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20171017 Regular City Council Meeting - Packet California Public Records Act ("PRA"): In compliance with the PRA, the documents pertaining to agenda items, including attachments, which are presented to the City Council in open session are available for public inspection. They may be inspected during regular business hours in the Office of the City Clerk at Vernon City Hall, 4305 Santa Fe Avenue; Vernon, California 90058, no appointment necessary, and on the City's website at www.cityofvemon.org. Americans with Disabilities Act ("ADA"): In compliance with the ADA, if you need special assistance to participate in the meeting, please contact the Office of the City Clerk at (323) 583-8811. Notification of at least 48 hours prior to the meeting or time when services are needed will assist the City staff in assuring that reasonable arrangements can be made to provide accessibility to the meeting or service. Agenda City of Vernon Regular City Council Meeting Of V Tuesday, October 17, 2017, 9:00 a.m. v~� F°"" off City Hall, Council Chamber 4305 Santa Fe Avenue Vernon, California Melissa Ybarra,Mayor s�1"tix 1?49 A Yvette Woodruff-Perez,Mayor Pro-Tem William J. Davis, Council Member Luz Martinez, Council Member Leticia Lopez, Council Member CALL TO ORDER& FLAG SALUTE CHANGES TO THE AGENDA PUBLIC COMMENT - At this time the public is encouraged to address the City Council on any matter that is within the subject matter jurisdiction of the City Council. The public will also be given a chance to comment on matters which are on the posted agenda during City Council deliberation on those specific matters. PUBLIC HEARING Public Utilities Department 1. A Resolution of the City Council of the City of Vernon establishing a Transmission Revenue Balancing Account Adiustment for 2018 in accordance with Vernon's Transmission Owner Tariff and providing for tariff sheet changes to implement the adjustment Regular City Council Meeting Agenda October 17, 2017 Recommendation: A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Conduct a Public Hearing; and C. Adopt a resolution establishing a Transmission Revenue Balancing Account Adjustment for 2018 in accordance with Vernon's Transmission Owner Tariff and providing for Tariff Sheet changes to implement the adjustment. 2. A Resolution of the City Council of the City of Vernon adopting a New Transmission Revenue Requirement for 2018 in accordance with Vernon's Transmission Owner Tariff and providing for tariff sheet changes to implement the adjustment Recommendation: A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Conduct a Public Hearing; and C. Adopt a resolution adopting a new transmission revenue requirement for 2018 in accordance with Vernon's Transmission Owner Tariff and providing for tariff sheet changes to implement the adjustment. PRESENTATIONS 3. Service Pin Awards for September 2017 Presented by: Michael Earl, Director of Human Resources NAME DEPARTMENT TITLE YEARS Andrew G. Thompson Public Works Senior Street Maintenance 30 Worker Christian N. Moscoso Police Police Officer 30 Christina Rivera Public Utilities Utilities Customer Service 10 Representative Page 2 of 11 Regular City Council Meeting Agenda October 17, 2017 Daniel Lopez Public Utilities Gas System Specialist 10 Juan F. Lozano Public Utilities Gas System Specialist 10 4. A Proclamation for Ryerson Holding Corporation in Recognition of their 175th Anniversary CONSENT CALENDAR - All matters listed on the Consent Calendar are to be approved with one motion. Items may be removed from the Consent Calendar by any member of the Council. Those items removed will be considered immediately after the Consent Calendar. Claims Against the City—Received and Filed 5. None Warrant Registers 6. Ratification of the following City Warrant Register to record the following voided checks: A. City Warrant Register No. 1480 to record voided Check No. 355747 in the amount of$317.98. 7. Approval of City Payroll Warrant Register No. 736, totaling $2,921,748.04, which covers the period of September 1 through September 30, 2017 and consists of the following: A. Ratification of direct deposits, checks and taxes totaling $2,316,851.58; and B. Checks and electronic fund transfers (EFT) totaling $604,890.46. 8. Approval of City Warrant Register No. 1481, totaling $1,488,299.17, which covers the period of September 26 through October 9, 2017, and consists of the following: A. Ratification of wire transfers totaling $1,168,370.90; and B. Ratification of the issuance of early checks totaling $269,014.57; and C. Authorization to issue pending checks totaling $50,913.70. 9. Approval of Light & Power Warrant Register No. 446, totaling $2,605,344.02, which covers the period of September 26 through October 9, 2017, and consists of the following: A. Ratification of wire transfers totaling $2,508,079.22; and B. Ratification of the issuance of early checks totaling $96,185.40; and C. Authorization to issue pending checks totaling $1,079.40. Page 3 of 11 Regular City Council Meeting Agenda October 17, 2017 10. Approval of Gas Warrant Register No. 234, totaling $368,061.98, which covers the period of September 26 through October 9, 2017, and consists of the following: A. Ratification of wire transfers totaling $319,569.87; and B. Ratification of the issuance of early checks totaling $48,492.11. City Administration Department 11. Approval of Vernon CommUNITY Fund Capital Grant Form Agreement Recommendation: A. Find that approval of the Vernon CommUNITY Fund("VCF") Capital Grant Form Agreement is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a"project" as defined by CEQA Guidelines section 15378; and B. Approve of the attached VCF Capital Grant Form Agreement, in substantially the same form as submitted herewith, for administration of VCF Capital Grants; and C. Authorize the City Administrator, or his/her designee, to complete, execute, and/or modify the form agreement consistent with the direction of the VCF Grant Committee. Finance Department 12. Authorization to Enter into a Services Agreement with BLX Group LLC (BLX) for Financial Advisory Services for Fiscal Years 2017 through 2019 Recommendation: A. Find that entering into a services agreement with BLX Group LLC (BLX), a registered advisor to provide financial advisory services is exempt under the California Environmental Quality Act (CEQA). The scope of the work to be performed is a continuing administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378. In addition, even if was determined to be a project, it would be exempt from CEQA review in accordance with Section 15061(b)(3), the general rule is that CEQA only applies to activities that may have a significant effect on the environment; and B. Approve a services agreement with BLX, in substantially the same form as submitted herewith,to perform financial advisory services through fiscal year 2019 for a total amount not to exceed $600,000; and C. Authorize the City Administrator to execute a two year and eight month services agreement with BLX with an effective date of October 17, 2017. Page 4 of 11 Regular City Council Meeting Agenda October 17, 2017 Health and Environmental Control 13. September 2017 Monthly Report 14. Approval of the Agreement Accepting the Assignment of the Non-Exclusive Franchise Agreement for Commercial Solid Waste Collection from Recolou Los Angeles to Araco Enterprises LLC. Recommendation: A. Find that approval of the proposed assignment agreement is exempt under the California Environmental Quality Act ("CEQA"), because such approval is an administrative activity that will not result in direct or indirect physical changes in the environment and is therefore not a "project" as defined by CEQA Guidelines section 15378; and B. Approve the agreement accepting the reassignment of the Non-Exclusive Franchise Agreement for Commercial Solid Waste Collection held by Recology Los Angeles, and assigning the Non- Exclusive Franchise Agreement for Commercial Solid Waste Collection to Araco Enterprises LLC. Police Department 15. Activity Log and Statistical Summary of Arrests and Activities for the period of September 16, through September 30, 2017 to be received and filed 16. Donation of 2005 Chevy Tahoe to the City of San Fernando Police Department Reserve Officer Program Recommendation: A. Find that approval of the proposed donation is exempt from California Environmental Quality Act ("CEQA")review,because it is a government fiscal activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Authorize the donation of a surplus 2005 Chevy Tahoe Patrol Vehicle, to be conveyed to the City of San Fernando Police Department Reserve Officer Program; and C. Enter into a donation and release agreement, in substantially the same form as submitted herewith, with the City of San Fernando Police Department, to use and retain as needed by the Reserve Police Officer Program; and D. Authorize the Chief of Police to execute the Deed of Gift and Donation Agreement and Release on behalf of the City of Vernon. Page 5 of 11 Regular City Council Meeting Agenda October 17, 2017 ORDINANCE Public Works Department 17. ORDINANCE NO. 1247 - An Ordinance of the City Council of the City of Vernon Amending Chapters 24, Building and Construction, and 26, Zoning, of the Vernon Municipal Code, modifying the 2016 California Green Building Standards Code and Permitting By Right Incidental Uses and modifying the Parking and Loading Requirements For Such Uses In The Industrial "I" Zone; and repealing all ordinances or parts of ordinances in conflict herewith (second reading and adoption) Recommendation: A. Find that approval of the proposed Ordinance is exempt from California Environmental Quality Act(CEQA) as it is not considered a"project"under CEQA which is defined as an action directly undertaken by a public agency which has the potential for resulting in either a direct physical change in the environment or a reasonably foreseeable indirect physical change in the environment, Cal. Pub. Res. Code Section 21065. Under the proposed ordinance, no such activity is being undertaken. Even if the ordinance were to be considered a "project" under CEQA Guidelines Section 15061(b)(3) which provides that CEQA applies only to projects which have the potential for causing a significant effect on the environment. Where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment,the activity is not subject to CEQA. Here,the ordinance involves the adoption of amendments to revise state-mandated construction codes merely to improve the safety of buildings and will not have any effect on the environment; and B. Approve the second reading and adopt Ordinance No. 1247, amending Chapter 24 of the Vernon Municipal Code regarding the 2016 Green Building Standards Code and Chapter 26 regarding Incidental Uses. NEW BUSINESS City Clerk Department 18. A Resolution of the City Council of the City of Vernon approving and adopting a Records Retention Schedule, authorizing destruction of certain City records, and repealing all resolutions in conflict therewith Recommendation: A. Find that approval of the proposed records retention amendment is exempt from California Environmental Quality Act("CEQA")review,because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a"project" as defined by CEQA guidelines section 15378; and Page 6 of 11 Regular City Council Meeting Agenda October 17, 2017 B. Adopt a resolution approving and adopting a Records Retention Schedule and authorizing destruction of certain City Records. Human Resources Department 19. A Resolution of the City Council of the City of Vernon approving the Amendment No. 3 to the Memorandum of Understanding by and between the City of Vernon and the Vernon Police Officers' Benefit Association for the period of July 1, 2016 through June 30, 2019 Recommendation: A. Find that approval of the proposed Amendment No. 3 to the Vernon Police Officers' Benefit Association (VPOBA) 2016-2019 Memorandum of Understanding is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a"project" as defined by CEQA Guidelines section 15378; and B. Adopt the attached resolution approving Amendment No. 3 to the Vernon Police Officers' Benefit Association 2016-2019 Memorandum of Understanding to amend/add the following provisions: a. Article Seven, Section 16, City Vehicle b. Article Eight, Section 4, Sergeants 20. A Resolution of the City Council of the City of Vernon approving an amended and restated Memorandum of Understanding by and between the City of Vernon and the Vernon Fire Management Association for the period of July 1, 2016 through June 30, 2019 Recommendation: A. Find that approval of the amended and restated Vernon Fire Management Association (VFMA) 2016-2019 Memorandum of Understanding is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Adopt the attached resolution amending and restating the Vernon Fire Management Association 2016-2019 Memorandum of Understanding to revise the following provisions: I. Article Three, Section 1, Salaries 2. Article Three, Section 5, Education Incentive Pay 3. Article Three, Section 8, Hazardous Materials Specialist Pay 4. Article Three, Section 9, Urban Search and Rescue (USAR) Pay 5. Article Four, Section 1, Employees Hired On or Before June 30, 1994 6. Article Seven, Section 5, Dental 7. Article Seven, Section 6, Vision 8. Article Nine, Sections 1 and 2, Holiday Time (Deleted entirely and all subsequent Articles renumbered) Page 7 of 11 Regular City Council Meeting Agenda October 17, 2017 9. Article Nine, Section 1, Sick Leave 10. Article Twelve, Grievance Procedure 11. Article Thirteen, Discipline Procedure Public Works Department 24. Request for Approval for Change Order No. 1, City Contract No. CS-0821: City Hall Roof Repairs Recommendation: A. Find that the approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review,pursuant to CEQA Guidelines sections 15301 (i.e., maintenance, repair or minor alteration of an existing structure, involving negligible or no expansion of existing use) and 15302 (i.e., replacement or reconstruction of existing structures and facilities where new structure will be located on the same site as the structure replaced and will have substantially the same purpose and capacity as the structure replaced); and B. Authorize the City Administrator to issue Change Order No. 1 in the amount of$14,002.06 for the unexpected changed condition in the City Hall Roof Repair project(CS-0821). 22. Contract Award for City Contract No. CS-0894: Refuse Collection, Recycling and Disposal Services Recommendation: A. Find that awarding the contract to Haul-Away Rubbish Service Company, Inc. is exempt from California Environmental Quality Act(CEQA)review,because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore is not a "project' as defined by CEQA Guidelines, Section 15378; and B. Accept the bid from Haul-Away Rubbish Service Company, Inc. as the preferred bidder and reject all other bids; and C. Authorize the City Administrator to execute a contract in an amount not to exceed $150,000 for the City's Refuse Collection, Recycling and Disposal Services. 23. A Resolution of the City Council of the City of Vernon approving and authorizing the submittal of application(s) for all CalRecycle grants for which the City of Vernon is eligible Recommendation: A. Find that approval of the attached resolution in this staff report is exempt from California Environmental Quality Act("CEQA")review,because it is a general policy and procedure making activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a"project" as defined by CEQA Guidelines section 15378; and Page 8 of 11 Regular City Council Meeting Agenda October 17, 2017 B. Adopt the attached Resolution authorizing the City Administrator, Director of Finance, Director of Health and Environmental Control,Director of Public Works,the Chief of Police,the Fire Chief, and the General Manager of Public Utilities, or their respective designee, as stated in a separate Letter of Designation, to execute in the name of the City of Vernon all CalRecycle grant documents, including but not limited to, applications, agreements, amendments and requests for payment, necessary to secure grant funds and implement the approved grant project. 24. Approval of Water Rights License and Agreement for Golden State Water Company Recommendation: A. Find that approval of the proposed action is exempt under the California Environmental Quality Act ("CEQA"), because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Approve a Water Rights License and Agreement with Golden State Water Company, in substantially the same form as submitted herewith, to lease 2,000 acre feet from the City of Vernon's Allocated Pumping Rights in the Central Basin for a lease unit price per acre foot of $162.00 for a revenue total of$324,000 to be placed into the Public Utilities Water Fund Revenue Account; and C. Authorize the General Manager of Public Utilities to execute the Water Rights License and Agreement with Golden State Water Company. 25. A Resolution of the City Council of the City of Vernon approving and adopting the Vernon Public Utilities Department Resource Adequacy Plan for 2018, which includes the Peak Demand Forecast, the Planning Reserve Margin, the Oualifying Capacity Criteria and the Oualifying Capacity from such resources, City's Resource Adequacy and Supply Data and approves the resources used to satisfy the California Independent System Operator's Tariff Requirements Recommendation: A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Adopt a resolution approving and adopting the Public Utilities Department Resource Adequacy Plan for 2018, which includes the peak Demand Forecast, the Planning Reserve Margin, the Qualifying Capacity Criteria and the Qualifying Capacity from such resources, City's Resource Adequacy and Supply Data and approving the resources used to satisfy the California Independent System Operator's (CAISO) tariff requirements; and C. Authorize staff to submit the Resource Adequacy Plan for 2018 and the Monthly Resource Adequacy and Supply data to the CAISO. Page 9 of 11 Regular City Council Meeting Agenda October 17, 2017 26. Award of a Management Consulting Services Agreement with Black & Veatch for Asset Acquisition Advisory & Support Services Recommendation: A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Approve a Management Consulting Services Agreement with Black & Veatch for services regarding Asset Acquisition Advisory & Support Services, for a fixed amount not-to-exceed $105,000 over the one-year term of the agreement and an additional $10,000 for estimated travel expenses, which are reimbursable at cost; and C. Authorize the City Administrator to execute a Management Consulting Services Agreement, in substantially the same form as submitted herewith, with Black &Veatch; and D. Authorize the City Administrator to issue change orders, if necessary, that may increase compensation for Black &Veatch in an amount not-to-exceed $15,000 over the one-year term of the agreement. ORAL REPORTS 27. City Administrator Reports—brief reports on activities and other brief announcements. 28. City Council Reports —brief AB 1234 reports, or report on: activities, announcements, or directives to staff. CLOSED SESSION 29. CONFERENCE WITH REAL PROPERTY NEGOTIATORS Government Code Section 54956.8 Property: 2800-2900 E. 50th Street, Vernon, California Agency negotiator: Carlos Fandino, City Administrator Negotiating parties: Crown Poly and/or Assignee Under negotiation: Price and Terms of Payment 30. CONFERENCE WITH REAL PROPERTY NEGOTIATORS Government Code Section 54956.8 Property: 2915 E. 60th Place#S, Huntington Park, CA 90255 Agency negotiator: Carlos Fandino, City Administrator Negotiating parties: Eulises Perez Page 10 of 11 Regular City Council Meeting Agenda October 17, 2017 Under negotiation: Price and Terms of Payment 31. CONFERENCE WITH REAL PROPERTY NEGOTIATORS Government Code Section 54956.8 Property: 6010 Oak Street, #B, Huntington Park, CA 90255 Agency negotiator: Carlos Fandino, City Administrator Negotiating parties: Cesar A. Garcia Under negotiation: Price and Terms of Payment ADJOURNMENT 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 Vernon City Hall,located at 4305 Santa Fe Avenue, Vernon, California, and on the City's website,not less than 72 hours prior to the meeting set forth on this agenda. Dated this 121h day of October 2017. By: Maria E. Ayala City Clerk Page 11 of 11 1� •i RECEIVED 4 �' rr'' r= � r 0 OCT 12 209 OCT 12 cal] STAFF REPORT CITY ADMINISTRATION CITY CLEVS OFFICE PUBLIC UTILITIES DEPARTMENTS toy ti � t DATE: October 17, 2017 TO: Honorable Mayor and City Council FROM: Kelly Nguyen, General Manager of Public Utilities r'6� RE: A Resolution Establishing a Transmission Revenue Balancing Account Adjustment for 2018 in Accordance with Vernon's Transmission Owner Tariff and Providing for Tariff Sheet Changes to Implement the Adjustment Recommendation A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Conduct a Public Hearing; and C. Adopt a resolution establishing a Transmission Revenue Balancing Account Adjustment for 2018 in accordance with Vernon's Transmission Owner Tariff and providing for Tariff Sheet changes to implement the adjustment. Back round The City of Vernon is a Scheduling Coordinator and a Participating Transmission Owner ("PTO") in the California Independent System Operator Corporation ("ISO"). To participate in the ISO, PTOs are required to turn over administrative control of their transmission facilities and entitlements to the ISO. In return, the ISO collects revenues for each PTO pursuant to calculations that reflect the expenses and capital costs incurred by each PTO to provide transmission services. The relationship between PTOs and the ISO is governed by a Transmission Control Agreement ("TCA"), which sets forth the specific duties and obligations of all PTOs. The TCA requires all PTOs to file a Transmission Owner Tariff ("TO Tariff') with the Federal Energy Regulatory Commission("FERC"). Pursuant to Section 5.2 of the TO Tariff, Vernon updates its Transmission Revenue Balancing Page 1 of 2 Account Adjustment ("TRBAA") annually. The TRBAA is a tariff mechanism designed to ensure that all Transmission Revenue Credits ("TRCs") are flowed through to ISO open access transmission tariff ("ISO Tariff') customers via annual update filings at the FERC by PTOs. Appendix F, Schedule 3, Section 6.1(b), of the ISO Tariff describes the annual TRBAA calculation as "a dollar amount based on the projected Transmission Revenue Credits as adjusted for the true up of the prior year's difference between projected and actual credits." The attached TRBAA Report supports the establishment of a new TRBAA based on the requirements of the TO Tariff and the ISO Tariff. Fiscal Impact None Attachments 1. Notice of Public Hearing to Establish New Transmission Revenue Balancing Account Adjustment 2. Resolution Establishing a Transmission Revenue Balancing Account Adjustment for 2018 � v 4305 Santa Fe Avenue City of Vernon Vernon,CA 90058 * + (323)583-8811 NOTICE OF TWO SEPARATE PUBLIC HEARINGS REGARDING THE ESTABLISHMENT OF VERNON'S NEW TRANSNIMON REVENUE BALANCING ACCOUNT ADJUSTMENT AND VERNON'S NEW EXISTING TRANSMISSION CONTRACT ADJUSTMENT The City of Vernon will conduct a Public Hearing,which you may attend. PLACE: Vernon City Hall City Council Chamber 4305 Santa Fe Avenue Vernon,CA 90058 DATE&TIME:Tuesday,October 17, 2017,at 9:00 a.m. (or as soon thereafter as the matter can be heard) PURPOSFJSUBJECT: (1)To consider evidence to establish Vernon's new Transmission Revenue Balancing Account Adjustment for its high voltage(over 200 kV)transmission entitlements(all located outside the City) pursuant to Vernon's Transmission Owner Tariff,and(2)To consider evidence to establish new Gross Load and Vernon's new Existing Transmission Contract Adjustment for its high voltage(over 200 kV)transmission entitlements(all located outside the City) pursuant to Vernon's Transmission Owner Tariff. DOCUMENTS FOR REVIEW: Copies of a Resolution Establishing a Transmission Revenue Balancing Account Adjustment for 2018 and a Resolution Adopting a New Transmission Revenue Requirement will be available for public examination at Vernon City Hall, located at 4305 Santa Fe Avenue,Vernon,California or at hgpJfwu-w.c itNf�e mcn.or verrgTgy ul lic- meetingsrcity-council from October 12 to October 17,2017. Please send your continents or questions to: Abraham Alemu City of Vernon,Public Utilities 4305 Santa Fe Avenue,Vernon,CA 90058 (323)583-8811 Ext.250 AALemu@ci.vernon.ca..us PROPOSED CEQA FINDING:Find that approval of the proposed action is exempt from California Environmental Quality Act("CEQA")review,because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment,and therefore does not constitute a"project"as defined by CEQA Guidelines section 15378. If you challenge the adoption/approval of the establishment of Vernon's new Transmission Revenue Balancing Account Adjustment,or Vernon's new Existing Transmission Contract Adjustment or any provision thereof in court,you may be limited to raising only those issues you or someone else raised at the hearing described in this notice or in written correspondence delivered to the City of Vernon at,or prior to,the meeting. Americans with Disabilities Act(ADA):In compliance with ADA,if you need special assistance to participate in the meeting,please contact the Office of the City Clerk at(323)583-8811 ext.546. The hearing may be continued or adjourned or cancelled and rescheduled to a stated time and place without further notice of a public hearing. Dated: October 3 2017 Maria .Ayala,City rk C RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON ESTABLISHING A TRANSMISSION REVENUE BALANCING ACCOUNT ADJUSTMENT FOR 2018 IN ACCORDANCE WITH VERNON' S TRANSMISSION OWNER TARIFF AND PROVIDING FOR TARIFF SHEET CHANGES TO IMPLEMENT THE ADJUSTMENT WHEREAS, the City of Vernon ( "City" ) is a chartered municipal corporation of the State of California that owns and operates a system for the generation, purchase, transmission, distribution and sale of electric capacity and energy; and WHEREAS, the City is a Participating Transmission Owner ( "PTO" ) with the California Independent System Operator Corporation, a California nonprofit public benefit corporation ( "CAISO" ) ; and WHEREAS, the CAISO requires a PTO to turn over operational control of its transmission facilities and entitlements to the CAISO; and WHEREAS, in return, the CAISO collects revenues for each PTO pursuant to calculations that reflect the expenses and capital costs incurred by each PTO to provide transmission services; and WHEREAS, the relationship between PTOs and CAISO is governed by a Transmission Control Agreement ( "TCA" ) which sets forth the specific duties and obligations of all PTOs including the filing of a Transmission Owner Tariff ( "TO Tariff" ) with the Federal Energy Regulatory Commission ("FERC" ) ; and WHEREAS, in order to ensure that all Transmission Revenue Credits are flowed through to CAISO' s open access transmission tariff ("CAISO Tariff" ) customers, the City annually updates its Transmission Revenue Balancing Account Adjustment ( "TRBAA" ) by a dollar amount reflecting the proposed Transmission Revenue Credits adjusted for difference between projected and actual credits from the prior year; and WHEREAS, a Notice of Public Hearing was published on October 3, 2017, notifying all interested parties that a hearing to consider evidence to establish the City' s new TRBAA for 2018 was scheduled for October 17, 2017, at approximately 9 : 00 a.m. , subject to the hearing being continued or adjourned to a stated time and place without further notice of public hearing; and WHEREAS, a Public Hearing was held on October 17, 2017 , in which the City Council took evidence from staff and those other persons in attendance who wished to be heard on the establishment of the City' s new TRBAA; and WHEREAS, the Public Utilities Department has prepared a Report, with exhibits, dated on or about October 17 , 2017 ( "Report" ) , which determines the new TRBAA for 2018 to be consistent with the TO Tariff and supports the TRBAA and the changes to Appendix I of the TO Tariff to implement the new TRBAA effective January 1, 2018 ; and WHEREAS, the Public Utilities Department has recommended that the TRBAA and Appendix I to the TO Tariff implementing the new TRBAA be approved; and WHEREAS, the City Council has heard and considered all evidence, both written and oral, presented in consideration of the establishment of the City' s new TRBAA and revised Appendix I to the TO Tariff implementing the new TRBAA. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS : SECTION 1 : The City Council of the City of Vernon hereby - 2 - finds and determines that the above recitals are true and correct . SECTION 2 : The City Council of the City of Vernon finds that this action is exempt from California Environmental Quality Act ( "CEQA11 ) review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378 . SECTION 3 : The City Council of the City of Vernon hereby further finds and determines that all persons have had the opportunity to be heard or to file written comments to the proposed establishment of the City' s new TRBAA and amended Appendix I to the TO Tariff implementing the new TRBAA, and, after due consideration of any and all evidence submitted at the public hearing, determines that there are compelling reasons to justify the establishment of the City' s new TRBAA for 2018 and an amended Appendix I to the TO Tariff implementing the new TRBAA for 2018, a copy of which is attached hereto as Exhibit A and made a part hereof . SECTION 4 : The City Council of the City of Vernon hereby approves, pursuant to the TO Tariff and to be effective on January 1, 2018 , the establishment of the City' s new TRBAA for 2018, and revised Appendix I to the TO Tariff implementing the new TRBAA for 2018, as described in the Report, a copy of which is attached hereto as Exhibit B and made a part hereof . SECTION 5 : The City Council of the City of Vernon hereby authorizes outside counsel to submit the City' s new TRBAA for 2018, the revised Appendix I to the TO Tariff, and supporting documentation, such as the Report and this City Council Resolution, to FERC on behalf of the City of Vernon. - 3 SECTION 6 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s or Deputy City Clerk' s certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 17th day of October, 2017 . Name : Title: Mayor ATTEST: City Clerk / Deputy City Clerk APPROVED AS TO FORM: Katharine Mapes, Esq. Spiegel & McDiarmid, LLP Special Counsel to City 4 STATE OF CALIFORNIA } } ss COUNTY OF LOS ANGELES ) I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, October 17, 2017, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of October, 2017, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 5 - EXHIBIT A APPENDIX I Transmission Revenue Requirement and TRBAA The Vernon Base Transmission Revenue Requirement is $-A*.z 4442,9 15.048 and is comprised of the following components: Base TRR costs not subject to ETC Adjustment Clause: $498,480 ETC Adjustment Clause: Forecast SCE ETC Costs: -. ,, f Balance of Difference between prior year Forecast and Actual SCE ETC Costs: Interest on Difference between prior year Forecast and Actual SCE ETC Costs: The ETC Adjustment Clause is: The projected SCE ETC Cost for the next calendar year, plus the true-up (positive or negative) of the prior October through September SCE ETC Cost with interest calculated pursuant to 18 C.F.R. § 35.19a. The ETC Adjustment Clause will be recalculated annually and filed with the Commission with a proposed effective date of January I of each year. The TRBAA is a negative $47.4 t(-08.4?- for calendar year 201=�. Vernon's Gross Load, consistent with its TRR, used by the ISO to develop the Transmission Access Charge is ' MWhs. All of Vernon's transmission facilities and Entitlements placed under the ISO's Operational Control are High Voltage Facilities as defined by the ISO Tariff. The TRBAA will be recalculated annually consistent with the ISO Tariff approved by the Vernon City Council, and provided to the ISO. APPENDIX I Transmission Revenue Requirement and TRBAA The Vernon Base Transmission Revenue Requirement is $2,915,648 and is comprised of the following components: Base TRR costs not subject to ETC Adjustment Clause: $498,480 ETC Adjustment Clause: Forecast SCE ETC Costs: $2,766,120 Balance of Difference between prior year Forecast and Actual SCE ETC Costs: ($336,502) Interest on Difference between prior year Forecast and Actual SCE ETC Costs: (S12,450) The ETC Adjustment Clause is: The projected SCE ETC Cost for the next calendar year, plus the true-up (positive or negative) of the prior October through September SCE ETC Cost with interest calculated pursuant to 18 C.F.R. § 35.19a. The ETC Adjustment Clause will be recalculated annually and filed with the Commission with a proposed effective date of January 1 of each year. The TRBAA is a negative $38,427 for calendar year 2018. Vernon's Gross Load, consistent with its TRR, used by the ISO to develop the Transmission Access Charge is 1,154,492 MWhs. All of Vernon's transmission facilities and Entitlements placed under the ISO's Operational Control are High Voltage Facilities as defined by the ISO Tariff. The TRBAA will be recalculated annually consistent with the ISO Tariff approved by the Vernon City Council, and provided to the ISO. EXHIBIT B CITY OF VERNON PUBLIC UTILITIES DEPARTMENT REPORT REGARDING THE ESTABLSHMENT OF A NEW TRANSMISSION REVENUE BALANCING ACCOUNT ADJUSTMENT FOR CALENDAR YEAR 2018 October 17, 2017 The City of Vernon ("Vernon" or "City") is a Scheduling Coordinator and a Participating Transmission Owner ("PTO") in the California Independent System Operator Corporation ("ISO"). To participate in the ISO, PTOs are required to turn over administrative control of their transmission facilities and entitlements to the ISO. In return, the ISO collects revenues for each PTO pursuant to calculations that reflect the expenses and capital costs incurred by each PTO to provide transmission services. The relationship between PTOs and the ISO is governed by a Transmission Control Agreement ("TCA"), which sets forth the specific duties and obligations of all PTOs. The TCA requires all PTOs to file a Transmission Owner Tariff ("TO Tariff') with the Federal Energy Regulatory Commission ("FERC"). Pursuant to Section 5.2 of the TO Tariff, Vernon updates its Transmission Revenue Balancing Account Adjustment ("TRBAA") annually. The TRBAA is a tariff mechanism designed to ensure that all Transmission Revenue Credits ("TRCs") are flowed through to ISO open access transmission tariff ("ISO Tariff") customers via annual update filings at the FERC by PTOs. Appendix F, Schedule 3, Section 6.1(b), of the ISO Tariff describes the annual TRBAA calculation as "a dollar amount based on the projected Transmission Revenue Credits as adjusted for the true up of the prior year's difference between projected and actual credits." This Report supports the establishment of a new TRBAA based on the requirements of the TO Tariff and the ISO Tariff. SUMMARY Section 5.2 of the Vernon TO Tariff identifies the items to be reflected in the TRBAA TRBAA Report 2018 Page 2 of 5 and sets forth the procedure for revising the Transmission Revenue Balancing Account ("TRBA") on an annual basis, as follows: 5.2 Transmission Revenue Balancing Account Adjustment The Participating TO shall maintain a TRBA that will ensure that all Transmission Revenue Credits and the refunds, specified in Sections 6 and 8 of Appendix F, Schedule 3 of the ISO Tariff, flow through to transmission customers. The TRBAA shall be equal to: TRBAA = TRCF + TRCT+ I. TRCT = The balance representing the prior period difference between the projected Transmission Revenue Credits and the actual credits. TRCF = The forecast of Transmission Revenue Credits for the following calendar year. I = The interest balance for the TRBA, which shall be calculated using the interest rate pursuant to Section 35.19(a) of FERC's regulations under the Federal Power Act (18 C.F.R. § 35.19(a)). Interest shall be calculated based on the average TRBA principal balance each month, compounded quarterly. Transmission Revenue Credits ("TRCs") are defined in Section 3.12 of the current Vernon TO Tariff as follows: 3.12 Transmission Revenue Credit: The sum of all revenues received by the Participating TO from the ISO for Wheeling service. The TRBAA is based on the balance in the TRBA as of September 30 of the current year and a forecast of the TRCs expected to be received in the following year. A summary of the elements of the Vernon TRBAA proposed to be effective January 1, 2018 is shown in Exhibit 1. It shows that the balance in the Vernon TRBA as of TRBAA Report 2018 Page 3 of 5 September 30, 2017, which reflects services rendered through June 30, 2017, is a credit of $24,776, including interest. TRCs are projected to be a credit of$2,890. Taken together, these items sum up to a TRBAA to be effective for the twelve months starting January 1, 2018 of a credit, or negative, balance of$27,667. All of the Vernon transmission entitlements that are reflected in Vernon's transmission rates and the TRBAA are high voltage facilities. Therefore, there is no need to allocate TRCs or other TRBAA components between high voltage and low voltage rates. CALCULATION OF THE NEW TRBAA The TRBAA is equal to the sum of: TRCF + TRCT+ I. The balance in the TRBA of a credit of $35,537 as of September 30, 2017 represents the sum of the TRCT and the I components. The TRCT Component of Vernon's TRBAA TRCT represents a balance that reflects the difference for the prior period between the projected TRCs and the actual credits. The prior period in this case is the twelve-month period starting October 1, 2016 and ending September 30, 2017. A summary of the determination of the September 30, 2017 balance in the Vernon TRBA is shown in Exhibit 2. The TRCT component reflects 1) the previously projected 2016 TRCs for Vernon of$411 or $34.25 per month, for the months October through December 2016, and 2) projected 2017 TRCs of $47,616 or $3,968 per month, for the months January through September 2017—both elements as reflected on Line No. 2 of Exhibit 2. Adjustments for actual payable TRCs reflecting high voltage wheeling revenues payable to the TO (i.e., Vernon) are reflected in Line 3 of Exhibit 2. Distribution of non-refundable interconnection amounts (further discussed below) are reflected in Line 4 of Exhibit 2 and produce the under (over) collection figures for the monthly payable TRC balances reflected in Line 5 of Exhibit 2. The monthly balances are carried forward from month to month in Line 6 of Exhibit 2. Interest is calculated monthly (the I component) on the average monthly TRBAA Report 2018 Page 4 of 5 balance and is compounded quarterly into the monthly payable TRC balances pursuant to Section 5.2 of the Vernon TO Tariff. The interest calculation for payable TRC balances is shown in Lines 7-9 of Exhibit 2. The TRBA balance on September 30, 2017 is shown in Line 13 of Exhibit 2. The I (Interest) Component of Vernon's TRBAA As discussed above, the I component reflects interest on payable balances and on payments for prior year TRCs. As provided in Section 5.2 of Vernon's TO Tariff, monthly interest carrying costs are calculated using the 18 C.F.R. § 35.19(a) interest rates and calculation method. These interest rates are published by FERC and reflect the prime rate values published in the Federal Reserve Bank's "Selected Interest Rates." The calculation of interest is reflected in Exhibit 2 and is included as an integral part of the calculation of the TRBA balance on September 30, 2017. It is not reflected as a separate line item in Exhibit 1. The TRCF Component of Vernon's TRBAA The TRCF component of Vernon's TRBAA stands for the forecast of TRCs for the following calendar year, in this case 2018. These forecast TRCs reflect projected wheeling revenues. Wheeling revenues, which correspond to ISO Charge Type 384, are projected to be a credit of$2,890.28, as shown in Exhibit 3. These projections are based on the accruals for services provided during the twelve- month period ending June 30, 2017, which are reflected in the ISO's invoices to Vernon through September 30, 2017. A summary of the monthly accruals for the twelve months ending September 30, 2017 is shown in Exhibit 4. TRBAA Report 2018 Page 5 of 5 Distribution of Non-Refundable Interconnection Amounts Under Section 7.6 of Appendix DD of the ISO Tariff, "Application of Non-Refundable Amounts," "[t]he CAISO shall calculate and disburse available non-refundable interconnection study deposits and interconnection financial security in conjunction with the annual reassessment performed during the year that the withdrawal period ends." As a Participating Transmission Owner, Vernon received a share of the non- refundable interconnection financial security and study deposit amounts for projects withdrawn from January 1, 2013 through December 31, 2016. In particular, Vernon received $10,089.32 in the month of January 2017 and $10,742.50 in the month of September 2017 for projects withdrawn from January 1, 2013 through December 31, 2016. . In order to distribute those funds to its ratepayers through its TRBAA mechanism in accordance with Section 7.6 (c) of Appendix DD, Vernon has added Line 4 to the spreadsheet it uses to calculate its TRBAA, Exhibit 2 to this report. That line is entitled "Distribution of Non-Refundable Interconnection Amounts" and tracks funds distributed by the ISO from month to month. RECOMMENDATIONS 1. Approve the newly calculated TRBAA of a negative $38,427, 2. Approve replacing the existing TRBAA of negative $47,616 with the new TRBAA for 2018 of a negative $38,427. 3. Approve the attached revised Appendix I of Vernon's TO Tariff reflecting the TRBAA of negative $38,427. 4. Authorize outside counsel to submit Vernon's TRBAA and supporting documentation, such as this Report and the City Council Resolution approving the new TRBAA to FERC. TRBAA Report 2018 Exhibit 1 A J B C D E F G H I 1 2 3 CITY OF VERNON 4 TRANSMISSION REVENUE BALANCING ACCOUNT ADJUSTMENT(TRBAA) 5 CALENDAR YEAR 2018 6 7 DESCRIPTION TOTAL 8 9 [1] Balance in TRBA on September 30, 2017 ($35,537) 10 including interest 11 12 [2] Forecast Transmission Revenue Credits ($2,890) 13 14 [3] TRBAA ($38,427) 15 16 17 18 Source: 19 [4] Exhibit 2, Column 0, Line No 13 20 [5] Exhibit 3, Column F, Line No 13 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 \ -j \OOFt j�\ j�\ F PIT\ / },I.. , � � � | a � § | ■ § ■ � |7 ! % # ! ,■ 2 ■ k ) 2 ; �� - � ! ��� % = ! § ; �! ■ ;|g a �§� G.t ■ ! $ � % �' ;2 a �k{ G � ��m ■ � m e m 5 ; � via t } ) 2| $ 2 1 f ■ �■ ■ #|� * 2 ■ � a : _ : � | TRBAA Report 2018 Exhibit 3 A I B C D E F G 1 CITY OF VERNON 2 FORECAST TRANSMISSION CREDITS 3 for Calendar Year 2018 TRBAA 4 5 6 MONTH Wheeling Total 7 8 [1] January-17 ($240.86) ($240.86) 9 .[2] February-17 ($240.86) ($240.86) 10�[3] March-17 ($240 86) ($240 86) 11 '[4] April-17 ($240.86) ($240.86) 12 [5] May-17 ($240.86) ($240.86) 13 [6] June-17 ($240.86) ($240 86) 14 [7] July-17 ($240 86) ($240 86) 15 [8] August-17 ($240 86) ($240 86) 16 [9] September-17 ($240 86) ($240.86) 17 [10] October-17 ($240.86) ($240 86) 18 [11] November-17 ($240 86) ($240 86) 19 [12] December-17 240.86 2($ 40.86) 20 21 [13] Total ($2,890.28) ($2,890.28) 22 23 24 25 26 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 TRBAA Report 2018 Exhibit 4 A B C I D E I FIG FIGI H I 1 Vernon Historical Transmission Credits 2 for Calendar Year 2018 TRBAA 3 4 Wheeling Revenues 5 ISO INVOICE 5 Month CT 384 7 Final Adjustments Tota; 8 9 [1] July-16 ($1,018 02) ($1,018 02) 10 [2] August-16 ($133 59) ($133 59) 11 (3] September-16 ($87.96) ($87 96) 12 (4) October-16 ($62.72) ($62 72) 13 (5] November-16 ($51.53) ($51 53) 14 [6) December-16 ($44.45) ($44 45) 15 [7] January-17 ($49 43) (S49 43) 16 [8] February-17 ($57 33) ($57 33) 17 [9] March-17 (5205 29) ($205 29) 18 [10] April-17 (5123.84) ($123 84) '.9 [11] May-17 (5115.08) ($115 08) 20 (12] June-17 ($941 04) ($94104) 21 22 [13] ($2.89028) 23 24 25 a RECEIVED OCT 12 2017 RECEINJEO CITY ADMINIS71RATION OCT 12 Z017 STAFF REPORT 101 t,1 jv1 CyTy CLER4 S OFfff PUBLIC UTILITIES DEPARTMENT DATE: October 17, 2017 TO: Honorable Mayor and City Council FROM: Kelly Nguyen, General Manager of Public Utilities RE: A Resolution Adopting a New Transmission Revenue Requirement for 2018 in Accordance with Vernon's Transmission Owner Tariff and Providing for Tariff Sheet Changes to Implement the Adjustment Recommendation A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Conduct a Public Hearing; and C. Adopt a resolution adopting a new transmission revenue requirement for 2018 in accordance with Vernon's Transmission Owner Tariff and providing for tariff sheet changes to implement the adjustment. Backeround The City of Vernon is a Scheduling Coordinator and a Participating Transmission Owner ("PTO") in the California Independent System Operator Corporation ("ISO"). To participate in the ISO, PTOs are required to turn over administrative control of their transmission facilities and entitlements to the ISO. In return, the ISO collects revenues for each PTO pursuant to calculations that reflect the expenses and capital costs incurred by each PTO to provide transmission services. These calculations are known as Transmission Revenue Requirements ("TRRs"). The relationship between PTOs and the ISO is governed by a Transmission Control Agreement ("TCA"), which sets forth specific duties and obligations of all PTOs. The TCA requires all PTOs to file a Transmission Owner Tariff ("TO Tariff') and TRR with the Federal Energy Regulatory Commission ("FERC"). The TCA further requires all PTOs to file any changes in their TRRs with FERC. Each PTO must also include in its TO Tariff its Gross Load which the ISO uses to calculate its grid-wide Transmission Access Charge ("TAC") rates, and which is related to the City's ability to recover its full TRR. TRANSMISSION REVENUE REQUIREMENT At present, the City's high voltage transmission assets consist of three long-term contracts (known as "existing transmission contracts" or "ETCs") which provide the City with dedicated access to high voltage transmission facilities owned by other entities. Specifically, the City has contractual entitlements to utilize transmission assets pursuant to one long-term transmission contract with the Los Angeles Department of Water and Power ("LADWP") and two long-term transmission contracts with Southern California Edison ("SCE"). The ETCs with SCE consist of one (the "SCE Victorvill e-Lugo ETC" described in SCE's FERC Rate Schedule 360) providing 11 MW of transmission capacity along the path between the Victorville-Lugo midpoint and the point of interconnection with the City's internal transmission system (the "City Gate"), and one (the "SCE Mead ETC" described in SCE's FERC Rate Schedule 207) providing 26 MW of transmission capacity along the path between the Mead 230 substation and the City Gate. The costs of these ETCs make up the majority of the costs recovered through the City's TRR. Until recently, for each of the ETCs, the City paid the owner of the transmission facilities a fixed rate which was specific to the transmission path provided under each ETC. The attached TRR Report supports the establishment of a new transmission revenue requirement associated with Vernon's high voltage entitlements. GROSS LOAD Gross Load is the City's aggregate annual demand for electricity. The Public Utilities Department calculates and projects Gross Load as part of its normal operations. Since 2012, the Gross Load stated in the City's TO Tariff has been 1,181,728 MWh, a figure based on the City's 2010 actual load data. The City's Gross Load has declined since 2010. In 2016, the City's Gross Load, as measured by ISO-certified revenue quality meters, was 1,154,492 MWh. This decline in Gross Load means the City will not recover from the ISO the full amount of its TRR unless its stated TO Tariff Gross Load is revised to reflect the City's actual load. Staff recommends submitting an amended version of the City's Appendix I to its TO Tariff stating the City's Gross Load for 2018 at 1,154,492 MWh, in accordance with a 2016 test year (the data supporting the calculation of this figure is attached hereto as Exhibit 2). Fiscal Impact The cost of Existing Transmission Service Contracts (ETC) incurred by the City will be recovered. Attachments 1. Notice of Public Hearing to Establish New Transmission Revenue Requirement 2. Resolution Adopting a New Transmission Revenue Requirement Page 2 of 2 v } t.,Ip.,hr 4305 Santa Fe Avenue City of Vernon ' Vernon,CA 90058 * 4 (323)583-8811 NOTICE OF TWO SEPARATE PUBLIC HEARINGS REGARDING THE ESTABLISHMENT OF VERNON'S NEW TRANSMISSION REVENUE BALANCING ACCOUNT ADJUSTMENT AND VERNON'S NEW MaSTING TRANSMISSION CONTRACT ADJUSTMENT The City of Vernon will conduct a Public Hearing,which you may attend. PLACE: Vernon City Hall City Council Chamber 4305 Santa Fe Avenue Vernon,CA 90058 DATE&TIME:Tuesday,October 17, 2017,at 9:00 a.m. (or as soon thereafter as the matter can be heard) PURPOSTJSUBJECI': (1)To consider evidence to establish Vernon's new Transmission Revenue Balancing Account Adjustment for its high voltage(over 200 kV)transmission entitlements(all located outside the City) pursuant to Vernon's Transmission Owner Tariff,and(2)To consider evidence to establish new Gross Load and Vernon's new Existing Transmission Contract Adjustment for its high voltage(over 200 kV)transmission entitlements(all located outside the City)pursuant to Vernon's Transmission Owner Tariff. DOCUMENTS FOR REVIEW: Copies of a Resolution Establishing a Transmission Revenue Balancing Account Adjustment for 2018 and a Resolution Adopting a New Transmission Revenue Requirement will be available for public examination at Vernon City Hall, located at 4305 Santa Fe Avenue,Vernon,California or at httpl/www.city(ifvemon_orgl ovcmrncFiUtUhiic- meetings/city-council from October 12 to October 17,2017. Please send your comments or questions to: Abraham Alemu City of Vernon,Public Utilities 4305 Santa Fe Avenue,Vernon,CA 90058 (323)583-8811 Ext.250 AA.Lernu@ci.vemon.ca.us PROPOSED CEQA FINDING:Fun)that approval of the proposed action is exempt from California Environmental Quality Act("CEQA")review,because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment,and therefore does not constitute a"project"as defined by CEQA Guidelines section 15378. If you challenge the adoption/approval of the establishment of Vernon's new Transmission Revenue Balancing Account Adjustment,or Vemon's new Existing Transmission Contract Adjustment or any provision thereof in court,you may be limited to raising only those issues you or someone else raised at the hearing described in this notice or in written correspondence delivered to the City of Vernon at,or prior to,the meeting. Americans with Disabilities Act(ADA):In compliance with ADA,if you need special assistance to participate in the meeting,please contact the Office of the City Clerk at(323)583-8811 ext.546. The hearing may be continued or adjourned or cancelled and rescheduled to a stated time and place without further notice of a public hearing. Dated: October 3.2017 _ Maria Ayala,�CZ4CV — RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON ADOPTING A NEW TRANSMISSION REVENUE REQUIREMENT FOR 2018 IN ACCORDANCE WITH VERNON' S TRANSMISSION OWNER TARIFF AND PROVIDING FOR TARIFF SHEET CHANGES TO IMPLEMENT THE ADJUSTMENT WHEREAS, the City of Vernon ("City" ) is a chartered municipal corporation of the State of California that owns and operates a system for the generation, purchase, transmission, distribution and sale of electric capacity and energy; and WHEREAS, the City is a Participating Transmission Owner ( "PTO" ) with the California Independent System Operator Corporation ( "ISO" ) , and the Federal Energy Regulatory Commission ( "FERC" ) has approved its existing Transmission Owner Tariff ("TO Tariff" ) ; and WHEREAS, the ISO reimburses the City according to the City' s current Transmission Revenue Requirement ( "TRR" ) in return for the City turning over to the ISO the operation and control of the City' s transmission entitlements; and WHEREAS, each PTO must include in its TO Tariff its Gross Load, which the ISO uses to calculate its grid-wide Transmission Access Charge ( "TAC" ) rates, and which is related to the City' s ability to recover its full TRR; and WHEREAS, the City' s transmission entitlements include rights under certain contracts (each an "ETC" ) including (i) an agreement with the City of Los Angeles Department of Water and Power entitled "Los Angeles-Vernon Adelanto-Victorville-Lugo Firm Transmission Service Agreement" (the "LAWDP ETC" ) ; (ii) an agreement with Southern California Edison Company ( "SCE" ) entitled "Amended and Restated Edison-Vernon Victorville-Lugo Firm Transmission Service Agreement" (the "SCE Victorville-Lugo ETC" ) ; and (iii) an agreement with SCE entitled "Amended and Restated Edison-Vernon Mead Firm Transmission Services Agreement" (the "SCE Mead ETC" ) ; and WHEREAS, the City' s costs under the LADWP ETC, the SCE Victorville-Lugo ETC, and the SCE Mead ETC have traditionally been based upon a negotiated fixed "path-specific" rate charged by LADWP or SCE, based on the actual costs of the specific transmission lines made available under each ETC, multiplied by the amount of transmission capacity guaranteed to the City under each ETC; and WHEREAS, on August 1, 2008, SCE filed a petition with FERC seeking to amend the pricing structure under the SCE Victorville-Lugo ETC and the SCE Mead ETC to replace the negotiated path-specific rates set forth in those ETCs with a "postage-stamp" rate which reflects the blended rate SCE charges to the ISO for the actual usage of all of SCE' s transmission lines by customers of the ISO; and WHEREAS, the postage-stamp rate which SCE charges to the ISO is derived from SCE' s TRR and, therefore, will change each time SCE amends its TRR; and WHEREAS, on September 30, 2008 , FERC accepted, subject to refund and hearing and settlement procedures, SCE' s proposed revisions under the SCE Victorville-Lugo ETC and the SCE Mead ETC to replace the negotiated path-specific rates set forth in those ETCs with a postage- stamp rate, and thus the City' s costs under the SCE Victorville-Lugo ETC and the SCE Mead ETC will vary proportionately with any changes in SCE' s TRR; and WHEREAS, the City reached a settlement agreement (the "SCE Settlement" ) with SCE to amend the SCE Victorville-Lugo ETC and the SCE - 2 - Mead ETC to replace the path-specific rates set forth in those ETCs with SCE' s postage-stamp rate after a phase-in period that began on August 1, 2009, during which the City' s path-specific rates in those ETCs are gradually stepped-up over three years (the "Phase-In Rates" ) until the path-specific rates are equal to SCE' s postage-stamp rate as of January 1, 2013; and WHEREAS, under the SCE Settlement, the City' s costs for the SCE Victorville-Lugo ETC and the SCE Mead ETC are equal to (i) from August 1, 2009, until December 31, 2012 , the Phase-In Rates, and beginning on January 1, 2013 , the SCE postage-stamp rate, in each case multiplied by (ii) the amount of transmission capacity guaranteed to the City under each ETC; and WHEREAS, FERC approved the SCE Settlement pursuant to an order issued September 11, 2009, 128 FERC ¶ 61, 237 (2009) , in FERC Docket Nos. ER08-1343-000, ER08-1353-000, ER09-187-000, ER09-187-001, EL09-19-000, and ER09-446-000 ( "SCE Settlement Order" ) ; and WHEREAS, on behalf of the City, the Brattle Group, an experienced utilities consulting firm, developed a tracking mechanism for the City' s TRR ("TRR Tracking Mechanism" ) to allow the City' s TRR to be adjusted annually, effective January 1 of each year, to reflect changes in the City' s costs under the SCE Victorville-Lugo ETC and the SCE Mead ETC that change as a result of (i) the stepped-up rates implemented between August 1, 2009 and December 31, 2012; or (ii) any change in SCE' s TRR on or after January 1, 2013 ; and WHEREAS, on the basis of The Brattle Group' s analysis and evidence from City staff, which was considered during a public meeting of the City Council held on July 13 , 2009, the City, on July 15, 2009 ( "July 15 FERC Filing" ) , filed with FERC proposed revisions to its TO - 3 - Tariff proposing stated TRRs for each of the years 2010 to 2012, which dollar amounts were also included in the SCE Settlement ( "TO Tariff Revisions" ) ; and WHEREAS, the City also submitted in the July 15 FERC Filing a request to utilize an "ETC Adjustment Clause" to adjust automatically each year the costs the City incurs attributable to any changes in SCE' s TRR associated with SCE' s High Voltage Existing Contracts Access Charge ( "HVECAC" ) rate; and WHEREAS, FERC approved the City' s request to utilize an ETC Adjustment Clause to reflect annual projected changes to SCE' s TRR, in an order issued September 11, 2009, 128 FERC ¶ 61, 235 (2009) , in FERC Docket No. EL09-64-000 ("TO Tariff Order" ) ; and WHEREAS, under the TO Tariff Order, the City' s TO Tariff revisions went into effect on August 1, 2009; and WHEREAS, on January 6, 2015, the City approved revisions to the template used to calculate the annual ETC Adjustment Clause; and WHEREAS, on April 8, 2015, FERC approved the City' s 2015 filing with FERC reflecting modifications to the base TRR as calculated using the revised ETC Adjustment Clause template; and WHEREAS, the City is required under the TO Tariff Order to submit annual filings with FERC reflecting modifications to the base TRR; and WHEREAS, the current Gross Load included in the City' s TO Tariff is based on 2010 load data and the Public Utilities Department calculates that Gross Load in 2016 was 1, 154, 492 MWh, substantially lower than in 2010; and WHEREAS, a Notice of Public Hearing was published on October 3, 2017, notifying all interested parties that a hearing to consider - 4 - evidence to establish the City' s new TRR and Gross Load was scheduled for October 17, 2017, at approximately 9 : 00 a.m. , subject to the hearing being continued or adjourned to a stated time and place without further notice of public hearing; and WHEREAS, on October 17, 2017, the City Council held a Public Hearing in which the City Council took evidence from staff and those other persons in attendance who wished to be heard on the calculation of the City' s new TRR and Gross Load under the City' s amended TO Tariff ; and WHEREAS, the TRR for 2018 is shown in the amended Appendix I to the TO Tariff, a copy of which is attached hereto as Exhibit A and made a part hereof . WHEREAS, the Public Utilities Department has prepared a Report, dated October 17, 2017, with exhibits, a copy of which is attached hereto as Exhibit B and made a part hereof, which reiterates its previous conclusions that the TRR and ETC Adjustment Clause mechanism developed by The Brattle Group, approved by FERC under the amended TO Tariff, and revised in 2015 are reasonable and which calculates the amount derived under the ETC Adjustment Clause for 2018 ; and WHEREAS, the Public Utilities Department has recommended the City adopt the TRR shown in the amended Appendix I to the TO Tariff, attached as Exhibit A, to be effective on January 1, 2018; and WHEREAS, the City Council has heard and considered all evidence, written and oral, presented in consideration of the establishment of the City' s new TRR and Gross Load under the amended TO Tariff . NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE - 5 - CITY OF VERNON AS FOLLOWS: SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct . SECTION 2 : The City Council of the City of Vernon finds that this action is exempt from California Environmental Quality Act ( "CEQA" ) review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378 . SECTION 3 : The City Council of the City of Vernon hereby further finds and determines that all persons have had the opportunity to be heard or to file written comments to the proposed adoption of the City' s TRR, and after due consideration of any and all evidence submitted at the Public Hearing, determines there are compelling reasons to justify the adoption of the City' s TRR and Gross Load, to be effective January 1, 2018 . SECTION 4 : The City Council of the City of Vernon hereby declares that : (a) any determination made pursuant to this Resolution regarding the validity or reasonableness of any portion of any TRR or TO Tariff shall apply only prospectively from the date of this Resolution; and (b) in no way shall this Resolution affect the City Council' s adoption or determination of any previous TRR or TO Tariff . SECTION 5 : The City Council of the City of Vernon hereby approves, pursuant to the TO Tariff and to be effective on January 1, 2018 , the establishment of the City' s new TRR, Gross Load, and Appendix I to the TO Tariff implementing the new TRR and Gross Load, as 6 - described in the Public Utilities Department Report dated October 17, 2017 . SECTION 5 : The City Council of the City of Vernon hereby authorizes outside counsel to submit the City' s TRR, the amended Appendix I to the Vernon TO Tariff, and supporting documentation, such as the Report, and this City Council Resolution approving the new TRR and Gross Load, to FERC on behalf of the City of Vernon. SECTION 7 : The City Clerk or Deputy City Clerk of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of resolutions of the Council of this City. APPROVED AND ADOPTED this 17rh day of October, 2017 . Name: Title: Mayor ATTEST: City Clerk /Deputy City Clerk APPROVED AS TO FORM: Katharine Mapes, tsq. Spiegel & McDiarmid, LLP Special Counsel to City - 7 - STATE OF CALIFORNIA ) ss COUNTY OF LOS ANGELES ) I, __ _ _ _, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on October 17, 2017, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of October, 2017, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 8 - EXHIBIT A APPENDIX I Transmission Revenue Requirement and TRBAA The Vernon Base Transmission Revenue Requirement is 1642.9 4;.648 and is comprised of the following components: Base TRR costs not subject to ETC Adjustment Clause: $498,480 ETC Adjustment Clause: Forecast SCE ETC Costs: Balance of Difference between prior year IForecast and Actual SCE ETC Costs: Interest on Difference between prior year Forecast and Actual SCE ETC Costs: ($ The ETC Adjustment Clause is: The projected SCE ETC Cost for the next calendar year, plus the true-up (positive or negative) of the prior October through September SCE ETC Cost with interest calculated pursuant to 18 C.F.R. § 35.19a. The ETC Adjustment Clause will be recalculated annually and filed with the Commission with a proposed effective date of January 1 of each year. The TRBAA is a negative $477.61638.42'� for calendar year 201=�. Vernon's Gross Load, consistent with its TRR, used by the ISO to develop the Transmission Access Charge is • _,- 1 _,� _' -,;' MWhs. All of Vernon's transmission facilities and Entitlements placed under the ISO's Operational Control are High Voltage Facilities as defined by the ISO Tariff. The TRBAA will be recalculated annually consistent with the ISO Tariff approved by the Vernon City Council, and provided to the ISO. APPENDIX I Transmission Revenue Requirement and TRBAA The Vernon Base Transmission Revenue Requirement is $2,915,648 and is comprised of the following components: Base TRR costs not subject to ETC Adjustment Clause: $498,480 ETC Adjustment Clause: Forecast SCE ETC Costs: 52,766,120 Balance of Difference between prior year Forecast and Actual SCE ETC Costs: ($336,502) Interest on Difference between prior year Forecast and Actual SCE ETC Costs: ($12,450) The ETC Adjustment Clause is: The projected SCE ETC Cost for the next calendar year, plus the true-up (positive or negative) of the prior October through September SCE ETC Cost with interest calculated pursuant to 18 C.F.R. § 35.19a. The ETC Adjustment Clause will be recalculated annually and filed with the Commission with a proposed effective date of January I of each year. The TRBAA is a negative $38,427 for calendar year 2018. Vernon's Gross Load, consistent with its TRR, used by the ISO to develop the Transmission Access Charge is 1,154,492 MWhs. All of Vernon's transmission facilities and Entitlements placed under the ISO's Operational Control are High Voltage Facilities as defined by the ISO Tariff. The TRBAA will be recalculated annually consistent with the ISO Tariff approved by the Vernon City Council, and provided to the ISO. EXHIBIT B CITY OF VERNON PUBLIC UTILITIES DEPARTMENT REPORT REGARDING THE ESTABLISHMENT OF NEW GROSS LOAD AND A REVISED NEW TRANSMISSION REVENUE REQUIREMENT ASSOCIATED WITH VERNON'S HIGH VOLTAGE ENTITLEMENTS October 17, 2017 The City of Vernon ("Vernon" or "City') is a Scheduling Coordinator and a Participating Transmission Owner ("PTO") in the California Independent System Operator Corporation ("ISO"). To participate in the ISO, PTOs are required to turn over administrative control of their transmission facilities and entitlements to the ISO. In return, the ISO collects revenues for each PTO pursuant to calculations that reflect the expenses and capital costs incurred by each PTO to provide transmission services. These calculations are known as Transmission Revenue Requirements ("TRRs"). The relationship between PTOs and the ISO is governed by a Transmission Control Agreement ("TCA"), which sets forth specific duties and obligations of all PTOs. The TCA requires all PTOs to file a Transmission Owner Tariff ("TO Tariff') and TRR with the Federal Energy Regulatory Commission ("FERC"). The TCA further requires all PTOs to file any changes in their TRRs with FERC. Each PTO must also include in its TO Tariff its Gross Load which the ISO uses to calculate its grid-wide Transmission Access Charge ("TAC") rates, and which is related to the City's ability to recover its full TRR. TRANSMISSION REVENUE REQUIREMENT At present, the City's high voltage transmission assets consist of three long-term contracts (known as "existing transmission contracts" or "ETCs") which provide the City with dedicated access to high voltage transmission facilities owned by other entities. Specifically, the City has contractual entitlements to utilize transmission assets pursuant to one long-term transmission contract with the Los Angeles Department of Water and Power ("LADWP") and two long-term transmission contracts with Southern California Edison ("SCE"). The ETCs with SCE consist of one (the "SCE Victorville-Lugo ETC" described in SCE's FERC Rate Schedule 360) TRR Report 2018 Page 2 of 6 providing 11 MW of transmission capacity along the path between the Victorville- Lugo midpoint and the point of interconnection with the City's internal transmission system (the "City Gate"), and one (the "SCE Mead ETC" described in SCE's FERC Rate Schedule 207) providing 26 MW of transmission capacity along the path between the Mead 230 substation and the City Gate. The costs of these ETCs make up the majority of the costs recovered through the City's TRR. Until recently, for each of the ETCs, the City paid the owner of the transmission facilities a fixed rate which was specific to the transmission path provided under each ETC. On August 1, 2008, SCE proposed to increase its TRR and associated rates in FERC Docket No. ER08-1343-000. In a related filing submitted in FERC Docket No. ER08-1353-000, SCE proposed to transition both of its ETCs with Vernon from their current, fixed "path-specific" rates to a so-called "postage stamp" rate methodology which reflects the blended rate which SCE charges the ISO pursuant to its own TRRs for the actual usage of all of SCE's transmission facilities by customers of the ISO (the "HVECAC Rate"). The HVECAC Rate that SCE proposed in its TO Tariff is derived from SCE's TRR and, therefore, will change each time SCE amends its TRR. On September 30, 2008, FERC accepted, subject to refund and hearing and settlement procedures, SCE's proposed revisions to its TO Tariff to transition the negotiated path-specific rates set forth in the SCE Victorville-Lugo ETC and the SCE Mead ETC to the uniform HVECAC Rate, and thus the City's costs under those ETCs will vary proportionately with any changes in SCE's TRR. The City reached a settlement agreement (the "SCE Settlement") with SCE to amend the SCE Victorville-Lugo ETC and the SCE Mead ETC to fully transition the path-specific rates set forth in those ETCs to SCE's HVECAC Rate after a phase-in period that began on August 1, 2009, during which the City's path-specific rates in those ETCs have been gradually stepped-up under incrementally increasing fixed TRR Report 2018 Page 3 of 6 rates (the "Phase-In Rates") until the path-specific rates are equal to the HVECAC Rate as of January 1, 2013. FERC approved the SCE Settlement pursuant to an order issued September 11, 2009, 128 FERC ¶ 61, 237 (2009), in FERC Docket Nos. ER08-1343-000, ER08-1353-000, ER09-187-000, ER09-187-001, EL09-19- 000, and ER09-446-000 ("SCE Settlement Order"). On behalf of the City, The Brattle Group, an experienced utilities consulting firm, developed a TRR tracking mechanism clause for the City's TRR ("ETC Adjustment Clause"), which allows the City's TRR to be adjusted annually, effective January 1 of each year, to reflect changes in the City's transmission expenses associated with any changes implemented by SCE in the HVECAC Rate associated with the SCE Victorville-Lugo ETC and the SCE Mead ETC. On the basis of The Brattle Group's analysis and evidence from City staff, which was considered during a public meeting of the City Council held on July 13, 2009, the City, on July 15, 2009 ("July 15 FERC Filing"), filed with FERC the proposed (i) revisions to its TO Tariff proposing the City's stated TRRs for each of the years 2010 to 2012, which dollar amounts were also included in the SCE Settlement ("TO Tariff Revisions") and (ii) the ETC Adjustment Clause tracking mechanism. The July 15 FERC Filing acknowledged that, to the extent that the SCE Settlement was accepted, because the stated Phase-In Rates would be fixed, the ETC Adjustment Clause for the term of the Phase-In Rates would be zero. FERC approved the City's July 15 FERC Filing, including the TO Tariff Revisions, the City's proposed calculations of the TRR for years 2010 to 2012, and the City's request to utilize an ETC Adjustment Clause, in an order issued September 11, 2009, 128 FERC 161,235 (2009), in FERC Docket No. EL09-64-000 ("TO Tariff Order"). The City is required under the TO Tariff Order to submit annual filings each year with FERC reflecting annual modifications to the base TRR of the City. In January 2015, the City approved revisions to the template used to calculate the TRR Report 2018 Page 4 of 6 ETC Adjustment Clause and submitted these revisions to FERC. On April 8, 2015, FERC approved the City's 2015 TRR filing as calculated using the revised ETC Adjustment Clause template; the City has prepared this year's filing using that revised template. CALCULATION OF THE ETC ADJUSTMENT CLAUSE Section 5.3 of the Vernon TO Tariff identifies the items to be reflected in the ETC Adjustment. The ETC Adjustment Clause shall be calculated as: ETC Adjustment = ETCCF+ ETCCT+ I. ETCCF = The forecast of SCE ETC Cost for the following calendar year ETCCT = The balance representing the prior period difference between the projected cost of the SCE ETCs ("SCE ETC Cost") and the actual cost. I = The interest balance for the ETC, which shall be calculated using the interest rate pursuant to Section 35.19(a) of FERC's regulations under the Federal Power Act (18 C.F.R. 35.19(a)). Interest shall be calculated based on the average ETC true-up balance each month, compounded quarterly. A summary of the elements of the Vernon ETC Adjustment Clause proposed to be effective January 1, 2018 is shown in Exhibit 1. The ETC Adjustment Clause to be effective for the twelve months starting January 1, 2018 is $2,417,168. The ETCCF Component The ETCCF component stands for the forecast of SCE ETC costs for the following calendar year, in this case 2018. These forecast SCE ETC costs reflect 2018 rates from Southern California Edison Company's draft FERC Filing, posted on its website pursuant to its formula rate protocols (approved in FERC Docket No. ER11-3697). That filing is scheduled to be made at FERC, in its final form, in December 2017; Vernon will true up any differences in its SCE ETC costs when it makes its 2019 TRR Report 2018 Page 5 of 6 TRR filing. The ETCCF for 2018 SCE ETC costs are projected to be $2,766,120 as shown in line 8 of Exhibit 1. The ETCCT Component ETCCT represents a balance that reflects the difference between prior year forecast and actual SCE ETC costs. The prior period in this case is the twelve-month period starting October 1, 2016 and ending September 30, 2017. A summary of the determination of the September 30, 2017 balance in the ETC Adjustment Clause is shown in Exhibit 1. The ETCCT component reflects 1) the previously projected 2016 SCE ETC costs of$214,600 per month, for the months October through December 2016 and projected 2017 SCE ETC costs of $225,700 per month, for the months January through September 2017, 2) actual 2016 SCE ETC costs of$ 208,680 per month, for the months October through December 2016 and $209,420 per month, for the months January through September 2017, and 3) refunds received by the City---all elements as reflected on Line No. 8, 15, and 16 of Exhibit 1. The net of these elements produce the under (or over) collection figures reflected in Line 17 of Exhibit 1. The ending balance is the sum of the beginning balance on October 1 and the (over)lunder collection — both elements as reflected on Line 1 and 17 of Exhibit 1. The cumulative monthly balances are carried forward from month to month and the ETCCT component on September 30, 2017 of negative $336,502 is shown in line 19 of Exhibit 1. The I (Interest) Component The Interest component reflects interest on the difference between prior year forecast and actual SCE ETC costs. The monthly interest carrying costs are calculated using the 18 C.F.R. § 35.19(a) interest rates and calculation method. These interest rates are published by FERC and reflect the prime rate values published in the Federal Reserve Bank's "Selected Interest Rates." TRR Report 2018 Page 6 of 6 Interest is calculated monthly on the average cumulative monthly balance and is compounded quarterly. The interest component is negative $12,450, as shown in Lines 20-24 of Exhibit 1. GROSS LOAD Gross Load is the City's aggregate annual demand for electricity. The Public Utilities Department calculates and projects Gross Load as part of its normal operations. Since 2012, the Gross Load stated in the City's TO Tariff has been 1,181,728 MWh, a figure based on the City's 2010 actual load data. The City's Gross Load has declined since 2010. In 2016, the City's Gross Load, as measured by ISO-certified revenue quality meters, was 1,154,492 MWh. This decline in Gross Load means that the City will not recover from the ISO the full amount of its TRR unless its stated TO Tariff Gross Load is revised to reflect the City's actual load. Staff recommends submitting an amended version of the City's Appendix I to its TO Tariff that states the City's Gross Load for 2018 at 1,154,492 MWh, in accordance with a 2016 test year (the data supporting the calculation of this figure is attached hereto as Exhibit 2). RECOMMENDATIONS 1. Approve the establishment of new Gross Load and the City's revised new TRR for 2018 and revised Appendix I to the TO Tariff. 2. Authorize outside counsel to submit the City's TRR, ETC Adjustment Clause amount, the revised Appendix I to the TO Tariff, and this City Council Resolution approving the TRR and ETC Adjustment Clause amount to FERC on behalf of the City of Vernon. § £ ! |12 ■ \ | . 2| | ■ ! . ; ■ | | � � � • / � )! ■§' !|7 -!!# ! ( ƒ i | | @| | , ! ! _ . •;:; - � �' �� ! #\� � f|/ ,f■E � = $ ! ! � ! , � | :: f|� •! ||� •/_\ \ ! k : | � � \!! 777 �|; lfif , | ■ i � ■ - " | � . � � : #|f • ! !§| •_—_! ! ! | | � r | •! �|f ' - $|| | _ .� ■|f �- |§| |\`" � § ! _ . | | £ -| � . ■�| , _ | ! i : � ||� � ||' |!'# ! § ! ! ■ } � � br } | \ .; | | .|■. _ !}. - , ! !� � � i� : \ |`—� �\�! |!i!� EXHIBIT 2 City of Vernon Calendar Year 2016 Gross Load (as measured by ISO-certified revenue quality meters) Month Load (MWhs) Jan-16 91,607.41 Feb-16 89,667.26 Mar-16 97,079.17 Apr-16 95,489.36 May-16 96,571.31 Jun-16 99,963.06 Jul-16 100,719.39 Aug-16 104,930.94 Sep-16 98,263.59 Oct-16 98,404.39 Nov-16 92,646.90 Dec-16 89,148.89 Calendar Year 2016 1,154,491.68 RECEIVED RECEIVED OCT 10 2011 OCT 0 3 209 cin CLER s OFFICE STAFF REPORT CITY AOM CIS T aIoN HUMAN RESOURCES'ES DEPARTMENT —W-o DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Michael A. Earl, Director of Human Resources Originator: Veronica Avendano, Administrative cretary RE: Service Pin Awards for September 2017 Recommendation A. City Council to present service pins to those employees hired in September. Background Submitted herewith is a list of employees who are eligible to receive their service pin based on the number of service years with the City of Vernon. Fiscal Impact None. Attachment(s) 1. September 2017 Service Pin employee list. Page 1 of 1 2017 SERVICE PIN LIST SEPTEMBER ANNIVERSARY EMPLOYEE'S NAME DEPARTMENT TITLE D.O.H YEARS Andrew G.Thompson Public Works Senior Street Maintenance Worker 9/6/1987 30 Christian N. Moscoso Police Police Officer 9/22/1987 30 Christina Rivera Public Utilities Utilities Customer Service Representative 9/10/2007 10 Daniel Lopez Public Utilities Gas Systems Specialist 9/16/2007 10 Juan F. Lozano Public Utilities Gas Systems Specialist 9/16/2007 10 c" J4 r, r - /ED Y OCT 12 2017 STAFF REPORT CITY CLEWS OFFICE CITY ADMINISTRATION DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Carlos R. Fandino Jr., City Administrator too Originator: Lilia Hernandez, Executive Assistant to the City Administrator RE: A Proclamation for Ryerson Holding Corporation in Recognition of their 175' Anniversary Recommendation A. Acknowledge and present a proclamation to Ryerson Holding Corporation in recognition of their success and 175`h anniversary milestone. Background Founded in 1842, Ryerson Holding Corporation ("Ryerson") is a leading distributor and value- added processor of industrial metals. Ryerson has grown into the second largest metals servicer in the country with approximately 4,000 employees at around 100 locations in the United States, Canada, Mexico and China with sales of$3 billion annually. In Vernon since 1947, Ryerson's Southern California facility serves as the hub of the company for the entire West Coast. The Vernon facility has approximately 100 full time employees with an average experience at Ryerson of over 15 years, with some approaching 35 years. With almost 300,000 square feet in size, and about $100 million in sales to the local market, Ryerson has contributed to the economic vitality of Vernon and the surrounding communities. Ryerson is committed to helping build better communities in the places where it operates and as such, continuously supports Vernon and the surrounding communities through the Rio Hondo- Vernon Rotary Club and other organizations including: the House of Ruth, Salvation Army, Boys and Girls Club, and by making contributions to local schools. 2017 marks the Company's 1751h year in business and 70t' year operating in the City of Vernon. Fiscal Impact None Attachment 1. Proclamation of tot Ott A PROCLAMATION OF THE MAYOR AND THE CITY COUNCIL OF THE CITY OF VERNON COMMENDING AND HONORING RYERSON HOLDING CORPORATION ON ITS 175THANNIVERSARY WHEREAS,founded in 1842, Ryerson Holding Corporation ('Ryerson')is a leading distributor and value-added processor of industrial metals, that through a metal service center in the City of I-ernon, has been contributing to the economic vitality of the City since 1947;and WHEREAS, during the month of'October, Ryerson will celebrate its 175'anniversary milestone and 70' year operating in Vernon;and WHEREAS, Ryerson has grown into the second largest metals servicer in the country with approx7mately 4,000 employees at around 100 locations in The United States, Canada, Mexico and China with sales of$3 billion annually;and WHEREAS, at almost 300,000 square feet in site and about$100 million in sales to the local market, the Vernon fissility serves clients in various industries throughout the West Coast and exemplifies The "Vernon Means Business"motto;and WHEREAS, the Vernon facility has approximaley 100full time employees with an average experience a1 Ryerson of over 15years, with some approaching 35years;and WHEREAS, Ryerson is committed to helping build better communities in the places where it operates, and as such, continuously supports Vernon and the surrounding communities through the Rio Hondo-Vernon Rotary Club and other organifations including.-the House of Ruth, Salvation Army, Boys and Girls Club, and by making contributions to local schools;and WHEREAS, the Mayor and the City Council of the City of Vernon, on behalf of its employees, residents and businesses, wish to commend and honor Ryerson Holding Corporation on its 17r anniversa y and for Their many contributions to The City of Vernon and the sunaunding communities during the past 70years. NOW, THEREFORE, THE MAYOR AND THE CITY COUNCIL OF THE CITY OF VELNVON, ON BEHALF OF ITS EMPLOY`EES, RESIDENTS AND BUSINESSES HEREBY COMMENDS AND CONGRATULATES RYERSON HOLDING CORPORATION ON ITS 17P"ANNIVERSARY THIS PROCLAMATION IS BEING PRESENTED TO RYERSON HOLDING CORPORATION BY THE HONORABLE MAYOR MELISSA YBARRA FOR AND ON BEHALF OF THE CITY CO[l1'\'CIL OF THE CITY OF VERNON THIS 17n' DAY OF OCTOBER TWO THOUSAND AND SEVENTEEN. CITY OF I-F_LNON el AIFUSSA 1 BA .1J/f+YJf ' ° RECEIVED OCT 11 2017 �,�;} S ,,LY� .�• . l�� C�Et�4CS4�f1C� CITY ADMINISTRATION STAFF REPORT FINANCE/TREASURY DEPARTMENT DATE: October 10, 2017 TO: Honorable Mayor and City Council iM FROM: William Fox, Finance Director RE: Ratification of the City Warrant Registers for City Council Agenda of October 17, 2017 It is recommended that the ratification of the following warrant registers to record the following voided checks be considered at the City Council meeting of October 17, 2017. 1. City Warrant Register No. 1480 to record voided Check No. 355747 in the amount of$317.98 issued 09/14/17 to Ramos, Jose. GITY OF VERNON ACCOUNTS PAYABLE CHECK NO. 355747 INVOICE NUMBER DATE P.O.NUMBER DESCRIPTION DISCOUNT +MWrcr 080117 08/01/2017 EXPENSE ALLOWANCE 0.DO 317.98 \N) p, 0 I Lt$4 10103}1-1 317.98 PLEASE DETACH BEFORE DEPOSITING W.—' OV F aosu{rY+�Tw TUN onn.�No F�ooR :b�I 4305 Santa Fe Ave sw KkRNO,CA 91108 zz:: Vernon,CA 90058 �14 (323)583-8811 QaTE: C41ECKAMOUNT 000074 1 09/14/2017 355747 1 317 98 i k PAY Three Hundred Seventeen Dollars and Ninety Eight Cents TO THE RAMOS, JOSE iR_ ORDER 8655 BLUFORD AVENUE OF WHIT TER, CA 90602 �..o ,4 LI SECURITY FEATURES INCLUDED DETAR.S ON BACK. U 00355747u' 1: 3 2 20 ?0 3Ei 0: 80 36 2 78 30 RECE#vEo 1 REr-EWED .,A. OCT 11 2012 OCT 12 2017 CITY ADMINISTRATION CIly CLERK'S OFFICE STAFF REPORT X Lo YO r FI NANCEITREASURY DEPARTMENT 1 DATE: October 10, 2017 TO: Honorable Mayor and City Council '-�rtFROM: William Fox, Finance Director '"I RE: City Payroll Warrant Register for City Council Agenda of October 17, 2017 It is recommended that the attached Payroll Warrant Register No. 736 be approved at the City Council meeting of October 17, 2017 Payroll Warrant Register No. 736 totals $2,921,748.04, and covers claims and demands presented for September 1, 2017 to September 30, 2017, drawn from East West Bank, Payroll Account. The following list details the components of Payroll Warrant Register No. 736: 1. Ratification of direct deposits, checks and taxes totaling $2,316,857.58; and 2. Checks and electronic fund transfers (EFT) paid through General bank account totaling 604,890.46 Raquel Franco 1 1011 012017 2:23 PM PAYROLL WARRANT REGISTER City of Vernon No. 736 Month of September 2017 1 hereby Certify: that claims or demands covered by the This is to certify that the claims or demands above listed warrants have been audited as to accuracy covered by the above listed warrants have been and availability of funds for payments thereof; and that audited by the City Council of the City of Vernon said claims or demands are accurate and that funds are and that all of said warrants are approved for pay- available for payments thereof. ments William Fox DATE Director of Finance _ DATE Date: Page 1 of 1 Payroll Warrant Register Memo(002):Warrant Payrolls reported for the month of September: 08/20/17-09/02/17, Paydate 09/14/17 08/20/17 -09/02/17, Paydate 09/14/17 09103/1 7-09/16/1 7, Paydate 09/28/17 Payment Method Date Payment Description Amount Checks 09/14/17 Net payroll, checks $ 27,577.57 ACH 09/14/17 Net payroll, direct deposits 856,653.83 ACH 09/14/17 Payroll taxes 278,450.64 Checks 09/14/17 Net payroll, checks 14,246.71 ACH 09/14/17 Payroll taxes 7,341.45 09/28/17 Net payroll, checks 28,080.95 ACH 09/28/17 Net payroll, direct deposits 836.166.10 ACH 09/28/17 Payroll taxes 268,340.33 Total net payroll and payroll taxes 2,316,857.58 ACH 09/14/17 ICMA 43,910.53 ACH 09/14/17 CalPERS 247,833.35 ACH 09/14/17 California State Disbursement Unit 2,616.91 355738 09/14/17 L.A. County Sheriffs Office 510.00 355734 09/14/17 Franchise Tax Boad 200.00 ACH 09/14/17 IBEW Dues 3,413.20 ACH 09/14/17 Vemon Firemen's Association 3,122.00 ACH 09/14/17 Vernon Police Officers' Benefit Association 1.926.14 ACH 08/03/17 ICMA 41,373.99 ACH 08/03/17 CalPERS 249.299.29 ACH 08/17/17 California State Disbursement Unit 2,616.91 ACH 08/17/17 Teamsters Local 911 2,310.00 355899 08/17/17 L.A. County Sheriffs Office 510.00 355892 08/17/17 Franchise Tax Boad 200.00 ACH 08/17/17 Vernon Firemen's Association 3,122.00 ACH 08/17/17 Vernon Police Officers' Benefit Association 1,926.14 Payroll related disbursements, paid through General bank account 604,890.46 Total net payroll,taxes,and related disbursements $ 2,921,748.04 PpeIofI RISCEIVED RECEIVED CCT i i 2cy OCT 12 2017 (;i T v :4�?,':'li+�i STRATI ON CITY C�.ERK'S OFFICE STAFF REPORT 64 , L 4vI FINANCEITREASURY DEPARTMENT DATE: October 10, 2017 TO: Honorable Mayor and City Council FROM: William Fox, Finance Director Vy RE: City Warrant Register for City Council Agenda of October 17, 2017 It is recommended that the attached City Warrant Register No. 1481 be approved at the City Council meeting of October 17, 2017. City Warrant Register No. 1481 totals $1,488,299.17, and covers claims and demands presented during the period of September 26 through October 09, 2017, drawn, or to be drawn, from East West Bank. The following list details the components of City Warrant Register No. 1481: 1. Ratification of wire transfers totaling $1,168,370.90; 2. Ratification of the issuance of early checks totaling $269,014.67; and 3. Authorization to issue pending checks totaling $50,913.70. j- Y V ' CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 I hereby certify that claims andlor demands included in above listed warrant This is to certify that the claims or demands covered by the above listed register have been audited for accuracy and availability of funds for warrants have been audited by the City Council of the City of Vernon and payments and that said claims and/or demands are accurate and that the that all of said warrants are approved for payments except Warrant funds are available for payments thereof. Numbers: William Fox Finance Director Date: Pnnled 10/10/2017 8:24:07AM Pape 2 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT US BANK CORPORATE 011.1031.596500 772.40 Airline 082217(10) 1692 011.1031.596500 113.00 Hotels 082217(10) 1692 011.1031.520000 59.95 Supplies 082217(10) 1692 011.1031.540000 1.112.92 Uniforms 082217(10) 1692 011.5031.596550 19.99 Membership Dues 082217(10) 1692 011.1031.596700 360.50 Training 082217(10) 1692 011.1031.596700 575.00 Registration 1 CNOA 082217(10) 1692 011.1031.596700 551.00 Registration 1 R. Sousa 082217(10) 1692 011.1031.596700 229.00 Registration 1 P. Cam 082217(10) 1692 011.1031.596500 -173.11 Hotel Deposit Refund 082217(10) 1692 011.1031.596700 1,290.00 Registration 1 N. Perez 082217(10) 1692 011.1031.596700 1,190.00 Registration 1 B. Gray 082217(10) 1692 011.1031.596700 890.00 Seminar/Conference 082217(10) 1692 011.9019.520010 188.43 IT Equipment 082217(11) 1692 011.9019.520010 99.99 Identity Protection Service 082217(11) 1692 011.1002.570000 193.53 Vehicle Expense 082217(12) 1692 011.1023.596600 19.96 Subscription 082217(12) 1692 011.1002.596500 354.56 Public Works Luncheon 082217(12) 1692 011.1004.520000 5.49 Federal E-filing 082217(13) 1692 011.1004.596700 284.30 Dues 1 Education 082217(13) 1692 011.1033.520000 15.28 Vehicle Expense 082217(14) 1692 011.1026.550000 929.00 Job Posting 1 Sr. Deputy CityAttomey 082217(15) 1692 011.1026.550000 396.80 Job Posting I Assoc. Electrical Engineer 082217(15) 1692 Pnnted 10110/2017 8:24.07AM Pape 3 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17,2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.Q.