent reasonably feasible, the comparison shall be quantitative. A notice of any amendment made pursuant to this Section 9 shall be filed in the same manner as for a Listed Event under Section 5(b). Section 10. Additional Information. Nothing in this Disclosure Certificate shall be deemed to prevent the City from disseminating any other information, using the means of dissemination set forth in this Disclosure Certificate or any other means of communication, or including any other information in any Annual Report or notice of occurrence of a Listed Event, in addition to that which is required by this Disclosure Certificate. If the City chooses to include any information in any Annual Report or notice of occurrence of a Listed Event in addition to that which is specifically required by this Disclosure Certificate, the City shall have no obligation under this Disclosure Certificate to update such information or include it in any future Annual Report or notice of occurrence of a Listed Event. Section 11. Default. In the event of a failure of the City to comply with any provision of this Disclosure Certificate, the Participating Underwriter or any holder or beneficial owner of the Bonds may take such actions as may be necessary and appropriate, including seeking mandate or specific performance by court order, to cause the City to comply with its obligations under this Disclosure Certificate. A default under this Disclosure Certificate shall not be deemed an Event of Default under the Indenture, and the sole remedy under this Disclosure Certificate in the event of any failure of the City to comply with this Disclosure Certificate shall be an action to compel performance. Section 12. Duties, Immunities and Liabilities of Dissemination Agent. (a) The Dissemination Agent shall have only such duties as are specifically set forth in this Disclosure Certificate, and the City agrees to indemnify and save the Dissemination Agent, its officers, directors, employees and agents, harmless against any loss, expense and liabilities which it may incur arising out of or in the exercise or performance of its powers and duties hereunder, including the costs and expenses (including attorneys’ fees) of defending against any claim of liability, but excluding liabilities due to the Dissemination Agent’s negligence or willful misconduct. The Dissemination Agent shall have no duty or obligation to review any information provided to it hereunder and shall not be deemed to be acting in any fiduciary capacity for the City, the Bond owners or any other party. The obligations of the City under this Section shall survive resignation or removal of the Dissemination Agent and payment of the Bonds. (b) The Dissemination Agent shall be paid compensation by the City for its services provided hereunder in accordance with its schedule of fees as amended from time to time, and shall be reimbursed for all expenses, legal fees and advances made or incurred by the Dissemination Agent in the performance of its duties hereunder. Attachment 5 Page 503 of 901 C-7 Section 13. Beneficiaries. This Disclosure Certificate shall inure solely to the benefit of the City, the Dissemination Agent, the Participating Underwriter and holders and beneficial owners from time to time of the Bonds, and shall create no rights in any other person or entity. Section 14. Counterparts. This Disclosure Certificate may be executed in several counterparts, each of which shall be regarded as an original, and all of which shall constitute one and the same instrument. Section 15. Governing Law. This Disclosure Certificate shall be governed by the laws of the state of California. Date: ________________, 2022 CITY OF UKIAH By Name:_____________ Title:_____________ ACCEPTED AND AGREED: NHA Advisors LLC, As Dissemination Agent By Authorized Representative Attachment 5 Page 504 of 901 D-1 APPENDIX D GENERAL INFORMATION REGARDING THE CITY OF UKIAH AND THE COUNTY OF MENDOCINO The following information concerning the County of Mendocino (the “County”) and the City of Ukiah (the “City”) is included only for the purpose of supplying general information regarding the area. The Bonds are not a debt of the County, the City, the State of California (the “State”) or any of its political subdivisions, and neither the County, the City, the State nor any of its political subdivisions is liable therefor. The City and the Underwriter take no responsibility for the accuracy or completeness of such information. General The City. The City is located in the north central area of the County, approximately 100 miles north of San Francisco and about an hour’s drive from the coastal redwoods and the Mendocino Coast. The City is the largest city in the County and is the County seat. The City was incorporated in 1876 and was the first community in the United States to utilize a Council-Manager form of government. The City Council is made up of five members who set policy and set up the City budget. The City Council appoints a Mayor, City Manager, City Treasurer, City Clerk and members of other commissions. The County. The County was created in 1850 by the State Legislature and was one of the State’s original 27 counties. Sonoma, Lake, Glenn, Tehama, Trinity and Humboldt counties all border Mendocino County on its inland side. The County spans an area of over 2 million acres, which is approximately 3500 square miles and its coastline runs about 100 miles. Coastal highways 1 and 101, running through the center of the County, are important transportation routes. Smaller country roads connect Mendocino’s five distinct regions, which are the Anderson Valley to the south, South Mendocino coast, North Mendocino coast, Northern Mendocino County and the Russian River Valley to the east. The City of Ukiah is the largest city in the County and is the County seat. The County is legislatively governed by a board of five supervisors, each with a separate district. The County has nine Indian reservations lying within its borders, the fourth most of any county in the United States (after San Diego County, California; Sandoval County, New Mexico; and Riverside County, California). Attachment 5 Page 505 of 901 D-2 Population The following table lists population estimates for the City, the County and the State for the last five years, as of January 1 each year. CITY OF UKIAH, COUNTY OF MENDOCINO, STATE OF CALIFORNIA Population Estimates Years 2017 through 2021, as of January 1 Year City of Ukiah Mendocino County State of California 2017 15,937 88,646 39,352,398 2018 16,081 88,542 39,519,535 2019 15,942 88,205 39,605,361 2020 15,951 87,708 39,648,938 2021 15,526 86,669 39,466,855 Source: California Department of Finance, Demographic Research Unit. Remainder of page intentionally left blank] Attachment 5 Page 506 of 901 D-3 Industry and Employment The following table shows the unemployment rate in Mendocino County for the years shown. MENDOCINO COUNTY Civilian Labor Force, Employment and Unemployment Calendar Years 2016 through 2020 (March 2020 benchmark) 2016 2017 2018 2019 2020 Civilian Labor Force (1) 39,620 39,560 39,460 38,650 37,020 Employment 37,520 37,760 37,870 37,090 33,720 Unemployment 2,100 1,800 1,590 1,560 3,290 Unemployment Rate 5.3% 4.5% 4.0% 4.0% 8.9% Wage and Salary Employment:(2) Agriculture 1,360 1,380 1,450 1,460 1,410 Mining and Logging 300 330 310 290 270 Construction 1,060 1,220 1,380 1,390 1,320 Manufacturing 2,550 2,540 2,470 2,430 2,360 Wholesale Trade 740 840 810 740 700 Retail Trade 4,730 4,760 4,820 4,810 4,480 Transportation, Warehousing, Utilities 710 710 730 720 840 Information 250 230 230 210 170 Financial Activities 1,050 1,060 1,070 1,050 980 Professional and Business Services 1,670 1,670 1,790 1,860 1,800 Educational and Health Services 5,580 5,750 5,780 5,840 5,530 Leisure and Hospitality 4,410 4,410 4,490 4,360 3,200 Other Services 790 810 810 750 700 Federal Government 280 270 270 270 290 State Government 570 560 580 600 640 Local Government 6,400 6,400 6,320 6,310 5,740 Total all Industries (3) 32,440 32,950 33,290 33,100 30,390 (1) Labor force data is by place of residence; includes self-employed individuals, unpaid family workers, household domestic workers, and workers on strike. (2) Industry employment is by place of work; excludes self-employed individuals, unpaid family workers, household domestic workers, and workers on strike. (3) Columns may not sum to totals due to rounding. Source: State of California Employment Development Department. [Remainder of page intentionally left blank] Attachment 5 Page 507 of 901 D-4 Principal Employers The following table lists the principal employers within the City for fiscal year 2019-20. CITY OF UKIAH Principal Employers Fiscal Year 2019-20 Employer Name No. of Employees Adventist Health Ukiah Valley 500-999 City of Ukiah 100-249 Costco Wholesale 100-249 County of Mendocino 1,000-1,250 Dharma Realm Buddhist Association 100-249 Mendocino Community Health 250-499 Mendocino County Office of Education 100-249 Pacific Coast Farm Credit 100-249 Ukiah Valley Medical Center 500-999 Walmart 100-249 Source: City of Ukiah. [Remainder of page intentionally left blank] Attachment 5 Page 508 of 901 D-5 The following table lists, in alphabetical order, the largest manufacturing and non- manufacturing employers within the County as of October 2021. COUNTY OF MENDOCINO Major Employers As of October 2021 (In Alphabetical Order) Employer Name Location Industry Adventist Health Howard Meml Willits Hospitals Adventist Health Mendocino Cst Fort Bragg Hospitals Adventist Health Ukiah Vly Ukiah Outpatient Services California Department-Forestry Willits Government Offices-State Costco Wholesale Ukiah Wholesale Clubs Coyote Valley Casino Redwood Valley Casinos Dharma Realm Buddhist Assn Ukiah Associations Fetzer Vineyards Hopland Wineries (mfrs) Georgia-Pacific Corp Fort Bragg Sawmills (mfrs) Little River Inn Little River Golf Courses Mendocino Community Health Ukiah Clinics Mendocino County Food Stamps Ukiah Government Offices-County Mendocino County Office of Edu Ukiah Boards of Education Mendocino County Sheriff Point Arena Government Offices-County Mendocino County Social Svc Ukiah Government Offices-County Mendocino Redwood Co LLC Calpella Restaurants Metalfx Inc Willits Sheet Metal Fabricators (mfrs) Oak Point Ranch Potter Valley Vineyards Pacific Coast Farm Credit Ukiah Loans-Agricultural Safeway Fort Bragg Grocers-Retail Sawmill Ukiah Sawmills & Planing Mills-General (mfrs) Ukiah City Civic Ctr Ukiah Government Offices-City/Village & Twp Ukiah High School Ukiah Schools Ukiah Valley Medical Ctr Ukiah Hospitals Walmart Ukiah Department Stores Source: State of California Employment Development Department, extracted from The America’s Labor Market Information System (ALMIS) Employer Database, 2022 1st edition. [Remainder of page intentionally left blank] Attachment 5 Page 509 of 901 D-6 Effective Buying Income “Effective Buying Income” is defined as personal income less personal tax and nontax payments, a number often referred to as “disposable” or “after-tax” income. Personal income is the aggregate of wages and salaries, other labor-related income (such as employer contributions to private pension funds), proprietor’s income, rental income (which includes imputed rental income of owner-occupants of non-farm dwellings), dividends paid by corporations, interest income from all sources, and transfer payments (such as pensions and welfare assistance). Deducted from this total are personal taxes (federal, state and local), nontax payments (fines, fees, penalties, etc.) and personal contributions to social insurance. According to U.S. government definitions, the resultant figure is commonly known as “disposable personal income.” The following table summarizes the total effective buying income for the City, the County, the State, and the United States for the period 2018 through 2022. CITY OF UKIAH, MENDOCINO COUNTY, STATE OF CALIFORNIA AND UNITED STATES EFFECTIVE BUYING INCOME As of January 1, 2018 through 2022 Year Area Total Effective Buying Income (000’s Omitted) Median Household Effective Buying Income 2018 City of Ukiah $304,459 $37,984 Mendocino County 1,833,429 40,496 California 1,113,648,181 59,646 United States 8,640,770,229 50,735 2019 City of Ukiah $341,372 $39,976 Mendocino County 1,958,994 42,231 California 1,183,264,399 62,637 United States 9,017,967,563 52,841 2020 City of Ukiah $412,016 $47,335 Mendocino County 2,374,052 48,768 California 1,243,564,816 65,870 United States 9,487,165,436 55,303 2021 City of Ukiah $366,626 $45,764 Mendocino County 2,149,946 46,801 California 1,290,894,604 67,956 United States 9,809,944,764 56,790 2022 City of Ukiah $416,520 $55,457 Mendocino County 2,538,336 55,971 California 1,452,426,153 77,058 United States 11,208,582,541 64,448 Source: The Nielsen Company (US), Inc for year 2018; Claritas, LLC for 2019 through 2022. Attachment 5 Page 510 of 901 D-7 Commercial Activity A summary of historic taxable sales within the City and the County during the past five years in which data is available is shown in the following tables. Total taxable sales during the first quarter of calendar year 2021 in the City were reported to be $143,482,524, a 13.16% increase over the total taxable sales of $126,801,383 reported during the first quarter of calendar year 2020. CITY OF UKIAH Taxable Retail Sales Number of Permits and Valuation of Taxable Transactions Calendar Years 2016 through 2020 (Dollars in Thousands) Retail Stores Total All Outlets Number of Permits Taxable Transactions Number of Permits Taxable Transactions 2016 478 $415,019 775 $467,938 2017 469 413,944 774 465,072 2018 457 432,223 803 485,110 2019 455 491,185 807 548,622 2020 461 520,425 814 582,571 Source: State Department of Tax and Fee Administration. Total taxable sales during the first quarter of calendar year 2021 in the County were reported to be $434,304,382, a 20.66% increase over the total taxable sales of $359,950,406 reported during the first quarter of calendar year 2020. COUNTY OF MENDOCINO Taxable Retail Sales Number of Permits and Valuation of Taxable Transactions Calendar Years 2016 through 2020 (Dollars in Thousands) Retail Stores Total All Outlets Number of Permits Taxable Transactions Number of Permits Taxable Transactions 2016 2,489 $1,075,436 4,145 $1,424,943 2017 2,529 1,111,403 4,460 1,467,165 2018 2,492 1,150,832 4,796 1,490,850 2019 2,472 1,245,092 5,046 1,602,968 2020 2,567 1,350,609 5,232 1,728,692 Source: State Department of Tax and Fee Administration. Attachment 5 Page 511 of 901 D-8 Construction Activity Construction activity in the City and the County for the past five years for which data is available is shown in the following tables. CITY OF UKIAH Building Permit Valuation For Calendar Years 2016 through 2020 (Dollars in Thousands)(1) 2016 2017 2018 2019 2020 Permit Valuation New Single-family $2,230.4 $3,582.6 $4,794.6 $2,054.1 $2,340.8 New Multi-family 8,400.0 0.0 0.0 0.0 3,526.4 Res. Alterations/Additions 850.3 1,133.6 10,268.4 627.8 991.5 Total Residential 11,480.7 4,716.2 15,063.0 2,681.9 6,858.7 New Commercial 654.0 3,403.7 5,699.5 331.6 1,973.3 New Industrial 78.2 0.0 0.0 14.6 0.0 New Other 667.0 505.1 1,877.1 244.9 700.0 Com. Alterations/Additions 726.4 726.8 845.0 608.0 613.1 Total Nonresidential 2,125.6 4,635.6 8,421.6 1,199.1 3,286.4 New Dwelling Units Single Family 13 16 25 11 9 Multiple Family 48 0 0 0 240 TOTAL 61 16 25 11 249 (1) Totals may not foot due to rounding. Source: Construction Industry Research Board, Building Permit Summary. MENDOCINO COUNTY Building Permit Valuation For Calendar Years 2016 through 2020 (Dollars in Thousands)(1) 2016 2017 2018 2019 2020 Permit Valuation New Single-family $11,628.5 $17,779.4 $29,034.7 $22,296.2 $20,148.2 New Multi-family 8,400.0 224.9 0.0 1,630.7 3,526.4 Res. Alterations/Additions 10,523.7 7,241.9 985.7 9,095.0 9,570.8 Total Residential 30,552.2 25,246.2 39,303.1 33,021.9 33,245.4 New Commercial 3,937.5 14,404.3 4,248.8 17,698.1 20,058.6 New Industrial 78.2 775.3 5.0 14.6 20,158.6 New Other 4,008.9 2,859.7 20,105.1 5,738.3 4,898.0 Com. Alterations/Additions 6,652.3 2,240.8 7,387.6 8,771.3 5,546.0 Total Nonresidential 14,676.9 20,280.1 31,746.5 32,222.3 50,661.2 New Dwelling Units Single Family 70 91 157 137 102 Multiple Family 48 2 0 8 240 TOTAL 118 93 157 145 342 (1) Totals may not foot due to rounding. Source: Construction Industry Research Board, Building Permit Summary. Attachment 5 Page 512 of 901 E-1 APPENDIX E PROPOSED FORM OF BOND COUNSEL OPINION [Closing Date] Board of Directors of the Ukiah Public Financing Authority 300 Seminary Avenue Ukiah, California 95482 OPINION: $_____________Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 Members of the Board: We have acted as bond counsel to the Ukiah Public Financing Authority (the “Authority”) in connection with the issuance by the Authority of its Electric Revenue Bonds, Series 2022 (the “Bonds”) in the aggregate principal amount of $_______________, pursuant to the provisions of the Marks-Roos Local Bond Pooling Act of 1985 (commencing with Section 6584 of the California Government Code) and an Indenture of Trust, dated as of March 1, 2022 (the “Indenture”), between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Bonds are secured by Revenues, as such term is defined in the Indenture, including certain installment payments made by the City of Ukiah (the “City”) under an Installment Sale Agreement, dated as of March 1, 2022 (the “Installment Sale Agreement”) between the Authority and the City. We have examined the law and such certified proceedings and other papers as we deem necessary to render this opinion. As to questions of fact material to our opinion, we have relied upon representations of the Authority and the City contained in the Indenture and the Installment Sale Agreement, and in the certified proceedings and certifications of public officials and others furnished to us, without undertaking to verify such facts by independent investigation. Based upon the foregoing, we are of the opinion, under existing law, that: 1. The Authority is a joint exercise of powers authority duly organized and existing under the laws of the State of California, with power to enter into the Indenture, to perform the agreements on its part contained therein and to issue the Bonds. 2. The Bonds constitute legal, valid and binding special obligations of the Authority enforceable in accordance with their terms and payable solely from the sources provided therefor in the Indenture. 3. The Indenture has been duly authorized, executed and delivered by the Authority, and constitutes a legal, valid and binding obligation of the Authority enforceable against the Attachment 5 Page 513 of 901 E-2 Authority in accordance with its terms. The Indenture creates a valid pledge to secure the payment of the principal of, and interest on, the Bonds of the Revenues and the other amounts held by the Trustee in certain funds or accounts established pursuant to the Indenture securing the Bonds, subject to the provisions of the Indenture permitting the application thereof for the purposes and on the terms and conditions set forth therein. 4. The City is a municipal corporation and general law city duly organized and existing under the laws of the State of California, with power to enter into the Installment Sale Agreement and to perform the agreements on its part contained therein. The Installment Sale Agreement has been duly authorized, executed and delivered by the City, and constitutes a legal, valid and binding obligation of the City enforceable against the City in accordance with its terms. 5. The interest on the Bonds is excluded from gross income for federal income tax purposes and is not an item of tax preference for purposes of the federal alternative minimum tax. The opinions set forth in the preceding sentence are subject to the condition that the Authority comply with all requirements of the Internal Revenue Code of 1986 that must be satisfied subsequent to the issuance of the Bonds in order that interest thereon be, or continue to be, excluded from gross income for federal income tax purposes. The Authority has covenanted to comply with each such requirement. Failure to comply with certain of such requirements may cause the inclusion of interest on the Bonds in gross income for federal income tax purposes to be retroactive to the date of issuance of the Bonds. We express no opinion regarding other federal tax consequences arising with respect to the ownership, sale or disposition of the Bonds, or the amount, accrual or receipt of interest on the Bonds. 6. The interest on the Bonds is exempt from personal income taxation imposed by the State of California. We express no opinion regarding any other tax consequences arising with respect to the ownership, sale or disposition of, or the amount, accrual or receipt of interest on, the Bonds. The rights of the owners of the Bonds and the enforceability of the Bonds are limited by bankruptcy, insolvency, reorganization, moratorium and other similar laws affecting creditors’ rights generally, and by equitable principles, whether considered at law or in equity. This opinion is given as of the date hereof, and we assume no obligation to revise or supplement this opinion to reflect any facts or circumstances that may hereafter come to our attention, or any changes in law that may hereafter occur. Our engagement with respect to this matter has terminated as of the date hereof. Respectfully submitted, A Professional Law Corporation Attachment 5 Page 514 of 901 F-1 APPENDIX F DTC AND THE BOOK-ENTRY ONLY SYSTEM The following description of the Depository Trust Company (“DTC”), the procedures and record keeping with respect to beneficial ownership interests in the Bonds, payment of principal, interest and other payments on the Bonds to DTC Participants or Beneficial Owners, confirmation and transfer of beneficial ownership interest in the Bonds and other related transactions by and between DTC, the DTC Participants and the Beneficial Owners is based solely on information provided by DTC. Accordingly, no representations can be made concerning these matters and neither the DTC Participants nor the Beneficial Owners should rely on the foregoing information with respect to such matters, but should instead confirm the same with DTC or the DTC Participants, as the case may be. Neither the issuer of the Bonds (the “Issuer”) nor the trustee, fiscal agent or paying agent appointed with respect to the Bonds (the “Agent”) take any responsibility for the information contained in this Appendix. No assurances can be given that DTC, DTC Participants or Indirect Participants will distribute to the Beneficial Owners (a) payments of interest, principal or premium, if any, with respect to the Bonds, (b) certificates representing ownership interest in or other confirmation or ownership interest in the Bonds, or (c) redemption or other notices sent to DTC or Cede & Co., its nominee, as the registered owner of the Bonds, or that they will so do on a timely basis, or that DTC, DTC Participants or DTC Indirect Participants will act in the manner described in this Appendix. The current “Rules” applicable to DTC are on file with the Securities and Exchange Commission and the current “Procedures” of DTC to be followed in dealing with DTC Participants are on file with DTC. 1. The Depository Trust Company (“DTC”), New York, NY, will act as securities depository for the Bonds (the “Securities”). The Securities will be issued as fully-registered securities registered in the name of Cede & Co. (DTC’s partnership nominee) or such other name as may be requested by an authorized representative of DTC. One fully-registered Security certificate will be issued for each maturity of the Securities in the aggregate principal amount of such maturity, and will be deposited with DTC. If, however, the aggregate principal amount of any issue exceeds $500 million, one certificate will be issued with respect to each $500 million of principal amount, and an additional certificate will be issued with respect to any remaining principal amount of such issue. 2. DTC, the world’s largest securities depository, is a limited-purpose trust company organized under the New York Banking Law, a “banking organization” within the meaning of the New York Banking Law, a member of the Federal Reserve System, a “clearing corporation” within the meaning of the New York Uniform Commercial Code, and a “clearing agency” registered pursuant to the provisions of Section 17A of the Securities Exchange Act of 1934. DTC holds and provides asset servicing for over 3.5 million issues of U.S. and non-U.S. equity issues, corporate and municipal debt issues, and money market instruments (from over 100 countries) that DTC’s participants (“Direct Participants”) deposit with DTC. DTC also facilitates the post- trade settlement among Direct Participants of sales and other securities transactions in deposited securities, through electronic computerized book-entry transfers and pledges between Direct Participants’ accounts. This eliminates the need for physical movement of securities certificates. Direct Participants include both U.S. and non-U.S. securities brokers and dealers, banks, trust companies, clearing corporations, and certain other organizations. DTC is a wholly-owned Attachment 5 Page 515 of 901 F-2 subsidiary of The Depository Trust & Clearing Corporation (“DTCC”). DTCC is the holding company for DTC, National Securities Clearing Corporation and Fixed Income Clearing Corporation, all of which are registered clearing agencies. DTCC is owned by the users of its regulated subsidiaries. Access to the DTC system is also available to others such as both U.S. and non-U.S. securities brokers and dealers, banks, trust companies, and clearing corporations that clear through or maintain a custodial relationship with a Direct Participant, either directly or indirectly (“Indirect Participants”). DTC is rated “AA+” by Standard & Poor’s. The DTC Rules applicable to its Participants are on file with the Securities and Exchange Commission. More information about DTC can be found at www.dtcc.com. 3. Purchases of Securities under the DTC system must be made by or through Direct Participants, which will receive a credit for the Securities on DTC’s records. The ownership interest of each actual purchaser of each Security (“Beneficial Owner”) is in turn to be recorded on the Direct and Indirect Participants’ records. Beneficial Owners will not receive written confirmation from DTC of their purchase. Beneficial Owners are, however, expected to receive written confirmations providing details of the transaction, as well as periodic statements of their holdings, from the Direct or Indirect Participant through which the Beneficial Owner entered into the transaction. Transfers of ownership interests in the Securities are to be accomplished by entries made on the books of Direct and Indirect Participants acting on behalf of Beneficial Owners. Beneficial Owners will not receive certificates representing their ownership interests in Securities, except in the event that use of the book-entry system for the Securities is discontinued. 4. To facilitate subsequent transfers, all Securities deposited by Direct Participants with DTC are registered in the name of DTC’s partnership nominee, Cede & Co., or such other name as may be requested by an authorized representative of DTC. The deposit of Securities with DTC and their registration in the name of Cede & Co. or such other DTC nominee do not effect any change in beneficial ownership. DTC has no knowledge of the actual Beneficial Owners of the Securities; DTC’s records reflect only the identity of the Direct Participants to whose accounts such Securities are credited, which may or may not be the Beneficial Owners. The Direct and Indirect Participants will remain responsible for keeping account of their holdings on behalf of their customers. 5. Conveyance of notices and other communications by DTC to Direct Participants, by Direct Participants to Indirect Participants, and by Direct Participants and Indirect Participants to Beneficial Owners will be governed by arrangements among them, subject to any statutory or regulatory requirements as may be in effect from time to time. Beneficial Owners of Securities may wish to take certain steps to augment the transmission to them of notices of significant events with respect to the Securities, such as redemptions, tenders, defaults, and proposed amendments to the Security documents. For example, Beneficial Owners of Securities may wish to ascertain that the nominee holding the Securities for their benefit has agreed to obtain and transmit notices to Beneficial Owners. In the alternative, Beneficial Owners may wish to provide their names and addresses to the registrar and request that copies of notices be provided directly to them. 6. Redemption notices will be sent to DTC. If less than all of the Securities within a maturity are being redeemed, DTC’s practice is to determine by lot the amount of the interest of each Direct Participant in such maturity to be redeemed. 7. Neither DTC nor Cede & Co. (nor any other DTC nominee) will consent or vote with respect to Securities unless authorized by a Direct Participant in accordance with DTC’s MMI Procedures. Under its usual procedures, DTC mails an Omnibus Proxy to the Authority as soon as possible after the record date. The Omnibus Proxy assigns Cede & Co.’s consenting or voting Attachment 5 Page 516 of 901 F-3 rights to those Direct Participants to whose accounts Securities are credited on the record date (identified in a listing attached to the Omnibus Proxy). 8. Principal, redemption price and interest payments on the Securities will be made to Cede & Co., or such other nominee as may be requested by an authorized representative of DTC. DTC’s practice is to credit Direct Participants’ accounts upon DTC’s receipt of funds and corresponding detail information from the Authority or the Paying Agent, on payable date in accordance with their respective holdings shown on DTC’s records. Payments by Participants to Beneficial Owners will be governed by standing instructions and customary practices, as is the case with securities held for the accounts of customers in bearer form or registered in “street name,” and will be the responsibility of such Participant and not of DTC, the Agent, or the Issuer, subject to any statutory or regulatory requirements as may be in effect from time to time. Payment of principal, redemption price and interest payments to Cede & Co. (or such other nominee as may be requested by an authorized representative of DTC) is the responsibility of the Issuer or the Agent, disbursement of such payments to Direct Participants will be the responsibility of DTC, and disbursement of such payments to the Beneficial Owners will be the responsibility of Direct and Indirect Participants. 9. If applicable, a Beneficial Owner will give notice to elect to have its Securities purchased or tendered, through its Participant, to tender/remarketing agent, and will effect delivery of such Securities by causing the Direct Participant to transfer the Participant’s interest in the Securities, on DTC’s records, to tender/remarketing agent. The requirement for physical delivery of Securities in connection with an optional tender or a mandatory purchase will be deemed satisfied when the ownership rights in the Securities are transferred by Direct Participants on DTC’s records and followed by a book-entry credit of tendered Securities to tender/remarketing agent’s DTC account. 10. DTC may discontinue providing its services as depository with respect to the Securities at any time by giving reasonable notice to the Issuer or the Agent. Under such circumstances, in the event that a successor depository is not obtained, Security certificates are required to be printed and delivered. 11. The Issuer may decide to discontinue use of the system of book-entry-only transfers through DTC (or a successor securities depository). In that event, Security certificates will be printed and delivered to DTC. Attachment 5 Page 517 of 901 4810-6766-7665.8 NP DRAFT 2/9 Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 ________, 2022 CONTRACT OF PURCHASE City of Ukiah 300 Seminary Avenue Ukiah, CA 95482 Attention: City Manager Ukiah Public Financing Authority 300 Seminary Avenue Ukiah, CA 95482 Attention: Executive Director Ladies and Gentlemen: RBC Capital Markets, LLC (the “Underwriter”) acting on behalf of itself and not as an agent or representative of you, offers to enter into this purchase contract (the “Purchase Contract”) with the City of Ukiah (the “City”) and the Ukiah Public Financing Authority (the “Authority”), which will be binding upon the City, the Authority and the Underwriter upon the acceptance hereof by the City and the Authority. This offer is made subject to its acceptance by the City and the Authority by execution of this Purchase Contract and its delivery to the Underwriter, on or before 8:00 p.m., California time, on the date hereof. All terms used herein and not otherwise defined shall have the meanings given to such terms in the Official Statement, the Indenture, and the Installment Purchase Agreement (as such terms are hereafter defined). 1.Purchase and Sale. Upon the terms and conditions and upon the basis of the representations, warranties and agreements hereinafter set forth, the Underwriter hereby agrees to purchase, and the Authority hereby agrees to cause to be delivered to the Underwriter, all (but not less than all) of $__________ aggregate principal amount of the Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 (the “Series 2022 Bonds”). The Series 2022 Bonds will mature in the amounts and on the dates and bear interest at the rates set forth on Exhibit A hereto. The Underwriter will purchase the Series 2022 Bonds for the aggregate purchase price of $________ (representing the aggregate principal amount of the Series 2022 Bonds plus a reoffering premium of $________ and less an underwriting discount of $_________). 2.Description and Purpose of the Series 2022 Bonds. The Series 2022 Bonds shall be executed and delivered pursuant to an Indenture of Trust dated as of __________, 2022 (the “Indenture”) by and between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee (“BONY”). The Series 2022 Bonds are special limited obligations of the Authority Attachment 6 Page 518 of 901 4810-6766-7665.8 2 and are payable solely from the revenues and from certain other amounts on deposit in funds and accounts as described in the Indenture. Such revenues will consist primarily of amounts received by the Authority (the “Installment Payments”) pursuant to the Installment Purchase Agreement dated as of _________, 2022 (the “Installment Purchase Agreement”), between the Authority and the City and all interest or gain derived from the investment of amounts in any of the funds or accounts established under the Indenture. The Series 2022 Bonds shall be as described in the Indenture and the Official Statement dated _________, 2022, relating to the Series 2022 Bonds (which, together with all exhibits and appendices included therein or attached thereto and such amendments or supplements thereto which shall be approved by the Underwriter, is hereinafter called the “Official Statement”). The Series 2022 Bonds are being issued to (i) finance improvements to the Electric System of the City, and (ii) pay certain costs incurred in connection with the issuance of the Bonds. 3. Public Offering. The Underwriter agrees to make an initial bona fide public offering of all the Series 2022 Bonds at the public offering prices set forth on the inside cover page of the Official Statement. Subsequent to the initial public offering, the Underwriter reserves the right to change the initial public offering prices as it deems necessary in connection with the marketing of the Series 2022 Bonds, provided that the Underwriter shall not change the interest rates set forth on Exhibit A hereto. The Underwriter may offer and sell the Series 2022 Bonds to certain dealers (including dealers depositing the Series 2022 Bonds into investment trusts) and others at prices lower than initial public offering prices. The Underwriter also reserves the right (i) to engage in transactions that stabilize, maintain or otherwise affect the market price of the Series 2022 Bonds at a level above that which might otherwise prevail in the open market and (ii) to discontinue such transactions, if commenced, at any time. 4. Establishment of Issue Price. (a) The Underwriter agrees to assist the Authority in establishing the issue price of the Series 2022 Bonds and shall execute and deliver to the Authority at Closing (as defined herein) an “issue price” or similar certificate, together with the supporting pricing wires or equivalent communications, substantially in the form attached hereto as Exhibit F, with such modifications as may be appropriate or necessary, in the reasonable judgment of the Underwriter, the Authority and Bond Counsel, to accurately reflect, as applicable, the sales price or prices or the initial offering price or prices to the public of the Series 2022 Bonds. (b) [Except as otherwise set forth in Exhibit A attached hereto,] [T][t]he Authority will treat the first price at which 10% of each maturity of the Series 2022 Bonds (the “10% test”) is sold to the public as the issue price of that maturity (if different interest rates apply within a maturity, each separate CUSIP number within that maturity will be subject to the 10% test). Exhibit A attached hereto sets forth the maturities of the Series 2022 Bonds for which the 10% test has been satisfied as of the date of this Purchase Contract (the “General Rule Maturities”) and the prices at which the Underwriter has sold such General Rule Maturities to the public. Attachment 6 Page 519 of 901 4810-6766-7665.8 3 (c) The Underwriter confirms that: any selling group agreement and any third- party distribution agreement (to which the Underwriter is a party) relating to the initial sale of the Series 2022 Bonds to the public, together with the related pricing wires, contains or will contain language obligating each dealer who is a member of the selling group and each broker-dealer that is a party to such third-party distribution agreement, as applicable: (i) to report the prices at which it sells to the public the unsold Series 2022 Bonds of each maturity allocated to it, whether or not the Closing Date (as defined herein) has occurred, until either all Series 2022 Bonds of that maturity allocated to it have been sold or it is notified by the Underwriter that the 10% test has been satisfied as to the Series 2022 Bonds of that maturity, provided that, the reporting obligation after the Closing Date may be at reasonable periodic intervals or otherwise upon request of the Underwriter, and (ii) to comply with the hold-the- offering-price rule, if applicable, if and for so long as directed by the Underwriter and as set forth in the related pricing wires, (ii) to promptly notify the Underwriter of any sales of Series 2022 Bonds that, to its knowledge, are made to a purchaser who is a related party to an underwriter participating in the initial sale of the Series 2022 Bonds to the public (each such term being used as defined below), (iii) to acknowledge that, unless otherwise advised by the underwriter, dealer or broker-dealer, the Underwriter shall assume that each order submitted by the underwriter, dealer or broker-dealer is a sale to the public.(D)any selling group agreement relating to the initial sale of the Series 2022 Bonds to the public, together with the related pricing wires, contains or will contain language obligating each dealer that is a party to a third-party distribution agreement to be employed in connection with the initial sale of the Series 2022 Bonds to the public to require each broker-dealer that is a party to such third-party distribution agreement to (A) report the prices at which it sells to the public the unsold Series 2022 Bonds of each maturity allocated to it, whether or not the Closing Date has occurred, until either all Series 2022 Bonds of that maturity allocated to it have been sold or it is notified by the Underwriter or such underwriter or dealer that the 10% test has been satisfied as to the Series 2022 Bonds of that maturity, provided that, the reporting obligation after the Closing Date may be at reasonable periodic intervals or otherwise upon request of the Underwriter or such underwriter or dealer, and (B) comply with the hold-the-offering-price rule, if applicable, if and for so long as directed by the Underwriter or the underwriter or the dealer and as set forth in the related pricing wires. (d) The Authority acknowledges that, in making the representations set forth in this subsection, the Underwriter will rely on (i) in the event a selling group has been created in connection with the initial sale of the Series 2022 Bonds to the public, the agreement of each dealer who is a member of the selling group to comply with the requirements for establishing issue price of the Series 2022 Bonds, including, but not limited to, its agreement to comply with the hold-the-offering-price rule, if applicable to the Series 2022 Bonds, as set forth in a selling group agreement and the related pricing wires, and (ii) in Attachment 6 Page 520 of 901 4810-6766-7665.8 4 the event that a third-party distribution agreement was employed in connection with the initial sale of the Series 2022 Bonds to the public, the agreement of each broker-dealer that is a party to such agreement to comply with the requirements for establishing the issue price of the Series 2022 Bonds, including, but not limited to, its agreement to comply with the hold-the-offering-price rule, if applicable to the Series 2022 Bonds, as set forth in the third-party distribution agreement and the related pricing wires. The Authority further acknowledges that the Underwriter shall not be liable for the failure of any dealer who is a member of a selling group, or of any broker-dealer that is a party to a third-party distribution agreement, to comply with its corresponding agreement to comply with the requirements for establishing issue price of the Series 2022 Bonds, including, but not limited to, its agreement to comply with the hold-the-offering-price rule, if applicable to the Series 2022 Bonds. (e) The Underwriter acknowledges that sales of any Series 2022 Bonds to any person that is a related party to an underwriter participating in the initial sale of the Series 2022 Bonds to the public (each such term being used as defined below) shall not constitute sales to the public for purposes of this section. Further, for purposes of this section: (i) “public” means any person other than an underwriter or a related party, (ii) “underwriter” means (A) any person that agrees pursuant to a written contract with the Authority (or with the Underwriter to form an underwriting syndicate) to participate in the initial sale of the Series 2022 Bonds to the public and (B) any person that agrees pursuant to a written contract directly or indirectly with a person described in clause (A) to participate in the initial sale of the Series 2022 Bonds to the public (including a member of a selling group or a party to a third-party distribution agreement participating in the initial sale of the Series 2022 Bonds to the public), (iii) a purchaser of any of the Series 2022 Bonds is a “related party” to an underwriter if the underwriter and the purchaser are subject, directly or indirectly, to (A) more than 50% common ownership of the voting power or the total value of their stock, if both entities are corporations (including direct ownership by one corporation of another), (B) more than 50% common ownership of their capital interests or profits interests, if both entities are partnerships (including direct ownership by one partnership of another), or (C) more than 50% common ownership of the value of the outstanding stock of the corporation or the capital interests or profit interests of the partnership, as applicable, if one entity is a corporation and the other entity is a partnership (including direct ownership of the applicable stock or interests by one entity of the other), and (iv) “sale date” means the date of execution of this Purchase Contract by all parties. 5. Delivery of Official Statement. Pursuant to the authorization of the Authority and the City, the Underwriter has distributed copies of the Preliminary Official Statement dated Attachment 6 Page 521 of 901 4810-6766-7665.8 5 ________, 2022, relating to the Series 2022 Bonds, which, together with the cover page and appendices thereto, is herein called the “Preliminary Official Statement.” By their execution of this Purchase Contract, the Authority hereby approves and ratifies the distribution and use by the Underwriter of the Preliminary Official Statement (other than the section entitled “THE CITY” and Appendix A to the Preliminary Official Statement) and the City hereby approves and ratifies the distribution and use by the Underwriter of the section entitled “THE CITY” and Appendix A to the Preliminary Official Statement (the “City Portion”). The Authority agrees to execute and deliver a final Official Statement in substantially the same form as the Preliminary Official Statement with such changes as may be made thereto with the consent of the Authority and/or the City and the Underwriter, as appropriate, and to provide copies thereof to the Underwriter as set forth in Paragraph 7(a)(xiv) hereof. The City and the Authority hereby authorize the Underwriter to use and distribute, in connection with the offer and sale of the Series 2022 Bonds: the Preliminary Official Statement, the Official Statement, the Indenture, the Installment Purchase Agreement, the Continuing Disclosure Certificate (as hereinafter defined), and other documents or contracts to which the City or the Authority is a party in connection with the transactions contemplated by this Purchase Contract, including this Purchase Contract and all information contained herein, and all other documents, certificates and statements furnished by the City or the Authority to the Underwriter in connection with the transactions contemplated by this Purchase Contract. 6. The Closing. At 8:00 a.m., California time, on _________, 2022, or at such other time or on such earlier or later business day as shall have been mutually agreed upon by the City, the Authority and the Underwriter, the Authority will cause to be executed and delivered (i) the Series 2022 Bonds in book-entry form through the facilities of The Depository Trust Company, or its agent, on behalf of the Underwriter, and (ii) the closing documents hereinafter mentioned at the offices of Jones Hall, A Professional Law Corporation (“Bond Counsel”) in San Francisco, California or another place to be mutually agreed upon by the City, the Authority and the Underwriter. The Underwriter will accept such delivery of the Series 2022 Bonds and pay the purchase price of such Series 2022 Bonds as set forth in Section 1 hereof in immediately available funds to the order of the City. This payment for and delivery of the Series 2022 Bonds, together with the execution and delivery of the aforementioned documents, is herein called the “Closing.” 7. (a) City Representations, Warranties and Covenants. The City represents, warrants and covenants to the Underwriter that: (i) Due Organization, Existence and Authority. The City is duly organized and existing under the Constitution and laws of the State of California (the “State”), with full right, power and authority to execute, deliver and perform its obligations under this Purchase Contract, the Installment Purchase Agreement and the Continuing Disclosure Certificate (collectively, the “City Documents”) and to carry out and consummate the transactions contemplated by the City Documents and the City Portion of the Preliminary Official Statement and the Official Statement. (ii) Due Authorization and Approval. By all necessary official action of the City, the City has duly authorized and approved the delivery of and the performance by the City of the obligations contained or described in the City Portion of the Preliminary Official Statement and the City Portion of the Official Statement and the execution and delivery of and the Attachment 6 Page 522 of 901 4810-6766-7665.8 6 performance by the City of the obligations contained or described in the City Documents, and as of the date hereof, such authorizations and approvals are in full force and effect and have not been amended, modified or rescinded. When executed and delivered, and assuming the authorization, execution and delivery by the other parties thereto, each City Document will constitute the legally valid and binding obligation of the City enforceable in accordance with its terms, except as enforcement may be limited by bankruptcy, insolvency, reorganization, moratorium, fraudulent conveyance or similar laws or equitable principles relating to or affecting creditors’ rights generally or by the exercise of judicial discretion in appropriate cases or by limitations on legal remedies against public agencies in the State. (iii) City Portion of Official Statement Accurate and Complete. The City Portion of the Preliminary Official Statement was as of its date, and the City Portion of the Official Statement is, and at all times subsequent to the date of the Official Statement up to and including the Closing will be, true and correct in all material respects, and the City Portion of the Preliminary Official Statement contained as of its date and as of the date hereof and the City Portion of the Official Statement contains, and up to and including the Closing, will contain no misstatement of any material fact and do not, and up to and including the Closing, will not omit any statement necessary to make the statements contained therein, in the light of the circumstances in which such statements were made, not misleading (except no representation is made with respect to information relating to [the Insurer, the Policy, or the Surety Bonds, or information relating to DTC or DTC’s book-entry system or any information provided by the Underwriter for inclusion in the Preliminary Official Statement or the Official Statement, including but not limited to the information contained under the caption “Underwriting” (collectively, the “Excluded Information”). All financial projections for future fiscal years included in the Official Statement are developed using assumptions and opinions, and shall not be considered an expectation of performance or an actual outcome of the financial characteristic of the City. (iv) Underwriter’s Consent to Amendments and Supplements to City Portion of the Official Statement. The City will advise the Underwriter promptly of any proposal to amend or supplement the City Portion of the Official Statement and will not effect or consent to any such amendment or supplement without the consent of the Underwriter, which consent will not be unreasonably withheld. The City will advise the Underwriter promptly of the institution of any proceedings known to it by any governmental agency prohibiting or otherwise affecting the use of the City Portion of the Official Statement in connection with the offering, sale or distribution of the Series 2022 Bonds. (v) City Agreement to Amend or Supplement City Portion of the Official Statement. If after the date of this Purchase Contract and until 25 days after the end of the “underwriting period” (as defined in Section 240 15c2-12 in Chapter II of Title 17 of the Code of Federal Regulations (“Rule 15c2-12”)), any event occurs as a result of which the City Portion of the Official Statement as then amended or supplemented would include an untrue statement of a material fact, or omit to state any material fact necessary in order to make the statements contained therein, in the light of the circumstances under which they were made, not misleading, and, in the reasonable opinion of the Underwriter, an amended or supplemented City Portion of the Official Statement should be delivered in connection with the offers or sales of the Series 2022 Bonds to reflect such event, the City promptly will prepare at its expense an amendment or supplement which will correct such statement or omission and the City shall promptly furnish to the Attachment 6 Page 523 of 901 4810-6766-7665.8 7 Underwriter a reasonable number of copies of such amendment or supplement. The Underwriter hereby agrees to deposit the Official Statement with the Municipal Securities Rulemaking Board (the “MSRB”). The Underwriter acknowledges that the end of the “underwriting period” will be the date of Closing, unless the Underwriter otherwise informs the City in writing on or prior to the date of Closing. (vi) No Material Change in Finances. Except as otherwise described in the City Portion of the Preliminary Official Statement and the Official Statement, there shall not have been any material adverse changes in the financial condition of the City since the end of the fiscal year ending [June 30], 2021. (vii) No Breach or Default. As of the time of acceptance hereof, (A) the City is not in default, nor has it been in default, as to principal or interest with respect to an obligation issued or incurred by the City, and (B) the City is not and will not be, in any manner which would materially adversely affect the transactions contemplated by the City Documents, in breach of or in default under any applicable constitutional provision, law or administrative rule or regulation of the State or the United States, or any applicable judgment or decree or any trust agreement, loan agreement, bond, note, resolution, ordinance, agreement or other instrument to which the City is a party or is otherwise subject, and no event has occurred and is continuing which, with the passage of time or the giving of notice, or both, would constitute, in any manner which would materially adversely affect the transactions contemplated by the City Documents, a default or event of default under any such instrument; and, as of such time, the authorization, execution and delivery of the City Documents and compliance with the provisions of each of such agreements or instruments do not and will not, in any manner which would materially adversely affect the transactions contemplated by the City Documents, conflict with or constitute a breach of or default under any applicable constitutional provision, law or administrative rule or regulation of the State or the United States, or any applicable judgment, decree, license, permit, trust agreement, loan agreement, bond, note, resolution, ordinance, agreement or other instrument to which the City (or any of its officers in their respective capacities as such) is subject, or by which it or any of its properties is bound, nor will any such authorization, execution, delivery or compliance result in the creation or imposition of any lien, charge or other security interest or encumbrance of any nature whatsoever upon any of its assets or properties or under the terms of any such law, regulation or instrument, except as may be provided by the City Documents. (viii) No Litigation. As of the time of acceptance hereof and as of the date of Closing, no action, suit, proceeding, inquiry or investigation, at law or in equity, before or by any court, government agency, public board or body, is pending or, except as disclosed in the City Portion of the Preliminary Official Statement and the Official Statement, to the best knowledge of the City after due investigation, threatened (A) in any way questioning the corporate existence of the City or the titles of the officers of the City to their respective offices; (B) affecting, contesting or seeking to prohibit, restrain or enjoin the execution or delivery of any of the Series 2022 Bonds, or in any way contesting or affecting the validity of the Series 2022 Bonds or the City Documents or the consummation of the transactions contemplated thereby, or contesting the exclusion of the interest on the Series 2022 Bonds from gross income for federal income tax purposes, or contesting the powers of the City to enter into the City Documents; (C) which may result in any material adverse change to the financial condition of the City; (D) which may result in any material adverse change to the City’s ability to pay the Installment Payments when due; or (E) contesting the Attachment 6 Page 524 of 901 4810-6766-7665.8 8 completeness or accuracy of the Preliminary Official Statement or the Official Statement or any supplement or amendment thereto or asserting that the Preliminary Official Statement or the Official Statement contained any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading, and there is no basis for any action, suit, proceeding, inquiry or investigation of the nature described in clauses (A) through (E) of this sentence. (ix) Prior Liens. Except for the Contracts (as defined in the Installment Purchase Agreement), the City will not have outstanding any indebtedness which indebtedness is secured by a lien on the Net Revenues (as defined in the Installment Purchase Agreement) superior to or on a parity with the lien of the Series 2022 Bonds on the Net Revenues; (x) Further Cooperation: Blue Sky. The City will furnish such information, execute such instruments and take such other action in cooperation with the Underwriter as the Underwriter may reasonably request in order (A) to qualify the Series 2022 Bonds for offer and sale under the Blue Sky or other securities laws and regulations of such states and other jurisdictions of the United States as the Underwriter may designate and (B) to determine the eligibility of the Series 2022 Bonds for investment under the laws of such states and other jurisdictions, and will use its best efforts to continue such qualifications in effect so long as required for the distribution of the Series 2022 Bonds; provided, however, that the City shall not be required to execute a general or special consent to service of process or qualify to do business in connection with any such qualification or determination in any jurisdiction. (xi) Consents and Approvals. All authorizations, approvals, licenses, permits, consents and orders of or filings with any governmental authority, legislative body, board, agency or commission having jurisdiction in the matters which are required for the due authorization of, which would constitute a condition precedent to or the absence of which would materially adversely affect the due performance by the City of its obligations in connection with, the City Documents have been duly obtained or made, except as may be required under the Blue Sky or securities laws of any state in connection with the offering and sale of the Series 2022 Bonds. (xii) No Other Obligations. Between the date of this Purchase Contract and the date of Closing and except as otherwise disclosed in the City Portion of the Official Statement, the City will not, without the prior written consent of the Underwriter, offer or issue any bonds, notes or other obligations for borrowed money, or incur any material liabilities, directly or contingently payable from the Net Revenues. (xiii) Certificates. Any certificate signed by any official of the City and delivered to any of the Underwriter shall be deemed to be a representation and warranty by the City to the Underwriter as to the statements made therein. (xiv) Compliance with Rule 15c2-12. The City Portion of the Preliminary Official Statement heretofore delivered to the Underwriter has been deemed final by the City as of the date of the Preliminary Official Statement, except for the omission of such information as is permitted to be omitted in accordance with paragraph (b)(i) of Rule 15c2-12. The City hereby Attachment 6 Page 525 of 901 4810-6766-7665.8 9 covenants and agrees that, within seven business days from the date hereof, it shall cause a final word searchable form of the City Portion of the Official Statement to be delivered to the Underwriter in sufficient quantity to comply with paragraph (b)(4) of Rule 15c2-12 and Rules of the MSRB. (xv) Continuing Disclosure. Other than as disclosed in the Preliminary Official Statement and the Official Statement, during the past five years, the City has not failed to comply in any material respect with any continuing disclosure undertaking previously entered into by the City pursuant to Rule 15c2-12 of the Securities and Exchange Commission. The City will undertake, pursuant to a Continuing Disclosure Certificate (the “Continuing Disclosure Certificate”), to provide annual reports and notices of certain events in accordance with the requirements of Rule 15c2-12. A form of the Continuing Disclosure Certificate is set forth in an Appendix to the Official Statement relating to the City. (b) Authority Representations, Warranties and Covenants. The Authority represents, warrants and covenants to the Underwriter that: (i) Due Organization, Existence and Authority. The Authority is a joint exercise of powers agency duly organized and existing under a Joint Exercise of Powers Agreement, dated May 5, 2020, between the City and __________ under the Constitution and laws of the State, with full right, power and authority to execute, deliver and perform its obligations under this Purchase Contract, the Indenture and the Installment Purchase Agreement (collectively, the “Authority Documents”), and to carry out and consummate the transactions contemplated by the Authority Documents and the Preliminary Official Statement and the Official Statement, excluding the City Portion (the “Authority Portion”). (ii) Due Authorization and Approval. By all necessary official action of the Authority, the Authority has duly authorized and approved the delivery of, and the performance by the Authority of the obligations contained or described in the Authority Portion of the Preliminary Official Statement and the Authority Portion of the Official Statement and the execution and delivery of, and the performance by the Authority of the Authority Documents and as of the date hereof, such authorizations and approvals are in full force and effect and have not been amended, modified or rescinded. When executed and delivered, and assuming the authorization, execution and delivery by the other parties thereto, each Authority Document and the Series 2022 Bonds will constitute the legally valid and binding obligation of the Authority enforceable in accordance with its terms, except as enforcement may be limited by bankruptcy, insolvency, reorganization, moratorium, fraudulent conveyance or similar laws or equitable principles relating to or affecting creditors’ rights generally or by the exercise of judicial discretion in appropriate cases or by limitations on legal remedies against public agencies in the State. (iii) Authority Portion of the Official Statement Accurate and Complete. The Authority Portion of the Preliminary Official Statement was as of its date and is as of the date hereof, and the Authority Portion of the Official Statement is, and at all times subsequent to the date of the Official Statement up to and including the Closing will be, true and correct in all material respects, and the Authority Portion of the Preliminary Official Statement and the Authority Portion of the Official Statement contain, and up to and including the Closing, will contain no misstatement of any material fact and do not, and up to and including the Closing, will Attachment 6 Page 526 of 901 4810-6766-7665.8 10 not omit any statement necessary to make the statements contained therein, in the light of the circumstances in which such statements were made, not misleading (except no representation is made with respect to information relating to the Excluded Information). (iv) Underwriter’s Consent to Amendments and Supplements to Authority Portion of the Official Statement. The Authority will advise the Underwriter promptly of any proposal to amend or supplement the Authority Portion of the Official Statement and will not effect or consent to any such amendment or supplement without the consent of the Underwriter, which consent will not be unreasonably withheld. The Authority will advise the Underwriter promptly of the institution of any proceedings known to it by any governmental agency prohibiting or otherwise affecting the use of the Authority Portion of the Official Statement in connection with the offering, sale or distribution of the Series 2022 Bonds. (v) Authority Agreement to Amend or Supplement Authority Portion of the Official Statement. If after the date of this Purchase Contract and until 25 days after the end of the “underwriting period” (as defined in Rule 15c2-12), any event occurs as a result of which the Authority Portion of the Official Statement as then amended or supplemented would include an untrue statement of a material fact, or omit to state any material fact necessary in order to make the statements contained therein, in the light of the circumstances under which they were made, not misleading, and, in the reasonable opinion of the Underwriter, an amended or supplemented the Official Statement should be delivered in connection with the offers or sales of the Series 2022 Bonds to reflect such event, the Authority promptly will prepare at its expense an amendment or supplement which will correct such statement or omission and the Authority shall promptly furnish to the Underwriter a reasonable number of copies of such amendment or supplement. The Underwriter hereby agrees to deposit the Official Statement with the MSRB. The Underwriter acknowledges that the end of the “underwriting period” will be the date of the Closing, unless the Underwriter otherwise informs the Authority in writing on or prior to the date of Closing. (vi) Compliance with Rule 15c2-12. The Authority Portion of the Preliminary Official Statement heretofore delivered to the Underwriter has been deemed final by the Authority as of the date of the Preliminary Official Statement, except for the omission of such information as is permitted to be omitted in accordance with paragraph (b)(i) of Rule 15c2-12. The Authority hereby covenants and agrees that, within seven business days from the date hereof, it shall cause a final form of the Official Statement to be delivered to the Underwriter in sufficient quantity to comply with paragraph (b)(4) of Rule 15c2-12 and Rules of the MSRB. 8. Closing Conditions. The Underwriter has entered into this Purchase Contract in reliance upon the representations, warranties and covenants herein and the performance by the City and the Authority of their respective obligations hereunder, both as of the date hereof and as of the date of the Closing. The Underwriter’s obligations under this Purchase Contract are and shall be subject to the following additional conditions: (a) Bring-Down Representation. The representations, warranties and covenants of the City and the Authority contained herein, shall be true, complete and correct at the date hereof and at the time of the Closing, as if made on the date of the Closing. Attachment 6 Page 527 of 901 4810-6766-7665.8 11 (b) Executed Agreements and Performance Thereunder. At the time of the Closing (i) the City Documents and the Authority Documents shall be in full force and effect, and shall not have been amended, modified or supplemented except with the written consent of the Underwriter, (ii) there shall be in full force and effect such resolutions (the “Resolutions”) as, in the opinion of Bond Counsel, shall be necessary in connection with the transactions contemplated by the Official Statement, the City Documents and the Authority Documents, (iii) the City shall perform or have performed its obligations required or specified in the City Documents to be performed at or prior to Closing, (iv) the Authority shall perform or have performed its obligations required or specified in the Authority Documents to be performed at or prior to Closing, and (v) the Official Statement shall not have been supplemented or amended, except pursuant to Paragraphs 7(a)(iv), 7(a)(v), 7(b)(iv), and 7(b)(v) hereof or as otherwise may have been agreed to in writing by the Underwriter. (c) No Default. At the time of the Closing, no default, or any event that with the passage of time would be reasonably likely to result in default, shall have occurred or be existing under the Resolutions, the Authority Documents, the City Documents, or any other agreement or document pursuant to which any of the City’s financial obligations were issued and the City shall not be in default in the payment of principal or interest on any of its financial obligations which default would materially adversely impact the ability of the City to make the Installment Payments. (d) Termination Events. The Underwriter shall have the right to terminate this Purchase Contract, without liability therefor, by written notification to the City if at any time at or prior to the Closing: (i) Legislation shall have been introduced in or favorably reported for passage by the State of California, in either house of the Congress of the United States of America by any committee of such house to which legislation has been referred for consideration or has been enacted (or resolution passed) by the Congress of the United States of America or recommended to the Congress by the President of the United States, the Department of the Treasury, the Internal Revenue Service, or any member of Congress, or favorably reported for passage to either House of Congress by any committee of such House to which such legislation had been referred for consideration, or a decision rendered by a court established under Article III of the Constitution of the United States of America or by the Tax Court of the United States of America, or an order, ruling, regulation (final, temporary or proposed), press release or other form of notice issued or made by or on behalf of the Treasury Department of the United States of America or the Internal Revenue Service, affecting (directly or indirectly) the federal or state taxation of interest received on obligations of the general character of the Series 2022 Bonds which, in the judgment of the Underwriter, materially adversely affects the market price or the marketability of the Series 2022 Bonds, or the ability of the Underwriter to enforce contracts for the sale, at the contemplated offering prices (or yields), of the Series 2022 Bonds; (ii) Legislation shall have been introduced in or favorably reported for passage by either house of the United States Congress by any committee of such house to which such legislation has been referred for consideration, or has been enacted (or resolution passed) by the Congress or an order, decree or injunction issued by any court of competent jurisdiction, or an order, ruling, regulation (final, temporary or proposed), press release or other form of notice issued Attachment 6 Page 528 of 901 4810-6766-7665.8 12 or made by or on behalf of the Securities and Exchange Commission, or any other governmental agency having jurisdiction of the subject matter, to the effect that obligations of the general character of the Series 2022 Bonds, including any or all underlying arrangements, are not exempt from registration under or other requirements of the Securities Act of 1933, as amended, or that the Indenture is not exempt from qualification under or other requirements of the Trust Indenture Act of 1939, as amended, or that the issuance, offering or sale of obligations of the general character of the Series 2022 Bonds, including any or all underlying arrangements, as contemplated hereby or by the Official Statement or otherwise is or would be in violation of the federal securities laws as amended and then in effect; (iii) A general suspension of trading in securities on the New York Stock Exchange, or the imposition by the New York Stock Exchange or other national securities exchange, or any governmental authority, of any material restrictions not now in force with respect to the Series 2022 Bonds, or the material increase of any such restrictions now in force, including those relating to the extension of credit by, or the charge to the net capital requirements of, the Underwriter, or a general banking moratorium or limits on loans or the amounts of loans to investment banking firms in general shall have been declared by federal, State of New York or State of California officials authorized to do so, which in the judgment of the Underwriter materially adversely affects the market price or the marketability of the Series 2022 Bonds, or the ability of the Underwriter to enforce contracts for the sale, at the contemplated offering prices (or yields), of the Series 2022 Bonds; (iv) The introduction, proposal or enactment of any amendment to the United States Constitution or California Constitution or any action by any federal or California court, legislative body, regulatory body or other authority materially adversely affecting the tax status of the City, its property, income, securities (or interest thereon), the validity or enforceability of the Resolution, the Indenture or the Series 2022 Bonds; (v) Any event occurring, or information becoming known which, in the judgment of the Underwriter, makes untrue in any material respect any statement or information contained in the Preliminary Official Statement or in the Official Statement, or has the effect that the Preliminary Official Statement or the Official Statement contains any untrue statement of a material fact or omits to state a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading; (vi) There shall have occurred (1) any outbreak or increase of hostilities or terrorism or other local, national or international event, act, or occurrence (or the escalation thereof); or (2) any calamity or crisis in the financial markets in the United States (or the escalation thereof); or (3) a downgrade of the sovereign debt rating of the United States by any major credit rating agency or payment default on United States Treasury obligations, which, in the reasonable judgment of the Underwriter, materially adversely affects the market price or marketability of the Series 2022 Bonds or the ability of the Underwriter to enforce contracts for the sale, at the contemplated offering prices (or yields), of the Series 2022 Bonds; (vii) There shall have been any material change in the affairs of the City and the City refuses to permit the Official Statement to be supplemented in a manner satisfactory to the Underwriter, or the Official Statement shall have been supplemented pursuant to Section Attachment 6 Page 529 of 901 4810-6766-7665.8 13 8(k) hereof, and in the reasonable judgment of the Underwriter, such change or supplement materially affects the marketability of the Series 2022 Bonds or the market price of the Series 2022 Bonds or the ability of the Underwriter to enforce contracts for the sale, at the contemplated offering prices (or yields), of the Series 2022 Bonds; (viii) (i) Any rating of the Series 2022 Bonds shall have been downgraded, suspended or withdrawn by a national rating service, which, in the Underwriter’s reasonable opinion, materially adversely affects the marketability or market price of the Series 2022 Bonds, or (ii) there shall have been any official statement as to a possible downgrading (such as being placed on “credit watch” or “negative outlook” or any similar qualification) of any rating of any debt securities issued by the City, including the Series 2022 Bonds; (ix) An order, decree or injunction of any court of competent jurisdiction, issued or made to the effect that the issuance, offering or sale of obligations of the general character of the Series 2022 Bonds, or the issuance, offering or sale of the Series 2022 Bonds, including any or all underlying obligations, as contemplated hereby or by the Preliminary Official Statement of the Official Statement, is or would be in violation of any applicable law, rule or regulation, including (without limitation) any provision of applicable federal securities law as amended and then in effect; (x) A stop order, ruling, regulation or official statement by the Securities and Exchange Commission or any other governmental agency having jurisdiction of the subject matter shall have been made or any other event occurs, the effect of which is that the issuance, offering or sale of the Series 2022 Bonds, or the execution and delivery of the Legal Documents as contemplated hereby or by the Preliminary Official Statement or the Official Statement, is or would be in violation of any applicable law, rule or regulation, including (without limitation) any provision of applicable federal securities laws, including the Securities Act of 1933, as amended, the Securities and Exchange Act of 1934, as amended, or the Trust Indenture Act, each as amended and as then in effect; or (xi) Any litigation shall be instituted or be pending at the time of the Closing to restrain or enjoin the issuance, sale or delivery of the Series 2022 Bonds, or in any way contesting or affecting any authority for or the validity of the proceedings, authorizing and approving the Series 2022 Bonds, the Act, the Resolution, the Legal Documents or the existence or powers of the City with respect to its obligations under the Legal Documents or the Series 2022 Bonds. (e) Closing Documents. At or prior to the Closing, the Underwriter shall receive with respect to the Series 2022 Bonds the following documents: (i) Bond Opinion. The approving opinion of Bond Counsel dated the date of the Closing and substantially in the form included as Appendix E to the Official Statement, together with a letter from such counsel, dated the date of the Closing and addressed to the Underwriter and the Trustee, to the effect that the foregoing opinions addressed to the Authority may be relied upon by the Underwriter and the Trustee to the same extent as if such opinions were addressed to them. Attachment 6 Page 530 of 901 4810-6766-7665.8 14 (ii) Supplemental Opinion. A supplemental opinion or opinions of Bond Counsel substantially in the form attached hereto as Exhibit B, dated the date of the Closing and addressed to the Underwriter; (iii) Disclosure Counsel Letter. A negative assurance letter relating to the Official Statement, substantially in the form attached hereto as Exhibit C, from Jones Hall, as disclosure counsel to the Authority, dated the date of the Closing and addressed to the Underwriter. (iv) City Counsel Opinion. An opinion of _______, general counsel to the City, dated the date of the Closing and addressed to the Underwriter, substantially in the form attached hereto as Exhibit D; (v) Authority Counsel Opinion. An opinion of ________, general counsel to the Authority, dated the date of the Closing and addressed to the Underwriter, substantially in the form attached hereto as Exhibit E; (vi) BONY Counsel Opinion. The opinion of counsel to BONY, dated the date of the Closing, addressed to the City and the Underwriter, to the effect that: (A) BONY is a national banking association duly organized and validly existing under the laws of the jurisdiction of its origin and has the corporate power to execute and deliver the Indenture and to perform its obligations under the Indenture; (B) The execution and delivery by BONY of the Indenture and any other documentation relating to the Indenture and its performance of its obligations under the Indenture, have been and are as of the date hereof duly authorized by all necessary corporate action; (C) No approval, authorization or other action by, or filing with, any governmental body or regulatory authority (which has not been obtained) is required in connection with the due execution, delivery and performance by BONY of the Indenture; and (D) The Indenture have been duly executed and delivered and constitute the valid and legally binding obligations of BONY enforceable against it in accordance with their terms except as such enforceability may be limited by applicable bankruptcy, insolvency, reorganization, moratorium or similar laws affecting the enforcement of creditors’ rights generally and by general principles of equity (regardless of whether enforcement is sought as a proceeding in equity or at law). (vii) Underwriter’s Counsel Opinion. The opinion of Nixon Peabody LLP, Los Angeles, California, Counsel to the Underwriter dated the Closing Date addressed to the Underwriter, in form and substance satisfactory to the Underwriter. (viii) City Certificate. A certificate of the City, dated the date of the Closing, signed on behalf of the City by the General Manager or other duly authorized officer of the City to the effect that: Attachment 6 Page 531 of 901 4810-6766-7665.8 15 (A) The representations, warranties and covenants of the City contained in the Purchase Contract are true and correct in all material respects on and as of the date of the Closing as if made on the date of the Closing and the City has complied with all of, the terms and conditions of the Purchase Contract required to be complied with by the City at or prior to the date of the Closing; (B) No event affecting the City has occurred since the date of the Official Statement which has not been disclosed therein or in any supplement or amendment thereto which event should be disclosed in the City Portion of the Official Statement in order to make the statements in the City Portion of the Official Statement, in the light of the circumstances under which they were made, not misleading (except no representation is made with respect to information relating to the Excluded Information); and (C) No event has occurred and is continuing which, with the passage of time or the giving of notice, or both, would constitute an event of default under the City Documents. (ix) Authority Certificate. A certificate of the Authority, dated the date of the Closing, signed on behalf of the Authority by a duly authorized officer of the Authority to the effect that: (A) The representations, warranties and covenants of the Authority contained in the Purchase Contract are true and correct in all material respects on and as of the date of the Closing as if made on the date of the Closing and the Authority has complied with all of the terms and conditions of the Purchase Contract required to be complied with by the Authority at or prior to the date of the closing; (B) No event affecting the Authority has occurred since the date of the Official Statement which has not been disclosed therein or in any supplement or amendment thereto which event should be disclosed in the Authority Portion of the Official Statement in order to make the statements in the Authority Portion of the Official Statement, in the light of the circumstances under which they were made, not misleading (except no representation is made with respect to information relating to the Excluded Information); and (C) No event has occurred and is continuing which, with the passage of time or the giving of notice, or both, would constitute an event of default under the Authority Documents. (x) Certificate of BONY. A certificate, dated the date of Closing, signed by a duly authorized official of BONY satisfactory in form and substance to the Underwriter, to the effect that: (A) BONY is duly organized and existing as a national banking association under the laws of the United States of America, having the full corporate power and authority to enter into and perform its duties under the Indenture; (B) BONY is duly authorized to enter into the Indenture and has duly executed and delivered the Indenture, and assuming due authorization and execution by the Attachment 6 Page 532 of 901 4810-6766-7665.8 16 other parties thereto, the Indenture is the legal, valid and binding upon BONY, and enforceable against BONY in accordance with its terms; (C) BONY, acting as the trustee under the Indenture, has duly executed the Series 2022 Bonds under the Indenture and delivered the Series 2022 Bonds to or upon the order of the Underwriter; and (D) No consent, approval, authorization or other action by any governmental or regulatory authority having jurisdiction over the banking or trust powers of BONY that has not been obtained is or will be required for the execution and delivery of the Series 2022 Bonds or the consummation by BONY of its obligations under the Indenture. (xi) Transcripts. Two transcripts of all proceedings relating to the authorization, execution and delivery of the Series 2022 Bonds. (xii) Official Statement. The Official Statement and each supplement or amendment, if any, thereto, executed on behalf of the Authority by duly authorized officers thereof. (xiii) Documents. An original executed copy of each of the Authority Documents and each of the City Documents. (xiv) City Resolution. A certified copy of each resolution of the City authorizing the City Documents, certified by the Secretary for the City. (xv) Authority Resolution. A certified copy of each Authority Resolution, certified by the Secretary or Assistant Secretary of the Authority. (xvi) Resolution of BONY. A certified copy of the general resolution of BONY authorizing the execution and delivery of certain documents by certain officers and employees of BONY, which resolution authorizes the execution and delivery of the Indenture by BONY. (xvii) 15c2-12 Certificates of the City and the Authority. Certificates of the City and the Authority “deeming final” their respective portions of the Preliminary Official Statement for purposes of Rule 15c2-12. (xviii) CDIAC Statements. A copy of Notices of Sale required to be delivered to the California Debt Investment Advisory Commission pursuant to Sections 8855(g) and 53583 of the California Government Code. (xix) Ratings. Evidence that the Series 2022 Bonds have been assigned an underlying rating of “_____” from ___. (xx) Continuing Disclosure Certificate. An executed copy of the Continuing Disclosure Certificate. (xxi) Additional Documents. Such additional certificates, instruments and other documents as the Underwriter may reasonably deem necessary. Attachment 6 Page 533 of 901 4810-6766-7665.8 17 If the City or the Authority shall be unable to satisfy the conditions contained in this Purchase Contract, or if the obligations of the Underwriter shall be terminated by the Underwriter for any reason permitted by this Purchase Contract, this Purchase Contract shall terminate and none of the Underwriter, the City nor the Authority shall be under further obligation hereunder, except as further set forth in Section 9 hereof. 9. Expenses. (a) All costs and expenses incident to the sale and delivery of the Bonds to the Underwriter shall be payable by the Authority from the proceeds of the Bonds, including, but not limited to: (i) all advertising expenses in connection with the offering of the Bonds; (ii) the fees and expenses of the City, its counsel, municipal advisor and consultants; (iii) the fees and expenses of the Authority, its counsel and consultants; (iv) the fees and expenses of Bond Counsel; (v) the fees and expenses of Disclosure Counsel; (vi) all expenses in connection with the preparation and printing of the Bonds; (vii) all expenses in connection with the preparation, printing, distribution and delivery of the Preliminary Official Statement, the Official Statement and any amendment or supplement thereto; (viii) the initial fees and expenses of the Trustee, including the reasonable fees and expenses of its counsel; and (ix) the fees and expenses of any rating agency rating the Bonds. (b) The Underwriter shall pay all expenses incurred by them in connection with the public offering and distribution of the Bonds including, but not limited to: (i) the fees and disbursements of Underwriter’ Counsel, and (ii) all out-of-pocket disbursements and expenses incurred by the Underwriter in connection with the offering and distribution of the Bonds, including, air travel and hotel accommodations in connection with the pricing of the Bonds; investor meetings, rating agency trips and meetings; the Closing; meals and transportation for the City, the Underwriter and other working group personnel during rating agency, investor meetings; pricing and Closing trips; expenses related to attending working group meetings, such as parking, meals and transportation and any other miscellaneous costs associated with the Closing; (iii) all other expenses incurred by the Underwriter in connection with the public offering and distribution of Bonds, except as provided in Section 10(a) hereof or as otherwise agreed to by the Underwriter, the Authority and the City; and (iv) the fees of the California Debt and Investment Advisory Commission. Such items may be included as an expense component of the Underwriter’s discount. (c) The Authority and the City acknowledge that they have had an opportunity, in consultation with such advisors as they may deem appropriate, if any, to evaluate and consider the fees and expenses being incurred as part of the issuance of the Bonds. 10. Notice. Any notice or other communication to be given to the City under this Purchase Contract may be given by delivering the same in writing to: City of Ukiah 300 Seminary Avenue Ukiah, CA 95482 Attention: City Manager Attachment 6 Page 534 of 901 4810-6766-7665.8 18 Any notice or other communication to be given to the Authority under this Purchase Contract may be given by delivering the same in writing to: Ukiah Public Financing Authority 300 Seminary Avenue Ukiah, CA 95482 Attention: Executive Director Any notice or other communication to be given to the Underwriter under this Purchase Contract may be given by delivering the same in writing to: RBC Capital Markets, LLC 777 S. Figueroa Street, Suite 850 Los Angeles, California 90017 Attention: _______________ 11. Entire Agreement. This Purchase Contract, when accepted by the City and the Authority, shall constitute the entire agreement among the City, the Authority and the Underwriter with respect to the subject matter hereof and is made solely for the benefit of the City, the Authority and the Underwriter (including the successors of the Underwriter). No other person shall acquire or have any right hereunder by virtue hereof, except as provided herein. All of the representations, warranties and agreements of the City and the Authority in this Purchase Contract shall remain operative and in full force and effect except as otherwise provided herein, regardless of any investigations made by or on behalf of the Underwriter and shall survive the delivery of and payment for the Series 2022 Bonds. 12. No Advisory or Fiduciary Role. The City and Authority acknowledge and agree that (i) the purchase and sale of the Series 2022 Bonds pursuant to this Purchase Contract is an arm’s-length commercial transaction among the City, the Authority and the Underwriter, (ii) in connection therewith and with the discussions, undertakings and procedures leading up to the consummation of such transaction, the Underwriter is and has been acting solely as a principal and is not acting as the agent, advisor or fiduciary of the City or the Authority, (iii) the Underwriter has not assumed an advisory, fiduciary or municipal advisory responsibility in favor of the City or the Authority with respect to the offering contemplated hereby or the discussions, undertakings and procedures leading thereto (irrespective of whether the Underwriter has provided other services or are currently providing other services to the City and the Authority on other matters) and the Underwriter have no obligation to the City or the Authority with respect to the offering contemplated hereby except the obligations expressly set forth in this Purchase Contract and (iv) the City and Authority have consulted their own legal, financial, municipal advisory, and other advisors to the extent deemed appropriate. 13. Counterparts. This Purchase Contract may be executed by the parties hereto in separate counterparts, each of which when so executed and delivered shall be an original, but all such counterparts shall together constitute but one and the same instrument. Attachment 6 Page 535 of 901 4810-6766-7665.8 19 14. Severability. In case any one or more of the provisions contained herein shall for any reason be held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or unenforceability shall not affect any other provision hereof. 15. STATE LAW GOVERNS. THE VALIDITY, IN INTERPRETATION AND PERFORMANCE OF THIS PURCHASE CONTRACT SHALL BE GOVERNED BY THE LAWS OF THE STATE OF CALIFORNIA. 16. No Assignment. The rights and obligations created by this Purchase Contract shall not be subject to assignment by the Underwriter, the Authority or the City without the prior written consent of the other party hereto. Attachment 6 Page 536 of 901 4810-6766-7665.8 S-1 PURCHASE CONTRACT RBC CAPITAL MARKETS, LLC By: Managing Director Accepted as of the date first stated above: CITY OF UKIAH By: ___________ UKIAH PUBLIC FINANCING AUTHORITY By: ________ Attachment 6 Page 537 of 901 4810-6766-7665.8 A-1 EXHIBIT A $________ UKIAH PUBLIC FINANCING AUTHORITY ELECTRIC REVENUE BONDS, SERIES 2022 Maturity (March 1) Principal Amount ($) Interest Rate Yield Price 10% Of Maturity Sold C Priced to par call date of ____, 20___ Attachment 6 Page 538 of 901 4810-6766-7665.8 B-1 EXHIBIT B (FORM OF SUPPLEMENTAL OPINION OF BOND COUNSEL) Upon the initial issuance of the Bonds, Jones Hall, Bond Counsel, proposes to deliver a supplemental opinion to the Underwriter in substantially the form set forth below: ________, 2022 RBC Capital Markets, LLC 777 S. Figueroa Street, Suite 850 Los Angeles, California 90017 Re: Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 Ladies and Gentlemen: We have acted as Bond Counsel in connection with the issuance by the Ukiah Public Financing Authority (the “Authority”), a joint exercise of powers agency organized and existing under the laws of the State of California, of $________ aggregate principal amount of Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 (the “Bonds”), under and pursuant to the provisions relating to the joint exercise of powers found in Chapter 5 of Division 7 of Title 1 of the Government Code of the State of California, as amended (the “Government Code”) and Article 11 of Chapter 3 of Part 1 of Division 2 of Title 5 of the Government Code (collectively, the “Act”), and under and pursuant to the Indenture of Trust (the “Indenture”), dated as of ________, 2022 by and between the Authority and The Bank of New York Mellon Trust Company, N.A., as trustee. Capitalized terms used herein and not defined herein shall have the meanings ascribed thereto in the Indenture. On the date hereof, we delivered to the Authority our opinion relating to, among other things, the validity of the Bonds and the Indenture (the “Approving Opinion”). You are authorized to rely upon the Approving Opinion as if addressed to you. Based upon the foregoing and our review of such other information, documents and matters of law as we considered necessary and in reliance on the foregoing, as appropriate, we are of the opinion that: (i) The Purchase Contract, dated _______, 2022 (the “Purchase Contract”), by and among the Authority, the City of Ukiah and RBC Capital Markets, LLC. (the “Underwriter”), relating to the Bonds, has been duly authorized, executed and delivered by the Authority, and assuming due authorization, execution and delivery by you as the Underwriter, is a valid and binding agreement of the Authority enforceable in accordance with its terms; (ii) The statements contained in the Official Statement dated _______, 2022 for the Bonds (the “Official Statement”) under the captions “INTRODUCTION,” “PLAN OF FINANCE”, “THE BONDS,” “SECURITY FOR THE BONDS”, “BOND OWNER’S RISK”, Attachment 6 Page 539 of 901 4810-6766-7665.8 B-2 “TAX MATTERS,” in APPENDIX A – “SUMMARY OF PRINCIPAL LEGAL DOCUMENTS,” and in APPENDIX D – “FORM OF OPINION OF BOND COUNSEL,” insofar as such statements purport to summarize certain provisions of the Bonds and certain provisions of the Installment Purchase Agreement, the Indenture and our Approving Opinion with respect to certain federal and state income tax matters related to the Bonds, are accurate in all material respects; and (iii) The Bonds are exempt from registration pursuant to the Securities Act of 1933, as amended, and the Indenture is exempt from qualification pursuant to the Trust Indenture Act of 1939, as amended. The opinions expressed herein are based upon our analysis and interpretation of existing laws, regulations, rulings and judicial decisions and cover certain matters not directly addressed by such authorities. We call attention to the fact that the rights and obligations under the Purchase Contract, the Indenture, the Installment Purchase Agreement and the Bonds are subject to bankruptcy, insolvency, reorganization, moratorium, fraudulent conveyance or transfer and other similar laws affecting creditors’ rights, to the application of equitable principles if equitable remedies are sought, to the exercise of judicial discretion in appropriate cases and to limitations on legal remedies against public agencies in the State of California. By delivering this letter, we are not expressing any opinion with respect to any indemnification, contribution, liquidated damages, penalty (including any remedy deemed to constitute a penalty), right of set-off, arbitration, judicial reference, choice of law, choice of forum, choice of venue, non-exclusivity of remedies, waiver or severability provisions contained in the Indenture, the Installment Purchase Agreement or the Bonds, nor are we expressing any opinion with respect to the state or quality of title to or interest in any assets described in or as subject to the lien of the Indenture, the Installment Purchase Agreement or the Bonds, or the accuracy or sufficiency of the description of such assets, or the remedies available to enforce liens on, any such assets. Except as expressly set forth in the Approving Opinion, we express no opinion regarding any tax consequences with respect to the Bonds. No opinion is expressed herein with respect to the compliance with, or applicability of, any “blue sky” laws of any state as they relate to the offer or sale of the Bonds. This opinion is limited to matters governed by the laws of California and federal securities laws, and we assume no responsibility with respect to the applicability or the effect of the laws of any other jurisdiction. This letter is being furnished to you solely for your benefit in connection with your purchase of the Bonds in accordance with the Purchase Contract and is not to be used, circulated, quoted or otherwise referred to or relied upon for any other purpose or by any other person without our prior written consent. This letter is not intended to and may not be relied upon by owners of the Bonds or any beneficial interest therein or any other party to which it is not addressed. No attorney-client relationship has existed or exists between the Underwriter and our firm in connection therewith or by virtue of this letter. Respectfully submitted, Attachment 6 Page 540 of 901 4810-6766-7665.8 C-1 EXHIBIT C (FORM OF DISCLOSURE COUNSEL OPINION) ________, 2022 RBC Capital Markets, LLC 777 S. Figueroa Street, Suite 850 Los Angeles, California 90017 Re: $_______ Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 Ladies and Gentlemen: We have acted as disclosure counsel for the City of Ukiah (the “City”) in connection with the issuance of the above-referenced bonds (the “Bonds”). The Bonds are being purchased by you pursuant to a Bond Purchase Contract, dated _______, 2022 (the “Purchase Contract”), by and among the Ukiah Public Financing Authority (the “Authority”), the City and you, as the underwriter of the Bonds (the “Underwriter”). All capitalized terms used herein and not defined herein shall have the meanings ascribed thereto in the Purchase Contract. In rendering the advice contained herein, we have examined originals or copies certified or otherwise identified to our satisfaction of: (i) the Purchase Contract; (ii) the executed Indenture of Trust, dated as of ________, 2022, by and between the Authority and The Bank of New York Mellon Trust Company, N.A.; (iii) the Installment Purchase Agreement, dated as of ________, 2022 (the “Installment Purchase Agreement”), by and between the City and Authority; (iv) the Continuing Disclosure Certificate of the City dated ________, 2022 (the “Continuing Disclosure Certificate”); (v) the Preliminary Official Statement dated ________, 2022 and the Official Statement, dated _______, 2022 (collectively, the “Official Statement”) relating to the Bonds; (vi) the minutes of the Board of Directors for the period January 1, 2019 through ______, 2022, and (vii) the letters, certificates, and opinions delivered to you pursuant to the provisions of the Purchase Contract, including, but not limited to, Section 8(e) thereof. We have not reviewed, and we do not assume any responsibility for any electronic version of the Official Statement and for all purposes of this letter, we have assumed that any electronic version of the Official Statement conforms in all respects to the printed version of the Official Statement. The conclusions expressed herein are based on an analysis of existing laws, regulations, rulings and court decisions and cover certain matters not directly addressed by such authorities. Such conclusions may be affected by actions taken or omitted or events occurring after the date hereof. We have not undertaken to determine, or to inform you or any other person, whether any such actions are taken or omitted or whether such events do occur or any other matters come to our attention after the date hereof. We have assumed, but not independently verified, that the signatures on all documents, letters, opinions and certificates which we have examined are genuine, that all documents submitted to us are authentic and were duly and properly executed by the parties thereto and that all representations made in the documents that we have reviewed are true and accurate. We have assumed, without Attachment 6 Page 541 of 901 4810-6766-7665.8 C-2 independent verification, the accuracy of the factual matters represented, warranted or certified in the documents, and of the legal conclusions contained in any opinions referenced in the Official Statement. By delivering this letter, we are not expressing any opinion with respect to any indemnification, contribution, liquidated damages, penalty (including any remedy deemed to constitute a penalty), right of set-off, arbitration, judicial reference, choice of law, choice of forum, choice of venue, non- exclusivity of remedies, waiver or severability provisions contained in the Purchase Contract, Indenture, the Installment Purchase Agreement, the Continuing Disclosure Certificate, the Bonds or any document referenced in the Official Statement, nor are we expressing any opinion with respect to the state or quality of title to or interest in any assets described in or as subject to the lien of the Purchase Contract, Indenture, the Installment Purchase Agreement, the Continuing Disclosure Certificate or the Bonds or the accuracy or sufficiency of the description contained therein of, or the remedies available to enforce liens on, any such assets under the Purchase Contract, Indenture, the Installment Purchase Agreement, the Continuing Disclosure Certificate or the Bonds. Our services as disclosure counsel to the City did not involve the rendering of financial or other non-legal advice to you, the City, the Authority or any other party to the transaction. Although we have not undertaken to determine independently or verify and are not passing upon and do not assume responsibility for, the accuracy, completeness or fairness of the statements contained in the Official Statement, and are therefore unable to make any representation to you in that regard, we have participated in conferences prior to the date of the Preliminary Official Statement and the Official Statement with your representatives, including separate counsel retained by you, and representatives of the City and the Authority, including the City’s General Counsel, the Authority’s General Counsel, NHA Advisors, municipal advisor to the City and the Authority, and others, during which conferences the contents of the Preliminary Official Statement and the Official Statement and related matters were discussed. Based upon the information made available to us in the course of our participation in such conferences as disclosure counsel to the City, our review of the documents referred to above, our reliance on the oral and written statements of the City and others, the documents, certificates, instructions and records and the opinions of counsel described above and our understanding of applicable law, and subject to the limitations on our role as disclosure counsel to the City, we advise you as a matter of fact but not opinion that no information has come to the attention of the attorneys in the firm performing services for the City as disclosure counsel on this matter which caused us to believe that the Official Statement as of its date contained, or as of the date hereof contains, any untrue statement of a material fact, or as of its date omitted, or as of the date hereof omits, to state a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading in any material respect (except that we express no view with respect to: (i) the expressions of opinion, the assumptions, the projections, estimates and forecasts, the charts, the financial statements or other financial, numerical, economic, demographic or statistical data, or assessed valuations contained in the Official Statement; (ii) any CUSIP numbers or information relating thereto; (iii) any information with respect to the Insurer, the Policies, or the Surety Bonds, or any information relating to The Depository Trust Company and its book-entry system; (iv) any information contained in the appendices to the Official Statement; (v) any information incorporated by reference into the Official Statement; (vi) the City’s compliance with its obligations to provide notice of the events described in part (b)(5)(i)(C) of Rule 15c2- 12 promulgated under the Securities Act of 1934 (“Rule 15c2-12”) or to file annual reports described in part (b)(5)(i)(A) of Rule 15c2-12; (vii) any information with respect to the Underwriter or underwriting matters with respect to the Bonds, including but not limited to information under the caption “UNDERWRITING”; and (viii) any information with respect to the ratings on the Bonds and the rating agencies referenced therein, including but not limited to information under the caption “RATING”. Finally, we advise you Attachment 6 Page 542 of 901 4810-6766-7665.8 C-3 that, other than reviewing the various certificates and opinions required by Section 8(e) of the Purchase Contract, we have not taken any steps since the date of the Official Statement to verify the accuracy of the statements contained in the Official Statement as of the date hereof. No responsibility is undertaken or opinion rendered with respect to any other disclosure document, materials or activity, or as to any information from another document or source referred to by, or incorporated by reference in, the Official Statement. By acceptance of this letter you recognize and acknowledge that: (i) the negative assurance above is not an opinion and is based on certain limited activities performed by specific attorneys in our firm in our role as disclosure counsel to the City; (ii) the scope of the activities performed by such attorneys in our role as disclosure counsel to the City and for purposes of delivering such negative assurances were inherently limited and do not purport to encompass all activities necessary for compliance by you or others in accordance with applicable state and federal securities laws; and (iii) the activities performed by such attorneys in our role as disclosure counsel to the City rely in part by representations, warranties, certifications and opinions of other parties to the transaction, including representations, warranties and certifications made by the City. This letter is being furnished to you solely for your benefit in connection with your purchase of the Bonds in accordance with the Purchase Contract and is not to be used, circulated, quoted or otherwise referred to for any other purpose without our prior written consent. No attorney-client relationship has existed or exists between our firm and you in connection with the issuance of the Bonds or by virtue of this letter. We note you were represented by separate counsel retained by you in connection with the transaction described in the Official Statement. This letter is limited to matters governed by the laws of the State of California and federal securities laws, and we assume no responsibility with respect to the applicability or the effect of the laws of any other jurisdiction. Our engagement as disclosure counsel to the City terminates as of the date hereof, and we have not undertaken any duty, and expressly disclaim any responsibility, to advise you as to events occurring after the date hereof with respect to the Bonds or other matters discussed in the Official Statement. This letter is not intended to, and may not, be relied upon by owners of the Bonds, the owners of any beneficial ownership interest in the Bonds or by any other party to whom it is not addressed. Respectfully submitted, Attachment 6 Page 543 of 901 4810-6766-7665.8 D-1 EXHIBIT D (FORM OF DISTRICT COUNSEL OPINION) ________, 2022 RBC Capital Markets, LLC 777 S. Figueroa Street, Suite 850 Los Angeles, California 90017 Re: $_______ Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 Ladies and Gentlemen: We are acting as general counsel to the City of Ukiah (the “City”) in connection with the matters referred to herein. In arriving at the opinions expressed below we have examined and are familiar with the following documents: (i) documents relating to the existence, organization and operation of the City provided to us by the City; (ii) the City Closing Certificate dated December , 2020 and executed by the City’s General Manager regarding the City and the above referenced transaction; (iii) the executed Indenture of Trust, dated as of ________, 2022, by and between the Authority and The Bank of New York Mellon Trust Company, N.A. (the “Indenture”); (iv) the Bond Purchase Contract, dated _______, 2022 (the “Purchase Contract”), by and among the Authority, the City and you, as the underwriter of the Bonds (the “Underwriter”), the Installment Purchase Agreement, dated as of ________, 2022 (the “Installment Purchase Agreement”), by and between the City and the Ukiah Public Financing Authority (the “Authority”), and the Continuing Disclosure Certificate of the City dated ________, 2022 (the “Continuing Disclosure Certificate”) (collectively the “City Documents”); (v) all necessary documentation of the City relating to the authorization, execution and delivery of the City Documents; and (vi) the Preliminary Official Statement dated ________, 2022 and the Official Statement, dated _______, 2022 (collectively, the “Official Statement”) relating to the above referenced bonds (the “Bonds”). In rendering our opinions herein we have relied only on our examination of the foregoing documents, and we have made no independent verification of the factual matters set forth in such documents. In addition, we have relied on discussions with the officers and Interim General Manager of the City and information made available in the ordinary course of business in our role as general counsel to the City. In rendering the opinions expressed below, we have assumed, but not independently verified, that the signatures on all documents which we have examined are genuine. Based upon the foregoing, and subject to the qualifications set forth below, we are of the opinion that: 1. The City is duly organized as a [______________ under California law]. Attachment 6 Page 544 of 901 4810-6766-7665.8 D-2 2. The City Documents have been duly authorized, executed and delivered by the City and the City has full right, power and authority to carry out and consummate all transactions contemplated by the City Documents as of the date of the Official Statement and as of the date hereof. 