# ISSUED NUMBER AMOUNT US BANK CORPORATE 011.1026.550000 200.00 Job Posting I Water Administrator 082217(15) 1692 011.1033.510000 1.507.11 Supplies 082217(16) 1692 011.1033.520000 190.80 Supplies 082217(16) 1692 011.1036.560000 79.98 Cable Subscription 082217(16) 1692 011.1043.520000 523.31 Hardware Supply 082217(17) 1692 011.1049.520000 47.09 Supplies 082217(17) 1692 020.1084.520000 54.93 Supplies 082217(17) 1692 011,1047.520000 82.44 Supplies 082217(17) 1692 011.1049.520000 342.51 Hardware Supply 082217(18) 1692 011.1049.520000 58.08 Supplies 082217(18) 1692 011.1033.520000 109.18 Hardware Supply 082217(19) 1692 011.1043.520000 61.79 Hardware Supply 082217(2) 1692 011.1033.520000 367.50 Supplies 082217(20) 1692 011.1033.520000 4,080.38 Supplies 082217(20) 1692 011.1033.596700 460.33 Training 082217(20) 1692 011.1033.520000 2.055.30 Hardware Supply 082217(21) 1692 011.1033.520000 125.62 Supplies 082217(21) 1692 011.1060.596700 170.00 Registration 1 G.Valdivia 082217(22) 1692 011.1004.520000 58.69 Supplies 082217(23) 1692 011.1031.596500 15.40 Vehicle Expense 082217(24) 1692 011.1003.520000 27.42 Supplies 082217(25) 1692 011.1040.596700 99.00 Books&Publications 082217(25) 1692 011.1046.520000 64.72 Hardware Supply 082217(26) 1692 Pnnted:10l1012017 8:24:07AM Page 4 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.014 ISSUED NUMBER AMOUNT US BANK CORPORATE 011.1046.520000 3,000.00 Repairs&Maintenance 082217(26) 1692 060.6033.520000 44.79 Hardware Supply 082217(27) 1692 011.1024.596500 32.50 Vehicle Expense 082217(28) 1692 011.1031.570000 47.86 Vehicle Expense 082217(29) 1692 011.1026.596200 93.69 Flowers 082217(3) 1692 020.1084.596500 287.40 Airline 082217(30) 1692 020.1084.596500 42.89 Meals 1 Water Division Meeting 082217(30) 1692 011.1043.596550 29.00 Membership Dues 082217(31) 1692 011.1043.596600 113.57 Books&Publications 082217(31) 1692 011.1041.596600 1,452.06 Books&Publications 082217(31) 1692 011.1041.596700 450.00 Registration/J. Moore 082217(31) 1692 011.1033.520000 118.00 Supplies 082217(32) 1692 011.1033.520000 13.96 Phone Applications 082217(33) 1692 011.9019.520010 107.08 Office Supplies 082217(34) 1692 011.9019.520010 35.87 Office Supplies 082217(34) 1692 011.9019.520010 510.22 Office Supplies 082217(34) 1692 011.9019.520010 244.20 Office Supplies 082217(34) 1692 011.9019.520010 813.98 Office Supplies 082217(34) 1692 011.9019.520010 15.85 Subscription 082217(34) 1692 011.9019.520010 26.00 Subscription 082217(34) 1692 011.9019.520010 12.01 Prime Membership Fee 082217(34) 1692 011.9019.520010 65.99 PD Software 082217(34) 1692 011.9019.520010 160.00 MISAC Renewal 082217(34) 1692 Printed:10110/2017 8:24:07AM Page 5 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17,2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P_O_# ISSUED NUMBER AMOUNT US BANK CORPORATE 011.9019.520010 42.09 OneDrive 082217(34) 1692 011.1031.596700 28.00 Seminar 1 Conference 082217(35) 1692 011.1031.696700 450.00 Taser CEW Re-Certification 082217(35) 1692 011.1031.570000 174.92 Vehicle Expense 082217(36) 1692 011.1043.520000 100.00 Seminar!Conference 082217(37) 1692 011.1046.520000 1,892.41 Repairs&Maintenance 082217(38) 1692 011.1046.590000 1.410.00 Repairs&Maintenance 082217(38) 1692 011.9019.520010 50.00 IT Supplies 082217(39) 1692 011.1003.550000 562.50 Publication Services 082217(4) 1692 011.1003.596700 40.00 Region 10 Education Workshop 082217(4) 1692 011.1003.596700 50.00 Region 6&7 Education Workshop 082217(4) 1692 020.1084.540000 2,521.49 Uniforms 082217(40) 1692 011.1031.520000 110.71 Pet Grooming 082217(41) 1692 011.1031.594200 101.00 Pet Resort 082217(41) 1692 011.1049.900000 1,351.09 Hardware Supply 082217(5) 1692 011.1049.520000 631.89 Hardware Supply 082217(5) 1692 011.1048.520000 40.18 Hardware Supply 082217(5) 1692 011.1049.520000 594.15 Hardware Supply 082217(6) 1692 011.1043.520000 283.02 Hardware Supply 082217(6) 1692 011.1043.520000 632.13 Vehicle Expense 082217(6) 1692 011.1043.520000 436.80 Bottled Water 082217(6) 1692 011.1049.520000 397.91 Hardware Supply 082217(7) 1692 011.1048.520000 125.97 Hardware Supply 082217(7) 1692 Printed:10/10/2017 8 24:07AM Page 6 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT US BANK CORPORATE 011.1046.520000 81.93 Vehicle Expense 082217(8) 1692 011.1046.520000 578.68 Supplies 082217(8) 1692 011.1046.590000 120.00 Repairs&Maintenance 082217(8) 1692 011.1033,520000 65.80 Supplies 082217(9) 1692 011.1033.596500 750.00 Registration/B. English 082217(9) 1692 09/28/2017 41,599.16 BENEFIT ASSOCIATION VERNON 011.210250 1,926.14 Police Association Member Dues: Ben201156 1693 POL Payment 09/28/2017 1,926.14 TEAMSTERS LOCAL 911 011.210250 2,310.00 Teamsters Local 911 Dues: Payment Ben201144 1694 020.1084.502030 -15.00 M. DeFrank Position Change;to be Ben201144 1694 09/28/2017 2,295.00 VERNON FIREMENS ASSOCIATION 011.210250 3,122.00 Fire House Fund: Payment Ben201160 1695 09/28/2017 3,122.00 ICMA RETIREMENT TRUST 457 011.210220 41,373.99 Deferred Compensation: Payment Ben201150 1696 09/28/2017 41,373.99 CITY OF VERNON, FSA ACCOUNT 011.100013 606.92 FSA-Dependent: Payment Ben201154 1697 011.100013 354.37 FSA-Medical: Payment Ben201154 1697 09/28/2017 961.29 CALPERS 011.210240 248.648.42 PERS Contributions: Payment Ben201152 1698 011.210240 241.80 PERS Survivor's Benefit: Payment Ben201152 1698 011.210240 409.07 PERS Buy-back: Payment Ben201152 1698 Printed:10110/2017 8:24:07AM Page 7 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CALPERS 011.199999 1,089.32 Submittal of Special Retro Pay from Ben201152 1698 011.1015.530034 -0.27 PERS Contributions: Rounding Ben201152 1698 Adjustment 10/0212017 250,388.34 STATE DISBURSEMENT UNIT 011.210260 2,616.91 Child Support: Payment Ben201158 1699 10/02/2017 2,616.91 AETNA HEALTH OF CALIFORNIA 011.1026.502031 9,041.68 Medicare PPO Retirees 31189112 1700 011.1026.502031 2,090.44 Medicare HMO Retirees 31189874 1700 10/06/2017 11,132.12 ANTHEM BLUE CROSS 011.1026.502031 2.931.06 COBRA 1584596A 1701 011.1026.502031 57.039.08 Retirees U165 544067C 1701 011.210221 315,665.02 A11 Active Employees 651131 B 1701 011.210222 28,069.71 All Active Employees 651131 B 1701 10/06/2017 403.704.87 STEVEN FROBERG 011.1048.596200 100.00 Vernon Housing Commission 090617 1702 10/06/2017 100.00 WATER REPLENISHMENT 020.1084.500110 152,379.24 Groundwater Production 8.Assessment— 092117 1703 DISTRICT 10/0612 017 152.379.24 LEGACY LA YOUTH 011.1021.797000 250,000.00 Legacy LA Facility Renovation 092817 1704 DEVELOPMENT 10/03/2017 250,000.00 Printed.10/10/2017 8:24:07AM Page 8 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CALPERS 011.1031.502020 239.39 Replacement Benefit Contribution- 100000015047452 1705 09/26/2017 239.39 VERIZON WIRELESS 011.9019.560010 182.78 Period:08/17 090717_MULTIPL 1706 E 011.9019.560010 300.59 Period:08/17 090717_MULTIPL 1706 E 011.9019.560010 549.12 Period: 08/17 090717_MULTIPL 1706 E 011.9019.560010 1,344.15 Period:08/17 090717_MULTIPL 1706 E 011.9019.560010 1,552.74 Period:08117 090717_MULTIPL 1706 E 011.9019.560010 253.80 Period:08/17 090717_MULTIPL 1706 E 011.9019.560010 380.47 Period: 08/17 090717_MULTIPL 1706 E 011.9019.660010 1,920.66 Period.08117 090717 MULTIPL 1706 E 011.9019.560010 48.14 Period:08117 090717 MULTIPL 1706 E 10/04/2017 6,532.45 TOTAL WIRES $ 1,168,370.90 Pnnted 10/10/2017 8 24:07AM Pape 9 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT INC ALLSTAR FIRE EQUIPMENT 011.1033.520000 1,702.00 ProTech Model PT-8TNSC Titan Short 200915 011.0012594 355847 Cuff 011.1033.520000 550.00 ESS 740-0536 Fire Pro 1971 EX 2 NFPA 200915 011.0012594 355847 011.1033.520000 525.00 Majextic PAC II C6 Carbon Hood 200915 011.0012594 355847 011.1033.520000 36.58 Freight 200915 011.0012594 355847 011.1033.520000 256.87 Sales Tax 200915 355847 011.1033.520000 883.20 Ringers R327 Barrier One Extrication 201137 011.0012594 355847 011.1033.620000 20.39 Freight 201137 011.0012594 355847 011.1033.520000 81.70 Sales Tax 201137 355847 09/26/2017 4,055.74 AMERIGAS PROPANE, LP 011.1033.596200 157.32 Propane 3068476914 355848 09/26/2017 157.32 ARKADIN, INC 011.9019.560010 46.77 Phone Conference 10766510817 355849 09/26/2017 46.77 ASCE OC BRANCH 011.1026.550000 150.00 Job Posting Ad 170919COV 355850 09/26/2017 150.00 AT&T 011.9019.560010 19.84 Period:07/17 10059919 355851 011.9019.560010 2,477.37 Period.07/17 10071870 355851 011.9019.560010 17.90 Period:07/17 10071871 355851 011.9019.560010 1,163.05 Period:07/17 10071873 355851 011.9019.560010 1,272.68 Period:07/17 10071874 355851 011.9019.560010 1,374.63 Period:07/17 10072306 355851 Printed:1 011 0120 1 7 8 24:07AM Page 10 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY C H EC KS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT AT&T 011.9019.560010 18.46 Period:07/17 10114094 355851 09/26/2017 6,343.93 AT&T 011.9019.560010 455.57 Period:08/17 082017 355852 011.9019.560010 127.52 Period:08/17 082017(2) 355852 011.9019.560010 505.21 Period:08/17 082817 355852 011.9019,560010 503.21 Period.,08/17 090217 355852 09/26/2017 1,591.61 AT&T MOBILITY 011.9019.560010 30.94 Period:07117 83217648OX08162 355853 017 09/26/2017 30.94 CALOLYMPIC SAFETY 011.1060.520000 234.14 Spectacle Kit 3608421 355854 09/2&2017 234.14 CDW GOVERNMENT, INC. 011.9019.520010 1.430.53 CDW#4009874- JWS3149 011.0012611 355855 011.9019.520010 132.32 Sales Tax JWS3149 355855 09/26/2017 1,562.85 WILLIAM DAVIS 057.1057.550000 243.90 Reimb. Intemet Charges 04117-09117 092517 355856 09/26/2017 243.90 FEDEX 011.1026.520000 89.07 Period:08117 591596902 355857 011.1031.520000 97.95 Period.08117 592354824 355857 09/26/2017 187.02 FRONTIER 011.9019.560010 54.41 Period:08/17 081617 355858 Prin4ed:10/10/2017 8:24:07AM Pape 11 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 09/26/2017 54.41 GENERAL DATA CO. 011.9019.520010 1,201.41 Toners 7093082IN 355859 011.9019.520010 66.57 Toners 7095978IN 355859 011.9019.520010 683.82 Toners 7096047IN 355859 09/26/2017 1,951.80 INC HAUL AWAY RUBBISH 011.1048.596200 61.00 Hauling Services 77XO3127 355860 SERVICE 011.1049.596200 207.00 Hauling Services 77XO3128 355860 011.1033.520000 61.00 Hauling Services 77XO3129 355860 011.1033.520000 61.00 Hauling Services 77XO3130 355860 011.1033.520000 61.00 Hauling Services 77XO3131 355860 011.1043.596200 1.792.96 Hauling Services 77XO3135 355860 011.1033.520000 61.00 Hauling Services 78XO3132 355860 011.1048.596200 61.00 Hauling Services 78XO3350 355860 011.1049,596200 207.00 Hauling Services 78XO3351 355860 011.1033.520000 61.00 Hauling Services 78XO3352 355860 011.1033,520000 61.00 Hauling Services 78XO3353 355860 011.1033.596200 61.00 Hauling Services 78XO3354 355860 011.1033.520000 61.00 Hauling Services 7SX03355 355860 011.1043.596200 2,520.08 Hauling Services 78XO3358 355860 09/26/2017 5,337.04 CORPORATION 020.1084.596200 4,485.00 Professional Services 08117 10120 355861 INFRASTRUCTURE ENG Printed:10/10/2017 8:24:07AM Page 12 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 09/26/2017 4,485.00 IRON MOUNTAIN 011.9019.560010 169.42 Storage Services 201405880 355862 09/26/2017 169.42 JANINE K JENSEN, M.D. 011.1026.502031 32.00 Medical Services I V. Malkenhorst 082217 355863 09/26/2017 32.00 INC JEMMOTT ROLLINS GROUP 011.1021.797000 23,250.00 Professional Services AUG17 355864 09/26/2017 23,250.00 KRONOS INCORPORATED 011.9019.860000 290.55 Hardware 8 Software Usage Fees 11215452 355865 011.9019.860000 290.55 Hardware 8 Software Usage Fees 11215452 355865 011.9019.860000 290.55 Hardware 8 Software Usage Fees 11225336 355865 011.9019.860000 290.55 Hardware S Software Usage Fees 11225336 355865 09/26/2017 1,162.20 INC K-VAC ENVIRONMENTAL 011.1043.596200 12.218.65 Emergency Pump Station Cleanup 172003 355866 SERVIC 011.1043.596200 24.961.75 Emergency Pump Station Cleanup 172097 355866 09/26/2017 37,180.40 LLC LEVEL 3 COMMUNICATIONS 057.1057.500173 4,534.69 Fiber Optic Internet Access Contract 60076590 057.0000051 355867 09/26/2017 4.534.69 LETICIA LOPEZ 057.1057.550000 243.90 Reimb. Internet Charges 04/17-09/17 092517 355868 09/26/2017 243.90 LUZ MARTINEZ 057A057.550000 243.90 Reimb. Internet Charges 04/17-09/17 092517 355869 Printed:10/10/2017 8:24.07AM Page 13 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.OA ISSUED NUMBER AMOUNT 09/26/2017 243.90 NEOGOV 011.9019.590110 1,895.00 Biddle Software License INV21174 355870 09/26/2017 1.895.00 OFFICE DEPOT 011.1002.520000 21.83 Office Supplies- 952562057001 011.0012609 355871 011.9019.520000 42.41 Office Supplies- 952562057001 011.0012609 355871 011.1002.520000 2.02 Sales Tax 952562057001 355871 011.9019.520000 3.92 Sales Tax 952562057001 355871 011.9019,520000 9.39 Office Supplies- 952562123001 011.0012609 355871 011.9019.520000 0.87 Sales Tax 952562123001 355871 011.1060.520000 35.00 Office Supplies- 954110086001 011.0012666 355871 011.1060.520000 3.24 Sales Tax 954110086001 355871 011.1002.520000 16.99 Office Supplies; 954554382001 011.0012609 355871 011,1002.520000 1.57 Sales Tax 954554382001 355871 09/26/2017 137.24 SO CAL EDISON 011.1043.560000 89.76 Period:08/17 091517 355872 09/26/2017 89.76 SURINDER SAINI, M.D. 011.1026.502031 6.38 Medical Services 1 B. Malkenhorst 073117 355873 09/26/2017 6.38 THE GAS COMPANY 011,1048.560000 20.60 Period: 08/17 090817 355874 011.1049.560000 343.19 Period: 08/17 091117(2) 355874 011,1043.560000 171.59 Period: 08117 091117(2) 355874 Printed:10/1012017 8 24:07AM Page 14 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT THE GAS COMPANY 020.1084.560000 171.59 Period:08117 091117(2) 355874 011.1049.560000 218.94 Period:08/17 091117(3) 355874 09/26/2017 925.91 VERIZON WIRELESS 011.9019.560010 780.40 Period:07/17 9790740553 355875 09/26/2017 780.40 VERIZON BUSINESS SERVICES 011.9019.560010 611.31 Period:07117 70519436 355876 09/26/2017 611.31 INC WESLEY M KOBAYASHI DPM 011.1026.502031 20.29 Medical Services 1 B. Malkenhorst 081117 355877 09/26/2017 20.29 YVETTE WOODRUFF-PEREZ 057.1057.550000 243.90 Reimb. Internet Charges 04117-09117 092517 355878 09/26/2017 243.90 MELISSA YBARRA 057.1057.550000 243.90 Reimb. Internet Charges 04/17-09/17 092517 355879 09/26/2017 243.90 INC ZONES 011.9019.590110 1,695.48 Item No.A 03308433— K07731030101 011.0012603 355880 09/26/2017 1,695.48 AFLAC 011.210223 14,007.37 Supplemental Ins-August 853862 355881 09/28/2017 14,007.37 ALL CITY MANAGEMENT 011.1031.594200 967.68 School Crossing Guard Services 50109 355882 SERVICES, 09/28/2017 967.66 Pnnted 1 0/1 012 0 1 7 8 24:07AM Page 15 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.Q.# ISSUED NUMBER AMOUNT INC ANGEL CITY DATA 011.9019.590110 750.00 Design, Dvlpmt,&Maintenance- 15408 011.0012585 355883 09/28/2017 750.00 JUAN MARTINEZ BENAVIDES 011.1033.467100 100.00 Overpayment Refund 092617 355884 09/28/2017 100.00 CAL DEPT OF PUBLIC HEALTH 011.1060.596550 175.00 Renewal/REHS No. 5671 090517 355885 011.1060.596550 175.00 Renewal I REHS No.6955 090617 355885 09/28/2017 350.00 INC CAL TECH COPIER 011.9019.590110 250.00 Maintenance&Repairs CT59417 355886 09/28/2017 250.00 CANNON CORPORATION 020.1084.900000 816.05 Engineering& Design of Well 21 - 64155 011.0008022 355887 09/28/2017 816.05 COLONIAL LIFE 011.210223 8.653.31 Supplemental Ins-August 77136470801996 355888 09/28/2017 8,653.31 CURRENT WHOLESALE ELECTRIC 011.1049.520000 26.19 Electrical& Hardware Supplies- 246617 011.0012496 355889 011.1049.900000 6,338.28 Electrical&Hardware Supplies- 247330 011,0012496 355889 011.1049.520000 1,274.67 Electrical&Hardware Supplies- 248207 011.0012496 355889 011.1049.900000 32.71 Electrical&Hardware Supplies- 248208 011.0012496 355889 011.1049.900000 63.92 Electrical&Hardware Supplies- 248250 011.0012496 355889 011.1049.900000 25.70 Electrical &Hardware Supplies- 248251 011.0012496 355889 011.1049.900000 146.20 Electrical &Hardware Supplies- 248318 011.0012496 355889 011.1049.520000 313.71 Electrical&Hardware Supplies-- 248426 011.0012496 355889 Printed:10/10/2017 8:24:07AM Page 16 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CURRENT WHOLESALE ELECTRIC 011.1049.900000 124.41 Electrical&Hardware Supplies- 248557 011,0012496 355889 09/28/2017 8,345.79 DANGELO CO 011.120010 917.69 Water Parts- S1316222001 011.0012497 355890 011.120010 465.25 Water Parts- S1316616001 011.0012497 355890 09/28/2017 1,382.94 INC FLEMING ENVIRONMENTAL 011.1049.590000 475.00 Operator Site Inspections 08/17 12924 355891 09/28/2017 475.00 FRANCHISE TAX BOARD 011.210260 200.00 Garnishment: Payment Ben201142 355892 09/28/2017 200.00 HEALTH NET 011.1033.467100 1,172.00 Overpayment Refund/R07386236 092617 355893 09/28/2017 1,172.00 MASAMi HIGA 011.1026.596800 2,200.00 Tuition Reimbursement 082417 355894 09/28/2017 2,200.00 JAS PACIFIC 011.1041.595200 880.00 Professional Services BI12477 355895 011.1041.595200 440.00 Professional Services B112509 355895 011.1041.595200 440.00 Professional Services B112538 355895 011.1041.595200 440.00 Professional Services B112570 355895 011.1041.595200 440.00 Professional Services B112602 355895 011.1041.595200 440.00 Professional Services B112640 355895 011.1041.595200 1,211.25 Professional Services PC4711 355895 011.1041.596200 1,125.00 Professional Services PC4789 355895 Pnnted:10I10/2017 8:24WAU Pape 17 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P_O_# ISSUED NUMBER AMOUNT JAS PACIFIC 011.1041.595200 375.00 Professional Services PC4813 355895 011.1041.595200 1,031.25 Professional Services PC4825 355895 011.1041.595200 1,687.50 Professional Services PC4868 355895 09/28/2017 8,510.00 LLC JSB FIRE PROTECTION 011.1033.595200 1,806.46 Professional Services 17208 355896 09/28/2017 1,806.46 OF SO CAL KAISER FOUNDATION 011.1033.467100 137.67 Overpayment Refund/21692374 092617 355897 HE 09/28/2017 137.67 LA COUNTY ASSESSOR OFFICE 011.9019.590110 64.00 SBF Abstract- 18ASRE019 011.0011950 355898 09/28/2017 64.00 LA COUNTY SHERIFF'S DEPT. 011.210260 510.00 Garnishment: Payment Ben201140 355899 09/28/2017 510.00 LEAGUE OF CALIFORNIA CITIES 011.1033.596700 50.00 Division Meeting/B. English 3550 355900 09/28/2017 50.00 LN CURTIS&SONS 011.1033.520000 145.80 Part Number.432303 CMC- INV122656 011.0012599 355901 011.1033.520000 13.49 Sales Tax INV122656 355901 09/28/2017 159.29 MERRIMAC ENERGY GROUP 011.1033.570000 1,475.40 Unleaded Fuel- 2173126 011.0012668 365902 011.1033.570000 2.44 CA Enviro/Fed Oil Spill Tax 2173126 011.0012668 355902 011.1033.570000 1.04 CA Childhood Lead Fee 2173126 011.0012668 355902 Pnnled: 1011012017 8 24:07AM Paps 18 or 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT MERRIMAC ENERGY GROUP 011.1033.570000 1.93 AB32 Fee 2173126 011.0012668 355902 011.1033.570000 205.82 State Gasoline Excise Tax 2173126 011.0012668 355902 011.1033.570000 0.69 Lust Fee 2173126 011.0012668 355902 011.1033.570000 71.71 Sales Tax 4.25% 2173126 355902 09/28/2017 1,759.03 MUTUAL OF OMAHA 011.210223 5.434.58 LTD Insurance Premiums 655644286 355903 011.210223 525.30 Voluntary Life Insurance: Payment Ben200815 355903 011.1002.502030 -1.80 T. Lyon: Rfnd August Deduction Ben200815 355903 011,210223 3,371.02 Voluntary Life Insurance: Payment Ben201138 355903 09/28/2017 9,329.10 O'REILLY AUTO PARTS 011.1046.520000 58.18 Auto Parts&Accessories- 3049124491 011.0012492 355904 011.1046.520000 27.12 Auto Parts&Accessories- 3049126159 011.0012492 355904 011.1046.520000 88.97 Auto Parts&Accessories- 3049126179 011.0012492 355904 011.1046.520000 11.92 Auto Parts&Accessories- 3049126233 011.0012492 355904 011.1046.520000 20.86 Auto Parts&Accessories- 3049126944 011.0012492 355904 011.1046.520000 196.61 Auto Parts&Accessories- 3049127138 011.0012492 355904 011.1046.520000 114.68 Auto Parts&Accessories- 3049127242 011.0012492 355904 011.1046.520000 163.24 Auto Parts&Accessories- 3049127915 011.0012492 355904 011.1046.520000 147.48 Auto Parts&Accessories- 3049128031 011.0012492 355904 011.1046.520000 -38.24 Retum Credit- 3049128179 011.0012492 355904 011.1046.520000 312.96 Auto Parts&Accessories- 3049128185 011.0012492 355904 09/28/2017 1,103.78 Pnnted:10/10/2017 8 24:07AM Pape 19 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT SANTA FE BUILDING 011.1049.590000 6,366.00 Janitorial Services 08117 16278 355905 MAINTENANCE 09/28/2017 6,368.00 THE GAS COMPANY 011.1033.560000 45.98 Period: 08/17 090817(2) 355906 011.1033.560000 83.60 Period:08/17 090817(3) 355906 09/28/2017 129.58 TLC PET MEDICAL CENTER 011.1031.594200 213.60 Veterinary Services- 348116 011.0012559 355907 09/28/2017 213.60 UPS 011.1033.520000 13.40 Period.08/17 933312357 355908 011.1041.520000 56.10 Period:08/17 933312357 355908 09/28/2017 69.50 WESTERN ALLIED CORPORATION 011.1049.590000 283.03 Air Conditioner Maintenance 620896 355909 011.1049.590000 536.00 Air Conditioner Maintenance 620901 355909 09/28/2017 819.03 YORK RISK SERVICES 011.1033.467100 2,017.00 Overpayment Refund/YRK0001002 092617 355910 09/28/2017 2,017.00 INC ZUMAR INDUSTRIES 011.1043.520000 320.64 Regulatory Signs- 171456 011.0012504 355911 011.120010 1,289.31 Regulatory Signs- 171603 011.0012504 355911 011.120010 289.51 Regulatory Signs- 171622 011.0012504 355911 09/28/2017 1.899.46 MARIAAYALA 011.1003.596500 155.50 CA League of Cities Annual Conference 091817 355912 Pfted:10/1012017 6:24VAM Page 20 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 10/03/2017 155.50 LLC BOBALIFE USA 011.1026.596900 350.00 Deposit:2017 EE Recognition 090227 355913 10/03/2017 350.00 C.L.E.A.R.S. 011.1031.596700 94.00 Tuition 091917 355914 10/03/2017 94.00 PAUL CERDA JR 011.1031.596500 16.59 Firearms/Tactical Rifle Adv 082117 355915 10/03/2017 16.59 SANDRA DOLSON 011.1003.596500 488.03 TTC-100 Training 091817 355916 10/03/2017 488.03 LOS ANGELES-COMMERCE 011.1026.596900 2.181.50 3rd Dep. EE Recognition Holiday Event 092717 355917 DOUBLETRE 10/03/2017 2,181.50 MIGUEL HERNANDEZ JR 011.1031.596700 12.31 Firearms/Tactical Rifle Adv 082117 355918 10/03/2017 12.31 LIEBERT CASSIDY WHITMORE 011.1026.596700 3,370.00 ERC Membership 1 M. Earl 1440746 355919 10/03/2017 3.370.00 JASON LUCAS 011.1031.596500 14.45 Firearms/Tactical Rifle Adv 082117 355920 10/03/20 W 14.45 INC MOTOROLA SOLUTIONS 011.1036-850000 4,581.75 APX 8000 All Brand Portable Model 3.5 13155699 011.0012256 355921 011.1036.850000 386.25 Add:Astro Digital CAI Operation 13155699 011.0012256 355921 Printed:10110/2017 8 24 07AM Page 21 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS _ ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT INC MOTOROLA SOLUTIONS 011 A036.850000 213.00 ENH: 5 Year Service from the Start Lite 13155699 011.0012256 355921 011.1036.850000 599.25 ENH:AES/DES, DES-XL, DES-OFB 13155699 011.0012256 355921 011.1036,850000 18.75 ALT:APX 8000 Housing Green 13155699 011,0012256 355921 011.1036.850000 800.00 ENH:APX800OXE Rugged Radio 13155699 011.0012256 355921 011.1036.850000 1,125.00 ADD:Smartzone Operation 13155699 011.0012256 355921 011.1036.850000 225.00 ADD: P25 9600 Baud Trunking 13155699 011.0012256 355921 011.1036.850000 337.50 ADD:TDMA Operation 13155699 011.0012256 355921 011.1036,850000 247.50 ENH: Multikey 13155699 011.0012256 355921 011.1036,850000 112.50 ADD: Front Panel Programming(FPP) 13155699 011.0012256 355921 011.1036.850000 112.50 ADD: Mandown Operation 13155699 011.0012256 355921 011.1036.850000 225.00 ADD:Wifi Capability 13155699 011.0012256 355921 011.1036.1350000 130.00 ALT: Batt Impress 2 Li-ion R IP68 4850T 13155699 011.0012256 355921 011.1036.850000 778.84 Sales Tax 8.75 13155699 355921 10/03/2017 9,892.84 NORTH PARK HOA 011.1048.560000 270.00 Assoc Dues:2915 60th Place 091917 355922 011A048.560000 270.00 Assoc Dues:6010 Oak St. 091917(2) 355922 10/03/2017 540.00 SPRINT 011.9019.560010 32.11 Period: 08/17 677975318190 355923 10/03/2017 32.11 INC STANLEY STEEMER OF LA 011.1049.900000 1,039.56 Commercial Carpet Cleaning 801793 355924 COLIN 011.1049.900000 344.64 Commercial Carpet Cleaning 805516 355924 Pnnted:10110/2017 8:24:07AM Page 22 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 10/03/2017 1,384.20 RICHARD VELASQUEZ 011.1031.596500 21.93 Firearms/Tactical Rifle Adv 082117 355925 10/03/2017 21.93 AT&T MOBILITY 011.9019.56D010 45.00 Period:08/17 83217648OX09162 355926 017 10/05/2017 45.00 BROADBAND LLC 057.1057.500173 4,250.00 Internet Access Services- IN1015201720037 057.0000053 355927 44 10/05/2017 4,250.00 INC CAL TECH COPIER 011.9019.590110 250.00 Maintenance 8 Repairs CT59503 355928 011.9019.520010 1,996.82 Maintenance&Repairs CT59503 355928 10/05/2017 2,246.82 CELLULAR SOLUTIONS 011.9019.520010 899.99 weBoost Connect 4G-X 56688 011.0012646 355929 011.9019.520010 26.95 Freight 56688 011.0012646 355929 011.9019,520010 83.25 Sales Tax 8.75 56688 355929 10/05/2017 1,010.19 CORP CHRISTIANSEN 020.230210 727.01 Ref:Closed Acct#7012 Cust#5658 092917 355930 AMUSEMENTS 10/05/2017 727.01 CLINICAL LAB OF SAN 020.1084.596200 2,372.00 Lab Services 958231 355931 BERNARDINO 10/05/2017 2,372.00 Printed:10110/2017 8:24:07AM Page 23 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CYBERNETICS 011,9019.520010 4,856.00 Item No. RDI-SAS 1 OK-1.2TA-2.5- 797082 011.0012598 355932 011.9019.520010 130.00 Freight 797082 011.0012598 355932 10/05/2017 4,986.00 D.W.R.TEXTILE 020.230210 251.65 Ref: Closed Acct#5985 Cust#6374 092917 355933 10/05/2017 251.65 DIGITAL SCEPTER CORP. 011.9019.590110 7,138.50 150 ZSUITEWEBENT- 11960 011.0012654 355934 011.9019.590110 3.645.00 150 ZSECWEBABA- 11960 011.0012654 355934 011.9019.590110 1,587.00 150 ZSCSIP- 11960 011.0012654 355934 011.9019.590110 945.25 1 ZLOGFEEDLIVEMGMT- 11960 011.0012654 355934 011.9019.590110 340.50 1 ZLOGFEEDLIVEMGMT- 11960 011.0012654 355934 011.9019.590110 1,510.50 1 ZCESSUPPREM- 11960 011.0012654 355934 10/05/2017 15,166.75 DIV OF THE STATE ARCHITECT 011.200235 80.10 3rd Qtr 2017 SB1186 100417 355935 10/05/2017 80.10 ECMS,INC 011.1033.540000 42.06 Turnout Cleaning- INV122228 011.0012516 355936 10/05/2017 42.06 ETC DEPOT 011.9019.520010 1,180.00 CCVWB2DIZ 2MP HDCVI BULLET 904789 011.0012652 355937 CAMERA, 011.9019.520010 140.00 PA-12DC5000A- 904789 011.0012652 355937 011.9019.520010 889.00 X324ST 32 CHANNEL, 4 HDD BAY. 904789 011.0012652 355937 1080P 011.9019.520010 204.33 Sales Tax 904789 355937 Printed:10/1012017 8:24:07AM Page 24 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 10/05/2017 2,413.33 GENERAL DATA CO. 011.9019.520010 549.67 Toners 7093830IN 355938 011.9019.520010 2,603.07 Toners 7102314IN 355938 011.9019.520010 208.75 Toners 7103179IN 355938 10/05/2017 3,361.49 GUARANTEE RECORDS 011.1041.595200 27.03 Storage Services 344564 355939 MANAGEMENT, 10/05/2017 27.03 JETRO 011.1033.520000 289.92 Water&Gatorade- 215201 011.0012518 355940 011 A033.520000 908.78 Water&Gatorade- 215315 011.0012518 355940 10/05/2017 1,198.70 KING MEAT INC. 020.230210 743.06 Ref: Closed Acct#5992 Cust#653 092917 355941 10/05/2017 743.06 INC LANGUAGE LINE SERVICES 011.1031.594200 13.10 Interpretation Services 4134360 355942 10/05/2017 13.10 INC LIFE ASSIST 011.1033.520000 1,637.69 Medical Supplies- 815576 011.0012565 355943 10/05/2017 1.637.69 INC METCO EQUIPMENT 020.230210 471.80 Ref: Closed Acct#5993 Cust#6021 092917 355944 10/05/2017 471.80 OFFICE DEPOT 011.1031.520000 76.53 Office Supplies- 951786313001 011.0012665 355945 011.1031.520000 7.08 Sales Tax 951786313001 355945 Pnmed 10/10/2017 8:24:07AM Page 25 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT OFFICE DEPOT 011.1031.520000 137.60 Office Supplies- 951786314001 011.0012665 355945 011.1031.520000 12.73 Sales Tax 951786314001 355945 10/05/2017 233.94 PILGRIM FENCE CO 011.1033.596700 14,020.16 Liftmasler Installation 2187846186 355946 011.1036.560000 1,911.84 Liftmaster Installation 2187846186 355946 10/05/2017 15,932.00 INC RICHARD P GUESS MD 011.1033.596200 731.00 Reimbursement for DEA Certificate 091617 355947 10/0512017 731.00 DARREN SIMPKINS 011.114010 4,572.00 ADPP/D.J. Simpkins 092617 355946 10/05/2017 4,572.00 THE CONSERVTECH GROUP 020.230210 758.37 Ref: Closed Acct#7012 Cust#5658 092917 355949 020.230210 760.49 Ref: Closed Acct#7011 Cust#5658 092917(2) 355949 10/05/2017 1,518.86 THOMSON REUTERS-WEST 011.1024,596600 300.00 West Information Charges 836745480 355950 011.4031.596200 1,071.86 West Information Charges 836765639 355950 10/05/2017 1,371.86 BOB L TYNER 020,1094.596700 3,660.00 Utility Locator Class 1318 355951 10/05/2017 3,660.00 UNIFiRST CORPORATION 011.1043.540000 30.61 Uniforms 3241948980 355952 011.1046.540000 20.61 Uniforms 3241948980 355952 011.1047.540000 11.52 Uniforms 3241948980 355952 Printed:10/10/2017 8:24:07AM Page 26 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.Ol ISSUED NUMBER AMOUNT UNIFIRST CORPORATION 011.1049.540000 87.64 Uniforms 3241948980 355952 020.1084.540000 48.44 Uniforms 3241948980 355952 011.1043.540000 58.39 Uniforms 3241951824 355952 011.1046.540000 20.61 Uniforms 3241951824 355952 011.1047.540000 11.52 Uniforms 3241951824 355952 011.1049.540000 55.29 Uniforms 3241951824 355952 020.1084.540000 45.79 Uniforms 3241951824 355952 011.1043.540000 57.68 Uniforms 3241954691 355952 011.1046.540000 20.61 Uniforms 3241954691 355952 011.1047.540000 11.52 Uniforms 3241954691 355952 011.1049.540000 47.56 Uniforms 3241954691 355952 020.1084.540000 45.79 Uniforms 3241954691 355952 011.1043.540000 55.40 Uniforms 3241957525 355952 011.1046.540000 20.61 Uniforms 3241957525 355952 011.1047.540000 11.52 Uniforms 3241957525 355952 011.1049.540000 22.94 Uniforms 3241957525 355952 020.1084.540000 45.79 Uniforms 3241967525 355952 011.1043.540000 57.74 Uniforms 3241960395 355952 011.1046.540000 20.61 Uniforms 3241960395 355952 011.1047.540000 11.52 Uniforms 3241960395 355952 011.1049.540000 22.94 Uniforms 3241960395 355952 020.1084.540000 45.79 Uniforms 3241960395 355952 011,1043.540000 55.40 Uniforms 3241963235 355952 Pnnted:10/10/2017 8:24,07AM Pape 27 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT UNIFIRST CORPORATION 011.1046.540000 20.61 Uniforms 3241963235 355952 011.1047.540000 11.52 Uniforms 3241963235 355952 011.1049.540000 22.94 Uniforms 3241963235 355952 020.1084.540000 45.79 Uniforms 3241963235 355952 011.1043.540000 55.40 Uniforms 3241966084 355952 011.1046.540000 20.61 Uniforms 3241966084 355952 011.1047.540000 11.52 Uniforms 3241966084 355952 011.1049.540000 22.94 Uniforms 3241966084 355952 020.1084.540000 45.79 Uniforms 3241966084 355952 011.1043.540000 18.71 Uniforms 3241968914 355952 011.1046.540000 71.49 Uniforms 3241968914 355952 011.1047.540000 11.52 Uniforms 3241968914 355952 011.1049.540000 22.94 Uniforms 3241968914 355952 020.1084.540000 45.79 Uniforms 3241968914 355952 011.1043.540000 57.07 Uniforms 3241971765 355952 011.1046.540000 20.61 Uniforms 3241971765 355952 011.1047.540000 32.27 Uniforms 3241971765 355952 011.1049.540000 18.44 Uniforms 3241971765 355952 020,1084,540000 45.79 Uniforms 3241971765 355952 10/05/2017 1,545.59 INC US TOW 011.1046.590000 361.67 Labor only to tow unit from 3162 El 10785 011.0012622 355953 10/05/2017 361.67 Printed: 10/10/2017 8:24:07AM Page 28 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P_O_# ISSUED NUMBER AMOUNT VERIZON WIRELESS 011.9019.560010 813.60 Period: 08/17 9792488729 355954 10/05/2017 813.60 VISTA PAINT CORPORATION 011.120010 166.44 2988-905 Colorant AT3424 AXXW 201760360500 011.0012574 355955 0 gal.), 011.120010 69.66 2988-910 Colorant AT3451 CW Yellow 201760360500 011.0012574 355955 011.120010 120.44 2988-920 Colorant AT3229 EE Phthalo 201760360500 011.0012574 355955 011.120010 68.74 2988-930 Colorant AT3503 IW Brown 201760360500 011.0012574 355955 011.120010 100.98 2988-935 Colorant AT3003 KXW White 201760360500 011.0012574 355955 011.120010 155.60 2988-940 Colorant AT3654 U DPP RED 201760360500 011.0012574 355955 011.120010 145.28 2988-950 Colorant AT3647 RX Scarlet 201760360500 011.0012574 355955 011.120010 115.52 2991-502 Coverall Ext. Flat White- P 201760360500 011.0012574 355955 011.120010 282.44 2995-501 Coverall Ext. Flat Deep Base 201760360500 011.0012574 355955 011.120010 409.50 2997-300 Coverall Flat Accent Base, 201760360500 011.0012574 355955 011.120010 116.73 2998-300 Pro AE G L S Safety Yellow 201760360500 011.0012574 355955 011.120010 94.50 2990-500 Acribong Flat White P(iqt.), 201760360500 011.0012574 355955 011.120010 31.45 Paint Recycle Fee. 201760360500 011.0012574 355955 011.120010 173.65 Sales Tax 201760360500 355955 10/05/2017 2.050.93 WESTERN ALLIED CORPORATION 011.1049.590000 618.03 Air Conditioner Maintenance 620957 355956 10/05/2017 618.03 LLC WITTMAN ENTERPRISES 011.1033.596200 1.493.76 Billing Services 1708069 355957 10/05/2017 1,493.76 Pnnted: 10/10/2017 8:24:07AM Page 29 o1 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.Ol ISSUED NUMBER AMOUNT TOTAL EARLY CHECKS S 269.014.57 Printed:10/10/2017 8 24:07AM Page 30 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.0j NUMBER AMOUNT LLC ADLERHORST 011.1031.596700 175.00 On-Site Training 09117 98288 355958 INTERNATIONAL 175.00 ALL CITY MANAGEMENT 011.1031.594200 860.16 School Crossing Guard Services 50292 355959 SERVICES, 860.16 AMERICAN LEGAL PUBLISHING 011.1003.596200 283.34 Vernon Code of Ordinances 118308 355960 CORP 283.34 ANTHONY KOSTALLAS, O.D. 011.1026.502030 344.00 Vision Benefits I E.Alvarado 092817 355961 011.1026.502030 345.00 Vision Benefits I A.Alvarado 100417 355961 011.1026.502030 345.00 Vision Benefits I K. Rueda 100417(2) 355961 1,034.00 INC ATHENS INSURANCE 011.1026.594200 5,216.66 TPA Fees 10117 IVC14836 355962 SERVICES 5.216.66 INC AUTOLIFT SERVICES 011.1046.520000 97.85 Lift arm Iocks(4) 16805 011.0012621 355963 011.1046.590000 35.00 Freight 16805 011.0012621 355963 011.1046.520000 8.56 Sales Tax 8.75 16805 355963 141.41 RONALD BUSTAMANTE 011.1049.502030 338.99 Vision Benefits I R. Bustamante 100417 355964 338.99 BRIAN BYUN 011.1024.596500 32.64 Electric Utility Fundamentals&Insights 091917 355965 Pnnted:1D11012017 8:24:07AM Pape 31 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT BRIAN BYUN 011.1024.596500 24.15 Depositions of VPD Officers 092617 355965 011.1024.596500 24.15 Depositions of VPD Sergeants 092717 355965 80.94 CITY OF HUNTINGTON PARK 011.1031.594200 4,814.00 Prisoner Booking Log 08/17 18836 355966 4,814.00 DANGELO CO 011.120010 3,518.21 3062-210 Pipe, 10',CL52,D.I.,T.J. S1316565001 011.0012662 355967 011.120010 325.43 Sales Tax S1316565001 355967 3,843.64 GOODYEAR TIRE&RUBBER CO 011.1046.520000 320.72 P275/551120 goodyear eagle Is-2 tires 44935253 011.0012626 355968 011.1046.590000 3.50 State fire fee 44935253 011.0012626 355968 011.1046.520000 29.67 Sales Tax 44935253 355968 353.89 DIRECT MICROELECTRONICS 011.1046.590000 249.00 Kennwood am/fm radio with cd, usb/aux, CV101 011.0012624 355969 SVC 249.00 JONATHAN FLAGLER 011.1033.502030 150.00 Vision Benefits/J. Flagler 092117 355970 150.00 GEARGRID LLC 011.1049.900000 3.782.00 Part#:401905- 14730IN 011.0012591 355971 011.1049.900000 200.00 Part M 401037- 14730IN 011.0012591 355971 011,1049.900000 10.00 Part#: 492031- 14730IN 011.0012591 355971 011 A049.900000 120.00 Part M 401013- 14730IN 011.0012591 355971 011.1049.900000 495.00 Freight 14730IN 011.0012591 355971 Pnnted:10/1012017 8 24:07AM Page 32 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17,2017 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT 4,607.00 H&H WHOLESALE PARTS 011.1046.520000 113.40 ACID 10-9234 dexos 5w-30 engine oil 11NO178973 011,0012625 355972 011.1046.520000 101.38 ACID 17D1367CH front brake pads 11NO178973 011.0012625 355972 011.1046.520000 214.56 X05W200SP motorcraft engine oil 11NO178973 011.0012625 355972 011.1046.520000 39.71 Sales Tax 11NO178973 355972 469.05 MICHAEL LANGER 011.1033.502030 134.00 Vision Benefits 1 M. Langer 092117 355973 134.00 VICTOR MODESTO 011.1046.502030 224.95 Vision Benefits/V. Modesto 100417 355974 224.95 JAMES MOORE 011.1041.596500 27.48 ICC Certification-Building Inspector 092117 355975 011.1041.596700 278.00 ICC Certification-Building Inspector 092117 355975 305.48 TODD PAINTON 011.1033.596700 192.29 Reimb. Food for Strike Team- 092517 355976 192,29 PROFORMA EXPRESS GRAPHICS 011.1015.520000 82.90 A1P Stock Checks- 9015601946 011.0012660 355977 011.1015.520000 7.67 Sales Tax 9015601946 355977 011.1015.520000 372.30 1.Size-8 112'x 11'- 9015601951 011.0012660 355977 011.1015.520000 34.44 Sales Tax 9015601951 355977 497.31 LLP RUTAN&TUCKER 011.1024.593200 4,152.00 Re:Malkenhorst PERS Litigation 787836 355978 Pnnted 10/10/2017 8:24-07AM Page 33 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT 4,152.00 DARREN SIMPKINS 011.1033.502030 450.00 Vision Benefits 1 D. Simpkins 092817 355979 450.00 PC US HEALTHWORKS MEDICAL 011.1026.597000 210.00 Medical Services 3193443CA 355980 GROU 210.00 INC US TOW 011.1046.590000 600.00 Labor only to tow unit from city yard 11012 011.0012623 '355981 600.00 FERNANDO VALENZUELA 011.1031.502030 151.20 Vision Benefits 1 F.Valenzuela 092517 355982 151.20 LLP VASQUEZ&COMPANY 011.1004.595200 21,000.00 Professional Services 2170789IN 355983 21.000.00 MANUEL VAZQUEZ 011.1033.596700 180.41 Reimb. Update Course 8,3rd Ed. 092017 355984 Package 180.41 MELISSA YBARRA 011.1001.502030 139.98 Vision Benefits I A. Bravo 100417 355985 139.98 OSCAR ZOZAYA 011.1031.850000 59.00 Reimb. Police K9 Grooming 092517 355986 59.00 TOTAL PRINTED CHECKS $ 50,913.70 Primed 10/1012017 8 24:07AM Page 34 of 35 CITY OF VERNON WARRANT REGISTER NO. 1481 OCTOBER 17, 2017 RECAP BY FUND EARLY PRINTED FUND WIRE TOTAL CHECK TOTAL CHECK TOTAL TOTAL 011 -GENERAL 1,013,055.16 5 243,378.60 $ 50,913.70 S 1,307,347.46 020-WATER 155,270.95 15,631.78 0.00 170,902.73 057-FIBER OPTIC 0.00 10,004.19 0.00 10,004.19 060-HAZARDOUS WASTE 44.79 0.00 0.00 44.79 GRAND TOTAL i 1,168,370.90 i 269,014.57 S 50,913.70 S 1,488,299.17 TOTAL CHECKS TO BE PRINTED 29 Pnnted:10/10/2017 8:24 07AM Pape 35 o135 . RECEIVED RECEIVED„ OCT f 1 2017 OCT 12 2017 STAFF REPORT CITY ADM INI� i;,f;il0 l CITY CLERK'S OFFICE FINANCE/TREASURY DEPARTMENT DATE: October 10, 2017 TO: Honorable Mayor and City Council FROM: William Fox, Finance Directorw�lf RE: Light & Power Warrant Register for City Council Agenda of October 17, 2017 It is recommended that the attached Light & Power Warrant Register No. 446 be approved at the City Council meeting of October 17, 2017. Light & Power Warrant Register No. 446 totals $2,605,344.02, and covers claims and demands presented during the period of September 26 through October 09, 2017, drawn, or to be drawn, from East West Bank. The following list details the components of Light & Power Warrant Register No. 446: 1. Ratification of wire transfers totaling $2,508,079.22; 2. Ratification of the issuance of early checks totaling $96,185.40; and 3. Authorization to issue pending checks totaling $1,079.40. LIGHT& POWER ' WARRANT REGISTER NO. "6 * OCTOBER 17, 2017 }r L" I hereby certify that claims and/or demands included in above listed warrant This is to certify that the claims or demands covered by the above listed register have been audited for accuracy and availability of funds for warrants have been audited by the City Council of the City of Vernon and payments and that said claims and/or demands are accurate and that the that all of said warrants are approved for payments except Warrant funds are available for payments thereof. Numbers: William Fox Finance Director Date: Printed:1011012017 11:37:05AM Pape 2 of 16 LIGHT& POWER WARRANT REGISTER NO.446 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.OJ ISSUED NUMBER AMOUNT US BANK CORPORATE 055.9000.596500 255.96 Airline 082217(42) 6497 055.9000.520000 217.87 Supplies 082217(42) 6497 055.9000.596600 75.50 Books&Publications 082217(42) 6497 055.9000.596600 19.92 LA Times Subscription 082217(42) 6497 055.9000.596700 990.00 Registration I T. Dusenberry 8 K. Nguyen 082217(42) 6497 055.8400.590000 120.00 Repairs&Maintenance 082217(43) 6497 055.8000.596700 110.00 Training 1 B. Montoya 082217(43) 6497 055.9000.550000 16.37 Advertisement/Promotion 082217(44) 6497 055.9000.596700 2.079.00 Training 082217(44) 6497 055.8100.596700 1.890.00 Training 082217(44) 6497 055.8000.596700 756.00 Training 082217(44) 6497 055.8000.540000 547.35 Uniforms 082217(45) 6497 055.8100.540000 1,277.13 Uniforms 082217(45) 6497 09/28/2017 8.355.10 CAL AIR RESOURCES BOARD 055.9200.500163 463.00 Implementation Fee INVC117080 6498 10/06/2017 463.00 BANK OF NEW YORK 055.9000.592010 2,532.00 Administration Fee- 2522053741 6499 10/06/2017 2,532.00 CALIFORNIA ISO 055.9200.450340 1,104.92 Recalculation Charges 08/17 201709193136256 6500 696 055.9200.450340 80.55 Recalculation Charges 06/17 201709193136256 6500 696 055.9200.500150 4.87 Recalculation Charges 06117 201709193136256 6500 696 Printed 10110/2017 11 37:05AM Page 3 of 16 LIGHT&POWER WARRANT REGISTER NO. 446 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CALIFORNIA ISO 065.9200.500150 9.66 Recalculation Charges 09/17 201709193136256 6500 696 055.9200.500150 184,217.43 Recalculation Charges 09/17 201709193136256 6500 802 055.9200.500170 2,677.47 Recalculation Charges 09/17 201709193136256 6500 802 055.9200.500210 16,154.45 Recalculation Charges 09117 201709193136256 6500 802 055.9200.500190 -10,941.56 Recalculation Charges 09117 201709193136256 6500 802 055.9200.500150 799.27 Recalculation Charges 06117 201709193136256 6500 802 055.9200.500170 478.92 Recalculation Charges 06117 201709193136256 6500 802 055.9200.500180 -49.45 Recalculation Charges 06/17 201709193136256 6500 802 055.9200.500190 -499.93 Recalculation Charges 06/17 201709193136256 6500 802 055.9200.500150 25,099.45 Recalculation Charges 08/17 201709193136256 6500 802 055.9200.500190 2,168.92 Recalculation Charges 08/17 201709193136256 6500 802 055.9200.500170 -12,448.60 Recalculation Charges 08/17 201709193136256 6500 802 055.9200.500210 -44.13 Recalculation Charges 08/17 201709193136256 6500 802 055.9200.500240 -75.27 Recalculation Charges 08117 201709193136256 6500 802 09/26/2017 208,727.23 Printed:10110/2017 11:37:05AM Pape 4 of 16 LIGHT & POWER WARRANT REGISTER NO. "6 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT DEPARTMENT OF WATER 8 055.9200.500170 21,870.00 Energy Purchase 08117 GA189355 6501 POWER 055.9200,500260 575.00 Energy Purchase 08117 GA189355 6501 09/27/2017 22,445.00 SO CAL PUBLIC POWER 055.9200.500180 271,685.00 Minimum Cost 09/17 PV0917 6502 AUTHORITY 055.9200.500150 63,463.00 Variable Cost 08117 PV0917 6502 055.122100 10,000.00 PSF Costs 08/17 PV0917 6502 09/27/2017 345,148.00 SO CAL PUBLIC POWER 055.122100 13,851.61 Resolution Billing 917 6503 AUTHORITY 09/28/2017 13,851.61 SERVICES LP BGC 055.9200.596200 21,750.00 Brokerage Fees BGCAug20170000 6504 ENVIRONMENTAL 3714 09/29/2017 21,750.00 LLC ICE US OTC COMMODITY 055.9200.596200 1,200.00 OTC Commission Adjustment 817001688088 6505 MARKE 09/29/2017 1,200.00 SO CAL EDISON 055.9200.500170 147,160.00 Mead-Laguna Bell 08/17 7500826386 6506 055.9200,500170 62,260.00 Victorville-Lugo Vernon 09/17 7500826416 6506 055.9200.500170 24,669.00 Laguna Bell 09/17 7500826417 6506 09/29/2017 234,089.00 CALIFORNIA ISO 055.9200.500150 180.489.80 Initial Charges 09/17 201709263136306 6507 733 Pdnled:10I10f201711:37:D5AM Page 5 of 16 LIGHT& POWER WARRANT REGISTER NO.446 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION iNVOICE P.O.# ISSUED NUMBER AMOUNT CALIFORNIA ISO 055.9200.500210 15,706.40 Initial Charges 09/17 201709263136306 6507 733 055.9200.500170 -5,559.33 Initial Charges 09/17 201709263136306 6507 733 055.9200.500190 -11,851.60 Initial Charges 09117 201709263136306 6507 733 055.9200.500150 -68,074.30 Recalculation Charges 09/17 201709263136306 6507 733 055.9200.500170 -3,916.85 Recalculation Charges 09/17 201709263136306 6507 733 055.9200.500190 -2,676.00 Recalculation Charges 09/17 201709263136306 6507 733 055.9200.500210 -152.12 Recalculation Changes 09/17 201709263136306 6507 733 055.9200.500150 -0.37 Recalculation Charges 09117 201709263136306 6507 744 055.9200.500150 34.43 Initial Charges 09/17 201709263136306 6507 744 10/02/2017 104,000.06 POWER SETTLEMENTS 055.9200.596200 8,755.00 Consulting Services 10/17 VERN23 6508 CONSULTING 10/03/2017 8,755.00 SO CAL PUBLIC POWER 055.9200.500154 40,305.53 Antelope DSR 1 Solar Project DSR10917 6509 AUTHORITY 10/03/2017 40.305.53 SO CAL PUBLIC POWER 055.9200.500154 201,794.19 Puente Hills Landfill Gas Project PHLO917 6510 AUTHORITY Printed.10l10f201711:37:05W Page 6 of 16 LIGHT & POWER WARRANT REGISTER NO.446 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 10/03/2017 201,794.19 WIRELESS INNOVATION LIMITED 055.9000.900000 10.00 Adjustments 36068 6511 055.9000.900000 1,180.00 Iridium 37754 6511 10/03/2017 1,190.00 VERIZON WIRELESS 055.9000.560010 1,071.48 Period:08/17 090717 MULTIPL 6512 E(2) 055.8000.560010 1,142.63 Period:08117 090717_MULTIPL 6512 E(2) 055.8200.560010 1,588.54 Period:08117 090717_MULTIPL 6512 E(2) 09/29/2017 3,802.65 CALIFORNIA ISO 055.9200.500150 191,760.21 Initial Charges 09117 201710043136384 6513 669 055.9200.500170 1,115,252.93 Initial Changes 09/17 201710043136384 6513 669 055,9200.500210 14,957.48 Initial Charges 09/17 201710043136384 6513 669 055.9200.500240 2,203.40 Initial Charges 09/17 201710043136384 6513 669 055.9200.500190 -10,645.82 Initial Charges 09/17 201710043136384 6513 669 055.9200.500150 626.30 Recalculation Charges 12/14 201710043136384 6513 669 055.9200.500170 67.28 Recalculation Charges 12/14 201710043136384 6513 669 055.9200.500190 592.18 Recalculation Charges 12/14 201710043136384 6513 669 Printed:10/10/2017 11:37:05AM Page 7 of 16 LIGHT& POWER WARRANT REGISTER NO. 446 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CALIFORNIA ISO 055.9200.500150 184.87 Initial Charges 10117 201710043136384 6513 669 055.9200.500210 1,911.78 Initial Charges 10/17 201710043136384 6513 669 055.9200.500170 -165.92 Initial Charges 10/17 201710043136384 6513 669 055.9200.500190 -1.083.56 Initial Charges 10117 201710043136384 6513 669 055.9200.500150 0.13 Recalculation Charges 09/14 201710043136384 6513 669 055.9200.500170 0.26 Recalculation Charges 09/14 201710043136384 6513 669 055.9200.500190 -0.15 Recalculation Charges 09/14 201710043136384 6513 669 055.9200.500150 -25,569.21 Recalculation Charges 09/17 201710043136384 6513 669 055.9200.500190 -797.83 Recalculation Charges 09117 201710043136384 6513 669 055.9200.500210 -104.56 Recalculation Charges 09/17 201710043136384 6513 669 055.9200.500170 481.08 Recalculation Charges 09/17 201710043136384 6513 669 10/06/2017 1.289.670.65 TOTAL WIRES S ZSW079.22 Pnnted:10/10/2017 1137 05AM Page 8 of 16 LIGHT& POWER WARRANT REGISTER NO. "6 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT FEDEX 055.9000.520000 18.29 Period:08/17 591596902(2) 512905 055.9000.520000 24.74 Period:Oat 17 592354824(2) 512905 09/26/2017 43.03 HILDA MORENO 055.9000.596500 14.98 Electric Utility Fundamentals+ Insights 091917 512906 09/26/2017 14.98 RAMIREZ DESIGN 055.9000.550000 2,000.00 100 EA.VPU LOGOS- 92017123 055.0002589 512907 055.9000.550000 1,650.00 50 EA.VGBE LOGOS- 92017123 055,0002589 512907 055.9000.550000 50.00 SAMPLES(2 SETS) 92017123 055.0002589 512907 055.9000.550000 45.00 Freight 92017123 055.0002589 512907 055.9000.550000 342.25 Sales Tax 92017123 512907 09/26/2017 4.087.25 RUBEN RODRIGUEZ 055.9200.596500 16.80 SCPPA Electric Utility Fundamentals 091317 512908 09/26/2017 16.80 SIMON WIND, INC 055.9000.900000 1,000.00 Data Collection Services 1708 512909 09/26/2017 1,000.00 SO CAL EDISON 055.9000.596200 3,107.41 Final Facilities First Restudy Costs 1801481661 512910 09/26/2017 3,107.41 OREN WEINER 055.9200.596500 19.26 SCPPA Electric Utility Fundamentals 091417 512911 09/26/2017 19.26 INC A THRONE CO 055.8100.596200 95.09 Portable Restrooms 509118 512912 055.8100.596200 90.81 Portable Restrooms 509862 512912 Printed:10/10/2017 11:37:05AM Page 9 of 16 LIGHT& POWER WARRANT REGISTER NO. "6 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 09/28/2017 185.90 CRAIG WELDING SUPPLY CO 055.8000.590000 65.34 Refill Cylinders- 621225 055.0002538 512913 09/28/2017 65.34 HOME DEPOT CREDIT SERVICES 055.8400.590000 95.34 Hardware Supplies- 1260109 055.0002553 512914 055.8400.590000 6.46 Hardware Supplies- 2032060 055.0002553 512914 055.8400.590000 12.32 Hardware Supplies- 3031883 055.0002553 512914 055.8400.590000 5.98 Hardware Supplies- 3031911 055.0002553 512914 055.8400.590000 9.01 Hardware Supplies- 3260094 055.0002553 512914 055.8400.590000 65.51 Hardware Supplies- 4082386 055.0002553 512914 055.8400.590000 8.61 Hardware Supplies- 4260085 055.0002553 512914 055.8400.590000 80.16 Hardware Supplies- 7260250 055.0002553 512914 055.8400.590000 244.45 Hardware Supplies- 8260244 055.0002553 512914 09/28/2017 527.84 OFFICE DEPOT 055.9100.520000 11.39 Office Supplies- 954080139001 055.0002575 512915 055.9000.520000 210.20 Office Supplies- 954080139001 055.0002575 512915 055.7100.520000 55.18 Office Supplies- 954080139001 055.0002575 512915 055.9100.520000 1.05 Sales Tax 954080139001 512915 055.9000.520000 19.44 Sales Tax 954080139001 512915 055.7100.520000 5.11 Sales Tax 954080139001 512915 055.9100.520000 45.57 Office Supplies- 954080486001 055.0002575 512915 055.9100.520000 4.22 Sales Tax 954080486001 512915 09/28/2017 352.16 Prin[ed 10/10/2017 11:37 05AM Pape 1 D of 16 LIGHT& POWER WARRANT REGISTER NO. 446 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT INC OPEN ACCESS TECHNOLOGY 055.9200.596200 750.58 Electronic Tagging- 131672 055.0002552 512916 09/28/2017 750.58 ROYAL WHOLESALE ELECTRIC 055.8000.590000 390.07 Electrical Paris- 9066493196 055.0002545 512917 09/28/2017 390.07 UPS 055.8000.590000 237.70 Period:08/17 933312357(2) 512918 09/28/2017 237.70 WESTERN ALLIED CORPORATION 055.8400.590000 2,109.98 Air Conditioner Maintenance 620969 512919 09/28/2017 2,109.98 CLINTON WHITE 055.8400.590000 2,500.00 Install RibTrax Flooring 2076 512920 09/28/2017 2,500.00 INC A THRONE CO 055.8400.596200 855.92 Portable Restrooms 510027 512921 10/05/2017 855.92 A&B WHOLESALE 055.230210 153.73 Ref: Closed Acct#1613 Cust#4903 092917 512922 10/05/2017 153.73 BETTER LIFE IMPORT CORP 055.230210 49.67 Ref: Closed Acct#5640 Cust#6469 092917 512923 10/05/2017 49.67 CSC FASTENERS 055.230210 6,805.34 Ref:Closed Acct#388 Cust#236 092917 512924 10/05/2017 6,805.34 D.W.R.TEXTILE 055.230210 459.22 Ref: Closed Acct#870 Cust#6374 092917(2) 512925 10/05/2017 459.22 Printed:10/10/2017 11:37:05AM Pape 11 of 16 LIGHT S POWER WARRANT REGISTER NO. 446 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT DAVIN TRADING 055,230210 280.71 Ref:Closed Acct#1931 Cust#5781 092917 512926 10/05/2017 280.71 DLR PROPERTIES LLC 055.230210 153.73 Ref:Closed Acct#1129 Cust#6693 092917 512927 10/05/2017 153.73 EVERGREEN INDUSTRIES INC 055.230210 1,060.70 Ref: ClosedAcct#701 Cust#409 092917 512928 10/05/2017 1,060.70 HOLLAR INC 055.230210 293.74 Ref. Closed Acct#1661 Cust%415 092917 512929 10/05/2017 293.74 ITZME JEANS 055.230210 246.57 Ref: Closed Acct#5547 Cust#5310 092917 512930 10/05/2017 246.57 J&M SEWING SUPPLIES INC 055.230210 506.24 Ref:Closed Acct#966 Cust#587 092917 512931 10/05/2017 506.24 LB JOHNSON HARDWARE CO#1 055.8400.590000 5.35 Hardware Supplies- 691267 055.0002541 512932 055.8400.590000 25.29 Hardware Supplies- 691331 055.0002541 512932 055.8400.590000 30.91 Hardware Supplies- 691435 055.0002541 512932 055.8400.590000 264.20 Hardware Supplies- 691483 055.0002541 512932 055.8000.590000 47.69 Hardware Supplies- 691591 055.0002541 512932 10/05/2017 373.44 MAYWOOD CAR WASH 055.8100.570000 132.00 Full Service Car Wash- 934 055.0002542 512933 10/05/2017 132.00 Printed:10110/2017 11'37 05AM Page 12 of 15 LIGHT & POWER WARRANT REGISTER NO.446 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPL-AY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT MCMASTER CARR SUPPLY 055.8400.590000 850.65 Hardware Supplies- 42699780 055.0002543 512934 COMPANY 055.8000.590000 57.29 Hardware Supplies- 43511802 055.0002543 512934 055.8400.590000 44.34 Hardware Supplies- 43970760 055.0002543 512934 055.9400.590000 99.27 Hardware Supplies- 44464321 055.0002543 512934 055.8000.590000 82.04 Hardware Supplies- 44949290 055.0002543 512934 10/05/2017 1,133.59 MICRO PRECISION CALIBRATION 055.8000.590000 905.00 Calibration Services- LA90029387 055.0002555 512935 055.8000.590000 125.00 Calibration Services- LA90029410 055.0002555 512935 10/05/2017 1,030.00 RE TRADING INC 055.230210 224.09 Ref: Closed Acct#1648 Cust#6398 092917 512936 10/05/2017 224.09 REINHAUSEN MANUFACTURING 055.8000.590000 7,927.96 Professional Services 90373572 512937 INC 10/05/2017 7,927.96 SOUTH COAST AQMD 055.8200.500230 2,247.02 App Fee 1 Dept. Name Change 100317 512938 10/05/2017 2,247.02 STANDARD&POOR'S 055.9000.595200 10,000.00 Analytical Services 11334635 512939 10/05/2017 10,000.00 TAAD INC 055.230210 492.88 Ref:Closed Acct#1187 Cust#6564 092917 512940 10/05/2017 492.88 THE COOPERAGE LLC 055.230210 119.73 Ref: Closed Acct#890 Cust#1043 092917 512941 Printed 10110/2017 11 37:05AM Page 13 of 16 LIGHT & POWER WARRANT REGISTER NO.446 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 10/05/2017 119.73 TP OUTFITTERS, INC 055.230210 523.21 Ref: Closed Acct#84 Cust#6016 092917 512942 10/05/2017 523.21 WESCO RECEIVABLES CORP. 055.9100.900000 5,803.68 37.5KVA-7200-1201240- 292085 055.0002527 512943 055.9100.900000 9,748.92 25KVA-16340-120/240- 292085 055.0002527 512943 055,9100.900000 1,438.62 Sales Tax 292085 512943 055.9100.900000 6,696.30 50KVA-7200-277- 303157 055.0002527 512943 055,9100.900000 619.41 Sales Tax 303157 512943 055.9100.900000 4,732.80 75KVA-7200-120/240- 308338 055.0002527 512943 055.9100.900000 437.78 Sales Tax 308338 512943 055.9100.900000 12,923.37 75KVA-16340-277- 316411 055.0002527 512943 055.9100.900000 1,195.41 Sales Tax 316411 512943 055.8000.900000 1,932.56 500KVAR Capacitor 4.16KV - 336054 055.0002510 512943 055.8000.900000 178.76 Sales Tax 8.75 336054 512943 10/05/2017 45,707.61 TOTAL EARLY CHECKS S 96,185.40 Printed-10110/2017 11 37 05AM Page 14 of 16 LIGHT& POWER WARRANT REGISTER NO. "6 OCTOBER 17, 2017 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION #NVOICE P.O.# NUMBER AMOUNT MICHAEL HENDRICKSON 055.8000.502030 234.00 Vision Benefits 11. Garcia 100417 512944 234.00 WESCO RECEIVABLES CORP. 055.8000.900000 773.82 1200:5- 10KV Current Transformer— 351339 055.0002571 512945 055.8000 900000 71.58 Sales Tax 351339 512945 845.40 TOTAL PRINTED CHECKS $ 1,079.40 Printed:10110/2017 11:37 05AM Page 15 of 16 LIGHT 3 POWER WARRANT REGISTER NO. 446 OCTOBER 17, 2017 RECAP BY FUND EARLY PRINTED FUND WIRE TOTAL CHECK TOTAL CHECK TOTAL TOTAL 055-LIGHT 8 POWER $ 2,508,079.22 5 96,185.40 i (:Tfi ai; 2,605,344.02 GRAND TOTAL ;! 2,508,079.22 $ 96,185.40 $ 1,079.40 $ 2,605,344.02 TOTAL CHECKS TO BE PRINTED 2 PnntW: 1pf1 17 11:37j0�AM Pape 16 of 16 BY ED 1 OCT 12 2017 OCT 11 2017 CITY CLEWS OFFICE STAFF REPORT CITY ADMINISTRATION FINANCE/TREASURY DEPARTMENT DATE: October 10, 2017 TO: Honorable Mayor and City Council FROM: William Fox, Finance Director V RE: Gas Warrant Register for City Council Agenda of October 17, 2017 It is recommended that the attached Gas Warrant Register No. 234 be approved at the City Council meeting of October 17, 2017. Gas Warrant Register No. 234 totals $368,061.98, and covers claims and demands presented during the period of September 26 through October 09, 2017, drawn, or to be drawn, from East West Bank. The following list details the components of Gas Warrant Register No. 234: 1. Ratification of wire transfers totaling $319,569.87; 2. Ratification of the issuance of early checks totaling $48,492.11; and V # CITY OF VERNON GAS DEPARTMENT i' WARRANT REGISTER NO. 234 OCTOBER 17, 2017 1 hereby certify that claims and/or demands included in above listed warrant This is to certify that the claims or demands covered by the above listed register have been audited for accuracy and availability of funds for warrants have been audited by the City Council of the City of Vernon and payments and that said claims and/or demands are accurate and that the that all of said warrants are approved for payments except Warrant funds are available for payments thereof. Numbers: William Fox Finance Director Dale: Pnntad:1011012017 8 29:57AM Page 2 of 6 CITY OF VERNON GAS DEPARTMENT WARRANT REGISTER NO. 234 OCTOBER 17, 2017 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P_O_# ISSVED NUMBER AMOUNT US BANK CORPORATE 056.5600.520000 1,044.48 Supplies 082217 635 056.5600,596700 21.98 Meals I Safety Meeting 082217 635 056.5600.596700 450.00 Registration I D.Cordova 082217 635 09/28/2017 1,516.46 CAL AIR RESOURCES BOARD 056.5600.500230 38.614.00 Implementation Fee INVC117079 636 10/06/2017 38,614.00 THE GAS COMPANY 056.5600.550022 92,986.47 Period: 08/17 092017 637 10/06/2017 92,986.47 THE GAS COMPANY 056.5600,500160 186,303.66 Natural Gas 08/17 201708GS030 638 10/0212 017 186,303.66 VERIZON WIRELESS 056.5600.560010 149.28 Period: 08/17 9792291422 639 09/29/2017 149.28 TOTAL WIRES S 319,569.87 Printed:10/10/2017 8 29 57AM Page 3 of 6 CITY OF VERNON GAS DEPARTMENT WARRANT REGISTER NO. 234 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT INC A-BEST INDUSTRIAL 056.5600.590000 2,949.08 Service Connection Materials- IN9698 056.0000452 1636 056.5600.590000 23.22 Service Connection Materials- IN9699 056.0000452 1636 09/28/2017 2,972.30 HOME DEPOT CREDIT SERVICES 056.5600.520000 92.78 Building Supplies- 5260167 056.0000457 1637 09/28/2017 92.78 INC INTERSTATE GAS SERVICES 056.5600.596200 9,436.49 Consulting Services 08117 7021388 1638 09/28/2017 9,436.49 INC WILMINGTON INSTRUMENT 056.5600.520000 803.28 Calibration Services- 956651N 056.000D458 1639 COMP 09128/2017 803.28 DARLING INGREDIENTS INC 056.5610.596702 33,838.67 Customer Incentive Program 092717 1640 10/03/2017 33,838.67 P&F DISTRIBUTORS 056.5600.590000 562.50 Pipe Gas Coil, 1'x 250- 0116217IN 056.0000469 1641 056.5600.590000 325.00 Pipe Gas Coil, 1.5"x 250- 0116217IN 056.0000469 1641 056.5600.590000 300.00 Freight 0116217IN 056.0000469 1641 056.5600.590000 82.09 Sales Tax 0116217IN 1641 10/03/2017 1,269.59 JMP INVESTMENT CO 056.230210 50.50 Ref: Closed Acct#6028 Cust#6606 092917 1642 10/05/2017 50.50 MAYWOOD CAR WASH 056.5600.570000 28.50 Full Service Car Wash- 934(2) 056.0000451 1643 10/05/2017 28.50 Printed:10110/2017 8.29:57AM Pope 4 of 6 CITY OF VERNON GAS DEPARTMENT WARRANT REGISTER NO. 234 OCTOBER 17, 2017 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P of ISSUED NUMBER AMOUNT TOTAL EARLY CHECKS $ 40,492Al Printed:1011 D12017 &29:57AM Pape 5 of 6 CITY OF VERNON GAS DEPARTMENT WARRANT REGISTER NO. 234 OCTOBER 17, 2017 RECAP BY FUND EARLY PRINTED FUND WIRE TOTAL CHECK TOTAL CHECK TOTAL TOTAL 056-NATURAL GAS $ 319,569.87 s 48,492.11 $ 0.00 368,061.98 GRAND TOTAL $ 319,569.87 48,492.11 $ 0.00 $ 368,061.98 TOTAL CHECKS TO BE PRINTED 0 Pnnted:100012017 8:29:57AM Page 6 of 6 v r 4'" �• OCT 12 STAFF REPORT CITY CLERK'S OFFICE CITY ADMINISTRATION DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Carlos R. Fandino Jr.,City Administrator C�— to k"L Originator: Diana Figueroa, Administrative Analyst RE: Approval of Vernon CommUNITY Fund Capital Grant Form Agreement Recommendation A. Find that approval of the Vernon CommUNITY Fund ("VCF") Capital Grant Form Agreement is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Approve of the attached VCF Capital Grant Form Agreement, in substantially the same form as submitted herewith, for administration of VCF Capital Grants; and C. Authorize the City Administrator, or his/her designee, to complete, execute, and/or modify the form agreement consistent with the direction of the VCF Grant Committee. Background As one of the key elements of the City's good governance reforms, the City Council created the Vernon CommUNITY Fund to provide grants to charitable and governmental entities for projects and programs that benefit those residing and working in the Vernon area. Given the exclusively industrial nature of Vernon, the City Council determined that the VCF was in the best interest of the City and its residents, businesses, and workers. On February 4, 2014, the City Council adopted Ordinance No. 1218, as amended by Ordinance No. 1238, to establish the Vernon CommUNITY Fund Grant Committee ("Grant Committee") and provide the basic guidelines and operational procedures for said committee and its officers, including those related to the allocation of funds and the processes for reviewing and ranking applications and awarding grants. Section 2.167(f) of the Vernon Municipal Code requires all VCF grant recipients to enter into a written agreement with the City. Page 1 of 2 Capital Grant Form Agreement The Grant Committee adopted a Capital Grants Program on May 18, 2016 which defined, among other things, the parameters of the capital award process and procedures for applicants, and criteria and timeline for awards. At its May 17, 2017 meeting, the Grant Committee awarded the City's first capital grants to the City of Bell and PUENTE Learning Center, respectively. With a need to address complexities related to capital-type grants, the Grant Committee also reviewed and approved a Capital Grant Form Agreement which was modified from the existing form agreement used for the issuance of general grant awards. The VCF Capital Grant Agreement sets forth the terms and conditions of the capital grant award. The main components of the agreement can be summarized as follows: • Amount and purpose(s)of the grant • Grantee Workplan and Phase Budget requirements • Payment procedure • Written reporting requirements during the project • The return of any unused portion of grant moneys • Promotion and publicity permissions for Grantor and Grantee Upon award of a capital grant by the Grant Committee, the grant recipient shall be required to execute a capital grant agreement in substantially the same form as attached hereto. The Capital Grant Form Agreement has been approved by the City Attorney's Office. Fiscal Impact There is no fiscal impact associated with the approval of the Vernon CommUNITY Fund Capital Grant Form Agreement. Attachment(s) 1. Proposed Vernon CommUNITY Fund Capital Grant Form Agreement Page 2 of 2 t:x'•'- www.vernoncommunityfund.org (3 3) 351-1198 � «4�0� Fun Business 04kIn C ��e ° CAPITAL GRANT AGREEMENT BETWEEN THE VERNON COMMUNITY FUND AND [INSERT GRANTEE RECIPIENT NAME] FOR [INSERT BRIEF DESCRIPTION OF PROJECT] This capital grant agreement ("Agreement") is made and entered into on this_day of 2017 (the "Effective Date") by the Vernon CommUNITY Fund ("Grantor"), and [insert organization name] ("Grantee"). Grantee's program is dedicated to [insert description of project]. Grantor and Grantee agree to the following terms and conditions of the grant: 1. The "Grant" Defined: a) The Grant approved for award in fiscal year[insert year] shall be available to Grantee in two parts: i) In Vernon's fiscal year("FY") [insert year], Grantee may receive, pursuant to the procedure set forth in Section 3(d) of this Agreement, the Grant up to a maximum amount of$[insert amount] (the "Grant Amount"), distributed in phases as described below. (1) For Phase I of the project, Grantee may receive, pursuant to the procedure set forth in Section 3(d) of this Agreement, the Grant up to a maximum amount of $[insert amount]. (2) For Phase II of the project, Grantee may receive, pursuant to the procedure set forth in Section 3(d) of this Agreement, the Grant up to a maximum amount of $[insert amount]. b) Prior to Grantor's 's disbursement of and as a condition of Grantee's receipt of any Grant funds, Grantee shall submit proof of approval, including but not limited to approvals under the California Environmental Quality Act ("CEQA"), and by any applicable public agencies for any construction work to be completed with any Grant funds. For the avoidance of any doubt, the City of Vernon and/or the Vernon CommUNITY Fund shall not be a "lead agency" for purposes of CEQA and shall not be liable for determination of CEQA applicability to the Project or for initiating or completing any study, report, or negative declaration with respect to the Project. c) All Grant funds must be applied to the "Project", as defined in Section 2 of this Vernon CommUNITY Fund Capital Grant Agreement 12 Agreement. d) The last day that Grantee may request Grant funds in Vernon's fiscal year[insert year] is [insert date], after which date, any remaining funds in the Grant Amount shall be deemed forfeited by the Grantee. e) Under no circumstances shall the amount of money paid by Grantor to Grantee under this Agreement exceed $[insert amount] during the term of this Agreement. 2. The "Project" Defined: a) Grantee can utilize Grant funds solely for actions listed in this Section 2 (which actions shall be known as the "Project"). If the maximum amount of the Grant is insufficient to complete the Project, Grantee will timely complete the Project with its own funds or with funds that it is able to secure from source(s) other than the Grant. b) Grantee shall undertake the activities described in its Workplan (Exhibit 1), and Phase Budgets (Exhibit 2) as described in Section 3(d), or subsequent updates thereof to be approved by Grantor. The Project shall include only the following: i) [Insert description of activities for the project], as detailed in Exhibits 1 and 2. The Project goals include the following: • [Include brief description of Grantee's overall mission and the project to be completed] ii) Funds shall be maintained in an account separate from Grantee's operating funds and restricted to use for the following Project-related costs: (1) renovations or purchase of physical property; (2) design, plans, and plan approval fees; (3) consultant support to review and assist the organization in drafting and reviewing RFP and RFQ documents for prospective contractors and vendors; (4) demolition, construction, interior design, repairs, and renovation; (5) purchase or long term lease of equipment. iii) Funds shall not be used for Grantee's: (1) payroll and wages; (2) maintenance; (3) operating expenses. Vernon CommUNITY Fund Capital Grant Agreement 13 3. Grantee's duties: a) Grantee as Project Manager. Grantee or its designee shall be the project manager of the Project and ensure that the Project is completed with due diligence. In its role as project manager, Grantee may contract with third parties to complete the Project, subject to Section 3(k) of this Agreement. b) Project Commencement. Grantee shall commence work on Phase I of the Project no later than thirty (30) days from receipt of the fully executed grant agreement and initial payment from Grantor. If work on the Project is not commenced by that date, Grantee must submit a letter to Grantor describing steps taken to commence work on the Project, reasons for delay, and the expected Project commencement date. If work on the Project is not commenced within sixty (60) days of the date of this Agreement, Grantee must submit a second letter explaining the additional delay in implementation. Grantor may, after reviewing the circumstances, consider Grantee in default in accordance with Section 4(c) and may terminate the Agreement in accordance with Section 4(b). c) Reports. Grantee shall submit written reports to Grantor as follows: (a) a narrative report describing in detail the use of the Grant funds, compliance with the terms of the Grant and the progress made toward achieving the purposes of the Grant (b) a financial report detailing all expenditures resulting from the Grant; (c) a copy of materials (if applicable) produced as part of the Grant; and (d) a report on accountability measures to be undertaken to assure competent stewardship of Grant funds. i) The schedule for such reports shall be: (1) Interim Grant Reports: [insert date] (2) Final Grant Reports: Within thirty (30) days of completion of the Project and no later than [insert date]. d) Payment Procedure. In order to receive Grant funds, Grantee shall submit a Phase Budget Request as described below: i) Phase Budget Request. Grantee shall request Grant funds in bulk by submitting to Grantor an internally approved itemized budget for each phase of the Project (each, a "Phase Budget") up to the limits set forth in Section 1(a). Approval, partial approval or denial by Grantor shall be provided within thirty (30) days of receipt, and any denial or partial approval shall provide a written specification of any deficiency. (1) Contingency Fund Request. Between Phase Budgets, if Grantee requires additional Grant funds, then, subject to availability as prescribed in Section 2(a), Grantee may complete and submit to Grantor a Prescribed Requisition Form (sample Prescribed Requisition Form appears as Exhibit 3 hereto) Vernon CommUNITY Fund Capital Grant Agreement 4 showing that the requested funds: (1) have been incurred or approved by Grantee; and (2) are necessary and reasonable to further the Project. With the written request, where applicable, Grantee shall provide a copy of third party quotes documenting the anticipated cost of goods or services required. Grantor shall approve the individual request if it is complete and if it is consistent with the scope of the Project. Approval, partial approval or denial shall be provided within thirty (30) days of receipt, and any denial or partial approval shall provide a written specification of any deficiency. ii) Disbursement of Funds. All funds shall be disbursed only to Grantee, either as reimbursement or advancement, consistent with the aforementioned payment procedures, assuming all items referenced in the Agreement Checklist(attached hereto as Exhibit 4) have been provided and/or addressed. No funds shall be disbursed by Grantor directly to any third party on behalf of Grantee. e) Cost Overruns. Grantee shall be solely responsible for Project cost overruns and for any actions it takes or costs that it incurs for actions that are not within the scope of the Project. Notwithstanding any other provision in this Grant to the contrary, under no circumstances will the total money that may be disbursed to Grantee during the term of this Agreement exceed $[insert amount of grant award]. f) Demonstrated Financial Ability. Grantee must demonstrate financial resources sufficient to support the Project on an ongoing basis throughout its useful life. In addition, Grantee must provide a projected plan of operations for the upcoming five (5) fiscal years. Funding will not be granted unless Grantee can assure Grantor that Grantee has the financial ability to maintain the Project for at least ten (10) years. g) Licensing and Credentials. Grantee hereby agrees to maintain, in full force and effect, all required governmental permits, or professional licenses and credentials for itself, its facilities and liability, auto and workers compensation insurance for its employees and all other persons engaged in work and/or sponsored activities in connection with this Agreement, as required by Grantor. h) Promotion and Publicity. Recognition of the grant brings valuable attention to the mission and activities of both Grantee and Grantor. Grantee agrees that Grantor may include information regarding Grantee and/or this grant, including the amount and purpose of the grant, any photographs or materials Grantee has provided for promotional purposes, Grantee's logo or trademark, and/or other information or materials about Grantee's organization and activities, in Grantor's periodic public reports, newsletters, events, and media releases. Grantee may, subject to Grantor's right of approval in its reasonable discretion, promote Grantor and/or this grant by: 1. Reporting on the partnership with Grantor in Grantee's communication materials, including but not limited to, newsletters, events, media interviews, website posts, and promotional e-mails; Vernon CommUNITY Fund Capital Grant Agreement 15 2. Assisting Grantor on cross-promotional events and endeavors. Grantor must review and approve all materials (including website postings) that use its name or logo, prior to production or publication. Such approval will not be unreasonably withheld. i) Organization and Staff Changes. Grantee agrees to provide immediate written notice to Grantor if significant changes or events occur during the term of this Agreement which could potentially impact the progress or outcome of the Project, including, without limitation, changes in: (a) Grantee's executive staff or key staff responsible for achieving the Grant purposes or (b) losses in funding other than the Grant. In the event that Grantee ceases its operations, Grantee shall transfer, assign and deliver title and physical possession of any and all property purchased with the Grant funds to Grantor. j) Competitive Bidding or Selection. Grantee shall bear the burden and submit proof(in the form of a bid notice, RFP, or similar document)that it is in compliance with any applicable competitive bidding and competitive selection requirements. Grantee shall submit proof it is in compliance with applicable requirements along with its Interim Report and prior to Grantor's disbursement of Phase II Grant funds. k) Subcontracts, Successors and Assignments. Grantee shall not enter into any subcontracts for any of the Project activities required by this Agreement without Grantor's prior written consent. Grantee shall require any subcontracts to comply in writing with the terms and conditions of this Agreement and provide the same assurances as Grantee must in its use of the Grant funds. Grantor's consent to any subcontract shall not relieve Grantee of any of its duties or obligations under this Agreement. i) This Agreement shall be binding upon and inure to the benefit of Grantor, Grantee, and their respective successors and assigns, except that Grantee may not assign or transfer its rights or obligations hereunder or any interest herein without the prior consent in writing of Grantor. 4. General Provisions a) Audit. Grantor shall have the right to conduct a financial and compliance audit of Grantee at any time upon reasonable written notice to Grantee. Grantee shall maintain Project-related records for at least three (3) years from the Effective Date of this Agreement and shall make such records promptly accessible to Grantor upon its request. b) Termination of Agreement. Unless terminated earlier pursuant to the default provisions below, the Agreement shall terminate, and any duties Grantor may have to Grantee under this Agreement shall terminate upon the earlier to occur of: (1) three years from the Effective Date of this Agreement; (2) complete disbursal by Grantor of the maximum amount of the Grant funds; or (3) issuance of a certificate of completion of the Project by the applicable local governmental or regulatory authority. Vernon CommUNI Y Fund Capital Grant Agreement 6 c) Default. A default under this Agreement shall exist upon the occurrence of any of the following events: i) Either party fails to perform, observe or discharge any of its covenants, agreements or obligations contained herein or in any exhibit attached hereto; or i i.) Any representation, warranty or statement made by Grantee herein or in any documents or reports relied upon by Grantor to measure progress on the Project, the expenditure of Grant moneys or the performance by Grantee is untrue in any material respect when made; or iii) Grantee (a) applies for or consents to the appointment of, or the taking of possession by, a receiver, custodian, trustee, or liquidator of itself or of substantially all of its property, (b) admits in writing to its inability, or is generally unable, to pay its debts as they become due, (c) makes a general assignment for the benefit of its creditors, (d) is adjudicated a bankrupt or insolvent, (e) commences a voluntary case under the Federal Bankruptcy Code (as now or hereafter in effect), (f) files a petition seeking to take advantage of any other law relating to bankruptcy, insolvency, reorganization, winding-up, or composition or adjustment of debts, (g) fails to controvert in a timely and appropriate manner, or acquiesces in writing to, any petition filed against it in an involuntary case under the Bankruptcy Code, or(h) takes any action for the purpose of effecting any of the foregoing. d) Remedies upon Default. If Grantee's default is not cured within fifteen (15) days of written notice thereof to Grantor or such longer period as Grantor may authorize in its sole discretion, Grantor may pursue any remedies available under this Agreement, at law or in equity. Such remedies include, but are not limited to, termination of this Agreement, return of all or a portion of the Grant funds paid to Grantee or turnover of title and physical possession of property purchased with Grant funds, payment of interest earned on the Grant funds. If, as a result of Grantee's default, Grantor demands return of all or a portion of the Grant funds and/or payment of interest earned on the Grant funds, Grantee may, at Grantee's option, satisfy such demand by paying to Grantor the amount demanded or permitting Grantor to recover the amount by deducting that amount from future payments to Grantee from Grantor. If Grantee fails to repay the amount demanded within fifteen (15) days of the demand, Grantee shall be deemed to have elected the deduction option and Grantor may deduct the amount demanded from any future payment from Grantor to Grantee, including but not limited to, any payment to Grantee from Grantor under this Agreement and any payment to Grantee from Grantor under any other contract or agreement, present or future, between Grantee and Grantor. e) Indemnity and Insurance. Neither party shall be required to indemnify the other except to the extent that liability is allocated pursuant to a court of law, arbitration or other dispute resolution process. Grantee shall determine its own needs in procurement of insurance to cover potential liabilities. Grantor will not defend or indemnify Grantee should Grantee be sued for any reason. Vernon CommUNITY Fund Capital Grant Agreement 7 f, Expenditure of Grant Funds. Any funds not expended in accordance with the terms of this Grant Agreement must be returned to Grantor. Grantee shall not use any portion of the funds granted herein to engage in any grassroots campaign for public office, nor to fund union activity. g) In writing. All notices, bills, invoices, consents and other communications between the parties shall be in writing, and shall be sent by certified mail (return receipt requested) or other delivery service which provides evidence of delivery, using the following addresses: Grantee: [Insert Grantee contact information] Grantor: Vernon CommUNITY Fund Attention: Carlos R. Fandino, Jr. City Administrator 4305 Santa Fe Avenue Vernon, CA 90058 Mailed notices shall be deemed communicated as of the day of receipt. h) No Joint Venture or other Relationship. Grantee has determined to undertake the Project at its sole cost and risk, and to assume all liability for any and all costs above the amount of the Grant. This Agreement does not create a partnership, or a joint venture, or any business relationship between Grantee and Grantor, and it does not create an obligation for Grantor to refund or reimburse any costs incurred by Grantee beyond the maximum Grant amounts set forth in Section 1(a). Grantee understands and agrees that it is a grantee of Grantor and not an employee, agent, consultant or independent contractor of Grantor, and that Grantee is not providing services for or on behalf of Grantor. i) Binding Nature and Assi,n�. This agreement shall be binding upon and inure to the benefit of Grantor, Grantee, and their respective successors and assigns, except that Grantee may not assign or transfer its rights or obligations hereunder or any interest herein without the prior consent in writing of Grantor. j) Entire Agreement. This Grant Agreement represents the entire integrated agreement between Grantee and Grantor, and supersedes all prior negotiations, representations or agreements, either written or oral. k} No Implied Waiver, Cumulative Remedies. The failure of Grantor to exercise, and any delay in exercising any right, power, or privilege under this Agreement shall not operate as a waiver thereof, nor shall any single or partial exercise of any right, power, or privilege under this Agreement preclude any other or further exercise thereof or the exercise of any other such right, power, or privilege. The remedies provided herein are cumulative and not exclusive of any remedies provided by law. I; Amendment to Grant Agreement. No portion of this Grant Agreement may be waived, Vernon CommUNITY Fund Capital Grant Agreement 18 altered, modified, supplemented, or amended except by a written instrument signed by both Grantee and Grantor. m) Governing Law. The rights, obligations, duties and liabilities of the parties to this Grant and the interpretation of this Agreement shall be governed by California law, without regard to California's laws regarding choice of applicable law. n) Venue and Jurisdiction. For all court proceedings relating to this Grant, venue shall be proper in Los Angeles County. o) Voluntary Agreement. The Parties hereto, and each of them, represent and declare that they have carefully read this Grant Agreement and know the contents thereof and have been advised by their own counsel or had the opportunity to do so, and that each has signed this Grant freely and voluntarily. As such, the Parties agree that the normal rule of construing an agreement against the drafter of the document shall not apply here. p) Headings. The section headings in this Agreement are included for convenience only, do not give full notice of the terms of any portion of this Agreement and are not relevant to the interpretation of any provision of this Agreement. q) Counterparts. This Agreement may be executed in counterpart originals, duplicate originals, or both, each of which is deemed to be an original for all purposes. r) Severability. If any term or provision of this Agreement is declared by a court of competent jurisdiction to be illegal or in conflict with any law, the validity of the remaining terms and provisions shall not be affected, and the rights and obligations of the parties shall be construed and enforced as if this Agreement did not contain the particular term or provision held to be invalid. s) No Third Party Beneficiaries. Grantor and Grantee are the only parties to this Agreement and are the only parties entitled to enforce its terms. Nothing in this Agreement gives, is intended to give, or shall be construed to give or provide any benefit or right, whether directly, indirectly or otherwise, to third persons. t) Attorney Fees. In the event of any action to enforce rights under this Agreement, the prevailing party shall be entitled its costs and expenses, including reasonable attorney's fees, incurred in connection with such action. [Signatures Begin on Next Page]. Vernon CommUNITY Fund Capital Grant Agreement 9 IN WITNESS WHEREOF, the Parties have signed this Grant Agreement as of the date stated in the introductory clause. City of Vernon, a California charter city and [Insert Grantee name], a California non- California municipal corporation profit, 501 (c)(3) organization By- By: Carlos R. Fandino, Jr. City Administrator Name: Title: ATTEST: By: Name: Title: Maria E. Ayala, City Clerk APPROVED AS TO FORM: Hema Patel, City Attorney Vernon CommUNITY Fund Capital Grant Agreement 110 EXHIBIT 1 WORKMAN Vernon CommUNITY Fund Capital Grant Agreement 112 EXHIBIT 2 PHASE BUDGETS Vernon CommUNITY Fund Capital Grant Agreement 112 EXHIBIT 3 SAMPLE PRESCRIBED REQUISITION CONTINGENCY FUND REQUEST Between submission of Phase Budgets, if Grantee requires additional Grant funds, then, subject to availability as prescribed in Section 2(a), Grantee may complete and submit to Grantor a Prescribed Requisition Form showing that the requested funds: (1) have been incurred or approved by Grantee; and (2) are necessary and reasonable to further the Project. With the written request, where applicable, Grantee shall provide a copy of third party quotes documenting the anticipated cost of goods or services required. Grantor shall approve the individual request if it is complete and if it is consistent with the scope of the Project. Approval, partial approval or denial shall be provided within thirty (30) days of receipt, and any denial or partial approval shall provide a written specification of any deficiency. Notwithstanding any other provision in the Grant Agreement to the contrary, under no circumstances will the total money that may be disbursed to Grantee during the term of the Agreement exceed $[insert amount of grant award]. [A sample letter can be found on the next page.] CONTINGENCY i REQUEST Date: [insert date] To: Carlos R. Fandino, Jr., City Administrator From: [Organization name and Grantee contact] Subject: Request for Additional Funds As per Section 3(d)(i)(1) of the Vernon CommUNITY Fund Capital Grant Agreement, [Grantee] requests funding in the amount of[insert amount]for the purpose of[description]. The following expenses have been incurred or approved by Grantee and are necessary and reasonable to further the Project. [Itemize activities/expenses incurred for project] [Grantee] understands that approval, partial approval, or denial shall be provided within thirty (30) days of receipt of this request. If you have any questions, please contact [name] at [contact information]. [Grantee] By: City of Vernon By: Requisition # [insert number] Vernon CommUNITY Fund Capital Grant Agreement 113 EXHIBIT 4 AGREEMENT CHECKLIST Please return the following documents along with your executed agreement: ❑ Proof of California Environmental Quality Act ("CEW) approval of the Project ❑ Sub-contractors compliance in writing for use of Grant funds (if applicable) ❑ 5-Year projected plan of operations ❑ W-9 Form [Attach each item in the order noted above following this page]. ❑ Workplan for Project(submitted as Exhibit 1 to the agreement) ❑ Phase Budget for Project (submitted as Exhibit 2 to the agreement) ' 4 y R � ^ p OCT 12 2017 OCT 12 Z017 STAFF REPORT CITY ADMINISTRATION CITY CLERK'S OFFICE FINANCE DEPARTMENT DATE: October 17, 2017 TO: Honorable Mayor and City Council FROM: William Fox, Director of Finance RE: Authorization to Enter into a Services Agreement with BLX Group LLC (BLX) for Financial Advisory Services for Fiscal Years 2017 through 2019 Recommendation A. Find that entering into a services agreement with BLX Group LLC (BLX), a registered advisor to provide financial advisory services is exempt under the California Environmental Quality Act (CEQA). The scope of the work to be performed is a continuing administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378. In addition, even if was determined to be a project, it would be exempt from CEQA review in accordance with Section 15061(b)(3), the general rule is that CEQA only applies to activities that may have a significant effect on the environment; and B. Approve a services agreement with BLX, in substantially the same form as submitted herewith, to perform financial advisory services through fiscal year 2019 for a total amount not to exceed $600,000; and C. Authorize the City Administrator to execute a two year and eight month services agreement with BLX with an effective date of October 17, 2017. Backiround PFM Financial Advisors LLC (PFM) has been the sole provider of financial advisory services to the City since August 2013, with a contract renewal being made in August 2016. Although PFM continues to provide financial advisory services, it was determined that it would be more advantageous for the City to have the availability of two financial advisory firms under contract. In short, the City will have access to more expertise without incurring any additional cost. In order to select one additional firm to provide financial advisory services, the City issued an RFP on August 21, 2017 with a submission deadline of September 21, 2017. This was to allow interested parties a month to review and respond. The RFP was sent to twelve (12) financial advisory firms based on their technical expertise, local presence in Southern California, and experience in working with municipalities. Each of the twelve (12) identified financial advisory firms was solicited by providing an electronic version of the RFP along with contact information in the event there were any questions or clarifications needed in order to respond. Further outreach was done by posting the KPF on the City's website and advertising for two consecutive weeks in the Vernon Sun Newspaper. As a result of the outreach effort, four qualified responses were received. The four financial advisory firms that responded were PFM, BLX, Kosmont Transaction Services (KTS), and KNN Public Finance, LLC (KLN). Each of the four firms' RFP responses were examined on the basis of four weighted RFP criterion of. 1) Responsiveness 10%, 2) Qualifications 40%, 3) Cost & Fees 30%, and 4) References 20%. The results of this scoring analysis are summarized below: 1) BLX =98% (Selected) 2) PFM = 94% (Retained) 3) KNN=92% (Not Selected) 4) KTS = 88% (Not Selected) Based on the results noted above, staff is recommending that the City enter into an agreement for financial advisory services with BLX. The agreement with BLX referenced within this staff report has been reviewed and approved as to form by the City Attorney's Office. If Council approves of the proposed agreement with BLX, the City will have two firms under contract and will have the flexibility of assigning specific tasks/projects to the best suited firm. Tasks/projects would be examined on a case-by-case basis and staff would assign them to either firm only as directed by the City Administrator. It is anticipated that enhanced response times and customer service will occur as a result of the competing desire to serve the City. There is no additional cost incurred by having a second firm since assignments will be disseminated only to the financial advisory firm selected based upon required expertise and availability. Fiscal Impact The terms of the proposed agreement with BLX for financial advisory service for fiscal years 2017 through 2019 are the same as the agreement with PFM. The total contract cost will be $200,000 a year for a three year term, with a grand total not to exceed $600,000. No costs are incurred unless financial advisory services are provided. It is anticipated during the term of this agreement that the City will be undergoing bond financing. The adopted fiscal year 2017 budget has the sufficient funds for the financial advisory services required.The expense will be budgeted for subsequent years. Attachments l. Services Agreement between BLX Group, LLC and the City of Vernon SERVICES AGREEMENT BETWEEN THE CITY OF VERNON AND BLX GROUP LLC, FOR FINANCIAL ADVISORY SERVICES FOR FISCAL YEARS 2017 THROUGH 2O19 COVER PAGE Contractor: BLX Group LLC Responsible Principal of Contractor: Craig Underwood, President Notice Information - Contractor: BLX Group LLC 777 S. Figueroa Street, Suite 3200 Los Angeles, CA 90017 Attention: Craig Underwood, President Phone: 213-612-2463 Email: cunderwood@blxgroup.com Notice Information - City: City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 Attention: William Fox, Finance Director Telephone: (323) 583-8811 ext. 849 Email: wfox@ci.vernon.ca.us Commencement Date: October 17, 2017 Termination Date: .tune 30, 2019 Consideration: Total not to exceed $200,000 per fiscal year or a grand total of$600,000 (includes all applicable sales tax); and more particularly described in Exhibit A Records Retention Period Three (3) years, pursuant to Section 10.20 1 SERVICES AGREEMENT BETWEEN THE CITY OF VERNON AND BLX GROUP LLC, FOR FINANCIAL ADVISORY SERVICES FOR FISCAL YEARS 2017 THROUGH 2O19 This Contract is made between the City of Vernon ("City"), a California charter City and California municipal corporation ("City"), and BLX Group LLC, a limited liability corporation ("Contractor). The City and Contractor agree as follows: 1.0 EMPLOYMENT OF CONTRACTOR. City agrees to engage Contractor to perform the services as hereinafter set forth as authorized by the City Council on October 17, 2017. 2.0 SCOPE OF SERVICES. 2.1 Contractor shall perform all work necessary to complete the services set forth in the Request for Proposals dated August 21, 2017, Exhibit "A", and Contractors proposal to the City ("Proposal') dated September 21, 2017, Exhibit "B", both of which are attached to and incorporated into this Contract, by reference. 2.2 All services shall be performed to the satisfaction of City. 2.3 All services shall be performed in a competent, professional, and satisfactory manner in accordance with the prevailing industry standards for such services. 3.0 PERSONNEL. 3.1 Contractor represents that it employs, or will employ, at its own expense, all personnel required to perform the services under this Contract. 3.2 Contractor shall not subcontract any services to be performed by it under this Contract without prior written approval of City. 3.3 All of the services required hereunder will be performed by Contractor or by City-approved subcontractors. Contractor, and all personnel engaged in the work, shall be fully qualified and authorized or permitted under State and local law to perform such services and shall be subject to approval by the City. 2 4.0 TERM. The Contractor shall commence on October 17, 2017, and it shall continue until June 30, 2019, unless terminated at an earlier date pursuant to the provisions thereof. 5.0 COMPENSATION AND FEES. 5.1 Contractor has established rates for the City of Vernon which are comparable to and do not exceed the best rates offered to other governmental entities in and around Los Angeles County for the same services. For satisfactory and timely performance of the services, the City will pay Contractor in accordance with the payment schedule set forth in Exhibit "B" attached hereto and incorporated herein by reference. 5.2 Contractor's grand total compensation for the entire term of this Contract, including change orders, shall not exceed $600,000 without the prior authorization of the City Council and written amendment of this Contract. 5.3 Contractor shall, at its sole cost and expense, furnish all necessary and incidental labor, material, supplies, facilities, equipment, and transportation which may be required for furnishing services pursuant to this Contract. Materials shall be of the highest quality. The above Contract fee shall include all staff time and all clerical, administrative, overhead, insurance, reproduction, telephone, air travel, auto rental, subsistence, and all related costs and expenses. 5.4 City shall reimburse Contractor only for those costs or expenses specifically approved in this Agreement, or specifically approved in writing in advance by City. Unless otherwise approved, such costs shall be limited and include nothing more than the following costs incurred by Contractor: 5.4.1 The actual costs of subcontractors for performance of any of the services that Contractor agrees to render pursuant to this Agreement, which have been approved in advance by City and awarded in accordance with this Agreement. 5.4.2 Approved reproduction charges. 5.4.3 Actual costs and/or other costs and/or payments specifically authorized in advance in writing and incurred by Contractor in the performance of this Agreement. 5.5 Contractor shall not receive any compensation for extra work performed without the prior written authorization of City. As used herein, "extra work" means any work that is determined by City to be necessary for the proper completion of the Project, but which is not included within the Scope of Services and which the parties did not reasonably anticipate would be necessary at the time of execution of this Agreement. Compensation for any authorized extra work shall be paid in accordance with the payment schedule as set forth in Exhibit "B," if the extra work has been approved by the City. 5.6 Licenses, Permits. Fees, and Assessments. Contractor shall obtain, at Contractor's sole cost and expense, such licenses, permits, and approvals as may be required by law for the performance of the services required by this Agreement. Contractor shall have the sole obligation to pay for any fees, assessments, and taxes, plus applicable penalties and interest, which may be imposed by law and which arise from or are necessary for the performance of the Services by this Agreement. 6.0 PAYMENT. 6.1 As scheduled services are completed, Contractor shall submit to the City an invoice for the services completed, authorized expenses, and authorized extra work actually performed or incurred according to said schedule. 6.2 Each such invoice shall state the basis for the amount invoiced, including a detailed description of the services completed, the number of hours spent, reimbursable expenses incurred and any extra work performed. 6.3 Contractor shall also submit a progress report with each invoice that describes in reasonable detail the services and the extra work, if any, performed in the immediately preceding calendar month. 4 6.4 Contractor understands and agrees that invoices which lack sufficient detail to measure performance will be returned and not processed for payment. 6.5 City will pay Contractor the amount invoiced within thirty (30)days after the City approves the invoice. 6.6 Payment of such invoices shall be payment in full for all services, authorized costs, and authorized extra work covered by that invoice. 7.0 CHANGE ORDERS. The Director of the Department of Finance shall have the authority to issue change orders for administrative and non-material changes to the scope of services and to the time for performance as long as the change orders do not increase the compensation due to Contractor under this Contract and as long as the time is not extended beyond three years. 