3. The resolutions of the City approving and authorizing the execution and delivery of the City Documents, and approving the Official Statement, have been duly adopted at a meeting of the governing body of the City, which was called and held pursuant to law and with all public notice required by law and at which a quorum was present and acting throughout and the resolutions are in full force and effect and have not been modified, amended or rescinded. 4. Based on the information made available to us in our role as general counsel to the City, and without having undertaken to determine independently or assume any responsibility for the accuracy, completeness or fairness of the statements contained therein, the information in the Official Statement under the captions “LITIGATION — The City,” and in Appendix A under the caption “Litigation,” is true and accurate to the best of our knowledge at and as of the date of the Official Statement and at and as of the date hereof. 5. Based on information made available to us in our role as general counsel to the City, we know of no litigation, proceeding, action, suit, or investigation (or any basis therefor) at law or in equity before or by any court, governmental agency or body, pending or, to our best knowledge, threatened, against the City challenging the creation, organization or existence of the City, or the validity of the City Documents or seeking to restrain or enjoin the Series 2022 Installment Payments (as such term is defined in the Installment Purchase Agreement) or in any way contesting or affecting the validity of the City Documents or any of the transactions referred to therein or contemplated thereby, or contesting the authority of the City to enter into or perform its obligations under any of the City Documents, or under which a determination adverse to the City would have a material adverse effect upon the financial condition or the revenues of the City, or which, in any manner, questions or affects the right or ability of the City to enter into the City Documents or affects in any manner the right or ability of the City to make the Series 2022 Installment Payments. The opinions expressed herein are based upon our analysis and interpretation of existing laws, regulations, rulings and judicial decisions and cover certain matters not directly addressed by such authorities. We call attention to the fact that the rights and obligations under the City Documents and the Bonds are subject to bankruptcy, insolvency, reorganization, moratorium, fraudulent conveyance and other similar laws affecting creditors’ rights, to the application of equitable principles if equitable remedies are sought, to the exercise of judicial discretion in appropriate cases and to limitations on legal remedies against public agencies in the State of California. By delivering this letter, we are not expressing any opinion with respect to any indemnification, contribution, liquidated damages, penalty (including any remedy deemed to constitute a penalty), right of set-off, arbitration, judicial reference, choice of law, choice of forum, choice of venue, non- exclusivity of remedies, waiver or severability provisions contained in the Indenture, the Purchase Contract, the Installment Purchase Agreement, the Continuing Disclosure Certificate, the Bonds or any document referenced in the Official Statement, nor are we expressing any opinion with respect to the state or quality of title to or interest in any assets described in or as subject to the lien of the Indenture, the Purchase Contract, the Installment Purchase Agreement, the Continuing Disclosure Certificate or the Bonds or the accuracy or sufficiency of the description contained therein of, or the remedies available to enforce liens on, any such assets under the Indenture, the Purchase Contract, the Installment Purchase Agreement, the Continuing Disclosure Certificate or the Bonds. Our services as Attachment 6 Page 545 of 901 4810-6766-7665.8 D-3 general counsel to the City did not involve the rendering of financial or other non-legal advice to you, the City, the Authority or any other party to the transaction. This opinion is furnished by us to you solely for your benefit and we are not assuming any professional responsibility to any other person whomsoever. This opinion is not to be used, circulated, quoted or otherwise referred to for any other purpose. Very truly yours, Attachment 6 Page 546 of 901 4810-6766-7665.8 E-1 EXHIBIT E (FORM OF AUTHORITY COUNSEL OPINION) ________, 2022 RBC Capital Markets, LLC 777 S. Figueroa Street, Suite 850 Los Angeles, California 90017 Re: $_________ Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 Ladies and Gentlemen: We are acting as counsel to the Ukiah Public Financing Authority (the “Authority”) in connection with the matters referred to herein. In arriving at the opinions expressed below we have examined and are familiar with the following documents: (i) documents relating to the existence and organization of the Authority provided to us by the Authority; (ii) the Authority Closing Certificate dated ________, 2022 and executed by the Authority’s Executive Director regarding the Authority and the above referenced transaction; (iii) the Bond Purchase Contract, dated _______, 2022 (the “Purchase Contract”), by and among the Authority, the City and you, as the underwriter of the Bonds (the “Underwriter”), the executed Indenture of Trust, dated as of ________, 2022, by and between the Authority and The Bank of New York Mellon Trust Company, N.A. and the executed Installment Purchase Agreement, dated as of ________, 2022, by and between the Authority and the City of Ukiah, (collectively the “Authority Documents”); (iv) all necessary documentation of the Authority relating to the authorization, execution and delivery of the Authority Documents; and (v) the Preliminary Official Statement dated ________, 2022 and the Official Statement, dated _______, 2022 (collectively, the “Official Statement”) relating to the above referenced bonds (the “Bonds”). In rendering our opinions herein we have relied only on our examination of the foregoing documents, and we have made no independent verification of the factual matters set forth in such documents. In addition, we have relied on discussions with the officers and Executive Director of the Authority and information made available in the ordinary course of business in our role as counsel to the Authority. In rendering the opinions expressed below, we have assumed, but not independently verified, that the signatures on all documents which we have examined are genuine. Based upon the foregoing, and subject to the qualifications set forth below, we are of the opinion that: 1. The resolutions of the Authority approving and authorizing the execution and delivery of the Authority Documents and approving the Official Statement have been duly adopted at a regular Attachment 6 Page 547 of 901 4810-6766-7665.8 E-2 meeting of the governing body of the Authority, which was called and held pursuant to law and with all public notice required by law and at which a quorum was present and acting throughout, and the resolutions are in full force and effect and have not been modified, amended or rescinded. 2. Based on the information made available to us in our role as counsel to the Authority, and without having undertaken to determine independently or assume any responsibility for the accuracy, completeness or fairness of the statements contained therein, the information in the Official Statement under the caption “LITIGATION — The Authority,” is true and accurate to the best of our knowledge at and as of the date of the Official Statement and at and as of the date hereof. The opinions expressed herein are based upon our analysis and interpretation of existing laws, regulations, rulings and judicial decisions and cover certain matters not directly addressed by such authorities. We call attention to the fact that the rights and obligations under the Authority Documents and the Bonds are subject to bankruptcy, insolvency, reorganization, moratorium, fraudulent conveyance and other similar laws affecting creditors’ rights, to the application of equitable principles if equitable remedies are sought, to the exercise of judicial discretion in appropriate cases and to limitations on legal remedies against public agencies in the State of California. By delivering this letter, we are not expressing any opinion with respect to any indemnification, contribution, liquidated damages, penalty (including any remedy deemed to constitute a penalty), right of set-off, arbitration, judicial reference, choice of law, choice of forum, choice of venue, non- exclusivity of remedies, waiver or severability provisions contained in the Purchase Contract, Indenture, the Installment Purchase Agreement, the Bonds or any document referenced in the Official Statement, nor are we expressing any opinion with respect to the state or quality of title to or interest in any assets described in or as subject to the lien of the Purchase Contract, Indenture, the Installment Purchase Agreement or the Bonds or the accuracy or sufficiency of the description contained therein of, or the remedies available to enforce liens on, any such assets under the Purchase Contract, the Indenture, the Installment Purchase Agreement or the Bonds. Our services as general counsel to the Authority did not involve the rendering of financial or other non-legal advice to you, the City, the Authority or any other party to the transaction. This opinion is furnished by us to you solely for your benefit and we are not assuming any professional responsibility to any other person whomsoever. This opinion is not to be used, circulated, quoted or otherwise referred to for any other purpose. Very truly yours, Attachment 6 Page 548 of 901 4810-6766-7665.8 F-1 EXHIBIT F [FORM OF ISSUE PRICE CERTIFICATE] $______ Ukiah Public Financing Authority Electric Revenue Bonds, Series 2022 The undersigned, on behalf of RBC Capital Markets, LLC (the “Underwriter”), hereby certifies as set forth below with respect to the sale and issuance of the above-captioned bonds (the “Series 2022 Bonds”). The Underwriter, the Ukiah Public Financing Authority (the “Issuer”), and the City of Ukiah, have executed a Purchase Contract (the “Purchase Contract”) in connection with the Series 2022 Bonds on ________, 2022 (the “Sale Date”). The Underwriter has not modified the Purchase Contract since its execution on the Sale Date. 1. Sale of the Series 2022 Bonds. As of the date of this certificate, for each Maturity of the [Bonds][General Rule Maturities], the first price at which at least 10% of such Maturity was sold to the Public is the respective price listed in Exhibit A. 2. Initial Offering Price of the Hold-the-Offering-Price Maturities. [The Underwriter offered the Hold-the-Offering Price Maturities to the Public for purchase at the respective initial offering prices listed in Schedule A (the “Initial Offering Prices”) on or before the Sale Date. A copy of the pricing wire or equivalent communication for the Bonds is attached to this certificate as Schedule B.] As set forth in the Bond Purchase Agreement, the Underwriting Group has agreed in writing that, (i) for each Maturity of the Hold-the-Offering-Price Maturities, it would neither offer nor sell any of the unsold Bonds of such Maturity to any person at a price that is higher than the Initial Offering Price for such Maturity during the Holding Period for such Maturity (the “hold-the-offering- price rule”) nor would they permit a related party to do so, and (ii) any selling group agreement shall contain the agreement of each dealer who is a member of the selling group, and any third-party distribution agreement shall contain the agreement of each broker-dealer who is a party to the third- party distribution agreement, to comply with the hold-the-offering-price rule. Pursuant to such agreements, no Underwriter has offered or sold any unsold Bonds of any Maturity of the Bonds at a price that is higher than the respective Initial Offering Price for that Maturity of the Bonds during the Holding Period. Defined Terms. General Rule Maturities means those Maturities of the Bonds listed in Schedule A hereto as the “General Rule Maturities.” Attachment 6 Page 549 of 901 4810-6766-7665.8 F-2 Hold-the-Offering-Price Maturities means those Maturities of the Bonds listed in Schedule A hereto as the “Hold-the-Offering-Price Maturities.” Holding Period means, with respect to a Hold-the-Offering-Price Maturity, the period starting on the Sale Date and ending on the earlier of (i) the close of the fifth business day after the Sale Date, or (ii) the date on which the Underwriters have sold at least 10% of such Hold-the-Offering- Price Maturity to the Public at prices that are no higher than the Initial Offering Price for such Hold the Offering Price Maturity. Issuer means Ukiah Public Financing Authority. Maturity means Bonds with the same credit and payment terms. Bonds with different maturity dates, or Bonds with the same maturity date but different stated interest rates, are treated as separate maturities. Public means any person (including an individual, trust, estate, partnership, association, company, or corporation) other than an Underwriter or a related party to an Underwriter. The term “related party” for purposes of this certificate means any two or more persons who have greater than 50 percent common ownership, directly or indirectly. Sale Date means the first day on which there is a binding contract in writing for the sale of a Maturity of the Bonds. The Sale Date of the Bonds is ________ [__], 2022. Underwriter means (i) any person that agrees pursuant to a written contract with the Issuer (or with the lead underwriter to form an underwriting syndicate) to participate in the initial sale of the Bonds to the Public, and (ii) any person that agrees pursuant to a written contract directly or indirectly with a person described in clause (i) of this paragraph to participate in the initial sale of the Bonds to the Public (including a member of a selling group or a party to a third-party distribution agreement participating in the initial sale of the Bonds to the Public). Other Certifications. (d) The aggregate of the Initial Offering Prices of the Bonds is $________. (e) We have provided the attached schedules, at the direction of Bond Counsel, relating to the calculation of the arbitrage yield with respect to the Bonds. (f) We have provided the attached schedules, at the direction of Bond Counsel, relating to the calculation of the weighted average maturity of the Bonds. We have performed this calculation using the following formula: we calculated the total number of bond years and divided that number into the total initial offering price of the bonds of the offering. For purposes of calculating the total bond years, we calculated the sum of the products of each respective maturity’s initial offering price and the number of years from the dated date to each respective maturity, doing so on a 12-month, 360-day year basis. We express no view regarding the legal sufficiency of the above computations or the correctness of any legal interpretation made by Bond Counsel. Further, notwithstanding the Underwriter having performed the calculations as set forth in the Statistics using the DBC Software, we remind you that we are not accountants or actuaries, nor are we engaged in the practice of law. Attachment 6 Page 550 of 901 4810-6766-7665.8 F-3 The representations set forth in this certificate are limited to factual matters only. Nothing in this certificate represents the Underwriter’s interpretation of any laws, including specifically Sections 103 and 148 of the Internal Revenue Code of 1986, as amended, and the Treasury Regulations thereunder. The undersigned understands that the foregoing information will be relied upon by the Issuer with respect to certain of the representations set forth in the Tax Certificate and with respect to compliance with the federal income tax rules affecting the Bonds, and by Jones Hall in connection with rendering its opinion that the interest on the Bonds is excluded from gross income for federal income tax purposes, the preparation of the Internal Revenue Service Form 8038-G, and other federal income tax advice that it may give to the Issuer from time to time relating to the Bonds RBC CAPITAL MARKETS, LLC as Underwriter By: Name: Title: Dated: __________, 2022. To Be Attached: EXHIBIT A — Sale Prices [same as Exhibit A in purchase contract] SCHEDULE B — Final Pricing Wire Attachment 6 Page 551 of 901 Page 1 of 2 Agenda Item No: 12.a. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-26 AGENDA SUMMARY REPORT SUBJECT: Receive Status Report and Consider Any Action or Direction Related to the Novel Coronavirus (COVID-19) Emergency Including Operational Preparedness and Response; Continuity of City Operations and Services; Community and Business Impacts; and Any Other Related Matters. DEPARTMENT: City Manager / Admin PREPARED BY: Tami Bartolomei, Office of Emergency Management Coordinator PRESENTER: Tami Bartolomei, Office of Emergency Management Coordinator ATTACHMENTS: None Summary: The City Council will receive a status report and consider any action or direction related to the Novel Coronavirus (COVID-19) Emergency including operational preparedness and response; continuity of City operations and services; community and business impacts; and any other related matters. Background: On March 4, 2020, California Governor Gavin Newsom declared a State of Emergency in California in response to the COVID-19 pandemic. The County of Mendocino declared a State of Emergency related to the COVID-19 on March 4, 2020. On March 17, 2020, the City Manager, acting as the Director of Emergency Services, declared the existence of a local emergency. On March 18, 2020, City Council approved a Resolution ratifying the proclamation declaring the existence of a local emergency. Since the onset of the emergency, the City of Ukiah has worked to respond to the public health and safety needs of the community in cooperation with the County of Mendocino and other partners. The local response for public health is lead regionally by the County of Mendocino and the County's Public Health Officer. In addition, the City of Ukiah has worked to maintain the continuity of public services including public safety, water, sewer, electric, airport, public works, and other essential activities. Discussion: As coronavirus “COVID-19” continues to evolve, the City of Ukiah continues to monitor the situation and respond to the emerging needs of the community. The City is in continued contact with local and state agencies, as well as community partners, hospitals, schools, and neighboring cities to ensure we have the most updated information pertaining to COVID-19 and are coordinating efforts. Reports and/or information from the City of Ukiah's Emergency Operation Center (EOC) may include, as necessary: * Emergency Operation Center (EOC) Status * COVID-19 Case Updates * Public Information Officer * Medical Services Page 552 of 901 Page 2 of 2 * School/Education * Public Safety (Police/Fire/EMS) * Shelter in Place Monitoring and Compliance * Community Service Groups * Homeless Response * Business Impacts/Services * Public Infrastructure/Construction Status * City Finance * Recovery Efforts and Planning * Other Related matters Staff will provide a status report to City Council and will seek direction or action on operational preparedness and response; continuity of City operations and services; community and business impacts; and any other related matters. Go to the City's website (www.cityofukiah.com) for direct access to information related to the Novel Coronavirus (COVID-19) emergency, including local updates, City Services, Community/Resident Information, and Business Resources. Recommended Action: Receive status report and consider any action or direction related to the Novel Coronavirus (COVID-19) Emergency including operational preparedness and response; continuity of City operations and services; community and business impacts; and any other related matters. BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: Sage Sangiacomo, City Manager Page 553 of 901 Page 1 of 2 Agenda Item No: 12.b. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1295 AGENDA SUMMARY REPORT SUBJECT: Award Professional Services Agreement to GHD Engineers, Inc. in the Amount of $239,393 to Prepare the Plans, Specifications, and Estimate for the Talmage Road Rehabilitation Project, and Approve Corresponding Budget Amendments. DEPARTMENT: Public Works PREPARED BY: Andrew Stricklin, Associate Engineer PRESENTER: Tim Eriksen, Director of Public Works / City Engineer ATTACHMENTS: 1. RFP Talmage Rehabilitation 2. GHD - Talmage Road Rehabilitation Project 3. GHD - Talmage Road Rehabilitation Project - Fee Proposal 4. 12b, c, & d Correspondence Received - Councilmember Rodin Summary: The City Council will consider awarding a professional services agreement to GHD in the amount of $239,393 to prepare the plans, specifications, and estimate for the Talmage Road Rehabilitation Project, and approve a corresponding budget amendment. Background: This project is for the design of the rehabilitation of Talmage Road from Airport Park Blvd. to State Street. Design for this project will include the anticipated paving overlay of the roadway where appropriate on a highly traveled route in disrepair. To improve pedestrian travel along this roadway, as well as provide better access to the Great Redwood Trail, City staff is seeking the design of missing sections of sidewalk on both the north and south side of Talmage Road which will likely require the widening of the existing crossing over Doolin Creek as well as placement of a new pedestrian bridge over the creek near the west end of this project. Design will also include construction of all necessary pedestrian ADA curb ramps within the scope of this project. Discussion: The City issued a request for proposals (Attachment 1) and sent it to local firms. In addition, staff posted the RFP on the City's website through eBidboard on December 16, 2021. In response to the City's RFP, two consulting firms submitted a proposal including GHD Inc. and BKF Engineers. The selection committee consisting of City staff reviewed the proposals and selected GHD as the recommended consultant to design this project. GHD's billing rates are consistent with industry standards and their proposal best fits with the request and scope of this project. GHD's proposal (Attachment 2) and the cost proposal (Attachment 3) are included with this report for reference. GHD's cost for the proposed work is $239,393. Staff recommends award of a professional services agreement to GHD in the amount of $239,393. A subsequent budget amendment is also requested. The funding source for this project will be the Series 2022 Lease Revenue Bonds. Throughout the design process for this project, the Complete Streets Ad Hoc (Rodin, Crane) will continue to be engaged. Page 554 of 901 Page 2 of 2 Recommended Action: Award professional services agreement to GHD Engineers, Inc. in the amount of $239,393 to prepare the plans, specifications, and estimate for the Talmage Road Rehabilitation Project, and approve corresponding budget amendments. BUDGET AMENDMENT REQUIRED: Yes CURRENT BUDGET AMOUNT: 25200000.90410.18311: $0; 25224220.80230.18310: $0 PROPOSED BUDGET AMOUNT: 25200000.90410.18311: $239,393; 25224220.80230.18310: $239,393 FINANCING SOURCE: Series 2022 Lease Revenue Bonds PREVIOUS CONTRACT/PURCHASE ORDER NO.: COORDINATED WITH: Tim Eriksen, Director of Public Works / City Engineer Page 555 of 901 CITY OF UKIAH REQUEST FOR PROPOSAL PREPARATION OF PLANS, SPECIFICATIONS & ESTIMATE FOR TALMAGE ROAD REHABILITATION PROJECT PROPOSALS DUE NOON, JANUARY 31, 2022 ATTACHMENT 1 Page 556 of 901 1 REQUEST FOR PROPOSAL TALMAGE ROAD REHABILITATION PROJECT December, 2021 GENERAL INFORMATION/PROJECT LOCATION The City of Ukiah has a population of 16,075 people and is located approximately 115 miles north of San Francisco, CA on the US Highway 101 corridor. Ukiah is also the retail, government, and medical service hub to an area reaching a 50-mile radius and experiences a daytime service population exceeding 35,000 people. The City of Ukiah will be using internal Capital Improvement funding for utility and street rehabilitation items. The project limits are within the City limits of Ukiah on Talmage Road from Airport Park Blvd. to State Street approximately 1,660 LF. (Attachment “A”) The Talmage Road Rehabilitation Project is a rehabilitation of pavement, construction of new sidewalks and addition of a pedestrian bridge approximately 40’ over a seasonal creek. Elements of this project include: • Construction of asphalt overlay with edge grind on Talmage Rd. from Airport Park Blvd. to State St. • Construction of five-foot sidewalk on the south side of Talmage Rd. from Lewis Lane toward State St. approximately 470 LF. • Construction of new five-foot sidewalk on the north side of Talmage Rd. from the railroad tracks to Perry St. approximately 575 LF. • Construction and placement of a rail car bridge over Doolin Creek approximately 40’ in length. • Construction of pedestrian accessible sidewalk on existing culvert adjacent to Lewis Lane with possible widening modification to culvert or method as recommended by consultant. • New striping plan with crosswalks in thermoplastic for project limits. • Address and design any Low Impact Development features as needed per regulations. The City of Ukiah is requesting proposals from qualified firms for the preparation of Plans, Specifications & Estimate for the Talmage Road Rehabilitation Project. Inspection and construction contract administration are not part of this request for proposal. There are no DBE goals for this project, however, DBE participation is encouraged. SCOPE OF SERVICES The scope of services of this project is the preparation of Plans, Specifications & Estimate for the Talmage Road Rehabilitation Project. The Consultant’s proposal shall include, but not be limited to, the following: • Coordinate a pre-project kick-off meeting. • Review and evaluate existing documents and data. • Perform a topographic survey, determine location of street and railroad rights-of-way and easements, identify and locate existing street improvements and utilities to be replaced. • Submit Preliminary Plans and cost estimate to the City for review and comment at the 30% stage. • After approval of the 30% design phase by the City, the consultant shall begin final design of the project. Scope of work shall include, but not be limited to, the following: pavement rehabilitation, including geotechnical investigation as required, utility/electrical/lighting adjustments, striping, concrete and curb ramp improvements. • Submit design plans, specifications and cost estimate to the City for review and comment at the 60%, and 90% stage. Page 557 of 901 2 • Prepare a Storm Water Pollution Prevention Plan (SWPPP) for submission to the North Coast Regional Water Quality Control Board for the purpose of obtaining coverage under the General Permit for Discharges of Storm Water Associated with Construction Activity, if the disturbed area of the project is over one acre. Proposal shall provide optional cost for preparation of SWPPP. • Provide any necessary permits with Fish & Wildlife and the Waterboard for work around the creek if required. • Receive comments and prepare final plans, specifications and cost estimate for bid purposes. Provide one digital set of plans in both PDF and AutoCAD formats and one digital PDF set of specifications. AutoCAD drawings will be provided to the contractor for the purposes of construction survey. EXISTING DOCUMENTS • Existing Sewer utilities map • Existing Water utilities map • Project limits map SCHEDULE Anticipated completion date, task, and time to complete task: • December 2021 Issue Consultant Request for Proposal • January 31, 2022 Proposals due (approx. 8 weeks) • February 16, 2022 City Council Award Consultant Contract • February 2022 Kick-off meeting • April 2022 Submit draft Conceptual Plan (30%) • July 2022 Submit draft (60%) plans, specifications & estimate (PS&E) • September 2022 Submit draft (90%) PS&E • October 2022 Submit final PS&E The above scope of services and schedule does not preclude the Consultant, based on his or her project understanding and experience, from developing and proposing an alternative approach and schedule for achieving the City’s goal of a timely and successful project completion. CONSULTANT’S PROPOSAL Proposals shall be labeled “Talmage Road Rehabilitation Project”. Proposals shall be submitted to: pwproposal@cityofukiah.com astricklin@cityofukiah.com Submit (1) one electronic copy. Proposals must be received prior to noon, January 31st, 2022. Proposals shall include as a minimum the following: Project approach and schedule Describe the proposed approach and procedures to be used in completing the tasks described in the Scope of Services. Include a proposed schedule showing completion of the various tasks. Cover letter The cover letter should include a brief overview of the specific approach and procedures the firm proposes to complete the tasks described in the Scope of Services. Please explain why the Consultant’s proposal is the best proposal for the City. The cover letter must be signed by an offic ial authorized to bind the successful firm contractually and shall contain a statement to the effect that the proposal is a firm offer for a minimum period of thirty (30) days after the submittal date. The letter accompanying the proposal shall also provide the following: name, title, address, and telephone number of individuals with the authority to negotiate a contract and bind the consultant to the terms of the contract. Page 558 of 901 3 Project team Describe the qualifications and experience of the firm as related to the project, and the proposed staff to be assigned to this project. Describe the qualifications and experience of any proposed sub-consultants and identify the work they will accomplish. Firms, sub-consultants and proposed staff must demonstrate experience with similar projects. Staff proposed to be in charge of the project must demonstrate significant experience supervising similar work. Describe the proposed team organization, current and previous work assignments, and man-hours budgeted for each team member. Provide the name and brief resume of the individual who will be in responsible charge of the project along with the names and brief resumes of the firm’s staff who will be assigned to the project. Example work product Provide a minimum of one example work product which includes an evaluation with illustration of a project with similar or comparable scope of work. Fee proposal Provide a fee proposal based on an hourly rate schedule with a “not to exceed” maximum cost for all work identified in the Scope of Services. Provide a tabulation of the project staff and number of work hours for each task. Indicate if travel time, mileage, and per diem will be charged. Include any sub-consultant cost. Additionally, please identify miscellaneous costs associated with this proposal. Submit a copy of your firm’s current itemized hourly rate fee schedule. Please submit the fee proposal in a separate email titled “Talmage Road Rehabilitation Project - Fee Proposal” to Andrew Stricklin at astricklin@cityofukiah.com References Provide a list of similar projects for which the firm has completed similar projects with a list of at least three client references associated with these projects. Include client references for any proposed sub- consultants. Provide names of contact person, addresses and telephone numbers for all client references. Exceptions Identify any exceptions you are proposing with respect to the Scope of Services. Additionally, if there are any exceptions to the City’s insurance requirements and/or the City’s draft professional services agreement as shown in Attachment “C,” the Consultant should list the exceptions in the proposal. INSURANCE REQUIREMENTS The insurance requirements are set forth in Attachment “C”. EVALUATION OF CONSULTANT’S PROPOSAL The following evaluation criteria and maximum points will be used in evaluating and selecting candidates: 1. Understanding of the work to be done. 30 2. Experience with similar kinds of work. 20 3. Quality of staff for work to be done. 20 4. Capability of developing innovative or advanced techniques. 10 5. Financial responsibility. 10 6. Demonstrated Technical Ability. 10 SUPPLEMENTAL REFERENCE INFORMATION The following documents are provided for your reference: • Location Map, Attachment “A” • A draft professional services agreement, Attachment “B” • Insurance Requirements, Attachment “C” RIGHT OF REFUSAL Page 559 of 901 4 The City reserves the right to reject any and all proposals without qualifications. Proposals will be considered only in their entirety. The City reserves the right to negotiate the specific requirements and costs for the Talmage Rehabilitation Project. QUESTIONS Questions shall be directed to: Andrew Stricklin, Associate Engineer (707)463-6297 astricklin@cityofukiah.com Page 560 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project I Proposal for: Talmage Road Rehabilitation Project City of Ukiah January 31, 2022 → The Power of Commitment ATTACHMENT 2 Page 561 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project I © GHD 2022 This document is and shall remain the property of GHD. The document may only be used for the purpose of assessing our offer of services and for inclusion in documentation for the engagement of GHD. Unauthorized use of this document in any form whatsoever is prohibited. Proposal Evaluation Understanding of the work to be done − Section 2 - Understanding and Approach, pages 3 - 10 Experience with similar kinds of work − Section 5 - References, pages 28 - 46 Quality of staff for work to be done −Section 3 - pages 23 - 26, Appendix A - Resumes Capability of developing innovative or advanced techniques − Section 2 - Understanding and Approach, pages 3 - 10, Section 5 - References, pages 28 - 46 Financial responsibility − Section 3 - Project Team, page 19 Demonstrated technical ability − Section 5 - References, pages 28 - 46 Contents 1.Cover Letter 1 2 Understanding and Approach 3 Scope of Services 11 3 Project Team 19 Firm Qualifications 19 Our Subconsultant 19 Team Structure and Members 22 Key Team Member Introductions 23 4 Fee Proposal 27 Submitted in a separate email 5.References 28 6.Exceptions 47 Appendix A Team Member Resumes Page 562 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project II → Cover Letter 01 Page 563 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 1 GHD 2235 Mercury Way, Suite 150, Santa Rosa CA 95407 1 707 523 1010 January 31, 2022 Proposal No. 12571020 Mr. Andrew Stricklin, Associate Engineer City of Ukiah – Department of Public Works 300 Seminary Avenue Ukiah, CA 95482 RE: GHD Proposal for Talmage Road Rehabilitation Project Dear Mr. Stricklin, The design of the Talmage Road Rehabilitation Project is an important infrastructure renewal project for the City of Ukiah (City) as it furthers the City's efforts to revitalize and renew key arterial roads that connect U.S. 101 with the South State Street corridor and the downtown area. This is a unique project with some interesting challenges and is similar in scope to the work we performed on the Redwood Business Park Transportation Improvements project and the Great Redwood Trail projects. These similar projects are located adjacent to this project, and we believe that our experience on those projects uniquely qualifies us to design this project. The City is seeking an experienced team of engineers with knowledge of the local conditions and ability to develop and deliver innovative design solutions to cost-effectively rehabilitate the existing road pavement. Bringing our recent experience on the very similar Ukiah projects, the GHD team has the knowledge, expertise, and capabilities to meet or beat the City's schedule and successfully deliver this project. Our team has developed a thorough understanding of the key design issues and the services requested by the City for this proposal. With our knowledge of the City's goals, our team has compiled information and resources from our previous projects including City utility records, geotechnical records, and Right-of-Way mapping, as well as identified coordination needs along the Talmage Road corridor. We are confident we can deliver the right project on-time and within budget. Our proposal demonstrates our understanding of the project. It also illustrates these strengths of our team: Strong Team Leadership: Project Director, Matt Kennedy, PE, TE, ENV SP and Project Manager, Erik Fanselau, PE, CFM, LEED AP, are both very familiar with delivering similar projects. They are also experienced in overcoming project challenges and meeting project budget and schedule. Matt has successfully delivered numerous City of Ukiah projects, and understands how to complete projects effectively and efficiently, and to work collaboratively with City staff. Erik has over 23 years of experience with civil design and project management experience working for a variety of public agencies and share's Matt's passion for project excellence. A Proven Team with City of Ukiah Experience: Many members of our team, including our subconsultant, have worked together on other City projects such as the Ukiah Redwood Business Park and Talmage Road Interchange, the Downtown Streetscape Improvements Projects and the Ukiah Great Redwood Trail Projects. Our familiarity working together in partnership with the City, will help streamline delivery and enable efficient performance. Innovative Approach to Delivering the Design: As described in our Approach, we propose to perform most of the survey using GHD's Light Detection and Ranging (LiDAR) scanner, which is extremely accurate, will significantly reduce the survey cost and save time in the schedule. This innovative survey method can be used on other City projects to significantly reduce cost and shave weeks off the schedule. We are excited to share this advanced capability with you. Extensive Roadway Replacement and Pavement Rehabilitation Experience: With over 19 years of experience, Matt Kennedy has delivered numerous successful road rehabilitation and pedestrian improvement projects. Erik Fanselau has over 23 years of experience with similar roadway projects. This leadership team has the experience to successfully deliver this project to the satisfaction of the City. We will also work with pavement enhancement product suppliers to develop options for cost-effective and long-lived improvements. 1. Cover Letter Page 564 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 2 Customer Service and Responsiveness: We believe the key to delivering a successful project is strong communication from start to finish. We pride ourselves on our prompt replies to City inquiries and proactive engagement. In addition, we plan to have a design workshop and frequent project update meetings with the City to make sure project challenges don't become issues and problems. Erik will have bi-weekly check-in meetings with the City and design team to discuss issues, resolutions, and design progress deliverables. We look forward to the opportunity to continue supporting the City in improving the infrastructure and quality of life of Ukiah and encourage you to reach out with any questions about our qualifications and the approach we have presented. This proposal is a firm offer for a minimum period of thirty (30) days after the submittal date and is signed by Matt Kennedy, a GHD official authorized to contractually bind the firm. Sincerely, Matt Kennedy, PE, TE, ENV SP Erik Faselau, PE, CFM, LEED AP Project Director Project Manager +1 707 540 3376 +1 916 690 9937 matt.kennedy@ghd.com erik.fanselau@ghd.com Page 565 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project v → Understanding and Approach 02 Page 566 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 3 Street and Airport Park Boulevard. New striping will also be included along with high-visibility crosswalks. On the west end of the project, the new sidewalk along the south side of Talmage Road will be constructed along the south bank of Doolin Creek. This will require relocating the existing chain link fence on City property approximately 8 feet to the south to provide room for the sidewalk. The creek crossing will occur at the eastern boundary at the Speedway Service Station near the intersection with South State Street. It is anticipated that a used 20 to 40-foot-long railroad flat car will be used for the bridge, similar to the bridges installed for the Great Redwood Trail creek crossings. These are available locally and have proven to be cost effective. The bridge will be set upon new abutments on each bank of the creek and handrails will be added for safety. Figure 1 shows a concept rendering of this bridge and sidewalk. To offset the in-channel work that will be necessary to construct the bridge, we anticipate that some mitigation measures will be required by resource permitting agencies. Mitigation could take the form of planting oak or other native trees along the bank to shade the creek channel, as shown in the concept rendering. Another measure could include removal of large trash and debris items from the creek. A limited hydraulic analysis of Doolin Creek will be performed for the new bridge design to make sure the bridge is above the 100-year flood elevation. GHD’s previous hydraulic and floodplain work will be referenced. 2. Understanding and Approach Project Understanding The Talmage Road Rehabilitation Project consists of the reconstruction and rehabilitation of approximately 1,660 linear feet (LF) of pavement between Airport Park Boulevard and South State Street, excluding the rail crossing area that was improved as part of the Great Redwood Trail. The pavement work will generally consist of an edge grind and asphalt overlay. New curb and gutter may also be needed in select areas as part of the sidewalk infill. In addition, another key goal of this project is to improve pedestrian safety along this route. Talmage Road is a key corridor in the City as it connects to U.S. 101 and provides access to South State Street and the City core. It is classified in the General Plan as an arterial roadway, intended to move traffic into and through the City. As a result, this street sees a high volume of vehicle traffic including heavy trucks, which creates a safety issue for bicycles and pedestrians. This is compounded due to the gap in sidewalk on the north side between Cunningham Street and Perry Street and on the south side between Lewis Lane and the Speedway Service Station. The lack of continuity creates an ADA path of travel compliance and safety issue. We understand the importance of bicycle and pedestrian connectivity to the community. Multi-modal circulation will be improved with the connection to the Great Redwood Trail and existing routes along South State Figure 1. Concept rendering of new pedestrian bridge over Doolin Creek and new adjoining sidewalk. Page 567 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 4 To cross Doolin Creek along the north side of Talmage Road near Lewis Lane, it will be necessary to extend the existing box culvert to provide room for the sidewalk. Figure 2 shows a concept rendering of the culvert extension. We anticipate that the box culvert extension will demolish the existing wing walls and require construction of cast-in-place concrete with dowels into the existing structure. As with the bridge construction, GHD will perform a limited hydraulic analysis to confirm hydraulic capacity and the water surface elevation. Doolin Creek is ephemeral, and it’s expected that this construction will be performed during the dry season when there is no flows in the creek. Dewatering, coffer dams and/or bypassing flows should not be necessary. Also, the existing guardrail along the road will be removed and handrails will be provided along the back of the sidewalk. The City of Ukiah adopted the Storm Water Low Impact Development (LID) Technical Design Manual developed by the City of Santa Rosa and County of Sonoma. This manual describes the LID triggers and exemptions. Typically, projects reconstructing or rehabilitating pavement on arterial roadways trigger the requirement to implement LID stormwater quality improvements, and it is possible that LID stormwater quality enhancements might be needed in this project. Approach Our team’s approach is founded not only on our understanding of the project but on the specific individuals assigned to this project. Our team is highly qualified in the design and construction of roadway rehabilitation. We bring the design expertise, local knowledge, and pavement industry connections that will result in the most cost-effective design solutions for the City. We are confident that the GHD team will provide the City with the information and recommendations needed to make informed decisions about the design, so the Talmage Road Rehabilitation Project is as successful as possible. In reviewing the project and developing our approach, we have identified the following key design and construction considerations. While this is not an overly complex project, there are some important items to address during design, so environmental and permit approvals are smooth, and construction proceeds without change orders due to unforeseen or changed conditions. The successful completion of this project hinges on the resolution of these issues. Our team will address these issues using the comprehensive approach described below and within a schedule that meets the City’s goal of constructing this project during the 2023 construction season. Addressing Design and Construction Challenges We have thoroughly investigated the project and identified key design, construction and operation constraints. These challenges are documented below and will be discussed and confirmed with the City. Mitigation/resolution options Figure 2. Concept rendering of culvert extension and new adjoining sidewalk. Page 568 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 5 are also identified. Resource Agency Permitting for Doolin Creek Crossings It is our expectation that the two crossing improvements over Doolin Creek will require permits through the U.S. Army Corps of Engineers (USACE), the North Coast Regional Water Quality Control Board (NCRWQCB), and California Department of Fish & Wildlife (CDFW) because the improvements will involve in-channel impacts. In a preliminary review of the California Natural Diversity Database (CNDDB), it appears that foothill yellow-legged frog may need to be addressed at the project site. It has been found on other drainages within a mile of the project site. Habitat for this species will be verified during a biological resources site investigation. Effective environmental impact assessment and permit acquisition requires a solid basis in science. Our staff of scientists, led by Kristine Gaspar, is recognized for experience and expertise in providing clear and concise habitat assessments, feasible cost-effective mitigation, and efficient navigation of the permit process. GHD’s approach is to have our scientists involved early in the project, to help identify possible environmental issues and offer feedback on how to minimize impacts through design. GHD biologists and planners prepared biological reports, relevant regulatory permit applications, and a habitat mitigation and monitoring approach for Phase 2 and Phase 3 of the Great Redwood Trail, both of which involved new pedestrian bridges over Orrs Creek and Doolin Creek. With input from our environmental team, GHD engineers will minimize impacts to Doolin Creek. This approach will result in productive engagements with the regulatory agencies, and a streamlined permitting process. For this project, GHD scientists will support the City by preparing necessary biological reports to support California Environmental Quality Act (CEQA) and permit approvals, and we will lead the regulatory permitting efforts. Bridge Hydraulic Requirements FEMA has developed a hydraulic model for Doolin Creek, which shows that the channel and part of Talmage Road in the project area are in the "regulatory floodway" and in the mapped flood zone. This requires a hydraulic analysis that verifies there will be a "no net rise" in the base flood elevation (BFE) from the new pedestrian bridge and sidewalk. Our approach is to obtain the existing hydraulic model from FEMA, perform the hydraulic analysis to determine the bridge and sidewalk elevations that will result in a "no-net-rise" in the FEMA regulated flood way. If the FEMA model is unavailable we will develop a duplicate effective model using the creek channel survey for the analysis, which may be a simpler approach. The expected design will involve some widening of the creek channel and setting the sidewalk at an elevation to maintain the flood elevation in FEMA regulated flood way. A technical memorandum will be provided to the City to be kept on file in the event of a FEMA audit. The hydraulic model will also be used to evaluate the design of the bridge and channel and develop channel scour countermeasures in the vicinity of the bridge. Figure 3. FEMA Flood Map Managing Stormwater and LID Triggers As described in the RFP, it is possible that the project could require inclusion of LID to treat and attenuate stormwater runoff from Talmage Road before it enters Doolin Creek. LID improvements can be expensive. Our review of the Stormwater LID Technical Design Manual “Project Triggers” shows that, depending on the approach, the project could create or replace 10,000 square feet or more of impervious area, which is the threshold where LID is required. There is about 900 feet of new sidewalk infill required, which amounts to about 4,500 square feet assuming a 5-ft wide sidewalk. The pavement improvements could be considered a "Routine Maintenance Activity" and be exempt from the LID requirements. A "Routine Maintenance Activity" includes overlays, resurfacing, and/or road pavement structural section rehabilitation (including Full Depth Reclamation (FDR)) of existing roads as well as patching activities. Replacement of existing pedestrian ramps to maintain compliance with current Americans with Disabilities Act (ADA) Requirements is considered routine maintenance. With this framework in place, GHD’s approach is to qualify the project as a "Routine Maintenance Activity" by limiting new and replacement impervious area to less than 10,000 Page 569 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 6 squre feet. This approach would also mean a Storm Water Pollution Prevention Plan (SWPPP) is not required, and a Water Pollution Control Plan (WPCP) can be used instead. Pavement Rehabilitation Options To meet the LID exemption, pavement rehabilitation activities down to subgrade should be limited, and overlays relied upon more heavily. The approach to limiting full-depth reconstruction to specific pavement failure areas will also help keep the cost of the project down. From our review of the existing pavement condition, we observed some failure areas and potholes, most of which are between the Great Redwood Trail crossing and State Street. A few failure areas are also present between Airport Park Boulevard and the Great Redwood Trail crossing in the eastbound lanes. We believe a good approach is to use targeted dig-out repairs of failure areas and a mill and overlay of the remaining pavement that is still in serviceable condition. Pavement and subgrade enhancement geotextiles or geogrids could be used in dig-out repairs to provide additional strength and lengthen the design life, if desired. As a part of our proposal, GHD engaged two pavement and subgrade enhancement product suppliers to assist us in identifying conceptual pavement rehabilitation methods that could be implemented to reduce cost and extend the design life of the road section. We discussed the project with representatives at Pacific GeoSource and at TenCate Geosynthetics. Both companies manufacture, design, and provide guidance on the proper selection of subgrade and pavement enhancement solutions to reduce cost and increase the design life of asphalt pavements. Both companies have assisted in the design of and provided products on previous Ukiah projects, including the Redwood Business Park Transportation Improvement project and the Downtown Streetscape Phase 1 project. Pacific GeoSource is also the supplier of the FORTA-FI Asphalt Reinforcement Fibers (aramid fibers). The incorporation of reinforcement systems into flexible pavement leads to stronger and more sustainable roads, including these benefits: −Increased Structural Capacity −Reduced Life-Cycle Costs −Reduced Maintenance −Minimized Reflective Cracking −Extended Pavement Life −Accelerated Construction Times We know from our previous design work on Talmage Road, Airport Park Boulevard, and the Great Redwood Trail that subgrade soils are alluvial and consist of fine- to course-grained sandy silts, silty clays and clays with some interspersed gravels. Widespread lateral continuity is expected, but some variability could occur near Doolin Creek and soils could be moderately expansive due to clay content. Groundwater is typically at least 10 feet deep, but has been observed shallower during the rainy season and near streams. R-values from soil tests performed for the Redwood Business Park Improvements project are between 57 and 65, and soils are generally considered non-expansive. The original pavement section on Talmage Road within the Caltrans right of way was 4” Hot MIx Asphalt (HMA) on 8 inches of cement-treated base (CTB) and 6 inches of aggregate subbase. The section thickness between Airport Park Boulevard and South State Street may be the same, but should be confirmed during design. In developing preliminary pavement rehabilitation options, we considered a 20-year design life, a Traffic Index (TI) between 9.0 and 11.0 and a conservative subgrade R-value of 40. This TI range is generally associated with an arterial street. For reference, the City of Santa Rosa requires a minimum TI of 9.0 for arterial street pavement designs, and a minimum pavement section of 5.4” of HMA over 9.6” of Class 2 Aggregate Base (CL2AB). Santa Rosa also requires an R-value of 5 (weak soils) if R-value testing is not performed. A low R-value can significantly increase the section thickness and construction cost. Using these parameters, a conventional pavement section is as summarized in the table below. Traffic Index HMA Thickness (in) CL2AB Thickness (in) 9.0 4.5 9.6 10.0 6.6 10.2 11.0 7.2 11.4 Table 1 . Conventional Pavement Sections Incorporating subgrade enhancement geotextiles or geogrids into the design of dig-out repairs can further strengthen the subgrade and reduce the section thickness. Including pavement interlayers can also be considered and are particularly useful in strengthening existing pavement where the desired improvement is a mill and overlay. A Page 570 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 7 cost analysis will be performed to determine whether it’s cost-effective to use these methods in this project We believe an edge grind, crack-seal and overlay approach like what was done for the southern portion of Airport Park Boulevard will provide long pavement life and help meet the LID exemption. In the Redwood Business Transportation Improvements Project, the southern portion of Airport Park Boulevard was in good condition but was too thin and didn’t meet the expected heavy vehicle load rating. Rather than reconstruct the pavement section, we designed a special overlay that added the required strength and mitigated future reflective cracking. Below is a summary of what was constructed: 1. An 8-foot wide edge grind was performed to the gutter lip and all existing cracks were sealed. 2. Next, a leveling course was placed over the pavement to address any grade corrections needed and achieve an acceptable cross-slope for drainage. 3. A paving grid was then installed across the entire roadway to increase the tensile strength of the pavement and mitigate reflective cracking before a final overlay was installed. FORTA-FI Asphalt Reinforcement Fibers (aramid fibers) were also used in the hot mix design for added tensile strength. The resulting pavement section achieved a Traffic Index (TI) of 10.5, which is the same as or very similar to the TI for this segment of Talmage Road. This project is an excellent candidate for the same approach. However, prior to the overlay, limited dig-out repairs should be performed to first address the failure areas and potholes. Figure 4 below shows an example of what this type of overlay on Talmage Road could look like for this project. Including a paving interlayer in the overlay would help maintain most of the existing pavement that’s still serviceable, improve the finished condition, and provide a longer life. A paving mat would provide waterproofing, add tensile strength, delay reflective cracking, and extend pavement life. Tencate Geosynthetics and GeoSource have a lot of options when it comes to paving mats and paving grids, and we will explore these options and costs with the City during the early design. While developing our proposal, we asked about the need for geotechnical engineering for pavement design and the City requested it be included as an optional service. For this project, confirming the existing pavement section thickness and the subgrade R-value during design is important to developing the most cost-effective overlay design for pavement performance and to meet the LID exemption. Higher actual subgrade R-values and confirmation of the existing pavement section results in less conservative and lower cost rehabilitation options. We have included an optional task to perform borings and obtain subgrade soil samples for R-value testing. Construction Phasing to Minimize Disruption Talmage Road is an important arterial street connecting the U.S. 101 with Airport Park Boulevard and South State Street, which are key truck delivery routes. As such, it is important that the team be aware of and consider the potential negative impacts transportation disruptions can have on the movement of people and goods. Ideally, disruptions of service to businesses around the project area will be minimized by a thoughtful traffic control plan prepared and executed by the contractor. Some public outreach should be performed to keep the community informed and aware of the project timing and short-term construction impacts the project will have. We understand that the City will handle the majority of the public outreach efforts. GHD can provide additional support for community meetings and other outreach activities in advance of construction, if needed. The City typically allows construction from approximately 7:00 am to 7:00 pm, with night work upon City approval, if needed. Night work is not anticipated, but could benefit Figure 4. Talmage Road Overlay Example Page 571 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 8 Sheet #Drawing #Title 10-13 C-105 to C-108, Pavement Restoration Plans 14-18 C-301 to C-305 Cross Sections 19-22 P-101 to P-104 Signing and Striping Plans 23 C-401 Pedestrian Ramp Details 24 C-501 Civil Details 1 25 C-502 Civil Details 2 26 S-001 Structural Notes, Symbols and Abbreviations 27 S-002 General Structural Details 28 S-101 Pedestrian Bridge Plan and Section 29 S-102 Culvert Extension Plan and Section 30 S-501 Structural Details Effective Communication Communication throughout the design process is key to meeting the desired project goals. With this in mind, we have allowed adequate effort for review meetings, coordination with the City’s project manager, and coordination with the City’s street and drainage maintenance team. Input from the department responsible for maintenance of streets is very important for the design team so the project minimizes maintenance requirements and addresses lessons learned on previous projects. GHD will meet with City staff to obtain review comments following each submittal, as well as in biweekly status calls. These meetings will be tailored to the needs of City staff. We will place a priority on making these meetings as efficient as possible to be sensitive to the demanding schedules of City personnel. GHD will prepare meeting agendas and meeting minutes for the City. Survey and Mapping One of the most critical aspects of a project is developing an accurate base map for design and doing so in an efficient, accurate and cost-effective manner. For this project, we propose a unique approach to surveying and base map development that rapidly and accurately collects survey data for the entire corridor. Our innovative the project similar to what was done on the Redwood Business Park project. Traffic control plans will be required by the contractor following California Manual on Uniform Traffic Control Devices (MUTCD) requirements to maximize the efficiency of construction means and methods, while minimizing disruptions to the local businesses and residents. Design Development GHD proposes to conduct a preliminary design workshop as part of the kick-off meeting, followed by a site visit with City staff. The entire meeting and site visit would last about 3 hours. We find that having a preliminary design workshop and site visit at the start of the project provides a great opportunity for early collaboration and sharing of ideas and innovations. It increases the design team’s efficiency because we will have clear direction on how to approach key elements. It is an effective way of getting the project off to a running start, contributing to delivery efficiency. We will also prepare a basis of design (BOD) technical memorandum with the 30% design submittal to document the project design criteria, applicable standards, staging area considerations, suggested traffic handling and detours, and suggested construction sequencing. The BOD will include discussion items from the design workshop and confirm the design approach and permitting strategy. It will also serve as an important guide to the design team, and a reference document for both the City and design team throughout the project. Following the City’s approval of the 30% design, GHD will commence with 60% design. Plans, Specifications, and Estimates (PS&E) will be prepared and submitted to City review at 30%, 60% and 90%, with the 90% design being essentially complete. Any remaining minor comments on the 90% design would be addressed in the final PS&E issued for bidding. GHD has prepared the anticipated sheet index below. Table 2. Plan Sheet Index Sheet #Drawing #Title 1 G-001 Title Sheet 2 G-002 General Notes, Symbols, Abbreviations 3 G-003 Typical Cross Sections 4 G-004 Alignment and Survey Control 6-9 CD101 to CD104 Demolition Plans Page 572 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 9 survey approach was developed by our Principal-in- Charge, Matt Kennedy and has been used successfully on several projects, saving clients hundreds of thousands of dollars. It leverages GHD’s vehicle-mounted LiDAR mapping system for very rapid point cloud collection on active roadways with no traffic control needed. The LiDAR scanning is supplemented with traditional survey methods to establish survey control, tie in benchmarks and boundaries, and map utilities. The vehicle-mounted LiDAR system produces higher precision and more accurate surveys than air-based drone LiDAR surveys, because the precision of air-based systems diminishes with increasing laser return distance. vehicle-mounted LiDAR mapping is also significantly more accurate than the aerial photogrammatic image-based methods being used by the consultant designing the Gobbi Street improvements. An example image of a 3D LiDAR survey is shown in Figure 6 below. Key advantages of our unique survey approach include: −Safety: LiDAR scanning keeps field personal out of active traffic. Mobile scanning is completed without traffic control or road closures. For safety, a light bar and sign on the vehicle indicates a mobile scan is in progress, and the scanning can be done at night when traffic is minimal. −Speed: Complete coverage of the entire roadway with only two passes, one for each direction. With a typical survey vehicle speed between 10-20 mph, the entire Talmage Road corridor can be scanned in less than 20 minutes. −Accuracy/Precision: Scans 700,000 georeferenced points/second at sub-centimeter accuracy within the roadway corridor area and up to 2 centimeters at a distance of 100 meters. Post-processing the point cloud against survey control efficiently extracts all 3D topographic features. The camera captures seamless photos simultaneously with the LiDAR scan for a high definition photo reference. All surface features are precisely mapped using this imagery. −Extremely Cost-Effective: The cost for us to capture and process the LiDAR data and deliver planimetric surfaces for Talmage Road is only $8,000. Most of this cost is in mobilization. With the supplemental survey, the entire survey cost for the corridor is only Figure 5. Truck-mounted LiDAR Scan Equipment Figure 6. LiDAR Scan Image Equipment: LiDAR USA Snoopy A-Series/Velodyne 32E + Ladybug5 Camera Accuracy: 2 cm @ 100m range Scan Speed: 700,000 points/secondImaging Speed: 30MP @ 30 frames/second Page 573 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 10 about $23,400. Using traditional survey methods, it would cost over $40,000 to survey Talmage Road and develop mapping. We are also providing a proposal on the Main Street Utilities Improvement project, and if we were selected for both project, the cost to perform the LiDAR surveys and deliver planimetric surfaces for both projects would be only about $9,500. Effective Project Management Effective project management begins with effective communication between the project manager and the project team, as well as between the project manager and City staff. Positive working relationships and effective project management are what lead to successful project delivery. We place high value on our relationships with City staff and are proud of our track record of successful project delivery. GHD’s formal standardized and proven project management procedures and protocols result in effective management and execution of our projects. GHD is committed to sustainable development, safety, and innovation. GHD operates under the Practice Quality Management System, ISO 9001:2015 and an Environmental Management System, ISO 14001:2015, both third-party certified. Our Project Manager, Erik Fanselau, will provide overall project management and maintain effective communication with the City’s project staff throughout the duration of the project. Our Project Director, Matt Kennedy, our QA/QC Manager, Pat Tortora, and our Project Manager, Erik Fanselau have all completed several road reconstruction/rehabilitation projects and pedestrian bridge projects, have an excellent working relationship, are well-versed in the City’s standards and procedures, and have a thorough understanding of the existing conditions. Financial Responsibility Effective cost control begins with confirmation of the total scope of work, establishing a realistic schedule for project implementation, and preparation of an accurate and appropriate budget. Our draft baseline schedule for the project is included after the Scope of Work. All of the tasks are integrally linked with the scope of work tasks and budget and move forward in coordination as the project progresses. The proposed schedule includes realistic time lines for all project tasks including meetings and milestone deliverables. Budgets are agreed to by all team members in advance, and tracked and managed as work progresses. If selected for this project we will work with the City to confirm the baseline schedule to ensure each task deadline is met. The Project Manager, Matt Kennedy, will implement corrective actions, if needed, and ensure the budget is not exceeded, take responsibility if overages occur, and inform the City if unforeseen circumstances arise. QA/QC Plan for the Project GHD is guided by proven Practice Quality Management System ISO 9001:2015 and an Environmental Management System ISO14001:2015, as noted above. GHD has a time tested and proven Project Quality Manual (PQM) used for every project. The PQM describes the project quality process that we follow during the development of design documents, studies, reports, and other project deliverables. Pat Tortora will develop a Project Quality Plan (PQP) for this project, to be used by the design team. The process starts when the project begins and ends with the completion of the final project approvals. Design Quality Control (QC) reviews are managed by the Quality Manager who, along with the Project Manager, are ultimately responsible for delivering quality work products to the City. Reviews are conducted to verify that project deliverables and supporting documents are complete and understandable, conform to appropriate standards and guidance, and meet GHD’s and City requirements and expectations. The Quality Manager makes sure the team adheres to the PQP, and that QA and QC review activities occur at the appropriate intervals. Quality management activities include: −Design reviews performed by exceptionally talented staff who are independent of the design team and committed to the highest levels of quality. −Verifying the design team is checking work products to confirm quality and documenting that prior review comments have been addressed. −Performing independent technical reviews of all work products prior to submittal to the City or other approving agencies. Quality Control includes verifying one or more of the following: basic design data and information, technical assumptions used in the design of the project, use of proper formats, compliance with requirements, and calculation methods and/or numerical accuracy. The PQP includes seven standard steps: 1. Project Concept Review 2. Discipline Review 3. Graphics/CAD Standard Review 4. Project Manager Review 5. City Comment Review 6. Coordination Review Meeting 7. Design QA/QC Review Page 574 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 11 Design QC reviews performed at the discipline level include peer checks of calculations and general overviews of technical assumptions. Scope of Services We are pleased to provide the City with our proposed Scope of Services below for the Design of the Talmage Road Rehabilitation Project. Task 1 – Project Management This task is for overall project management, subconsultant management, team coordination, progress meetings, project administration, Health, Safety, and Environment (HSE) and Job Safety Environmental Analysis (JSEA) health and safety, and related items. It also includes budget and schedule tracking, project and contract oversight, QA/QC, and project invoicing over an estimated nine month duration. GHD will provide effective project management throughout the design and environmental permitting process so that quality documents are prepared on time and within budget. The following summarizes our project management activities: −Project coordination with the City and project team. Coordination will include bi-weekly check-in calls and monthly design progress conference meetings to communicate key project issues, which may develop during design. GHD’s Project Manager will also prepare a Project Work Plan, which communicates the project scope, schedule, budget, and other information to team members. −Project Kickoff Meeting. GHD’s Project Manager and Project Director will organize and attend a project kickoff meeting at the City’s Public Works Conference Room, or online if preferred, to review the details and requirements of the project. A key component of the kickoff meeting is a design workshop where the City and GHD can review key project elements described in our Project Understanding and Project Approach sections and confirm the City’s preferences. The design workshop is an opportunity to discuss design requirements, historical street and drainage maintenance issues, long term maintenance goals, materials, and appurtenances. We will also cover key issues including, pavement rehabilitation options, Doolin Creek crossings, bridge aesthetics, permitting strategy, and other issues. Our goal with the workshop is to have a clear path forward on the primary design with options as necessary. −Project progress. GHD's Project Manager will evaluate and track progress on scope, schedule, and budget; and prepare monthly project activity reports to be provided with each of our monthly invoices. These reports will provide the City with a brief description of the activities completed during the previous month and activities anticipated for the next month. At the completion of project, Consultant/City evaluation forms will be submitted upon City’s request for performance review. −Project Quality. The quality manager will develop a PQP documenting the QA and QC process to be followed for the project. This task includes periodic design checks, QA/QC reviews, quality review meetings, reviews of subconsultant deliverables, and quality process documentation. Task 1 Deliverables: −Meeting agenda and associated meeting minutes (electronic PDF) −Monthly invoices and progress reports (electronic PDF) −Consultant/City evaluations (electronic PDF) −PQP (electronic PDF) Task 2 – LiDAR and Topographic Mapping GHD will provide land surveying and right-of-way services. Task 2.1 – LiDAR Scanning and Mapping Following Notice to Proceed (NTP), GHD’s spatial sciences team will work directly with our project land surveyor to perform a LiDAR scan of the entire roadway corridor. This task involves setting/painting reflective survey markers at key locations along Talmage Road, which are digitally scanned during the LiDAR mapping process and used to bring the LiDAR model into the real world horizontal coordinate system and vertical datum. The LiDAR scan will be performed using a standard passenger vehicle or pick-up truck. The vehicle will drive at a speed of 10-20 mph. For safety, a light bar and sign on the vehicle indicates a mobile scan is in progress, and the scanning can be done at night when traffic is minimal, if needed. Following completion of the scan, the spatial sciences team will post-process the LiDAR point data and develop the mapping. This process involves omitting unnecessary points, adding linework for edge of pavement, sidewalks, curbs and gutters, trees, signs, utilities, and other roadway features. The imagery collected with the scan can also be used to map pavement condition issues which will be identified for rehabilitation during design. Task 2.2 – Supplemental Field Topographic Survey Concurrent with the LiDAR mapping development, GHD will establish local survey control based on nearby street Page 575 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 12 monuments and benchmarks. Topographic survey will be provided on the North American Vertical Datum of 1988 (NAVD88), and the topographic map will horizontally relate to the California State Plane Coordinate System of 1983 (SPCS83), Zone II. After the reflective survey markers are placed for the LiDAR scanning, our surveyor will establish the project control network and set control points on the reflective survey markers, which will then be used to tie in the LiDAR mapping to the coordinate system. Following survey control, a limited supplemental field survey will be performed to verify elevations of sidewalk connections, tree species and sizes, key utility depths, and other important features. We will also obtain additional topographic data and cross-sections of Doolin Creek where the LiDAR scanner may not reach to confirm we have the channel bathymetry data needed for the bridge and culvert hydraulic analysis and design. The topographic survey will include the following: −Complete survey of Talmage Road from Airport Park Boulevard to South State Street −The general width of the survey will be from right-of-way (R/W) boundary to R/W boundary including back of sidewalk and beyond R/W where necessary to tie in improvements and address drainage requirements. Mapping will extend a minimum of five feet beyond the back of sidewalk or twenty feet beyond the curb returns. −For both the bridge crossing and culvert extension, additional survey will be performed for the Doolin Creek channel for the design as well as the hydraulic analysis of the channel section. −Existing public utilities and evidence of utility services, such as water meters and sewer cleanouts, will be mapped if easily locatable outside the general width of the survey described above. −Topographic survey will include all necessary work to produce a topographic map, including features such as, but not limited to, building corners and elevations, curb and gutter lines, water meters, sewer cleanouts, valves, manholes (including rim, invert, and pipe information), utility markings on the pavement, utility poles, driveway and doorway locations, sidewalks, trees six (6) inches and larger, retaining walls or decorative walls, and any other pertinent information that could apply to the project during design. Task 2.3 – Mapping Development Following field survey, we will prepare the base topographic mapping necessary for the design of the project. All mapping will be prepared at a drawing scale of 1 inch = 20 feet with a one-foot contour interval, unless otherwise requested or required for design details. Task 2 Deliverables −Sealed hardcopy of Topographic Survey Map with the project right of way (PDF). −The AutoCAD Civil 3D file used to create the hardcopy will also be provided for your convenience (DWG). Task 3 – Geotechnical Investigation (Crawford and Associates) A geotechnical investigation is included in the base scope of work for the structural foundation recommendations for the pedestrian bridge and culvert extension for Doolin Creek. We have included an optional task at the end of the Scope of Services for recommended pavement cores and testing of subgrade soils to confirm the existing pavement structural section and the design R-value for pavement rehabilitation. The geotechnical investigation will be performed by Crawford and Associates, Inc. (CAInc.) Task 3.1 - Coordination and Preliminary Review CAInc will coordinate with the design team and the City to discuss preliminary design plans, proposed boring locations, project design needs, goals, and the schedule. Following NTP, CAInc will: −Obtain a City of Ukiah encroachment permit −Visit the site to mark-out boring locations for USA North 811 −Obtain a Count of Mendocino boring permit, if boring depth requires −Coordinate the drilling and traffic control subcontractors Task 3.2 - Subsurface Exploration For the railcar bridge, CAInc proposed two borings, one on each bank, to provide data and recommendations for the structural foundation design of the abutments, and for the subgrade preparation and design of the box culvert extension. The CAInc. Engineer/Geologist will direct the sampling and log the borings, which will be sampled continuously in the upper 5 feet and at 5-foot intervals thereafter. Standard Penetration Test and modified California samples will be driven to obtain samples and blow count information. In addition, bulk samples will be collected in the upper 2 feet of subgrade. Traffic control will be implemented in accordance with the City encroachment permit requirements. Page 576 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 13 Task 3.3 - Laboratory Testing CAInc proposes to perform the following tests (as appropriate) on representative soil samples obtained from the borings: −Moisture Content and Unit Weight for soil classification and bearing capacity −Unconfined Compression and/or Direct Shear for axial and lateral bearing capacity −Sieve Analysis and Plasticity Index for soil classification, bearing capacity, and liquefaction assessment −Resistivity, pH, Sulfate Content, and Chloride Content for soil corrosivity analysis Task 3.4 – Engineering Analysis and Report CAInc will prepare a Geotechnical Report addressing the following elements: −Project description, scope of work, site description −Subsurface exploration −Soil and groundwater conditions −Field and laboratory testing −Site geology and seismicity summary −CBC seismic design parameters −Corrosion evaluation −Grading and construction recommendations, which may include ground preparation, materials excavation, placement, and compaction −Rail car bridge and box culvert foundation recommendations including scour considerations, foundation recommendations (i.e. bearing capacity, settlement, lateral resistance, and coefficient of friction to resist sliding, etc.) −Construction considerations −Location map, boring logs, and laboratory test results A Draft Geotechnical Report will be prepared for submission with the 30% design submittal. Comments on the Draft Geotechnical Report will be addressed and a Final Geotechnical Report will be included with the 60% design submittal. Task 3.5 – Consultation and Design Team Support CAInc will provide consultations regarding geotechnical recommendations to the design team, as needed. They will also provide a review of the project plans and specifications, provide comments and issue a letter stating the design is in general conformance with the geotechnical recommendations. Task 3 Deliverables −Draft Geotechnical Report (PDF) −Final Geotechnical Report (PDF) Task 4 – Preliminary Design (30%) The preliminary design effort includes site visits, utility owner coordination, development of a BOD Technical Memorandum, plans, and a construction estimate. This submittal provides an early review of the project design and opportunity for key decisions and coordination. Task 4.1 Site Visits and Information Review GHD will conduct a detailed field visit of the project site following completion of the topographic mapping. The purpose of the field visit is to review, refine and confirm the mapping; verify existing conditions; and identify constructability issues. The project team will take additional detailed notes and photos as needed for later use during project design. Although this project does not involve any utility improvements, identifying and mapping existing utilities is important to make sure potential conflicts with existing utilities are avoided with the design. The engineering team will also obtain and review existing utility mapping from the City, PG&E, AT&T, and Cablecom. Mapping may be requested through the City to avoid costs charged by these companies to private consultants. Utilities that were not identified during the field survey will be added to the base map. The effort will identify and resolve potential conflicts during Preliminary Design (Task 4). GHD will update the base map with the new utility information following each subtask for inclusion in the design. Task 4.2 Doolin Creek Hydraulic Analysis GHD's hydraulic engineering team will obtain the existing hydraulic model for Doolin Creek from FEMA and perform a hydraulic analysis to determine the bridge and sidewalk elevations that will result in a "no-net-rise" in the FEMA regulated flood way. If the FEMA model is unavailable we will develop a duplicate effective model using the creek channel survey for the analysis. The expected design will involve widening the creek channel and setting the sidewalk elevation to maintain the flood elevation in FEMA regulated flood way. A technical memorandum will be prepared summarizing the analysis results demonstrating a no-net-rise. The hydraulic model will also be used to evaluate the design of the bridge and channel and develop Page 577 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 14 channel scour countermeasures in the vicinity of the bridge. Task 4.3 Prepare Basis of Design (BOD) Technical Memorandum The purpose of this task is to establish the design basis, confirm design criteria and capture the recommendations and City directions from the design workshop. GHD will assess the design criteria and City’s requirements, including applicable standards, and summarize pavement rehabilitation recommendations with planning level costs. We will coordinate with geotextile suppliers and the geotechnical engineer, as needed, to develop pavement design solutions to achieve the City’s long-term goals as cost-effectively as possible. GHD will prepare a technical memorandum (TM) including the following: −Bridge design and culvert extension: The new pedestrian bridge and culvert extension geometry will be discussed along with a summary of the hydraulic analysis results and recommendations for designs. This includes the proposed length for the bridge as it relates to the channel crossing and abutment locations, and the design of the culvert extension including its connection to the existing culvert, as well as accommodating a sidewalk and hand railings. −Pavement rehabilitation options: GHD will summarize pavement rehabilitation and reconstruction options with planning level costs for comparison purposes. −Staging area(s): During the site walk, GHD will discuss potential contractor staging areas with the City. Potential staging areas can be noted and/or described in the contract documents. −Construction traffic management: Traffic control plans will be provided by the Contractor, and requirements may include advanced warning devices, signage, notifications, work time restrictions, and needed personnel (i.e., flaggers). These requirements will be included in the specifications in later submittals. −Construction schedule: GHD will review the likely sequence of construction activities, with assumptions for nighttime construction of work, limited hours working in highly trafficked areas, and potential for multiple work crews in order to estimate the number of construction working days. The estimated number of working days will be refined during development of the subsequent submittals. The BOD TM will be included with the 30% submittal for City comments. The TM will be revised and finalized and included with the 60% submittal. Task 4.4 Prepare 30% Plans and Construction Estimate Plans will be based on surveyed information and mapping developed in Task 2, as well as the draft geotechnical recommendations developed in Task 3, and will depict the proposed alignments, typical cross sections, layouts of sidewalks and curb ramps, preliminary bridge and culvert designs, and other improvements. Geotechnical boring locations and boring logs will be included with the plans. Preliminary demolition and pavement improvements will also be depicted. Profiles of the existing ground surface along the alignment will be included. Plans will be based on surveyed information provided obtained under Task 2, and prepared at a scale of 1 inch=20 feet on 22" x 34" sheets using the GHD standard title block. The opinion of probable construction cost will be Association for the Advancement of Cost Engineering (AACE) International Recommended Practice 56R-08 estimate class 4/3 and organized in a bid schedule format with unit prices based on previous bid results for prevailing wage projects and similar work. Specialty construction will be evaluated on labor, materials and equipment. Contractor overhead and profit, markups and estimates of soft costs will be included. Escalation to estimated time of construction will be included. The 30% design will be submitted to the City, and following City review, we will attend a design review meeting to discuss City comments and request approval to proceed with the 60% design. Task 4 Deliverables: −Doolin Creek Hydraulic Analysis Technical Memorandum (electronic PDF) −Draft Basis of Design Technical Memorandum (electronic PDF) −30% Full-size (22”x34”) Drawings (electronic PDF) −Opinion of Probable Construction Cost (electronic PDF) Task 5 – Intermediate Design (60%) Following the preliminary design (30%) review meeting, GHD will prepare 60% PS&E using the project information prepared and addressing 30% design comments. The 60% design will depict the final alignment, recommended profile, cross sections, and details. Task 5.1 Prepare 60% PS&E Plans will be updated to address City comments on the 30% design, incorporate utility mapping not previously received, and will depict the proposed road alignment and profile. The plans will show geotechnical boring locations, bridge and culvert layouts, mitigation requirements, Page 578 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 15 such as trees or debris removal, sidewalks, driveway and curb ramp details, and other design details as well as applicable City Standard details. Typical sections will be further developed, and details for pavement repairs, edge and conform grinds and overlays will be included. Cross sections will be developed every 50 feet and at key locations, including cross sections and details for the pedestrian bridge and culvert extension. Proposed temporary construction easements (TCEs) and contractor laydown areas can be shown where confirmed with the City and where R/W provides. Complete technical specifications will be provided based on the City’s boilerplate, which we have used and updated for previous projects. Specification sections will reference current Caltrans Standard Specifications. General requirements will be coordinated with the City’s front-end contract, where needed. The opinion of probable construction cost will be updated to AACE International Recommended Practice 56R-08 estimate class 3/2 with an updated unit price analysis (UPA). We will also adjust costs based on discussions with vendors and contractors. Specialty construction will be further evaluated on labor, materials, and equipment. The BOD Report will be updated and finalized to address City comments and reflect any changes in the design that were not part of the preliminary design, such as final hydraulic analysis results to confirm bridge, culvert and channel hydraulic requirements and improvements. Calculations supporting the design will be included with the updated BOD Report. The 60% design will be submitted to the City and following City review, we will attend a design review meeting to discuss City comments and request approval to proceed with the 90% design. Task 5 Deliverables: −Final Basis of Design Technical Memorandum (electronic PDF) −60% Full-size (22”x34”) Drawings (electronic PDF and DWG) −60% Technical Specifications (electronic PDF and DOCX) −Opinion of Probable Construction Cost (electronic PDF) Task 6 – Detailed Design Following the 60% design review meeting GHD will prepare 90% (Pre-Final) PS&E. The 90% submittal will be essentially complete pending any final revisions to the design and details and any final City comments. The 100% (Final) submittal will be bid-ready. Task 6.1 Prepare Pre-Final (90%) PS&E Plans will be updated to address City comments on the 60% design and will depict the final road alignment, profile, cross sections, typical sections, and details. The structural design and details for the pedestrian bridge and culvert extension will be updated. Proposed contractor laydown areas can be shown where needed. Technical specifications will be updated using tracked-change edits to identify changes from the 60% submittal. We will incorporate all qualitative requirements, material requirements, requirements for traffic control, WPCP, and other requirements for construction. General requirements will be coordinated with the City’s front-end contract, where needed, and flagged for City approval. A bid schedule and pay item descriptions will also be included to align all bid items with detailed payment item descriptions. The opinion of probable construction cost will be updated to AACE International Recommended Practice 56R-08 estimate class 2/1. We will also make any final adjustments to unit costs based on discussions with vendors and contractors. Structural calculations supporting the design of the pedestrian bridge and culvert extension will be included with the deliverable. The 90% design will be submitted to the City and following City review, we will attend a design review meeting to discuss City comments and request approval to proceed with the Final (100%) design. Task 6.1 Deliverables: −Final Structural Calculations (electronic PDF) −90% Full-size (22”x34”) Drawings (electronic PDF and DWG) −90% Technical Specifications (electronic PDF and DOCX) −Opinion of Probable Construction Cost (electronic PDF) Task 6.2 Prepare Final (100%) PS&E GHD will prepare complete set of biddable plans and technical specifications and final opinion of probable construction costs. Plans, specifications, bid schedule and estimate with final quantities will be finalized based on City comments on the 90% submittal. The recommended number of working days will also be provided. A submittal register summarizing all contractor submittals will also be provided to assist the City’s construction manager and inspectors. Page 579 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 16 Task 6.2 Deliverables: −100% Full-size (22”x34”) Drawings (electronic PDF and DWG) −100% Technical Specifications (electronic PDF and DOCX) −Opinion of Probable Construction Cost (electronic PDF) Task 7 – Prepare Permit Applications and Coordinate with Agencies GHD will prepare and submit the permit application packages for an Army Corps Nationwide Section 10/404 Permit, a RWQCB Section 401 Water Quality Certification, and a CDFW Streambed Alteration Agreement. In support of the application packages, GHD will prepare a Biological Resource Evaluation and Aquatic Resource Mapping for the project site. Environmental staff will coordinate with the engineers to assist in providing recommendations for avoiding impacts and identifying minimization and mitigation measures where avoidance cannot be achieved. However, it is anticipated that some level of on-site mitigation will be required. This task also includes one site visit with the resource agencies and up to 40 hours of follow-up coordination after the applications have been submitted. Task 7 Deliverables: −Army Corps permit application package •Aquatic Resources Mapping •Biological Resources Technical Memorandum •Conceptual on-site Mitigation Plan −RWQCB permit application package −CDFW permit application package Optional Services Task 8 Geotechnical Pavement Investigation and Recommendations As an optional task, GHD’s geotechnical engineering subconsultant CAInc will perform the following additional services to confirm the existing pavement section thickness and composition and determine the R-value of the subgrade soils for the purpose of providing pavement rehabilitation recommendations that more accurately reflect the existing pavement conditions. Task 8.1 – Subsurface Exploration For pavement design recommendations, CAInc proposes four shallow borings/cores within Talmage Road at locations to be determined in coordination with the City and GHD. Cores would extend up to 5-feet below ground surface. The CAInc Engineer/Geologist will direct the sampling and log the borings, which will be sampled continuously in the upper 5 feet. Bulk samples will be collected in the upper 2 feet of subgrade. Traffic control will be implemented as described in Task 3. Task 8.2 – Laboratory Testing CAInc will determine the R-value for the subgrade and provide a recommended R-value or range for design. Soils will also be tested for: −Moisture Content and Unit Weight for soil classification and bearing capacity −Sieve Analysis and Plasticity Index for soil classification, bearing capacity, and liquefaction assessment Task 8.3 – Engineering Analysis and Report CAInc will incorporate the results of the laboratory testing into the Geotechnical Report deliverable in Task 3. Task 9 Prepare SWPPP As an optional task, if it is determined during design that the project will disturb 1.0 acre of area or more, GHD will request authorization to prepare a SWPPP for the project to obtain coverage under the General Permit for Discharges of Storm Water Associated with Construction Activities. This task also includes submitting the SWPPP and filing the Notice of Intent (NOI) online with the NCRWQCB. The SWPPP will be prepared by a QSP/QSD in accordance with State Water Board requirements. Task 9 Deliverables: −SWPPP (electronic PDF and native files) City Provided Information −Available reports, studies, investigations, as-built plans, record drawings, maps, agreements, and other available information for projects constructed within the R/W −Access to City facilities, R/W, property, and other areas needed to survey and gather information in support of the project −Front-end boilerplate contract and technical specifications Page 580 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 17 − Results of previous City bids for similar projects −Consolidated design review comments Use of Documents Provided by Others The scope of services provided above relies on information to be provided by the City and others’ information that will be useful for project. GHD will utilize information that is provided by the City or otherwise obtained through field work. This information will be assumed to be accurate. If data conflicts are found, GHD may recommend that the City obtain further information to verify the data. Exceptions and Exclusions As requested in the RFP, exceptions and exclusions have been included in Section 6 on page 47. Page 581 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 18 Detailed Project Schedule We have developed this detailed schedule to reflect our plan to complete the project design at least 1 month ahead of the City's RFP schedule. This schedule assumes 3 weeks for City reviews of design deliverables, and leaves 1 month of float time to address issues which may arise or provide additional time as needed. If selected, we will refine the schedule with City input to meet your needs and expectations for the delivery of this project. ID Task Name Duration Start Finish 1 City Council Award Consultant Contract 0 days Wed 2/16/22 Wed 2/16/22 2 Signed Contract / Notice to Proceed 0 days Thu 2/17/22 Thu 2/17/22 3 Task 1 - Project Management 144 days Fri 2/18/22 Wed 9/7/22 4 1.1 Project Initation 5 days Fri 2/18/22 Thu 2/24/22 5 1.2 Project Coordination 144 days Fri 2/18/22 Wed 9/7/22 6 Monthly Progress Meetings 136 days Wed 3/2/22 Wed 9/7/22 14 1.3 Kick-off Meeting & Workshop 1 day Wed 2/23/22 Wed 2/23/22 15 1.4 Design Quality Management 5 days Fri 2/18/22 Thu 2/24/22 16 Task 2 - Topographic Survey & Mapping 15 days Fri 2/25/22 Thu 3/17/22 17 1.1 LiDAR Scanning and Mapping 5 days Fri 2/25/22 Thu 3/3/22 18 1.2 Supplemental Field Survey 10 days Fri 2/25/22 Thu 3/10/22 19 1.3 Mapping Development 10 days Fri 3/4/22 Thu 3/17/22 20 Task 3 - Geotechnical Investigation 137 days Fri 2/25/22 Mon 9/5/22 21 3.1 Coordination and Preliminary Review 10 days Fri 2/25/22 Thu 3/10/22 22 3.2 Subsurface Exploration 5 days Fri 3/11/22 Thu 3/17/22 23 3.3 Laboratory Testing 10 days Fri 3/18/22 Thu 3/31/22 24 3.4 Engineering Analysis and Report 10 days Fri 4/1/22 Thu 4/14/22 25 3.5 Consultation and Design Team Support 112 days Fri 4/1/22 Mon 9/5/22 26 Task 4 - Preliminary Design (30%)53 days Thu 2/24/22 Mon 5/9/22 27 4.1 Site Visits and Information Review 37 days Thu 2/24/22 Fri 4/15/22 28 4.2 Doolin Creek Hydraulic Analysis 21 days Fri 3/18/22 Fri 4/15/22 29 4.3 Basis of Design Tech Memo 37 days Thu 2/24/22 Fri 4/15/22 30 4.4 30% Plans and Estimate 21 days Fri 3/18/22 Fri 4/15/22 31 QC Review & Submit to City 5 days Mon 4/11/22 Fri 4/15/22 32 City Review 30% Design 15 days Mon 4/18/22 Fri 5/6/22 33 30% Design Review Meeting 1 day Mon 5/9/22 Mon 5/9/22 34 Task 5 - Intermediate Design (60%)41 days Tue 5/10/22 Tue 7/5/22 35 5.1 60% PS&E 25 days Tue 5/10/22 Mon 6/13/22 36 QC Review & Submit to City 5 days Tue 6/7/22 Mon 6/13/22 37 City Review 60% Design 15 days Tue 6/14/22 Mon 7/4/22 38 60% Design Review Meeting 1 day Tue 7/5/22 Tue 7/5/22 39 Task 6 - Detailed Design (90% and 100%)46 days Wed 7/6/22 Wed 9/7/22 40 6.1 Pre-Final (90%) PS&E 20 days Wed 7/6/22 Tue 8/2/22 41 QC Review & Submit to City 5 days Wed 7/27/22 Tue 8/2/22 42 City Review 90% Design 15 days Wed 8/3/22 Tue 8/23/22 43 90% Design Review Meeting 1 day Wed 8/24/22 Wed 8/24/22 44 6.2 Final (100%) PS&E 10 days Thu 8/25/22 Wed 9/7/22 45 QC Review & Submit to City 3 days Mon 9/5/22 Wed 9/7/22 46 Task 7 - Resource Agency Permitting 22 days Wed 7/6/22 Thu 8/4/22 47 7.1 Prepare Permit Applications 20 days Wed 7/6/22 Tue 8/2/22 48 7.2 Agency Coordination 2 days Wed 8/3/22 Thu 8/4/22 49 Task 8 - Geotect Pavement Investigation (Optional)35 days Fri 2/25/22 Thu 4/14/22 50 8.1 Coordination and Preliminary Review 10 days Fri 2/25/22 Thu 3/10/22 51 8.2 Subsurface Exploration 5 days Fri 3/11/22 Thu 3/17/22 52 8.3 Laboratory Testing 10 days Fri 3/18/22 Thu 3/31/22 53 8.4 Engineering Analysis and Report 10 days Fri 4/1/22 Thu 4/14/22 54 Task 9 - Prepare SWPPP (Optional)22 days Wed 7/6/22 Thu 8/4/22 55 9.1 Develop SWPPP 20 days Wed 7/6/22 Tue 8/2/22 56 9.2 Submit SWPPP and File NOI 2 days Wed 8/3/22 Thu 8/4/22 2/16 2/17 1.1 Project Initation 1.2 Project Coordination 1.3 Kick-off Meeting & Workshop 1.4 Design Quality Management 1.1 LiDAR Scanning and Mapping 1.2 Supplemental Field Survey 1.3 Mapping Development 3.1 Coordination and Preliminary Review 3.2 Subsurface Exploration 3.3 Laboratory Testing 3.4 Engineering Analysis and Report 3.5 Consultation and Design Team Support 4.1 Site Visits and Information Review 4.2 Doolin Creek Hydraulic Analysis 4.3 Basis of Design Tech Memo 4.4 30% Plans and Estimate QC Review & Submit to City City Review 30% Design 30% Design Review Meeting 5.1 60% PS&E QC Review & Submit to City City Review 60% Design 60% Design Review Meeting 6.1 Pre-Final (90%) PS&E QC Review & Submit to City City Review 90% Design 90% Design Review Meeting 6.2 Final (100%) PS&E QC Review & Submit to City 7.1 Prepare Permit Applications 7.2 Agency Coordination 8.1 Coordination and Preliminary Review 8.2 Subsurface Exploration 8.3 Laboratory Testing 8.4 Engineering Analysis and Report 9.1 Develop SWPPP 9.2 Submit SWPPP and File NOI January February March April May June July August September October November December City of Ukiah Talmage Road Rehabilitation Project Baseline Schedule GHD Inc.January 31, 2022 Page 582 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project vII → Project Team 03 Page 583 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 19 3. Project Team Firm Qualifications GHD provides transportation planning and engineering, environmental, advisory, digital, and construction services to private and public sector clients. Operating globally and delivering services locally, we are able to offer clients the ability to develop a working relationship with our local staff while having access to our global experience base. Put simply, we work where our clients work. Firm Information Established in 1928, GHD is wholly-owned by our people. We are a global professional services company that leads through engineering, construction and architectural expertise. Our forward-looking and innovative approaches connect and sustain communities around the world. Delivering extraordinary social and economic outcomes, we are focused on building lasting relationships with our partners and clients. We have been providing professional engineering services in California since 1949. Our people offer decades of knowledge, as well as a deep understanding of the challenges facing businesses and communities today. We deliver projects with high standards of safety, quality, and ethics across the entire asset value chain. Driven by a client service-led culture, we connect the knowledge, skill, and experience of our people with innovative practices, technical capabilities, and robust systems to create lasting community benefits. Civil Engineering Services GHD has an excellent performance record with municipal and government agencies throughout California. We are proud of our decades of service to the City of Ukiah delivering award-winning projects. We look forward to working with the City again on the Talmage Road Rehabilitation Project. Many of GHD’s past and current projects for the City of Ukiah include the following services: −Civil Engineering −Complete Streets/Streetscape Design −Motorized and Non-Motorized Transportation −Utilities Rehabilitation/Replacement −Traffic Planning and Engineering −Planning/Design −Landscape Architecture/Wayfinding −Hydrogeology −Construction Administration −Construction Management and Inspection −Land/Construction Surveying −Public Outreach and Interagency Coordination About GHD Address 2235 Mercury Way, Suite 150 Santa Rosa, CA 95407 Contact Erik Fanselau, PE, CFM, LEED AP +1 916 256 2677 | erik.fanselau@ghd.com Year Established 1949 in California Organization Type California Corporation Why GHD? Strong Leadership −Project Director, Matt Kennedy has successfully delivered numerous City of Ukiah projects and has extensive experience directing multi-disciplinary teams. −Project Manager, Erik Fanselau has 23+ years of managing roadway replacement and rehabilitation projects. −Quality Control/Quality Assurance Manager, Pat Tortora, successfully delivered the Great Redwood Trail Phases 2 and 3. City of Ukiah Experience −Many of our team members have worked on City of Ukiah projects including Maya Eoff, Jeremy Svehla, Steve Burns, Kristine Gaspar, and our subconsultant, Crawford & Associates, Inc. Page 584 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 20 Committed to You GHD is dedicated to understanding and helping the City achieve its goals. We are committed to sustainable development, safety, and innovation. We care for the well-being of our people, assist communities in need, and conduct business in an ethical and environmentally responsible manner. We can also offer our clients the confidence and peace of mind that comes from the fact that GHD was ranked 19th in the Top International Design Firms by Engineering News-Record in 2021. Financial Responsibililty Together with its affiliate companies, GHD currently employs approximately 2,500 employees across 75 offices in the United States, and has more than 10,000 employees globally. GHD’s global gross revenues exceeded $1.7 billion USD in 2021. GHD’s current assets in the United States exceed $361 million USD. GHD uses a fully functional commercially available accounting system that is integrated with the general ledger and is used to manage project budgets, prepare invoices to clients, accumulate project costs, and generate any required supporting documentation to clients. All of GHD’s project managers are trained on the use of the accounting system for the purpose of responsibly managing project budgets. The accounting system is also used to document and manage all financial activities of GHD. Each year GHD Inc. undergoes an independent financial audit of the company’s indirect expenses, direct labor costs and overhead costs in accordance with auditing standards generally accepted in the United States and the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States. The audit confirms GHD’s compliance with applicable provisions of laws, regulations and contracts, including provisions of the applicable sections of Part 31 of the Federal Acquisition Regulations (FAR), documentation of which is required to perform work under U.S. federal contracts. Through these accounting systems and audits GHD maintains a high level of ethical and financial responsibility on all contracts it provides professional services through to clients. Our Subconsultant Crawford & Associates, Inc. 40+ years in business CAInc is a registered Small Business Geotechnical Engineering firm (Certification ID: 1744908) that specializes in large-scale public works projects. In 2016, CAInc merged with Taber Consultants, one of the nation’s oldest geotechnical engineering companies. The principals of both firms bring significant geotechnical engineering experience on a wide variety of projects throughout Northern California. CAInc has provided geotechnical engineering services on hundreds of projects, including roadways, trails, water and wastewater plants, water tanks, pipelines, sewer, wells, stormwater, fish passage, dams, and levees. Their staff has experience working with various state and federal agencies, including USACE, California Departmetn of Fish and Wildlife, RWQCB, Division of Safety of Dams, National Marine Fisheries Service, and US Fish & Wildlife Services. CAInc and Taber have provided geotechnical services for nearby projects, including: −City of Ukiah Great Redwood Trail, Phases 2, 3 and 4 −City of Ukiah Downtown Streetscape, Phase 2 −City of Ukiah Redwood Business Park −City of Ukiah Courthouse Project −City of Ukiah Hydroelectric Plant −City of Ukiah Chloride Contact Basin Replacement −City of Ukiah Country Manor Mobile Home Park −City of Ukiah High School SWPPP NOT −City of Ukiah Kohl’s Expansion −City of Ukiah Lake or Streambed Alteration for Three Creeks "In a rapidly changing world, we are committed to our vision of water, energy and urbanization made sustainable for generations to come." Ashley Wright, CEO Page 585 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 21 −City of Ukiah Recycled Water Project −City of Ukiah Water Pipeline, Mendocino County −City of Ukiah WTP Basin Rehabilitation Project −Electrical Substation at East Gobbi Street & South Orchard Avenue −Gobbi Well Project, Ukiah −Industrial Stormwater Monitoring Services – Gobbi Street −Metering Structure on Babcock Lane South of Gobbi Street The firm has access to reports, log of test borings, and soils information for these projects. For the past 20 and more years, Principals at Crawford have specialized in pavement rehabilitation projects and have stayed involved in the development and implementation of alternative pavement rehabilitation strategies. Advancement in pavement emulsions and the desire to recycle more pavement have led to seismic shifts in the pavement rehabilitation industry. When CAInc approaches a pavement project, staff combine their soils engineering knowledge with their pavement experience to develop a solution that meets more than just the desire traffic index for the project. They typically provide five to six rehabilitation options for each project to help clients better understand the schedule, cost, noise, and expected design life implications. This approach allows clients to make decisions that better suit the project needs. Following field work and as-built review, CAInc typically provides recommendations for a combination of the following rehabilitation techniques: −Traditional Mill and Overlay −New pavement section recommendations (including deep lift HMA) −Cold In-Place HMA recycling −Cold Central Plant HMA recycling −FDR −Cold Foam Recycling −Lime and Cement Treatments −Slurry and/or other seals −Roller Compacted Concrete and other concrete options For the Talmage Road Rehabilitation Project,Ryan Houghton from CAInc's Ukiah Office will serve as Project Manager and Chris Trumbull from the Sacramento Office will serve as Senior Project Manager. Contact: Ryan Houghton, PE, Project Manager 100 North Pine Street, Ukiah, CA 95482 D: +1 707 240 4400 ryan.houghton@crawford-inc.com Figure 7. Ukiah Great Redwood Trail Pedestrian Bridge Page 586 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 22 Civil/Roadway/Drainage Engineering Maya Eoff, PE 🔑 Hugo Orozco, EIT 🔑 Ashley Hoy, EIT LiDAR and Topographic Surveying Richard Maddock, PLS 🔑 John Hanser, PLS Harrison Hummel 🔑 Hydraulic Engineering Jeremy Svehla, PE🔑 Structural Engineering Steve Burns, SE, ME🔑 Resource Agency Permitting Kristine Gaspar🔑 GHD Team Structure and Members We have assembled a team with the requisite skills and availability to complete this project with the excellent quality and customer service the City has come to expect from GHD. Many of our proposed team members have worked on previous City projects and will be familiar to you. We are committed to delivering this project in a timely fashion, with flexibility and responsiveness. The organizational chart below details our proposed staff, including disciplinary-based roles tailored to your project. Additional staff may be called upon if needed. Resumes In this section, we have highlighted the qualifications of our key personnel. We have also provided full, detailed resumes for all staff on our organizational chart in the Appendix. 