8.0 CITY'S RESPONSIBILITY. City shall cooperate with Contractor as may be reasonably necessary for Contractor to perform its services; and will give any required decisions as promptly as practicable so as to avoid unreasonable delay in the progress of Contractor's services. 9.0 COORDINATION OF SERVICES. Contractor agrees to work closely with City staff in the performance of Services and shall be available to City's staff, consultants, and other staff at all reasonable times. 9.1 INDEMNITY. Contractor agrees to indemnify City, its officers, elected officials, employees and agents against, and will hold and save each of them harmless from, any and all actions, suits, claims, damages to persons or property, losses, costs, penalties, obligations, errors, omissions or liabilities (herein "claims or liabilities"), including but not limited to professional negligence, that may be asserted or claimed by any person, firm or entity arising out of or in connection with the work, operations or activities of Contractor, its agents, employees, subcontractors, or invitees, provided for herein, or arising from the acts or omissions of Contractor hereunder, or arising from Contractor's performance of or failure to perform any term, provision, covenant or condition of this Agreement, except to the extent such 5 claims or liabilities arise from the gross negligence or willful misconduct of City, its officers, elected officials, agents or employees. 9.2 INSURANCE. Contractor shall, at its own expense, procure and maintain policies of insurance of the types and in the amounts set forth below, for the duration of the Contract, including any extensions thereto. The policies shall state that they afford primary coverage. 9.2.1 Automobile Liability with minimum limits of at least $1,000,000, including owned, hired, and non-owned liability coverage if written on a Commercial automobile liability form. 9.2.2 General Liability with minimum limits of at least $1,000,000 per occurrence with a combined aggregate of $2,000,000 written on an Insurance Services Office (ISO) Comprehensive General Liability "occurrence" form or its equivalent for coverage on an occurrence basis. Premises/Operations and Personal Injury coverage is required. The City of Vernon, its directors, commissioners, officers, employees, agents and volunteers must be endorsed on the policy as additional insureds as respects liability arising out of the Contractors performance of this Contract. 9.2.3 If Contractor employs other contractors as part of the services rendered, Contractors Protective Coverage is required. Contractor may include all subcontractors as insureds under its own policy or shall furnish separate insurance for each subcontractor, meeting the requirements set forth herein. 9.2.4 Professional Errors and Omissions coverage of at least $2,000,000. 9.2.5 Contractor shall comply with the applicable sections of the California Labor Code concerning workers' compensation for injuries on the job. Compliance is accomplished in one of the following manners: (i) Provide copy of permissive self-insurance certificate approved by the State of California; or (ii) Secure and maintain in force a policy of workers' compensation insurance with statutory limits and Employer's Liability Insurance with a minimal limit 6 of$1,000,000 per accident. The policy shall be endorsed to waive all rights of subrogation against City, its directors, commissioners, officers, employees, and volunteers for losses arising from performance of this Contract; or (iii) Provide a "waiver' form certifying that no employees subject to the Labor Code's Workers' Compensation provision will be used in performance of this Contract. 9.2.6 Each insurance policy included in this clause shall be endorsed to state that coverage shall not be cancelled except after thirty (30) days' prior written notice to City. 9.2.7 insurance shall be placed with insurers with a Best's rating of at least A-VIII. 9.2.8 Prior to commencement of performance. Contractor shall furnish City with a certificate of insurance for each policy. Each certificate is to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificate(s) must be in a form approved by City. City may require complete, certified copies of any or all policies at any time. 9.2.9 Failure to maintain required insurance at all times shall constitute a default and material breach. In such event, Contractor shall immediately notify City and cease all performance under this Contract until further directed by the City. In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney's fees and costs against Contractor by way of set-off or recoupment from sums due Contractor, at City's option; (b) immediately terminate this Contract; or(c) self-insure the risk, with all damages and costs incurred, by judgment, settlement or otherwise, including attorney's fees and costs, being collectible from Contractor, by way of set-off or recoupment from any sums due Contractor. 10.0 GENERAL TERMS AND CONDITIONS. 10.1 INDEPENDENT CONTRACTOR. 7 10.1.1 It is understood that in the performance of the services herein provided for, Contractor shall be, and is, an independent contractor, and is not an agent, officer or employee of City and shall furnish such services in its own manner and method except as required by this Contract, or any applicable statute, rule, or regulation. Further, Contractor has and shall retain the right to exercise full control over the employment, direction, compensation and discharge of all persons employed by Contractor in the performance of the services hereunder. City assumes no liability for Contractor's actions and performance, nor assumes responsibility for taxes, bonds, payments, or other commitments, implied or explicit, by or for Contractor. Contractor shall be solely responsible for, and shall indemnify, defend and save City harmless from all matters relating to the payment of its employees, subcontractors and independent contractors, including compliance with social security, withholding and all other wages, salaries, benefits, taxes, exactions, and regulations of any nature whatsoever. 10.1.2 Contractor acknowledges that Contractor and any subcontractors, agents or employees employed by Contractor shall not, under any circumstances, be considered employees of the City, and that they shall not be entitled to any of the benefits or rights afforded employees of City, including, but not limited to, sick leave, vacation leave, holiday pay, Public Employees Retirement System benefits, or health, life, dental, long-term disability or workers' compensation insurance benefits. 10.2 CONTRACTOR NOT AGENT. Except as the City may authorize in writing, Contractor and its subcontractors shall have no authority, express or implied, to act on behalf of or bind the City in any capacity whatsoever as agents or otherwise. 10.3 OWNERSHIP OF WORK. All documents and materials furnished by the City to Contractor shall remain the property of the City and shall be returned to the City upon termination of this Agreement. All reports, drawings, plans, specifications, computer tapes, floppy disks and printouts, studies, memoranda, computation sheets, and other documents prepared by Contractor in furtherance of the work shall be the sole property of City and shall be delivered to City whenever requested at no additional cost to the City. Contractor shall keep 8 such documents and materials on file and available for audit by the City for at least three (3) years after completion or earlier termination of this Contract. Contractor may make duplicate copies of such materials and documents for its own files or for such other purposes as may be authorized in writing by the City. 10.4 CORRECTION OF WORK. Contractor shall promptly correct any defective, inaccurate or incomplete tasks, deliverables, goods, services and other work, without additional cost to the City. The performance or acceptance of services furnished by Contractor shall not relieve the Contractor from the obligation to correct subsequently discovered defects, inaccuracy, or incompleteness. 10.5 RESPONSIBILITY FOR ERRORS. Contractor shall be responsible for its work and results under this Agreement. Contractor, when requested, shall furnish clarification and/or explanation as may be required by the City, regarding any services rendered under this Agreement at no additional cost to City. In the event that an error or omission attributable to Contractor occurs, then Contractor shall, at no cost to City, provide all necessary design drawings, estimates and other Contractor professional services necessary to rectify and correct the matter to the sole satisfaction of City and to participate in any meeting required with regard to the correction. 10.6 WAIVER. The City's waiver of any term, condition, breach, or default of this Contract shall not be considered to be a waiver of any other term, condition, default or breach, nor of a subsequent breach of the one waived. The delay or failure of either party at any time to require performance or compliance by the other of any of its obligations or agreements shall in no way be deemed a waiver of those rights to require such performance or compliance. No waiver of any provision of this Agreement shall be effective unless in writing and signed by a duly authorized representative of the party against whom enforcement of a waiver is sought. 10.7 SUCCESSORS. This Contract shall inure to the benefit of, and shall be binding upon, the parties hereto and their respective heirs, successors, and/or assigns. 10.8 NO ASSIGNMENT. Contractor shall not assign or transfer this Contract 9 or any rights hereunder without the prior written consent of the City and approval by the City Attorney, which may be withheld in the City's sole discretion. Any unauthorized assignment or transfer shall be null and void and shall constitute a material breach by the Contractor of its obligations under this Contract. No assignment shall release the original parties from their obligations or otherwise constitute a novation. 10.9 COMPLIANCE WITH LAWS. Contractor shall comply with all Federal, State, County and City laws, ordinances, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof, including but without limitation, the Vernon Living Wage Ordinance. Violation of any law material to performance of this Contract shall entitle the City to terminate the Contract and otherwise pursue its remedies. Further, if the Contractor performs any work knowing it to be contrary to such laws, rules, and regulations Contractor shall be solely responsible for all costs arising therefrom. 10.10 ATTORNEY'S FEES. If any action at law or in equity is brought to enforce or interpret the terms of this Contract, the prevailing party shall be entitled to reasonable attorney's fees, costs, and necessary disbursements in addition to any other relief to which such party may be entitled. 10.11 INTERPRETATION. 10.11.1 Applicable Law. This Contract shall be deemed a contract and shall be governed by and construed in accordance with the laws of the State of California. Contractor agrees that the State and Federal courts which sit in the State of California shall have exclusive jurisdiction over all controversies and disputes arising hereunder, and submits to the jurisdiction thereof. 10.11.2 Entire Agreement. This Contract, including any exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation, and agreements (written or oral). 10 10.11.3 Written Amendment. This Contract may only be changed by written amendment signed by Contractor and the City Administrator or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Contract shall be of no force or effect. 10.11.4 Severability. If any provision in this Contract is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Contract, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Contract. 10.11.5 Order of Precedence. In case of conflict between the terms of this Contract and the terms contained in any document attached as an Exhibit or otherwise incorporated by reference, the terms of this Contract shall strictly prevail. The terms of the City's Request for Proposals shall control over the Contractor's Proposal. 10.11.8 Duplicate Originals. There shall be two (2) fully signed copies of this Contract, each of which shall be deemed an original. 10.11.9 Construction. In the event an ambiguity or question of intent or interpretation arises with respect to this Agreement, this Agreement shall be construed as if drafted jointly by the parties and in accordance with its fair meaning. There shall be no presumption or burden of proof favoring or disfavoring any party by virtue of the authorship of any of the provisions of this Agreement. 10.12 TIME OF ESSENCE. Time is strictly of the essence of this contract and each and every covenant, term, and provision hereof. 10.13 AUTHORITY OF CONTRACTOR. The Contractor hereby represents and warrants to the City that the Contractor has the right, power, legal capacity, and authority to enter into and perform its obligations under this Contract, and its execution of this Contract has been duly authorized. 10.14 ARBITRATION OF DISPUTES. Any dispute for under $25,000 11 arising out of or relating to the negotiation, construction, performance, non-performance, breach, or any other aspect of this Contract, shall be settled by binding arbitration in accordance with the Commercial Rules of the American Arbitration Association at Los Angeles, California and judgment upon the award rendered by the Arbitrators may be entered in any court having jurisdiction thereof. The City does not waive its right to object to the timeliness or sufficiency of any claim filed or required to be filed against the City and reserves the right to conduct full discovery. 10.15 NOTICES. Any notice or demand to be given by one party to the other must be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Vernon or any other City department is not adequate notice. If to the City: City of Vernon Attention: Finance Director 4305 Santa Fe Avenue Vernon, CA 90058 If to the Contractor: BLX Group LLC Attention: President 777 S. Figueroa Street, Suite 3200 Los Angeles, CA 90017 Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt, or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 10.16 NO THIRD PARTY RIGHTS. This Agreement is entered into for the sole benefit of City and Contractor and no other parties are intended to be direct or incidental beneficiaries of this Agreement and no third party shall have any right or remedy in, under, or to 12 this Agreement. 10.17 TERMINATION FOR CONVENIENCE (Without Cause). City may terminate this Contract in whole or in part at any time, for any cause or without cause, upon fifteen (15) calendar days' written notice to Contractor. If the Contract is thus terminated by City for reasons other than Contractors failure to perform its obligations, City shall pay Contractor a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be Contractor's exclusive remedy for termination without cause. 10.18 DEFAULT. In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Contract by written notice to the defaulting party. The notice shall specify the basis for the default. The Contract shall terminate unless such default is cured before the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. In case of default by Contractor, the City reserves the right to procure the goods or services from other sources and to hold the Contractor responsible for any excess costs occasioned to the City thereby. Contractor shall not be held accountable for additional costs incurred due to delay or default as a result of Force Majeure. Contractor must notify the City immediately upon knowing that non-performance or delay will apply to this Contract as a result of Force Majeure. At that time Contractor is to submit in writing a Recovery Plan for this Contract. If the Recovery Plan is not acceptable to the City or not received within 10 days of the necessary notification of Force Majeure default, then the city may cancel this order in its entirety at no cost to the City, owing only for goods and services completed to that point. 10.19 TERMINATION FOR CAUSE. Termination for cause shall relieve the terminating party of further liability or responsibility under this Contract, including the payment of money, except for payment for services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of(1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs 13 incurred by the City in obtaining substitute performance. If this Agreement is terminated as provided herein, City may require, at no additional cost to City, that Contractor provide all finished or unfinished documents, data, and other information of any kind prepared by Contractor in connection with the performance of Services under this Agreement. Contractor shall be required to provide such document and other information within fifteen (15) days of the request. 10.19.1 Additional Services. In the event this Agreement is terminated in whole or in part as provided herein, City may procure, upon such terms and in such manner as it may determine appropriate, services similar to those terminated. 10.20 MAINTENANCE AND INSPECTION OF RECORDS. The City, or its authorized auditors or representatives, shall have access to and the right to audit and reproduce any of the Contractor's records to the extent the City deems necessary to insure it is receiving all money to which it is entitled under the Contract and/or is paying only the amounts to which Contractor is properly entitled under the Contract or for other purposes relating to the Contract. The Contractor shall maintain and preserve all such records for a period of at least three (3) years after termination of the Contract. The Contractor shall maintain all such records in the City of Vernon. If not, the Contractor shall, upon request, promptly deliver the records to the City of Vernon or reimburse the City for all reasonable and extra costs incurred in conducting the audit at a location other than the City of Vernon, including, but not limited to, such additional (out of the City) expenses for personnel, salaries, private auditors, travel, lodging, meals, and overhead. 10.21 CONFLICT. Contractor hereby represents, warrants, and certifies that no member, officer, or employee of the Contractor is a director, officer, or employee of the City of Vernon, or a member of any of its boards, commissions, or committees, except to the extent permitted by law. 14 10.22 HEADINGS. Paragraphs and subparagraph headings contained in this Agreement are included solely for convenience and are not intended to modify, explain or to be a full or accurate description of the content thereof and shall not in any way affect the meaning or interpretation of this Agreement. 10.23 ENFORCEMENT OF WAGE AND HOUR LAWS. Eight hours labor constitutes a legal days work. The Contractor, or subcontractor, if any, shall forfeit twenty-five dollars ($25) for each worker employed in the execution of this Agreement by the respective Contractor or subcontractor for each calendar day during which the worker is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of Sections 1810 through 1815 of the California Labor Code as a penalty paid to the City; provided, however, work performed by employees of contractors in excess of 8 hours per day, and 40 hours during any one week, shall be permitted upon compensation for all hours worked in excess of 8 hours per day at not less than 1%, times the basic rate of pay. 10.24 LIVING WAGES. Contractor, and any Subcontractor(s), shall comply with the City's Living Wage Ordinance. The current Living Wage Standards are set forth in Exhibit "D". Upon the City's request, certified payroll records shall promptly be provided to the City. 10.25 EQUAL EMPLOYMENT OPPORTUNITY PRACTICES. Contractor certifies and represents that, during the performance of this Contract, it and any other parties with whom it may subcontract shall adhere to equal employment opportunity practices to assure that applicants, employees and recipients of service are treated equally and are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex, age, medical condition, sexual orientation or marital status. Contractor further certifies that it will not maintain any segregated facilities. Contractor further agrees to comply with The Equal Employment Opportunity Practices provisions as set forth in Exhibit "E". 15 IN WITNESS WHEREOF, the Parties have signed this Agreement as of the Commencement Date stated on the cover page. City of Vernon, a California charter City BLX Group LLC, a limited liability corporation and California municipal corporation By: Name: By: Title: Carlos Fandino, City Administrator ATTEST: By: Name: Maria E. Ayala, City Clerk Title: APPROVED AS TO FORM: Zaynah Moussa, Senior Deputy City Attorney 16 EXHIBIT A REQUEST FOR PROPOSALS 17 City of Vernon Request for Proposals (RFP) Financial Advisory Services ,of v4p ` F_ egos rGUN LY 110) City of Vernon Finance Department 4305 Santa Fe Avenue, Vernon, CA 90058 Phone: (323) 583-8811 City of Vernon Financial Advisory Services Request for Proposals 1. INTRODUCTION AND PROJECT The City of Vernon is requesting proposals for financial advisory services to assist in the development of financing alternatives for sustainability and growth, potential economic development projects, debt issuance and refunding, compliance reporting, and other financial studies as may be requested for the next three (3) years. The City will select one firm, based on demonstrated competence and a cost effective approach to design, conduct, and assist with the objectives as directed. 2. BACKGROUND The City of Vernon was founded in 1905, is approximately 5.2 square miles in size and is located approximately 5 miles southeast of downtown Los Angeles California. Over its long history, Vernon has been developed as an industrial community. At the turn of the 201 century the lands that make up Vernon were comprised largely of farmlands. The presence of three major rail lines in the area led influential business and property owners to encourage the railroad companies to run spur lines onto the farmlands. These rail extensions enabled the creation of an "exclusively industrial" city. By the 1920's, Vernon was attracting large stockyards and meatpacking facilities. In the 1930's, Vernon became the location of choice for many heavy industrial plants. As economic conditions changed over the decades, these large scale industrial operations have relocated out of Southern California and Vernon has attracted smaller, lighter industrial facilities. The City's business friendly environment, low cost utilities and key location for trucking and rail transport continue to position Vernon as an ideal location for industrial uses. City Government: The City Council consists of five members, elected at-large, who serve five-year staggered terms. The City Council annually appoints a Mayor and a Mayor Pro Tern from its own membership to serve one-year terms. Labor Force: Vernon has approximately 280 employees, and its departments include a Fire Department, Police Department, Finance Department, Public Works Department, Public Utilities Department and Health and Environmental Control Department. Present bargaining units recognized include the Vernon Police Officers Benefit Association, Vernon Police Management Association, Vernon Firemen's Association, the Vernon Fire Management Association, International Brotherhood of Electrical Workers Local 47, and Teamsters Local 911. 3. ISSUES OR PROBLEMS TO BE ADDRESSED The City of Vernon needs Financial Advisory Services to cover a number of topics focused around utility operations, economic development, and the Successor Agency_ a. Serve as a consultant on recommending financing alternatives for sustainability and growth- b. Serve as a consultant on debt issuance and refunding. c. Serve as a consultant on compliance reporting, including continuing disclosure reports, arbitrage reports, and rating presentations. d. Serve as a consultant on rate designs. e. Serve as a consultant on economic development projects. Page 2 of 35 City of Vernon Financial Advisory Services Request for Proposals 4. SCOPE OF SERVICES REQUIRED The City of Vernon is seeking the services of a highly qualified consulting firm to assist in: a. Prepare and deliver presentations designed to facilitate an understanding of public sector financing and its implications to the City and other governing boards or commissions as may be necessary. b. Evaluate legal approaches permitting various financing structures and propose financing methods, with emphasis on innovation, to be considered for accomplishing the City's objectives. This will be done in conjunction with the City's staff and legal counsel. c. Analyze the advantages and disadvantages of each proposal financing method and provide a written report. d. Review existing revenue sharing agreements, tax rebate agreements and debt commitments to determine potential impacts, if any, on the proposed financing and make appropriate recommendations to the City's financing team. e. Work with the City's bond counsel and financing team in recommending size, structure, specific terms and conditions of a debt issue. Present information regarding method of sale, including publicly offered and privately negotiated options. f. Analyze the financing impact of project costs, cash flow projections and rate implications. Evaluate the projected cash flow from any revenue source that may constitute security for any obligation incurred. g. Participate in the development of alternate strategies with City's financing team. h. Assist in the selection and formation of a financing team, including preparing a list of services required of underwriter, trustee, verification agent and other professionals, as agreed upon. i. Advise the City's financing team on areas of industry specific knowledge that affects the financing and marketing of the project's debt. j. Assist bond counsel in preparing the text of an official statement and related disclosures as required. Official statements will include a description of the securities, the project, and pertinent financial and economic data. In the preparation of such an official statement, assist the City in ascertaining material facts and circumstances regarding the project. The official statement will be printed and mailed, together with copies of the official notice and sale and basic legal documents, to a comprehensive list of prospective bidders. k. Assist the City in negotiating and/or making presentations bond insurance companies and/or rating agencies. These agencies may require sufficient Page 3 of 35 City of Vernon Financial Advisory Services Request for Proposals information to receive the highest possible rating on any securities prior to the sale of such securities. I. Prior to the sale of securities, assist in representing the City at information meetings in various locations if such meetings are necessary or desirable. m. Manage and negotiate sale process to insure it is competitive. Arrange for advertising and premarketing of issue. Represent the City at the bid opening for a public sale and analyze the bids, identify the most favorable bid, and make a recommendation as to award bid. Act as the City's agent if bid negotiations are required. After the bid is awarded, prepare an actual debt service table based on accepted coupon rates. In the event of a negotiated offering, assist the City in negotiating appropriate terms, reviewing spreads, comparing deals, analyzing market levels, and clarifying syndicate roles with selected underwriter. n. Assist the City in closing the financing, which includes selecting a bond printer and in advising the City on the investment of proceeds pending expenditures. The Financial Advisor will report to the Finance Director. S. QUALIFICATIONS & CRITERIA Qualifications: The City of Vernon will select one firm for all of the outlined Scope of Service on the basis of qualifications, experience, and cost. The following are the minimum qualifications to be used to evaluate responses to this Request for Proposals: a) Ability to provide required financial advisory services in or with accessibility to a Los Angeles area office. City of L.A. area office location must be specified. b) Employ a minimum of two professionals in the local Los Angeles area office who serve in the capacity of financial advisor, analyst, or other key professional. Individuals and their respective qualifications must be identified in response (See Section G of this RFP). c) Demonstrate a thorough understanding of the City's financial situation. This should include discussion of existing bond liabilities, bond structure and maturities, and existing credit ratings from rating agencies. d) List at least three clients that are California Public agencies (municipalities and Special Districts) whose organizations and utility operations are comparable to the City of Vernon. e) List government entity registrations under which the firm operates. Firm must provide documentation that indicates a good standing with each. If not in good standing, an explanation must be provided. f) Must disclose any violations of Federal, state or local regulations or laws within the last three years, and any pending or current litigation. Page 4 of 35 City of Vernon Financial Advisory Services Request for Proposals g) Must disclose whether there is pending or under investigation matters for your firm on enforcement or disciplinary actions by the SEC and other regulatory bodies. Describe what impact or potential impact this will have on ability to provide financial advisory services to the City of Vernon. h) No professional and/or ethical conflict with the City of Vernon's interests. Any potential conflicts must be disclosed. This includes disclosure of finder's fees, fee splitting, payments to consultants, or other contractual arrangements. i) Demonstrated experience with continuing disclosure reporting for clients, as required to ensure compliance with SEC and other governmental reporting entities. j) Demonstrated experience with arbitrage reporting for clients to ensure that tax and regulatory compliance is adhered to. Selection Criteria: The City will conduct a comprehensive, fair, and impartial evaluation of proposals received in response to this RFP. All proposals received will be reviewed and evaluated by a committee of qualified personnel. The name, information, or experience of the individual members will not be made available to any proposer. The Evaluation Committee will first review and screen all proposals submitted, except for the cost proposals, according to the minimum qualifications set forth above. The following criteria will be used in reviewing and comparing the proposals and in determining the highest scoring bid: a) 40% Qualifications, background and prior experience of the firm in the Service Area(s) being proposed, experience of key staff assigned to oversee services provided to Vernon, evaluation of size and scope of similar work performed and success on that work. b) 30% Cost and fees to the City for handling matters. Cost is not the sole determining factor but will be taken into consideration. Proposer must offer services at a rate comparable to the rate proposer offers to other governmental entities for similar work. Offering a higher rate to the City than the comparable rate is grounds for disqualification of the Proposer. If rates differ for different types or levels of service, or for different Service Areas, the Proposer should so state. c) 10% Responsiveness to the RFP, and quality and responsiveness of the proposal. d) 20% References including past performance of proposer. 6. FORMAT AND DELIVERY OF RESPONSE Respondents are asked to submit one (1) unbound original, seven (7) hard copies and one (1) electronic copy (via email to wfox@ci.vernon.ca.us) of their proposals in sufficient detail to allow for a thorough evaluation and comparative analysis. The proposal should include, at a minimum, the following information in sectionalized format addressing all phases of the work in the RFP Page 5 of 35 City of Vernon Financial Advisory Services Request for Proposals A Format: Limit your proposal to 20 typed 8.5" X 11" pages, or fewer, on white bond paper of at least 20-pound weight single sided (excluding cover letter and attachments. You may attach a firm brochure if you wish, but it must be as a separate attachment and independent from the required elements noted above. 1. Use a conventional typeface with a minimum font size of 12 points. Use a 1" margin on all boarders. 2 Organize your submittal in the order described above. 3. Prominently label the package: "Financial Advisory Services Request for Proposals" and include the name of the primary contact for the respondent. Deliver the response to: City of Vernon Attention: William Fox, Finance Director 4305 Santa Fe Avenue Vernon, CA 90058 4. Responses are due on or before 5:00 p.m. on September 21, 2017. Late response will not be accepted. 5. If you have any questions about this RFP, please contact William Fox at (323) 583-8811 ext. 849. Please note that any questions asked and any response provided by Vernon will be sent to every person who will be submitting a proposal, to the extent the City is aware of them. B. Cover Letter: All proposals shall include a cover letter which states that the proposal shall remain valid for a period of not less than ninety (90) days from the date of submittal. If the proposal contemplates the use of sub-contractors, the sub- contractors shall be identified in the cover letter. If the proposal is submitted by a business entity, the cover letter shall be signed by an officer authorized to contractually bind the business entity. With respect to the business entity, the cover letter shall also include: the identification of the business entity, including the name, address and telephone number of the business entity; and the name, title, address and telephone number of a contact person during the proposal evaluation period. C. Introduction: Present an introduction of the proposal and your understanding of the assignment and significant steps, methods and procedures to be employed by the proposer to ensure quality deliverables that can be delivered within the required time frames and your identified budget. D General Scope of Work: Briefly summarize the scope of work as the proposer perceives or envisions it for each Service Area proposed- E. Work Plan: Present concepts for conducting the work plan and interrelationship of Page 6 of 35 City of Vernon Financial Advisory Services Request for Proposals all projects. Define the scope of each task including the depth and scope of analysis or research proposed. F. Fees and costs: Although an important aspect of consideration, the financial cost estimate will not be the sole justification for consideration. Negotiations may or may not be conducted with the proposer; therefore, the proposal submitted should contain the proposer's most favorable terms and conditions, since selection and award may be made without discussion with any firm. All prices should reflect "not to exceed" amounts per item. Proposer must offer services at a rate comparable to the rate proposer offers to other governmental entities for similar work. Offering a higher rate to the City than the comparable rate is grounds for disqualification of the Proposer. G Ability of the Proposer to Perform: Provide a detailed description of the proposer and his/her/its qualifications, including names, titles, detailed professional resumes and past experience in similar work efforts/products of key personnel who will be working on the assignment. Provide a list of specific related work projects that have been completed by the proposer which are directly related to the assignment described in this RFP. Note the specific individuals who completed such project(s). Identify role and responsibility of each member of the project team. Include the amount of time key personnel will be involved in the respective portions of the assignment. Respondents are encouraged to supply relevant examples of their professional product. Provide a list of references. The selected firm shall not subcontract any work under the RFP nor assign any work without the prior written consent of the City. H. "Affidavit of Non-Collusion: Proposer must submit a completed and signed, "Affidavit of Non-Collusion." (Copy attached as Exhibit A) 7. ADDENDA CHANGES AND AMENDMENTS TO THIS SOLICITATION At any time prior to the due date for responses, the City may make changes, amendments, and addenda to this solicitation, including changing the date due to allow respondents time to address such changes. Addenda, changes, and amendments, if made, will be posted on the City's website (www.cityofvernon.org), which is deemed adequate notice. A proposer may make a request to the City's project coordinator to be placed on a list of persons to receive notice of any such addenda, changes, or amendments. The preferred manner of communications is via e-mail due to its timeliness. 8. CONDITIONS FOR RESPONSES TO RFP The following conditions apply to this RFP process: a) Nothing contained in this RFP shall create any contractual relationship between the respondent and the City. Page 7 of 35 City of Vernon Financial Advisory Services Request for Proposals b) This RFP does not obligate the City to establish a list of service providers qualified as prime contractors, or award a contract to any respondent. The City reserves the right to amend or cancel this RFP without prior notice, at any time, at its sole discretion. c) The City shall not be liable for any expenses incurred by any individual or organization in connection with this RFP. d) No conversations or agreements with any officer, agent, or employee of the City shall affect or modify any terms of this RFP. Oral communications or any written/e-mail materials provided by any person other than designated contact staff of the City shall not be considered binding. e) The City reserves the right, in its sole discretion, to accept or reject any or all Proposals without prior notice and to waive any minor irregularities or defects in a Proposal. The City reserves the right to seek clarification on a Proposal with any source. f) The dates, times, and sequence of events related to this RFP shall Ultimately be determined by the City. The schedule shown above is subject to change, at the sole discretion of the City, although the City will attempt to follow it and, if it must be altered, will attempt to provide reasonable notice of the changes. g) Respondents shall not issue any news release pertaining to this RFP, or the City without prior written approval of the City. h) All submitted proposals and information included therein or attached thereto shall become public record upon delivery to the City. 9. RIGHT BY THE CITY TO WITHDRAW THIS REQUEST The City may, at its sole discretion and for any reason whatsoever, withdraw this solicitation at any time. 10. LIVING WAGE ORDINANCE The selected consultant shall pay qualifying employees a wage of not less than $10.30 per hour with health benefits, or $11.55 per hour without health benefits. The consultant shall also provide qualifying employees at least twelve days off per year for sick leave, vacation or personnel necessity, and an additional ten days a year of uncompensated time for sick leave. There shall be a prohibition on an employer retaliation against an employee's complaining to the City with regard to the employer's compliance with the living wage ordinance. Contractor, and any Subcontractor(s), shall comply with the City's Living Wage Ordinance. The current Living Wage Standards are set forth in Exhibit "D" of the standard form contract, attached hereto as Exhibit B. Upon the City's request, certified payroll records shall promptly be provided to the City. Page 8 of 35 City of Vernon Financial Advisory Services Request for Proposals 11. STANDARD TERMS AND CONDITIONS Prior to the award of any work hereunder, City and proposer shall enter into the written contract for services attached hereto as Exhibit B. Proposers responding to this RFP are strongly advised to review all the terms and conditions of the Contract. The term of the Contract shall not exceed three (3) years. Page 9 of 35 City of Vernon Financial Advisory Services Request for Proposals EXHIBIT A AFFIDAVIT OF NON-COLLUSION Page 10 of 35 City of Vernon Financial Advisory Services Request for Proposals AFFIDAVIT OF NON-COLLUSION BY CONTRACTOR STATE OF CALIFORNIA ) ss COUNTY OF LOS ANGELES ) being first duly sworn deposes and says that he/she is (Insert"Sole 0wrter" "Partner","President,"Secretary",or other proper title) Of (Insert name of bidder) who submits herewith to the City of Vernon a bid/proposal; That all statements of fact in such bid/proposal are true; That such bid/proposal was not made in the interest of or on behalf of any undisclosed person, partnership,company,association,organization or corporation; That such bid/proposal is genuine and not collusive or sham; That said bidder has not,directly or indirectly by agreement,communication or conference with anyone attempted to induce action prejudicial to the interest of the City of Vernon, or of any other bidder or anyone else interested in the proposed contract;and further That prior to the public opening and reading of bids/proposals,said bidder: a. Did not directly or indirectly, induce or solicit anyone else to submit a false or sham bid/proposal; b. Did not directly or indirectly, collude, conspire,connive or agree with anyone else that said bidder or anyone else would submit a false or sham bid/proposal, or that anyone should refrain from bidding or withdraw his/her bid/proposal; C. Did not, in any manner, directly or indirectly seek by agreement, communication or conference with anyone to raise or fix the bid/proposal price of said bidder or of anyone else, or to raise or fix any overhead, profit or cost element of his/her bid/proposal price,or of that of anyone else; d. Did not, directly or indirectly, submit his/her bid/proposal price or any breakdown thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof, or to any individual or group of individuals, except the City of Vernon, or to any person or persons who have a partnership or other financial interest with said bidder in his/her business. I certify under penalty of perjury that the above information is correct By: Title: Date: Page 1 l of 35 City of Vernon Financial Advisory Services Request for Proposals EXHIBIT B STANDARD FORM CONTRACT Page 12 of 35 City of Vernon Financial Advisory Services Request for Proposals SERVICES AGREEMENT BETWEEN THE CITY OF VERNON AND [CONTRACTOR'S NAME] FOR (BRIEF DESCRIPTION OF SERVICES] COVER PAGE Contractor: [insert name of contractor] Responsible Principal of Contractor: [insert name, title] Notice Information - Contractor: [insert name of contractor] [insert street address] [insert city, state, zip code] Attention: [insert name, title] Phone: [insert phone number] Facsimile: [insert fax number] Notice Information - City: City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 Attention: [insert department head] [insert department head title] Telephone: (323) 583-8811 ext_ [insert] Facsimile: (insert fax number] Commencement Date: [insert commencement date] Termination Date: [insert termination date] Consideration: Total not to exceed $[insert amount] (includes all applicable sales tax); and more particularly described in Exhibit C Records Retention Period Three (3) years, pursuant to Section 10.20 Page 13 of 35 City of Vernon Financial Advisory Services Request for Proposals SERVICES AGREEMENT BETWEEN THE CITY OF VERNON AND [CONTRACTOR'S NAME] FOR [BRIEF DESCRIPTION OF SERVICES] This Contract is made between the City of Vernon ("City"), a California charter City and California municipal corporation ("City"), and [Contractor's Name], a [State incorporated in] corporation ("Contractor"). The City and Contractor agree as follows: 1.0 EMPLOYMENT OF CONTRACTOR. City agrees to engage Contractor to perform the services as hereinafter set forth as authorized by the City Council on 2.0 SCOPE OF SERVICES. 2.1 Contractor shall perform all work necessary to complete the services set forth in the Request for Proposals dated Exhibit "A", and Contractor's proposal to the City ("Proposal") dated Exhibit "B", both of which are attached to and incorporated into this Contract, by reference. 2.2 All services shall be performed to the satisfaction of City. 2.3 All services shall be performed in a competent, professional, and satisfactory manner in accordance with the prevailing industry standards for such services. 3.0 PERSONNEL. 3.1 Contractor represents that it employs, or will employ, at its own expense, all personnel required to perform the services under this Contract_ 3.2 Contractor shall not subcontract any services to be performed by it under this Contract without prior written approval of City. 3.3 All of the services required hereunder will be performed by Contractor or by City-approved subcontractors. Contractor, and all personnel engaged in the work, shall be fully qualified and authorized or permitted under State and local law to perform such services and shall be subject to approval by the City. Page 14 of 35 City of Vernon Financial Advisory Services Request for Proposals 4.0 TERM. The Contractor shall commence the delivery of services on receipt of a written notice to proceed and shall complete the services on the schedule set forth in Exhibit " " 5.0 COMPENSATION AND FEES. 5.1 Contractor has established rates for the City of Vernon which are comparable to and do not exceed the best rates offered to other governmental entities in and around Los Angeles County for the same services. For satisfactory and timely performance of the services, the City will pay Contractor in accordance with the payment schedule set forth in Exhibit "C" attached hereto and incorporated herein by reference. 5.2 Contractors grand total compensation for the entire term of this Contract, including change orders, shall not exceed [state amount] without the prior authorization of the City Council and written amendment of this Contract. 5.3 Contractor shall, at its sole cost and expense, furnish all necessary and incidental labor, material, supplies, facilities, equipment, and transportation which may be required for furnishing services pursuant to this Contract_ Materials shall be of the highest quality. The above Contract fee shall include all staff time and all clerical, administrative, overhead, insurance, reproduction, telephone, air travel, auto rental, subsistence, and all related costs and expenses. 5.4 City shall reimburse Contractor only for those costs or expenses specifically approved in this Agreement, or specifically approved in writing in advance by City. Unless otherwise approved, such costs shall be limited and include nothing more than the following costs incurred by Contractor: 5.4.1 The actual costs of subcontractors for performance of any of the services that Contractor agrees to render pursuant to this Agreement, which have been approved in advance by City and awarded in accordance with this Agreement. Page 15 of 35 City of Vernon Financial Advisory Services Request for Proposals 5.4.2 Approved reproduction charges. 5.4.3 Actual costs and/or other costs and/or payments specifically authorized in advance in writing and incurred by Contractor in the performance of this Agreement. 5.5 Contractor shall not receive any compensation for extra work performed without the prior written authorization of City. As used herein, "extra work" means any work that is determined by City to be necessary for the proper completion of the Project, but which is not included within the Scope of Services and which the parties did not reasonably anticipate would be necessary at the time of execution of this Agreement. Compensation for any authorized extra work shall be paid in accordance with the payment schedule as set forth in Exhibit "C," if the extra work has been approved by the City_ 5.6 Licenses, Permits, Fees, and Assessments. Contractor shall obtain, at Contractor's sole cost and expense, such licenses, permits, and approvals as may be required by law for the performance of the services required by this Agreement. Contractor shall have the sole obligation to pay for any fees, assessments, and taxes, plus applicable penalties and interest, which may be imposed by law and which arise from or are necessary for the performance of the Services by this Agreement. 6.0 PAYMENT. 6.1 As scheduled services are completed, Contractor shall submit to the City an invoice for the services completed, authorized expenses, and authorized extra work actually performed or incurred according to said schedule. 6.2 Each such invoice shall state the basis for the amount invoiced, including a detailed description of the services completed, the number of hours spent, reimbursable Page 16 of 35 City of Vernon Financial Advisory Services Request for Proposals expenses incurred and any extra work performed. 6.3 Contractor shall also submit a progress report with each invoice that describes in reasonable detail the services and the extra work, if any, performed in the immediately preceding calendar month. 6.4 Contractor understands and agrees that invoices which lack sufficient detail to measure performance will be returned and not processed for payment. 6.5 City will pay Contractor the amount invoiced within thirty (30) days after the City approves the invoice. 6.6 Payment of such invoices shall be payment in full for all services, authorized costs, and authorized extra work covered by that invoice. 7.0 CHANGE ORDERS_ The Director of the Department of Finance shall have the authority to issue change orders for administrative and non-material changes to the scope of services and to the time for performance as long as the change orders do not increase the compensation due to Contractor under this Contract and as long as the time is not extended beyond three years. The City Administrator, shall have the authority to issue administrative change orders to increase the compensation due to Contractor under this Contract, but the combined total amount of such change orders shall not exceed [insert amount]. 8.0 CITY'S RESPONSIBILITY. City shall cooperate with Contractor as may be reasonably necessary for Contractor to perform its services; and will give any required decisions as promptly as practicable so as to avoid unreasonable delay in the progress of Contractor's services. 9.0 COORDINATION OF SERVICES. Contractor agrees to work closely with City staff in the performance of Services and shall be available to City's staff, consultants, and other staff at all reasonable times. Page 17 of 35 City of Vernon Financial Advisory Services Request for Proposals 9.1 INDEMNITY. Contractor agrees to indemnify City, its officers, elected officials, employees and agents against, and will hold and save each of them harmless from, any and all actions, suits, claims, damages to persons or property, losses, costs, penalties, obligations, errors, omissions or liabilities (herein "claims or liabilities"), including but not limited to professional negligence, that may be asserted or claimed by any person, firm or entity arising out of or in connection with the work, operations or activities of Contractor, its agents, employees, subcontractors, or invitees, provided for herein, or arising from the acts or omissions of Contractor hereunder, or arising from Contractor's performance of or failure to perform any term, provision, covenant or condition of this Agreement, except to the extent such claims or liabilities arise from the gross negligence or willful misconduct of City, its officers, elected officials, agents or employees_ 9.2 INSURANCE. Contractor shall, at its own expense, procure and maintain policies of insurance of the types and in the amounts set forth below, for the duration of the Contract, including any extensions thereto. The policies shall state that they afford primary coverage. 9.2.1 Automobile Liability with minimum limits of at least $1,000,000, including owned, hired, and non-owned liability coverage if written on a Commercial automobile liability form. 9.2.2 General Liability with minimum limits of at least$1,000,000 per occurrence with combined aggregate of$2,000,000 written on an Insurance Services Office (ISO) Comprehensive General Liability "occurrence" form or its equivalent for coverage on an occurrence basis. Premises/Operations and Personal Injury coverage is required. The City of Vernon, its directors, commissioners, officers, employees, agents and volunteers must be endorsed on the policy as additional insureds as respects liability arising out of the Contractors performance of this Contract. 9.2.3 If Contractor employs other contractors as part of the services Page 18 of 35 City of Vernon Financial Advisory Services Request for Proposals rendered, Contractors Protective Coverage is required. Contractor may include all subcontractors as insureds under its own policy or shall furnish separate insurance for each subcontractor, meeting the requirements set forth herein. 9.2.4 Professional Errors and Omissions coverage of at least $2,000,000. 9.2.5 Contractor shall comply with the applicable sections of the California Labor Code concerning workers' compensation for injuries on the job. Compliance is accomplished in one of the following manners: (i) Provide copy of permissive self-insurance certificate approved by the State of California; or (ii) Secure and maintain in force a policy of workers' compensation insurance with statutory limits and Employer's Liability Insurance with a minimal limit of$1,000,000 per accident. The policy shall be endorsed to waive all rights of subrogation against City, its directors, commissioners, officers, employees, and volunteers for losses arising from performance of this Contract; or (iii) Provide a "waiver"form certifying that no employees subject to the Labor Code's Workers' Compensation provision will be used in performance of this Contract. 9.2.6 Each insurance policy included in this clause shall be endorsed to state that coverage shall not be cancelled except after thirty (30) days' prior written notice to City. 9.2.7 Insurance shall be placed with insurers with a Best's rating of at least A-VIII. 9.2.8 Prior to commencement of performance, Contractor shall furnish Page 19 of 35 City of Vernon Financial Advisory Services Request for Proposals City with a certificate of insurance for each policy. Each certificate is to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificate(s) must be in a form approved by City. City may require complete, certified copies of any or all policies at any time. 9.2.9 Failure to maintain required insurance at all times shall constitute a default and material breach. In such event, Contractor shall immediately notify City and cease all performance under this Contract until further directed by the City_ In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney's fees and costs against Contractor by way of set-off or recoupment from sums due Contractor, at City's option; (b) immediately terminate this Contract; or (c) self-insure the risk, with all damages and costs incurred, by judgment, settlement or otherwise, including attorney's fees and costs, being collectible from Contractor, by way of set-off or recoupment from any sums due Contractor. 10.0 GENERAL TERMS AND CONDITIONS. 10.1 INDEPENDENT CONTRACTOR. 10.1.1 It is understood that in the performance of the services herein provided for, Contractor shall be, and is, an independent contractor, and is not an agent, officer or employee of City and shall furnish such services in its own manner and method except as required by this Contract, or any applicable statute, rule, or regulation. Further, Contractor has and shall retain the right to exercise full control over the employment, direction, compensation and discharge of all persons employed by Contractor in the performance of the services hereunder. City assumes no liability for Contractor's actions and performance, nor assumes responsibility for taxes, bonds, payments, or other commitments, implied or explicit, by or for Contractor. Contractor Page 20 of 35 City of Vernon Financial Advisory Services Request for Proposals shall be solely responsible for, and shall indemnify, defend and save City harmless from all matters relating to the payment of its employees, subcontractors and independent contractors, including compliance with social security, withholding and all other wages, salaries, benefits, taxes, exactions, and regulations of any nature whatsoever. 10.1.2 Contractor acknowledges that Contractor and any subcontractors, agents or employees employed by Contractor shall not, under any circumstances, be considered employees of the City, and that they shall not be entitled to any of the benefits or rights afforded employees of City, including, but not limited to, sick leave, vacation leave, holiday pay, Public Employees Retirement System benefits, or health, life, dental, long-term disability or workers' compensation insurance benefits. 10.2 CONTRACTOR NOT AGENT. Except as the City may authorize in writing, Contractor and its subcontractors shall have no authority, express or implied, to act on behalf of or bind the City in any capacity whatsoever as agents or otherwise. 10.3 OWNERSHIP OF WORK. All documents and materials furnished by the City to Contractor shall remain the property of the City and shall be returned to the City upon termination of this Agreement. All reports, drawings, plans, specifications, computer tapes, floppy disks and printouts, studies, memoranda, computation sheets, and other documents prepared by Contractor in furtherance of the work shall be the sole property of City and shall be delivered to City whenever requested at no additional cost to the City. Contractor shall keep such documents and materials on file and available for audit by the City for at least three (3) years after completion or earlier termination of this Contract. Contractor may make duplicate copies of such materials and documents for its own files or for such other purposes as may be authorized in writing by the City. 10.4 CORRECTION OF WORK. Contractor shall promptly correct any defective, inaccurate or incomplete tasks, deliverables, goods, services and other work, without additional cost to the City. The performance or acceptance of services furnished Page 21 of 35 City of Vernon Financial Advisory Services Request for Proposals by Contractor shall not relieve the Contractor from the obligation to correct subsequently discovered defects, inaccuracy, or incompleteness. 10.5 RESPONSIBILITY FOR ERRORS. Contractor shall be responsible for its work and results under this Agreement_ Contractor, when requested, shall furnish clarification and/or explanation as may be required by the City, regarding any services rendered under this Agreement at no additional cost to City. In the event that an error or omission attributable to Contractor occurs, then Contractor shall, at no cost to City, provide all necessary design drawings, estimates and other Contractor professional services necessary to rectify and correct the matter to the sole satisfaction of City and to participate in any meeting required with regard to the correction. 10.6 WAIVER. The City's waiver of any term, condition, breach, or default of this Contract shall not be considered to be a waiver of any other term, condition, default or breach, nor of a subsequent breach of the one waived. The delay or failure of either party at any time to require performance or compliance by the other of any of its obligations or agreements shall in no way be deemed a waiver of those rights to require such performance or compliance. No waiver of any provision of this Agreement shall be effective unless in writing and signed by a duly authorized representative of the party against whom enforcement of a waiver is sought. 10.7 SUCCESSORS. This Contract shall inure to the benefit of, and shall be binding upon, the parties hereto and their respective heirs, successors, and/or assigns. 10.8 NO ASSIGNMENT. Contractor shall not assign or transfer this Contract or any rights hereunder without the prior written consent of the City and approval by the City Attorney, which may be withheld in the City's sole discretion. Any unauthorized assignment or transfer shall be null and void and shall constitute a material breach by Page 22 of 35 City of Vernon Financial Advisory Services Request for Proposals the Contractor of its obligations under this Contract. No assignment shall release the original parties from their obligations or otherwise constitute a novation. 10.9 COMPLIANCE WITH LAWS. Contractor shall comply with all Federal, State, County and City laws, ordinances, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof, including but without limitation, the Vernon Living Wage Ordinance. Violation of any law material to performance of this Contract shall entitle the City to terminate the Contract and otherwise pursue its remedies. Further, if the Contractor performs any work knowing it to be contrary to such laws, rules, and regulations Contractor shall be solely responsible for all costs arising therefrom. 10.10 ATTORNEY'S FEES. If any action at law or in equity is brought to enforce or interpret the terms of this Contract, the prevailing party shall be entitled to reasonable attorney's fees, costs, and necessary disbursements in addition to any other relief to which such party may be entitled. 10.11 INTERPRETATION. 10.11.1 Applicable Law. This Contract shall be deemed a contract and shall be governed by and construed in accordance with the laws of the State of California. Contractor agrees that the State and Federal courts which sit in the State of California shall have exclusive jurisdiction over all controversies and disputes arising hereunder, and submits to the jurisdiction thereof. 10.11.2 Entire Agreement. This Contract, including any exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous Page 23 of 35 City of Vernon Financial Advisory Services Request for Proposals negotiations, representations, understandings, correspondence, documentation, and agreements (written or oral). 10.11.3 Written Amendment. This Contract may only be changed by written amendment signed by Contractor and the City Administrator or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Contract shall be of no force or effect. 10.11.4 Severability. If any provision in this Contract is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Contract, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Contract. 10.11.5 Order of Precedence. In case of conflict between the terms of this Contract and the terms contained in any document attached as an Exhibit or otherwise incorporated by reference, the terms of this Contract shall strictly prevail. The terms of the City's Request for Proposals shall control over the Contractor's Proposal. 10.11.8 Duplicate Originals. There shall be two (2) fully signed copies of this Contract, each of which shall be deemed an original. 10.11.9 Construction. In the event an ambiguity or question of intent or interpretation arises with respect to this Agreement, this Agreement shall be construed as if drafted jointly by the parties and in accordance with its fair meaning. There shall be no presumption or burden of proof favoring or disfavoring any party by virtue of the authorship of any of the provisions of this Agreement. Page 24 of 35 City of Vernon Financial Advisory Services Request for Proposals 10.12 TIME OF ESSENCE. Time is strictly of the essence of this contract and each and every covenant, term, and provision hereof. 10.13 AUTHORITY OF CONTRACTOR. The Contractor hereby represents and warrants to the City that the Contractor has the right, power, legal capacity, and authority to enter into and perform its obligations under this Contract, and its execution of this Contract has been duly authorized. 10.14 ARBITRATION OF DISPUTES. Any dispute for under $25,000 arising out of or relating to the negotiation, construction, performance, non-performance, breach, or any other aspect of this Contract, shall be settled by binding arbitration in accordance with the Commercial Rules of the American Arbitration Association at Los Angeles, California and judgment upon the award rendered by the Arbitrators may be entered in any court having jurisdiction thereof. The City does not waive its right to object to the timeliness or sufficiency of any claim filed or required to be filed against the City and reserves the right to conduct full discovery. 10.15 NOTICES. Any notice or demand to be given by one party to the other must be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Vernon or any other City department is not adequate notice. If to the City: City of Vernon Attention: Finance Director 4305 Santa Fe Avenue Vernon, CA 90058 Page 25 of 35 City of Vernon Financial Advisory Services Request for Proposals If to the Contractor: Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt, or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 10.16 NO THIRD PARTY RIGHTS. This Agreement is entered into for the sole benefit of City and Contractor and no other parties are intended to be direct or incidental beneficiaries of this Agreement and no third party shall have any right or remedy in, under, or to this Agreement. 10.17 TERMINATION FOR CONVENIENCE (Without Cause). City may terminate this Contract in whole or in part at any time, for any cause or without cause, upon fifteen (15) calendar days' written notice to Contractor. If the Contract is thus terminated by City for reasons other than Contractor's failure to perform its obligations, City shall pay Contractor a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be Contractor's exclusive remedy for termination without cause. 10.18 DEFAULT. In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Contract by written notice to the defaulting party. The notice shall specify the basis for the default. The Contract shall terminate unless such default is cured before the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. In case of default by Contractor, the City reserves the right to procure the goods or services from other sources and to hold the Contractor responsible Page 26 of 35 City of Vernon Financial Advisory Services Request for Proposals for any excess costs occasioned to the City thereby. Contractor shall not be held accountable for additional costs incurred due to delay or default as a result of Force Majeure. Contractor must notify the City immediately upon knowing that non- performance or delay will apply to this Contract as a result of Force Majeure. At that time Contractor is to submit in writing a Recovery Plan for this Contract. If the Recovery Plan is not acceptable to the City or not received within 10 days of the necessary notification of Force Majeure default, then the city may cancel this order in its entirety at no cost to the City, owing only for goods and services completed to that point. 10.19 TERMINATION FOR CAUSE. Termination for cause shall relieve the terminating party of further liability or responsibility under this Contract, including the payment of money, except for payment for services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of(1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance. If this Agreement is terminated as provided herein, City may require, at no additional cost to City, that Contractor provide all finished or unfinished documents, data, and other information of any kind prepared by Contractor in connection with the performance of Services under this Agreement. Contractor shall be required to provide such document and other information within fifteen (15) days of the request. 10.19.1 Additional Services. In the event this Agreement is terminated in whole or in part as provided herein, City may procure, upon such terms and in such manner as it may determine appropriate, services similar to those terminated. 10.20 MAINTENANCE AND INSPECTION OF RECORDS. The City, or its authorized auditors or representatives, shall have access Page 27 of 35 City of Vernon Financial Advisory Services Request for Proposals to and the right to audit and reproduce any of the Contractor's records to the extent the City deems necessary to insure it is receiving all money to which it is entitled under the Contract and/or is paying only the amounts to which Contractor is properly entitled under the Contract or for other purposes relating to the Contract. The Contractor shall maintain and preserve all such records for a period of at least three (3) years after termination of the Contract. The Contractor shall maintain all such records in the City of Vernon. If not, the Contractor shall, upon request, promptly deliver the records to the City of Vernon or reimburse the City for all reasonable and extra costs incurred in conducting the audit at a location other than the City of Vernon, including, but not limited to, such additional (out of the City) expenses for personnel, salaries, private auditors, travel, lodging, meals, and overhead_ 10.21 CONFLICT. Contractor hereby represents, warrants, and certifies that no member, officer, or employee of the Contractor is a director, officer, or employee of the City of Vernon, or a member of any of its boards, commissions, or committees, except to the extent permitted by law. 10.22 HEADINGS. Paragraphs and subparagraph headings contained in this Agreement are included solely for convenience and are not intended to modify, explain or to be a full or accurate description of the content thereof and shall not in any way affect the meaning or interpretation of this Agreement. 10.23 ENFORCEMENT OF WAGE AND HOUR LAWS. Eight hours labor constitutes a legal day's work. The Contractor, or subcontractor, if any, shall forfeit twenty-five dollars ($25) for each worker employed in the execution of this Agreement by the respective Contractor or subcontractor for each calendar day during which the worker is required or permitted to work more than 8 hours in any one calendar day and Page 28 of 35 City of Vernon Financial Advisory Services Request for Proposals 40 hours in any one calendar week in violation of the provisions of Sections 1810 through 1815 of the California Labor Code as a penalty paid to the City; provided, however, work performed by employees of contractors in excess of 8 hours per day, and 40 hours during any one week, shall be permitted upon compensation for all hours worked in excess of 8 hours per day at not less than 1'/z times the basic rate of pay. 10.24 LIVING WAGES. Contractor, and any Subcontractor(s), shall comply with the City's Living Wage Ordinance. The current Living Wage Standards are set forth in Exhibit "D". Upon the City's request, certified payroll records shall promptly be provided to the City. 10.25 EQUAL EMPLOYMENT OPPORTUNITY PRACTICES. Contractor certifies and represents that, during the performance of this Contract, it and any other parties with whom it may subcontract shall adhere to equal employment opportunity practices to assure that applicants, employees and recipients of service are treated equally and are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex, age, medical condition, sexual orientation or marital status. Contractor further certifies that it will not maintain any segregated facilities. Contractor further agrees to comply with The Equal Employment Opportunity Practices provisions as set forth in Exhibit "E". IN WITNESS WHEREOF, the Parties have signed this Agreement as of the Commencement Date stated on the cover page. City of Vernon, a California charter City [CONTRACTOR'S NAME, a [State and California municipal corporation incorporated in] corporation By. By: [Insert Name and Title] Name: Title: ATTEST: By: Page 29 of 35 City of Vernon Financial Advisory Services Request for Proposals Maria E. Ayala, City Clerk Name: Title: APPROVED AS TO FORM: Hema Patel, City Attorney Page 30 of 35 City of Vernon Financial Advisory Services Request for Proposals EXHIBIT A REQUEST FOR PROPOSALS Page 31 of 35 City of Vernon Financial Advisory Services Request for Proposals EXHIBIT B PROPOSAL Page 32 of 35 City of Vernon Financial Advisory Services Request for Proposals EXHIBIT C SCHEDULE Page 33 of 35 City of Vernon Financial Advisory Services Request for Proposals EXHIBIT D LIVING WAGE PROVISIONS Minimum Living Wailes: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or$11.55 per hour without health benefits. Paid and Unpaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. Page 34 of 35 City of Vernon Financial Advisory Services Request for Proposals EXHIBIT E EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A. Contractor certifies and represents that, during the performance of this Agreement, the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated facilities. B. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer' or that all qualified applicants will receive consideration for employment without regard to their race, religious creed, color, national origin, ancestry, handicap, sex or age. C, Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement, discriminated against applicants or employees because of their membership in a protected class. D. Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. Page 35 of 35 EXHIBIT B PROPOSAL 18 BLXGroup VTDTNjC r� f r BLXGroup Response to Request for Proposal to Provide Financial Advisory Services: x k CITY OF VERNON SEPTEMBER 21, 2017 PROJECT MANAGER Craig Underwood President T 213.612.2463 E cunderwood@blxgroup.com BLX© September 21, 2017 City of Vernon Attention: William Fox, Finance Director 4305 Santa Fe Avenue Vernon, CA 90058 Re: City of Vernon Financial Advisory Services Request for Pror?osals Dear Mr. Fox: On behalf of BLX Group LLC ("BLX") I am pleased to submit this response to the City of Vernon's ("City") request for proposal ("RFP") to provide Financial Advisory Services. Having worked with the City since 2002, BLX's technical capabilities, familiarity with the City's debt profile along with the debt profiles similar to that of the City, and a history of unsurpassed client service, combine to make us distinctly qualified to serve the City's needs. BLX possesses a unique combination of relevant resources, experience, and expertise to offer the City. The City's financial advisory needs are an excellent fit with BLX's corporate philosophy and procedures in that it acknowledges the unique characteristics of local government issued debt and investing public funds and the necessary understanding of related statutory, bond, and tax issues. If selected, BLX is committed to providing personalized financial advisory services in an informed, hands-on, extension-of-staff manner. Additionally, BLX hereby declares that the undersigned individual is authorized to bind the firm with a Financial Advisory Services contract with the City and that the proposal will be valid for a period of at least ninety (90) days from the date of submission. We propose that the contemplated project be managed from our Los Angeles office and will not be subcontracted. Partnering with BLX and taking advantage of our strong tax and analytical skill set and competitive pricing is the best choice for a successful, yet cost-effective engagement. I will serve as your relationship manager and primary point of contact. In that role, I will be responsible for leading an open dialogue between BLX and the City. I am excited about the prospect of once again working with the City and look forward to addressing any questions you may have. I can be reached at 213-612-2463 or via e-mail at cunderwood@blxgroup.com. Very truly yours, BLX Group LLC Craig'Underwood, President 777 S. Figueroa Street, Suite 3200 Los Angeles, CA 90017 (213) 612-2463 (Direct) (213) 612-2200 (BLX Main) cunderwood@bixgroup.com BLX Group ■ OF • LXGroup PROK)SAL TO PROVIDE FINANCIAL ADVIS•- TABLE OF CONTENTS COVER LETTER CONTENTS PAGE A. INTRODUCTION 1 B. GENERAL SCOPE OF WORK 2 C. WORK PLAN 5 D. FEES AND COSTS 7 E. ABILITY OF THE PROPOSER TO PERFORM 9 F. AFFIDAVIT OF NON-COLLUSION 17 f , • - • LXGroui PROPOSAL To PRovim ANAwn Amismy A. INTRODUCTION Present an introduction of the proposal and your understanding of the assignment and significant steps, methods and procedures to be employed by the proposer to ensure quality deliverables that can be delivered within the required time frames and your identified budget. BLX is a registered municipal advisor offering financial advisory, interest rate swap advisory, and post debt issuance compliance services associated with requirements imposed by the IRS and SEC. As an independent and unbiased advisor, BLX's primary objectives are to advocate for and educate our clients while assisting in structuring their financings to achieve low cost of capital at the terms best suited to their debt policies and strategic objectives Our financial advisory experience include providing recommendation of different transactional approaches according to the borrower's best interests, including competitive bond sales, negotiated bond sales, bank lending, and state loans. Furthermore, BLX has participated in hundreds of transactions, rating presentations, and negotiations with underwriters, LOC banks, and bond purchasers, and have observed how different types of transactions perform under different market conditions. Because we are independent advisors and are not in the business of underwriting bonds, we are held to a fiduciary standard in all our engagements under the Dodd/Frank Act of 2010, and are not considered by the MSRB to have the potential conflicts of interest which exist between municipal borrowers and securities underwriting firms. Further, BLX and its professionals have advised on municipal debt offerings, escrow (re)structurings, investment products, and derivative transactions with an aggregate par/notional amount in excess of $60 billion across all sectors of public finance, including local agencies, public utilities, higher education, healthcare, and project finance. City of Vernon We have been privileged to work with the City for 15 years and over that time have provided pre- and post-issuance financial advisory services, derivative advisory and management services and investment advisory services. The City is without question one of our firm's most valuable clients. Our team assigned to Vernon is headed by Craig Underwood, BLX's President, and Jeff Higgins, a Managing Director in our Los Angeles office. These two individuals are among BLX's most senior and experienced professionals and have worked with the City on an absolute priority basis for over a decade. Further, as BLX's President, Mr. Underwood has full access to and availability of ALL of BLX's resources as they are needed to provide superior levels of service and quality to the City. We would enthusiastically welcome the opportunity to renew and, whenever possible at the City's request, expand our relationship with the City. We can unequivocally state that BLX has an unmatched understanding of the City's debt, derivative and investment transactions, the historical and institutional knowledge of the City's financings needed to provide optimal advice, and is best positioned to provide the services outlined in the Scope of Work of the RFP. Therefore, we are confident that BLX will be able to seamlessly and without any delays continue its work with the City and its staff and continue to provide structuring, pricing, and credit advice. : ll 2=1 CITY OF B. GENERAL SCOPE OF WORK Briefly summarize the scope of work as the proposer perceives or envisions it for each Service Area proposed. The scope of work as described in the RFP is generally consistent with the services BLX is currently providing to the City and those which BLX regularly provides to other municipal clients. At BLX, we generally divide financial advisory engagements into four (4) phases — (1) ongoing general consulting, planning and advisory services not directly related to a transaction (i.e. strategic planning); (2) pre-issuance services directly related to debt/derivative/investment transactions (i.e. debt strategy); (3) executing a debt strategy, and (4) post-issuance regulatory, management, and oversight services. Based on our ongoing experience with the City, we believe this approach is an excellent fit to provide the City with the services described in the RFP. Specifically, the services and tasks we proposed to perform for and on the City's behalf are as follows: Phase I. Ongoing General Consulting Services 1. BLX will meet with the City to update and fully develop our understanding of the City's objectives with regard to financing and investment matters. As has been our practice with the City, we would expect to meet regularly with City staff to discuss new opportunities and changes in financial policy/objectives. The BLX staff assigned to this engagement is available to the City as its highest priority. 2. BLX will provide the City with a comprehensive report reviewing all outstanding debt and derivative positions, identifying opportunities to reduce debt service, provide cash flow relief, and improve the City's overall balance sheet. This report will be updated not less than semi-annually and as frequently as requested by the City. 3. BLX will be available on a priority basis to meet with City staff, City Council, committees, commissions, and local governmental and quasi-governmental bodies as requested by the City. We will provide support, advice, and presentation materials as requested by the City to support its efforts to be responsive and transparent with all such entities. CITY OF • BLXGroup PROPOSAL To PROVIM FIMKK ADVISORY SERVICES Phase II: Pre-Issuance Transactional Services 1. In the event a financing objective (e.g., reduce debt service, fund capital projects, etc.) has been identified by the City, BLX will initially prepare a detailed written report identifying potential financing structures and options. This effort will include a review of existing debt obligations and other credit and funding commitments and how a new financing might impact those. It will also include a preliminary forecast of the impact of any contemplated debt transaction on the City's credit rating, its rate structure (as it applies to enterprise funds), and overall debt service coverage. 2. From this initial report, BLX will work with the City to select the optimal financing strategy, which provides the City with the lowest cost of capital within risk parameters acceptable to and appropriate for the City. 3. As requested by the City, BLX will present or assist with the presentation of the initial financing plan to those public bodies charged with oversight, including City Council. Phase III: Transactional Services 1. Once an overall financing plan has been agreed upon, BLX will provide a preliminary step-by-step action plan, clearly identifying responsibilities and time line for project completion. 2. BLX will assist in the selection and formation of a financing team, including preparing a list of services required of underwriter, trustee, verification agent (if needed), and other professionals. 3. BLX will work with the City staff, bond counsel and financing team to determine the appropriate size, structure, specific terms and conditions for the debt transaction, and recommended method of sale. 4. BLX will assist bond counsel and other financing team members with the preparation of all publicly distributed documents in connection with the financing, including the official statement (or similar document) and related disclosures. 5. BLX will assist the City in negotiating and/or making presentations to credit rating agencies and/or credit enhancers (e.g., bond insurers, credit banks, etc.). fi. Prior to the sale of debt securities, BLX will assist with and represent the City at informational meetings as part of the marketing effort. 7. If a competitive sale process is utilized, BLX will manage the sale process to ensure it is competitive. BLX will (i) coordinate the advertising and premarketing of the debt issuance; (ii) represent the City at the bid opening; (iii) analyze bids, identify the most favorable bid, and make a recommendation to award; (iv) act as the City's agent in any post-award negotiations; and (v) prepare final debt service tables. S. If a negotiated sale process is utilized, BLX will assist the City in negotiating appropriate terms, reviewing spreads, identifying comparable transactions, analyzing market levels, and clarifying any syndicate roles with the selected underwriter. BLX will also work side- by-side with the underwriter to ensure the broadness and appropriateness of the marketing and sales effort. 66 CITY OF • BLXGroup PROPOsAL To• • DADvisoRy SERVICES 9. BLX will assist the City in closing the financing, including all necessary administrative and clerical tasks and the investment of the bond proceeds. Phase IV: Post - Issuance Services 1. BLX will provide the City with ongoing compliance, monitoring, and management services in the following areas: A. Arbitrage Rebate Compliance Services — BLX will provide the City with annual and final arbitrage rebate calculations on each of the City's outstanding tax exempt bond issues. B. Continuing Disclosure Services— BLX will provide the City with material event, annual report and dissemination services as required by the City's various continuing disclosure agreements. C. Derivative Monitoring Services — BLX will provide the City with ongoing derivative monitoring services, including daily valuations of the City's derivative positions, coordinating collateral calls or requests, and counterparty rating monitoring. 2. BLX will be available on a full time basis to interact with ratings agencies and investors on behalf of the City along with addressing any issues that arise relating to the City's debt issuances. 4 CITY OF • i • • Noms&To Novim FiKocx Awsmy C. WORK PLAN Present concepts for conducting the work plan and interrelationship of all projects. Define the scope of each task including the depth and scope of analysis or research proposed. As described in the previous section, BLX views this engagement as having four distinct, but very much interrelated, components or phases. All four are critical to the City's financial success, stability, and transparency and best provided by a single firm doing so on an integrated basis. We propose to implement the following work plan items and tasks as a supplement to the Scope of Services described earlier. Phase I: Our approach to providing Financial Advisory services to the City begins with acting as an extension of the City's staff. That is, we have and would continue to be available to the City on a full time basis (and on short notice) to provide support, analysis, and advice for all City-related financial matters. By being fully immersed in the City's financial activities, we are best positioned to provide the required services and timely and value added advice. To add some structure to this, we propose regularly scheduled weekly meeting (or call if preferred by City) with the Finance Director to review ongoing projects, help prepare for upcoming meetings requiring financial analysis, and generally review market conditions and opportunities for the City to improve its financial standing and/or pursue additional capital funding. We also recommend that as Financial Advisor, we present or assist with a quarterly presentation to City Council a summary and review of the City's financial standing as it relates to debt, derivative, and investments. Working with the Finance Director, BLX will develop a template for such presentations that can be readily updated and amended on an ongoing basis. Finally, as circumstances require, BLX's assigned professionals will be available to the City on a full time priority basis. That is, should the City need BLX support and advice to address pressing and sudden issues, we will make the necessary resources available to the City. We believe that the availability of our assigned professionals throughout our decade of service to the City readily demonstrates the true depth of this commitment. Phase II: The services described in Phases II and III are fairly standard for financial advisory engagements as described in the previous section. As a supplement to these services and to create better accountability and transparency, we propose that each financing transaction be carefully documented as follows: 1. When a financing opportunity is identified (e.g., refunding) or deemed necessary (e.g., capital needs), BLX will provide an initial memo detailing the project parameters and objectives and proposed work plan and calendar. _ Crry. VERNON Phase III: Once the City is in agreement with the work plan, BLX will assist the City with the following: 1. Forming a financing team. Absent financing team members already being in place by virtue of prior RFPs or other process, BLX will assist the City with identifying and securing financing team members — utilizing a competitive process whenever possible. 3. Provide ongoing advice and recommendations to the City on how to best document important transaction decisions regarding debt structure and important legal/financial/credit issues. 4. Upon the close of any transaction, BLX will provide a summary report to the City. This report will detail the final transaction structure, including the bond pricing effort and outcome, identify the extent to which the final transaction met the original project goals; and summarize the City's ongoing obligations under the transaction. BLX will present or assist in presenting these final findings to City Council. Phase IV: BLX has provided the services proposed in this section to the City for several years. We do not foresee any substantial changes in the work plan for how these services are provided. However, in the spirit of creating greater transparency, we propose to provide a formal annual report detailing the City's post-issuance compliance efforts. This summary will include the results of any arbitrage rebate calculations, a summary of any required disclosure filings, and a summary of the City's derivative positions. This annual report will be useful in demonstrating the City's ongoing oversight efforts to City Council, regulatory parties, and other groups. We strongly believe that the City is best served by a single qualified firm providing the services proposed in this and the prior section on an integrated basis. 6 OF - • BLXGroup PROPOSAL TO PROVIDE FINWL&ADVISORY SERVICES D. FEES AND COSTS Although an important aspect of consideration, the financial cost estimate will not be the sole justification for consideration. Negotiations may or may not be conducted with the proposer; therefore, the proposal submitted should award may be made without discussion with any firm. Proposer must offer services at a rate comparable to the rate proposer offers to other governmental entities for similar work. Offering a higher rate to the City than the comparable rate is grounds for disqualification of the Proposer. BLX does not structure its fees for advisory services based on any set formula or approach. We have provided similar services to those contemplated by the City on (i) a fixed fee basis; (ii) an hourly basis; and (iii) a percentage of transaction-size basis. The most important factor in determining an appropriate fee structure is the City's comfort that our fee is appropriate for the work and value provided and consistent with "the market". Therefore, while we have proposed a fee schedule as shown below, we are amendable to negotiate alternative fee structures that may be deemed more acceptable by the City. Our proposed fee structure is segmented in a manner consistent with our response to Section B — General Scope of Work. Phases I & H: Ongoin General & Pre Transactional Services As the depth and amount of the services required in this phase are difficult to approximate, we believe these services are fairly compensated by an hourly billing arrangement. Our proposed hourly fees are as follows: Title Hourly Rate President $400 Managing Director $350 Alternatively, we would be open to negotiating a flat annual retainer for these services. Such an arrangement might provide greater value for the City in that it would provide a cap. In order to determine an appropriate level for such a cap, we would need to first discuss with the City what various projects and tasks it forecasts over the next 12 months. Phase III: Transactional Services Once the City has elected to pursue a specific financing, our fee for services in connection with such a financing would then shift to a contingent arrangement. Under such an arrangement, BLX would only be compensated upon a successful closing. Our proposed fee for these services is as follows: Debt Transaction: $0.501$1,000 Bond with a cap of $200,000 and a floor of $25,000 Derivative Transaction: The present value of .02% of the notional amount for each year the derivative is outstanding with a cap of$150,000 and a floor of$25,000 ■ . ■ VERNON • PROPOSALTo PROVIDE •- lift- A Contingent Fee Disclosures: Most forms of compensation for financial advisors have some sort of potential conflict of interest inherent in the payment arrangement. Under a contingent fee form of compensation, payment of an advisor's fee is dependent upon the successful completion of a financing or other transaction. Although this form of compensation may be customary for the client, it presents a conflict because the advisor may have an incentive to push to complete a financing or potential financing under terms that might be disadvantageous to the client. For example, when facts or circumstances arise that could cause the financing or other transaction to be delayed or fail to close, an advisor may have an incentive to discourage a full consideration of such facts and circumstances, or to discourage consideration of alternatives that may result in the cancellation of the financing or other transaction. Under an hourly fee form of compensation, the advisor is paid an amount equal to the number of hours worked by the advisor times an agreed-upon hourly billing rate. This form of compensation presents a potential conflict of interest if the client and the advisor do not agree on a reasonable maximum amount at the outset of the engagement, because the advisor does not have a financial incentive to recommend alternatives that would result in fewer hours worked. In some cases, an hourly fee may be applied against a retainer (e.g., a retainer payable monthly), in which case it is payable whether or not a financing closes. Alternatively, it may be contingent upon the successful completion of a financing, in which case there may be additional conflicts of interest, as described above. The City may wish to consider a continuation of the hourly rates proposed for Phase I services for Phase II services. Should the City elect to do so, fees for Phase III services would be non-contingent. Phase IV: Post-Issuance Services Our fees for the services described in the corresponding section of our response to Section 2 are as follows: A. Arbitrage Rebate Compliance Services (on a per bond issue basis) Annual Report Fee (per report) $2,000 Final Report Fee (per report) $2,500 B. Continuing Disclosure Services Electric System $11,000 Redevelopment $7,000 C. Derivative Monitoring Services Per Outstanding Derivative (swap) $2,500 Please note that we are open to other fee arrangements and would welcome any discussion with the City regarding our fee proposal. it 1 ■ OF VERNON ow- E. ABILITY OF THE PROPOSER TO PERFORM Provide a detailed description of the proposer and his/her/its qualifications, including names, titles, detailed professional resumes and past experience in similar work effortsiproducts of key personnel who will be working on the assignment. Provide a list of specific related work projects that have been completed by the proposer which are directly related to the assignment described in this RFP. Note the specific individuals who completed such projects). Identify role and responsibility of each member of the project team. Include the amount of time key personnel will be involved in the respective portions of the assignment. Respondents are encouraged to supply relevant examples of their professional product. Provide a list of references. The selected firm shall not subcontract any work under the RFP nor assign any work without the prior written consent of the City. Firm Overview BLX Group LLC, formerly known as Bond Logistix LLC, is a Municipal Securities Rulemaking Board and Securities Exchange Commission registered independent municipal advisory firm, specializing in serving governmental issuers and nonprofit entities. Our consulting services include financial advisory, interest rate swap advisory, along with federal tax and regulatory compliance services. We work with issuers on projects, both large and small, leveraging our experience, resources, and expertise to design the role that best fits each client's needs. BLX was established in 1989 to undertake the mathematical, financial, and other technical aspects necessary to assist public and nonprofit agencies in complying with the arbitrage rebate regulations imposed by the Internal Revenue Service ("IRS"). Since that time, BLX has grown to become the largest provider of such services in the country, with 38 professional consultants and 12 support staff in 5 offices nationwide, strategically located in Dallas, Los Angeles, Phoenix, New York, and Tampa. BLX has a tremendous amount of experience in providing services to all types of entities including states, counties, cities, transportation authorities, public utilities, special districts, nonprofit organizations, and more. BLX professionals assigned to its engagement with the City will have an average of 25 years of public finance experience. BLX is a wholly-owned subsidiary of Orrick, Herrington & Sutcliffe LLP ("Orrick"), the premier public finance law firm in the nation. Orrick has provided quality legal services to municipal issuers, underwriters, and trustees for more than 100 years and has been ranked first nationally as bond counsel for most of the last two decades (as reported in the Bond Buyer). BLX has grown to become a full service advisory firm, offering a range of complementary services to public sector bond issuers and nonprofit entities. The professionals in each practice area are allocated to work primarily in their practice groups. However, our practice areas are designed to complement each other by providing expertise in the sometimes difficult to fill gaps commonly encountered in municipal finance. For example, our swaps group will often assist our financial advisory practice when the proposed debt strategy includes hedging variable rate interest rate risk with a floating-to-fixed rate swap. Similarly, our rebate group might streamline a swap-related engagement by sharing documentation previously supplied by the client, saving all parties time and effort. There are numerous other I 446 CITY OF VERNON circumstances where we can leverage these synergies for the benefit of our clients. In this regard, the evolution of our firm has been driven simply by the needs and priorities of our clients. While smaller firms may have the expertise in their area of focus, their lack in size and overall experience not only limits synergies, but limits their flexibility in deploying resources and, importantly, limits their ability to develop the infrastructure necessary to efficiently and reliably deliver services. By being a full service firm with a relatively larger client and services base, BLX has been able to make investments, in technology for example, that benefit multiple practice groups firm-wide. More specifically, BLX maintains these resources in-house and to date have developed web-based platforms to bid investments (BLXBid), to assist with filings of IRS Schedule K of Form 990 (BLXSKAN), and to value and monitor swap portfolios (BLXSwap), with additional offerings in the works. A hallmark of BLX's history has been continually updating our services to help our clients navigate new developments both in the markets and in the regulatory arena. Our web-based software has been and will continue to be designed according to our clients' needs. By demonstrating our ability to manage thousands of active engagements combined with our experiences in providing financial advisory and post-issuance compliance services, and developing web-based platforms, BLX is amply qualified to serve the City. Since launching its advisory service practice, BLX and its professionals have advised on municipal debt offerings, escrow (re)structurings, structured investment products and derivative transactions with an aggregate par and notional amount in excess of $60 billion across all sectors of public finance, including local agencies, public utilities, higher education, healthcare, and project finance. As you are aware, BLX served as the City's financial advisor from 2002 through 2013. During such period, the City embarked on a number of complex financings that required the financial advisor to have a detail understanding of the City, its general fund, utility system, gas system, redevelopment plan and, most importantly an understanding of the City's primarily industrial constituents. BLX assisted the City with achieving those objectives, even during some of the City's most challenging periods of time such as the nation's financial crisis in 2008 and State's dissolution of the redevelopment agencies. BLX assisted the City with the financing of numerous assets of Light and Power and the former Redevelopment Agency, including the financing of the Malburg Generating Station, the financing and refinancing of the City's 15 year natural gas prepay transaction, the acquisition and sale of the City's Tehachapi wind land, the sale of the certain utility assets such as Malburg Generating Station and transmission assets, to name a few. BLX assisted the City in developing and evaluating financial forecasts for the utility, monitoring the City's IRS compliance (including arbitrage rebate and private-use) and SEC compliance requirements (such as continuing disclosure requirements). BLX also performed investment advisory/portfolio management services for the City during this time period. However effective April 1, 2016 BLX no longer offers such services. Even during the period BLX did not serve as the City's financial advisor, BLX has continually monitored the City's financing activities such as its recent 2015 financing and is familiar with the City's current plans. BLX is also the largest and most widely experienced provider of post issuance compliance and regulatory services (i.e., arbitrage compliance services, continuing disclosure services, 10 * OF VERNON etc.) in the nation, having prepared over 85,000 arbitrage calculations for over 23,000 bond issues since 1989 and providing continuing disclosure services to issuers across the country. MM Conflicts Disclaimers and Disclosures The City is aware that BLX is a subsidiary of Orrick. BLX and/or Orrick may have client relationships with other parties involved in some manner with the City or the proposed financing transaction (for example, underwriters, purchasers, counterparties, trustees, rating agencies, insurers, credit providers, lenders, contractors, developers, advisors, investment advisors/providers/brokers, public entities and others) whether with respect to the City or some unrelated matter(s). Those participants are and will not be clients of BLX with respect to the financing transactions that are the subject of this engagement. BLX and Orrick have been part of the City's financing team for past financings, and can work together when we are both serving the City's interests. However, a potential conflict of interest may arise if Orrick is engaged to provide legal services to other financing team participants. However, to the extent that, because of any other relationship between Orrick or BLX and other participants, there may appear to be or is any conflict of interest, actual or potential, with respect to the City's engagement of BLX, absent notification by the City to the contrary, the City is hereby deemed to waive any such conflict and consents to any such other relationship. BLX will notify the City of any potential conflicts. BLX has taken the following steps to identify and address potential conflicts of interest that may impact its ability to fulfill its duties to the City under this engagement. • BLX will not participate in the City's process in selecting legal counsel in connection with any financings. • BLX has provided "historical continuing disclosure compliance" services for underwriters in connection with the underwriters' obligation to review an issuer's S.E.C. Rule 15c2-12 11 litt � CITY OF -izz�ar- - BLXGroup PROPOSAL To PROVIDE FINANCIAL ADVISORY SERVICES compliance over the past five (5) years. Such service entails reviewing continuing disclosure filings made by the issuer's. Such reports are factual representations of an issuer's compliance. BLX will inform the City of any underwriters that have retained BLX for these services prior to any selection of an underwriter for the proposed transaction. • Potential financing structures may include Wells Fargo or US Bank serving as underwriter or as purchaser of the obligations via a direct purchase. BLX is currently engaged by Wells Fargo and US Bank to perform arbitrage rebate compliance services in connection with outstanding obligations issued by certain public or not-for-profit agencies that engaged the banks to serve as trustee. BLX's scope of services relating to its engagement with Wells Fargo and US Bank is independent of the services described herein and will not conflict with BLX's engagement with the City. BLX has not committed any violations of Federal, state or local regulations or laws within the last three years and is not involved in any pending or current litigation. BLX is not under investigation and is not involved in any pending enforcement or disciplinary actions by the SEC or any other regulatory bodies. Financial Advisory Team The Project Team that BLX will assign to the City consists of BLX's most experienced and appropriately skilled professionals, including the firm's president. All team members will be available on a full-time basis. Having provided the similar services proposed herein to public agencies across the country, including the City, these BLX professionals are widely considered to be among the nation's leading experts in debt, tax, derivative, and secondary market disclosure matters relating to municipal bond financings. We believe it is important to note that Mr. Underwood and Mr. Higgins have worked extensively on the City's financing matters for over a decade and in this time have become intimately familiar with City's outstanding debt and derivative portfolio, the City's current standing with the rating agencies and investors, and ongoing tax, regulatory, and compliance efforts. Time Public Finance Personnel Role Involvement Experience Craig Underwood Engagement Manager o President Primary Contact = 50/0 28 Years Strategy Jeff Higgins Strategy and Analytics = 30% 24 Years Managing Director Secondary Contact Eric Chu Strategy and Analytics = 10% 25 Years Managing Director Derivatives Glenn Casterline Strategy and Analytics = 10% 25 Years Managing Director - -- 12 L CITY OF • BLXGroup PROPOSAL To PROVIDE FINANCIAL Awismy SERVICES 28 Years Public Finance and related Experience • Heads BLX's advisory service practice, overseeing the firm's debt, derivative, and capital market practices r * Experience includes financial/derivative/investment advisory services for governmental, nonprofit, and corporate entities; designing and implementing various compliance and administration engagements for tax compliance, municipal disclosure, tobacco securitizations and student housing management • Served as the City's lead financial advisor from 2002 to CRAIG UNDERWOOD 2013 PRESIDENT Education BLX Group LLC - Los Angeles (213) 612-2463 • Princeton University cunderwood@blxgroup.com BA in Politics, 1986 Role FINRA Licenses Lead Municipal Advisor • Series 50, Municipal Advisor Rep (2017 to Present) Primary Contact * Series 63, Investment Advisor Rep (1993 to Present) Strategic Planning • Series 65, Investment Advisor Rep (2000 to Present) Financing Structure * 24 Years Public Finance Experience • Manages BLX's Municipal Continuing Disclosure practice * Served as the City's financial advisor from 2002 to 2013 • Manages many of BLX's most sophisticated issuer's including Energy Northwest, Piedmont Municipal Power Agency, State of South Carolina, Regents of the University of California, State of Hawaii and its agencies, and the City and County of Honolulu Education JEFF HIGGINS • Arizona State University MANAGING DIRECTOR BS in Finance, 1992 BLX Group LLC - Los Angeles FINRA Licenses (213) 612-2209 . Series 50, Municipal Advisor Rep, (2016 to Present) jhiggins@blxgroup.com • Series 65, Investment Advisor Rep, (2001 to Present) Role Co-Municipal Advisor Strategic Planning Financing Structure 13 — — - ■ • VERNON • 25 Years Public Finance Experience Experience includes work on hundreds of interest rate swap and structured investment transactions and providing on-going monitoring and compliance services, including for GASB and FASB accounting rules. Clients have included Ithaca College, Master's University, Francisco Airport Commission, Dignity Health, County of San Diego (CA), City of Riverside (CA), The Colburn School, Sanford Burnham Prebys Medical Discovery Institute ERIC CHU • Led the development of BLXSwap, a web-based swap MANAGING DIRECTOR monitoring platform, and BLXBid, a web-based market BLX Group LLC - Los Angeles bidding platform (213) 612-2136 Education echu@blxgroup.com University of California, Los Angeles Role BS in Applied Mathematics & BA in Economics, 1991 Co-Municipal Advisor FINRA Licenses Finance Structure . Series 50, Municipal Advisor Rep (2016 to Present) Interest Rate Swap Advisor . Series 65, Investment Advisor Rep (2000 to Present) . 25 Year Public Finance Experience • Experience includes financial advisory engagement with the Colburn School for Performing Arts, California Science Center Foundation, Sanford Burnham Prebys Medical Discovery Institute, Chapman University, City of Oceanside, and several charter schools including Camino Nuevo Charter Academy, Santa Rosa Academy, Coastal Academy, and Classical Academy • Serves as Manager for many of BLX's largest compliance engagements including the California State GLENN R. CASTERLINE University System, City of Long Beach (CA), County of MANAGING DIRECTOR Riverside (CA), the City and County of Denver, and BLX Group LLC - Los Angeles Denver International Airport (213) 612-2229 Education gcasterline@blxgroup.com California State University, Fullerton Role BA in Business Administration, Finance, 1991 Co-Municipal Advisor FINRA Licenses Strategic Planning . Series 50, Municipal Advisor Rep (2016 to Present) Financing Structure . Series 65, Investment Advisor Rep (2000 to Present) 14 CITYOF • BLXGroup PROPOSAL TO PRovim FINANCIAL Awismy SERVICES Philosophy and Objective As an independent and unbiased advisor, BLX's primary objective is to advocate for and educate our clients to structure their financings to achieve the lowest cost of capital at the terms best suited to their debt policies and strategic objectives. Our philosophy is to ensure all financing options are identified and reviewed for the borrower. Whenever possible, BLX aims to develop an ongoing relationship with its clients rather than a transaction based relationship. Our market knowledge and expertise provides us with the ability to negotiate the most attractive fees and terms with financing participants on behalf of our clients. BLX's hands on expertise in the municipal bond trading and underwriting arena provides an insider knowledge base to advocate for the City and bring transparency to the pricing process. Our objective is to guide the City in balancing financing priorities with the current market and investor demand. BLX monitors the municipal market on a daily basis and can share market data on comparable transactions that will empower the City in selection of bond or note sale dates and bond pricing decisions. BLX has access to all the major market information sources such as Bloomberg, Thomson Reuters, Municipal Market Data (MMD), and EMMA to help the City make real time decisions that may impact the City's negotiated and competitive sales. BLX works closely with the underwriter to make sure decisions are made in best interest of the City and will provide an independent 3rd party fair market certification for negotiated sales. BLX is an industry leader in tax compliance and related on-going post-issuance maintenance of tax-exempt financings and all of our practice areas complement one another by providing our clients with value added cross discipline expertise that has proven valuable, in particular with respect to the analyzing the impact of swap transactions on arbitrage rebate and related tax analyses. Throughout our 28 year history, our mission has been to exclusively serve, and act on behalf of, our governmental and not-for-profit entity clients in areas where BLX can leverage its combination of extensive infrastructure, depth of resources, and professional expertise to provide best in class services. Analytical Capabilities The senior members of our proposed team, Mr. Higgins, Mr. Casterline, and Mr. Chu, head up our technical modeling and quantitative analysis for BLX's debt advisory and derivative advisory services. They are assisted by three to five consultants who work under their supervision to perform projects for our clients. Many of the projects require customized models to accommodate the specific idiosyncrasies of our clients' debt, investment and derivative strategies. Mr. Chu developed both of BLX's propriety applications for structured investment product bidding (BLXBid.com) and online swap monitoring and valuations (BLXSwap.com). BLX utilizes MUNEX to size and structure bond issues, perform advance refunding calculations, analyze the cost effectiveness of credit enhancement, confirm and validate the true interest costs on competitive bids and to provide transaction schedules to our clients. In addition to MUNEX, BLX routinely develops customized financial models to address the specific information and financing strategy needs of its clients. Given BLX's technical expertise in complex transactions, our staff is uniquely oriented toward creating specialized financial models for our clients. 15 1 _ CITY OF BLXGroup PROPOSAL TO PRoviDE FINANCIAL ADviSORY SERVICES BLX possesses particular expertise and experience in complex transaction modeling and investment product pricing. BLX utilizes a myriad of industry leading quantitative tools and market sources that help provide our clients superior pricing transparency. Our purpose-built modeling software programs, and in-house developed Excel models allow us the flexibility to price and execute even the most complex transactions. References Below we have provided a brief list of references you may wish to contact. In addition to the views of these references, BLX has had a long history working with the City including the current City Administrator (Carlos Fandino) and Assistant Finance Director (Masami Higa). Perhaps of greater value than any recommendation of our services that you may receive from a third party, you may wish to discuss the quality, value, and commitment of BLX to the City with those individuals. The California Science Center Foundation Cynthia Pygin, Chief Financial Officer 700 Exposition Park Drive, Los Angeles, CA 90037 (323) 724-3623 cpygin@cscmail.org Sanford Burnham Prebys Medical Discovery Institute Gary Chessum, Chief Financial Officer 10901 North Torrey Pines Road, La Jolla, CA 92037 (858) 795-5019 gchessum@sbpdiscovery.org The Colburn School of Performing Arts Seth Weintraub, Chief Financial Officer 200 S. Grand Avenue, Los Angeles, CA 90012 (213) 621-1015 sweintraub@colburnschool.edu Subcontractor BLX will not be subcontracting any of the proposed Financial Advisory work. 16 City of Vernon Financial Advisory Services Request for Proposals AFFIDAVIT OF NON-COLLUSION BY CONTRACTOR STATE OF CALIFORNIA ) ) ss COUNTY OF LOS ANGELES ) Glenn R. Casterline ,being first duly sworn deposes and says that he/she is Managing Director (Insert'Sale Owner', 'Penner", 'President,"Serremry',or other proper ntle) of BLX Group LLC (lawn name of bidder) who submits herewith to the City of Vernon a bid/proposal; That all statements of fact in such bid/proposal are true; That such bid/proposal was not made in the interest of or on behalf of any undisclosed person, partnership,company,association,organization or corporation; That such bid/proposal is genuine and not collusive or sham; That said bidder has not,directly or indirectly by agreement,communication or conference with anyone attempted to induce action prejudicial to the interest of the City of Vernon, or of any other bidder or anyone else interested in the proposed contract;and further That prior to the public opening and reading of bids/proposals,said bidder: a. Did not directly or indirectly, induce or solicit anyone else to submit a false or sham bid/proposal; b. Did not directly or indirectly,collude,conspire,connive or agree with anyone else that said bidder or anyone else would submit a false or sham bid/proposal, or that anyone should refrain from bidding or withdraw his/her bid/proposal; C. Did not, in any manner, directly or indirectly seek by agreement, communication or conference with anyone to raise or fix the bid/proposal price of said bidder or of anyone else, or to raise or fix any overhead, profit or cost element of his/her bid/proposal price,or of that of anyone else; d. Did not, directly or indirectly, submit his/her bid/proposal price or any breakdown thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof, or to any individual or group of individuals, except the City of Vernon, or to any person or persons who have a partnership or other financial interest with said bidder in his/her business. I certify under penalty of perjury that the above information is correct iy..� Title: Glenn R. Casterline Date:- Page 1 I of 35 CALIFORNIA JURAT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached,and not the truthfulness,accuracy,or validity of that document. State of California ) County of Los Angeles ) Subscribed and sworn to (or affirmed) before me this 13th day of September, 2017, by Glenn Casterline proved to me on the basis of satisfactory evidence to be the person who appeared before me. JULIE ANN CAMAN-LEWiS Commission a 2082027 tr aturc of r� r} 1'�,blic Notary PMC•California Sig OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Further Description of Any Attached Document Title or Type of Document: Affidavit of Non-Collusion by Contractor Document Date: none Number of Pages: 1 Signer(s) Other than names above: NIA EXHIBIT C SCHEDULE Work is to be performed per the Proposal. Each assignment is based upon the task requested by the City. A cost estimate will be provided by Contractor for each assignment prior to commencement of the work. 19 EXHIBIT D LIVING WAGE PROVISIONS Minimum Living Wages: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or $11.55 per hour without health benefits. Paid and Unpaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. 20 EXHIBIT E EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A Contractor certifies and represents that, during the performance of this Agreement, the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated facilities. B. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer" or that all qualified applicants will receive consideration for employment without regard to their race, religious creed, color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement, discriminated against applicants or employees because of their membership in a protected class. D Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E, Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. 21 ty of Or l ED tt 011 �E�Eetl OCT 0 3 2W CITY ADMINISTRATION RECEIVED HEALTH&ENVIRONMENTAL CONTROL DEPARTMENTof to- 4_r7 a C� 10 Z 017 Keith Allen,Director/Health Officer 4305 Santa Fe Avenue,Vernon,California 90058 CITY CLERKS OFFICE Telephone(323)583-8811 October 17,2017 Honorable City Council City of Vernon Vernon, California Honorable Members: Attached is a listing of the monthly activities for the Health and Environmental Control Department which cover the period from September 1, 2017 through September 30, 2017. Rct, cctfully submitted, Keith Allen Director E�Ccfusivefy rndiistriaf �S.pq OF 4ERNON g DEPAjRq,�� pgOMOTE �T vA* t%Y 4 � tiG September, 2017 MONTHLY REPORT Keith Allen, Director v HEALTH & ENVIRONMENTAL CONTROL DEPARTMENT MONTHLY REPORT SEPTEMBER,2017 HAZARDOUS MATERIALS CONTROL Our staff continued to conduct routine inspections and assisted business representatives to properly complete annual Hazardous Materials Business Plan forms using the new California Environmental Reporting System (CERS) which allows electronic submittals of hazardous materials inventories and permit information. Zero Class 1 violations were found, 33 Class 2/Minor violations were noted during routine inspections performed of hazardous materials facilities. Department staff will continue to monitor these facilities to ensure that all violations have been corrected. Please note: According to The California Department of Toxic Substances Control (DTSC), violation types are defined as: Class I Violation: The Health and Safety Code (HSC) section 25110.8.5 defines a Class I Violation as a violation that is a significant threat to human health or safety or the environment because of volume, hazardousness, and/or proximity to population at risk. A Class I Violation is also a violation that could result in a failure to ensure adequate financial assurance, perform corrective action or emergency cleanup; or a repeating Class II Violation committed by a recalcitrant violator. Class II Violation: The California Code of Regulation (CCR), title 22, section 66260.10 and Health and Safety Code (HSC) section 25110.8.5, subdivision (b) define a Class II Violation as a violation that is not a Class I Violation and does not meet the conditions of a Minor Violation. Minor Violation: The Health and Safety Code (HSC) section 25117.6 defines a Minor Violation as a subset of a Class II Violation that is not knowing, willful or intentional, does not enable the Respondent to gain an economic benefit for noncompliance, is not chronic or is not committed by a recalcitrant violator. Closure and cleanup activities included the ongoing site assessments/closure at Exide Technologies on Indiana Street, the former Pechiney facility on Fruitland Avenue, and 4060 E. 26th Street at the former U.S. Fertilizer site. The Health Department continued to be an active participant with the Exide Technologies closure_ Director Keith Allen and Deputy Director David LeDuff engaged in regular conference call and in-person meetings with DTSC and other supporting agencies. As a reminder, the City's website has an Exide information page for the public to obtain information. . . . Deputy Director David LeDuff submitted the Annual Single Fee Summary Report to CalEPA. The information in the report is used to determine if the Department is generating enough revenue to support their hazardous materials inspection program. UNDERGROUND TANK PROGRAM No underground storage tanks were removed during the month. A total of two USTs were inspected, yielding no violations. • • • FOOD PROGRAM Staff conducted inspections of the food facilities throughout the City as part of a routine basis by the Department. No major violations were noted during these inspections. • • • • Environmental Health Specialist Erik Cheng conducted several plan checks and construction inspections of proposed remodeling and new construction for food facilities. Erik also monitored construction progress of new food facilities. ENVIRONMENTAL PROTECTION Health Department staff inspected 24 garment manufacturing facilities and found no major violations. • • • • In collaboration with the Public Works, Water, and Development Services Department, Senior Environmental Specialist Jerrick Torres assisted with storm water inspections and plan reviews. Jerrick also inspected all active construction sites Citywide to ensure that storm water best management practices were being followed to prevent waste water discharge and runoff from entering the storm drain system. • • • • Greater LA County Vector Control District(GLACVCD) continues to provide mosquito control services throughout the City. For all mosquito related complaints and services, please call the GLACVCD at(562) 944-9656. The City has this information available on the Health Department's website as well. 3 SOLID WASTE PROGRAM Senior Environmental Health Specialist Linda Johnson conducted inspections of solid waste facilities throughout the City as part of a routine basis by the Department. No violations were noted during these inspections. . . . . The State of California CalRecycle Department conducted their annual audit on the Department's solid waste program, which there were no issues of concern noted. EMERGENCY RESPONSE The month of September was notable for emergency response actions. Department Registered Environmental Health Specialists responded to the following: fugitive dust control complaint potentially affecting the VPUD Power Plant. . . . . MISCELLANEOUS The Department welcomed a new college student intern. Denise Chen, a student from Cal State Northridge, will be working in the Health Department as an intern for the fall semester. Denise will be assisting the Department with various projects, including working on the CERS system. . . . . 0 i The Department continues to work with IT on upgrading the Envision Connect system. Envision Connect s the field inspection computer software that the Department uses to perform inspections and conduct permit billing. END OCDPH News CALIFORNIA DEPARTMENT OF PUBLIC HEALTH FOR IMMEDIATE RELEASE September 27, 2017 PH 17-070 CONTACT: Corey Egel 1916.440.7259 1 CDPHpress@cdph.ca.gov Prevent the Flu this Season by Getting a Flu Shot SACRAMENTO—The California Department of Public Health (CDPH) urges Californians to get the influenza (flu) vaccine in September or October ahead of the arrival of influenza season. In California, flu usually begins to increase in late November or December. It takes a couple of weeks after vaccination for the body to respond fully, so now is the time to get vaccinated to have the best protection before the flu season begins. "Getting vaccinated is the best protection against flu illness," said CDPH Director and State Health Officer Dr. Karen Smith. "You can prevent missing work or school, visits to the doctor or hospitalizations, and protecting others from coming down with the flu." A person with flu may be contagious and infect others before they even feel sick. For the second year, the Centers for Disease Control and Prevention (CDC) only recommend injectable flu vaccines. The nasal spray flu vaccine (live attenuated influenza vaccine or LAIV) is not recommended for use this season due to concerns about the effectiveness. Each year, flu causes millions of illnesses, hundreds of thousands of hospitalizations and, sometimes, thousands or tens of thousands of deaths in the United States. To reduce this risk, CDPH recommends the annual flu vaccine for everyone six months of age and older. While anyone can get flu, pregnant women, children under five, adults 65 years of age and older, and people with chronic conditions such as heart disease and asthma are particularly at risk for flu-related complications. Flu shots are needed every year to maintain the greatest protection because the vaccine changes each season to match the circulating viruses. Common symptoms of the flu include fever or feeling feverish, a cough and/or sore throat, a runny or stuffy nose, chills, fatigue and body aches. Children may also have nausea, vomiting or diarrhea. To stop the spread of flu and other respiratory illnesses, you should also: • Stay home while sick and limit contact with others • Cover your cough or sneeze with your sleeve or disposable tissue • Wash hands frequently and thoroughly with soap and warm water, or use an alcohol-based hand sanitizer • Avoid touching your eyes, nose and mouth CDPH encourages Californians to contact their health care provider, physician's office, clinic or pharmacy about obtaining the flu vaccine. Some local health departments may also offer low- or no-cost flu immunizations. For more information about the flu, visit CDPH's website. For the flu vaccine location nearest you, visit www.flu.Qov. www.cdt)h.ca.00v RECEIVED RECEWED OCT 12 2017 SEP 2 8 209 CITY CLERK'S 0 1-1cE STAFF REPORT CITY ADM1141 STRATI0 HEALTH & ENVIRONMENTAL CONTROL DEPARTMENT DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Keith Allen, Director of Health & Environmental Control Department Originator: David LeDuff,Deputy Director RE: Approval of the Agreement Accepting the Assignment of the Non-Exclusive Franchise Agreement for Commercial Solid Waste Collection from Recology Los Angeles to Araco Enterprises LLC. Recommendation A. Find that approval of the proposed assignment agreement is exempt under the California Environmental Quality Act ("CEQA"), because such approval is an administrative activity that will not result in direct or indirect physical changes in the environment and is therefore not a"project" as defined by CEQA Guidelines section 15378; and B. Approve the agreement, in substantially the same form as submitted herewith, accepting the reassignment of the Non-Exclusive Franchise Agreement for Commercial Solid Waste Collection held by Recology Los Angeles, and assigning the Non-Exclusive Franchise Agreement for Commercial Solid Waste Collection to Araco Enterprises LLC. Backsround Effective January 1, 2015, Crown Disposal Company, Inc. ("Crown") entered into a Non- Exclusive Franchise Agreement for Commercial Solid Waste Collection with the City of Vernon, as approved through Ordinance No. 1226. Shortly thereafter by minute order on February 3, 2015, the Vernon City Council approved assignment of the Franchise Agreement from Crown to Recology Los Angeles ("Recology"); the City's acceptance of the assignment was memorialized in an agreement dated February 20, 2015. Subsequently on August 11, 2017, Recology entered into an Assignment and Assumption Agreement with Araco Enterprises LLC ("Araco") by which Recology agreed to assign and Araco agreed to assume the Franchise Agreement. Proof of the agreement was subsequently received by the Vernon HECD on September 25, 2017. Section 15.1 of the existing Franchise Agreement allows the City to consider the assignment. The City Council has unfettered discretion to approve or deny such an assignment. Although Araco is a new company that has not previously held a Franchise Agreement with the City, the same family that has owned Athens Services for over 60 years will own Araco. Athens Page 1 of 2 Services currently holds a Franchise Agreement with the City of Vernon and has been in good standing. For these reasons, the Vernon Health & Environmental Control Department believes Araco will have the same or better capability than Recology to fulfill the Franchise Agreement. The City Attorney's Office reviewed and approved the proposed agreement as to form. Fiscal Imaact None. Attachment(s) 1. Agreement Accepting the Assignment of the Non-Exclusive Franchise Agreement 2. "Information For Araco Enterprises, LLC"letter 3. Assignment and Assumption Agreement Page 2 of 2 RECEIVED Am 0 3 2w INFORMATION FOR ARACO ENTERPRISES, LLC DEPDQW Arakelian Enterprises, Inc. (d/b/a Athens Services) and its designated affiliate Araco Enterprises. LLC have entered into a definitive purchase agreement with Recology Los Angeles. The solid waste collection business that we are acquiring from Recology LA will be operated through a new company, Araco Enterprises. LLC, which will take assignment of the Agreement. The members of the Arakelian family, the same family that has owned Athens Services (Athens) for over 60 years, will own Araco. Although Araco will have its own stand-alone operations and related assets, Athens will support all of Araco's obligations under the Agreement. Athens is a family owned business that has been engaged in the residential,commercial and recycling business for over sixty-years. We are currently the largest independent waste and recycling company in the County of Los Angeles. Our intimate knowledge of the industry and the market participants in Southern California makes us uniquely situated to assume the business from Recology and,in our opinion,operate that business with the very best skill and efficiency. We have a long history of serving communities across Los Angeles and adjoining Counties.We occupy a special niche because Athens has grown to the largest waste collection company in L.A. County,yet we retain authentic values at the core of a family-owned company. Since Athens was founded by Jack Arakelian in 1957 in the City of Industry,the Arakelian family continues to oversee the company's operations via the Board of Directors.We hire locally,treat employees well and engage with the community.We offer confidence by providing a scale of service to handle today's urban waste streams responsibly.Athens is the largest hauler and processor for recyclables of municipal solid waste in LAL County.We provide collection services exclusively in 23 municipalities and collection zones across the county,as well as street sweeping in 26 cities.Our facilities are state of the art and multilayered,including two materials recovery facilities(MRFs)and a food- processing center in the region,with more under development. We are proud of our efforts to protect people and the planet_For example,we offer a safety record second to none because we prioritize protection for workers and communities we serve. We take meticulous care to understand local conditions and adapt equipment and practices accordingly to ensure superior safety. Equally important,we strive to protect the planet as good stewards.We are at the vanguard of the regions effort to achieve zero-waste disposal by 2050 and our conservation ethic includes a clean-vehicle fleet,solar energy and waste-reduction practices in companywide operations.We also share our environmental ethic benefiting local communities with free compost and other value-added programs. Athens has a proven track record in safety,customer service,clean technology and commitment to California's environmental goals.Combined with decades of experience in the business and our multiplicity of materials handling facilities,we are confident in our outstanding recycling and solid waste collection services. We currently provide service to about 230,000 customers,and have the following branches and infrastructure in place: Headquarters-City of Industry office Operating Yards-7 (Los Angeles,Torrance,Riverside,City of Industry,San Fernando,Montebello, and Irwindale). Material Recovery Facility(MRF)-2 active(I in City of Industry, 1 in Sun Valley) -with 1 scheduled to be built in Irwindale). American Organics Facility- 1 (Victorville). San Bernardino County(SBCLS) Landfill System-Athens Services operates and manages the SBCLS with 11 landfills&transfer stations. RECEIVED SEP 2 5 2V DEPARTTMENT This ASSIGNMENT AND ASSUMPTION AGREEMENT dated as of August 11, 2017 (this "Agreement'). is entered into by and between Araco Enterprises LLC, a Delaware limited liability company (Purchaser") and Recology Los Angeles, a California corporation (Seller"). RECITALS WHEREAS. pursuant to an Asset Purchase Agreement(the"Purchase Amtiement"), dated as of 12, 2017, by and among Purchaser, Crown Recycling Services, LLC. Arakelian Enterprises, Inc. (doing business as Athens Services), Seller, Recology Leasing Inc. and, solely as contemplated by Section 9.17 of the Asset Purchase Agreement, Recology Inc.. as amended by an Amendment and Sale Agreement dated May 22. 2017, Seller has agreed to sell, convey, transfer. assign and deliver to Purchaser, and Purchaser has agreed to acquire from Seller, all right, title and interest of Seller in and to the Assets as set forth on Schedule 1 attached hereto; free and clear of any Encumbrance,other than Permitted Encumbrances. WHEREAS, pursuant to the Purchase Agreement, Purchaser has agreed to assume, satisfy, and discharge when due the Assumed Liabilities as set forth on Schedule 2 attached hereto;and NOW. THEREFORE, in consideration of the premises and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged Purchaser and Seller agree as follows: Sectkm 1. Defnitiags. Except as otherwise defined herein, all capitalized terms used in this Agreement shall have the meanings ascribed to them in the Purchase Agreement. Section 2. Assigomeat of Assets. Effective as of the Final Closing Date, Seller hereby sells, conveys, transfers, assigns and delivers to Purchaser. all of its right, title and interest in and to the Assets as set forth on Schedule 1 attached hereto and Purchaser hereby acquires and accepts from Seller, free and clear of any Encumbrance.other than Permitted Encumbrances, all of Seller's right, title and interest in and to such Assets as set forth on 5&bmh& I attached hereto. It is expressly agreed that Seller shall retain, and Purchaser shall not acquire, the Excluded Assets and nothing contained herein shall constitute, or shall otherwise be deemed to constitute, any sale,conveyance, transfer, assignment or delivery, or any agreement to sell, convey, transfer, assign or deliver, any right, title or interest in or to any Excluded Assets. Notwithstanding the foregoing, the assignment hereunder of any Assumed Contracts that prohibits assignment by its terms or that is not assignable without the prior written consent of the other party shall not be effective unless and until consent of such other party shall have been obtained. 1 sf-3812259 Section 3. Assumption of Assumed Liabilities. Effective as of the Final Closing Date, Purchaser hereby assumes and agrees to satisfy and discharge when due to assume, satisfy and discharge when due the Assumed Liabilities set forth on Schedule 2 attached hereto. It is expressly agreed that Seller shall retain and be responsible for satisfying and discharging when due, and Purchaser shall not assume or have any liabilities for, the Retained Liabilities and nothing contained herein shall constitute, or shall otherwise be deemed to constitute, any assumption of any Retained Liabilities. Section 4. Further Actions. Seller hereby covenants and agrees to warrant and defend the sale, transfer, assignment, conveyance, grant and delivery of the Assets hereby made against all persons whomsoever. to take all steps reasonably necessary to establish the record of Purchaser's title to the Assets and, at the request of Purchaser. to execute and deliver further instruments of transfer and assignment and take such other action as Purchaser may reasonably request to more effectively transfer and assign to and vest in Purchaser each of the Assets. all at the sole cost and expense of Purchaser. Section S. No Third Party Benefieiarles. Nothing contained in this Agreement is intended by the parties to expand the rights and remedies of any third party (which. for the avoidance of doubt, does not include Purchaser) against an) party hereto as compared to the rights and remedies which such third party would have had against such party had the parties hereto not consummated this Agreement. Section 6. Subject to Purchase Agreement. Nothing herein contained shall itself change, amend, extend or alter (nor shall it be deemed or construed as changing, amending, extending or altering) the terms or conditions of the Purchase Agreement in any- manner whatsoever. The terms of the Purchase Agreement_ including but not limited to Seller's representations, warranties, covenants, agreements and indemnities relating to the Assets, are incorporated herein by this reference. This Agreement does not create or establish liabilities or obligations not otherwise created or existing under or pursuant to the Purchase Agreement. In the event of any conflict or other difference between the Purchase Agreement and this Agreement, the provisions of the Purchase Agreement shall control. Section 7. Governing Law. This Agreement shall be governed by the laws of the State of California (regardless of the laws that might otherwise govern under applicable California principles of conflicts of law) as to all matters, including matters of validity, construction, effect, performance and remedies. Section S. Assignment. This Agreement and all of the provisions hereof shall be binding upon and inure to the benefit of the parties hereto and their respective successors and permitted assigns. Neither this Agreement nor any of their rights, interests or obligations hereunder shall be assigned by either parry without the prior written consent of the other party. Section 9. Amendment and Modification. Except as provided otherwise in this Agreement, this Agreement may be amended, modified or supplemented only by written agreement of each of the parties hereto. sf-381 2258 Section 10. Waiver of Compliance; Consents. Any failure of Purchaser, on the one hand, or Seller, on the other hand. to comply with any obligation, covenant. agreement or condition herein may be waived by Seller or Purchaser, respectively, only by a written instrument signed by the party granting such waiver, but such waiver or failure to insist upon strict compliance with such obligation, covenant, agreement or condition shall not operate as a waiver of, or estoppel with respect to, any subsequent or other failure. Whenever this Agreement requires or permits consent by or on behalf of any party hereto. such consent shall be given in writing in a manner consistent with the requirements for a waiver of compliance as set forth in this Section. Section 11. Headings. The headings contained in this Agreement are solely for the purpose of reference.are not part of the agreement of the parties and shall not in any way affect the meaning or interpretation of this Agreement. Section 12. Severability. Whenever possible. each provision of this Agreement shall be interpreted in such manner as to be effective and valid under applicable Law. if any provision of this Agreement shall be invalid, illegal or unenforceable in any respect under any applicable Law, the validity, legality and enforceability of the remaining provisions hereof shall not be affected or impaired thereby. Section 13. 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. This Agreement may be executed by facsimile or electronic (.pdf) signature and a facsimile or electronic (.pdf) signature shall constitute an original for all purposes. [Remainder of Page intentionally Left Blank] x sf-3812258 IN WITNESS WHEREOF, cacti of the parties has caused this Assignment and Assumption Agreement to be cxecuted on its behalf by its off=m hermmto duly authorized, all as of date first above written. RECOLOGY LOS ANGELES RmeCl9 Name: Michael J. . 19c4 Title: President& Chief Executive Officer ARACO ENTERPRISES LLC By: Name: Title: (Sigmwwv Page io Ass*w mt and Amumpdm Agr xwsw-Arwo) IN WnWESS VIFEMI:, each of the parties has c mimed this Assignment and As umdon Agnxmew to be executed on its behalf by its officers heramto duty mWk izK all as of date firm above written. RECOLOGY LDS ANGELES By: Name: Title: ARACO ENTERPRISES LLC By: Name:Ronald Arakelian 1%Trustee of the RJA III 2017 Irrevocable Trust Title: Managing Member (Signa wv Pale to.lnf mow and Ammaption Aareemw-Araco) AGREEMENT ACCEPTING THE ASSIGNMENT OF THE NON-EXCLUSIVE FRANCHISE AGREEMENT FOR COMMERCIAL SOLID WASTE COLLECTION BETWEEN RECOLOGY LOS ANGELES AND THE CITY OF VERNON, FROM RECOLOGY LOS ANGELES TO ARACO ENTERPRISES LLC This Agreement Accepting Assignment of Non-Exclusive Franchise Agreement for Commercial Solid Waste (the "Agreement") is made as of October 26, 2017, by and between the City of Vernon, a California charter city and municipal corporation(the"City"), Recology Los Angeles, a California corporation("Recology"), and Araco Enterprises LLC, a Delaware limited liability company ("Araco"). RECITALS WHEREAS, effective January 1, 2015, Crown Disposal Company, Inc. ("Crown") entered into that certain Non-Exclusive Franchise Agreement for Commercial Solid Waste Collection with the City, as approved through Ordinance No. 1226 (the"Franchise Agreement"); and WHEREAS, by minute order on February 3, 2015,the City Council approved assignment of the Franchise Agreement from Crown to Recology, and the City's acceptance of such assignment was memorialized in an agreement dated as of February 20, 2015; and WHEREAS, as of August 11, 2017, subsequent to entering into an Asset Purchase Agreement with Araco (as buyer) by which Recology sold substantially all of its assets to Araco (the"Transaction"), Recology entered into an Assignment and Assumption Agreement with Araco,by which Recology agreed to assign and Araco agreed to assume, among other things,the Franchise Agreement; and WHEREAS, under the terms of the Franchise Agreement, Recology may not assign the Franchise Agreement to Araco without the prior approval of the City Council,which has unfettered discretion to approve or deny such an assignment. NOW, THEREFORE, the parties to this Agreement agree as follows: 1. This Agreement accepting the assignment of the Franchise Agreement from Recology to Araco is effective as of the closing of the Transaction. Araco will provide at least two business days' prior written notice to the City of the closing date of the Transaction or as soon as practicable after the closing date. 2. Except as expressly modified by this Agreement for assignment, all provisions of the Franchise Agreement shall remain in full force and effect, and Araco agrees to be bound by all terms and conditions of the Franchise Agreement. 3. The person or persons executing this Agreement on behalf of each of the parties herein warrants and represents that he or she has the authority to execute this Agreement on behalf of that party and has the authority to bind that party to the performance of its obligations hereunder. [SIGNATURES FOLLOW ON NEXT PAGE] - 1 - IN WITNESS WHEREOF, the parties have signed this Agreement as of the date stated in the introductory clause. CITY OF VERNON a California charter city Recology Los Angeles, a California and municipal corporation corporation By, Carlos Fandino, City Administrator By: Name: Title: ATTEST: By: Name: Maria Ayala, City Clerk Title: APPROVED AS TO FORM: Araco Enterprises LLC, a Delaware limited liability company Brian Byun, Senior Deputy City Attorney By: Name: Title: By: Name: Title: - 2 - Of er RECEIVED RECEIVE �, ., tt OCT 0 2 2011 0 C� 0 3 [47ir - elly CLERKS CITY ADMINISTRATION POLICE DEPARTMENT 10--3- 1-7 Anthony Miranda,Chief of Police 4305 Santa Fe Avenue,Vernon, California 90058 Telephone(323)587-5171 Fax(323)826-1481 October 2, 2017 Honorable City Council City of Vernon Vernon, California Honorable Members: Attached are copies of the Vernon Police Department Activity Log and Statistical Summary of Arrest and Activities which cover the period from 12:01 a.m., September 16, 2017 up to and including midnight of September 30, 2017. Respectfully submitted, VERNON POLICE DEPARTMENT -- - 4 ANTHONY MIRANDA CHIEF OF POLICE AM/gg E.tcCusiveCy IndustriaC VERNON POLICE DEPARTMENT Department Activity Report First Date: 09/16/2017 .Jurisdiction: VERNON Last Date: 09/30/2017 Department Complaint All Units Primary Unit Type Description VPD 10-6 OFFICER IS 10-6 C7,961,962,10-10,WASH,EQUIPh 112 102 10-96H PICK UP THE JAIL PAPER WORK FROM HP JAIL 1 1 10-96M 10-96 MARY(MAIL DETAIL) 5 5 20001 R INJURY HIT AND RUN REPORT 7 2 20002R NON-INJURY HIT AND RUN REPORT 13 7 242 BATTERY 11 3 242R BATTERY REPORT 3 2 245R ASSAULT WITH A DEADLY WEAPON REPORT 4 1 415 DISTURBING THE PEACE 32 11 417 BRANDISHING A WEAPON 8 2 459 BURGLARY 19 4 459A AUDIBLE BURGLARY ALARM 79 45 459R BURGLARY REPORT 10 6 459S SILENT BURGLARY ALARM 1 1 459VR BURGLARY TO A VEHICLE REPORT 6 5 476R FRAUD REPORT 2 1 484 PETTY THEFT 2 1 484R PETTY THEFT REPORT 14 11 487R GRAND THEFT REPORT 5 5 503R EMBEZZLEMENT REPORT 1 1 586 PARKING PROBLEM 29 24 594 VANDALISM 8 2 594R VANDALISM REPORT 7 4 602 TRESPASS 19 8 602R TRESPASS REPORT 1 ! 647F DRUNK IN PUBLIC 1 ! 901 UNKNOWN INJURY TRAFFIC COLLISION 2 1 901T INJURY TRAFFIC COLLISION 14 7 902T NON-INJURY TRAFFIC COLLISION 26 18 902TR NON-INJURY TRAFFIC COLLISION REPORT 3 2 905E ANIMAL BITE 2 1 909C TRAFFIC CONTROL 2 1 909E TRAFFIC ENFORCEMENT 3 1 909T TRAFFIC HAZARD 6 5 911 911 MISUSE/HANGUP 4 3 911A CONTACT THE REPORTING PARTY 9 7 911NR 911 CALL NO RESPONSE REQUIRED 2 1 917A ABANDONED VEHICLE 14 9 920PR LOST PROPERTY REPORT 1 1 925 SUSPICIOUS CIRCUMSTANCES 52 22 A211 R ATTEMPT ROBBERY REPORT 1 1 A459V ATTEMPT AUTO BURGLARY 2 1 A494R ATTEMPT PETTY THEFT REPORT 1 1 AB109 PROBATION/PAROLE COMPLIANCE CHECKS 3 1 AR LOG UPDATE THE AR LOG 1 1 ASTVFD ASSIST VERNON FIRE DEPARTMENT 13 9 BOSIG BROKEN SIGNAL OR LIGHT 4 3 BOVEH BROKEN DOWN VEHICLE 14 9 10/02/2017 09.27.46 Page 1 of ? VERNON POLICE DEPARTMENT Department Activity Report First Date: 09/16/2017 Jurisdiction: VERNON Last Date: 09/30/2017 Department Complaint Al! Units Primary Unit Type Description VPD CITCK CITATION CHECK 3 3 CITY ALARMS CITY HALL ALARMS.FINANCE.CITY CLERK.HEAL 1 1 COP COP DETAIL 7 5 DEMOSTRA DEMONSTRATION 10 3 DET DETECTIVE INVESTIGATION 20 9 DPTAST DEPARTMENTAL ASSIST 7 5 DUI DRIVING UNDER THE INFLUENCE 1 1 FILING OFFICER IS 10-6 REPORT WRITING 56 55 FOUND FOUND PROPERTY REPORT 1 1 FU FOLLOW UP 15 10 GTAR GRAND THEFT AUTO REPORT 5 4 HBC HAILED BY A CITIZEN 5 4 ILLDPG RPT ILLEGAL DUMPING REPORT 2 2 LOCATE LOCATED VERNON STOLEN VEHICLE 4 4 MISPLOCATE LOCATED MISSING PERSON REPORT 3 1 PANIC ALARM PANIC ALARMIDURESS ALARM 8 3 PAPD PUBLIC ASSIST-POLICE 15 9 PATCK PATROL CHECK 102 83 PEDCK PEDESTRIAN CHECK 26 14 PLATE LOST OR STOLEN PLATES REPORT 3 2 PRSTRAN PRISONER TRANSPORTED 3 3 REC RECOVERED STOLEN VEHICLE 6 2 RECDALARM TEST THE RECORDS ALARM 1 1 RECKLESS DF RECKLESS DRIVING(23103) 4 2 REPO REPOSSESSION 6 6 RR RAIL ROAD PROBLEM 7 4 SHOTS SHOTS 2 1 SPEEDTRAILE TO BE USED WHEN THE TRAILERS ARE DEPLOYE 2 1 TRAFFIC STOI TRAFFIC STOP 124 111 UNATTACHED UNATTACHED TRAILER 1 1 VCK VEHICLE CHECK 87 78 VEH RELEASE VEHICLE RELEASE 4 3 WARRANT WARRANT ARREST 6 4 WELCK WELFARE CHECK 23 11 Department: 1149 808 Overall: 1149 809 10/02/2017 09:27:46 Page 2 of ? VERNON POLICE DEPARTMENT Police Activity Report Period Ending: 09/30/17 TRAFFIC COLLISIONS NO. PROPERTY RECOVERED TOTAL 19 VEHICLES: $53,700.00 NON-INJURY 13 INJURY 6 Pedestrian Fatalities City Property Damage 2 Hit &Run(Misdemeanor) 6 Hit & Run(Felony) 1 Persons Injured 6 VEHICLES STORED PROPERTY RECOVERED FOR Unlicensed Driver 5 OTHER DEPARTMENTS Abandoned/Stored Vehicle 5 VEHICLES: $27,000.00 Traffic Hazard CITATIONS Citations Iss (Prisoner Release) 20 Citations Iss (Moving) 79 Citations Iss (Parking) 71 Citations Iss (Total) 150 Hazardous 55 Non-Hazardous 24 Other Violations CASES CLEARED BY ARREST AR17-406 CR17-1650 11377 HS AR17-409 CR17-1661 602(0) PC AR17-410 CR17-1668 11364 HS AR17-411 CR17-1670 459.5 PC AR17-415 CR17-1685 11377 HS AR17-417 CR17-1701 166 PC AR 17-418 C R 17-1706 459 PC AR17-421 CR17-1716 11364 HS AR 17-422 CR 17-1705 503 PC AR17425 CR 17-1729 459 PC VERNON POLICE DEPARTMENT REPORT FOR PERSONS ARRESTED PERIOD ENDING 09/30/2017 ADULT FELONY ARRESTS AND DISPOSITIONS MALE FEMALE TOTAL ASSAULT ON A PEACE OFFICER BURGLARY _ _ 4 4 CHILD NEGLECT GROSS VEHICLE MANSLAUGHTER HIT& RUN WARRANT(VERNON CASE) WARRANT(OUTSIDE AGENCY) 1 1 TOTAL FELONY ARRESTS 5 0 5 ADULT MISDEMEANOR ARRESTS AND DISPOSITIONS MALE FEMALE TOTAL SHOPLIFTING 2 2 DRIVING UNDER THE INFLUENCE 1 1 COURT ORDER VIOLATION 1 1 POSSESS CONTROLLED SUBSTANCE 2 2 POSSESS CONTROLLED PARAPHERNALIA 3 3 EMBEZZLEMENT 1 1 TRESPASSING 1 1 WARRANT(VERNON CASE) 4 1 5 WARRANT(OUTSIDE AGENCY) TOTAL MISD. ARRESTS 15 1 16 JUVENILES DETAINED --- FELONY AND MISDEMEANOR MALE FEMALE TOTAL BURGLARY RECEIVING STOLEN PROPERTY ROBBERY VEHICLE THEFT WARRANTS (BENCH) !TOTAL JUVENILES DET. O 0 0 TOTAL FELONY ARRESTS (ADULT)TO DATE: 90 TOTAL MISDEMEANOR ARRESTS (ADULT)TO DATE: 331 TOTAL JUVENILES DETAINED (FELONY AND MISDEMEANOR)TO DATE: 5 TOTAL ARRESTS AND DETAINED JUVENILES (FELONY AND MISDEMEANOR)TO DATE: 46 \ � U � RInq - § k % LO % «R g § § kr & $$ £ � � / � �C5 27 �§ § § § � fInP � 3 2 GQk 9 2 q � � G « � k § O k � � / [ m3 cli f � � § ■ § e � . 2 ■ § ) � } § B \ ) / j_ \ 7 ) R q is $ 2 § ® k $ { a. \ CL � 3 0 ' (D U. j k k U. 2 QFV 2 - § j § p to k ) ) § � 1 2. 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O o ti • h h h h Z h V3 O O O O Z O U r� a N N N N N N N O N - N < N — \\�11 CICr, O ca 4 IT 01)O m O O O Qi �1 z E=; U z z 7+ fr�j LU , •y v a. 0 n � U O �p Vi V) Vi O O O (Z O O N H O [V Of ti +17 m N x+. N O t Ln O �n � 0 4, 4,U k ti o+ zz N O U O �Q Q� co W C7 p Q U N (n W Z 0 W z ~� N w ca LU � o 4 U cl, cmw �n • N N Or LU W LU Q ' d' LL �{ O o C! b W W to co U z A s z L) U o a LU cc CD EL N ' , A r N Lu n n I- UU �I L1 o 0 0 O z [+ V z L w a s � W � � N N N V C� N N ■ § ) d % M a k2 2�k £ � � � � t k %/ 72 3 �§ 7§ % 20 Oo 1-4" 7 ■ 7k § k B k § § 4q 3 $ § bd I / � §a �2 A> A>R ■ i $ $ e § It 2 9 LOU-' � \ O \ / m § § > co2 n z n \ k / w � } / ZZ k � � 2 z < § < d � n § � k § \ � z § Kkb � Q > nr � E § < � a E2 ! � = z � a � k k 0z < az c aw0 Uw k } IL � a \ EE § » > >> \ ■ ® k % 2 % ] § U Fe. o > : \ j Q 2 � k 2 7 & a k k C a � CbEWED RECEIVED =: OCT 12 2017 O C T 12 2017 CITY C1_ERK'S OFFICE STAFF REPORT ';'`Y �����E��'�i����o VERNON POLICE DEPARTMENT DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Anthony Miranda, Police Chie)e/1 RE: Donation of 2005 Chevy Tahoe to the City of San Fernando Police Department Reserve Officer Program Recommendation A. Find that approval of the proposed donation is exempt from California Environmental Quality Act(`°CEQA")review, because it is a government fiscal activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a"project" as defined by CEQA Guidelines section 15378; and B. Authorize the donation of a surplus 2005 Chevy Tahoe Patrol Vehicle, to be conveyed to the City of San Fernando Police Department Reserve Officer Program; and C. Enter into a donation and release agreement, in substantially the same form as submitted herewith, with the City of San Fernando Police Department, to use and retain as needed by the Reserve Police Officer Program; and D. Authorize the Chief of Police to execute the Deed of Gift and Donation Agreement and Release on behalf of the City of Vernon. Background On September 6, 2017, Vernon Police Department was contacted by San Fernando Police Chief Anthony Vairo who expressed interest in utilizing surplus vehicle(s) for refurbishing purposes for his departments reserve officer program. San Fernando PD is experiencing a shortage of patrol vehicles and has limited funding to purchase new patrol vehicles. The Vernon Police Department conducted an assessment of the patrol vehicle fleet and identified patrol unit #P93, V1N # 1GNEC13Z75R256868, a 2005 Chevy Tahoe, for surplus. The patrol vehicle has been in use for patrol purposes for l 1 years and has surpassed 173,000 in mileage. Although the patrol vehicle has accumulated wear and tear over the years given the 24/7 use, it is suitable for refurbishing purposes. Vernon Police Department has consulted with the City's Lead Mechanic and it was agreed that investing more money to keep this unit running would not be in the City of Vernon's best interest at this time. The proposed donation of the surplus vehicle to the City of San Fernando Police Department Reserve Officer Program will serve a municipal purpose and will provide the necessary resource to enhance the program given the limited funding for patrol vehicles. Once the patrol vehicle is refurbished, it will be utilized by reserve police officers assigned to patrol duties. The City Attorney's Office has reviewed and approved the Deed of Gift and Donation Agreement and Release. Fiscal Impact There is no fiscal impact associated with the proposed donation. Attachment(s) 1. Deed of Gift and Donation Agreement and Release between the City of Vernon and the City of San Fernando f of 'Oer ec to ttatt 4305 Santa Fe Avenue,Vernon, California 90058 Telephone(323)583-8811 Deed of Gift to City of San Fernando Police Department The City of Vernon(hereafter, "Donor'')hereby donates and conveys the physical property described below to the San Fernando Police Department, subject to the Donation Agreement and Release ("Agreement") attached hereto and incorporated herein by reference, to use, retain or dispose of pursuant to the terms and conditions set forth in the Agreement. 1. Donor Information: Agency Name: City of Vernon, Police Department Agency Address: 4305 Santa Fe Avenue Vernon, CA. 90058 Agency Contact: Anthony Miranda, Chief of Police Telephone Number: (323) 583-8811 ext. 114 2. Description of Property: 2005 Chevrolet Tahoe, Black&White 4 door Vin#: 1GNECI3Z75R256868 CITY OF VERNON Authorized Donor Representative Date Anthony Miranda, Chief of Police San Fernando Police Department Anthony Vairo, Chief of Police Date Fxchisively hufwtriaf Donation Agreement and Release This Donation Agreement and Release (`'Agreement"), conveying 2005, Chevrolet, Tahoe, black &white, 4 door, Vin#: I GNEC I 3Z75R256868 (the"Property"), is entered into between the City of Vernon's Police Department ("Donor") and the San Fernando Police Department ('`Donee" and together with Donor, the"Parties") with reference to the following: Recitals The San Fernando Police Department has expressed an interest in utilizing surplus vehicle(s) for refurbishing purposes for the Department's reserve officer program. San Fernando PD is experiencing a shortage of patrol vehicles and has limited funding to purchase new patrol vehicles. The proposed donation of the surplus vehicle to the City of San Fernando Police Department Reserve Officer Program will serve as a municipal purpose and will provide the necessary resource to enhance the program given the limited funding for patrol vehicles. Once the patrol vehicle is refurbished, it will be utilized by reserve police officers assigned to patrol duties. Agreement 1. Donor shall convey the Property to Donee as soon as practicable upon approval of this Agreement by the City Council of the City of Vernon(the''City Council") and] upon full execution of the Agreement. 2. Conveyance of the Property shall be deemed to have occurred when Donee takes delivery thereof. 3. Donor does not warrant the Property to be fit for any particular purpose, and Donee accepts the Property"as is." 4. Donee may inspect the Property at a time and place agreed upon by the Parties prior to delivery. 5. Upon delivery of the Property, Donor shall not be liable or in any other way responsible for any defects or for failure of the Property to perform its intended purpose. Nor shall Donor be liable or in any other way responsible for any loss, damage, or injury to third parties arising from or caused by defects in the Property or in any part thereof. 6. Donee shall defend, indemnify and hold harmless Donor, its officers, directors, elected officials, agents, employees and attorneys from and against all claims, suits and damages asserted by Donee and/or any third party arising out of or in any way related to the ownership, conveyance or use of the Property. 7. Donee represents that the Property will only be used for the purpose(s) described in the Recital(s) above, unless otherwise agreed to in writing by the Parties. City of Vernon,4305 Santa Fe Avenue, Vernon, California 90058-TeIephone (323)583-8811 Page 3 S. This Agreement shall be interpreted in accordance with the laws of the State of California, without regard to its conflict of laws rules. 9. By its signature below, Donee represents that it is a legal entity authorized to make and enter into contracts and that the signatory is authorized to bind Donee under this Agreement. In witness whereof, the Parties hereto have executed the Agreement on the dates indicated below. City of Vernon Police Department By: Anthony Miranda, Chief of Police Date Attest: Maria E. Ayala, City Clerk Approved as to form: Zaynah Moussa, Senior Deputy City Attorney San Fernando Police Department By: Anthony Vairo, Chief of Police Date City of Vernon,4305 Santa Fe Avenue, Vernon, California 90058-Telephone (323)583-8811 31 RECEIVED L RECEIVED SEP 2 8 2017 SEP 11 2017 CITY CLERKS OFFICE STAFF REPORT , ,,1111 TRATION PUBLIC WORKS DEPARTMENT DATE: October 3,2017 TO: Honorable Mayor and City Council FROM: Daniel Wall, Director of Public Works DepartmeneW Originator: Kevin Wilson,Interim Public Works Director RE: An Ordinance of the City Council Proposing Minor Amendments to Chapters 24 and 26 of the Vernon Municipal Code Recommendation A.. Find that approval of the proposed Ordinance is exempt from California Environmental Quality Act (CEQA) as it is not considered a "project' under CEQA which is defined as an action directly undertaken by a public agency which has the potential for resulting in either a direct physical change in the environment or a reasonably foreseeable indirect physical change in the environment, Cal. Pub. Res. Code Section 21065. Under the proposed ordinance, no such activity is being undertaken. Even if the ordinance were to be considered a "project' under CEQA Guidelines Section 15061(b)(3) which provides that CEQA applies only to projects which have the potential for causing a significant effect on the environment. Where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment, the activity is not subject to CEQA. Here,the ordinance involves the adoption of amendments to revise state- mandated construction codes merely to improve the safety of buildings and will not have any effect on the environment; and B. Open a Public Hearing and receive any comments from the public regarding the proposed amendments, and thereafter close the Public Hearing; and C. Approve the first reading, and adopt at a subsequent meeting, an Ordinance amending Chapter 24 of the Vernon Municipal Code regarding the 2016 Green Building Standards Code and Chapter 26 regarding Incidental Uses. Background The State of California Building Standards Commission has contacted City staff regarding City Ordinance No. 1237,approved by City Council on December 6,2016,which adopted amendments to the 2016 California Building Code. All amendments are required to be submitted to the Building Page 1 of 3 Standards Commission for acceptance and filing. The State has questioned the City's adoption of the 2016 Green Building Standards Code and has refused to file the City's amendments until such time as the City correctly adopts this Code. In accordance with State law,a City with the exception of administrative provisions is only permitted to amend a State Building Standard based on climatic, topographical or geological conditions. In this instance, the City adopted several amendments to the 2016 California Green Building Standards Code based on administrative reasons. The State is not accepting this rationale. The State has advised that the City should either rescind the amendments or amend the adopted ordinance to reflect that the amendments are necessary due to climatic,topographical or geological conditions within the City. City staff has reviewed the amendments that the City made to the Green Building Standards Code. Other than the modifications to the fee schedule, staff has determined that all other amendments are not necessary. These amendments included the addition of one definition, minor grammatical changes to clarify code language and modifications to voluntary requirements which the City is not enforcing. The subject amendments were recommended by the International Code Council, Los Angeles Basin Chapters, Green and Sustainability Committee as part of the Los Angeles Region Uniform Code Program. The City adopted these amendments in an effort to have a uniform code throughout the Los Angeles region. It is therefore recommended that the City adopt an ordinance deleting City Code Sections 24.107 (b)-(p), only maintaining Section 24.107(a) which adopts the City's fee schedule versus the fee schedule specified in the Green Standards Code. The proposed amendment is shown in Exhibit "Asp Zoning Code The City adopted its current Zoning Ordinance on January 16, 2008 establishing Chapter 26 of the Vernon Municipal Code. Since that time other minor amendments have been made to the City's Zoning regulations. In order to streamline the City's development review process City staff is recommending that an additional change be made to the Zoning Ordinance concerning Incidental Uses. The term Incidental Uses is defined to mean, a use that is in connection with a Person's Permitted Use, such as office, design area, or showroom space, that occupies more than twenty Percent (20%), but less than fifty percent(50%)of the gross Floor Area. Incidental Use does not include a Retail Use, but may include mail order or internet sales in connection with a Permitted Use. Currently an Incidental Use requires a Minor Conditional Use Permit. The purpose of a Conditional Use Permit ("CUP") is to allow the proper integration of uses into the community which may be suitable in specific locations or designed and constructed in a particular manner or under certain conditions.Typically,uses in the City of Vernon that are subject to a CUP could cause a nuisance to a neighboring property or the community as a whole, unless conditions are placed on the use to protect neighboring properties. In this instance, the only nuisance that could be caused by an Incidental Use is an increase in street parking demand caused by an increase in employees or visitors. However, this could be rectified by incorporating parking and loading regulations for an Incidental Use. Currently,parking issues would be resolved through Page 2of3 the CUP process. The current parking and loading regulations specifically allow the parking requirements to be increased as part of the CUP process. A Conditional Use Permit takes considerable staff time to process the application. Normally it can take three to six months to process a CUP. Therefore, a business proposing a small addition to an existing office area that causes the office to exceed the twenty percent threshold could take several months to approve. In order to streamline the process while continuing to provide protection to neighboring property owners it is recommended that the City develop a mandatory parking requirement for incidental uses and no longer require a CUP. Staff is recommending that the parking requirements for an Incidental Use be one space per 250 square feet of gross floor area utilized for an Incidental Use. This is the same ratio that is required for a Commercial Use, which includes a standalone office building. It is therefore recommended that the City adopt an ordinance amending Chapter 26 of the Vernon Municipal Code to no longer require a CUP for an Incidental Use and to establishing parking standards for an Incidental Use. The proposed amendments are shown in Exhibit"B". Fiscal Impact There is no fiscal impact to the City by adopting the proposed Ordinance. Attachment 1. Public Hearing Notice 2. Proposed Ordinance Page 3 of 3 4305 Santa Fe Avenue City of Vernon Vernon, CA 90058 + �� _ (323) 583-8811 C#}k�lr %"may} NOTICE OF PUBLIC HEARING REGARDING THE PROPOSED ORDINANCE TO AMIVIEND CHAPTERS 24 AND 26 OF THE VERNON MUNICIPAL CODE The City of Vernon will conduct a Public Hearing,which you may attend. PLACE: Vernon City Hall City Council Chamber 4305 Santa Fe Avenue Vernon,CA 90058 DATE&TIME: Tuesday,October 3,2017 at 9:00 a.m. (or as soon thereafter as the matter can be heard) PURPOSE/SUBJECT: Consider the adoption of an Ordinance to amend the Vernon Municipal Code Chapter 24,Building and Construction regarding the 2016 Green Building Standards Code and Chapter 26, regarding Incidental Uses and repealing all prior ordinances and part of ordinances in conflict therewith. DOCUMENTS Notice is hereby given that a hard copy of the proposed ordinance will be available for public review during normal business hours in the City Clerk Department, located at 4305 Santa Fe Avenue,Vernon,California,between the hours of 7:00 a.m.and FOR REVIEW: 5:30 p.m. Monday through Thursday. Please send your comments or questions to: Daniel Wall, Director of Public Works City of Vernon 4305 Santa Fe Avenue,Vernon,CA 90058 (323)583-8811 Ext.305 Email:dwall i ci.vemon.ca.us PROPOSED CEQA FINDING: Staff wiII recommend that the City Council find that this action is not subject to the California Environmental Qualit), Act(CEQA)as this ordinance is not considered a `'prn}ecf' under CEQA which is defined as a whole of an action directly undertaken by a public agency which has the potential for resulting in either a direct physical change in the environment or a reasonable foreseeable indirect physical change in the environment,Cal.Pub.Res.Code Section 21065.Under the proposed ordinance,no such activity is being undertaken. Even if the ordinance were to be considered a "project'under CEQA,which is not the case,the ordinance would be covered by the general rule set forth in CEQA Guidelines Section 15061(bx3)which provides that CEQA applies only to projects which have the potential for causing a significant effect on the environment. Where it can be seers with certainty that there is no possibility that the activity in question may have a significant effect on the environment,the activity is not subject to CEQA. Here,the ordinance involves the adoption of amendments to revise state-mandated construction codes merely to improve the safety of buildings and no longer require a minor conditional use permit for an Incidental Use and will not have any effect on the environment. If you challenge the adoption of an Ordinance to amend Chapter 24, Building and Construction and Chapter 26, Incidental Uses of the Vernon Municipal Code and repealing all prior ordinances and part of ordinances in conflict therewith or any provision thereof in court,you may be limited to raising only those issues you or someone else raised at the hearing described in this notice or in written correspondence delivered to the City of Vernon at,or prior to,the meeting. Americans with Disabilities Act(ADA)-. In compliance with ADA, if you need special assistance to participate in the meeting,please contact the Office of the City Clerk at(323)583-8811 ext. 546. The hearing may be continued or adjourned or cancelled and rescheduled to a stated time and place without further notice of a public hearing. Dated: — Maria E.Ayala,City Clerk ORDINANCE NO . 1247 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF VERNON AMENDING CHAPTERS 24, BUILDING AND CONSTRUCTION, AND 26, ZONING, OF THE VERNON MUNICIPAL CODE, MODIFYING THE 2016 CALIFORNIA GREEN BUILDING STANDARDS CODE AND PERMITTING BY RIGHT INCIDENTAL USES AND MODIFYING THE PARKING AND LOADING REQUIREMENTS FOR SUCH USES IN THE INDUSTRIAL "I" ZONE; AND REPEALING ALL ORDINANCES OR PARTS OF ORDINANCES IN CONFLICT HEREWITH WHEREAS, the City of Vernon (the "City") is a municipal corporation and a chartered city of the State of California organized and existing under its Charter and the Constitution of the State of California; and WHEREAS, on December 6, 2016, the City Council of the City of Vernon adopted Ordinance No. 1237, adopting the 2016 California Building Code with amendments; and WHEREAS, the State of California Building Standards Commission has advised the City that it must modify its findings for the adoption of the 2016 California Green Building Standards Code; and WHEREAS, on January 16, 2008, the City Council of the City of Vernon adopted Ordinance No. 1227, adopting amendments to the comprehensive zoning ordinance of the City of Vernon; establishing zoning districts in the City and regulating and restricting the use, size, and the location of buildings and improvements on land; the use of land and open space; adopting a map showing said zoning districts, defining the terms used in the ordinance; providing for its adjustment, amendment and enforcement (the "Zoning Ordinance") ; and WHEREAS, by memorandum dated October, 3, 2017, the Director of Public Works has recommended that the amendments to the 2016 California Green Building Standards should be modified and that the City of Vernon Zoning Ordinance be amended to (i) redefine Incidental Uses, (ii) allow Incidental Uses in the industrial "I" zone as a matter of right; and (iii) establish parking requirements for Incidental Uses; and WHEREAS, a duly-noticed public hearing has been held to consider the proposed ordinance changes, and public testimony has been received and considered; and WHEREAS, Chapter 4 . 1 (f) and (h) of the Charter of the City of Vernon provides that an ordinance shall amend a code or repeal any ordinance or code previously adopted. THE CITY COUNCIL OF THE CITY OF VERNON HEREBY ORDAINS: SECTION 1: The City Council of the City of Vernon hereby finds and determines that all of the foregoing recitals are true and correct . SECTION 2 : Article XIV of Chapter 24 of the Vernon Municipal Code is hereby amended as set forth in Exhibit A, which is attached hereto and incorporated herein by reference. SECTION 3 : Chapter 26 of the Vernon Municipal Code is hereby amended as set forth in Exhibit B, which is attached hereto and incorporated herein by reference. SECTION 4 : Any ordinance, part of an ordinance, or code section in conflict with this Ordinance is hereby repealed. SECTION 5 : Severability. If any chapter, article, section, subsection, subdivision, paragraph, sentence, clause, phrase, or word in this Ordinance or any part thereof is for any reason held to be unconstitutional or invalid or ineffective by any court of competent jurisdiction, such decision shall not affect the validity or 2 - effectiveness of the remaining portions of this Ordinance or any part thereof . The City Council hereby declares that it would have adopted this Ordinance and each chapter, article, section, subsection, subdivision, paragraph, sentence, clause or phrase thereof, irrespective of the fact that any one or more chapters, articles, sections, subsections, subdivisions, paragraphs, sentences, clauses, phrases or words be declared unconstitutional, or invalid, or ineffective. SECTION 6 : Book of Ordinances . The City Clerk, or Deputy City Clerk, shall attest and certify to the adoption of this Ordinance and shall cause this Ordinance and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the Book of Ordinances of the Council of this City. The City Clerk, or Deputy City Clerk, shall cause this ordinance to be published or posted as required by law. - 3 - SECTION 7 : Effective Date. This Ordinance shall go into effect and be in full force and effect at 12 : 01 a.m. on the thirty- first (31st) day after its passage. APPROVED AND ADOPTED this 17th day of October, 2017 . Name : Title: Ma or / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk A7 VEDAS TO FORM: Brian Byun, Senior Deputy ity Attorney - 4 - STATE OF CALIFORNIA 1 1 ss COUNTY OF LOS ANGELES J I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Ordinance, being Ordinance No. 1247 was duly and regularly introduced at a regular meeting of the City Council of the City of Vernon, held in the City of Vernon on Tuesday, October 3, 2017, and thereafter adopted at a meeting of said City Council held on Tuesday, October 17, 2017, by the following vote : AYES: Councilmembers : NOES: Councilmembers : ABSENT: Councilmembers : And thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of October, 2017, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 5 - EXHIBIT A Exhibit "A" Sec. 24.107. Green Building Standards Code amendments, additions, and deletions. The 2016 Edition of the California Green Building Standards Code is hereby amended as follows: (a) Section 101.12 is hereby added to the 2016 California Green Building Standards Code to read as follows: Section 101.12 Green building standards permit fee. Green Building Standards permit fees shall be set forth in a fee schedule adopted by resolution of the City Council. A reinspection fee may be assessed for each inspection or reinspection when such portion of the work for which an inspection is called is not complete or when corrections called for are not made. Reinspection fees may be assessed when the inspection record card is not posted or otherwise available at the work site,the approved plans are not readily available to the inspector, for failure to provide access on the date and time for which the inspection is requested, or for deviating from the plans requiring the approval of the building official. In instances where reinspection fees have been assessed,the city may deny additional inspection of the work until the required fees are paid. EXHIBIT B Exhibit "B" Sec. 26.2.6. Definitions (H-I). Hazardous Waste Facility shall mean any facility or location which has a primary function to store or process, treat, transfer, dispose of, or recycle all substances defined as hazardous waste, acutely hazardous waste, extremely hazardous waste, or biohazardous waste as defined by the State of California in Health and Safety Code Sections 25110.02, 25115, 25117, and 117635 or in any amendments to or recodifications of such statutes. The definition shall not include the storage, use, generation, recycling, or disposal of hazardous materials as a secondary effect, product, or input of a Permitted Use on the same Lot as the Permitted Use. Hotel shall mean any building containing two (2)or more individual rooms or suites of rooms intended or designed to be used, or which are used, rented, or hired out to be occupied for sleeping or housing purposes by guests. Hotels include motels, boarding houses,rest homes, sanitariums, dormitories, and any other structure or Building other than a Residence or Emergency Shelter used for the housing or sleeping of humans. Incidental Use shall mean a use that is in connection with a Person's Permitted Use, as further described in Section 26.4.1-2 i "Incidental Use," such as office space, design area or showroom space, that occupies more than twenty percent (20%) but less than fifty percent(50%) of the gross Floor Area occupied by the Person's Permitted Use. Incidental Use shall not include a Retail Use, but may include mail-order or internet sales in connection with a Permitted Use. Industrial Gas Manufacturing shall mean the separation of the constituents of air into liquid or gaseous form for storage,transport, or cylinder filling, and the distribution and sale of those products, as well as other related welding gases. Industry or Industrial Use shall mean the manufacture or production of any saleable article, substance, or commodity, so long as the process adds substantial value to the article, substance, or commodity, and shall not include tasks primarily consisting of collecting, sorting, shipping, distributing, or inspecting goods from or in a warehouse or terminal. Industrial Use includes uses ancillary to the manufacturing or production process, such as storage, use, generation, and disposal of hazardous materials (as defined in federal and state laws and regulations) incidental to a manufacturing or production process; recycling incidental to a manufacturing or production process; and use of space for Ancillary Use. Sec. 26.4.1-2. Uses Permitted of Right. The following uses of Buildings and land are permitted of right in the I Zone. (a) Industrial Use. (b) Data Centers. (c) Cold Storage Warehouses. (d) Industrial Gas Manufacturing. (e) Telecommunications Antenna and Cell Towers. (f) Warehouse Use (other than Cold Storage Warehouses). (g) Wholesale Use. (h) Ancillary Use. Each occupant or user on the Property and each tenant in a multi-tenant Building shall be permitted to dedicate a portion of that Person's space to an Ancillary Use in connection with that Person's Permitted Use, if the following criteria are satisfied: (1) The Permitted Use for such Person is that Person's majority use. (2) The Ancillary Use is located upon the same Lot as that Person's Permitted Use. (3) The Ancillary Use is used solely and exclusively by the Person for that Person's Permitted Use. (4) Ancillary Use includes offices and showrooms ancillary to the Permitted Use, but does not include the right to sell at retail (Ancillary Retail Use), but does include the right to sublease to a separate tenant office space only within an existing office area. Ancillary Use does not include Outdoor Storage and Activities. (5) The cumulative total area dedicated to all Ancillary Uses (including any Ancillary Retail Use permitted with a Minor Conditional Use Permit) shall not exceed twenty percent(20%) of the gross floor area occupied by a Permitted Use. (i) Incidental Use. Each occupant or user on the Property and each tenant in a multi-tenant Building shall be permitted to dedicate a portion of that Person's space to an Incidental Use in connection with that Person's Permitted Use, if the following criteria are satisfied: (1) The Permitted Use for such Person is that Person's majority use. (2) The Incidental Use is located upon the same Lot as that Person's Permitted Use. (3) Incidental Use includes offices, design areas and showrooms related to the Permitted Use, but does not include the right to sell at retail. Incidental Use does not include Outdoor Storage and Activities. (4) The cumulative total area dedicated to all Incidental and Ancillary Uses (including Ancillary Retail Uses) shall not exceed fifty percent (50%) of the gross floor area occupied by a Permitted Use. (h) Any activity or use undertaken by the City_ Sec. 26.4.1-4. Uses That May Be Permitted by Minor Conditional Use Permit. The uses set forth in this Section 26.4.14, may be permitted in the I Zone with a Minor Conditional Use Permit. (a) Ancillary Retail Use. Each occupant or user on the Property and each tenant in a multi- tenant Building shall be permitted to dedicate a portion of that Person's space to an Ancillary Retail Use in connection with that Person's Permitted Use, if the following criteria are satisfied: (1) The Permitted Use for such Person is that Person's majority use. (2) The Ancillary Retail Use is located upon the same Lot as that Person's Permitted Use and sufficient parking is provided. (3) The Ancillary Retail Use is used solely and exclusively by the Person for that Person's Permitted Use and the sell at retail is only for products manufactured onsite or products imported and stored in bulk as part of the Person's Permitted Use. (4) Ancillary Retail Use includes the right to sell at retail any day week but does not include Outdoor Storage and Activities including the outdoor display of merchandise. (5) The cumulative total area dedicated to all Ancillary Uses (including any Ancillary Retail Use) shall not exceed twenty percent (20%)of the gross floor area occupied by a Permitted Use. Table 26.5.1-6(b) Minimum Number of Required Automobile Parking Spaces(t) Use Type Required Spaces Industrial Use, Industrial Gas Manufacturing, and Recycling Facility One (1) space per 1,000 square feet of gross Floor Area (Including floor Area Used for Ancillary Uses) Commercial Uses One (1) space per 250 square feet of gross Floor Area Incidental Uses One (1) space per 250 square feet of Floor Area of Incidental Use Data Centers One (1) space per 1,250 square feet of gross Floor Area Emergency Shelter One (1) space for each five (5) beds plus two (2) additional spaces. Health Clubs (gyms) One (1) space per 200 square feet of gross Floor Area One (1) space for each three (3) fixed seats, or where no Religious Uses fixed seats are provided, one (1) space for every 3 5 gross square feet of gross Floor Area Residential Uses Parking Determined Pursuant to Development Agreement, but no less than one (1) space for each unit. Restaurant(Take out) Eight(8) spaces per 1,000 square feet of gross Floor Area Restaurant(Sit down) One (1) space per 100 square feet of gross Floor Area Retail (less than 25,000 square feet) and One (1) space per 250 square feet of gross Floor Area multiple tenant Retail Retail (25,000 square feet or greater) - One (1) space per 250 square feet for the first 25,000 Single tenant only square feet of gross Floor Area and then one (1) space per each additional 500 square feet of gross Floor Area Studios (dance, etc.) One (1) space per 200 square feet of gross Floor Area Trade Schools One (1) space per 50 square feet of gross Floor Area Truck Terminals and Freight Terminals Parking shall be provided as determined by a parking study prepared for the specific use. Warehouse Use, General One (1) space per 1,000 square feet of gross Floor Area One (1) space per 1,000 square feet of gross Floor Area for Warehouse Use, Cold Storage the first 50,000 square feet, and one (1) space per 5,000 square feet of gross Floor Area above 50,000 square feet Note (1)Through the Conditional Use Permit and Minor Conditional Use Permit processes, the City may require additional parking for a specific use or application. Table 26.5.1-6(c) Minimum Required Truck Loading Spaces Use Type Required Spaces Industrial Use, Warehouse Use, Industrial Gas One (1) space per 10,000 square feet of Manufacturing (including Floor Area used for Ancillary and I gross Floor Area Incidental Uses) Cold Storage Warehouses One (1) space per 7,500 square feet of gross Floor Area One (1) space per 50,000 square feet of Data Centers gross Floor Area Loading shall be provided as determined by Commercial Use and Retail Use a parking study prepared for the specific use. Table 26.5.1-6(d) Minimum Required Truck Parking Spaces Use Type Required Spaces Industrial Use, Cold Storage Warehouses, One (1) space per 25,000 square feet of gross Floor Warehouse Use, Industrial Gas Manufacturing Area for the first 100,000 square feet and one (I) (including Floor Area used for Ancillary and space per 100,000 square feet of gross Floor Area Incidental Uses) above 100,000 square feet V � 4 w.n�N r fExv xv5 . OCT .12 2011 CIiY �1��UIIiSfRATION CITY CI ERK,S OFFICESTAFF REPORT CITY CLERK DEPARTMENT DATE: October 17, 2017 TO: Honorable Mayor and City Council FROM: Maria E. Ayala, City Cjlerk Originator: Matthew Ceballos, Deputy City Clerk RE: A Resolution of the City Council of the City of Vernon Approving and Adopting a Records Retention Schedule, Authorizing Destruction of Certain City Records, and Repealing All Resolutions in Conflict Therewith Recommendation A. Find that approval of the proposed records retention amendment is exempt from I California Environmental Quality Act ("CEQA") review, because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and j therefore does not constitute a "project" as defined by CEQA guidelines section 15378; and B. Adopt a resolution approving and adopting a Records Retention Schedule and authorizing destruction of certain City Records. Background The City of Vernon has established a Records Management Program (RMP). The purpose of the program is to apply efficient and economical methods to the creation, utilization, maintenance, retention,preservation and disposal of all records managed by the City. The RMP is implemented in the following phases: � • Phase I: City Records Liaisons Group • Phase II: Updating the Records Retention Schedule • Phase III: Implementing Records Management Policies and/or Procedures • Phase IV: Establishing RMP Calendar • Phase V: Continued Efforts and Development in RMP After identifying Records Liaisons from each department, the City moved to Phase II of the RMP, working on a comprehensive update to the City's records retention schedule. A complete review Page 1 of 3 was necessary to bring all schedules up-to-date to ensure consistency in records management throughout the City, and to ensure records retention is in compliance with all laws and are standard business practice for California cities. The City retained the services of Gladwell Governmental Services, Inc., an expert in local government records, to assist in the records retention schedule review and update. Multiple work sessions took place over the course of a number of months. The new retention schedules were written interactively with representatives from each department. They provide clear, specific records descriptions and retention periods, and apply current law and technology to the management of Vernon's records. By identifying which department is responsible for maintaining the original record, and by establishing clear retention periods for different categories of records, Vernon will realize significant savings in labor costs, storage costs, free filing cabinet and office space, and realize operational efficiencies. The new records retention schedule includes instructions on how to use the records retention schedule, a legend to explain the numerous acronyms, a"Citywide"retention schedule (for those records that fall into categories that are common throughout the departments), and individual departmental retention schedules. The proposed resolution will also authorize the City to provide for a citywide policy and/or procedure for the routine destruction of records in accordance with the City's records retention schedule. It is standard business practice for California cities to authorize the routine destruction of records that have exceeded their adopted retention period, upon the request of the Department Head and with the consent in writing of the City Clerk and City Attorney, which is provided in Section 2 of the resolution. i It is also standard business practice for California cities to authorize updates to the schedule without further action of the City Council; however, we have presented a more conservative approach: Authorizing only minor updates. Section 3 states, "Minor updates include changes in Department or Division names, improvements in descriptions, changes in comments, deleting records series that are no longer applicable,and/or what is scanned. Changes in the Total Retention and/or adding new records series must be presented to the City Council of the City of Vernon prior to taking affect." PRIOR CITY COUNCIL ACTIONS 02/23/2017 - Adopted Resolution No. 2017-08, Amending the Records Retention Schedule to include the City Attorney's Office. 