19 Years Team members' average number of years of experience 🔑 Key Personnel CERTIFICATIONS AND REGISTRATIONS LEGEND EIT: Engineer in Training ENV SP: Envision Sustainability Professional GE: Geotechnical Engineer LEED AP: LEED Accredited Professional ME: Mechanical Engineer PE: Professional Engineer PLS: Professional Land Surveyor QSD: Qualified SWPPP Developer QSP: Qualified SWPPP Practitioner SE: Structural Engineer TE: Traffic Engineer Matt Kennedy, PE, TE, ENV SP 🔑 Project Director Erik Fanselau, PE, CFM, LEED AP 🔑 Project Manager Pat Tortora, PE 🔑 Quality Assurance/ Quality Control Geotechnical Pavement Engineering (Optional) Crawford & Associates Chris Trumbull, PE, GE Figure 6. Organizational Chart City Project Manager Andrew Stricklin Page 587 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 23 Key Team Member Introductions Key Personnel Qualifications BS, Civil Engineering, Civil Engineer: CA #64814, CO #40007 Certified Floodplain Manager: #US-11- 06045 LEED AP, #10591588 Erik Fanselau, PE, CFM, LEED AP | Project Manager Man Hours Committed to the Project: 116 Responsibilities: As Project Manager, Erik Fanselau will be the primary point-of-contact for the City. He will be responsible for coordinating the team’s efforts and maintaining adherence to the project schedule, scope, and budget. Erik has over 23 years of civil engineering experience including design, project management, construction management, and utility coordination. His expertise includes drainage, hydrology and hydraulics, water quality design, roadway design, utility coordination, pipeline rehabilitation, pump station design, and erosion control plans. Relevant Project Experience –County Road 31 Improvements | Davis, CA –C-470 Improvements (Design/Build) | Highlands Ranch, CO –Doyle Drive (Highway 101) | San Francisco, CA MS, Environmental Engineering BS, Environmental Resources Engineering Civil Engineer CA #68304, OR #83450PE, NV #24172, NM #23032, CNMI #528, GU #1337, HI #18171 Traffic Engineer CA #2385 –USACE/NAVFAC Certified Construction Quality Manager – Caltrans Certified Resident Engineer Matt Kennedy, PE, TE, ENv SP | Project Director Man Hours Committed to the Project: 15 Responsibilities: Matt will be the Project Director (Principal-in-Charge) who will oversee all project deliverables, as well as utilizing his local knowledge and experience to ensure a timely and quality product. Matt is a licensed civil and traffic engineer with 19 years of experience in traffic/transportation, utility systems and sustainable civil engineering. He is adept in the design and management of a broad range of civil infrastructure projects, including roadways, storm drainage and LID, traffic signals, pedestrian and bicycle facilities, striping and signing, retaining walls, water and wastewater conveyance systems, civil site design, and traffic control. His experience also includes a broad range of planning, modeling and analysis capabilities including utility master planning, hydrologic and hydraulic modeling, water and wastewater process design, traffic and parking studies, circulation studies, and analysis and timing of signals. He is also experienced in land surveying and construction management. Relevant Project Experience –Ukiah Streetscape, Road Diet and Utilities Project, Phases 1 & 2 | Ukiah, CA –Redwood Business Park Transportation Improvements | Ukiah, CA –Various Streets Overlay Project | Rohnert Park, CA –Arlen Drive and East Cotati Avenue Overlays Project | Rohnert Park, CA Page 588 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 24 Key Personnel Qualifications BS, Civil Engineering Civil Engineer: CA #80067, OR, WA, ID, GU, LEED AP Pat Tortora, PE | Quality Manager Man Hours Committed to the Project: 12 Responsibilities: Pat Tortora will be responsible for quality assurance and quality control. Pat brings 25 years of experience in providing planning, design, and construction engineering solutions to public and private clients, with an emphasis on civil design in collaboration with multi-disciplinary teams for comprehensive civil and transportation infrastructure projects. Pat has served as Civil Engineering Lead and Project Manager on five recent City of Ukiah projects and has performed key oversight and civil engineering design on roadway, streetscape, trail, pathway, and/or safe routes projects for other local agencies such as the City of Fort Bragg, the City of Rohnert Park, and Sonoma Marin Area Rail Transit (SMART). Relevant Project Experience –Ukiah Streetscape, Road Diet and Utilities Project, Phases 1 & 2 | Ukiah, CA –Ukiah Rail-Trail Phases 1, 2, and 3 | Ukiah, CA –Main Street/SR-1 Realignment | Fort Bragg, CA –Downtown Revitalization | Independence, OR MS, Civil and Environmental Engineering BS Chemical Engineering Civil Engineer: CA #90635 Maya Eoff, PE | Civil/Roadway/Drainage Engineering Man Hours Committed to the Project: 125 Responsibilities: Maya Eoff will provide the necessary expertise and lead the design for the civil and roadway engineering for the project. With over 10 years of experience, Maya has worked as a project engineer on a variety of projects including transportation, mining, wastewater design, and water quality modeling. She has assisted with the design of several roadway projects in California, including the recent Ukiah Downtown Streetscape Phase 2 and the Airport Boulevard Rehabilitation for the County of Napa. In addition to her technical skills, she also brings flexibility that she developed while working on complex and dynamic projects, which makes her a reliable teammate. She enjoys learning new skills and pursues excellence in every project. Relevant Project Experience –Ukiah Downtown Streetscape, Phase 2 | Ukiah, CA –Airport Boulevard Rehabilitation | American Canyon, CA –Artesia Great Boulevard Improvement | Long Beach, CA BS, Civil Engineering Engineer in Training: CA #164509 Hugo Orozco, EIT | Civil/Roadway/Drainage Engineering Man Hours Committed to the Project: 172 Responsibilities: Hugo Orozco will assist Maya with the design for the civil and roadway engineering aspects of the project. Hugo is proficient in AutoCAD Civil 3D and he has participated in site civil development projects by preparing plans for grading and drainage, road design, roadway repairs, roundabouts, street rehabilitation, ADA compliance, erosion and sediment control, detention ponds, stormwater control, and utility layout. His strong work ethic, positive attitude, and team-oriented approach contribute to solving complex problems. Relevant Project Experience –Town of Paradise Off-System (Roadway) Rehabilitation | Paradise, CA –Downtown Cotati Civic Center Connectivity and Safety Project | Cotati, CA –Windsor River Road/Windsor Road Roundabout and Multi-Use Path Connector Project | Windsor, CA Page 589 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 25 Key Personnel Qualifications General Courses, Land Surveying and Business Management Professional Land Surveyor: CA #8131 Richard Maddock, PLS | LiDAR and Topographic Surveying Man Hours Committed to the Project: 8 Responsibilities: Richard Maddock will lead and coordinate the survey tasks for this project. Richard is a California-registered professional land surveyor. He has over 30 years of experience in all aspects of land surveying. He is an experienced party chief working on projects varying from roadways and utilities to subdivisions. With the budget and timeline in mind, Richard delivers a superior product for the client. In the field, he will be the Party Chief of the primary survey crew. Being the Party Chief will provide him with first-hand knowledge of the site, the condition of the existing monuments, and other important information critical to producing an accurate survey performance area. Relevant Project Experience –Stony Point Road Reconstruction and Widening, Phase 2 | Santa Rosa, CA –Millbrae Avenue Box Culvert Repair | Millbrae, CA –Napa Road Rehabilitation Project (STPL-5114(017)) | Sonoma, CA GIS Certificate Program Course, Part 107 Pilot Harrison Hummel | LiDAR and Topographic Surveying Man Hours Committed to the Project: 24 Responsibilities: Harrison Hummel will lead the LiDAR scanning efforts for this project. Harrison has extensive experience following industry standards and best practices for collection, management, and analysis of GIS spatial data. He can create meaningful and accurate maps and reports that enable clients to visually interpret complex spatial questions for a wide variety of different projects. As a Part 107 UAV Pilot, he carries a primary focus on producing survey grade deliverables and botanical mapping products that can aid in mitigation planning and monitoring. Harrison strives to provide simple solutions for complex problems by utilizing advanced geospatial technologies. Relevant Project Experience –Guam Routes 1 and 3 Under Pavement Infrastructure Retrofit - Mobile LiDAR Scan | Guam –Tehama County Highway 99 Mobile/UAV LiDAR Scan | Tehama County, CA –Mendocino Roadway Mobile LiDAR Scan | Mendocino, CA BS, Environmental Resources Engineering Civil Engineer: CA #72169 Qualified Stormwater Pollution Prevention Plan Developer/ Practitioner #00159 Jeremy Svehla, PE, QSD/QSP | Hydaulic Engineering Man Hours Committed to the Project: 64 Responsibilities: Jeremy Svehla will lead the Doolin Creek hydraulic analysis for the project, as well as any in-channel designs needed. Jeremy is a professional engineer with over 17 years of experience in water resources and coastal engineering, encompassing a broad range of engineering design, project management, and construction management for large-scale wetland improvements, stream habitat restoration, and flood control projects. He has served as project manager or project engineer for a variety of projects from transportation to restoration and habitat improvement/enhancement projects for the majority of our team’s high-profile restoration projects, including for CalTrout, the Wildlands Conservancy, California Water Service Company, Alameda County Water District, Santa Clara Valley Transportation Agency, the Five Counties Salmonid Conservation Program, and the City of Fortuna. As a testament to the quality of his service, Jeremy was named the ASCE San Francisco Section North Coast Branch “Engineer of the Year” in 2015. Relevant Project Experience –Gobbi Street Intersection Bridge and Culvert Replacement Project | Ukiah, CA –City of Ukiah Storm Drainage Study | Ukiah, CA –Hanson Russian River Floodplain Restoration | Near Windsor, CA Page 590 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 26 Key Personnel Qualifications MS, Structural Engineering BS, Engineering Civil Engineer: CA #51369 Structural Engineer: CA #4229 Steve Burns, SE, ME | Structural Engineering Man Hours Committed to the Project: 89 Responsibilities: Steve Burns will provide the structural engineering design for the project. Steve is a professional engineer with over 30 years of experience in the design and analysis of building, civil, and bridge structures. Steve has extensive experience with both new construction and repair and/ or retrofit. In the building industry, he has performed new building design, as well as seismic retrofit for concrete, steel, masonry, and wood structures. Relevant Project Experience –Stony Point Road Widening | Santa Rosa, CA –Snyder Lane Widening | Rohnert Park, CA –Coyote Creek Trail – Brokaw Road to Union Pacific Railroad | San Jose, CA MPA, Public Administration BA, Environmental Studies and Planning Kristine Gaspar | Resource Agency Permitting Man Hours Committed to the Project: 38 Responsibilities: Kristine Gaspar will coordinate the resource agency permitting for the project. Kristine's experience includes 25 years of environmental planning, CEQA compliance, resource agency permitting, data research and analysis, grant writing, and community surveys. Kristine has been involved in environmental analysis on a wide variety of projects from private development to infrastructure projects, including roadway, trails, schools, recycled water, and park facilities. She is currently the project manager for the Laguna Treatment Plant Compliance project and Ellis Creek Water Recycling CEQA Compliance project. Kristine’s projects are often complex with multiple deadlines. Relevant Project Experience –SMART Larkspur Extension | Marin County, CA –Healdsburg Five-Way Roundabout and Culvert Improvements | Healdsburg, CA –Fulton Road Widening Improvement Project, Phases I and II | Santa Rosa, CA Page 591 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project Ix → Fee Proposal 04 Page 592 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 27 4. Fee Proposal As requested in the RFP, GHD's fee proposal has been submitted in a separate email titled, "Talmage Road Rehabilitation Project - Fee Proposal" and sent to Andrew Stricklin at astricklin@cityofukiah.com. If selected for this project, we will work with you to make any adjustments to the scope of work and fee proposal so both align with the City's needs and expectations for this project. Page 593 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project x → References 05 Page 594 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 28 5. References Our Experience with Public Agencies GHD has been serving communities in Northern California for over 70 years and has a long history of working collaboratively with regional municipalities. As long-standing members of the local community, we have a vested interest in the prosperity of this region. We are proud of the long lasting, high-quality projects we’ve developed for our municipal clients in the area and look forward to continuing our relationship with the City as a high value client. Our City of Ukiah Experience GHD has been working with the City of Ukiah for over 20 years. Recent projects we've completed or will soon complete for the City include the Redwood Business Park Transportation Improvements, the Downtown Streetscape, Road Diet and Utilities Project, Phases 1 and 2, and the Great Redwood Trail, Phases 1 - 4. Our familiarity with the City's infrastructure and resources gleaned from previous work, have given us a head start on this project. Relevant Roadway Experience GHD has extensive experience with complete streets, roadway reconstruction, sidewalks, ADA accessibility, pedestrian bridges, and LID features similar to what the City is undertaking with this project. Our experience proves that GHD's team has the knowledge and resources to streamline this project. In the following pages, we highlight our relevant project experience. Client reference information has been included in Table 3 below. “GHD and their team led a comprehensive public outreach, permitting, and engineering design process for this high-profile and contentious roundabout and complete utilities replacement project in the core of our downtown. [The] team excelled at balancing the needs of the community, businesses, and City while meeting numerous project challenges and the project schedule on this complex roundabout with rail project.” — Brent Salmi, PE, Former City of Healdsburg Public Works Director in reference to the Healdsburg Avenue Improvements and 5-Way Roundabout project. Firm Reference Related Project(s) GHD Inc.Tim Eriksen, Public Works Director and City Engineer City of Ukiah 300 Seminary Drive Ukiah, CA 95482 +1 707 463 6280 teriksen@cityofukiah.com Ukiah Downtown Streetscape and Road Diet, Phases 1 & 2, Ukiah, CA Redwood Business Park Transportation Improvements and Talmage Road Interchange, Ukiah, CA Ukiah Rail with Trail, Phases 1 - 3 (The Great Redwood Trail), Ukiah, CA GHD Inc.Lynden Kobayashi, WSP (Client Representative) Guam Department of Public Works 590 South Marine Corps Drive ITC Building Suite 421 Tamuning, Guam 96913 +1 671 988 4225 Lynden.Kobayashi@wsp.com Route 14 Resurfacing (Route 1 to Archbishop Felixberto Flores Circle), Guam GHD Inc.Sara Mathews, Assistant Engineer City of Santa Rosa 69 Stony Circle Santa Rosa, CA 95401 +1 707 543 3866 smathews@srcity.org Tera Linda Sewer and Water Replacement (with Roadway Reconstruction), Phase 1, Santa Rosa, CA Table 3. Team References Page 595 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 29 Firm Reference Related Project(s) Crawford & Associates, Inc. Netra Khatri, City Engineer City of Arcata 525 9th Street Archata, CA 95521 +1 707 825 2173 Engineering@CityofArcata.org City of Arcata WWTP Phase 1 Improvements, Arcata, Humboldt County, CA: CAInc provided pavement engineering services, a summary of conditions encountered, laboratory test results, and foundation recommendations for various structures including CIDH piles, shallow mat foundations, grading, and utilities. Crawford & Associates, Inc. Diane O'Connor, Assistant City Engineer City of Fort Bragg 416 North Franklin Street Fort Bragg, CA 95437 + 1 707 961 2824, ext. 134 doconnor@fortbragg.com City of Fort Bragg Raw Water Pipeline Replacement - Phase II, III, Iv, and v Design Project, Fort Bragg, CA: CAInc completed geotechnical design for pipe design and provided recommendations for approximately 15,000 linear feet of 10” diameter pipeline. “I appreciate the professionalism and flexibility you and your team demonstrated during the design. The project went well and your design deserves a lot of the credit. Thank you for your work on this. I look forward to working with you on more projects like this in the future.” - Patrick Barnes, Former Deputy City Engineer, City of Rohnert Park In reference to the City's 2011 Various Streets Overlay Project Page 596 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 30 Bringing Expertise in Road Rehabilitation Project Location Fe d e r a l F u n d i n g Do w n t o w n / A d j a c e n t B u s i n e s s Ca l t r a n s C o o r d i n a t i o n Hw y 1 0 1 ( o r f o r m e r ) Ro a d D i e t Co m p l e t e S t r e e t Ro a d D e s i g n / R e h a b Tr a f f i c S i g n a l s / L i g h t i n g AD A C o m p l i a n c e Pe d e s t r i a n A m e n i t i e s ( s t r e e t fu r n i t u r e , r e f u s e c o n t a i n e r s , e t c . ) Si g n i n g / S t r i p i n g St o r m w a t e r M g m t / L I D D e s i g n Pe d / B i k e C o r r i d o r Pe r m i t t i n g Hi g h P r o f i l e Ut i l i t y C o o r d i n a t i o n Pu b l i c O u t r e a c h Ur b a n D e s i g n Ukiah Downtown Streetscape and Road Diet, Phase 1 Ukiah, CA Ukiah Downtown Streetscape and Road Diet, Phase 2 Ukiah, CA Redwood Business Park Transportation Improvements & Talmage Road Interchange Ukiah, CA Fulton Road Widening PS&E, Guerneville Road to Piner Road Santa Rosa, CA Roundabout Intersection Improvements, Southwest Blvd at Commerce Blvd Rohnert Park, CA Petaluma Complete Streets Petaluma, CA Petaluma Blvd Road Diet Phase 2 Petaluma, CA Jaguar Way/Windsor Road Pedestrian & Bicycle Improvements Windsor, CA Healdsburg Avenue Improvements Healdsburg, CA Terra Linda Sewer & Water Replacement & Road Reconstruction Santa Rosa, CA Zone 1-2 Intertie Sonoma, CA Downtown Redding Streets Circulation Redding, CA First & Second Street Roundabouts along California Blvd.Napa, CA California Blvd/Taft Street Improvements San Luis Obispo, CA Willits Main Street Road Diet Willits, CA Downtown Redevelopment Cloverdale, CA Downtown Improvements Petaluma, CA Downtown Improvements (Old Redwood Hwy)Cotati, CA Downtown Improvements - Main Street Fort Bragg, CA Rohnerville Road STIP/HSIP Fortuna, CA State Street Plan Ukiah, CA Street Smart Sebastopol Sebastopol, CA TownGreen/Downtown Revitalization Windsor, CA Stony Point Road Widening Santa Rosa, CA Mission Bay Redevelopment San Francisco, CA Table 4. Summary of Relevant Road Rehabilitation Experience Page 597 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 31 The challenge A significant chapter in the successful evolution of Ukiah's downtown, the Downtown Streetscape and Road Diet project has become a critical part of Ukiah's urban fabric and image, and a catalyst for growth in the area. The intent of the road diet improvements was to transform the existing four-lane State Street cross section into a three-lane cross section with one travel lane in each direction and a Two-Way Left-Turn (TWLT) lane in the center and parallel parking on both sides of the street. The TWLT lanes transition to left turn pockets at intersections. The project also replaced all water and sewer utilities in coordination with a power and telecommunication undergrounding project. Our response The project included the design of new streetscape and utility improvements along State Street from Mill Street to Henry Street, approximately nine city blocks. The project also included improvements on Perkins Street and Standley Street from School Street to Main Street. Specific components of the project included sidewalk widening and construction of curb ramps and bulb outs for ADA compliance and pedestrian safety, relocation of drain inlets and pipes, construction of LID stormwater enhancement features, installation of new street lights, and installation of street sidewalk furniture. New traffic signal controllers were installed at Mill Street, Perkins Street, and Standley Street. Client City of Ukiah Client Contact Tim Eriksen, Public Works Director and City Engineer +1 707 463 6280 teriksen@cityofukiah.com Date February 2019 – February 2020 (Design) March 2020 - June 2021 (Construction) Construction Cost $7,513,698.43 (Utilities Portion $3,375,280) Relevance –Roadway improvements and rehabilitation –Pedestrian safety –LID stormwater enhancements Ukiah Downtown Streetscape, Road Diet and Utilities Project, Phase 1 Ukiah, California Page 598 of 901 This project has become a critical part of Ukiah's urban fabric and image and a catalyst for growth in the area. Sidewalk improvements, ranging from 8 feet to 15 feet, were designed to ADA accessible standards and included bulb-outs with Rectangular Rapid Flashing Beacons (RRFB) and stamped asphalt at each street intersection, intended to enhance pedestrian safety. New sidewalks, driveways and ramp improvements conform to existing private improvements at the public right of way or building faces. The widened sidewalks include new planter areas, street trees, tree grates, street furnishings (benches, recycling and trash containers, bicycle racks, signage, bollards, street lights, etc.). Along Perkins Street and Standley Street, outdoor restaurant and café seating has been enhanced with the widening of sidewalks. The road diet portion was designed to maintain and enhance the State Street corridor vehicular capacity, reduce intersection congestion by providing center turn pockets that allow left turning vehicles to move out of the main flow of traffic, enhance pedestrian visibility and safety, and provide space for streetscape and pedestrian improvements. Utility improvements on State Street included approximately 2,700 lineal feet of new, 8-inch PVC sanitary sewer line, complete with new manholes, service laterals and cleanouts, and approximately 2,700 lineal feet of new 12-inch PVC water main line, complete with new water valves, fire hydrants, and water service lines with meter boxes. "Ukiah's new downtown streetscape project looks amazing! Wider sidewalks and ADA improvements, tree planting and landscaping, new street lighting and street furniture - just wow! It's been a ton of work by the City, and downtown businesses have been incredibly patient. Congrats!" — California Senator Mike McGuire → The Power of Commitment Page 599 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 33 Ukiah Downtown Streetscape and Utility Project Phase 2, Ukiah, California The challenge Continuing the growth and revitalization of Downtown Ukiah, Phase 2 of the Ukiah Downtown Streetscape project includes the sections of State Street that bookend Phase 1. The project combines three separate components: Downtown Streetscape, Rule 20 Undergrounding, and water and sewer utility replacement. Though this project's schedule is not as aggressive as in the previous phase, it has similar challenges including the potential for abandoned, former heating oil tanks (Underground Storage Tanks (USTs)) within the project limits, identifying the existing geometry of the utilities, addressing issues and constraints, and different design strategies for the pavement rehabilitation. Our response GHD's team is providing professional engineering services for the construction of the improvements including civil, survey, LID, electrical, utility coordination and design, traffic, landscape architecture, right of way, geotechnical, environmental compliance, and hazardous materials. While continuing the streetscape designs vetted as part of Phase 1, we will also explore different design elements that may not have fit in Phase 1, but could possibly be incorporated into this phase. GHD is leveraging the experience and knowledge gained in Phase 1 to address the similar challenges in Phase 2. Project outcome This project will create the northern and southern gateways into the heart of Downtown Ukiah and continue the revitalization and growth that Phase 1 began. Client City of Ukiah Client Contact Tim Eriksen, Public Works Director and City Engineer +1 707 463 6280 teriksen@cityofukiah.com Date 2021 – Ongoing Construction Estimate $8.4 million Relevance –Roadway improvements –Pavement rehabilitation –LID stormwater enhancements –Survey –Environmental permitting Page 600 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 34 Client City of Ukiah Client Contact Tim Eriksen, Public Works Director and City Engineer +1 707-463 6280 teriksen@cityofukiah.com Date May 2018 – February 2020 Construction Cost $5,144,628 Relevance –Roadway improvements/pavement rehabilitation –Pedestrian/bicycle facilities –S urvey –Environmental Awards The project was recognized by ACEC and ASCE with numerous awards for client service and design innovation. The challenge The project involved the design of roadway improvements in the Redwood Business Park commercial business and retail area of the City, and is related to planned development of the business park and the environmental requirement to improve the roadways and intersections that serve the area before allowing further large commercial development. The purpose of the project is to repair a large section of failed asphalt concrete pavement, widen roadways to accommodate increases in traffic, and improve pedestrian accessibility and shared bicycle facilities. A major element of the project is the design of the new pavement for Airport Park Boulevard and Talmage Road. The project reconstructed approximately 2,300 feet of failed pavement, as well as 1,500 feet of pavement overlay to accommodate planned heavy truck traffic. A key challenge was to accommodate existing shallow utilities while still achieving the design traffic loading. Our response GHD was competitively selected for the planning and design of this award-winning transportation improvement project in the City of Ukiah. GHD worked closely with subgrade and pavement fabric manufacturers to design a pavement section of reduced thickness compared with a traditional design that improved subgrade bearing capacity, while also increasing the design life of the pavement. To improve pavement tensile strength and longevity the project used a high strength aramid (Kevlar©) fiber reinforcement in the HMA mix design. Other elements of the project included new ADA compliant sidewalks and pedestrian ramps, modified and new traffic signals with video detection, the Redwood Business Park Transportation Improvements and Talmage Road Interchange Ukiah, California Page 601 of 901 GHD worked closely with subgrade and pavement fabric manufacturers to design a pavement section of reduced thickness that improved subgrade bearing capacity and increasing the design life of the pavement. Project outcome GHD provided construction management. The City of Ukiah performed construction inspection. The project was successfully completed in February of 2020. addition of turn lanes and changes in roadway geometry to efficiently handle higher volumes of traffic and larger vehicles, and pedestrian and bicycle improvements consistent with the City’s Bicycle and Pedestrian Plan. To improve stormwater quality and volume capture, the project constructed an innovative system utilizing Tire Derived Aggregate (TDA) as the permeable material in subgrade bioretention cells located behind existing curb and gutter along the roadway corridor. The use of TDA in this project also diverted approximately 35,000 used tires from California landfills. The approach to the bioretention system design maintained and protected nearly all existing trees and landscaping in the Redwood Business Park. The project also used 100% recycled Class 2 Aggregate Base (CL2AB) made from demolished Portland cement concrete roadway panels previously salvaged by Caltrans from a project that repaired sections of U.S. 101 in the Ukiah area. A portable processing plant was set up at the Contractor’s staging area to process the concrete panels into CL2AB and deliver the material directly to the project. Over 11,000 cubic yards of recycled CL2AB was incorporated into the project, significantly reducing the use of virgin mined aggregate. The project is integrally related to the adjacent Talmage Road Interchange project, which reconstructed the northbound U.S. 101 on- and off-ramp system. Roadway widening improvements required coordination with resource agencies for wetland mitigation and right-of-way encroachments. “GHD’s Design and Construction Management Teams far exceeded the City’s expectations especially in a project of this complexity. They were right there to handle every question and issue in the moment.” “Our Community was sceptical this project would improve traffic flow. Since completion, all the City had heard from the community is how much better traffic is now, than before, thanks to GHD.” - Tim Eriksen, City of Ukiah Public Works Director and City Engineer → The Power of Commitment Page 602 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 36 Ukiah Rail with Trail, Phases 1 - 3 (The Great Redwood Trail) | Ukiah, CA Challenge While most of the right of way is owned by the North Coast Railroad Authority (NCRA), the Northwestern Pacific Railroad Company (NWPRR) serves as the contract operator. Together, the two entities share responsibility for the safety, operation, and maintenance of the railroad segment. Since the NCRA, NWPRR, and the City of Ukiah have a vested interest in this project, it became critical for GHD to understand the needs of each stakeholder. Our response GHD served as Prime Engineer providing a full suite of environmental, engineering, and permitting services (as well as SWPPP preparation), for a Class 1, ADA-accessible, non-motorized trail along one mile of the NCRA Railroad Corridor between Gobbi Street and Clara Avenue in the City of Ukiah. This is the first Rail-with-Trail (RWT) project to be designed and constructed in NCRA right of way in Mendocino County. Regarding the SWPPP, GHD prepared a site-specific assessment to determine risk level, which is a function of the erosive potential of the soil and receiving water body risk during periods of soil exposure. Risk Level 2 would require sampling of stormwater for pH and sediment, and significantly more effort than a Risk Level 1 site. Risk level 3 sites may require Bioassessment studies of the receiving water body, and active stormwater treatment systems. GHD determined Phase 1 to be Risk Level 2. We then prepared the SWPPP document as required for the calculated risk level, which featured site maps and water pollution control drawings, a construction site visual monitoring program, a sampling and analysis plan for non-visible pollutants, a sampling and analysis Client City of Ukiah Contact Tim Eriksen, Public Works Director and City Engineer Public Works Department +1 707 463 6280 teriksen@cityofukiah.com Date Phase 1: 2012 – December 2014 Phase 2: November 2017 – December 2019 Phase 3: September 2018 – December 2019 value Phase 1: $0.68 million Phase 2: $1.83 million Phase 3: $1.84 million Relevance –Rail car pedestrian bridges –Pedestrian/bicycle pathway –LID stormwater enhancements/ compliance Page 603 of 901 plan for pH and sediment, a construction site non-visible pollutant sampling program, selection of appropriate best management practices (BMPs) for erosion and sediment control and for construction site management, and a partial water pollution control schedule. GHD provided Notice of Intent (NOI) information suitable to initiate the waste discharge permit process using the State’s Stormwater Multiple Application and Report Tracking System (SMARTS). Construction began in 2013 with about 4,300 feet of new paved trail along the west side of the railroad tracks, encompassing three street crossings and several connections to other adjacent streets along the alignment. Because of GHD’s familiarity with the design and challenges during construction, the City felt that GHD was best suited to perform construction management services. Applicable Permits: NCRA Encroachment Permit; California Public Utilities Commission (CPUC) GO-88 Modification of Existing Rail Crossing; SWPPP; CDFW Lake or Streambed Alteration Permit; Division of the State Architect (DSA) Access Compliance Approval; Caltrans ATP Construction Allocation Request (which requires the listed permits.) Outcome This non-motorized trail project garnered overwhelming community support; in addition to its inherent recreational value, it provides pedestrians and cyclists with safe access to amenities such as parks, a museum, restaurants, and a hospital. This is the first Rail- with-Trail (RWT) project to be designed and constructed in NCRA right-of-way in Mendocino County. → The Power of Commitment Page 604 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 38 Terra Linda Sewer and Water Replacement (with Roadway Reconstruction), Phase 1 Santa Rosa, California The challenge The water mains on Terra Linda Drive had been identified as fire flow deficient. Placed in 1961, the Asbestos-Cement (AC) sewer mains have experienced previous inflow and infiltration issues during rain events. The water and sewer pipelines on Tera Linda Court are the same age and material. For cost effectiveness, the City wanted to replace all the water mains and sewer pipelines at the same time. The project involved the replacement of approximately 1,600 LF of water main and 1,500 LF of sewer pipelines on Terra Linda Drive and Terra Linda Court. GHD designed new upsized 10-inch water and 8-inch sewer PVC C900 pipelines in order to meet the fire flows, correct sub-standard slopes, and maximize utility separation where possible. Additional design items included eight manholes, four hydrants and associated water/sewer lateral, cleanout and meters. The project also included 53,000 SF of full pavement restoration along Terra Linda Drive and Terra Court, and curb and gutter repairs. Key issues for this project included confirming the pipeline alignments and profiles, reconnecting laterals and meters with minimal disruption to the residents while maintaining access to the appurtenances, maintaining minimum 10-foot separation between the sewer and water main where feasible, and landscaping restoration work. Client City of Santa Rosa Client Contact Sara Mathews +1 707 543 3866 smathews@srcity.org Mark Kasraie, Supervising Engineer +1 707 543 3857 mkasraie@srcity.org Date March 2020 – December 2021 Construction Cost $2.3 million (Estimate) Relevance –Roadway reconstruction –Curb and gutter repairs –Water and sewer replacement Page 605 of 901 The alignments for the 40% submittal were prepared with sufficient detail that the City allowed GHD to skip the 65% submittal and proceed straight to 90% design. Our response During the pre-design phase, GHD prepared a technical memorandum and conceptual drawings with the proposed alignments for the sewer and water main. Based on City feedback and a design review workshop, the alignments were revised for the 40% submittal and prepared with sufficient detail, that the City allowed GHD to skip the 65% submittal, and proceed straight to 90% design. The 90% design included full plan and profiles for the sewer and water main alignments, incorporating the 10-foot separation where possible, and including a water main design that allows the existing main to remain in service, while the new main was being constructed. The 90% design also included cross sections every 25 feet for the full pavement restoration in hilly terrain. The fire hydrants also included a small retaining wall around them to hold back the soil in sloped areas. Project outcome The project was completed in December 2021 on schedule and within budget. Frequent communication with the City allowed the design to meet their expectations regarding alignment, connections, and paving. → The Power of Commitment Page 606 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 40 The challenge The existing roadway was over-designed as a 6-lane arterial street with a center two-way left-turn lane. As a result, pedestrian safety is an issue due to long crossing distances, and vehicles often straddle lanes. There are also frequent accidents because the road is so wide vehicles meander and travel at speeds above the posted speed limit. The Guam Department of Public Works wants to improve safety along the corridor and enhance multi-modal transportation features to make it more bicycle and pedestrian friendly. Our response This project resurfaced and restored the major arterial roadway, Route 14 (Chalan San Antonio), from south of Route 1 (South Marine Corps Drive) north to and including the Archbishop Felixberto Flores traffic circle, and made improvements to vehicular safety and pedestrian and bicycle mobility. GHD's design included a “road diet,” achieved by narrowing the existing roadway and reducing the number of travel lanes from two to three lanes in each direction to two lanes in each direction with center left turn pockets and TWLT lanes. The project included new raised medians, new pedestrian crossings, new signing and pavement markings, new and modified drainage inlets, new wider sidewalks and ADA compliant curb ramps, new driveway curb cuts, and striped bike lanes. The existing Archbishop Felixberto Flores traffic circle was also modified and reconstructed and addressed pavement failures within the context of a 2R project, and improved safety and operations by incorporating elements of modern roundabout design standards as much as practical without modifying the existing inscribed circle. Route 14 Resurfacing (Route 1 to Archbishop Felixberto Flores Circle), Guam Client Guam Department of Public Works Client Contact Lynden Kobayashi, WSP (client representative) Deputy Director of Public Works + 1 671 646 2927 lynden.kobayashi @ wsp.com Date 2019 - 2021 Construction Cost $17 million (estimate) Relevance –Roadway rehabilitation –Pedestrian/bicycle safety –New sidewalks –ADA compliant curb ramps Page 607 of 901 This project resurfaced and restored the major arterial roadway and made improvements to vehicular safety and pedestrian and bicycle mobility. Project outcome GHD provided a high-quality design. Organized QC reviews were performed on every deliverable, and all scope requirements were met. GHD’s project manager maintained a high level of coordination and communication with DPW, the PMT and other agencies to ensure compliance with design requirements and project concurrence. GHD sustained positive client interaction throughout the project life. Design services were completed within the original project schedule. Additional change order efforts were completed within the original schedule. Compliance with Project Schedule: Design services were completed within the original project schedule. Additional efforts associated with change orders were completed within the original schedule. Cost Control: GHD performed all services within the budget. Change orders were issued for additional surveying and mapping efforts to upgrade an old survey, hydrology / hydraulic analysis scope changes, and services to rebid the project. GHD coordinated closely with DPW and the PMT to address all stakeholder and agency comments and concerns prior to finalizing the design. Design Innovation: Modern roundabout design principals to improve safety, first multimodal “road diet” project on Guam to accommodate all transportation modes, digital video traffic counting for accuracy, and aramid fiber reinforced hot mix asphalt toimprove pavement strength. → The Power of Commitment Page 608 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 42 The challenge The Arlen Drive and East Cotati Avenue Overlays Project was a federally funded project that overlaid and reconstructed segments of Arlen Drive and East Cotati Avenue within the City. Our response Professional services included design, environmental review, and bid phase support. The project included the removal of failed asphalt concrete pavement, crack sealing, edge and conform grinding, HMA overlay, pavement reinforcement fabric, adjustment of utility and monument covers to grade, replacement of existing sanitary sewer manhole covers with City Standard hinged/locking manhole covers, removal and replacement of select areas of broken curb and gutter, replacement of vehicle traffic detector loops, addition of bicycle detector loops, and pavement markers, markings and signs. The design was required to comply with specific federal environmental requirements regarding disturbance of subgrade and ADA ramp replacement, as well as other federal and state environmental requirements for funding. Project outcome Design of the project was completed within the design budget and on schedule. Construction was completed in 2012. Arlen Drive and East Cotati Avenue Overlays Rohnert Park, California Client City of Rohnert Park Client Contact Patrick Barnes, Former Deputy City Engineer (Retired/unavailable) Date 2011 - 2012 value $700,000 (Construction Cost Estimate) Relevance –Roadway overlay and reconstruction –Pedestrian and bicycle safety –ADA accessibility Page 609 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 43 The challenge The 2011 Various Streets Overlay Project was part of the City’s annual street overlay and maintenance program. The project overlaid and reconstructed several collector streets within the City, including segments of Santa Dorotea Circle, and Camino Colegio from Southwest Boulevard to East Cotati Avenue. Our response Professional services included geotechnical field investigations, design, environmental review, and bid phase support. The project included the removal of failed asphalt concrete pavement, crack sealing, edge and conform grinding, HMA overlay, pavement reinforcement fabric, adjustment of utility and monument covers to grade, replacement of existing sanitary sewer manhole covers with City Standard hinged/locking manhole covers, removal and replacement of select areas of broken curb and gutter, replacement of vehicle detector loops, addition of bicycle detector loops, and pavement markers, markings and signs. In addition to adding new bike lanes to Camino Colegio, the project also replaced 38 pedestrian ramps with new ADA compliant ramps, added detectable warning surfaces to 34 existing pedestrian ramps to make them ADA compliant, and added new flashing red beacons to an existing stop-controlled intersection to improve driver awareness and pedestrian and bicycle safety. Project outcome Design of the project was completed within the design budget and on schedule. Construction was successfully completed in January 2012. 2011 various Streets Overlay Project Rohnert Park, California Client City of Rohnert Park Client Contact Patrick Barnes, Former Deputy City Engineer (Retired/unavailable) Date January 2011 - January 2012 value $588,909 (Bid Amount) Relevance –Roadway overlay and reconstruction –Pedestrian and bicycle safety –ADA accessibility Page 610 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 44 Perkins Street and Orchard Avenue Intersection Improvements Client: City of Ukiah Date: 2012 value: $130,000 (GHD Fees) Relevance –Intersection/roadway improvements Description: This project involved the design of traffic signal modifications and geometric improvements to add an additional right turn lane with a right turn overlap phase at this heavily utilized intersection near the on and off ramps for the U.S. 101 East Perkins Street interchange in Ukiah, California. Signal improvements included new signal poles and safety lighting, pedestrian and vehicle signal equipment, wireless vehicle detection system, a new controller cabinet, and new signal conductor cables for the entire intersection. Other improvements included minor grading and storm drainage improvements, paving, striping for the new turn lane and adjacent lanes and crosswalks, curb and gutter, sidewalk, and relocating signs from the demolished signal poles to the new signal poles. This project design was completed in September 2009, and modified in January 2012 to include federal Economic Development Administration funding requirements. Construction of the project was successfully completed in June 2012. Ukiah Courthouse Site and Roadway Improvements Client Name: Rau and Associates, Inc. Date: March 2017 Construction Cost: Unavailable Relevance –Stormwater and LID design –Hydraulic and flood analysis –Bridge structural design Description: GHD was retained by Rau and Associates to perform stormwater and LID design, hydraulic and flood analysis of Gibson Creek, and bridge structural design for the redevelopment of the 11-acre Railroad Center Property for commercial/business uses and associated roadway, utility and stormwater infrastructure. The land is owned by the NCRA and NWPRR, a subsidiary of Union Pacific Railroad. The site is generally bounded by East Perkins Street to the North, Leslie Street to the East, a residential neighborhood to the south, and the NWPRR tracks to the west. Relevant elements of the project include the extension of Hospital Drive south across Gibson Creek and into the site as Courthouse Drive, a new bridge over Gibson Creek, the extension of East Clay Street east across the railroad tracks and into the site, underground utilities, storm water management facilities, LID features, and related improvements. The connection of East Clay Street to Peach Street at Leslie Street is a planned future improvement. The new courthouse building and other commercial/business buildings are proposed to be constructed as a future project. The City of Ukiah was a party of interest whose role was to assist with this redevelopment project because of its potential to positively impact downtown Ukiah. GHD performed a HEC-RAS hydraulic analysis of Gibson Creek for existing conditions and for the proposed project site. This analysis was used to determine feasible site improvements within the 100-year flood plain and floodway, and for an application to FEMA for floodplain revisions required to facilitate proposed site improvements. Efforts included preparing and submitting an application to FEMA for floodplain mapping revisions, and additional FEMA coordination. GHD designed all the drainage systems and LID improvements for the site, including preparing all hydraulic and water quality calculations, as well as a technical memorandum meeting requirements for the Standard Urban Storm Water Mitigation Plan (SUSMP) and hydraulic design documentation for the Ukiah Courthouse Site and Roadway Improvements (Project) as required by the City of Santa Rosa and County of Sonoma Storm Water Low Impact Development Technical Design Manual. GHD designed the traffic signal improvements for the extension of Hospital Drive across East Perkins Street into the site and prepare and submitted a GO-88B application to the CPUC for approval of the improvements associated with the new Clay Street at-grade rail crossing. Page 611 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 45 Single Route Safety Improvements Client: Mendocino Department of Transportation Relevance −Pedestrian safety/connectivity enhancements Description: GHD provided project design for corridor safety enhancement, pedestrian connectivity, and operations, which included addition of a center turn lane and sidewalks throughout the project limits on South State Street, a major north-south arterial in the Ukiah Valley. The proposed project extended from approximately Blue Bonnet Drive, at the north end, to the creek crossing near Whitmore Lane on the south end. Challenges included existing constraints along the over half-mile corridor and numerous adjacent connecting roads with challenging conforms. Gobbi Street Intersection Bridge and Culvert Replacement Project Client: City of Ukiah Date: 2010 value: $900,000 Relevance −Bridge design −Resource agency permitting −S urvey −Hydraulic evaluation Description: GHD was contracted by the City of Ukiah to improve pedestrian access and intersection geometry at the intersection of Gobbi Street, Oak Manor and Babcock Lane. The intersection is bisected by Gibson Creek, a tributary to the Russian River, in two locations. The project included biological studies to support regulatory agency permit applications; geotechnical investigations; topographic, utility and right-of-way survey; hydrology; and hydraulic evaluation of the new stream crossings on Gibson Creek including evaluation of new improvements in relation to existing FEMA FIRM hydraulic models. The crossing designs included pre-cast bottomless box culverts with a 20 -foot free- span supported on cast-in-place concrete drilled pile foundations. In addition, the new crossings were designed to meet California Department of Fish & Game (CDFG) fish passage criteria. GHD assisted the City in developing the CEQA document, conducting biological surveys and developing permit applications to secure the CDFG Streambed Alteration Agreement, RWQCB 401 Water Quality Certification and the USACE 404. This project received funding through the 2002 State Transportation Improvement Program (STIP). The project was constructed in 2010 for contract award amount. Outcome: Fish passage criteria for listed salmonids had to be addressed during the design process as well as the poor soil conditions and liquefaction potential. GHD's team collaborated with CDFW and other team members to develop creative solutions. A stream simulation design approach was conducted and an engineered streambed material consisting of a gradation of native streambed gravels designed to remain stable at high flow events was placed through the bottomless box culvert. The poor soil conditions were mitigated through deepening specific piers, which proved to reduce cost relative to a simple pier design and longer uniform pier lengths. Page 612 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 46 Orchard Avenue Extension Feasibility Study Client Name: Mendocino County Department of Transportation Date: 05/2018 - 02/2020 value:$150,000 Relevance −Multimodal connectivity and safety Goal: The goal of this project was to study the feasibility of an alternative north-south roadway corridor. This major collector is expected to be an extension of the existing Orchard Avenue that ends at the Ukiah City Limit with Mendocino County. Description: After securing a Community Based Transportation Planning Grant, Mendocino County hired GHD to prepare a feasibility study to assess the cost of improvements for an alternate route along Orchard Avenue to improve traffic operations, multimodal connectivity, and safety. An additional north-south thoroughfare is greatly needed within the Ukiah Valley Area for improved circulation for commuters, visitors, and regional transit, as well as providing an alternate emergency access (in case of closure of US 101 and/or State Street). The Orchard Avenue Extension would reduce congestion and provide relief through Mendocino County and satisfies those transportation needs. Extending the road north from Brush Street along the preferred alignment will provide another route through the County and serve to improve congestion along North State Street and US 101, as well as adding another route for trucks that do not have height limitations of that exist on US 101. To date, three public meetings have been held on the planned extension and to provide a forum to ask for community input. They were held at the Mendocino County building on September 26, 2018, March 27, 2019, and on November 13, 2019 with a formal presentation. The Feasibility Study was accepted by the Board of Supervisors in February 2020. Orchard Avenue Bridge at Orr Creek and Related Roadway Improvements Client Name: City of Ukiah Date: 2007 value: $1,658,000 (Engineer's Estimate) Relevance −Bridge design −Roadway improvements Description: GHD performed preliminary engineering through construction services for the design of a four-lane, two-span, 85-foot concrete slab bridge over Orr Creek in the City of Ukiah. The project included approach roadways of 450 feet and 700 feet, respectively, storm drainage channel modifications, hydraulic and scour studies, and permit coordination. A significant element in design was the creek capacity and the bridge was designed to be above the 100-year flood elevation. The critical challenge faced on this project was the project schedule. Developments were proposed on each side of Orr Creek near the bridge location and therefore required a fast-track design. To shorten the design window, PDT meetings were held every two weeks and the environmental study/approval documents were hand walked through the process. Outcomes: Due to permitting issues and the development, the project was put on hold at a 95% submittal stage and was rescheduled for completion. GHD worked closely with the City and the developers to meet the revised deadline. Page 613 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project xI → Exceptions 06 Page 614 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 47 −Construction staking, surveying, and testing −Construction observation and inspection services, including specialty inspections, other than those services specifically included in the Scope of Services −Other services performed or furnished by GHD not otherwise provided herein for the Scope of Services Exceptions to the Insurance Requirements and/or the Draft Professional Services Agreement There are a couple of minor revisions the City has accepted on our most recent project agreement, and if selected we would request the same revisions for this project. Those revisions are summarized below: 6.0 INDEMNIFICATION 6.1 Insurance Liability C. 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 to the City, its officers, officials, employees and volunteers; or the Consultant shall procure a bond guaranteeing payment of losses and related investigations, claim administration and defense expenses. Any deductibles or self-insured retentions shall be declared to the City and shall be paid by Consultant. D. Other Insurance Provisions 4. All Coverages Each Insurance policy required by this clause shall be endorsed to state that coverage shall not be suspended, voided, canceled by either party, reduced in coverage or in limits except after thirty (30) days prior written notice by certified mail, return receipt requested, has been given to the City. Immediately upon notice to Consultant that the coverage under any insurancepolicy required by this Section D.4 is suspended, voided, canceled or reduced in coverage or amount Consultant shall notify the City in writing of such changes and shall provide substitute coverage that complies with this Section 6.1.D. 6. Exceptions Assumptions and Exclusions to the Scope of Services −Filing of a record of survey with the County of Mendocino is not required. −Preparation of conformed construction documents following the bid period is excluded, but can be provided upon request. −Construction period services, including bidding assistance, review of submittals and RFIs, and preparation of record drawings is excluded, but can be provided upon request. −All permit fees are excluded. It is assumed the City will pay permit fees. −Studies and design of stormwater management and stormwater quality improvements, to meet LID requirements are excluded. These services can be provided if it is determined during preliminary design that they are necessary based on area disturbed by the project. −Sampling, testing, analysis, and development of specifications and requirements for addressing hazardous materials and contamination is excluded. −Section 7 Consultation with either USFWS or NOAA will not be required. −All impacts can be avoided or mitigated on site. Conceptual mitigation plan will suffice. −No special-status wildlife or plant surveys will be needed. The following services are not included in the scope of work: −Environmental assistance and permit documentation −Right of way descriptions −Public outreach −Preparation of additional Bid Documents or Contract Documents for alternate bids or prices requested by the City for the project Page 615 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project 48 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. INSURER(S) AFFORDING COVERAGE INSURER F : INSURER E : INSURER D : INSURER C : INSURER B : INSURER A : NAIC # NAME:CONTACT (A/C, No):FAX E-MAILADDRESS: PRODUCER (A/C, No, Ext):PHONE INSURED REVISION NUMBER:CERTIFICATE NUMBER:COVERAGES IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. OTHER: (Per accident) (Ea accident) $ $ N / A SUBR WVD ADDL INSD THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. $ $ $ $PROPERTY DAMAGE BODILY INJURY (Per accident) BODILY INJURY (Per person) COMBINED SINGLE LIMIT AUTOS ONLY AUTOSAUTOS ONLY NON-OWNED SCHEDULEDOWNED ANY AUTO AUTOMOBILE LIABILITY Y / N WORKERS COMPENSATION AND EMPLOYERS' LIABILITY OFFICER/MEMBER EXCLUDED?(Mandatory in NH) DESCRIPTION OF OPERATIONS belowIf yes, describe under ANY PROPRIETOR/PARTNER/EXECUTIVE $ $ $ E.L. DISEASE - POLICY LIMIT E.L. DISEASE - EA EMPLOYEE E.L. EACH ACCIDENT EROTH-STATUTEPER LIMITS(MM/DD/YYYY)POLICY EXP(MM/DD/YYYY)POLICY EFFPOLICY NUMBERTYPE OF INSURANCELTRINSR DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required) EXCESS LIAB UMBRELLA LIAB $EACH OCCURRENCE $AGGREGATE $ OCCUR CLAIMS-MADE DED RETENTION $ $PRODUCTS - COMP/OP AGG $GENERAL AGGREGATE $PERSONAL & ADV INJURY $MED EXP (Any one person) $EACH OCCURRENCE DAMAGE TO RENTED $PREMISES (Ea occurrence) COMMERCIAL GENERAL LIABILITY CLAIMS-MADE OCCUR GEN'L AGGREGATE LIMIT APPLIES PER: POLICY PRO-JECT LOC CERTIFICATE OF LIABILITY INSURANCE DATE (MM/DD/YYYY) CANCELLATION AUTHORIZED REPRESENTATIVE ACORD 25 (2016/03) © 1988-2016 ACORD CORPORATION. All rights reserved. CERTIFICATE HOLDER The ACORD name and logo are registered marks of ACORD HIREDAUTOS ONLY Willis Towers Watson Northeast, Inc. c/o 26 Century Blvd P.O. Box 305191 Nashville, TN 372305191 USA GHD Inc. 4747 N. 22nd Street, Suite 200 Phoenix, AZ 85016 Additional Insured status can be granted as above only where required by written contract. General Liability policy can be Primary and Non-contributory with any other insurance in force for or which may be purchased by Additional Insured where required by contract or agreement. Waiver of Subrogation can be applied as above in favor of Certificate Holder where required by contract or agreement. Umbrella/Excess Liability Follows Form over General Liability, Auto Liability and Employer's Liability. To Whom It May Concern-GHD Inc 11/16/2021 1-877-945-7378 1-888-467-2378 certificates@willis.com Allied World Assurance Company US Inc 19489 Zurich American Insurance Company Beazley Insurance Company Inc 16535 37540 W22873134 A 1,000,000 1,000,000 25,000 1,000,000 2,000,000 2,000,000 Y Y 0310-4497 12/01/2021 12/01/2022 B 1,000,000 07/01/202207/01/2021 Coll Ded: $500 Hired Physical DamagComp Ded: $250 Y Y BAP 3757423-06 100000 A 1,000,000 Y Y 0310-4498 12/01/2021 12/01/2022 1,000,000 WC 0380936-06BY 1,000,000No07/01/2021 07/01/2022 1,000,000 1,000,000 C Professional Liability Each Claim:V29594200301 12/01/2021 12/01/2022 Aggregate: 231211321843633SR ID:BATCH: $2,000,000 $2,000,000 Willis Towers Watson Certificate Center Page 1 of 1 Page 616 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project A-III Team Member Resumes Appendix A Page 617 of 901 T 1 707 540 9687 | M 1 707 540 3376 | E matt.kennedy@ghd.com www.ghd.com Matt Kennedy PE, TE, ENV SP Project Director Location Santa Rosa, CA Experience 19 years Qualifications/Accreditations – MS, Environmental Engineering, University of Massachusetts, Amherst, MA, 2003 – BS, Environmental Resources Engineering, Humboldt State University, Arcata, CA, 2001 – Civil Engineer CA #68304; OR 83450PE; NV #24172; NM #23032; CNMI #528; GU #1337; HI #18171 – Traffic Engineer CA #TR 2385 – USACE/NAVFAC Certified Construction Quality Manager – California Department of Transportation Certified Resident Engineer Key technical skills – Multi-disciplinary engineering, project management, program management, transportation, utility systems, and sustainable civil engineering Memberships – American Society of Civil Engineers (ASCE); American Water Works Association (AWWA); Society of American Military Engineers (SAME) Relevant experience summary Matt is a licensed Civil and Traffic Engineer with 19 years of experience in the management and design of sustainable and resilient public infrastructure and facility projects. His experience includes a broad range of project types including traffic/transportation systems, utilities, sustainable site development, new and renovated buildings, storm drainage and LID, traffic signals, electrical distribution systems, pedestrian and bicycle facilities, striping and signing, retaining walls, water and wastewater treatment, and traffic control. His experience also includes planning, modeling and analysis capabilities including utility master planning, hydrologic and hydraulic modeling, water and wastewater process design, traffic and parking studies, circulation studies, and analysis and timing of signals. He is also experienced in land surveying and construction management. Downtown Streetscape and Utility Project Phase 1 Project Manager City of Ukiah | Ukiah, CA | Feb. 2019 – June 2021 Matt was the project manager for this federally, state and locally funded project that constructed a “road diet” on State Street from Mill Street to Henry Street, approximately nine city blocks. The project reduced the travel lanes, reducing congestion, improving parking and multi-modal access, and enhancing the downtown landscaping and streetscape. The project constructed new sidewalks, curb and gutter, and stormwater LID, and reconstructed the roadway. State Street is the former Highway 101 and includes sections of old concrete. The project also included modification of three traffic signals and replacement of 2,700 linear feet of sewer and water mains including services and laterals. Construction value: $12.4 million (bid) Downtown Streetscape and Utility Project Phase 2 Project Director City of Ukiah | Ukiah, CA | 2021 - Ongoing Matt is currently serving as the Project Director for this project, which continues the road rehabilitation, streetscape and landscape improvements and water and sewer utility replacement completed in Phase 1 in the north to Norton Street and in the south to Gobbi Street. The project is currently in design. Redwood Business Park Transportation Improvements Project Manager, Construction Manager City of Ukiah | Ukiah, CA | May 2018 – Feb. 2020 The project involved the reconstruction of an existing roadway system in a developing business park and retail area of the city. This project repaired a large section of under-designed and failed pavement, widened and improved roadways to accommodate increases in traffic and heavy trucks associated with planned future commercial and retail developments, A GHD Principal Page 618 of 901 Matt Kennedy | Project Director T 1 707 540 9687 | M 1 707 540 3376 | E matt.kennedy@ghd.com www.ghd.com and completed other associated improvements. Elements of the project include pavement design and roadway reconstruction for additional heavy truck traffic, new and modified traffic signals to accommodate current and future increases in traffic volumes, the addition of lanes and changes in roadway geometry to efficiently handle higher volumes of traffic and larger vehicles, extensions of roadways and utilities to serve new commercial development areas, and the addition of innovative LID stormwater quality systems using TDA. The use of TDA in the project diverted over 35,000 used tires from landfills. The project was recognized by American Council of Engineering Companies (ACEC) and ASCE with numerous awards for client service and design innovation. Project value: $5.14 million (final). Arlen Drive and East Cotati Avenue Overlays Project Manager, Civil Engineer of Record City of Rohnert Park | Rohnert Park, CA | Jan. 2011 – March 2012 The Arlen Drive and East Cotati Avenue Overlays project is a federally funded project that overlays and reconstructs segments of Arlen Drive and East Cotati Avenue in the City. Professional services included geotechnical field investigations, design of improvements, environmental review, and bid phase support. The project includes the removal of failed asphalt concrete pavement, crack sealing, edge and conform grinding, hot mix asphalt overlay, pavement reinforcement fabric, adjustment of utility and monument covers to grade, replacement of existing sanitary sewer manhole covers with City Standard hinged/locking manhole covers, removal and replacement of select areas of broken curb and gutter, replacement of vehicle traffic detector loops, addition of bicycle detector loops, and pavement markers, markings and signs. The design was required to comply with specific federal environmental requirements regarding disturbance of subgrade, as well as other federal and state environmental requirements for funding. Design of the project was completed within the design budget and on schedule. Construction value: $700,000 (estimate) Various Streets Overlay Project Project Manager, Civil Engineer of Record City of Rohnert Park | Rohnert Park, CA | Jan. 2011 – Oct. 2011 The Various Streets Overlay project was part of the City’s annual street overlay and maintenance program. The project overlaid and reconstructed several collector streets within the city, including segments of Santa Dorotea Circle, and Camino Colegio from Southwest Boulevard to East Cotati Avenue. Professional services included geotechnical field investigations, design of improvements, environmental review, and bid phase support. The project included the removal of failed asphalt concrete pavement, crack sealing, edge and conform grinding, HMA overlay, pavement reinforcement fabric, adjustment of utility and monument covers to grade, replacement of existing sanitary sewer manhole covers, removal and replacement of select areas of broken curb and gutter, replacement of vehicle detector loops, addition of bicycle detector loops, and pavement markers, markings and signs. In addition to adding new bike lanes to Camino Colegio, the project also replaced 38 pedestrian ramps with new ADA compliant ramps, added detectable warning surfaces to 34 additional pedestrian ramps to make them ADA compliant, and added new flashing red beacons to an existing stop- controlled intersection to improve driver awareness and pedestrian and bicycle safety. Design of the project was completed within the design budget and on schedule. Matt was personally recognized by the City for his efforts and professionalism on this project. Project value: $588,900 (bid) Talmage Road Interchange Improvements Project Manager & Construction Manager City of Ukiah | Ukiah, CA | Dec. 2013 – Jun. 2018 This project involved the design of geometric improvements to the existing freeway interchange at US 101 and State Route (SR) 222 (Talmage Road). The improvements are related to planned development of the Redwood Business Park and regional growth. GHD prepared a detailed traffic impact study, biological assessment, hazardous materials assessment, and a noise study for the project in support of the required CEQA Environmental Impact Report (EIR). The unique interchange design minimizes demolition and includes median separation with a partial traffic signal for westbound off-ramp traffic and yield control for eastbound on-/off-ramp traffic. The project included roadway reconstruction and widening to accommodate additional traffic, off-ramp geometry that accommodates dual Surface Transportation Assistance Act (STAA) truck traffic, realignment of the southbound off-ramps to improve safety and visibility, new and modified traffic signals with both inductive loop and video detection, a retaining wall, ADA compliant sidewalks and pedestrian ramps, and bicycle improvements. Project value: $1.86 million (bid) Project Manager Ukiah courthouse Stie and Roadway Improvements | Rau and Associates, Inc. | Ukiah, CA | Mar. 2017 (Design Completion) GHD was retained by Rau and Associates, Inc. to perform stormwater and LID design, hydraulic and flood analysis of Gibson Creek and bridge structural design for the redevelopment of the 11-acre Railroad Center Property for commercial/business uses and associated roadway, utility and stormwater infrastructure. The project included the extension of Hospital Drive south across Gibson Creek and into the site as Courthouse Drive, a new bridge over Gibson Creek, the extension of East Clay Street into the site, underground utilities, storm water management facilities, LID features and related improvements. Page 619 of 901 Erik Fanselau | Project Manager T +1 916 782 8688 | E erik.fanselau@ghd.com www.ghd.com Erik Fanselau PE, CFM, LEED AP Project Manager Location Roseville, CA Experience 23 years Qualifications/Accreditations – BS, Civil Engineering, California State University Sacramento, CA, 1999 – Civil Engineer, CA #64814 – Professional Engineer, CO #40007 – Certified Floodplain Manager, US-11-06045 – LEED AP, 10591588 Key technical skills – Roadway Design – Hydrology/Hydraulics – Stormwater Quality – Utility Design/Coordination Memberships – Association of State Floodplain Mangers – United States Green Building Council Relevant experience summary Erik has over 23 years of civil engineering experience including design, project management, construction management, and utility coordination. His expertise includes drainage, hydrology and hydraulics, water quality design, roadway design, utility coordination, pipeline rehabilitation, pump station design, and erosion control plans. R Line Light Rail Transit (Design/Build) Deputy Project Manager/Drainage/Utilities Lead Regional Transportation District | Denver, CO Erik served as Deputy Project Manager and Drainage/Utilities Design Lead for the $750 million design/build of 10.5 miles of new Light Rail Transit including Interstate Highway and local roadway improvements, 8 Light Rail Stations, multiple light rail bridges, drainage way crossings and improvements, and associated utility relocations. Hydraulic analysis was required for two major creek crossings. County Road 31 Improvements Project Manager U.S. Indian Health Service | Davis, CA Erik served as Project Manager for 1,000 feet of road widening and left-turn lane addition for a new medical treatment facility for the U.S. Department of Indian Health Service. The project also included field survey and traffic control design. Roadway design calculations included taper length, acceleration length, and deceleration length, storage, and bay taper. Coordination with the onsite design was also necessary. C-470 Improvements (Design/Build) Utilities Discipline Lead Colorado Department of Transportation | Highlands Ranch, CO As Discipline Lead on the $212 million project for 10 miles of roadway widening, Erik’s responsibilities included coordination with third party utilities, preparing budgets, managing staff, and identifying utility risk. Doyle Drive (Highway 101) Drainage Discipline Lead Caltrans | San Francisco, CA Scope of the project included replacing over a mile of bridge and roadway sections through the Presidio property in San Francisco. The drainage work included a report, system layout, onsite and offsite analysis, bridge hydraulics, scour analysis, and water quality design. Erik prepared three different water quality alternatives for each treatment location. Page 620 of 901 Erik Fanselau | Project Manager T +1 916 782 8688 | E erik.fanselau@ghd.com www.ghd.com Hazel Avenue Bridge Widening Drainage Discipline Lead Sacramento County | Rancho Cordova, CA The scope of this project included over two miles of road widening in eastern Sacramento County. The bridge was widened from four lanes to six lanes, which included the widening of the bridge over the American River. Design included site specific custom drainage inlet design and permanent water quality treatment. Secret Ravine Bridge Project Manager Placer County | Penryn, CA Erik served as Project Manager for a new 60-foot-long vehicle bridge over Secret Ravine in Penryn, California. The survey work included topographic survey, channel cross sections, biological survey delineations, and construction staking. The civil work included grading and erosion control. Erik also provided coordination with each of the disciplines, contractor, and Placer County. The bridge was designed to reduce the impact to the environment regarding biological considerations and hydraulic capacity. Erik performed the hydraulic analysis for the new bridge. Las Tablas Road/Hwy 101 Drainage Discipline Lead Caltrans | Templeton, CA Erik performed a drainage study for the roadway reconstruction and designed the storm drainage improvements for the Las Tablas Road/Route 101 Interchange Interim Improvements in San Luis Obispo County. Erik used StormCad to model the drainage system and he prepared a technical memorandum and exhibits for the project report. Lamar Reliever Route Drainage/Utilities Discipline Lead Colorado Department of Transportation (CDOT) | Lamar, CO Erik served as the Drainage Discipline Lead on 10 miles of new roadway construction. The project included the construction of the US 50 realignment and two new interchanges. Erik’s duties included coordinating with third party utilities and CDOT staff. I-69 Construction Segments 7 & 8 Drainage Discipline Lead Indiana DOT | Washington, IN The project included 150 miles of new 4-lane freeway for Interstate 69 construction in Indiana. Segments 7 and 8 totalled approximately 10 miles. Scope included roadway drainage as well as culvert hydraulics. Sterling S-Curve Drainage/Utilities Discipline Lead CDOT | Sterling, CO The project involved reconfiguring the downtown streets to add a new road alignment through an abandoned railroad right-of-way and reconstruction of existing roadway with new drainage facilities. Erik’s duties included design, financial management, utilities coordination, and management of design staff. 2017 General Engineering On-Call Project Manager City of Monument | Monument, CO Erik was the Project Manager of a multi-discipline, multi-firm team providing task order services including roadway, environmental, drainage, water, drainage, structural, traffic, construction management, survey, and utilities. 2019 Nevada County On-Call Engineering Project Manager Nevada County | Nevada City, CA Erik served as the Project Manager of a multi-discipline team with several subconsultants to provide on-call services to support operations, maintenance, and capital improvements for the County. 2019 City of Fountain On-Call Engineering Project Manager City of Fountain | Fountain, CO Erik was the Project Manager of a multi-discipline, multi-firm team providing task order services including roadway, environmental, drainage, water, drainage, structural, traffic, construction management, survey, and utilities. Bothell Crossroads Improvements Drainage Discipline Lead City of Bothell | Bothell, WA Erik prepared roadway drainage design with water quality treatment for the Bothell Crossroads project. The proposed project consisted of shifting the existing roadway several hundred feet as part of a congestion relief project for an existing intersection. Page 621 of 901 T +1 425 563 6500 | E pat.tortora@ghd.com www.ghd.com Pat Tortora PE, LEED AP Quality Assurance/Quality Control Location Seattle, Washington Experience 25 years Qualifications/Accreditations – Civil Engineer, CA #80067, WA #42517, OR #50400, ID #17342, GU #1873 – LEED Accredited Professional – BS, Civil Engineering, Oregon State University, Corvallis, OR, 2013 Key technical skills – Civil engineering, roadways, paths, utilities, and site design Memberships – ASCE Relevant experience summary Pat has 25 years of experience in providing planning, design, and construction engineering solutions to public and private clients with an emphasis on roadways, pathways, commercial, and industrial site design in collaboration with multi-disciplinary teams. For municipal entities, school districts, and governmental organizations throughout California, Southeast Washington, the Portland Metro Area, and Guam, Pat has overseen civil site infrastructure improvements that attend to stormwater quality concerns, utility infrastructure, pedestrian and vehicular safety measures, and sustainably minded, comprehensive sewer, water, and civil site work. Downtown Streetscape and Utility Project Phase 1 Engineering Lead City of Ukiah | Ukiah, CA | Feb. 2019 – June 2021 Pat Served as the Engineering Lead for this project, which included the design of new streetscape and utility improvements along State Street from Mill Street to Henry Street, approximately nine city blocks. The project also included improvements on Perkins Street and Standley Street from School Street to Main Street. Specific components of the project included sidewalk widening, construction of curb ramps and bulb outs, relocation of drain inlets and pipes, construction of LID stormwater enhancement features, installation of new streetlights, enhanced pedestrian crossings with RRFB and stamped asphalt crosswalks, and installation of street furniture. A new traffic control signal was installed at Mill Street, Perkins Street and Standley Street. Construction value: $12.4 Million (Bid) Great Redwood Trail Phases 1, 2 & 3 Project Manager City of Ukiah | Ukiah, CA | Oct. 2012 – Dec. 2014 (Phase 1); Nov. 2017 – Dec. 2019 (Phase 2); Sep. 2018 – Dec. 2019 (Phase 3) Pat was responsible for the delivery of construction ready PS&Es for three phases of the Great Redwood Trail. GHD is the design engineer for this Class I trail along North Coast Railroad Authority (NCRA) Railroad Corridor. The trail provides pedestrians and cyclists with safe access to amenities such as parks, a museum, and a hospital. In 2015, the first phase was the first Rail-with- Trail project to be designed and constructed in NCRA right of way in Mendocino County. The second two phases were constructed the winter of 2019. GHD provided a full suite of environmental, engineering, and permitting services, as well as SWPPP preparation. Phase 2 and 3 contains two bridges, one over Doolin Creek and one over Orr Creek to allow emergency vehicles to access all portions of the trail from a single direction. Project value: $680,000 (Phase 1); $1.83 Million (Phase 2); $1.84 Million (Phase 3) Page 622 of 901 Pat Tortora | Quality Assurance/Quality Control T +1 425 563 6500 | E pat.tortora@ghd.com www.ghd.com Downtown Revitalization Project Engineer City of Independence | Independence, OR | 2001 Pat led the production of the construction documents and specifications for the reconstruction of 1,100 feet of South Main Street from B Street to D Street. Work was completed as part of a historic restoration and included streetscape and urban design. Design included the replacement of water and stormwater pipelines. Stormwater design required drainage basin analysis, downstream system analysis, and hydraulic design of the piping system. Main Street/SR 1 Realignment Lead Civil Engineer City of Fort Bragg | Fort Bragg, CA | Dec. 2014 Pat served as Project Engineer and worked on the design for the Main Street Realignment Project (between Oak Street and Pine Street). Improvements included the relocation of the existing merge/drop lanes; the addition of a bike lane; the addition of medians; the replacement of the existing cobra-head style streetlights with new decorative streetlights; the addition of right- and left-hand turn lanes at various intersections; decorative bulbouts, curb ramps, and crosswalks; and accessibility improvements to driveways and sidewalks. Redwood Business Park Transportation Improvements Civil Engineer City of Ukiah | Ukiah, CA | May 2018 – Feb. 2020 Pat assisted in construction submittal reviews for this project, which involved the reconstruction of an existing roadway system in a developing business park and retail area of the city. The purpose of the project was to repair a large section of under-designed and failed pavement, widen and improve roadways to accommodate increases in traffic and heavy trucks associated with planned future commercial and retail developments, and other associated improvements. Elements of the project include pavement design and roadway reconstruction for additional heavy truck traffic, new and modified traffic signals to accommodate current and future increases in traffic volumes, the addition of lanes and changes in roadway geometry to efficiently handle higher volumes of traffic and larger vehicles, extensions of roadways and utilities to serve new commercial development areas, and the addition of innovative LID stormwater quality systems using TDA. The use of TDA in the project diverted over 35,000 used tires from landfills. The project was recognized by American Council of Engineering Companies (ACEC) and ASCE with numerous awards for client service and design innovation. Project value: $5.14 million (Final) Page 623 of 901 Maya Eoff | Civil/Roadway/Drainage Engineering T +1 707 523 1010 | E maya.eoff@ghd.com www.ghd.com Maya Eoff PE Civil/Roadway/Drainage Engineering Location Santa Rosa, CA Experience 11 years Qualifications/Accreditations – MS, Civil and Environmental Engineering, Colorado State University, Fort Collings, CO, 2010 – BS, Chemical Engineering, Mendeleev University of Technology, Moscow, Russia, 2006 – Civil Engineer, CA #90635 – Occupational Safety and Health Administration (OSHA) 40-Hour Training, 2020 Key technical skills – Civil3D Design – Technical Writing Memberships – N/A Relevant experience summary With over 10 years of experience, Maya Eoff has worked as a project engineer on a variety of projects including transportation, mining, wastewater design, and water quality modelling. She has assisted with the design of several roadway projects in California, including the recent Ukiah Downtown Streetscape Phase II and the Airport Boulevard Rehabilitation for the County of Napa. In addition to her technical skills, she also brings flexibility that she developed while working on complex and dynamic projects, which makes her a reliable teammate. She enjoys learning new skills and pursues excellence in every project. Transportation Ukiah Downtown Streetscape Phase II Design Engineer Mendocino County | Ukiah, CA Maya assisted with the preparation of PS&E plans for 35% and 65% submittal using Civil3D. She also developed striping and signing plans. The project includes hardscape upgrades and pavement rehabilitation for Stage II of the downtown improvement. North and south segments of improvements are adjacent to the Phase I project also completed by GHD. Airport Boulevard Rehabilitation Design Engineer County of Napa | American Canyon, CA Maya was responsible for engineering and drafting of the design for this pavement rehabilitation project in accordance with geotechnical recommendations, regulations, and client’s needs. She assisted with the preparation of the design memo and PS&E submittal. The project includes approximately 0.5 miles of Full- Depth Reclamation (FDR-C) for this four-lane roadway. The project also includes Americans with Disabilities (ADA) compliance upgrades to multiple curb ramps and sidewalks, as well as enhanced pedestrian markings. The project is adjacent to Caltrans right of way and includes detailed stage construction and traffic handling plans, as well as a Caltrans encroachment permit. Long Beach Artesia Great Boulevard Improvement Design Engineer Los Angeles County | Long Beach, CA Maya designed multiple curb ramps per Long Beach and Caltrans standards. She assisted with the preparation of construction details sheet for 90% submittal to the client and performed QA/QC of the design. Maya also trained teammates on curb ramp design incorporating Civil3D tools. Page 624 of 901 Maya Eoff | Civil/Roadway/Drainage Engineering T +1 707 523 1010 | E maya.eoff@ghd.com www.ghd.com City of Sonoma 2019 Fire Flow Improvement Design Engineer City of Sonoma | Sonoma, CA Maya was responsible for modelling of existing utilities using record maps and topographical survey. She prepared the initial design of new fire line infrastructure in multiple segments of the project using Civil3D. The project includes two segments that require fire line upsizing and three interties to connect existing fire line zones. SR 29/SR 221 Roundabout Interchange at Soscol Junction Engineer Napa County | Napa, CA Maya assisted with the preparation of construction details sheets for PS&E plans, 65% submittal using MicroStation. The project includes the design of two new roundabouts and an overpass at the Soscol Junction Interchange. Bell Road at I-80 Interchange Engineer Placer County | Auburn, CA Maya assisted with the preparation of PS&E plans for 65% submittal using Civil3D. The project includes construction of two roundabouts and exit and entrance ramps to I-80. The goal is to improve operations, reduce delay, and enhance mobility for all travel modes at the interchange. Page 625 of 901 Hugo Orozco | Civil/Roadway/Drainage Engineering T +1 707 523 1010 | E hugo.orozco@ghd.com www.ghd.com Hugo Orozco EIT Civil/Roadway/Drainage Engineering Location Santa Rosa, CA Experience 4 years Qualifications/Accreditations – BS, Civil Engineering, California State University, Sacramento, CA, 2017 – Engineer-in-Training #164509 – American Concrete Institute (ACI) Laboratory and Field-Testing Technician Grade I Key technical skills – ADA Compliant Designs – PS&E Submittal Preparation – Intersection & Roadway Design – Utility Conflict Resolution & Design Memberships – American Society of Civil Engineers Relevant experience summary Hugo Orozco is proficient in AutoCAD Civil 3D and he has participated in site civil development projects by preparing plans for grading and drainage, road design, roadway repairs, roundabouts, street rehabilitation, Americans with Disabilities Act (ADA) compliance, erosion and sediment control, detention ponds, stormwater control, and utility layout. His strong work ethic, positive attitude, and team-oriented approach contribute to solving complex problems. Town of Paradise Off-System Rehabilitation Project Engineer Town of Paradise | Paradise, CA As Project Engineer, Hugo assisted with the development of construction documents and estimates for this rehabilitation project that includes 53 road segments and over 13 miles of roadway. He also assisted with the design of numerous ADA curb ramps and various roadway improvements. Downtown Cotati Civic Center Connectivity and Safety Project Lead Designer City of Cotati | Cotati, CA Hugo assisted with comparing cost effective roadway rehabilitation repairs for multiple street segments with an approximate total length of one mile. This project was the second part of the original scope that included pavement rehabilitation, upgrading pedestrian curb ramps to meet current accessibility standards, traffic improvements, and upgrades to striping, markings, and signage. Windsor River Road/Windsor Road Roundabout and Multi-Use Path Connector Project Project Engineer Town of Windsor | Windsor, CA Hugo is serving as Project Engineer on this roundabout project for the Town of Windsor. He assisted with the production of construction documents, pathway plans, erosion and sediment control plans, as well as various other components of the plans and design. Fulton Road Widening Project Engineer City of Santa Rosa | Santa Rosa, CA Hugo served as Project Engineer, participating in the production of construction documents. He was responsible for the design of driveways, curb ramps, and pathways. This project incorporates road widening for approximately one mile of Fulton Road through partially developed areas utilizing as much existing features and infrastructure as possible and the addition of ADA compliant sidewalks and pedestrian ramps. Page 626 of 901 Hugo Orozco | Civil/Roadway/Drainage Engineering T +1 707 523 1010 | E hugo.orozco@ghd.com www.ghd.com City of Cotati 2020 Street Construction and Improvements Lead Designer City of Cotati | Cotati, CA Hugo developed a technical memorandum, which included development of alternative roadway rehabilitation repairs for multiple street segments with an approximate total length of 0.8 miles. The project included using Full-Depth Reclamation (FDR) as the method for pavement rehabilitation, upgrading pedestrian curb ramps to meet current accessibility standards, parking lot slurry seal improvements, traffic improvements, and upgrades to striping, markings, and signage. Jepson Parkway Phase II PS&E Project Engineer City of Vacaville | Vacaville, CA Hugo assisted with the production of the construction documents including plans and estimates. This project involves widening a 1.68-mile segment of Leisure Town Road from two lanes to a four-lane facility. Fryer Creek Pedestrian and Bicycle Bridge Lead Designer City of Sonoma | Sonoma, CA Hugo assisted with the civil site design layout and grading of a street and pathway leading up to the pedestrian and bicycle bridge. The design consisted of pedestrian curb ramps, driveway, roadway improvements, and striping upgrades. Grant Avenue Bridge Rehabilitation Project Design Engineer City of Novato | Novato, CA Hugo assisted with the design improvements that consisted of a roadway and bridge widening and grading design for ADA accessible facilities. In addition, he assisted with various striping, marking, and signage improvements. The final design allowed for construction of pedestrian and bike improvements on Grant Avenue, rock slope protection to correct the scour problems with the existing bridge structure, and revegetation of Novato Creek and its banks with native species. City of Sonoma 2020 Street Rehabilitation Project Lead Designer City of Sonoma | Sonoma, CA Hugo developed a technical memorandum which provided alternative roadway rehabilitation repairs for multiple street segments. He produced improvement plans that included grading design of multiple ADA compliant pedestrian curb ramps, roadway improvements, and striping upgrades in conformance with Caltrans Standard Plans. City of Sonoma Fire Line Improvement Staff Engineer City of Sonoma | Sonoma, CA Hugo assisted with performing and drafting the topographic survey for 12 road segments throughout the city. He gathered record maps to implement existing utilities from various entities. He also assisted with developing the utility model and roadway plans. Sonoma Citywide Slurry Seal Staff Engineer City of Sonoma | Sonoma, CA Hugo assisted with assembling the contract documents and specifications. He gathered various quantities for the street and bike path improvements used in the base of bid. He also referenced Caltrans Specifications and the CA MUTCD. Roadway Repair at Old Cazadero Road Staff Engineer County of Sonoma | Guerneville, CA Hugo assisted with the production of 100% plans for this County of Sonoma roadway repair project. He provided grading for sections of the roadway and improved various construction details and the erosion and sediment control plan. He also implemented and referenced Caltrans details. Page 627 of 901 Ashley Hoy | Civil/Roadway/Drainage Engineering T +1 530 242 1700 | E ashley.hoy@ghd.com www.ghd.com Ashley Hoy EIT Civil/Roadway/Drainage Engineering Location Redding, CA Experience 3 years Qualifications/Accreditations – BS, Civil Engineering, California State University, Chico, CA, 2018 – Engineer-in-Training, CA #172652 Key technical skills – Reports, Plans, and Specifications – Right of Way Acquisition Exhibits, Engineering Quantity Calculations, Engineering Estimate Preparation, and Existing and Proposed Watershed Maps – Construction Inspection Memberships – American Society of Civil Engineers Relevant experience summary Ashley Hoy joined GHD in the winter of 2017 as an intern, progressing to a design engineer after graduating in 2018 from California State University Chico. She provides technical assistance and project design on various civil engineering and transportation projects. She prepares reports, plans and specifications including the development of right of way acquisition exhibits, engineering quantity calculations, engineering estimate preparation, and existing and proposed watershed maps. Ashley also has provided construction inspection for seal coat projects and oversaw the contractor’s daily operations, materials testing, plans interpretation, and contractor payment records. In addition, she utilizes her past experiences in construction to develop practical designs for grading, preliminary traffic analysis, quantity cost estimating, and utility mapping. Shasta Lake Citywide Highway Safety Improvement Program (HSIP) Guard Rail Upgrades Design Engineer City of Shasta Lake | Shasta Lake, CA Ashley provided QC, reviewing technical specifications, construction bid estimate, and civil plans. Canyon Road Bridge Replacement at Anderson- Cottonwood Irrigation District (ACID) Canal Design Engineer Morrison Structures Inc. | Redding, CA | $600,000 (Construction) Ashley prepared the preliminary designs for the Canyon Road over the ACID Canal replacement projects. The project was successfully constructed with Highway Bridge Program (HBP) federal funding with a construction cost of $600,000. Central Business District Pedestrian Improvements Design Engineer City of Alturas | Alturas, CA | $750,000 (Construction) | 2019 Ashley designed the sidewalk and American with Disabilities Act (ADA) improvements in Downtown Alturas. Laurel Avenue Reconstruction Assistant Construction Office Engineer Sutter County | Sutter County, CA | $400,000 (Construction) | 2019 Ashley provided in-office construction support for 0.7 miles of full depth reconstruction of rural roadway. The project was successfully constructed in 2019 at a construction cost of approximately $400,000. Page 628 of 901 Ashley Hoy | Civil/Roadway/Drainage Engineering T +1 530 242 1700 | E ashley.hoy@ghd.com www.ghd.com Redding Downtown Streets through the Promenade Plans, Specifications, and Estimate (PS&E) Assistant Construction Office Engineer City of Redding | Redding, CA | $9 million (Construction) Ashley assisted with labor compliance review for the construction of streets through three downtown blocks. Project was constructed at an approximate cost of $9 million. I-5 / South Bonnyview Road Interchange (Phase 2) Improvements Design Engineer City of Redding | Redding, CA | $10 million (Construction) | 2022 Ashley prepared PS&E for freeway interchange modifications consisting of traffic signal modifications, drainage improvements, a new retaining wall, and reconstructed off-ramps. She provided preliminary stormwater data report with pre and post watershed exhibits, and preliminary design exception fact sheet and corresponding exhibits. Construction is scheduled for 2021-2022, at a construction cost of approximately $10 million. SR 299/Churn Creek Road/Hawley Road Interchange Design Engineer Bethel Church | Redding, CA | $6 million (Construction) Ashley prepared PS&E for a major interchange project that will include two modern roundabouts. Design elements included bicycle and pedestrian facilities, landscape features, stormwater treatment facilities, storm drain systems, and utility relocations. I-5 / South Bonnyview Road Interchange (Phase 1) Improvements Design Engineer California Gold Development Corporation | Redding, CA | $2.5 million (Construction) | 2020 Ashley provided PS&E QC for freeway interchange modifications consisting of traffic signal modifications, drainage improvements, a new retaining wall and a longer/wider northbound on-ramp. The project was successfully constructed in 2020 with a construction cost of approximately $2.5 million. SR 99 / Fulkerth Road Interchange Reconstruction PSR, PA/ED, and PS&E Design Engineer City of Turlock | Turlock, CA | $11.5 million (Construction) | 2018 Ashley provided the engineering quantity calculations and engineering estimate preparation. The project was successfully delivered to construction in 2018 with a construction cost of $11.5 million. Pedestrian Countdown Signal Heads and Pavement Markings Design Engineer City of Orland | Orland, CA Ashley assisted with the preparation of PS&E for modifications to update existing traffic signals with pedestrian countdown signal heads, new pavement delineation, and accessible push button assemblies. SR 299/Old Oregon Trail Interchange Design Engineer Bethel Church | Redding, CA Ashley developed PS&E, utility pothole mapping, and pavement delineation coordination with Shasta County Active Transportation Program (ATP) project. Construction is tentatively scheduled for 2022. Other Related Areas of Interests Volunteering & Leadership – Improving and rebuilding Caper Acres Children’s Park – American Society of Civil Engineers MidPac Concrete Canoe Competitor, 2016, 2018 – American Society of Civil Engineers MidPac Concrete Canoe Coordinator, 2017 Software Applications – Civil 3D – AGTEK – Revu BlueBeam Page 629 of 901 Richard Maddock | LiDAR, Utility & Boundary Survey T +1 707 523 1010 | E richard.maddock@ghd.com www.ghd.com Richard Maddock PLS LiDAR and Topographic Survey Location Santa Rosa, CA Experience 30 years Qualifications/Accreditations – General Courses, Land Surveying and Business Management, Solano Community College, Fairfield, CA, 1985-1989 – Professional Land Surveyor, CA #8131 Key technical skills – Land surveying Memberships – N/A Relevant experience summary Richard Maddock is a California-registered professional land surveyor. He has over 30 years of experience in all aspects of land surveying. He is an experienced party chief working on projects varying from winery construction staking to subdivisions. With the budget and timeline in mind, Richard delivers a superior product for the client. In the field, he will be the Party Chief of the primary survey crew. Being the Party Chief will provide him with first-hand knowledge of the site, the condition of the existing monuments and other important information critical to producing an accurate survey performance area. Stony Point Road Reconstruction and Widening (Phase 2) Land Surveyor City of Santa Rosa | Santa Rosa, CA The project included the design of traffic signal modifications and new traffic signal system designs at six locations for preparation of construction Plans, Specifications, and Estimate (PS&E). It included one new complete traffic signal system, two new Rectangular Rapid Flashing Beacon (RRFB) installations mid-block pedestrian crossings, and modification of three existing traffic signal systems due to roadway widening and upgrades for ADA compliance. The Stony Point corridor utilizes 2070 traffic controllers with Sydney Coordinated Adaptive Traffic System (SCATS) traffic system programming. Mid-block pedestrian crossings were designed with pedestrian refuge islands for compliance with the California Manual on Uniform Traffic Control Devices. Other design items included use of City standard video detection for limit line and intermediate detection and other provisions designed to meet the City Traffic Standards. Millbrae Avenue Box Culvert Repair Land Surveyor City of Millbrae | Millbrae, CA This project included 725 linear feet of 48-inch Reinforced Concrete Pipe (RCP) and radial elliptical concrete pipe, manholes, 12-inch RCP laterals, and discharge into the existing creek. The survey included streets, creeks, and a large open space (Spur Trail greenway) as part of alternatives analysis for rerouting an existing box culvert from underneath private properties to either a pipe routed below grade through streets, or as a creek daylighting project through the Spur Trail. The park survey included numerous trees and surface features, discharge areas into existing creeks at multiple points. The street survey included all surface features including curbs, manholes, pipe invert elevations, catch basins, and valves. Napa Road Rehabilitation Project (STPL-5114(017) Land Surveyor City of Sonoma | Sonoma, CA This was a federally funded project, the limits of which included approximately 2,700 linear feet of Napa Road, an arterial roadway within the City. The project Page 630 of 901 www.ghd.com Richard Maddock | LiDAR and Topographic Survey rehabilitated the existing pavement section, reconstructed pedestrian curb ramps for ADA compliance and reconfigured the roadway for Class II bike lanes or shared lanes throughout the project limits. GHD provided full federal aid services to the project, including Caltrans Local Assistance coordination, field review, Preliminary Environmental Screening (PES), National Environmental Policy Act (NEPA) technical studies, utility work, right of way certification, and preparation of federal authorization for construction. One Bay Area Grant Project: 5039 (023) Safe Routes to School, Phase 2 Land Surveyor City of Cloverdale | Cloverdale, CA This was a federally funded project that included pedestrian pathway and sidewalk gap closures, ADA curb ramps, restriping for Class II bike lanes, including green markings. The project included preparation of legal plats and descriptions for new sidewalk easements for the project, coordinating with the City’s right-of-way agent for acquisition of real property rights and assistance with the right-of-way certification for the project. In addition, GHD prepared the NEPA technical studies for the project for the project NEPA document and prepared the request for authorization and PS&E submittal for construction spending authorization. Petaluma Complete Streets Project (STPL 5022(055) Land Surveyor City of Petaluma | Petaluma, CA This was a federally funded project, which limits included approximately 4,500 linear feet of Lakeville Street and East D Street, two heavily traveled arterials within the city. The project rehabilitated the existing pavement section, reconstructed pedestrian curb ramps for ADA compliance, provided high visibility cross walks and/or RRFBs at pedestrian crossings, and incorporated Class II bike lines or shared lanes throughout the project limits. Eastside Trunk Sewer Phase 2 Land Surveyor City of Rohnert Park | Rohnert Park, CA Richard served as Land Surveyor for the completion of the design documents for $10-million, 10,000-linear foot, 18- and 24-inch diameter Polyvinyl Chloride (PVC) sanitary sewer main project. T +1 707 523 1010 | E richard.maddock@ghd.com North Marin Water District Recycled Water Expansion Project Manager, Land Surveyor North Marin Water District | Marin County, CA Richard served as Land Surveyor and Project Manager for surveying, right-of-way mapping, and field survey of the alignment to expand the North Service Area of their Recycled Water project. City of Rohnert Park Sewer Interceptor/Outfall Land Surveyor City of Rohnert Park | Rohnert Park, CA Richard served as Land Surveyor for the predesign and design for this 3.5-mile, 27-inch diameter, High Density Polyethylene (HDPE) sewer force main. The pipeline is aligned through habitat areas for the California Tiger Salamander and vernal pool areas. This $8.5-million pipeline was constructed on a fast-track schedule and was just operational when the City experienced a 100-year storm event, avoiding potentially significant Sanitary Sewer Overflows (SSO’s). Napa River Park Land Surveyor City of Napa | Napa, CA Richard provided survey for this project using Lieca Global Positioning System (GPS) and Lieca 1203 Total Station to map the upland and river bottom for design and pre-dredge earthwork calculations. Richard produced all in compassing map of the uplands and waterways including utilities and structures along top of bank for slope analysis. Felix Creek Fish Passage and Dam Repair / Removal Land Surveyor The Land Conservancy | Hopland, CA Richard provided survey for this project using Leica GPS and Leica 1203 Total Station to provide topographical mapping for design of fish passage channel improvements. He provided a detailed topographic map verifying culvert design for hydraulic analysis. San Anselmo Culvert Fish Passage Project Land Surveyor County of Marin | Marin County, CA Richard provided survey for this project using Leica GPS and Leica 1203 Total Station to provide topographical mapping for design of fish passage channel improvements. The detail topographic map verified culvert design for hydraulic analysis. Page 631 of 901 John Hanser | LiDAR, Utility & Boundary Surveying T 1 916 372 6606 | E john.hanser@ghd.com www.ghd.com John Hanser PLS LiDAR and Topographic Surveying Location Sacramento, CA Experience 25 years Qualifications/Accreditations – AS, Survey / Mapping, Sierra College, Rocklin, CA, 1996 –Professional Land Surveyor, CA #9578 – HazMat Certified Key technical skills -Attention to detail and methodical approach to work safety Memberships – California Land Surveyors Association Relevant experience summary John Hanser has over 25 years of land surveying experience with a thorough knowledge of the principles, practice, and procedures of topographic, boundary, aerial, American Land Title Association (ALTA), and construction surveys on a broad range of projects including road/highway transportation, water conveyance, hydroelectric, industrial, commercial, subdivision, and residential projects for public and private clients. He has performed construction staking for rough and finished grades for alignment and grade, buildings, walls, parking areas, driveways, roads, curb and gutter, joint trench and crossings, lift stations, sewer, water, storm drain, and fire hydrants, as well as slope staking and mass grade staking. John is also experienced with the protocol and reporting rigor required for federal and state permitted projects (e.g., Federal Energy Regulatory Commission (FERC), Federal Emergency Management Agency (FEMA), and Division of the State Architect (DSA)). He is well- experienced in coordinating with public agencies; complying with their stringent requirements and established cost limitations; and ensuring deliverables meet all applicable codes, standards, regulations, laws, and licensing requirements. John is highly experienced in utilizing incoming survey data to produce a wide variety of maps including tentative and final maps, subdivision maps, parcel maps, boundary line adjustment maps, lot line adjustment maps, and ALTA survey maps. John is proficient with a broad spectrum of conventional survey equipment; data collection techniques include using Real-Time Kinematic (RTK), Global Positioning System (GPS), LiDAR, and 3D Laser Scans. He is competent with current software including AutoCad LDD, Trimble Terramodel, Trimble Business Center, and Microsoft Office Suite. Sacramento Municipal Utility District Upper American River Project Roadway Improvement Project - FERC Project No. 2101 Staff Land Surveyor Doug Veerkamp General Engineering | El Dorado County, CA John served as Staff Land Surveyor for this roadway improvement project, part of the Upper American River Project owned and operated by the Sacramento Municipal Utility District. He provided accurate data collection during fieldwork and drafted all data into a topographic survey to support the analysis for approximately 6.5 miles of roadway owned and/or managed by the United States Forest Service (USFS) in the Crystal Basin Recreation Area in the vicinity of Union Valley and Ice House Reservoirs. During construction, John provided staking calculations and performed construction staking for the replacement of roadway pavement, gates, roadside barriers, native access trails, and other elements for a complete roadway improvement in accordance with USFS, Federal Highway Administration standards, and FERC License condition requirements. Prado Road/Elks Lane Intersection Analysis Staff Land Surveyor City of San Luis Obispo | San Luis Obispo, CA John was responsible for accurate data collection during field survey, as well as for drafting all data into a Page 632 of 901 www.ghd.com John Hanser | LiDAR and Topographic Surveying topographic survey to support the analysis of the intersection of Prado Road and Elks Lane for the planning of future improvements for multimodal safety. Firehouse Canyon Road Staff Land Surveyor San Luis Bay Estates Homeowners Association | San Luis Obispo, CA John was responsible for accurate data collection during fieldwork and for providing the needed expertise in the office to map the incoming survey data collected and produce a topographic survey map to support the investigation of a keystone retaining wall Eubanks Drive Construction Staking Staff Land Surveyor Buzz Oates Construction | Vacaville, CA John served as Staff Land Surveyor for this commercial/industrial development project. Work included office calculations and construction staking during construction of a 263,400-square-foot building. Staking including building grid layout, rough grade and finish grade, hardscape surfaces, drainage basin, and underground utilities. American Canyon Project Staff Land Surveyor Buzz Oates Construction | Napa County, CA John was responsible for recovering existing survey control, re-publishing coordinate values for control network, performing office calculations for construction staking as well as assisting in the fieldwork during construction staking activities. Construction staking included locating waterlines, a storm drain, streetlights, a driveway entrance, and the wing walls for loading docks. John also created mapping for the bio retention pond. Flume 44 Replacement - FERC Project No. 184 Staff Land Surveyor El Dorado Irrigation District | El Dorado County, CA John served as Staff Land Surveyor for this flume replacement project, a key element of the 22-mile-long El Dorado Canal. He provided accurate data collection during fieldwork, which consisted of locating and identifying trees on the project site and added to the topographic map. During construction, John provided staking calculations and performed construction staking for flume replacement and related support structures. El Dorado Penstock Stabilization - FERC Staff Land Surveyor El Dorado Irrigation District | Pollock Pines, CA John was responsible for accurate data collection during fieldwork and for providing the needed expertise in the T 1 916 372 6606 | E john.hanser@ghd.com office to map the incoming survey data collected during the field surveys and produce a detailed master drawing to facilitate the engineering design of access improvements. The base map was prepared using a combination of existing LiDAR data, conventional survey, and aerial photography. Work included identification of key features on the site such as the rock surface under the switchyard, concrete pillars, footings, penstocks, existing ladders, and any other points of interest beneficial to the design team. The greatest challenge was the extreme topography of the site. Letter Flume Replacement - FERC Staff Land Surveyor El Dorado Irrigation District | El Dorado County, CA John served as Staff Land Surveyor for this flume replacement project, a key element of the four sections of wooden flume replacement on the El Dorado Canal. He provided accurate data collection during fieldwork, which consisted of locating and identifying trees on the project site and added to the topographic map to verify LIDAR provided by the water district. He combined all data into a topographic survey to provide information needed for to support the engineering design. Woodridge Court Waterline Staff Land Surveyor El Dorado Irrigation District | Placerville, CA John was responsible for accurate data collection during fieldwork and for providing the needed expertise in the office to map the incoming survey data collected to locate water valves, meters, and sewer appurtenances on two residential courts. Work also included mapping the topographic contours from a combination of survey points and existing LiDAR data. Additional Training – 40-Hour Hazardous Waste Operations and Emergency Response (HAZWOPER) Initial Training (Title 8CCR 5192(e)(3)(A) & CFR 1910.120(e), 2019, 2021. – PG&E Safety Training, 2019 – California Survey & Drafting Services (CSDS) Trimble Business Center 3.61, 2016 – California Land Surveyor Association (CLSA) LS Review, 3-Day Seminar, 2010, 2008, 2015 – CLSA LS Review, 5-Day Seminar, 2019 – CSDS GPS Training, 2004 – Federal Aviation Administration (FAA) Remote Certifcation-2020 Page 633 of 901 T 1 707 443 8326 | E harrison.hummel@ghd.com www.ghd.com Harrison Hummel B.A. LiDAR and Topographic Surveying Location Eureka, California Experience 11 years Qualifications/Accreditations – Bachelor of Art in Geography, Anticipated Spring 2022 –GIS Certificate, 2015 Key technical skills – ESRI ArcGIS/ArcGIS Pro – Unmanned Aircraft Systems Planning and Operations – ArcGIS Online –Photogrammetry Processing – AutoCAD/Civil3D –LiDAR Data Processing Memberships – North Coast GIS Users Group Certifications and Training – FAA Certified Remote Pilot 2018, Renewal 2020 Relevant experience summary Harrison Hummel has extensive experience following industry standards and best practices for collection, management, and analysis of GIS spatial data. He can create meaningful and accurate maps and reports that enable clients to visually interpret complex spatial questions for a wide variety of different projects. As a Part 107 UAV Pilot, he carries a primary focus on producing survey grade deliverables and botanical mapping products that can aid in mitigation planning and monitoring. Harrison strives to provide simple solutions for complex problems by utilizing advanced geospatial technologies. Project experience Guam Routes 1 and 3 Under Pavement Infrastructure Retrofit - Mobile LiDAR Scan LiDAR Specialist/Data Processing Guam | Guam | November 2021 – Present GHD used a mobile LiDAR scanner with a 360-degree camera to collect data along a 15-kilometer corridor on the island of Guam. Inertial Explorer was used to post process and maximize the performance of the GNSS/INS hardware to ensure position, velocity, and attitude accuracy of the collected LiDAR data. ScanLook Point Cloud was used to process the law LiDAR into a point cloud for further data analysis and extraction. Topography and other important features were extracted from the point cloud using advanced CAD and GIS software. The 360-degree imagery was used to generate an interactive map showing street view images of the project area to assist in asset identification and surface extrapolation. Tehama County Highway 99 Mobile/UAV LiDAR Scan LiDAR Specialist, Data Processing, and UAV Pilot County of Tehama | Tehama County, California October 2021 GHD used a mobile and UAV based LiDAR scanner to collect data along 8 miles of roadway in rural Tehama County. Inertial Explorer was used to post process and maximize the performance of the GNSS/INS hardware to ensure position, velocity, and attitude accuracy of the collected LiDAR data. ScanLook Point Cloud was used to process the law LiDAR into a point cloud for further data analysis and extraction. Topography and other important features were extracted from the point cloud using advanced CAD and GIS software. Contaminated Lands Assessment LiDAR Specialist and Data Processing Phillips 66 | Duncan, Oklahoma April 2017 – Present Page 634 of 901 T 1 707 443 8326 | E harrison.hummel@ghd.com www.ghd.com Harrison Hummel | LiDAR and Topographic Surveying GHD manages a 600-acre contaminated site at a decommissioned refinery. Harrison processed raw LiDAR data into a Point Cloud. Data was imported into TopoDOT to extrapolate and extract topographic data for use in further design in AutoCAD Civil 3D. Mendocino Roadway Mobile LiDAR Scan LiDAR Specialist and Data Processing City of Mendocino | Mendocino, CA July 2021 – Present GHD used a mobile LiDAR scanner with a 360-degree camera to collect data along a ten-mile corridor in the town of Mendocino. Inertial Explorer was used to post process and maximize the performance of the GNSS/INS hardware to ensure position, velocity, and attitude accuracy of the collected LiDAR data. ScanLook Point Cloud was used to process the law LiDAR into a point cloud for further data analysis and extraction. Topography and other important features were extracted from the point cloud using advanced CAD and GIS software. The 360-degree imagery was used to generate panoramic street view images of the project area to assist in asset identification and surface extrapolation. Metamora Water Main Expansion Survey LiDAR Specialist and Data Processing Metamora | Township of Metamora, MI July 2021 – Present GHD collected data using a UAV based LiDAR sensor to capture high precision topographic data. Inertial Explorer was used to post process and maximize the accuracy of the on board GNSS/INS hardware to ensure position, velocity, and attitude of the LiDAR data. Once corrected, a point cloud was generated using ScanLook Point Cloud where a dense data rich point cloud was produced. The point cloud was imported into TopoDOT to filter heavily vegetated areas to produce an accurate topographic surface for use in further design in AutoCAD Civil3D. Halton Lanfill Inspection Study LiDAR Specialist/ Data Processing Regional Municipality of Halton | Mississauga, Ontario, Canada | July 2021 – Present GHD collected data using a UAV based LiDAR sensor to capture high precision topographic data of a closed landfill. Inertial Explorer was used to post process and maximize the accuracy of the on board GNSS/INS hardware to ensure position, velocity, and attitude of the LiDAR data. Once corrected, a point cloud was generated using ScanLook Point Cloud where a dense data rich point cloud was produced. The point cloud was imported into TopoDOT to filter heavily vegetated areas to produce an accurate topographic surface. The dense surface was used to calculate volume and settlements of the closed landfill. Watershed Delineation, Dark Gluch GIS Technician Mendocino County | Mendocino County, CA | 2019 Harrison was responsible for elevation analysis from a LIDAR data set in which the total area of the watershed was determined. A detailed hillshade and contours was produced from the raw LIDAR data. Siskiyou County Landfill Assessment UAV Pilot and GIS Technician | Siskiyou County | Siskiyou County, CA | 2018 Harrison was responsible for surveying multiple active and closed landfills within Siskiyou County. A UAV was used to collect high resolution aerial imagery of the project sites to capture the current conditions of the landfills. Data was processed in photogrammetry software where a Digital Elevation Model and an orthomosiac was generated. Data was analyzed inside advanced GIS software to study ground settlement and subsidence. Bakers Meadowfoam Mapping UAV Pilot and GIS Technician | Caltrans | Willits, CA | June 2017 – 2020 Harrison was responsible for mapping the extent of Bakers Meadowfoam within mitigation areas for the Caltrans Willits Bypass project. He was tasked with flying 2,000 acres and mapping the extent and change of Bakers Meadowfoam in a five-year period. Red, Green, and Blue (RGB) and multi-spectral sensors were used to acquire high-resolution aerial imagery of the project area. The imagery was then processed in Pix4D Photogrammetric software to create an ortho-mosaic. ArcGIS was used to analyze the ortho-mosaic datasets to map out the extent of the Bakers Meadowfoam. A combination of heads up digitizing and image classification tools using ArcMap was used to map and calculate density within the Willits’ valley. Gravel Bar Extraction Surveys & Monitoring UAV Pilot and GIS Technician| Randall Sand and Gravel | Garberville, CA | | June 2020 Harrison was responsible for mapping pre- and post-extraction conditions in the Mad River. A UAV was used to acquire high- resolution aerial images of the project and extraction areas. Ortho-mosaics and Digital Elevation Models (DEM’s) were generated from the aerial imagery in Pix4D. The DEM was imported into Virtual Surveyor where vegetation was removed, and a high-resolution Triangular Irregular Networks (TIN) was generated for export into AutoCAD. AutoCAD was used to grade a designed extraction surface and an estimated volume was calculated. After gravel extraction, post extraction conditions were recorded using the UAV, as well as on the ground surveying. This data was once again brought into AutoCAD where a final volume was calculated by comparing the pre- and post-extraction surfaces. Traditionally, this type of monitoring and calculation was accomplished with the use of traditional survey methods. The UAV decreased the amount of field effort necessary and resulted in a higher resolution dataset than traditional methods. Page 635 of 901 Jeremy Svehla | Hydaulic Engineering T +1 707 443 8326 | E jeremy.svehla@ghd.com www.ghd.com Jeremy Svehla PE, QSD/QSP Hydaulic Engineering Location Eureka, CA Experience 17 years Qualifications/Accreditations – BS, Environmental Resources Engineering, Humboldt State University, Arcata, CA, 2003 –Civil Engineer, CA #72169, OR #84314 –Qualified Stormwater Pollution Prevention Plan (SWPPP) Developer/Practitioner #00159 Key technical skills – Hydrology, Hydraulics and Geomorphology –Coastal Resiliency –Habitat Restoration Design –Flood Management and Sea Level Rise Adaptation –CEQA, NEPA, and Permitting – Granting Writing – Construction Management Memberships – American Society of Civil Engineers (ASCE), North Coast Branch, Past Director – American Fisheries Society (AFS) – City of Arcata, Wetlands and Creek Committee, 2014 -Present –Humboldt State University Environmental Resources Engineering Department, ABET Accreditation Advisory Committee, 2010 - Present Relevant experience summary Jeremy Svehla is a professional engineer with over 17 years of experience in water resources and coastal engineering, encompassing a broad range of engineering design, project management, and construction management. This has involved managing the Eel River Restoration Program comprised of the Salt River Ecosystem Restoration Project involving restoration of the lower 7.7-mile reach of the Salt River corridor and 450 acres of tidal salt marsh. He is also managing restoration of the lower 2.5-mile reach of Centerville Slough, 150 acres of tidal salt marsh, and 15 acres of coastal dunes in the Eel River Estuary. His skills range from grant writing, geomorphic assessments, and shoreline assessments to 2D hydrodynamic modeling, riverine and estuarine habitat restoration design, and sea level rise adaptation planning. He has served as project manager or project engineer for restoration projects and habitat improvement/enhancements for the majority of our team’s high-profile restoration experience, including for CalTrout, the Wildlands Conservancy, California Water Service Company, Alameda County Water District, Santa Clara Valley Transportation Agency, and the City of Fortuna. As a testament to the quality of his service, Jeremy was named the ASCE San Francisco Section North Coast Branch “Engineer of the Year” in 2015. Gobbi Street Intersection Bridge and Culvert Replacement Project Project Engineer City of Ukiah | Ukiah, CA Jeremy served as Project Engineer responsible for developing the hydrology and hydraulic design including the FEMA no-net-rise certificate and construction documents. The project’s goal was a design to improve pedestrian access and intersection geometry at the intersection. The project included geotechnical investigations, survey, hydrology, and hydraulic evaluation of new stream crossings on Gibson Creek including evaluation of new improvements in relation to existing FEMA FIRM hydraulic models. The bridge design needed to incorporate fish passage as Gibson Creek is a known salmonid habitat. City of Ukiah Storm Drainage Study Project Engineer City of Ukiah | Ukiah, CA Jeremy served as Project Engineer for this project which included a hydrologic and hydraulic investigation of flood-prone areas within the City of Ukiah. The primary objective of the study was to analyze the existing storm Page 636 of 901 Jeremy Svehla | Hydaulic Engineering T +1 707 443 8326 | E jeremy.svehla@ghd.com www.ghd.com drainage facilities and determine deficiencies that have been attributed to the localized flooding. Jeremy’s involvement included performing field investigation, hydrologic and hydraulic analyses, and alternative analysis of conceptual designs. He performed hydraulic modeling using StormCAD. Hanson Russian River Floodplain Restoration Project Manager Sonoma County | Near Windsor, CA Jeremy serves as Project Manager for this ongoing project to restore 350 acres of former gravel pit mines to a riparian floodplain on the Russian River near the Town of Windsor. The work involves riverine hydraulic analyses, groundwater assessments to support final design (assessing the hydraulic and fate-transport of accumulated methylmercury at the bottom of the mine pits), CEQA and regulatory approvals, and 3 million cubic yards of earthwork to re-contour and re-connect the floodplain to the river. The project will improve geomorphic stream function, increasing riparian buffers and habitat diversity for avian and aquatic listed species while reducing further accumulation of methyl mercury and flood reduction. Jeremy led the project team through initial data collection, hydrogeologic and geotechnical studies, and preliminary design to support regulatory approvals. The project is funded by the California Coastal Conservancy and the CDFW. Rohner Creek Flood Control and Habitat Improvement Project Project Manager City of Fortuna | Fortuna, CA Jeremy served as Project Manager for this $8-million urban stream restoration project through Fortuna’s downtown district. Project objectives included removal of salmonid migration barriers, improvements to geomorphic stream function and reduced flooding. His responsibilities included leading the project team through grant development, streamflow monitoring, hydrologic/hydraulic modelling, preliminary design, environmental review, final design, and construction management for this multi-phase project. FEMA has approved the Conditional Letter of Map Revision (CLOMR) and once completed the project will remove approximately 150 properties from the FEMA regulated 100-year flood hazard zone. Redwood Road Erosion Repair Project Project Engineer City of Napa | Napa, CA Jeremy served as Project Engineer for this storm damage repair project which required streambank stabilization along Redwood Creek and roadway reconstruction of Redwood Road at two sites within the City of Napa. The project involved the assessment of soft bioengineering and hard armoring streambank stabilization measures, hydrologic analysis to determine design peak flows, an open-channel hydraulic analysis through both project sites utilizing the HEC-RAS model, geotechnical investigation, and structural analyses. Final design featured bioengineered streambank revetment including rock slope toe protection, live willow planting, and soldier pile wall with concrete lagging. Caspar Creek Fish Passage Improvement Project Project Engineer Five Counties Salmonid Conservation Program | Mendocino County, CA Jeremy served as Project Engineer for ongoing project funded by the California Coastal Conservancy and administered by the Trinity County Planning Department for the Five Counties Salmonid Conservation Program. The Jackson Demonstration State Forest is an important experimental forest that serves as an important research asset in studying forest management practices and the forest sciences in general. Both the north and south forks of Caspar Creek have sediment/debris stilling controlled by concrete low-flow V-notch weirs, which are used for measuring streamflow by Redwood Sciences Laboratory. Jeremy’s involvement on the project included working in a project team and completed tasks associated with initial design development, and preparation of plans and cost estimates. Awards – Homer Arnold Award for Lower Van Duzen River Streambank Restoration and Fish Passage Improvement Project – ASCE San Francisco Section North Coast Branch Engineer of the Year, 2015 Page 637 of 901 Steve Burns | Structural Engineer T 707.303.4855 | E steve.burns@ghd.com www.ghd.com Steve Burns PE, SE, ME, LEED AP Structural Engineer Location Santa Rosa, CA Experience 30 years Qualifications/Accreditations – MS, Structural Engineering, University of California, Berkeley, CA, 1991 – BS, Engineering, San Francisco State University, San Francisco, CA, 1980 – Civil Engineer, CA #51369 – Structural Engineer, CA #4229 – Mechanical Engineer, CA #26600 – Leadership in Energy and Environmental Design Accredited Professional (LEED AP), US Green Building Council – Construction Documents Technologist (CSI) Key technical skills – Structural engineering for roadway and trails projects – Bridges, box culverts, retaining walls Memberships – Structural Engineers Association of Northern California Relevant experience summary Steve Burns is a professional engineer with over 30 years of experience in the design and analysis of building, civil, and bridge structures. Steve has extensive experience with both new construction and repair/retrofit. In the building industry, he has performed new building design, as well as seismic retrofit for concrete, steel, masonry, and wood structures. Stony Point Road Widening Senior Structural Engineer City of Santa Rosa | Santa Rosa, CA As Senior Structural Engineer, modified an existing box culvert on Stony Point Road at Roseland Creek, Santa Rosa, California. Modifications included the inclusion of a new box culvert running parallel and adjacent to the existing, extension of the existing culvert to assist in road widening, wing wall design and miscellaneous retaining wall design. Modifications were made in accordance with the AASHTO LRFD bridge design specifications, sixth edition, with California amendments and Caltrans standard details. Snyder Lane Widening Senior Structural Engineer City of Rohnert Park | Rohnert Park, CA As Senior Structural Engineer, designed an extension to an existing multi cell box culvert on Snyder Lane at Copeland Creek, Rohnert Park, California. Extension included retrofit of the existing concrete bridge vehicle barrier on the non-extended side to match the new concrete vehicle barrier on the extended side and design of wing walls. Modifications were made in accordance with the AASHTO LRFD bridge design specifications, sixth edition, with California amendments and Caltrans standard details. Coyote Creek Trail – Brokaw Road to Union Pacific Railroad Senior Structural Engineer City of San Jose | San Jose, CA As Senior Structural Engineer, provided design of the structural features of this approximately one-quarter- mile-long multipurpose trail, which included retaining walls, guard rails and trail canopy structures. The trail is 12 feet wide and composed of asphalt concrete pavement with two-foot-wide compacted virgin base rock shoulders. The majority of the trail is on top of the existing levee or creek bank. A unique feature of the trail is that it passes beneath an existing railroad trestle. This necessitated the design of a canopy to protect trail users from falling debris that may be caused by a passing train. The canopy design was composed of steel Page 638 of 901 Steve Burns | Structural Engineer T 707.303.4855 | E steve.burns@ghd.com www.ghd.com incorporating a metal deck and tube steel structure, which included access hatches so that the train trestle could be inspected from below on top of the canopy. Additionally, the canopy was supported from one side of the trail only so it would not interfere with the view. Steve also designed conventional cast-in-place concrete retaining walls to support earth cut sections along the trail way. Lucas Valley Road Realignment Senior Structural Engineer County of Marin | Marin County, CA Steve is serving as Senior Structural Engineer for this federally-funded project. Project components include constructing a CIDH soldier pile retaining wall with tie backs to correct a known slide around a tight radius curve and increasing the radius to improve safety. Windsor River Road Pavement Repair Senior Structural Engineer City of Windsor | Windsor, CA As Senior Structural Engineer, designed a retaining wall to support a portion of Windsor River Road that was sloughing away, Windsor, California. Repair consisted of the design of a solder pile retaining wall. Soldier piles were made from HP12x53 wide flange elements cantilevering from cast-in-drilled hole concrete piers. Lagging was composed of precast reinforced beam elements. Design was performed in accordance with the 2013 California Building Code. Redwood Road Erosion Repairs Senior Structural Engineer City of Napa | Napa, CA As Senior Structural Engineer, Steve designed two retaining walls for active erosion sites along the bank of Redwood Creek in an area that threatened the stability of Redwood Road, which is classified by the City of Napa as an arterial roadway. Design challenges included protection and retention of a large oak tree with exposed roots, channel scour, and site access. Healdsburg Roundabout Senior Structural Engineer City of Healdsburg | Healdsburg, CA As Senior Structural Engineer, designed retaining walls and culvert replacements for the City of Healdsburg, CA. The culvert measured 104-feet in length by 10-feet in width by 14-feet in depth and extended under a roundabout. The retaining walls measured 56-feet in length and retained up to 12.5-feet of retained earth on both sides of a creek after exiting from the afore mentioned culvert. All structures were cast-in-place concrete designed in accordance with the 2013 California Building Code. Connections of the culvert to an existing culvert and various light pole foundation were also designed. SYAR Industries Truck and Rail Crossover at Stoney Creek Senior Structural Engineer SYAR Industries | Glen County, CA As Senior Structural Engineer, designed a crossover to support both truck and rail loads over an existing culvert at Stoney Creek in Glen County. Construction consisted of a reinforced concrete bridge structure to span over the existing culvert. Design documents included all plans and specifications for the work. The rail line consisted of a rail spur that supports Cooper E80 loads. The truck pathway was designed to support AASHTO HS20-44 loads. The rail line is under the jurisdiction of California Northern Railroad, and therefore, the design was in accordance with California Northern Standards. Soda Creek Culvert Crossing Senior Structural Engineer Napa County Department of Public Works | Napa, CA As Senior Structural Engineer, reviewed an existing structural capacity report and made an independent evaluation with findings and recommendations of a culvert bridge crossing for the Napa County Department of Public Works. The culverts were originally constructed circa 1970 without a permit from the County. The existing report was reviewed for adequacy and conformance to professional engineering practice. The bridge consisted of two twin concrete barrel culverts, 15 feet in diameter, 18 feet wide, spaced 28 feet apart center to center, and placed underneath and supporting perimeter mortared rock retaining walls. Between the mortared rock retaining walls a 20-foot-deep layer of fill had been placed making the road travel way. The culvert crossing provided access to a private property residence off of Soda Canyon Road. Cotati Creek Bypass Senior Structural Engineer City of Cotati | Cotati, CA As Senior Structural Engineer designed an addition to an existing concrete box culvert and a bypass conduit along Cotati Creek. Page 639 of 901 | T 1 707 523 1010 | E kristine.gaspar@ghd.com www.ghd.com Kristine Gaspar Resource Agency Permitting Location Santa Rosa, CA Experience 25 years Qualifications/Accreditations – MPA, Public Administration, California State University, Sonoma, CA, 1995 – BA, Environmental Studies and Planning, California State University, Sonoma, CA, 1992 Key Technical Skills – CEQA Compliance – Resource Agency Permitting Memberships – American Planning Association – Association of Environmental Professionals Relevant Experience Summary Kristine Gaspar’s experience includes 25 years of environmental planning, CEQA compliance, resource agency permitting, data research and analysis, grant writing, and community surveys. Kristine has been involved in environmental analysis on a wide variety of projects from private development to infrastructure projects, including roadways, schools, recycled water, and park facilities. She is currently the project manager for the Laguna Treatment Plant Compliance project and Ellis Creek Water Recycling CEQA Compliance project. Kristine’s projects are often complex with multiple deadlines. Sonoma-Marin Area Rail Transit (SMART) Larkspur Extension Project Planner SMART | Marin County, CA Kristine assisted SMART with obtaining USACE Nationwide Permit, RWQCB Region Water Quality Certification, and California Department of Fish & Wildlife (CDFW) Streambed Alteration Agreement), preparing the mitigation plan for permanent impacts to wetlands, and providing support during construction of the Larkspur Rail Extension from San Rafael to Larkspur. Jennings Avenue Pedestrian Rail Crossing Environmental Impact Report (EIR) Project Planner City of Santa Rosa | Santa Rosa, CA Kristine served as Project Planner for this EIR, which evaluated construction and operation of an official at- grade pedestrian and bicycle rail crossing in the City of Santa Rosa and the possible closure of an at-grade rail crossing at one of three locations in Downtown Santa Rosa. Kristine was in charge of writing the Air Quality and Greenhouse Gas (GHG) sections. Fulton Road Widening Improvement Project Quality Control Reviewer City of Santa Rosa | Santa Rosa, CA Kristine served as Quality Control Reviewer for the permitting phase of the project. The project includes roadway widening, new vehicle travel lanes, bicycle lanes, sidewalks, bioretention areas, bus stops, landscaping, utility relocations, stormwater facilities, and property acquisitions and easements. The project would result in fill in Forestview Creek, Peterson Creek, several roadside wetland and non-wetland ditches, and a seasonal wetland. Kristine assisted in the permitting services for the project, which included obtainment of a Section 404 Nationwide Permit; 401 Water Quality Certification; and Section 2081 Incidental Take Permit. Grant Avenue Bridge Rehabilitation CEQA and Permitting Quality Control Reviewer City of Novato | Novato, CA Kristine provided quality control reviewing for permitting of this bridge rehabilitation project within Caltrans District 4. The project includes rehabilitating and widening an existing vehicle and pedestrian bridge, as well as stabilizing the banks and channel on the upstream Page 640 of 901 Kristine Gaspar | Resource Agency Permitting T 1 707 523 1010 | E kristine.gaspar@ghd.com www.ghd.com portion of Novato Creek. The project also includes grant authorization from the Caltrans Highway Bridge Replacement and Rehabilitation Program for partial federal funding. Technical studies included a natural environment study, biological assessment, Area of Potential Effects (APE) mapping, archaeological study report, historic resources evaluation report, and several technical memorandums. Permitting applications include a Section 404 Nationwide Permit, 401 Water Quality Certification, and Section 1602 Streambed Alteration Agreement. SMART Payran to Southpoint Non-Motorized Trail Permitting Task Lead: Permitting and NEPA Document Consistency SMART | Sonoma County, CA Kristine assisted SMART with obtaining permits (USACE Nationwide Permit, RWQCB Region Water Quality Certification, and CDFW Streambed Alteration Agreement), and provided support during construction for the Payran to Southpoint section of the proposed non-motorized trail along the rail right of way. Richmond Ferry Terminal Permitting Project Planner San Francisco Bay Ferry Richmond, CA Kristine oversaw the resource agency permitting process and supporting technical studies for this new Water Emergency Transportation Authority (WETA) ferry terminal to be located at the terminus of Harbour Way South, in Richmond. Approvals included Dredged Material Management Office (sediment quality sampling plan and disposal plan), USACE (Nationwide Permit), San Francisco RWQCB (401 Certification), and Bay Conservation Development Commission (Administrative Permit). Vallejo Ferry Maintenance Facility IS/MND and Permitting Project Planner Oregon & California Railroad | Vallejo, CA Kristine oversaw preparation of the IS/MND and was responsible for coordinating and securing the resource agency permitting. The project included the construction of a new docking and maintenance facility within Mare Island Strait for WETA. The permitting agencies involved include Bay Conservation Development Commission (Major Permit), USACE (Section 10 Permit and Waiver to build within Federal Channel), San Francisco RWQCB (Water Quality Certification), National Marine Fisheries Service (Formal Consultation), California Department of Fish & Game (Streambed Alteration Agreement and Incidental Take Permit), and US Coast Guard (approval to build within Federal Channel). The project also involved coordination with Navy Base Realignment and Closure (BRAC). MLK Jr. Regional Park Bay Trail Permitting, CEQA, and Caltrans Task Lead East Bay Regional Park District | Oakland, CA As the Permitting and CEQA Task Lead, Kristine is responsible for obtaining resource agency permits and CEQA clearance for construction of a segment of the Bay Trail that is being implemented by East Bay Regional Park District. The site has challenges as it is within the 100-year flood, a condition that will worsen with sea level rise, and the park improvements will encroach into San Leandro Bay and State Route (SR) 61. Involved agencies include USACE, San Francisco RWQCB, National Marine Fisheries Service, and Bay Conservation and Development Commission. In addition, numerous technical reports in support of the Caltrans funding process were prepared, including Natural and Environmental Sciences, Community Impact, Sea Level Rise, and Visual Impacts. Windsor River Road/Windsor Road Intersection and Bike Path Improvement Task Lead: CEQA and Caltrans Documentation Town of Windsor | Windsor, CA Kristine served as Project Planner overseeing the CEQA Notice of Exemption and documentation, and Caltrans Environmental Review Process. This project transformed the intersection from a traditional four-way/signalized intersection to a roundabout, improving the pedestrian safety and functionality, which also includes a rail line. In addition, 800 linear feet of a multi-use Class 1 trail was constructed within the rail right of way. Petaluma Trestle Rehabilitation Project IS/MND and Permit Support Documents Project Manager City of Petaluma | Petaluma, CA This project involved rehabilitating a historic railroad trestle as a promenade for pedestrian and trolley traffic along the Petaluma River Waterfront. The trestle is a beloved structure in the community, which led to active public participation in the preliminary design and environmental review process. Kristine served as Project Manager for an initial study that evaluated the complex issues surrounding the trestle’s historical significance. In addition, the initial study evaluated the project’s impact on special-status aquatic species, and the impacts of construction vibration on the neighboring businesses. Page 641 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project A-Iv → ghd.com Page 642 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project I Separate Fee Proposal for: Talmage Road Rehabilitation Project City of Ukiah January 31, 2022 → The Power of Commitment ATTACHMENT 3 Page 643 of 901 The Power of Commitment GHD 2235 Mercury Way, Suite 150 Santa Rosa, California 95407 United States www.ghd.com Our ref: 12571020 January 28, 2022 Andrew Stricklin, Associate Engineer City of Ukiah – Department of Public Works 300 Seminary Avenue Ukiah, CA 95482 RE: Fee Proposal for the Talmage Road Rehabilitation Project Dear Mr. Stricklin Enclosed for your consideration is GHD’s time-and-materials “not to exceed” fee proposal for the Talmage Road Rehabilitation Project. The fee estimate summarizes the anticipated costs for engineering design, geotechnical investigation and permitting, and is summarized by project staff indicating number of work hours for each task. Individual staff billing rates, subconsultant costs, expenses including vehicle mileage and associated project charges are included. Also attached is GHD’s 2022 standard rate schedule. If selected for this project based on our qualifications, we will gladly work with you to make any adjustments to the scope of work and fee proposal, so both align with the City’s needs and expectations for this project. We are excited at the opportunity to continue supporting the City in improving the infrastructure and quality of life of Ukiah and encourage you to reach out with any questions you may have about our proposal. This fee proposal is a firm offer valid for a period of thirty (30) days after the submittal date and is signed by Matt Kennedy, an officer of GHD who is officially authorized to contractually bind the firm. Respectfully, Matt Kennedy, PE, TE, ENV SP Principal in Charge +1 707 540 3376 matt.kennedy@ghd.com Erik Fanselau, PE Project Manager +1 916 256 2677 erik.fanselau@ghd.com Attachments: 1. Project Fee Proposal 2. GHD US West 2022 Standard Rate Schedule Page 644 of 901 Attachment 1 Client:City of Ukiah Project Name:Talmage Road Rehabilitation Project Date:January 31, 2022 Prepared by:Erik Fanselau Reviewed by:Matt Kennedy Job Number:12571020 LABOR CATEGORY >TOTAL OTHER GHD FULLY SUB TOTAL TOTAL HOURS DIRECT BURDENED Crawford Associates SUB FEES FEE RATE > $263 $228 $228 $180 $163 $228 $202 $160 $453 $228 $150 $153 $125 $80 $138 COSTS (1)LABOR COSTS (Geotech)W/MARKUP TASK /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr 15% Task 1 Project Management 1.1 Project Initiation 4 8 4 4 16 $104.00 $3,748.00 $0.00 $3,852.00 1.2 Project Coordination, Reporting and Schedule 32 12 44 $286.00 $8,952.00 $0.00 $9,238.00 1.3 Kick-off Meeting & Workshop 4 8 6 6 1 2 1 24 $156.00 $5,672.00 $0.00 $5,828.00 1.4 Design Quality Management 2 1 2 3 $19.50 $1,210.00 $0.00 $1,229.50 10 49 2 6 6 0 1 0 0 2 0 0 0 5 16 87 $565.50 $19,582.00 $0.00 $0.00 $20,147.50 Task 2 Topographic Mapping and Right-of-Way 2.1 LiDAR Scanning and Mapping 1 25 14 40 $1,364.50 $6,870.00 $0.00 $8,234.50 2.2 Supplemental Field Survey 1 24 25 $446.00 $11,100.00 $0.00 $11,546.00 2.3 Office Mapping 1 8 16 25 $162.50 $3,508.00 $0.00 $3,670.50 0 3 0 25 0 0 0 8 24 0 0 14 16 0 0 90 $1,973.00 $21,478.00 $0.00 $0.00 $23,451.00 Task 3 Geotechnical Investigation 3.1 Field Preparation & Mobilization 0 $0.00 $0.00 $3,178.00 $3,654.70 $3,654.70 3.2 Subsurface Exploration 0 $0.00 $0.00 $11,667.00 $13,417.05 $13,417.05 3.3 Laboratory Testing 0 $0.00 $0.00 $1,370.00 $1,575.50 $1,575.50 3.4 Engineering Analysis and Report 0 $0.00 $0.00 $5,520.00 $6,348.00 $6,348.00 3.5 Consultation and Design Team Support 0 $0.00 $0.00 $2,290.00 $2,633.50 $2,633.50 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 $0.00 $0.00 $24,025.00 $27,628.75 $27,628.75 Task 4 Preliminary Design (30%) 12 8 20 $130.00 $4,040.00 $0.00 $4,170.00 1 16 8 32 8 1 65 $422.50 $14,343.00 $0.00 $14,765.50 1 4 2 24 24 8 16 24 40 142 $923.00 $23,591.00 $0.00 $24,514.00 2 32 2 32 32 40 24 0 0 0 0 24 40 1 0 227 $1,475.50 $41,974.00 $0.00 $0.00 $43,449.50 Task 5 Intermediate Design (60%) 1 8 24 40 16 32 32 60 1 213 $1,384.50 $35,515.00 $0.00 $36,899.50 1 8 0 24 40 16 32 0 0 0 0 32 60 1 0 213 $1,384.50 $35,515.00 $0.00 $0.00 $36,899.50 Task 6 Detailed Design (90% and 100%) 6.1 Pre-Final (90%) PS&E 1 8 2 24 40 8 24 24 40 1 171 $1,111.50 $28,807.00 $0.00 $29,918.50 6.2 Final (100%) PS&E 1 8 2 12 24 8 24 24 1 103 $669.50 $16,983.00 $0.00 $17,652.50 2 16 4 36 64 8 32 0 0 0 0 48 64 2 0 274 $1,781.00 $45,790.00 $0.00 $0.00 $47,571.00 Task 7 Permitting 7.1 Field Work and Reports (BRE and Aquatic Mapping)2 2 16 72 12 4 2 110 $715.00 $17,456.00 $0.00 $18,171.00 7.2 Permit Applications (Corps, RWQCB, CDFW, Concept Plan) 2 2 2 12 46 16 8 88 $572.00 $14,356.00 $0.00 $14,928.00 7.3 Agency Follow-up (including site visit)4 8 26 2 40 $260.00 $6,886.00 $0.00 $7,146.00 0 8 4 2 0 0 0 0 0 36 144 16 22 4 2 238 $1,547.00 $38,698.00 $0.00 $0.00 $40,245.00 PROJECT TASK TOTALS 15 116 12 125 142 64 89 8 24 38 144 134 202 13 18 1,129 $8,727 $203,037 $24,025 $27,629 $239,393 (1) OTHER DIRECT COSTS include telephone, vehicle mileage, printing, reproduction and other miscellaneous direct expenses. LABOR CATEGORY >TOTAL OTHER GHD FULLY SUB TOTAL TOTAL HOURS DIRECT BURDENED Crawford Associates SUB FEES FEE RATE > $263.00 $228.00 $228.00 $180.00 $163.00 $228.00 $202.00 $160.00 $453.00 $228.00 $150.00 $153.00 $125.00 $80.00 $138.00 COSTS (1) LABOR COSTS (Geotech) W/MARKUP OPTIONAL TASKS /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr /Hr 15% Task 8 Geotech Pavement Investigation (Optional) 8.1 Pavement Coring 1 1 1 2 $13.00 $671.00 $4,585.00 $5,272.75 $5,956.75 8.2 Infiltration Rate Testing 0 $0.00 $0.00 $1,490.00 $1,713.50 $1,713.50 8.3 Engineering Analysis and Report 1 2 3 $19.50 $588.00 $0.00 $607.50 1 2 0 3 0 0 0 0 0 0 0 0 0 0 0 5 $32.50 $1,259.00 $6,075.00 $6,986.25 $8,277.75 Task 9 Prepare SWPPP (Optional) 9.1 Develop SWPPP 4 8 16 28 $182.00 $4,960.00 $0.00 $5,142.00 9.2 Submit SWPPP and File NOI 2 2 $13.00 $456.00 $0.00 $469.00 0 6 0 8 16 0 0 0 0 0 0 0 0 0 0 30 $195.00 $5,416.00 $0.00 $0.00 $5,611.00 PROJECT OPTIONAL TASK TOTALS 1 8 0 11 16 0 0 0 0 0 0 0 0 0 0 35 $227.50 $6,675.00 $6,075.00 $6,986.25 $13,888.75 Word Processing Project AdminBiologistSr. CAD Tech CAD TechStructural Engr. Land Surveyor 2-Person Survey PermittingQuality Manager Civil Engineer Staff Civil Engr Hydraulic Engr Subtotal Optional Task 8 Subtotal Optional Task 9 Principal PM Subtotal Task 5 Subtotal Task 7 Subtotal Task 6 Permitting CAD Tech Sr. CAD Tech Word ProcessingBiologist GHD - PROJECT FEE ESTIMATING SHEET FEE COMPUTATION Quality ManagerPM 2-Person Survey LABOR COSTS Hydraulic Engr Structural Engr. Staff Civil Engr Project Admin Land SurveyorPrincipalCivil Engineer 5.1 60% PS&E Subtotal Task 1 4.1 Site Visits and Information Review Subtotal Task 2 Subtotal Task 4 4.3 30% Plans and Estimate Subtotal Task 3 4.2 Basis of Design Tech Memo 1/28/2022 Page 1Page 645 of 901 Finance Class Code Name Technical Director 200.00$ -285.00$ Professional 115.00$ -175.00$ Design Technician 135.00$ -260.00$ Drafting/Design 85.00$ -125.00$ Business Services Manager 210.00$ -275.00$ Admin Officer 75.00$ -215.00$ Construction Manager 205.00$ -250.00$ Engineer/Supervisor 150.00$ -200.00$ Inspector/Specialist 80.00$ -165.00$ Operator/Labourer 95.00$ -125.00$ 1 2 3 4 5 6 7 8 Reimbursement for vehicles used for proposed services will be at the federally approved mileage rates or at a negotiated monthly rate. Overtime for non-exempt employees will be charged at 1.5 times the hourly billing rate. If prevailing wage are applicable, the above billing rates and APC will be adjusted proportionate to the increase in labor cost The Rate Schedule is subject to change annually FY2022 US West Region Fee Schedule * Fee Range Rates are for employees of all GHD companies. All travel cost will be invoiced at coach class rates. Lodging and meal expenses will be at cost unless per diem rate is negotiated. Reimbursement for direct expenses incurred for proposed services, including sub-consultant services, will be billed at cost plus 15% Associated project cost (APC) will be invoiced at the following rate: b. Field Services/Construction Inspector APC: $11.50 / labor hour GHD has implemented a system of billing for consumables on a per hour basis. Associated Project Cost (APC) is a unit cost replacing the individual tracking of some of the consumable costs directly related to projects. Each year the total consumable audited costs are compiled from our general ledger including: - Office consumables including engineering supplies and postage - Reproduction consumable costs including equipment lease and maintenance, printing, and - Communication consumables including telephone expenses - Equipment consumable including CADD, software, and IT expenses a. General Associated Project Charges APC: $6.50 / labor hour or 4% of labor costs Attachment 2 Page 646 of 901 GHD Clity of Ukiah Talmage Road Rehabilitation Project II → ghd.com Page 647 of 901 https://www.strongtowns.org/journal/2022/2/7/why-do-we-have-to-handle-30000-trips-per-day Why Do We Have to Handle 30,000 Trips per Day? The state highway that runs through the middle of my hometown is scheduled to be refurbished in the coming years. The Minnesota Department of Transportation has started the public engagement process, conducting earnest dialogue with all the potentially concerned parties. I’ve been able to be part of some of those discussions. Highway 210—or, as we call it, Washington Street—is a chasm that divides the community. It physically separates the residential neighborhoods to the north from the core downtown to the south, inflicting massive damage to both in the process. The fast traffic and ridiculously narrow sidewalks combine to stagnate businesses along Washington Street itself, forcing the original buildings that lined the street into decline. Second- and third-tier chain stores join slumlords as apex predators in this malnourished economic ecosystem. Page 648 of 901 Washington Street is Exhibit A in how a state transportation department inflicts deep, structural damage on a community. It has hurt the finances of the local government, wrecked the opportunities of many small business owners, and depressed property values throughout the city. Most every American city has a similar exhibit, a testament to the staggering degree of self-harm our society inflicted upon itself, starting in the decades after World War II. The discussions about Washington Street today are mostly about mitigating this damage. How do we narrow lanes to make the traffic a little less threatening? How do we have sidewalks where two people don’t need to walk single-file mere feet from automobiles traveling at lethal speeds? How do we help the local businesses justify investments in their own future? How do we make it easier to cross this chasm so that the rejuvenating downtown has a chance to be more than just a lifestyle amenity? I can feel the momentum for change in the conversations. My neighbors are offended by the way this highway disrespects the community and they want to be heard. The mayor and city council seem to support significant changes. The city staff is talking about calming traffic and making things more “pedestrian-friendly.” Even the officials at the DOT seem interested in a new set of priorities. Interested, that is, until the wish list of modifications and improvements threaten the core priorities they feel compelled to adhere to. After patiently listening to the many concerns, one DOT official brought things back to reality by making their institutional values clear. “This is all great, but let’s not forget that we need to accommodate 30,000 trips per day.” Ouch. You can hear the needle being scraped over the record that was just starting to play a song of redemption. We need to accommodate 30,000 trips per day, at speed, and this is non-negotiable, with every other priority being submissive to that dominant requirement. I wrote about this in Confessions of a Recovering Engineer, though it is surreal to watch it play out so vividly in my own community. Engineers begin the design process with: (1) design speed and (2) traffic volume. Given those two parameters, they then consult the design manual to get the specifications for a (3) safe street. They then calculate the (4) cost for that design. It is that design process that creates the hierarchy of priorities that reflects the values of the traffic engineer: 1. Speed 2. Volume 3. Safety 4. Cost Page 649 of 901 These are not the values of my neighbors. I doubt they are the values of the city council or the city staff. They don’t reflect a set of priorities designed to make my hometown successful. Why is this a top priority of anyone? It’s important to understand what a traffic engineer means with this requirement. They don’t mean that they literally must accommodate 30,000 trips per day. That would be easy. There are 86,400 seconds in a day. With two-way traffic, 30,000 trips is one car every six seconds. No problem. What they actually mean is that they need to accommodate the bulk of that traffic during the peak hour. Commuters come into the city in the morning and out of the city at the end of the day. Businesses, schools, and governments schedule their hours based on this daily routine. So, let me restate what the traffic engineer actually means when they say that they have to handle 30,000 trips per day: The city must be degraded, the quality of life of its residents diminished, and local business opportunities stifled, in order to improve the convenience of commuters who have chosen to live outside of the city. The design of this street must prioritize their convenience over all else. That’s offensive, but like prisoners suffering from Stockholm Syndrome, those of us who live in the city—and the people we elect and employ to work on our behalf—start to identify with this mandate. After all, don’t we want all those commuters to come to our city? Don’t we need them? And don’t we also use this same street to drive out to the edge of town to get to the big box stores, schools, and other things that have been built there over the last few decades? There is a negative feedback loop we have come to accept as normal. We must have a highway, and everything that entails, through the middle of the city because we have to accommodate the commuters who live outside of the city. And, people choose to live outside of the city and commute in because they prefer not to live next to the highway in the neighborhoods it has degraded. We must have a highway through the middle of the city because we need all of those people living outside of the city to come into town to work, shop, and office. And, by having the highway divide the community, we force nearly every city resident who wants to work, shop, or office to get into their car, at which point the big boxes and drive-thrus in the neighboring city gain a significant advantage over local businesses. I could go on, but the point is rather self-evident. The priority that we must value speed and volume of traffic when designing Washington Street is imposed on the city as a preference of one set outcomes (commuting lifestyle) over another set of outcomes (neighborhood living). I reject that priority. What is the implication of rejecting that priority? What would happen if the DOT joined with the city in saying that priorities other than speed and volume were more dominant? Page 650 of 901 What if we all agreed that the quality of the city’s neighborhoods, the success of its local businesses, and the safety of its residents, were the paramount concern? In such a circumstance, the new design of Washington Street would narrow lanes, widen sidewalks, bring in vegetation and human-scaled lighting, prioritize people walking, give deference to cross-traffic instead of throughput, and do the many quality-of-life things that city officials and residents are asking for. And, while it might make commutes a little longer for those who have chosen to live outside the city, that delay would be offset in time by an increasing number of people who choose to live in the city’s neighborhoods, the improved business community that could expand offerings in response to a responsive local market, a shift in the number of trips that could now be made by biking and walking, and the local wealth saved from an overall reduction in vehicle miles traveled. The pandemic has demonstrated to us all that hours of operation can be flexible, that remote work is here to stay, and that commute patterns are not stuck at what the historic traffic flow charts suggest they must be. The system is dynamic. If we’re doing a once-in-a- generation renovation of Washington Street, let’s not be rigid in our thinking of what is possible. Let’s build a great city and then see what traffic volumes we can accommodate at peak hour. Page 651 of 901 Page 1 of 2 Agenda Item No: 12.c. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1294 AGENDA SUMMARY REPORT SUBJECT: Award Professional Services Agreement to Coastland in the Amount of $285,353 to Prepare the Plans, Specifications, and Estimate for the Main Street Utilities Improvement Project, and Approve Corresponding Budget Amendments. DEPARTMENT: Public Works PREPARED BY: Andrew Stricklin, Associate Engineer PRESENTER: Tim Eriksen, Director of Public Works / City Engineer ATTACHMENTS: 1. RFP Main Street Utilities 2. Coastland - Main Street Utility Improvement Project 3. Coastland - Main Street Utility Project_Fee Proposal 4. 12b, c, & d Correspondence Received - Councilmember Rodin Summary: The City Council will consider awarding a professional services agreement to Coastland in the amount of $285,353 to prepare the plans, specifications, and estimate for the Main Street Utilities Improvement Project, and approve a corresponding budget amendment. Background: This project is for the design of the rehabilitation of Main Street from East Gobbi Street north to Norton Street. Design for this project will include what is anticipated to be a combination of both reconstruction and paving overlay of the roadway where appropriate to a highly traveled route in disrepair. This project design will also include the replacement of both water and sewer utilities, construction of pedestrian ADA curb ramps as well as missing sections of sidewalk as appropriate. Discussion: The City issued a request for proposals (Attachment 1) and sent it to local firms. In addition, staff posted the RFP on the City's website through eBidboard on December 16, 2021. In response to the City's RFP, three consulting firms submitted a proposal including Coastland Civil Engineering, BKF Engineers and GHD Inc. The selection committee consisting of City staff reviewed the proposals and selected Coastland as the recommended consultant to design this project. Coastland's billing rates are consistent with industry standards and their proposal best fits with the request and scope of this project. Coastland's proposal (Attachment 2) and the cost proposal (Attachment 3) are included with this report for reference. Coastland's cost for the proposed work is $285,353. Staff recommends award of a professional services agreement to Coastland in the amount of $285,353. The funding source for this project will be the Series 2022 Lease Revenue Bonds. Throughout the design process for this project, the Complete Streets Ad Hoc (Rodin, Crane) will continue to be engaged. Recommended Action: Award professional services agreement to Coastland in the amount of $285,353 to prepare the plans, specifications, and estimate for the Main Street Utilities Improvement Project, and approve corresponding budget amendments. BUDGET AMENDMENT REQUIRED: Yes CURRENT BUDGET AMOUNT: 25200000.90410.18311: $0; 25224220.80230.18309: $0 Page 652 of 901 Page 2 of 2 PROPOSED BUDGET AMOUNT: 25200000.90410.18311: $285,353; 25224220.80230.18309 : $285,353 FINANCING SOURCE: Series 2022 Lease Revenue Bonds PREVIOUS CONTRACT/PURCHASE ORDER NO.: COORDINATED WITH: Tim Eriksen, Director of Public Works / City Engineer Page 653 of 901 CITY OF UKIAH REQUEST FOR PROPOSAL PREPARATION OF PLANS, SPECIFICATIONS & ESTIMATE FOR MAIN STREET UTILITIES IMPROVEMENT PROJECT PROPOSALS DUE NOON, JANUARY 31, 2022 ATTACHMENT 1 Page 654 of 901 1 REQUEST FOR PROPOSAL MAIN STREET UTILITIES IMPROVEMENT PROJECT December, 2021 GENERAL INFORMATION/PROJECT LOCATION The City of Ukiah has a population of 16,075 people and is located approximately 115 miles north of San Francisco, CA on the US Highway 101 corridor. Ukiah is also the retail, government, and medical service hub to an area reaching a 50-mile radius and experiences a daytime service population exceeding 35,000 people. The City of Ukiah will be using internal Capital Improvement funding for utility and street rehabilitation items. The project limits are within the City limits of Ukiah on Main Street beginning at East Gobbi Street and running north approximately 3,850 LF ending at Norton Street. (Attachment “A”) The Main Street Utilities Improvement Project is a rehabilitation of roadway and existing utilities as listed below: • Complete reconstruction of the roadway in combination with selected areas of asphalt overlay as determined by the consultant and City staff. The consultant will provide recommendations for roadway sections and/or treatments. • Replacement of existing 6” water main from East Gobbi to Norton Street including all service laterals and fire hydrants to the sidewalk as well as necessary valves and components. • Replacement of existing 6” sewer main from Marshall Street to Norton Street including all service laterals with cleanouts to the sidewalk and sanitary manhole replacements. • Replacement and upgrade of 27 curb ramps to ADA standards from East Gobbi Street to Norton Street. Some select ramps in the project limits are already completed or part of a different project and will be marked NIP in the location map. See Attachment “A” for ramps identified for replacement. • Replacement of all existing striping and crosswalks in thermoplastic for project limits. The City of Ukiah is requesting proposals from qualified firms for the preparation of Plans, Specifications & Estimate for the Main Street Utility Improvement Project. Inspection and construction contract administration are not part of this request for proposal. There are no DBE goals for this project, however, DBE participation is encouraged. SCOPE OF SERVICES The scope of services of this project is the preparation of Plans, Specifications & Estimate for the Main Street Utility Improvement Project. The Consultant’s proposal shall include, but not be limited to, the following: • Coordinate a pre-project kick-off meeting. • Review and evaluate existing documents and data. • Perform a topographic survey, determine location of street and railroad rights-of-way and easements, identify and locate existing street improvements and utilities to be replaced. • Submit Preliminary Plans and cost estimate to the City for review and comment at the 30% stage. • After approval of the 30% design phase by the City, the consultant shall begin final design of the project. Scope of work shall include, but not be limited to, the following: pavement section design, including geotechnical investigation as required, utility replacement, striping, concrete and curb ramp improvements. • Submit design plans, specifications and cost estimate to the City for review and comment at the 60%, Page 655 of 901 2 and 90% stage. • Prepare a Storm Water Pollution Prevention Plan (SWPPP) for submission to the North Coast Regional Water Quality Control Board for the purpose of obtaining coverage under the General Permit for Discharges of Storm Water Associated with Construction Activity, if the disturbed area of the project is over one acre. Proposal shall provide optional cost for preparation of SWPPP. • Receive comments and prepare final plans, specifications and cost estimate for bid purposes. Provide one digital set of plans in both PDF and AutoCAD formats and one digital PDF set of specifications. AutoCAD drawings will be provided to the contractor for the purposes of construction survey. EXISTING DOCUMENTS • Existing Sewer utilities map • Existing Water utilities map • Project limits map SCHEDULE Anticipated completion date, task, and time to complete task: • December 2021 Issue Consultant Request for Proposal • January 31, 2022 Proposals due (approx. 8 weeks) • February 16, 2022 City Council Award Consultant Contract • February 2022 Kick-off meeting • May 2022 Submit draft Conceptual Plan (30%) • July 2022 Submit draft (60%) plans, specifications & estimate (PS&E) • September 2022 Submit draft (90%) PS&E • October 2022 Submit final PS&E The above scope of services and schedule does not preclude the Consultant, based on his or her project understanding and experience, from developing and proposing an alternative approach and schedule for achieving the City’s goal of a timely and successful project completion. CONSULTANT’S PROPOSAL Proposals shall be labeled “Main Street Utility Improvement Project”. Proposals shall be submitted to: pwproposal@cityofukiah.com astricklin@cityofukiah.com Submit (1) one electronic copy. Proposals must be received prior to noon, January 31st, 2022. Proposals shall include as a minimum the following: Project approach and schedule Describe the proposed approach and procedures to be used in completing the tasks described in the Scope of Services. Include a proposed schedule showing completion of the various tasks. Cover letter The cover letter should include a brief overview of the specific approach and procedures the firm proposes to complete the tasks described in the Scope of Services. Please explain why the Consultant’s proposal is the best proposal for the City. The cover letter must be signed by an official authorized to bind the successful firm contractually and shall contain a statement to the effect that the proposal is a firm offer for a minimum period of thirty (30) days after the submittal date. The letter accompanying the proposal shall also provide the following: name, title, address, and telephone number of individuals with the authority to negotiate a contract and bind the consultant to the terms of the contract. Page 656 of 901 3 Project team Describe the qualifications and experience of the firm as related to the project, and the proposed staff to be assigned to this project. Describe the qualifications and experience of any proposed sub-consultants and identify the work they will accomplish. Firms, sub-consultants and proposed staff must demonstrate experience with similar projects. Staff proposed to be in charge of the project must demonstrate significant experience supervising similar work. Describe the proposed team organization, current and previous work assignments, and man-hours budgeted for each team member. Provide the name and brief resume of the individual who will be in responsible charge of the project along with the names and brief resumes of the firm’s staff who will be assigned to the project. Example work product Provide a minimum of one example work product which includes an evaluation with illustration of a utility replacement and street rehabilitation project. Fee proposal Provide a fee proposal based on an hourly rate schedule with a “not to exceed” maximum cost for all work identified in the Scope of Services. Provide a tabulation of the project staff and number of work hours for each task. Indicate if travel time, mileage, and per diem will be charged. Include any sub-consultant cost. Additionally, please identify miscellaneous costs associated with this proposal. Submit a copy of your firm’s current itemized hourly rate fee schedule. Please submit the fee proposal in a separate email titled “Main Street Utility Improvement Project - Fee Proposal” to Andrew Stricklin at astricklin@cityofukiah.com References Provide a list of similar projects for which the firm has completed similar projects with a list of at least three client references associated with these projects. Include client references for any proposed sub- consultants. Provide names of contact person, addresses and telephone numbers for all client references. Exceptions Identify any exceptions you are proposing with respect to the Scope of Services. Additionally, if there are any exceptions to the City’s insurance requirements and/or the City’s draft professional services agreement as shown in Attachment “C,” the Consultant should list the exceptions in the proposal. INSURANCE REQUIREMENTS The insurance requirements are set forth in Attachment “C”. EVALUATION OF CONSULTANT’S PROPOSAL The following evaluation criteria and maximum points will be used in evaluating and selecting candidates: 1. Understanding of the work to be done. 30 2. Experience with similar kinds of work. 20 3. Quality of staff for work to be done. 20 4. Capability of developing innovative or advanced techniques. 10 5. Financial responsibility. 10 6. Demonstrated Technical Ability. 10 SUPPLEMENTAL REFERENCE INFORMATION The following documents are provided for your reference: • Location Map, Attachment “A” • A draft professional services agreement, Attachment “B” • Insurance Requirements, Attachment “C” RIGHT OF REFUSAL Page 657 of 901 4 The City reserves the right to reject any and all proposals without qualifications. Proposals will be considered only in their entirety. The City reserves the right to negotiate the specific requirements and costs for the Main Street Utility Improvement Project. QUESTIONS Questions shall be directed to: Andrew Stricklin, Associate Engineer (707)463-6297 astricklin@cityofukiah.com Page 658 of 901 CITY OF UKIAH Proposal to Provide Preparation of Plans, Specifications and Estimate forMain Street Utilities Improvement Project January 31, 2022 ATTACHMENT 2 Page 659 of 901 SERVICES Municipal Engineering Capital Project Design Construction Management Building & Safety Financing Assistance MARKETS Transportation ADA Compliance Flood Control & Drainage Water Wastewater Public Facilities & Parks Page 660 of 901 Santa Rosa Auburn Pleasant Hill Fairfield 1400 Neotomas Avenue 11641 Blocker Drive, Ste. 170 3478 Buskirk Avenue, Ste. 1000 324 Campus Lane, Ste. A Santa Rosa, CA 95405 Auburn, CA 95603 Pleasant Hill, CA 94523 Fairfield, CA 94534 Tel: 707.571.8005 Tel: 530.888.9929 Tel: 925.233.5333 Tel: 707.702.1961 www.coastlandcivil.com January 31, 2022 Andrew Stricklin, Associate Engineer City of Ukiah 300 Seminary Avenue Ukiah, CA 95482 Via email: pwproposal@cityofukiah.com and astricklin@cityofukiah.com Subject: Preparation of Plans, Specifications, and Estimate for Main Street Utilities Improvement Project Dear Andrew: The Main Street Utilities Project presents an opportunity to replace the City’s aging infrastructure and improve pedestrian safety and accessibility. In order to meet the needs of the project, the City will need a trusted partner with specific experience who can act as an extension of City staff, providing personal, flexible and responsive service. We believe Coastland offers just that. We have performed a field review, reviewed the RFP, and are confident that our proposal addresses the needs of this project. Please consider the following benefits of the Coastland team: Experienced team — Our proposed Project Manager, Steven Van Saun, will be the City’s point of contact for this project. Steven is a Supervising Engineer at Coastland and has more than 14 years of directly applicable experience including project management of recent similar projects including the La Paloma, E. Haven, Rogers Way Sewer and Water System Improvements, Denton Way and Alderbrook Sewer Replacement, and Oakmont Sewer Main Upsizing projects for the City of Santa Rosa and State Farm and Commerce Water Line Replacement, for the City of Rohnert Park. Steven can be reached at the office by phone (707.571.8005) or email (vansaun@coastlandcivil.com) to offer assistance with questions regarding this proposal. Steven will be assisted by staff who are experienced in the design of similar projects. Coastland is well-founded and dependable — We have provided similar services to public agencies in northern California for over 30 years. Over 90% of our work is from repeat clients, attesting to client confidence and satisfaction. Creative Solutions — Our team brings decades of experience in utility replacements, roadway reconstruction, and curb ramp reconstruction. We approach each project with innovative ideas and solutions for working in a constrained urban environment such as Main Street. Coastland’s unique municipal perspective — For over 30 years Coastland has served municipal clients with both contract staff and as full City Engineering Departments. In this capacity, we have been involved in all phases of similar utility replacement projects – from the financing and planning stages, through design, construction management and timely completion. This experience provides us with a unique set of skills to manage this project that you likely will not find in other consultants. Page 661 of 901 As CEO of Coastland, I am authorized to sign contracts on behalf of the company. Per the RFP, our cost proposal and fee schedule are submitted in a separate file. This proposal and its associated cost shall remain a firm offer for a period of 30 days from the submission deadline of the proposal. I can be reached by email at wanger@coastlandcivil.com. We thank you for this opportunity and look forward to working with you. Sincerely, John Wanger, PE Steven Van Saun, PE CEO Supervising Engineer Page 662 of 901 City of Ukiah Main Street Utilities Improvement Project | Table of Contents Cover Letter Project Approach and Schedule ........................................ 1 Understanding .......................................... 1 Project Approach ....................................... 3 Scope of Services...................................... 4 Schedule ................................................... 8 Project Team..................................................................... 9 Introduction ............................................... 9 Team Organization .................................... 9 Project Team QuaIifications .................... 11 Subconsultants ........................................ 12 Example Work Product ................................................... 13 References ..................................................................... 22 Exceptions ...................................................................... 28 Fee Proposal .................................................. Separate file Appendix A. Coastland Resumes B. Subconsultant Resumes TABLE OF CONTENTS Page 663 of 901 Page 664 of 901 City of Ukiah Main Street Utilities Improvement Project | 1 The City desires to replace aged and obsolete sewer and water mains along Main Street between East Gobbi Street and Norton Street. The project will also include roadway rehabilitation along the project length (approximately 3,850 LF), curb ramp reconstruction and installation, and replacement of existing striping and crosswalks. The improvements will also add bike lane striping and markings in accordance with the City of Ukiah’s Bike and Pedestrian Master Plan. This plan calls for a Class III Bike Route with sharrows along Main St from E. Gobbi St to Clay Street and a Class II Bike Lane from Clay Street to Norton Street. Approximately 3,300 linear feet of existing sewer main will be replaced in Main Street from Marshall Street to Norton Street. The existing sewer main is deteriorated 6-inch diameter VCP which will be replaced with 6” PVC sewer main. All existing sanitary sewer manholes within the project area will be replaced. Existing sanitary sewer laterals will also be replaced with new cleanouts installed in accordance with City Standards. Approximately 3,600 linear feet of existing 6-inch ACP water main will be replaced with 6” PVC water main in Main Street from E. Gobbi Street to Norton Street. It appears from the City water utility mapping, there is a 300 linear foot section of water main just north of East Smith Street that has been replaced with a 6-inch PVC water main and is anticipated to remain in place. All existing water services will be replaced with new water services, including new meters and boxes in accordance with City Standards. The roadway pavement is in critical condition with current PCI values of 6-7 from East Gobbi St. to Mill St., 41 from Clay St. to Perkins St. and 10-14 from Perkins St. to Norton St. It is anticipated that the majority of the roadway pavement within the project area will need to be reconstructed. A geotechnical investigation including borings and soils testing will be used to evaluate and determine what rehabilitation and/or reconstruction will be required. Based on our preliminary field review of the project area we observed sections of broken curb and gutter and uplifted sidewalk that may need to be replaced with current City standard curb, gutter and sidewalk. Although we don’t anticipate the City will want to replace all of the existing curb and gutter and sidewalk, we will provide recommendations on which areas of curb, gutter and sidewalk should be replaced as part of our preliminary design efforts. Following the 30% design memorandum submittal we will perform a field review with City APPROACH UNDERSTANDING Page 665 of 901 City of Ukiah Main Street Utilities Improvement Project | 2 staff to confirm specific limits of replacement. During our preliminary field review we also observed areas where there is no sidewalk behind the curb. In order to provide a continuous path of travel for pedestrians from crossing to crossing we recommend these missing pockets of sidewalk be included as part of the improvement project. We understand these areas are not part of the project, but we can provide design of new sidewalk in these areas as an added option for the City’s consideration. There are 27 locations indicated in the RFP documents where curb ramps will need to be either reconstructed or new ramps installed where none currently exist. Based on our field review one of these ramps (NW corner of East Church Street) that appears to be newer and ADA compliant. This ramp will be evaluated for compliance with current ADA criteria and reconstructed if required. At the intersection of East Mill St and South Main St it appears we could remove one of the proposed ramps (NE corner) and have only one crosswalk across Main St. Installing a ramp at this location would likely need to encroach into an existing driveway. Newly constructed or replaced curb ramps will be designed as directional ramps where feasible. Directional ramps will likely require modifying the curb return radius or creation of bulb-outs in some areas. As the project involves replacement of existing sanitary sewer mains, water mains and reconstruction of existing City streets, and does not exceed one mile in length it should be considered as Categorically exempt from the provisions of the California Environmental Quality Act (CEQA). The City desires to have construction documents prepared and ready for bidding by October 2022. Coastland understands close coordination with City staff is an important aspect to deliver the project on time and within budget. Coastland will complete the contract specifications, plans and engineer’s estimate; collaborate with City staff to address plan check comments; and provide bid assistance to assist the City in answering question and/or issuing addenda. Coastland understands this is an important project for the City. This project will replace and upgrade an integral part of the neighborhood infrastructure. Its significance highlights the importance of performing the work in a timely manner as well as fully informing the City Council, public and key stakeholders of the impacts and opportunities of the project. Page 666 of 901 City of Ukiah Main Street Utilities Improvement Project | 3 Coastland will begin the project by evaluating project needs and reviewing available background information. Our team will coordinate closely with City staff and other stakeholders as appropriate to gain a comprehensive assessment of the project needs. Following the initial coordination and background efforts, Coastland will review and layout preliminary curb ramp alternative designs, assess right-of-way impacts, and other site constraints. Utility potholes will also be performed at critical locations to evaluate potential utility conflicts. Coastland will meet with the City at project milestones and reach out to the public to discuss project impacts. To maintain a high level of quality and completeness, Coastland’s team will devote themselves to managing their time wisely, developing innovative solutions, and maintaining clear and consistent communication with the City. During the initial phase, the Coastland team will work closely with City staff to evaluate any non-standard design conditions, potential utility conflicts and other key issues that may affect the design of the project. Our construction management team and our in-house Certified Access Specialist (CASp) will review the project plans to ensure constructability and compliance with ADA requirements, as well as look for opportunities to save money by using alternate construction methods. The City of Ukiah has adopted the City of Santa Rosa’s 2017 Storm Water Low Impact Development Technical Design Manual (Manual) which sets requirements for compliance with the City’s NPDES MS4 Permit. Projects that create or replace a combined total of 10,000 square feet of impervious surface trigger the requirements of the Manual. The roadway reconstruction area greatly exceeds 10,000 square feet and may meet the definition of reconstructed or replaced pavement. The Manual defines reconstruction or replaced impervious surface as work that extends into the subgrade of a pavement section. The existing and proposed pavement sections will need to be evaluated to determine if the reconstruction work will extend into the subgrade soils. Coastland will work with the City to evaluate the pavement sections and complete the Storm Water LID Determination Worksheet. If it is found the project will trigger the requirements of the Manual, Coastland can prepare an additional scope of services and cost proposal to design LID Measures to comply with the Manual. Coastland is fully capable and experienced in designing Low Impact Development (LID) BMP’s to comply with the Manual. In summary, our approach will focus on: Collaborating closely with City staff—we will serve as an extension of your staff while remaining accessible and responsive to any questions. Review of water main alignments and minimizing impacts. Evaluating repair of broken curb and gutter and sidewalk uplift areas. Providing ADA compliance at the curb ramp locations. Provide constructability review and recommended construction means and methods to the City for inclusion into the contract documents. We will apply our local experience and knowledge to provide innovative and creative solutions on this project. APPROACH Page 667 of 901 City of Ukiah Main Street Utilities Improvement Project | 4 Our approach to this project will build upon the City’s Scope of Services contained the RFP. The following Scope of Services is based on our understanding of the project and assessment of project opportunities. Coastland understands that clear communication and managing time wisely are keys to getting the most mileage out of available funds and our Scope of Work has been prepared with that in mind. TASK 1 – PROJECT MEETINGS, PRELIMINARY RESEARCH AND COORDINATION Meetings with City Representatives We propose to meet with City staff to discuss project details, establish goals, review the project schedule and coordinate efforts. Included are the project kick-off meeting and three (3) progress design reviews (30%, 60 %, and 90% submittals). Background Information We will assemble available City information pertaining to the project including as-built drawings, benchmark information, utility information, sewer videos and log information, base maps, right-of- way data and additional pertinent in formation for the project. We will take digital photos of the site and observe existing conditions in the field so we may be able to identify any unusual or special conditions that may affect the project design or construction. Utility Coordination We propose to coordinate with outside utility companies to ensure that all existing facilities, both underground and overhead, are identified accurately during the design phase. We will write letters to PG&E, AT&T, and Comcast informing them of the project and requesting their facility drawings. After reviewing the utility maps and evaluating the initial project design, we will advise the City where utility markouts or potholing may be required. Because pothole efforts can vary greatly from project to project and will not be identified until after the 30% stage, it is difficult to determine if potholing will be required and to what extent. For the purposes of this proposal, we have included the cost for a utility vacuum excavation contractor to perform four (4) potholes in the project area. Since this is a City project, we have assumed the fee for the required encroachment permit will be waived. Effort for coordination with utility companies and to request relocations, if necessary, are not included in this scope. However, we would be happy to assist the City with these items once the efforts are quantified during design. TASK 2 – TOPOGRAPHIC SURVEY AND RIGHT OF WAY DETERMINATION Our subconsultant, Cinquini and Passarino, Inc. (CPI), will conduct the topographic survey of the project area The work will include performing a ground topographic survey and prepare a map at 1” =20’ scale with a one-foot contour interval. Survey limits will be from back of sidewalk to back of sidewalk (where present). Surface evidence of underground utilizes that may exist along the roadway but beyond the limits of topographic mapping will also be surveyed. Topographic survey will include all necessary work to produce a topographic map, including features such as, but not limited to; building corners and elevations, curb lines, flowline of gutter, lip of gutter, water meters, sewer cleanouts, valves, manholes (including rim, invert and pipe information), utility markings on the pavement, utility poles, driveway and doorway locations, sidewalks, trees four (4) inches and larger, retaining wall or decorative walls, and any other pertinent information that could apply to the project during design. Topographic survey will be SCOPE OF SERVICES Page 668 of 901 City of Ukiah Main Street Utilities Improvement Project | 5 provided on North American Vertical Datum of 1988. The topographic map will be horizontally related to the California Coordinate System of 1983, Zone II. Cinquini & Passarino will locate existing survey monumentation to establish the right of way along the project corridor. CPI will begin by reviewing existing record maps, City control maps, if available, deeds and other pertinent documents. Once the records research and field monument ties have been completed, CPI will determine the right of way and provide the information to Coastland for their use. This work will also be used in conjunction for the preparation and filing of a record of survey with the County of Mendocino. Task 2 Deliverables: Sealed hardcopy of the Topographic Survey Map, Right-of-Way Survey and Record of Survey TASK 3 – GEOTECHNICAL INVESTIGATION Our subconsultant, RGH will provide the Geotechnical Investigation for the project to assist in the evaluation and design of the pavement rehabilitation and/or reconstruction. RGH will review the published geologic data and available geotechnical information from their files for the area. RGH’s engineer or geologist will conduct a surficial reconnaissance of Main Street and mark proposed exploration areas with white paint. RGH will contact Underground Service Alert (USA) so that their members will mark the locations of their utilities within the area of our proposed exploration locations. RGH’s engineer or geologist will mark 10 to 12 locations along the project segment. As required by the City, RGH will obtain an encroachment permit for drilling in the street. It is assumed that the cost for the permit will be waived because the work is being done for the City. As required for work within Ukiah, RGH will contract with a traffic control sub-consultant to prepare a traffic control plan (TCP), which will be submitted as part of the encroachment permit submittal package. Once the locations have been cleared of utilities and the encroachment permit approved, RGH will explore the subsurface conditions by drilling borings at each marked location using a truck- mounted drill rig. The borings will extend through the existing pavement section and into the underlying subgrade soils. We anticipate depths of 2 to 4 feet. RGH’s engineer will log the borings and obtain bulk and relatively undisturbed samples for visual examination, classification, and laboratory testing. Selected samples representative of the subgrade material types encountered will be laboratory tested to determine their R-value. Traffic control will be provided. Based on the analysis of the field and laboratory work, RGH will develop the following geotechnical information: 1. A brief description of the pavement sections encountered; and 2. Specific conclusions and recommendations concerning: a. Primary geotechnical engineering concerns and mitigating measures, as applicable; b. Pavement rehabilitation sections; c. Asphalt overlay options; and d. Supplemental geotechnical engineering services. RGH will present the results of the study in a written report that includes summaries of the field and laboratory work. Following submittal of the report, RGH will provide on-call consultation during the project design. In addition, RGH will assist in preparing the specifications. Page 669 of 901 City of Ukiah Main Street Utilities Improvement Project | 6 TASK 4 – 30% IMPROVEMENT PLANS (PRELIMINARY DESIGN) Following our background research, including documentation gathering, utility and survey coordination and field review, we will prepare a 30% submittal, which will include a design memorandum, 30% drawings, and preliminary engineer’s estimate. The memorand um will outline the proposed design, site conditions, any conditions in conflict with City Standards and design requirements, and potential utility conflicts. Although environmental or right-of-way concerns are not anticipated, we will identify any issues if they arise at this time. The drawings will include the proposed plan-view alignment of the sewer, water, roadway reconstruction and pedestrian ramps on the topographic survey. Coastland will also work with the City to complete the Storm Water LID Determination Worksheet to determine if the project will trigger the requirements of the LID Technical Design Manual. The 30% submittal will include one (1) design memorandum, three (3) sets of preliminary plans (22” x 34”), three (3) copies of the preliminary engineer’s estimate, and one (1) copy of the completed LID Determination Worksheet. We will also provide electronic files in MS Excel and PDF formats as appropriate. TASK 5 – 60% IMPROVEMENT PLANS, SPECIFICATIONS AND ESTIMATE Following the review of the 30% submittal, we will prepare a 60 % submittal of the plans, specifications (technical and front-end sections) and engineer’s estimate. The draft front-end specifications will be based upon City-furnished boilerplate template documents. The 60% submittal will address all City comments on the 30% submittal. The submittal will include plan and profiles for the sewer and water main replacement, manhole replacement, lateral replacements, water service replacements, storm drain modifications (if required), roadway reconstruction, curb ramp details, and trench restoration details. Coastland’s Construction Manager will perform a review of the 60% documents and walk the site to ensure constructability. Through this review, we will help minimize claims and potential change orders as well as look for opportunities to save money by using alternate construction methods. Included in the submittal will be three (3) sets of full-size plans (22” x 34”), three (3) copies of the draft technical specifications and three (3) copies of the updated engineer’s estimate. We will also provide electronic files in MS Word, MS Excel, and PDF formats as appropriate. TASK 6 – 90% IMPROVEMENT PLANS, SPECIFICATIONS AND ESTIMATE The project design will essentially be complete for this submittal. All comments from the City’s review of the 60% submittal will be addressed. Included in the submittal will be three (3) sets of plans, three (3) copies of the technical specifications and three (3) copies of the updated engineer’s estimate. We will also provide electronic files in MS Word, MS Excel, and PDF formats as appropriate. TASK 7 – FINAL PLANS, SPECIFICATIONS AND ESTIMATE Following the City’s review, we will address any comments on the 90% submittal and provide the City with two (2) sets of drawings, final engineer’s estimate and electronic specifications for review to verify all comments have been addressed. Following the City’s final review, we will prepare Page 670 of 901 City of Ukiah Main Street Utilities Improvement Project | 7 final bid documents, including stamped and signed mylar drawings and camera-ready specifications. The final approved drawings in electronic AutoCAD format, and all related files in MS Word, MS Excel, and PDF formats as appropriate. We will also provide AutoCAD drawings to the contractor for the purposes of construction survey following City award of the project. TASK 8 – BID ASSISTANCE During the bidding process, we will provide bid assistance to the City to answer questions that may arise during the bidding phase. This will include assisting the City in preparing up to one (1) addendum that may be necessary. Please note that the time associated with this task does not include any time necessary for bid protests. If a bid protest is issued by any of the bidders, we can provide this as an additional service on a time and materials basis, as the time to process the protest is unknown. TASK 9 – OPTIONAL TASKS As an optional subtask, we will prepare a Storm Water Pollution Prevention Plan (SWPPP) for submission to the North Coast Regional Water Quality Control Board for the purpose of obtaining coverage under the General Permit for Discharges of Storm Water Associated with Construction Activity, if the disturbed area of the project is over one acre. As an optional subtask we will include the design for the in-fill sidewalk areas where none exists to provide a continuous path of travel for pedestrians. OPTIONAL SERVICES The following work is not included in our proposal. However, Coastland would be pleased to provide these services if the City desires: Post construction stormwater BMP design. Environmental assessments or permitting. Public coordination and outreach. Construction design support services Construction Management or inspection assistance. Utility coordination beyond that noted above. Meetings beyond those noted above. Page 671 of 901 City of Ukiah Main Street Utilities Improvement Project | 8 After considering our specific approach to this project, we have provided a proposed schedule and will work closely with the City to meet your scheduling goals. The following schedule provides a framework for completion of project tasks and reflects a realistic approach to completing this project. If desired, this schedule can be modified with a corresponding change to the Work Plan. Coastland staff has the ability to meet the required time schedules and is committed to doing so. Coastland is prepared to begin work upon receipt of a Notice to Proceed (estimated mid-February 2022). Our first task will be to work with the City to finalize a project schedule and identify milestones of each task. Our preliminary schedule shows estimated completion dates of major milestones dependent on City review timeframes. Our proposed schedule allows time for a three - week City review at 30%, 60% and 90% submittals. SCHEDULE Page 672 of 901 ID T a s k N a m e D u r a t i o n S t a r t F i n i s h 1 No t i c e to Pr o c e e d 1 da y We d 2/ 1 6 / 2 2 We d 2/ 1 6 / 2 2 2 Ki c k o f f Me e t i n g 1 da y Mo n 2/ 2 1 / 2 2 Mo n 2/ 2 1 / 2 2 3 In i t i a l Pr o j e c t De s i g n 40 da y s Th u 2/ 1 7 / 2 2 We d 4/ 1 3 / 2 2 4 Ba c k g r o u n d In f o r m a t i o n 2 wk s Tu e 2/ 2 2 / 2 2 Mo n 3/ 7 / 2 2 5 To p o g r a p h i c Su r v e y 5 wk s Th u 2/ 1 7 / 2 2 We d 3/ 2 3 / 2 2 6 Ge o t e c h n i c a l In v e s t i g a t i o n 8 wk s Th u 2/ 1 7 / 2 2 We d 4/ 1 3 / 2 2 7 Ut i l i t y Co o r d i n a t i o n 2 wk s Th u 2/ 1 7 / 2 2 We d 3/ 2 / 2 2 8 Fi e l d Re v i e w 2 wk s Th u 2/ 1 7 / 2 2 We d 3/ 2 / 2 2 9 30 % Su b m i t t a l 36 da y s Th u 3/ 2 4 / 2 2 Th u 5/ 1 2 / 2 2 10 Pr e p a r e 30 % Su b m i t t a l 4 wk s Th u 3/ 2 4 / 2 2 We d 4/ 2 0 / 2 2 11 Ci t y Re v i e w ‐ 30 % Su b m i t t a l 3 wk s Th u 4/ 2 1 / 2 2 We d 5/ 1 1 / 2 2 12 30 % Su b m i t t a l Re v i e w Me e t i n g 1 da y Th u 5/ 1 2 / 2 2 Th u 5/ 1 2 / 2 2 13 60 % Su b m i t t a l 66 da y s Fr i 5/ 1 3 / 2 2 Fr i 8/ 1 2 / 2 2 14 Pr e p a r e 60 % Su b m i t t a l 10 wk s Fr i 5/ 1 3 / 2 2 Th u 7/ 2 1 / 2 2 15 Ci t y Re v i e w ‐ 60 % Su b m i t t a l 3 wk s Fr i 7/ 2 2 / 2 2 Th u 8/ 1 1 / 2 2 16 60 % Su b m i t t a l Re v i e w Me e t i n g 1 da y Fr i 8/ 1 2 / 2 2 Fr i 8/ 1 2 / 2 2 17 90 % Su b m i t t a l 41 da y s Mo n 8/ 1 5 / 2 2 Mo n 10 / 1 0 / 2 2 18 Pr e p a r e 90 % Su b m i t t a l 5 wk s Mo n 8/ 1 5 / 2 2 Fr i 9/ 1 6 / 2 2 19 Ci t y Re v i e w ‐ 90 % Su b m i t t a l 3 wk s Mo n 9/ 1 9 / 2 2 Fr i 10 / 7 / 2 2 20 90 % Su b m i t t a l Re v i e w Me e t i n g 1 da y Mo n 10 / 1 0 / 2 2 Mo n 10 / 1 0 / 2 2 21 Fi n a l Su b m i t t a l 2 wk s Tu e 10 / 1 1 / 2 2 Mo n 10 / 2 4 / 2 2 22 Be g i n Bi d Ph a s e 1 da y Tu e 10 / 2 5 / 2 2 Tu e 10 / 2 5 / 2 2 In i t i a l P r o j e c t D e s i g n 30 % S u b m i t t a l 60 % S u b m i t t a l 90 % S u b m i t t a l Fi n a l S u b m i t t a l Be g i n B i d P h a s e Fe b ' 2 2 Ma r ' 2 2 Ap r ' 2 2 Ma y ' 2 2 Ju n ' 2 2 Ju l ' 2 2 Au g ' 2 2 Se p ' 2 2 Oc t ' 2 2 Ma i n S t r e e t U t i l i t i e s I m p r o v e m e n t P r o j e c t Pr e l i m i n a r y D e s i g n S c h e d u l e Ja n . 