09/17/2013 - Adopted Resolution No. 2013-77, Amending the Records Retention Schedule to comply with the Federal Dodd-Frank Wall Street Reform and Consumer Protection Act and related regulations. 07/14/2004 - Adopted Resolution No. 8449, Amending the Records Retention Schedule to update various sections of the retention schedule. 03/24/2004 -Adopted Resolution No. 8409,Amending the Records Retention Schedule to include the IT Division. Page 2 of 3 08/27/2003 - Adopted Resolution No. 8269, Amending the Records Retention Schedule to update various sections of the retention schedule. 10/23/2002 - Resolution No. 8089, Amended prior resolution that authorized the Police Chief to destroy certain Police Department Records. 08/22/2000 - Adopted Resolution No. 7605, Adopted initial Records Retention Schedule. 07/28/1998 -Resolution No. 7187, Authorized the Police Chief to destroy certain Personnel Files. i 04/28/1987 - Resolution No. 5379, Authorized the Police Chief to destroy certain Police Department Records. Fiscal Impact Vernon will realize significant savings both in labor and storage expenses;including the avoidance of future storage and/or construction costs. Attachment(s) Draft Resolution with exhibit. I i i Page 3 of 3 RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AND ADOPTING A RECORDS RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF CERTAIN CITY RECORDS, AND REPEALING ALL RESOLUTIONS IN CONFLICT THEREWITH WHEREAS, on August 22, 2000 , the City Council of the City of Vernon adopted Resolution No. 7605 approving and adopting the City of Vernon Records Retention Schedule 2000, as amended by Resolution Nos . 8269, 8409, 8449, 2013-77, and 2017-08 , for maintaining documents i and records by all City departments except the Police Department; and WHEREAS, on April 28 , 1987, the City Council of the City of Vernon adopted Resolution No. 5379, as amended by Resolution Nos . 7187 and 8089, authorizing the Police Chief to destroy certain Police Department Records pursuant to Sections 12236 , 34090, 34090 . 5 and i 34090 . 6 of the Government Code of the State Of California; and i i WHEREAS, the maintenance of numerous records is expensive, slows document retrieval, and is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Vernon; and WHEREAS, Section 34090 of the Government Code of the State of California provides a procedure whereby any City record which has served its purpose and is no longer required may be destroyed; and WHEREAS, the State of California has adopted guidelines for retention period for various government records; and WHEREAS, by memorandum dated October 17 , 2017, the City Clerk has recommended the approval and adoption of a comprehensive update to the City of Vernon Records Retention Schedule, directing document and record management by all City Departments; and WHEREAS, the City Council consents to the destruction of the records if made pursuant to the updated Records Retention Schedule . NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS : SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct . i SECTION 2 : The City Council of the City of Vernon finds t that this action is exempt from California Environmental Quality Act l ( "CEQA" ) review, because it is an administrative activity that will I not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA f 1 E guidelines section 15378 . i SECTION 3 : The records of the City of Vernon, as set forth 1 1 in the Records Retention Schedule Exhibit A, attached hereto and i I incorporated herein by this reference, are hereby authorized to be j destroyed as provided by Section 34090 et seq. of the Government Code i of the State of California and in accordance with the provision of said schedule upon the request of the Department Head and with the consent in writing of the City Clerk and City Attorney, without further action by the City Council of the City of Vernon, as established in the City' s Records Destruction Procedure/Policy. I SECTION 4 : With the consent of the City Clerk, City Administrator, and City Attorney, minor updates are hereby authorized i to be made to the Records Retention Schedule without further action by the City Council . Minor updates may include changes in Department or Division names, improvements in descriptions, changes in comments, deleting records series that are no longer applicable, and/or what is scanned. Any changes in the Total Retention and/or adding new records I - 2 - I series must be presented to the City Council of the City of Vernon prior to taking effect . SECTION 5 : The term "records" as used herein shall include i documents, instructions, books, microforms, electronic files, magnetic i tape, optical media, or papers; as defined by the California Public i { a Records Act . I SECTION 6 : All resolutions or parts of resolutions, I specifically Resolution Nos . 5379, 7187, 7605, 8089, 8269, 8409, 8449, 2013-77 , and 2017-08 , not consistent with or in conflict with this resolution are hereby repealed. i SECTION 7 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions I of the Council of this City. APPROVED AND ADOPTED this 17th day of October, 2017 . I i Name : Title : Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPROVED AS TO FORM: ay h Moussa, S for Deputy City Attorney 3 - t i I STATE OF CALIFORNIA ) ss COUNTY OF LOS ANGELES ) I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being i 1 Resolution No. was duly passed, approved and adopted by the s City Council of the City of Vernon at a regular meeting of the City i j Council duly held on Tuesday, October 17, 2017, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. i Executed this day of October, 2017 , at Vernon, California. I i i City Clerk / Deputy City Clerk (SEAL) i i I I 4 - i i i 1 i i i 1 i i i l i I i i EXHIBIT A i O F VE ILIIFOAJV fD 1905 FOUND sIVELY 1149v C5 I I i i i i i I i i i Records Retention i Schedule 2017 I I Adopted by Resolution No. 7605 on August 22, 2000 Amended by Resolution No. 8269 on August 27, 2003 Amended by Resolution No. 8409 on March 24, 2004 Amended by Resolution No. 8449 on July 14, 2004 Amended by Resolution No. 2013-77 on September 17, 2013 Amended by Resolution No. 2017-08 on February 21, 2017 HOW TO USE RETENTION SCHEDULES ©1995-2016 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission A legend explaining the information presented in the retention schedule has been printed on the back of each page for your easy reference; an index to locate records is also provided. The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard drive, both records should be destroyed (or erased) after the specified period of time has elapsed. Copies or duplicates of records should never be retained longer than the prescribed period for the original record. STRUCTURE: CITYWIDE, DEPARTMENTS& DIVISIONS The City-wide retention schedule includes those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Office of Record, and therefore responsible for maintaining the original record for the prescribed length of time. Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Office of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department i retention schedule, refer to the City-wide retention schedule. An index will be provided for your reference. BENEFITS ji 3 This retention schedule has been developed by Diane R. Gladwell, MMC, an expert in Municipal Government records, and will provide the City with the following benefits: i • Reduce administrative expenses, expedite procedures • Free filing cabinet and office space • Reduce the cost of records storage • Eliminate duplication of effort within the City • Find records faster • Easier purging of file folders • Determine what media should be used to store records For questions, please contact the City Clerk. Authorization to Destroy Records: All original records that have exceeded their retention period must be authorized for destruction according to City Policies & Procedures prior to destroying them. Copies, drafts, notes and non-records do NOT require authorization, and can be destroyed "When No Longer Required." • If there is a minimum retention (" Minimum 2 years"), it must be authorized for destruction before it is destroyed, as it is an original record. • If there is NOT a minimum retention ("When No Longer Required"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft/transitory record or a copy. • On every page of the schedules (near the top,just under the column headings) are important instructions, including instructions regarding holds on destroying records. "Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion)." RECORDS RETENTION SCHEDULE LEGEND ©1995—2016 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission OFR(Office of Record): The department that keeps the original or"record copy." Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.) Records Description: The record series (a group of like records). Transitory Records not retained in the ordinary course of business: Preliminary drafts, notes, or interagency or intra-agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a"trusted system", etc. Non-Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business. Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off-site storage, stored on Unalterable Media/Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time. P = Permanent Indefinite= No fixed or specified retention period; used for databases, because the data fields are interrelated. Vital? =Those records that are needed for basic operations in the event of a disaster. Media Options (guideline)—the form of the record: Mag = Computer Magnetic Media (hard drives, tapes, USB Drives, thumb drives, etc.) Mfr= Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr= Paper OD = Optical Disk, CD-r, DVD-r, WORM, or other media which does not allow changes Scan/ Import(guideline): "S" indicates the record should be scanned into the document imaging system; "I" indicates the record should be electronically imported into the document imaging system; "M" indicates the record should be microfilmed Destroy Paper after Imaged & QC'd (guideline, if record is imaged): QC'd=Quality Checked. "Yes" indicates the paper version may be destroyed if the document has been imaged (microfilmed, scanned or imported) in accordance with the Trustworthy Electronic Records/ECMS/ Document Imaging Policy and stored on Unalterable Media (Optical Disk—CD-R, WORM or DVD-R), and both the images and indexing Quality Checked ("QC'd"). Legend for legal citations (§: Section) B&P: Business& Professions Code(CA) CBC: California Building Code CC: Civil Code(CA) CCP: Code of Civil Procedure(CA) CCR: California Code of Regulations(CA) CFC: California Fire Code CFR: Code of Federal Regulations(US) EC: Elections Code(CA) EVC: Evidence Code(CA) FA: Food&Agriculture Code (CA) FC: Family Code(CA) FTB: Franchise Tax Board (CA) GC: Government Code(CA) H&S: Health&Safety Code(CA) HUD: Housing& Urban Develop. (US) LC: Labor Code(CA) Ops. Cal.Atty. Gen..: Attorney General Opinions(CA) PC: Penal Code (CA) R&T: Revenue&Taxation Code(CA) UFC: Uniform Fire Code USC: United States Code(US) VC: Vehicle Code(CA) W&I: Welfare& Institutions Code(CA) WC: Water Code TABLE OF CONTENTS CITY-WIDE STANDARDS(CW 1-14) 1-14 CITY ADMINISTRATOR(CADM 1) 15 CTIY ATTORNEY(CA 1-2) 16-17 I i i CITY CLERK(CC 1-12) 18-29 i i I FIRE(FR 1-5) 30-34 j HEALTH& ENVIRONMENTAL CONTROL(H&EC 1-4) 35-38 HUMAN RESOURCES (HR 1-6) 39-44 I INFORMATION TECHNOLOGY(IT 1) 45 POLICE (PD 1-10) 46-55 I PUBLIC UTILITIES i CUSTOMER SERVICE(UT/CS 1-3) 56-58 ELECTRICITY(UT/EL 1-7) 59-65 FIBER OPTICS(UT/FO 1-2) 66-67 GAS(UT/GAS 1-6) 68-73 WATER(UT/WATER 1-5) 74-78 PUBLIC WORKS BUILDING&SAFETY(PW/BS 1-3) 79-81 CODE ENFORCEMENT(PW/CE 1) 82 DEVELOPMENT SERVICES(PW/DS 1-2) 83-84 ENGINEERING(PW/ENG 1-6) 85-90 GARAGE(PW/G 1) 91 HOUSING(PW/HOU 1-2) 92-93 MAINTENANCE(PW/MNT 1-2) 95 PLANNING(PW/PL 1-3) 96-98 SOLID WASTE(PW/SOLID 1) 99 STORMWATER(PW/STORM 1) 100 WASTEWATER(PW/WW 1-3) 101-103 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of Retention No. Records Description Record Retention/Disposition Comments/Reference Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) Imaged& S=Scan C, Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e.q. last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, audits ublic records act re uests and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Accounts Payable, Invoices, Petty Cash, Warrant Requests, Copies- Copies- All originals go to Finance Finance CW-001 etc. When No When No Yes: Before Mag, Longer Longer Payment Ppr (these are copies); GC ALL backup is forwarded to Required Required §34090.7 Finance Brown Act challenges must be Affidavits of Publications/ filed within 30 or 90 days of Public Hearing Notices/Legal Mag, action;Statute of Limitations Lead Dept. CW-002 Advertising/Affidavits of 2 years 2 years Mfr, OD, on Municipal Government Posting Ppr actions is 3-6 months; CCP §§337 et seq, 349.4; GC §34090, 54960.1(c)(1 Copies- Copies- Cit Clerk CW-003 Agenda Packets/Staff When No When No Mag' Yes: After Y Mfr, OD, S GC§34090.7 Reports: City Council Longer Longer Ppr QC&OD Required Required Copies- Copies- City Clerk retains the originals CityClerk CW-004 Agreements&Contracts- When No When No Mag, Yes: Upon Many agreement or contract Mfr, OD, S Completio with City Clerk's Attestation Longer Longer that the City Clerk attests to; Required Re uired Ppr n GC§34090.7 VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 1 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Image: Destroy Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr Image & Center) g S=Scan C'd? Retentions apply to the de artment that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records act re uests and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Covers E&O Statute of Limitations(insurance certificates are filed with agreement); Published Audit Agreements&Contracts - Mag, Yes: Upon Standards=4-7 years; Statute CityClerk CW-005 WITHOUT City Clerk's Completion + Completion+ Yes: Before of Limitations: Contracts& tY Mfr, OD, S/I Completio Attestation 10 years 10 years Completion Ppr n Spec's=4 years, Wrongful Death=comp. +5 years, Developers=comp. + 10 years; Statewide guidelines propose termination +5 years; CCP §337 et. seg., GC§34090 Some grant funding agencies require audits; Statute of Limitations for Errors& Omissions is 10 years; Published Audit Standards=4-7 Agreements&Contracts: years; Statute of Limitations: ADMINISTRATIVE FILES Completion + Completion+ Contracts&Spec's=4 years, (with Grant Funding) 10 years or 10 years or Wrongful Death=comp. +5 After Funding After Funding Yes: Before Mag, Yes: Upon years, Developers=comp. + 10 Lead Dept. CW-006 Agency Audit, Agency Audit, Mfr, OD, S/I Completio years; Statewide guidelines (Correspondence, Project if required, if required, Completion P r n Administration, Project q q P propose termination+5 years; Schedules, Certified Payrolls, whichever is whichever is CCP§337 et. seq.,21 CFR Invoices, Logs, RFP, etc.) longer longer 1403.36& 1403.42(b);24 CFR 85.42, 91.105(h), 92.505,& 570.502(b),28 CFR 66.42;29 CFR 97.42;40 CFR 31.42;44 CFR 13.42;45 CFR 92.42; OMB Circular A-133GC 34090 VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 2 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditsPublic records act request and/or investi ations suspend normal retention periods retention resumes after settlement or completion . Covers E&O Statute of Limitations(insurance Agreements&Contracts: certificates are filed with ADMINISTRATIVE FILES agreement); Published Audit Standards=4-7 years; Statute Lead Dept. CW-007 Completion + Completion+ Yes: Before Mag, Yes: Upon of Limitations: Contracts& p (Correspondence, Project Mfr, OD, S/I Completio Administration, Project 10 years 10 years Completion Ppr n Spec's=4 years,Wrongful Schedules, Certified Payrolls, Death=comp. +5 years, Developers=comp. + 10 years; Invoices, Logs, RFP, etc.) Statewide guidelines propose termination +5 years; CCP 337 et. seg., GC§34090 Agreements&Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL The RFP/RFQ and the PROPOSALS or RESPONSES [Mag, successful proposal becomes Lead Dept. CW-008 to RFPs (Request for 2 years 2 years Ppr ( q p part of the agreement or Proposals)and/or RFQs contract; GC§34090 (Request for Qualifications) that don't result in a contract Audits/Audit Reports/CAFR- Copies- Copies- Finance CW-009 Comprehensive Annual When No When No Mag, p Longer Longer Ppr Copies; GC§34090.7 Financial Reports Required Re uired CW-010 Bids: See Agreements& Contracts VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 3 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of IRetention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media I=Im ort Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Litigation, claims complaints, auditsPublic records act re uests and/or investigations sus end normal retention eriods retention resumes after settlement or completion). Boards, Commissions, & Committees: City Council All recommendations are Staffing Dept. CW-011 Subcommittees 2 ears 2 ears y y Ppr presented to the City Council; (Composed solely of less than GC §34090 et seq. a quorum of the City Council) Boards, Commissions, & Committees: External When No When No Organizations Ma CW-012 Longer Longer Ppr' Non-records (e.g. County Board of Required Required Supervisors) Boards, Commissions, & Committees: Residents Advisory Bodies Formed by i Brown Act challenges must be Staffing Dept. CW-013 CITY COUNCIL Minimum 2 Minimum 2 Mag, filed within 30 or 90 days of years years Ppr action; GC§§34090, AGENDAS,AGENDA 54960.1(c)(1) PACKETS. Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Department preference; State Staffing Dept. CW-014 CITY COUNCIL 10 years 10 years gipMag' law only requires for 30 days; GC§54953.5(b) AUDIO RECORDINGS of Meetings/Audio Tapes VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 4 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Destroy Inactive Image: paper OFR Active Total Media 1=Import ( ) (in office) (Records Retention Vital? Options M=Mfr after Center Imaged& S=Scan C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e.q. last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records act re uests and/or investigations sus end normal retention perdiods retention resumes after settlement or completion). Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Department Preference;Video Staffing Dept. !: CW-015 CITY COUNCIL 10 years 10 years Mag, recording of meetings are only OD required for 90 days; GC VIDEO RECORDINGS of §§34090.7, 34090 Meetings/Audio Tapes Boards, Commissions, & Committees: Residents Staffing Dept. CW-016 Advisory Bodies Formed by P P Mfr, OD, S No Department preference; GC CITY COUNCIL r, §34090 Ppr MINUTES&BYLAWS Copies- Copies- Mag, Final must be filed with County Finance CW-017 Budgets- Finals When No When No Yes: Current Yes: After g Longer Longer Fiscal Year Mfr, OD, S/I 5 years Auditor; GC§34090.7,40802, Ppr 53901 Required Required Cash Receipts Detail/Backup Copies- Copies- Finance CW-018 /Accounts Receivable Detail/ When No When No Mag, GC §34090.7 Refund Detail Longer Longer Ppr Required Required Copies- Copies- When No When No City Attorney CW-019 Claims Longer Longer Yes: Before Mf r OD, S/I Yes: After GC§§34090.7, 34090.E Required Required Settlement Ppr Settlement (Upon (Upon Settlement) I Settlement VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 5 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image. Destroy Inactive Paper Active Total Media I=Im ort (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e. . last document+2years), since destruction is normal!y performed by file folder. Liti ation claims complaints, auditspublic records act re uests and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). City preference; Statute of Limitations for personal Lead Complaints/Concerns from Minimum 2 Minimum 2 Mag, property,fraud, etc. is 3 years; (Responding) ':, CW-020 Claims must be filed in 6 Dept. Citizens years years Ppr months; CCP§§338 et seq., 340 et seq., 342, GC§§945.6, GC 34090 Human Send to Send to Resources CW-021 Complaints Against Employees Human Human Ppr' GC§34090.7 Resources Resources CW-022 Contracts: See Agreements Copies- Copies- Lead Dept. CW-023 Copies or duplicates of any When No When No p record Longer Longer Mag Ppr GC§34090.7 Required Required Dept.that Authors Correspondence- ROUTINE Document CW-024 (e.g.Administrative,Chronological, Mag, or General Files, Letters, 2 years 2 years Ppr GC§34090 Receives the iMemorandums, Reading File, City's Original j Working Files,etc.) Document VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 6 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of Retention No. Records Description Retention I Disposition Comments/Reference Record Destroy Image: Inactive Paper OFR Active Total Media I=Import ( ) (in office) (Records Retention Vital.? Options M=Mfr after Center) S=Scan Imaged& C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to our department retention schedule. Retentions be in when the act is completed, and imply a full file folder(e.g. last document+2years), since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records act request and/or investi tions sus end normal retention periods retention resumes after settlement or completion). Electronic and paper recor s Correspondence- are categorized,filed and TRANSITORY I retained based upon the PRELIMINARY DRAFTS, CONTENT of the record. Interagency and Intraagency Records where either the Memoranda not retained in the Content relates in a ordinary course of business substantive way to the conduct of the public's Content NOT Substantive, or business,or that ARE made NOT made or retained for the or retained for the purpose Dept.that purpose of preserving the of preserving the Authors informational content for informational content for Document future reference When No When No or CW-025 Longer Longer Mag' future reference are saved by Receives the (e.g.calendars,checklists,e-mail Required Required Ppr placing them in an electronic or City's Original or social media posting, instant paper(project)file folder and retained for the applicable Document messaging, inventories, retention period, If not invitations, logs, mailing lists, mentioned here, consult the meeting room registrations, City Attorney to determine if a speaker slips,supply inventories, Y Y telephone messages,text record is considered transitory messages.transmittal letters, /preliminary draft. GC thank yous, requests from other §§34090, 6252,6254(a);64 cities, undeliverable envelopes, Ops. Cal.Afty. Gen. 317 visitors logs,voice mails, (1981)); City of San Jose v. webpages,etc.) Superior Court(Smith). S218066. Supreme Court of Californiq Deeds, Easements, Final Copies- Copes- City Clerk CW-026 Orders of Condemnations, When No When No Mag, Send all originals to the City Liens, Recorded Documents, Longer Longer Ppr Clerk; GC§34090.7 Rights of Was All Required L Required VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 7 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Destroy Inactive Image- paper OFR Active Total ? Media 1=Import ( ) (in office) (Records Retention Vital. Options M=Mfr after Center) S=Scan Imaged>3< C'd? Retentions apply to the-department that is NOT the Office of Record OFR or the "Lead De artment". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records act re uests and/or investigations sus end normal retention penods retention resumes after settlement or completion). Deposit Accounts/Trust Lead Dept. CW-027 Accounts Refundable Close+5 Close+5 Mag, Department preference; meets / Deposits years years Ppr auditing standards; GC§34090 Transitory or source records not retained in the ordinary When When course of business; CHP Lead Dept. CW-028 DMV Pull Notices Superseded or Superseded Mag Ppr audits every 2 years; Bureau of Separated or Separated National Affairs recommends 2 years for all supplementary Personnel records; GC§34090 As long as the drafts and notes are not retained in the"Regular Drafts& Notes: Drafts that are When No When No Course of Business". Consult Lead Dept. CW-029 Longer Longer Mag' the City Attorney to determine revised (retain final version) Required Required Ppr if a record is considered a draft. GC§§34090,6252, 6254 a The Lead Department should print out historical documents (or save source data) prior to GIS Database/Data/Layers When No When No replacing the data, if they Lead Dept. CW-030 (both City-wide and Longer Longer Yes Mag require the data or output for Specialized) Required Required historical purposes; Department Preference (Preliminary documents); GC 34090 et seg. Lead Dept. CW-031 Grants(UNSUCCESSFUL 2 years 2 Mag' GC§34090 Applications,Correspondence) years Ppr VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 8 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image. Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, audits public records act re uests and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Meets auditing standards; Grants covered by a Consolidated Action Plan are Grants/CDBG/Reimbursable required for 5 years; Uniform Claims/FEMA Claims Admin. Requirements for (SUCCESSFUL Reports, other Grants to Local Governments records required to pass the After is 3 years from expenditure funding agency's audit, if Funding After Funding report or final payment of required) Agency Agency Audit, Lead Dept. CW-032 2 years Audit, if if required- Mag, grantee or subgrantee; Required- Minimum 5 Ppr statewide guidelines propose 4 Applications(successful),grant q years; 7 CFR 3016.42; 21 CFR agreement,program rules, Minimum 5 years 1403.36& 1403.42(b);24 CFR regulations&procedures, reports years 85.42, 91.105 h ,92.505, to grant funding agencies, ( ) correspondence,audit records, 570.490, &570.502(a&b),28 completion records CFR 66.42;29 CFR 97.42;40 CFR 31.42;44 CFR 13.42;45 CFR 92.42; OMB Circular A- 110&A-133; GC§34090 Send all grievances to Human Copies- Copies- Resources;All State and Human Grievances and Informal When No When No Yes: Before Mag, Federal laws require retention Resources CW-033 Complaints(Employees) Longer Longer Disposition Ppr until final disposition of formal Required Required complaint; State requires 2 years after action is taken; GC 12946, 34090 Copies- Copies- When No When No Risk Management City Attorney CW-034 Lawsuits, Litigation, Pending Longer Longer Yes: Before Mag' Yes: After administrates pre-litigation Y Y ' Mfr, OD, S/I p Litigation Required Required Settlement Ppr Settlement claims; GC§§34090.7, (Upon (Upon 34090.6 Settlement) I Settlement VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 9 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Inactive Paper Destroy Active Total Media I=1m port (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e.q. last document+2 ears since destruction is normally performed by file folder. Liti 0 qation, claims complaints, auditspublic records act re uests and/or investi ations sus end normal retention periods retention resumes after settlement or completion). When No When No Preliminary drafts not retained Leave Slips/Time Off Mag, Lead Dept. CW-035 Requests Longer Longer Ppr r in the Regular Course of Required Required Business GC§34090 Previous MSDS may be obtained from a service; MSDS may be destroyed as long as Material Safety Data Sheet a record of the chemical/ (MSDS)/Safety Data Sheet substance/agent,where& While Mag, when it was used is Lead Dept. CW-036 (SDS) Chemical Use Report Chemical In 30 years 30 years Mfr, OD, S Yes-After maintained for 30 ears; Form (or records of the QC&OD y chemical/substance/agent, Use Ppr Applies to qualified employers; where&when it was used) Claims can be made for 30 years for toxic substance exposures; 8 CCR 3204(d)(1)(B)(2 and 3),29 CFR 1910.1020 d 1)(i). GC Copies- Copies- When No When No Mag, Originals maintained by City City Clerk CW-037 Minutes-City Council Longer Longer Yes(all) Mfr, OD, S No Clerk Permanently; GC Required Required Ppr §34090.7 Copies- Copies- Return any whole unused Cit Clerk CW-038 Municipal Code(these are When No When No Yes: Current Mag' codes to the City Clerk; y copies) Longer Longer Original Mfr, OD, I No Pr Originals maintained by City Required Required pr Clerk Permanently; GC§34090 When No When No Non-records-may be obtained Lead Dept. CW-039 Newspaper Clippings Longer Longer Ppr from the newspaper company; Required Re uired GC 34090 Notices: Public Hearing Staffing Dept. CW-040 Notices and Proofs of 2 years 2 years Ppr' GC§34090 Publications VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 10 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11 Office of iRetention No. Records Description Retention I Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? Retentions app/v to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions begin when the act is completed, and impiv a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Litigation, claims complaints, auditspublic records act re uests and/or investigations suspend normal retention periods retention resumes after settlement or completion). Copies- Copies- City Clerk CW-041 Ordinances -City Council When No When No Yes(all) Mfr, OD, S No Originals maintained by City Longer Longer Ppr Clerk Permanently; GC§34090 Required Required Calif. Labor Division is required to keep their records 7 years; Lead Dept. CW-042 OSHA Inspections or Citations 5 years 5 years Ppr OSHA requires 5 years; State law requires 2 years; 8 CCR §3203(b)(1), GC§34090.7; LC §6429c Personnel Files (Department- Send to Send to ( p Human Human Ensure records kept in Human level Files) Resources Resources Before Mag, Department files comply with Resources CW-043 Upon Upon Separation Ppr City policy(all originals are Except for Fire& Police Separation or Separation or sent to Human Resources); GC Department Transfer Transfer §34090.7 Shred After Shred After Incorporation Incorporation Notes maintained in a separate into into Before folder to be incorporated into Lead Dept. CW-044 Personnel Files (Supervisor's Performance Performance Annual Mag' performance evaluation, or to Notes) Evaluation or Evaluation or Evaluation Ppr document progressive Documented Documented discipline; GC§34090 et seq. Discipline Discipline When No When No Ma Preliminary Drafts; destroy Lead Dept. CW-045 Photographs Longer Longer g' unnecessary photographs. GC Required Required Ppr 34090,6252,6254 a Copies- Copies- City Clerk i CW-046 Public Records Requests(ALL) When No When No Yes(all) Mfr,, OD, S No Originals maintained by City Longer Longer Ppr Clerk; GC§34090.7 Required I I Required VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 11 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged&S=Scan C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, audits public records act re uests and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Public Relations/Press Mag, Lead Dept. CW-047 Releases 2 years 2 years Ppr GC §34090 Mag, Yes: After Department preference; GC Lead Dept. CW-048 Purchase Orders/Requisitions 2 years 3 years 5 years Mfr, OD, S QC&OD §34090 Ppr Lead Dept. Real Estate Appraisal Reports: Not accessible to the public; (Who Ordered CW-049 Property NOT purchased, 2 years 2 years Mag' Statewide Guidelines show 2 the Appraisal) Loans not funded, etc. Ppr years; GC§§34090,6254(h) Not accessible to the public until purchase has been Lead Dept. 1 Real Estate Appraisal Reports: Mag, completed; meets grant Minimum 3 Minimum 5 Yes: Before Yes: After (Who Ordered CW-050 Purchased Property, Funded 2 years years Purchase Mfr, OD, S QC&OD auditing requirements; 24 CFR the Appraisal) years Loans Ppr 85.42&91.105(h), & 570.502(b); 29 CFR 97.42, GC 34090 Records Destruction Lists/ Copies- Copies- City Clerk CW-051 Certificate of Records When No When No Mag, GC§34090.7 Destruction Longer Longer Ppr Required Required Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals, Newsletters, etc: When No When No CW-052 Produced by OUTSIDE Longer Longer Mag' Non-Records ORGANIZATIONS(League of Required Required Ppr California Cities, Chamber of Commerce, etc.). Reference Materials: Policies, Procedures, Brochures, Flyers, Statewide guidelines propose p Lead Dept. CW-053 Manuals, Newsletters, etc: Minimum 2 Minimum 2 Mag, years years Ppr superseded+2 or 5 years; GC Produced by YOUR §34090 Department VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 12 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-13 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& QC' -? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally erformed by file folder. Liti ation claims complaints, auditspublic records act re uests and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Reference Materials: Policies, Procedures, Brochures, Flyers, Lead Dept. CW-054 Manuals, Newsletters, etc: When When Mag, Copies; GC§34090.7 Produced by OTHER Superseded Superseded Ppr Departments CW-055 Reference or Working Files: See Correspondence Reports and Studies Mag Administratively and Lead Dept. CW-056 (Historically significant-e.g., 10 years P P Mfr, OD, S/I Yes: After Historically significant, 10 years therefore retained Zoning Studies) Ppr permanently; GC§34090 Information is outdated after 10 Reports and Studies(other years; statewide guidelines Lead Dept. CW-057 than Historically significant 10 years 10 years Pa9' propose 2 years; If historically reports-e.g.Annual Reports) p significant, retain permanently; GC§34090 Copies- Copies- When No When No Mag, Originals maintained by City City Clerk CW-058 Resolutions-City Council Longer Longer Yes(all) Mfr, OD, S No Clerk Permanently; GC Required Required Ppr §34090.7 Lead Dept. CW-059 Special Projects/Subject Files Minimum 2 Minimum 2 Mag, Department Preference; GC /Issue Files years years Ppr §34090 et seq. Surveys/Questionnaires(that the City issues). If a summary of the data is Lead Dept. CW-060 compiled,the survey forms are 2 years 2 years Ppr' GC§34090 considered a draft or transitory record, and can be destroyed as drafts (When No Longer Required) VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 13 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-14 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image: Inactive Destroy Active Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C-d? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normal!y Performed by file folder. Litigation, claims complaints, auditspublic records act request and/or investigations sus end normal retention periods retention resumes after settlement or completion). Department preference; Meets auditing standards(audit+4 years); IRS requires 4 years; Ca. requires 2 yr min.; FTB keeps 3 years; Most Time Cards Time Sheets/ Copies- Copies- Employees provide digital Time Off Request Forms/ Mag, Finance/ When No When No Yes: After signatures when they submit Payroll CW-061 Payroll Certifications/Leave Longer Longer Mfr, OD, S/I QC&OD their timecards, but some in Requests/Payroll Exception Required Required Ppr Public Works and Community Forms Services do not(another employee enters their time); IRS Reg§31.6001-1(e)(2), R&T§19530; LC§ 1174(d); 29 CFR 516.5; GC§34090 Department preference; Ethics Training is 5 years; Calif. Labor Division is required to keep Training-ALL COURSE their OSHA records 7 years; RECORDS EEOC/FLSAlADEA(Age) Mag, requires 3 years for promotion, Lead Dept. CW-062 2 years 3 years 5 years Mfr, OD, S Yes: When demotion,transfer, selection, (Attendance Rosters, Outlines Ppr Inactive or discharge; State Law and Materials; includes Ethics requires 2-3 years for &Safety Training&Tailgates) personnel actions; 8 CCR §3203 et seq., 29 CFR 1627.3(b)(ii), LC§6429(c); GC 12946 34090 53235.2 b VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 14 Ver. 3.0 RECORDS RETENTION SCHEDULE: CITY ADMINISTRATOR Page CADM-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy Active Total Media 1=Import Paper after (OFR) in office (Records Retention Vital? O M=Mfr Imaged& ( ) Options Center) p S=Scan QC'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2years), since destruction is normally performed by file folder. Liti ation, complaints, claimspublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). City Board&Commission Applications Adminis. CADM-001 2 years 2 years Mag, Ppr GC§34090 (Successful and Unsuccessful) City Minimum 2 Minimum 2 Mag, Mfr, Yes: After Department Preference; GC Adminis. CADM-002 ',City Council Correspondence ears S/I y years OD, Ppr QC&OD §34090 City ;Grand Jury Reports and Ma Department Preference(the Adminis. CADM-003 Responses(Regarding City 5 years 5 years Op'P f�' S/I QC&ODr Grand Jury keeps their reports 5 Operations) p years); GC§34090 Copies- Copies- Independent Reform Monitor When No When No Included in City Council Agenda City Clerk CADM-004 !Reports Longer Longer Mag, Ppr Packets; GC§34090.7 Required Required City 5 Lobbyist Reporting (FPPC Form Mag, Mfr, Yes: After Adminis. CADM-005 635) years 5 years OD, Ppr S/I QC&OD 2 CCR 18615(d) Projects, Programs, Subject& City Minimum 2 Minimum 2 Mag, Mfr, Yes: After Department Preference; GC CADM-006 Issues(Issues and/or projects will S/I Adminis. vary over time) years years OD, Ppr QC&OD §34090 City :Speech Notes/PowerPoint When No When No p CADM-007 Longer Longer Mag, Ppr Notes, drafts, or preliminary Adminis. Presentations documents; GC§34090 et seq. Required Required Copies- Copies- Finance CADM-008 ,Travel/Conferences When No When No Invoices are maintained by Longer Longer Mag, Ppr Finance; GC§34090.7 Required Required VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 15 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-1 Office of Record Retention No. Records Description Retention/Disposition Comments 1 Reference Image: Inactive Destroy Active Total � Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is com leted and imPIv a full file folder e. . last document+2 ears since destruction is normally Performed by file folder. Liti ation com laints claims ublic records act requests, audits and/or investi ations sus end normal retention pefiods retention resumes after settlement or completion). When No When No Longer Longer City Attorney CA-001 Advice Files/Department Files Required- Required- Mag, Department Preference; GC Minimum 5 Minimum 5 Ppr §34090 ears years When No When No Preliminary drafts not retained City Attorney CA-002 Bankruptcies- NOT pursued Longer Longer Mag' in the ordinary course of Required Required Ppr business; GC§34090 Department Preference City Attorney CA-003 Bankruptcies-Where a claim 10 years 10 years Mag, (negative information remains is filed Ppr on credit ratings for 7 years); GC§34090 City Attorney CA-004 City Attorney Opinions and P P Yes MMfr, OD, S/I Yes: After Department Preference-, GC Opinion Index Ppr QC&OD §34090 Minimum Minimum Department preference; CCP City Attorney CA-005 Claim for Damages-ALL Final Final Yes: Until Mag, §§337 et seq.; GC§§911.2, Resolution+ Resolution+ Settlement Ppr 945.6, 34090, 34090.6; PC 5 years 5 vears §832.5(b) When No When No Longer Longer City Attorney CA-006 Closed Session Materials Required- Required- Mag, Department Preference; GC Minimum 5 Minimum 5 Ppr §34090 ears years Litigation Files/Lawsuits/ Minimum Department preference; CCP City Attorney CA-007 Court Case Files- Real Final P P Yes: Until Mag, §§337 et seq.; GC§§911.2, Property or Historically Resolution+ Settlement Ppr 945.6,34090,34090.6; PC Significant 5 years §832.5(b) VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 16 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-2 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? Metentions s not listed here refer to the Retention for City-Wide Standards in when the act is com leted and im I a full file folder e. . last document+2 ears since destruction is normall erformed b file folder. complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Litigation Files/Lawsuits/ Minimum Minimum Department preference; CCP City Attorney CA-008 Court Case Files- NOT Real Final Final Yes: Until Mag, §§337 et seq.; GC§§911.2, Property or Historically Resolution+ Resolution+ Settlement Ppr 945.6, 34090, 34090.6; PC Significant 5 years 5 years §832.5(b) Copies- Copies- Send all final settlement City Clerk CA-009 Settlement Agreements/Final When No When No Mag' Yes: After agreements and court y Mfr, OD, S/I Court Settlements Longer Longer QC&OD settlements to City Clerk; GC Required Required Ppr 34090 City Attorney CA-010 Summons 2 years 2 years Pa9' GC§34090 pr VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 17 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-1 Office of ! Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive i Image. Destroy (OFR Active Total Media I=Import Paper after (Records Vital? (in office) Retention Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Agencla Packets: Active-City Council, Board of Library Trustees, Business&Industry Commission (BIC),Green Vernon Commission (GVC),Successor Agency(SA), Oversight Board(OB),Vernon Community Fund Grant Committee (VCFGC),Vernon Housing Commission(VHC),Vernon City Clerk CC-001 Historic PreservationP P Society Mag, Mfr, S/I Yes: After Department preference; GC (VHPS) OD, Ppr QC&OD §34090 Inactive-Industrial Development Authority(IDA),Personnel Committee, Police&Fire Commission, Public Benefits Resource Committee(PBRC), Redevelopment Agency,Vernon Housing Authority(VHA),Vernon 1 Natural Gas Financing. Finance VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 18 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-2 Office of ! Retention No. Records Description Retention I Disposition Comments l Reference Record Inactive Image: Destroy Active Total Media I Import Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act requests audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). AgendaCertifications:Active- City Council, Board of Library Trustees, Business&Industry Commission(BIC),Green Vernon Commission(GVC),Successor Agency(SA),Oversight Board (OB),Vernon Community Fund Grant Committee(VCFGC), Vernon Housing Commission (VHC),Vernon Historic City Clerk CC-002 Preservation Society(VHPS) 2 years 2 years Mag, Ppr GC§34090 Inactive-Industrial Development Authority(IDA), Personnel Committee, Police&Fire Commission, Public Benefits Resource Committee(PBRC), Redevelopment Agency,Vernon Housing Authority(VHA),Vernon Natural Gas Financing,Finance lCommmttee VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 19 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-3 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy OFR Active Center) Total Media I=Import Paper after ( ) (in office) (Records Retention Vital.? Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Litigation, complaints, claims ublic records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Agreements&Contracts (INFRASTRUCTURE,with City Clerk's Attestation) Settlement Agreements, MOUs,etc. Department Preference;All Agreement or Contract infrastructure,JPAs, &Mutual includes all contractual Aid contracts should be obligations (e.g. permanent for emergency Specifications and preparedness; Statute of Successful Proposal/ Yes: Mag, Yes: After Limitations is 4 years; 10 City Clerk CC-003 Scope of Work), Insurance Completion P P Before Mfr, OD, S years for Errors&Omissions; Certificates, Notice of Completion Ppr Inactive land records are permanent Completion by law; CCP§§337. 337.1(a), 337.15, 343; GC§34090, Examples of Infrastructure: Contractor has retention Architects, buildings, bridges, requirements in 48 CFR covenants/CC&Rs,golf course 4.703(a) redesign/construction, development, park improvements, property restrictions, reservoirs, settlement,sewers,sidewalks, street&alley improvements, utilities.water, VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 20 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-4 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image Destroy Inactive OFR Active Total Media I=Import Paper after ( ) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is nom7alivperformed by file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations sus end nom►al retention penods retention resumes after settlement or completion). Agreements & Contracts (NON-INFRASTRUCTURE, , with City Clerk's Attestation) Covers E&O Statute of Limitations(insurance Agreement or Contract certificates are filed with includes all contractual agreement); Published Audit obligations(e.g. Specifications Standards=4-7 years; Statute and Successful Proposal/ Yes: Mag, of Limitations: Contracts& Completion Yes: Upon City Clerk CC-004 Scope of Work), Insurance Completion 10 years Before Mfr, OD S/I Spec's=4 years,Wrongful Certificates, Notice of + 10 years Completion Completion Ppr Death=comp. +5 years, Completion Developers=comp. + 10 years; Statewide guidelines Examples of Non-Infrastructure: propose termination +5 Consultants, Franchises, years; CCP§§337. 337.1(a), Landscape Maintenance, Painting, 337.15, 343; GC§34090 Slurry Seals(Paving),Tree Trimming, Leases, Human Resources. Professional Services Board&Commission/ City Clerk CC-005 Committee Maddy Act Lists/ 2 years 2 years Mag, Ppr GC§34090 Vacancy Notices S/I City Clerk CC-006 Budgets-Adopted/Final P P Yes: Current Mag, Mfr, Yes: After Department preference; GC I Fiscal Year OD, Ppr 90 days §34090 et seq. City Council, Board& Mag, Mfr, Yes: After Department preference; GC City Clerk CC-007 Commission Historical List of P P OD, Ppr S/I QC&OD §34090 Members Economic Interest Filings Citymaintains original (FPPC 700 Series Forms- Mag, Mfr, Yes: After 2 City Clerk CC-008 7 years 7 years OD, Ppr S/I years statements; GC Statement of Economic Interests): ALL §81009(d)(e)(f)&(g) FPPC Form 801 (Gift to Mag, Mfr, Yes: After 2 Must post on website; GC City Clerk CC-009 Agency Report) 7 years 7 years OD, Ppr S/I ears I§81009(e) VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 21 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-5 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media I=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). FPPC Form 802(Event Ticket Mag, Mfr, Yes: After 2 Should post on website for 4 City Clerk CC-010 /Pass Distributions Agency 7 years 7 years OD, P r S/ Report p years years; GC§81009(e) FPPC Form 803(Behested Mag, Mfr, Yes: After 2 City Clerk CC-011 Payment Report) 7 years 7 years OD, Ppr S/I years GC§81009(e) FPPC Form 804(Agency Mag, Mfr, Yes: After 2 FPPC Regulation 18734(c); City Clerk CC-012 Report of New Positions P P S/I P ) OD, Ppr years GC§81009(e) FPPC Form 805(Agency Mag, Mfr, Yes: After 2 FPPC Regulation 18734(c); City Clerk CC-013 Report of Consultants) P jyears OD, Ppr S/I ears GC§81009(e) FPPC Form 806(Agency Must post on website;2 CCR City Clerk CC-014 Report of Public Official 7 years Mag, Mfr, S/I Yes: After 2 18705.5; GC§34090; GC OD, Ppr years Appointments) 81009 e Minimum City Clerk CC-015 FPPC Referral Letters Term of Mag, PprDepartment preference; GC Office+2 §34090 ears ELECTIONS-CONSOLIDATED Assessment District Ballots, City Clerk CC-016 Protest Letters,&Envelopes- 2 years 2 years Ppr TGC§53753(e)(2) Prop.218 proceedings Campaign Filings(FPPC 400 Paper must be retained for at City Clerk CC-017 Series Forms& Form 501): 2 years P P Mag, Mfr, S Yes: After 2 least 2 years; GC SUCCESSFUL CANDIDATES OD, Ppr years (Elected Officials) §81009(b)&(g) Campaign Filings(FPPC 400 Paper must be retained for at UNSUCCESSFUL OD, Ppr S years least 2 years; GC CANDIDATES I I I §81009(b)&(g) VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 22 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-6 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy Active Total Media I Import Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e.q. last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Campaign Filings(FPPC 400 Series Forms): THOSE NOT Paper must be retained for at City Clerk CC-019 REQUIRED TO FILE 4 years 4 years Mag, Ppr least 2 years; GC ORIGINAL WITH CITY CLERK §81009(f)&(g) (copies) Campaign Filings(FPPC 400 Paper must be retained for at Series Forms): OTHER City Clerk CC-020 COMMITTEES (PACs-not 7 years 7 years Mag, Ppr least 2 years; GC candidate-controlled) §81009(c)&(g) Department Preference; Statewide guidelines Candidate File: Nomination proposes 4 years for Papers, Candidate Statement Term of Term of successful candidates,2 City Clerk CC-021 Office+4 Office+4 Mag, Ppr years for unsuccessful; CA Forms, etc. -SUCCESSFUL years years law states term of office and 4 j CANDIDATES years after the expiration of term and does not delineate between the two; EC§17100 Statewide guidelines Candidate File: Nomination proposes 4 years for successful candidates,2 Papers, Candidate Statement City Clerk CC-022 Forms, etc.- Election +4 Election+4 Ma P r years for unsuccessful; CA UNSUCCESSFUL years years g' p law states term of office and 4 years after the expiration of CANDIDATES term and does not delineate between the two; EC 4 17100 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 23 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-7 Office of iRetention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image. Destroy Active Total Media I Im ort Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& If the record is not listed here refer to the Retention for Cit -Wide Standards Center) S=Scan C'd? Retentions be in when the act is completed, and impIv a full file folder e. . last document+2 ears since destruction is normally Performed bv file folder. Liti ation complaints, claims ublic records act re uests audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Elections-GENERAL, WORKING or ADMINISTRATION Files (Correspondence, Precinct Maps, County Election City Clerk CC-023 Services, Candidate 2 years 2 years Mag, Ppr GC§34090 Statements to be printed in the Sample Ballot, Polling Locations and Precinct Board Members, Notices, Postings, etc.) Elections- HISTORICAL (Sample ballot, copies of Mag, Mfr, Retained for Historical Value, City Clerk CC-024 resolutions with the final 2 years P P OD, Ppr S No GC§34090 results; Certificate of Election, Oath of Office) Not accessible to the public; Results or Results or The 8 month retention applies Elections-Petitions(Initiative, Final Final after election results,or final City Clerk CC-025 Recall or Referendum) Examination Examination Ppr examination if no election, if No Election if No Election unless there is a legal or +8 mo. +8 mo. FPPC proceeding. EC 17200 17400 ELECTIONS-STAND-ALONE use in coniunction with Consolidated elections ... records series are not repeated) CityClerk CC-026 Applications to View Voter Registration Information 5 Irs 5 years Ppr EC 2188(f) Assessment District Ballots, City Clerk CC-027 Protest Letters,& Envelopes- 2 2 years Ppr GC§53753(e)(2) Prop. 218 proceedings CityClerk CC-028 Ballots, Ballot Security Envelopes-After Election 66 mo. Ppr EC§17302 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 24 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-8 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active Total Media I=Import Paper after (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normal/ performed b file folder. Litigation. complaints, claims ublic records act requests, audits and/or investigations sus end normal retention eriods retention resumes after settlement or completion). CityClerk CC-029 Ballots, Ballot Security Envelopes-After Recount 6 mo. 6 mo. Ppr EC§17306 City Clerk CC-030 Challenged&Assisted Voters 6 mo. 6 mo. Ppr If uncontested, EC§17304 List City Clerk CC-031 Inspector Receipts for Ballots 6 mo. 6 mo. Ppr EC 17302, 17306 City Clerk CC-032 Precinct Officer Appointments 6 mo. 6 mo. Ppr EC§17503 City Clerk CC-033 Roster of Voters 5 years 5 years Mag, Mfr, EC§17300 OD, Ppr City Clerk CC-034 Tally Sheets, Logic&Accuracy 6 mo. 6 mo. Ppr EC§17304 Test Certifications Vote-by-Mail Applications, City Clerk CC-035 Roster of Absentee 6 mo. 6 mo. Ppr EC§17505 Applications City Clerk CC-036 Vote-by-Mail Identification 6 mo. 6 mo. Ppr EC§17302 Envelopes CityClerk ! CC-037 Voter Index Copies used as the Votin Record at Polling6 mo. 6 mo. Ppr EC§17304 Cit Clerk CC-038 Voter Index Ori inal 5 ears 5 vears iEC W001 End of Elections Section City Clerk CC-039 Ethics Training Certificates 5 years 5 years Mag, Ppr GC§§12946,29 USC 1113 City Clerk determines Historical Records, historical significance; Photographs, & Historical records can address a variety City Clerk ' CC-040 Projects(e.g. Incorporation, P P OD, P Mag, Mfr,pr, S No of subjects and media. Some media(e.g. audio and video City Seal,Awards of significant a to historical interest, etc.) p )may be limited because of the media's life ex ectanc ; GC 34090 City Clerk CC-041 Housing Lottery Interest Forms 2 years 2 years Mag, Ppr GC§34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 25 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-9 Office of Retention No. Records Description Retention I Disposition Comments/Reference Record Inactive Image: Destroy Active Total Media I=Import Paper after (OFR) (Records Vital. (in office) Retention Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act re guests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Minutes: Active-Gity Council, Board of Library Trustees, Business& Industry Commission (BIC), Green Vernon Commission (GVC), Successor Agency(SA), Oversight Board(OB),Vernon Community Fund Grant Committee(VCFGC),Vernon Housing Commission(VHC), Vernon Historic Preservation City Clerk CC-042 Society(VHPS) P P Mag, Mfr, S/I No GC§34090 OD, Ppr Inactive-Industrial Development Authority(IDA), Personnel Committee, Police& Fire Commission, Public Benefits Resource Committee (PBRC), Redevelopment Agency,Vernon Housing Authority(VHA),Vernon Natural Gas Financing, finiance Committee) Municipal Code When No When No Preliminary drafts not City Clerk CC-043 Administration, Distribution, Longer Longer Mag, Ppr retained in the ordinary etc. I Required [Required course of business; GC VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 26 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-10 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive I mage. Destroy Active Total Media I=Im ort Paper after (OFR) (Records Vital? p p (in office) Retention Options M=Mfr Imaged& j Center) S=ScanQC'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Litigation, complaints, claims ublic records act re 9uests audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). Notices: Active-City Council, Board of Library Trustees, Business& Industry Commission (BIC), Finance Committee, Green Vernon Commission (GVC) Inactive-Industrial Development Authority(IDA), Personnel Committee, Police& Statute of Limitations on Fire Commission, Public Municipal Government City Clerk ! CC-044 Benefits Resource Committee 2 years 2 years Mag, Ppr actions is 3-6 months; (PBRC), Redevelopment Agency, Successor Agency CCP§337 et seq; GC§34090 (SA), Oversight Board(OB), j Vernon Community Fund Grant Committee(VCFGC),Vernon Housing Authority(VHA), Vernon Housing Commission (VHC),Vernon Historic Preservation Society(VHPS), Vernon Natural Gas Financing Authority VNGFA) Oath of Office: City Council, Term of Mag, Mfr, Yes: After Department Preference; GC City Clerk CC-045 Boards&Commission Office+4 P P S/I Members ears OD, Ppr QC'd&OD §34090 City Clerk CC-046 Ordinances P P Mag, Mfr, S/I No GC§34090 OD, Ppr i Public Records Requests/ Request for Records/ Mag, Mfr, Yes: After City Clerk CC-047 2 years 2 years S/I GC§34090 Subpoenas(Records/Duces OD, Ppr QC'd&OD Tecum VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 27 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-11 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Inactive Image Destroy (OFR) Active (Records Total Vital? Media I Import Paper after (in office) Retention Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imDiv a full file folder e. . last document+2 ears since destruction is normallvioerformed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Department preference; Real Property: Deeds, Mag, Mfr, Finals are maintained by City City Clerk CC-048 Easements, Liens, Rights of P P Yes(all) OD, Ppr Way S No Clerk; Department file may include correspondence; GC 34090 et seq. Recordings- RECORDINGS of Meetings/ Audio Tapes Active-City Council, Board of Library Trustees, Business& Industry Commission(BIC), Industrial Development Authority (IDA), Green Vernon Commission (GVC),Successor Agency(SA), Oversight Board(OB),Vernon Community Fund Grant Committee Department preference; State City Clerk CC-049 (VCFGC),Vernon Housing 10 years 10 years Mag, OD law only requires for 30 days; j Commission(VHC),Vernon GC§54953.5(b) Historic Preservation Society (VHPS) i Inactive-Industrial Development Authority(IDA),Personnel Committee, Police&Fire Commission, Public Benefits Resource Committee(PBRC), Redevelopment Agency,Vernon Housing Authority(VHA),Vernon Tuml G a%Financinn1 .e - City Clerk CC-050 Records Destruction 10 years P P Mag, Mfr, S/l Yes: After Department preference; GC Authorization Forms OD, Ppr QC'd&OD 1§34090 Records Retention Schedules/ Mag, Mfr, City Clerk ; CC-051 Amendments to Records 10 years P P S/I No GC§34090 et. seq. Retention Schedules OD, Ppr VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 28 Ver. 12.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-12 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy OFR Active Total Media I=Import Paper after ( ) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and impIv a full file folder e. . last document+2 ears since destruction is normal/v Performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). City Clerk CC-052 Redevelopment Plans p P Mag, Mfr, S Yes: After Department Preference; GC OD, Ppr QC&OD §34090 Resolutions: Active-City Council, Board of Library Trustees, Business& Industry Commission (BIC), Green Vernon Commission (GVC), Successor Agency(SA), Oversight Board (OB),Vernon Community Fund Grant Committee(VCFGC),Vernon Housing Commission (VHC), Vernon Historic Preservation City Clerk CC-053 Society(VHPS) P P Mag, Mfr, S/I No GC§34090 OD, Ppr Inactive-Industrial Development Authority(IDA), Personnel Committee, Police& Fire Commission, Public Benefits Resource Committee (PBRC), Redevelopment Agency,Vernon Housing Authority(VHA),Vernon Natural Gas Financing, Finance Committee) Subpoenas for Personal Mag, Mfr, Yes: After City Clerk CC-054 Appearance(City Hall 2 years 2 years S/I GC§34090 Employees, Fire Employees) OD, Ppr QC'd&OD VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 29 Ver 6.0 RECORDS RETENTION SCHEDULE - FIRE Page FR-1 Office of Records Record Series Records Description Retention/Disposition Comments/Reference Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, public records act requests, audits and/or investigations suspend normal retention periods retention begins after settlement). ADMINISTRATION Fire/ Emergency Operations Plan Superseded Superseded Mag, Admin. FR-001 (includes Office of Emergency and and Yes (all) Mfr, OD, S/I No GC§34090 Management&Homeland Security) Approved Approved Ppr Fire/ Mag' Yes: Department Preference;GC Admin. FR-002 EOC Activations&Drills 10 years 10 years Mfr, OD, S/I After : §34090 Ppr Fire/ Fire Sprinkler Inspections and/or Minimum 10 Minimum 10 Mag, Department Preference; GC Admin. FR-003 Certifications(includes Title 19 years years Ppr §34090 certifications) When No When No Considered a preliminary draft/ Fire/ ' Monthly Statistical Reports/Run Mag, Admin. FR-004 Statistics Longer Longer Ppr copy(the Fire database is the Required Required p original); GC§34090 et seq. Copies- Copies- Originals Maintained by City Clerk CityClerk ! FR-005 Mutual Aid Agreements,Joint When No When No Mag, Power Authorities Longer Longer Ppr or County Clerk of the Board Required Required Permanently; GC§34090.7 Fire/ FR-006 Ride-A-Long Waivers 2 years 2 years Ppr' GC§34090 Admin. Department preference; Preliminary drafts not made or Fire/ Minimum 2 Minimum 2 Mag, Yes: retained for the purpose of Admin. FR-007 Special Events/Ops Plan years years Mfr, OD, S/I After QC preserving the informational Ppr &OD content for future reference; GC §34090, GC§6252;64 Ops. Cal. Atty. Gen. 317(1981)) Fire/ FR-008 Strike Team Reimbursement(OES 10 years 10 years Mag, Department Preference; GC Admin. /FEMA Ppr 34090 EMERGENCY MEDICAL SERVICES VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 30 Ver6.0 RECORDS RETENTION SCHEDULE - FIRE Page FR-2 Office of ! Records Record Series# Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive Paper Active Total Media I=Im ort (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normallvoerformed by file folder. Litigation, claims, complain public records act requests, audits and/or investi ations sus end normal retention periods retention be ins after settlement). Department Preference- Controlled Substance Logs, Controlled substances are required Fire/EMS FR-009 Inventories/Ambulance Inventory 3 years 3 years Yes Mag' for 2 years after inventory or Logs Ppr transaction;21 CFR§1304.04, 1310.04 Fire/EMS FR-010 Emergency Medical Database Indefinite Indefinite Yes Mag Data is interrelated;GC§34090, and Admin. 60201 et seq. EMS Complaints/CQI (Continuous Statute of Limitations for health Fire/EMS ! FR-011 Quality Improvement)/Quality 3 years 3 years Mag, providers is 3 years; 13 CCR Assurance Ppr 1100.7, UFC§104.3.2,§104.3.4, GC§34090,60201 et seq. HIPAA Policies and Procedures Superseded Superseded Mag, Yes: Fire/EMS FR-012 (Health Insurance Portability and +6 years +6 years Mfr, OD, S After 1 24 CFR 164.5300) Accountability Act) Ppr year Department Preference;adults required for 7 years; minors until 1 year after age 18, but not less than 7 years; 10 years is recommended by AHIMA for"healthcare Patient Care Reports/PCRs/ providers"; Statute of Limitations Fire/ Paramedic Release Forms(EMS Mag' Yes: for health providers is 3 years; CCP§340.5, GC§34090; H&S Admin. & FR-013 transportation)/Consent Form with 20 years 20 years Mfr, OD, S After 1 §§1797.98(e) 123145;42 CFR EMS Assignment of Benefits: ADULTS Ppr year 482.24(b); 9 CCR 9444,22 CCR AND JUVENILES 70751(c)&71551(c); 22 CCR 70751(c), 71551(c), 73543(a), 74731(a), 75055(a), 75343(a), 77143(a),W&I 14124.1; CMS Pub. 100-4, Chapter 1, Section 110.3 FIRE MARSHAL/FIRE PREVENTION VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 31 Ver 6.0 RECORDS RETENTION SCHEDULE - FIRE Page FR-3 Office of Records Record Series# Records Description Retention/Disposition Comments/Reference Image: Inactive Destroy Active Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2years), since destruction is normally performed by file folder. Liti ation claims complaints, public records act requests, audits and/or investi ations suspend normal retention periods retention be ins after settlement). Life of the Life of the Fire/Fire Annual Fire Inspection Notices/ Structure or Structure or Prevention Citations/Notice of Violations Activity, or Activity, or Mag, Yes: Required for the Life of the Admin./ FR-014 Minimum 5 Minimum 5 Mfr, OD, S/I After QC Structure or Activity, or Minimum 5 Fire Permit(Construction Permits),and Public years, years, Ppr &OD years CFC§§ 104.6—104.6.4 Works Occupancy inspections are maintained in Public Works Address Files in is Whichever i Longer Longer Fire/Fire Minimum 2 Minimum 2 Mag, Department Preference; GC§ Prevention ; FR-015 Film Permits(Issued by Film LA) Admin. years years Ppr 34090 et seq. Fire/Fire I Fire Investigations-Arson& Mag, Yes: Department preference(Capital Marshal FR-016 P P Mfr, OD, S/I After QC Crimes have no statute of Admin. Capital Crimes Only Ppr &OD limitations); GC§34090 et seq. When No rRequired- Arson Fire/Fire Longer Fire Investigations-OTHER Than Mag, Department preference; GC Marshal FR-017 Required-Admin. &Capital Crimes Minimum 5 Ppr §34090 et seq. years When No When No Fire/Fire j Public Information/Education Longer Longer Mag, Department Preference; GC Prevention FR-018 Required - Required - Admin. (when produced internally) Ppr §34090 Minimum 2 Minimum 2 ears years When No When No Fire/Fire Weed Abatement/Vegetation Longer Longer Mag, Department Preference; GC Prevention FR-019 Required- Required- Abatement Ppr 34090 Admin. Minimum 2 Minimum 2 p § ears years VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 32 Ver 6.0 RECORDS RETENTION SCHEDULE - FIRE Page FR-4 Office of Records Record Series Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder fe.g. last document+2 years), since destruction is normally performed by file folder. Liti ation, claims, complaints, public records act requests, audits and/or investi ations suspend normal retention eriods retention be ins after settlement). OPERATIONS/SUPPRESSION Department Preference to be in Apparatus, Equipment&Vehicle Surplus+2 Surplus+2 Mag, compliance with NFPA Standards Fire/Ops FR-020 Records&Testing years years Ppr for in-service automotive fire apparatus; NFPA 1911.4.7.3& Annex C.5, GC§34090 When No When No Longer Longer Fire/Ops FR-021 Daily Log Books Required - Required- Ppr GC§34090 Minimum 2 Minimum 2 years years When When Fire/Ops FR-022 DMV Pull Notices(Fire Personnel) Superseded, Superseded, Mag, Department Preference; GC or Upon or Upon Ppr §34090 Separation Separation Department preference; Calif. Labor Division is required to keep their OSHA records 7 years; Employee Training File(by EEOC/FLSA/ADEA(Age)requires employee) Mag, Yes: 3 years for promotion, demotion, Fire/Ops FR-023 Separation+ Separation+ p Individual Training Certificates, 5 years 5 years Mfr, OD, S When transfer, selection, or discharge; Continuing Education for Ppr Inactive State Law requires 2-3 years for Paramedics personnel actions; 8 CCR§3203 et seq.,29 CFR 1627.3(b)(ii), LC §6429(c); GC§§12946, 34090, 53235.2(b) Fire/Ops FR-024 Fire Hydrant Valve Exercises/ Minimum 10 Minimum 10 Mag, Department Preference; GC Notice of Deficiency years years Ppr §34090 Fire/ Admin. & FR-025 Fire Incident RMS Database Indefinite Indefinite Yes Mag, Data is interrelated; GC§34090 et Ops I I I Ppr seq. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 33 Ver 6.0 RECORDS RETENTION SCHEDULE - FIRE Page FR-5 Office of � Records Record Series Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) Imaged& S=Scan C'd If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 years), since destruction is normally performed by file folder. Liti ation claims complain public records act requests, audits and/or investi ations suspend normal retention periods retention be ins after settlement). Fire/Ops I', FR-026 Fire Training Center-Waivers of 2 years 2 years M ' GC§34090 Liability Ppr Fire/Ops I FR-027 ISO Insurance Ratings 15 years 15 years Mag, Department Preference(rated Ppr every 10 years); GC§34090 When When Yes: Mag, Preliminary drafts; GC§34090 et Fire/Ops FR-028 Pre-plan Sheets Superseded Superseded Before Ppr seq. Event Fire/ Programs and Projects(e.g. Cadet, Minimum 2 Minimum 2 Mag, Department Preference; GC§ Admin. & FR-029 CPR Program, Fire Service Day, Ops etc.) years years Ppr 34090 et seq. Fire/Ops FR-030 Training Database/Log (Target Indefinite Indefinite Mag, Data is interrelated; GC§34090 et Solutions) Ppr seq. Vehicle Safety Checks/Daily When No When No Vehicle Inspections/Daily Longer Longer Fire/Ops FR-031 Equipment Checks(Fire Vehicles Required- Required- Ppr GC§34090 Minimum 2 Minimum 2 Only) ears I years VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 34 Ver. 4.0 RECORDS RETENTION SCHEDULE: HEALTH & ENVIRONMENTAL CONTROL Page H&EC-1 Office of 1Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C' If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is nonnally performed by file folder. Liti ation complaints, claims ublic records act re nests audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Aboveground Storage Tanks(City- Department Preference; Health& Owned and/or Privately Owned) applies to both Tier I and Tier Environmental H&EC-001 20 years 20 years Mag, Ppr II Tanks; (Tier II tanks are Control Spill Prevention Control and required to have an integrity Countermeasures(SPCC), Inspections, test every 20 years); GC Integrity Testing,Maintenance, Repairs §60201 Department preference; Health& j Animal Control-Transportation of Transportation of dead Environmental ! H&EC-002 Animals 3 years 3 years Mag, Ppr animals are required for 1 Control year; 3 CCR 1180.15; GC 34090 Health& Animal Control Investigations/ Resolution + Resolution+ Department Preference; GC Environmental H&EC-003 Mag, Ppr Control Problem Files 3 years 3 years §34090 et seq. Health& Animal Control Notices to Comply, Department preference; GC Environmental H&EC-004 Warning Letters/Notices/Citation 3 years 3 years Mag, Ppr §34090 Control Books Health& Environmental H&EC-005 Animal Licenses/Dog Licenses 3 years 3 years Ppr Department preference., GC§34090 Control Department preference; Health& Backflow: Water System Mag' Yes after Meets California Department Environmental i H&EC-006 5 years 5 years Mfr, OD, S/I ( of Health requirements(3 Backflows/Cross-Connection 2 ears Control years) Ppr years); GC§34090; 17 CCR 7605( Health& Bite Reports/Rabies Control p Department Preference; GC Environmental H&EC-007 3 years 3 years Mag, Ppr Records §34090 et seq. Control VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 35 Ver. 4.0 RECORDS RETENTION SCHEDULE: HEALTH & ENVIRONMENTAL CONTROL Page H&EC-2 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Destroy Inactive Image: Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and impIv a full file folder e. . last document+2 ears since destruction is normal/v performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Health& CalARP(California Accidental When No When No City is not lead agency; given Environmental H&EC-008 Release Prevention) Risk Longer Longer Mag, Ppr back to facility Control ! Management Reviews, Comments Required Required Health& Catering Truck Permits, Environmental H&EC-009 Inspections, Citations,Violations 2 years 2 years Mag, Ppr GC§34090 Control Health& Development SWPPP(Stormwater Mag Department preference; Environmental H&EC-010 Pollution Prevention Plan)/ Finalled+3 Finalled +3 Mfr, OD, S/I Yes: After Monitoring records required Control Construction Monitoring years years Ppr QC&OD for 3 years;40 CFR 122.21, 122.41, 122.44 Health& Environmental Assessments/ Mag, Environmental H&EC-011 Phase 1 Environmental P P Mfr, OD, S Yes: After Department Preference; GC Control Assessments Ppr 1 year §34090 et. seq. Health& Free Sale Letters/Food Shipping in Environmental j H&EC-012 Certificates 2 years 2 years Mag, Ppr GC§34090 Control Health& Mag, Yes: After Department Preference; GC Environmental H&EC-013 Groundwater Quality/Infiltration P P Mfr, OD, S 1 year §34090 et. seq. Control p r Health& Hazardous Materials Business Superseded + Superseded Department Preference; GC Environmental H&EC-014 ,Mag Ppr Control Plans(HMBP) 5 years +5 years §34090 Health& % Department Preference;40 Environmental H&EC-015 Hazardous Waste Manifests/ 5 years P P Mf,, OD, S Yes: After CFR 262.40,8 CCR Control Certificates of Disposal Ppr QC&OD 3204(d)(1)(A), 22 CCR 66262.40 Health& Environmental I H&EC-016 Jail Inspections 2 years 2 years Mag, Ppr GC§34090 Control Finance/ Permitted Uses/Health Permit Data Fields/Records are Accountin H&EC-017 Database Envision Indefinite Indefinite Yes Mag interrelated; GC§34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 36 Ver. 4.0 RECORDS RETENTION SCHEDULE: HEALTH & ENVIRONMENTAL CONTROL Page H&EC-3 Office of ;Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper Active Total Media I=Im ort (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is comp)I 6ted and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Health& Permitted Uses Billing/Invoices Mag, Department Preference (Food, Garment, Hazardous Yes(after Environmental H&EC-018 5 years 5 years Mfr, OD, S/I (meets municipal government Control Materials, Underground Storage 2 years) Tanks, etc.) Ppr records); GC§34090 Health& Permitted Uses: Hazardous Mag' Yes(after Department Preference; GC Environmental H&EC-019 P P Mfr, OD, S/I Control Materials/USTs(Salmon) Ppr 2 years) §34090 Health& Change of Change of Mag, Environmental H&EC-020 Permitted Uses: Food Processing Occupant+2 Occupant+2 Mfr, OD, S/I Yes(after Department Preference; GC Occu Control pancies(Green) ears ears Ppr 2 Years) §34090 Health& Permitted Uses:Garment Change of Change of Mag, Yes (after Department Preference; GC Environmental H&EC-021 Occupant+2 Occupant+2 Mfr, OD, S/I Control Assembly Occupancies(Gold) ears ears Ppr 2 years) §34090 Health& Permitted Uses: Light Use Change of Change of Mag, Yes(after Department Preference; GC Environmental j H&EC-022 Occupancies- No Permits Occupant+2 Occupant+2 Mfr, OD, S/I 2 years) §34090 Control Required (White) years years Ppr Health& ,Change of Change of Mag Permitted Uses: Solid Waste/ Yes(after Department Preference; GC Environmental H&EC-023 Occupant+2 Occupant+2 Mfr, OD, S/I Control Recycling ears years Ppr 2 years) §34090 Department Preference Health& Pest Control/Pesticide Use (agricultural pesticide records Environmental H&EC-024 2 years 2 years Mag, Ppr are required for 2 years); 3 Control Reports CCR 6623,40 CFR 171.11 et seg.; GC§34090 Health& Remediation Cases/Studies and Reports, Contamination Data, Mag' Ye (after Department Preference; GC Control Permits for Soil Boring, Site Safety Ppr 2 ears) §34090 Environmental ; H&EC-025 P P Mfr, OD, S/I Yes Plans, etc. Health& Solid Waste Franchise Hauler Expiration+2 Expiration+ Department Preference; GC Environmental H&EC-026 Permits/Recycling Permits/Truck years 2 years Mag, Ppr §34090 Control I Inspections VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 37 Ver. 4.0 RECORDS RETENTION SCHEDULE: HEALTH & ENVIRONMENTAL CONTROL Page H&EC-4 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper Active Total Media I=Imp ort (OFR) (Records Vital? after (in office) Retention Options M=Mfr i Center) Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2years), since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Health& Solid Waste Tonnage Reports/AB g p , O Yes(after Department Preference; GC Environmental j H&EC-027 10 years 10 years Mfrfr, OD, S/I Control 939 Comp liance Ppr 2 years) §34090 Department Preference; Health& Stormwater Monitoring/NPDES Monitoring records required Minimum 5 Minimum 5 Environmental I H&EC-028 Monitoring and Inspection(by Mag, Ppr for 3 years;40 CFR Control Address) years years §§122.21, 122.41, 122.44; CCP§337 et seg. Required for a minimum of 5 Health& Mag, years;40 CFR 122.410)(2); Environmental H&EC-029 Stormwater: Business Inspections Minimum 5 Minimum 5 Yes: After b Address Mfr, OD, S/I SWRCB Order 2006-03;40 Control ( y ) years years Ppr QC&OD CFR§§122.21, 122.41, 122.44; GC§34090 Monitoring and Maintenance Underground Storage Tank(City- records are required on site Owned and/or Privately Owned) for 3 years, 6'/years for Health& cathodic protection Environmental s H&EC-030 UST Monitoring,Inspections and 7 years 7 years Mag, Ppr maintenance, 5 years for Control Maintenance, Release Detection calibration&maintenance of Systems, Cathodic Protection release detection systems; 23 Maintenance Records CCR 2712(b); H&S 25284.2(i) Underground Storage Tanks(City- Department Preference Health& Owned and/or Privately Owned) Mag, (required , Yes. After re uired for the life of the Environmental H&EC-031 P P Mfr, OD S tank); 23 CCR 2712(b), H&S Control Locations, Soil Remediation, Ppr 1 year p §25284.2(i); GC§34090 et. Monitoring Well Records I I I I I I Iseq. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 38 Ver. 6.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-1 Office of Retention No. Records Description Retention I Disposition Comments/Reference Record Inactive Image: Destroy OFR Active Total Media I=Import Paper after ( j (in office) (Records Retention Vital.? Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is com leted and imolv a full file folder e. . last document+2 ears since destruction is normal/v verformed bv file folder. Liticiation. com i plaints, claims ublic records act requests, audits and/or investiciations sus end normal retention periiods retention resumes after settlement or completion). Department Preference; IRS:-- 4 yrs after tax is due or paid; 1095-C (Employer-Provided Ca. FTB: 3 years;Articles Human HR-001 Health Insurance Offer and 5 years 5 years Mag, Ppr show 7 years;26 CFR Resources Coverage) §31.6001-1(e)(2), R&T §19530;29 CFR 516.5- 516.6,29 USC 436, GC 34090 Department reference; 29 Human Background File Recruitment Separation+ Separation + p p HR-002 File-(SUCCESSFUL) p p Ma Ppr CFR 1602.31 & 1627.3(b)(ii), Resources Except for Police Dept. 6 years 6 years g' GC§§3105, 12946, 34090; 29 USC 1113 Background File/Recruitment Department preference; 29 Human CFR 1602.31 & 1627.3(b)(ii), Resources j HR-003 File-(UNSUCCESSFUL) 3 yeas 3 years Mag, Ppr GC§§3105, 12946, 34090; Except for Police Dept. 29 USC 1113 Bureau of National Affairs Classification/Reorganization recommends 2 years for all Human Studies(for employee Minimum 3 Minimum 3 supplementary Personnel Resources HR-004 classifications and department years ears Mag, Ppr records;Wage rate tables are structures) y 1 or 2 years; State requires 2 j years;29 CFR 516.6,29 CFR 1602.14, GC§§12946, 34090 Bureau of National Affairs recommends 2 years for all supplementary Personnel Human HR-005 Compensation Surveys& Minimum 3 Minimum 3 Mag, Ppr records;Wage rate tables are Resources ! Studies years years 1 or 2 years; State requires 2 years;29 CFR 516.6(2),29 CFR 1602.14, GC§§12946, 34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 39 Ver. 6.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-2 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media I=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally Performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). All State and Federal laws require retention until final Human Department of Fair Final Final disposition of formal Resources HR-006 Employment&Housing(DFEH Disposition+ Disposition+ Mag, Ppr complaint; State requires 2 or EEOC)Claims 3 years 3 years years after"fully and finally disposed"; 2 CCR 7287.0; GC 12946, 34090 When When Human DMV Pull Notices(All, Superseded, Superseded, Department Preference; GC Resources HR-007 Mag, Ppr Including Fire& PD) or Upon or Upon §34090 Separation Separation Department preference; D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC/FLSA/ADEA(Age) Human Drug&Alcohol Test Results requires 3 years physical Resources i HR-008 All-Positives and Negatives) 5 years 5 years Mag Ppr ( 9 ) examinations; State Law requires 2 years;29 CFR 1627.3(b)(1)(v), GC§§12946, 34090;49 CFR 655.71 et seq.;49 CFR 382.401 et seq. 49 CFR 653.71 Employee Computer Loan/ Department Preference; Tuition Reimbursement Employee in Employee in Meets Municipal Government Human HR-009 Determination Memorandas, Good Good Mag, Ppr Auditing Standards; Statute of Resources ! (Employee is in Good Standing +5 Standing+5 Limitations is 4 years; CCP Standing)/Receipts and years years Payments §337 et. seq., GC§34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 40 Ver. 6.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy Active Total Media I=Im ort Paper after (OFR) in office (Records Retention Vital? p p ( ) Center) Options M_Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Department Preference; EEOC/FLSA/ADEA(Age) requires 3 years for promotion, demotion, Human iHR-010 Grievance Files Separation + Separation + Mag, Ppr transfer, selection, or es Resources 6 years 6 years discharge; State Law requires 2-3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC§§3105, 12946, 34090; 29 USC 1113 Non-citizens must re-certify periodically; Required for 1 year from termination or 3 years from hiring,whichever is later; EEOC/FLSA/ADEA Human HR-011 I-9s Separation + Separation+ Mag Ppr (Age) requires 3 years for Resources 3 years 3 years "any other forms of employment inquiry'; State Law requires 2-3 years; 8 CFR 274a.2;29 CFR 1627.3(b)(i); GC§§12946, 34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 41 Ver. 6.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-4 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image. Destroy Active Total Media I=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally Performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Department preference; EEOC/FLSA/ADEA(Age) requires 3 years for promotion, demotion, Minimum Minimum transfer,selection, or Human Job Descriptions/ Mag, Mfr, Yes: After discharge; State Law requires Resources HR-012 Classification Specifications Superseded Superseded OD, Ppr S/I QC&OD 2-3 years; retirement benefits +3 years +3 years is 6 years from last action;29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 34090; 29 USC 1113 Labor Relations Files Human i (Negotiation Notes, Mag, Mfr, Yes: After Department Preference; GC Resources HR-013 Correspondence, Interpretation 5 years P P OD, Ppr S/I QC&OD §34090 of MOU Provisions, Documentation,etc.) Calif. Labor Division is required to keep their records Human OSHA Logs&Citations-Osha Mag, Mfr, Yes: After 7 years;OSHA requires 5 HR014 5 years 5 years S -Resources i Log 200, 300, 301, 301A, etc OD, Ppr QC&OD years; State law requires 2 years; 8 CCR§3203(b)(1), GC 34090.7; LC§6429c VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 42 Ver. 6.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-5 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image Destroy Active Total Media [ Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged& Center) S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e.g. last document+2 ears since destruction is nonnally performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Department Preference; statute of limitations for Personnel Files- Employee retirement benefits is 6 years File from last action; EEOC/FLSA/ADEA(Age) Human HR-015 Includes Application, Separation+ Separation+ Ma P r requires 3 years for Resources Evaluations, Policies, Oaths of 6 years 6 years g' p promotion, demotion, Office, PAFs(Personnel transfer,selection,or Action Forms), etc. discharge; State Law requires 2-3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC§§3105, 12946, 34090;29 USC 1113 Personnel Files- Medical File Department preference; Files (all employees) 24 ears, or Separation+ y maintained separately; 30 years, or Termination Yes:After Claims can be made for 30 Human Separation + Termination Yes: Until Mag, Mfr, HR-016 Pre-employment Health of Benefits, S Separation + years for toxic substance Resources Clearances, ADA 6 years whichever is of Benefits, Separation OD, Ppr 1 year exposure; 8 CCR§3204(d)(1) Accommodations, Respirator longer whichever is et seq.,29 CFR Fit Tests, etc. longer 1910.1020(d)(1)(i), GC Recruitment and Testing File Department preference; (Includes Advertisements, EEOC/FLSA/ADEA(Age) Human Applications for Unsuccessful Hiring Hiring requires 1-3 years; State Law Resources HR-017 Candidates, Interview Notes, Decision +3 Decision+3 Mag, Ppr requires 2-3 years; 29 CFR Job Brochures,Test Data, years years 1627.3(b)(i), 29 CFR 1602.14 Testing Analysis&statistical et seq.2 CCR 7287.0(c)(2), Metric, Job Analysis, Rating GC§§12946, 34090 Sheets, Scantrons, etc. Studies&Surveys- Informal- When No When No Preliminary drafts not Human HR-018 Conducted on Behalf of the Longer Longer Mag, Ppr retained in the ordinary Resources City(Sick Leave,Attrition, Required Required course of business; GC Benefits,etc. 34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 43 Ver. 6.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-6 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image Destroy OFR Active Total Media I Import Paper after ( ) (Records Vital. (in office) Center) Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e.q. last document+2 ears since destruction is normally performed by file folder. Liticiation, complaints, claims ublic records act re uests audits and/or investi ations sus end normal retention perfiiods retention resumes after settlement or completion). Human Workers Compensation Claim Meets auditing standards; GC Resources j HR-019 Runs/Monthly Reports 5 years 5 years Mag Ppr §34090 Separation+ Department preference; Files Workers Compensation Claims 20 years,or maintained separately; 30 years, or /Long Term Disability Claims Termination Claims can be made for 30 Human Separation + Termination Yes: Until Mag, Mfr, Yes: After Resources HR-020 (Includes all Accident, Incident, 10 years of Benefits, of Benefits, Separation OD, Ppr S QC&OD years for toxic substance or Injury Reports from whichever is whichever is exposure;8 CCR§3204(d)(1) Employees) longer longer et seq., 29 CFR 1910.1020d 1 i , GC VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 44 Ver.2.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of Record Retention No.l, Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy Active Total Media I=Import Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 years), since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, audits and/or investi ations sus end normal retention peno s retention resumes after settlement or completion). Used for Disaster Recovery Information Backup s- DAILY(Monda When No When No Purposes Only; Considered a IT-001 y Longer Longer Yes Mag. copy and can be destroyed Technology; I Sunday) Required Required when no longer required;tapes are in autochangers and are overwritten; GC§34090 et seq. Used for Disaster Recovery Purposes Only; Store off-site in Information 1When No When No commercial storage for disaster IT-002 Backups-WEEKLY Longer Longer Yes Mag. recovery; Considered a copy Technology and can be destroyed when no Required Required longer required; retention based on administrative value; recycle tapes; GC§34090 et seq. Information! !'Network Configuration Maps& When No When No Preliminary documents not Technolo IT-003 ;Plans Longer Longer Yes Mag. retained in the ordinary course gy Required Required of business; GC§34090 et seq. For legal compliance for WORM/DVD-r/CD-r/Blue Ray- Trustworthy Electronic Records Information: R or other unalterable media that (when the electronic record I IT-004 P P OD Technology!, Noes not permit additions, serves as the official record); GC deletions, or changes 60200, 12168.7, EVC 1550, CCR 22620 et seq.. VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 45 Ver. 2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Active Total Media I=Import Paper after (OFR) Vital? (in office) (Records Retention Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imDlv a full file folder e. . last document+2 ears since destruction is normal!y Performed bv file folder. Litigation. complaints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). CAD/DISPATCH Department Preference Audio Recordings or Tapes- (consortium standard); Statewide Police/ (CAD/RMS) Recordings of Minimum Minimum guidelines propose 180 days Commun. PD-001 Telephone&Radio 180 days 180 days Mag (legally mandated for 100 days); Communications Dispatch Tapes (may be discoverable or made (CAD) public in some circumstances), GC§§34090, 34090.6 DETECTIVE BUREAU Police/ Investigation Files and Arrest Transfer to Transfer to Final reports and records are Detectives PD-002 Files Records Records Mag, Ppr transferred to the case file stored in Records; GC§34090 et seq. PATROL Canine(Police Service Dogs) 3 years is required for animal Police/ Separation + Separation+ care/treatment records; FA Patrol PD-003 Program Files/Training Files: 3 ears 3 ears Mag, Ppr Animal Files y y §32003(e), PC§597.1(d); GC §34090 et seq. Police/ ;Canine(Police Service Dogs) Department preference; GC Patrol PD-004 Program Files: Action Reports, 5 years 5 years Mag, Ppr §34090 et seq. Monthly Reports Department preference; Police/ PD-005 Extra Patrol requests 2 years 2 years Mag Preliminary drafts not retained in Patrol the ordinary course of business; GC§34090 et seq. Police/ PD-006 PAS Device Calibration Logs 5 years 5 years Mag, Ppr Department preference; GC Patrol §34090 et seq. Police/ g years years Mag Patrol Department preference; GC PD-007 I Ride-A-Lon Waivers 2 2 M §34090 et seq. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 46 Ver. 2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-2 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Active Total Media I=Import Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pen ds retention resumes after settlement or completion). Police/ PD-008 ;Scheduling/Telestaff Database Indefinite Indefinite Yes Mag Data Fields/Records are Patrol interrelated; GC§34090 Police/ PD-009 Traffic Control: Radar 2 years 2 years Mag, Ppr GC§34090 et seq. Patrol Calibration Records Department preference; Police/ PD-010 Watch Commander Logs 2 years 2 years Mag Preliminary drafts not retained in Patrol the ordinary course of business; GC 434090 et seq. PROFESSIONAL STANDARDS UNIT Department Policies& Procedures/Operation Police/ Minimum 5 Minimum 5 Mag, Mfr, Yes: After Department Preference; GC§ PSU PD-011 Directives/General Orders/ years years OD, Ppr S/I superseded 34090 et seq. Lexipol (Department Policies and Procedures) State requires for at least 5 years for Citizen's complaints; other Internal Affairs Investigations- State&Federal laws require Individual Officers/Complaints retention until final disposition of Police/ ;Against Officers Final Final formal complaint; State requires PSU PD-012 Disposition+ Disposition Mag, Ppr 2 years after action is taken; (May include criminal acts, moral 5 years 5 years Statute of Limitations is 4 years ;turpitude,complaints generated for misconduct; EVC§ from a citizen) 1045(b)(1), GC§§12946, 34090; VC§2547 Police/ Incident+5 Incident+5 Department preference; GC PSU PD-013 Internal Pursuit Critiques ears ears Mag, Ppr §34090 et seq. Police/ PD-014 1 Press Releases 2 years 2 years Mag, Ppr GC§34090 PSU Police/ gfications 5 years years Mag, pr PSU ea 5 M P Department preference; GC PD-015 '!Range Qualifications §34090 et seq. Police/ Incident+5 Incident+5 Department preference; GC PSU PD-016 Use of Force Review ears ears Mag, Ppr 12946, 34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 47 Ver. 2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy Active Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imolv a full file folder(e.g. last document+2 ears since destruction is normall erformed b file folder. Liti ation, complaints, claims public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). PROPERTY&EVIDENCE Police/ Follows the Follows the Retention Mag, Mfr, Yes: After 1 Department Preference; GC Property& PD-017 Crime Report Photos Period of the Retention of OD, Ppr S/I year §34090 Evidence ! the Evidenc Evidence Police/ Gun and Narcotics Destruction Minimum 2 Minimum 2 Department Preference; GC Property& PD-018 Mag' r p P Evidence Log (Documents related to) years years §34090 Police/ Lost&Found Property Property& PD-019 (Documents related to) 2 years 2 years Mag, Ppr GC§34090 Evidence Police/ Property& ! PD-020 Property& Evidence Logs 2 years 2 years Mag, Ppr GC§34090 Evidence Police/ Property& PD-021 Property Auctions 2 years 2 years Mag, Ppr GC§34090 Evidence RECORDS Police/ ;Administrative Reviews: Records PD-022 Citations/Notice to Appear-ALL 2 years 2 years Mag, Ppr GC§34090 et seq. (Parking, Marijuana, Moving) Police/ Mag Ppr Case Log Books/Proof of cases Minimum 2 Minimum 2 Department Preference; GC PD-023 'filed prior 1999 p years ears Mag, §34090 Police/ PD-024 Citations/Notice to Appear-ALL 2 years 2 years Mag, Ppr GC§34090 et seq. Records (Parking, Marijuana, Moving) VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 48 Ver. 2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-4 Office of Retention No.I Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy OFR Active Total Media 1=Import Paper after ( ) j (in office) (Records Retention Vital. Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imDlv a full file folder e. . last document+2 ears since destruction is normal1v Performed bv file folder. Liti ation complaints, claims, Public records act requests, audits and/or invest' ations sus end normal retention Periods retention resumes after settlement or completion). .CRIME REPORTS/INCIDENT Provided there are no j REPORTS: outstanding warrants, unrecovered identifiable items, ALL FELONIES& criminal deaths,they are not Police/ j MISDEMEANORS, Except Mag, Mfr, Yes: After 3 historically significant,and it is Records PD-025 !Those Specifically Mentioned 10 years 10 years Yes S/M/I not classified under PC§800& in the Schedule OD, Ppr years 290 and H&S§11850; Stat. of Limit. is 2 yrs; Destroy juvenile le.g., Burglaries, Domestic marijuana after agel8; H&S ,Violence,Traffic Collision, 5150, §11361.5, GC§34090, PC§802, Detention Reports, etc. PC§§187, 800 et seq. 'CRIME REPORTS/INCIDENT REPORTS: Individual petitions District Factually Innocent Petition Date of Date of Attorney; Sheriff concurs that Police/ Yes: Before Mag, Mfr, Yes: After 3 Records PD-026 Accepted Records Sealed Arrest+3 Arrest+3 Disosition OD P S/M/I person is factually innocent,then Pending Destruction-Except years years p , pr years seals record ("Shall" Destroy); ;those with outstanding stolen GC§34090; PC§851.8(a) property, including firearms, or lost firearms CRIME REPORTS/INCIDENT I REPORTS: Police/ Firearm Firearm Mag, Mfr, Yes: After 3 PD-027 Found or Found or Yes p S/M/I years PC§ 11108(b); GC§34090 Records !Firearms entered into CLETS Recovered Recovered OD, P r (if not Permanent Retention)- Found/Recovered Firearms VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 49 Ver.2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-5 Office of I Retention No. Record Records Description Retention/Disposition Comments/Reference Inactive Image: Destroy Active Total Media I=Import Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normal!y performed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investigations sus end normal retention penods retention resumes after settlement or completion). ;CRIME REPORTS/INCIDENT REPORTS: Department Preference; DOJ retains CACI (Child Abuse IF IMAGED,Capital Crimes/ Central Index) information for Homicides/Major Crimes/ adults 100 years; others have no Police/ Mag, Mfr, Yes: After 3 limitations on commencement of Records PD-028 Serious Felonies/Sex Crimes/ P P Yes OD, Ppr S/M/I years action; Courts keep permanently Child Abuse/Fatals/Felony PC§§261,286, 288, 288a, I DNA(Crimes Subject to the Death Penalty), Sex Crimes(PC 288.5,289, 289.5,290, 799, 803(h), 11169 et seq.; 11170(a); §288, 290, WIC 707(b)), PC WIC 707(b) 803(h) :CRIME REPORTS/INCIDENT Date of Date of I REPORTS: Incident+ 10 Incident+ 1 Police/ years, years, Yes: Before Mag, Mfr, Yes: After 3 PC§§11169(i); 11170(a); GC Records PD-029 ;Juvenile Child Abuse or If No If No Disposition OD, P r S/M/I p p years §34090 Severe Neglect Subsequent Subsequent Reports Reports CRIME REPORTS/INCIDENT REPORTS: Misdemeanor or Infraction - Police/ IAdult Marijuana-H&S Yes: Before Mag, Mfr, Yes: After 2 ("Shall' Destroy); H&S§11361.5; Records ! PD-030 §11357(b)(c)(d)(e)or H&S 2 years 2 years p p S/M/I years GC§34090 §11360(b) (with procedure in Disposition OD, P r I H&S§11361.5)- Except those (with outstanding stolen property, including firearms, or lost firearms VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 50 Ver. 2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-6 Office Recordf Retention No.,I Records Description Retention/Disposition Comments/Reference -_ _ --- Inactive Image: Destroy (OFR) Active (Records Total Vital? Media I=Import Paper after j (in office) Retention Options M=Mfr Imaged& j Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and implv a full file folder e. . last document+2 ears since destruction is normal/ erformed bv file folder. Liticiation. com taints claims, public records act requests, audits and/or investi ations sufor end normal retention en ds retention resumes after settlement or completion). CRIME REPORTS/INCIDENT REPORTS: Conviction Conviction Police j Misdemeanor or Infraction - or Arrest(if Arrest(if (Courts and other Agencies / IYes: Before Mag, Mfr, Yes: After 2 , Records PD-031 ;Juvenile Marijuana - H&S No No S/M/I Shall"Destroy); H&S§11361.5; I §l 1357(E)- Except those with Conviction) Conviction) Disposition OD, Ppr years GC§34090 outstanding stolen property, +2 years +2 years ;including firearms, or lost firearms CRIME REPORTS/INCIDENT 'REPORTS: Police/ Misdemeanor or Infraction Offender is Offender is (Courts and other Agencies Mag, Mfr, Yes: After 2 Records PD-032 Marijuana 11357 a Juvenile 18 Years 18 Years Yes S/M/I "Shall"destroy); H&S§ 11361.5 J § ( )- OD, Ppr years on School Grounds during Old Old et seq., 11357(e) School Hours(with procedure in H&S§11361.5 Until CLETS Until CLETS !CRIME REPORTS/INCIDENT Entry No Entry No Police/ PD-033 REPORTS: Longer Longer Yes: Before Mag, Mfr, S/M/I Yes: After 2 Department Preference; GC Records Exists- Exists- Disposition OD, Ppr years §34090 Missing Persons(Returned) Minimum 2 Minimum 2 ears years VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 51 Ver. 2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-7 Office of ' Record I Retention No.' Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive (OFR) Active (Records Total Media 1=Import Paper after Vital? (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and implv a full file folder(e.g. last document+2 ears since destruction is normal1v performed bv file folder. Liti ation, com taints, claims public records act requests, audits and/or invest! ations sus end normal retention en ds retention resumes after settlement or completion). !CRIME REPORTS/INCIDENT I REPORTS: Sealed Adult,Juvenile and Sealing Date Sealing Date wards of the Court must be Sealed records for juveniles and S Police/ PD-034 Ward Cases- Except those with +5 years +5 years(or Yes: Before Mag, Mfr, S/M/1 Yes: After 3 destroyed 5 years after sealing Records Except Child Abuse or Severe (Or Court Court Order) Disposition OD, Ppr years date; CCP§§340.1, GC§34090; Neglect, (Substantiated), Order) outstanding stolen property, W&I §§389(a), 781(d) including firearms, or lost '!firearms Police/ Crime Statistics/Uniform Crime Filed on line with the State; GC Records PD-035 ,Reports(UCR)-Summaries 2 years 2 years Mag, Ppr(BCS) §34090 Police/ Due Diligence Reports(for Records PD-036 warrants) 2 years 2 years Mag, Ppr GC§34090 Police/ Minimum 5 Minimum 5 Department preference; Meets PD-037 'False Alarm Reports Mag municipal government auditing Records years years requirements; GC§34090 et seq. Department preference Police/ PD-038 Field Investigation Cards(FI's) 2 years 2 years Mag, Ppr (Preliminary Drafts entered into Records ;After Entry into RMS RMS database); GC§34090 et seq. Police/ PD-039 NCIC Validation 2 years 2 years Mag, Ppr GC§34090 Records Officer Recordings: Mobile Those segments of videos that Police/ PD-040 Audio Video MAV Recordings- 1 year 1 year Mag are determined to be evidence Records are retained as evidence; GC that are NOT evidence §34090.6 et seq. Police/ Records PD-041 Pitchess Motions Notifications 2 years 2 years Mag, Ppr GC§34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 52 Ver. 2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-8 Office of Retention No.1 Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR Active Total Media 1=Import Paper after (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder e.q. last document+2 ears since destruction is noiTnallv performed by file folder. Liticiation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pen ds retention resumes after settlement or completion). Police/ PD-042 1Police RMS Database Indefinite Indefinite Yes Mag Data Fields/Records are Records interrelated; GC§34090 Department preference; Pursuant to PC§457.1 et seq.; required to Police/ Mag, Mfr, S/M/I Yes: After 5 register for life; If released from Records PD-043 Registrants: Arson-Adults 5 years P P OD, Ppr years CYA, records are destroyed after age 25 or sealing pursuant to W&I §781; GC§34090.7 Pursuant to PC§457.1 et seq.; If Police/ Registrants: Arson-Juveniles Age 25 or Age 25 or released from CYA, records are Mag, Mfr, Yes: After Records PD-044 released from California Youth Sealing Date Sealing Date OD, Ppr S/M/I QC&OD destroyed after age 25 or sealing Authority +5 years +5 years pursuant to W&I §781; GC §34090.7 Department Preference; Police/ Registration is required for 5 Records j PD-045 Registrants: Narcotic 5 years 5 years Mag, Ppr years; GC§34090, H&S§11590 et seq., H&S§11594(a) Police/ PD-046 Registrants: Sex Offenders- Mag, Mfr, Yes: After Department Preference; Records 1Adults P P OD, Ppr S/M/I QC&OD Pursuant to PC§290 et seq. P P Police/ Registrants: Sex Offenders- or Sealing or Sealing Mag, Mfr, Yes: After Pursuant to PC§290 et seq.; Records PD-047 !Juveniles Date+5 Date+5 OD, Ppr S/M/I QC&OD W&I §781; years(or years(or Court Order) Court Order When No When No Preliminary drafts not retained in Police/ PD-048 !Repossession Notices Longer Longer Mag, Ppr the ordinary course of business; Records 1 Required Required GC§34090 Police/ PD-049 Restraining Orders Expiration of Expiration of Mag, Ppr Court records Records the Order I the Order VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 53 Ver.2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-9 Office of Record Retention No.1: Records Description Retention/Disposition Comments/Reference Inactive Image: Destroy Active Total Media I=Import Paper after (OFR) (in office) (Records Retention Vital? Options M=Mfr Imaged& Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imolv a full file folder e. . last document+2 ears since destruction is normalivioerformed bv file folder. Litigation. complaints, claims, public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Police/ Subpoenas-provided by DA in Minimum 2 Minimum 2 Records PD-050 DocuPeak(Personal Appearance years years Mag, Ppr GC§34090 or Duces Tecum) Police/ 1 Records PD-051 Subpoenas(Records) 2 years 2 years Mag, Ppr UGC§34090 Police/ PD-052 'Video Recordings-City 1 year 1 year Mag Records"regular and ongoing Records !Operations operations"; GC§34090.6 Police/ Video Recordings-Parking When No When No Does not record"regular and Records PD-053 ;Lots, Public Areas Longer Longer Mag ongoing operations"; GC Required Required §34090.6 Police/ PD-054 Warrants(Recalled or Served) 2 years 2 years Mag Department preference;; GC Records 34090 et se . TEMPORARY HOLDING FACILITY Daily Inspection Log, Juvenile Police/Jail PD-055 Io 2 years 2 years Mag, Ppr GC§34090 Police/Jail PD-056 !Monthly Counts, Official Counts 2 years 2 years Mag, Ppr GC§34090 Police/Jail i PD-057 Video Recordings(Temporary 1 year 1 year Mag GC§34090.6(a) 'Holding Facility) TRAINING Background File/Recruitment City preference; 29 CFR Police/ Separation + Separation + 1602.31 & 1627.3(b)(ii), GC§§ Training PD-058 File- Police Employees& Police 5 years 5 years Mag, Ppr 3105, 12946, 34090;29 USC j Interns(SUCCESSFUL) 1113 Background File/Recruitment Department preference; 29 CFR Police/ PD-059 File-Police Employees& Police 3 yeas 3 years Mag, Ppr 1602.31 & 1627.3(b)(ii), GC§§ Training Interns(UNSUCCESSFUL) 3105, 12946, 34090;29 USC 1113 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 54 Ver.2.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-10 Office of Record Retention No.! Records Description Retention/Disposition Comments/Reference Inactive Image. Destroy Active Total Media 1=Import Paper after (OFR) (Records Vital?(in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normallyPerformed b file folder. Liti ation, complaints, claims public records act requests, audits and/or investi ations sus end normal retention penods retention resumes after settlement or completion). Personnel Files- Police City preference;29 CFR 1602.31 Police/ Separation + Separation + Before Training PD-060 Department Employees/ 5 years 5 years Separation Mag, Ppr & 1627.3(b)(ii), GC§§3105, Training Files(By Employee) 12946, 34090; 29 USC 1113 Police/ Personnel Training Evaluations/ When No When No Preliminary drafts not retained in PD-061 Longer Longer Mag, Ppr the ordinary course of business; Training j Daily Observation Reports Required Required GC§34090 et seq. Department preference; Files maintained separately; Claims Police/ !Respirator Fit Tests- Police Separation+ Yes: Until Mag, Mfr, Yes:After can be made for 30 years for Training PD-062 ;Personnel Separation 30 years 30 years Separation OD, Ppr S Separation toxic substance exposure;8 CCR + 1 year §3204(d)(1)et seq.,29 CFR 1910.1020(d)(1)(i), GC§§12946, 34090 Police/ Separation+ [Separation + BeforeCity preference;29 CFR 1602.31 TrainingPD-063 Training File 5 years years Separation Mag, Ppr & 1627.3(b)(ii), GC§§3105, I 12946, 34090; 29 USC 1113 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 55 Ver.2.0 RECORDS RETENTION SCHEDULE: UTILITIES - CUSTOMER SERVICE Page UT/CS-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media I=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S—Scan QC'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 years), since destruction is normally performed by file folder. Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). CUSTOMER SERVICE/UTILITY BILLING ELECTRICITY FIBER OPTICS GAS WASTE WATER WATER Utilities/ Department preference; Meets Accounts Receivable-Customer Mag, Mfr, Yes: After Customer CS-001 Services/Utility Billing 5 years 5 years OD, Ppr S/I QC&OD auditing standards; GC§34090 Service et seq. Utilities/ Department preference; Meets 'Adjustments/Abnormal Read Mag, Mfr, Yes: After Customer CS-002 Reports 5 years 5 years OD, Ppr S/I QC&OD auditing standards; GC§34090 Service et seq. Copies- Copies- City CS-003 Bankruptcies When No When No Mag, Ppr GC§34090.7 Attorney ! Longer Longer Required Required Department preference(The Billing Registers, Payment When No When No Business License& Permit Lead Dept. CS-004 Registers,Adjustment Registers Longer Longer Mag, Ppr Database is the original; reports Required Required are considered drafts or copies); GC§34090 Collections/Collection Agency Department preference; Lead Dept. CS-005 Case Files& Statements/ 7 years 7 years Mag, Ppr Delinquencies remain on credit reports for 7 years; GC§34090 j Delinquent Accounts et seq. When No When No Utilities/ !Conservation Programs/ Longer Longer Department Preference; GC Customer CS-006 ;Rebates/Incentives Required- Required- Mag, Ppr §34090 Service Minimum 5 Minimum 5 years years Utilities/ Customer Service/Utility Billing Indefinite Indefinite Data Fields/Records are Customer CS-007 Database Yes Mag interrelated; GC§34090 Service VERNON, CA 01995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 56 Ver. 2.0 RECORDS RETENTION SCHEDULE: UTILITIES - CUSTOMER SERVICE Page UT/CS-2 Office of !Retention No. I Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Active Total Media I=Import Paper after (OFR) (in office) (CenteRecor)s Retention Vital? Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Liti ation, complaints, claimspublic records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). When No When No Utilities/ I Development Service Files/ Longer Longer Mag, Mfr, Yes(after Department preference; GC Customer CS-008 Required- Required- S/I Service Review&Comment Minimum 2 Minimum 2 OD, Ppr QC) §34090 years years Utilities/ Hydrant Meters-Rentals/ End of End of Department preference; GC Customer ! CS-009 Rental+2 Rental+2 Ppr Service (Temporary(Pools, Construction) years ears §34090 Utilities/ Lock Box Reports/Payment Mag, Mfr, Yes: After Department preference; Meets Customer CS-010 Detail Reports 5 years 5 years OD, Ppr S/I QC&OD auditing standards; GC§34090 Service et seq. Utilities/ Customer !Reports to DOE(De Ener ) (Department of Mag, Mfr, Yes: After Department preference; Meets Service OR'I CS-011 5 years 5 years S/I auditing standards; GC§34090 Utilities/ gy OD, Ppr QC&OD et seq. Electricity? Lead Dept. CS-012 Returned Checks/NSF Checks 5 years 5 years Mag, Ppr Department Preference; Meets auditing standards;GC§34090 Service Address Files (Application Credit Report, Close Close of , Utilities/ ! Accountt in Account in Inspections, Water Liability Mag, Mfr, Yes: After Department preference; GC Customer CS-013 Forms, Requests for Power Load Good Good OD, Ppr S/I QC&OD §34090 et seq. Service Data, Control Cards,Work Standing +2 Standing+2 Orders, etc.) years years Utilities/ iWhen No When No Preliminary drafts not retained in Customer '', CS-014 Stubs/Payment Coupons Longer Longer Mag, Ppr the ordinary course of business; Service ;(returned with payment) Required Required GC§34090 Utilities/ When No When No Preliminary drafts not retained in Customer CS-015 Turn Ons and Turn Offs Longer Longer Mag, Ppr the ordinary course of business; Service Required Required GC 34090 VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 57 Ver. 2.0 RECORDS RETENTION SCHEDULE: UTILITIES - CUSTOMER SERVICE Page UT/CS-3 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference - - Inactive Image: Destroy Active Total Media I=Import Paper after (OFR) (Records Vital? (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2years), since destruction is normally erformed by file folder. Litigation. complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention Periods retention resumes after settlement or completion). Utilities i Utility Adjustment Slips/Meter Department preference; Meets Mag, Mfr, Yes: After Customer I CS-016 Mis-reads, Credits/Debits to 5 years 5 years S/I auditing standards; GC§34090 Service j Accounts OD, Ppr QC&OD et seg. VERNON, CA ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 58 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - ELECTRICITY Page UT/EL-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy (OFR) Active Center, Total Vital? Media I=Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records requests, and/or investi ations suspend normal retention eriods retention resumes after settlement). ELECTRICITY Utilities/Electricity EL-001 AQMD Fuel Reports 5 years 5 years Mag, Ppr 40 CFR 70.6; GC§34090 Lead Dept. EL-002 AQMD Permits(Generators, 5 years 5 years Mag, Ppr 40 CFR 70.6; GC§34090 etc.) Bulk Power Log Sheets/ Utilities/ EL-003 Purchasing/Suppliers 10 years 10 ears Ma P Department Preference; GC y Mag,Electricity (Evaluations, Financial Data. §34090 Reports or Studies) Capital Improvement Projects (CIP): Administration File/ Department preference; Some NOT Scanned(Electricity) Completion+ grant funding agencies require Project Administration, Certified 10 years or 10 years or audits; Statute of Limitations for Payrolls, Community Outreach After Funding After Funding Errors&Omissions is 10 years; / Utilities/ Notifications, Project Upon Agency Yes: Until Statute of Limitations: Contracts ltd EL-004 Agency Audit, if Mag, Ppr &Spec's=4 years,Wrongful Electricity Schedules, Progress meetings, Completion required, Audit, if Compee Death=comp. +5 years, Punch Lists, Real Estate whichever is required, Developers=comp. + 10 years; Appraisals, RFIs& whichever is Responses,Temporary longer longer Statewide guidelines propose Easements, Construction termination+5 years; CCP§337 Manager's Logs, Daily et. seq., GC§34090 Inspections, Dailv Logs, etc. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 59 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - ELECTRICITY Page UT/EL-2 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy OFR Active Total Vital? Media I Import Paper after ( ) (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints auditspublic records requests, and/or investi ations sus end normal retention periods retention resumes after settlement. Capital Improvement Projects (CIP): Permanent File/ j Scanned Records(Electricity) Specifications/RFP& Addenda,Agreement/ Department preference; retained Contract, Successful Proposal, Mag, Yes: for disaster preparedness Utilities/ Change Orders, Geotechnical Upon Yes: Until EL-005 P P Mfr, OD, S/I Complet. + purposes; Statewide guidelines Electricity Studies&Reports, Operations Completion Completed Ppr 10 years propose Permanent for &Maintenance Manuals(O&M Infrastructure plans; GC§34090 Manuals,) Materials Testing Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies, Submittals, Surveys, etc. 8 CCR 5157(d)(14) &(e)(6);29 Lead Dept. EL-006 Confined Space Entries 2 years 2 years Ppr CFR 1910.146(e)(6); GC 34090 Utilities/ EL-007 Cooling Tower Activity Sheets 2 years 2 years Mag, Ppr GC§34090 Electricity and Reports Utilities/ Crane Maintenance Reports Electricity EL-008 (Fixed/Stationary) 5 years 5 years Ppr 8 CCR 344.80&81; GC§34090 Utilities/ EL-009 Daily Activity Reports 2 years 2 years Mag, Ppr GC§34090 Electrici Utilities/ Department of Energy(DOE) Mag, Yes(after Department Preference-, GC Electricity EL-010 Licenses and Regulatory P P Mfr, OD, S/I QC) §34090 Correspondence41 Ppr Utilities/ EL-011 Department of Energy(DOE) 5 years 5 years Mag, Ppr Department Preference; GC Electricit 1 Reports 34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 60 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - ELECTRICITY Page UT/EL-3 Office of ; Retention No. Records Description Retention/Disposition Comments/Reference Record ---- ---- Records Image: Destroy OFR Active Total Vital? Media I=Import Paper after ( ) (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imDlv a full file folder e. . last document+2 ears since destruction is normal!y Performed bv file folder. Liti ation claims com taints auditspublic records requests, and/or investiq q qations sus end normal retention periods retention resumes after settlement). Mag, Yes: After Department Preference(copies); City Clerk EL-012 Easements P P Mfr, OD, S QC GC§34090.7 Pr Electric Utility Service Utilities/ Equipment Requirements When No When No Electricity EL-013 Committee(EUSERC)-Alf Longer Longer Mag, OD Not City Records Records Required Required Utilities/ Electricity Drawings/As-Builts/ Mag' Yes after Department Preference Electricity EL-014 Record Drawings P P Mfr, OD, S/I QC) (Engineering has originals); GC Ppr §34090.7 Utilities/ 1 Equipment Records(Manuals, Disposal of Disposal of Department Preference; CCP Electricity EL-015 Tests, Inspections, Studies, Equipment+ Equipment+ Mag, Ppr Reports) 2 ears 2 vears §337 et. Seq., GC§34090 Utilities/ EL-016 Facility Histories/Infrastructure P P Mfr, OD, S/I ag Yes(after Department Preference; GC Electricity Design QC Ppr ) §34090 Utilities/ Department Preference; GC Electricity EL-017 Generation Reliability Reports 5 years 5 years Mag, Ppr 34090 Utilities/ Electricity EL-018 Generation Reports 2 years 2 years Mag, Ppr GC§34090 Generator Operation Logs& Lead Dept. EL-019 Inspections- Fixed/ 3 years 3 years Mag, Ppr AQMD Rule 1470; GC§34090 Stationary Generators Generator Operation Logs& AQMD Rule 1470; Form Lead Dept. EL-020 Inspections- Portable/ 5 years 5 years Mag, Ppr 400—E-13a instructions; GC Emergency Generators §34090 Utilities/ EL-021 Joint Pole Agreements P P Mfr OD, S/I Electricity Yes(after Department Preference; GC Ppr QC) §34090 Utilities/ Joint Pole Committee Industry When No When No Electricity EL-022 Committee-All Records Longer Longer Mag, Ppr Not City Records Required Required VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 61 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - ELECTRICITY Page UT/EL-4 Office of 1Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy Active Total Media I Im ort Paper after (OFR) Center (in office) , Retention Vital? Options M=Mfr Imaged& OD or Mfr S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imolv a full file folder e. . last document+2 ears since destruction is nr)rmqllv performed by file folder. Liti ation claims com laints auditspublic records requests, andlor investi ations suspend normal retention periods retention resumes after settlement. Utilities/ Joint Pole Invoices/Accounts Mag, Department Preference(meets Yes(after Electricity EL-023 Receivable municipal government auditing P r ) requirements); GC§34090 Utilities/ Joint Pole Locations, History, Replacement Replacement Mag' Yes(after Department Preference-, GC Electricity EL-024 Maintenance(Card Files) of the Pole of the Pole Mfr, OD, S/I QC §34090 pr Utilities/ EL-025 Load Records 10 years 10 years Mag, Ppr Department Preference; GC Electricity §34090 Utilities/ I - Power Operations Rep 10 orts/ Department Preference;GC Electricity EL026 Outage Reports years 10 years Mag, Ppr §34090 Utilities/ EL-027 Power Outage Report Indefinite Indefinite Mag, Ppr Data is interrelated; GC§34090 Electricity Database Utilities/ EL-028 Power Production Operating 10 years 10 years Mag, Ppr Department Preference; GC Electricity Data Logs/Diaries 34090 Power Trading/Power Department Preference(auditing Utilities/ EL-029 Scheduling Completion+ 2 years Completion+ Mag, Ppr standards are 5 years); GC Electricity 3 years 5 years (Check Out Worksheets) §34090 Power Trading/Power Utilities/ EL-030 Scheduling 3 years 4 years 5 years Mag, Ppr Department Preference; GC Electricity §34090 (Confirmations, Invoices) Power Trading/Power Utilities/ 1 EL-031 Scheduling 3 years 4 years 5 years Mag, Ppr Department Preference; GC Electricity §34090 (Generation Worksheets) Power Trading/Power Utilities/ % EL Scheduling 3 years 4 years 5 years Mag, Ppr Department Preference; GC Electricity §34090 Pathin Sheets VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 62 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - ELECTRICITY Page UT/EL-5 Office of i Record Retention No. Records Description Retention/Disposition Comments/Reference Records Image: Destroy (OFR) Active Center, Total Vital? Media 1=Import Paper after j (in office) Retention Options M=Mfr Imaged& OD or Mfr S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records requests, and/or investi ations sus end normal retention penods retention resumes after settlement. Power Trading/Power Utilities/ EL-033 Scheduling 2 years 2 years Mag, Ppr Department Preference; GC Electricity §34090 (Voice Recordings) Utilities/ Regulatory Agency Audits: Electricity& EL-034 CEC,CFTC, CPUC, EPA, 10 years 10 years Mag, Ppr Department Preference; GC Gas FERC, NERC, NPDES,WECC, §34090 etc. Regulatory Agency Utilities/ Compliance Reports& Department Preference; GC Electricity& EL-035 Confirmations: CEC,CFTC, 10 years 10 years Mag, Ppr §34090 Gas CPUC, EPA, FERC, NERC, NPDES, WECC, etc. Regulatory Agency When No When No Utilities/ Correspondence: Longer Longer Department Preference; GC Electricity& EL-036 CEC,CFTC, CPUC, EPA, Required- Required- Mag, Ppr §34090 Gas FERC, NERC, NPDES,WECC, Minimum 10 Minimum 10 etc.. years years Utilities/ Regulatory Agency Inspections: CEC,CFTC, Mag' Yes (after Department Preference; GC Electricity& EL-037 10 years 10 years Mfr, OD, S/I Gas CPUC, EPA, FERC, NERC, Ppr QC) §34090 NPDES, WECC, etc. Utilities/ Regulatory Agency Licenses: Electricity& EL-038 CEC,CFTC, CPUC, EPA, P P MfMr, OD, S/I Yes(after Department Preference; GC Gas FERC, NERC, NPDES, Ppr QC) §34090 WECC,etc. Utilities/ Sampling/Circular&Strip Department Preference; GC Electricity EL-039 Charts 5 years 5 years Mag, Ppr 34090 Utilities/ SCADA Database(Electricity) Data is interrelated; system Electricity EL-040 (Supervisory Control and Data Indefinite Indefinite Yes Mag qualifies as a"trusted system'; Acquisition) GC 34090 12168.7 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 63 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - ELECTRICITY Page UT/EL-6 Office of '; Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy Active Total Media I=Import Paper after (OFR) Center, Retention Vital? Options M=Mfr Imaged& (in office) OD or Mfr S=Scan C'd? If the record is not listed here refer to the Retention for City-1/Vide Standards Retentions be in when the act is com leted and im,91v a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims com laints audits ublic records requests, and/or investigations sus end normal retention periods retention resumes after settlement). Utilities/ i EL-041 Log DA Books Printouts/Reports/ Electricity 10 years 10 years Mag, Ppr Preliminary drafts; GC§34090 I! Log Bo Stormwater Monitoring/ Department Preference; Monitoring records required for 3 Utilities/ NPDES Monitoring and g q Electricity EL-042 inspection (from Former 5 years 5 years Mag, Ppr years;40 CFR§§122.21, Electricity Generation Plant) 122.41, 122.44; CCP§337 et seg. Stormwater: NPDES Annual Mag Department preference; Utilities/ EL-043 Reports(from Former 5 years 5 years Mfr, OD, S/I Yes: After Monitoring records required for 3 Electricity QC years;40 CFR§§122.21, Electricity Generation Plant) Ppr 122.41, 122.44 Department Preference; Stormwater: NPDES Permits Monitoring records required for 3 Utilities/ EL-044 from Former Electricity Expiration+5 Expiration+ Yes: Until Ma Ppr Electricity ( y years years Expiration g' p years;40 CFR§§122.21, Generation Plant) 122.41, 122.44; CCP§337 et seq. Utilities/ ' EL-045 Switching Order Logs/System 10 years 10 years Mag, Ppr Department preference; GC Electricity Logs 34090 Utilities/ AQMD Rule 1470; Form Electricity EL-046 Turbine Activity Reports 5 years 5 years Mag, Ppr 400—E-13a instructions; GC 34090 Division Work Orders/Service Providing EL-047 Requests CMMS DATABASE Indefinite Indefinite Mag Data is interrelated; GC§34090 Service/ (Computerized Maintenance Work i Management System) Work Orders/Service Division Requests-All Information When No When No Providing EL-048 Entered in CMMS Database Longer Longer Mag Ppr Preliminary drafts(the database Service/ is the original); GC§34090 Work Required Required (Paper drafts VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 64 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - ELECTRICITY Page UT/EL-7 Office of j Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy (OFR) Active Center, Total Vital? Media 1=Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records requests, and/or investi ations sus end normal retention periods retention resumes after settlement. Work Orders/Service Requests-NOT entered in CMMS Database(or partial Division information entered into CMMS City Preference; CCP§§338 et Providing EL-049 Database) 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC Service/ Work (Division providing service §§945.6, GC§34090 retains originals; Division requesting service is considered a co VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 65 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - FIBER OPTICS Page UT/F0-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy (OFR) Active Center, Total Vital? Media I=Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records requests, and/or investigations suspend normal retention periods retention resumes after settlement). FIBER OPTICS Capital mprovemen Projects (CIP): Administration File/ Department preference; Some NOT Scanned -Fiber Optics Completion + grant funding agencies require Proiects 10 years or 10 ears or audits; Statute of Limitations for After Funding y After Funding Errors&Omissions is 10 years; Utilities/ Project Administration,Certified Upon Agency Agency Yes: Until Statute of Limitations: Contracts Fiber Optics FO-001 Payrolls,Community Outreach/ Completion Audit, if Audit, if Completed Mag, Ppr &Spec's=4 years,Wrongful Notifications, Project Schedules, required, required, Death=comp. +5 years, Progress meetings,Punch Lists, whichever is whichever is Developers=comp. + 10 years; Real Estate Appraisals, RFIs& longer Statewide guidelines propose Responses, Res Temporary longer p p ry termination+5 years; CCP§337 Easements,Construction et. seq., GC§34090 Manager's Lops.Dailv Ins ections, Capital Improvement Projects (CIP): Permanent File/ Scanned Records-Fiber Optics Proiects Specifications/RFP&Addenda, Department preference; retained Agreement/Contract,Successful Ma Yes: for disaster preparedness Utilities/ Proposal, Upon Yes: Until g' p p FO-002 p sal, Change Orders, P P Mfr, OD, S/I Com let. + Fiber Optics Geotechnical Studies&Reports, Completion Completed P purposes; Statewide guidelines Ppr 10 years propose Permanent for (O&M Manuals,)Materials Testing Infrastructure plans; GC§34090 Reports,Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos,Soil Reports,Studies,Submittals, Surve s.etc. Utilities/ FO-003 FCC Licenses/Regulatory P P Mfr OD, S/I Yes(after Department Preference; GC Fiber Optics Licenses Ppr QC) §34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 66 Ver. 3.0 RECORDS RETENTION SCHEDULE: UTILITIES - FIBER OPTICS Page UT/FO-2 Office of I Retention No. Records Description Retention/Disposition Comments/Reference Record 1 Records Image: Destroy (OFR) Active Center, Total Vital? Media I=Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder e.a. last document+2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records requests, and/or investi ations suspend nom7al retention periods retention resumes after settlement. Utilities/ FO-004 Fiber Optic Customers(Internet Close+5 Close+5 Mag, Ppr Department Preference(meets Fiber Optics & Dark Fiber ears ears auditing standards); GC§34090 Utilities/ Fiber Optic Drawings/As-Builts Mag' Yes(after Department Preference Fiber Optics ! FO-005 /Record Drawings P P Mfr, OD, S/I QC) (Engineering has originals); GC Ppr 34090.7 Utilities/ Fiber Optic Pipelines/Projects- Mag, Department Preference Yes (after Fiber Optics FO-006 Installation,Transmission, P P Mfr, OD, S/I QC (Engineering has originals); GC Distribution Ppr ) §34090.7 Utilities/ FO-007 Fiber Optic Plans Superseded Superseded Mag, Ppr Department Preference; GC Fiber Optics +2 ears +2 ears §34090 When No When No Utilities/ FO-008 Regulatory Agency Reonger red- Required- Mag, Ppr Department Preference; GC Fiber Optics Correspondence Minimum 10 Minimum 10 §34090 years years Utilities/ Regulatory Filings Department Preference; GC Fiber Optics I FO-009 5 years 5 years Mag, Ppr §34090 FCC etc. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 67 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES / GAS Page UT/GAS-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy Active OD or Mfr Total Media I=Import Paper after (OFR) (in office) Center, Retention Vital? Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records requests, and/or investigations suspend normal retention periods retention resumes after settlement). GAS Capital mprovemen Projects Department preference; Some (CIP): Administration File/ Completion+ grant funding agencies require NOT Scanned-Gas Projects 10 years or audits; Statute of Limitations for After Funding 10 years or Errors&Omissions is 10 years; Project Administration,Certified Agency After Funding Payrolls,Community O Statute of Limitations: Contracts Utilities/Gas'! GAS-001 Y y Outreach/ Upon Audit, if Agency Yes: Until Mag, Ppr &Spec's=4 years,Wrongful Notifications, Project Schedules, Completion required, Audit, if Completed Death=comp. +5 years, Progress meetings,Punch Lists, whichever is required, Developers=comp. + 10 years; Real Estate Appraisals, RFIs& longer whichever is Statewide guidelines propose Responses,Temporary longer termination+5 ears; CCP 337 Easements,Construction Y § Manager's Logs,Daily Inspections, et. seq., GC§34090 Capital Improvement Projects (CIP): Permanent File/ Scanned Records-Gas Projects Specifications/RFP&Addenda, Department preference; retained Agreement/Contract,Successful Upon Yes: Until Mag, Yes: for disaster preparedness Utilities/Gas' GAS-002 Proposal,Change Orders, P P Mfr, OD, S/I Complet. + purposes; Statewide guidelines Geotechnical Studies&Reports, Completion Completed Ppr 10 years propose Permanent for Operations&Maintenance Manuals Infrastructure plans; GC§34090 (O&M Manuals,)Materials Testing Reports,Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports,Studies,Submittals, Survevs.etc. 8 CCR 5157(d)(14)&(e)(6);29 Lead Dept. GAS-003 Confined Space Entries 2 years 2 years Ppr CFR 1910.146(e)(6); GC §34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 68 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES / GAS Page UT/GAS-2 Office of 1Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy (OFR) Active Center, Total Vital? Media I=Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits,public records requests, and/or investi ations sus end normal retention periods retention resumes after settlement. When No When No Department Preference; CEA i Longer Longer requires 5 years for futures Utilities/Gas GAS-004 Counterparties/Swaps Required- Required- Mag, Ppr commission merchants(FCMs) Minimum 5 Minimum 5 or introducing brokers(IBs);GC years years §34090 Mag, Yes: After Department Preference(copies); CityClerk GAS-0 p ( p )i 05 Easements P P Mfr, OD, S Ppr QC GC§34090.7 Employee Certifications(Gas City preference;29 CFR j Operator Qualifications& Separation + Separation + Before 1602.31 & 1627.3(b)(ii), GC§§ Utilities/Gas GAS-006 Tests, Employee Fusion 5 years 5 years Separation Mag, Ppr 3105, 12946, 34090; 29 USC Certifications 1113 Environmental/Electrical Mag, Yes: After Department preference; GC Utilities/Gas GAS-007 Equipment Disposal- 2 years P P Mfr, OD, S QC §34090 et seq. Hazardous Material Ppr Equipment Records(Manuals, Disposal of Disposal of Department Preference; CCP Utilities/Gas GAS-008 Tests, Inspections, Studies, Equipment+ Equipment+ Mag, Ppr Reports) 2 years 2 ears §337 et. Seq., GC§34090 Facility Histories/Infrastructure Mag' Yes(after Department Preference; GC Utilities/Gas GAS-009 Design P P Mfr, OD, S/I g Ppr QC) §34090 Gas Drawings/As-Builts/ Mag' Yes(after Department Preference Utilities/Gas'I GAS-010 P P Mfr, OD, S/I (Engineering has originals); GC Record Drawings Ppr QC) 34090.7 Mag, Yes(after Department Preference; GC Utilities/Gas j GAS-011 Gas Emergency Operating Plan Superseded Superseded Mfr, OD, S/I QC) §34090 Pr When No When No Gas Load Forecasts, Longer Longer Department Preference; GC Utilities/Gas GAS-012 Required- Required- Mag, Ppr §34090 Imbalances Minimum 5 Minimum 5 ears vears VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 69 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES / GAS Page UT/GAS-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy (OFR) Active Center, Total Vital? Media I=Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records requests, and/or investi ations sus end normal retention periods retention resumes after settlement). When No When No Longer Longer Utilities/Gas GAS-013 Gas Management Operations Required- Required- Mag, Ppr Department Preference; GC Minimum 5 Minimum 5 §34090 ears years Gas Operating, Inspection& Maintenance Plans& Installation Procedures (DIMP-Distribution Integrity Mag, Yes(after Department Preference; GC Utilities/Gas GAS-014 Management Plan, Public P P Mfr, OD, S/I QC) §34090 Awareness Program, Natural Ppr Gas System Operator Qualification Plan, Gas Integrity Management Program) Utilities/Gas j GAS-015 Gas Pipelines-Cathodic P P Mf OD, S/1 Yes(after Department Preference; GC Protection QC) §34090 Pr Gas Pipelines- Integrity Mag' Yes(after Department Preference; GC Utilities/Gas; GAS-016 P P Mfr, OD, S/I ) § Management Program QC 34090 Pr Mag, Yes (after Department Preference; GC Utilities/Gas; GAS-017 Gas Pipelines- Pipeline Patrol 10 years 10 years Mfr, OD, S/I QC) §34090 Mag, Ppr Public Works' GAS-018 Gas Projects- Installation, P p Mfr, OD, S/I Yes(after Department Preference (Engineering has originals); GC /Engineering Transmission, Distribution r, r QC) 34090.7 Gas Regulator Station Mag' Yes(after Department Preference; GC Utilities/Gas GAS-019 P P Mfr, OD, S/I Calibration, Retest& Reset QC) §34090 Ppr VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 70 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES / GAS Page UT/GAS-4 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Records Image: Destroy Active Total Media I=Im ort Paper after (OFR) (in office) Center, Retention Vital? Options M=Mfr I aged& OD or Mfr S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records requests, and/or investi ations sus end normal retention periods retention resumes after settlement). Public Works Gas System Design, Regulator Mag' Yes(after Department Preference /Engineering li GAS-020 P P Mfr, OD, S/I (Engineering has originals);GC g' g System Charts Ppr OC) 34090.7 Gas System Reports (Distribution, Integrity Mag' Yes(after Department Preference; GC Utilities/Gas' GAS-021 Management, Leakage, & P P Mfr, OD, S/I QC) §34090 Transmission) Ppr Utilities/Gas q _ Gas Vaults- Inspections and Mag' Yes(after Department Preference; GC G S 022 OD S/I Maintenance P P Mfr, , Ppr QC) §34090 Pipeline Maintenance/Valve Mag, Yes(after Department Preference; GC Utilities/Gas j GAS-023 Maintenance/Inspections/ P P Mfr, OD, S/I QC) §34090 Gas Odorization Tests Ppr Mag, Department Preference(meets Utilities/Gas GAS-024 Rates/Tariffs 5 years 5 years Mfr, OD, S/I Yes(aftermunicipal government auditing Ppr QC) standards); GC§34090 et seg. Utilities/ Regulatory Agency Audits: Electricity& GAS-025 CEC,CFTC, CPUC, EPA, 10 years 10 years Mag, Ppr Department Preference; GC Gas FERC, NERC, NPDES, WECC, §34090 etc. Regulatory Agency Utilities/ Compliance Reports& Department Preference; GC Electricity& GAS-026 Confirmations: CEC,CFTC, 5 years 5 years Mag, Ppr §34090 Gas CPUC, EPA, FERC, NERC, NPDES, WECC, etc. Regulatory Agency When No When No Utilities/ Correspondence: Longer Longer Department Preference; GC Electricity& GAS-027 CEC,CFTC, CPUC, EPA, Required- Required- Mag, Ppr §34090 Gas FERC, NERC, NPDES, WECC, Minimum 10 Minimum 10 etc.. I years I years VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 71 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES / GAS Page UT/GAS-5 Office of ! Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy Active Total Vital? Media I=1m ort Pa er after (OFR) (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits,public records requests, and/or investi ations sus end normal retention periods retention resumes after settlement. Utilities/ Regulatory Agency Inspections: CEC,CFTC, Mag' Yes(after Department Preference; GC Electricity& GAS-028 10 years 10 years Mfr, OD, S/I Gas CPUC, EPA, FERC, NERC, QC) §34090 Ppr NPDES, WECC, etc. Utilities/ Regulatory Agency Licenses: CEC,CFTC, CPUC, EPA, Mag' Yes(after Department Preference; GC Electricity& GAS-029 FERC, NERC, NPDES, P P Mfr, OD, S/I QC) §34090 Gas Ppr WECC, etc. Southern California Gas Agreement Administration/ Mag Department Preference(City Utilities/Gas'i GAS-030 Intrastate Transmission Service P P Mfr, OD, S/1 Yes (after Clerk has originals of all QC) agreements); GC§34090 et Agreements/Firm Access Ppr Rights(FAR) seq. Southern California Gas Mag' Yes(after Department Preference(meets Utilities/Gas GAS-031 Franchise Statements 5 years 5 years Mfr, OD, S/I QC) municipal government auditing Ppr standards); GC§34090 et seg. Department preference; Underground Service Alerts Required for 3 years; GC Lead Dept. GAS-032 5 years 5 years Mag, Ppr (USA's) §§4216.2(d)&4216.3(d); GC §34090 Division Work Orders/Service Providing GAS-033 Requests CMMS DATABASE Indefinite Indefinite Mag Data is interrelated; GC§34090 Service/ (Computerized Maintenance Work Management System) Division Work Orders/Service Providing Requests-All Information When No When No Preliminary drafts(the database Service/ GAS-034 Entered in CMMS Database Longer Longer Mag Ppr is the original); GC§34090 Work Required Required (Paper drafts VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 72 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES / GAS Page UT/GAS-6 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Records Image: Destroy Active Total Media I=Im ort Paper after (OFR) Center, Vital? p p (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years), since destruction is normal!y performed by file folder. Litigation, claims, complaints, audits,public records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Work Orders/Service Requests-NOT entered in CMMS Database(or partial Division information entered into CMMS City Preference; CCP§§338 et Providing I; GAS-035 Database) 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC Service/ Work (Division providing service §§945.6, GC§34090 retains originals; Division requesting service is considered a co VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 73 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES - WATER Page UT/WTR-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy Active Total Media I=Import Paper after (OFR) Center, (in office) , Retention Vital. Options M=Mfr Imaged& OD or Mfr S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Liticiation. claims complaints, auditspublic records requests and/or investigations suspend normal retention periods retention resumes after settlement). WATER DISTRIBUTION POTABLE WATER Capital Improvement Projects (CIP): Administration File/ Department preference; Some NOT Scanned-Water. lti + grant funding agencies require Proiects 10 years or Compeon audits; Statute of Limitations for or After Funding Aft yearser Funding Aft Errors&Omissions is 10 years; n Utilities Project Administration,Certified Upon Agency A Statute of Limitations: Contracts ', Agency Yes: Until WTR001 Payrolls,Community Outreach/ Audit, if Mag, Ppr &Spec's=4 years,Wrongful - Water Dist. Notifications, Project Schedules, Completion required, Audit, if Completed Death=comp. +5 years, Progress meetings,Punch Lists, whichever is required, Developers=comp. + 10 years; Real Estate Appraisals, RFIs& longer whichever is Statewide guidelines propose Responses,Temporary longer 337 termination+5 ears; CCP Easements,Construction y § Manager's Logs, Daily Inspections, et. seq., GC§34090 Daily Logs, etc. Capital Improvement Projects (CIP): Permanent File/ Scanned Records-Water Proiects Specifications/RFP&Addenda, Department preference; retained Utilities Agreement/Contract,Successful Upon Yes: Until Mag, Yes(after for disaster preparedness ' Water Dist. WTR-002 Proposal,Change Orders, P P Completed Mfr, OD, S/I purposes; Statewide guidelines Completion Geotechnical Studies&Reports, P pleted QC) Operations&Maintenance Manuals PPr propose Permanent for Infrastructure plans; GC§34090 (O&M Manuals,)Materials Testing Reports,Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos,Soil Reports,Studies,Submittals, Surveys,etc. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 74 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES -WATER Page UT/WTR-2 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record -- - ------ - - -- - - --- --- _ - -. Records Image: Destroy (OFR Active Total Center, Vital? Media 1=Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normalivnerforrned by file folder. Liticiation. claims complaints, auditspublic records requests, and/or investi ations sus end normal retention periods retention resumes after settlement). Utilities Chains of Custody/Water Water Dist. WTR-003 Analysis/Reports&Sampling: 5 years 5 years Mag, Ppr 40 CFR 141.33(a) Bacteriological and Organics Chains of Custody/Water Analysis/Reports&Sampling: Mag, State and Federal laws require Utilities Anal Y P P 9 Yes(after Water Dist. WTR-004 Chemical (Includes Chlorine 10 years 10 years Mfr, OD, S/I QC) 10 years;40 CFR 141.33(a); 22 Residuals) Ppr CCR§64470 Utilities Chains of Custody/Water Mag, Yes(after Required for 12 years or 2 Water Dist. WTR-005 Analysis/Reports&Sampling: 12 years 12 years Mfr, OD, S/I compliance cycles;40 CFR Lead&Copper Ppr QC) 141.91 8 CCR 5157(d)(14)&(e)(6);29 Lead Dept. WTR-006 Confined Space Entries 2 years 2 years Ppr CFR 1910.146(e)(6); GC §34090 Customer Concerns/Customer 5 years is required in State and Utilities WTR-007 Complaints: Odor/Taste/ 5 years 5 years Mag, Ppr Federal law for any complaints; Water Dist. 40 CFR 122.410)(2)&40 CFR Visual Complaints 141.33(b); 22 CCR 64453 a Utilities I Copies- Copies- Customer WTR-008 Development Review When No When No Mag, Ppr GC§34090.7 Service Comments Longer Longer Required Required Environmental Agencies/ When No When No LonUtilities WTR-009 Regulatory Agencies Requ9er ed - Requiger red- Mag, Ppr Department Preference; GC Water Dist. §34090 (EPA, DHS, etc.) Minimum 2 Minimum 2 years ears Utilities Fire Hydrant Flow/Pressure Department Preference(data is Water Dist. WTR-010 Tests(Development or Indefinite Indefinite Mag, Ppr interrelated); GC§34090 Maintenance)- Database VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 75 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES -WATER Page UT/WTR-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy Active Total Media [ Import Paper after (OFR) (in office) Center, Retention Vital? Options M=Mfr Imaged& OD or Mfr S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). When No When No Utilities Fire Hydrant Flow/Pressure Longer Longer Department Preference(valves Water Dist. WTR-011 Tests(Development or Required- Required- Mag, Ppr are exercised every year); GC Maintenance)-Paper Minimum 2 Minimum 2 §34090 ears years Utilities WTR-012 Log Book(Pump Houses) 7 years 7 years Mag Ppr Department Preference; GC Water Dist. ! §34090 Utilities Monitoring records required for 3 Water Dist. WTR-013 NPDES Monitoring Reports 3 ears ears 3 Mag, P r (Well Site Discharges) y y P years in Federal law;40 CFR Or HEALTH?,' 122.21, 122.41 Utilities Department Preference; Water Dist. WTR-014 NPDES Permits(Well Site Expiration +3 Expiration+ Yes: Until Ma P r Monitoring records required for 3 Or HEALTH' Discharges) years years Expiration g' p years;40 CFR§§122.21, 122.41; CCP 337 et seg. Utilities Expiration+2 Mag Department preference; GC W TR-015 Operating Permit(Wells) P P Mfr, OD, S/I No Water Dist. years Ppr §34090 Utilities Operations&Maintenance Disposal of Disposal of Mag, Ppr Department preference; GC Water Dist. WTR-016 Manuals 10&M Manuals Equipment E ui ment 34090 Utilities Mag' Yes: After Department preference; GC Water Dist. WTR-017 Reservoir Maintenance P P Mfr, OD, S QC §34090 Pr Utilities SCADA Database(Water) Data is interrelated; system Water Dist. WTR-018 (Supervisory Control and Data Indefinite Indefinite Yes Mag qualifies as a"trusted system"; Acquisition) GC 34090, 12168.7 Underground Service Alerts Required for 3 years; GC Lead Dept. WTR-019 (USA's) 3 years 3 years Mag, Ppr §§4216.2(d)&4216.3(d); GC 34090 Utilities Urban Water Management Mag' Yes: After Department Preference(copies) Water Dist. WTR-020 Plans(UWMP) P P Yes MfP OD, S 10 years GC§34090.7 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 76 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES -WATER Page UTMTR-4 Office of 1 Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy (OFR) Active Center, Total Vital? Media I Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imp1v a full file folder e.a. last document+2 ears since destruction is normallv perfonned bv file folder. Liti ation claims complaints, auditspublic records—requests, nd/or investi ations sus end normal retention eniods retention resumes after settlement. Utilities I WTR-021 Videos-Water Wells, Repairs, P P Mag Department preference; GC Water Dist. Reservoirs, Tanks,etc. §34090 When When Superseded- Superseded- Utilities When No When No Water Dist. WTR-022 Vulnerability Assessment Longer Longer Mag, Ppr Confidential; GC§34090 Required- Required- Minimum 2 Minimum 2 ears years Department Preference; Meets Utilities Water Production Reads/ California Department of Health Water Dist. WTR-023 Reports to State DHS&DWR 5 years 5 years Mag, Ppr p ( ) requirements(3 years); GC 34090 Department preference; State Utilities Water Quality Reports/ Mag' Yes(after law and federal laws require 10 Water Dist. WTR-024 Consumer Confidence Reports 12 years P P Mfr, OD, S/I p Ppr QC) years;40 CFR 141.33(a); 22 CCR§64470 Copies- Copies- When No When No Mag' Send originals to City Clerk; GC City Clerk WTR-025 Water Supply Agreements Longer Longer Yes Mfr, OD, S No §34090.7 Required Required Ppr Utilities WTR-026 Water Survey Books 12 years P P Mag, Ppr Department preference; GC Water Dist. 34090 Utilities Well Records(includes Mag, Yes: After Department preference; GC Water Dist. ! WTR-027 Destroyed or Abandoned P P Mfr, OD, S Wells Ppr QC §34090 Division Work Orders/Service Providing I WTR-028 Requests CMMS DATABASE Indefinite Indefinite Mag Data is interrelated; GC§34090 Service/ (Computerized Maintenance Work i 1 Management System) VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 77 Ver. 4.0 RECORDS RETENTION SCHEDULE: UTILITIES -WATER Page UT/WTR-5 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record -- - -- -- _--- - - - - --- - Records Image: Destroy (OFR) Active Center, Total Vital? Media I Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Ci -Wide Standards Retentions be in when the act is com leted and imolv a full file folder e. . last document+2 ears since destruction is normall erformed bV file folder. Liti ation claims com laints auditspublic records requests, and/or investi ations sus end normal retention periods retention resumes after settlement). Work Orders/Service Division Requests-All Information When No When No Providing WTR-029 Entered in CMMS Database Longer Longer Mag Ppr Preliminary drafts(the database Service/ Required Required is the original); GC§34090 Work (Paper drafts) Work Orders/Service Requests-NOT entered in CMMS Database(or partial Division information entered into CMMS City Preference; CCP§§338 et Providing WTR-030 Database) 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC Service/ §§945.6, GC§34090 Work (Division providing service j retains originals; Division requesting service is considered a co VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 78 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - BUILDING & SAFETY Page PW/BS-1 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Litigation, complaints, claimspublic records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). BUILDING&SAFETY Public Works/ ! I Mag' Yes: After Department preference; GC Building& BL-001 Address Assignments P P Mfr, OD, S QC&OD §34090 Safety Ppr P Public Works/ Mag, Building& BL-002 Address Files/Building Permits P P Yes (all) Mfr, OD, S Yes: After GC§34090, H&S§19850 Safety P Public Works/ P Department Preference- Building& BL-003 Building Permit Database Indefinite Indefinite Yes(all) Mag Data is interrelated; GC Safety §34090, H&S§19850 Upon Upon Department preference; Public Works/ Building Plans-Cancelled or Expiration, Expiration, Mag, Yes: After Preliminary drafts not Building& BL-004 Withdrawn QC &OD Cancellation Mfr, OD, S retained in the ordinary Safety Cancellation or Ppr course of business; CBC or Withdrawal Withdrawal §104.7; H&S 19850, GC Department Preference; Law Building Plans- Finalled- requires for the life of the Public Works/ ; INDUSTRIAL,COMMERCIAL, building for commercial and MULTI-FAMILY DWELLINGS, Mag' Yes: After common interest dwellings Building& BL-005 P P Yes(all) Mfr, OD, S only; Statewide guidelines SafetyPLACES OF PUBLIC QC&OD ACCOMMODATION,TENANT Ppr propose 2 years for blueprints &specifications; CBC 104.7 IMPROVEMENTS & 107.5, H&S§19850, GC §34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 79 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - BUILDING & SAFETY Page PW/BS-2 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and implv a full file folder e. . last document+2 ears since destruction is normaliv pertormed b file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department preference; Site Plans Only for dwellings less j than 2 stories, garages& Public Works/ Building Plans- Finalled-SINGLE Mag appurtenances, Building& BL-006 FAMILY RESIDENTIAL-SFR and P P Yes Mfr, OD, S Yes: After farms/ranches, 1-story with Safety APPURTENANCES Ppr QC&OD bearing walls less than 25'; CBC requires 180 days from completion date; CBC 104.7 & 107.5, H&S§19850, GC §34090 Public Works/ I Mag, Yes: After Department Preference; GC Building& BL-007 Certificate of Occupancy(CofO) P P Yes (all) Mfr, OD, S QC&OD §34090 Safety Ppr Public Works/ Certificate of Occupancy CofO Expiration+2 Expiration+ Yes until Department Preference; GC Building& '� BL-008 p y( ) p p ( Mag, Ppr p Safety TEMPORARY years 2 years expired) §34090 Construction Notices/ Public Works/ Inspection Notices When No When No PreliminaryDrafts; GC Building& I BL-009 Longer Longer Mag, Ppr Safety (correction notices, compliance Required Required §34090 orders, stop work notices, etc.) Public Works/ ! Electrical Service Inspection/ Mag' Yes: After Building& BL-010 Meter Release P P Yes(all) Mfr, OD, S QC&OD GC§34090 SafetyPpr Public Works/ Industrial Wastewater-Approval Mag, Building& BL-011 Letters, Flow Calculations, P P Mfr, OD, S/I Yes: After Department preference; GC Safety Correspondence, Count Permits P r QC&OD §34090 Public Works/ i When No When No Preliminary Drafts(the Building& BL-012 Reports: Building Activity Longer Longer Mag, Ppr database is the original); GC Safety Required I Required 1 1§34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 80 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - BUILDING & SAFETY Page PW/BS-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Destroy Image: Inactive Paper Active Total Media I=1m ort (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-ode Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normal!y performed by file folder. Litigation. complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention pettiods retention resumes after settlement or completion). Public Works/ Requests& Permissions to Mag, Yes: After Department preference; GC Building& BL-013 Receive Copies of Plans(to and P P Mfr, OD, S QC&OD §34090 Safety from Architects) Ppr Public Works/ Uniform Building Codes/California When No When No Building& BL-014 Building Codes Longer Longer Mag, Ppr GC§50022.6 SafetyRequired Required VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 81 Ver. 2.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / CODE ENFORCEMENT Page PW/CE-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Destroy Inactive Image: paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liticiation. com laints claimspublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). CODE ENFORCEMENT Public Works/ Yes: Until Mag' Yes: After Department preference; GC Code Enforce- CE-001 2-year Vacancy Notices P P Resolution Mfr, OD, S r,,p QC&OD §34090 ment Public Works/ !! Minimum Minimum Mag, Code Enforce- ! CE-002 Administrative Citation Hearings/ Resolution + Resolution+ Yes: Until Mfr, OD, S Yes: After Department preference; GC ment Hardship Waivers 5 years 5 ears Resolution P r QC&OD §34090 Code Enforcement/Abatement Case Files/Administrative Department preference(may Citations/Compliance Orders/ include Fire Code violations, Public Works/ Vehicle Abatement(Includes Y es: Until Minimum Minimum Mag, which are required for 5 Code Enforce- CE-003 Resolution + Resolution+ Mfr, OD, S Yes: After years); Case is open until ment appeals and Code Enforcement 5 years 5 years Resolution Ppr QC&OD satisfactorily resolved (some Complaint Letters) cases are not resolved); CFC Excludes Liens(Send to City Clerk) §104.3.4, GC§34090 Public Works/ Code Enforce- ! CE-004 Code Enforcement Database Indefinite Indefinite Yes Mag Data Fields/Records are ment I interrelated; GC§34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 82 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / DEVELOPMENT SERVICES Page PW/DS-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). DEVELOPMENT SERVICES Assessment Rolls/Lighting and Public Works/ Landscape Districts/Parcel Tax Department preference; Development DS-001 Rolls/Special District Assessment 5 years 5 years Mag, Ppr Meets auditing standards; GC Services Rolls(to Tax Assessor for Tax §34090 et seq. Rolls) Public Works/ Department preference Development DS-002 Parcel Tax Assessments (Public 5 years 5 years Yes: Until Mag, Ppr (meets municipal government Services Safety Tax) Completion auditing standards); GC§ 34090 Public Works/ ! Parcel Tax Exemption Yes: Until Department preference; GC§ Development DS-003 Applications&Correspondence 10 years 10 years Completion Mag, Ppr 34090 Services (Public Safety Tax) Private Land Development Projects/Job Files: Administration File Statute of Limitations for Errors&Omissions is 10 Public Works/ Construction Inspections, years; Statute of Limitations: Development DS-004 Correspondence, Photos, Private Lab Upon Completion+ Yes: Until Contracts&Spec's=4 years, Services p Verifications,Testing Lab Final Completion 10 years 10 years Completed Mag, Ppr Wrongful Death=comp. +5 Reports,etc. years, Developers=comp. + 10 years; CCP§337 et. seq., Examples: CUPS, Lot Line GC§34090 Adjustments, Parcel Maps, Precise Alignment. Specific Plans. Split Lots. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 83 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / DEVELOPMENT SERVICES Page PW/DS-2 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive Paper OFR Active Total ? Media I=Import ( ) (in office) cos(Rerd Retention Vital. Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e.q. last document+2 ears since destruction is normally performed by file folder. Litigation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). nva a Lana Uevelopment Projects/Job Files: Permanent Files Drainage,Grading Plans, Rights of Department reference; Public Works/ Way,Soil Reports,Stormwater,etc. Mag, p p Development DS-005 Upon Yes: Until Yes: After retained for disaster Services Completion P P Completed Mfr, OD, S/I QC&OD preparedness purposes; GC Dedications, Easements, Ppr §34090 Abandonments(City Clerk is OFR) Examples: CUPs, Lot Line Adjustments, Parcel Maps, Precise VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 84 Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page PW/ENG-1 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C' If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normallyperformed by file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). ENGINEERING Public Works/ Mag, Department Preference; GC Engineering ENG-001 Aerial Maps(Analog/Historical) P P Mfr, OD, S/I No §34090 1 71Ppr Public Works/ Mag' Yes: After Department Preference; GC Engineering ENG-002 Benchmarks/Center Line Ties P P Mfr, OD, S/I QC&OD §34090 Ppr Public Works/ Mag' Yes: After Department Preference; GC Engineering ENG-003 Bridge Inventory Surveys P P Mfr, OD, S/I QC&OD §34090 Ppr Department preference; Capital Improvement Projects 5 years or Completion + Some grant funding agencies (CIP): Maintenance Projects(All After 5 years or require audits; Statute of Records) Funding After Funding Limitations for Errors& Public Works/ ENG004 Upon Agency Agency Yes: Until Omissions is not applicable; - Engineering Examples of Maintenance Projects: Completion Audit, if Audit, if Completed Mag, Ppr Statute of Limitations: Painting, Pavement Overlays, Repairs, required, required, Contracts&Spec's=4 years; Ramps, Re-Roof,Sidewalk Repairs, whichever is whichever is Statewide guidelines propose Slurry Seals,etc. longer longer termination+5 years; CCP §337 et. seq., GC§34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 85 Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page PW/ENG-2 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Destroy Inactive Image: paper OFR Active TotalrVitar? Media I=Import( ) (in office) (Recor) RetentionOptions M=Mfr Imaged& Center S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is com leted and im I a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints. claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Capital Improvement Projects Department preference; (CIP): Administration File/NOT Some grant funding agencies Scanned-Where Engineering is 10 years or Completion+ require audits; Statute of the Lead Department After 10 years or Limitations for Errors& Funding After Funding Omissions is 10 years; Public Works/ ENG-005 Project Administration,Certified Upon Agency Agency Yes: Until Statute of Limitations: Engineering Payrolls,Community Outreach/ Completion Audit, if Audit, if Completed Mag, Ppr Contracts&Spec's=4 years, Notifications, Project Schedules, required, required, Wrongful Death=comp. +5 Progress meetings, Punch Lists, Real whichever is whichever is years, Developers=comp. + Estate Appraisals, RFIs&Responses, longer longer 10 years; Statewide Temporary Easements,Construction guidelines propose Manager's Logs, Daily Inspections, termination +5 years; CCP Daily Logs, etc. 337 et. seq., GC§34090 Capital Improvement Projects (CIP): Permanent File/Scanned Records-Where Engineering is the Lead Department Department preference; Specifications/RFP&Addenda,copy retained for disaster Public Works/ of Agreement or Contract, Successful Upon Yes: Until Mag, Yes: purposes; ENG-006 P P Mfr, OD, S/I Complet. preparedness p p Engineering Proposal,copy of Change Orders, Completion Completed Statewide guidelines propose Geotechnical Studies&Reports, Ppr + 10 years Permanent for Infrastructure Operations&Maintenance Manuals(O&M Manuals,)Materials Testing plans; GC§34090 Reports,Grading Permits,Hazardous Materials Plans,copy of Notice of Completion, Photos,Soil Reports, Studies,Submittals.Surveys.etc. City Clerk ENG-009 City Property/Grant Deeds/ P P Mfr ag OD, S Yes: After Department Preference License Agreements 1— 1Ppr QC&OD (copies); GC§34090.7 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 86 Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page PW/ENG-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper OFR Active Total � Media I=Import ( ) (in office) (Records Retention Vital. Options M=Mfr after Center) S=Scan Imaged& C' If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normal/ erformed by file folder. Litigation, complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Public Works/ ENG-010 Construction Inspection Database Indefinite Indefinite Yes Mag Data Fields/Records are Engineering interrelated; GC§34090 Correspondence- Regulatory Department preference; Yes: While Mag, Public Works/ Agencies Not Related to a CIP Minimum 2 Minimum 2 Yes: After Some correspondence from Engineering ENG-011 Active Mfr, OD, S Regulatory Agencies need to Health Department, etc.) 9� 9 (State& Federal Agencies, EPA, years years Issues Ppr QC be retained for long periods of time; GC 34090 Copies- Copies- When No When No Mag, City Clerk ENG-012 Covenants&Agreements Longer Longer Yes(all) Mfr, OD, S No GC§34090.7 Required Required Ppr Deeds, Easements, Liens, Rights Department preference; of WayMag, Finals are maintained by City City Clerk ENG-013 P P Yes(all) Mfr, OD, S Yes: After Clerk; Department file may Ppr QC&OD include correspondence; GC Send all originals to the City Clerk 34090 et se . Public Works/ ENG-014 Design&Construction Standards- P p Mf OD, S/I Yes: After Department Preference; GC Engineering Authored by the City Ppr QC&OD §34090 Drawings, Maps, Plans and Drafts should be destroyed; Record Drawings, Large-Format Ma Some maps are also retained Public Works/ g' by Planning; Selected maps Engineering ENG-015 Drawings, Survey Record Maps, P P Yes(all) Mfr, OD, S No are retained in Public Works Built"Capital Improvement Project"As Ppr for administrative purposes; GC 34090 34090.7 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 87 Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page PW/ENG-4 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally erformed by file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Encroachment Permits/ Excavation Permits: Temporary Public Works/ (Street Permits,Temporary Final/ Final/ Yes: Until Mag' Yes: After Engineering ENG-016 Construction, Sidewalk Repairs, Completion+ Completion + Completion Mfr, OD, S QC GC§34090 Traffic Control, Utility Cuts etc.) 2 years 2 years Ppr Includes Insurance Certificates Encroachments- Permanent/ Public Works/ Backup for License Agreements Mag, Yes: After Department Preference; GC Engineering ENG-017 for Permanent structures in the P P Mfr, OD, S g g City's Right of Way (City Clerk Ppr QC&OD §34090 keeps final License Agreements) Public Works/ ENG-018 Engineering Permits Database Indefinite Indefinite Yes M Data Fields/Records are Engineering Mag interrelated; GC§34090 Public Works/ Engineering Reviews(Easements, Mag, Yes: After Department Preference; GC Engineering ENG-019 Covenants, Lot Line Adjustments, P P Mfr, OD, S/I g g Lot Mergers, etc. Ppr QC&OD §34090 Public Works/ Engineering Studies/Surveys- Mag, Yes: After Department Preference; GC Engineering ENG-020 Preliminary Studies/Project P P Mfr, OD, S/I g g Assessments Ppr QC&OD §34090 Public Works/ Geotechnical and Soil Reports; Mag, Yes: After Department Preference; GC Engineering ENG-021 Hydrology Reports(Authored on P P Mfr, OD, S g g behalf of the City) Ppr QC&OD §34090 Public Works/ Mag' Yes: After Department Preference; GC Engineering ENG-022 Grading Plans P P Mfr, OD, S g g QC &OD §34090 Ppr Public Works/ Master Plans: Bikeway, Park, Mag Yes: After Department preference; Engineering ENG-023 Pavement, Sewer,Traffic, P P Mfr, OD, S QC&OD Drafts should be destroyed; Transportation, etc. Ppr GC§34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 88 Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page PW/ENG-5 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C' If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and impIv a full file folder e. . last document+2 ears since destruction is normal/ erformed bV file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Public Works/ Mag' Yes: After Department Preference; GC Engineering ENG-024 Railroads(Historical Information) P P Mfr, OD, S/I g g QC&OD §34090 Ppr Required for a minimum of 5 Public Works/ Mag, years;40 CFR 122.410)(2); Engineering& ENG-025 Stormwater-Illicit Discharges 5 years 5 years Mfr, OD, S/I Yes(after SWRCB Order 2006-03;40 Fire Ppr 2 years) CFR§§122.21, 122.41, 122.44; GC§34090 Department Preference; Public Works/ ENG-026 Street Sweeping Contract Reports Monitoring records required Engineering (NPDES Reporting) 5 years 5 years Mag, Ppr for 3 years;40 CFR §§122.21, 122.41, 122.44; CCP§337 et seg. Mag, Yes: After Department Preference Police ENG-027 Traffic Collision Reports 5 years 5 years Mfr, OD, S/I QC&OD (copies); GC§34090.7 Ppr Public Works/ Department preference; GC Engineering ENG-028 Traffic Counts 15 years 15 years Mag Ppr §34090 Public Works/ ENG-029 Traffic Requests(Red Curbs, 15 years 15 years Mag Ppr Department preference; GC Engineering Crosswalks, Stop Signs, etc.) §34090 Department preference Public Works/ (required every 5 years, but Engineering ENG-030 Traffic Speed Surveys 15 years 15 years Mag Ppr 9 g can be extended to 7 or 10 _years); GC§34090 Underground Service Alerts Required for 3 years; GC Lead Dept. ENG-031 (USA's) 3 years 3 years Mag, Ppr §§4216.2(d)&4216.3(d), 34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 89 Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page PMENG-6 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (Records Vital? after (in office) Center) Retention Options M=Mfr Imaged 8� S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation comp/ ints claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Underground Storage Tanks- USTs(City Owned) Ma Public Works/ Life of the Life of the g, Yes: After 23 CCR 2712(b), H&S Engineering ENG-032 Tank Tank Mfr, OD, S 1 year §25284.2(i)r, Design, Installation, Repairs, pr Lining, Upgrades VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 90 Ver. 2.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / FLEET MAINTENANCE - GARAGE Page PW/G-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Litigation, complaints, claimspublic records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). FLEET MAINTENANCE/GARAGE Public Works/ Fleet Maint./ FL-001 Garage Inspections 2 years 2 years Mag, Ppr GC§34090 Garage Pre-Trip Inspections/DOT Public Works/ Program/CHP Inspections/ Fleet Maint./ FL-002 Vehicle Safety Checks/Daily 2 years 2 years Ppr GC§34090; 3 CCR 1234(3) Garage Vehicle Inspections/Daily Equipment Checks Public Works/ 22 CCR 66266.130(c)(5), Fleet Maint./ FL-003 Used Oil Disposal 3 years 3 years Mag, Ppr H&S§25250.18(b), Garage 25250.19(a)(3)et seq. Department Preference; If a motor carrier, required for 18 Vehicle&Equipment History Files, Disposal of Disposal of months after vehicle is sold; Public Works/ Vehicle or Vehicle or CHP requires life of vehicle; Fleet Maint./ FL-004 AQMD Certifications, Maintenance, Equipment+ Equipment+ Mag, Ppr OSHA requires 1 year; 8 Garage Registrations, Safety Certifications, 2 years 2 years CCR§3203(b)(1);49 CFR etc. 396.21(b)(1);49 CFR 396.3(c); CCP§337 et. Seq., GC§34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 91 Ver. 2.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - HOUSING Page PW/HOU-1 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged 8� C' If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and impiv a full file folder e. . last document+2 ears since destruction is normally performed bv file folder. Liti ation com laints claims nyhfir records act requests, audits and/or investi ations suspend normal retention Periods retention resumes after settlement or completion). HOUSING City-Owned Property-Successful Expiration of Expiration of Department preference Public Works/ HOU-001 Lease Tenants (Application, Credit Lease+5 Lease+5 Mag, Ppr (meets municipal government Housing Reports, etc. auditing standards); GC p ) years years §34090 Public Works/ City-Owned Property- Housing HOU-002 Unsuccessful Lease Tenants 2 years 2 years Mag, Ppr GC§34090 (Application, Credit Reports, etc.) Preliminary drafts not HOU-003 Public Works/ Foreclosure Notices/Notices of When No When No retained in the ordinary HousingDefaults NOD Longer Longer Mag, Ppr (NOD) Required Required course of business; GC §34090 HUD requires 5 years after the project completion; Housing Programs: Affordable After the 5 years after documents imposing Housing Projects, Rehabilitation, Affordability the recapture/resale restrictions CDBG-funded Housing Projects, Period Affordability are 5 years after the etc. Terminates, Period affordability period Public Works/ or the Terminates, Mag, Yes: terminates; Uniform Admin. Housing HOU-004 5 years Mfr, OD, S/I When g WITH aRecapture/Resale Written or the Written Ppr Inactive Requirements for Grants to Restriction Agreement Agreement Local Governments is 3 years Terminates, Terminates, from expenditure report; Deeds are sent to City Clerk Whichever Whichever is statewide guidelines propose is Longer Longer 4 years;24 CFR 85.42, 92.508(a)&(c)& 570.502(a)(16),29 CFR VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 92 Ver. 2.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - HOUSING Page PW/HOU-2 Office of 1 Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) ) Retention Options M=Mfr Imageder & Center S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Litigation, complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Housing Programs: Affordable HUD requires 5 years after Housing Projects, Rehabilitation, the agreement terminates; CDBG-funded Housing Projects, Consistent with Consolidated etc. Loan Pay-off Loan Pay-off Mfr, OD, S/I Plan Requirements; Required Public Works/ HOU-005 OR OR Mag' Yes: After for 3-4 years from Housing WITHOUT aRecapture/Resale Forgiveness Forgiveness QC&OD expenditure or performance Restriction +5 years +5 years Ppr report;24 CFR 85.42, 92.508(a)&(c)& Deeds and Insurance are sent to 570.502(a)(16),29 CFR CitV Clerk 97.42, GC§34090 Loan Applications/Potential Public Works y Bu ers Denied, Cancelled or / ; Housing HOU-006 Withdrawn (First Time Home 2 years 2 years Mag, Ppr GC§34090 Buyers, Life/Safety, Rehabilitation, HOME, etc. Public Works/ Department preference; GC Housing HOU-007 Property Files/HOAs P P Mag, Ppr 34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 93 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / MAINTENANCE Page PW/MNT-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). MAINTENANCE Lead Dept. MNT-001 AQMD Permits(Generators, etc.) 5 years 5 years Mag, Ppr 40 CFR 70.6; GC§34090 Public Works/Maint. MNT-002 Facility Inspections 2 years 2 years Mag, Ppr GC§34090 Generator Operation Logs& AQMD Rule 1470; GC Lead Dept. MNT-003 Inspections- Fixed/Stationary 3 years 3 years Mag, Ppr §34090 Generators Generator Operation Logs& AQMD Rule 1470; Form Lead Dept. I MNT-004 Inspections- Portable/ 5 years 5 years Mag, Ppr 400—E-13a instructions; GC Emerciencv Generators §34090 Public Works/ Mag' Yes: After Department Preference; GC Maint. MNT-005 Graffiti Removal Consent P P Mfr, OD, S QC&OD §34090 Pr Lead Dept. MNT-006 Operations&Maintenance Life of Facility Life of Ma Ppr Department Preference; GC Manuals(O&M Manuals) or Equipment Facilit or g' p §34090 et. seq. Stormwater: Operation & Department preference; plans Maintenance(Catch Basins, Field, Ma must be updated every 5 Public Works/ g' Yes: After years, audits are required Maint. MNT-007 General Cleaning, Open Channels, 5 years 5 years Mfr, OD, S/I QC&OD every 2 years; SWRCB Order Slots, Stormwater Treatment Ppr 2006-03;4 122.21, 122.41, Measures and Trash Cleaning) 122.44; GC§34090 Division Work Orders/Service Requests CMMS DATABASE(Computerized Data is interrelated; GC Providing I MNT-008 Indefinite Indefinite Mag § Service/Work Maintenance Management 34090 System) Work Orders/Service Requests- Division All Information Entered in CMMS When No When No Preliminary drafts(the Providing MNT-009 Database Longer Longer Mag Ppr database is the original);GC Service/Work Required Required §34090 (Paper drafts) VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 94 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / MAINTENANCE Page PW/MNT-2 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference � Destroy Image: Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Vital?Retention Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normall performed b file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Work Orders/Service Requests- NOT entered in CMMS Database (or partial information entered into Division CMMS Database) City Preference; CCP§§338 Providing MNT-010 5 years 5 years Mag Ppr et seq., 340 et seq.,342, GC Service/Work §§945.6, GC§34090 (Division providing service retains originals; Division requesting service is considered a co VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 95 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - PLANNING Page PW/PL-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper Active Total Media I=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2years), since destruction is normally performed by file folder. Litigation, com laints claimspublic records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). PLANNING Public Works/ When No When No er Lon Ma Plannin +187:2 PL-001 Alcohol Beverage Control License Lon Longer g Applications(ABC Applications) g g 9 Ppr r (Non-Records) 2 Required Required Public Works/ ! Annexations/Boundaries/ I I Mag' Yes: After Planning PL-002 Consolidations/LAFCO 5 years P P Mfr, OD, S/I QC&OD Land Records; GC §34090 Ppr Public Works/ When No When No (Non-Records-Census PL-003 Census, Demographics Longer Longer Mag, Ppr Planning Required Required Bureau is OFR) Environmental Determinations: Usually filed in the project file; Environmental Impact Reports Final environmental Public Works/ (EIRs), Negative Declarations, Mag' Yes: After determinations are required Planning PL-004 etc. P P Mfr, OD, S g ) Ppr QC&OD to be kept a"reasonable period of time"; 14 CCR Inside City boundaries §15095(c); GC§34090 Environmental Determinations: Environmental Impact Reports Non-records; EIRs and ) g Public Works/ (EIRs , Negative Declarations, When No When No PL-005 Longer Longer Ppr Negative Declarations within Planning etc.) Required Required the City Boundaries are with the project file Outside City boundaries Public Works/ ! General Plan, Elements and Mag, Yes: After City Clerk Maintains all Planning PL-006 Amendments P P Mfr, OD, S/1 QC&OD Agenda Packets Ppr Permanently; GC 34090.7 Public Works/ PL-007 Historic Preservation Survey, P p Mfr OD, S/I Yes: After Department Preference; GC Planning Evaluations and Designations Ppr QC&OD §34090 Public Works/ Master Plans, Specific Plans, Land Mag, Yes: After Department Preference; GC Planning PL-008 Use Plans, Land Use Maps, P P Mfr, OD, S/I QC&OD §34090 Zoning Maps,etc. I I Ppr VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 96 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - PLANNING Page PW/PL-2 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record � Image: Destroy Inactive Paper OFR Active Total Media I=Import ( ) (in office) (Records Retention Vital? Options M=Mfr after Center) Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normallvverformed bv file folder. Liticiation, complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Public Works/ When No When No Preliminary drafts not Planning PL-009 Materials Boards Longer Longer Mag, Ppr retained in the ordinary Required Required course of business; GC Public Works/ Department Preference- Planning PL-010 Planning Applications Database Indefinite Indefinite Yes(all) Mag Data is interrelated; GC 34090, H&S§19850 Planning Project Files- Approved Permanent i Entitlements(Application& Supporting Documents) (Includes Associated CEQA Noticing, Conditions of Approval, Department preference; Final Public Noticing, Environmental environmental determinations Public Works/ Determinations, Staff Reports, Mag' Yes: After are required to be kept a PlanningPL-011 Plans& s 3 years P P Yes Mfr, OD, S Maps)(Other originals QC&OD "reasonable period of time"; kept by City Clerk) Ppr 14 CCR§15095(c); GC§§34090, 34090.7 Examples: Conditional Use Permits (CUPS),Correspondence, Design Review, Lot Line Adjustments,Parcel Maps, Planned Unit Developments (PUD),Site Plans,Tentative Subdivisions,Variances,Zone etc. Public Works/ Mag' Yes: After Department Preference; GC Planning PL-012 Redevelopment Projects P P Mfr, OD, S es QC&OD §34090 Pr Public Works/ 1 Minimum 2 Minimum 2 Mag' Yes: After Department Preference; GC Planning PL-013 Special Studies Mfr, OD S 9 , ,years years QC&OD §34090 Pr VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 97 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - PLANNING Page PW/PL-3 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Image: Destroy Active Inactive Total Media I-Im ort Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged& C'd� If the record is not listed here refer to the Retention for City--Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liticiation, complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Temporary Entitlements/ Temporary Permits (Approved& Public Works/ % Unapproved): Minimum 2 Minimum 2 Yes: Mag, Yes: After Department preference; PL-014 DuringMfr, OD, S Planning years years Even Ppr QC&OD GC§§34090 Christmas Tree Lots, Pumpkin Lots, Banner Permits, etc. Public Works/ Mag' Yes: After Planning PL-015 Zoning Letters 5 years P P Mfr, OD, S/I QC&OD Land Records; GC §34090 Ppr Public Works/ li Zoning Maps /Land Use Maps Mag' Department Preference; GC Planning PL-016 P P Yes all Mfr, OD, S No (Historically Significant) (all) P r §34090.7 p Public Works/ Zoning Ordinance Amendments, Mag' Yes: After Department Preference Planning PL-017 Reclassifications/Zone Change P P Yes Mfr, OD, S/I g g Ppr 1 year (copies); GC§34090.7 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 98 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - SOLID WASTE Page PW/SOLID-1 Office of Retention No. Records Description Retention 1 Disposition Comments/Reference Record Destroy Image: Inactive Paper OFR Active Total ? Media I=Import ( ) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged 8� C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears since destruction is normally performed by file folder. Litigation, complaints, claims ublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). UTILITIES/SOLID WASTE Public Works/ SOLID-001 Solid Waste Liens/Garbage Liens 10 years P P Mag, Ppr GC§34090 et seq. Solid Waste & Releases Public Works/ ! Solid Waste Reduction/AB 939 Department preference; GC Solid Waste SOLID-002 Compliance/Tonnage Reports 10 years 10 years Mag, Ppr P 9 P §34090 et seq. VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 99 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS - STORMWATER Page PW/STORM-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy mpor Inactive Paper Active Total Media 1=It (OFR) (in office) (Records Retention Vital? after Center Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here refer to the Retention for City-Wide Standards Retentions be in when the act is completed, and imply a full file folder e. . last document+2 ears since destruction is normally performed by file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). PUBLIC WORKS-STORMWATER/NPDES Department preference; plans Public Works/ must be updated every 5 Stormwater STORM-001 Stormwater: MS4 Monitoring 5 years 5 years Mfrfr,, O OD, S/I Yes: After years, audits are required QC&OD every 2 years; SWRCB Order Ppr 2006-03;4§§122.21, 122.41, 122.44; GC§34090 Department preference; plans must be updated every 5 Public Works/ " Mag' Yes: After years, audits are required Stormwater STORM-002 Stormwater: MS4 Permits 5 years 5 years Mfr, OD, S/I QC&OD every 2 years; SWRCB Order Ppr 2006-03;4§§122.21, 122.41, 122.44; GC§34090 Department preference; Public Works/ Stormwater: NPDES Annual Mag' Yes: After Monitoring records required Stormwater STORM-003 Reports 5 years 5 years Mfr, OD, S/I p Ppr QC for 3 years;40 CFR §§122.21, 122.41, 122.44 Department Preference; Public Works/ Expiration +5 Expiration+ Yes: Until Monitoring records required Stormwater ! STORM-004 Stormwater: NPDES Permits years 5 years Expiration Mag, Ppr for 3 years;40 CFR §§122.21, 122.41, 122.44; CCP§337 et seg. Department preference; plans Public Works/ Stormwater: TMDL Plan Total Mag' must be updated every 5 Stormwater STORM-005 Maximum Daily Load)TMDL 5 years 5 years Mfr, OD, S/I Yes: After years, audits are required QC&OD every 2 years; SWRCB Order Monitoring Plan Ppr 2006-03;4§§122.21, 122.41, 122.44; GC§34090 VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Adopted: 100 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS /WASTEWATER Page PW/WW-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Records Image: Destroy OFR Active OD or Mfr Total Media 1=Import Paper after ( ) (in office) Center, Retention Vital? Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears, since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records requests, and/or investigations suspend normal retention periods retention resumes after settlement). WASTEWATER/SEWER Capital mprovemen rojec s (CIP): Administration File/ Department preference; Some NOT Scanned-Wastewater Completion + grant funding agencies require Proiects 10 years or 10 years or audits; Statute of Limitations for Public Works'. After Funding After Funding Agency Errors&Omissions is 10 years; /Waste WW-001 Project Administration,Certified Upon g y Agency Yes: Until Statute of Limitations: Contracts Payrolls,Community Outreach/ Completion Audit, if Audit, if Completed Mag, Ppr &Spec's=4 years, Wrongful Water Notifications,Project Schedules, required, Death=comp. +5 years, Progress meetings,Punch Lists, whichever is required, g g whichever is Developers=comp. + 10 years; Real Estate Appraisals, RFIs& longer Statewide guidelines propose Responses,Temporary longer termination+5 years; CCP§337 Easements,Construction et. seq., GC§34090 Manager's Logs, Dailv Inspections, Capital Improvement Projects (CIP): Permanent File/ Scanned Records- Wastewater Proiects Specifications/RFP&Addenda, Department preference; retained Public Works Agreement/Contract,Successful U Mag, Yes: for disaster preparedness on /Waste WW-002 Proposal,Change Orders, P Yes: Until P P Mfr, OD, S/I Complet. + purposes; Statewide guidelines Water Geotechnical Studies&Reports, Completion Completed Ppr 10 years propose Permanent for Operations&Maintenance Manuals 34090t Infrastructure Infras plans; GC (O&M Manuals,)Materials Testing P § Reports,Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos,Soil Reports,Studies,Submittals, Survevs,etc. Public Works /Waste WW-003 CCTV/Video Inspections Minimum 5 Minimum 5 Mag' Yes: After p ears Mfr, OD, S/I Department preference; GC Water Y years Ppr QC&OD §34090 VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 101 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS /WASTEWATER Page PW/WW-2 Office of Retention No. Records Description Retention I Disposition Comments/Reference Record Records Image Destroy (OFR) Active Total Media I Import Paper after (in office) Center, Retention Vital? Options M=Mfr Imaged& i OD or Mfr S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g.last document+2 years), since destruction is normally erformed by file folder. Liti =n, claims, complaints, audits, public records rmine uests, and/or investi ations sus end normal retention eriods retention resumes after settlement). 8 CCR 5157(d)(14)&(e)(6); 29 Lead Dept. WW-004 Confined Space Entries 2 years 2 years Ppr CFR 1910.146(e)(6); GC 34090 Department preference; Public Works FOG (Fats, Oil&Grease)/ Monitoring records required for 3 /Waste WW-005 Source Control/Pretreatment 3 years 3 years Mag, Ppr years;40 CFR§§122.21, Water 11 Annual/Semi-Annual Reports 122.41;40 CFR 403.12 Public Works li Generator Operation Logs& /Waste % WW-006 Inspections-Fixed/ 3 years 3 years Mag, Ppr AOMD Rule 1470; GC§34090 Water Stationary Generators Public Works Generator Operation Logs& AQMD Rule 1470; Form /Waste WW-007 Inspections- Portable/ 5 years 5 years Mag, Ppr 400—E-13a instructions; GC Water Emergency Generators §34090 Required for a minimum of 5 Public Works Sanitary Spills and Overflows Mag' Yes: After years;40 CFR 122.410)(2); /Waste WW-008 (SSOs) 5 years 5 years Mfr, OD, S/I QC&OD SWRCB Order 2006-03;40 CFR Water Ppr 122.410)(2); GC§34090 Data is interrelated; system Public Works' SCADA Database(Supervisory Indefinite Indefinite Yes Mag qualifies as a"trusted system'; /VPU WW 009 Control and Data Acquisition) GC 34090, 12168.7 Department preference; plans Public Works Mag, must be updated every 5 years, Sewer System Management Superseded Superseded Yes: After audits are required eve 2 /Waste WW-010 Plans(SSMP) +5 years +5 years Mfr, OD, S/I QC&OD q every Water Ppr years; SWRCB Order 2006-03; 40 CFR 122.410)(2); GC§34090 Division Work Orders/Service Providing WW-011 Requests CMMS DATABASE Indefinite A Indefinite Mag Data is interrelated; GC§34090 Service/ (Computerized Maintenance Work Management System) VERNON, CA. 01995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 102 Ver. 4.