3 1 , 2 0 2 2 Page 673 of 901 Page 674 of 901 City of Ukiah Main Street Utilities Improvement Project | 9 The Main Street Utilities Improvement Project seeks to rehabilitate the roadway and existing utilities on Main Street beginning at East Gobbi Street and running north approximately 3,850 LF ending at Norton Street. Coastland Civil Engineering, Inc. (Coastland) is proposing our most qualified personnel, each with relevant utility and accessibility experience to ensure this project is delivered to the satisfaction of the City and in accordance with all local requirements. Our team includes a design and construction management team with years of experience in utility replacement and roadway reconstruction projects You can be confident knowing our team has the proven expertise to successfully complete this project. Coastland was founded in 1991 to provide civil engineering, construction management, and building department services to public agencies spanning Northern California. Since Coastland opened its doors over 30 years ago, our projects have encompassed a wide variety of water, wastewater, transportation, drainage, flood control and public facilities. Coastland’s approach is a little different from most consultants. We function as a trusted partner to our clients, literally becoming an extension of our clients’ staff and an integral part of the project team. This uncommon partnership helps our clients achieve more, especially when resources are limited. You can be confident knowing our team has the proven expertise to successfully complete this project. With a staff of over 70 professional engineers, technicians, construction managers and support staff, Coastland has ample resources to respond to the needs of this project and make it a priority. Proposed Project Manager, Steve Van Saun , PE, will be the City’s single point of contact and will manage communications and coordinate day-to-day activities among Coastland’s support staff. Steve has been involved in many utility projects in his career, most recently for the City of Santa Rosa managing the East Haven Sewer and Water System Improvements and the La Paloma Ave/East Haven Dr./Rogers Way Sewer and Water System Improvements as well as the CIP water utility replacement projects for Sweetwater Springs Water District. Heidi Utterback, PE, Principal, is the Principal-in-Charge and will provide QA/QC services. Heidi has been involved with previous Ukiah projects including the utility replacements, road rehabilitation and curb ramp improvements for Clara Avenue, phases 1 and 2. Coastland places a high priority on ensuring we do not over commit individuals, nor leave any need unmet. Prior to assembling a team, we carefully assess our workload so we can be open and honest about our availability and response times. This will ensure prompt review and facilitate timely response to inquiries from the City. Over 90% of our work is from repeat clients, attesting to client satisfaction and confidence. Coastland has ample resources to make this project a priority. “Everyone is really impressed with how the job turned out on this end. We are constantly getting compliments. I appreciate everything you have done for us.” – Dale Withers, Facilities Director, Pacific Union College PROJECT TEAM INTRODUCTION TEAM INTRODUCTION Page 675 of 901 City of Ukiah Main Street Utilities Improvement Project | 10 COMMITMENT The organization chart below illustrates the personnel who are committed to be available to the City’s project. All proposed team members are qualified and available to serve the City and will be committed to providing efficient services on your project. Coastland will not substitute any proposed staff without prior approval from the City. AVAILABILITY It will be important for the selected team to be fully committed and available to successfully execute this project. This will ensure every detail is considered and also facilitate timely response to inquiries from the City. Steve is available to devote the necessary time to manage this project and estimates his involvement would average between 4 to 8 hours per week to oversee project staff, provide direction as necessary, and maintain regular contact with the City. Our goal is to be accessible, flexible and efficient. The availability of our proposed staff will ensure that this goal is accomplished. STAFFING STABILITY Coastland is well-founded and dependable. Having served public agencies exclusively for over 30 years, we understand the staffing requirements and flexibility required by cities and special districts. Coastland’s team continues to grow, and we have expanded and improved our staffing and services to meet our clients’ needs. We have long -term relationships with many of our clients stretching as long as 30 years. Our record of repeat clients, combined with the growth of our staff, attests to the client confidence and staffing stability. Our multi-disciplinary staff provides Coastland with ample resources to respond to the City’s requests, while still providing a highly personal approach which is not often found in larger firms. ACCESSIBILITY Coastland staff can meet regularly with City staff and are accessible to the City via phone and email. For the City’s convenience, all services related to this project can be accessed by contacting one primary contact: Steve Van Saun, PE. The City can be assured of prompt responses to inquiries. CITY OF UKIAH Andrew Stricklin, Associate Engineer Steven Van Saun, PE Supervising Engineer Project Manager Engineering Staff Sergio Fuentes, Asst. Eng. Design Assistance Sr. Engineering Technician Mike Janet Constructability Review Heidi Utterback, PE Engineering Design Manager Principal-in-ChargeQA/QC Subconsultants Cinquini & Passarino, Inc. Survey Services RGH Consultants Geotechnical Engineering Page 676 of 901 City of Ukiah Main Street Utilities Improvement Project | 11 Our key staff is dedicated to the City of Ukiah and this project. Following are brief summaries of our team members and their experience. Resumes for each staff member may be found in the Appendix A. HEIDI UTTERBACK, PE STEVEN VAN SAUN, PE PRINCIPAL IN CHARGE, QA/QC PROJECT MANAGER Education: B.S., Civil Engineering, University of California, Davis Years of Experience: 32 License: Civil Engineer, CA 53723 Education: M.S., Civil Engineering, Rutgers University B.S. Civil Engineering, New Jersey Institute of Technology Years of Experience: 14 License: Civil Engineer, CA 86180 Highlights: • Coastland Civil Design Group Manager • Recently designed and manag ed the City of Ukiah Clara Ave Phase 2 Improvement Project Highlights: • Involved in more than 30 capital projects ranging from $220K to $1B • Managed three (3) recent projects for the City of Santa Rosa Selected Experience Overview: City of Santa Rosa • 20+Sewer, Water & Storm Drain Improvement Projects • Slater St. & Lewrosa Wy. Sewer & Water System Improvements (Most recent project) Bodega Bay Public Utility District • Ranch Rd. Sewer Repairs • Zone 1&2 Sewer Rehabilitation Project City of Cloverdale • Clark Ave. 27” Sewer Main Replacement • Sewer Master Plan Update City of Rohnert Park • Adrian Wy. Sewer & Water Rehabilitation • Alta Ave. & Almond St. Sewer & Water Rehabilitation Sweetwater Springs Water District • 2018 CIP Water Main Replacement • 2017 CIP Water Main Replacement City of Ukiah • Clara Ave. Neighborhood Enhancement Selected Experience Overview: City of Santa Rosa • East Haven Sewer and Water Improvements • Oakmont Dr. Sewer Main Upsizing • La Paloma, E. Haven Dr., Rogers Wy. Sewer & Water System Improvements • Slater St. & Lewrosa Wy. Sewer & Water System Improvements • Sewer Replacement at Alderbrook Lane & Denton Way • Parking Lot #10 Improvements City of Rohnert Park • State Farm Dr. & Commerce Blvd. Water Line Replacement Pacific Union College • Water Storage Tank Replacement City of Piedmont • 2018 Pavement Project • Oakland Ave. Rehab Project Sweetwater Springs Water District • 2021 CIP Water Main Replacement SERGIO FUENTES, EIT MICHAEL JANET DESIGN ASSISTANCE CONSTRUCTABILITY REVIEW / BID SUPPORT Education: B.S., Civil & Environmental Engineering, University of California, Davis Years of Experience: 6 License: EIT, California Years of Experience: 23 Selected Experience Overview: City of Santa Rosa • Slater St. & Lewrosa Wy. Sewer & Water System Improvements City of Berkeley • MLK Jr. et. al. Sewer Rehabilitation Bodega Bay Public Utility District • Contract District Engineering • Sewer Rehabilitation Project City of Piedmont • Storm Drain Mapping Project • Annual Sanitary Sewer Rehabilitation City of Rohnert Park • State Farm Dr. & Commerce Blvd. Water Line Replacement • 2019 Pavement Preventative Maintenance Program Sweetwater Springs Water District • 2021 CIP Water Main Replacement Highlights: • Managed the construction of more than 50 roadway and utility projects for public agencies • Wide ranging knowledge of construction methods Selected Experience Overview: City of Santa Rosa • 30+Sewer, Water & Storm Drain Improvement Projects Bodega Bay Public Utility District • Ranch Rd. Sewer Repairs • Zone 1&2 Sewer Rehabilitation Project City of Cloverdale • Clark Ave. 27” Sewer Main Replacement • Sewer Master Plan Update City of Rohnert Park • Adrian Wy. Sewer & Water Rehabilitation • Alta Ave. & Almond St. Sewer & Water Rehabilitation Sweetwater Springs Water District • 2017 & 18 CIP Water Main Replacement PROJECT TEAM QUALIFICATIONS Page 677 of 901 City of Ukiah Main Street Utilities Improvement Project | 12 Coastland’s subconsultants have been selected based on their technical abilities, their experience with Coastland, and their successful direct relevant experience. Resumes and references for subconsultants are provided in Appendix B. Cinquini & Passarino will assist Coastland with all required surveying on this project. Established in 1954, Cinquini & Passarino, Inc. (C&P) has a history of stability and reliability throughout the North Bay providing municipal and private clients with reliable surveying services ranging from topographic surveys, railroad surveys, boundary surveys, right of way surveys, terrestrial laser scanning, aerial drone surveys, hydrographic surveys, GIS services and construction surveys. Their focus is land surveying and with offices in Santa Rosa, Healdsburg, Napa and Oakland, C&P is a proven leader among land surveying consultants servicing the northern Bay Area. C&P is an innovative and problem-solving land surveying firm. They utilize the latest technology in surveying and mapping to increase efficiency while maintaining the high accuracy and quality of survey deliverables for which they are known. While applying the latest in survey equipment such as Unmanned Aerial Systems (drones), Total Stations, GNSS Global Positioning Technology, and Electronic Field Computers is essential, it is their knowledgeable team of professionals and highly skilled staff that brings value to municipal projects. RGH Consultants is a privately owned company that ranges from 25 to 30 employees depending on seasonal workload. RGH Consultants was founded in 1991 as a full-service firm with expertise in geotechnical engineering, engineering geology, and construction observation and testing. RGH has grown to become one of the largest locally owned geotechnical engineering firms in the northern Bay Area. Headquartered in Santa Rosa, California, RGH has a satellite office in Napa, California. In 1997, RGH added a geotechnical testing laboratory that subsequently expanded to include asphalt testing. RGH’s laboratory is certified by AMRL, the California Division of the State Architect (DSA), the Army Corps of Engineers and Caltrans. RGH’s staff of professional engineers and geologists, field engineers and engineering technicians collectively have decades of experience in geotechnical engineering, engineering geology, construction observation, and materials testing in northern California with an emphasis on work in Sonoma County and Napa County. These services have been provided on public works projects including design and construction of roadways, bridges, treatment facilities and pipelines. SUBCONSULTANTS Page 678 of 901 City of Ukiah Main Street Utilities Improvement Project | 13 The following pages include several plan sheets from relevant projects including Clara Avenue Reconstruction Project - Phase 2 for the City of Ukiah, and La Paloma Ave./E Haven Dr./Rogers Way Sewer and Water System Improvements and Slater St. and Lewrosa Way Sewer and Water System Improvements for the City of Santa Rosa. Full plans can be found at the following link: https://coastlandcivil- my.sharepoint.com/:f:/p/spayde/EjUpz8ZAKypGsWex0oiw1DABSirFoVMcg4wReepxrX_v7w?e= 9OLjsT EXAMPLE WORK PRODUCT Page 679 of 901 City of Ukiah Main Street Utilities Improvement Project | 14 Page 680 of 901 City of Ukiah Main Street Utilities Improvement Project | 15 Page 681 of 901 City of Ukiah Main Street Utilities Improvement Project | 16 Page 682 of 901 City of Ukiah Main Street Utilities Improvement Project | 17 Page 683 of 901 City of Ukiah Main Street Utilities Improvement Project | 18 Page 684 of 901 City of Ukiah Main Street Utilities Improvement Project | 19 Page 685 of 901 City of Ukiah Main Street Utilities Improvement Project | 20 Page 686 of 901 City of Ukiah Main Street Utilities Improvement Project | 21 Page 687 of 901 Page 688 of 901 City of Ukiah Main Street Utilities Improvement Project | 22 CITY OF UKIAH CLARA AVENUE NEIGHBORHOOD ENHANCEMENT The primary goal of this project was to provide safe and functional facilities for pedestrians and to extend the roadway life on older streets near the City’s downtown area. To accomplish this, Coastland prepared a community-based design plan that improves pedestrian facilities, drainage patterns, and pavement conditions on Clara Avenue. The streets in need of improvement lacked contiguous sidewalks, ADA compliant curb ramps and underground drainage facilities and had poor pavement conditions. Coastland’s services included reviewing a variety of traffic calming and pavement rehabilitation measures and recommending the most effective improvement. Traffic calming and pedestrian measures included the use of intersection and mid-block bulbouts, edge striping, alternating parking, hatched crosswalk markings and road narrowing. Coastland addressed the poor pavement conditions and recommended the most cost-effective rehabilitation. Services also involved obtaining community input through public workshops to gather local information about needs, concerns, and recommendations. Due to lack of funds for construction, the City has only constructed a portion of Clara Avenue (Phase 1). In 2020 Coastland revised the improvement plans for Clara Avenue to include sewer main replacement as well as updates to bring the improvements to current standards and site conditions. As future funds become available the City can use the completed updated design plans (Phase 2) to advertise for bidding and construction. CITY OF SANTA ROSA – ON-CALL SERVICES (2000-PRESENT) Coastland has provided continuous on-call design and construction management services under a Master Services Agreement with the City of Santa Rosa since 2000. In this capacity, Coastland has been responsible for designing and inspecting the repair and/or replacement of antiquated water, sewer and storm drain systems through the City. A majority of the work has involved improving gravity sewer lines. Many of these projects involved abandoning existing water mains located in backyards and installing new mains within City right-of-way. Numerous projects also included street reconstruction with full depth asphaltic concrete paving or asphaltic concrete overlay, and replacement of curb ramps and sidewalk sections. To date, Coastland has performed design and/or construction management and inspection on over 50 public works projects with construction costs ranging from $70,000 to over $4 million. Coastland provided design and construction management/inspection services on the Farmers Lane Well Flushing Main Project which was awarded the 2015 Project of the Year award for Infrastructure from ACEC. REFERENCES Jason Benson, Senior Engineer jbenson@cityofukiah.com (707) (707)510-5485 Design Fee: $97,246 (Ph.1 & 2) Construction Dates: Ph 1-May 2011; Ph 2 (TBD) Construction Estimate: Ph 1 $974,839 ; Ph 2 $3.06M Construction Cost: Ph 1 $849,765 ; Ph 2 (TBD) Subconsultant: Cinquini & Passarino - Survey Page 689 of 901 City of Ukiah Main Street Utilities Improvement Project | 23 A selection of the projects for which Coastland has provided design and/or construction management services under this contract are listed below: Project Construction Cost E. Haven Dr. Sewer and Water Improvements Currently in design Slater St. and Lewrosa Way Sewer and Water System Improvements Currently in design La Paloma Ave./E Haven Dr./Rogers Way Sewer and Water System Improvements $2,150,000 Oakmont Drive Sewer Main Upsizing $585,000 Accessibility Howarth Park Accessibility Alterations $850,000 Galvin Park Pathway Accessibility Improvements $340,000 Long Drive & Vicinity Sewer & Water Improvements $2.2 million Farmers Lane Well Flushing Main $616,000 Robles Trunk Sewer Lining $1.6 million Austin Way Area Sewer & Water Rehabilitation $2.6 million Brentwood Dr., Church St., Sheridan Dr., & Spring Creek Drive S&W Improvements $1.9 million Delport Ave. & McMinn Ave. Sewer & Water Improvements $2.5 million Summerfield Rd. & Sonoma Ave. Zone 6 & 9 Water Pumper Connections $450,000 Stations 6, 7 & 12 Generators Improvements $883,999 King Street Phase II Sewer & Water Improvements $1.3 million Llano Trunk Sewer Improvement—W. College Wet Weather Facility $2.5 million Meadow Lane Effluent Storage Facilities Ponds “B”, “C” & “D” Repairs $4.5 million Valley Center Dr., Village Side Dr. Sewer & Water Improvements $1.1 million Laguna Treatment Plant Trunk Sewer Interconnect $3.2 million Bishop, Brookside, Brookwood Sewer & Water Replacements $1.9 million Steele Lane Sewer & Water Replacement $1.4 million Midway / Magowan Phase Water & Sewer Replacements (Ph II & IV) $3.2 million Todd Road Trunk Sewer Improvements $3.1 million Spring Creek Drive Sewer and Water Replacements $3 million 3rd Street Sewer and Water Improvements $2.5 million Montgomery and Talbot Sewer and Water Improvements $1.6 million Bosley Street and Vicinity Sewer & Water Main Replacement $2.8 million Mendocino Avenue Water & Sewer Main Improvements $1.5 million LA PALOMA E. HAVEN ROGERS WAY SEWER AND WATER SYSTEM IMPROVEMENTS Coastland provided engineering design services to replace aged and obsolete sewer and water mains in East Haven Drive, Rogers Way, and La Paloma Avenue. The project included roadway reconstruction, curb and gutter replacement, curb ramp reconstruction and installation, and drainage improvements. The project construction was completed in February 2021. Approximately 1,250 linear feet of existing 4” CI water main was replaced with 8” PVC water main in East Haven Drive from 4th Street and extended approximately 125 linear feet past Eleanor Avenue and connect to an existing 6” AC water main. The existing 6” AC dead end water main in La Paloma was upsized to an 8” PVC water main and extended approximately 320 linear feet to the existing 8” cross at Siesta Lane. Existing water services were replaced with new water services with new meters and boxes in accordance with City Standards. In addition to the water line replacement, approximately 2,030 linear feet of existing sewer main in East Haven Drive between 4th Street and Eleanor Avenue, La Paloma Avenue between East Haven Drive and Rogers Way, and Rogers Way between 4th Street and La Paloma Avenue was replaced. All existing sanitary sewer manholes within the project area were replaced. Existing sanitary sewer laterals will also be replaced with new cleanouts installed in accordance with City Standards. Grant Bailey, Associate Civil Engineer gbailey@srcity.org (707) 543-4508 Design Fee: $175,565 Construction Dates: Aug. 2020 – Feb. 2021 Construction Estimate: $2.8M Construction Cost: $2.15M Page 690 of 901 City of Ukiah Main Street Utilities Improvement Project | 24 SLATER STREET WATER & SEWER REPLACEMENT Coastland is providing engineering design services to replace aged and obsolete sewer and water mains along Slater Street from Dexter Street to Lewis Road and along Lewrosa Way. The project will also include roadway reconstruction, curb ramp reconstruction and installation, and curb and gutter replacement. Approximately 1,620 linear feet of existing sewer main will be replaced in Slater Street between Dexter Street and Lewis Road and in Lewrosa Way. The existing 6-inch VCP sewer main will be replaced with 6-inch PVC and the 330 linear feet of 6-inch FRP sewer main in the private sewer easement from Lewrosa Way through to a manhole in Mendocino Avenue will be replaced. All existing sanitary sewer manholes within the project area will be replaced and laterals will be replaced with new cleanouts. Approximately 1,600 linear feet of existing 8-inch ACP water main will be replaced with 8-inch PVC water main in Slater Street between Dexter Street and Lewis Road and approximately 400 linear feet of 4-inch cast iron water main will be replaced with 8-inch PVC in Lewrosa Way. There is an existing water main crossing over Poppy Creek that is secured underneath a concrete bridge deck. The new water main installation at Poppy Creek may require a bore and jack installation. All existing water services will be replaced with new meters and boxes. The roadway pavement is in critical condition with a current PCI of 44 on Slater Street and 37 on Lewrosa Way. The reconstruction is anticipated to include new pavement section of 0.55-feet in depth as per recent City of Santa Rosa utility replacement projects in residential streets. EAST HAVEN DR SEWER AND WATER MAIN IMPROVEMENTS Coastland is providing engineering design services to replace aged and obsolete sewer and water mains in East Haven Dr Foothill Dr, Eleanor Ave, Hawthorne Ct, and Iris Ct. The project includes roadway reconstruction, curb and gutter replacement, curb ramp reconstruction and installation, and drainage improvements. The project is anticipated to go to construction in June 2022. Approximately 2,140 linear feet of existing sewer main will be replaced in Eleanor Ave from the existing cleanout to East Haven Drive, East Haven Drive from Eleanor Ave to East Foothill Dr, East Foothill Dr from Thomas Dr to Siesta Ln, Hawthorne Ct, and Iris Ct. The existing sewer main is deteriorated 6-inch diameter VCP which will be replaced with 8” PVC sewer main. All existing sanitary sewer manholes within the project area will be replaced. Existing sanitary sewer laterals will also be replaced with new cleanouts installed in accordance with City Standards. Approximately 1,490 linear feet of existing 4-inch CI and 6-inch ACP water main will be replaced with 8” PVC water main in Eleanor Ave, East Haven from Eleanor Ave to east Foothill Dr, Hawthorne Ct, and Iris Ct. All existing water services will be replaced with new water services with new meters and boxes in accordance with City Standards. All pavement within the sewer and water replacement limits will be reconstructed and curb ramps will be reconstructed to be in compliance with current regulations. Sara Mathews, Asst. Engineer SMathews@srcity.org (707) 543-3866 Design Fee: $149,270 Construction Dates: Fall 2021/Winter 2022 Construction Estimate: $2.6M Construction Cost: $2.13M Sara Mathews, Asst. Civil Engineer SMathews@srcity.org (707) 543-3866 Design Fee: $156,420 Construction Dates: Anticipated start Summer 2022 Construction Estimate: $2.5M Construction Cost: TBD Page 691 of 901 City of Ukiah Main Street Utilities Improvement Project | 25 OAKMONT DRIVE SEWER MAIN UPSIZING Coastland provided engineering design services to replace an aged and obsolete sewer main in Oakmont with a new and larger main. The project area involves Oakmont Drive from Oakmont Creek to Greenfield Circle. The project was completed in February 2020. Approximately 1,188 linear feet of existing 6- inch asbestos cement sewer main was replaced with new 10 - inch PVC sewer main. Existing sewer laterals were also be replaced with new cleanouts installed in accordance with City Standards along with the replacement of the existing sanitary sewer manholes. An existing public sanitary sewer main across private property was abandoned. The existing sewer laterals were rerouted to the new public main in Oakmont Drive. Coastland completed contract specifications, plans and engineer’s estimate; collaborated with City staff to address plan check comments. We also provided the City with bid assistance, responses to RFIs and design assistance through construction. FARMERS LANE WELL FLUSHING MAIN Coastland performed design and construction management on a 12” plus inside-diameter (14” outside diameter) high-density polyethylene (HDPE) flushing force main which runs from City Well Station #4 southwardly, crossing under Spring Creek, and ultimately connecting to the Crosstown trunk sewer. The project was done on an emergency basis and required intense coordination and responsiveness to achieve the project goals. The creek crossing was installed via the jack and bore method, with a steel casing pipe and a ductile-iron carrier pipe. The project required an easement on the Nazarene Church property as well as additional easements across the commercial properties north of the creek. The downstream portion of the main, prior to connection to the trunk sewer, included a gravity line with a large-diameter air gap and receiving manhole. Tracy Duenas, Supervising Civil Engineer tduenas@srcity.org (707) 543-3952 Design Fee: $49,911 Construction Dates: November 2014-January 2015 Construction Estimate: $603,733 Construction Costs: $740,443 Greg Dwyer, Associate Civil Engineer gdwyer@srcity.org (707) 543-3838 Design Fee: $54,680 Construction Dates: August 2019 – February 2020 Construction Estimate: $586,504 Construction Cost: $678,822 Page 692 of 901 City of Ukiah Main Street Utilities Improvement Project | 26 BODEGA BAY PUBLIC UTILITY DISTRICT – DISTRICT ENGINEERING SERVICES (2013-PRESENT) As District Engineer for the Bodega Bay PUD Coastland provides on-call capital project design and construction management services on all of the District’s improvements. Coastland has assisted in the preparation of a five-year Capital Improvement Program and with the evaluation of the District’s wastewater treatment plant. Design and construction management services have also been provided for emergency sewer repairs and the installation of the new Bay Flat Well, well station and associated pipelines. ZONE 1 & 2 SEWER REHABILITATION PROJECT Coastland assisted the District in prioritizing critical sewer projects and developing a plan to phase the improvements over two fiscal years to accommodate funding availability. Improvements for the District’s Sewer Collection System included a combination of point repairs and CIP lining and replacement of mains. Coastland provided the design, bid assistance, and construction management and inspection for the repairs which were completed in 2016. 2021 SEWER REHABILITATION PROJECT Coastland is currently working with Bodega Bay Public Utility District to conduct a comprehensive evaluation of their sewer collection system to identify and correct sources of surface water inflow and groundwater infiltration. The purpose of the project is to reduce wet weather flows that are approaching the capacity of the wastewater treatment system. Initial work included the CCTV inspection and condition assessment of over 73,000 feet of sewer mains and associated manholes. From this investigation a repair inventory was developed, with prioritized projects, repair recommendations and preliminary cost estimating. The recommended repair methods included cured-in-place pipe-lining, pipe bursting and traditional open-trench construction methods. Coastland identified sewer laterals suspected of being sources of I&I and compiled a list of property addresses for the District to follow up with property owners. Rehabilitation projects also included the repair and replacement of defective sewer manholes and cleanouts. Coastland has recently completed the 50% submittal of construction documents for the rehabilitation work. Construction is anticipated for summer of 2022. Janet Ames, District Manager Bodega Bay Public Utility District (707) 875-3332 j.ames@bodegabaypud.com Design Fee (Zone 1 & 2): $33,709 Construction Dates: October- December 2015 Construction Estimate: $356,000 Construction Costs: $137,831* *Scope of work was reduced during construction Page 693 of 901 City of Ukiah Main Street Utilities Improvement Project | 27 SWEETWATER SPRINGS WATER DISTRICT – ON-CALL DISTRICT ENGINEERING (2011-PRESENT) As contract District Engineer for Sweetwater Springs Water District, Coastland has provided design, construction management and inspection services for the replacement of antiquated and undersized water system infrastructure throughout Guerneville, Rio Nido, and Monte Rio in western Sonoma County. The construction improvements, which began in 2011, are being phased over several years with construction contracts ranging from $900,000 to $1.3 million per phase. To date, over 400 new services have been installed with a total of 30,000 feet of 2”, 4”, 6” and 8” water mains, 100 gate valves, and over 30 fire hydrant and valve assemblies. Pavement overlays are being done to finish off the projects. The narrow roadways in most of the project areas make construction access and traffic control challenging but Coastland staff and construction crews have worked together to minimize the inconvenience to the residents. CITY OF PIEDMONT – SEWER REHABILITATION PROJECTS Coastland provides project management, construction management and inspection on the on-going capital sewer rehabilitation projects. The improvements to date have included replacement (pipe bursting) of 28,000 feet of 6-inch to 12-inch sewer mains, 5,000 feet of sewer laterals, 250 feet of 6-inch and 10-inch point repairs and installation of sewer manholes and cleanouts. The project also includes pavement and concrete repairs. Phase 5 of the project is currently in construction and includes approximately 5,000 lineal feet of 6” VCP; 8,300 lineal feet of 6”, 8” and 10” VCP, and 10,300 lineal feet of mostly 6: VCP. Ed Fortner, General Manager efortner@sweetwatersprings.com (707) 869-4000 Design Fee: $281,030 Construction Estimate: $635,930 Construction Costs: $900,000 to $1.3 million Daniel Gonzales, Public Works Director (510) 420-3061 dgonzales@piedmont.ca.gov Design Fee: $150,225 Phase 5 Construction Estimate: $3.275 million Phase 5 Construction Contract: $3.468 million Page 694 of 901 City of Ukiah Main Street Utilities Improvement Project | 28 Coastland has previously entered into contract with the City of Ukiah and kindly requests the same contract language be used for any new Professional Service Agreements. Coastland takes no exceptions to the Scope of Services or insurance requirements. EXCEPTIONS Page 695 of 901 Page 696 of 901 APPENDIX A COASTLAND RESUMES Page 697 of 901 Page 698 of 901 Heidi Utterback, PE Principal / Supervising Engineer EDUCATION B.S., Civil Engineering University of California, Davis A.S, Civil Engineering Santa Rosa Junior College REGISTRATION Civil Engineer, California 53723 PROFESSIONAL HISTORY Supervising Engineer Coastland January, 2000 to Present Project Engineer Shutt Moen Associates 1993-1999 Design Engineer Mitchell & Heryford 1989-1993 PROFESSIONAL AFFILIATIONS American Society of Civil Engineers Ms. Utterback, Supervising Engineer and Principal for Coastland, has over 32 years of experience designing and managing public works projects. As manager of Coastland’s civil design group she is responsible for staff oversight as well as project management, design, client coordination and project budgets. Ms. Utterback’s design experience includes various transportation improvements, ADA and sidewalk facilities, storm drain systems, grading plans, water distribution systems, wastewater collection systems and all associated calculations. Her background also includes plan check and assessment district engineering. Ms. Utterback has designed the pavement rehabilitation, ADA/Sidewalk grading, utility layouts, performed QA/QC, sewer capacity calculations, storm drain hydrology and hydraulic calculations, prepared plans, specifications and engineer’s estimates for a number of projects. She has managed numerous projects requiring close coordination with Caltrans, RWQCB, Corps of Engineers, the National Marine Fisheries and Fish and Wildlife to obtain all necessary approvals. Additionally, she has experience assisting environmental permitting coordination. REPRESENTATIVE EXPERIENCE: City of Berkeley On-Call Sanitary Sewer Program Sanitary Sewer Rehabilitation on Seawall Dr. 7tg St., et al. Sanitary Sewer Rehabilitation on Walnut St, Spruce St., et al Sanitary Sewer Rehabilitation on MLK Jr., et al Bodega Bay Public Utility District District Engineering Support Ranch Road Sewer Collection System Repairs Zone 1 & 2 Sewer Rehabilitation Project Salmon Creek Water Treatment Plant Backwash Water Disposal Callayomi County Water District District Engineering Support Big Canyon Well Final Design Valley Fire Disaster Recovery Assistance USDA PER, CEQA & Environmental Checklist Cedra Well Site New Tank and Well Site Evaluation City of Cloverdale On-Call City Engineering Support Clark Avenue 27” Sewer Main Replacement Project Sewer Master Plan Update Jefferson Street Water & Sewer Improvements City of El Cerrito Fairmount / Ashbury HSIP Intersection Safety Project Moeser & Ashbury Pedestrian & Bike Corridor Improvements Project City of Emeryville On-Call City Engineering Support Emeryville Standard Details Update Hidden Valley Lake Community Services District District Engineering Support FEMA Damage Reimbursement Application Hexavalent Chromium Engineering Report Hexavalent Chromium Compliance Plan Page 699 of 901 City of Mill Valley 2016 Street-Sewer Project Management Pedestrian Safety Project City of Nevada City Water/Wastewater Infrastructure Condition Assessment & Operational Review City of Piedmont On-Call City Engineering Support Sanitary Sewer Rehabilitation Phase 5 City Hall Sump & Lateral Sewer Data Management & Mapping EPA Compliance City of Rohnert Park SCWA Spool Lining Project Adrian Sewer & Water Rehab Alta Almond Sewer & Water Rehab Lancaster Drive Rehabilitation City of Santa Rosa Slater St. and Lewrosa Wy Sewer and Water System Improvements La Paloma, E. Haven and Rogers Way Sewer and Water System Improvements Oakmont Drive Sewer Main Upsizing Project Farmers Lane Well Flushing Main Design 20+ Sewer, Water and Storm Drain Improvement Projects City of St. Helena Charter Oak Ave. @ Hwy 29 Sewer Repair Fulton Street Storm Drain Ph. 1 & 2 Sonoma County Water Agency 404 Aviation Blvd. Access Control Gates Russian River CSD Fulton Street Storm Drain Ph. 1 & 2 Sweetwater Springs Water District Annual CIP Water Main Replacement Town of Tiburon 2017 Storm Drain Rehabilitation City of Vallejo General Plan Update (sub to PlaceWorks) Sonoma Boulevard Specific Plan (sub to Opticos) City of Ukiah Clara Avenue Rehabilitation - Phase 2 City of Wheatland City Engineering Support (QA/QC) Wheatland School Gap Closure (SRTS) City of Willows City Engineering Support Services Sycamore Street Rehabilitation Project Sacramento-Butte Reconstruction Sewer Main Replacement Project Page 700 of 901 Steven Van Saun, P.E. Supervising Engineer EDUCATION M.S., Civil Engineering, Rutgers University B.S. Civil Engineering, New Jersey Institute of Technology REGISTRATION Civil Engineer, CA (#86180) PROFESSIONAL HISTORY Senior Engineer Coastland 2017 Project Engineer (Engineer III) BKF Engineers 2015-2017 Project Engineer Greenman-Pederson, Inc. (GPI) 2009-2015 Design Engineer Keller & Kirkpatrick (subsidiary of GPI) 2008-2009 Mr. Steven Van Saun is a Licensed Professional Engineer with expertise in roadway design, hydrology, hydraulics, environmental permitting, dam safety, stormwater management, roadway drainage, and soil erosion and sediment control measures. He brings over 14 years of experience in the industry and has managed and designed a wide variety of public improvement projects, including highway interchanges, bridge reconstruction and replacement, roadway intersections, pedestrian safety enhancements, and storm drainage and sanitary sewer improvements. He has been involved in more than 30 capital roadway projects ranging from $200,000 to $1 billion. Mr. Van Saun’s background also includes private and commercial land development and land surveying. REPRESENTATIVE EXPERIENCE: Bodega Bay Public Utility District District Engineering Support Services Town of Corte Madera 2017/2018 Pavement Rehabilitation County of Nevada Cascade Shores Community Leachfield Design County of Colusa Water Storage Tank Replacement Project City of Rohnert Park State Farm Dr. & Commerce Blvd. Water Line Replacement Project City of Santa Rosa Plan & Map Review Services Parking Lot #10 Reconstruction East Haven Dr. Sewer and Water Improvements Oakmont Drive Sewer Main Upsizing La Paloma, E. Haven and Rogers Way Sewer and Water System Improvements Slater Street and Lewrosa Way Sewer and System Improvements Airway Drive Site Development & Creek Realignment * Diamond, Belmont Sewer & Water Replacement * Pacific Union College Water Storage Tank Replacement Sonoma County Water Agency Development Review Services Sweetwater Springs Water District District Engineering Support Services Water System Model 2021 CIP (Water main replacement) City of Willows Sycamore Street Reconstruction Project Town of Windsor On-going Development Review Victoria Oaks Phases 1 & 2 The Oaks Conde Ln /Johnson St Pedestrian Enhancement * Russian River Brewery Company Site Development & Analysis * * Completed prior to Coastland Page 701 of 901 Sergio Fuentes, EIT Assistant Engineer EDUCATION BS Civil and Environmental Engineering, University of California, Davis REGISTRATION Engineer-in-Training, California No. 149917 CERTIFICATIONS Caltrans Resident Engineer Training Caltrans Federal Aid Funded Project Training PROFESSIONAL HISTORY Assistant Engineer Coastland 2020-present Staff Engineer / Lead Plan Checker Green Valley Consulting Engineers 2017 – 2020 Engineering Technician City of Fort Bragg 2015-2017 Sergio Fuentes brings over 6 years of experience in the industry with expertise in a variety of land development and capital improvement projects. His experience includes all aspects of civil engineering, including plan checking, grading and drainage, utility layout, storm water management and ADA compliance. He has also assisted in hydrology, hydraulic, sanitary sewer and fire flow calculations. His first assignments at Coastland include assisting with the Rohnert Park State Farm & Commerce Water Line Replacement Project and the Country Club Dr. Pavement Rahab Project. REPRESENTATIVE EXPERIENCE: City of American Canyon Watson Ranch Rough Grading Phase 1 City of Benicia Park Road Improvement Project City of Berkeley MLK Jr. et. al. Sewer Rehabilitation Walnut Street Sanitary Sewer Rehabilitation Bodega Bay Public Utilities District Contract District Engineering Sewer Rehabilitation Project City of Cloverdale 4th Street Reconstruction City of Napa Valle Verde/Heritage House Development Review Embassy Suites Addition Development Review City of Piedmont Storm Drain Mapping Project FY20-21 Measure B-BB-VRF Compliance Reporting City of Rohnert Park 2019 Pavement Preventative Maintenance Program State Farm Dr./Commerce Blvd. Water Line Replacement L Section Pavement Maintenance City of Santa Rosa Slater Street Water and Sewer Replacement City of Willows S. Willows Commercial Lot Line Adjustment Lots 4-6 Prior to Coastland Engineering and Water Division Plan Checker for City of Santa Rosa – Engineering Development Services Department Plan Checker for Town of Windsor Public Works Department Page 702 of 901 Mike Janet Principal / Construction Department Manager EDUCATION Agtek Earthwork Training Course April 2003 Geotechnical Drilling Seminar February 2008 Utility Pole Loading and G.O. 95 Course May 2000 Caltrans Resident Engineering Class PROFESSIONAL HISTORY Construction Manager Coastland 2006 to Present Project Manager / Lead Estimator Pipeline Excavators 2002- 2006 Water Conservation Aide Marin County Water District 2001-2002 Lead Field Engineer Utility Application & Design 1998 to 2001 Mr. Michael Janet, Construction Department Manager and Principal with Coastland, has over 23 years of construction experience on capital improvement projects. Mr. Janet has strong skills in managing diverse projects and coordinating with all project stakeholders. He has managed the construction on more than 75 roadway and utility improvement projects for public agencies, with a very strong background on federally funded projects. Most of these projects involve pavement restoration, ADA improvements, intersection improvements, and utility replacements. These projects also involve close coordination with Caltrans, school districts, impacted residents and businesses. Mr. Janet also oversees the activities of the Construction Department which includes construction managers and field inspectors. He is responsible for maintaining project construction budgets, scheduling inspectors, approving change orders, generating RFIs, tracking costs and schedule maintenance. REPRESENTATIVE EXPERIENCE: City of Albany 2016 Sanitary Sewer Rehabilitation Project City of American Canyon Recycled Water Storage Tank City of Benicia Cordelia Transmission Main Repair Project I-680 / Red Top Road Waterline Relocation Bodega Bay Public Utility District Heron Drive Emergency Sewer Repair Mockingbird Drive Emergency Sewer Repairs Ranch Road Sewer Collection System Repairs Bay Flat Well City of Calistoga Kimball & Myrtledale Water Main Improvements (sub to EKI) City of Petaluma Petaluma Blvd. North Water Main Replacement Project City of Piedmont Sanitary Sewer Rehabilitation Beach Elementary School Sewer Line City of Santa Rosa (partial list) W. 6th St. @ Madison St. Sewer & Water Improvements Sewer Main Lining, Manhole & Lateral Rehabilitation @ Various Locations Summerfield Rd. & Sonoma Ave. Zone 6 & 9 Water Pumper Connections Robles Trunk Sewer Lining-Walker Ave to Airport Sewer Trunk Confluence Farmers Lane Well Flushing Main 6th Street & Wilson Sewer & Water Meadow Lane Effluent Storage Facilities Ponds “B,” “C” and “D” Repairs And dozens more improvements for the City of Santa Rosa City of Sausalito Emergency Sewer Replacement Constructability & Review City of St. Helena Charter Oak Ave. & Hwy 29 Sewer Repair Sweetwater Springs CSD Annual Capital Improvement Project (2012-2017) Town of Yountville Washington St. Sewer Bypass Yount Street Sewer Replacement Page 703 of 901 Page 704 of 901 APPENDIX B SUBCONSULTANT RESUMES & REFERENCES Page 705 of 901 Page 706 of 901 Anthony G. Cinquini, P.E., P.L.S. 1360 N. Dutton Ave., Ste. 150, Santa Rosa, CA 95401 (707) 542-6268 Fax (707) 542-2106 PROFESSIONAL PROFILE Mr. Cinquini is a licensed Professional Engineer and licensed Professional Land Surveyor with the State of California with over twenty-four years of experience in the professions. His experience includes project management, topographic surveys, right-of-way surveys, legal description and plat preparation, construction surveys, and remote sensing technologies including laser scanning and unmanned aerial systems which enhances his ability to deliver surveys for infrastructure improvements, redevelopment and development projects, roadway realignments, and utility rehabilitation projects. PROFESSIONAL EXPERIENCE Ukiah Downtown Streetscape, Road Diet & Utilities Project - Phase 1, Ukiah, CA. As Principal in Charge and Project Manager, Mr. Cinquini coordinated the topographic and right-of-way surveys to facilitate the design of the streetscape, road diet and utilities improvements in Ukiah. The topographic survey covered the area from State Street at Mill Street to the intersection with Gobbi Street. C&P also provided a resolved right-of-way map for the project corridor and filed a Record of Survey with the County of Mendocino. Challenges included detailed topographic mapping for building store fronts and existing pedestrian paths of travel for sidewalk designs. Ukiah Downtown Streetscape, Road Diet & Utilities Project – Phase 2, Ukiah, CA. As Principal in Charge, Mr. Cinquini directed field crews and quality control for the topographic survey that built on the Phase 1 project in order to facilitate the design of the streetscape, road diet and utilities improvement in Ukiah. The topographic survey covered the area from State Street at Mill Street to the intersection with Gobbi Street. C&P also provided the right-of-way mapping by locating the existing monumentation on State Street and Gobbi Street. Arnold Drive Bike Lane Project, Sonoma, CA. Mr. Cinquini as Principal-in-Charge and Project Manager performed a primary control network, reduction of topographic surveys, right-of-way and record of survey coordination and quality control field reviews of mapping for the addition of a bike line to approximately 1.9 miles of Arnold Drive. Rohnert Park Roundabout Intersection Improvements, Rohnert Park, CA. As Principal in Charge and Project Manager Mr. Cinquini managed and performed the quality control review for the preparation of topographic surveys and right-of-way survey on Commerce Blvd. for the design of a new roundabout at a three-way intersection. Piedmont 2021 Paving Project, Piedmont, CA. Mr. Cinquini as Principal in Charge and Project Manager performed reduction of field surveys and quality control field edits to produce topographic surveys along Hill Lane, Manor Drive and Wildwood Avenue at Sylvan Way. The detailed topographic mapping was collected to facilitate the design of new curb ramps and ADA crossings at various intersections. TITLE Principal ROLE Principal in Charge EXPERIENCE 24 Years EDUCATION Bachelor of Science, 1998, Civil Engineering California State University, Chico LICENSES & CERTIFICATIONS Professional Engineer, Civil, California, PE C62341 Professional Land Surveyor, California, PLS 8614 FAA Remote Pilot for Small Unmanned Aircraft Systems Cert No. 3906702 Construction Documents Technologist, Construction Specifications Institute PROFESSIONAL MEMBERSHIPS American Society of Civil Engineers, San Francisco Section Past-President American Council of Engineering Companies California (ACEC-CA), North Coast Chapter California Land Surveyors Association Sonoma Co. Chapter Page 707 of 901 Derek Clark, P.L.S. 117 West North Street, Healdsburg, CA 95448 T: (707) 433-9760 F: (707) 433-9761 PROFESSIONAL PROFILE Mr. Clark is a Professional Land Surveyor with over six years of combined experience in the field and office. His experience includes boundary surveys, right-of-way surveys, topographic surveys, ALTA/NSPS Land Title surveys, preparation of legal descriptions and plat and as-built surveys for public and private clients. PROFESSIONAL EXPERIENCE Ukiah Downtown Streetscape – Road Diet & Utilities Project – Phase 2, Ukiah, CA. Mr. Clark as Staff Surveyor, researched and prepared the right-of-way resolution and office reduction for the topographic surveys. His responsibilities included processing field data, managing in survey technicians for drafting, and a quality assurance field edit of the site. Mr. Clark also resolved the right-of-way and is the process of finalizing a Record of Survey of the right-of-way for recording in Mendocino County. Dry Creek Rancheria Intersection Improvements, Geyserville, CA. As Staff Surveyor, Mr. Clark performed initial site review of the existing right-of-way including locating maps from Sonoma County and California Department of Transportation. The project includes topographic and right-of-way surveys for the design and construction for improved sight lines at the intersection of Highway 128 and BIA Route 93. Once the design in completed legal descriptions and plats will be prepared for right-of-way dedications to the State of California. His work includes client coordination and coordination with the consulting engineer. Emergency Intertie Project, Marin Municipal Water District As Staff Surveyor, Mr. Clark performed right-of-way research of record mapping, record deeds and Caltrans records, coordination with field staff and field data reductions for the right-of-way resolution of approximately 10 miles of roadway in both Richmond and San Rafael, California for a proposed water pipeline connection over the Richmond-San Rafael Bridge. Northern Sonoma County Fire Protection District, Geyserville, CA As a staff surveyor, Mr. Clark performed the annexation research and prepared an annexation map with a legal description according to LAFCO standards to annex 2400 parcels into the Northern Sonoma County Fire Protection District. Gold Ridge Fire Protection District, Sebastopol, CA As a staff surveyor, Mr. Clark is currently managing the boundary surveys for two of the Gold Ridge Fire Protection District stations and assisting the District with correcting encroachments with easements and Lot Line Adjustments. TITLE Professional Land Surveyor ROLE Project Manager EXPERIENCE 6 Years EDUCATION California State University, San Francisco (2008) Santa Rosa Junior College Certificate in Surveying (2016) LICENSES & CERTIFICATIONS Professional Land Surveyor, California PLS PROFESSIONAL MEMBERSHIPS California Land Surveyors Association Page 708 of 901 Mathew Dudley, P.L.S. 117 North Street, Healdsburg, CA 95448 T:(707) 433-9760 F: (707) 542-2106 PROFESSIONAL PROFILE Mr. Dudley, a licensed Professional Land Surveyor with twelve years of experience in land surveying and associated technologies. His land surveying experience includes responsibility for boundary research and resolution, right-of-way surveys, annexation maps and descriptions,, aerial photo control surveys, topographic surveys, ALTA/NSPS surveys, and construction surveys. PROFESSIONAL EXPERIENCE Ukiah Downtown Streetscape – Road Diet & Utilities Project – Phase 1 and Phase 2, Ukiah, CA. Mr. Dudley as Professional Land Surveyor, researched records and prepared for a right-of-way survey for the North State Street corridor. His responsibilities included processing field data, managing in house staff for drafting of right-of- way record of survey, and a quality assurance. Mr. Dudley also resolved the right-of-way and submitted a Record of Survey to the County of Mendocino for each phase. Fort Bragg Raw Water Line, Fort Bragg, CA. Mr. Dudley preformed right-of-way research and re-establishment for the existing waterline and acquisition areas for five phases of the waterline rehabilitation project for the Fort Bragg Department of Public Works Pine Flat Road Storm Damage Repair, Healdsburg, CA. Mr. Dudley provided the right-of-way resolution and mapping of Pine Flat Road at post mile 11.77 and 17.81 for road repair by performing boundary research and boundary surveys, right-of-way survey and resolution, a record of survey, and legal descriptions and plats for easement acquisition. 8th Street East County Acquisition, Sonoma County, CA. Mr. Dudley, as Project Manager, surveyed 2.5 miles of 8th Street East right- of-way which was in the ownership of a railroad company, and the County was in need of acquiring it. Mr. Dudley resolved the right-of- way and prepared the appraisal map and filed a record of survey with the County Surveyor. Westside Avenue Roadway Repair, Forestville, CA Mr. Dudley is the assistant Project Manager performing in the right- of-way resolution of Westside Avenue and processing of topographic surveys for road repair. Tasks include staff coordination, topographic mapping, boundary research of historic subdivision, right-of-way survey and resolution, a record of survey, and legal descriptions and plats for easement acquisition. TITLE Professional Land Surveyor EXPERIENCE 12 Years EDUCATION AA, Land Surveying Technology, Santa Rosa Junior College, 2011 MA, Music Theory, California State University, San Diego, 2008 BA, Music, California State University, San Diego 2005 LICENSES & CERTIFICATIONS Professional Land Surveyor, California, P.L.S. 9396 PROFESSIONAL MEMBERSHIPS California Land Surveyors Association, Sonoma County Chapter Past President Page 709 of 901 Santa Rosa Office 1305 North Dutton Ave Santa Rosa, CA 95401 707-544-1072 Napa Office 1041 Jefferson St, Suite 4 Napa, CA 94559 707-252-8105 Geotechnical, Geological and Laboratory Services ERIC G. CHASE Principal Geotechnical Engineer/Project Manager EDUCATION: California Polytechnic State University, San Luis Obispo, B.S. Civil Engineering, 1990 REGISTRATION: California Geotechnical Engineer, 2003, GE 2628 California Civil Engineer, 1995, CE 53150 PROFESSIONAL HISTORY: 2000 - Present RGH Consultants, Santa Rosa, CA; Principal Engineer 1992 - 2000 Geomatrix Consultants, Inc., San Francisco and Oakland, CA; Senior Engineer 1990 - 1992 Herzog Associates, Inc., Petaluma, CA; Staff Engineer REPRESENTATIVE EXPERIENCE: Mr. Chase is responsible for geotechnical studies, design, consultation, and construction observation. His experience includes roadways and bridges, water and wastewater pipelines and treatment plants, pump stations, power plants, port facilities, schools, hospitals, multi-story buildings, deep foundations, levees, hillside development, and residential construction. He has also performed seismic/geologic hazard evaluations for various Army installations and Navy facilities throughout the western United States. He has over 30 years of experience in geotechnical and earthquake engineering in the greater Bay area including Sonoma, Napa, Mendocino and Lake Counties, Humboldt County, Los Angeles, San Diego and the States of Alaska, Arizona, Washington, Nevada, Utah, and Kansas. AFFILIATIONS: • ASCE - American Society of Civil Engineers • Chi Epsilon Honor Society Page 710 of 901 Santa Rosa Office 1305 North Dutton Ave Santa Rosa, CA 95401 707-544-1072 Napa Office 1041 Jefferson St, Suite 4 Napa, CA 94559 707-252-8105 Geotechnical, Geological and Laboratory Services TRAVIS A. WHITTED Principal Geotechnical Engineer / Vice President / Laboratory Engineer-in-Charge EDUCATION: California Polytechnic State University, San Luis Obispo, California; B.S. Civil Engineering, 1998 REGISTRATION AND CERTIFICATIONS: California Civil Engineer, 2003, CE 63841 California Geotechnical Engineer, 2008, GE 2782 Qualified SWPPP Developer (QSD) and Practitioner (QSP), #00791 PROFESSIONAL HISTORY: 2000 - Present RGH Consultants, Inc., Santa Rosa, CA; Senior Engineer, Project Manager 2008 - Present State of California Board of Professional Engineers, Subject Matter Expert for Geotechnical Engineering Licensure Exam 1998 - 2000 Kleinfelder Associates, Santa Rosa, CA; Junior Engineer REPRESENTATIVE EXPERIENCE: Mr. Whitted has managed and performed geotechnical studies for a wide variety of projects including wineries, public capital improvements, wastewater treatment facilities, pipelines, schools, fire stations, low and high density residential structures, recreational facilitie s, bridges, and commercial and industrial improvements. As a certified QSD/QSP, Mr. Whitted has provided stormwater monitoring for numerous projects in compliance with the California Construction General Permit. Using high end computer software to analyze the stability of slopes is one of his specialties. Applications include reservoir embankments subject to rapid drawdown, ancient landslides that may be subject to reactivation, and designing repair options for recent landslides and other slope related failures. He has provided forensic analysis for structural failures and foundation stresses due to soil settlement, expansive soils, unstable slopes, and moisture intrusion in addition to roadway and pavement issues including inadequate subgrade support, utility trench settlement, and piping failures. Mr. Whitted has extensive experience with grading projects ranging from hillside cuts and fills with keyways and subdrains to roadways and reservoirs. He has geotechnical eng ineering experience in Sonoma, Napa, Lake, Mendocino, Marin, and Monterey Counties. PROFESSIONAL AFFILIATIONS: • Napa Engineers Society – Previous Board of Directors • ACEC – American Council of Engineering Companies • ASCE – American Society of Civil Engineers – Previous Board of Directors Page 711 of 901 Santa Rosa Office 1305 North Dutton Ave Santa Rosa, CA 95401 707-544-1072 Napa Office 1041 Jefferson St, Suite 4 Napa, CA 94559 707-252-8105 Geotechnical, Geological and Laboratory Services Jessie Polino Staff Engineer EDUCATION: California Polytechnic State University, San Luis Obispo, B.S. Civil Engineering, 2019 REGISTRATION: Engineer in Training Certificate #169588 PROFESSIONAL HISTORY: 2018 RGH Consultants, Santa Rosa, CA; Intern 2019 - Present RGH Consultants, Santa Rosa, CA; Staff Engineer REPRESENTATIVE EXPERIENCE: Ms. Polino is responsible for logging borings and test pits, pier inspections, observation and testing during fill placement and foundation excavations, observation during inclinometer installations and installation of keyways, buttressed fills and subdrains. She assists in exploration logistics, project proposals, geotechnical studies, grading and foundation plan reviews, and construction observation and testing final reports. Her experience includes commercial facilities, multi-family subdivisions, single-family residences, retaining walls, pedestrian bridges, roadways, and hillside grading. AFFILIATIONS: • ASCE – American Society of Civil Engineers • CalGeo – The California Geotechnical Engineering Association • ACI – American Concrete Institute Page 712 of 901 Santa Rosa Office 1305 North Dutton Ave Santa Rosa, CA 95401 707-544-1072 Napa Office 1041 Jefferson St, Suite 4 Napa, CA 94559 707-252-8105 Geotechnical, Geological and Labora tory Services A. KESHIA UNTUNG Staff Engineer EDUCATION: California Polytechnic State University, San Luis Obispo, B.S. Civil Engineering, 2017 REGISTRATION: California Engineer-in-Training, 2017, EIT 161091 PROFESSIONAL HISTORY: 2016 - Present RGH Consultants, Santa Rosa, CA; Staff Engineer REPRESENTATIVE EXPERIENCE: Ms. Untung is responsible for performing geotechnical investigations and construction observation. She is responsible for logging borings and test pits, pier inspections, and observation during piezometer and inclinometer installations. She assists in the preparation of geotechnical studies; construction observation and testing final reports; project proposals; and grading and foundation plan reviews; as well as, exploration logistics. Her experience includes schools, government buildings, commercial facilities, multi-family subdivisions, single-family residences, roadways, and hillside grading. AFFILIATIONS: • ASCE – American Society of Civil Engineers • CalGeo – The California Geotechnical Engineering Association • Chi Epsilon Honor Society • EWB – Engineers without Borders Page 713 of 901 Santa Rosa Office 1305 North Dutton Ave Santa Rosa, CA 95401 707-544-1072 Napa Office 1041 Jefferson St, Suite 4 Napa, CA 94559 707-252-8105 Geotechnical, Geological and Laboratory Services REFERENCE PROJECTS Project Name: City of Cloverdale 4th Street Rehabilitation Project Project Location: Cloverdale, California Contact Person: City of Cloverdale, Eric Janzen Contact Address: 124 N. Cloverdale Boulevard, Cloverdale, CA Contact Phone: (707) 894-2521 Contact Email: EJanzen@ci.cloverdale.ca.us Project Description: This project involves reconstruction of 4th Street from the city limits to its intersection with North Jefferson Street. Options being considered for rehabilitation included complete removal and replacement of the pavement section, a full depth asphalt section, and the use of reinforcement grids and fabrics. The geotechnical study included drilling four borings, performing laboratory testing of the subgrade soils, and engineering analysis to develop pavement rehabilitation recommendations. Project Name: Country Club Drive Reconstruction – Rohnert Park Expressway to Eleanor Project Location: Rohnert Park, California Contact Person: City of Rohnert Park, Vanessa Garrett Contact Address: 600 Enterprise Drive, Rohnert Park, CA Contact Phone: (707) 588-3300 Contact Email: VMarin@rpcity.org Project Description: This project involves rehabilitation of Country Club Drive between Eleanor and Rohnert Park Expressway. Options being considered for rehabilitation included complete removal and replacement of the pavement section, a full depth asphalt section, asphalt overlay, and the use of reinforcement grids and fabrics. The geotechnical study included drilling nine borings, performing laboratory testing of the subgrade soils, and engineering analysis to develop pavement rehabilitation recommendations. Project Name: Fulton Road Widening – Guerneville Road to Piner Road Project Location: Santa Rosa, California Contact Person: City of Santa Rosa, Christopher Catbagan Contact Address: 69 Stony Circle, Santa Rosa, CA Contact Phone: (707) 543-4521 Contact Email: ccatbagan@srcity.org Project Description: This project involves rehabilitation and widening of Fulton Road between Guerneville Road and Piner Road. Options being considered for rehabilitation included complete removal and replacement of the pavement section, a full depth asphalt section, and asphalt overlay. The geotechnical study included drilling 23 borings, performing laboratory testing of the subgrade soils, and engineering analysis to develop pavement rehabilitation recommendations. https://rghgeo.sharepoint.com/sites/shared/shared documents/work in progress/_pip/_egc/ukiah main street utilities improvement project/reference projects.docx Page 714 of 901 SERVICES Municipal Engineering Capital Project Design Construction Management Building & Safety Financing Assistance MARKETS Transportation ADA Compliance Flood Control & Drainage Water Wastewater Public Facilities & Parks Page 715 of 901 SANTA ROSA1400 Neotomas AvenueSanta Rosa, CA 95404(707) 571-8005 AUBURN11641 Blocker Drive Suite 170Auburn, CA 95603(530) 888-9929 FAIRFIELD324 Campus Lane Suite AFairfield, CA 94534(707) 702-1961 PLEASANT HILL3478 Buskirk Avenue Suite 1000Pleasant Hill, CA 94523(925) 233-5333 (800) 409-2435 toll freeinfo@coastlandcivil.com Municipal Engineering | Capital Project Design | Construction Management | Building & Safety | Financing Assistance Page 716 of 901 Santa Rosa Auburn Pleasant Hill Fairfield 1400 Neotomas Avenue 11641 Blocker Drive, Ste. 170 3478 Buskirk Avenue, Ste. 1000 324 Campus Lane, Ste. A Santa Rosa, CA 95405 Auburn, CA 95603 Pleasant Hill, CA 94523 Fairfield, CA 94534 Tel: 707.571.8005 Tel: 530.888.9929 Tel: 925.233.5333 Tel: 707.702.1961 www.coastlandcivil.com January 31, 2022 Andrew Stricklin, Associate Engineer City of Ukiah 300 Seminary Avenue Ukiah, CA 95482 Via email: pwproposal@cityofukiah.com and astricklin@cityofukiah.com Subject: Preparation of Plans, Specifications, and Estimate for Main Street Utilities Improvement Project Dear Andrew: Thank you for providing us with the opportunity to present our cost proposal for preparation of plans, specifications, and estimate for the Main Street Utilities Improvement Project. Based on the Scope of Services detailed in our proposal, we have prepared a comprehensive budget that identifies fully burdened staffing rates, total hours and costs per task and direct expenses. We propose to provide our services on a time-and-materials basis with a not-to -exceed amount of $285,353. The amount quoted is assuming that all of the work for this project will fall under the Scope of Services previously described. Please note that in the not-to-exceed amount, we have included an estimated amount of $2,400 for reimbursable expenses (i.e., plotting, mileage, etc.). These reimbursable costs will be billed at cost plus 15%. This cost proposal shall remain a firm offer for a period of 90 days from the submission deadline of the proposal. Sincerely, John Wanger, PE Steven Van Saun, PE CEO Senior Engineer ATTACHMENT 3 Page 717 of 901 $200 $180 $145 $150 $180 $170 $95 1 MEETINGS/RESEARCH/COORDINATION Kick off Meeting (1)3 3 1 7 $1,235 Design Progress Meetings (3)9 9 3 21 $3,210 Project Management 40 40 $7,200 Background Information 6 8 8 22 $3,440 Utility Coordination 4 4 8 1 17 $2,595 Utility Potholing (4 potholes)$10,000 Subtotal 107 $27,680 2 TOPOGRAPIC SURVEY AND RIGHT OF WAY DETERMINATION Topographic Survey $32,511 CPI Right of Way Determination $23,207 CPI Coordination with Subconsultant 2 2 6 10 $1,550 Subtotal 10 $57,268 3 GEOTECHNICAL INVESTIGATION Geotechnical Investigation $24,265 RGH Coordination with Subconsultant 6 4 10 $1,660 Subtotal 10 $25,925 4 30% IMPROVEMENT PLANS (PRELIMINARY DESIGN) Preliminary Plans 4 28 32 180 1 245 $37,575 Cost Estimate 1 2 4 8 15 $2,340 Design Memorandum 2 10 5 1 18 $3,020 Subtotal 278 $42,935 5 60% IMPROVEMENT PLANS, SPECIFICATIONS & ESTIMATE Plans, Profiles, and Cross Sections 8 40 40 220 4 312 $48,320 Specifications 2 8 16 1 27 $4,255 Cost Estimate 1 4 6 8 1 20 $3,085 QC Review 4 2 4 10 $1,840 Subtotal 369 $57,500 6 90% IMPROVEMENT PLANS, SPECIFICATIONS & ESTIMATE Plans, Profiles, Cross Sections, Details 6 32 32 140 210 $32,600 Specifications 1 6 10 1 18 $2,825 Cost Estimate 2 6 4 1 13 $1,925 QC Review 6 2 4 12 $2,240 Subtotal 253 $39,590 7 FINAL PLANS, SPECIFICATIONS & ESTIMATE Plans, Profiles, Cross Sections, Details 4 16 8 60 1 89 $13,935 Specifications 4 4 1 9 $1,395 Cost Estimate 2 4 1 7 $1,035 QC Review 4 2 6 $1,140 Subtotal 111 $17,505 8 BID ASSISTANCE Bid Questions 1 8 4 13 $2,220 Addenda (1)1 4 2 4 1 12 $1,905 Subtotal 25 $4,125 9 OPTIONAL TASKS SWPPP 2 16 6 2 1 27 $4,545 Additional Sidewalk Improvements 2 4 8 24 38 $5,880 Subtotal 65 $10,425 Direct Costs (repro, mileage, etc.)$2,400 Total Design Cost 52 256 214 672 8 10 16 1,228 $285,353 City of Ukiah Assistant Engr. DESIGN WORK ESTIMATE TASK TOTAL FEE Admin TOTAL HOURS Mike Janet, Const. Review Name, Project Role & RateTask Information NOTES Heidi Utterback, Project Principal & QA/QC Sr. CAD Designer Frank Sturch, Access. Review Main Street Utilities Improvement Project Proposal for Engineering Services Steven Van Saun, Project Manager/ Supv. Engr Page 718 of 901 https://www.strongtowns.org/journal/2022/2/7/why-do-we-have-to-handle-30000-trips-per-day Why Do We Have to Handle 30,000 Trips per Day? The state highway that runs through the middle of my hometown is scheduled to be refurbished in the coming years. The Minnesota Department of Transportation has started the public engagement process, conducting earnest dialogue with all the potentially concerned parties. I’ve been able to be part of some of those discussions. Highway 210—or, as we call it, Washington Street—is a chasm that divides the community. It physically separates the residential neighborhoods to the north from the core downtown to the south, inflicting massive damage to both in the process. The fast traffic and ridiculously narrow sidewalks combine to stagnate businesses along Washington Street itself, forcing the original buildings that lined the street into decline. Second- and third-tier chain stores join slumlords as apex predators in this malnourished economic ecosystem. Page 719 of 901 Washington Street is Exhibit A in how a state transportation department inflicts deep, structural damage on a community. It has hurt the finances of the local government, wrecked the opportunities of many small business owners, and depressed property values throughout the city. Most every American city has a similar exhibit, a testament to the staggering degree of self-harm our society inflicted upon itself, starting in the decades after World War II. The discussions about Washington Street today are mostly about mitigating this damage. How do we narrow lanes to make the traffic a little less threatening? How do we have sidewalks where two people don’t need to walk single-file mere feet from automobiles traveling at lethal speeds? How do we help the local businesses justify investments in their own future? How do we make it easier to cross this chasm so that the rejuvenating downtown has a chance to be more than just a lifestyle amenity? I can feel the momentum for change in the conversations. My neighbors are offended by the way this highway disrespects the community and they want to be heard. The mayor and city council seem to support significant changes. The city staff is talking about calming traffic and making things more “pedestrian-friendly.” Even the officials at the DOT seem interested in a new set of priorities. Interested, that is, until the wish list of modifications and improvements threaten the core priorities they feel compelled to adhere to. After patiently listening to the many concerns, one DOT official brought things back to reality by making their institutional values clear. “This is all great, but let’s not forget that we need to accommodate 30,000 trips per day.” Ouch. You can hear the needle being scraped over the record that was just starting to play a song of redemption. We need to accommodate 30,000 trips per day, at speed, and this is non-negotiable, with every other priority being submissive to that dominant requirement. I wrote about this in Confessions of a Recovering Engineer, though it is surreal to watch it play out so vividly in my own community. Engineers begin the design process with: (1) design speed and (2) traffic volume. Given those two parameters, they then consult the design manual to get the specifications for a (3) safe street. They then calculate the (4) cost for that design. It is that design process that creates the hierarchy of priorities that reflects the values of the traffic engineer: 1. Speed 2. Volume 3. Safety 4. Cost Page 720 of 901 These are not the values of my neighbors. I doubt they are the values of the city council or the city staff. They don’t reflect a set of priorities designed to make my hometown successful. Why is this a top priority of anyone? It’s important to understand what a traffic engineer means with this requirement. They don’t mean that they literally must accommodate 30,000 trips per day. That would be easy. There are 86,400 seconds in a day. With two-way traffic, 30,000 trips is one car every six seconds. No problem. What they actually mean is that they need to accommodate the bulk of that traffic during the peak hour. Commuters come into the city in the morning and out of the city at the end of the day. Businesses, schools, and governments schedule their hours based on this daily routine. So, let me restate what the traffic engineer actually means when they say that they have to handle 30,000 trips per day: The city must be degraded, the quality of life of its residents diminished, and local business opportunities stifled, in order to improve the convenience of commuters who have chosen to live outside of the city. The design of this street must prioritize their convenience over all else. That’s offensive, but like prisoners suffering from Stockholm Syndrome, those of us who live in the city—and the people we elect and employ to work on our behalf—start to identify with this mandate. After all, don’t we want all those commuters to come to our city? Don’t we need them? And don’t we also use this same street to drive out to the edge of town to get to the big box stores, schools, and other things that have been built there over the last few decades? There is a negative feedback loop we have come to accept as normal. We must have a highway, and everything that entails, through the middle of the city because we have to accommodate the commuters who live outside of the city. And, people choose to live outside of the city and commute in because they prefer not to live next to the highway in the neighborhoods it has degraded. We must have a highway through the middle of the city because we need all of those people living outside of the city to come into town to work, shop, and office. And, by having the highway divide the community, we force nearly every city resident who wants to work, shop, or office to get into their car, at which point the big boxes and drive-thrus in the neighboring city gain a significant advantage over local businesses. I could go on, but the point is rather self-evident. The priority that we must value speed and volume of traffic when designing Washington Street is imposed on the city as a preference of one set outcomes (commuting lifestyle) over another set of outcomes (neighborhood living). I reject that priority. What is the implication of rejecting that priority? What would happen if the DOT joined with the city in saying that priorities other than speed and volume were more dominant? Page 721 of 901 What if we all agreed that the quality of the city’s neighborhoods, the success of its local businesses, and the safety of its residents, were the paramount concern? In such a circumstance, the new design of Washington Street would narrow lanes, widen sidewalks, bring in vegetation and human-scaled lighting, prioritize people walking, give deference to cross-traffic instead of throughput, and do the many quality-of-life things that city officials and residents are asking for. And, while it might make commutes a little longer for those who have chosen to live outside the city, that delay would be offset in time by an increasing number of people who choose to live in the city’s neighborhoods, the improved business community that could expand offerings in response to a responsive local market, a shift in the number of trips that could now be made by biking and walking, and the local wealth saved from an overall reduction in vehicle miles traveled. The pandemic has demonstrated to us all that hours of operation can be flexible, that remote work is here to stay, and that commute patterns are not stuck at what the historic traffic flow charts suggest they must be. The system is dynamic. If we’re doing a once-in-a- generation renovation of Washington Street, let’s not be rigid in our thinking of what is possible. Let’s build a great city and then see what traffic volumes we can accommodate at peak hour. Page 722 of 901 Page 1 of 2 Agenda Item No: 12.d. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1292 AGENDA SUMMARY REPORT SUBJECT: Award Professional Services Agreement to BKF Engineers in the Amount of $308,031 to Prepare the Plans, Specifications, and Estimate for the East Perkins Widening Project, and Approve Corresponding Budget Amendments. DEPARTMENT: Public Works PREPARED BY: Andrew Stricklin, Associate Engineer PRESENTER: Tim Eriksen, Director of Public Works / City Engineer ATTACHMENTS: 1. RFP East Perkins Widening 2. BKF - East Perkins Widening Project 3. BKF - East Perkins Widening Project - Fee Proposal 4. 12b, c, & d Correspondence Received - Councilmember Rodin Summary: The City Council will consider awarding a professional services agreement to BKF Engineers for preparation of plans, specifications, and estimate for the East Perkins Widening Project and approving a corresponding budget amendment. Background: This project is the rehabilitation of East Perkins Street from Main Street east to Pomeroy Avenue near US101. Design will include paving of the roadway with an anticipated overlay, replacement of multiple non-compliant ADA curb ramps and the installation of a new storm drain with necessary catch basins from the railroad tracks east to tie into the existing catch basin at Orchard Avenue to alleviate existing drainage issues. Design will also widen the intersection at Perkins and Orchard to add an additional through lane eastward to improve traffic flow the city currently experiences. City Right of Way is already in place for this work and affected businesses have already built existing infrastructure in anticipation of this change. Traffic signals, select street lights and existing sidewalk will be relocated as necessary with this widening project. Discussion: The City issued a request for proposals (Attachment 1) and sent it to local firms. In addition, staff posted the RFP on the City's website through eBidboard on December 16, 2021. In response to the City's RFP, one proposal from BKF Engineers from Santa Rosa was received. City staff is currently working on a previously awarded project to BKF for the design of the East Gobbi Utility Replacement Project and is happy to select this firm for City Council to award design of this contract. BKF's billing rates are consistent with industry standards and their proposal fits with the request and scope of this project. BKF's proposal (Attachment 2) and the cost proposal (Attachment 3) are included with this report for reference. BKF's cost for the proposed work is $286,769 for the scope requested by City staff. The consultant BKF also provided an optional cost to perform any necessary survey and boundary records pertaining to Right of Way should such a service be required for a total of $21,262. Staff feels it may be necessary for such services pertaining to the intersection widening at Orchard Avenue and recommends including this optional cost. If these services are not required during design, this cost will not be billed to the City. Staff recommends awarding of a professional services agreement to BKF Engineers in the amount of $308,031. A subsequent budget amendment is also requested. The source of the funding for this project will be the Series 2022 Lease Revenue Bonds. Page 723 of 901 Page 2 of 2 Throughout the design process for this project, the Complete Streets Ad Hoc (Rodin, Crane) will continue to be engaged. Recommended Action: Award professional services agreement to BKF Engineers in the amount of $308,031 to prepare the plans, specifications, and estimate for the East Perkins Widening Project, and approve corresponding budget amendments. BUDGET AMENDMENT REQUIRED: Yes CURRENT BUDGET AMOUNT: 25200000.90410.18311: $0; 25224220.80230.18308: $0 PROPOSED BUDGET AMOUNT: 25200000.90410.18311: $308,031; 25224220.80230.18308: $308,031 FINANCING SOURCE: Series 2022 Lease Revenue Bonds PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: Tim Eriksen, Director of Public Works / City Engineer Page 724 of 901 CITY OF UKIAH REQUEST FOR PROPOSAL PREPARATION OF PLANS, SPECIFICATIONS & ESTIMATE FOR EAST PERKINS WIDENING PROJECT PROPOSALS DUE NOON, JANUARY 31, 2022 ATTACHMENT 1 Page 725 of 901 1 REQUEST FOR PROPOSAL EAST PERKINS WIDENING PROJECT December, 2021 GENERAL INFORMATION/PROJECT LOCATION The City of Ukiah has a population of 16,075 people and is located approximately 115 miles north of San Francisco, CA on the US Highway 101 corridor. Ukiah is also the retail, government, and medical service hub to an area reaching a 50-mile radius and experiences a daytime service population exceeding 35,000 people. The City of Ukiah will be using internal Capital Improvement funding for utility and street rehabilitation items. The project limits are within the City limits of Ukiah on East Perkins Street from at Main Street to the east approximately 2,470 LF ending at Pomeroy Avenue near US101. (Attachment “A”) The East Perkins Widening Project is a rehabilitation of pavement, widening a section of the road and addition of a new through lane at the Perkins and Orchard Avenue intersection. Elements of this project include: • Construction of asphalt overlay with edge grind on East Perkins from Main Street to Pomeroy Avenue. • Widening of East Perkins on the north side from Orchard Avenue west, approximately 500 LF and on the south side of Perkins from Orchard Avenue east to Pomeroy Avenue through the existing Chevron driveway apron approximately 200 LF. The City has existing ROW at these locations. • Construction of a new storm drain with necessary catch basins on East Perkins from the railroad tracks east to tie into the existing catch basin at the NW corner of Perkins and Orchard. • Construction of a five-foot-wide sidewalk with driveway apron to Chevron on south side of Perkins from Orchard Ave. to Pomeroy Ave. This includes relocation or adjustment of catch basin and utility service boxes per sidewalk widening. • Construction of a five-foot-wide sidewalk on the north side of Perkins from Orchard Ave. to east approximately 500 LF. • Removal and relocation of traffic signal at Northwest and Southeast ramps of Perkins St. and Orchard Ave. • Relocation of four (4) existing street lights behind sidewalk of newly widened sections of Perkins St. as well as any encroaching utility boxes. • New striping plan with added through lane at Orchard Ave. and crosswalks in thermoplastic for project limits. • Address and design any Low Impact Development features as needed per regulations. The City of Ukiah is requesting proposals from qualified firms for the preparation of Plans, Specifications & Estimate for the East Perkins Widening Project. Inspection and construction contract administration are not part of this request for proposal. There are no DBE goals for this project, however, DBE participation is encouraged. SCOPE OF SERVICES The scope of services of this project is the preparation of Plans, Specifications & Estimate for the East Perkins Widening Project. The Consultant’s proposal shall include, but not be limited to, the following: • Coordinate a pre-project kick-off meeting. • Review and evaluate existing documents and data. • Perform a topographic survey, determine location of street and railroad rights-of-way and easements, identify and locate existing street improvements and utilities to be replaced. • Submit Preliminary Plans and cost estimate to the City for review and comment at the 30% stage. Page 726 of 901 2 • After approval of the 30% design phase by the City, the consultant shall begin final design of the project. Scope of work shall include, but not be limited to, the following: pavement rehabilitation, including geotechnical investigation as required, utility/electrical/lighting adjustments, striping, concrete and curb ramp improvements. • Submit design plans, specifications and cost estimate to the City for review and comment at the 60%, and 90% stage. • Prepare a Storm Water Pollution Prevention Plan (SWPPP) for submission to the North Coast Regional Water Quality Control Board for the purpose of obtaining coverage under the General Permit for Discharges of Storm Water Associated with Construction Activity, if the disturbed area of the project is over one acre. Proposal shall provide optional cost for preparation of SWPPP. • Include any Low Impact Development (LID) design requirements as necessary. • Provide encroachment permit with Caltrans for work near the southbound ramp entrance to HWY101. • Receive comments and prepare final plans, specifications and cost estimate for bid purposes. Provide one digital set of plans in both PDF and AutoCAD formats and one digital PDF set of specifications. AutoCAD drawings will be provided to the contractor for the purposes of construction survey. EXISTING DOCUMENTS • Existing Sewer utilities map • Existing Water utilities map • Project limits map • East Perkins Street Electric Underground Plan As-Built • Ukiah Railroad Depot Traffic Study Report (including new through lane at Orchard Ave. concept) SCHEDULE Anticipated completion date, task, and time to complete task: • December 2021 Issue Consultant Request for Proposal • January 31, 2022 Proposals due (approx. 8 weeks) • February 16, 2022 City Council Award Consultant Contract • February 2022 Kick-off meeting • May 2022 Submit draft Conceptual Plan (30%) • August 2022 Submit draft (60%) plans, specifications & estimate (PS&E) • October 2022 Submit draft (90%) PS&E • November 2022 Submit final PS&E The above scope of services and schedule does not preclude the Consultant, based on his or her project understanding and experience, from developing and proposing an alternative approach and schedule for achieving the City’s goal of a timely and successful project completion. CONSULTANT’S PROPOSAL Proposals shall be labeled “East Perkins Widening Project”. Proposals shall be submitted to: pwproposal@cityofukiah.com astricklin@cityofukiah.com Submit (1) one electronic copy. Proposals must be received prior to noon, January 31st, 2022. Proposals shall include as a minimum the following: Page 727 of 901 3 Project approach and schedule Describe the proposed approach and procedures to be used in completing the tasks described in the Scope of Services. Include a proposed schedule showing completion of the various tasks. Cover letter The cover letter should include a brief overview of the specific approach and procedures the firm proposes to complete the tasks described in the Scope of Services. Please explain why the Consultant’s proposal is the best proposal for the City. The cover letter must be signed by an official authorized to bind the successful firm contractually and shall contain a statement to the effect that the proposal is a firm offer for a minimum period of thirty (30) days after the submittal date. The letter accompanying the proposal shall also provide the following: name, title, address, and telephone number of individuals with the authority to negotiate a contract and bind the consultant to the terms of the contract. Project team Describe the qualifications and experience of the firm as related to the project, and the proposed staff to be assigned to this project. Describe the qualifications and experience of any proposed sub-consultants and identify the work they will accomplish. Firms, sub-consultants and proposed staff must demonstrate experience with similar projects. Staff proposed to be in charge of the project must demonstrate significant experience supervising similar work. Describe the proposed team organization, current and previous work assignments, and man-hours budgeted for each team member. Provide the name and brief resume of the individual who will be in responsible charge of the project along with the names and brief resumes of the firm’s staff who will be assigned to the project. Example work product Provide a minimum of one example work product which includes an evaluation with illustration of a project with similar or comparable scope of work. Fee proposal Provide a fee proposal based on an hourly rate schedule with a “not to exceed” maximum cost for all work identified in the Scope of Services. Provide a tabulation of the project staff and number of work hours for each task. Indicate if travel time, mileage, and per diem will be charged. Include any sub-consultant cost. Additionally, please identify miscellaneous costs associated with this proposal. Submit a copy of your firm’s current itemized hourly rate fee schedule. Please submit the fee proposal in a separate email titled “East Perkins Widening Project - Fee Proposal” to Andrew Stricklin at astricklin@cityofukiah.com References Provide a list of similar projects for which the firm has completed similar projects with a list of at least three client references associated with these projects. Include client references for any proposed sub- consultants. Provide names of contact person, addresses and telephone numbers for all client references. Exceptions Identify any exceptions you are proposing with respect to the Scope of Services. Additionally, if there are any exceptions to the City’s insurance requirements and/or the City’s draft professional services agreement as shown in Attachment “C,” the Consultant should list the exceptions in the proposal. INSURANCE REQUIREMENTS The insurance requirements are set forth in Attachment “C”. EVALUATION OF CONSULTANT’S PROPOSAL The following evaluation criteria and maximum points will be used in evaluating and selecting candidates: 1. Understanding of the work to be done. 30 2. Experience with similar kinds of work. 20 3. Quality of staff for work to be done. 20 4. Capability of developing innovative or advanced techniques. 10 Page 728 of 901 4 5. Financial responsibility. 10 6. Demonstrated Technical Ability. 10 SUPPLEMENTAL REFERENCE INFORMATION The following documents are provided for your reference: • Location Map, Attachment “A” • A draft professional services agreement, Attachment “B” • Insurance Requirements, Attachment “C” RIGHT OF REFUSAL The City reserves the right to reject any and all proposals without qualifications. Proposals will be considered only in their entirety. The City reserves the right to negotiate the specific requirements and costs for the East Perkins Widening Project. QUESTIONS Questions shall be directed to: Andrew Stricklin, Associate Engineer (707)463-6297 astricklin@cityofukiah.com Page 729 of 901 CITY OF UKIAH PROPOSAL FOR PREPARATION OF PLANS, SPECIFICATIONS & ESTIMATE FOR EAST PERKINS WIDENING PROJECT JANUARY 31, 2022 ATTACHMENT 2 Page 730 of 901 1 Cover Letter 2 Project Approach and Schedule Scope of Services 3 Project Team Firm Profile List of Similar Projects Subconsultant Team Organization Chart Staffing Plan Team Resumes 4 Example of Work Product 5 Fee Proposal (Sent in a separate email) 6 References Subconsultant References 7 Exceptions TABLE OF CONTENTS Page 731 of 901 BKF ENGINEERS 200 Fourth Street, Suite 300, Santa Rosa, CA 95401 | t. 707.583.8500 01 / COVER LETTER Andrew Stricklin, Associate Engineer January 31, 2022City of Ukiah, Department of Public Works BKF Project No. P20212351300 Seminary AvenueUkiah, CA 95482-5400 Proposal submitted electronically to astricklin@cityofukiah.com and pwproposal@cityofukiah.com SUBJECT: PROPOSAL FOR THE PREPARATION OF PLANS, SPECIFICATIONS & ESTIMATE FOR EAST PERKINS WIDENING PROJECT Dear Andrew: East Perkins Street is a flurry of activity! After just a quick exit off of the nearby US 101, the laid-back North Coast vibe quickly changes to one of more energy, and unfortunately, more traffic… East Perkins Street, particularly at the Orchard Avenue intersection, needs a strategic widening to add a new through lane to the intersection to reduce peak hour queuing. In addition to the widening, this busy area is also primed for additional improvements to paint the complete road revitalization picture, such as pavement rehabilitation, striping modifications and enhancements, and accessible curb ramps. While each project is truly unique, many contain the same core building blocks. We’ve stacked these blocks in creative and effective ways, creating a history of successfully projects over the last several years. We have a portfolio of satisfied municipal clients, as evidenced by our lasting relationships with public agencies and collection of successful public works projects. Most recently, we worked closely with County of Marin staff to design the improvements for the Sir Francis Drake Boulevard Corridor Rehabilitation project. The project, which included pavement rehabilitation, curb ramp upgrades, bike lane striping, and water main replacement, was recently completed under budget and ahead of schedule, with no significant design changes or change orders needed. The project has been such a success that County staff have applied for an American Public Works Association (APWA) award for this project. Our team has also recently completed the design for the Mendocino Avenue Sewer Rehabilitation project in the City of Santa Rosa, one of many projects we have previously completed with the City. This project included the use of a trenchless slip-lining technology to address concerns with an aging and deteriorating sewer main. This unique approach avoids significant ground and traffic disturbances, while also limiting downtime to the sewer main in this largely commercial area of the City. BKF is currently working with the City of Petaluma, also a repeat client, for the rehabilitation of the busy North McDowell Corridor. This project, which is still in design, contains many of the same project components and considerations as does the Main Street project, including pavement rehabilitation and curb ramps. BKF has teamed with LACO Associates (LACO), a local firm, to provide geotechnical support. LACO will be conducting geotechnical borings and will prepare a geotechnical investigation report with pavement and soil preparation recommendations. Additionally, W-Trans, a local leader in transportation design, and the designers of the Gobbi Street and Waugh Lane Signal Modification project, will be preparing the signal design and street light relocation drawings. Planting and irrigation design will be completed by Integra Landscape Architecture, with a focus on special planting suitable for Low Impact Development (LID) facilities. We have worked together on similar projects, and each bring relevant past project experience to the team. We have also offered within our proposal an optional task for underground utility locating services, which BKF can complete in-house, as well as SWPPP preparation and Construction Administration Support, should these services be needed. This proposal is a firm offer that is valid for thirty (30) days following today’s date. Page 732 of 901 01 / COVER LETTER Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 2 BKF understands that the City of Ukiah currently has three projects issued with Requests For Proposals (RFP) which may have overlapping design schedules. Pursuant to the RFP, the enclosed proposal has been prepared for this single, individual project. However, during our preparation of our proposal, we have seen that there are great opportunities to realize significant efficiencies in both schedule and level of effort if multiple projects were designed concurrently by our office. We would welcome the opportunity to demonstrate how we can improve the schedule and overall soft costs of each project by offering our services on all three. Please feel free to contact us accordingly if this is of interest to the City. We are excited to have the opportunity to be the team that helps the City realize the new improvements needed on this key roadway. We appreciate your consideration of our proposal and look forward to continuing our relationship with the City. As Vice President, I have the authority to bind the firm to the terms of this proposal. If you have any questions, please contact me at 707.583.8515 or by email at jkirchmann@bkf.com. Sincerely,BKF ENGINEERS Jason Kirchmann, PE, PLS, QSD/P Becky Dower, PE, QSD/P (Main Point of Contact) Vice President Project Managert. 