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS /WASTEWATER Page PW/WW-3 Office of Comments/Reference Record i Retention No. Records Description Retention/Disposition Records Image Destroy (OFR) Active Center, Total Vital? Media I Import Paper after (in office) OD or Mfr Retention Options M=Mfr Imaged& S=Scan C'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 years). since destruction is normally performed by file folder. Liti ation, claims, complaints, audits,public records requests, and/orinvestigations sus end normal retention periods retention resumes after settlement. Work Orders/Service Division Requests-All Information When No When No Providing q Preliminary drafts(the database Service! WW-012 Entered in CMMS Database Longer Longer Mag Ppr is the original); GC§34090 Work Required Required (Paper drafts) Work Orders/Service Requests- NOT entered in CMMS Database(or partial Division information entered into CMMS City Preference; CCP§§338 et Providing Database) se 340 et se 342, GC WW-013 5 years 5 years Mag Ppr q•, q•. Service/ §§945.6, GC§34090 Work (Division providing service retains originals; Division requesting service is considered a co VERNON, CA. ©1995-2017 Gladwell Governmental Services, Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Adopted: 08/24/2011 103 v RECEIVED , OCT 12 2017 �,� OCT i i 2ov V1fiv onwiuierpATION CITY CLERK'S OFFICE STAFF REPORT �, , -`,..,..1V1, HUMAN RESOURCES DEPARTMEN"I DATE: October 17, 2017 TO: Honorable Mayor and City Council FROM: Michael A. Earl, Director of Human Resources f� Originator: Lisette Michel Grizzelle, Senior Hum in Resources Analyst RE: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AMENDMENT NO. 3 TO THE VERNON POLICE OFFICERS' BENEFIT ASSOCIATION 2016-2019 MEMORANDUM OF UNDERSTANDING Recommendation A. Find that approval of the proposed Amendment No. 3 to the Vernon Police Officers' Benefit Association (VPOBA) 2016-2019 Memorandum of Understanding is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378;and B. Adopt the attached resolution approving Amendment No. 3 to the Vernon Police Officers' Benefit Association 2016-2019 Memorandum of Understanding to amend/add the following provisions: 1. Article Seven, Section 16, City Vehicle 2. Article Eight, Section 4, Sergeants Background The City of Vernon and the VPOBA signed a tentative agreement on July 7, 2016 to extend their MOU through June 30, 2019. This tentative agreement included a provision relating to take home vehicles for specific Police Sergeants. This item was inadvertently omitted from the July 12, 2016 staff report and corresponding MOU Amendment No. 2 approved by City Council. This item was corrected in the amended Fringe Benefit and Salary Resolution approved by City Council on June 20, 2017 but has not yet been added to the MOU. Page I of 2 The VPOBA recently approached the Human Resources Department to request a revision to Article Eight, section 4, Sergeants of their current MOU. The language in this section references "eight (8) months of weekends off per year for Patrol Sergeants including Saturday, Sunday and Monday." The VPOBA requested to remove "Monday' from this section. After review and discussion with the VPOBA Representatives and Police Management it was determined that this change was needed to clarify this section. The reason for the clarification is due to the Telestaff time keeping system that was implemented in the Police Department. The method of scheduling time worked needed to change due to how the computer software designated a workday; particularly when a Sergeant works a shift beginning in the evening of one day that ends in the morning of the following day. Vernon Police Management and the VPOBA agreed to keep the original intent of the original MOU language in this section. Therefore, the removal of the word "Monday" in this section would be necessary to properly capture the weekend work shift. Fiscal Impact There is no fiscal impact on the current operating budget as a result of the recommended Police Sergeants schedule language change. An increase in fuel and maintenance costs associated with the vehicle use was anticipated and has been budgeted in the 2017/2018 fiscal year budget to cover the additional costs associated with this item. Attachment(s) 1. Resolution Page 2 of 2 RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING THE AMENDMENT NO. 3 TO THE MEMORANDUM OF UNDERSTANDING BY AND BETWEEN THE CITY OF VERNON AND THE VERNON POLICE OFFICERS' BENEFIT ASSOCIATION FOR THE PERIOD OF JULY 1, 2016 THROUGH JUNE 30, 2019 WHEREAS, the Vernon Police Officers' Benefit Association ("VPOBA" ) has been recognized as an employee organization pursuant to Resolution No. 4027; and WHEREAS, on September 16, 2014, the City Council of the City of Vernon adopted Resolution No. 2014-57 approving a Memorandum of Understanding ( "MOU") setting forth certain terms and conditions for employment of City of Vernon employees in classifications represented by the VPOBA, for the period of July 1, 2014 through June 30, 2017; and WHEREAS, on June 16, 2015, the City Council of the City of Vernon adopted Resolution No. 2015-39, approving an Amendment No. 1 to the MOU; and WHEREAS, on July 12, 2016, the City Council of the City of Vernon adopted Resolution No. 2016-38, approving an Amendment No. 2 to the MOU, which extended the MOU through June 30, 2019; and WHEREAS, representative members of the VPOBA and the City have agreed to execute an Amendment No. 3 to the MOU (the "Amendment" ) to amend the following Articles : (a) Article Seven, Section 16 regarding City Vehicle, and (b) Article Eight, Section 4 regarding Sergeants WHEREAS, the City Council of the City of Vernon desires to approve the Amendment. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS: SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct . SECTION 2 : The City Council of the City of Vernon finds that this action is exempt from California Environmental Quality Act (CEQA) review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378 . SECTION 3 : The City Council of the City of Vernon hereby approves the Amendment No. 3 to the Memorandum of Understanding between the City of Vernon and the Vernon Police Officers' Benefit Association, in substantially the same form as the copy which is attached hereto as Exhibit A. SECTION 4 : The City Council of the City of Vernon hereby instructs the City Administrator, or his designee, to take whatever action is deemed necessary or desirable for the purpose of implementing and carrying out the purposes of this Resolution and the transactions herein approved or authorized, including but not limited to, any nonsubstantive changes to the Amendment attached herein. SECTION 5 : The City Council of the City of Vernon hereby directs the City Clerk, or the City Clerk' s designee, to send a fully executed Amendment to Jason Lucas, President of the Vernon Police Officers' Benefit Association. - 2 - SECTION 6 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 17th day of October, 2017 . Name : Title : Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPROVED AS TO FORM: �k� ay h Moussa, Senior Deputy City Attorney - 3 - STATE OF CALIFORNIA } } Ss COUNTY OF LOS ANGELES } I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, October 17, 2017, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of October, 2017, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 4 - EXHIBIT A IF LD f k LY IS AMENDMENT NO. 3 TO THE MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF VERNON AND VERNON POLICE OFFICERS' BENEFIT ASSOCIATION July 1, 2016 through June 30, 2019 t0 0 L 100 i AMENDMENT NO. 3 TO THE MEMORANDUM OF UNDERSTANDING BETWEEEN CITY OF VERNON AND VERNON POLICE OFFICERS' BENEFIT ASSOCIATION Parties to the Memorandum of Understanding Pursuant to Chapter 10 (section 3500 et seq) of Division 4, Title 1 of the Government Code, and Resolution No. 4027, the Resolution for the administration of employer-employee relations, the matters within the scope of representation that are set forth in this Memorandum of Understanding (MOU) have been discussed by and between representatives of the City of Vernon and the representatives of the Vernon Police Officers Benefit Association (hereinafter "VPOBA") and except as otherwise specifically provided herein shall apply only to those defined in the aforesaid Resolution as "all full-time and regular part-time sworn personnel in the Police Department, except management employees." This Amendment to the MOU constitutes a joint agreement by the Municipal Employee Relations Representative ("MERR") and the VPOBA, to be submitted to the City Council of the City of Vernon for its determination and approval by one or more Resolutions or Ordinances as the City Council may deem fit and proper. The MERR and the Representative of the VPOBA have agreed that they will jointly urge the City Council of the City of Vernon to adopt one or more Resolutions or Ordinances reflecting the changes in wages, hours, and other conditions of employment agreed upon in this Amendment. If approved, the terms agreed upon by this Amendment to the MOU shall be deemed in effect as of July 1, 2016, and shall expire at midnight on June 30, 2019. 2 IN CONSIDERATION OF THE TERMS AND CONDITIONS HEREIN STATED, the VPOBA and the City of Vernon agree that the following provisions of the MOU be replaced as follows: ARTICLE SEVEN Section 16: City Vehicle The Police Sergeant assigned to detective duties shall be allowed to take his/her assigned Ceity vehicle home. ARTICLE EIGHT Section 4: Seraeants Patrol sergeants are entitled to eight (8) months of weekends off per year (including Saturday and Sunday and Mon&y). In the event there is a need to adjust a Patrol Sergeant's work schedule due to staffing issues, no such modification will be conducted without first notifying the affected Sergeant a minimum of 10 days prior to the schedule adjustment. There may be an exception to the minimum schedule change notice if the affected Sergeant is _ian agreement to an immediate change in his/her work schedule. [Signatures Begin on Next Page]. SIGNATURE PAGE CITY OF VERNON VERNON POLICE OFFICERS' BENEFIT ASSOCIATION Carlos R. Fandino Jr. Jason Lucas City Administrator I"MERR" President Michael A. Earl Nicholas Perez Director of Human Resources Vice President Lisette Michel Grizzelle Senior Human Resources Analyst APPROVED AS TO FORM: Zaynah Mousa Senior Deputy City Attorney APPROVED AND ADOPTED BY THE CITY COUNCIL ON PER RESOLUTION NO. ATTEST: Dated: Maria Ayala City Clerk 4 p� r RECEIVED � :�' �;�_` RECEIVED OCT 12 2017 "' OCT 12 209 CITY CLERK'S OFFICE STAFF REPORT CITY ADMINISTRATION HUMAN RESOURCES DEPARTMENT CA(101 V2, DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Michael A. Earl, Director of Human Resources " Originator: Lisette Michel Grizzelle, Senior Human Resources Analyst RE: A Resolution of the City Council of the City of Vernon Approving an Amended and Restated Vernon Fire Management Association 2016-2019 Memorandum of Understanding Recommendation A. Find that approval of the amended and restated Vernon Fire Management Association (VFMA) 2016-2019 Memorandum of Understanding is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a"project" as defined by CEQA Guidelines section 15378; and B. Adopt the attached resolution amending and restating the Vernon Fire Management Association 2016-2019 Memorandum of Understanding to revise the following provisions: 1. Article Three, Section 1, Salaries 2. Article Three, Section 5, Education Incentive Pay 3. Article Three, Section 8, Hazardous Materials Specialist Pay 4. Article Three, Section 9, Urban Search and Rescue (USAR) Pay 5. Article Four, Section 1, Employees Hired On or Before June 30, 1994 6. Article Seven, Section 5, Dental 7. Article Seven, Section 6, Vision 8. Article Nine, Sections 1 and 2, Holiday Time (Deleted entirely and all subsequent Articles renumbered) 9. Article Nine, Section 1, Sick Leave 10. Article Twelve, Grievance Procedure 11. Article Thirteen, Discipline Procedure Page 1 of 2 RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AN AMENDED AND RESTATED MEMORANDUM OF UNDERSTANDING BY AND BETWEEN THE CITY OF VERNON AND THE VERNON FIRE MANAGEMENT ASSOCIATION FOR THE PERIOD OF JULY 1, 2016 THROUGH JUNE 30, 2019 WHEREAS, the Vernon Fire Management Association ("VFMA" ) has been recognized as an employee organization pursuant to the City of Vernon Employer-Employee Relations Resolution (Resolution No. 4027) ; and WHEREAS, on July 12, 2016, the City Council of the City of Vernon adopted Resolution No. 2016-37, approving a Memorandum of Understanding ("MOU" ) by and between the City and the VFMA for the period of July 1, 2016 through June 30, 2019; and WHEREAS, representative members of the VFMA and the City have agreed to execute an amended and restated MOU to delete what was previously titled Article Nine regarding Holidays in its entirety and renumber the subsequent articles accordingly, and to revise the following provisions : (a) Article Three, Section 1 regarding Salaries, (b) Article Three, Section 5 regarding Education Incentive Pay, (c) Article Three, Section 8 regarding Hazardous Materials Specialist Pay, (d) Article Three, Section 9 regarding Urban Search and Rescue (USAR) Pay, (e) Article Four, Section 1 regarding Employees Hired On or Before June 30, 1994, (f) Article Seven, Section 5 regarding Dental, (g) Article Seven, Section 6 regarding Vision, (h) Article Nine, Section 1 regarding Sick Leave, (i) Article Twelve regarding Grievance Procedure, and (j ) Article Thirteen regarding Discipline Procedure; and WHEREAS, the City Council desires to approve the amended and restated MOU. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS : SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct. SECTION 2 : The City Council of the City of Vernon finds that this action is exempt from California Environmental Quality Act ("CEQA" ) review, because it is an administrative action that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378 . SECTION 3 : The City Council of the City of Vernon hereby approves the amended and restated Memorandum of Understanding between the City of Vernon and the Vernon Fire Management Association, in substantially the same form as the copy which is attached hereto as Exhibit A. SECTION 4 : The City Council of the City of Vernon hereby instructs the City Administrator, or his designee, to take whatever action is deemed necessary or desirable for the purpose of implementing and carrying out the purposes of this Resolution and the transactions herein approved or authorized, including but not limited to, any nonsubstantive changes to the MOU attached herein. SECTION 5 : All resolutions or parts of resolutions, specifically Resolution No. 2016-37, not consistent with or in conflict with this resolution are hereby repealed. SECTION 6 : The City Council of the City of Vernon hereby directs the City Clerk, or the City Clerk' s designee, to send a fully executed MOU to David Lazar, Vernon Fire Management Association President. - 2 - SECTION 7 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 17th day of October, 2017 . Name : Title : Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPROVED AS TO FORM: 21T� Zatr*l Moussa, 11 Senior Deputy City Attorney - 3 - STATE OF CALIFORNIA ) ss COUNTY OF LOS ANGELES ) I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, October 17, 2017, and thereafter was duly signed by the Mayor or Mayor Pro-Tern of the City of Vernon. Executed this _ _ day of October, 2017, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 4 - EXHIBIT A Of . t Fad*i V S MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF VERNON AND VERNON FIRE MANAGEMENT ASSOCIATION July I, 2016 through June 30, 2019 FIRE TABLE OF CONTENTS MEMORANDUM OF UNDERSTANDING Parties to the Memorandum of Understanding..........................................................6 ARTICLE ONE:FUNDAMENTALS Section 1: Recognition........... ........ ...... ..... .... ...... . ...... 7 Section 2: No Discrimination........................ ...........................................7 Section 3: Mutual Cooperation .....................................................................8 Section4: Layoffs ..... . ......... .......... ..... ...1-1....I...I.................... ..--8 Section 5: No Strikes or Lockouts.......................................... ............. .......8 Section 6: City/VFMA Meetings........................... ..... ...............................8 Section 7: Association Business ......................... .... . ......................... ....----8 Section 8: Association Leave................................................................ . ....9 Section 9 Driver License Requirement................ ...... .................... . ......9 Section 10: Payroll Deduction.......................................................................9 Section11: Term........................ ......... ...................... ...........................10 ARTICLE TWO:LEGAL LIMITATIONS,SAVINGS CLAUSE&TERM Section 1: Legal Limitations and Sa%ings Clause ............................................................ 10 Section 2: Maintenance of Existing Conditions...................................................10 Section 3: Modification and Waiver ................................................. ...................... .. ... I I Section 4: Severability. ......... . .. .. ..... .. .........................................I I ARTICLE THREE: SALARIES Section 1: sala,:c5 . .............I-------------------------------------------14 Section 2: Merit Steps........... ............................—...................................... 14 Section 3: Salary Adjustment Increase.. ... ..... .......................—....... ........... is Section 4: Bilingual Pay.. ..... .... .................. .................. ............. .......... 15 Section 5: Educational lncerlTi%e Pay................... .......................... ............ 15 2 Section 6: Chief Officer Certificate—Prior to July I,2014..................................... 16 Section7: Chief Officer Certificate—After July 1,2014....................................... 16 Section 8: Hazardous Materials Specialist Pay................................................... 16 Section 9; Urban Search and Rescue Specialist Pay............................................ 17 Section 10: Physical Fitness/Wellness Program..................................... .. . 17 Section 1 1: Computation of Pay—.......----...................... . .........-.... 17 ARTICLE FOUR:LONGEVITY Section 1: Employees Hired On or Before June 30, 1994....................................... 18 Section 2: Employees Hired After June 30,1994................................................18 ARTICLE FIVE:OVERTIME Section 1: O%enime Authonzation. .............................................................. 19 Section 2: Compensatory Time.................................................. ...... ...-..1...20 Section 3: Compensatory Time Payment upon Termination....................................20 Section 4: Usage of Compensatory Time Earned................................................ 20 Section 5: Leave Inclusion.......................................................................... 20 Section6: Training and Recertification............................................................21 Section 7: Call Backs............... .......................................... .................... ..21 Section 8: Non-Compensable...... ................................. 22 ARTICLE SIX:UNIFORMS Section I: Uniform Allowance.................................... ....... .............. ...... ..23 ARTICLE SEVEN:BENEFITS Section 1: Public Employees Retirement System........... .... .. ............................24 3 Section 2- Supplemental PERSBenefits.............. ............................................24 Section 3: Cafeteria Plan...... ...................................................................... 25 Section4: Medical ................ ........................................................... 25 Section5: Dental ................... ............................................. ........._. 27 Section6: Vision............................................................................ ...... 27 Section7: Life Insurance................... . ............. ....... ................................27 Section 8: Deferred Compensation...................................................... .. ....... 28 Section 9: Education Reimbursement.......... . ...................................... .......... 28 Section 10: Other Employee Programs.. . . ... . ....... . 28 Section 11: Retiree's Medical......................... ..................... ................... .. . 28 ARTICLE EIGHT: VACATION Section 1: Vacation Time....... ............ ..... .................. .... ........... . ........ .30 Section 2: Vacation Lea%e: Admi nistrat i%e Personnel ......... ..... .................... . . 30 ARTICLE NINEC HOLIDAYS VC l fi4iJr�IfFL�ft u..l.J... ....a Cl�N�lS l lie I..J,.. .Jr __ �CLF'�14T10ETTlTR� ARTICLE NINE:SICK LEAVE Section1: Sick Leave................................................................................. 34 Section 2: Sick Lea%e Conversion..................................................................35 ARTICLE TE\+l=F!V93%-LEAVE BENEFITS SectionI: Jury Duty......... ........... ...... ....................................................37 Section 2: Bereavement Lea%e........ .......................... ...... ............. 37 ARTICLE ELEVE\T"T-i-' `'F: WORK SCHEDULE AND ABSENCES 4 Section I: FLSA Work Period...................................................................... 40 Section 2: Work Schedules........................................................................... 40 Section 4: Shift Trades............................................................................... 40 Section 5: Early Relief.............................................................................. 4t ARTICLE THIRT-FENTWELVE:GRIEVANCE PROCEDURE Grievance Procedure Steps................................................................................ 42 ARTICLE f9 FNTHIRTEEN:DISCIPLINE PROCEDURE Discipline Procedure ............................................................. ......................... 46 ARTICLE F'�eCNIFOURTEEN:MANAGEMENT RIGI4TS ManagementRights------.................. ............................................................... 50 SIGNATURE PAGE Signatures.... .. ............................................................... .......................... 52 5 MEMORANDUM OF UNDERSTANDING BET►►EEN CITY OF VERNON AND VERNON FIRE MANAGEMENT ASSOCIATION Parties to the Memorandum of Understanding Pursuant to Chapter 10 (section 3500 et seq) of Division 4, Title I of the Government Code and Resolution No. 4027,the Resolution for the administration of Employer-employee relations,the matters within the scope of representation that are set forth in this Memorandum of Understanding(MOU)have been discussed by and between representatives of the City of Vernon and the representatives of the Vernon Fire Management Association, (hereinafter "VFMA"), and except as otherwise specifically provided herein shall apply only to those defined in the aforesaid Resolution as "full-time sworn and regular pare-time employees in the Fire Department management and confidential employees,-otherwise known as Chief Officers. This MOU constitutes a joint agreement by the Municipal Employee Relations Representative("MERR-) and the VFMA,to be submitted to the City Council of Vernon for its determination and approval by one or more Resolutions or Ordinances as the City Council may deem fit and proper_ The MERR and the Representative of the VFMA have agreed that they will jointly urge the City Council of Vernon to adopt one or more Resolutions or Ordinances reflecting the changes in wages, hours, and other conditions of employment agreed upon in this MOU. If approved, the terms agreed upon by this MOU shall take effect on July t, 2016, and shall expire at midnight on dune 30,2019, IN CONSIDERATION OF THE TERMS AND CONDITIONS HEREIN STATED, the VFMA and the City of Vernon agree as follows: fi ARTICLE ONE FUNDAMENTALS Section 1• Recoenition The City recognizes the Vernon Fire Management Association as the exclusive recognized employee organization on behalf of all full-time sworn, management personnel engaged in fire prevention, suppression, administration and paramedic services within the City, including, but not limited to, employees occupying the job classifications of Assistant Fire Chief,Fire Battalion Chief, Administrative Fire Battalion Chief,and Fire Marshal. ,fiction 2: No Discrimination The City and the Association are committed to working together to support a work environment characterized by fair treatment and access to equal opportunities. The provisions of this Memorandum of Understanding shall be applied equally to all employees covered hereby. Neither the City nor the VFMA shall discriminate against any individual,applicant or employee with respect to his compensation, terms, condition, or privileges of employment or because of an individual's race, color, sex, religion, national origin, age, marital status, disability, pregnancy, sexual orientation, political or religious opinions or affiliations, or membership or non-membership in the VFMA. The terms "they" and "their" may be used in this agreement as substitutes for the terms "his;' "her," "his/her,""he,`"she;'or other terms which would indicate masculine or feminine gender. Whenever the male gender is used herein it shall be construed to refer to both male and female employees. Except as limited by the specific and express terms of this Memorandum of Understanding, the Association hereby retains and reserves unto itself all rights,powers,authority,duties and responsibilities conferred on and vested in it by the laws and the Constitution of the State of California and/or the United States of America. The parties specifically agree that neither VFMA nor any VFMA representative or member shall be discriminated against, intimidated,coerced,disciplined or retaliated against because of the lawful exercise of its or his rights, including, but not limited to, the right to participate in VFMA activities,serve as a VFMA officer or director,or otherwise represent the interests of VFMA. 7 Section 3: Mutual!Cootxradom The parties recognize the necessity of cooperating on matters of mutual concern and interest and agree to work together to maximize the effectiveness of the Fire Department and the City and to accomplish goals in their mutual interest. Section 4: Layoffs In accordance with the Meyers-Milias Brown Act,the City and the VFMA shall meet and confer on the effect of its actions to lay off any employee represented by the VFMA. This will occur prior to implementation except in emergency circumstances as defined in law. The agreement to meet and confer over the effect of the exercising of a City right shall not in any way impair the right of the City to exercise and implement any of its rights to layoff. Section 5: No Strikes or Lockouts During the life of this agreement no work stoppages,strikes,or slowdowns shall be caused or sanctioned by the VFMA,and no lockouts shall be made by the City. Section b: CitvfVFMA Meedeffs Representatives from the VFMA and the City shall meet as needed to discuss issues of mutual concern. Section 7: Association Business Representatives of the VFMA shall be allowed time to conduct their Association business as necessary during work hours. Representatives of the VFMA shall have reasonable access to the work sites of unit employees at any time during the working hours to conduct Association business as long as such visits do not unreasonably interfere with the conduct of the City's usual business and the employee's work. Coordination of such work will be made with the Fire Chief to ensure the availability of staffing levels for such meetings. Representatives of VFMA may use any Fire Department facilities free of charge for its Board of Directors and general membership meetings provided such facility is not otherwise booked. VFMA shall secure approval from the Fire Chief for the date and time it wishes to secure use of the facility.The granting of such approval will be made if the City facility is not otherwise scheduled to be used at the time of VFMA's request. 8 No unit employee shall engage in political activity while on duty or in uniform. Section ; Association Leave The VFMA President will have available to him/her a total of 240 hours of Association Leave Time at the beginning of each calendar year for conducting Association business off duty during time he and/or any of his Association board members would be regularly scheduled to work. A The VFMA President will be responsible for assigning any Leave Time to his board members. Unused hours may not be carried over from one year to the next without the written authorization of the Fire Chief or his designee- B. In each case where Leave Time is requested,such request must be in writing to the Fire Chief a minimum of 72 hours before the Leave Time is needed unless the minimum notice period is waived in writing by the Fire Chief or his designee. C. Association Leave Time will not be granted if it will cause overtime unless it is authorized in writing by the Fire Chief or his designee. D. in no case will Association Leave Time be used for political action purposes. Section 9: Driver's License Reaoirement Firefighters of all ranks from Assistant Fire Chief and below must maintain at the minimum a Class C driver's license with a firefighter endorsement_ Exceptions to this requirement must be approved in writing by the Fire Chief. Section if 0: Payroll Deduction The City shall,during the term of this agreement,effect a payroll deduction for membership dues,service fees and other charges authorized pursuant to an executed form signed by the employee permitting such deductions. Any payroll deductions collected by the City shall be transmitted on a biweekly basis to the treasurer of the Association,or such other party designed in writing by the Association.The City shall not be obligated to put into effect any new, changed, or discontinued deduction until the first pay period commencing not more than thirty (30) days after receiving the request. This provision shall remain operative as long as VFMA is the exclusive recognized employee organization of unit employees. 9 Section 1 I: Term (a) Except as otherwise provided herein,this Memorandum of Understanding shall be in full force and effect from July 1,2016,and shall remain in full force and effect up to and including midnight, the 30th day of June 2019 or until the next Memorandum of Understanding becomes effective. (b) This Memorandum of Understanding shall be binding on the City and the Union when approved and adopted by the City Council. ARTICLE TWO LEGAL LIMITATIONS,SAVINGS CLAUSE,AND TERM Section I: Legal Limitations and Seylegg Clause It is understood and agreed that this Memorandum of Understanding(including, but not limited to,the provisions of the Fair Labor Standards Act) and any and all Resolutions or Ordinances adopted in implementation thereof are and shall be subject to all present and future applicable federal and state laws and regulations and shall be effective and implemented only to the extent permitted by such laws and regulations. If any part of this Memorandum of Understanding or of any Resolution or Ordinance adopted in implementation thereof is in conflict or inconsistent with any such applicable provisions of federal and state laws or regulations or otherwise held to be invalid or unenforceable by any tribunal of competent jurisdiction, such part or provision shall be suspended and superseded, and such applicable laws and regulations and the remainder of this Memorandum of Understanding shall not be affected thereby and shall remain in full force and effect, Section 2: Maintenance of Existing Conditions Any employment policy, practices and/or benefits, including the alternative workweek schedule and overtime compensation are incorporated into this Memorandum of Understanding, unless otherwise stated herein. In the event of conflict between the Memorandum of Understanding and an existing policy and/or practice, this Memorandum of Understanding shall govern. 10 Section 3: Modification and Waiver The City reserves the right to add to, delete from, amend or modify the Administrative rules, the City Municipal Code, and the City's Personnel Policies and Procedures Manual during the term of the Memorandum of Understanding, subject to the requirements of the Meyers-MiIias-Brown Act and the Firefighters Procedural Bill of Rights Act. Section 4: Severability. In the event that a court finds any provision(s)of this Memorandum of Understanding to be invalid or unenforceable,the parties intend that the remaining provisions remain in effect.The parties further agree to meet and confer for purposes of negotiating an alternative to any provision declared invalid or unenforceable_ 11 ARTICLE THREE SALARIES Section 1: Salaries Effective the beginning of the pay period containing July 10,2016,the following salary ranges are established For employees represented by the VFMA based upon the results of the City wide classification and compensation study at the 751"percentile,and consistent with the proposed grade and step pay plan. Effective July 10,2016, VFMA employees shall be placed at the grade and step that is closest to,but not lower than their current base salary 1 Effective July 10,2016(first full pay period in July),the base salary schedule will be increased by 2%. F% Effective July 9,2017,the base salary schedule will be increased by an additional 2%. % Effective July 8,2018,the base salary schedule will be increased by an additional 2%. Classification and Compensation Plan-Effective July 10,2016 Assistant Fire Chief E F\14: Step 1 $13,890 Step 2 $14,585 Step 3 $15,314 Step 4 $16,080 Step 5 $16,884 Fire Battalion Chief(P) NE FM38 Step 1 $11,427 Step 2 $11,998 Step 3 $12,598 Step 4 $13,228 Step 5 $13,890 Fire Battalion Chief (A) NE FMA38 Step 1 Sl 1,427 Step 2 $11,998 Step 3 $12,598 Step 4 $13,228 Step 5 $13,890 12 Fire Marshal NE FM38 Step 1 $11,427 Step 2 $11,998 Step 3 $12,598 Step 4 $t 3,228 Step 5 $13,890 Classification and Compensation Plan-Effective July 9,2017 Assistant e==Fe Ghi s € FM¢2 r FormattWTabte Slep 1 $14,17-9 Slept $14,8 giep $15,632 Step 4 $46,444 Slep �. 3 Sled-1 $i i,666 iStep 2 $12,249 I Siep 3 $12,861 Step 4 $13,594 ISiep 5 $14,47s I I N€ FMA3� Slep $14;Ara $12,24 IStep 3 $12,861 IStep 4 $1 3,504 Step $14,47-s F Fe Marsha�c r1 N€ FM38 P i,666 Step 3 $12,861 Step 4 $13,604 I Step 5 $14,179 Assistant Fire Chief E FM 42 - Fwmatted Table Step I $ 14,166 Step 2 $ 14,874 Step 3 $ 15,618 Step 4 $ 16,399 13 Step 5 $ 17,219 Fire Battalion Chief(P) NE FM -Step ! — $ 11.634 Step 2 $ 12,237 Step 3 $ 12,849 Step 4 $ 13,491 Step 5 $ 14,166 Fire Battalion Chief (A) NE FMA 38 Step 1 $ 11,654 Step 2 $ t2,237 Step 3 $ t2,849 Step 4 $ 13,491 Step 5 $ 14,166 Formatted:Font:Times New Roman, 12 pt, +Fire Marshal \F FM 38 1 Not Bold,UndedLne Step 1 IS 11,654 Formatted:Font:Times New Roman, 12 pt, Step 2 $ 12,237 Underline Step 3 $ 12,849 Formatted Table Step 4 $ t3,491 Step 5 $ 14,166 Classification and Compensation Plan-Effective July 8,2018 nss:S.aRt t='Fe GhmeF E F1r142 Formatt dTable step Step 2 $15,18 C $16,-944 Siep 4 $16,741 Siep5 $1 7,678 ME FM38 Step 1 $ii'89z Step 2 $12,492 Step-3 $i 3,11 Step 4 $13,773 Step$ $14,462 FmFe BAMOE)R Chief (A NE- C A Step 1 s i 4,997 Step 2 $12,492 Step 3 $13,117 Step 4 3 C $14,46 14 Carey RAP+ Ni-- CF3 St p ep 1 Si$ i 89 I� Step-2 $1 tea, 2 1 Step 5 I $1�14 462 Assistant Fire Chief E I N1 42 Step I $ 14,449 Step 2 $ 15,172 Step 3 S 15,931 Step 4 $ 16,727 Step 5 $ 17,563 Fire Battalion Chief(P) \E FM 38 Step 1 $ 11,888 Step 2 $ 12,482 Step 3 $ 13,106 Step 4 $ 13,761 Step 5 $ 14,449 Fire Battalion Chief (A) \E FMA 38 Step t $ 11,888 Step 2 S 12,482 Step 3 S 13,106 Step 4 S 13,761 Step 5 $ 14,449 Fire Marshal \E FM � Step I $ 11,888 Step 2 S 12,482 Step 3 $ 13,106 Step 4 S 13,761 Step 5 $ 14,449 Section 2: Merit Steps Effective July 10,2016,employees who are not at the top step of their Classification Compensation Plan and have attained one year of an overall'-satisfactory"or higher performance evaluation rating,as of their immediately preceding classification anniversary date, shall receive one merit salary advance. Effective July 2017, and for the remainder of this agreement, employees who are not at the top step of their Classification Compensation Plan and who achieve an overall"exceeds standards' ranking during their 15 annual performance review in accordance with the City's Performance Evaluation Policy will receive one merit salary advance on the first full pay period in July. Employees shall continue to receive their annual evaluations as scheduled in the City's Performance Evaluation Policy and employees may receive more than one annual merit salary advance during the term of this Agreement. Section 3: Salary Adjustment Increase in the event there is a salary inequity between ranks or between employees within the Department, the Fire Chief, with approval of the City Administrator,may implement a service adjustment increase up to ten percent(10%)per month of their base salary. Section 4: Bilineual Pay A unit employee may be compensated for bilingual skills after the employee demonstrates proficiency in speaking a foreign language (the ability to read and write in a foreign language may also be tested, if necessary), which proficiency would be determined by successful completion of a foreign language proficiency test designated by the Human Resources Department. Those employees who successfully demonstrate this skill are eligible to receive an additional One Hundred Twenty-Five Dollars(S125.00) per month for bilingual pay and shall not be considered to be part of the employee's base monthly salary when computing incentive pay. Sectiom 5: Education Incentive Pay tjejeN: -enj1'g.V_41:hj3 =-. -•�.. ". 4ice +-uniw trig i34e E4AWSt-A-*11}li6210N6-C-dR--0 #f#Fiji I Fil3ftt p rk:� 4;`4n1 11th f !h91F bi!ML SH!i... l ter • - Formatted:Font:Na Bold,No underline_ __- Formatted:Indent:Left: 0 45•, No bullets or numbering,Tab stops: 0.2",Decimal aligned ffecti�t Julti 1_2U[6.all unit zmp oxe%zs hired before Juh 1?ti16, uho_ha%e_completed the initial hire Formatted:Font-Font color:Auto probanonar� veriod and a ho hold a fire science certificate or hay e completed the_course equn alent formatted:Space Before: t3.65 pt thereto (i.e 3fr units of fire science related coursesf shall receive an additional six_gercag([."off tlizir base rate of pax Der month. after salisfacion corimletionof their performance e%aluation penod_l nit euVloyees hired_before Julti_l._1016. %%ho hair passed their nrobatiortar� period_and nho do not 16 currently hold a fire�ience reni.fjj ate orvo5sess the a utvalent units a5 7ated_ibolr will be gi%en until July t_'tJ I--- to obtain the fire science ccrttticate oE3:0q;alcnt unit; Such emplovees will be gi%en an add 113E.111l three Xrccnt l3°al. f_IhEeti b &_Mc of_0w g�LnKi th effective July 1, 2016. Should the CrW npt o15�lh tx*cessarw ftttr science certificate orrg4ki+ahmt urtTl,r�%_J.uly I.2017_they..will no lattr�er tie elf; lrJr m reoeiyr the additional three percent(3%). ,An employee.at the sole discretion of the Fire Chief,may be given an additionai_six months to obtain the fire science certificate or eauiwalent units. Upon obtaining ffie necessary fire science certificate or equi%-Mcni untts_E6Kft Kft(&n_SK_EN0.!Lbegin to receive the additional six percent (61.) of their base rate of pay per month instead of the threenercent (30,0)in accordance with the terms stated above. All unit employees hired after July I.2016. who have complet3(;r.lL+t�ra3 15rrr prpbairtean period and who bold a fire.science certificate or have completed the course equivalent thrrelu o c. 31, unitt of fire science related courses)shall reeei4e an additbna€ three percent ix"o-1 of t it bagw rate o_f pay per month after satisfactory completionoftheir LQD.P6_A A unit employee who holds an AA or AS Degree in Fire Science or Fire Technology with completion of five(5)years of uninterrupted service with the Fire Department shall receive an additional three percent (3%)per month of their base salary or; A unit employee who holds a BA or BS Degree in Fire Science or Fire Technology or closely related field with completion of five (5) years of uninterrupted service with the Fire Department shall receive an additional three percent(3%)per month of base salary or, A unit employee who holds a Fire Officer Certificate with completion of five(5)years of uninterrupted service with the Fire Department shall receive an additional three percent(3%)per month of base salary. Education ineentit e pay is cumulati%e for a mayinturn of 9%. Should employees represented by the Vernon Firemen's Association (VFA) receive across-the board enhancements to the existing+n Liett Holiday sEducational Incenti%e Pay between July 1,2016 and June 30,2019,a like enhancement will be provided to employees represented by the VFMA. Section 6- Chief Officer Certificate—Employees promoted prior to July 1.2014 17 Effective July 1, 2014, VFMA employees who were promoted to a Fire management position prior to July 1.2014 and hold a Chief Officer Certificate,or have completed coursework equivalent thereto(i.e., California State Fire Training Professional Certification Track for Chief Officer)shall receive an annual education incentive stipend in the amount of S2,000, in two equal, semi-annual installments. The first installment of S1,000 shall be paid with the first paycheck in January, and the second installment of S1,000 shall be paid with the first paycheck in July. Section 7: Chief Officer Certificate Amolovees promoted on or after July 1,2014 Effective July 1.2014,VFMA employees who were promoted on or after July I,2014 and hold a Chief Officer Certificate shall receive an annual education stipend in the amount of$2,000,in two equal.semi- annual installments. The first installment of S 1,000 shall be paid with the first paycheck in January,and the second installment of S1,000 shall be paid with the first paycheck in July. Se yP 9: Haurden Materials Specialist Pay -f " .-... .,., -, .... .ffl+e j... n„,�alp a,uMt rr+r}tlay rtiVffW4e,j-asa ►.r..__mi._.._ u_,e.,_ k;-&oal"-s4xflE F&_-eitt - of . _ ...._a__.. mid _ y_,.. deFlaf-s-&d H+Kwst#A+x eeRt .Y w.The Jc+ws4ad:a4r%ped4iltwilr as %4,�6 iaErSo 14 payfilem 9hal 1 fje4 be - + he fhao e 2 des?-Akmf,, 4&p 6OMPHORagmeenk"e pay. tinq gmployges hired before Jul� l 2016. certified as a Hazardous Matenah Specialist shall receive abo%r their hasr pa%.Said payment shall not be considered to be part of the employee's base salary when coin unn 1nCennS pay. ____ For am unit emplovees hired-after Jul, 1_ 2016, all personnel assizited to a Hazardous Materials tearn'starion who are performing,the duties required of the Hazmat Assignment,and who hate completed required training and posse a valid certification. shall receive S17,82 per shift «orked on Hazmat Assignrnzn[�Said Vaygitrit shall not be considered to be pan of the employee's base salary w hen computing incentive pay. Should employees represented by the Vernon Firemen's Association (VFA) receive across-the board 18 enhancements to the existing hazardous Materials Specialist Pay between July 1, 2016 and June 30, 2019,a like enhancement will be provided to employees represented by the VFMA. Section 9: Urban Search and Rescue(USAR)Pay ccc etiye E)ee f:nb._28 291419k y pef++i6 eumaini un4 emp4Oytr Lvnifwd at a 4m4-s FR-.'%Plftl 11115! ipeetal e,3 effle ;ems F bat pa} Th#-C4t � eat#utlH I!MpkWOe -tn-wII FIEntj RftVqS eN_.._. e Fedi M!0 Ell Os-[r-k S 1R SPIMIRI+5t. Sfki&rikrPruwk h*11--'+r+*" I I - - R9rI FkP% %'h4:IF ttic�V*f:e%� knit emptoyers hired before July 1. 2016, certified- as a.USAR Specialist shall receives cial compensation of one hundred and wi enil-eight dollar:.;and t}kriitti.orer cents(SI78.21)per month above their base pay. Said payment shall not be considered to be.p@n of the lhimpl c s , Sr - when computma incentive pay. For any unit employees hired after July 1,_2{)36-ali M:r atrnel a�,signgd_to a t_54R team station who are performing the duties required of the USAR A33igrtn nt-and %l,q.hare completed r2�training and possess a %alid_certification,shall receive$17.82 per shift corker on USAR Assittrtment. Said payment shall not be co�sider,�d pelt cif the e,r tpyee-s base molar} when.comp{�tttog ui�nttle-pa}- Should employees represented by the Vernon Firemen's Association (VFA) receive across-the board enhancements to the existing is Lieu HeNdaysUSAR Pay between July 1,2016 and June 30,2019,a like enhancement will be provided to employees represented by the VFMA. Section 10: Physical FetnesslWelluess Program This program is mandatory for all fire safety personnel. Any individual who after one (1) year of participation has completed a pre-program fitness evaluation, minimum participation requirements, bi- annual fitness evaluations and verification of participation by the Fire Chief will receive two hundred fifty dollars ($250.00). The Physical FitnesslWellness program is attached hereto as Attachment --A", and incorporated herein. Section 11: omnutation of Pay 19 A. Unit employees assigned to a 40-hour work week shall be paid on an hourly basis.The hourly rate shall be the product of dividing the monthly salary by 173.333.Upon being assigned to a 40- hour schedule an employee's accrued leave shall be reduced by a factor of 1.4 and paid to the employee upon use or separation at the employee's 40-hour regular rate of pay.Upon being reassigned to a 56-hour schedule,all such accrued leave shall be increased by a factor of 1.4. B. 56-hour platoon personnel Unit employees assigned to a fifty-six (56) hour work week would be paid a widely fluctuating amount each pay period if they were paid for hours actually worked; therefore, such employees shall be paid for the average number of hours in a two(2)week period.one hundred and tweltie (112) hours. Exceptions for leave without pay hours shall be reported and deducted from the average when pay is computed.The"Exception Report-shall be in a form approved by the City Administrator ARTICLE FOUR LONCEVITV Section 1: Employees Hired On or Before June 30, 1994 Upon attaining 5 years of service with the City of Vernon... . ......... .. ...5%above base pay Upon attaining 10 years of service with the City of Vernon . .. ...... ...... ...10%above base pay Upon attaining 15 years of service with the City of Vernon............. . . ..15%above base pay Upon attaining 20 years of service with the City of Vernon............ ... . ..20%above base pay Upon attaining 30 years of service with the City of Vernon an Assistant Fire Chief,Fire Battalion Chief. Fire Battalion Chief(A)or Fire Marshal ... ... .. ........ ..................., . 25%above base pay Section 2: Employees Hired After June 30,1994 and before December 31,2013 Upon attaining 5 years of sery ice with the City of Vernon ................. .....5%above base pay 20 ARTICLE FIVE OVERTIME Section l: Overtime Authorization All overtime requests must have prior written authorization of a supervisor prior to the commencement of such overtime work.Where prior written authorization is not feasible,explicit verbal authorization must be obtained.Dispatched calls extending beyond the end of duty time are considered as authorized. A Policy It shall be the policy of the Vernon Fire Department to honor personnel requests for time off when possible, and distribute overtime opportunities in a fair and equitable manner to all members. 11 shall be the Department's priority to maintain essential staffing levels when arranging coverage. B. Order of Filling Vacancies Overtime vacancies will be filled on a rank-for-rank basis by first referring to the list of personnel in the same rank as the vacancy who have signed up for overtime availability for that day.The individual in the same rank with the least overtime worked that calendar year will have the first opportunity to work the overtime vacancy. If that employee does not elect to work the overtime shift, the person in the same rank as the vacancy with the next least amount of overtime worked that calendar year will have the next opportunity. This process will be followed until the overtime vacancy is filled or the list of personnel within the same rank as the vacancy is exhausted. In the event the vacancy is unfilled,the same process will be used for those personnel who have signed up as available to work overtime that day who are qualified to act in the rank in which the vacancy exists. If that list is also exhausted and the vacancy is not filled, the person that is not 21 presently working and that is of the same rank as the vacancy with the least mandated overtime worked that calendar year shall be mandated to wort:the overtime shift_ C What Overtime Vacancies Will Be Filled a Any vacancy in the Fire Battalion Chief rank that is the result of an employee using%acation leave shall be filled first by a Fire Battalion Chief.If a Fire Battalion Chief is unable to fill the position then an Acting Fire Battalion Chief from the established Acting List gill fill the position. b. A vacancy that is the result of an employee using sick leave may be filled at the discretion of the Fire Chief. Section 2: Comuensatory Overtime A. For fire suppression employees having an average work week of 56 hours, compensatory time shall accumulate at the premium rate of one and one-half(I %z)hours of compensatory time for each one (1) hour of o%ertime actually worked in excess of the employee's regular scheduled working hours for a 24 day work cycle. B. For employees having an average work week of forty (40) hours, compensatory time shall be accumulated at the premium rate of one and one-half(l 1/2)hours of compensatory time for each one (1) hour of overtime actually worked during the employee's regular work week up to a maximum accrual of 480 hours. Section 3: Comoensatorr Time Pavment utron Termination Employees shall be entitled to recei%c payment for all accumulated compensatory time upon their termination. Section 4: Usage of Compensaton Time Earned Accumulated compensatory time off may be taken by an employee in the same manner as vacation time as described in Article Eight of this MOU. Section 5: Leave Inclusions 22 A. In determining an employees eligibility for overtime compensation in a work period,paid leaves of absence will be included in the total number of hours worked.Paid leaves of absence include, but are not limited to,the following: 1.Holiday Leave/In-Lieu Leave 2.Administrative Leave 3.Compensatory Leave 4.Workers'Compensation Leave(4850 time) 5.Jury Duty 6.Bereavement Leave 7.Military Leave B Vacation and Sick Leave- In determining an employee's eligibility for overtime compensation, vacation and sick leave shall not be inchrded in calculating the total number of overtime hours worked in a 7-day work week. At the time of MOU ratification, the implementation of this provision was still being analyzed. If the City confirms that calculation based on a 7-day work week is enforceable under the Fair Labor Standards Act,this provision will be implemented after the City provides the VFMA written notice of its confirmation,and a date certain on which this provision will take effect. If this provision is found to be unenforceable, the City and the Association agree to a re-opener to discuss the exclusion of vacation and sick leave counting towards overtime within a work week. Section 6: Training and Recertification Time Training time that is required is compensable. Recertification time that is directly related to an employee's job w ill be compensable if completed during assigned work hours or authorized for o,.ertime by the Fire Chief. Section 7: Call Backs Call Back duty occurs when an employee is ordered to return to duty on a non-regularly scheduled work shift.Call back does not occur when an employee is held over from his/her prior shift or is working prior to his/her regularly scheduled shift 23 An employee called back to duty shall be credited with a minimum of four(4) hours work. Any hours worked in excess of four (4) hours shall be credited on an hour-for-hour basis (at time and one-half compensation)for actual time worked. When an employee is called back, his/her work time shall be credited commencing upon the time the employer has made direct contact with the employee. Section S: Non-Comgensabie A. City Vehicle Use—Unit employees who are prodded with a City %chicle to tra-,el to and from work shall not be compensated in any manner whatsoe%er for travel time to and from work. B. Clothes/Uniform Changing Time—Unit employees are not authorized to wear their uniforms or any pan thereof that is distinguishable as such unless on duty. Each employee is provided with a locker for his/her personal convenience. Any employee may utilize or not utilize the locker for storage and changing purposes at his/her own discretion. Nothing herein pre%cnts an employee from wearing his'her uniform to and'or from his/her residence to work as long as the badge and insignia are covered in a non-unit issue garment such as a windbreaker. Time spent changing clothes before or after shift is not considered hours worked and is not compensabee in any manner whatsoe%er. An employee shall be allowed to make off duty presentations without compensation in uniform upon the appro%al of the Fire Chief. 24 ARTICLE SIX UNIFORM ALLOWANCE Section I: Uniform Allowance On the first pay check in August of each year,each unit employee shall be paid the sum of One Thousand Dollars(S 1000.00)for the purchase of uniforms.A unit employee hired by the City shall receive an initial issue of uniforms.Uniform allowance is special compensation that shall be deemed earned when paid and shall be reported to Ca1PERS as compensation earnable The City shall pro.ide all unit employees all required safety equipment, including, but not limited to, cork boots. 25 ARTICLE SEVEN BENEFITS Section 1: Public Employee Retirement System("PERS" The City shall maintain its contract with the California Employees Public Retirement System(CalPERS) that provides VFMA unit employees with the three percent(3%)at 50 safety retirement benefit plan. As a result of the recent passage of AB 340 Public Employee Pension Reform Act (PEPRA), new CAPERS members hired on or after January 1, 2013 who meet the definition of new member under PEPRA shall be provided a 2.7%at 57 CaIPERS retirement benefit plan. Unit members identified as CaIPERS"Classic Members"shall be responsible for paying their CalPERS nine percent (9%) employee-s contribution_ Unit members identified as "Neu• Members under the CalPERS definition as a result of PEPRA shall be responsible for paying their applicable CAPERS employee's contribution. Section 2: Snoplemental PERS Retirement Benefits The City agrees to provide additional supplemental retirement benefits to VFMA unit employees under CalPERS as follows: • Gov't Code ion:20042—One You Final Compensation: Final compensation is the average full-time monthly pay rate for the highest twelve(12) consecutive months. • Siov't Code Section:20124=Milita1y Service Credit as Publig Service: Employees may elect to purchase up to four(4)years of service credit. • Gov't CodeSection:21574—4th Level of 1959 Survivor B ts: • Qgv't Code Section:21624&21626&21628-Post Retirement Survivor Allowance: Provides surviving spouse fifty percent(50%)of the amount of retirement allowance,dependent on option choices,that is in effect at the time of death of retiree. • Pre-Retirement Option 2W Death Benefit 21548 • Gov't Code Section:20965-Credit for Unused Sick Leave 26 Section 3: Cafeteria Plan ,The City and the Association agree to a section 125 cafeteria plan(non-cash out),effective July 1,2016- _ Formatted:Font:Tines New Raman The City will adhere to the cafeteria plan requirements in accordance with IRS Section 125 regulations. Fortuatted:normal,indent:Fvst Idle: 0", Space Before: 0 4 pt,After: 0 pt,Line The City shall provide to each employee in this bargaining unit a monthly allowance toward the cost of spacW !4� his/her medical plan as outlined in subsections A,B,C,and D below. In the event an employee does not exhaust nor exceed his/her monthly medical allowance, the employee shall be allowed to apply any unused portion towards the purchase of dental,vision,supplemental or ancillary plans offered through the City and approved by the Director of Human Resources. Section 4: Medical: The City offers various medical plans to employees. The City reserves the right to select,administer,or fund any fringe benefit programs involving insurance that now exist or may exist in the future. The City shall meet with the Association prior to any change of insurance carrier or method funding coverage for any fringe benefits listed in this article. FFormatted:Space Before: 0 4 pt � A. puring the term of the Agreement, for employees who elect Employee + Family covetage, the- Formatted:Font:11 pt City agrees to provide a cafeteria plan contribution equal to the total premium costs of the F01v Normal,Justified,Spare Before: 0.4 M Line spacing: 1.5 lines,Numbered+ Employee + Family Low Medical HMO, Employee + Family lowest cost Dental DMO and Lam:1+Numbering Style:A,B,C, +start at:1+Alignment:Left+AlgnFrd at: 0 25'+ lowest cost family vision plan. Employees enrolled in the Employee+ Family health benefits Indent at: 0.5" category that elect a health plan higher than the Low HMO medical,dental and/or vision,will be responsible for any applicable premium costs through a pre-tax payroll deduction. The City understands that this amount will vary based on the premium costs that go into effect on January Ist of each calendar year of the term of this Agreement. If employees opt out of dental and/or vision, they may use the allotments for those respective coverages toward excess medical premiums. B. puring the term of the Agreement,for employees who elect Employee-Only,Employee+Spottsr _,. Formatted:Font 11:x, and Employee + Children tiers, the City agrees to provide the same flat dollar cafeteria For im -.Normal,Justified,Spare Before: 0.4 M Lm spacig: 1.5 lines,Numbered+ contribution for medical, dental and vision benefits that the City is paying as of June 2016 for L&M:1+Numbering Style:A,B,C, +Start at:1+Alignment:Left+Aligned at: 0.25"+ these employee health group tiers. That amount is$1,100 per month. Employees who elect one Wlentt at: 05" of these tiers must pay for their dental and vision benefits from this cafeteria contribution. The parties understand and agree that this amount will remain fixed during the term of this 27 Agreement. Provided,however,should the total premium cost of the lowest cost medical HMO, lowest cost Dental DMO,and lowest cost vision plan exceed the current flat rate dollar cafeteria contribution for medical,dental,and vision benefits for any of the tiers,then the contribution for that tier will be raised to equal the total premium costs of the Low Cost Medical HMO, lowest cost Dental DMO, and lowest cost vision plan for that tier. Employees that elect a health plan higher than the applicable City contribution will be responsible for any applicable premium costs through a pre-tax payroll deduction. If employees opt out of dental and/or vision,they may use the allotments for those respective coverages toward excess medical premiums. C. for unit employees enrolled in the HSA PPO plan,the City shall pay up to the city contribution- Formatted:Font-,11 pt for their specific tier as set forth in A and B above reduced by an annual amount of S3,000. In Formatted:Normal,Jusbfied,Spam Before: 0.4 M Line spacing: 15 lines,Numbered+ addition, for each employee enrolled in an HSA PPO plan, annually the City shall make lump Level:1 +Numbering Style:A,B,c, +Start at:1+Alignment:Left+Aligned at: 0 25-+ sum contributions to a health savings account(HSA)as follows S1,500 in January,and S500 each Inclerd at: 0.5• in March, June, and September. The cost of any HSA PPO plan selected by employees that exceeds the City contribution amount shall be paid the employee through a pre-tax payroll deduction. D. puring the term of the Agreement, Employees will be allowed to opt in to the Employee +— _ Formatted:Font I I pt Family plan during any open enrollment period or upon a qualifying event as prescribed by the Formatted:Normal,]ustdied,Space Before. 0-4 pt,After: 0 M Line spacing: 1.5 lines, City's insurance provider. Numbered+Level:1+Numbering style:A,B, C, +start at:1+Alignment:Left+Aligned at 0.25'+I dent at: 0.5" ,Should employees represented by the Vernon Firemen's Association (VFA) receive across-the board- _ - Formatted:Fors 11 pt enhancements to the existing medical benefit program between July], 2016, and June 30, 2019, a like roreta Gfi tted:Normal,lused,Indent:Left: D',Space Before: 0.4 pt,After: 0 pt,Lire increase will be provided to employees represented by the VFMA. mg: 1 5 Imes .1. - -�� **FN- it dt!E,_i . - ��� �,�� +rter pFh�an�urr►f�t� pe,%M4'e+l-4WF-ffF... . .--gj,9dle►ldfh++r.d*LV i, _...__ r.._ ,......r_1_ ._.. nrld iF+k+c pgid4 riIr wnpl#+rrr#l4 lr a Hp sit Pa�FWE dtduern+e. The Citv of Vernon provides a dental insurance an to employees. It the event an employee does not exceed hiv3ler monthly emplover rttedical altc�t�an4t,.thC cntplr+yce strap br j(Inuco to Rly anv unused pion toward th__purchase of dental insurance for himself herself and eligible dependents. The cost of 28 am plan,- .. -._b\ the e111om„1 1. chat e\cee,h_hi,her mondil% emplu%er medical alhouancz;hall be paid bt [he empl�yzzrhrough_ :_ta\pa rcildcclutrion Should employees represented by the Vernon Firemen's Association (VFA) receive across-the board enhancements to the existing dental benefit program between July 1, 2016, and June 30, 2019, a like increase will be provided to employees represented by the VFMA Section 6• vision- The City of Vemort provides a vision care plan to employees.The City shall pay 100%of the cost of such a plan for employees only.Employees shall have the option of purchasing vision care for their dependents at a cost of S6.95 for one dependent or S 13.95 for two or more dependents. [mntnvpes fne p%fe.-_e r--+- � ram.�......_ In the event an enipl-oyee doe,not exceed-his.her monthh, employer medical allowance. the emylovveee_shall be allo%%ed to apply am-unused portion towards the purchase of additional prodded cot eragiz-forvision care. ,All itemized benefit amounts specified in the City of Vemon Vision Plan(CVVP)that fall below Sl 50 -_--- Formatted:Fart-Times New Roman shall be raised to S 150. Formatted:Normal,Left,space niter: 0 Pt, Line sparing: 1.5 tines Formatted:Fart:Times New Roman Should employees represented by the Vernon Firemen's Association(VFA)receiv a across-the board enhancements to the existing vision benefit program between July I,2016 and June 30.2019,a like increase will be provided to employees represented by the VFMA Section 7: Life Insurance: The City provides a life insurance plan to employees The City shall pay 1001/o of the cost of such plan for employees. The City's agreement to pay full or partial costs of said premiums shall not create or ripen into a vested right for said employee;hoverer,the City shall be obligated to pay the cost or provide said medical, dental,vision.and life insurance benefits as described so lone as this MOU remains in effect. Section 8: Deferred Compensation 29 The City shall continue to administer the existing 457 deferred compensation program for all unit employees. Section 9: Education Reimbursement The educational reimbursement program is a financial assistance program that offers reimbursements for tuition,fees and books up to a maximum of 52,200 per fiscal year.The fiscal year is July I through June 30.Employees are eligible for this assistance after 12 months of uninterrupted employment with the City of Vernon. A grade of-C"or better(or"pass'-if on a pass/fail basis) is required for reimbursement. A request for reimbursement must be made within 60 days of receipt of grades and should include the following:a copy of the final grade report, a copy of expenses for tuition, fees, and books; and a completed and signed tuition reimbursement form. Sectionlo: Other City Employee Programs VFMA unit employees are eligible to participate in all City-sponsored programs passed by City Council Resolutions that are intended to benefit all employees in the arras of,but not limited to,the following: • Buy back of military leave for PERS retirement time—Gov't Code 21024 • Computer loan purchase plait—Resolution-2011-67 • Life insurance • Corrective eye surgery plant—Resolution 2011-65 • Hearing aid device plant—Resolution 2011-66 • Family Medical Leave Act(FMLA) • Flexible Spending Account(FSA) Section 1 I: Retiree's Medical Employees must retire from the City of Vernon under a CalPERS Benefit Formula(i.e. Age 50 or 57 Formula)to be eligible for Retiree Medical/Dental Benefits. The City shall pay up to SI,100 per month towards the employee's HMO medical and dental insurance premium for the employee and his/her eligible spouse in the classifications represented by the Vernon Fire Management Association who ha%e been employed for a minimum of twenty (20) years of continuous service with the City of Vernon_ The maximum $1,100 City contribution shall be applied 30 only toward a city provided HMO medical and dental premium plan payment and shall have no cash surrender value. The City will pay the cost of the HMO medical and dental premiums for those retired employees with qualifying years of service and age requirements,and offer the PPO as a"buy-up"option, for which qualifying retired employees shall be responsible for the difference in premium cost. The City's contribution toward the Retiree HMO Medical/Dental Benefit Plan shall continue for said retired employee and eligible spouse up to the age of sixty-five(65). Upon reaching the age of sixty-five (65),the retiree and/or eligible spouse shall apply for Medicare coverage,whereupon the City's insurance shall become supplemental coverage. The City shall pay up to 100%of the cost to provide any Medicare supplemental medical and dental insurance plan offered by the City of Vernon, not to exceed 51,100 per month. The City will not be the primary insurance carrier once the retiree and/or employee reaches the age of sixty-five (65). If the retiree or eligible spouse fails to timely obtain and maintain Medicare coverage, the City shall not be required to provide any medical/dental benefits until such Medicare coverage is obtained and maintained. The maximum 51,100 City contribution shall be applied only towards a City sponsored Medicare supplemental medical and dental premium plan payment and shall have no cash surrender value_ All retired employees with a minimum of ten(10)years of continuous uninterrupted smite with the City may pay the City's premium cost for medical and dental insurance up to the age of sixty-five(65)after which time Medicare will become the primary insurance carrier. The retired employee may remain on the City's supplemental insurance to Medicare at his/her cost provided the retiree has timely obtained and maintains Medicare coverage. Should the retired employee fail to pay his/her required cost of the insurance premium for the City's medical/dental benefit plan for any three(3)consecutive months or,should the coverage otherwise lapse for any reason other than City's non-payment, then the City's obligation to maintain the retiree's medical/dental benefit plan shall automatically terminate without the need for further notice. Eligible retired employees and spouse may opt not to enroll in the City's medical and/or dental insurance coverage and instead receive a monthly reimbursement for premiums actually paid up to the City HMO medical/dental value up to 51,100 per month as permitted by the Public Employee Pension Reform Act (PEPRA). Once a retired employee opts not to enroll in the City's medical and/or dental insurance,he or she will not be allowed to re-enroll. All other existing qualifiers in Article Seven,Section I I shall stay in effect. 31 ARTICLE EIGHT VACATION Section I: Vacation Time A. Annual Accrual For 56-Hour Personnel • 9 years or less: 13 shifts(12 hours per pay period) • 10•24 years: 15 shits(13.85 hours per pay period) • 25 or more: 16 shifts(14.77 hours per pay period) B. Annual Accrual for 40 Hour Personnel • 9 years or less: 120 hours(4.62 hours per pay period) • 10—24 years: 160 hours(6.16 hours per pay period) • 25 or more: 170 hours(6.54 hours per pay period) C. Policy A Maximum of I platoon personnel per shift shall be permitted off on vacation leave D. Carry Over of Vacation Leave Employees are permitted to carry-over one year's annual accrual from calendar year to calendar year. At the end of every calendar year,employees H ho have accrued vacation hours in excess of their permitted carry-over shall be paid their regular rate of pay of all such excess hours. Section 2: Vacation Leave—Administrative Personnel 32 At the time an employee is transferred to the administrative work schedule,his or her vacation leave balance shall be converted from the suppression work schedule rate to the administrative work schedule rate by dividing the accrued balances by 2.4(example: 90 hours ofsuppession vacation time—1.4= 3 7.50 hours of administrative vacation rime). Said converted balances shall be available for employee's use while assigned to the administrative work schedule in accordance with applicable policies. At the time an employee is returned to the suppression work schedule,his or her vacation leave balance shall be converted back to suppression hours by multiplying the hours by 2.4(example:37 50 hours of administrative vacation time 1 4—90 hours of suppression vacation time). Said converted balances shall be available for employee's use while assigned to the suppression work schedule in accordance with applicable policies. Should an employee separate during the time of their administrative assignment,the accrued balance shall be converted back to suppression hours by multiplying the administrative hours by 2.4 and paid out at the suppression hourly rate. (example:37.50 hours of administrative vacation time X 2.4—90 hours of suppression vacation time). 33 i RTIC E NINE unl l�.lc FOrmitte&Catered yftF FornaftW:Centered.L'sle spadW: sw9le 4e lhi ` J Form Umd:Centered 4#L-i4le4k%LdNof01&Vems RflEt i _ed . -�d 1.....Fr -I...I 14....a- y - _ Forinaeped:Cel'�.e'g7.LxSe spaIng Woo .-".-I--'-- ...... eHtek -tI}i{! - - may. - - Ppe-rinuy�-iierhhelF' cl..kdd.. ..I......... FePF wawa by the err........,..C:.n..en' •-c AcceEisei.@n rVF-ss 1 r 'ri�� sc ,y4�.l40K-Mk -LImp4..... ..rC_.._,.I. .4.,...J......:n. Y._-.L ._-I..tJ..Ia I.S SP hOF ivllniiit of iii i i.Nr -"9e of eds'!kbb TT�r1q$4�`�f-I{-1.. I . .._L1 Ak- ....�'i`. L.3I......f .s.,ll _..L..1.lii f-kl of .i I. 1 . -_..I. TT t.RI t__OF She_ the ,.FI selied..le ai6 1.. EIF ...1i. eel 1 11 Hd O She ilI-.II R HOLdR a l.. Lie.]LJ..I.dR% T... s. H. .-t<..5L...11 sle a :.I Od....1.L Y'....'-.1.441..dFFr.dar.COO .&eh 6fA WAY lie LN Sht -..I...a.. Fll wpi:ilm, I-e_ _ le .` WW alF OLEF O_.J.....-,- ..4.4L...... v h�x7'P 34 1* &-ni ed a 35 ARTICLE Z-E-NNINE SICK LEAVE Section 1: Sick Leaae Unit employees only receive sick leave accrual while they are in a paid status- full-time Platoon personnel accrue sick time at the rate of 5.54 hours per pay period(144 hours annually).___- Formatted:Font: lip( Upon reaching the cap of 1440,employees will continue to accrue sick leave provided, however, in the Formatted:Body Text IMI,Line spau"JT�+ 1.5 Imes,Tab stops:Not at -0 83"+ •0 5final pay period in December each year all accrued sick leave in excess of 1440 hours shal I be cashed in 0"+ 1.13"+ 1.98"+ 2.38"+ 2 75,.+ 3 25"+ 3 75" at Fifty percent(50%)of the employee's regular rate of pay. Part-time and temporary VFMA employees (excluding CAPERS retired annuitants) working for 30 or more days within a year shall be entitled to accrue paid sick days at the rate of one(1)hour per every 30 hours worked. Employee shall only receive sick leave accrual while they are in a paid status. Formatted:Body Text i,btl,Indent:Lett: 0" Full-time forty-hour (40-hour) personnel accrue sick time at a rate of 3.96 hours per pay period (103•-- Formatted:Body Text 1,bt1,Lune spin- 1.511nes,Tab stops:Not at -0.83"+ -0 5"+ hours annually). Upon reaching the cap of 1029, employees will continue to accrue sick leave 0"+ 1.13"+ 1.88"+ 2.38"+ 2 75"+ 3"+ 3.25+ 3.75" provided,however,in the final pay period in December each year all accrued sick leave in excess of 1029 hours shall be cashed in at fifty percent (50%) of the employees regular rate of pay. Part-time and temporary VFMA employees(excluding CalPERS retired annuitants) working for 30 or more days within a year shall be entitled to accrue paid sick days at the rate of one(1)hour per every 30 hours worked Employee shall only receive sick leave accrual while they are in a paid status. OF tefflinElfeS AIEr the Ctrr:+ikw rli Fr_4H+ff"HW a!19(44+r aer+ ewe t1�itk'I vahoukrrrl+ll1e OWL-0 - up it-flirt 11�F.Ftjpri)�e&.,tfrn#- Bif leFrol I 1. than 20 a dit1009. mefe--ma..-Y*+-7c-ar§- -�ci-:icc-cFcvrr'kl��e-EBR�eHSa[e�,aC- - '--eflHetPEtlFrt'gt pay Fa#x-spp4t 44j.4h•F--.�� . 4kf*_ �...UP' 1 h,...-.- c.- W 1100 PeESDHFje�+Oft ��ta�f�r �+2' affef fh9rnp-+&-F1?e LOP. F.Mrti-rers ww7► 4MV! =Ul;I!HF5 S€ner+11,v 11 -13t rraslrrr REM F i--M I I" ;ij%e:w op t Hi d€etibf9isxMr idF++2r-2rri+! tor-4"r W_�L cl_ lrrtc+.Q4 5ec .4t"k-e#H -IFi! E . 36 R.A. _ If an employee resigns from the City with 20 years or more of continuous service,he/she will be compensated for all unused sick leave hours in his/her sick leave bank at the time of separation at 50%of his/her then current regular hourly rate of pay. C.B. If an employee retires from the City with at least 15 and less than 20 years of continuous service, he/she will be compensated for all unused sick Ieave hours in his/her sick leave bank at the time of separation at 50a/a of his/her then current regular hourly rate of pay. 1}C. —If an employee retires from the City with 20 or more years of continuous service,he/she will be compensated for all unused sick leave hours in his/her sick leave bank at the time of separation at 100%of his/her then current regular hourly rate of pay- E.D.- An employee who is absent on sick leave for more than one (1)consecutive shift will be required by his or her supervisor to provide a physician (or Chi ropractic/Physician Assistant) note in order to be paid for the sick leave. Should employees represented by the Vernon Firemen's Association(VFA)amend their MOU contract language regarding Sick Leave between July 1,2016 and June 30,2019,the City and the VFMA agree to amend the VFMA MOU to incorporate such changes. Section 2: Sick Leave Conversion At the time an employee is transferred to the administrative work schedule,his or her sick leave balance shall be converted from the suppression work schedule rate to the administrative work schedule rate by dividing the accrued balance by 1.4(example: 112 hours ofsuppression sick leave -1.4=80 hours of administrative sick lime). Said converted balances shall be available for employee's use while assigned to the administrative work schedule in accordance with applicable policies. At the time an employee is returned to the suppression work schedule,his or her sick leave balance shall be converted back to suppression hours by multiplying the hours by 1.4(example:80 hours of administrative sick time X 1.4= 112 hours of suppression vacation pme). Said converted balances shall be available for employee's use while assigned to the suppression work schedule in accordance with applicable policies. 37 Should an employee separate during the time of their administrative assignment,the accrued balance shall be converted back to suppression hours by multiplying the administrative hours by 1.4 and paid out at the suppression hourly rate. (example-80 hours ofadministrative sick time X 1.4= I12 hours of suppression sick time). 38 ARTICLE`LEVE NTEN LEAVE BENEFITS Section 1: Jury Dutv A. All regular full-time employees summoned to sere on jury duty shall be provided-'Jury Duty Pay' and there shall be no loss of compensation. An employee will be compensated up to tuo weeks at full pay for jury duty. The employee must provide notice of the expected jury duty to his or her superisor as soon as possible, but in no case later than 14 calendar days before the expected start date of the jury duty. B. An employee on call for jury duty is expected to report to work. An employee who is called in for jury duty will be required to return to work as soon as they are released from jury duty. All employees shall obtain verification of the hours of jury duty performed using verification forms as may be supplied by the court_Employees released from their jury duty obligations shall notify their Supervisor. For the purposes of this section, "released from jury duty" shall mean that the employee is relieved from jury duty for the day and not required to report for jury duty the following day. C. Except as herein provided,employees shall remit to the City any compensation received for those days while on jury duty and shall receive regular pay for the time served. Employees shall be reimbursed by the City for the mileage portion of the jury duty compensation. Jury duty performed on an employee's regular day off shall not be compensated by the city and the employee shall be entitled only to the court's compensation for duty performed on such employee's regular day off. D. If an employee is required to serve on a jury for a period longer than two weeks, the employee shall be entitled, at the employees' option,to use any accrued leave time.other than sick time, during the period of extended jury service. The employee shall continue to receive all paid benefits,and shall continue to accrue eligible leave benefits. Section 2: Bereavement Leave Permanent full-time employees, regardless of period of service, may in the event of death or if death appears imminent, of any -,immediate family member' as defined below, including the equivalent relatives of a registered domestic partner, be allowed up to forty-eight (49) hours over two shifts of 39 bereavement leave without loss of salary. An employee shall not be granted paid Bereavement Leave for more than 48 hours in any six-month period for the same family member. Relatixe All Regular Employees Spouse 48 hours Child 48 hours Registered Domestic 48 hours Partner Step-Child 48 hours Parent 48 hours Step-Parent 48 hours Mother-in-law 48 hours Father-in-law 48 hours Grandchild 48 hours Step-Grandchild 48 hours Grandparent 48 hours Grandparent-in-law 48 hours Brother 48 hours Sister 48 hours Step-Sister 48 hours Step-Brother 48 hours Daughter-in-law 48 hours Son-in-law 48 hours Brother-in-law* 48 hours Sister-in-law* 48 hours *Brother-in-lain and sister-in-law are defined as the spouse of the employee's sibling or the sibling of the employee's spouse. B The bereavement leave begins on the first regularly scheduled workday as requested by the employee.If the employee learns of the death while at work,he or she is entitled to leave work immediately;this partial day leave will not be counted towards the bereavement leave. C Bereavement leave must be authorized by the Department head and must be utilized within fifteen(15)days of employee learning of the death,or of the date of foreseen imminent death of the immediate family member,unless special circumstances require that the leave begin at a later date.Such requests to the Department head shall be made within 15 days of the employee teaming of the death or of the date of foreseen imminent death and shall not be unreasonably denied. 40 D_ Representatives may be selected by the Department head to attend with pay the funeral of a co- worker in said department on behalf of the City if the funeral of the deceased co-worker occurs during working hours;prodded the funeral is held within a reasonable distance of City limits. Employees will be allowed to utilize their vacation time,any compensatory time,or any"in lieu'holiday time that is due to the employee,in order to lengthen such bereavement time. The employee shall furnish satisfactory evidence of such death or critical illness to the Fire Chief, if requested. 41 ARTICLE TM EIA—EELEVE\ WORK SCHEDULE Section 1: FLSA Work Period The FLSA work period for unit employees assigned to a daily cork schedule of twenty four(24)hours shall be a fixed and regularly recurring work period of twenty-four consecutive days(576 hours) Section 2: Work Schedules A. Platoon Personnel Unit employees assigned to a 56-hour work week shall work a 48/96 work schedule that consists of two consecutive 24-hour shifts followed by 96 consecutive hours off, on a rotating three platoon basis(A,B&C Platoon)_ Employees that work such schedule average 56 hours a week and 112 hours per pay period. Unit employees assigned to work a 48/96 schedule shall begin work at 0700 hours and terminate at 0700 hours following two 24-hour periods- B. 40-Hour Personnel Unit employees assigned to work a 40-hour work week shall be assigned to a 4/10 schedule that consists of four(4)consecutive work days of ten(10)consecutive work hours each, inclusive of paid breaks and an unpaid 30-minute meal period,followed by three consecutive days off,each week. Unit employees on such schedule shall be assigned to work Monday through Thursday between the hours of 0700 to 1730 hours, unless an alternate schedule is approved in writing by the Fire Chief and VFMA. Section 3: Shift Trades The practice of shift trading shall be voluntary on behalf of each employee involved in the trade. The trade must be due to the employee's desire or need to attend to a personal matter and not due to the department's operations. The employee providing the trade shall not have his/her compensable hours increased as a result of the trade, nor shall the employee receiving the trade have his/her compensable hours decreased as a result of the trade. 42 If one individual fails to appear for the other(regardless of the reason),the person who was scheduled to work as a result of the shift trade will be listed as absent without leave and may be subject to discipline. Any premium pay or other extra compensation shall continue to accrue only to the person originally entitled to the premium pay or extra compensation.Any hours worked beyond the normal work day will be credited to the individual actually doing the work."Paybacks"of shift trade are the obligation of the two employees involved in the trade. Pay-backs are to be completed within one(1)calendar year of the date of the initial shift trade. Any dispute as to the paybacks is to be resolved by the involved employees,and under no circumstances will the department be obligated for any further compensation whatsoever to any of the involved employees. The department is not responsible in any manner for hours owed to employees by other employees that leave the employment of the City or are assigned other duties.A record of all initial shift trades and"paybacks"shall be maintained by the involved employees on forms or computers provided by the Department. Section 5: Early Relief The practice of early shift relief shall be voluntary on behalf of each employee involved in the relief.The employee providing the early relief shall not have his/her compensable hours increased as a result of the early relief,nor shall the employee relieved early have his/her compensable hours decreased as a result of the early relief. 'Paybacks"of early relief hours are the sole obligation of the two employees involved in the early relief. Any dispute is to be resolved by the involved employees,and under no circumstances will the Department be obligated for any further compensation whatsoever to any of the involved employees.The Department is not responsible in any manner for hours owed to employees by other employees who leave the employment of the City or are assigned other duties. 43 ARTICLEm"'�U T%%EL%E GRIEVANCE PROCEDURE Vernon has adopted a grievance procedure applicable to all Firefighters containing the following principles: A grievance shall be defined as an allegation by an employee or the Association of misinterpretation, misapplication or violation of a particular provision of this MOU.City policy, rule or past practice The grievance procedure shall not be used in connection with an impasse in collective bargaining, nor with disciplinary actions or other matters for which appeal procedures exist under the Discipline and Disciplinary Actions article herein,or pursuant to statute. DAYS "Days'as used herein shall be defined for the purposes of the Article as any day in which City Hall of the City of Vernon is open to the public for the general conduct of business. GRIEVANCE PRESENTATION AND PROCEDURES €mployees shall have the right to present their own grievance or do so through their Association- _ Formatted:Font Times New Roman representative. Formatted:Norviat,Justified,Line wpacirg: 1.5 kles Grievances shall be processed on standard forms provided by the Depariment of Human Resources and- Formatted:Font:Times New Roman shall contain information which (a) identifies the aggrieved, (b) contains the specific nature of the ForinaVed:Normal,Jusbified,tine Swing: 1.S tines � grievance,(c)indicates the time or place of its occurrence,if known.(d)states the article(s)of the MOU, City policy,rule or past practice which have been violated,misinterpreted or misapplied(e)indicates the persons contacted at the informal stage, if applicable, and (f) states the corrective action desired. Grievances may be submitted via email,so long as the employee attaches the grievance form to the email by the required time line. If an employee includes attachments to the grievance form and those attachments are not included in the email or in-person submission,the City shall notify the employee that all attachments were not included and that the deadline for the City to respond to the grievance will not begin to run until all the attachments are received_ yailure by management to reply to _the employee's grievance within the_ time limits specified- Formatted:Font:Times New Roman automatically grants to the employee the right to process the grievance to the next level. Failure by Fanir'atted:Normal,Justffied,Line q-- 1.5 li-es management to respond shall be reported to the Human Resources Director by either the aggrieved employee or Association Representative. If an employee fails to appeal from one level to the next within 44 the lime limits established in this grievance procedure, the grievance shall be considered settled on the basis of the last decision,and the grievance shall not be subject to further appeal or reconsideration. All time periods specified in this procedure may be extended by mutual written(including email)consent of the aggrieved employee(e),Association representative and the Human Resources Director. INFORMAL PROCEDURE Within eiroW++else(I?R)days of the date the employees)knew or reasonably should have known of the- rwmatced:Font:rmes Ne,,Roman incident giving rise to the grievance, the employee may discuss the complaint with his/her immediate Formatted:Normal,)usnried 1 supervisor. Employees are encouraged to discuss complaints with their immediate supervisor in an attempt to resolve the grievance at the lowest possible step. An employee,at his or her sole discretion,may opt to skip the Informal Procedure resolution process and instead go directly to Step One. If an employee chooses to proceed with the Informal Procedure, he/she or their Association representative shall inform the Human Resources Director, within one day of initialing the Informal Procedure, that he/she has initiated the Informal Procedure and the date the informal grievance was first discussed with his/her supervisor. Within eigh mehe (138) days of the discussion with the employee, the supervisor shall respond in writing to the employee's complaint. If the employee is dissatisfied or if the supervisor fails to respond, the employee shall have access to the formal grievance process described below Step One—Department Head The aggrieved employee shall present in writing as prescribed above his/her grievances to the Fire Chief within fe*-t++el.a(13#))days of the dale the employee(s)knew or reasonably should have known of the incident giving rise to the gnevance. The Association and/or employee(s) waives the right to proceed with the grievance if the grievant does not initiate the procedure by this deadline. Within mcl+etew (1?444) days, the Fire Chief, or the designee of the Fire Chief, shall meet with the Association and employee(s) to hear the grievance. Within ewWL%%e1%e(l28)days of hearing the grievance, the Fire Chief or designee shall present his/her decision, in writing, to the Association and/or employee(s) with copies to the Human Resources Director and the City Administrator. If the Union or employee(s)is riot satisfied with the result of the meeting with the Department Director, the grievant may submit a written request, within eig4Htuche(128)days of the written decision of the Department Director,that the matter be heard by the City Administrator or designee. -I5 i Step Two-City Administrator/Advisory Arbitration If the Association or employee(s)is not satisfied with the result of the meeting with the Fire Chief,within eigki—twelve(138)days the grievant may submit a written,request,within eimglwtwelse(f 28)days of the written decision of the Department Head,that the matter be heard by the City Administrator or designee, or the employee(s)and/or Association may choose to have the matter heard by an impartial hearing officer(arbitrator). Should the matter be submitted directly to the City Administrator or designee,he/she shall meet with the- Formatted:lusGfied Association and/or employee(s)within Mel.etee(1234)days of receipt of the grievant's written notice. If the Association and/or employee(s) elects to have the matter heard by the City Administrator or designee,the Association and/or employee(s)waives the right to have the matter heard by an arbitrator. Within twel�eerg!►t (128) days of hearing the grievance, the City Administrator shall provide his/her decision, in writing,to the Association and/or employee(s).The decision of the City Administrator shall be final and binding. If the Association elects arbitration,costs of the arbitration shal I be shared equally between the Association and the City_ A court reporter shall be retained only by mutual consent of the parties. The costs of the arbitration,including the court reporter,shall be divided in half(i.e.50150)by the parties. Attorney fees,staff time and witness fees shall not be shared between the parties and shall be paid by the parry that incurred the cost. If the Association elects arbitration,the City shall request a list of five(5)arbitrators registered with the American Arbitration Association_California Slate Conciliation Service or some other mutually agreed upon source within ten(10)days of the Association's request. Upon receipt of the list,the parties shall alternately strike names from the list until a final name is selected as the hearing officer,with the Association striking first. The selected arbitrator shall serve as the hearing officer. All arbitration proceedings arising under the Grievance procedure shall be governed by the provisions of Title 9,Part 3, of the Code of Civil Procedure of the State of California. Within fret-twelve(124-0)days of receipt of the arbitrator's recommendation,the City Administrator shall provide his/her decision,in writing,to the Association and employee(s). The recommendation of an arbitrator shall be ad%isory to the City Administrator or designee. The decision of the Ciry Administrator 46 Ishall be final and binding,subject io rlre opt ion of the emplov�ew bring as nroreedirgpursuant to Code Qf Civil Procedure sections 1094-5 and 1094.6. All time limits specified in the foregoing procedure may be waived only by mutual written agreement. §hould employees represented by the Vernon Firemen's Association(VFA)amend their MOU contract Forwotim Font 11 p language regarding Grievance Procedures between July I, 2016 and June 30, 2019, the City and the VFMA agree to amend the VFMA MOU to incorporate such changes. 47 ARTICLE F-^'�TTHIR-TEEN DISCIPLINE PROCEDURE A. DISCIPLINARI ACTIONS 1. The tenure of every City employee shall be based on reasonable standards of personal conduct and job performance. Failure to meet such standards shal I be grounds for appropriate disciplinary action, which shall be commensurate with the seriousness of the offense and with consideration of the employee's personnel file. Progressive discipline will be used; however, this does not preclude the City from taking disciplinary action,up to and including termination,for an incident for which there is no prior documentation as long as the disciplinary action is warranted and is based on just cause. 