707.583.8515 t. 707.583.8536jkirchmann@bkf.com bdower@bkf.com AUTHORITY TO NEGOTIATE CONTRACT Name: Jason Kirchmann Title: Vice President Address: 200 4th Street, Ste. 300Santa Rosa, CA 95401 Telephone: 707.583.8515 Page 733 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 3 I. PROJECT APPROACH It is our understanding that the City of Ukiah, using Measure Y funds, intends for the East Perkins Widening Project to be a revitalization of Perkins Street from Main Street to Pomeroy Avenue with improvements intended to restart the pavement design life and polish off the corridor following the recent completion of the overhead undergrounding project. While the entire project corridor spans approximately 2,470 linear feet in length, most of the desired improvements are centered around the East Perkins Street and South Orchard Avenue intersection, adjacent to the 101 interchange. The improvements at this location are to support a new vehicle lane through the intersection; including widening on the north side and south side of East Perkins Street, along with the associated hardscape (new 5-foot sidewalk) and utility improvements (including new storm drain, street light relocation, and traffic signal relocation). We have reviewed pertinent sections of the Route 101 Corridor Interchange Study in Mendocino County (Ukiah Area) report prepared in 2005 by TJKM to gain a better understanding of the traffic flow challenges at and new the East Perkins Street and Orchard Avenue Intersection. While we understand the modifications to the northbound offramp are not contemplated with this project, we do see opportunities to construct our project in a way that will dovetail easiliy into the future anticipated ramp configuration. Our exhibit shown above illustrates our understanding of the geometry layout and striping design that will be needed to address the immediate needs of the intersection. However, we have identified additional key design components and unique challenges that we expect to encounter along the rest of the project corridor: TRAFFIC SIGNAL TRANSITION WHILE MINIMIZING IMPACTS TO TRAFFICTo gain an understanding of the existing signal underground infrastructure, W-Trans will utilize their advanced underground conduit camera to determine the condition and location of existing conduits to assess the ability to modify the existing system with new conductors. Understanding the ability to reuse the existing conductors can not only potentially save construction costs, but can limit the amount of ground disturbing (and traffic disturbing) work that will need to occur at the intersection. We have noted that the electrical service cabinet for th signal is located in the northeast corner of the intersection, where no widening is proposed. As such, we are not expecting to need to relocate this cabinet nor coordinate with PG&E. Both the potential conduit and electrical service cabinet reuse will allow us to keep the existing signal operational while the new poles are erected. With the exception of a short-duration tie-in of the new poles to the existing infrastructure, we expect traffic operations to be minimally impacted by the installation of the new signals. Accessible Curb Ramp Design: BKF will identify a proposed new configuration for each of the 10 new curb ramps to be replaced. At this time, we are expecting that many of the ramps to be replaced will not be able to be constructed in accordance with the City of Ukiah’s standard Curb Ramp detail, due to apparent limitation in Page 734 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 4 the available right-of-way. Use of the Caltrans Standard Modified Case C Ramp will be investigated as a potential ramp option for locations with limited right-of-way. Our review of the project site and available right-of-way mapping have led us to understand that the pedestrian curb ramp improvements at the East Perkins Street and Mason Street intersection and the East Perkins Street and Leslie Street intersection will require creative layout solutions. BKF will leverage our on-staff ADA Certified Access Specialist (CASp) for support, as needed, when dealing with challenging ramps such as these. Ramps and crossing improvements will be designed to maintain a consistent “look and feel” to the improvements currently being design and constructed for the Downtown Streetscape Improvement Projects. Pavement Rehabilitation: According to the City of Ukiah Pavement Condition Index (PCI) map, East Perkins Street is in Category I – Very Good condition, as indicated by the green color. However, as we observed during our visit to the project site, the roadway is lined with trenching patches from previous utility projects and needs a surface treatment to seal and secure the driving surface from water intrusion. UKIAH PCI MAP Geotechnical boring information and traffic index data will be used to inform the design of a pavement rehabilitation approach. Pavement techniques are expected to include a grind and overlay, and potential for dig-outs or trench re-compaction efforts at limited locations. BKF will present the pavement rehabilitation options to the City and will work with City staff to identify the preferred rehabilitation techniques in order to achieve the intended result while offering opportunities for cost savings by incorporating less intensive restoration where suitable. Pedestrian Crossing Enhancements at Mason Street, Leslie Street, and Warren Drive: BKF will coordinate layout and prepare design for a new, enhanced pedestrian crossing near the unsignalized intersections of East Perkins Street and Mason Street, East Perkins Street and Leslie Street, and East Perkins Street and Warren Drive. All of these three-leg intersections are currently striped with a crosswalk over East Perkins Street. To enhance pedestrian safety, BKF will to investigate striping and signage improvements that can be employed to increase visibility and awareness of the pedestrian crossings. Limited Hardscape Improvements: It is our understanding that the City is not looking to replace sidewalk, curb, and gutter with this project, with the exception of the new sidewalk installation noted near the intersection of East Perkins Street and South Orchard Avenue. Based on our familiarity with the corridor, we know that there are some sections of curb and gutter that are in poor condition. For project longevity and “curb appeal”, we would recommend to the City that replacement of curb and gutter in selected and limited areas be considered as part of this project. Page 735 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 5 Low Impact Development (LID): Based on our review of the project site, we believe that the new improvements will trigger compliance with the State Water Resources Control Board (SWRCB) Phase 1 MS4 permit. The City of Ukiah, like many jurisdictions, has elected to follow the guidance spelled out in the City of Santa Rosa Low Impact Development Technical Design Manual (LID Manual) to illustrate compliance with the MS4 permit. BKF is very familiar with the LID Manual – we quite literally helped to write the book! Our Quality Control Manager, Geoff Coleman, was a contributing author for the LID Manual and provides on-going mentoring to BKF staff on the in, outs, whys, and why nots associated with LID implementation. We are familiar with incorporating LID features into existing roadway corridors and understand the significant cost impact and construction impact these features can have if not appropriately planned for. II. SCHEDULE A detailed project schedule for all phases of the project is provided on the following three pages. We understand the desire to have bid-ready documents by the fall of 2022, setting the stage for project construction in early 2023. As you will see on our graphical schedule, complete the PS&E package for bidding can be easily accommodated within this timeframe. Receiving an Encroachment Permit from Caltrans, however, might not fall in place as quickly. The Caltrans Encroachment Permit process will be critical path on this project. Our schedule and our scope plan on addressing this critical-path item shortly after the commencement of work towards the 60% design milestone. Several rounds of review through Caltrans is expected, at best, and with often long delays in waiting for plan review comments, we feel it is most efficient to get the Encroachment Permit materials submitted to Caltrans sooner than later, as we have found it to be often the case that the project may be poised for bidding before receiving an approved Encroachment Permit. We are familiar and comfortable with developing specification language that will alert the contractor to the situation around the pending permit and the anticipated “additional permit provisions”, such as the Notice of Materials to be Used documentation and required pre-job meeting. Page 736 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 6 02 / PROJECT APPROACH AND SCHEDULE ID Task Mode Task Name Duration Start Finish 1 Project Management 38.2 wks Mon 2/28/22 Mon 11/21/22 2 Project Management 191 days Mon 2/28/22 Mon 11/21/22 3 Project Kick-Off Meeting 1 day Mon 3/7/22 Mon 3/7/22 4 Data Collection 30 days Mon 3/7/22 Fri 4/15/22 5 Record Data Collection and Field Review 6 wks Mon 3/7/22 Fri 4/15/22 6 Public Utilities Coordination 4 wks Mon 3/7/22 Fri 4/1/22 7 Topographic Survey 6 wks Mon 3/7/22 Fri 4/15/22 8 Geotechnical Investigation 4 wks Mon 3/14/22 Fri 4/8/22 9 30% Design 46 days Mon 3/28/22 Mon 5/30/22 10 Design Drawings/Coordination 5 wks Mon 3/28/22 Fri 4/29/22 11 Calculations 5 wks Mon 3/28/22 Fri 4/29/22 12 Specifications and Estimate 2 wks Mon 4/18/22 Fri 4/29/22 13 30% QA/QC Review 1 wk Mon 5/2/22 Fri 5/6/22 14 30% Design Package to City 0 days Fri 5/13/22 Fri 5/13/22 15 City Review of 30% Design Package 2 wks Mon 5/16/22 Fri 5/27/22 16 Progress Review Meeting 1 day Mon 5/30/22 Mon 5/30/22 17 60% Design 61 days Fri 6/3/22 Fri 8/26/22 18 Site Walk 1 day Fri 6/3/22 Fri 6/3/22 19 Design Drawings/Coordination 8 wks Mon 6/6/22 Fri 7/29/22 20 Calculations 8 wks Mon 6/6/22 Fri 7/29/22 Project Management Project Management Project Kick-Off Meeting Data Collection Record Data Collection and Field Review Public Utilities Coordination Topographic Survey Geotechnical Investigation 30% Design Design Drawings/Coordination Calculations Specifications and Estimate 30% QA/QC Review 5/13 City Review of 30% Design Package Progress Review Meeting 60% Design Site Walk Design Drawings/Coordination Calculations Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 1st Quarter Task Split Milestone Summary Project Summary Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only External Tasks External Milestone Deadline Progress Manual Progress Page 1 East Perkins Widening ProjectBKF No. P212351Project Schedule Page 737 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 7 02 / PROJECT APPROACH AND SCHEDULE ID Task Mode Task Name Duration Start Finish 21 Specifications and Estimate 1 wk Mon 7/25/22 Fri 7/29/22 22 60% QA/QC Review 1 wk Mon 8/1/22 Fri 8/5/22 23 60% Design Package to City 0 days Fri 8/12/22 Fri 8/12/22 24 City Review of 60% Design Package 2 wks Mon 8/15/22 Fri 8/26/22 25 Progress Review Meeting 1 day Fri 8/26/22 Fri 8/26/22 26 Caltrans Encroachment Permit 134 days Mon 6/20/22 Fri 12/23/22 27 Right-of-Way Improvement Drawings 4 wks Mon 6/20/22 Fri 7/15/22 28 Permit Application Preparation 4 wks Mon 6/20/22 Fri 7/15/22 29 1st Encroachment Permit Submittal 0 days Fri 7/15/22 Fri 7/15/22 30 Caltrans Review Period 30 days Mon 7/18/22 Fri 8/26/22 31 Response to Comments 10 days Mon 8/29/22 Fri 9/9/22 32 2nd Encroachment Permit Submittal 0 days Fri 9/9/22 Fri 9/9/22 33 Caltrans Review Period 30 days Mon 9/12/22 Fri 10/21/22 34 Response to Comments 10 days Mon 10/24/22 Fri 11/4/22 35 3rd Encroachment Permit Submittal 0 days Fri 11/4/22 Fri 11/4/22 36 Anticapated Encroachment Permit Approval 0 days Fri 12/23/22 Fri 12/23/22 37 90% Design 45 days Mon 8/29/22 Fri 10/28/22 38 Design Drawings/Coordination 4 wks Mon 8/29/22 Fri 9/23/22 39 Calculations 4 wks Mon 8/29/22 Fri 9/23/22 40 Specifications and Estimate 2 wks Mon 9/12/22 Fri 9/23/22 Specifications and Estimate 60% QA/QC Review 8/12 City Review of 60% Design Package Progress Review Meeting Caltrans Encroachment Permit Right-of-Way Improvement Drawings Permit Application Preparation 7/15 Caltrans Review Period Response to Comments 9/9 Caltrans Review Period Response to Comments 11/4 12/23 90% Design Design Drawings/Coordination Calculations Specifications and Estimate Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 1st Quarter Task Split Milestone Summary Project Summary Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only External Tasks External Milestone Deadline Progress Manual Progress Page 2 East Perkins Widening ProjectBKF No. P212351Project Schedule Page 738 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 8 02 / PROJECT APPROACH AND SCHEDULE ID Task Mode Task Name Duration Start Finish 41 90% QA/QC Review 1 wk Mon 9/26/22 Fri 9/30/22 42 90% Design Package to City 0 days Fri 10/7/22 Fri 10/7/22 43 City Review of 90% Design Package 2 wks Mon 10/10/22 Fri 10/21/22 44 Progress Review Meeting 1 day Fri 10/28/22 Fri 10/28/22 45 SWPPP 4 wks Mon 10/10/22 Fri 11/4/22 46 SWPPP and PRD Preparation 4 wks Mon 10/10/22 Fri 11/4/22 47 Final PS&E 16 days Mon 10/31/22 Mon 11/21/22 48 Design Drawings/Coordination 2 wks Mon 10/31/22 Fri 11/11/22 49 Calculations 2 wks Mon 10/31/22 Fri 11/11/22 50 Specifications and Estimate 2 wks Mon 10/31/22 Fri 11/11/22 51 Final QA/QC Review 1 wk Mon 11/14/22 Fri 11/18/22 52 Final Design Package to City for Bidding 0 days Mon 11/21/22 Mon 11/21/22 53 54 55 56 57 58 59 60 90% QA/QC Review 10/7 City Review of 90% Design Package Progress Review Meeting SWPPP SWPPP and PRD Preparation Final PS&E Design Drawings/Coordination Calculations Specifications and Estimate Final QA/QC Review 11/21 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 1st Quarter Task Split Milestone Summary Project Summary Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only External Tasks External Milestone Deadline Progress Manual Progress Page 3 East Perkins Widening ProjectBKF No. P212351Project Schedule Page 739 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 9 SCOPE OF SERVICES TASK 1: PROJECT MANAGEMENT Project Management: BKF will provide general project management and consultant oversight services including defining and tracking tasks, status updates, general coordination, and preparation of a detailed schedule showing planned milestones and deliverables to be achieved for completion of the project. BKF will also track the budget and issue monthly invoices. Project Kick-Off Meeting: BKF will schedule regular progress meeting to discuss the status of the project, upcoming efforts, issues, coordination items, and other relevant information. Agendas, action logs, updated project schedules, and meeting minutes will be prepared and distributed. We will also maintain frequent and timely communication with City staff throughout the duration of the project. Routine Status Update Meetings: BKF will schedule regular progress meeting to discuss the status of the project, upcoming efforts, issues, coordination items, and other relevant information. Agendas, action logs, updated project schedules, and meeting minutes will be prepared and distributed. We will also maintain frequent and timely communication with City staff throughout the duration of the project. Quality Assurance/Quality Control (QA/QC): BKF will perform quality control checks for each submittal in accordance with BKF’s Quality Manual prior to submitting to City. BKF’s Quality Control Manger will review both in-house and subconsultant work at each phase of the project to ensure quality and contract compliance. All plan review comments are documented and formally responded to the form of a comment response letter and/or comment response markups. A copy of BKF’s full Quality Manual can be provided upon request. Deliverables: • Schedule Updates• Invoices• Progress Report • Updated Action Log• Meeting Agendas and Minutes• Plan Review Response Documents TASK 2: DATA COLLECTION Record Data Collection and Field Review: BKF will research and collect available records from the City, Mendocino County, and the public utilities to obtain property line, utility data, geotechnical information and traffic information. BKF will take notes of any potential public/private conflicts within rights-of-way. While BKF understand that it is the City’s intent to construct the project within existing public rights-of-way, should a conflict occur, BKF will address the need for easements. Public Utilities Coordination: Older streets often times have shallow utilities which may conflict with full depth replacement paving or other designs implemented with this project. Additionally, in order to prolong the finished streets lifespan, it is important to coordinate any planned utility projects prior to final paving. We understand that PG&E and AT&T will be undergrounding their existing overhead facilities prior to the start of construction for this project. BKF will communication with PG&E, Comcast, AT&T, and the City of Ukiah Public Works Utilities Division to understand the location of the existing and future utilities and to coordinate relocations and potential upgrades to their facilities, if needed. Topographic Survey: In an effort to be efficient with our services and provide data only to the accuracy needed in specific locations, BKF will utilize multiple survey tools to survey the project corridor. We will leverage our Unmanned Aerial Vehicle (UAV, also known as a drone), with integrated real time kinematic GPS to perform a flight of the corridor. The UAV data will be adjusted to survey control set by BKF throughout the project area to generate ortho-rectified aerial photos and aerial survey accuracy topographic information. BKF’s field crews will supplement the UAV survey data with typical cross sections of the boulevard at critical locations and higher Page 740 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 10 density topographic spot data where bulb-outs or curb ramps are anticipated. We will reserve some additional survey time to come back and densify the topography as needed in critical areas such as sidewalk gap closures or unique street designs. By reserving some time to come back and densify the topography, we have an opportunity to let the design drive the survey efforts so that we are not wasting time surveying features which may not require survey grade accuracy. The topographic mapping approach described herein will generate a base map for the entire project. The base maps will include topographic and utility information encountered during the course of the survey and as provided by the City. Our understanding is that the City expects the project will be constructed within previously established City right-of-way. However, if required, BKF can perform a right-of-way survey of the City owned property rights and adjoining private properties. Please refer to optional services for right-of-way surveying services. Formal boundary determination and a record of survey are not included, but can be provided as an additional service. BKF will complete field surveys along the roadway, acquiring cross sections at 25 foot intervals. BKF will create base maps including topographic, utility, and boundary information that will be based on existing as-builts, right-of-way and easement maps as provided by the City. Base maps will include topographic features and fixed works such as grade breaks, drainage swales, striping, edge of pavements, concrete, trees 12-inches in diameter and larger, bridge abutments, utility poles and other utility structures. Underground utilities will be shown based on observed surface information and as-built drawings provided by the City. “Dips” of gravity utility structures and subsurface exploration or detection of underground locating of utilities is not included in this scope of services, but can be provided as an additional service if requested. Geotechnical Investigation: A site investigation and report prepared by a geotechnical engineer is highly recommended for paving rehabilitation projects with complex existing conditions and several potential solutions. BKF, through our subconsultant, LACO, will prepare geotechnical report that will support project designs. To complete this exploration, we will leverage our past work in the area and the resulting knowledge of Ukiah’s unique geologic framework to minimize the level of effort in completing the following investigative tasks: -Review local geologic reports, maps, and information in LACO’s database to determine anticipated site geology -Install 10-14 borings to a depth of 5 feet and up to 2 borings to a depth of 15 feet to describe site soils, gauge soil density, and collect samples for analysis of engineering properties. Our professional staff will work with project designers to develop the appropriate testing program for the conditions and project needs. Testing parameters will include R-values and compaction curves to support pavement design and later testing and inspections during construction -Perform laboratory analyses to determine properties critical to the successful completion of the project As part of our planning for this field exploration, we will work with the City of Ukiah to obtain encroachment permits and determine traffic control plans as required. Following completion of this field scope, LACO will summarize our findings a report that will include an evaluation of geohazards and geotechnical considerations, coordinating closely with the project design team to ensure that we provide advice that best meets the needs of the project. Deliverables: • Base Map including Topography, Boundary, and Utility Information• Geotechnical Investigation Report TASK 3: 30% DESIGN Under this task, BKF will develop a 30% design package. We are familiar with the City of Ukiah Standard Plans and Notes, and are anticipating that these standards will be used as the basis for our design. BKF will coordinate with the City and verify that the proposed plan conforms to existing conditions, boundary, and site constraints. BKF will verify, based on the available record information, if there are any identifiable conflicts between proposed and existing improvements or any conflicts with the existing Right-of-Way limits. This task will also include time for a preliminary hydraulic and hydrology analysis to size the new section of storm drain. At this stage, we will also Page 741 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 11 assess the potential need to incorporate Low Impact Development (LID) features, based on the amount of new or replaced impervious surface. To develop the 30% design package, BKF will prepare design development and coordination documents to provide ideas and solicit feedback from the City. These documents may include brief written memos describing pavement rehabilitation approaches, preliminary cost estimates, and conceptual layout exhibits. To ensure that the project scope meets the City’s objectives while staying within the available construction budget, we recommend that weekly or biweekly check-in meetings be held to help define the scope of the project during this task. BKF has budgeted for up to twenty four (24) hours of combined staff time to attend meetings and participate in conference calls during this phase. Drawings: We will prepare the following drawings: -Civil Cover Sheet (1 sheet) -Typical Roadway Sections (3 sheets) -Grading Plan (5 sheets at 20 scale) -Curb Ramp Grading Details (5 sheets at 10 scale) -Paving and Striping Plan (5 sheets at 20 scale) -Traffic Signal Plan (1 sheet) -Planting Plan (2 sheets at 20 scale) We will prepare the following supporting documents: -Preliminary LID sizing calculations -Preliminary engineers estimate of probable construction costs -Outline of technical specifications Deliverables: • Preliminary (30%) Design Drawings• Preliminary (30%) Engineer’s Estimate of Probable Construction Costs TASK 4: 60% DESIGN Due to the nature of these improvements, it would be important to schedule a site visit with City staff to “ground truth” the improvements illustrated on the 30% design drawings. Following the site visit, BKF will continue to coordinate with the City and our subconsultant to expand our design packages, including the development of pavement design calculations and the preparation of a preliminary Storm Water Low Impact Development Submittal (SWLIDS) in accordance with the City of Santa Rosa Low Impact Development Technical Design Memorandum. Drawings: We will prepare the following drawings: -Civil Cover Sheet (1 sheet) -Notes & Legend (1 sheet) -Typical Roadway Sections (3 sheets) -Demolition Plan (5 sheets at 20 scale) -Grading Plan (5 sheets at 20 scale) -Curb Ramp Grading Details (5 sheets at 10 scale) -Paving Plan (5 sheets at 20 scale) -Striping and Signage Plan (5 sheets at 20 scale) -Traffic Signal Plan (1 sheet) -Signal Equipment Schedule (1 sheet) -Lighting Plan (2 sheets) -Planting Plan (2 sheets at 20 scale) -Irrigation Plan (2 sheets at 20 scale) -Sedimentation and Erosion Control Plan (5 sheets at 20 scale) -Construction Details (2 sheets) Page 742 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 12 We will prepare the following supporting documents: -Pavement design calculations -Preliminary SWLIDS calculations and report -MWELO and Cal-GREEN design calculations -Engineers estimate of probable construction costs -Technical specifications Deliverables: • Draft (60%) Design Drawings• Draft (60%) Technical Specifications• Draft (60%) Engineer’s Estimate of Probable Construction Costs• Draft (60%) Pavement Design Calculations• Preliminary SWLIDS TASK 5: 90% DESIGN Based on the comments received on the 60% design submittal, BKF will advance the design of the paving, hardscape, signal, and utility improvements. During this task, we will layer in additional detail to the design and continue in-depth coordination with the City. It is assumed that the City will develop the Construction Agreement and will identify the forms that will be required as part of the bid and contract process. In additional to the drawings, final calculations, engineer’s estimate of probable construction costs, technical specifications will be prepared and provided. BKF has budgeted for up to sixteen (16) hours of combined staff time to attend meetings and participate in conference calls during this phase. Deliverables: • Final (100%) Design Drawings • Final (100%) Technical Specifications• Final (100%) Pavement Design Calculations• Final (100%) Engineer’s Estimate of Probable Construction Costs TASK 6: CALTRANS ENCROACHMENT PERMIT We understand that a portion of the project will fall within the Caltrans Right-of-Way which will require a separate parallel application and review process outside of the City for an encroachment permit from Caltrans. It is assumed that the City will be the applicant for the Caltrans Encroachment Permit. Due to the timeline typically associated with Caltrans encroachment permits, we expect to start this work prior to the completion of the 90% Design task described above. BKF will provide the following services: 1. Caltrans Encroachment Permit Application and Coordination: BKF will provide application support to the City in order to submit the necessary documentation for application review and permitting by Caltrans. BKF will coordinate with the City and Caltrans regarding the necessary deliverables for agency approval.2. Caltrans Right-of-Way Improvement Drawings: BKF will prepare a single set of stand-alone Caltrans Right-of-Way Improvement Drawings formatted for an encroachment permit submittal to the Caltrans Office of Encroachment Permits. BKF will also prepare Caltrans BMP “DPP-1” checklist which is typically required by Caltrans to accompany encroachment permit submittals.3. Response to Caltrans Comments: BKF will revise the drawings based on Caltrans comments and re-submit for review. It is our recent experience with Caltrans that the Office of Encroachment Permits’ plan check comments have a high degree of variability and a number of supporting documents are often requested including but not limited to Fact Sheet Memos for Mandatory/Advisory Design Exceptions, Storm Water Data Checklists, Drainage Memoranda, Utility Policy Exceptions, Project Schedules, etc. We will coordinate with the City to provide these items as they are requested by Caltrans and have allocated fee for up to three (3) re-submittals. Page 743 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 13 TASK 7: FINAL PS&E It is our understanding that these documents will be used by the City to perform the bidding process; as such the documents will be detailed to the level required by the contractor to bid and construct. BKF will finalize the plans, specifications, and engineer’s estimate of probable construction costs (collectively known as PS&E) based on final review comments from the City. Deliverables: • Final Signed/Sealed Drawings for Construction• Final Signed/Sealed Technical Specifications• Final Signed/Sealed Engineer’s Estimate of Probable Construction Costs• Digital (PDF and AutoCAD) Copy of the Drawings for Construction• Digital (PDF) Copy of the Technical Specifications• Digital (Excel) Copy of the Engineer’s Estimate OPTIONAL TASK 1: RIGHT-OF-WAY, BOUNDARY AND RECORD OF SURVEY If requested or if during the course of BKF’s survey, it appears that section 8762 of the California Professional Land Surveyor’s Act will be triggered, requiring a Record of Survey, BKF will notify the City and discuss the right of way mapping options. Once this occurs, BKF can provide boundary surveying to resolve right of way and easement locations based on title reports provided to BKF by the City. Should right-of-way or easement acquisitions be required, BKF will prepare legal descriptions and plat to accompany the offers made to private property owners. Upon completion of the boundary survey, BKF will file a Record of Survey with the Mendocino County Surveyor to fulfill our legal and professional obligations OPTIONAL TASK 2: SWPPP BKF will provide Qualified SWPPP Developer (QSD) services in compliance with the Construction General Permit Order 2009-0009-DWQ as amended by Order 2010-0014-DWQ, administered by the State Water Resources Control Board (SWRCB). We will provide support services to the owner’s Legally Responsible Person (LRP) to submit Permit Registration Documents (PRDs) to the State’s online Storm Water Multiple Application and Report Tracking System (SMARTS) program website. Is it assumed that the contractor will provide QSP services for the project including implementation of the SWPPP document. OPTIONAL TASK 3: UNDERGROUND UTILITY LOCATING SERVICES If requested, BKF will provide underground utility detection services in the same area of the proposed topographic survey. BKF will perform utility investigation services using industry acceptable methods to determine the approximate horizontal position and count of existing utilities on the subject site (except irrigation, typical). BKF’s field crews will use a combination of water-based paint or marking chalk or pin flags (in the appropriate APWA color) to mark the results of our investigation on the ground surface. BKF will compare available utility record information (supplied by City) with the results of field investigation services to consolidate field evidence and record documentation. Utilities not identifiable by BKF’s field crews due to lack of utility record information or above ground appurtenances will be marked with pink paint on the ground surface and annotated as “Unknown” on the project deliverables. Once the utilities have been marked, BKF will survey the locations of the utilities and add them to the base drawing. BKF will utilize the projects’ horizontal and vertical coordinate system so as to keep the utility data on the same coordinate system as the surveying files. BKF will make a reasonable effort to locate and map underground utilities, however, given the current technological limitations of the locating equipment, a guarantee as to all utilities cannot be made. OPTIONAL TASK 4: BID AND CONSTRUCTION PHASE SUPPORT SERVICES BKF can provide bid and construction phase support services. Scope and fee can be provided upon request and would be executed as an amendment to the Professional Consulting Services Agreement. Bid Support Services: BKF can assist the City during the construction bid solicitation process on an as-needed basis. Bid support services can include the following: Page 744 of 901 02 / PROJECT APPROACH AND SCHEDULE Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 14 a. Responding to RFI during the bid processb. Assisting the City with issuing bid addendum packagesc. Summarizing and tabulating received bids Construction Support Services: BKF will allocated time to support the contractor and design team during the construction phase of the project. Anticipated services include written response to requests for information, review of submittals, and drawing revisions as needed. Preparation of record drawings based on the contractor’s as-builts can also be provided as part of this service. Construction Meetings: BKF can attend site meetings with the contractor during the construction process. Anticipated meetings include the following:a. Pre-construction meetingb. Three (3) interim site visitsc. Final punch-list walkd. Additional meetings as determined necessary by the City OPTIONAL TASK 5: CALTRANS TRAFFIC CONTROL PLAN In the event that Caltrans requires a traffic control plan be prepared prior to issuance of the Encroachment Permit, BKF can prepare this plan to illustrate the traffic handling and detour needed to minimize impacts to the adjacent Highway 101 ramps and freeway. Page 745 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 15 FIRM PROFILE SERVICES -Civil Engineering -Surveying -Planning -Transportation -Water Resources -Sustainability -Construction Management -Utility Locating Since 1915, BKF Engineers earned a reputation for its ability to successfully plan, design, survey, and implement complex projects. We draw upon and utilize our experience diligently guiding projects from the initial due diligence and feasibility stages, progressing project designs and agency approvals, and concluding with construction and implementation. This proven approach recognizes that developing dynamic projects is informed by focused team collaboration, mitigating physical constraints and potential risks, and balancing designs goals with value engineering solutions. BKF’s involvement in public works, roadway, and right-of-way engineering projects began in 1962. Since that time, BKF has built a reputation on its ability to manage, design, and process civic projects for public sector clients. BKF’s success stems from our ability to understand the complex elements of reconstruction and in-fill work that is predominant throughout the North Bay and beyond. BKF has often been intentionally selected to manage and deliver the most demanding projects on schedule and within budget. These projects typically involve environmental constraints, multi-jurisdiction approvals, management of large project teams, and complex implementation. Eighty percent of our transportation projects involve Caltrans to some extent. This experience demonstrates our firm’s comprehensive knowledge of developing, processing, and delivering improvement plans and bid documents that adhere to State standard plans, specifications, and design manuals. BKF has produced numerous projects involving various levels of complexity and requiring a range of documents for funding applications, project approval, environmental clearance, and construction. Since we are based in the North Bay, BKF can immediately mobilize to meet the demands of the proposed project on very short notice. All the staff proposed have the availability to perform the tasks for which they have been assigned to ensure that this project is delivered in a timely fashion. BKF Engineers Santa Rosa Redwood City San Jose Walnut Creek Pleasanton Sacramento Oakland San Francisco San Rafael Modesto Richmond Salinas Newport Beach San Diego San Luis Obispo Portland, OR OFFICE LOCATIONS FINANCIAL RESPONSIBILITY BKF has 100 years of being financially conservative and is in excellent financial condition. We have been audited by several public agencies and have always been found in compliance with generally accepted accounting practices. Page 746 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 16 Employing internal controls that balances diligence, technical innovation, precision, and efficiency. Our dedicated team of licensed professional, surveying experts, and experienced field crews specialize in a diverse portfolio of services, including geodetic and photo control, right-of-way and ALTA surveys, topographic and utility surveying, boundary resolution and mapping construction surveys, and BIM integration. SURVEYING To balance increasing regulatory and operational demands with active risk and cost management, BKF assists clients with customized monitoring programs, including automated electronic sensors, data acquisition software, and data transmission and analysis. BKF’s customized automated monitoring programs replace traditional settlement monitoring processes, work within project constraints, and reduce costs by utilizing a network of integrated hardware and software to accurately measure and transmit sensor data securely. AUTOMATED MONITORINGProtecting local and district scale water and ecological environments is critical to preserving the natural environments within our communities and ensuring compliance with permitting regulations. BKF has over 40 trained and certified SWPPP Developers and Practitioners on staff who regularly provide both Stormwater Pollution Prevention Plan (SWPPP) development and inspection services throughout California. SWPPP DEVELOPMENT/IMPLEMENTATION BKF coordinates and delivers specialized utility locating by employing the latest technology in electromagnetic induction (EMI), magnetometers, and ground penetrating radar (GPR). Aiding our engineers and surveyors in delivering a more complete product, our in-house team identifies and locates existing subsurface utility infrastructure to mitigate conflicts and obstructions during design and construction. UTILITY LOCATING BKF provides project and construction management services. Our experienced team collaborates with our clients to implement quality managerial oversight of preconstruction; proactively identify potential constraints, and create a roadmap to successfully navigate processes for successful project completion. Our team unites planning, engineering fundamentals, and project management procedures to deliver projects that proactively and economically address clients’ goals. CONSTRUCTION MANAGEMENT BKF’s sustainability commitment is fundamental to improving our local communities. Our environmentally conscious designs demonstrate creative strategies and solutions that have a lasting impact on the future performance of these immersive and transformative environments. Our team continually finds innovative ways to integrate sustainable designs while thoughtfully considering long-term maintenance, site constraints, budgets, and schedules. SUSTAINABILITY BKF specializes in end-to-end solutions for the management of dynamic utility infrastructure. Our breadth of experience includes master planning and modeling, detailed design, sustainable infrastructure consulting, and construction management and administration. Navigating complex project issues, including client needs, regulations compliance, finances, utility conflicts, and permitting. WATER RESOURCES To implement BIM and Civil 3D integration, BKF subscribes to Autodesk’s Full AEC Infrastructure Design Suite and utilizes the latest version of REVIT software in our designs. BKF specializes in BIM modeling to integrate AutoCAD and Revit 3D models of civil designs holistically with the work products from multi-disciplinary design teams. BIM Through the use of leading industry technology, such as Leica’s HDS Scanner, BKF collects high resolution point cloud data at up to 1,000,000 points per second. The detailed data gathered enables the creation of 3-dimensional models of projects, including as-built surveys, quality assurance/quality control, topographical site surveys, roadway and highway surveys, ADA surveys, buildings, bridges, striping, and utility plants. 3D SCANNING ADDITIONAL SERVICES Page 747 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 17 -Sir Francis Drake Boulevard Rehabilitation, Marin County -Calistoga City Street Rehabilitation, Calistoga -Francisco Boulevard, San Rafael -2021 Road Rehabilitation Project, Corte Madera -Miller Avenue Streetscape Improvements, Mill Valley -Downtown Streetscape Improvements, Healdsburg -Lincoln Boulevard Improvements, Lincoln -Laurel Grove Safe Pathways to School II, Ross -Smith Ranch Road and Lucas Valley Road Resurfacing, San Rafael -Third Street Improvement Project, San Rafael -Conde Lane/Johnson Street Pedestrian Enhancement, Windsor -Intersection/ADA Improvements, Petaluma -Grayson Avenue and South Crane Avenue Rehabilitation, St. Helena -Cavendish Lane Improvement Project, Oakland -Mill District Street Improvements, Healdsburg -Moraga Traffic Safety Construction Design, Moraga -Petaluma Boulevard South Road Diet, Petaluma -Farm Bureau Road Complete Streets Plan, Concord -Contra Costa Boulevard Corridor Improvements, Pleasant Hill -Depot Street Beautification, Morgan Hill -Downtown Dublin Streetscape Plan, Dublin -Fairmount Avenue Streetscape, El Cerrito -Golden Gate Drive Streetscape, Dublin -Hesperian Boulevard Streetscape, San Lorenzo LIST OF SIMILAR PROJECTS BKF has built a reputation over the last 25 years on its ability to manage, design, and process roadway and highway projects, both inside and outside of State right-of-way. BKF’s success stems from our ability to anticipate, identify, and resolve the complex and multifaceted elements of design and construction. In the past, BKF has been singled-out and specifically selected by clients to manage and deliver exceptionally demanding projects on an accelerated schedule and within budget. These projects typically involve environmental constraints, multi-jurisdictional processing and approvals, community consensus building, multi-modal interfaces, right-of-way acquisition, cost control of large project teams, and complex implementation. Included below is a list of select similar projects BKF has worked on. Expanded descriptions of the first three highlighted projects can be found in the Reference section of this proposal. Page 748 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 18 SUBCONSULTANT TEAM W-TRANS | SIGNALS & LIGHTING W-Trans provides traffic engineering and transportation planning services that emphasize mobility within available resources and help transform streets to serve all potential users. The firm’s staff members are particularly skilled in retrofitting streets and roads to make walking, bicycling and transit use safer and more convenient while also appropriately managing vehicle traffic. The firm’s strength and focus are on balancing the technical needs and functionality of traffic with the desire of communities to create more livable streets and sustainable transportation systems. W-Trans’ staff have applied their skills to a variety of projects ranging from traffic operation analyses, traffic collision reduction programs, transportation facilities design including traffic signal and roundabout design to downtown revitalization, streetscape planning efforts and complete street projects. They take a holistic approach to traffic engineering, realizing that solutions cannot be developed in a vacuum or strictly follow the standards of the past. Traffic analysis and design must be sensitive to the context of the surrounding land use and community goals to be successful. LIST OF SIMILAR PROJECTS -Gobbi Street and Waugh Lane Signal Design, Ukiah -Oak Grove/Carolan Avenue Signal Design, Burlingame -Novato Boulevard Improvements Design, Novato -Old Redwood Highway/US 101 Pedestrian and Bike Improvements, Windsor -San Carlos-Belmont Four Corners Design, Belmont -Operations Study and Traffic Signal Design, Cloverdale -Hesperian/Sycamore Traffic Signal Modification, Alameda County -Coyote Valley Reservation Beacons Design, Mendocino County -Striping and Traffic Signal Modification for Old Redwood Highway/E. Cotati Avenue, Cotati -Traffic Signal Intersection Upgrades, Marin County LACO ASSOCIATES | GEOTECHNICAL Founded in 1954, LACO Associates (LACO) has provided professional consulting services and support to Northern California for over 65 years. From the beginning, LACO has understood the value of personal relationships and the need for diverse professional services. With a staff of over 60, and offices in Eureka, Ukiah, Santa Rosa and Chico, their team remains committed to preserving and enhancing natural resources and advancing the quality of life for generations to come in our communities across Northern California. As LACO has grown, it has responded to its clients’ need for professional support throughout the life cycle of their projects by creating its Integrated Solutions strategy, a structure that allows for communication, collaboration, and fulfillment between multiple discourses and a much wider perspective of the project at hand. LACO’s goal is to make the project less overwhelming, and more enjoyable. The process should be seamless, ending with a successfully completed project, on time, and on budget. LACO streamlines communications and maintains accountability. Its clients do not have to manage the overwhelming process of retaining and managing multiple consulting firms, or decipher complex local, state, and federal regulatory agency requirements alone. LACO prides themselves on being a full-service consulting firm, and they make it their goal to become trusted advisors. LIST OF SIMILAR PROJECTS -Mendocino College, Secondary Access Road, Ukiah -City of Lakeport/SSA Architects, Lakefront Park, Lakeport -Dry Creek Rancheria Band of Pomo Indians, multiple geotechnical projects supporting infrastructure improvements, Healdsburg -Round Valley Indian Housing Authority, multiple geotechnical projects supporting infrastructure improvements, Covelo -Ukiah Unified School District, multiple and ongoing geotechnical support for campus and district improvements, Ukiah 24 projects with BKF 1 project with BKF Page 749 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 19 INTEGRA PLANNING + LANDSCAPE ARCHITECTURE | LANDSCAPE Integra Planning + Landscape Architecture (INTEGRA+) creates innovative, functional, sustainable outdoor spaces for municipalities, developers, businesses, institutions, and homeowners in California, Oregon, Nevada, North Dakota, and beyond. As planners and landscape architects, the firm’s utmost important characteristic is THOUGHTFULNESS. INTEGRA+’s clients are the most important part of the process, from conceptual ideas to scheduling and budgeting, and the firm’s creative, innovative designs represent the thoughtful integration of a client’s goals with the opportunities and constraints specific to each site. INTEGRA+ has already earned a reputation for being the premier planning + landscape architecture firm in the North Bay. Its principals have more than four decades of combined experience, and have great working relationships with local, regional, and state agencies. The firm’s innovative thinking and creative design process provides solutions to our clients that carefully integrate goals with site-specific opportunities and constraints. INTEGRA+ works collaboratively with its clients to transform their sites into sustainable, functional, and inspiring environments. INTEGRA+ is fluent in the development of sustainable principles and the philosophy around LEED and Rescape California principles, especially water-conservation, working drawings, technical specifications, and the provision of construction observation are its strengths and it has been complimented on the high-quality of our drawings from clients, agencies, and contractors. INTEGRA+’s experience spans four-decades and a wide range of projects, including streetscapes, downtown master plans, urban and rural parks, educational facilities, single family estates, mixed-use commercial/residential spaces, high-density and single-family residential developments, wineries, industrial and hospitality facilities. INTEGRA+ was founded in 2018 by Principals Michael A. Cook and Ric J. Hendricks. They have collaborated on many projects throughout the years dating back to their years at Cal Poly, San Luis Obispo, and have formally joined forces with a shared vision of the ideal planning and landscape architecture firm. LIST OF SIMILAR PROJECTS -Old Redwood Highway Streetscape, Cotati -Hopper Avenue Streetscape, Santa Rosa -Camino Tassajara Streetscape, Contra Costa County -North Market Streetscape + Lighting Project, Redding -Anderson Downtown Streetscape, Anderson -Francisco Boulevard Multi-Use Pathway/Streetscape, San Rafael -Kaiyuan Jiulong Streetscape, China -Bollinger Canyon Road, San Ramon -Fallon Crossing Streetscape, Dublin -La Plaza Park + Streetscape, Lafayette -Alamo Creek Streetscape, Danville -Dublin Ranch Streetscape, Dublin -Eagle Ridge Streetscape, Gilroy -Shaefer Ranch Streetscape, Dublin -Sweeter Avenue Streetscape, Novato -Gale Ranch Streetscapes, San Ramon 3 projects with BKF Page 750 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 20 CIVIL & SURVEY PROJECT MANAGEMENT QUALITY CONTROL Ben Kerstetter, PE Project Engineer BKF ENGINEERS Norm Dyer, CASpCASp SpecialistBKF ENGINEERS Jonathan Shattuck, PLS, PESurvey ManagerBKF ENGINEERS LANDSCAPEGEOTECHNICALSIGNALS & LIGHTING Steve Fitzsimons, PE, TETraffic Project ManagerW-TRANS Allison Jaromin, EITTraffic Engineering DesignW-TRANS Jason Kirchmann, PE, PLS, QSD/P Executive-in-Charge BKF ENGINEERS Becky Dower, PE, QSD/PProject ManagerBKF ENGINEERS Geoff Coleman, PE, PLS, CDTQA/QC ManagerBKF ENGINEERS Joshua Kilgore, PG, CEGEngineering GeologistLACO Kelsey McLaughlin, PG, QISPStaff GeologistLACO Ric Hendricks, PLA, CPSI, RQPLandscape Project ManagerINTEGRA+ Michael Cook, PLA, CLIA, CPSILandscape Quality AssuranceINTEGRA+ ORGANIZATION CHART BKF ENGINEERS, SURVEYORS, PLANNERS450+ SUPPORT STAFF Page 751 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 21 NameRole Licensing and Certification Current Work Assignments(Please refer to the Team Resumes for a listing of previous work assignments) Man-Hours Budgeted BKF ENGINEERS Jason Kirchmann, PE, PLS, QSD/PExecutive-in-Charge • Professional Civil Engineer, CA No. 78079• Professional Land Surveyor, CA No. 8806 • Paradise Drive Complete Streets, Corte Madera• SMART Sonoma NMP, Sonoma County• Laurel Grove Safe Routes to School, Ross• Calistoga Hills Resort, Calistoga 35 Becky Dower, PE, QSD/PProject Manager • Professional Civil Engineer, CA No. 80868 • Gobbi Street Utility Replacement Project, Ukiah• Paradise Drive Complete Streets, Corte Madera• McDowell Boulevard Complete Streets, Petaluma• Bungalow Avenue Pavement Rehabilitation Project, San Rafael 159 Geoff Coleman, PE, PLS, CDTQA/QC Manager • Professional Civil Engineer, CA No. 62093• Professional Land Surveyor, CA No. 8438 • Roblar Road Quarry, Petaluma• Brickway Blvd. Industrial Building, Santa Rosa• Shiloh Terrace, Windsor• Clearwater Living, Windsor 16 Ben Kerstetter, PEProject Engineer • Professional Civil Engineer, CA No. 90828 • Gobbi Street Utility Replacement, Ukiah• Calistoga Hills Resort, Calistoga• Lake Elementary School, San Pablo• Santa Rosa Junior College Student Housing, Santa Rosa 240 Norm Dyer, CASpCASp Specialist • Registered Architect, CA No. 14435• Certified Access Specialist No. CASp-760 • Parking Renovation Project, Saratoga• SF Bay Trail Point Pinole to Wilson Point, Richmond• Napa Valley Vine Trail, St. Helena• Erosion Control Project, Livermore 6 Jonathan Shattuck, PLS, PESurvey Manager • Professional Land Surveyor, CA No. 8940• Professional Civil Engineer, CA No. 83904 • Mill @ Broadway Condominium Development, Sacramento• West Sacramento RR Boundary Survey, West Sacramento• Denio Park Project, Roseville• City of San Rafael Misc. Plan Checking, San Rafael 12 STAFFING PLAN Page 752 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 22 NameRole Licensing and Certification Current Work Assignments(Please refer to the Team Resumes for a listing of previous work assignments) Man-Hours Budgeted W-TRANS Steve Fitzsimons, PE, TETraffic Project Manager • Professional Civil Engineer, CA No. 36435• Professional Traffic Engineer, CA No. 1419 • Signal Systems Project, Los Gatos• Signal Design Project, San Jose 44 Allison Jaromin, EITTraffic Engineering Design • N/A • Signal Design Project, Alameda County• Signal Design Project, Menlo Park• Signal Design Project, Rohnert Park 116 LACO Joshua Kilgore, PG, CEGEngineering Geologist • Professional Geologist, CA No. 8885• Professional Engineering Geologist, CA No. 2667 • Mendocino College Secondary Access Road, Ukiah• Round Valley Indian Housing Authority geotechnical projects supporting infrastructure improvements, Covelo• Ukiah USD geotechnical support for campus and district improvement projects, Ukiah 21 Kelsey McLaughlin, PG, QISPStaff Geologist • Professional Geologist, CA No. 9813• Qualified Industrial Stormwater Practitioner, No. 00810 • Mendocino College Secondary Access Road, Ukiah• Round Valley Indian Housing Authority geotechnical projects supporting infrastructure improvements, Covelo• Ukiah USD geotechnical support for campus and district improvement projects, Ukiah 21 INTEGRA+ Ric Hendricks, PLA, CPSI, RQPLandscape Project Manager • Professional Landscape Architect, CA No. 5094• Certified Playground Safety Inspector, No. 50563-0324• Rescape Qualified Professional, No. 12310 • Kotate Park Renovation, Cotati• Family Aquatic Center, San Leandro• Arbor Views Multifamily Apartments, Fremont• The River Phase II Subdivision, West Sacramento 16 Michael Cook, PLA, CLIA, CPSILandscape Quality Assurance • Professional Landscape Architect, CA No. 5123• Certified Landscape Irrigation Auditor, No. 00008031• Certified Playground Safety Inspector, No. 50563-0324 • Victoria Oaks Subdivision, Windsor• Sonoma Estates, Sonoma• Becoming Independent Commercial Site, Santa Rosa• Arbor Views Multifamily Apartments, Fremont 34 Page 753 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 23 TEAM RESUMES BKF ENGINEERS EDUCATIONSanta Rosa Junior College CEST Program REGISTRATIONProfessional Civil Engineer, CA No. 78079 Professional Land Surveyor, CA No. 8806 Qualified SWPPP Developer and Practitioner, No. 20085 AFFILIATIONSFormer Deputy County Surveyor (County of Marin) Acting Deputy City Surveyor (City of San Rafael) California Land Surveyors Association (CLSA) Member American Society of Civil Engineers (ASCE) TOTAL YEARS EXPERIENCE19 years, 19 with firm JASON KIRCHMANN, PE, PLS, QSD/P EXECUTIVE-IN-CHARGE Jason has a wide variety of experience in civil engineering design and the construction of projects for local municipalities and private sector clients. He has provided design support and project management for public works/civil, healthcare, residential, education, and commercial projects, providing both civil engineering and land surveying services for numerous clients throughout the North Bay. He assists in converting clients’ ideas and desires into final construction documents. In addition, Jason understands the importance of seamless coordination with clients, as well as the project team. He brings a keen sense of urgency to projects, consistently demonstrating the ability to stay on schedule and within budget. SELECT PROJECT EXPERIENCE Sir Francis Drake BoulevardSan Rafael Calistoga City Street RehabilitationCalistoga Francisco Boulevard West SMART Flip & Multi-Use Path San Rafael Third Street RehabilitationSan Rafael Miller Avenue Streetscape ImplementationMill Valley Reconstruction of Lower Washington StreetCalistoga Washington Street OverlayCalistoga St. Helena Downtown Improvements St. Helena Brannan-Lincoln Street Crosswalk ImprovementsCalistoga Lake Street-Grant-Silverado TrailCalistoga Lake Street PavingCalistoga Allison Drive PDA Bike/Pedestrian ImprovementsVacaville Pudding Creek ReservoirFort Bragg Hwy 20/29 Pre- & Post- Construction SurveyingLake County Grant Street Drainage ImprovementsCalistoga Barcaglia RoadSebastopol Cloverdale Vista Drive Slide RepairCloverdale Farmers Lane ExtensionSanta Rosa McDonald Avenue Gate RepavingSanta Rosa Sonoma County ADA Curb RampsSanta Rosa Stony Point Road ROWSanta Rosa Page 754 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 24 BKF ENGINEERS EDUCATIONB.S., Civil Engineering, University of Nevada, Reno REGISTRATIONProfessional Civil Engineer, CA No. 80868 Qualified SWPPP Developer and Practitioner, No. 23934 TOTAL YEARS EXPERIENCE12 years, 2 with firm BECKY DOWER, PE, QSD/P PROJECT MANAGER Becky has more than 12 years of experience in civil engineering design of infrastructure, educational, municipal, commercial, institutional, multi-family residential, and mixed-use developments. Her responsibilities have included site grading, utility design, specification preparation, and cost estimating, as well as schedule and budget tracking, subconsultant coordination, and client communication. SELECT PROJECT EXPERIENCE Sir Francis Drake Boulevard San Rafael Francisco Boulevard West SMART Flip & Multi-Use Path San Rafael Brannan-Lincoln Street Crosswalk ImprovementsCalistoga Intersection/ADA ImprovementsPetaluma Lake Street-Grant-Silverado TrailCalistoga Petaluma North McDowell Complete StreetsPetaluma HAWK Signal at Silver RoseCalistoga Ross Laurel Grove Safe Pathways to School IIRoss St. Helena Grayson Ave and South Crane Avenue Rehabilitation R19-05St. Helena 1714 Cedar Street RenovationCalistoga Old Redwood Highway ImprovementsSanta Rosa SMART Larkspur Extension As-BuiltsSan Rafael Tomales Fire StationTomales East Bay Regional Parks District San Francisco Bay Trail - Lone Tree PointRodeo Calistoga Hills Resort Construction DrawingsCalistoga Eden Housing Del Nido ApartmentsSanta Rosa Mid-Peninsula Housing MidPen FairfieldFairfield MUP Phase-2 Redesign & EngineeringSan Rafael Trash Rack Relocation and Mitigation PlantingSan Rafael Kaiser Foundation Health Plan KP Los Gamos Parking StructureSan Rafael Pepperwood PreserveSanta Rosa Signorello WineryNapa Page 755 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 25 BKF ENGINEERS EDUCATIONB.S., Civil Engineering, California Polytechnic State University, San Luis Obispo A.A., Santa Rosa Junior College, Santa Rosa REGISTRATIONSProfessional Civil Engineer, CA No. 62093 Professional LandSurveyor, CA No. 8438 Construction Specifications Institute, Construction Documents Technologist AFFILIATIONSAmerican Council of Engineering Companies (ACEC) American Society of Civil Engineers (ASCE) Engineering Contractor’s Association (ECA) TOTAL YEARS EXPERIENCE26 years, 23 with firm GEOFF COLEMAN, PE, PLS, CDT QA/QC MANAGER As one of BKF’s lead civil engineers, Geoff is responsible for the review, coordination and oversight of projects and their infrastructure which we design. Over the last 26 years, he has acquired a vast knowledge of municipal processes and developed professional relationships with local and regional agencies. Geoff has worked on many aspects of civil engineering design including pavement design, earthwork evaluation, construction observation, construction cost assessment, hydrology and hydraulic evaluation. Geoff has successfully managed many public works projects involving utility, roadway, surveying and site improvements throughout the northern Bay Area. SELECT PROJECT EXPERIENCE California Conservation Corps Willits Residential CenterWillits Redwood Credit Union (RCU)Ukiah 15145 Lakeshore DriveClearlake Sir Francis Drake Boulevard San Rafael Healdsburg Drainage & Foss Creek Stormwater OutfallHealdsburg Downtown Healdsburg Streetscape & Utility ImprovementsHealdsburg Conde Lane & Johnson Street Pedestrian EnhancementWindsor Fire Damaged Roadway Landscape ServicesSanta Rosa Fort Ross Road Slide RepairCasadero Old Redwood Hwy Alignment StudyWindsor Upper Wikiup Retaining WallSanta Rosa River Road Slide RepairSonoma County VJB Hwy 12 Improvements Kenwood Sonoma County Department of Transportation & Public WorksSonoma County Santa Rosa Downtown Specific PlanSanta Rosa Pleasant Avenue Road & Storm Drainage ImprovementsWindsor Jensen Lane Road & Storm Drain ImprovementsWindsor Roblar Road ReconstructionSonoma County Town of Windsor On-Call Roadway Engineering ServicesWindsor Range Avenue ReconstructionSanta Rosa Caltrans Stormwater Offset MitigationSanta Rosa Brookwood Parking Lot Stormwater Quality ImprovementsSanta Rosa Page 756 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 26 BKF ENGINEERS EDUCATIONB.S., Civil Engineering, California State Polytechnic University, Pomona REGISTRATIONProfessional Civil Engineer, CA No. 90828 TOTAL YEARS EXPERIENCE6 years, 5 with firm BEN KERSTETTER, PE PROJECT ENGINEER Ben will be responsible for the civil engineering design from project planning through finalizing construction documents. Ben will assure that the proposed projects conform to local jurisdictional standards and requirements. His relevant experience includes various projects throughout the North Bay. SELECT PROJECT EXPERIENCE Francisco Boulevard West San Rafael Francisco Boulevard West Multi-Use Pathway Final Design San Rafael Lake Street-Grant-Silverado Trail Calistoga HAWK Signal at Silver Rose Calistoga Brannan-Lincoln Street Crosswalk Improvements Calistoga Reconstruction of Lower Washington Street Calistoga Intersection/ADA ImprovementsPetaluma Wohler Road Bridge ReplacementForestville Group 10 Pavement Rehabilitation - Nave Drive & Bel Marin Keys BoulevardNovato Trash Rack Relocation and Mitigation Planting San Rafael SMART Larkspur Extension San RafaelMUP Phase 2 Redesign & Engineering San Rafael Third Street Rehabilitation Project San Rafael La Plaza Parking Lots - ADA Santa Rosa Sausalito Ferry Landside Improvements Project Sausalito St. Helena Grayson Avenue and South Crane Avenue Rehabilitation R19-05St. Helena Windsor Downtown Pedestrian & Bicycle Crossing of US101 Windsor James Kenney Park ImprovementsBerkeley DOGBONE Meadow Dog Park Renovation Novato Victor Jones Park ImprovementsSan Rafael Yountville Veterans Home Steam System Renovation Yountville Maxwell Farms Phase 1 Construction Documents Sonoma Santa Rosa Fire Station 5 Santa Rosa Page 757 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 27 BKF ENGINEERS EDUCATIONB.A., Architecture, California Polytechnic State University, San Luis Obispo REGISTRATIONSRegistered Architect, CA No. 14435 Certified Access Specialist No. CASp-760 TOTAL YEARS EXPERIENCE43 years, 5 with firm NORM DYER, CASp CASp SPECIALIST Norm has 43 years of experience in the industry working with various entities to ensure compliance with The Americans with Disabilities Act (ADA). He provides accessibility recommendations to public-owned properties and facilities, and makes recommendations for alleviating any barriers to compliance. Norm has developed, implemented, and updated agencies’ ADA plans, policies and procedures; has reviewed standards and plans; and has conducted site visits and field inspections to evaluate construction’s ADA compliance. His experience spans architectural and engineering design reviews and results in cost-effective solutions for the City’s projects to ensure the ADA compliance. SELECT PROJECT EXPERIENCE San Francisco Bay Trail - Lone TreePointRodeo SMART Larkspur ExtensionSan Rafael St. Helena Downtown ImprovementsSt. Helena Village ADA Parking StripingSaratoga Danville Rose Street Parking LotDanville Mount Diablo Scenic Blvd. TrafficStudyWalnut Creek Springhill TrailLafayette Castro Valley Shared Use Parking FacilityCastro Valley Castro Valley Vision to Enhance Community Spaces through Paseos Castro Valley Churchill Ave & Alma Street Railroad CrossingPalo Alto San Francisco Bay Trail - Point Pinoleto Wilson PointRichmond Ale Trail Access ImprovementsSan Leandro Mount Diablo Scenic Blvd. Traffic Study Walnut Creek EBRPD Berkeley Brickyard Restorationand Public AccessBerkeley Marina Restroom Building ADAComplianceRedwood City City of San Leandro ADA SiteImprovements, Public Safety BuildingSan Leandro Prairie City SVRA - 4x4 Track Safety Fencing Prairie City Oracle ADA Pathway ProjectRedwood City 5th Avenue Green Loop Sunnyvale Page 758 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 28 BKF ENGINEERS EDUCATIONB.S., Civil Engineering and Geomatics Engineering, California State University, Fresno REGISTRATION Professional Land Surveyor,CA No. 8940 Professional Civil Engineer, CA No. 83904 Professional Land Surveyor, NV No. 028310 TOTAL YEARS EXPERIENCE17 years, 10 with firm JONATHAN SHATTUCK, PLS, PE SURVEY MANAGER Jonathan is responsible for all phases of land surveying including construction, aerial and conventional topographic and planimetric surveys, boundary analysis and resolutions, right-of-way engineering, as-built surveys, digital terrain modeling, directing field and office survey efforts, contract document preparation, cost estimation, and contract administration. He provides coordination with clients, other professional consultants and reviewing agencies. In a supervisory role, he’s been responsible for surveying tasks related to the design and construction of transportation, residential, commercial and public works projects throughout the North Bay and Central Valley. SELECT PROJECT EXPERIENCE PG&E Spoils - 2641 N. StateUkiah Mill District Street ImprovementsHealdsburg Cavendish Lane Improvement ProjectOakland Pavement Rehabilitation - Nave Drive & Bel Marin Keys BoulevardNovato Moraga Way and Canyon/Camino Pablo ImprovementsMoraga Petaluma Blvd South Road DietPetaluma Sausalito Southview Park Improvement ProjectSausalito Smith Ranch Road and Lucas Valley Road ResurfacingSan Rafael Sonoma County Monument Preservation – Bohemian HwySanta Rosa Sonoma County Monument Preservation – Old RedwoodSanta Rosa Sonoma County Monument Preservation – Porter Creek RoadSanta Rosa 9th and BroadwaySacramento Sonoma County Monument Preservation-Barnett Valley RoadSanta Rosa St. Helena Grayson Ave and South Crane Ave Rehabilitation R19-05St. Helena Elk Grove and Florin Road Sidewalk Infill ProjectElk Grove Browns Valley Creek Bank RepairNapa Pestoni Lake County Property CornerSt. Helena Silverado Trail Storm Damage Repair Retaining WallNapa St Helena Mills Lane Storm Drain ImprovementsSt. Helena Intersection of Rawhide and PFE RoadRoseville Page 759 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 29 W-TRANS EDUCATIONM.S., Transportation Engineering, University of California, Berkeley B.S., Civil Engineering, University of California, Berkeley REGISTRATIONProfessional Civil Engineer, CA No. 36435 Professional Traffic Engineer, CA No. 1419 AFFILIATIONSInstitute of Transportation Engineers (ITE) Member TOTAL YEARS EXPERIENCE39 years, 9 with firm STEVE FITZSIMONS, PE, TE TRAFFIC PROJECT MANAGER Steve oversees W-Trans’ design practice. He is registered in California as a civil engineer and a traffic engineer. Steve graduated from the University of California at Berkeley with a B.S. in Civil Engineering and an M.S. in Transportation Engineering. His career started at Alameda County Public Works, followed by consulting work at various firms prior to joining W-Trans in 2013. Steve’s design experience includes all aspects of traffic engineering. In his career of over 30 years, he has designed more than 300 traffic signal installations or modifications and signal interconnect connections to well over 700 intersections, as well as advanced systems designs. He has completed numerous signing, striping, and lighting plans for complete streets, interchange, arterial, roundabout, and traffic calming projects. SELECT PROJECT EXPERIENCE City of Ukiah, Gobbi Street and Waugh Lane Signal DesignUkiah Alameda County Public Works, Greenville/Tesla Traffic Signal DesignAlameda County San Carlos/Belmont Four Corners DesignBelmont City of Burlingame, Oak Grove/Carolan Avenue Signal DesignBurlingame Traffic Signal Intersection UpgradesMarin County Soscol Avenue Signal ModificationsNapa City of Rohnert Park, Permissive Left Turn LanesRohnert Park Uncontrolled Crosswalk Improvements DesignSanta Clara City of Santa Clara, Lick Mill-E. River Parkway Crosswalk Improvement ProjectSanta Clara Yerba Buena/San Felipe Signal DesignSan Jose Washington Avenue/Williams Street Signal DesignSan Leandro Stony Point/Roblar Road Signal DesignSonoma County Fulton Road WideningSanta Rosa Pacific Avenue ReconstructionSanta Rosa Old Redwood Highway Roundabout DesignsWindsor City of Sunnyvale, Mary Avenue Bicycle Lanes DesignSunnyvale North Coast Engineering, Creston Road/Golden Hills Roundabout DesignPaso Robles City of Belmont, Ralston Avenue Preliminary Design and Cost EstimatesBelmont Page 760 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 30 W-TRANS EDUCATIONB.S., Civil Engineering, University of Nevada, Reno AFFILIATIONSInstitute of Transportation Engineers (ITE) Member TOTAL YEARS EXPERIENCE5 years, 5 with firm ALLISON JAROMIN, EIT TRAFFIC ENGINEERING DESIGN Allison is an associate engineer managing traffic engineering design and analysis and transportation planning services. Allison graduated from the University of Nevada, Reno in 2017 with a B.S. in Civil Engineering and a focus in Transportation Engineering, along with a minor in Business Administration. During her three years at W-Trans, Allison has become a project manager and been involved in a wide range of design projects including traffic signal designs, RRFB designs, and signing and striping designs. In addition to her design work, Allison continues to work on traffic impact studies for various types of projects. Allison prides herself on her attention to detail and organization while she continues to work towards getting her civil PE licensure. SELECT PROJECT EXPERIENCE City of Ukiah, Gobbi Street and Waugh Lane Signal DesignUkiah City of Cotati, ORH/E. Cotati Avenue Signal Modification and Striping DesignCotati Comstock Homes, Cry Creek Road/Grove Street Traffic Signal ModificationHealdsburg Dudek, Trail to Crane Creek Regional Park Traffic Signal DesignRohnert Park Sonoma/Sotoyome Traffic Signal and RRFB DesignSanta Rosa Jenner Headlands Signing and Striping DesignSonoma County County of Sonoma, Todd Road/Standish Avenue Traffic Signal DesignSonoma County City of Rohnert Park, Permissive Left Turn Traffic Signal ModificationsRohnert Park Keller Apartments, First Street/Freeway Drive Signal ModificationNapa City of St. Helena, Spring Street Alternative DesignSt. Helena Traffic Control Plans for Wildcat Pipeline Improvement ProjectEast Bay MUD Soscol/Main Access Signal DesignNapa County Pacific Avenue ReconstructionSanta Rosa City of Cloverdale, Cloverdale Boulevard/Santana Drive-Treadway Traffic Signal DesignCloverdale Page 761 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 31 LACO EDUCATIONB.S., Geology, California State University, Sonoma REGISTRATIONProfessional Geologist, CA No. 8885 Certified Engineering Geologist, CA No. 2667 TOTAL YEARS EXPERIENCE14 years, 3 with firm JOSHUA KILGORE, PG, CEG ENGINEERING GEOLOGIST Joshua is a certified engineering geologist with 10 years of geotechnical experience in the geologically-complex Northern California area. He has experience designing and conducting geotechnical studies and forensic investigations for residential and commercial construction, schools, reservoirs, pipelines, roads and bridges, and landslide repair. His experience includes geologic mapping and subsurface studies including rock coring, soil boring, and test pit and trench logging; the development of laboratory testing programs; and technical reporting. Joshua has managed geotechnical and multidisciplinary projects from initial consultation through project completion, working closely with his team and clients to provide for changing project needs, timelines, and budgets. His work has included coordination with regulatory agencies as required and has managing school district projects throughout the Northern California area. Joshua has worked closely with the California Geological Survey (CGS) and Division of the State Architect (DSA) to satisfy regulatory requirements and concerns to get agency approval and is currently part of a LACO team that provides support for the Sonoma County Agricultural Department assisting in slope stability assessment for vineyard and orchard development. SELECT PROJECT EXPERIENCE Slope Stability Analysis and Landslide Mitigation, Greater Bay area and Northern CaliforniaJoshua has been involved in slope stability analysis and landslide mitigation throughout the Northern California area. His work has included the analysis and mitigation of landslides, earthflows, and rock fall. Joshua has utilized slope inclinometers, computer modeling, subsurface explorations to analyze areas of slope instability, and design geotechnical criteria to mitigate threats to structures and roadways in urban and rural settings Currently, he is part of a LACO team that provides support for the Sonoma County Agricultural Department assisting in slope stability assessment for vineyard and orchard development Alexander Valley Union School District, HealdsburgJoshua provided the planning, exploration, testing and analysis and reporting for a new multi-purpose room. Additionally, he provided geotechnical solutions to areas susceptible to bearing failure during liquefaction-induced settlement. Illumination Technologies, Napa CountyJoshua is currently working with Illumination Technologies to provide early wildfire warning sirens for Napa County. Currently, approved sirens are being constructed in and adjacent to the town of Calistoga. The project is ongoing and involves cooperation with local agencies and firms to provide much needed early warning system during times of high fire danger. Upper Lake Unified School District, Upper LakeJoshua has worked on multiple projects in the District, including multipurpose rooms, classrooms, and shops structures. His work includes the evaluation of seismic hazards including active faulting and liquefaction-induced settlements, and worked closely with CGS and DSA to satisfy regulatory requirements. Page 762 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 32 LACO EDUCATIONB.S., Geology, California State University, Sonoma REGISTRATIONProfessional Geologist, CA No. 9813 Qualified Industrial Stormwater Practitioner, No. 00810 OSHA 40 Hour HAZPOWER Training, Certification No. 1606141169020 TOTAL YEARS EXPERIENCE10 years, 10 with firm KELSEY MCLAUGHLIN, PG, QISP STAFF GEOLOGIST Kelsey is a staff geologist at LACO Associates and has been a geology consultant since 2011. She provides clients with environmental, engineering geologic and hydrogeological expertise throughout Northern California. Kelsey’s multidisciplinary background makes her a knowledgeable and multi-faceted asset to LACO’s team. SELECT PROJECT EXPERIENCE Mendocino County Department of Transportation, Willits, Fort Bragg and Covelo Road YardsKelsey has managed the ongoing environmental exploration and groundwater monitoring for the environmentally regulated cases located at the Willits, Fort Bragg and Covelo Road Yards that are associated with historical leaking underground fuel tanks. Work has included installation of borings and monitoring wells for collection of soil and groundwater samples to identify the vertical and lateral extent of plume boundaries, identifying potential sensitive receptors, and moving each road yard towards No Further Action required status. Work has also included the preparation of reimbursement requests for the work completed on behalf of the Client to the State Water Resources Control Board Underground Storage Tank Cleanup Fund. Potter Valley Minor Subdivision, Potter ValleyKelsey managed the septic suitability evaluation, septic design, percolation testing, and water quality and quantity testing for a proposed Minor Subdivision in Potter Valley. Design and evaluation data were submitted and approved by the County of Mendocino. Getaway Cabins, HoplandKelsey has provided ongoing support for a groundwater resource evaluation and septic suitability evaluation to support the development of a proposed mobile cabin recreation vehicle park. The groundwater resource evaluation included review of public domain data for the project, a site visit for data collection, and identifying potential well locations to perform a seismoelectric geophysical survey. The septic suitability evaluation was performed in accordance with the County of Mendocino Local Agency Management Plan (LAMP) standards. Above Ground Storage Tank Spill, Point ArenaKelsey has managed the ongoing remediation and monitoring of a Site associated with a release of diesel from a 10,000 gallon above ground storage tank. She has performed ongoing biweekly and now monthly status reports to the Client and North Coast Regional Water Quality Control Board on the status of the project and site operations. Above Ground Storage Tank Spill, MendocinoKelsey managed and implemented the cleanup efforts resulting from an unauthorized release of diesel from an above ground storage tank. Cleanup efforts including performing a preliminary site assessment to identify the extent of impacts utilizing test pits, permitting with the California Coastal Zone and the County of Mendocino, and overseeing the removal and proper disposal of impacted soils. Page 763 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 33 INTEGRA+ EDUCATIONB.A., Landscape Architecture, California Polytechnic State University, San Luis Obispo REGISTRATIONProfessional Landscape Architect, CA No. 2094 Certified Playground Safety Inspector, No. 50563-0324 Rescape Qualified Professional, No. 13210 AFFILIATIONSAmerican Society of Landscape Architects California Parks and Recreation Society Rescape California TOTAL YEARS EXPERIENCE21 years, 3 with firm RIC HENDRICKS, PLA, CPSI, RQP LANDSCAPE PROJECT MANAGER Diversity in Ric’s twenty-year career has been the key component in becoming a well-balanced and rounded professional. He continues his hands-on approach to directing a project from its conception through the design development process to construction documents and field observation. His work on award-winning domestic and international projects encompasses sustainable designs, park/ recreational facilities, streetscapes, master planned communities, and storm water management. SELECT PROJECT EXPERIENCE Francisco Blvd. Multi-Use Pathway/StreetscapeSan Rafael Old Redwood Highway StreetscapeCotati Kaiyuan Jiulong StreetscapeChina Camino Tassajara StreetscapeContra Costa County Bollinger Canyon RoadSan Ramon CURRENT PROJECTS Kotate Park RenovationCotati Family Aquatic CenterSan Leandro Arbor Views Multifamily ApartmentsFremont The River Phase II SubdivisionWest Sacramento Page 764 of 901 03 / PROJECT TEAM Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 34 INTEGRA+ EDUCATIONB.A., Landscape Architecture, California Polytechnic State University, San Luis Obispo REGISTRATIONProfessional Landscape Architect, CA No. 2094 Certified Playground Safety Inspector, No. 50563-0324 Rescape Qualified Professional, No. 13210 AFFILIATIONSAmerican Society of Landscape ArchitectsCalifornia Parks and Recreation SocietyRescape California TOTAL YEARS EXPERIENCE21 years, 3 with firm MICHAEL COOK, PLA, CLIA, CPSI LANDSCAPE QUALITY ASSURANCE As an experienced landscape architect, Michael has provided his design experience to a wide range of clients. During over twenty years of professional landscape architecture experience, Michael has collaborated with clients in both the public sector (streetscapes, downtown master planning, urban design, redevelopment planning, parks, and recreation sites) and private sector clients. He is also a Certified Landscape Irrigation Auditor and is fluent in the efficient design and installation of irrigation systems throughout California. SELECT PROJECT EXPERIENCE Old Redwood Highway StreetscapeCotati Hopper Avenue StreetscapeSanta Rosa Camino Tassajara StreetscapeContra Costa County North Market Streetscape + Lighting ProjectRedding Anderson Downtown StreetscapeAnderson CURRENT PROJECTS Victoria Oaks SubdivisionWindsor Sonoma EstatesSonoma Becoming Independent Commercial SiteSanta Rosa Arbor Views Multifamily ApartmentsFremont Page 765 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 35 I. EXAMPLE WORK PRODUCT We are pleased to share a collection of example work products that illustrate our final deliverables, as well as some of the project management tools that we use to keep the project effectively moving forward. Both facets of the project, technical execution and the project oversight and guidance, are both equally as important for meeting project success through construction. BKF has a tried-and-true project success toolbox. Our design and management approach focuses on identifying impacts and options early in the process, documenting our decisions, and revisiting the project history to avoid confusion and re-work later in the design process. Our key tools include the following: • An Action Log to document items requiring attention and follow up from the project team• A Project Log to document the design decisions made and other pertinent input impacting the path of the project• Up-to-date Project Status Schedules showing real-time progress versus planned schedule milestones These tools help us to conduct well planned and documented meetings and guide considerate and specific design tasks. Our philosophy for Construction Document preparation is a simple one: keep the information clear and concise, avoid redundant information, and provide all of the information needed to layout and construct the work from the drawings. Most critically for the successful completion of public works projects, we provide complete and well-coordinated drawings, specifications, and bid lists that cover all of the work item need to construct the project. Holes or gaps in the continuity of the overall bid and construction package can open up the City to change orders or a mis-understanding in the design intent. We execute and document a thorough QA/QC process on all of our project deliverables before they go out the door. Our QA/QC reviewers assess constructability, review the work for alignment with the applicable standards, check calculations, and act as a backstop for vetting project assumptions used as the basis of our design work. A copy of BKF’s Quality Control Manual can be provided for your review upon request. Page 766 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 36 04 / EXAMPLE OF WORK PRODUCT PROJECT MANAGEMENT TOOLS We Always Know What’s Going On with the Action Log Page 767 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 37 04 / EXAMPLE OF WORK PRODUCT Solid Documentation of Where We Have Been Prevents Rework Page 768 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 38 04 / EXAMPLE OF WORK PRODUCT Accurate Resource Scheduling leads to Accurate Project Scheduling Page 769 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 39 04 / EXAMPLE OF WORK PRODUCT DRAWINGS - SET 1 04/20/2020 Page 770 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 40 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 771 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 41 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 772 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 42 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 773 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 43 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 774 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 44 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 775 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 45 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 776 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 46 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 777 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 47 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 778 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 48 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 779 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 49 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 780 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 50 04 / EXAMPLE OF WORK PRODUCT Page 781 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 51 04 / EXAMPLE OF WORK PRODUCT Page 782 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 52 04 / EXAMPLE OF WORK PRODUCT Page 783 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 53 04 / EXAMPLE OF WORK PRODUCT Page 784 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 54 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 785 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 55 04 / EXAMPLE OF WORK PRODUCT 04/20/2020 Page 786 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 56 04 / EXAMPLE OF WORK PRODUCT DRAWINGS - SET 2 9/29/2021 Page 787 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 57 04 / EXAMPLE OF WORK PRODUCT IV (15-INCH) 9/29/2021 Page 788 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 58 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 789 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 59 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 790 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 60 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 791 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 61 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 792 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 62 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 793 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 63 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 794 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 64 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 795 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 65 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 796 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 66 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 797 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 67 04 / EXAMPLE OF WORK PRODUCT 9/29/2021 Page 798 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 68 SPECS STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 1 SECTION 33 30 00 - SANITARY SEWERAGE PART 1 - GENERAL 1.1 SECTION INCLUDES A. Sanitary gravity sewers up to five feet from any on-site building 1.2 RELATED SECTIONS A. Section 31 23 33 – Trenching and Backfill 1.3 RELATED DOCUMENTS A. AASHTO 1. M199: Standard Specification for Precast Reinforced Concrete Manhole Sections B. ASTM 1. A615: Standard Specification for Deformed and Plain Carbon-Steel Bars for Concrete Reinforcement 2. A674: Standard Practice for Polyethylene Encasement for Ductile Iron Pipe for Water or Other Liquids 3. C143: Standard Test Method for Slump of Hydraulic-Cement Concrete 4. C443: Standard Specification for Joints for Concrete Pipe and Manholes, Using Rubber Gaskets 5. C478: Standard Specification for Circular Precast Reinforced Concrete Manhole Sections 6. C923: Standard Specification for Resilient Connectors Between Reinforced Concrete Manhole Structures, Pipes, and Laterals 7. C1173: Standard Specification for Flexible Transition Couplings for Underground Piping Systems 8. C1244: Standard Test Method for Concrete Sewer Manholes by the Negative Air Pressure (Vacuum) Test Prior to Backfill 9. D2321: Standard Practice for Underground Installation of Thermoplastic Pipe for Sewers and Other Gravity Flow Applications 10. D3034: Standard Specification for Type PSM Poly(Vinyl Chloride) (PVC) Sewer Pipe and Fittings 11. D4101: Standard Specification for Propylene Injection and Extrusion Materials 12. F477: Standard Specification for Elastomeric Seals (Gaskets) for Joining Plastic Pipe 13. F679: Standard Specification for Poly(Vinyl Chloride) (PVC) Large Diameter Plastic Gravity Sewer Pipe and Fittings 14. F1056: Standard Specification for Socket Fusion Tools for Use in Socket Fusion Joining Polyethylene Pipe or Tubing and Fittings Page 799 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 69 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 2 15. F1336: Standard Specification for Poly(Vinyl Chloride) (PVC) Gasket Sewer Fittings C. AWWA 1. C104: Cement-Mortar Lining for Ductile-Iron Pipe and Fittings 2. C105: Polyethylene Encasement for Ductile-Iron Pipe Systems 3. C110: Ductile-Iron and Gray-Iron Fittings 4. C111: Rubber-Gasket Joints for Ductile-Iron Pressure Pipe and Fittings 5. C115: Flanged Ductile-Iron Pipe With Ductile-Iron or Gray-Iron Threaded Flanges 6. C116: Protective Fusion-Bonded Coatings for the Interior and Exterior Surfaces of Ductile-Iron and Gray-Iron Fittings 7. C150: Thickness design of Ductile Iron Pipe 8. C151: Ductile-Iron Pipe, Centrifugally Cast 9. C153: Ductile-Iron Compact Fittings 10. C219: Bolted, Sleeve-type Couplings for Plain-End Pipe 11. C512: Air Release , Air/Vacuum, and Combination Air Valves for Water and Wastewater Service 12. C600: Installation of Ductile-Iron Water Mains and Their Appurtenances. 13. C606: Grooved and Shouldered Joints 14. C900: Polyvinyl Chloride (PVC) Pressure Pipe and Fabricated Fittings, 4 In. Through 60 In. for Water Transmission and Distribution 15. C905: Polyvinyl Chloride (PVC) Pressure Pipe and Fabricated Fittings, 14 In. Through 48 In. for Water Transmission and Distribution 16. M23: PVC Pipe – Design and Installation 17. M41: Ductile Iron Pipe and Fittings D. Caltrans Standard Specifications, 2018 1. Section 51, Concrete Structures 2. Section 75 Miscellaneous Metal 3. Section 90, Concrete E. Federal Specification 1. SS-S-00210 (GSA-FSS) 1.5 DEFINITIONS A. AASHTO: American Association of State Highway and Transportation Officials B. ASTM: American Society for Testing Materials C. AWWA: American Water Works Association D. DIP: Ductile iron pipe E. PVC: Polyvinyl Chloride F. NPS: Nominal pipe size Page 800 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 70 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 3 1.6 SUBMITTALS A. Follow submittal procedure outlined in Division 1 of the Technical Specifications. B. Product data for the following: 1. Piping materials and fittings 2. Special pipe couplings 3. Joint sealants 4. Cleanout plugs or caps 5. Sewage air relief valves C. Shop drawings: Include plans, elevations, details and attachments for the following: 1. Precast concrete manholes, frames and covers 2. Precast concrete clean out boxes and box covers D. Field Test Reports: Indicate test results for compliance with performance. 1.7 DELIVERY, STORAGE AND HANDLING A. Delivery and Storage 1. Piping: Inspect materials delivered to site for damage; store with minimum of handling. Store materials on site in enclosures or under protective coverings. Store plastic piping and jointing materials and rubber gaskets under cover out of direct sunlight. Do not store materials directly on the ground. Keep inside of pipes and fittings free of dirt and debris. 2. Metal Items: Check upon arrival; identify and segregate as to types, functions, and sizes. Store off the ground in a manner affording easy accessibility and not causing excessive rusting or coating with grease or other objectionable materials. B. Handling 1. Handle pipe, fittings, and other accessories in such manner as to ensure delivery to the trench in sound undamaged condition. When handling lined pipe, take special care not to damage linings of pipe and fittings; if lining is damaged, make satisfactory repairs. Carry, do not drag, pipe to trench. 2. Handle precast concrete pipe, manholes and other precast structures according to manufacturer’s written instructions. 3. Protect imported bedding and backfill material from contamination by other materials. PART 2 - PRODUCTS 2.1 DIP PIPE AND FITTINGS: SIZES 4 INCH THROUGH 48 INCH A. Pipe: Pressure Class pipe conforming to AWWA C151 and standard thickness per AWWA C150. U.S. Pipe, American Cast Iron Pipe Company, or approved equivalent Page 801 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 71 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 4 B. Fittings: Provide fittings with pressure rating greater than or equal to that of the adjoining pipe. C. Pipe and Fitting Lining: Ceramic Epoxy, Protecto401 Ceramic Epoxy or an approved equivalent. D. Pipe and Fitting Encasement: Polyethylene Film, AWWA C105 E. Fittings 1. Standard: AWWA C110, sizes 4 inch through 48 inch 2. Compact: AWWA C153, sizes 4 inch through 24 inch 3. All fittings shall be fusion epoxy coated per AWWA C116 F. Unrestrained Joints (Rubber Gasket Joints): 1. Push-On Bell and Spigot Joint: Provide shape of pipe ends and fitting ends, gaskets, and lubricant for joint assembly conforming to AWWA C111. 2. Mechanical Joint: Dimensional and material requirements for pipe ends, glands, bolts and nuts, and gaskets shall conform to AWWA C111. 2.2 PVC PIPE A. Pipe: 1. 4 inch through 15 inch: ASTM D3034, SDR 26 B. Bell and spigot joints C. Fittings: 1. 4 inch through 27 inch: ASTM F1336 D. Joint Gasket: Elastomeric seal, ASTM F477 E. Special Pipe Coupling: ASTM C1173. Rubber or elastomeric sleeve and band assembly fabricated to match outside diameters of pipes to be joined. 2.3 GRAVITY PIPE CLEANOUTS A. Piping: Same as sanitary sewer line if possible B. Top Cap: Threaded and of same material as piping if possible C. Box Size: As required to provide access and allow easy removal and reinstallation of cap D. Box Types: 1. Non-Traffic Areas: Portland cement concrete box and box cover, light duty 2. Traffic Areas: Portland cement concrete box and box cover or steel or cast iron cover, heavy duty, both box and cover to be rated for AASHTO H20 loading Page 802 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 72 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 5 E. Box Cover Markings: “SEWER” unless otherwise specified F. Available Manufacturers: Subject to compliance with requirements, box manufacturers offering products that may be incorporated into the Project include, but are not limited to the following: 1. Associated Concrete Products, Inc. 2. Brooks Products Inc. 3. Christy Concrete Products, Inc., or approved equal 2.4 JOINT SEALANT FOR STRUCTURES AND MANHOLES A. Mortar: Caltrans Standard Specification Section 51-1.02F 1. Use to seal around pipes at connections to structures and manholes. Also use to seal joints between precast sections of structures and manholes. B. Gaskets: Preformed flexible rubber or plastic gasket 1. Rubber Gaskets: ASTM C443 2. Plastic Gaskets: Federal Specification SS-S-00210 (GSA-FSS), Type I, Rope Form; or alternate standard which may exist. Acceptable material is “Ram- Nek,” as manufactured by the Henry Company, or equal. 2.5 SERVICE LATERAL RECONNECTIONS A. Service lateral reconnections shall be made using a PVC SDR 26 45 degree Wye; sized to fit the sewer main and the diameter of the sewer lateral. 2.6 PIPE TO STRUCTURE CONNECTOR/SEAL A. A flexible pipe to manhole connector shall be used for all pipe penetrations to pre- cast and/or cast-in-place concrete structures. 1. The seal shall provide a flexible, positive, watertight connection between pipe and concrete wastewater structures. The connector shall assure that a seal is made between (1) the connector and the structure wall, and (2) between the connector and the pipe. The seal between the connector and the manhole wall shall be made by casting the connector integrally with the structure wall during the manufacturing process in such a manner that it will not pull out during coupling. The seal between connector and pipe will be made by way of a stainless steel take down band compressing the gasket against the outside diameter of the pipe. 2. The connector shall be molded from materials whose physical/chemical properties meet or exceed the physical/chemical resistant properties outlined in ASTM C923. The connector and stainless steel hardware shall meet or exceed the performance requirements proscribed in ASTM C923. 3. The connector shall be of size specifically designed for the pipe material being used and shall be installed in accordance with recommendations of the manufacturer. 4. Connectors shall be Z-LOK or G3 connectors manufactured by A-LOK Products Inc. or approved equivalent. Page 803 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 73 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 6 PART 3 - EXECUTION 3.1 GRAVITY PIPE INSTALLATION A. General: Install pipe, fittings, and appurtenances utilizing best practices, manufacturer’s instructions, and in accordance with Section 6 and 7 of ASTM D2321 for plastic pipe, chapter 11.3.3 of AWWA M41 for ductile iron pipe. B. Pipe Depth and Trench Configuration: Conform to typical trench section(s) indicated. C. Excavation, Bedding, Backfill, and Compaction: Section 31 23 33 - Trenching and Backfill. D. Handling: Carefully handle during loading, hauling, unloading and placing operations to avoid breakage or damage. Use strap type slings for lifting and placing; no chains or hooks will be permitted. Comply with the manufacturer’s recommendations. E. Laying: Before lowering pipe into the trench, remove all stakes, debris, loose rock and other hard materials from the bottom of the trench. Lay accurately in conformance with lines and grades indicated. Start laying the pipeline at the low end and proceed upstream. Lay bell and spigot pipe with the bell end facing upstream. Lay pipe on a bed prepared by handwork, dug true to grade. Furnish firm bearing for pipe throughout its entire length with bell holes provided at the ends of each pipe length of sufficient size to permit making up the particular type of joint being used. Adjust pipe to line and grade by scraping away or filling and tamping material under the body of the pipe for the entire pipe length and not by blocking or wedging. After final positioning, hold pipe in place in trench with backfill material placed equally on both sides of the pipe at as many locations as required to hold the pipe section in place. F. Curved Alignment: When necessary to conform to the alignment specifically indicated, lay pipe on a curved alignment by means of asymmetrical closure of joints or bending of the pipe barrel. Use shorter lengths of pipe than the standard length if necessary to achieve curvature specified. Do not exceed the recommendations of the pipe manufacture for deflections at the joints or pipe bending. G. Closure: Close open ends of pipes and appurtenance at the end of each day’s work or when work is not in progress. 3.2 INSTALLATION OF DUCTILE-IRON PIPING A. Install pipe and fittings in accordance with requirements of AWWA C600 for pipe installation, joint assembly, valve-and-fitting installation, and thrust restraint. B. Jointing: Page 804 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 74 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 7 1. Provide push-on joints with the gaskets and lubricant specified for this type joint; assemble in accordance with the applicable requirements of AWWA C600 for joint assembly. 2. Provide mechanical joints with the gaskets, glands, bolts, and nuts specified for this type joint; assemble in accordance with the applicable requirements of AWWA C600 for joint assembly and with the recommendations of AWWA C111. 3. Provide flanged joints with the gaskets, bolts, and nuts specified for this type joint. a. Install flanged joints up tight; avoid undue strain on flanges, fittings, valves, and other equipment and accessories. b. Align bolt holes for each flanged joint. c. Use full size bolts for the bolt holes; use of undersized bolts to make up for misalignment of bolt holes or for any other purpose will not be permitted. d. Do not allow adjoining flange faces to be out of parallel to such degree that the flanged joint cannot be made watertight without over straining the flange. e. Where flanged pipe and fitting have dimensions that do not allow the installation of a proper flanged joint as specified, replace it by one of proper dimensions. f. Use setscrewed flanges to make flanged joints where conditions prevent the use of full-length flanged pipe. Assemble in accordance with the recommendations of the setscrewed flange manufacturer. 4. Provide insulating joints with the gaskets, sleeves, washers, bolts, and nuts previously specified for this type joint. Assemble insulating joints as specified for flanged joints. Bolts for insulating sleeves shall be full size for the bolt holes. 5. Ensure that there is no metal-to-metal contact between dissimilar metals after the joint has been assembled. C. Exterior Protection: Completely encase buried ductile iron pipelines and underground appurtenances with polyethylene wrap. Install 8-mil linear low-density polyethylene (LLD) film or 4-mil high-density cross-laminated (HDCL) film per manufacturer’s recommendations and in accordance with AWWA C105 and ASTM A674. D. Pipe Anchorage: Provide concrete thrust blocks or restrained joints for pipe anchorage, except where metal harness is indicated on the Plans. 3.3 INSTALLATION OF POLYVINYL CHLORIDE PIPING A. Comply with the recommendations for pipe installation, joint assembly and appurtenance installation in AWWA M23. B. Comply with the applicable requirements of AWWA C600 for joint assembly, and with the recommendations of Appendix A to AWWA C111. C. Jointing: Page 805 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 75 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 8 1. Provide push-on joints with the elastomeric gaskets specified for this type joint, using either elastomeric-gasket bell-end pipe or elastomeric-gasket couplings. 2. For pipe-to-pipe push-on joint connections, use only pipe with push-on joint ends having factory-made bevel. 3. For push-on joint connections to metal fittings, valves, and other accessories, cut spigot end of pipe off square and re-bevel pipe end to a bevel approximately the same as that on ductile-iron pipe used for the same type of joint. 4. Use an approved lubricant recommended by the pipe manufacturer for push- on joints. 5. Assemble push-on joints for connection to fittings, valves, and other accessories in accordance with the applicable requirements of AWWA C600 for joint assembly. 6. Make compression-type joints/mechanical-joints with the gaskets, glands, bolts, nuts, and internal stiffeners previously specified for this type joint. Cut off spigot end of pipe for compression-type joint or mechanical-joint connections and do not re-bevel. 7. Assemble joints made with sleeve-type mechanical couplings in accordance with the recommendations of the coupling manufacturer using internal stiffeners as previously specified for compression-type joints. D. Pipe Anchorage: 1. Provide concrete thrust blocks or restrained joints for pipe anchorage, except where metal harness is indicated on the Plans. 3.4 SPECIAL PIPE COUPLINGS A. General: Use where required to join piping and no other appropriate method is specified. Do not use instead of specified joining methods. B. Installation: Manufacturers’ instructions 3.5 POURED-IN-PLACE CONCRETE A. Concrete shall be mixed in accordance with applicable provisions of Section 90 of Caltrans Standard Specifications. B. Construction of concrete structures shall conform to applicable provisions of Section 51 of the Caltrans Standards Specifications. Unless otherwise noted herein or in the Plans, exposed surfaces of structures shall be Class 1 surface finish. C. Curing shall conform to applicable portions in Section 90 of Caltrans Standard Specifications. No pigment shall be used in curing compounds. All work shall be subject to inspection. No concrete shall be placed until the Project Manager has approved the forms and reinforcement. Page 806 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 76 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 9 D. Concrete shall not be cropped freely where reinforcing bars will cause segregation, nor shall it be dropped freely more than six feet. Spouts, elephant trunks, or other approved means shall be used to prevent segregation. 3.6 GRAVITY PIPELINE AIR TESTING AND FLUSHING A. All new sections of sanitary sewer shall be tested using the following procedures: 1. Test is conducted between two consecutive manholes, or as directed by the Project Manager. 2. The test section of the sewer shall be plugged at each end. One of the plugs used at the manhole shall be tapped and equipped for the air inlet connection for filling the line from an air compressor. 3. All service laterals, stubs, and fittings into the sewer test section shall be properly capped or plugged and carefully braced against the internal pressure to prevent air leakage by slippage and blowout. 4. Connect air hose to tapped plug selected for the air inlet. Connect the other end of the air hose to the portable air control equipment, which consists of valves and pressure gauges used to control the air entry rate into the sewer test section, and to monitor the air pressure in the pipeline. More specifically, the air control equipment includes a shut-off valve, pressure regulating valve, pressure reduction valve, and a monitoring pressure gauge having a pressure range from 0-5 psi. The gauge shall have minimum divisions of 0.10 psi and an accuracy of 0.40 psi. 5. Connect another air hose between the air compressor (or other source of compressed air) and the air control equipment. This completes the test equipment set-up. Test operations may commence. 6. Supply air to the test section slowly, filling the pipeline until a constant pressure of 3.5 psig is maintained. The air pressure must be regulated to prevent the pressure inside the pipe from exceeding 5.0 psig. 7. When constant pressure of 3.5 psig is reached, throttle the air supply to maintain the internal pressure above 3.0 psig for at least 5 minutes. This time permits the temperature of the entering air to equalize with the temperature of the pipe wall. During this stabilization period, it is advisable to check all capped and plugged fittings with a soap solution to detect any leakage at these connections. If leakage is detected at any cap plug, release the pressure in the line and tighten all leaky caps and plugs. Start the test operation again by supplying air. When it is necessary to bleed off the air to tighten or repair a faulty plug, a new 5-minute interval must be allowed after the pipeline has been refilled. 8. After the stabilization period, adjust the air pressure to 3.5 psig and shut-off or disconnect the air supply. Observe the gauge until the air pressure reached 3.0 psig. At 3.0 psig, commence timing with a stopwatch until the pressure drops to 2.5 psig, at which time the stop watch is stopped. The time required, as shown on the stopwatch, for a pressure loss of 0.5 psig is used to compute the air loss. 9. If the time, in minutes and seconds, for the air pressure drop from 3.0 to 2.5 psi is greater than that shown in the following table for the designated pipe size, the section undergoing test shall have passed and shall be presumed to be free of defects. The test may be discontinued at any time. Page 807 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 77 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 10 10. If the time, in minutes and seconds, for the 0.5 psig drop is less than that shown in the following table for the designated pipe size, the section of the pipe shall not have passed the test; therefore, adequate repairs must be made and the line retested. Requirements for Air Testing Pipe Size (in inches) Time Minutes Seconds 4 2 32 6 3 50 8 5 6 10 6 22 12 7 39 14 8 56 15 9 35 16 10 12 18 11 34 20 12 30 11. For 8 inch and smaller pipe, only: if, during the 5 minute saturation period, pressure drops less than 0.5 psig after the initial pressurization and air is not added, the pipe section undergoing test shall have passed. 12. Multi-pipe sizes: when the sewer line undergoing test is 8 inch or larger diameter pipe and includes 4 inch or 6 inch laterals, the figures in the table for uniform sewer main sizes will not give reliable or accurate criteria for the test. Where multi-pipe sizes are to undergo the air test, the Project Manager can compute the “average” size in inches which is then multiplied by 38.2 seconds. The results will give the minimum time in seconds acceptable for a pressure drop of 0.5 psig for the “averaged” diameter pipe. 13. Adjustment Required for Groundwater: a. An air pressure correction is required when the ground water table is above the sewer line being tested. Under this condition, the air test pressure must be increased .433 psi for each foot the ground water level is above the invert of the pipe. b. Where ground water is encountered or is anticipated to be above the sewer pipe before the air testing will be conducted, the following procedure shall be implemented at the time the sewer main and manholes are constructed. 1) Install a ½ inch diameter pipe nipple (threaded one or both ends, approximately 10 inch long) through the manhole wall directly on top of one of the sewer pipes entering the manhole with threaded end of nipple extending inside the manhole. 2) Seal pipe nipple with a threaded ½ inch cap. 3) Immediately before air testing, determine the ground water level by removing the threaded cap from the nipple, blowing air through the pipe nipple to remove any obstruction, and then connecting a clear plastic tube to the pipe nipple. 4) Hold plastic tube vertically permitting water to rise in it to the groundwater level. Page 808 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 78 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 11 5) After water level has stabilized in plastic tube, measure vertical height of water, in feet, above invert of sewer pipe. 6) Determine air pressure correction, which must be added to the 3.0 psig normal starting pressure of test, by dividing the vertical height in feet by 2.31. The result gives the air pressure correction in pounds per square inch to be added. B. After the line has passed the air test, it shall be balled and flushed with water to clean. A metal screen shall be used downstream at the point of connection to the existing system to collect and remove any rock or other debris that is flushed out during cleaning. 3.7 DEFLECTION TESTING A. Upon completion of work, perform a deflection test on entire length of installed plastic pipeline. Completed work includes superimposed loads adjacent to and over the pipeline, such as compacted backfill and earthwork, and does not include paving, concrete curbs and gutters, sidewalks, walkways, and landscaping. B. Under external loads, deflection of pipe in the installed pipeline shall not exceed 4.5 percent of the average inside diameter of pipe. C. Determine whether the allowable deflection has been exceeded by use of a pull- through device or a deflection-measuring device. D. Pull-Through Device: 1. Provide a spherical, spheroidal, or elliptical ball, a cylinder, or circular sections fused to a common shaft. a. Circular sections shall be so spaced on the shaft that distance from external faces of front and back sections will equal or exceed diameter of the circular section. b. Pull-through device may also be of a design approved by the Uni-Bell Plastic Pipe Association, provided that the device meets the applicable requirements specified in this paragraph, including those for diameter of the device. 2. Ball, cylinder, or circular sections shall conform to the following: a. A diameter, or minor diameter as applicable, of 95 percent of the average inside diameter of the pipe; tolerance of plus 0.5 percent will be permitted. b. A homogeneous material throughout, with a density greater than 1.0 as related to water at 39.2 degrees F, and a surface Brinell hardness of not less than 150. c. Center bored and through bolted with a ¼ inch minimum diameter steel shaft having a yield strength of not less than 70,000 pounds per square inch, with eyes or loops at each end for attaching pulling cables. d. Each eye or loop shall be suitably backed with a flange or heavy washer such that a pull exerted on opposite end of shaft will produce compression throughout remote end. E. Pull-Through Device: Page 809 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 79 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 12 1. Pass the pull-through device through each run of pipe, either by pulling it through or flushing it through with water. 2. If the device fails to pass freely through a pipe run, replace pipe which has the excessive deflection and completely retest in same manner and under same conditions as specified. F. Deflection measuring Device: 1. Sensitive to 1.0 percent of the diameter of the pipe being tested and accurate to 1.0 percent of the indicated dimension. 2. Obtain approval of deflection measuring device prior to use. G. Deflection Measuring Device Procedure: 1. Measure deflections through each run of installed pipe. 2. If deflection readings in excess of 4.5 percent of average inside diameter of pipe are obtained, retest pipe by a run from the opposite direction. 3. If retest continues to show a deflection in excess of 4.5 percent of average inside diameter of pipe, remove pipe which has excessive deflections, replace with new pipe, and completely retest in same manner and under same conditions. H. Warranty Period Test: Pipe found to have a deflection of greater than 5 percent of average inside diameter when deflection test is performed just prior to end of 1 year warranty period shall be replaced with new pipe and tested as specified for leakage and deflection. 3.8 CLEANING A. Thoroughly clean sewer lines and manholes of sediments, dirt, debris, and obstructions of any kind. 3.9 TELEVISION INSPECTION A. After completion of the pipe installation, service connections, flushing and cleaning, and prior to placement of pavement, the sewer line shall be televised with a color closed-circuit television with tilt-head camera recorded in DVD format. The original disc and log sheets shall be provided to the Owner for review. B. The following observations from television inspections will be considered defects in the construction of sewer pipelines and will require correction prior to placement of pavement: 1. Low spot (1 inch or greater - mainlines only) 2. Joint separations (3/4 inch or greater opening between pipe sections) 3. Cocked joints present in straight runs or on the wrong side of pipe curves 4. Chips in pipe ends 5. Cracked or damaged pipe 6. Dropped joints 7. Infiltration 8. Debris or other foreign objects 9. Other obvious deficiencies Page 810 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 80 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 13 10. Irregular condition without logical explanation END OF SECTION 333000 Page 811 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 81 STUDENT HOUSING Santa Rosa Junior College SANITARY SEWERAGE 09/14/2021 33 30 00 - 14 THIS PAGE INTENTIONALLY LEFT BLANK Page 812 of 901 04 / EXAMPLE OF WORK PRODUCT Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 82 ENGINEERS ESTIMATE ENGINEER'S OPINION OF PROBABLE CONSTRUCTION COST MILLS LANE STORM DRAIN IMPROVEMENTS CITY PROJECT NO. R20-02 JOB NO.:20201249 DATE: 9/29/2021 IMPROVEMENTS ITEM DESCRIPTION QUANTITY UNIT COST AMOUNT 1 Mobilization 1 LS 150,000.00 $ 150,000.00 2 Traffic Control & Construction Area Signs 1 LS 20,000.00 $ 20,000.00 3 Surveying & Layout 1 LS 20,000.00 $ 20,000.00 4 Miscellaneous Demolition (Clearing & Grubbing, AC, Gravel, etc.) 1 LS 20,000.00 $ 20,000.00 5 Culvert Abandonment 1 EA 1,000.00 $ 1,000.00 6 Relocate Existing Gas Line 1 EA 7,500.00 $ 7,500.00 7 Tree Demolition 1 EA 750.00 $ 750.00 8 Type II Microsurfacing 44,500 SF 1.00 $ 44,500.00 9 Connect to Existing Storm Drain System 1 EA 2,000.00 $ 2,000.00 10 36"x48" Storm Drain Drop Inlet 1 EA 5,000.00 $ 5,000.00 11 72" Diameter Storm Drain Manhole 4 EA 22,000.00 $ 88,000.00 12 84" Diameter Storm Drain Manhole 12 EA 30,000.00 $ 360,000.00 13 12" Storm Drain Pipe (RCP) 45 LF 150.00 $ 6,750.00 14 36" Storm Drain Pipe (RCP) 50 LF 350.00 $ 17,500.00 15 48" Storm Drain Pipe (RCP) 895 LF 450.00 $ 402,750.00 16 60" Storm Drain Pipe (RCP) 3,870 LF 550.00 $ 2,128,500.00 17 Storm Drain Pipe Encasement (Concrete Cap) 120 LF 150.00 $ 18,000.00 18 Trench Shoring 4,765 LF 15.00 $ 71,475.00 19 Earthwork - Material Moved on Site 2,000 CY 10.00 $ 20,000.00 20 Earthwork - Material Export 12,000 CY 55.00 $ 660,000.00 21 Storm Drain Outfall 1 EA 25,000.00 $ 25,000.00 22 Tree Protection Fence 1,200 LF 15.00 $ 18,000.00 23 Erosion & Sediment Control (Storm Water Pollution Prevention) 1 LS 25,000.00 $ 25,000.00 SUB TOTAL Contingency @ 10% GRAND TOTAL $ 4,111,725 $ 411,173 $ 4,522,898 This opinion of probable construction cost has been prepared to assist with determining anticipated costs associated with the construction of elements shown on the improvement drawings prepared by BKF Engineers. BKF Engineers' opinion of these costs is made on the basis of our professional judgment and experience. Our opinion of construction cost does not include all costs and fees required to complete the project. BKF Engineers does not have control over the cost or availability of labor, equipment, materials, over market conditions or the Contractor's method of pricing. BKF Engineers makes no warranty, express or implied, that the bids for work associated with this project will not vary from our opinion of probable construction cost. PREPARED BY: REBECCA DOWER, P.E. NO. C-80868 K:\2020\201249_St_Helena_Mills_Storm_Drain\DOCS\09-Cost_Est_Quantities\A-Eng_Estimates_Quantities\201249_Eng Opinion Probable Const Cost.xlsx Page 813 of 901 06 / REFERENCES Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 83 SIR FRANCIS DRAKE BOULEVARD REHABILITATION Marin County, CA The County of Marin re-constructed nearly 2 miles of Sir Francis Drake Boulevard roadway between Highway 101 and the Ross Town Limits. Because of its unique nature and current function, the County is using this opportunity to comprehensively re-envision the corridor with improvements to vehicle flow, transit operations, and pedestrian and bicyclist circulation along and across this important arterial. In addition to the overall corridor visioning, the project involves relocation of utility services, a new water main, new fiber optic lines and a full pavement rehabilitation. The project includes a topographic survey of the corridor, collection of information and data, seeking public input on concerns and suggestions for improvements, development of design alternatives, design of construction plans, and associated environmental review. The completed construction plans were issued for bid in 2020 with construction completed in 2021. The project was funded for both design and construction by Measure A, the Marin County Transportation Sales Tax measure passed by voters in 2004. The Marin County Department of Public Works is managing the project in coordination with agencies with facilities or interests in the corridor. Services provided: -Surveying -Preliminary Design Concepts -Public Outreach -Environmental Review -Construction Plans -Construction Staking -Construction Administration REFERENCE CONTACT Philip Buckley, Associate Civil Engineer Marin County Department of Public Works 3501 Civic Center Drive, Suite 304 San Rafael, CA 94903 t. 415.473.7292 Page 814 of 901 06 / REFERENCES Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 84 CALISTOGA CITY STREET REHABILITATION Calistoga, CA BKF has worked with the City of Calistoga since 2015 to provide design services on a number of street rehabilitation projects. We have rehabilitated a segment of Washington Street in the busy downtown corridor of the City. The project required coordination with Caltrans Highway 29/Lincoln Avenue (including signal timing and loop detectors), preservation options for of historic electric railway tracks in the center of the road, a mix of existing concrete and asphalt road surfaces, historic sidewalk arcade, non-standard curb heights, drainage issues, and shallow utilities. Construction staging, specification adjustments, and traffic control considerations were applied to the design so that the station could remain open and accessible at all times. BKF also provided construction support to the City. We designed a High Intensity Activated Crosswalk (HAWK) system for the safe crossing of pedestrian between wineries on Silverado Trail. This project involved coordination with the concurrent improvements being carried out by one of the wineries Additionally, we have recently completed a pavement overlay and new recycled water line installation project on Lake Street between Grant Avenue and Silverado Trail. This project included striping improvements to accommodate a new Class II bike lane along the corridor. BKF is currently working on a Rectangular Rapid Flashing Beacon (RRFB) and curb ramp project at the intersection of Lincoln Avenue and Brannan Street. This area includes a skewed intersection and a high volume of pedestrian traffic. Coordination with Caltrans to construct the improvements within State right-of-way is a key component of this project. REFERENCE CONTACT Derek Rayner, Director of Public Works City of Calistoga 414 Washington Street Calistoga, CA 94515 t. 707.942.2782 Page 815 of 901 06 / REFERENCES Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 85 FRANCISCO BOULEVARD San Rafael, CA In coordination with the Sonoma Marin Area Rail Transit (SMART) extension of revenue service from the Downtown San Rafael Station to Larkspur, the project required relocating and reconfiguring the existing alignment to accommodate the new rail alignment. The realignment was done to improve safety at the existing street crossings and improve both vehicular and non- motorized transportation along the corridor. A new signalized intersection was designed by BKF at the newly created rail crossing. Portions of the project also included the temporary renovations to the existing Bettini Transit Center located between Second and Third Streets. The project consisted of an extremely aggressive design schedule in order to complete early preparatory work near environmentally sensitive areas before the winter rains and critical habitat growth and animal breeding seasons. Once early design work was installed, the design team worked in coordination with four jurisdictional agencies (San Rafael, SMART, Caltrans and Golden Gate Transit) to balance key stakeholder requests. The project had challenges to meet all the requested items while still maintaining the conditions set forth in the project’s Memorandum of Understanding and keep the project design and ultimate construction on-schedule. Constant and clear communication from BKF and the design team to the parties involved was one of the key elements of the design being ready for construction in harmony with the design/build team’s internal schedules. REFERENCE CONTACT April Miller, Assistant Public Works Director/City Engineer City of San Rafael 111 Morphew Street San Rafael, CA 94901 t. 415.485.3454 Page 816 of 901 06 / REFERENCES Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 86 Reference Contact Project Description W-TRANS Tim Erickson, City EngineerCity of Ukiah 300 Seminary AvenueUkiah, CA 95472t. 707.463.6280 Gobbi Street and Waugh Lane Signal Design, UkiahTo take advantage of a grant from the Caltrans Statewide Transportation Improvement Program (STIP), the City of Ukiah selected W-Trans to design a new traffic signal for the intersection of East Gobbi Street and Waugh Lane. To meet a tight deadline for the grant funding, a detailed “draft” plan was prepared for the City that would be stamped and signed so it could be used to demonstrate substantial completion with grant requirements. The work also required review of pedestrian paths to determine the optimum locations for crosswalks and curb ramps that would not conflict with newly installed vaults for a joint utility trench. Michael Vanmidde, Lisa WelshCity of Santa Rosa69 Stony CircleSanta Rosa, CA 95401t. 707.543.3814, 707.543.3909 Pacific Avenue Reconstruction, Santa RosaPacific Avenue is a residential collector a few miles north of downtown Santa Rosa. The City decided to upgrade the street to improve pedestrian safety and upgrade utilities. W-Trans was selected to design traffic signal upgrades, arterial lighting improvements, and new Rectangular Rapid Flashing Beacons at three locations. A particular challenge of the work was coordinating with PG&E for minor lighting upgrades at the three RRFB locations. Vanessa GarrettCity of Rohnert Park130 Avram AvenueRohnert Park CA 94928 t. 707.588.2251 Trail to Crane Creek Regional Park, Rohnert ParkThe City of Rohnert Park and County of Sonoma were jointly completing a trail improvement project known as Crane Creek Trail. The west end of the trail terminated at Petaluma Hill Road at the intersection with Laurel Drive, which needed to be signalized. W-Trans prepared the design of a new traffic signal with special emphasis on lighting for trail users. Unique aspects of the project included a cooperative effort with PG&E to provide electrical service as no connection points were available nearby, and coordination with Sonoma State staff who were using the land at the intersection for research on decay of buried objects, to be sure the traffic signal controller cabinet was clear of any active use. LACO Gabe Sherman, Director of Maintenance, Transportation, and OperationsUkiah Unified School District511 S. Orchard AvenueUkiah, CA 95482t. 707.472.5081 Ukiah Unified School District, UkiahLACO has been working with UUSD since 2009, helping the district with projects that include grading, environmental services related to underground storage tank investigations and Phase I site assessments, water/wastewater design, geotechnical exploration, construction testing and inspection, and paving design and inspection. Steve Honeycutt, General ManagerGullion, Inc.2550 Lakewest Drive, Suite 50Chico, CA 95928t. 530.897.6458 Gobbi Commons Subdivision, UkiahLACO worked with Guillon, Inc. to design an 8-lot major subdivision on West Gobbi Street, in Ukiah. LACO’s scope of work included entitlements, geotechnical exploration, engineering plans and specifications for the improvements, and surveying of the tentative and final subdivision maps, construction observation, and testing and inspection. SUBCONSULTANT REFERENCES Page 817 of 901 06 / REFERENCES Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 87 Reference Contact Project Description Eileen Cichocki, Vice President of Administrative ServicesMendocino-Lake Community College District1000 Hensley Creek Road, Room 5110Ukiah, CA 95482t. 707.467.1018 Emergency Access Road/Mendocino-Lake Community College District, Ukiah CampusLACO Associates was retained by the Mendocino-Lake Community College District to assist in the design of a proposed secondary emergency access road. The secondary emergency access road from the Ukiah college campus to a point of connection to Orr Springs Road to the south and southwest of the existing campus. LACO assisted in preliminary feasibility and funding development and provided Civil and Geological support and recommendations during the design process. INTEGRA+ Damien O’Bid, City ManagerCity of Cotati201 W. Sierra AvenueCotati, CA 94931t. 707.665.3621 Old Redwood Highway, CotatiThis federally funded project included the design of a new entry gateway into the downtown area of the City of Cotati. The work included collaboration with Caltrans and the restriping of the street and featured an entry arch, mosaic wall with enhanced paving and drought tolerant streetscape. Jeff ValerosContra Costa County Public Works255 Glacier DriveMartinez, CA 95433t. 925.313.2031 Camino Tassajara Streetscape, Contra Costa CountyThe project included rehabilitation of the existing planting and irrigation along Camino Tassajara and Tice Valley Road. The scope of work included preliminary conceptual design, design development and PSEs for bidding the work. During construction, Michael Cook (INTEGRA+) assisted the County’s Road Engineer with observation, milestone field checks, and provided the final punch list and East Bay Municipal Utility District (EBMUD) certificate of compliance. April Miller, Senior Civil EngineerCity of San Rafael111 Morphew StreetSan Rafael, CA 94901t. 415.485.3454 Francisco Boulevard Multi-Use Pathway and Streetscape, San RafaelINTEGRA+ provided professional landscape architectural design services for approximately one-half mile of multi-modal pathways and streetscape. This included the coordination of a separated Class IV bikeway with tree wells along Francisco Boulevard West. The objective of the project was to design a safe route for pedestrians, bicyclists, and vehicles while integrating the streetscape landscape planting. Page 818 of 901 07 / EXCEPTIONS Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 88 EXCEPTIONS BKF has previously executed Professional Services Agreements with the City. With this in mind, BKF is respectfully requesting the same adjustments to the sample agreement and insurance requirements provided in the RFP. These suggestions are provided as the basis of negotiation and we would welcome the opportunity to discuss any items listed herein that may not be agreeable to the City. ATTACHMENT B | AGREEMENT FOR PROFESSIONAL CONSULTING SERVICES SECTION 6.1.C DEDUCTIBLES AND SELF-INSURANCE RETENTIONSAny 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 to the City, its officers, officials, employees and volunteers; or the Consultant shall procure a bond guaranteeing payment of losses and related investigations, claim administration and defense expenses. SECTION 6.2 INDEMNIFICATIONIndemnification. Notwithstanding the foregoing insurance requirements, and in addition thereto, Consultant agrees, for the full period of time allowed ...to the fullest extent permitted... by law, surviving the termination of this Agreement, to indemnify the City for any claim, cost or liability that arises out of, or pertains to, or relates to any negligent act or omission or the willful misconduct of Consultant and its agents in the performance of services under this contract, but this indemnity does not apply to liability for damages for death or bodily injury to persons, injury to property, or other loss, arising from the sole negligence, willful misconduct or defects in design by the City, or arising from the active negligence of the City. “Indemnify,” as used herein includes the expenses of defending against a claim and the payment of any settlement or judgment arising out of the claim. Defense costs include all costs associated with defending the claim, including, but not limited to, the fees of attorneys, investigators, consultants, experts and expert witnesses, and litigation expenses. However, Consultant shall not be required to provide for the upfront defense of the City with respect to claims alleging Professional Liability. For such claims, each party shall provide its own upfront defense and the non-prevailing party will reimburse the prevailing party for the prevailing party’s reasonable costs of defense. In no event shall the costs, fees, and expenses charged to the non-prevailing party exceed the non-prevailing party’s proportionate percentage of fault. ATTACHMENT C | INSURANCE REQUIREMENTS FOR CONSULTANTS Please note that BKF is only requesting the following adjustments because professional liability policies will not include an endorsement of contractual liability. This is not a specific BKF request, but an industry standard for civil engineering E&O insurance. I. MINIMUM SCOPE OF INSURANCED. Errors and Omissional liability insurance appropriate to the consultant’s profession, Architects and engineers’ coverage is to be endorsed to include contractual liability. Reasoning: Professional liability does not include contractual liability. This is a standard in the industry. IV. REQUIRED INSURANCE PROVISIONSD. 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. Reasoning: Carriers no longer provide certified mail. Page 819 of 901 Page 820 of 901 BKF ENGINEERS 200 Fourth Street, Suite 300, Santa Rosa, CA 95401 | t. 707.583.8500 05 / FEE PROPOSAL Andrew Stricklin, Associate Engineer January 31, 2022City of Ukiah, Department of Public Works BKF Project No. P20212351300 Seminary AvenueUkiah, CA 95482-5400 Fee Proposal submitted electronically to astricklin@cityofukiah.com SUBJECT: FEE PROPOSAL FOR THE PREPARATION OF PLANS, SPECIFICATIONS & ESTIMATE FOR EAST PERKINS WIDENING PROJECT Dear Andrew: BKF Engineers (BKF) welcomes the opportunity to submit our cost fee proposal to the City of Ukiah for the Preparation of Plans, Specification & Estimate for the East Perkins Widening Project. Authorized Personnel. As a Vice President, I am authorized to bind the firm contractually. We are offering the enclosed fee proposal as a basis of negotiation, based on our understanding of the project and proposed scope of service. Please do not hesitate to reach out should you need clarification, or have any questions or would like to discuss any required adjustments to the enclosed information. Sincerely,BKF ENGINEERS Jason Kirchmann, PE, PLS, QSD/P Vice President t. 707.583.8515jkirchmann@bkf.com ATTACHMENT 3 Page 821 of 901 05 / FEE PROPOSAL Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 2 BKF ENGINEERS PROFESSIONAL SERVICES RATE SCHEDULE JANUARY 1, 2022 - DECEMBER 31, 2022 CLASSIFICATION HOURLY RATE PROJECT MANAGEMENT Principal/Vice President $264.00 Senior Associate/Vice President $237.00 Associate $230.00 Senior Project Manager | Senior Technical Manager $230.00 Project Manager | Technical Manager $224.00 Engineering Manager | Surveying Manager | Planning Manager $207.00 TECHNICAL STAFF Senior Project Engineer | Senior Project Surveyor | Senior Project Planner $192.00 Project Engineer | Project Surveyor | Project Planner $169.00 Design Engineer | Staff Surveyor | Staff Planner $147.00 BIM Specialist I, II, III $147.00 - $169.00 - $192.00 Technician I, II, III, IV $140.00 - $149.00 - $163.00 - $176.00 Drafter I, II, III, IV $110.00 - $120.00 - $130.00 - $145.00 Engineering Assistant | Surveying Assistant | Planning Assistant $91.00 FIELD SURVEYING Survey Party Chief $192.00 Instrument Person $165.00 Survey Chainperson $123.00 Utility Locator I, II, III, IV $100.00 - $142.00 - $170.00 - $193.00 Apprentice I, II, III, IV $76.00 - $102.00 - $113.00 - $119.00 CONSTRUCTION ADMINISTRATION Senior Consultant $251.00 Senior Construction Administrator $218.00 Resident Engineer $162.00 Field Engineer I, II, III $147.00 - $169.00 - $192.00 ASSISTANTS Project Coordinator $122.00 Senior Project Assistant $106.00 Project Assistant $93.00 Clerical | Administrative Assistant $79.00 Expert witness rates are available upon request. Subject to the terms of a services agreement:• Charges for outside services, equipment, materials, and facilities not furnished directly by BKF Engineers will be billed as reimbursable expenses at cost plus 10%. Such charges may include, but shall not be limited to: printing and reproduction services; shipping, delivery, and courier charges; subconsultant fees and expenses; agency fees; insurance; transportation on public carriers; meals and lodging; and consumable materials. • Allowable mileage will be charged at the prevailing IRS rate per mile. • Monthly invoices are due within 30 days from invoice date. Interest will be charged at 1.5% per month on past due accounts. Page 822 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 05 / FEE PROPOSAL LACO W Trans Integra Traffic Landscape VP VP PM SPE PE DE FC $237 $237 $224 $192 $169 $147 $315 1 Project Management 1 Project Management 24 24 $5,376 $0 $0 $0 $0 $5,376 2 Project Kick-Off Meeting 2 4 2 2 10 $2,092 $0 $0 $0 $0 $2,092 3 Routine Status Update Meetings 8 24 16 8 56 $11,696 $0 $0 $0 $0 $11,696 4 Quality Assurance/Quality Control (QA/QC) 16 4 2 22 $5,188 $0 $0 $0 $0 $5,188 16 14 54 18 10 0 0 112 $24,352 $0 $0 $0 $0 $24,352 2 Data Collection 1 Record Data Collection and Field Review 2 6 8 8 24 $4,530 $0 $4,770 $0 $5,247 $9,777 2 Public Utilities Coordination 2 4 8 14 $2,392 $0 $0 $0 $0 $2,392 3 Topographic Survey 2 6 12 80 48 148 $31,002 $0 $0 $0 $0 $31,002 4 Geotechnical Investigation 4 4 8 $1,664 $29,000 $0 $0 $31,900 $33,564 0 4 18 28 0 96 48 194 $39,588 $29,000 $4,770 $0 $37,147 $76,735 3 30% Design 1 30% Plans, Specifications, and Estimate 4 20 40 8 80 152 $26,220 $0 $2,690 $11,280 $15,367 $41,587 0 4 20 40 8 80 0 152 $26,220 $0 $2,690 $11,280 $15,367 $41,587 4 60% Design 1 60% Plans, Specifications, and Estimate 4 20 60 8 120 212 $35,940 $0 $8,890 $7,260 $17,765 $53,705 0 4 20 60 8 120 0 212 $35,940 $0 $8,890 $7,260 $17,765 $53,705 5 90% Design 1 90% Plans, Specifications, and Estimate 2 12 40 8 80 142 $23,954 $0 $7,200 $3,860 $12,166 $36,120 0 2 12 40 8 80 0 142 $23,954 $0 $7,200 $3,860 $12,166 $36,120 6 Caltrans Encroachment Permit 1 Caltrans Encroachment Permit Application and Coordination 8 4 12 $2,560 $0 $0 $0 $0 $2,560 2 Caltrans Right-of-Way Improvement Drawings 2 16 24 8 40 90 $15,898 $0 $0 $0 $0 $15,898 3 Response to Caltrans Comments 3 9 24 24 60 $10,863 $0 $0 $0 $0 $10,863 0 5 33 52 8 64 0 162 $29,321 $0 $0 $0 $0 $29,321 7 Final PS&E 1 Final PS&E 4 8 20 8 40 80 $13,812 $0 $5,745 $2,170 $8,707 $22,519 0 4 8 20 8 40 0 80 $13,812 $0 $5,745 $2,170 $8,707 $22,519 General BKF Printing, Plotting, and Travel (1% of Total) Consultant Labor Totals 16 37 165 258 50 480 48 1054 $193,187 $29,000 $29,295 $24,570 $91,152 $284,339 Total Phase 1 Fees* (Total fees include consultant and reimbursable markups pursuant to rate sheets)$286,769 3 30% Design Subtotal: 4 60% Design Subtotal: Geotech To t a l B K F H o u r s BKF 2 Data Collection Subtotal: To t a l S u b c o n s u l t a n t F e e * *I n c l u d e s 1 0 % M a r k u p CONSULTING SERVICES To t a l B K F F e e 1 Project ManagementSubtotal: Es t i m a t e d T o t a l F e e QA / Q C M a n a g e r Sub consultants 5 90% Design Subtotal: Task Description Full Ra De s i g n E n g i n e e r East Perkins Widening Project $2,430 Fi e l d C r e w Pr o j e c t E x e c u t i v e Pr o j e c t M a n a g e r Sr P r o j e c t E n g i n e e r Pr o j e c t E n g i n e e r 6 Caltrans Encroachment Permit Subtotal: Reimbursable and Consultant Expenses 7 Final PS&E Subtotal: Page 823 of 901 Ukiah, Proposal for East Perkins Widening BKF ENGINEERS 05 / FEE PROPOSAL LACO W-Trans Integra Traffic Landscape VP VP PM SPE PE DE FC $237 $237 $224 $192 $169 $147 $315 OT 1 Right of Way Survey 1 Right of Way Survey 2 4 8 24 40 24 102 $21,262 $0 $0 $0 $0 $21,262 2 4 8 24 0 40 24 102 $21,262 $0 $0 $0 $0 $21,262 OT 2 SWPPP 1 SWPPP 2 4 24 30 $4,744 $0 $0 $0 $0 $4,744 0 0 2 4 0 24 0 30 $4,744 $0 $0 $0 $0 $4,744 OT 3 Underground Utility Locating Services 1 Underground Utility Locating Services 2 2 8 16 40 68 $17,410 $0 $0 $0 $0 $17,410 2 0 2 8 0 16 40 68 $17,410 $0 $0 $0 $0 $17,410 OT 4 Bid and Construction Phase Support Services 1 Bid Support Services 4 8 4 16 $3,508 $0 $0 $0 $0 $3,508 2 Construction Support Services 12 24 60 96 $16,116 $0 $0 $0 $0 $16,116 3 Construction Meetings 16 16 32 $6,656 $0 $0 $0 $0 $6,656 0 4 36 44 0 60 0 144 $26,280 $0 $0 $0 $0 $26,280 OT 5 Caltrans Traffic Control Plan 1 Bid Support Services 8 16 30 80 $25,928 $0 $0 $0 $0 $25,928 8 16 30 0 80 0 0 0 $25,928 $0 $0 $0 $0 $25,928 General BKF Printing, Plotting, and Travel (1% of Total) Consultant Labor Totals 12 20 42 36 80 80 64 200 $95,624 $0 $0 $0 $0 $74,362 Total Phase 1 Fees* (Total fees include consultant and reimbursable markups pursuant to rate sheets)$75,862 OT 4 Bid and Construction Phase Support Services Subtotal: OT 1 Right of Way Survey Subtotal: Es t i m a t e d T o t a l F e e Pr o j e c t E x e c u t i v e Pr o j e c t M a n a g e r Sr P r o j e c t E n g i n e e r Fi e l d C r e w OPTIONAL SERVICES QA / Q C M a n a g e r BKF To t a l S u b c o n s u l t a n t F e e * *I n c l u d e s 1 0 % M a r k u p Pr o j e c t E n g i n e e r De s i g n E n g i n e e r Task Description Full Rate East Perkins Widening Project To t a l B K F F e e To t a l B K F H o u r s Sub consultants OT 5 Caltrans Traffic Control Plan Subtotal: Geotech OT 2 SWPPP Subtotal: OT 3 Underground Utility Locating Services Subtotal: $1,500 Reimbursable and Consultant Expenses Page 824 of 901 https://www.strongtowns.org/journal/2022/2/7/why-do-we-have-to-handle-30000-trips-per-day Why Do We Have to Handle 30,000 Trips per Day? The state highway that runs through the middle of my hometown is scheduled to be refurbished in the coming years. The Minnesota Department of Transportation has started the public engagement process, conducting earnest dialogue with all the potentially concerned parties. I’ve been able to be part of some of those discussions. Highway 210—or, as we call it, Washington Street—is a chasm that divides the community. It physically separates the residential neighborhoods to the north from the core downtown to the south, inflicting massive damage to both in the process. The fast traffic and ridiculously narrow sidewalks combine to stagnate businesses along Washington Street itself, forcing the original buildings that lined the street into decline. Second- and third-tier chain stores join slumlords as apex predators in this malnourished economic ecosystem. Page 825 of 901 Washington Street is Exhibit A in how a state transportation department inflicts deep, structural damage on a community. It has hurt the finances of the local government, wrecked the opportunities of many small business owners, and depressed property values throughout the city. Most every American city has a similar exhibit, a testament to the staggering degree of self-harm our society inflicted upon itself, starting in the decades after World War II. The discussions about Washington Street today are mostly about mitigating this damage. How do we narrow lanes to make the traffic a little less threatening? How do we have sidewalks where two people don’t need to walk single-file mere feet from automobiles traveling at lethal speeds? How do we help the local businesses justify investments in their own future? How do we make it easier to cross this chasm so that the rejuvenating downtown has a chance to be more than just a lifestyle amenity? I can feel the momentum for change in the conversations. My neighbors are offended by the way this highway disrespects the community and they want to be heard. The mayor and city council seem to support significant changes. The city staff is talking about calming traffic and making things more “pedestrian-friendly.” Even the officials at the DOT seem interested in a new set of priorities. Interested, that is, until the wish list of modifications and improvements threaten the core priorities they feel compelled to adhere to. After patiently listening to the many concerns, one DOT official brought things back to reality by making their institutional values clear. “This is all great, but let’s not forget that we need to accommodate 30,000 trips per day.” Ouch. You can hear the needle being scraped over the record that was just starting to play a song of redemption. We need to accommodate 30,000 trips per day, at speed, and this is non-negotiable, with every other priority being submissive to that dominant requirement. I wrote about this in Confessions of a Recovering Engineer, though it is surreal to watch it play out so vividly in my own community. Engineers begin the design process with: (1) design speed and (2) traffic volume. Given those two parameters, they then consult the design manual to get the specifications for a (3) safe street. They then calculate the (4) cost for that design. It is that design process that creates the hierarchy of priorities that reflects the values of the traffic engineer: 1. Speed 2. Volume 3. Safety 4. Cost Page 826 of 901 These are not the values of my neighbors. I doubt they are the values of the city council or the city staff. They don’t reflect a set of priorities designed to make my hometown successful. Why is this a top priority of anyone? It’s important to understand what a traffic engineer means with this requirement. They don’t mean that they literally must accommodate 30,000 trips per day. That would be easy. There are 86,400 seconds in a day. With two-way traffic, 30,000 trips is one car every six seconds. No problem. What they actually mean is that they need to accommodate the bulk of that traffic during the peak hour. Commuters come into the city in the morning and out of the city at the end of the day. Businesses, schools, and governments schedule their hours based on this daily routine. So, let me restate what the traffic engineer actually means when they say that they have to handle 30,000 trips per day: The city must be degraded, the quality of life of its residents diminished, and local business opportunities stifled, in order to improve the convenience of commuters who have chosen to live outside of the city. The design of this street must prioritize their convenience over all else. That’s offensive, but like prisoners suffering from Stockholm Syndrome, those of us who live in the city—and the people we elect and employ to work on our behalf—start to identify with this mandate. After all, don’t we want all those commuters to come to our city? Don’t we need them? And don’t we also use this same street to drive out to the edge of town to get to the big box stores, schools, and other things that have been built there over the last few decades? There is a negative feedback loop we have come to accept as normal. We must have a highway, and everything that entails, through the middle of the city because we have to accommodate the commuters who live outside of the city. And, people choose to live outside of the city and commute in because they prefer not to live next to the highway in the neighborhoods it has degraded. We must have a highway through the middle of the city because we need all of those people living outside of the city to come into town to work, shop, and office. And, by having the highway divide the community, we force nearly every city resident who wants to work, shop, or office to get into their car, at which point the big boxes and drive-thrus in the neighboring city gain a significant advantage over local businesses. I could go on, but the point is rather self-evident. The priority that we must value speed and volume of traffic when designing Washington Street is imposed on the city as a preference of one set outcomes (commuting lifestyle) over another set of outcomes (neighborhood living). I reject that priority. What is the implication of rejecting that priority? What would happen if the DOT joined with the city in saying that priorities other than speed and volume were more dominant? Page 827 of 901 What if we all agreed that the quality of the city’s neighborhoods, the success of its local businesses, and the safety of its residents, were the paramount concern? In such a circumstance, the new design of Washington Street would narrow lanes, widen sidewalks, bring in vegetation and human-scaled lighting, prioritize people walking, give deference to cross-traffic instead of throughput, and do the many quality-of-life things that city officials and residents are asking for. And, while it might make commutes a little longer for those who have chosen to live outside the city, that delay would be offset in time by an increasing number of people who choose to live in the city’s neighborhoods, the improved business community that could expand offerings in response to a responsive local market, a shift in the number of trips that could now be made by biking and walking, and the local wealth saved from an overall reduction in vehicle miles traveled. The pandemic has demonstrated to us all that hours of operation can be flexible, that remote work is here to stay, and that commute patterns are not stuck at what the historic traffic flow charts suggest they must be. The system is dynamic. If we’re doing a once-in-a- generation renovation of Washington Street, let’s not be rigid in our thinking of what is possible. Let’s build a great city and then see what traffic volumes we can accommodate at peak hour. Page 828 of 901 Page 1 of 4 Agenda Item No: 12.e. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1314 AGENDA SUMMARY REPORT SUBJECT: Receive Annual Progress Reports on the 2019-2027 Housing Element and 1995 (Current) Ukiah Valley General Plan; and Provide Direction as Necessary. DEPARTMENT: Community Development PREPARED BY: Craig Schlatter, Community Development Director, Jesse Davis, Planning Manager, Mireya Turner, Planning Manager PRESENTER: Craig Schlatter, Community Development Director, Jesse Davis, Planning Manager, Mireya Turner, Planning Manager ATTACHMENTS: 1. 2021 HCD APR - Housing 2. 2021 OPR APR - General Plan 3. 12e Presentation Given at Meeting Summary: Council will receive annual progress reports on the implementation of the City's 2019-2027 Housing Element and 1995 (Current) Ukiah Valley General Plan, and provide direction as necessary. Background: Government Code requires the City's Community Development Department to provide an annual report to the City Council, Governor's Office of Planning and Research (OPR), and the California Department of Housing and Community Development (HCD) regarding the City's progress in implementing its adopted housing element and general plan. Annual reports are due by April 1 of each year. The 2021 Housing Element Annual Progress Report (APR) will be the second report for the 6th Planning Cycle and 2019-2027 Housing Element. This will likely be one of the last APRs for the Ukiah Valley General Plan (1995), which will be replaced by the Ukiah 2040 General Plan once adopted. Discussion: Staff has completed the 2021 Housing Element Annual Progress Report (Attachment 1), describing housing production in 2021 towards the City meeting its share of the regional housing needs, as well as progress on implementation of 2019-2027 Housing Element programs. Staff has also completed the 2021 Annual Progress Report for the 1995 Ukiah Valley General Plan (Attachment 2). Calendar Year 2021 Housing Unit Production For the 2019-2027 Housing Element/6th Planning Cycle, the City of Ukiah was assigned a Regional Housing Needs Allocation (RHNA) of 239 residential units affordable to households of various income levels. This assignment process was undertaken in coordination with the Mendocino Council of Governments and Cities of Fort Bragg, Point Arena, and Willits, as well as the County of Mendocino. In 2021, there were 59 building permits issued for residential units within the City of Ukiah. Of those permits issued, 50 were considered affordable to ‘Extremely Low-Income’ households, 6 were considered affordable to ‘Moderate-Income’ households, and 3 units were considered affordable to ‘Above-Moderate Income’ households. Table B of the Housing Element APR depicts the City's progress towards meeting this RHNA assignment. Given 2021 housing production, the City remains well-positioned to meet and exceed its RHNA assignment by the end of 2027. Page 829 of 901 Page 2 of 4 This is validated by the residential permit applications submitted in 2021 but not yet issued, as well as identified projects in the pipeline. One identified project by DANCO Communities, Acorn Valley Plaza, has secured preliminary funding through CDBG. DANCO intends to submit a Low Income Housing Tax Credit credit application in an upcoming funding cycle to fully fund the project. If completed, this mixed-use development would deliver 71 units of affordable family housing plus commercial frontage suites along East Gobbi Street. Notably in 2021, each moderate-income residential unit permitted was for an Accessory Dwelling Unit (ADU). Of the ADUs permitted in 2021, only one was detached and newly constructed. With this one exception, no additional permits have been issued for newly-constructed detached ADUs since 2020. The majority of ADU construction within the City of Ukiah is for conversion of existing interior space, especially garages. Additional information required by HCD is contained in Tables A and A2. Table C is not applicable because the City is on track to fulfill its fair share of assigned regional housing units and thus is not required to rezone sites to accommodate a shortfall. Tables E and F are also not applicable because the City did not provide a commercial development bonus for any project, nor did the City rehabilitate, preserve, or acquire units for alternative sites. Table G did not require completion, as the City did not dispose of locally owned sites included in the Housing Element inventory. Table H is not required as the City has not taken formal action to declare that land owned in fee simple title by the City is surplus and no longer necessary for use by City Departments. 2021 Housing Element Program Implementation Since adoption of the 2019-2027 Housing Element in October 2019, Staff has prioritized implementation of programs within the Housing Plan contained in Section 7 of the Housing Element, towards a goal of accelerating the production of housing. Since 2019, Staff has submitted applications (and received awards) for all State HCD funding programs available to accelerate housing planning efforts. This has resulted in more housing element implementation tasks (programs) implemented than any other time in the City's history. In 2021 alone, Staff completed seven such implementation programs. Each of the completed programs are listed below with a brief description of their intended impact. 1e- developed standards and design guidelines for residential development in the Medium Density Residential (R-2) and High Density Residential (R-3), Community Commercial (C-1) and Heavy Commercial (C-2) zoning districts. This program is intended to, with program 2h below, streamline the housing development process by eliminating discretionary review while also having well-designed and integrated projects. 2f- Amend the zoning code for emergency shelters, transitional/supportive housing, single-room occupancy housing, and manufactured/factory-built homes. This secured City compliance with existing Housing Element law while also streamlining future development of these uses. 2h- C1 and C2 zones updated to allow by-right housing development, provided such developments meet objective design and development standards; density increased from 14 to 15 dwelling units per acre for R-2 zoning districts; Neighborhood Commercial (C-N) zoning district updated to increase residential density and allow similar housing types as those allowed in R-2; and Housing Overlay Zone created for select parcels on East Gobbi Street. Adoption by Council of the Housing Overlay Zone is accelerating the development of the proposed 71-unit mixed use project, Acorn Valley Plaza, by DANCO Communities. 2l- zoning codes/processes revised to allow supportive housing by-right in zones where multifamily and mixed uses are permitted, including nonresidential zones permitting multifamily uses. This secured compliance with AB 2162, while also streamlining future supportive housing projects. 3a- researched, reviewed and amended the development standards in the zoning code for opportunities to maximize housing development. Amending development standards and density creates more options for housing development while still retaining the residential character of Ukiah's neighborhoods. Page 830 of 901 Page 3 of 4 3b- developed flexible parking policies for new residential development. The area required for parking in multifamily dwellings can be cost-prohibitive for developers and did not reflect the Council's support of multi- modal travel. The approved moderate reduction in parking and the option for unbundled parking supports and encourages housing development, particularly for lower-income housing stock. 3d- developed Residential Housing Development Checklist for developers. The Checklist is designed to assist both experienced and novice housing developers to navigate objective design and development standards so their projects will qualify for the by-right permit process, saving 4-6 months of time and the expense of Planning permit fees. The Checklist also includes a multi-departmental list of common standards so the developer has foreknowledge of City Building, Utility, and Public Works requirements. In addition to work on the Housing Element implementation programs, SB 2 funds were used to develop engineered plans for three styles of Accessory Dwelling Units (ADUs). The ADUs were designed to fit the most common size of parcel, with sizes varying from 534 sf (the Cottage) to 832 sf (the Bungalow). Unstamped versions of the plans are available on the City's website (cityofukiah.com/ADU) and full sets of the plans are printed at no charge when the Building Permit Application is submitted. Staff intends to continue prioritizing Housing Element Implementation Programs. Through the City's awarded Local Early Action Planning (LEAP) Grant and Regional Early Action Planning (REAP) Grant, funding will be deployed in 2022 for development and implementation of an electronic permitting system. This system is intended to facilitate improvements to permit processing to streamline housing development. Annual Progress Report for Ukiah Valley General Plan Government Code Sections 65400 and 65700 mandate that all cities and counties submit an annual report on the status of the General Plan and progress in its implementation to their legislative bodies, OPR, and HCD by April 1 of each year. Upon review and consultation of OPR materials that support development of this document, Staff intends to submit the City Manager’s 2021 Annual Review (Attachment 2). Per OPR: “The APR prepared for your city or county is not required to incorporate all of the elements suggested and need not be an elaborate and time-consuming task. Instead, the APR may make use of available sources of information that may contain information pertinent to General Plan annual reporting such as: “annual reports,” “performance reports,” “budget reports,” or “state of the city/county reports.” A benefit of this approach is that it enables General Plan implementation to be discussed in the broader context of the jurisdiction's overall programs and activities, including infrastructure enhancement, economic development, and housing. Next Steps for 2022 and Beyond Even as the City has accelerated implementation of its 2019-2027 Housing Element and is on track to meet or exceed its State-mandated RHNA production requirements, there continues to be a strong demand for housing in Ukiah and its Valley. In speaking with developers, Staff have learned that lack of infrastructure and suitable development sites are principal barriers to housing development in the Valley. Ukiah itself is also physically constrained and mostly built-out. Without a change in policy or approach, it may be difficult for the City to continue meeting its RHNA production goals after the 6th planning cycle (2028 and beyond). Under the current State Housing Accountability Act, this could result in State-mandated rezoning of commercial parcels to residential zoning designations to accommodate the shortfall. Towards addressing these issues, Staff has been exploring the concept of a Regional Housing Plan. Such a plan may involve collaboration with planners throughout Mendocino County to site housing where appropriate and where cities' municipal services and infrastructure already exist. Staff has also been re-evaluating the Ukiah Housing Trust Fund to match the needed types of housing with funding. Staff recommends Council receive this report and provide additional direction as necessary. Staff also Page 831 of 901 Page 4 of 4 recommends Council direct Staff to explore a Regional Housing Plan and evaluation of the Ukiah Housing Trust Fund and return to Council with recommendations. Recommended Action: Receive reports and provide direction as necessary. BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: N/A Page 832 of 901 2021 UKIAH Housing Element Annual Progress Report General Information First Name Jese Street Address 300 Seminary Avenue Phone 7074636207 Last Name Davis City Ukiah Email jdavis@cityofukiah.com Title Planning Manager Zip Code 95469 Comments: Include any additional information or explanation for the information provided in the following tables. UKIAH - 2021 1 Attachment #1 Page 833 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE A - Housing Development Applications Submitted Unit Information Project Identifier Proposed Units Affordability by Household Incomes Current APN Street Address Very Low- Income Deed Restricted Very Low- Income Non Deed Restricted Low-Income Deed Restricted Low-Income Non Deed Restricted Moderate- Income Deed Restricted Moderate- Income Non Deed Restricted Above Moderate- Income Total Proposed Units by Project Total Approved Units by Project Total Disapproved Units by Project 002-186-04 330 North Main Street 0 0 0 0 0 0 1 1 1 0 Totals 0 0 0 0 0 0 1 1 1 0 Project Information Project Identifier Unit Types Density Bonus Applications Prior APN Current APN Street Address Project Name Local Jurisdiction Tracking ID Unit Category Tenure Date Application Submitted Was Application Submitted Pursuant to SB 35 Streamlining? Was a Density Bonus requested for this housing development? Was a Density Bonus approved for this housing development? Please indicate the status of the application Notes N/A 002-186-04 330 North Main Street Buzow - N. Main (21-6197) 6320 SFD Owner 06/07/2021 No No No Approved UKIAH - 2021 2 Page 834 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE A2 - Annual Building Activity Report Summary - New Construction Entitlements Project Identifier Affordability by Household Income - Entitlements Current APN Street Address Local Jurisdiction Tracking ID Very Low- Income Deed Restricted Very Low- Income Non Deed Restricted Low-Income Deed Restricted Low-Income Non Deed Restricted Moderate- Income Deed Restricted Moderate- Income Non Deed Restricted Above Moderate- Income Entitlement Date Approved # of Units Issued Entitlements 002-340-39 555 SO ORCHARD AVENUE BU_2020-2321 50 0 0 0 0 0 0 12/29/2020 50 002-256-11 390 STEPHENSON AVENUE 5839 0 0 0 0 0 0 0 0 002-173-19 435 N BUSH STREET 5873 0 0 0 0 0 0 0 0 001-104-11 546 NORTH SPRING STREET 5596 0 0 0 0 0 0 0 0 002-145-08 558 SCHOOL STREET 5920 0 0 0 0 0 0 0 0 001-351-41 138 LOW GAP ROAD 5937 0 0 0 0 0 0 0 0 001-242-18 612 MARY LANE 6133 0 0 0 0 0 0 0 0 002-186-04 330 NORTH MAIN STREET 6320 0 0 0 0 0 0 1 06/07/2021 1 003-122-04 504 NOKIMIS DRIVE 6325 0 0 0 0 0 0 0 0 003-510-09 1156 HELEN AVENUE 6385 0 0 0 0 0 0 0 0 001-301-03 413 WEST MILL STREET 6590 0 0 0 0 0 0 0 0 UKIAH - 2021 3 Page 835 of 901 003-110-87 611 REDWOOD AVENUE 5421 0 0 0 0 0 0 0 0 001-112-23 654 WALNUT AVENUE 5234 0 0 0 0 0 0 0 0 Multiple 250 W GOBBI ST 19-4625 0 0 0 0 0 0 0 0 Totals 50 0 0 0 0 0 1 51 UKIAH - 2021 4 Page 836 of 901 Building Permits Project Identifier Affordability by Household Income - Building Permits Current APN Street Address Local Jurisdiction Tracking ID Very Low- Income Deed Restricted Very Low- Income Non Deed Restricted Low-Income Deed Restricted Low-Income Non Deed Restricted Moderate- Income Deed Restricted Moderate- Income Non Deed Restricted Above Moderate- Income Building Permits Date Issued # of Units Issued Building Permits 002-340-39 555 SO ORCHARD AVENUE BU_2020-2321 50 0 0 0 0 0 0 02/02/2021 50 002-256-11 390 STEPHENSON AVENUE 5839 0 0 0 0 0 1 0 01/26/2021 1 002-173-19 435 N BUSH STREET 5873 0 0 0 0 0 1 0 02/18/2021 1 001-104-11 546 NORTH SPRING STREET 5596 0 0 0 0 0 1 0 09/09/2020 1 002-145-08 558 SCHOOL STREET 5920 0 0 0 0 0 1 0 05/06/2021 1 001-351-41 138 LOW GAP ROAD 5937 0 0 0 0 0 0 1 02/23/2021 1 001-242-18 612 MARY LANE 6133 0 0 0 0 0 0 1 06/16/2021 1 002-186-04 330 NORTH MAIN STREET 6320 0 0 0 0 0 0 1 07/06/2021 1 003-122-04 504 NOKIMIS DRIVE 6325 0 0 0 0 0 1 0 07/06/2021 1 003-510-09 1156 HELEN AVENUE 6385 0 0 0 0 0 1 0 08/06/2021 1 001-301-03 413 WEST MILL STREET 6590 0 0 0 0 0 1 0 10/22/2021 1 003-110-87 611 REDWOOD AVENUE 5421 0 0 0 0 0 0 1 07/30/2020 1 001-112-23 654 WALNUT AVENUE 5234 0 0 0 0 0 1 0 05/27/2020 1 UKIAH - 2021 5 Page 837 of 901 Multiple 250 W GOBBI ST 19-4625 0 0 0 0 0 0 8 02/11/2020 8 Totals 50 0 0 0 0 8 12 70 UKIAH - 2021 6 Page 838 of 901 Certificate of Occupancy Project Identifier Affordability by Household Income - Certificate of Occupancy Current APN Street Address Local Jurisdiction Tracking ID Very Low- Income Deed Restricted Very Low- Income Non Deed Restricted Low-Income Deed Restricted Low-Income Non Deed Restricted Moderate- Income Deed Restricted Moderate- Income Non Deed Restricted Above Moderate- Income Certificates of Occupancy or other forms of readiness Date Issued # of Units Issued Certificates of Occupancy or other forms of readiness 002-340-39 555 SO ORCHARD AVENUE BU_2020-2321 50 0 0 0 0 0 0 05/05/2021 50 002-256-11 390 STEPHENSON AVENUE 5839 0 0 0 0 0 1 0 07/22/2021 1 002-173-19 435 N BUSH STREET 5873 0 0 0 0 0 0 0 0 001-104-11 546 NORTH SPRING STREET 5596 0 0 0 0 0 0 0 0 002-145-08 558 SCHOOL STREET 5920 0 0 0 0 0 0 0 0 001-351-41 138 LOW GAP ROAD 5937 0 0 0 0 0 0 1 07/20/2021 1 001-242-18 612 MARY LANE 6133 0 0 0 0 0 0 0 0 002-186-04 330 NORTH MAIN STREET 6320 0 0 0 0 0 0 1 12/09/2021 1 003-122-04 504 NOKIMIS DRIVE 6325 0 0 0 0 0 1 0 09/22/2021 1 003-510-09 1156 HELEN AVENUE 6385 0 0 0 0 0 0 0 0 001-301-03 413 WEST MILL STREET 6590 0 0 0 0 0 0 0 0 003-110-87 611 REDWOOD AVENUE 5421 0 0 0 0 0 0 1 11/24/2021 1 UKIAH - 2021 7 Page 839 of 901 001-112-23 654 WALNUT AVENUE 5234 0 0 0 0 0 1 0 11/22/2021 1 Multiple 250 W GOBBI ST 19-4625 0 0 0 0 0 0 8 03/11/2021 8 Totals 50 0 0 0 0 3 11 64 UKIAH - 2021 8 Page 840 of 901 Project Information Project Identifier Unit Types Housing with Financial Assistance and/or Deed Restrictions Demolished/Destroyed Units Units? Prior APN Current APN Street Address Project Name Local Jurisdicti on Tracking ID Unit Category Tenure Extremel y Low Income Units Was Project Approve d using SB 35 Streamli ning? Infill Units? Assistan ce Program s for each Develop ment Deed Restricti on Type Housing without Financial Assistan ce or Deed Restricti ons Term of Affordabi lity or Deed Restricti on Number of Demolish ed/ Destroye d Units Demolish ed or Destroye d Units? Demolish ed/ or Destroye d Units Owner or Renter Notes N/A 002-340- 39 555 SO ORCHAR D AVENUE Live Oak Apartmen ts - Project Homekey BU_2020- 2321 5+Renter 50 N Y HKEY Other N/A 1000 0 N/A 002-256- 11 390 STEPHE NSON AVENUE N/A 5839 ADU Renter 1 N Y ADU & Projected Rent 0 N/A 002-173- 19 435 N BUSH STREET N/A 5873 ADU Renter 0 N Y ADU & Projected Rent 0 N/A 001-104- 11 546 NORTH SPRING STREET N/A 5596 ADU Renter 0 N Y ADU & Projected Rent 0 N/A 002-145- 08 558 SCHOOL STREET N/A 5920 ADU Renter 0 N Y ADU & Projected Rent 0 N/A 001-351- 41 138 LOW GAP ROAD N/A 5937 MH Renter 1 N Y N/A 0 N/A 001-242- 18 612 MARY LANE N/A 6133 SFD Owner 0 N Y N/A 0 UKIAH - 2021 9 Page 841 of 901 N/A 002-186- 04 330 NORTH MAIN STREET Buzow - N. Main (21-6197) 6320 SFD Owner 1 N Y N/A 0 N/A 003-122- 04 504 NOKIMIS DRIVE N/A 6325 ADU Renter 1 N Y ADU & Projected Rent 0 N/A 003-510- 09 1156 HELEN AVENUE N/A 6385 ADU Renter 0 N Y ADU & Projected Rent 0 N/A 001-301- 03 413 WEST MILL STREET N/A 6590 ADU Renter 0 N Y ADU & Projected Rent 0 N/A 003-110- 87 611 REDWO OD AVENUE N/A 5421 SFD Owner 1 N Y 0 N/A 001-112- 23 654 WALNUT AVENUE N/A 5234 ADU Renter 1 N Y ADU & Projected Rent 0 001-306- 06 Multiple 250 W GOBBI ST Gobbi Common s 19-4625 SFD Owner 8 N Y 0 Density Bonus Project Identifier Density Bonus Current APN Street Address Local Jurisdiction Tracking ID Deed Restriction Type Total Density Bonus Applied to the Project (Percentage Increase in Total Allowable Units or Total Maximum Allowable Residential Gross Floor Area) Number of Other Incentives, Concessions, Waivers, or Other Modifications Given to the Project (Excluding Parking Waivers or Parking Reductions) List the incentives, concessions, waivers, and modifications (Excluding Parking Waivers or Parking Modifications) Did the project receive a reduction or waiver of parking standards? (Y/N) UKIAH - 2021 10 Page 842 of 901 Very Low*86 Deed restricted 0 0 50 0 0 0 0 0 0 50 36 Non- Restricted 0 0 0 0 0 0 0 0 0 Low 72 Deed restricted 0 30 0 0 0 0 0 0 0 33 39 Non- Restricted 2 1 0 0 0 0 0 0 0 Moderate 49 Deed restricted 0 0 0 0 0 0 0 0 0 14 35 Non- Restricted 3 5 6 0 0 0 0 0 0 Above Moderate 32 3 9 3 0 0 0 0 0 0 15 17 Total Units 8 45 59 0 0 0 0 0 0 112 Total RHNA 239 Total Remaining Need for RHNA Period 127 *Note: Units serving extremely low-income households are included in the very low-income permitted units totals 2021 UKIAH Housing Element Annual Progress Report TABLE B - Regional Housing Needs Allocation Progress Permitted Units Issued by Affordability Income Level RHNA Allocation Restrictions Year 1 - 2019 Year 2 - 2020 Year 3 - 2021 Year 4 - 2022 Year 5 - 2023 Year 6 - 2024 Year 7 - 2025 Year 8 - 2026 Year 9 - 2027 Total Units to Date (all years) Total Remaining RHNA by Income Level UKIAH - 2021 11 Page 843 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE C - Sites Identified or Rezoned to Accommodate Shortfall Housing Need No Data Available UKIAH - 2021 12 Page 844 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE D - Program Implementation Status Program Description Housing Programs Progress Report - Government Code Section 65583 Name of Housing Element Program Objective Timeframe in H.E.Status of Program Implementation H-1 - 1a: Implement a residential rehabilitation program. Encourage the rehabilitation of existing residential unit Ongoing, as funding is available ONGOING: Community Development Block Grant (CDBG) funds are being considered to fulfull this program objective. H-1 - 1b: Continue the City’s Energy Efficiency Public Benefits Fund and renewable energy and energy efficiency rebate programs. Provide education and opportunities to increase green building practices. Ongoing, as funding is available ONGOING: In 2021, the City of Ukiah CDBG Utility Bill Assistance Program commenced a low and moderate income households in Ukiah struggling with COVID-19 economic impacts. Payments are intended to prevent the cutoff of utility services or provide emergency payments for essential short-term utility-related need. Additionally, the City has developed a rebate program for those affordable housing developers that achieve energy efficiency savings above Title 24 standard. H-1 - 1c: Support funding or other applications that would preserve/conserve existing mobile home parks. Preserve at-risk housing units.Ongoing, as needed ONGOING: A rent stabilization ordinance was adopted by the City Council in 2011. The City continues to enforce rent stabilization. Staff has investigated the Mobilehome Park Rehabilitation and Residential Ownership Program (MPRROP) via HCD that would finance the preservation of affordable mobilehome parks by conversion to ownership or control by resident organizations, nonprofit housing sponsors, or local public entities, but no action has yet been taken. In 2021, Staff participated in training regarding the California Mobilehome Residency Law Protection Program (MRLPP) through the Mobilehome Residency Law Protection Act of 2018, Assembly Bill 3066. UKIAH - 2021 13 Page 845 of 901 H-1 - 1d: Continue providing informational materials to the public through the Green Building Information Center and at the public counter. Provide education and opportunities to increase green building practices. Ongoing, as new and relevant information is available. ONGOING: In 2021, staff updated and maintained the Green Building Resource Center in the Ukiah Civic Center. The Community Development Department also maintains resources on its website, including helpful links to enable the public to experience and learn more about healthy and energy, water, and material conserving design and construction. Additionally, the City's Electric Utility Department provides information on education on these types of practices and programs. H-1 - 1e: Develop standards and design guidelines for residential development in the Medium Density Residential (R-2) and High Density Residential (R-3), Community Commercial (C-1) and Heavy Commercial (C-2) zoning districts. Streamline housing development.Establish development standards and design guidelines by the end of calendar year 2020. COMPLETED: Objective Design and Development Standards adopted by the City Council (Ordinance 1216) on 9/1/2021. H-1 - 1f: Develop an At-Risk Units Program Preserve at-risk housing units.Develop At-Risk Program by the end of calendar year 2020. ONGOING: The nature of conversion risk varies significantly among projects depending on the type of subsidy and related affordability controls. Staff annually monitor local investment in projects that have been acquired by non- or for-profit entities to ensure that properties are well-managed, maintained and operated in accordance with the City’s municipal standards. As all units are guaranteed to remain affordable for the remainder of this RHNA cycle, the City will continue to monitor, however, should changes to status arise, Staff will implement efforts to preserve at risk units. H-1 - 1g: Tenant Education and Assistance for Tenants of At-Risk Projects. Require property owners to give notice to tenants of their intent to opt out of low-income use restrictions. Provide tenants of at-risk units with education regarding tenant rights and conversion procedures. Develop education program and notification procedures by June 30, 2020; implement program on an ongoing basis throughout the 2019-2027 planning period. COMPLETED AND ONGOING: Informational handouts were developed by City Staff to educate tenants of their rights and conversion procedures. At this stage, however, no at risk projects have been identified by the City of Ukiah that would require further action. H-2 - 2a: Update the inventory of vacant and underutilized parcels. Ensure that adequate residentially designated land is available to accommodate the City’s share of the Regional Housing Need. Updated annually, by June 30 of each year; posted on the City’s website and at the public counter COMPLETED & ONGOING: This list was updated by June 30, 2021. UKIAH - 2021 14 Page 846 of 901 H-2 - 2b: Monitor the rate of conversion of primary residences to short-term rental units. Ensure that adequate residentially designated land is available to accommodate the City’s share of the Regional Housing Need and not converted to commercial uses. Develop monitoring program by June 30, 2020; annually track number of short-term rentals and present information along with annual progress report to City Council each year; short-term rental ordinance research report due June 30, 2025. ONGOING Facilitated through Plan Check processess similar to the conversion of residential homes to commercial uses. Short-Term Rentals require a business lisence to operate. Staff is revieweing software programs to further assist with short-term rental enforcement, but notes that a signifigant portion of operators do not facilitate whole-home rentals. H-2 - 2c: Monitor the conversion of single family residential homes to commercial uses Ensure that adequate residentially designated land is available to accommodate the City’s share of the Regional Housing Need and not converted to commercial uses. Gather data and report findings to City Council by June 30, 2021. ONGOING: Presently, conversion of residential structures is monitored via the Plan-Check Process. There were no conversions of residential homes to commercial uses. H-2 - 2d: Pursue additional funding sources to augment the Ukiah Housing Trust Fund, creating a permanent source of funding for affordable housing. Encourage the development of a variety of different types of housing. Facilitate the production of housing for all segments of the Ukiah population Ongoing.ONGOING: The purpose of the Ukiah Housing Trust Fund (UHTF) is to help achieve the City’s General Plan goals, to develop and preserve affordable housing. In 2021, the City utilized HTF funds to make a loan to an affordable housing developer for the future development of up to 71 affordable housing units. The City's HTF is a revolving loan program, so as additional loans are made, principal and interest repayments will re-capitalize the fund. H-2 - 2e: Continually engage with a variety of housing developers who specialize in providing housing to each economic segment of the community. Facilitate the production of housing for all segments of the Ukiah population Ongoing community and stakeholder outreach, occurring at least on a quarterly basis and continuing throughout the 2019-2027 planning period. ONGOING: City Housing and Planning Staff continue to actively participate in the Mendocino County Housing Action Team. In 2021, as requested, Staff met with project developers from Mendocino County and Northern Califronia to engender interest in locating projects within the City. In response to developer requests, the City has identified LEAP funds to research and develop an electronic permitting system for use by interested parties. H-2 - 2f: Amend the zoning code: Emergency Shelters, Transitional/Supportive Housing, Single Room Occupancy Housing and Manufactured/Factory Built Homes Facilitate the production of housing for all segments of the Ukiah population Complete draft Zoning Code amendments by December 30, 2020; secure adoption by June 30, 2021. COMPLETE: Zoning Ordinance amendments adopted by the City Council (Ordinance 1216) on 9/1/2021. UKIAH - 2021 15 Page 847 of 901 H-2 - 2g: Facilitate the consolidation of smaller, multi- family parcels by providing technical assistance to property owners and developers in support of lot consolidation. Facilitate the production of housing for all segments of the Ukiah population. Preserve at-risk housing units. Present report to Planning Commission and City Council, with recommendations, by June 30, 2026. ONGOING: The City continues to look for these opportunities, but none were identified. By encouraging the consolidation of smaller, multi-family parcels, allowing for an increase in the number of units, the City improves the infrastructure capacity and housing supply and affordability. This task is included in the LEAP Grant awarded to the City and is scheduled to commence 1/1/2023. H-2 - 2h: Ensure capacity of adequate sites for meeting RHNA: (1) Update C1 and C2 Zones to allow by-right housing development, with objective design and development standards (2) Update the R-2 Zone to allow up to 15 dwelling units per acre instead of 14 dwelling units per acre (3) Update the C-N Zone to increase residential density and allow similar housing types as those allowed in R-2. (4) By-right housing program for select parcels. Facilitate the production of housing for all segments of the Ukiah population Develop objective design and development standards per schedule associated with Implementing Program 1e; pursue amendments to the Zoning Code as outlined above by June 30, 2021. COMPLETED: Zoning Ordinance amendments including by-right housing development with objective design and development standards, increasing residential density in the C-N zone, and by-right housing for select parcels, adopted by the City Council (Ordinance 1216) on 9/1/2021. The Council adopted a Resolution to amend the General Plan to match the increase in density in the C-N Zone on 8/18/2021. H-2 - 2i: Monitor residential capacity (no net loss). Proactively monitor the consumption of residential acreage to ensure an adequate inventory is maintained for the City’s RHNA obligations. Preserve at-risk housing units.Ongoing, with annual reports to HCD and the City Council; develop and implement a project evaluation procedure pursuant to Government Code 65863, by June 30, 2021. ONGOING: No residential net loss was identified for the year 2021. H-2 - 2j: First Time Homebuyer Assistance Expand affordable housing opportunities for first time homebuyers. Ongoing ONGOING: The City of Ukiah (“City”) homebuyer program is designed to provide assistance to eligible homebuyers in purchasing homes, also referred to herein as “housing units”, located within the Program’s eligible area. First time homebuyer assistance was provided to 2 households, enabling them to purchase their own home in 2021. UKIAH - 2021 16 Page 848 of 901 H-2 - 2k: Collaborate with local service providers on addressing homelessness. Continue participation in the Mendocino County Continuum of Care. Facilitate the production of housing for all segments of the Ukiah population, including those with special needs. Ongoing ONGOING: The City continues to participate in the Mendocino County's Continuum of Care via multiple Departments. H2-2l: Review existing City processes for compliance with AB 2162. Revise zoning codes/processes to allow supportive housing by right in zones where multifamily and mixed uses are permitted, including nonresidential zones permitting multifamily uses. Complete review of existing City processes by June 30, 2020; revise zoning codes/processes by December 31, 2020 COMPLETE: Included in the Zoning Code Amendments adopted by the City Council on 9/1/2021. H-2 - 2m: Housing Units Replacement Program Ensure that adequate residentially designated land is available to accommodate the City’s share of the Regional Housing Need. In order to mitigate the loss of affordable housing units, require new housing developments to replace all affordable housing units lost due to new development. The replacement requirement will be implemented immediately and applied as applications on identified sites are received and processed. ONGOING: Displacement not identified in 2021, as all development was supplemental or occurred on vacant parcels. H-2- 2n: Homeless Shelter Overlay District Evaluation. Evaluate the Homeless Shelter Overlay District to determine suitability for accommodating the identified number of homeless persons. Facilitate the production of housing for all segments of the Ukiah population, including those with special needs. Complete evaluation of overlay district on a bi-annual basis, with the first report due to Planning Commission by June 30, 2020. Depending on results of evaluation(s), make recommendations for options including possible amendment of the District within 6 months of the date the report is due. COMPLETE: Staff presented analysis to the Planning Commission, and determined that the current homeless shelter overlay district was adequete to meet the needs of unhoused individuals, including those with special needs. Evaluation performed by the Planning Commission 1/27/2021. Scheduled for reevaluation in January 2023. H-3 - 3a: Research, review and amend the development standards in the zoning code for opportunities to maximize housing development. Increasing maximum allowable height for new residential buildings; Increasing density; Reducing yard setbacks; Reducing minimum site area; Upzoning R-1 (Single-family Residential) and R-1-H (Single- family Residential- Hillside Combining) zoning districts to allow by-right and/or permit other residential building types and densities. Complete draft Zoning Code amendments by December 30, 2021; secure adoption by June 30, 2022 COMPLETE: Zoning Ordinance amendments including by-right housing development with objective design and development standards, increasing residential density in the C-N zone, and by-right housing for select parcels, adopted by the City Council (Ordinance 1216) on 9/1/2021. The Council adopted a Resolution to amend the General Plan to match the increase in density in the C-N Zone on 8/18/2021. H-3 - 3b: Develop flexible parking policies for new residential development. The intent of this policy is to reduce parking requirements, especially in zoning districts that allow for lower- income housing developments. Remove governmental constraints to infill housing development. Complete draft policy by June 30, 2020 COMPLETE: Zoning Ordinance amendments including flexible parking policies were adopted by the City Council (Ordinance 1216) on 9/1/2021. UKIAH - 2021 17 Page 849 of 901 H-3 - 3c: Explore other policies and regulations that facilitate new infill housing development. Produce report with recommendations and present to Planning Commission and City Council. Encourage the use of density bonuses and provide other regulatory concessions to facilitate housing development. Complete draft report by June 30, 2026 ONGOING & DELAYED: In 2021, Staff researched policies and regulations that facilitate new infill housing development. In 2022, Staff will produce reports with recommendations and present to Planning Commission and City Council. H-3 - 3d: Facilitate improvements to permit processing to streamline housing development. Remove governmental constraints to infill housing development. Pre-application conferences ongoing; City processing procedures brochure developed by June 30, 2021 COMPLETE & ONGOING: Staff created a Housing Development Checklist (processing procedures brochure) for by-right housing development of duplexes, triplexes, 4-plexes and larger projects in 12/2021. These are currently available on the City website and via email upon request. It was also sent to known housing developers currently working with the City. Additionally, utilizing LEAP funds, Staff intends to research and develop an electronic permitting system to reduce the number of paper copies that result in processing delays. H-3 - 3e: Continue to apply the CEQA infill exemption to streamline environmental review. Improve building and planning permit processing for residential construction. Ongoing ONGOING: Staff regularly applies and utilizes the CEQA infill exemption to streamline enviornmental review when appropriate. In 2021, the infill exemption was applied to a commercial conversion request for along Main Street that resulted in one (1) new Single Family Dwelling. H-3 - 3f: Review Site Development Permit and Use Permit Processes. Produce report for City Council analyzing processes and making recommendations for how to revise processes and/or Ukiah City Code such that project approval process is accelerated. Remove governmental constraints to infill housing development. Improve building and planning permit processing for residential construction. Report due to City Council by December 31, 2020; process and/or code improvements to be implemented immediately thereafter. COMPLETE: Zoning Ordinance amendments including by-right housing development with objective design and development standards were adopted by the City Council (Ordinance 1216) on 9/1/2021. These objective standards streamline both the Site Development Permit and Use Permit processes. UKIAH - 2021 18 Page 850 of 901 H4- 4a: Continue to collaborate with the Ukiah Police Department and property owners and managers to keep housing safe. Support the Crime Prevention through Environmental Design standards through continued referral of residential new construction projects to the Ukiah Police Department. Continue to implement effective crime prevention activities. Ongoing ONGOING: The Planning Division continues to collaborate with the Ukiah Police Department (UPD), as the UPD reviews all housing project applications as a part of the Department's referral process and regularly makes comments. Comments often are derived from the UPD's Crime Prevention Through Environmental Design strategy. H4- 4b: Continue to refer housing discrimination complaints to Legal Services of Northern California, State Fair Employment and Housing Commission, and the U.S. Department of Housing and Urban Development (HUD). Promote fair housing practices in the sale or rental of housing with regard to race, color, national origin, ancestry, religion, disability/ medical conditions, sex, age, marital status, familial status, source of income, sexual orientation/gender identify, or any other arbitrary factors. Ongoing ONGOING: No complaints received in 2021, but the City remains cognizant of this objective. H4- 4c: Develop project referral procedural for referral of all proposed General Plan amendments to the appropriate military office for review and comment. Revise the planning permit application form to include this step of referral. Promote well-planned and designed housing opportunities and projects for all persons. Develop referral procedure and revise planning permit application form by December 31, 2019; implement on January 1, 2020. COMPLETED: In determining the impact of new growth on military readiness activities, information provided by military facilities shall be considered. The City shall address military impacts based on information from the military and other sources. All amendments to the Ukiah General Plan, and large development projects shall be sent to military referal entities. A request for review is sent to these contacts prior to determination of project’s completeness, so that any requests for additional information or conditions may be integrated into the project in a timely manner. UKIAH - 2021 19 Page 851 of 901 H5-5a: Maintain a housing resources webpage. Assume a leadership role in the development of all types of housing in the community. Updated regularly, as new and relevant information is available. COMPLETED & ONGOING: The City created and maintains a Housing Services website (http://www.cityofukiah.com/housing-services/). Included on the this webpage are resources such as funding sources and programs, affordable housing developers, and a list of publicly assisted housing providers.using Services also coordinates the City’s housing efforts and implementation of the General Plan Housing Element with Planning Division staff and partners with the City Manager’s Office to implement business assistance loan activities. Current programs include the HOME Program, Community Devleopment Blog Grant Program, and implementation of the Ukiah Housing Trust Fund Program. H5-5b: Complete the update of the 2020 Sphere of Influence, Municipal Service Review, and Ukiah 2040 General Plan. Include an annexation policy. Pursue annexation efforts that lead to an orderly expansion of growth, where services are adequate for future residential development. 2020- Sphere of Influence and Municipal Service Review; 2021- Ukiah 2040 General Plan. ONGOING: State law requires LAFCos to, as necessary, review and update spheres every five years. The City of Ukiah's SOI update is presently pending. Staff completed an annexation policy for Council's review, consideration, and adoption on January 16th, 2020. The City is regular communication with the Mendocino County LAFCo, both to process associated requests for annexation, but also to faciliate updates to its SOI and MSR. UKIAH - 2021 20 Page 852 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE E - Commercial Development Bonus Approved pursuant to GC Section 65915.7 No Data Available UKIAH - 2021 21 Page 853 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE F - Annual Building Activity Report Summary - Units Rehabilitated, Preserved and Acquired pursuant to GC Section 65583.1(c)(2) Affordability by Household Incomes (Units that DO NOT count towards RHNA) Activity Type Extremely Low-Income Very Low-Income Low-Income Total Units Description of Activity Rehabilitation Activity 0 0 0 0 Preservation of Units At-Risk 0 0 0 0 Acquisition of Units 0 0 0 0 Mobilehome Park Preservation 0 0 0 0 Total Units by Income 0 0 0 0 Affordability by Household Incomes (Units that DO count towards RHNA) Activity Type Extremely Low-Income Very Low-Income Low-Income Total Units Description of Activity Rehabilitation Activity 0 0 0 0 Preservation of Units At-Risk 0 0 0 0 Acquisition of Units 0 0 0 0 Mobilehome Park Preservation 0 0 0 0 Total Units by Income 0 0 0 0 UKIAH - 2021 22 Page 854 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE G - Locally Owned Lands Included in the Housing Element Sites Inventory that have been sold, leased, or otherwise disposed of (CCR Title 25 �6202) No Data Available UKIAH - 2021 23 Page 855 of 901 2021 UKIAH Housing Element Annual Progress Report TABLE H - Locally Owned Surplus Sites (CCR Title 25 �6202) No Data Available UKIAH - 2021 24 Page 856 of 901 2021 UKIAH Housing Element Annual Progress Report LEAP Reporting (CCR Title 25 �6202) Total Award Amount 65,000.00 Task $ Amount Awarded $ Cumulative Reimbursement Requested Task Status Other Funding Notes Update Historic Structure Policy 19,900.00 19,000.00 In Progress None Facilitate Lot Consolidation 14,900.00 14,900.00 In Progress None New Infill Housing Policy 16,200.00 16,200.00 In Progress None Electronic Permit System Plan 14,000.00 14,000.00 In Progress None UKIAH - 2021 25 Page 857 of 901 Ringing in 2022 with Ukiah City Manager Sage Sangiacomo As one year ends, another begins. On behalf of the City of Ukiah, I am pleased to wish you a happy, healthy, and prosperous new year. Today, I am once again reflecting on the remarkable strength and resilience of our community. Through the challenges that we have faced this year, your team at the City of Ukiah has fought to ensure reliable and high-quality municipal services are delivered today and into the future. I wanted to share a few of our 2021 accomplishments, and some of our plans for 2022. Water: Amid Statewide Water Shortages, Ukiah Responded Responsibly With historically low rainfall, the Ukiah Valley was confronted with the very real prospect of a prolonged drought. By virtue of our proactive investments in a diversified water supply, the City was able to maintain our affordable and reliable water supply while also supporting the health of our parched neighboring coastal communities through water transfers. A key investment that helped us achieve this success was Ukiah’s state-of-the-art water recycling plant. This facility allows the City to serve approximately 325 million gallons of water to farmers, parks and schools and offsets our reliance on the Russian River by at least 30%. Additionally, we have modernized our productive groundwater wells and created access to alternative sources in order to reduce our reliance on the Russian River and Mendocino Lake. In acknowledgement of our efforts, the City of Ukiah was awarded Recycled Water Agency of the Year among medium- sized water agencies at the WateReuse California 2021 annual conference. Safer Streets: Downtown Streetscape Improvement Project This summer, we celebrated the conclusion of Phase 1 of the Downtown Streetscape Improvement project. This project provides streetscape and utility improvements in downtown Ukiah on State Street, Perkins Street, and Standley Street, Church Street and others including underground utility replacement, sidewalk widening, curb ramps and bulb outs, streetlights, street furniture and tree planting. Phase 2 is currently in the design process, with construction expected to begin in 2022. Phase 2 will extend the project both to the north and the south, from Henry to Norton and from Mill to Gobbi. Learn more at http://www.cityofukiah.com/streetscape/. City of Ukiah Recycled Water Pump Birds eye view of improvements to S. State St. and W. Perkins St. Attachment #2 Page 858 of 901 Housing: A Continued Emphasis on Producing More Housing Opportunities Within the last five years, the City has consistently prioritized innovative approaches to facilitate additional housing units for all Ukiah residents. A Housing Strategy adopted in 2017 by the City Council created the City’s Housing Division and the Ukiah Housing Trust Fund. These concepts and plans were incorporated into the City’s updated 2019-2027 Housing Element. Our team has pursued and been awarded grants to accelerate the City’s efforts to clear barriers to development for middle-income market-rate units. Although not producing all the housing the community currently needs, these efforts are having impact. The Ukiah Senior Apartments project, funded in part by a $5 million HOME grant sponsored by the City, was completed in 2021 and delivered 31 units of affordable senior housing. Our team also deployed homebuyer assistance funding for first time homebuyers. Additional housing programs and new potential housing developments are planned for 2022, and we are optimistic that these efforts and additional strategies will bring even more housing options to our community. Public Safety: Ensuring Stable Resources and Services that Keep our Region Safe With all the beauty provided by the trees and rolling grassy hills in our region, also comes the annual threat of devastating fires. To be prepared to address these risks, the City recently sought and received approval for the annexation of the City of Ukiah into the Ukiah Valley Fire Protection District. The fire district annexation is the first step in simplifying the patchwork of special districts that make up the Ukiah Valley. The annexation helps establish a fair and equitable funding resource for fire and emergency response services for all Ukiah Valley residents. It also helps move towards fiscal stability for the long-term benefit of Ukiah Valley residents served by the Ukiah Valley Fire Authority. Fire Chief Doug Hutchison “Providing quality fire and emergency medical services should be a top priority for every community, and I am pleased that our region is taking the right steps to modernize our governance structures in a way that improves efficiency and ensures appropriate resources are dedicated to these life-saving services.” - Fire Chief Doug Hutchison, Ukiah Valley Fire Authority Ukiah Senior Apartments, recently completed, provides 31 units of affordable housing for Ukiah’s seniors. Page 859 of 901 Recreation & Open Space: Expanding The Great Redwood Trail - Ukiah Over the last several years, the City has been developing a rail trail that spans the entire length of the city. As a result, we now proudly host the first completed segment of the Great Redwood Trail, which will eventually span all the way from Marin to Humboldt County. The trail provides an important connection to existing bike routes as well as to the major employment and economic centers of the city. This investment benefits us both today and into the future. The trail, complete with native plants, has proven to be an invaluable gathering area for friends and family. Additionally, by providing a means for alternate transportation, the trail reduces vehicle miles travelled in the city, offsetting the amount of carbon let into the air. We look forward to continued work in the months and years ahead to expand the trail further. Arts and Culture: Bringing Home Grace Hudson Paintings Ukiah remains committed to preserving the tremendous cultural history of our region. For this reason, we were excited to announce earlier this month the acquisition of 18 Grace Hudson paintings, gifted to Ukiah’s Grace Hudson Museum by the Palm Springs Art Museum. The addition of these paintings will complement our existing collection of Grace Hudson paintings. The Grace Hudson Museum will feature these paintings as part of a special exhibition opening February 4, 2022. Looking to the Future: Ukiah 2040 General Plan We have embarked on the updating of the City’s General Plan, a document that serves as Ukiah’s long-term framework or “constitution” for growth and development over the next 20 years. Given that the City’s General Plan was last updated in 1995, the 2040 General Plan represents a pivotal moment for Ukiah in determining our community’s vision for the future. General Plan updating is in process and additional workshops are planned for 2022. To participate, check out the City’s 2040 General Plan website at https://ukiah2040.com. You can make comments, join the email list to receive announcements, or read more about the General Plan Update process. Over 200 oak trees have been planted along the trail, providing shade and offsetting carbon emissions One of 18 Grace Hudson originals gifted to the Grace Hudson Museum Page 860 of 901 Community Gathering: Reintroducing Sundays in the Park! And finally, I am beyond excited to announce that we will be bringing back a full season of Sundays in the Park, our outdoor concert series. This summer, beginning in June, I look forward to seeing you all at the Todd Grove Park, enjoying the outdoors, food, and great music. Despite its challenges, 2021 was a year of positive growth for our community. From all of us at the City, we wish you a happy and healthy New Year, and look forward to a promising 2022. Sage Sangiacomo City Manager Families gathered for fun at Sunday in the Park Page 861 of 901 2022 Annual Progress Reports 2019-2027 Housing Element and 1995 General Plan CITY COUNCIL February 16, 2022 Craig Schlatter, Director Jesse Davis, Planning Manager Mireya G. Turner, Planning Manager City of Ukiah Department of Community Development Page 862 of 901 CALENDAR YEAR 2021 HOUSING UNIT PRODUCTION Page 863 of 901 6th Cycle –Final Proposed Allocation 3Page 864 of 901 6th Cycle –Housing Element City of Ukiah -Residential Permits Issued 4 Income Level RHNA Allocation by Income Level 2019 2020 2021 Very Low Deed Restricted 86 --50 Non-Deed Restricted --- Low Deed Restricted 72 -30 - Non-Deed Restricted 2 1 - Moderate Deed Restricted 49 --- Non-Deed Restricted -5 6 Above Moderate N/A 32 -9 3 Total RHNA 239 2 45 59 Page 865 of 901 Accessory Dwelling Units –2020-2021 5 Permit #ADU Type Status 5057 Existing Detached Accessory Structure Issued 02/25/2020 5098 Interior Conversion Issued 02/19/2020 5174 Existing Detached Accessory Structure Closed (C/O) 5234 Existing Detached Accessory Structure Closed (C/O) 5374 Existing Detached Accessory Structure Reviewing 5596 Existing Garage Conversion Issued -09/09/2020 5647 Existing Garage Conversion Reviewing 5839 Existing Detached Accessory Structure Closed (C/O) 5873 Existing Garage Conversion Issued -02/18/2021 5920 New Detached Issued -05/06/2021 5962 Existing Garage Conversion Reviewing 6325 Existing Garage Conversion Closed (C/O) 6385 Existing Detached Accessory Structure Issued -08/06/2021 6590 Existing Garage Conversion Issued -10/22/2021 6714 Above Garage Conversion Issued -01/10/2022 6726 Existing Detached Accessory Structure Issued -01/10/2022 Page 866 of 901 1995 GENERAL PLAN APR 6Page 867 of 901 2021 HOUSING ELEMENT PROGRAM IMPLEMENTATION Page 868 of 901 2021 COMPLETED HOUSING ELEMENT PROGRAMS •1e •2f •2h •2l •3a •3b •3d 8Page 869 of 901 OBJECTIVE DESIGN AND DEVELOPMENT STANDARDS FLEXIBLE PARKING OPTIONS Page 870 of 901 HOUSING OVERLAY ZONE Page 871 of 901 OTHER AMENDMENTS •Density •Height •Setbacks (Required Yards) •Required Site Area •Allowed/Permitted Uses Page 872 of 901 EDUCATIONAL OUTREACH AND DEVELOPER PACKET Page 873 of 901 ACCESSORY DWELLING UNIT (ADU) PLANS Page 874 of 901 MILITARY COMPATIBILITY ANALYSIS •Referral of all proposed General Plan Amendments •Requested all large projects Page 875 of 901 HOMELESS SHELTER OVERLAY ANALYSIS Page 876 of 901 VACANT AND UNDERUTILIZED PARCEL LIST Page 877 of 901 2022 HOUSING ELEMENT PROGRAMS PLANNED Page 878 of 901 LOOKING AHEAD TO MEET FUTURE DEMAND Page 879 of 901 TWO CONCEPTS TO EXPLORE FURTHER 1.Regional Housing Strategy 2.Re -evaluation of Ukiah Housing Trust Fund 19Page 880 of 901 Page 1 of 2 Agenda Item No: 12.f. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1401 AGENDA SUMMARY REPORT SUBJECT: Consideration of Financial Contribution in the Amount of $50,000 to the Inland Water and Power Commission for Legal Services Related to the Potter Valley Project. DEPARTMENT: Water Resources PREPARED BY: jarod, sean PRESENTER: Consent Calendar ATTACHMENTS: None Summary: Council will consider a request for a financial contribution from the Inland Water and Power Commission in the amount of $50,000 related to the Potter Valley Project. Background: The Potter Valley Project results in the diversion of Eel River water into the Russian River throughout the year. Those diversions supplement Russian River flows stored in Lake Mendocino which supplies surface water to water users in Mendocino, Sonoma and Marin counties. PG&E has given notice that it will not seek to relicense the Potter Valley Project. If the license is not renewed, Federal Energy Regulatory Commission (FERC) could require the project decommissioned, which could disrupt or eliminate the Eel River diversions that supply water to all Russian River water users and support salmon and steelhead populations in the Russian River drainage. At its August 15, 2018 meeting, the City Council instructed its representative to the Inland Water and Power Commission (IWPC) to approve IWPC investigating the possible acquisition of the Potter Valley Hydroelectic Project. Discussion: Since May 1, 2019, Council approved contributions to this effort totaling $195,000. The IWPC, as a member of a larger consortium, had successfully accomplished a number of milestones towards the acquisition of the Potter Valley Hydroelectic Project. The IWPC recently requested an additional $50,000 to pay for anticipated legal costs to further its efforts. Shortly after the request was made however, the consortium realized that they would be unable to complete the next milestone and terminated its efforts to acquire the Potter Valley Hydroelectic Project. It is currently unclear as to what IWPC's future engagement will entail. The IWPC is still requesting funds, but has not provided a renewed scope for use and/or need. At their regular February meeting, the board of the Russian River Flood Control District (RRFFC), another IWPC partner, approved a partial contribution of an additional $25,000. At the time of this report, not all IWPC partners have responded to the current request. Staff recommends Council request a written proposal from IWPC Board that details a revised fund request including an updated scope, use and need. Recommended Action: Staff recommends Council request a written proposal from IWPC Board that details a revised fund request including an updated scope, use and need. BUDGET AMENDMENT REQUIRED: No Page 881 of 901 Page 2 of 2 CURRENT BUDGET AMOUNT: 82027110.52100- $300,000 PROPOSED BUDGET AMOUNT: FINANCING SOURCE: Water Fund PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: N/A Page 882 of 901 Page 1 of 2 Agenda Item No: 12.g. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1336 AGENDA SUMMARY REPORT SUBJECT: Mid-year Budget Report for Fiscal Year 2021-22. DEPARTMENT: Finance PREPARED BY: Dan Buffalo, Finance Director, Olga Keough, Controller, Mary Horger, Financial Services Manager, Jessie Brunell, Senior Accountant PRESENTER: Dan Buffalo, Finance Director ATTACHMENTS: 1. CIP -5 year-FYE 2022 - Final Summary: Council will receive and consider a mid-year budget review and planning agenda. There are three components to this agenda: 1. City-wide mid-year budget and financial review presented by the Finance Department 2. Review of the current five-year capital improvement plan (CIP), seeking input from Council for direction for the development of the FYE 23 five-year CIP. 3. Review of the Council's Strategic Plan. Background: Regular reporting on the financial results of the City is a standing objective for the Finance Department. This presentation is designed to be brief but informative, reporting on the financial activities - including budget-to-actual results - and ending positions of all City governmental and proprietary funds as of December 31, 2021. As part of the mid-year review of the current budget year and development of the budget for next year, each City department scheduled for presentation will present their individual budget information through December 31, 2021, progress on stated budget objectives for the current year, and plans for the next fiscal year and beyond. Every department has been scheduled and will present over the course of February, March and April. Discussion: The mid-year summary can be found on the OpenGov platform link: 2021-22 Second Quarter Report: https://stories.opengov.com/ukiahca/published/P9Gs9C6N8 *Note: Chrome is the recommended browser to view the Mid-Year Review 2021-22 stories in Open.Gov. Other internet browsers may work, including Microsoft Edge. Microsoft Internet Explorer is not compatible. A copy of the existing five-year CIP adopted for the FYE 22 budget is provided as Attachment 1. Council should review the report, and as part of the development of the 2022-23 fiscal year budget, provide direction to staff. Staff will work to consider and incorporate Council's direction. The next review of the draft five-year CIP for the 2022-23 fiscal year budget is currently scheduled for May 18, after the Finance Department and City Manager have vetted the projects further with the lead departments. Page 883 of 901 Page 2 of 2 The City Council adopts a Five-year Capital Improvement Plan during the budget approval process and adoption for the following fiscal year. The plan is a fluid, living document, which is subject to further revisions by Council during the course of the budget year and each subsequent fiscal year. Projects are approved by Council on a case-by-case basis. Even though the plan is adopted each year, it is not an automatic authorization for staff to proceed with a purchase or project, unless it is part of the formal budget adoption of that budget year or brought to Council for approval during the course of the year. Further formal procurement protocols still apply to all capital acquisitions and projects. Included here for review is the City Council's strategic plan; additional discussion will occur at a later date as part of the budget presentation process: https://stories.opengov.com/ukiahca/published/WskQttSmD If there are any revisions or feedback Council would like to make, Staff is ready to receive them. Recommended Action: Council to receive the mid-year budget report for fiscal year 2021-22 and review, consider, and discuss updates on current stated objectives. In addition, the Council will review preliminary draft departmental objectives for the fiscal year 2021-22 and receive a preliminary update of the City's five- year capital improvement plan. BUDGET AMENDMENT REQUIRED: N/A CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: City Manager's Office Page 884 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 FACILITIES/BUILDINGS/LAND COMMUNITY SERVICES DEPARTMENT Start End 21/22 22/23 23/24 24/25 25/26 Todd Grove Park Pathways Pathways deteriorating beyond repair, need to be replaced.Community Services Parks 30022200.802 20 18102 N/A Jarrod Meyer jmeyer@cityofu kiah.com 511 Park Boulevard Facilities/ Buildings/Land Deferred 2021 2022 TBD Yes Current Revenues General Fund $150,000 $ 150,000 Moved from FYE 21 due to COVID‐19. Prioritization and funding source(s) under review. Estimated cost is $150k. Added funding for FYE 22. Budget Adopted McGarvey Park Pathways Pathways deteriorating beyond repair, need to be replaced.Community Services Parks 10022100.802 20 18116 N/A Jarrod Meyer jmeyer@cityofu kiah.com 310 Dora Street Facilities/ Buildings/Land New 2024 2025 TBD No New Revenues Fiscal Year Allocation TBD $‐ Moved from FYE 22. Moved from FYE 24. Prioritization and funding source(s) under review. Estimated cost is $75k. Reviewed McGarvey Park Irrigation Replace Irrigation System Community Services Parks 10022100.802 20 18103 N/A Jarrod Meyer jmeyer@cityofu kiah.com 310 Dora Street Facilities/ Buildings/Land New 2022 2024 TBD No New Revenues Fiscal Year Allocation TBD $ 10,000 $10,000 Moved from FYE 24. Moved from FYE 22. Suggest $10k for new landscape plan before moving irrigation and repaving paths. Prioritization and funding source(s) under review. Estimated cost is $10k for new landscape/irrigation plan, $100k for construction of irrigation, plantings, and repaving paths. $10k recommended for now. Reviewed Pool Pump House The pool pump house pool is in need of replacement due to age and general deterioration of the building. Community Services Parks 10022100.802 20 18012 N/A Jarrod Meyer jmeyer@cityofu kiah.com 511 Park Boulevard Facilities/ Buildings/Land Deferred 2021 2023 TBD No New Revenues Fiscal Year Allocation TBD $‐ Project was formerly called "Pool Block House". Looking for funding. Moved from starting FYE 21. Prioritization and funding source(s) under review. Estimated cost is $250k. Reviewed Riverside Park State grant to provide some grading, flood surveying, debris removal and planting.Community Services Parks 30522250.802 20 18014 N/A Jarrod Meyer jmeyer@cityofu kiah.com 1281 East Gobbi Street Facilities/ Buildings/Land In Progress 2018 2021 Grant Yes New Revenues Grant funded. $ 281,695 $ 832,005 $ 832,005 RFP for design process is complete 12/2018; Hydrology studies and CEQA complete. Work expected to start in late spring or early summer, with expectation of project completion in FYE 22. Most recent schedule indicates bidding in the fall of 21. Budget Adopted Wagenseller Park Plan Park master plan needed once a site is identified.Community Services Parks 10022100.802 20 18063 N/A Neil Davis ndavis@cityofu kiah.com Orchard and Brush Street Facilities/ Buildings/Land New 2022 2023 Capital Projects No New Revenues Potential for Prop 68 funding. $ 75,000 $75,000 Reviewed Wagenseller Park Development In 2017 the Community Development Department began work on a Wagenseller Park Feasibility Analysis. It has been determined through the analysis and other surveys a park is needed in the Wagenseller area. Extensive landscaping, equipment purchase and installation needed. Community Services Parks 10022100.802 20 18063 N/A Neil Davis ndavis@cityofu kiah.com Orchard and Brush Street Facilities/ Buildings/Land New 2023 2024 Capital Projects No New Revenues Staff will continue to seek grant funding for development. Potential for Prop 68 funding. $ 875,000 $ 875,000 Working with RCHDC to determine location along with seeking grant funding. Reduced the amount from $950k, to break out the Master Plan into a separate line item. Moved from FYE 23. Reviewed Todd Grove Park Wall and Parking Safety Issues Develop a conceptual design and maintenance plan for the wall, as well as addressing parking safety issues around the park. The design would likely including low impact development features to provide a buffer between vehicles and the wall. Thegoalistogeta project ready for potential grant funding. Community Services Parks 10022100.802 20 18071 N/A Jarrod Meyer jmeyer@cityofu kiah.com 1281 East Gobbi Street Facilities/ Buildings/Land New 2021 2022 General Yes New Revenues Potential Water Recharge Grant $ 12,000 $12,000 Council refers to Park & Recreation Commission for review and consideration for concept and funding for parking & safety issues. Parks, Recreation and Golf Committee provided staff with some suggested action. Staff continues to research the project. Moved from FYE 21. Budget Adopted Todd Grove Park and Pool Recreation Facility Addition of Recreation Building to the Pool Facility where the unusable kiddie pool is. This will eliminate the Splash Pad and Day Camp Office projects from this CIP list. Facility will serve Day Camp, Recreation Classes, Facility Rentals, Trainings, Meetings, Youth Sports Practices and Green Room for Concerts. Community Services Parks/Aquatics/ Recreation 10022100.802 20 TBD N/A Jake Burgess jburgess@cityof ukiah.com 511 Park Boulevard Facilities/ Buildings/Land New 2021 2022 Grant Funded No New Revenues Fiscal Year Allocation TBD $‐ New project which will eliminate duplication and serve multiple divisions and functions. Prioritization and funding source(s) under review. Estimated cost is $350k. Reviewed Civic Center front of building replacement of tile, clean and paint. Tile missing and/or broken, front of building needs cleaning and painting.Community Services Building & Grounds Maintenance 20822500.802 20 18106 N/A Kerry Randall krandall@cityof ukiah.com 300 Seminary Avenue Facilities/ Buildings/Land In Progress 2021 2022 General Yes New Revenues Utilizing Building Fund Reserves. $ 80,000 $80,000 The Civic Center Buildings have been power washed/cleaned. Project deferred. Moved $45k from FYE 20, and moved $35k from FYE 21 due to COVID‐ 19. Combined budget for FYE 22 and FYE 23 into one budget for FYE 22. Budget Adopted Civic Center Bathroom Tile ThetilesinthebathroomsattheCivicCenterhavecomelooseandarecreating a tripping hazard. Tile needs to be removed and replaced. Cement floor needs to be treated to exclude calcium intrusion. Community Services Building & Grounds Maintenance 20822500.802 20 18107 N/A Kerry Randall krandall@cityof ukiah.com 300 Seminary Avenue Facilities/ Buildings/Land Deferred 2021 2022 General Yes Current Revenues Utilizing Building Fund Reserves. $ 35,000 $35,000 Moved to FYE 22 due to COVID‐19.Budget Adopted Bank of America Building Acquisition, Renovation, and Services Relocation Procurement of BofA building on S. State, rehabilitation, service relocation, and reconfiguration of Civic Center. Community Services Building & Grounds Maintenance 20822500.802 20 18176 N/A Shannon Riley sriley@cityofuki ah.com 501 South State Street Facilities/ Buildings/Land In Progress 2020 2022 External Financing Yes New Revenues Purchase Completed FY 2021; Rehabilitation Costs TBD, Funded by Series 2020A Bond $ 762,562 $ 1,623,233 $ 1,623,233 Council has approved acquisition of building and is aware of estimated rehab costs. Council still needs to review master plan, including transfer of services and reconfiguration of Civic Center admin. Budget Adopted Security Fencing at Ukiah Police Department Parking/Entrance/Exit Areas Currently the Ukiah Police Department parks their vehicles, enters and exits the station on the south side of the Civic Center. This area is unsecured and a high securityrisktothose entering and exiting the building & vehicles. Securing the area with fencing and gates that only UPD and Staff have access to will provide the necessary safety needed for the UPD. Fencing and a gate would be installed near the entrance at Oak Street, follow the driveway to the Civic Center building. An additional gate would be installed near the Fire bay doors closer to Dora Street and run down the driveway back toward Oak Street. Community Services Building & Grounds Maintenance 20822500.802 20 18187 N/A Kerry Randall krandall@cityof ukiah.com 300 Seminary Avenue Facilities/ Buildings/Land New 2025 2026 New Revenues No New Revenues Fiscal Year Allocation TBD $‐ Prioritization and funding source(s) under review; Department estimate/request is $189,000; Project is contingent on the identification of a non General Fund source. Moved from FYE 21 due to COVID‐19. Reviewed Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name Comments City Council Status Estimated Cost per Fiscal Year TotalsProject Contact Email Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to date *Refer to last page of this document for definition of terms used.PAGE 1 ATTACHMENT 1 Page 885 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 Carpet Replacement ‐ Police Department Offices ThecarpetinthePoliceDepartmentofficesisextremelywornwithspotsthat can no longer be removed, along with some areas that are torn. Community Services Building & Grounds Maintenance 20822500.802 20 18176 N/A Kerry Randall krandall@cityof ukiah.com 300 Seminary Avenue Facilities/ Buildings/Land New 2021 2022 Internal Service Yes New Revenues Funded by Series 2020A Bond $ 51,000 $ 51,000 Moved from FYE 21 due to COVID‐19. Part of larger Civic Center service relocation and reconfiguration project. Budget Adopted Train Depot HVAC Replace failing HVAC at the Train Depot.Community Services Building & Grounds Maintenance 20822500.561 20 18255 N/A Kerry Randall krandall@cityof ukiah.com 247 East Perkins Facilities/ Buildings/Land New 2021 2022 General Yes New Revenues $ 8,000 $ 8,000 Unit failed. Heating and air are not working. Tenants are complaining. Evaluation from contractor confirms replacement necessary. Budget Adopted Picnic Area at Todd Grove Park The Todd Grove picnic area is in need of replacing the asphalt surface area,barbeque and tables. There is currently $50,000 in Park Development Funds 25100000.39044 to begin planning and design of the area. Community Services Parks 30022200.802 20 18013 N/A Jarrod Meyer jmeyer@cityofu kiah.com 600 Live Oak Avenue Facilities/ Buildings/Land New 2021 2022 Capital Projects Yes New Revenues Utilizing Park Development funds and General Funds. Will also be seeking grant funding. $ 100,000 $ 100,000 Moved to FYE 22 due to COVID‐19. Increased from $50k. Budget Adopted Todd Grove Park Play Equipment Replacement The State of California Health and Safety Code calls for all public agencies operating playgrounds, shall upgrade their playgrounds by replacement or improvements as necessary. Replacement is necessary due to the age of the equipment, the rising cost of replacement pieces, and safety concerns. Community Services Parks 30322230.801 00 18009 N/A Jarrod Meyer jmeyer@cityofu kiah.com 600 Live Oak Avenue Facilities/ Buildings/Land Ongoing 2020 2021 Grant Yes New Revenues $177k grant funded; balance General Fund $ 230,000 $ 230,000 Prop 68 Per Capita Funding. Moved from FYE 20. Moved from FYE 21. Budget Adopted Playground Equipment Replacement ‐ Oak Manor Replacement of this equipment is necessary, due to the age and high usage of this equipment, as well as safety concerns. Staff will be seeking grant funds to assist with the cost. Community Services Parks 10022100.802 20 18010 N/A Jarrod Meyer jmeyer@cityofu kiah.com 500 Oak Manor Drive Facilities/ Buildings/Land New 2022 2023 Grant No New Revenues Seeking grant funding. $ 100,000 $ 100,000 Staff applied for Prop 68 funds for park renovations including new playground equipment. Awards have not been announced. Reviewed Softball Fields Restroom Concession Building Roof Replacement Replace roof at softball fields Community Services Parks 30122210.802 20 18110 N/A Jarrod Meyer jmeyer@cityofu kiah.com 901 River Street Facilities/ Buildings/Land New 2020 2021 TBD No New Revenues Fiscal Year Allocation TBD $ ‐ Prioritization and funding source(s) under review. Roof currently has some leakage and panels are pealing up. Staff is currently evaluating the project. Reviewed Museum Exterior Painting Museum exterior is in need of painting to ensure on‐going protection of the wood surface. According to staff it has been close to ten years since last exterior painting. Major benefits include the protection of a major City asset and the maintaining of the beauty of the building for the public. Community Services Museum 10022700.802 20 18023 N/A David Burton dburton@cityof ukiah.com 431 South Main Street Facilities/ Buildings/Land Deferred 2022 2023 TBD No New Revenues Seek funding assistance. $ 35,000 $ 35,000 Seek alternate funding. Moved from FYE 21.Reviewed Security Cameras at Museum Outdoor security cameras for protection of property.Community Services Museum 10022700.802 20 18111 N/A Neil Davis ndavis@cityofu kiah.com 431 South Main Street Facilities/ Buildings/Land Deferred 2022 2023 TBD No New Revenues Seek funding assistance. $ 20,000 $ 20,000 Seek alternate funding. Budget moved from FYE 21, and increased from $14k. Moved from FYE 22 due to higher priorities in FYE 22. Reviewed New HVAC for Sun House Current HVAC is 30 years old, failing beyond repair, and needs to be replaced.Community Services Museum 10022700.802 20 TBD N/A David Burton dburton@cityof ukiah.com 431 South Main Street Facilities/ Buildings/Land New 2021 2022 Grant Funded No New Revenues Seek funding assistance. $ 45,000 $ 45,000 Unit was repaired in March 2020. It was advised that it may no longer be repairable and to begin budgeting for a new unit. Cost shown is rough budget, and will work to be more refined. Reviewed Conference Center Exterior Painting Building exterior needs painting Community Services Ukiah Valley Conference Center 73022600.802 20 18112 N/A Kerry Randall krandall@cityof ukiah.com 200 South School Street Facilities/ Buildings/Land New 2024 2025 Enterprise No New Revenues $ 45,000 $ 45,000 Funding not secured, planning for routine maintenance. Moved from FYE 21. Moved from FYE 23. Reviewed Conference Center Floor Repair Lobby tiles are loose and missing, becoming a safety hazard, need to be replaced.Community Services Ukiah Valley Conference Center 73022600.802 20 18113 N/A Kerry Randall krandall@cityof ukiah.com 200 South School Street Facilities/ Buildings/Land Deferred 2024 2025 Enterprise Yes Current Revenues $ 15,000 $ 15,000 A lime intrusion has lifted tiles from conference center foyer. Moved from FYE 20 due to COVID‐19. Moved from FYE 22 due to COVID‐19. Reviewed Conference Center Security Cameras Install new security cameras inside and outside the building.Community Services Ukiah Valley Conference Center 73022600.802 20 18114 N/A Kerry Randall krandall@cityof ukiah.com 200 South School Street Facilities/ Buildings/Land New 2024 2025 Enterprise No New Revenues $ 100,000 $ 100,000 Looking for funding. Split out cameras as it's own project. Moved from FYE 23 due to COVID‐19. Reviewed Conference Center Security Security keyless door lock entry.Community Services Ukiah Valley Conference Center 73022600.802 20 18189 N/A Kerry Randall krandall@cityof ukiah.com 200 South School Street Facilities/ Buildings/Land New 2024 2025 Enterprise No New Revenues $ 30,000 $ 30,000 Recent theft and safety concerns. Split out the cardlock from the cameras. Moved from FYE 21 due to COVID‐19. Moved from FYE 22 due to COVID‐19. Reviewed Conference Center Bathroom Repair Replace bathroom counter tops and sinks.Community Services Ukiah Valley Conference Center 73022600.802 20 TBD N/A Kerry Randall krandall@cityof ukiah.com 200 South School Street Facilities/ Buildings/Land New 2024 2025 Enterprise No New Revenues $ 25,000 $ 25,000 Moved from FYE 22 due to COVID‐19. Reviewed 1,044,257$ 3,121,238$ 285,000$ 875,000$ 215,000$ ‐$ 4,496,238$ ELECTRIC UTILITY DEPARTMENT SUB‐TOTAL: Start End 21/22 22/23 23/24 24/25 25/26 Electric Utility Service Center ‐ Remodel & Facility Improvements Provides offices and warehouse facilities for the Electric Utility Dept.to better serve the community. Currently offices are located in 40 year old temporary modular buildings with no foundation. The electrical construction and maintenance materials are stored in an uninsulated unsealed tin building. Electric Utility Department Administration 80126100.802 20 17023 N/A Diann Lucchetti dlucchetti@city ofukiah.com 1350 Hastings Road Facilities/ Buildings/Land In Progress 2017 2024 Enterprise Yes Current Revenues 100,000$ 350,000$ 150,000$ 10,000$ $ 510,000 Expanded scope including re‐roof task. Reduced FYE 20 by $1.550 mil and moved into FYE 21. Project is currently out to bid. Increased FYE 22 from $120k, and FYE 23 from $30k. Budget Adopted Renewable Resource Development ‐ Solar Renewable energy development for the Utility’s resource portfolio in meeting the States green energy mandates. Electric Utility Department Administration 80126100.802 20 ECC01 N/A Mel Grandi mgrandi@cityof ukiah.com 1350 Hasting Road Facilities/ Buildings/Land In Progress 2018 2025 Enterprise Yes Current Revenues 55,000$ 700,000$ 1,000,000$ 1,000,000$ 50,000$ $ 2,750,000 Rebudgeted to insure replacement roofing system meets building, solar and grading requirements. Moved $1.2 mil out of FYE 20, and moved into FYE 21. Increased FYE 22 and FYE 24 from $50k, reduced FYE 25 from $1 mil. Budget Adopted Hydroelectric Plant Warehouse, Shop and Restroom Needed to store hydro specialized plant materials, spare parts, provides staff workspace and restroom/sink facilities. Electric Utility Department Technical Services 80126100.802 30 18038 N/A James O'Brien jobrien@cityofu kiah.com 1229 Lake Mendocino Drive Facilities/ Buildings/Land In Progress 2018 2022 Enterprise Yes Current Revenues 190,000$ $ 190,000 Moved from FYE 21 due to COVID‐19. Budget Adopted Substation Site Development Evaluate the need and sites available to construct a future electrical substation to serve future loads based on planning forecasts of the City's growth. Electric Utility Department Technical Services 80126100.802 30 18046 N/A Mel Grandi mgrandi@cityof ukiah.com TBD Facilities/ Buildings/Land New 2020 2023 Enterprise Yes Current Revenues 20,000$ 300,000$ $ 320,000 $20k moved from FYE 21, and $300k from FYE 22 due to COVID‐19. Budget Adopted Division CommentsTotals City Council Status Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l CommentsProject Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Estimated Cost per Fiscal Year Project Name Project Description Department Org/ Object Costs to date *Refer to last page of this document for definition of terms used.PAGE 2 Page 886 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 Material Storage Yard Purchase of land for material storage yard. Electric Utility Department Administration 80126100.802 10 18263 N/A Mel Grandi mgrandi@cityof ukiah.com TBD Facilities/ Buildings/Land New 2021 2023 Enterprise Yes Current Revenues 150,000$ $ 150,000 Budget Adopted 155,000$ 1,410,000$ 1,450,000$ 1,010,000$ 50,000$ ‐$ 3,920,000$ SUB‐TOTAL: FINANCE DEPARTMENT Start End 21/22 22/23 23/24 24/25 25/26 Card Lock Phase II The Police Department is in need of providing a more controlled, secure environment for their officers and employees. Card lock provides access security to all entrances and exits using key fobs and access cards. This is already installed in the Civic Center and Annex and is providing a high level of access security. This would provide additional Public Safety as well. Finance IT 20822500.802 20 15019 N/A Ryan Burkhart rburkhart@city ofukiah.com 300 Seminary Avenue Facilities/ Buildings/Land Deferred 2021 2022 Internal Service No Current Revenues $ 85,000 $ 85,000 This would be an expansion to the existing Card Lock system. Moved from FYE 21 due to COVID‐19. Budget Adopted ‐$ 85,000$ ‐$ ‐$ ‐$ ‐$ 85,000$ SUB‐TOTAL: Totals Comments Estimated Cost per Fiscal Year Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Funding Type Funding Type Add'l Comments Costs to dateProject Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d City Council Status FIRE AUTHORITY Start End 21/22 22/23 23/24 24/25 25/26 Fire Station Upgrades and Retrofit The Fire Stations are in dire need of an upgrade. At the South Station (due to the building's layout and size), UVFA has currently outgrown the living space. The station needs to include additional bedrooms, a bathroom with an extra shower, office space, and installing security measures to protect the facility and fire equipment. This upgrade will maintain the building's footprint utilizing a change in layout to accommodate the Department's current and future needs. It will also comply with the current fire code by installing a sprinkler system. The North Station is also in need of improvements to the grounds and security of the station. The driveway and pad require repair, which would reduce the impact on department equipment. Fire Authority City/District TBD TBD N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South Street/141 Lovers Lane Facilities/ Buildings/Land New 2021 2022 TBD No New Revenues Fiscal Year Allocation TBD $ ‐ Prioritization and funding source(s) under review; Need to explore grant funding; Department estimate/request is $250,000; Additional evaluation of North Station Location is needed prior to expending substantial funding on existing location. Reviewed Emergency Standby Generators This project will include placing two external generators with automatic transfer capabilities at the North and South Stations. The project also includes updates to the current electrical system and panels to integrate the building's generators. These generators will allow for power at the stations during an emergency or planned power outage. The facilities must be able to operate and carry out the Authority's mission regardless of outsideinfluences, making both stations self‐sufficient. As planned power outages are expected to continue for the foreseeable future, along with sporadic emergency outages, the Authority must maintain power for critical infrastructure needed to complete our mission. Fire Authority City/District TBD TBD N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South Street/141 Lovers Lane Facilities/ Buildings/Land New 2021 2022 TBD No New Revenues Fiscal Year Allocation TBD $ ‐ Prioritization and funding source(s) under review; Need to explore grant funding. Department estimate/request is $120,000 Reviewed ‐$ ‐$ ‐$ ‐$ ‐$ ‐$ ‐$ PUBLIC WORKS DEPARTMENT City Council Status SUB‐TOTAL: Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to date Estimated Cost per Fiscal Year Totals Comments Start End 21/22 22/23 23/24 24/25 25/26 HVAC Upgrade ‐ Garage The garage's heating and air is inefficient, old and needs to be upgraded. An upgrade will provide economical benefits in energy savings.Public Works Corporation Yard 20824300.802 20 18018 N/A David Kirch dkirch@cityofu kiah.com 1320 Airport Road Facilities/ Buildings/Land Deferred 2020 2023 Internal Service Yes Internal Service $ 52,000 $ 52,000 Look for alternative energy sources as part of the consideration of this project. Moved from FYE 21 due to COVID‐19. Reviewed Corporation Yard Rehabilitation Conduct a needs assessment to determine the best and most effective way to rehabilitate the Corporation Yard for the Water, Sewer, Street and Fleet Maintenance.Public Works Corporation Yard 20824300.802 20 18190 N/A David Kirch dkirch@cityofu kiah.com 1320 Airport Road Facilities/ Buildings/Land New 2021 2022 Internal Service Yes New Revenues $ 50,000 $ 50,000 Needs Assessment for Corp Yard Facility Moved from FYE 21 due to COVID‐19. Moved from FYE 23. Budget Adopted ‐$ 50,000$ 52,000$ ‐$ ‐$ ‐$ 102,000$ Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) City Council Status Funding Type WATER RESOURCES DEPARTMENT CommentsProject Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Estimated Cost per Fiscal Year TotalsFunding Type Add'l Comments Costs to date SUB‐TOTAL: Start End 21/22 22/23 23/24 24/25 25/26 Upgrade HVAC Units on Buildings ‐ WWTP Upgrade HVAC units in Operations and Equipment Buildings due to parts being unavailable. Water Resources Wastewater Treatment Plant 84027225.561 20 18129 N/A David Kirch dkirch@cityofu kiah.com 300 Plant Road Facilities/ Buildings/Land New 2021 2022 Enterprise Yes Current Revenues $ 150,000 $ 150,000 Budget Adopted Machinery Storage Cover Install a machinery cover area to protect equipment from weather. Water Resources Wastewater Treatment Plant 84027225.802 20 18256 N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Facilities/ Buildings/Land New 2021 2022 Enterprise Yes Current Revenues $ 15,000 $ 15,000 Budget Adopted Upgrade HVAC Units on Buildings ‐ WTP Due to aging infrastructure upgrades are needed to the HVAC system at the Water Treatment Plant Water Resources Water Treatment Plant 82027113.561 20 TBD N/A David Kirch dkirch@cityofu kiah.com 935 River Street Facilities/ Buildings/Land New 2022 2023 Enterprise Yes Current Revenues $ 70,000 $ 70,000 Reviewed Well 3 Improvements Improve Well 3 building enclosure. Water Resources Water Treatment Plant 82027113.802 20 TBD N/A Jarod Thiele jthiele@cityofu kiah.com Vichy Springs Road Facilities/ Buildings/Land New 2025 2026 Enterprise Yes Current Revenues $ 150,000 $ 150,000 Reviewed ‐$ 165,000$ 70,000$ ‐$ ‐$ 150,000$ 385,000$ 1,199,257$ 4,831,238$ 1,857,000$ 1,885,000$ 265,000$ 150,000$ 8,988,238$ SUB‐TOTAL: Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project StatusProject Name Project Description Department Division Org/ Object Project Number Totals Comments City Council Status Estimated Cost per Fiscal Year TOTALS FOR FACILITIES/BUILDINGS/LAND : *Refer to last page of this document for definition of terms used.PAGE 3 Page 887 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 FINANCE DEPARTMENT INFORMATION TECHNOLOGY Start End 21/22 22/23 23/24 24/25 25/26 Core ‐ 4 Cisco 3750 Switches ‐ End of Life ‐ Replacements These switches are the center core of our network infrastructure. They serve as data conduits for all City of Ukiah operations. They are nearing end‐of‐life, as warranty and support runs out during this time‐frame. Finance IT 20913900.801 00 17044 N/A Ryan Burkhart rburkhart@city ofukiah.com 300 Seminary Avenue Information Technology New 2019 2023 Internal Service Yes Current Revenues $ 54,399 $ 100,000 $ 100,000 Cisco extended the warranty of two of the switches, so the cost ended up much lower than originally anticipated. Costs to date reflect encumbered funds. Reviewed Redundant Internet Gateway (Fall‐over Load Balancer) Our current AT&T Internet gateway provides service to all of the City of Ukiah departments for Internet access, as well as Public Safety access to law enforcement websites and other important services. If service fails, we do not have a failover scenario in place. A failover scenario would involve an additional Internet Gateway with a different Internet service provider (ISP). If one ISP fails, the gateway would failover to the alternate one available. This would ensure service availability, virtually 100% of the time. Finance IT 20913900.801 00 17046 N/A Ryan Burkhart rburkhart@city ofukiah.com 300 Seminary Avenue Information Technology New 2021 2023 Internal Service Yes Current Revenues $ 83,400 $ 24,200 $ 107,600 Moved from FYE 21 due to COVID‐19. Reduced FYE 22 amount from $166,800, and FYE 23 from $48,400. Budget Adopted Dell Compellent Storage ‐ 5 year cyclic end of life replacement The Dell Compellent Storage serves as our main live data storage for the CityofUkiah. Itis used in conjunction with our four Virtual Machine Hosts, which control and offer resources to all of our virtual servers. This basically contains the majority of our production servers upon which all City of Ukiah data services reside. In addition, our VMM (Virtual Machine Manager) server operates as stated. It manages all of the virtual servers within the infrastructure. Dell‐4 VM Hosts & Virtual Machine Manager Server ‐ 5 year cyclic ‐ end of life ‐ replacement (Refinance)) $290,000 at approximately $59,000/year x 5 years. Finance IT 20913900.801 00 17047 N/A Ryan Burkhart rburkhart@city ofukiah.com 300 Seminary Avenue Information Technology On‐going 2021 2026 Internal Service No Current Revenues $ 59,000 $ 59,000 $ 59,000 $ 59,000 $ 236,000 Department is exploring cloud storage solution where a portion of this may not be necessary. Added financing through FYE 26. Moved to begin in FYE 23 as project continues to be reviewed. Reviewed Cisco Access Switch EOL Replacement These switches connect the City's computers, phones, printers, and Wi‐Fi units into the core infrastructure. The switches allow these devices to connect to the Internet and internal servers. They will be End‐Of‐Life and will no longer be supported by the manufacture. Finance IT 20913800.801 00 18100 N/A Ryan Burkhart rburkhart@city ofukiah.com 300 Seminary Avenue Information Technology New 2022 2023 Internal Service No Current Revenues $ 180,000 $ 180,000 Reviewed Cisco Nexus Switch EOL Replacement These switches are the center core of our network infrastructure. They serve as data conduits for all City of Ukiah operations. They will be end‐of‐life, as warranty and support runs out during this time‐frame. Finance IT 20913900.801 00 TBD N/A Ryan Burkhart rburkhart@city ofukiah.com 300 Seminary Avenue Information Technology New 2024 2025 Internal Service No Current Revenues $ 110,000 $ 110,000 Reviewed 54,399$ 83,400$ 363,200$ 59,000$ 169,000$ 59,000$ 733,600$ FIRE AUTHORITY Project Name Project Description Department Division Org/ Object Project Number Totals Comments City Council Status Estimated Cost per Fiscal Year SUB‐TOTAL: Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project Status Start End 21/22 22/23 23/24 24/25 25/26 Mobile Data Terminals (MDT) The Ukiah Valley Fire Authority has begun to modernize utilizing wireless data through Mobile Data Terminals (MDT) to enhance safety, reduce repetitive radio communications, and access live up‐to‐date data. In an ever‐changing environment in Fire Operations, the need for mobile field data rises; these units will allow us to track and send out information vital to the success of our mission. This equipment also allows us to have real‐time data on the location of units to allow for a safer environment for our team members.Additionally, these units will tie into the CalFire system allowing for better, faster, and more reliable information to be passed between agencies in the field. The Terminals use Mobile Wireless, GPS, & Satellite communications allowing for increased situational awareness in severe operational environments. Fire Authority City Fire Multiple 18271 N/A Doug Hutchison dhutchison@cit yofukiah.com 300 Seminary Avenue Information Technology New 2021 2022 General Yes Current Revenues $ 121,800 $ 121,800 Funds to be used are 710, 100, 915 and 917. Budget Adopted ‐$ 121,800$ ‐$ ‐$ ‐$ ‐$ 121,800$ SUB‐TOTAL: Project Name Project Description Department Division Org /Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to date Estimated Cost per Fiscal Year Totals Comments City Council Status POLICE DEPARTMENT Start End 21/22 22/23 23/24 24/25 25/26 Mobile Computer Terminals and Wireless Routers Replacement The Ukiah Police Department has utilized Mobile Computer Terminals within Police vehicles since 2006, to reduce radio communications and provide officers with access to enhanced data. As reporting requirements increase and the need for field data entries rise the need for this technology will increase as well. The Mobile Computer Terminals use a Mobile Wireless Router to transmit and receive information including video and audio recordings captured by the vehicle mounted cameras. The hardware and operating system currently in use were deployed in 2015 and is at end of life and unsupported, failing more often, requiring increased down time for repairs. Police Police 10020210.543 30 18258 N/A Justin Wyatt jwyatt@cityofu kiah.com 300 Seminary Avenue Information Technology New 2021 2022 General Yes Current Revenues Grant funding may be available. $ 85,000 $ 85,000 Moved from FYE 23 due to failing equipment, and reduced amount from $125k. Budget Adopted ‐$ 85,000$ ‐$ ‐$ ‐$ ‐$ 85,000$ 54,399$ 290,200$ 363,200$ 59,000$ 169,000$ 59,000$ 940,400$ INFRASTRUCTURE AIRPORT Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Estimated Cost per Fiscal Year City Council Status SUB‐TOTAL: Funding Type Funding Type Add'l Comments Costs to date Totals Comments Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d TOTALS FOR INFORMATION TECHNOLOGY : Start End 21/22 22/23 23/24 24/25 25/26 Runway 15‐33 Pavement Reduction (Construction Phase 2) Runway 15‐33 is currently 4,423 feet long and 150 feet wide. The project willreducewidth to 75 feet. New pavement marking will be applied. New LED runway lighting will be installed, which was formerly identified as PC 18159. Airport Airport 77825200.802 30 18032 N/A Greg Owen gowen@cityofu kiah.com 1403 South State Street Infrastructure New 2021 2022 Enterprise Yes New Revenues Contingent upon FAA Grant Funding. $ 1,900,000 $ 1,900,000 The FAA has made cost and project scope adjustments. 90% FAA Grant, 5% Caltrans. Moved from FY 19/20 due to FAA funding timing. Moved from 20/21. FAA funding not currently available for this project. Budget Adopted City Council Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Contact Name Improvement Type Project StatusProject Name Project Description Department Division Org/ Object Project Number Totals Comments Estimated Cost per Fiscal Year Project Location Project Contact Email *Refer to last page of this document for definition of terms used.PAGE 4 Page 888 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 Pavement Rehabilitation of Taxiways A, A3 and A5 ‐ Design This project is for the design of Taxiways A (4,540'x55'), A3 (250'x45'), and A5 (250'x45') pavement rehabilitation assumed to be a crack fill, seal and slurry.Airport Airport 77825200.802 30 18034 N/A Greg Owen gowen@cityofu kiah.com 1403 South State Street Infrastructure New 2022 2023 Enterprise Yes New Revenues Contingent upon FAA Grant Funding. $ 148,385 $ 148,385 The FAA has made cost and project scope adjustments. Moved from FY 21/22, and increased by $88,385. Reviewed and Supported Pavement Rehabilitation of Taxiways A, A3 and A5 ‐ Construction This project will cover construction to rehabilitate pavements of Taxiways A (4,540'x55'), A3 ( 250'x45') and A5 (250'x45').Airport Airport 77825200.802 30 18035 N/A Greg Owen gowen@cityofu kiah.com 1403 South State Street Infrastructure New 2024 2025 Enterprise Yes New Revenues Contingent upon FAA Grant Funding. $ 1,339,200 $ 1,339,200 The FAA has made cost and project scope adjustments. Moved from FY 22/23, and increased by $839,200. Reviewed and Supported ‐$ 1,900,000$ 148,385$ ‐$ 1,339,200$ ‐$ 3,387,585$ ELECTRIC UTILITY DEPARTMENT SUB‐TOTAL: Start End 21/22 22/23 23/24 24/25 25/26 Upgrade fish hatchery pumps and controls (Hydro) Control upgrades to provide expanded abilities: 1. Remote control and monitoring from the Fish Hatchery and 2. Emergency station light and power backup to the hydro plant. Electric Utility Department Technical Services 80126100.802 30 18037 N/A James O'Brien jobrien@cityofu kiah.com 1229 Lake Mendocino Drive Infrastructure New 2020 2022 Enterprise Yes Current Revenues 200,000$ $ 200,000 Budget Adopted Automate Station Light & Power, Pump & Generator Controls (Hydro) Hydro Plant control and power upgrades to automate emergency station lightandpower and hatchery backup pumps. Electric Utility Department Technical Services 80126100.802 30 18118 N/A James O'Brien jobrien@cityofu kiah.com 1229 Lake Mendocino Drive Infrastructure New 2020 2021 Enterprise Yes Current Revenues 120,000$ $ 120,000 Moved from FYE 21, and increased from $80k. Budget Adopted Community Power Management Projects Power pedestal replacement program goals includes reducing energy loss,improve lighting/access control, safety and availability of power in public places.Includes charging stations and power pedestals. Electric Utility Department Administration 80126100.802 30 18040 N/A Cindy Sauers csauers@cityof ukiah.com Ukiah Electric System Infrastructure On‐going 2018 2022 Enterprise Yes Current Revenues 60,000$ 60,000$ $ 60,000 Rebudgeted to reflect workforce scheduling allocation due to the Oak Manor Undergrounding project. Budget Adopted Fairgrounds 4160 to 12,000 volt Conversion Replaces existing low voltage (4160V) system with 12,000 Volt primary rated cable and transformers and secondary conductor. Fairgrounds to provide USERC specified metering and underground duct. Removes existing low voltage (4160V) system. Electric Utility Department Distribution 80126100.802 30 18041 N/A Cindy Sauers csauers@cityof ukiah.com Ukiah Electric System Infrastructure In Progress 2019 2024 Enterprise Yes Current Revenues 60,000$ 150,000$ 150,000$ 75,000$ $ 375,000 Rebudgeted to reflect workforce scheduling allocation due to the Oak Manor Undergrounding project. Reduced amount for FYE 20 by $120k, and changed funding in FYE 22 & 23. Moved forward by 1 year, project completing 23/24. Budget Adopted Substation and Hydroelectric Plant Control, Protection and Communication Systems Replacement Replace the Mendocino Hydro control,protection and communication systems hardware, program and coding for hydro specific automation control. The existing systems are outdated with limited after‐market support and no new replacement part availability. Electric Utility Department Technical Services 80126100.802 30 18042 N/A James O'Brien jobrien@cityofu kiah.com 1229 Lake Mendocino Drive Infrastructure In Progress 2017 2024 Enterprise Yes Current Revenues 30,000$ 25,000$ 80,000$ $ 105,000 Reduced amount in FYE 20 by $105k, added funding in FYE 21 & 22. Increased FYE 21 from $175k. Engineering complete, installation to start 3/2021. Budget Adopted Underground Capital System Improvements (<$50,000 each) Transformer replacement and upgrades, wood pole testing and replacement,system capacity improvements and protection, control, monitoring and communication enhancements. Electric Utility Department Distribution 80126100.802 30 18043 N/A Cindy Sauers csauers@cityof ukiah.com Ukiah Electric System Infrastructure On‐going 2018 2025 Enterprise Yes Current Revenues 100,000$ 230,000$ 235,000$ 235,000$ 235,000$ $ 935,000 Budget Adopted Overhead Capital System Improvements (<$50,000 each) Transformer replacement and upgrades, system capacity improvements and protection, control, monitoring and Communication enhancements. Electric Utility Department Distribution 80126100.802 30 18044 N/A Cindy Sauers csauers@cityof ukiah.com Ukiah Electric System Infrastructure On‐going 2018 2025 Enterprise Yes Current Revenues 310,000$ 250,000$ 250,000$ 250,000$ 250,000$ $ 1,000,000 Reduced FYE 20 by $140k, and reduced all future years to $250k/yr. Increased FYE 21 from $250k. Budget Adopted Governor speed control & Valve Upgrades (Hydro) Upgrades to the governor sensing, controller and feedback transducers to improve performance and reliability. Existing governor controls frequently are out of service due to failure or adjustment. Electric Utility Department Technical Services 80126100.802 30 18047 N/A James O'Brien jobrien@cityofu kiah.com 1229 Lake Mendocino Drive Infrastructure New 2020 2023 Enterprise Yes Current Revenues 350,000$ $ 350,000 Moved from beginning FYE 21 due to COVID‐19. Project was spread between FYE 22 and FYE 23. Combined into FYE 22 and reduced by $30k. Reviewed Oak Manor Dr. Overhead to Underground Conversion Install cable and associated equipment for replacing the overhead facilities Electric Utility Department Distribution 80126100.802 30 18121 N/A Scott Bozzoli sbozzoli@cityof ukiah.com Oak Manor Dr. Infrastructure New 2021 2022 Enterprise Yes Current Revenues 200,000$ $ 200,000 Reduced amount from $500k, moved from FYE 21. Moved from FYE 22.Reviewed Policy and Legislated System Modifications System design, equipment and installation to conform to mandated industry standards. Proposed fire mitigation requirements require selected equipment to bereplaced or protected to reduce fire risk. Electric Utility Department Distribution 80126100.802 30 18124 N/A Cindy Sauers csauers@cityof ukiah.com Various Infrastructure New 2019 2025 Enterprise Yes Current Revenues 100,000$ 100,000$ 100,000$ 100,000$ $ 400,000 Reduced amount for FYE 20 from $80k, and amounts from $200k FYE 22 onward. Budget Adopted Hydroelectric Plant Transfer Trip Upgrade Upgrade existing and provide redundancy for Hydro transfer trip circuit Electric Utility Department Technical Services 80126100.802 30 18125 N/A James O'Brien jobrien@cityofu kiah.com Hydro Plant Infrastructure New 2019 2020 Enterprise Yes Current Revenues 3,000$ 195,000$ $ 195,000 Reduced amount for FYE 20 from $225k, and added funds to FYE 21. Moved from FYE 21. Budget Adopted State St. Underground Phase II, District 5: Overhead to Underground Relocates or underground overhead electric, phone and cable TV utilities ‐ Henry to Norton, Mill to Gobbi. Electric Utility Department Distribution 80126100.802 30 18259 N/A Cindy Sauers csauers@cityof ukiah.com State Street Infrastructure New 2021 2022 Enterprise Yes Current Revenues 35,000$ 850,000$ $ 885,000 Budget Adopted Fire Mitigation Grant Matching Matching 25% funds for FEMA HMG for fire mitigation undergrounding, vegetation management and design services. Electric equipment and wire. Electric Utility Department Distribution 80126100.802 30 18260 N/A Cindy Sauers csauers@cityof ukiah.com Clay St., Standley St., Park Blvd., Barnes and Jones Infrastructure New 2021 2023 Enterprise Yes Current Revenues 200,000$ 400,000$ 200,000$ 50,000$ $ 850,000 Budget Adopted 563,000$ 1,890,000$ 2,210,000$ 940,000$ 635,000$ ‐$ 5,675,000$ Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) City Council Status Funding Type Funding Type Add'l Comments Costs to date Totals Comments Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Estimated Cost per Fiscal Year SUB‐TOTAL: *Refer to last page of this document for definition of terms used.PAGE 5 Page 889 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 PUBLIC WORKS DEPARTMENT Start End 21/22 22/23 23/24 24/25 25/26 Corporation Yard Remediation System Removal This project will remove the Underground Storage Tank cleanup equipment. Public Works Corporation Yard 20824300.521 00 18261 N/A Dave Kirch dkirch@cityofu kiah.com 1320 Airport Road Infrastructure New 2021 2022 Enterprise Yes Insurance $ 150,000 $ 150,000 Budget Adopted Corporation Yard Security This project will improve security in order to prevent further break‐ins and theft. Public Works Corporation Yard 20824300.802 30 TBD N/A Dave Kirch dkirch@cityofu kiah.com 1320 Airport Road Infrastructure New 2021 2022 Enterprise Yes Current Revenues Fiscal Year Allocation TBD $ ‐ Prioritization and funding source(s) under review. Department estimate/request is $100,000 Reviewed Corporation Yard Rehabilitation This project will upgrade the Corporation Yard Facilities. Public Works Corporation Yard 20824300.802 30 TBD N/A Dave Kirch dkirch@cityofu kiah.com 1320 Airport Road Infrastructure New 2021 2022 Enterprise Yes Current Revenues Fiscal Year Allocation TBD $ ‐ Prioritization and funding source(s) under review. Department estimate/request is $2,500,000 for existing location; Location evaluation will need to be completed to determine best long location for the yard and/or continued use of existing site. Reviewed Landfill Closure This project will permanently close the Landfill Disposal site per Federal Mandates. Public Works Landfill 70224500.802 30 18025 N/A Tim Eriksen teriksen@cityof ukiah.com 3100 Vichy Springs Road Infrastructure In Progress 2021 2022 Enterprise Yes Current Revenues $ 10,343,287 $ 10,343,287 Project specifics will require additional Council review. Moved from FYE 20 to FYE 21. EIR Litigation in progress. Construction projected for FYE 22 so moved from FYE 21. Budget Adopted ‐$ 10,493,287$ ‐$ ‐$ ‐$ ‐$ 10,493,287$ WATER RESOURCES DEPARTMENT Project Name Project Description Department Division Org/ Object Project Number Totals Comments City Council Status Estimated Cost per Fiscal Year SUB‐TOTAL: Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project Status Start End 21/22 22/23 23/24 24/25 25/26 Henderson Lane Water Main Replacement Project is needed in order to upgrade a failing water main. This is needed in order to provide potable water to the Water customers.Water Resources Water Treatment Plant 82227113.802 30 18051 N/A Jarod Thiele jthiele@cityofu kiah.com Henderson Lane Infrastructure In Progress 2018 2022 Enterprise Yes Current Revenues $ 15,800 $ 70,000 $ 70,000 Design Complete. Moved from FYE 20 to FYE 21 due to COVID‐19. Reduced amount from $150k. Budget Adopted Water Main Replacements Plan for water main replacements throughout the City. Water Resources Water Operations 82227113.802 30 18072 N/A Jarod Thiele jthiele@cityofu kiah.com Various Infrastructure On‐going 2020 2026 Enterprise Yes Current Revenues $ 500,000 $ 1,500,000 $ 1,500,000 $ 1,500,000 $ 1,500,000 $ 6,500,000 Added funding for FYE 25 and FYE 26. Reduced FYE 22 from $1.5M. Budget Adopted Phase 4 Recycled Water This project will provide an additional irrigation source for City Parks,Golf Course, Cemetery and Schools. This will reduce the demand on the potable water system and reduce discharge to the Russian River Water Resources Recycled Water 83027330.802 30 18052 N/A Sean White swhite@cityofu kiah.com Brush Street to Golf Course Infrastructure New 2024 2025 Enterprise Yes New Revenues Will be funded by grant/loan. $ 43,700 $ 18,500,000 $ 18,500,000 Environmental documentation is complete. Design began in December, 2018. Modified funding comments to eliminate a shared cost with Sewer. Moved budget from FYE 21. Moved from FYE 22 due to COVID‐19 ‐ feasibility still under review. Reviewed and Supported Chlorine Residual Valve/Alarm on Discharge Engineering and installation. Critical safety valve to monitor the outflow of chlorinated water into the river.Water Resources Wastewater Treatment Plant 84027225.802 30 18054 N/A David Kirch dkirch@cityofu kiah.com 300 Plant Road Infrastructure New 2018 2022 Enterprise Yes Current Revenues $ 150,000 $ 150,000 Rebudgeting. Moved from FYE 20.Budget Adopted This project will replace the sewer main on Dora Street from Mill Street to Grove Avenue as well as all sewer laterals Sewer Operations 84427221.802 30 N/A Jarod Thiele jthiele@cityofu kiah.com Dora Street Infrastructure New 2022 2023 Enterprise Yes Current Revenues $ 400,000 This project will replace the water main on Dora Street from Mill Street to Grove Avenue as well as all hydrant, valves and service connections Water Operations 82227111.802 30 N/A Jarod Thiele jthiele@cityofu kiah.com Dora Street Infrastructure New 2022 2023 Enterprise Yes Current Revenues $ 800,000 Replace Heat Exchangers This project will replace deteriorating heat exchangers for the operationoftheDigesterand Boilers Water Resources Wastewater Treatment Plant 84027225.802 30 18131 N/A David Kirch dkirch@cityofu kiah.com 300 Plant Road Infrastructure New 2023 2024 Enterprise Yes Current Revenues $ 750,000 $ 750,000 Moved from FYE 21 due to COVID‐19. Reviewed Rehabilitation of Zone 2 Booster Pump Station Upgrade the enclosure and electrical components in the structure enclosing the booster pump for Pressure Zone 2 to increase reliability and security Water Resources Water Operations 82227113.802 30 TBD N/A David Kirch dkirch@cityofu kiah.com Golf Course Infrastructure New 2024 2025 Enterprise Yes Current Revenues $ 50,000 $ 50,000 Moved from FYE 23 due to COVID‐19. Reviewed Replace Water Main on Low Gap Street Replace the 16 inch steel water main from North State Street to North Bush Street concurrent with Phase 4 of the Recycled Water Project Water Resources Water Operations 82227113.802 30 TBD N/A Don Brown dwbrown@city ofukiah.com Low Gap Street Infrastructure New 2024 2025 Enterprise Yes Current Revenues $ 500,000 $ 500,000 Moved from FYE 22 due to COVID‐19. Reviewed Replace Various Water Mains Replace water mains on Clay Street, Pine Street, Spring Street, etc. Water Resources Water Operations 82227113.802 30 18262 N/A Don Brown dwbrown@city ofukiah.com Various Infrastructure New 2021 2022 Enterprise Yes Current Revenues $ 400,000 $ 400,000 Removed budget from FYE 21 due to COVID‐19. Increased budget from $250k in FYE 22, and eliminated $250k in FYE 23, 24 and 25. Budget Adopted Replace Sewer Main on Low Gap Street Replace the 15 inch and 6 inch sewer main from North State Street to North Bush Street concurrent with Phase 4 of the Recycled Water Project Water Resources Sewer Operations 84427222.802 30 TBD N/A Don Brown dwbrown@city ofukiah.com Low Gap Street Infrastructure New 2024 2025 Enterprise Yes Current Revenues $ 500,000 $ 500,000 Moved from FYE 22 due to COVID‐19. Reviewed Reseal Wash Water Basins Remove and Replace Seal on Wash Water Basins Water Resources Wastewater Treatment Plant 84027225.802 30 18192 N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Infrastructure New 2020 2021 Enterprise Yes Current Revenues $ 40,000 $ 40,000 Moved from FYE 21.Budget Adopted Upgrade PLC's Upgrade old Programmable Logic Controls. Water Resources Wastewater Treatment Plant 84027225.802 30 TBD N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Infrastructure New 2023 2025 Enterprise Yes Current Revenues $ 350,000 $ 350,000 Moved from FYE 22 due to COVID‐19. Moved from FYE 24, and increased from $200k. Reviewed Sludge Lagoon Remediation Prepare plans and specifications for the removal of sludge from the sludge lagoon. Water Resources Wastewater Treatment Plant 84027225.802 30 18257 N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Facilities/ Buildings/Land New 2021 2023 Enterprise Yes Current Revenues $ 50,000 $ 400,000 $ 450,000 Budget Adopted Recondition Levees Recondition the levees on the Percolation Ponds. Water Resources Wastewater Treatment Plant 84027225.802 30 TBD N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Infrastructure New 2024 2025 Enterprise Yes Current Revenues $ 200,000 $ 200,000 Eliminated $200k for 2 prior years due to COVID‐19. Reviewed 59,500$ 1,210,000$ 3,100,000$ 2,250,000$ 21,600,000$ 1,500,000$ 29,660,000$ 622,500$ 15,493,287$ 5,458,385$ 3,190,000$ 23,574,200$ 1,500,000$ 49,215,872$ City Council Status Estimated Cost per Fiscal Year Dora Street Utility Improvement Project‐ Water & Sewer Water Resources 18127 $ 1,200,000 Funding Type Funding Type Add'l Comments Costs to date Totals Comments Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) SUB‐TOTAL: TOTALS FOR INFRASTUCTURE : Reviewed Contingent upon rate study. Moved from FYE 21. Note that rate study based on happening in FYE 21. Moved from FYE 22. *Refer to last page of this document for definition of terms used.PAGE 6 Page 890 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 PUBLIC WORKS DEPARTMENT STREETS & RIGHTS‐OF‐WAY Start End 21/22 22/23 23/24 24/25 25/26 12024200.802 30 2022 2023 Special Revenue Yes Current Revenues Measure Y $ 2,000,000 50024220.802 30 2022 2023 Special Revenue Yes Current Revenues Gas Tax $ 700,000 East Clay Street Improvement Project This project will improve East Clay Street from Main Street to the Railroad Crossing in order to facilitate the development of the new Courthouse site. This project includes water, sewer, pedestrian facilities and drainage facilities as well as reconstruction of the street section. Public Works Engineering 12024200.802 30 18128 No Tim Eriksen teriksen@cityof ukiah.com Clay Street Streets & Rights‐of‐ Way New 2024 2025 Special Revenue No New Revenues Measure Y $ 750,000 $ 750,000 Introduced and discussed at the January 16, 2019 Council meeting. Moved from FYE 21. Moved from FYE 23. Reviewed Street Striping This will update striping on streets in selected areas. Public Works Engineering 12024200.521 00 18251 N/A Jarod Thiele jthiele@cityofu kiah.com Various Streets Streets & Rights‐of‐ Way Completed 2019 2026 Special Revenue Yes Current Revenues Measure Y $ 50,000 $ 60,000 $ 60,000 $ 60,000 $ 60,000 $ 290,000 Ongoing work. Eliminated FYE 21 due to COVID‐19. Added funding to FYE 25 and 26. Budget Adopted Public Works Engineering 12024200.802 30 Yes Tim Eriksen teriksen@cityof ukiah.com Orr Street at Orr Creek Streets & Rights‐of‐ Way In Progress 2021 2022 Capital Projects Yes New Revenues CDBG Grant $ 150,000 Public Works Engineering 25124220.802 30 Yes Tim Eriksen teriksen@cityof ukiah.com Orr Street at Orr Creek Streets & Rights‐of‐ Way In Progress 2022 2023 Capital Projects Yes New Revenues $ 254,438 Low Gap Road and North Bush Street Roundabout This project will complete the environmental, ROW, and design phases for a roundabout at Low Gap Road and N. Bush St. Construction phase not currently funded.Public Works Engineering 50924210.802 30 15024 N/A Tim Eriksen teriksen@cityof ukiah.com Low Gap Road and N. Bush St. Streets & Rights‐of‐ Way In Progress 2021 2022 Special Revenue Yes Current Revenues $110k Design Funded, Construction Funding Not Approved. $ 750,000 $ 750,000 Design authorized, but project requires additional Council review. Moved from FYE 22, and reduced from $1.5 mil due to COVID‐19. Moved from FYE 21. Budget Adopted Slurry Seal Project This project will improve the Streets network. Public Works Engineering 12024200.521 00 18252 N/A Daniel Flores dflores@cityofu kiah.com Various Streets Streets & Rights‐of‐ Way Completed 2019 2026 Special Revenue Yes Current Revenues Measure Y $ 426,000 $ 350,000 $ 400,000 $ 250,000 $ 250,000 $ 250,000 $ 1,500,000 Going out to bid. Budget will be utilizing FYE 21 anticipated revenue. Had utilized this year's budget for other projects. Increased budget from $200k FYE 22. Increased budget from $400k FYE 21, from $200k in FYE 23, and from $200k in FYE 24. Added budget in FYE 25 and 26. Budget Adopted Gobbi/Main Traffic Signal This project will alleviate traffic for better vehicle flow. Public Works Traffic Signal 50724620.802 30 18073 N/A Jarod Thiele jthiele@cityofu kiah.com Gobbi Street/ Waugh Lane Streets & Rights‐of‐ Way New 2022 2023 Special Revenue No New Revenues Will need to apply for STIP funding. $ 800,000 $ 800,000 Moved from FYE 22 due to COVID‐19. Reviewed Main Street Reconstruction Project Reconstruct Main Street, from Gobbi to Mill. Public Works Engineering 12024200.802 30 TBD N/A Andrew Stricklin astricklin@cityo fukiah.com Main Street Streets & Rights‐of‐ Way New 2022 2023 Special Revenue Yes Current Revenues Measure Y $ 500,000 $ 500,000 Moved from FYE 22 due to COVID‐19. Reviewed Clara Avenue Reconstruction Project Reconstruct Clara Avenue, from State to Orchard. Public Works CDBG 12024200.802 30 TBD N/A Jason Benson jbenson@cityof ukiah.com Clara Avenue Streets & Rights‐of‐ Way New 2021 2022 TBD Yes New Revenues TBD $ 2,000,000 $ 2,000,000 Moved from FYE 21. Moved from FYE 22. Formerly thought to be eligible for CDBG funding. Reviewed Leslie Street Rehabilitation Project Rehabilitate Leslie Street, Gobbi to Perkins. Public Works CDBG 12024200.802 30 TBD N/A Jason Benson jbenson@cityof ukiah.com Leslie Street Streets & Rights‐of‐ Way New 2022 2023 Grant Funded Yes New Revenues CDBG Funding Opportunity $ 1,500,000 $ 1,500,000 Moved from FYE 21. Reviewed Perkins Street Storm Drain and Widening Project This project will add a storm drain on East Perkins Street and widen the intersection at Orchard Avenue to add another East Bound through lane.Public Works Streets 10024620.802 30 TBD N/A Andrew Stricklin astricklin@cityo fukiah.com East Perkins Street Streets & Rights‐of‐ Way New 2022 2023 Special Revenue No New Revenues Measure Y $ 2,277,000 $ 2,277,000 Reviewed South Ukiah Rehabilitation Project This project will overlay S. Dora Street from Beacon Lane to Washington, and S. State Street from Beacon Lane to Observatory, including ADA pedestrian improvements.Public Works Streets 12024200.802 30 18254 N/A Andrew Stricklin astricklin@cityo fukiah.com Dora/State Streets & Rights‐of‐ Way New 2021 2022 Special Revenue Yes Current Revenues Measure Y $ 2,200,000 $ 2,200,000 Budget Adopted Great Redwood Trail‐ Phase 4 This project will extend the Great Redwood Trail from Commerce Drive to Norgard Lane Public Works Engineering 51124210.802 30 18253 N/A Jason Benson jbenson@cityof ukiah.com Railroad ROW Streets & Rights‐of‐ Way New 2021 2023 Grant Funded Yes New Revenues Urban Greening Grant $ 3,563,212 $ 3,563,212 Grant has been awarded. Moved full project for completion in FYE 22. Budget Adopted Great Redwood Trail‐ Phase 5 This project will extend the Great Redwood Trail from Brush Street to Hensley Creek Road Public Works Engineering TBD TBD N/A Jason Benson jbenson@cityof ukiah.com Railroad ROW Streets & Rights‐of‐ Way New 2022 2024 Grant Funded No New Revenues Urban Greening Grant $ 275,000 $ 8,000,000 $ 8,275,000 Reviewed Gobbi Street Reconstruction Reconstruct Gobbi Street in 2 separate projects (US101 to State Street) and (State Street to Dora Street)Public Works Engineering 12024200.802 30 TBD N/A Andrew Stricklin astricklin@cityo fukiah.com Gobbi Street Streets & Rights‐of‐ Way New 2023 2024 Special Revenue Yes Current Revenues Measure Y $ 1,500,000 $ 1,500,000 Reviewed Hastings/Airport Road Alternative Transportation Route Public Works Engineering will analyze and develop a conceptual plan for an alternative transportation route and/or mitigation measures for Hastings/Airport Rd north of the Ukiah Municipal Airport in an effort to accommodate a future runway extension to 5,000 feet. The expanded runway alternative will be evaluated during the review and update of the airport land use plan (ALP) and is an important step to ensure the Ukiah Airport is prepared to accommodate future aviation needs of the region including fire service. Public Works Engineering N/A TBD N/A Tim Eriksen teriksen@cityof ukiah.com Hastings/Airpo rt Road Streets & Rights‐of‐ Way New 2021 2022 N/A Yes Current Revenues N/A $ ‐ FYE 22 project ‐ no budget impact as the work will be done by in‐house engineering staff. Reviewed Airport Park Blvd South Extension Public Works Engineering will analyze and develop a conceptual plan for a south extension of Airport Park Blvd. out of the Redwood Business Park and connecting to southern Ukiah transportation infrastructure. Public Works Engineering N/A TBD N/A Tim Eriksen teriksen@cityof ukiah.com Airport Park Blvd Streets & Rights‐of‐ Way New 2022 2023 N/A Yes Current Revenues N/A $ ‐ FYE 23 project ‐ no budget impact as the work will be done by in‐house engineering staff. Reviewed 426,000$ 7,063,212$ 8,766,438$ 9,810,000$ 1,060,000$ 2,310,000$ 29,009,650$ 426,000$ 7,063,212$ 8,766,438$ 9,810,000$ 1,060,000$ 2,310,000$ 29,009,650$ Project Name Project Description Department Org/ Object Project Number Totals Comments City Council Status Funding Type Funding Type Add'l Comments Costs to date Estimated Cost per Fiscal YearProject Timeline Funding Source Fu n d i n g Id e n t i f i e d Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project StatusDivision Moved from FYE 21, and added $700k to Measure Y cost. Moved from FYE 22.ReviewedJarod Thiele jthiele@cityofu kiah.com Dora Street Streets & Rights‐of‐ Way New $ 2,700,000 Dora Street Utility Improvement Project This project will replace the water main, sewer main and reconstruct the street on Dora Street from Mill Street to Grove Avenue.Public Works Engineering 18127 Yes SUB‐TOTAL: TOTALS FOR STREETS & RIGHTS‐OF‐WAY : Orr Street Bridge This project will improve the bridge on Orr Street at Orr Creek. 18065 $ 404,438 The City has received $150k to fund a planning study for Orr Street Bridge and the Orr Street transportation corridor. Activities include completion of a study to analyze existing conditions of the street, including the transportation corridor and bridge, as well as the completion of a plan and preparation of plans and specifications and an Engineer's Cost Estimate to be used for a future public improvement project. Budget Adopted *Refer to last page of this document for definition of terms used.PAGE 7 Page 891 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 AIRPORT VEHICLES, MACHINERY & EQUIPMENT Start End 21/22 22/23 23/24 24/25 25/26 Replace 20,000 gallon fuel tank with 20,000 gallon Jet A tank Current tank is a split fuel system, containing both Jet A fuel and Avgas. Conversion to Jet A is necessary to maximize the fuel sources for the airport, and provide better service to its customers.Airport Airport 77925200.801 00 15042 N/A Greg Owen gowen@cityofu kiah.com 1411 South State Street Vehicles, Machinery & Equipment In Progress 2021 2022 Enterprise Yes Current Revenues $ 150,000 $ 150,000 Moved from FYE 20. Current revenues may not be adequate, external funding may be necessary. Budget Adopted Water Tender ‐ Shared Cost Current tank is a split fuel system, containing both Jet A fuel and Avgas. Conversion to Jet A is necessary to maximize the fuel sources for the airport, and provide better service to its customers. Airport Airport 77925200.801 00 V2543 Shared with 100 Parks, 100 Streets, 820 Water, and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment Deferred 2022 2023 Enterprise Yes Current Revenues $ 10,000 $ 10,000 Spent over $15k this past year for rental of a unit. Moved from FYE 22. If new Fire Tender is approved for FYE 22, the replaced unit will become available for other City departments, and this item will then be eliminated. Reviewed ‐$ 150,000$ 10,000$ ‐$ ‐$ ‐$ 160,000$ Totals Comments City Council Status SUB‐TOTAL: Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement TypeProject Description COMMUNITY SERVICES DEPARTMENT Department Division Org/ Object Project Number Estimated Cost per Fiscal Year Project StatusProject Name Start End 21/22 22/23 23/24 24/25 25/26 Replacement Truck Replacement of vehicles that are no longer cost effective to repair.Community Services Parks 10022100.801 00 V737 N/A Jarrod Meyer jmeyer@cityofu kiah.com 300 Seminary Avenue Vehicles, Machinery & Equipment New 2022 2023 General No Current Revenues $ 40,000 $ 40,000 Moved to FYE 22. Moved to FYE 23. Reviewed Replacement Truck Replacement of vehicles that are no longer cost effective to repair.Community Services Parks 10022100.801 00 18066 N/A Jarrod Meyer jmeyer@cityofu kiah.com 300 Seminary Avenue Vehicles, Machinery & Equipment New 2023 2024 General No Current Revenues $ 55,000 $ 55,000 Moved to FYE 24 Reviewed Replacement Truck‐ Building Maintenance Replacement truck is necessary Community Services Building Maintenance 20822500.801 00 V2642 N/A Kerry Randall krandall@cityof ukiah.com 300 Seminary Avenue Vehicles, Machinery & Equipment Deferred 2022 2023 General No Reserves $ 48,000 $ 48,000 Moved to FYE 22. Moved to FYE 23. Reviewed Bucket Truck Replacement ‐ Shared Cost There are currently two bucket trucks, Vehicle #2221, a 1992 Ford F450 which is being put into surplus in fiscal year 2017/2018, and Vehicle #2230, a 1995 Ford F450,which will be kept into service until it is replaced. It is used to trim street and park trees, and also assists in hanging banners which promote City services and activities which benefit the community. Two divisions share the cost: $100,000 total Community Services Parks 10022100.801 00 V2224 Shared with 100 Streets David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment Deferred 2022 2023 General No Current Revenues $ 55,000 $ 55,000 Look to match replacement with surplus from Electric Utility. Moved to FYE 23.Reviewed Water Tender ‐ Shared Cost The current water tender no longer meets emission standards and is inoperable. Will be used to water street trees, Riverside Park, fill Vactor trucks and be available to support mowing and Fire operations. Five divisions share the cost: $150,000 total Community Services Parks 10022100.801 00 TBD Shared with 100 Streets, 779 Airport, 820 Water, and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment Deferred 2022 2023 Enterprise No Current Revenues $ 10,000 $ 10,000 Reduced amount from $10k to split cost with Airport based on anticipated use. Spent over $15k this past year for rental of a unit. Moved from FYE 21 due to COVID‐19. Moved from FYE 22. If new Fire Tender is approved for FYE 22, the replaced unit will become available for other City departments, and this item will then be eliminated. Reviewed Parks Service Vehicle EV/Low Fuel/Hybrid Vehicle(s) for Service of Park Facilities.Community Services Parks 10022100.801 00 V3765 N/A Jarrod Meyer jmeyer@cityofu kiah.com 300 Seminary Avenue Vehicles, Machinery & Equipment New 2021 2022 General Yes Current Revenues $ 40,000 $ 40,000 Increasing park acreage requires increase in Park staffing, which will also require an additional vehicle. Budget Adopted Generator Installation at the Ukiah Valley Conference Center Generator for the Ukiah Valley Conference Center.Community Services Conference Center 73022600.801 00 18265/182 66 N/A Mel Grandi mgrandi@cityof ukiah.com 411 West Clay Street Vehicles, Machinery & Equipment New 2021 2022 CDBG Yes New Revenues Grant funds. $ 120,845 $ 120,845 Budget Adopted Ice Skating Rink Purchase of materials and supplies necessary to build a 40' x 100' ice skating rink. Will include rink floor, all piping & hoses, dasherboards, access gates, board anchors, Ice Wizard resurfacer, gas powered edger, 300 pairs of rental skates, ice skate sharpener, 95 black rubber mats, vapor barrier, 500 gallons of glycol, ice skate racks and all other necessary ice tools. Chiller and tent would be rented annually. The cost of this purchase is less than the cost of renting the same materials for 2 years. Community Services Ice Rink 31422860.801 00 18193 N/A Jake Burgess jburgess@cityof ukiah.com 411 West Clay Street Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 150,000 $ 150,000 Purchase will has a positive rate of return within two years. Moved from FYE 21 due to COVID‐19. Moved from FYE 22. Reviewed ‐$ 160,845$ 303,000$ 55,000$ ‐$ ‐$ 518,845$ CITY MANAGER DEPARTMENT Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) City Council Status Funding Type Funding Type Add'l Comments Costs to date Totals Comments Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Estimated Cost per Fiscal Year SUB‐TOTAL: Start End 21/22 22/23 23/24 24/25 25/26 Parking Meter Replacement Replacing parking meters. City Manager Economic Development 64012600.802 30 18165 N/A Traci Boyl tboyl@cityofuki ah.com Downtown Vehicles, Machinery & Equipment Deferred 2021 2022 Enterprise Yes Current Revenues 400,000$ $ 400,000 Funded by line of credit loan proceeds being secured by Finance as part of a larger capital improvement funding strategy. Moved from FYE 20 year. Installation will coincide with Streetscape Project. Funding secured through bond issuance; project put on hold due to COVID‐19 and will resume when market conditions allow. Moved from FYE 21. Budget Adopted ‐$ 400,000$ ‐$ ‐$ ‐$ ‐$ 400,000$ Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Comments City Council StatusTotals Estimated Cost per Fiscal Year SUB‐TOTAL: Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to date *Refer to last page of this document for definition of terms used.PAGE 8 Page 892 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 ELECTRIC UTILITY DEPARTMENT Start End 21/22 22/23 23/24 24/25 25/26 Electric Meter Replacements Electric Meter Replacement and cloud based data management system improving customer access to outage information, usage data and provide customer selectable notifications. Electric Utility Department Technical Services 80126100.801 00 15080 N/A Cindy Sauers csauers@cityof ukiah.com iah Electric SysteVehicles, Machinery & Equipment In Progress 2018 2022 Enterprise Yes Current Revenues 1,000$ 500,000$ 2,000,000$ $ 2,500,000 Currently in the planning stage. Moved from starting FYE 21. Budget Adopted Lift Replaces a high capacity fork lift due to 1. Air quality standards to update/improve engine emissions and 2. Due to the equipment’s condition and age. Electric Utility Department Distribution 80126100.801 00 E1721 N/A Tim Santo tsanto@cityofu kiah.com N/A Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues 125,000$ $ 125,000 Moved to FYE 22. Increased amount from $70k. Budget Adopted Utility/Inspector Truck Replaces 2003 F250 with EV Truck Electric Utility Department Distribution 80126100.801 00 TBD N/A Tim Santo tsanto@cityofu kiah.com N/A Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues 90,000$ $ 90,000 EV options will hit market in FYE 21/22; Planned for FYE 22/23 to ensure quality of vehicle outside of 1st Generation models. Reviewed Trouble Truck Replaces V2233 Ford F‐550 AT40‐G Articulating Telescopic Aerial Lift Super cab.Electric Utility Department Distribution 80126100.801 00 TBD N/A Tim Santo tsanto@cityofu kiah.com N/A Vehicles, Machinery & Equipment New 2024 2025 Enterprise Yes Current Revenues 200,000$ $ 200,000 Reviewed 1,000$ 625,000$ 2,090,000$ 200,000$ ‐$ ‐$ 2,915,000$ FINANCE DEPARTMENT Project Name Project Description Department Division Org/ Object Project Number Totals Comments City Council Status SUB‐TOTAL: Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project Status Estimated Cost per Fiscal Year Start End 21/22 22/23 23/24 24/25 25/26 Truck ‐ Utility Service Attendant Current vehicle approaching the end of it's useful life. Finance Utility Billing 20513300.801 00 TBD N/A Lori Martin lmartin@cityofu kiah.com 300 Seminary Avenue Vehicles, Machinery & Equipment New 2022 2023 Internal Service No New Revenues $ 35,000 $ 35,000 Reviewed ‐$ ‐$ 35,000$ ‐$ ‐$ ‐$ 35,000$ FIRE AUTHORITY Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments SUB‐TOTAL: Costs to date Estimated Cost per Fiscal Year Totals Comments City Council StatusProject Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Start End 21/22 22/23 23/24 24/25 25/26 Command/ Chief Vehicle This new Command/Chief vehicle would serve as a Division Chief's vehicle.It will replace C‐ 6805, a 2006 Chevy 2500 HD, with current mileage of 106,495. The vehicle transmission is currently failing, leaving the vehicle unfit, unreliable, and leaving team members in a possibly unsafe or life‐threatening environment during fire suppression activities. However, the vehicle can be repurposed as a non‐suppression utility vehicle for the department. Fire Authority City Fire 10021210.801 00 V3165 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 General Yes New Revenues $ 75,000 $ 75,000 Moved from FYE 21 due to COVID‐19. Increased the amount from $50k to include vehicle outfitting. Moved from FYE 21. Budget Adopted Command/ Chief Vehicle This new Command/Chief vehicle will serve as a Command/Chief vehicle. It will replace D‐ 6802, a 2007 Chevy 2500 HD with 84,072 miles. This vehicle's transmission is also currently failing along with multiple other problems, leaving the vehicle unfit, unreliable, leaving team members in a possibly unsafe or life‐threatening environment during fire suppression activities. This vehicle will be decommissioned and placed as surplus. Fire Authority District Fire 91721400.801 00 18277 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 District Yes New Revenues $ 75,000 $ 75,000 Purchase cost covers Fire Service Emergency Vehicle outfitting (Lights, Siren, Radio's, etc.,) Budget Adopted Auto Extrication Equipment It is recommended to replace our aging gas powered hydraulic auto extrication equipment, commonly know as the "Jaws Of Life". Replacement units will consist of newer technology battery operated E‐Hydraulic extrication equipment. These newer units will eliminate heavy gas powered motors and associated hydraulic lines increasing mobility andrangeofuse.This will be a three year phased purchase to replace the units currently in service. Fire Authority City/District Fire 91621400.801 00 & 25321210.801 00 18101 Yes Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment Ongoing 2019 2022 Special Revenue Yes Current Revenues Prop. 172 $ 57,274 $ 33,000 $ 33,000 The first set has been purchased and placed into service. Second set has been purchased. Final purchase set planned for FYE 22. Budget Adopted SCBA Compressor This specialized unit is necessary and mandatory to fill Self‐Contained Breathing Apparatus Bottles crucial for the Ukiah Valley Fire Authority to carry out our missionofsavingand protecting life, property, and the environment. This unit will be housed at the Central Station and will replace our current mobile air unit, which is currently out of service. Fire Authority City Fire 10021210.801 00 18195 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 General Yes New Revenues $ 60,000 $ 60,000 This will require new funding. Moved from FYE 21 due to COVID‐19. Budget Adopted SCBA/Gear Sanitizer This unit is critical for sanitation of fire protection gear and equipment used and worn by team members, due to the increasing awareness of cancer causing exposures faced by Fire Personnel. The sanitation of gear and equipment has been proven to reduce the risk to cancer(s). This promotes a safer and healthier work environment. Fire Authority City Fire 10021210.801 00 18196 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 General Yes New Revenues $ 35,000 $ 35,000 This will require new funding. Moved from FYE 21 due to COVID‐19. Increased from $28k. Budget Adopted Water Tender The Ukiah Valley Authority annual fleet replacement identified WT‐6892 for replacement. Following industry standard NFPA guidelines recommends fire apparatus serve 10 years or 75,000 miles as a first out response vehicle, and an additional 5 to 10 years or 100,000 miles in service as a reserve apparatus. WT‐6892 is a 2004 Peterbilt single‐axle 2,500 gallon water tender. It was initially designed for construction, and was converted to a fire apparatus. It does not have a fire rated pump, which the apparatus does not meet the demand for service. ThepurchaseofanewfireratedwatertenderisvitaltotheFireAuthority's mission while working in the rural environment. Additionally, utilizing OES‐State contracts, the entire purchase cost recovery would be completed over the next few years. WT‐6892 would not only be placed in a reserve status for the Fire Department, other departments in the City could utilize the water tender, adding additional cost savings to the City, as they have been renting a water tender in the past several years. Fire Authority City Fire 10021210.801 00 V2543 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 TBD Yes Reserves $ 325,000 $ 325,000 Budget Adopted Quint Aerial Apparatus The Ukiah Valley Fire Authority annual fleet replacement identified T‐6852 for replacement. Following industry‐standard NFPA guidelines recommends fire engines serve 10‐years or 75,000 miles as a first out response vehicle, and an additional 5 to 10‐years or 100,000 miles in service as a reserve apparatus. T‐6852 is a 2009 Pierce Quint Aerial Apparatus with a 75‐ft. ladder with a current mileage of 47,536. With a continually growing city in size and height, revised truck's specifications will need to be considered to meet future demands. T‐6852 will be placed in a reserve status for the Department. Fire Authority City Fire 10021210.801 00 TBD N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2025 2026 TBD No New Revenues Fiscal Year Allocation TBD $ 1,500,000 $ 1,500,000 Fiscal year allocation might move to out years contingent on condition of the vehicle. Reviewed Active Shooter Safety Equipment Due to the current events happening around the United States and the world, it is unfortunate but imperative that we prepare and be equipped for any and all situations the UVFA may face. We are taking a proactive instead of a reactive stance in protecting and providing our team members with the equipment they need to handle even the direst situations. Following industry‐standard (NFPA‐3000 Active Shooter) equipment to be purchased will include Flak Jackets, Kevlar Helmets, Medical Triage Bags, and Medical Triage Equipment. Fire Authority City Fire 10021210.801 00 TBD N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2022 2023 TBD No New Revenues Fiscal Year Allocation TBD/Seek grant funding. $ ‐ Staff will actively pursue grants to possibly offset some cost. Department estimate/request is $60,000 Reviewed Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) City Council Status Funding Type Funding Type Add'l Comments Costs to date Totals Comments Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Estimated Cost per Fiscal Year *Refer to last page of this document for definition of terms used.PAGE 9 Page 893 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 Radios Due to the Federal Communications Commissions (FCC), all Fire Department Analog Radios (currently all UVFA radio's are analog) are required to be replaced with Digital Radios. The FCC's move from analog to digital increased and improved radio efficiency and met the radio spectrum's increasing demand (Narrow banding). This is a two‐year phased purchase, replacing the Hand‐Held Radio's in the first year and the Mobile Radio's (Vehicle Radio's) in the second phase. Fire Authority City Fire 10021210.541 00 18240 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2023 TBD Yes New Revenues Seeking grant funding. $ 225,000 $ 153,200 $ 378,200 Staff will continue to actively pursue grants to possibly offset some of the cost during the phased process. Budget Adopted Safety Extractors This unit is critical for sanitation of Personal Protective Equipment (PPE) used and worn by team members due to the increasing awareness of cancer‐causing exposures faced by Fire Personnel. The sanitation of gear and equipment has been proven to reduce cancer risk (s) by removing the carcinogens or our team members deal with while performing their duties. These Safety Extractors were built and designed to remove debris and carcinogens as a normal washing machine does not, nor meet the industry standard of NFPA. Fire Authority District Fire 91621400.801 00 18278 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 District Yes New Revenues $ 30,000 $ 30,000 Budget Adopted Ambulance Patient Transport Unit This ambulance will serve the greater Ukiah area for the growing demands of the Emergency Medical Services. The Ukiah Valley Fire Authority has had to supplement/augment the private ambulance industry to county‐wide ambulance shortage. Fire Authority Ambulance 71021000.801 00 TBD N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 TBD Yes New Revenues Looking at financing options. $ 250,000 $ 250,000 Budget Adopted Ambulance Patient Transport Unit This ambulance will serve the greater Ukiah area for the growing demands of the Emergency Medical Services. The Ukiah Valley Fire Authority has had to supplement/augment the private ambulance industry to county‐wide ambulance shortage. Fire Authority Ambulance 71021000.801 00 18269 N/A Doug Hutchison dhutchison@cit yofukiah.com 1500 South State Street Vehicles, Machinery & Equipment New 2021 2022 TBD Yes New Revenues $141,648 to be CDBG funded, balance financed. $ 300,000 $ 300,000 Budget Adopted 57,274$ 1,408,000$ 153,200$ ‐$ ‐$ 1,500,000$ 3,061,200$ POLICE DEPARTMENT SUB‐TOTAL: Start End 21/22 22/23 23/24 24/25 25/26 Annual Police Car Replacement Annually the Police Department schedules the replacement of two patrol cars. Typically, a patrol car lasts about 3 years before it reaches the end of it's service life.Ittakesthe department about a year to order, receive and outfit a car for patrol use. By scheduling regular replacement of cars, the department ensures we have enough cars available for use. Police Police 10020210.801 00 V4209 & V4215 N/A Justin Wyatt jwyatt@cityofki ah.com 300 Seminary Avenue Vehicles, Machinery & Equipment Ongoing 2021 2026 General No New Revenues May explore financing options. $ 100,000 $ 100,000 $ 100,000 $ 100,000 $ 100,000 $ 500,000 Two Dodge Charger Pursuits planned for FYE 20 fiscal year deferred to FYE 21. However, three vehicles over the past 1.5 years have been replaced by insurance due to collisions. One vehicle replacement was recommend by CM for FYE 21, but both vehicles deferred to FYE 22 due to COVID‐19. Budget Adopted Replace Vehicle Mounted Video Cameras The Ukiah Police Department has utilized vehicle mounted video cameras within Police vehicles for approximately 20 years, to memorialize officer contacts, criminal conduct, and investigative activities. These video and audio recordings are used as evidence in criminal and civil cases, as well as for internal quality assurance. The current recording equipment has been in use since 2015, and the recording hardware, software and operating system are outdated and have become cumbersome and unreliable. The replacement system would provide for evidentiary data storage and processing as well as technical,software, and hardware support throughout a 5‐year purchasing plan. Police Police 10020210.541 00 18241 N/A Justin Wyatt jwyatt@cityofu kiah.com 300 Seminary Avenue Vehicles, Machinery, and Equipment New 2021 2026 General No New Revenues Grant funding may be available.14,604$ 32,000$ 25,000$ 25,000$ 25,000$ 25,000$ 132,000$ Budget Adopted Replace Tasers The Ukiah Police Department has deployed Tasers since 2018, utilizing a 5‐year purchasing program to maintain current equipment and which provides support for hardware, supplies, and technology through the term of the agreement. The current agreement with Axon expires in 2022. Police Police 10020210.541 00 TBD N/A Justin Wyatt jwyatt@cityofu kiah.com 300 Seminary Avenue Vehicles, Machinery, and Equipment New 2022 2026 General No New Revenues Grant funding may be available.41,345$ 15,000$ 15,000$ 15,000$ 15,000$ 60,000$ Reviewed Replace Body Cameras The Ukiah Police Department has deployed body‐cameras to memorialize officer contacts, criminal conduct, and investigative activities for more than 10 years. These video and audio recordings are used as evidence in criminal and civil cases, as well as for internal quality assurance. The current purchasing program expires in 2023, and provides for evidence storage, current and reliable equipment, and support for hardware and software for the term of the agreement. Police Police 10020210.541 00 TBD N/A Justin Wyatt jwyatt@cityofu kiah.com 300 Seminary Avenue Vehicles, Machinery, and Equipment New 2023 2026 General No New Revenues Grant funding may be available.98,037$ 35,000$ 22,000$ 22,000$ 79,000$ Reviewed 153,986$ 132,000$ 140,000$ 175,000$ 162,000$ 162,000$ 771,000$ PUBLIC WORKS DEPARTMENT Project Name Project Description Department Division Org/Object Project Number Totals Comments City Council Status SUB‐TOTAL: Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Project Status Start End 21/22 22/23 23/24 24/25 25/26 Asphalt Zipper ‐ Shared Cost The current equipment is Equipment #1000, a 1994 Wirgten W500 Grinder. ThisisaCARB Tier 0, and a retrofit for this unit is unavailable. This equipment assists in the ongoing maintenance of the Streets network in order to provide upgraded facilities for our residents. Three divisions will contribute: $120,000 total Public Works Streets 10024620.801 00 E1001 Shared with 820 Water and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 General Yes Current Revenues Department plans to set aside funds for this replacement. $ 40,000 $ 40,000 Moved from FYE 23 due to COVID‐19. Moved from FYE 24. Budget Adopted Asphalt Roller ‐Shared Cost The current equipment is Equipment #1611, a 1995 CAT CB214C Roller. This is CARB Tier 0, and a retrofit for this unit is unavailable. This equipment assists in the ongoing maintenance of the Streets network in order to provide upgraded facilities for our residents. Three divisions will contribute: $66,000 total Public Works Streets 10024620.801 00 E1612 Shared with 820 Water and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 General Yes Current Revenues Department plans to set aside funds for this replacement. $ 22,000 $ 22,000 Moved from FYE 23 due to COVID‐19. Reviewed Asphalt Paver ‐ Shared Cost The current equipment is Equipment #1811, a 1998 LeeBoy Model 1000B Paver.This is a CARB Tier 0, and a retrofit for this unit is unavailable. This equipment assists in the ongoing maintenance of the Streets network in order to provide upgraded facilities for our residents. Three divisions will contribute: $210,000 total Public Works Streets 10024620.801 00 E1812 Shared with 820 Water and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 General Yes Current Revenues Department plans to set aside funds for this replacement. $ 70,000 $ 70,000 Moved from FYE 23 due to COVID‐19. Reviewed Bucket Truck Replacement ‐ Shared Cost There are currently two bucket trucks, Vehicle #2221, a 1992 Ford F450 which is being put into surplus in fiscal year 2017/2018, and Vehicle #2230, a 1995 Ford F450,which will be kept into service until it is replaced. It is used to trim street and park trees, and also assists in hanging banners which promote City services and activities which benefit the community. Two divisions share the cost. Total cost: $100,000 Public Works Streets 10024620.801 00 V2224 Shared with 100 Parks David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2022 2023 General No Current Revenues $ 50,000 $ 50,000 Look to match replacement with surplus from Electric Utility. Moved to FYE 23.Reviewed Water Tender ‐ Shared Cost The current water tender no longer meets emission standards and is inoperable. Will be used to water street trees, Riverside Park, fill Vactor trucks and be available to support mowing and Fire operations. Five divisions share the cost: $150,000 total Public Works Streets 10024620.801 00 TBD Shared with 100 Parks, 779 Airport, 820 Water, and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 50,000 $ 50,000 Moved to FYE 21. Spent over $15k this past year for rental of a unit. Moved from FYE 21 due to COVID‐19. Moved from FYE 22. If new Fire Tender is approved for FYE 22, the replaced unit will become available for other City departments, and this item will then be eliminated. Reviewed Project Name Project Description Department Division Org/ Object Project Number Allocation to Multi‐funds Project Contact Name (s) Project Contact Email (s) City Council Status Funding Type Funding Type Add'l Comments Costs to date Totals Comments Project Location Improvement Type Project Status Project Timeline Funding Source Fu n d i n g Id e n t i f i e d Estimated Cost per Fiscal Year *Refer to last page of this document for definition of terms used.PAGE 10 Page 894 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 Flat Rack Truck Replace existing Flat Rack Truck due to age and mileage. Public Works Streets 10024220.801 00 V2236 N/A David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2022 2023 General Yes Current Revenues $ 62,500 $ 62,500 Moved from FYE 22 due to COVID‐19. Reviewed 3‐Yard Dump Truck Replace existing 3‐yard dump truck due to age and mileage. Public Works Streets 10024220.801 00 TBD N/A David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 General Yes Current Revenues $ 102,000 $ 102,000 Moved from FYE 23 due to COVID‐19. Reviewed Loader Replacement Replace existing loader due to CARB requirements. Public Works Streets 10024620.801 00 E1413 Shared with 820 Water and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 General Yes Current Revenues $ 110,000 $ 110,000 Budget Adopted Dump Truck Replacement Dump Truck Replacement for 3 years. This equipment is used to maintain and repair the Infrastructure for our citizens. Total cost: $500,000 Public Works Corporation Yard 20824300.801 00 18017 N/A David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 Internal Service Yes Current Revenues Department plans to set aside funds for this replacement. $ 500,000 $ 500,000 Moved from FYE 22 due to COVID‐19. Reduced cost from $750k due to splitting Loader to separate line. Reviewed ‐$ 150,000$ 162,500$ 694,000$ ‐$ ‐$ 1,006,500$ WATER RESOURCES DEPARTMENT SUB‐TOTAL: Start End 21/22 22/23 23/24 24/25 25/26 Replace Water Treatment Plant Service Truck The current vehicle's useful is expected to be exceeded in future years and will need to be replaced.Water Resources Water Treatment Plant 82227113.801 00 V3754 N/A David Kirch dkirch@cityofu kiah.com 935 River Street Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 50,000 $ 50,000 Moved from FYE 23. Moved back to FYE 23.Reviewed Convert Chlorine Gas to Liquid Chlorine at Water Treatment Plant This project will replace chlorine gas at the Water Treatment Plant and convert to Liquid Chlorine for safety reasons Water Resources Water Treatment Plant 82227113.801 00 18133 N/A Michelle Wagenet mwagenet@cit yofukiah.com Water Treatment Plant Infrastructure New 2020 2024 Enterprise Yes Current Revenues $ 50,000 $ 270,000 $ 320,000 Was budgeted FYE 20, moved to start in FYE 21 due to COVID‐19. Moved $270k from FYE 22. Moved $50k from FYE 21. Budget Adopted Replace Turbidimeters Replace Turbidimeters at Water Treatment Plant. Water Resources Water Treatment Plant 82227113.801 00 TBD N/A Michelle Wagenet mwagenet@cit yofukiah.com 935 River Street Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 75,000 $ 75,000 Reviewed Transfer Pump Purchase a transfer pump for emergency use at the Backwash Basins and Interties Water Resources Water Treatment Plant 82227113.801 00 18242 N/A David Kirch dkirch@cityofu kiah.com 935 River Street Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 35,000 $ 35,000 Budget Adopted Water Meter Replacements Upgrade aged meter in order to provide increased service efficiency. Water Resources Water Operations 82027114.801 00 18074 N/A Jarod Thiele jthiele@cityofu kiah.com Various Vehicles, Machinery & Equipment New 2020 2026 Enterprise Yes Current Revenues $ 50,000 $ 50,000 $ 50,000 $ 50,000 $ 50,000 $ 250,000 Ongoing ‐ reduced FYE 21 from $50k, added $50k to FYE 24 due to COVID‐19. Added funding for FYE 25 and 26. Budget Adopted Water Resources Water Operations 82027114.801 00 V3753 Shared with 840 Sewer David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 30,000 Water Resources Sewer Operations 84027221.801 00 V3753 Shared with 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 30,000 Water Resources Water Operations 82027114.801 00 TBD Shared with 840 Sewer David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 Enterprise Yes Current Revenues $ 20,000 Water Resources Sewer Operations 84027221.801 00 TBD Shared with 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 Enterprise Yes Current Revenues $ 20,000 Water Resources Water Operations 82027114.801 00 Shared with 100 Streets and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues Department plans to set aside funds for this replacement. $ 40,000 Water Resources Sewer Operations 84027221.801 00 Shared with 100 Streets and 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues Department plans to set aside funds for this replacement. $ 40,000 Water Resources Water Operations 82027114.801 00 Shared with 100 Streets and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 Enterprise Yes Current Revenues Department plans to set aside funds for this replacement. $ 22,000 Water Resources Sewer Operations 84027221.801 00 Shared with 100 Streets and 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 Enterprise Yes Current Revenues Department plans to set aside funds for this replacement. $ 66,000 Water Resources Water Operations 82027114.801 00 Shared with 100 Streets and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 Enterprise Yes Current Revenues Department plans to set aside funds for this replacement. $ 70,000 Water Resources Sewer Operations 84027221.801 00 Shared with 100 Streets and 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2023 2024 Enterprise Yes Current Revenues Department plans to set aside funds for this replacement. $ 70,000 Water Resources Water Operations 82027114.801 00 Shared with 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise No Current Revenues $ 225,000 Water Resources Sewer Operations 84027221.801 00 Shared with 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise No Current Revenues $ 225,000 The current equipment is Equipment #1000, a 1994 Wirgten W500 Grinder. This is a CARB Tier 0, and a retrofit for this unit is unavailable. This equipment assists in the ongoing maintenance of the Streets network in order to provide upgraded facilities for our residents. Three divisions will contribute: $120,000 total E1001 $ 80,000 Project Name Project Description Department Division Org/ Object Project Number Totals Comments City Council Status Estimated Cost per Fiscal YearProject Timeline Funding Source Fu n d i n g Id e n t i f i e d Funding Type Funding Type Add'l Comments Costs to dateAllocation to Multi‐funds Project Status Vactor Replacement ‐ Shared Cost The existing vehicle, Vehicle #2515, a 2009 VacCon V350 LHA, will need to be replaced as it will be soon reaching its end‐of‐life. This equipment assists in repairing and maintaining the Water Distribution and Sewer Collection System in order to provide services to our rate payers. Two divisions share the cost: $450,000 total V2518 $ 450,000 Asphalt Roller ‐Shared Cost The current equipment is Equipment #1611, a 1995 CAT CB214C Roller. This is CARB Tier 0, and a retrofit for this unit is unavailable. This equipment assists in the ongoing maintenance of the Streets network in order to provide upgraded facilities for our residents. Three divisions will contribute: $66,000 total E1612 $ 88,000 Asphalt Paver ‐ Shared Cost The current equipment is Equipment #1811, a 1998 LeeBoy Model 1000B Paver. This is a CARB Tier 0, and a retrofit for this unit is unavailable. This equipment assists in the ongoing maintenance of the Streets network in order to provide upgraded facilities for our residents. Three divisions will contribute: $210,000 total E1812 $ 140,000 Asphalt Zipper ‐ Shared Cost Replace Water/Sewer Operations Call Truck ‐ Shared Cost The current vehicle's useful is expected to be exceeded in future years and will need replaced Replace Water/Sewer Operations Lead Worker Truck ‐ Shared Cost The current vehicle's useful life is expected to be exceeded in future years and will need replaced $ 40,000 Reviewed $ 60,000 Project Contact Name (s) Project Contact Email (s) Project Location Improvement Type Moved from FYE 23 due to COVID‐19. Moved from FYE 24. Budget Adopted Reviewed Moved from FYE 23 due to COVID‐19. Reviewed Moved from FYE 23 due to COVID‐19. Reviewed Electric Utility Department needs will also be considered. Revised budget amount from $150k. (Revision after rate study.) Moved from FYE 21 due to COVID‐ 19. Moved from FYE 23. Moved from FYE 22. Reviewed *Refer to last page of this document for definition of terms used.PAGE 11 Page 895 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 Water Resources Water Operations 82027114.801 00 Shared with 100 Parks, 100 Streets, 779 Airport and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 40,000 Water Resources Sewer Operations 84027221.801 00 Shared with 100 Parks, 100 Streets, 779 Airport and 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 40,000 Water Resources Water Operations 82027114.801 00 Shared with 100 Streets and 840 Wastewater David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 110,000 Water Resources Sewer Operations 84027221.801 00 Shared with 100 Streets and 820 Water David Kirch dkirch@cityofu kiah.com 1320 Airport Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 110,000 Ford/Orchard Lift Station Upgrade This needs upgrading to change from single to three phase power, installing two new pumps, the pump guides, and the discharge valves. Water Resources Sewer Operations 84027221.801 00 18134 N/A David Kirch dkirch@cityofu kiah.com Ford/Orchard Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 200,000 $ 200,000 Moved from FYE 20 and revised budget from $100k. (Revised since rate study.) Moved from FYE 21 due to COVID‐19. Budget Adopted Telescoping Lift This equipment is needed at the Wastewater Treatment Plant to assist in maintaining the facility which provides Waste Water Treatment for the City and the Ukiah Valley Sanitation District. Water Resources Wastewater Treatment Plant 84027225.801 00 E1718 N/A David Kirch dkirch@cityofu kiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 20,000 $ 20,000 Rebudgeted FYE 20. Moved from FYE 20 due to COVID‐19. Increased the amount from $12k. Budget Adopted Digester Rehabilitation and Methane Scrubber Methane Scrubbers are needed in order to clean the methane gas to provide an alternate energy source to operate the boilers at the Wastewater Treatment Plant, which will in turn decrease the City's energy cost at the plant. Water Resources Wastewater Treatment Plant 84027225.801 00 18135 N/A David Kirch dkirch@cityofu kiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2019 2025 Enterprise Yes Current Revenues Cost will be offset by saving in the purchase of natural gas $ 1,500,000 $ 1,500,000 Moved from FYE 22 due to COVID‐19. Reviewed SCADA Upgrade at Waste Water Treatment Plant Upgrade the ancient SCADA system at the Wastewater Treatment Plant. Water Resources Wastewater Treatment Plant 84027225.801 00 18137 N/A David Kirch dkirch@cityofu kiah.com Wastewater Treatment Plant Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 300,000 $ 300,000 Move from FYE 20. (Revision after rate study.) Moved from FYE 21. Increased from $200k. Budget Adopted VFD Installation at Wastewater Treatment Plant This project will involve installing Variable Frequency Drives on various points in the treatment process Water Resources Wastewater Treatment Plant 84027225.801 00 18138 N/A David Kirch dkirch@cityofu kiah.com Wastewater Treatment Plant Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 90,000 $ 90,000 Increased from $55,700.Budget Adopted Replace Ford Ranger Replace Ford Ranger at the Wastewater Treatment Plant. Water Resources Wastewater Treatment Plant 84027225.801 00 V4544 N/A David Kirch dkirch@cityofu kiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2022 2023 Enterprise Yes Current Revenues $ 40,000 $ 40,000 (Not on CIP during rate study.) Moved from FYE 21 due to COVID‐19. Moved to FYE 23. Reviewed Recondition Yardney Filters Recondition the filters that produce in‐house plant utility wash water. Water Resources Wastewater Treatment Plant 84027225.801 00 18243 N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 65,000 $ 65,000 Budget Adopted Install Flow Sensors Install Flow Sensor on the effluent at the Chlorine Contact Basins. Water Resources Wastewater Treatment Plant 84027225.801 00 18244 N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 20,000 $ 20,000 Budget Adopted Belt Filter Press Replacement This project will replace the existing Belt Filter Press Equipment which has passed its useful life.Water Resources Wastewater Treatment Plant 84027225.801 00 18130 N/A David Kirch ahodge@cityof ukiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 1,000,000 $ 1,000,000 Budget Adopted Vibration Monitoring Equipment Install vibration monitoring equipment on motors to identify bearing deterioration. Water Resources Wastewater Treatment Plant 84027225.801 00 18245 N/A David Kirch ahodge@cityof ukiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 30,000 $ 30,000 Budget Adopted Upgrade PLCs Upgrade old Programmable Logic Controls. Water Resources Wastewater Treatment Plant 84027225.801 00 18246 N/A Alan Hodge ahodge@cityof ukiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 350,000 $ 350,000 Budget Adopted Quick Connect Pipe for Recycled Water Ponds Purchase pipe redirecting stored water in the Recycled Water Ponds. Water Resources Recycled Water 83027330.801 00 18247 N/A Jarod Thiele jthiele@cityofu kiah.com 3495 Taylor Drive Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 25,000 $ 25,000 Budget Adopted DAFT Replacement Perform repairs to components of the Dissolved Air Flotation Thickener (DAFT) at the Wastewater Treatment Plant.Water Resources Wastewater Treatment Plant 84027225.801 00 18248 N/A David Kirch dkirch@cityofu kiah.com 300 Plant Road Vehicles, Machinery & Equipment New 2021 2022 Enterprise Yes Current Revenues $ 250,000 $ 250,000 Budget Adopted Vichy Springs Lift Station Upgrade This needs upgrading to install two new pumps, the pump guides, and the discharge valves. Water Resources Sewer Operations DISTRICT TBD N/A David Kirch dkirch@cityofu kiah.com Vichy Springs Road Vehicles, Machinery & Equipment New 2024 2026 Enterprise Yes Current Revenues $ 250,000 $ 250,000 Reviewed ‐$ 2,785,000$ 805,000$ 588,000$ 1,550,000$ 300,000$ 6,028,000$ 212,260$ 5,810,845$ 3,698,700$ 1,712,000$ 1,712,000$ 1,962,000$ 14,895,545$ TBDWater Tender ‐ Shared Cost The current water tender no longer meets emission standards and is inoperable. Will be used to water street trees, Riverside Park, fill Vactor trucks and be available to support mowing and Fire operations. Five divisions share the cost: $150,000 total $ 80,000 SUB‐TOTAL: TOTALS FOR VEHICLES, MACHINERY & EQUIPMENT : Moved to FYE 21. Revised budget amount from $35k. (Revision after rate study.) Spent over $15k this past year for rental of a unit. Moved from FYE 21 due to COVID‐19. Moved from FYE 22. If new Fire Tender is approved for FYE 22, the replaced unit will become available for other City departments, and this item will then be eliminated. Reviewed Loader Replacement Replace existing loader due to CARB requirements. $ 220,000 E1413 Budget Adopted *Refer to last page of this document for definition of terms used.PAGE 12 Page 896 of 901 FIVE YEAR CAPITAL IMPROVEMENT PLAN* JULY 2021 Project Name Project Description Division Org/Object Project Number Allocation to Multi‐ funds Project Status Project Timeline Funding Source Funding Identified Funding Type Funding Type Add 'l Comments Costs to date Estimated Costs per Fiscal Year Totals Comments City Council Status "Not Reviewed"‐ First time that Council has been presented the project; "Reviewed" ‐ Council has been presented the project during an agendized meeting; "Explore" ‐ Council has reviewed and has asked staff to further explore; "Reviewed and Supported" ‐ Council has reviewed and supports the placement of the project on the CIP Plan; "Budget Adopted" ‐ Council has approved the project through the Council action that takes place through either the full budget adoption process, or through a specific agendized item brought to Council. "Reserves" indicates it is, or is planned to be, transferred from a reserve account, "Current Revenues" means that the expenditure is anticipated to funded by existing revenues at the time of the purchase, "New Revenues" means that a funding source other than current revenues will be used, including or grant funding or fundraising. To further explain, as necessary, the funding type used selected. Costs spent on the project. Costs estimated to be spent in each of the fiscal years. The sum of the five year estimate for each project. Additional information as needed. The number assigned to track all expenses related to the project. Indicates if the cost of the proposed cost is shared. In this case, here it will state what other funds are sharing the cost. This indicates whether the project is "NEW", "IN PROGRESS", "ONGOING" or "COMPLETED". General calendar year "start" and "end" date. The Fund the actual expense will come out of. "Yes" indicating funding has been identified and will be available, "No" indicating funding has not yet been identified and is unavailable. Definition of terms used: The name of the project. Provides a description and additional narrative to assist in the understanding of the need and value of the proposed project. The specific division within the identified department where the expenditure will be made within the budget. The proposed account code where the expense will be accounted for. *Refer to last page of this document for definition of terms used.PAGE 13 Page 897 of 901 Page 1 of 1 Agenda Item No: 13.a. MEETING DATE/TIME: 2/16/2022 ITEM NO: 2022-1317 AGENDA SUMMARY REPORT SUBJECT: Receive Updates on City Council Committee and Ad Hoc Assignments, and, if Necessary, Consider Modifications to Assignments and/or the Creation/Elimination of Ad Hoc(s). DEPARTMENT: City Clerk PREPARED BY: Kristine Lawler, City Clerk PRESENTER: Mayor Brown and Various Councilmembers ATTACHMENTS: 1. 2022 City Council Special Assignments Summary: City Council members will provide reports and updates on their committee and ad hoc assignments. If necessary, the Council may consider modifications. Background: City Council members are assigned to a number of committees and ad hoc activities. These assignments are included as Attachment 1. Discussion: Previously, the City Council discussed having more time allocated to reporting on committee and ad hoc activities. Often, the Council Reports section of the regular agenda is rushed due to impending business (i.e., public hearings), and not enough time is afforded for reports beyond community activities. In an effort to foster regular updates on committee and ad hoc assignments, this item is being placed on the agenda to provide the City Council members an expanded opportunity to report on assignments and modify assignments as necessary. Recommended Action: Receive report(s). The Council will consider modifications to committee and ad hoc assignments along with the creation/elimination ad hoc(s). BUDGET AMENDMENT REQUIRED: No CURRENT BUDGET AMOUNT: N/A PROPOSED BUDGET AMOUNT: N/A FINANCING SOURCE: N/A PREVIOUS CONTRACT/PURCHASE ORDER NO.: N/A COORDINATED WITH: N/A Page 898 of 901 2022 CITY COUNCIL SPECIAL ASSIGNMENTS COUNTY/REGIONAL OnGoing One + Alternate MTG DATE/TIME MEETING LOCATION MAILING ADDRESS/CONTACT COMMITTEE FUNCTION ASSIGNED TO PRINCIPAL STAFF SUPPORT Disaster Council Shall meet a minimum of once a year at a time and place designated upon call of the chair Place designated upon call of the chair or, if she/he is unavailable or unable to call such meeting, the first vice chair and then the City Manager or her/his designee. Office of Emergency Management 300 Seminary Ave. Ukiah, CA 95482 467-5765 - Tami Bartolomei Develop any necessary emergency and mutual aid plans, agreements, ordinances, resolutions, rules, and regulations. Orozco Duenas- Alternate Tami Bartolomei, Office of Emergency Management Coordinator; 467-5765 tbartolomei@cityofukiah.com Greater Ukiah Business & Tourism Alliance 3rd Tuesday of month, 11:30 a.m. 200 S School St. Ukiah, CA 95482 200 S School St. Ukiah, CA 95482 Promotes tourism and works to strengthen and promote the historic downtown and businesses within the greater Ukiah area Duenas Rodin - Alternate Shannon Riley,Deputy City Manager; 467-5793 sriley@cityofukiah.com Mendocino Council of Governments (MCOG) 1st Monday of month, 1:30 p.m. Board of Supervisors Chambers 501 Low Gap Road Ukiah, CA Executive Director 367 N. State Street, Ste. 206 Ukiah, CA 95482 463-1859 Plan and allocate State funding, transportation, infrastructure and project County wide Brown Rodin- Alternate Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com Mendocino County Inland Water and Power Commission (IWPC) 2nd Thursday of month, 6:00 p.m. Civic Center 300 Seminary Avenue conference room 5 IWPC Staff P.O. Box 1247 Ukiah, CA 95482 391-7574 - Candace Horsley Develops coordination for water resources and current water rights: Potter Valley project - Eel River Diversion Orozco Brown- Alternate Sean White,Director of Water Resources; 463-5712 swhite@cityofukiah.com Mendocino Solid Waste Management Authority (MSWMA) 3rd Thursday of every other month (varies), 10:00 a.m. Willits Council Chambers Solid Waste Director 3200 Taylor Drive Ukiah, CA 95482 468-9710 County-wide Solid Waste JPA Brown Duenas- Alternate Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com Mendocino Transit Authority (MTA) Board of Directors Last Wednesday of month, 1:30 p.m. Alternating locations - Ukiah Conference Center or Fort Bragg, or Point Arena Executive Director 241 Plant Road Ukiah, CA 95482 462-1422 County-wide bus transportation issues and funding Duenas Orozco - Alternate Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com North Coast Opportunities (NCO)4th Wednesday of month, 2 p.m. Alternating locations - Ukiah and Lakeport Ross Walker, Governing Board Chair North Coast Opportunities 413 North State Street Ukiah, CA 95482 Assist low income and disadvantaged people to become self reliant Bartolomei (appointed 12/19/18) Tami Bartolomei, Community Services Administrator; 467-5765 tbartolomei@cityofukiah.com North Coast Rail Authority (NCRA)2nd Wednesday of month, 10:30 a.m.Various Locations - announced 419 Talmage Road, Suite M Ukiah, CA 95482 463-3280 Provides a unified and revitalized rail infrastructure meeting the freight and passenger needs of the region Shannon Riley, Deputy City Manager Shannon Riley,Deputy City Manager; 467-5793 sriley@cityofukiah.com Russian River Watershed Association (RRWA) 4th Thursday of month, 9:00 a.m. (only 5 times a year) Windsor Town Hall Russian River Watershed Association Attn: Daria Isupov 425 South Main St., Sebastopol, CA 95472 508-3670 Consider issues related to Russian river - plans projects and funding requests Rodin Brown- Alternate Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com Ukiah Valley Basin Groundwater Sustainability Agency (GSA) 2nd Thursday of month, 1:30 p.m. Board of Supervisors Chambers; 501 Low Gap Road Ukiah, CA County Executive Office Nicole French 501 Low Gap Rd., Rm. 1010 Ukiah, CA 95482 463-4441 GSA serves as the Groundwater Sustainability Agency in the Ukiah Valley basin Crane Duenas- Alternate Sean White, Director of Water Resources; 463-5712 swhite@cityofukiah.com COUNTY/REGIONAL One + Staff Alternate MTG DATE/TIME MEETING LOCATION MAILING ADDRESS/CONTACT COMMITTEE FUNCTION ASSIGNED TO PRINCIPAL STAFF SUPPORT Economic Development & Financing Corporation (EDFC) 2nd Thursday of month, 2:00 p.m. Primarily 631 S. Orchard Street (location varies) Executive Director 631 South Orchard Avenue Ukiah, CA 95482 467-5953 Multi-agency co-op for economic development and business loan program Riley (appointed 12/19/18) Shannon Riley, Deputy City Manager; 467-5793 sriley@cityofukiah.com Sun House Guild ex officio 2nd Tuesday of month, 4:30 p.m. Sun House 431 S. Main St. Ukiah, CA 431 S. Main Street Ukiah, CA 95482 467-2836 Support and expand Grace Hudson Museum Orozco Neil Davis- Alternate David Burton, Museum Director; 467-2836 dburton@cityofukiah.com Continued - COUNTY/REGIONAL One + Staff Alternate MTG DATE/TIME MEETING LOCATION MAILING ADDRESS/CONTACT COMMITTEE FUNCTION ASSIGNED TO PRINCIPAL STAFF SUPPORT Mendocino Youth Project JPA Board of Directors 3rd Wednesday of month, 7:45 a.m. 776 S. State Street Conference Room Mendocino Co. Youth Project 776 S. State Street, Ste. 107 Ukiah, CA 95482 707-463-4915 Targets all youth with a focus on drug and alcohol prevention, healthy alternatives and empowering youth to make healthy choices Cedric Crook, Patrol Lieutenant Cedric Crook, Patrol Lieutenant Nob; 463- 6771; ccrook@cityofukiah.com Northern California Power Agency (NCPA) - Commission 4th Thursday of month, 9:00 a.m. (see NCPA calendar) Roseville, CA and other locations 651 Commerce Drive Roseville, CA 95678 916-781-4202 Pool of State and local power utilities developing and operating power generation, providing scheduling and related energy services and providing regulatory and legislative support. Crane - Commissioner Sauers - Alternate and Commissioner in absence of Commissioner Crane Cindi Sauers - Electric Utility Director; 463- 6286 csauers@cityofukiah.com Northern California Power Agency (NCPA) – Lodi Energy Center (LEC) Appointment 2nd Monday of month, 10:00 AM Lodi, CA and other locations 651 Commerce Drive Roseville, CA 95678 916-781-4299 Committee oversees the operation, maintenance and expenditures of the LEC 300 MW generating project. Sauers – Project Participate Appointee Cindy Sauers, Electric Utility Director, 463‐ 6286, csauers@cityofukiah.com 1 1/20/2022 ATTACHMENT 1 Page 899 of 901 2022 CITY COUNCIL SPECIAL ASSIGNMENTS LOCAL/COUNTY/REGIONAL/LIASONS OnGoing One or Two Council and/or Staff MTG DATE/TIME LOCATION MAILING ADDRESS/CONTACT COMMITTEE FUNCTION ASSIGNED TO PRINCIPAL STAFF SUPPORT League of California Cities Redwood Empire Legislative Committee Prior to Division Meetings, meets 3x in person and then via conference call Various locations that are announced Redwood Empire League President; Public Affairs Program Manager (916) 658-8243 Elected city officials and professional city staff attend division meetings throughout the year to share what they are doing and advocate for their interests in Sacramento Rodin Orozco-Alternate Sage Sangiacomo, City Manager; 463-6221 ssangiacomo@cityofukiah.com City Selection Committee Called as required by the Clerk of the Board BOS Conference Room 501 Low Gap Rd. Rm. 1090 Ukiah, CA C/O: BOS 501 Low Gap Rd., Rm 1090 Ukiah, CA 95482 463-4441 Makes appointments to LAFCO and Airport Land Use Commission Mayor Kristine Lawler, City Clerk; 463-6217 klawler@cityofukiah.com Investment Oversight Committee Varies Civic Center 300 Seminary Ave. Ukiah, CA 95482 Civic Center 300 Seminary Ave. Ukiah, CA 95482 Reviews City investments, policies, and strategies Crane Orozco, Alternate Alan Carter, Treasurer Dan Buffalo, Director of Finance; 463-6220 dbuffalo@cityofukiah.com Library Advisory Board 3rd Wednesdays of alternate months; 1:00 p.m. Various Mendocino County Libraries Ukiah County Library 463-4491 Review library policy and activities Supervisor Mulheren Kristine Lawler, City Clerk; 463-6217; klawler@cityofukiah.com Ukiah Players Theater Board of Directors 3rd Tuesday of month, 6:00 p.m 1041 Low Gap Rd Ukiah, CA 95482 462-1210 1041 Low Gap Rd Ukiah, CA 95482 462-1210 To oversee the activities, organization and purpose of the Ukiah Players Theater Greg Owen, Airport Manager (appointed 12/19/18) Kristine Lawler, City Clerk; 463-6217 klawler@cityofukiah.com Ukiah Unified School District (UUSD) Committee Quarterly 511 S. Orchard, Ste. D Ukiah, CA 95482 511 S. Orchard Ukiah, CA 95482 Information exchange with UUSD Board Chair, Mayor, Superintendent, and City Manager Mayor, City Manager and Police Chief Sage Sangiacomo, City Manager; 463-6221 ssangiacomo@cityofukiah.com Russian River Flood Control District (RRFCD) Liaison 1st Monday of month, 5:30 p.m. 151 Laws Ave.,Suite D Ukiah, CA 151 Laws Ave., Ukiah, CA 95482; rrfc@pacific.net; 462-5278 Proactively manage the water resources of the upper Russian River for the benefit of the people and environment of Mendocino County White/Orozco Sean White, Director of Water Resources; 463-5712 swhite@cityofukiah.com Mendocino County Local Area Formation Commission (LAFCO) 1st Monday of month, 9:00 a.m.Board of Supervisors Chambers Executive Director 200 S. School Street, Ste. 2 Ukiah, CA 95482 463-4470 Required by legislation - planning spheres of influence, annexation, service areas, and special districts (positions not active) Crane Rodin Craig Schlatter, Director of Community Development; 463-6219; cschlatter@cityofukiah.com Mendocino County Airport Land Use Commission As needed BOS Conference Room 501 Low Gap Rd., Rm. 1090, Ukiah, CA Mendocino County Executive Office 501 Low Gap Rd. Rm. 1010 Ukiah, CA 95482 To formulate a land use compatibility plan, provide for the orderly growth of the airport and the surrounding area, and safeguard the general welfare of the inhabitants within the vicinity Owen/Schlatter Greg Owen, Airport Manager; 467-2855; gowen@cityofukiah.com Craig Schlatter, Director of Community Development; 463-6219; cschlatter@cityofukiah.com Mendocino County 1st District Liaison Monthly; TBD Civic Center Annex conference room #5 411 West Clay St. Ukiah, CA 95482 Civic Center 300 Seminary Ave. Ukiah, CA 95482 To coordinate activities and policy development with the City's 1st District Supervisor Brown Crane- Alternate Sage Sangiacomo, City Manager; 463-6221; ssangiacomo@cityofukiah.com Mendocino County 2nd District Liaison 1st Wednesdays of month, 8:00 a.m. Civic Center Annex conference room #5 411 West Clay St. Ukiah, CA 95482 Civic Center 300 Seminary Ave. Ukiah, CA 95482 To coordinate activities and policy development with the County's 2nd District Supervisor Brown Shannon Riley, Deputy City Manager; 467- 5793 sriley@cityofukiah.com LOCAL/COUNTY/REGIONAL/LIASONS OnGoing One or Two Council and/or Staff MTG DATE/TIME LOCATION MAILING ADDRESS/CONTACT COMMITTEE FUNCTION ASSIGNED TO PRINCIPAL STAFF SUPPORT Fire Executive Committee 2nd Wednesdays of month, 3:45 p.m. Ukiah Valley Conference Center, 200 S. School Street Ukiah, CA Stephanie Abba Civic Center 300 Seminary Ave. Ukiah, CA 95482 sabba@cityofukiah.com Per the recently adopted agreement between the City of Ukiah and the Ukiah Valley Fire Protection District Orozco/Brown Doug Hutchison, Fire Chief; 463-6263; dhutchison@cityofukiah.com STANDING COMMITTEES MTG DATE/TIME LOCATION MAILING ADDRESS/CONTACT COMMITTEE FUNCTION ASSIGNED TO PRINCIPAL STAFF SUPPORT Equity and Diversity TBD Virtual Meeting Room (link to be created) Civic Center 300 Seminary Ave. Ukiah, CA 95482 Improve diversity and equity in the City’s workforce and municipal services Orozco/Duenas Traci Boyl, City Manager's Office Management Analyst; 467-5720 tboyl@cityofukiah.com 2 1/20/2022 Page 900 of 901 COMMITTEE ASSIGNED TO PRINCIPAL STAFF SUPPORT Electric Grid Operational Improvements Crane/Orozco Cindy Sauers, Electric Utility Director; 463-629586 csauers@cityofukiah.com Trench Cut Policy Development Crane/Brown Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com Budget Development Best Practices and Financial Policy For FY 22/23 Budget Crane/Brown Dan Buffalo, Director of Finance; 463-6220 dbuffalo@cityofukiah.com Sheri Mannion, Human Resource Director/Risk Manager; 463-6272, smannion@cityofukiah.com Advance Planning & Policy for Sphere of Influence (SOI), Municipal Service Review (MSR), Annexation, Tax Sharing, Detachment, and Out of Area Service Agreements Crane/Rodin Sage Sangiacomo, City Manager 463-6221 ssangiacomo@cityofukiah.com Shannon Riley, Deputy City Manager 467-5793 sriley@cityofukiah.com Craig Schlatter, Community Development Director 463-6219 cschlatter@cityofukiah.com Sean White, Director of Water Resources; 463-5712 swhite@cityofukiah.com Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com Cindy Sauers, Electric Utility Director; 463-629586 csauers@cityofukiah.com Dan Buffalo, Director of Finance; 463-6220 dbuffalo@cityofukiah.com 2021 Electric Rate Study Crane/Duenas Cindy Sauers, Electric Utility Director; 463‐6286 csauers@cityofukiah.com Housing Element and Implementation Review Rodin/Orozco Craig Schlatter, Community Development Director 463-6219 cschlatter@cityofukiah.com UVSD/ City Relations Ad hoc committee to address specific issues with the Ukiah Valley Sanitation District, including discussion of overall sewer system service delivery policies, operating policy revisions, potential revisions to the current Operating Agreement, and cost sharing Crane/Brown Dan Buffalo, Director of Finance; 463‐6220 dbuffalo@cityofukiah.com Sean White, Water Resources Director 463‐5712 swhite@cityofukiah.com Upper Russian River Water Agency/City Relations Crane/Brown Sean White, Director of Water Resources; 463‐5712 swhite@cityofukiah.com Orr Street Bridge Corridor Rodin/Duenas Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com Complete Streets Rodin/Crane Tim Eriksen, Public Works Director/City Engineer; 463-6280 teriksen@cityofukiah.com Shannon Riley, Deputy City Manager 467-5793 sriley@cityofukiah.com Neil Davis, Community Services Director 467-5764 ndavis@cityofukiah.com Cannabis Ordinance Modifications Rodin/Duenas Craig Schlatter, Community Development Director 463‐6219 cschlatter@cityofukiah.com Special Districts Brown/Crane Shannon Riley, Deputy City Manager 467‐5793 sriley@cityofukiah.com Public Financing Rodin/Orozco Dan Buffalo, Director of Finance; 463‐6220 dbuffalo@cityofukiah.com 2022 AD HOC COMMITTEES 3 2/3/2022 Page 901 of 901