2. The following procedures shall be followed when,in the judgment of the Department Director,an employee has committed an actor omission that justifies discipline. The Department Director or his/her designee shall ad%ise employees of contemplated disciplinary actions in writing and allow the employee an opportunity to respond to such charges prior to taking final action. a. Disciplinary actions should be documented in the employee's official personnel file. Performance deficiencies documented in the employee's performance evaluation as "does not meet standards" may be the basis for disciplinary action if the employee fails to correct those performance deficiencies within the time period designated by his/her supervisor. To the extent possible,performance deficiencies or other causes for discipline will be documented in the employee's personnel file. b. Upon the City receiving authorization from the employee, the City will provide the Association with all written notices of discipline given to employees represented by Association. The written notice of discipline will also inform the employee that he/she has the right to consult with the Association with regard to the disciplinary action being taken. C. Nothing in this article shall preclude the Fire Chief or his/her designee from ordering an employee to cooperate with other agencies involved in criminal investigations. If an employee fails to comply with such an order,the employee may be officially charged with insubordination. B. PRE-DISCIPLINARN PROCEDLRES Prior to the discipline of any permanent employee,the following procedures shall be followed. This process shall not be applicable to performance evaluations or verbal counseling/repnmands. 48 WrItka 129dee of Propmed Actlom Written notice of the proposed disciplinary action shall be given to the employee.Such notice shall include the proposed effective date of the discipline,a statement of the reason(s)for the proposed action, including the rule or standard of conduct allegedly violated,the proposed discipline and the charge(s) being considered. Emmiovee Review The employee shall be supplied with a copy of the documents or materials upon which the proposed disciplinary action is based. Employee Resmomse/Pre-Discimilmary Comfereaee The notice of proposed action shall state the date by which the employee must exercise the right to respond orally, in writing or both orally and in writing. This represents the pre-disciplinary opportunity for the employee to state any reasons that he/she believes the proposed action to be inappropriate. The employee shall have a reasonable amount of time to respond, which shall not be fewer than five days. This date may be adjusted by mutual agreement. Failure to respond by the assigned date will constitute a waiver of the right to respond. Any response will be fully considered before any final action is decided upon. The Pre-Disciplinary Conference does not need to be an evidentiary hearing.An employee has the right to have a representative of his or her own choosing at the conference. The City may conduct further investigation if the employee's version of the facts or new information raises doubts as to the accuracy of the City's information leading to the discipline proposal. Writtem Notice of Rmal Acdom After consideration of the employee's response,or in the absence of a response,written notice of the final disciplinary action shall be given to the employee. Such notice shall include essentially the same information contained in the notice of proposed action,except that the employee's formal appeal rights shall be stated. Emermemcies When,in the opinion of the City,immediate disciplinary action is required to protect the health,safety or welfare of the public,other employees or the employee himself,the employee may be suspended w ith oar -1a pending the processing of the notices required in Section B of this article ind Pending the Lorroh-Ation of si, lr inn esrrgarions or hcarirEp a m�ti bc-UgyULWd dcr4rmine if drscioLnar}' action is to" lak;n,.,. C. DISCIPLINARY APPEAL PROCEDURES The appeal process shall not be applicable to newly hired probationary employees. The appeal process shall not be applicable to performance evaluations,or verbal reprimands. An employee desiring to appeal the discipline shall have ten(10)days after receipt of notice of discipline. The employee's request for appeal must be addressed to the City Administrator and received in the Human Resources Department. The Human Resources Department shall date stamp the employee's appeal to verify the timeliness of the appeal. If,by the expiration of the(ten)10 day appeal period,the employee does not file the appeal,unless good cause for the failure is shown,the discipline shall be considered conclusive and the right of appeal to have been waived. if the employee files a timely appeal,an appeal hearing shall be established as follows: I. The employee and the City shall jointly request the State Office of Administrative Hearings to appoint an Administrative Law Judge(AU)to hear the appeal and to render a decision advisory to the City Administrator. The City and Association will share equally share(i.e.50/50)the hearing-related expenses such as AU fees and court reporter fees,but excluding attorney fees, expert witness(es)and staff time. 2. All appeal proceedings arising under this procedure shall be governed by the provisions of Chapter 5(commencing with Section 1 1500)of Part 1 of Division 3 of Title 2 of the California Government Code. 3. All time limits specified in the procedure maybe waived by mutual written agreement. 4. At the conclusion of the hearing, the ALI will submit his/her findings to the City and the employee. Within ten(10)days of receiving the ALI's findings, the City Administrator shall 50 provide his/her decision, in writing, to the employee. The City Administrator's decisions shall set forth which charges,if any,are sustained and the reasons therefor. The opinion shall set forth findings of fact and conclusions_ The City Administrator's decision is final,subject to the option of the employee to bring a proceeding pursuant to Code of Civil Procedure sections 1094.5 and 1094.6. Should employees represented by the Vernon Firemen's Association(VFA)amend their MOU contract language regarding Discipline Procedures between July I, 2016 and June 30, 2019, the City and the VFMA agree to amend the VFMA MOU to incorporate such changes. 51 ARTICLE FIFFEEFOURTEEN MANAGEMENT RIGHTS Except as limited by the specific and express terms of this Memorandum of Understanding, the City hereby retains and reserves unto itself all rights,powers,authority,duties and responsibilities conferred on and vested in it by the laws and the Constitution of the State of California and/or the United States of America;provided, however,if the City's decision to exercise such rights,powers,authority,duties and responsibilities impacts the wages, hours and other terms and conditions of employment of unit employees,the City shall be required to First meet and confer on the impact and effect of such decision. The City retains all its exclusive rights and authority under State and Federal law and expressly and exclusively retains its management rights,which include,but are not limited to: A. The exclusive right to determine the mission of its constituent departments, commissions, and boards. B Set standards and levels of service C. Determine the procedures and standards of selection for employment and promotions. D. Direct employees. E. Establish and enforce dress and grooming standards F Determine the methods and means to relieve its employees from duty for lawful reasons. G. Maintain the efficiency of governmental operations. H. Determine the methods, means and numbers and kinds of personnel by which government operations are to be conducted. 1. Determine the content and intent of thejob classifications. J. Determine methods of financing- K. Determine style and'or types of city-issued wearing apparel.equipment or technology to be used. 52 L. Determine and/or change the facilities,methods,technology,means,organizational structure and size and composition of the work force and allocate and assign work by which the City operations are to be conducted. M.Determine and change the number of locations,relocations and type of operations processes and materials to be used in carrying out all city functions, including,but not limited to,the right to contract for or subcontract any work or operations of the City. N. Assign work to employees in accordance with requirements as determined by the City. O. Establish and modify productivity and performance programs and standards. P. For just cause only, discharge, suspend, demote, reprimand, withhold salary increases and benefits,or otherwise discipline employees in accordance with applicable state law. Q. Establish employee performance standards including, but not limited to, quality and quantity standards,and to require compliance therewith. R. Take all necessary actions to carry out its mission in emergencies. S_ Exercise complete control and discretion over its organization and the technology of performing its work. 53 SIGNATURES CITY OF VERNON VERNON FIRE MANAGEMENT ASSOCIATION Carlos R Fandino Jr. David Lazar City Administratorf'MERR" President William F. Fox Da%id Ktmes Director of Finance/City Treasurer Vice President Lisette M.Grizzelle Andrew Guth Senior Human Resources Analyst Treasurer Ana K.Rueda Todd Painton Human Resources Analyst Secretary APPROVED AS TO FORM: Zaynah Moussa Deputy City Attorney Dated: .2016 APPROVED AND ADOPTED BY CITY COUNCIL ON__ PER RESOLUTION NO. ATTI-Sr: Maria Ayala.City Clerk 54 RECEIVE _ RECEIVED OCT 12 20V OCT 12 2017 CITY ADMINISTRATii,, CITY CLERK'S OFFICE STAFF REPORT c4- Lo y ,2 l{I PUBLIC WORKS DEPARTMENT DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Daniel Wall,Director of Public Work Originator: Vincent A. Rodriguez, Public Works Project Coordinator VAIN RE: Request for Approval for Change Order No. 1, City Contract No. CS-0821: City Hall Roof Repairs Recommendation A. Find that the approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, pursuant to CEQA Guidelines sections 15301 (i.e., maintenance, repair or minor alteration of an existing structure, involving negligible or no expansion of existing use) and 15302 (i.e., replacement or reconstruction of existing structures and facilities where new structure will be located on the same site as the structure replaced and will have substantially the same purpose and capacity as the structure replaced); and B. Authorize the City Administrator to issue Change Order No. 1 in the amount of$14,002.06 for the unexpected changed condition in the City Hall Roof Repair project(CS-0821). Background This project replaces the roofing material on City Hall's main roof structure. The existing roof was in extremely poor condition and leaks throughout the structure.The scope of the project included: • Seal miscellaneous openings in the open membrane as needed prior to washing of the roof area. • Remove blisters,ridges,buckles,and other substrate irregularities from existing roofing membrane that would inhibit application of uniform,waterproof coating. • Power wash the roof per the specifications. • Reinforce all low or ponding areas by priming with specified material. • Fill all pitch pans and crown. • Perform remedial and preventative maintenance as required by the manufacturer's warranty requirements. • Apply reflective top coat according to the manufacturer's written instructions. On May 16, 2017, City Council approved and authorized the City Administrator to execute a contract in an amount not to exceed $94,179 for the City Hall Roof Replacement (CS-0821). The Contract was awarded to Best Contracting Services (Best) in the amount of $94,179.00 with a $9,400 contingency. Staff is requesting City Council approval, as the total amount of the change order exceeds the $9,400 contingency amount. During construction of the City Hall Roof Repairs, it was discovered after the power washing of the roof, that there was unforeseen extensive blistering on the existing main roof. This contract specified that Tremco materials be used. The contract requires a ten-year warranty on the new roof. Due to the excessive blistering, Tremco would not warranty the roof without the blisters being removed. Public Works had Best perform three trial solutions to remove the excess blistering. Out of the three, Public Works, Tremco and Best agreed on a solution to remedy the blistering without removing all of the existing coating which would have been a significant cost to the City. It was agreed to install a three layer coating system (emulsion, polyester, emulsion) before the final reflective top coating is completed. Tremco has agreed to honor the warranty if this system is used. Change Order No. 1 is for the three layer coating system. With the substantial change to the original specifications and scope of work, it is recommended to authorize Change Order No. 1 to complete the construction of Contract CS-0821,City Hall Roof Repairs. The City Attorney's Office has approved Change Order No.I as attached. Fiscal Impact The original estimate for the extra work was $26,843.89. After numerous negotiations with Best, the cost for the proposed Change Order No.l is $14,002.06, increasing the total project amount to $108,181.06 which is below the budgeted project amount of$120,000.00. Attachment(s) 1. Change Order No. 1 Page 2of2 CITY OF VERNON PUBLIC WORKS DEPARTMENT CONTRACT CHANGE ORDER NO. 1 SUPPLEMENT NO. _ SHEET 1 OF 1 SHEETS PROJECT: City Hall Roof Repairs Contract No. CS-0821 FEDERAL PROJECT No. NIA EDEN Project No. NIA REQUESTED BY: City of Vernon _ Supplemental No. TO: Best Contracting Services, Inc. CONTRACTOR You are hereby directed to make the herein described changes to the plans and specifications or do the following described work not previously included in the plans and specifications of this contract. Except as specifically modified herein,all terms and conditions of the original contract remain in full force and effect,and apply to the additional work as if said work was originally included in the contract. This ChanEe Order Provides for: Application of a Three Coat System: - Furnish all labor,material,equipment,and transportation necessary to complete the installation of 4 gallon generic emulsion and polyester to cover the roof before the final white coating is applied.All work shall be inspected and approved by the Tremco inspector. TOTAL COST OF CHANGE ORDER S14,002.06 Contract Amount Base Bid) I _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ $ 1 94,179.00 Amount of This Change Order . _ _ _ _ . . _ _ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 1 14,002.06 Amount of Previous Change Orders _ . _ _ _ _ _ _ $ 1 0.00 Total Change Orders _ _ . . . . . . . . . $ 14,002.06 Modified Contract Amount $ 108,181.06 By reason of this change order the 6me of October 27 2017 completion will be adjusted as follows: Approved: Date: Carlos Fandino,City Administrator Attest: Date. _ Maria Ayala,City Clerk We,the undersigned Contractor,have given careful consideration to the change proposed and hereby agree,if this proposal is approved,drat we will provide all labor,equipment and materials,including overhead,except as may otherwise be noted above,and perform all services necessary for the work above specified,and will accept as Cull payment 1herefore the prices shown above. Accepted Date: Contractor: By: Title: c: Project File/Contractor/Purchasing Rev.01/13 gIIED RECEIVED L*, OCT 05 20r7 OCT 12 2017 STAFF REPORT CII' V I'J``'"'���I ' �1Q� CITY CLERK'S OFFICE PUBLIC WORKS DEPARTMENT DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Daniel Wall, Public Works Directo 6�1) Originator: Anthony Zarate, Adminktrative Analyst RE: Contract Award for City Contract No. CS-0894: Refuse Collection, Recycling and Disposal Services Recommendation A. Find that awarding the contract to Haul-Away Rubbish Service Company, Inc. is exempt from California Environmental Quality Act(CEQA)review,because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore is not a"project' as defined by CEQA Guidelines, Section 15378; and B. Accept the bid from Haul-Away Rubbish Service Company, Inc. as the preferred bidder and reject all other bids; and C. Authorize the City Administrator to execute a contract in an amount not to exceed$150,000 for the City's Refuse Collection, Recycling and Disposal Services. Background On August 29, 2017, the City Administrator authorized the advertisement of Request for Bid in order to seek bids from qualified refuse haulers that hold a valid City of Vernon Franchise Hauler Permit, for the City's refuse collection, recycling and disposal services. These services would be available for City Hall, City Apartments, the Recycling Center, Public Utilities, Petrelli Electric, Fire Stations and City Housing. The Request for Bid was forwarded to all registered refuse haulers that hold a valid City of Vernon Franchise Hauler Permit. The specifications included the standard terms and conditions for the Labor and Materials Contract, previously approved by the City Council. Bids for Contract No. CS-0894,Refuse Collection,Recycling and Disposal Services were received and opened on September 26, 2017. The calculated monthly cost results were as follows: Page 1 of 2 1. USA Waste of California dba Waste Management $6,424.20 2. Haul-Away Rubbish Service Company, Inc. $6,690.00 3. G.B. Services Inc. $7,405.00 4. Ware Disposal Inc. $8,687.00 Public Works staff has analyzed the bids. Although USA Waste of California dba Waste Management came in as the lowest responsible bidder,the detailed bid showed a slight increase to the City's tenants for their waste and green waste collection and a substantial increase for the recycling services. The second lowest bidder,Haul-Away Rubbish Service Company, Inc. ("Haul- Away"), is proposing more favorable costs to the City's residents. Table 1 below illustrates both bidders' proposed disposal fees for City residents. Proposed Haul-Away Rubbish Proposed USA Waste of Service Co., Inc. Fee California dba Waste Management Fee One (1) 60 gal. Waste Bin $7.00 _ $8.02 One(1)60 gal. Recycle Bin $1.00 ; $8.02 One (1) 60 gal. Green $7.00 $8.02 Waste Bin In order to maintain the lowest possible costs to residents and to stop services from lapsing, staff is recommending that Haul-Away Rubbish Service Company, Inc., ("Haul-Away"), be retained for an additional three year period for an amount not to exceed $150,000, for the lifetime of the contract. For the past three years, Haul-Away has performed very well and no complaints have been received by Public Works staff. Additionally, staff is recommending to reject all other bids. The proposed contract has been reviewed and approved as to form by the City Attorney's office. Fiscal Impact Although the bid is to be awarded to Haul-Away with a bid amount of$6,690 per month, the exact price for the three years of refuse service is unknown because some of the prices quoted are billed and paid on an as-needed basis, rather than on a monthly fixed price. Staff estimates that actual monthly prices will be lower than the $6,690 bid price. The City has budgeted sufficient funds for the proposed services in the 2017-2018 Fiscal Year. Attachment 1. Labor and Materials Contract Page 2 of 2 LABOR AND MATERIALS CONTRACT BETWEEN THE CITY OF VERNON AND HAUL-AWAY RUBBISH SERVICE COMPANY, INC., FOR REFUSE COLLECTION, RECYCLING AND DISPOSAL SERVICES, CONTRACT NO. CS-0894 COVER PAGE Contractor: Haul-Away Rubbish Service Company, Inc. Responsible Principal of Contractor: David Beliakoff, Secretary Notice Information - Contractor: Haul-Away Rubbish Service Company, Inc. 1205 Date Street Montebello, CA 90640 Attention: David Beliakoff Phone: (323) 721-0371 Facsimile: (323) 887-0920 Notice Information - City: City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 Attention: Daniel Wall Director of Public Works Telephone: (323) 583-8811 ext. 305 Facsimile: (323) 826-1435 Commencement Date: November 13, 2017 Termination Date: November 12, 2020 Consideration: Total not to exceed $150,000.00 (includes all applicable sales tax); and more particularly described in Exhibit C Records Retention Period Three (3) years, pursuant to Section 8.3 June 2017 LABOR AND MATERIALS CONTRACT BETWEEN THE CITY OF VERNON AND HAUL-AWAY RUBBISH SERVICE COMPANY, INC. This Contract is made between the CITY OF VERNON ("City"), a California charter City and California municipal corporation, and Haul-Away Rubbish Service Company, Inc., a California corporation, with headquarters located at 1205 Date Street, Montebello, CA 90640 ("Contractor"). The City and Contractor agree as follows: 1.0 Contractor shall furnish all necessary and incidental labor, material, equipment, transportation and services as described in, and strictly in accordance with, and subject to all terms and conditions set forth in Specifications for Refuse collection, Recycling and Disposal Services, as more fully set forth in the Scope of Services, attached hereto and incorporated herein by reference as Exhibit "A". 2.0 All work shall be done in a manner satisfactory to the City's Director of Public Works (the "Director"), or the Director's designee, in writing, and shall be of highest quality with respect to the contract specifications. In the event Contractor fails to perform satisfactorily the City shall advise Contractor in writing, and Contractor shall have thirty (30) days to cure such failure to satisfactorily perform. If Contractor fails to so cure its performance within said 30 days, the City may, at its option, terminate this Contract for default without further liability, other than payment to Contractor for work performed satisfactorily prior to the date of termination. 3.0 Contractor shall commence work upon the signing of this contract and shall perform work requested in writing by Director. 4.0 In consideration of satisfactory and timely Performance of requested work pursuant to the Schedule set forth in Exhibit "B," which is attached hereto and incorporated herein by reference, the City shall pay Contractor as follows: The bid amounts, according to the requested and accepted price set forth in the Contractor's bid proposal, attached hereto and incorporated herein by reference as Exhibit °C". The total amount to be paid to Contractor during the term of this contract shall not exceed one hundred and fifty thousand Dollars ($150,000.00) without the prior approval of the City Council and without a written amendment of this contract. 5.0 Concurrently with the execution of this Contract, Contractor shall furnish bonds of a surety satisfactory to the City, as provided in the specifications and Notice Inviting Bids. The cost of the bonds shall be paid by Contractor. 6.0 GENERAL TERMS AND CONDITIONS. 6.1 INDEPENDENT CONTRACTOR. t June 2017 6.1.1 It is understood that in the performance of the services herein provided for, Contractor shall be, and is, an independent contractor, and is not an agent or employee of City and shall furnish such services in its own manner and method except as required by this Contract. Further, Contractor has and shall retain the right to exercise full control over the employment, direction, compensation and discharge of all persons employed by Contractor in the performance of the services hereunder. Contractor shall be solely responsible for, and shall indemnify, defend and save City harmless from all matters relating to the payment of its employees, including compliance with social security, withholding and all other wages, salaries, benefits, taxes, exactions, and regulations of any nature whatsoever. 6.1.2 Contractor acknowledges that Contractor and any subcontractors, agents or employees employed by Contractor shall not, under any circumstances, be considered employees of the City, and that they shall not be entitled to any of the benefits or rights afforded employees of City, including, but not limited to, sick leave, vacation leave, holiday pay, Public Employees Retirement System benefits, or health, life, dental, long-term disability or workers' compensation insurance benefits. 6.2 CONTRACTOR NOT AGENT. Except as the City may authorize in writing, Contractor and its subcontractors, if any, shall have no authority, express or implied, to act on behalf of or bind the City in any capacity whatsoever as agents or otherwise. 6.3 OWNERSHIP OF WORK. All reports, drawings, plans, specifications, computer tapes, floppy disks and printouts, studies, memoranda, computation sheets and other documents prepared by Contractor in furtherance of the work shall be the sole property of City and shall be delivered to City whenever requested. Contractor shall keep such documents and materials on file and available for audit by the City for at least three (3) years after completion or earlier termination of this Contract. Contractor may make duplicate copies of such materials and documents for its own files or for such other purposes as may be authorized in writing by the City. 6.4 CORRECTION OF WORK. Contractor shall promptly correct any defective, inaccurate or incomplete tasks, deliverables, goods, services and other work, without additional cost to the City. The performance or acceptance of services furnished by Contractor shall not relieve the Contractor from the obligation to correct subsequently discovered defects, inaccuracy or incompleteness. 6.5 WAIVER. The City's waiver of any term, condition, breach or default of this Contract shall not be considered to be a waiver of any other term, condition, default or breach, nor of a subsequent breach of the one waived. 6.6 SUCCESSORS. This Contract shall inure to the benefit of, and shall be binding upon, the parties hereto and their respective heirs, successors and/or assigns. 6.7 NO ASSIGNMENT. Contractor shall not assign or transfer this Contract or any rights hereunder without the prior written consent of the City and approval by the City Attorney, which may be withheld in the City's sole discretion. Any unauthorized assignment or transfer shall be null and void and shall constitute a material breach by the Contractor of its obligations under this Contract. No assignment shall release the original parties or otherwise constitute a novation. 3 June 2017 6.8 COMPLIANCE WITH LAWS. Contractor shall comply with all Federal, State, County and City laws, ordinances, resolutions, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof. 6.9 ATTORNEY'S FEES. If any action at law or in equity is brought to enforce or interpret the terms of this Contract, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which such party may be entitled. 7.0 INTERPRETATION. 7.1 APPLICABLE LAW. This Contract, and the rights and duties of the parties hereunder (both procedural and substantive), shall be governed by and construed according to the laws of the State of California, without regards to its conflict of laws rules. 7.2 ENTIRE AGREEMENT. This Contract, including any Exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation and agreements (written or oral). 7.3 WRITTEN AMENDMENT. This Contract may only be changed by written amendment signed by Contractor and the City Administrator or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Contract shall be of no force or effect. 7.4 SEVERABILITY. If any provision in this Contract is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Contract, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Contract. 7.5 ORDER OF PRECEDENCE. In case of conflict between the terms of this Contract and the terms contained in any document attached as an Exhibit or otherwise incorporated by reference, the terms of this Contract shall strictly prevail. The terms of the City's Specifications shall control over the Contractor's bid. 7.6 CHOICE OF FORUM. The parties hereby agree that this Contract is to be enforced in accordance with the laws of the State of California, is entered into in the City of Vernon and that all claims or controversies arising out of or related to performance under this Contract shall be submitted to and resolved in a forum within the County of Los Angeles at a place to be determined by the rules of the forum. 7.7 DUPLICATE ORIGINALS. There shall be two (2) fully signed copies of this Contract, each of which shall be deemed an original. 7.8 TIME OF ESSENCE. Time is strictly of the essence of this Contract and each and every covenant, term and provision hereof. 7.9 AUTHORITY OF CONTRACTOR. The Contractor hereby represents and warrants to the City that the Contractor has the right, power, legal capacity and authority to i June 2017 enter into and perform its obligations under this Contract, and its execution of this Contract has been duly authorized. 7.10 ARBITRATION OF DISPUTES. Any dispute for under $25,000 arising out of or relating to the negotiation, construction, performance, non-performance, breach or any other aspect of this Contract, shall be settled by binding arbitration in accordance with the Commercial Rules of the American Arbitration Association at Los Angeles, California and judgment upon the award rendered by the Arbitrators may be entered in any court having jurisdiction thereof. This clause shall not preclude the Parties from seeking provisional remedies in aid of arbitration from a court of appropriate jurisdiction. The City does not waive its right to object to the timeliness or sufficiency of any claim filed or required to be filed against the City and reserves the right to conduct full discovery. 7.11 INDEMNITY. 7.11.1 Contractor agrees to indemnify, hold harmless and defend (even if the allegations are false, fraudulent or groundless), to the maximum extent permitted by law, the City, its City Council and each member thereof, and its officers, employees, commission members and representatives, from any and all liability, loss, suits, claims, damages, costs, judgments and expenses (including attorney's fees and costs of litigation) which in whole or in part result from, or arise out of, or are claimed to result from or to arise out of: A. any activity on or use of City's premises or facilities or any performance under this Contract; or B. any acts, errors or omissions (including, without limitation, professional negligence) of Contractor, its employees, representatives, subcontractors, or agents in connection with the performance of this Contract. 7.11.2 This agreement to indemnify includes, but is not limited to, personal injury (including death at any time) and property or other damage (including, but without limitation, contract or tort or patent, copyright, trade secret or trademark infringement) sustained by any person or persons (including, but not limited to, companies, or corporations, Contractor and its employees or agents, and members of the general public). The sole negligence or willful misconduct of City, its employees or agents other than Contractor or Contractor's subcontractors are excluded from this indemnity agreement. 7.12 RELEASE. Contractor agrees to release and covenants not to sue the City, its City Council and each member thereof, and its officers, employees, commission members and representatives for any damage or injury (including death) to itself, its officers, employees, agents and independent contractors damaged or claiming to be damaged from any performance under this Contract. 5 June 2017 7.13 INSURANCE. Contractor shall, at its own expense, procure and maintain policies of insurance of the types and in the amounts set forth below, for the duration of the Contract, including any extensions thereto. The policies shall state that they afford primary coverage. 7.13.1 Automobile Liability with minimum limits of at least $1,000,000 combined single limit including owned, hired, and non-owned liability coverage. (1) Contractor agrees to subrogate automobile liability resulting from performance under this agreement by agreeing to defend, indemnify and hold harmless, the City, and its respective employees, agents, and City Council from and against all claims, liabilities, suits, losses, damages, injuries and expenses, including all costs and reasonable attorney's fees ("Claims"), which are attributable to any act or omission by the City under the performance of the services. 7.13.2 General Liability with minimum limits of at least $1,000,000 per occurrence and $2,000,000 in aggregate written on an Insurance Services Office (ISO) Comprehensive General Liability "occurrence"form or its equivalent for coverage on an occurrence basis. Premises/operations and Personal Injury coverage is required. The City of Vernon, its directors, commissioners, officers, employees, agents and volunteers must be endorsed on the policy as additional insureds as respects liability arising out of the Contractors performance of this Contract. A. If Contractor employs other contractors as part of the services rendered, Contractor's Protective Coverage is required. Contractor may include all subcontractors as insureds under its own policy or shall furnish separate insurance for each subcontractor, meeting the requirements set forth herein. B. Blanket Contractual Coverage. C. Products/Completed Operations coverage. D. Contractor agrees to subrogate General Liability resulting from performance under this agreement by agreeing to defend, indemnify and hold harmless, the City, and its respective employees, agents, and City Council from and against all claims, liabilities, suits, losses, damages, injuries and expenses, including all costs and reasonable attorney's fees ("Claims"), which are attributable to any act or omission by the City under the performance of the services. 7.13.3 Errors and Omissions coverage in a sum of at least $1,000,000, where such risk is applicable. Applicable aggregates must be identified and claims history provided to determine amounts remaining under the aggregate. Contractor shall maintain such coverage for at least one (1) year after the termination of this Agreement. June 2017 7.13.4 Contractor shall comply with the applicable sections of the California Labor Code concerning workers' compensation for injuries on the job. Compliance is accomplished in one of the following manners: A. Provide copy of permissive self-insurance certificate approved by the State of California; or B. Secure and maintain in force a policy of workers' compensation insurance with statutory limits and Employers Liability Insurance with a minimal limit of $1,000,000 per accident. The policy shall be endorsed to waive all rights of subrogation against City, its directors, commissioners, officers, employees, and volunteers for losses arising from performance of this Contract; or C. Provide a "waiver' form certifying that no employees subject to the Labor Code's Workers' Compensation provision will be used in performance of this Contract. 7.13.5 Each insurance policy included in this clause shall be endorsed to state that coverage shall not be cancelled except after thirty (30) days' prior written notice to City. 7.13.6 Insurance shall be placed with insurers with a Best's rating of no less than AVII1. 7.13.7 Prior to commencement of performance, Contractor shall furnish City with a certificate of insurance for each policy. Each certificate is to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificate(s) must be in a form approved by City. City may require complete, certified copies of any or all policies at any time. 7.13.8 Failure to maintain required insurance at all times shall constitute a default and material breach. In such event, Contractor shall immediately notify City and cease all performance under this Contract until further directed by the City. In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney's fees and costs against Contractor by way of set-off or recoupment from sums due Contractor, at City's option; (b) immediately terminate this Contract; or (c) self insure the risk, with all damages and costs incurred, by judgment, settlement or otherwise, including attorney's fees and costs, being collectible from Contractor, by way of set-off or recoupment from any sums due Contractor. 7.14 NOTICES. Any notice or demand to be given by one party to the other shall be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Vernon or any other City department is not adequate notice. June 2017 If to the City: City of Vernon Attn: Daniel Wall, Public Works Director 4305 Santa Fe Avenue Vernon, CA 90058 With a Copy to: Carlos R. Fandino, Jr. City Administrator City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 If to the Contractor: Haul-Away Rubbish Service Company, Inc. David Beliakoff, Secretary 1205 Date Street Montebello, CA 90640 Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 7.15 TERMINATION FOR CONVENIENCE Without Cause , City may terminate this Contract in whole or in part at any time, for any cause or without cause, upon fifteen (15) calendar days' written notice to Contractor. If the Contract is thus terminated by City for reasons other than Contractors failure to perform its obligations, City shall pay Contractor a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be Contractor's exclusive remedy for termination without cause. 7.16 DEFAULT. In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Contract by written notice to the defaulting party. The notice shall specify the basis for the default. The Contract shall terminate unless such default is cured before the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. Termination for cause shall relieve the terminating party of further liability or responsibility under this Contract, including the payment of money, except for payment for services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of(1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance. 7.17 ASSIGNMENT OF ANTITRUST CAUSES OF ACTION Contractor hereby agrees to assign to the City all rights, title and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. § 15) or under Chapter 2 of the Cartwright Act (commencing with Section 16700) or part 2 of Division 7 of the California Business and Professions Code, or any similar or successor provisions of Federal or State law, 8 June 2017 arising from purchases of goods, services or materials pursuant to this Contract or any subcontract. This assignment shall be made and become effective at the time the City tenders final payment to the Contractor, without further acknowledgment by the parties. 8.0 ADDITIONAL ASSURANCES 8.1 EQUAL EMPLOYMENT OPPORTUNITY PRACTICES. Contractor certifies and represents that, during the performance of this Contract, the Contractor and any other narties with whom it may subcontract shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religion, color, national origin_ ancestry, disability, sex, age, medical condition, marital status. Contractor further certifies that it will not maintain any segregated facilities. Contractor further agrees to comply with The Equal Employment Opportunity Practices provisions as set forth in Exhibit "D". 8.2 VERNON BUSINESS LICENSE. Contractor shall obtain, and pay any and all costs associated therewith, any Vernon Business License which may be required by the Vernon Municipal Code. 83 MAINTENANCE AND INSPECTION OF RECORDS The City, or its authorized auditors or representatives, shall have access to and the right to audit and reproduce any of the Contractor's records to the extent the City deems necessary to insure it is receiving all money to which it is entitled under the Contract and/or is paying only the amounts to which Contractor is properly entitled under the Contract or for other purposes relating to the Contract. The Contractor shall maintain and preserve all such records for a period of at least 3 years after termination of the Contract. The Contractor shall maintain all such records in the City of Vernon. If not, the Contractor shall, upon request, promptly deliver the records to the City of Vernon or reimburse the City for all reasonable and extra costs incurred in conducting the audit at a location other than the City of Vernon, including, but not limited to, such additional (out of the City) expenses for personnel, salaries, private auditors, travel, lodging, meals and overhead. 8.4 CONFLICT. Contractor hereby represents, warrants and certifies that no member, officer or employee of the Contractor is a director, officer or employee of the City of Vernon, or a member of any of its boards, commissions or committees, except to the extent permitted by law. 8.5 ENFORCEMENT OF WAGE AND HOUR LAWS Eight hours labor constitutes a legal day's work. The Contractor, or subcontractor, if any, shall forfeit twenty-five dollars ($25) for each worker employed in the execution of this Contract by the respective Contractor or subcontractor for each calendar day during which the worker is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of Sections 1810 through 1815 of the California Labor Code 4 June 2017 as a penalty paid to the City; provided, however, work performed by employees of contractors in excess of 8 hours per day, and 40 hours during any one week, shall be permitted upon compensation for all hours worked in excess of 8 hours per day at not less than 1'/2 times the basic rate of pay. 8.6 LIVING WAGES. Contractor, or Subcontractor, if any, working on City service contracts of any amount, as to all employees spending time on City contracts shall observe the City's Living Wage Ordinance and all requirements thereof at all times on City contracts. The Current Living Wage Standards are set forth in Exhibit "E". Upon request, certified payroll shall be provided to the City. 8.7 [FOR PUBLIC WORKS AND RELATED CONTRACTS THE FOLLOWING PROVISIONS MUST BE ADDED] PREVAILING WAGES. Not applicable to this contract. [Signatures Begin on Next Page]. 10 June 2017 IN WITNESS WHEREOF, the Parties have signed this Agreement as of the Commencement Date stated on the cover page. City of Vernon, a California charter City Haul-Away Rubbish Service Company, Inc., a and California municipal corporation California corporation By. By. Carlos R. Fandino, Jr., City Administrator Name: Title: ATTEST: By: Name: — Maria E. Ayala, City Clerk Title: APPROVED AS TO FORM: Hema Patel, City Attorney 11 June 2017 EXHIBIT A SCOPE OF SERVICES 12 June 2017 PART II. SCOPE OF WORK I. Under the proposed agreement, the Contractor shall be required to provide disposal and recycling services as specified for the following locations: Address Type 4305 Santa Fe Avenue City Facility 3376 E. 50" Street 2-Bedroom Apartment 3378 E. 50`h Street 2-Bedroom Apartment 3380 E. 501h Street I-Bedroom Apartment 3382 E. 50 Street 11-Bedroom Apartment 3384 E. 501h Street I-Bedroom Apartment 3386 E. 501h Street 1-Bedroom Apartment 3388 E. 501h Street 2-Bedroom Apartment 3390 E. 50`h Street 2-Bedroom Apartment 2221 E. 551h Street City Facility 4990 Seville Avenue City Facility 2716 Leonis Boulevard City Facility 2323 E. Vernon Avenue City Facility 2800 Soto Street City Facility 3375 Fruitland Avenue City Facility 4301 Santa Fe Avenue City Facility 4530 Bandini Boulevard City Facility 2. The City has eighteen (18) single family homes and two (2) privately owned homes located over approximately 5.2 square miles that currently receive trash service from Haul-Away Rubbish Service Co., Inc. 3. The City requires that the selected Contractor bill the single-family residences directly for their trash service. The related addresses are listed below: 10 Address Type 3345 Fruitland Avenue 3-Bedroom Home 3349 Fruitland Avenue 2-Bedroom Home 3353 Fruitland Avenue 3-Bedroom Home 3357 Fruitland Avenue 3-Bedroom Home 3361 Fruitland Avenue 3-Bedroom Home 3365 Fruitland Avenue 2-Bedroom Home 3550 East Vernon Avenue 3-Bedroom Home 3560 East Vernon Avenue 2-Bedroom Home 4321 Furlong Place 3-Bedroom Home 4322 Furlong Place 3-Bedroom Home 4323 Furlong Place 2-Bedroom Home 4324 Furlong Place 2-Bedroom Home 4325 Furlong Place 2-Bedroom Home 4326 Furlong Place 2-Bedroom Home 4327 Furlong Place 2-Bedroom Home 4328 Furlong Place 2-Bedroom Home 4329 Furlong Place 3-Bedroom Home 4330 Furlong Place 3-Bedroom Home 2328 Vernon Avenue Duplex 2, 2-Bedroom Homes 2332 Vernon Avenue 4-Bedroom Home 4. The selected bidder shall commit to recycling or diverting from disposal as much of the recyclable materials collected from City facilities as feasibly possible. A quarterly report of recycled and diverted from disposal materials shall be submitted to the City (one copy each to the Public Works Department and the Health and Environmental Control Department) by 11 March I`of each year for the previous year. The quarterly report shall include information on the tonnage and categories of materials(paper, cardboard,aluminum, glass, green waste, etc.) and the recycling/diversion facilities where the materials were delivered. 5. The selected bidder shall clearly summarize their customer service plans, including lines of communication with City residents and City customers. 5. Service for residential customers shall be rendered between the hours of 9:00 a.m. to 4:00 p.m. Service for all other facilities shall be rendered between the hours of 7:00 a.m. to 3:00 p.m. 6. The selected bidder shall have a representative in charge at all times whenever any work is in progress by the Contractor. 7. The primary Public Works contact person will be Anthony Zarate, who may be contacted at (323) 583-8811, Ext. 221 e-mail azarate@ci.vemon.ca.us, Monday through Thursday, 7:00 a.m. to 5:30 p.m. 8. The City considers the Contractor's Project Manager as a key position towards the success of this contract.The City expects the Contractor's Project Manager to be trained in refuse collection and have a minimum of 3 years of experience in a related field. in addition,the Project Manager shall have excellent oral and written skills, along with a sound technical background in the principles and practices of waste management. 9. if any subcontractor or person employed by the Contractor shall appear to a designated City representative to be incompetent, intemperate,troublesome,or acts in a disorderly or otherwise objectionable manner, he/she shall be immediately discharged from the project on notice provided by the designated City representative. 10.The selected bidder's fleet shall be in compliance with all air pollution laws in accordance with all applicable sections of Title 13, California Code of Regulations. The bidder's fleet shall conform to any and all methods for determining compliance,as it pertains to air pollution laws, for a municipality that contracts with owners for solid waste collection in the State of California. In addition, all vehicles are required to meet South Coast Air Quality Management District(SCAQMD)clean air regulations. 11. The bidder has not received a citation or failure-to-abate notice in the last three years from the California Division of Occupational Safety and Health. 12. The bidder's terminal, where it maintains the vehicles that will be used to serve the City, has received a rating of Satisfactory (S) by the California Highway Patrol in their most recent (Biennial inspection of Terminals) inspection. 12 13.The contractor shall provide all labor, equipment, materials,tools, and supervision required to perform refuse collection, recycling and disposal services. 14. The selected bidder shall obtain all necessary City, County, State, and Federal permits and/or licenses for Contractor's activities at no cost to the City. 15.The selected bidder shall immediately notify the City of any changes in the Contractor's insurance, permits, and licenses. Failure to do so may result in the immediate termination of this Contract for default. 16. The selected bidder shall conform to all City of Vernon Safety requirements and operating rules at all times. 17. The selected bidder will be responsible for the training, supplying, and usage of all safety equipment. All traffic safety equipment must be approved by the City. Suitable clothing, gloves, and shoes that meet CALOSHA standards are required. IS. The selected bidder shall adhere to all CALOSHA standards and EPA guidelines while engaged in refuse hauling and disposal functions. 19.The selected bidder shall respond within 24 hours' notification to an authorized City representative's service request. Regular business hours are 7:00 a.m. to 5:30 p.m., Monday through Thursday.At the sole discretion of the City,a designated City representative may alter the hours and days of services. 20. Holidays observed by the City of Vernon: • New Year's Day • Martin Luther King,Jr. Day • Presidents' Day • Cesar Chavez Day • Memorial Day • Independence Day • Labor Day • Columbus Day • Veteran's Day • Thanksgiving Day • Christmas Eve • Christmas Day • New Year's Eve 21. The City will not provide storage facilities for the Contractor. The City will not be liable or responsible for any damage, by whatever means, or for theft of materials or equipment on the jobsite. 13 22. All debris derived from these services shall be removed from City property and become the property of the Contractor. The Contractor shall dispose of all debris from these services in a legally established area appropriate for the type of debris being disposed. Disposal shall be at the Contractor's expense. The Contractor shall not allow any materials or debris from its operations under this contract to be deposited in the storm drains and/or gutters in violation of the National Pollution Discharge Elimination System or state law 23.The selected bidder shall adhere to the provisions of AB-341.This shall include 75%recycling and education materials as needed to meet the subject mandate. 24. The selected bidder shall have and maintain a current and valid City of Vernon Franchise Hauler Permit that shall be submitted with the bid package. 25. The selected bidder shall maintain all bins in a first class condition and remove any and all graffiti from trash bins. 14 EXHIBIT B SCHEDULE 13 June 2017 ATTACHMENT NO. 3 UNIT PRICE BID FORM REFUSE COLLECTION, RECYCLING AND DISPOSAL SERVICES FOR THE DEPARTMENT OF PUBLIC WORKS Item No. Location Description Quantity Monthly Unit " Total Cost __M_onthly Cost 1. City Hall Provide two (2) three (3) 4305 Santa Fe cubic yard recycle bins, and 2 bins ea. Avenue pick up and dispose of contents two (2) times per week. _ 2_ City Hall I Provide two (2) three (3) 4305 Santa Fe cubic yard waste bins, and 2 bins ea. Avenue pick up and dispose of contents two (2) times per week. 3. City Hall Provide one (1) three (3) 4305 Santa Fe ` cubic yard green waste bin, 1 bin ea. Avenue and pick up and dispose of contents one (1) time per week. 4. City Apartments Provide one(1) two(2)cubic 3376.3390 E. 50m yard recycle bin,and pick up 1 bin ea. Street and dispose of contents one (1)time Per week. 5, City Apartments Provide one (1) three (3) 3376.3390 E. 501h cubic yard waste bin, and : 1 bin ea. Street pick up and dispose of I contents one (1) time per week. 6. Recycling Center Provide three (3) forty (40) 2221 E. 5511 Street yard roll-off containers for 3 bins /ton 15 tons regular trash debris and pick up, haul and dispose of contents on an as needed basis. ----I 7. Recycling Center Provide one (1) forty (40) 2221 E. 5511 Street yard roll-off container for 1 bin /ton 15 tons green waste and pick up, haul and dispose of contents on an as needed basis. 8. Recycling Center Provide one (1) forty (40) 2221 E. 55t"Street yard roll-off container for 1 bin 1ton 15 tons waste tires and pick up, haul and dispose of contents on an as needed basis. 18 9. Public Utilities ,, Provide one (1) three (3) 4990 Seville Avenue cubic yard waste bin, and 1 bin ea. pick up and dispose of contents one (1) time per week. 10. Public Utilities•Gas Provide one (1) three (3) 2716 Leonis Blvd. cubic yard bin to be picked 1 bin ea. up on an as needed basis. _ 11. Petrelli Electric Provide one (1) three (3) 2323 E. Vernon cubic yard waste bin, and 1 bin ea. Avenue pick up and dispose of contents one (1) time per week, 12. Petrelli Electric Provide one (1) three (3) 2323 E. Vernon cubic yard recycle bin, and 1 bin ea. Avenue pick up and dispose of contents one (1) time per week. 13. Fire Station No.76 Provide one (1) three (3) 3375 Fruitland cubic yard waste bin, and 1 bin ea. Avenue pick up and dispose of contents one (1) time per week. 14. Fire Station No.76 Provide one (1) three (3) 3375 Fruitland cubic yard recycle bin, and 1 bin ea. Avenue pick up and dispose of contents one (1) time per week, 15. Fire Station No.77 Provide one (1) three (3) 4301 Santa Fe cubic yard waste bin, and 1 bin ea. Avenue pick up and dispose of contents one (1) time per week. 16. Fire Station No.77 Provide one (1) three (3) 4301 Santa Fe cubic yard recycle bin, and 1 bin ea. Avenue pick up and dispose of contents one (1) time per week. 17_ Fire Station No. 78 Provide one (1) three (3) 2800 Soto Street cubic yard waste bin, and 1 bin ea. pick up and dispose of contents one (1) time per week. _ 18. Fire Station No. 78 Provide one (1) three (3) . 2800 Soto.' cubic yard recycle bin, and 1 bin ea. pick up and dispose of contents one (1) time per week. 19_ Fire Station No.79 Provide one (1) three (3) 4530 Bandini Blvd. cubic yard waste bin, and 1 bin ea. 19 pick up and dispose of contents one (1) time per week. 20. Fire Station No. 79 Provide one (1) three (3) 4530 Bandini Blvd. cubic yard recycle bin, and 1 bin ea. pick up and dispose of contents one (1) time per F week. 21 Petrelli Provide one (1) forty (40) 2800 Soto Street cubic yard waste bin, and 1 bin /load haul contents one (1) time r month. 22 Petrelli Provide disposal of contents 2800 Soto Street of one (1) forty (40) cubic 1 bin !ton yard waste bin one (1) time _ per month. 23 Station A Provide one (1) three (3) 4990 Seville Avenue cubic yard waste bin, and 1 bin ea. pick up and dispose of contents one (1) time per week. 24 Station A Provide one (1) three (3) 4990 Seville Avenue cubic yard recycle bin, and 1 bin ea. pick up and dispose of contents one (1) time per -- - week. — SUBTOTAL ITEMS 1.20: 25, City Housing Provide one(1)sixty(60)gal. See Pages 11.12 waste bin, and pick up at 20 /home each of 20 listed homes and homes dispose of contents once per week. 26. City Housing Provide one(1)sixty(60)gal. See Pages 11.12 recycle bin, and pick up at 20 /home each of 20 listed homes and homes dispose of contents once per week. 27. City Housing Provide one(1)sixty(60)gal. See Pages 11-12 green waste bin,and pick up 20 /home at each of 20 listed homes homes and dispose of contents — once per week. L F SUBTOTAL ITEMS 21.23: SUBTOTAL COST PER MONTH $ WRITTEN AMOUNT 20 EXHIBIT C PROPOSAL 14 June 2017 NOW CO[FDY �- BID City of Vernon �. Refuse Collection, Recycling and Disposal Services for the Department of Public Works City Clerk 4305 Santa Fe Avenue Vernon, CA 90058 Bid Due: �- Tuesday, September 20', 2017 @ 2:00 PM v 4 Sewlcz Co ffnas y 1205 Date Street Montebello, CA 90640 Phone: (323)721-0371 Fax (323)887-0920 haulawayrubbish.com .�. 1 -� --� .�. 'y --� -� -�. -r --� -� �r r -�. -� 1 v SE%V jez &70.t ffne. TABLE OF CONTENTS Letter of Transmittal .. Attachment No.l-Bidder's Checklist 1 Attachment No.2-Si ature Page and Le al Status 2 Attachmennt hlo.3-Unit Price Bid Form 3 Attachment No.4-Affidavit of Non-Collusion Contractor 6 Attachment No.5-Vendor List Ouestion.na"ire 8 Attachment No.6-Sara ]e Labor and Materials Contract 9 Executive Summga 28 Scope of Work 29 Personnel 31 SafM and Ex erience 33 References 34 `~ Qualifications 35 �- Business License - Health Permit 36 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 haulawayrubbish.com .. I .-. r. .-. .ti au�o�uray-�u��i z 4 SPmulse (70., _qnc. 1205 Date Street Montebello, CA 90640 Phone: (323)721-0371 Fax (323)887-0920 haulawav rubbish.com September 25, 2017 �.. Mr. Anthony Zarate City of Vernon Administrative Analyst Department of Public Works 4305 Santa Fe Avenue Vernon, CA 90058 Re: Proposal for Refuse Collection,Recycling and Disposal Services for the Department of Public Works Dear Mr. Zarate, Haul-Away Rubbish Service Co., Inc. is pleased to respond to the City of Vernon's request for a .. proposal and the opportunity to perform Refuse Collection, Recycling and Disposal Services for the City. Please find enclosed One (1) original and Two (2) copies of our company's proposal. The signatory below has the authority to negotiate and bind this form to an agreement with the City. We thank you for the opportunity to submit a proposal and look forward to the proposal `~ review and being able to continue our relationship with the City of Vernon. �.. Sincerely, E •� David M. Beliakoff Secretary Naw .. -r --. t. -r -r -I. --% -r 4+ 4� ATTACHMENT NO. 1 BIDDER'S CHECKLIST .r �- TO THE BIDDER: 1fie following list is provided for the convenience of both you and the City to help eliminate errors and omissions which may render your bid unacceptable. Please check all appropriate ... boxes and submit with your bid. low 110 ATTACHMENT NO. 1 -BIDDER'S CHECKLIST [$] ATTACHMENT NO. 2 - SIGNATURE PAGE AND LEGAL STATUS tM ATTACHMENT NO.3-UNIT PRICE BID FORM ATTACHMENT NO. 4-AFFIDAVIT OF NON-COLLUSION FORM ATTACHMENT NO. 5- VENDOR LIST QUESTIONNAIRE FORM ATTACHMENT NO. 6- SAMPLE LABOR AND MATERIALS CONTRACT Bidder must submit one ORIGINAL BID AND TWO COPIES. •— All bids shall be enclosed in sealed envelopes,distinctly marked "Bid"with the title of the bid and the bidder's name address appearing on the outside. Bids should be addressed to: City Clerk �. 4305 Santa Fe Avenue Vernon,CA 90058 Mail sufficiently early or deliver in person before 2:00 p.m. on the day listed in the Notice Inviting Bids. Bids must be received in the City Clerk's Office before that time. At the bid opening,the City Clerk shall open bid package,acknowledge the receipt of Unit Price Bid Form from manufacturer/Supplier. Once all bid packages are opened and announced,the �- Unit Price Bid Forms will be made available for public review. 16 .. Page 1 1 �� /1 .1 �� �\ .1 �^ 11 1 �► +'� "y 1 !`� ."� ."� ."� .1 _"� "'� �"� ...1 "1 �"t ..t ."� "'� "� 'y ."� .� ^'� "� „'� V ATTACHMENT NO. 2 SIGNATURE PAGE AND LEGAL STATUS The undersigned certifies that it has read and understands the Scope of Work Bid Instructions and Sample Contract, and is an official legally authorized to bind his/her firm and to enter into a contract should the City accept this bid. ,.. Bid by . _ Haul-Away Rubbish Service Co. , Inc. (Name of Firm) 4, TO PROVIDE REFUSE COLLECTION, RECYCLING AND DISPOSAL SERVICES FOR THE DEPARTMENT OF PUBLIC WORKS Legal status of bidder: Please check the appropriate box Corporation State of Incorporation _California Partnership List Names low DBA State full name DBA Other Explain �.. ��.. Signature of Bidder __ � Title Secretary (Authorized Signature) �- Address 1205 Date Street CityN tebello_ State CA Zip 90640 Telephone No. ( 323 )721-0371 Fax No. (323) 887-0920 Signed this _ 25th day of September 2017 ADDENDUM NO. BIDDER'S INITIALS 1. 2. _ 3. 17 Page 2 .� .,. -�. .-. -. -. --. �-. �-. -. .� �-. �. .-. �. .. ^-. �-. �-. �, ,-. --r r. -. -� -. --. �-. --. .. -�. ^, -. --. --. -�, h "� "'� v NNW ATTACHMENT NO. 3 .y ,*W UNIT PRICE BID FORM `r REFUSE COLLECTION,RECYCLING AND DISPOSAL SERVICES .� FOR THE DEPARTMENT OF PUBLIC WORKS �- Item No. Location Description Quantity Monthly Unit Total Cost Monthly Cost 1. City Hall Provide two (2) three (3) �- 4305 Santa Fe cubic yard recycle bins, and 2 bins R9.50 ea. $39.00 4 Avenue pick up and dispose of contents two (2) times per week. 2. City Hall Provide two (2) three (3) 4305 Santa Fe cubic yard waste bins, and 2 bins 9.50 ea. $99•co Avenue pick up and dispose of ..r contents two (2) times per week. �. 3. City Hall Provide one (1) three (3) ... 4305 Santa Fe cubic yard green waste bin, 1 bin GP75.00 ea. VMD Avenue and pick up and dispose of contents one (1) time per �, week. 4. City Apartments Provide one(1) two(2)cubic 3376-3390 E. 501h yard recycle bin,and pick up 1 bin 9'� ea. $49.50 Street and dispose of contents one (1)time per week. 5. City Apartments Provide one (1) three (3) 3376-3390 E. 50� cubic yard waste bin, and 1 bin ea. $18.00 Street pick up and dispose of contents one (1) time per week. 6 Recycling Center Provide three (3) forty (40) CO 2221 E.55th Street yard roll-off containers for 3 bins ,5.00/ton I toss regular trash debris and pick up, haul and dispose of $93.00 p/01 `' contents on an as needed •� basis. 7. Recycling Center Provide one (1) forty (40) 993.00 2221 E.5511 Street yard roll-off container for 1 bin • Ron 15 tons green waste and pick up, -hPA: 3.00 haul and dispose of contents Asposal:$9=0 ` on an as needed basis. ... B. Recycling Center Provide one (1) forty (40) p��L7•UU 2221 E.55i^Street yard roll-off container for 1 bin '�2"0'04ton 15tons ~' waste tires and pick up, haul iaA:$225.0D.jDh11 `, and dispose of contents on crywanI.4.Wl'0.00 ..r an as needed basis. 18 v `• Page 3 �-. .-. r. -. -. -� .� �-. .-. -�. -�. ... •�. --. -�. -. �-. .► �-. -. .-. �-, •-. .� -. --. -. -�. -�. �. --. -�. -�, --. -. --• -. -. -�. %'W .a. 9. Public Utilities Provide one (1) three (3) 4990 Seville Avenue cubic yard waste bin, and 1 bin +9•� ea. $49.50 pick up and dispose of contents one (1) time per week. 10. Public Utilities•Gas Provide one (1) three (3) 2716 Leonis Blvd. cubic yard bin to be picked 1 bin 1�25.00 ea. $2-5•00 uo on an as needed basis. _ .. 11. Petrelli Electric Provide one (1) three (3) 2323 E. Vernon cubic yard waste bin, and 1 bin 49.50 ea. $49.50 ` Avenue pick up and dispose of contents one (1) time per week. 12. Petrelli Electric Provide one (1) three (3) 2323 E. Vernon cubic yard recycle bin, and 1 bin 18•OD ea. $18.00 Avenue pick up and dispose of contents one (1) time per �., week. 13. Fire Station No.76 Provide one (1) three (3) `'• 3375 Fruitland cubic yard waste bin, and 1 bin $49.50 ea. $49•50 �. Avenue pick up and dispose of contents one (1) time per V week. 14- Fire Station No.76 Provide one (1) three (3) 3375 Fruitland cubic yard recycle bin, and 1 bin $18.00 ea. $18.00 ` Avenue pick up and dispose of .. contents one (1) time per week. `• 15. Fire Station No.77 Provide one (1) three (3) +. 4301 Santa Fe cubic yard waste bin, and 1 bin K9.50 ea. 9•� Avenue pick up and dispose of contents one (1) time per week. 16. Fire Station No.77 Provide one (1) three (3) 4301 Santa Fe cubic yard recycle bin, and 1 bin -W.00 ea. $18.00 Avenue pick up and dispose of contents one (1) time per `r week. �- 17. Fire Station No.78 Provide one (1) three (3) ... 2800 Soto Street cubic yard waste bin, and 1 bin ea. $49.50 pick up and dispose of .� contents one (1) time per week. 18. Fire Station No.78 Provide one (1) three (3) 2800 Soto Street cubic yard recycle bin, and 1 bin ea. $18•� y pick up and dispose of contents one (1) time per week. 19 Fire Station No.79 Provide one (1) three (3) 4530 Bandini Blvd. cubic yard waste bin, and 1 bin 9.50 ea. $49.50 19 �I -- Page 4 i-. r-. A-. v %or L �.. pick up and dispose of contents one (1) time per �., week. 20. Fire Station No.79 Provide one (1) three (3) 4530 Bandini Blvd. cubic yard recycle bin, and 1 bin $18.00 ea. $18.00 pick up and dispose of contents one (1) time per NOW week. �.. 21_ Petrelli Provide one (1) forty (40) 2800 Soto Street cubic yard waste bin, and 1 bin $93.00/load $93.00 haul contents one (1) time er month. 22 Petrelli Provide disposal of contents 2800 Soto Street of one (1) forty (40) cubic 1 bin $654ton $65•cc) ... yard waste bin one (1) time �..r per month. 23. Station A Provide one (1) three (3) �.. 4990 Seville Avenue cubic yard waste bin, and 1 bin $49•50ea. $49.50 r... pick up and dispose of contents one (1) time per �. week. 24. Station A Provide one (1) three (3) 4990 Seville Avenue cubic yard recycle bin, and 1 bin $18.00ea. $18.00 �•► pick up and dispose of %W contents one (1) time per week. SUBTOTAL ITEMS va-M.00 1-24 ti•► 25. City Housing Provide one(1)sixty(60)gal. See Pages 11-12 waste bin, and pick up at 20 $7•00/home $140.00 each of 20 fisted homes and homes dispose of contents once per week. 26_ City Housing Provide one(1)sixty(60)gal. See Pages 11.12 recycle bin, and pick up at 20 $1,00/home $20•()D each of 20 listed homes and homes dispose of contents once per week. %WA. 27. City Housing Provide one(1)sixty(60)gal. See Pages 11.12 green waste bin, and pick up 20 $7.00/home $140.00 %W at each of 20 listed homes homes and dispose of contents once per week. SUBTOTAL ITEMS Ztz= $300.00 SUBTOTAL COST PER 25-27 MONTH $ 6690.0(., 4' WRITTEN AMOUNT ' $SIX TH3US*D SIX RKM NINEIY DJ1ARS & 00/10D-- 20 1r �'' Page 5 V V L ATTACHMENT NO. 4 AFFIDAVIT OF NON-COLLUSION CONTRACTOR STATE OF CALIFORNIA )SS V ,r COUNTY OF L OS ANGELES] David Beliakof f _ being first duly sworn r„ deposes and says that he/she is Secretary (Inset"Sole Owner",-Putwr',-President","SecreW,or other proper title) of Haul-Away Rubbish Service Go. , Inc. (Insert name of bidder) who submits herewith to the City or Vernon a proposal; ,_, That all statements of fact in such proposal are true; V'' That such proposal was not made in the interest of or on behalf of any undisclosed person, partnership,company,association,organization or corporation; That such proposal is genuine and not collusive or sham; That said bidder has not,directly or indirectly by agreement,communication or conference with anyone attempted to induce action prejudicial to the interest of the City of Vernon,or of any other bidder or anyone else interested in the proposed contract;and further *� That prior to the public opening and reading of proposals,said bidder. a. Did not directly or indirectly, induce or solicit anyone else to submit a false or sham proposal; ... b. Did not directly or indirectly,collude,conspire,connive or agree with anyone else that said bidder or anyone else would submit a false or sham proposal,or that anyone should refrain y from bidding or withdraw his proposal; ..r c. Did not,in any manner,directly or indirectly seek by agreement,communication or conference with anyone to raise or fix the proposal price of said bidder or of anyone else,or to raise of fix any overhead profit or cost element of this proposal price,or of that of anyone else; d. Did not, directly or indirectly,submit his proposal price or any breakdown thereof,or the contents thereof,or divulge information or data relative thereto,to nay corporation, partnership, company,association,organization, bid depository,or to any member or agent 21 Page 6 ^. r thereof,or to any individual or group of individuals,except the City of Vernon,or to any person or persons who have a partnership or other financial interest with bidder in his business. I certify Linder penalty of perjury that the above information is correct By: h ' Title: Secretary ... f ptember 25, 2017 �., Date: v •.r \r v v '\r y v ZZ Naw Page 7 -r r. ^. -r ATTACHMENT NO. 5 �. CITY OF VERNON 4305 Santa Fe_Avenne, Vernon, California 90058 Telephone (323) 583-8811 Vendor List Ouestionnaire Affidavit of Equal Opportunity & Non Segregation In order to be placed to the City's vendor list and be eligible to receive City business, you must �- provide the following information except where indicated as "optional". By submitting this form .� you are declaring under penalty of perjury under the laws of the State of California and the laws of the United States that the information is true and correct. Furthermore, you are certifying that your firm will adhere to equal opportunity employment practices to assure that applicants and employees are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex or age. And, your firm does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location,under its control, where segregated `r facilities are maintained. Name of Company Haul-Away Rubbish Business Telephone (323) 721-0371 �- Address 1205 Date Street Fax Number (323) 887-0920 (optional) City Montebello State CA Zip 90640 Contact Person David Beliakoff E-mail Address haulawayrubbish@hotmail.com Tax ID Number (or Social Security Number) 95-2905736 `-' Remit Address (if different) Same As Above Please state clearly and concisely the type(s) of goods and services your company provides: Waste Hauling & Recycling Collection r.. y 23 Page 8 --. --. �-. �-. -, �-. .-. .-. •-, --� --. .-. .. -. �-. r. �-. .. .-. -. -. -. .. -. .. --. --, •-. --. -. -. --. --. �-. -. .�. �-. •-. �-. �. .w r.. ATTACHMENT NO. 6 ,.. LABOR AND MATERIALS CONTRACT BETWEEN THE CITY OF VERNON AND [CONTRACTOR'S NAME] COVER PAGE Contractor: [insert name of contractor] Responsible Principal of Contractor: [insert name, title] ... Notice Information - Contractor: [insert name of contractor] [insert street address] [insert city, state, zip code] .. Attention: [insert name, title] Phone: [insert phone number] �- Facsimile: [insert fax number] `"' Notice Information - City: City of Vernon ... 4305 Santa Fe Avenue Vernon, CA 90058 *aw Attention: [insert department head] [insert department head title] `' Telephone: (323) 583-8811 ext. [insert] �- Facsimile: [insert fax number] Commencement Date: [insert commencement date] Termination Date: [insert termination date] .. Consideration: Total not to exceed $[insert amount] ` (includes all applicable sales tax); and more particularly described in Exhibit C %w %w 1%w Records Retention Period Three (3) years, pursuant to Section 8.3 .-. %w %w 24 v 1%' Page 9 --. -� r. -�. -. -. �-. �-. --. �-. -. .... --, r. •-. -. -. -. -. -. �-. �-. -� --. -�. -. �-. '-. -�. -. -. -�. -. -. 1 „'� ", -"� "� '1 %W LABOR AND MATERIALS CONTRACT BETWEEN THE CITY OF VERNON AND �%' [CONTRACTOR'S NAME] %W This Contract is made between the CITY OF VERNON ("City"), a California charter City `' and California municipal corporation, and [Contractor's Name], a [State incorporated in] %W corporation, with headquarters located at [Contractor's Address] ("Contractor"). %W .. The City and Contractor agree as follows: �ft. 1.0 Contractor shall furnish all necessary and incidental labor, material, equipment, transportation and services as described in, and strictly in accordance with, and subject to all terms and conditions set forth in Specifications for f 1, as more fully %W set forth in the Scope of Services, attached hereto and incorporated herein by reference as �., Exhibit "A". %W %W 2.0 All work shall be done in a manner satisfactory to the City's Director of [Department] (the "Director"), or the Director's designee, in writing, and shall be of highest quality with respect to the contract specifications. ... In the event Contractor fails to perform satisfactorily the City shall advise Contractor in writing, and Contractor shall have thirty (30) days to cure such failure to satisfactorily perform. If Contractor fails to so cure its performance within said 30 days, the City may, at its option, terminate this Contract for default without further liability, other than payment to Contractor for work performed satisfactorily prior to the date of termination. ti- 3.0 Contractor shall commence work upon the signing of this contract and shall perform work requested in writing by Director. %W 4.0 In consideration of satisfactory and timely Performance of requested work .. pursuant to the Schedule set forth in Exhibit "B," which is attached hereto and incorporated herein by reference, the City shall pay Contractor as follows: %W 25 %W `- Page 10 .-. .. -. -. -� �. -. -� �-. •-. --, _.. .. -. --� --. --. -. -. -�. �-. �. -�. •-. -� �. -� -. -�. -. -� -r -�. •-. ^. -. -�, The bid amounts, according to the requested and accepted pace set forth in the Contractor's bid proposal, attached hereto and incorporated herein by reference as Exhibit "C". The total amount to be paid to Contractor during the term of this contract shall not exceed _ Dollars ($000,000.00)without the prior approval of the City Council and without a written amendment of this contract. `- 5.0 Concurrently with the execution of this Contract, Contractor shall furnish bonds of a surety satisfactory to the City, as provided in the specifications and Notice Inviting Bids. The cost of the bonds shall be paid by Contractor. 6.0 GENERAL TERMS AND CONDITIONS. 1%W 6.1 INDEPENDENT CONTRACTOR. 6.1.1 It is understood that in the performance of the services herein ,%„ provided for, Contractor shall be, and is, an independent contractor, and is not an agent or employee of City and shall furnish such services in its own manner and method except as required by this Contract. Further, Contractor has and shall retain the right to exercise full control over the employment, direction, compensation and discharge of all persons employed by `r Contractor in the performance of the services hereunder. Contractor shall be solely responsible .. for, and shall indemnify, defend and save City harmless from all matters relating to the payment of its employees, including compliance with social security, withholding and all other wages, salaries, benefits, taxes, exactions, and regulations of any nature whatsoever. .r 6.1.2 Contractor acknowledges that Contractor and any subcontractors, `- agents or employees employed by Contractor shall not, under any circumstances, be .. considered employees of the City, and that they shall not be entitled to any of the benefits or rights afforded employees of City, including, but not limited to, sick leave, vacation leave, holiday pay, Public Employees Retirement System benefits, or health, life, dental, long-term disability or workers' compensation insurance benefits. '- 6.2 CONTRACTOR NOT AGENT. Except as the City may authorize in writing, Contractor and its subcontractors, if any, shall have no authority, express or implied, to act on behalf of or bind the City in any capacity whatsoever as agents or otherwise. .. 26 :W �- Page 11 '-r --N •-. I-r --r y �.r ... 6.3 OWNERSHIP OF WORK. All reports, drawings, plans, specifications, computer tapes, floppy disks and printouts, studies, memoranda, computation sheets and other documents prepared by Contractor in furtherance of the work shall be the sole property of City and shall be delivered to City whenever requested. Contractor shall keep such documents and materials on file and available for audit by the City for at least three (3) years after completion or �- earlier termination of this Contract. Contractor may make duplicate copies of such materials ti. and documents for its own files or for such other purposes as may be authorized in writing by the City. 6.4 CORRECTION OF WORK. Contractor shall promptly correct any defective, inaccurate or incomplete tasks, deliverables, goods, services and other work, without �— additional cost to the City. The performance or acceptance of services furnished by Contractor �.. shall not relieve the Contractor from the obligation to correct subsequently discovered defects, .r inaccuracy or incompleteness. 6.5 WAIVER. The City's waiver of any term, condition, breach or default of this Contract shall not be considered to be a waiver of any other term, condition, default or breach, nor of a subsequent breach of the one waived. 6.6 SUCCESSORS. This Contract shall inure to the benefit of, and shall be binding upon, the parties hereto and their respective heirs, successors and/or assigns. y `W 6.7 NO ASSIGNMENT. Contractor shall not assign or transfer this Contract or any rights hereunder without the prior written consent of the City and approval by the City �- Attorney, which may be withheld in the City's sole discretion. Any unauthorized assignment or transfer shall be null and void and shall constitute a material breach by the Contractor of its obligations under this Contract. No assignment shall release the original parties or otherwise constitute a novation. 6.8 COMPLIANCE WITH LAWS. Contractor shall comply with all Federal, �- State, County and City laws, ordinances, resolutions, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof. 27 �' Page 12 r, -� .-� -, --. --. -r .-. .�. .-. -. .. -•. ,-. �-. .-, .-. --. �. .-. r. -. �-. •-. -�. --. --. -�. --• -� -�. -�. -�. �-. -�. --. --. -�. 6.9 ATTORNEY'S FEES. If any action at law or in equity is brought to enforce or interpret the terms of this Contract, the prevailing party shall be entitled to reasonable �- attorney's fees, costs and necessary disbursements in addition to any other relief to which such party may be entitled. 7.0 INTERPRETATION. y ` 7.1 APPLICABLE LAW. This Contract, and the rights and duties of the parties hereunder (both procedural and substantive), shall be governed by and construed •. according to the laws of the State of California, without regards to its conflict of laws rules. 7.2 ENTIRE AGREEMENT. This Contract, including any Exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation and agreements (written or oral). 7.3 WRITTEN AMENDMENT. This Contract may only be changed by written 4, amendment signed by Contractor and the City Administrator or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or ` modifications concerning this Contract shall be of no force or effect. 7.4 SEVERABILITY. If any provision in this Contract is held by any court of law competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Contract, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Contract. �- 7.5 ORDER OF PRECEDENCE. In case of conflict between the terms of this ... Contract and the terms contained in any document attached as an Exhibit or otherwise incorporated by reference, the terms of this Contract shall strictly prevail. The terms of the City's Specifications shall control over the Contractor's bid. `r 7.6 CHOICE OF FORUM. The parties hereby agree that this Contract is to be enforced in accordance with the laws of the State of California, is entered into in the City of 28 y �- Page 13 �r --r -I. -r .r r. Vernon and that all claims or controversies arising out of or related to performance under this Contract shall be submitted to and resolved in a forum within the County of Los Angeles at a �. place to be determined by the rules of the forum. 7.7 DUPLICATE ORIGINALS. There shall be two (2)fully signed copies of this Contract, each of which shall be deemed an original. .r 7.8 TIME OF ESSENCE. Time is strictly of the essence of this Contract and �- each and every covenant, term and provision hereof. 4, 7.9 AUTHORITY OF CONTRACTOR. The Contractor hereby represents and ., warrants to the City that the Contractor has the right, power, legal capacity and authority to enter into and perform its obligations under this Contract, and its execution of this Contract has ,%' been duly authorized. L �r 4 7.10 ARBITRATION OF DISPUTES. Any dispute for under$25,000 arising out of or relating to the negotiation, construction, performance, non-performance, breach or any other aspect of this Contract, shall be settled by binding arbitration in accordance with the .r Commercial Rules of the American Arbitration Association at Los Angeles, California and judgment upon the award rendered by the Arbitrators may be entered in any court having jurisdiction thereof. This clause shall not preclude the Parties from seeking provisional '%W remedies in aid of arbitration from a court of appropriate jurisdiction. The City does not waive its right to object to the timeliness or sufficiency of any claim fled or required to be filed against the City and reserves the right to conduct full discovery. 7.11 INDEMNITY. 7.11.1 Contractor agrees to indemnify, hold harmless and defend (even if the allegations are false, fraudulent or groundless), to the maximum extent permitted by law, the City, its City Council and each member thereof, and its officers, employees, commission members and representatives, from any and all liability, loss, suits, claims, damages, costs, judgments and expenses (including .. attorney's fees and costs of litigation) which in whole or in part result from, or arise out of, or are claimed to result from or to arise out of: �9 •.r Page 14 -N. "I. ."%k --r y v .. A. any activity on or use of City's premises or facilities or any performance under this Contract; or B. any acts, errors or omissions (including, without limitation, professional negligence) of Contractor, its employees, representatives, subcontractors, or agents in connection with 4 the performance of this Contract. ... 7.11.2 This agreement to indemnify includes, but is not limited to, personal injury (including death at any time) and property or other damage (including, but without limitation, contract or tort or patent, copyright, trade secret or trademark infringement) sustained by any person or persons (including, but not limited to, companies, or �- corporations, Contractor and its employees or agents, and members of the general public). The sole negligence or willful misconduct of City, its employees or agents other than Contractor or Contractor's subcontractors are excluded from this indemnity agreement. 7.12 RELEASE. Contractor agrees to release and covenants not to sue the City, its City Council and each member thereof, and its officers, employees, commission members and representatives for any damage or injury (including death) to itself, its officers, employees, agents and independent contractors damaged or claiming to be damaged from any performance under this Contract. 7.13 INSURANCE. Contractor shall, at its own expense, procure and maintain policies of insurance of the types and in the amounts set forth below, for the duration of the Contract, including any extensions thereto. The policies shall state that they afford primary coverage. 7.13.1 Automobile Liability with minimum limits of at least $1,000,000 combined �. single limit including owned, hired, and non-owned liability coverage. `r (1) Contractor agrees to subrogate automobile liability resulting from �- performance under this agreement by agreeing to defend, indemnify and hold harmless, the City, and its respective employees, agents, and City Council from and against all claims, liabilities, suits, losses, damages, injuries and expenses, including all costs and reasonable 30 Page 15 .�, -� -� -�. -� -. -�. .-. --. .-. -�. .� .� ^. .� -� -. •-. .-. -. •�. --. --. '-. -. .-. �-. �-. -. -� '-. -�. --. --. r. -. �. -�. --. attorney's fees ("Claims"), which are attributable to any act or omission by the City under the performance of the services. 7.13.2 General Liability with minimum limits of at least $1,000,000 per occurrence and $2,000,000 in aggregate written on an Insurance Services Office (ISO) Comprehensive General Liability "occurrence"form +- or its equivalent for coverage on an occurrence basis. Premises/Operations and Personal Injury coverage is required. The City of Vernon, its directors, commissioners, officers, employees, agents and volunteers must be endorsed on the policy as additional insureds as respects liability arising out of the Contractor's performance of this Contract. A. If Contractor employs other contractors as part of the services rendered, Contractors Protective Coverage is required. Contractor may include all subcontractors as insureds under its own policy or shall furnish separate insurance for each �- subcontractor, meeting the requirements set forth herein. ` B. Blanket Contractual Coverage. ..r C. Products/Completed Operations coverage. D. Contractor agrees to subrogate General Liability resulting from performance under this agreement by agreeing to defend, —• indemnify and hold harmless, the City, and its respective employees, agents, and City Council from and against all claims, liabilities, suits, losses, damages, injuries and expenses, including all costs and reasonable attorney's fees 1%w ("Claims"), which are attributable to any act or omission by the City under the performance of the services. 7.13.3 Errors and Omissions coverage in a sum of at least $1,000,000, where such risk is applicable. Applicable aggregates must be identified and ` claims history provided to determine amounts remaining under the aggregate. Contractor shall maintain such coverage for at least one (1) year after the termination of this Agreement. 31 4 Page 16 .. -r r ."k "'1 7.13.4 Contractor shall comply with the applicable sections of the California Labor Code concerning workers' compensation for injuries on the job. Compliance is accomplished in one of the following manners: .. A. Provide copy of permissive self-insurance certificate approved by the State of California; or B. Secure and maintain in force a policy of workers' compensation insurance with statutory limits and Employer's �- Liability Insurance with a minimal limit of$1,000,000 per accident. The policy shall be endorsed to waive all rights of subrogation against City, its directors, commissioners, officers, employees, and volunteers for losses arising from performance of this Contract; or v C. Provide a "waiver"form certifying that no employees subject to .. the Labor Code's Workers' Compensation provision will be used in performance of this Contract. 7.13.5 Each insurance policy included in this clause shall be endorsed to state that coverage shall not be cancelled except after thirty (30) days' prior �- written notice to City. 7.13.6 Insurance shall be placed with insurers with a Best's rating of no less than AVIII. 7.13.7 Prior to commencement of performance, Contractor shall furnish City with a certificate of insurance for each policy. Each certificate is to be signed ... by a person authorized by that insurer to bind coverage on its behalf. The certificate(s) must be in a form approved by City. City may require complete, certified copies of any or all policies at any time. NEW 7.13.8 Failure to maintain required insurance at all times shall constitute a default and material breach. In such event, Contractor shall immediately 32 �- Page 17 v v notify City and cease all performance under this Contract until further directed by the City. In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for �- premiums, attorney's fees and costs against Contractor by way of set-off or recoupment from sums due Contractor, at City's option; (b) immediately terminate this Contract; or (c) self insure the risk, with all damages and costs incurred, by judgment, settlement or otherwise, including attorney's fees and costs, being collectible from Contractor, by way of set-off or recoupment from any sums due Contractor. 7.14 NOTICES. Any notice or demand to be given by one party to the other shall be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Vernon or any other City department is not adequate notice. `- If to the City: City of Vernon Attn: [Name and Title] 4305 Santa Fe Avenue Vernon, CA 90058 With a Copy to: Carlos R. Fandino, Jr. City Administrator City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 If to the Contractor: 33 Page 18 ... -. �-. --, �. �-. -� �-. �-. �-. -. -. .-. �. --. -�. --r 1 ^'� .1 ^"1 "'� �"� ."� �'1 -'y �"� �"� "\ ^'1 �"� ."� "1 ''\ �"� �"� r.. Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 7.15 TERMINATION FOR CONVENIENCE (Without Cause). City may terminate this Contract in whole or in part at any time, for any cause or without cause, upon ` fifteen (15) calendar days' written notice to Contractor. If the Contract is thus terminated by City for reasons other than Contractor's failure to perform its obligations, City shall pay Contractor a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be Contractor's exclusive remedy for termination without cause. ..r ` 7.16 DEFAULT. In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Contract by written notice to the defaulting party. The notice shall specify the basis for the default. The Contract shall terminate unless such default is cured before the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. Termination for cause shall relieve the terminating party of further liability or responsibility under this Contract, including the payment of money, except for payment for �- services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of(1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance. y ~' 7.17 ASSIGNMENT OF ANTITRUST CAUSES OF ACTION. Contractor �- hereby agrees to assign to the City all rights, title and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. § 15) or under Chapter 2 of the Cartwright Act (commencing with Section 16700) or part 2 of Division 7 of the California �r Business and Professions Code, or any similar or successor provisions of Federal or State law, arising from purchases of goods, services or materials pursuant to this Contract or any �- subcontract. This assignment shall be made and become effective at the time the City tenders .. final payment to the Contractor, without further acknowledgment by the parties. 34 ..r �" Page 19 �. -� --. -. �-. �-, .�. �-. .-. -. -. �. �-, -. -�, -� -�. •-. -�r --. •-. •-, �-. -� -� -. �-. •-. -� -. �-. �r -�, -� --. +-. -�. .-, -� --. --. �-, v •r 8.0 ADDITIONAL ASSURANCES 8.1 EQUAL EMPLOYMENT OPPORTUNITY PRACTICES. Contractor certifies and represents that, during the performance of this Contract, the Contractor and any other parties with whom it may subcontract shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex, age, ` medical condition, marital status. Contractor further certifies that it will not maintain any segregated facilities. Contractor further agrees to comply with The Equal Employment Opportunity Practices provisions as set forth in Exhibit "D 8.2 VERNON BUSINESS LICENSE. Contractor shall obtain, and pay any and all costs associated therewith, any Vernon Business License which may be required by the Vernon Municipal Code. y 8.3 MAINTENANCE AND INSPECTION OF RECORDS. The City, or its authorized auditors or representatives, shall have access ~' to and the right to audit and reproduce any of the Contractor's records to the extent the City deems necessary to insure it is receiving all money to which it is entitled under the Contract ., and/or is paying only the amounts to which Contractor is properly entitled under the Contract or for other purposes relating to the Contract. The Contractor shall maintain and preserve all such records for a period of at least 3 years after termination of the Contract. The Contractor shall maintain all such records in the City of Vernon. If not, the Contractor shall, upon request, promptly deliver the records to the City of Vernon or reimburse the City for all reasonable and extra costs incurred in conducting the audit at a location other than the City of Vernon, including, but not limited to, such additional (out of the City) expenses for personnel, salaries, private auditors, travel, lodging, meals and overhead. �- 8.4 CONFLICT. Contractor hereby represents, warrants and certifies that no �. member, officer or employee of the Contractor is a director, officer or employee of the City of Vernon, or a member of any of its boards, commissions or committees, except to the extent permitted by law. 35 1%W `- Page 20 .-. -� -. -�. -� -. -r �-, -�. ^-. �-. �-. -� --. �-. �-. r. -�. -� -�. -�. -�, �-. --. --. -� •-. -�. -. -�. -. --. •-. -� v 8.5 ENFORCEMENT OF WAGE AND HOUR LAWS. Eight hours labor constitutes a legal day's work. The Contractor, or subcontractor, if any, shall forfeit twenty-five dollars ($25) for each worker employed in the execution of this Contract by the respective Contractor or subcontractor for each calendar day during which the worker is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of Sections 1810 through 1815 of the California Labor Code as a penalty paid to the City; provided, however, work performed by employees of contractors in excess of 8 hours per day, and 40 hours during any one week, shall be permitted upon .. compensation for all hours worked in excess of 8 hours per day at not less than 1 Y2 times the basic rate of pay. 8.6 LIVING WAGES. Contractor, or Subcontractor, if any, working on City service contracts of any amount, as to all employees spending time on City contracts shall observe the City's Living Wage Ordinance and all requirements thereof at all times on City contracts. The Current Living Wage Standards are set forth in Exhibit "E". Upon request, certified payroll shall be provided to the City. 8.7 [FOR PUBLIC WORKS AND RELATED CONTRACTS THE FOLLOWING PROVISIONS MUST BE ADDED] PREVAILING WAGES. The provisions of California Labor NNW Code 1770, et seq., regarding the payment of prevailing wages on public works, and related regulations, apply to all City contracts. In addition, the selected consultant and/or any subcontractor must be currently registered and qualified (including payment of any required fee) with the State Department of Industrial Relations pursuant to Labor Code section 1725.5. This project is subject to compliance monitoring and enforcement by the State Department of ,. Industrial Relations. If Living Wage Provisions and Prevailing Wage provisions should both apply to this Contract, Contractor and all of its Subcontractors shall pay the higher of the applicable wages to the extent required by law. [Signatures Begin on Next Page]. .. 36 Page 21 ^-. -� �. -. -. .. .� .-. -. --. .. .. �. .-. .-. �-. �-. .^. -. •-. t. --. �-. ^. ,. �-. •-. --. -. -. .. �-. --. --. -,, -. --, �-. L L IN WITNESS WHEREOF, the Parties have signed this Agreement as of the Commencement Date stated on the cover page. .. City of Vernon, a California charter City [CONTRACTORS NAME], a [State and California municipal corporation incorporated in] corporation By: ..r By; Name: [Insert Name and Title] Title: •- ATTEST: By: _ Name: Title: Maria E. Ayala, City Clerk �. L a. APPROVED AS TO FORM: v ti- Hema Patel, City Attorney %w %w ti. NOW 37 �. Page 22 t. -r -r -�r EXHIBIT A SCOPE OF SERVICES NW .,.. ... *ft. %W `. `. ..r lftw ,%W lftw �r 38 NNW Page 23 �-. -� -�. --. -. -�. .-. --. '-r �-. .. .. �-. �-, .. -� �-. •-. .-. �. --. -. ^. �-. •-, •-. .-. �-, .� '-. -. ^-. -. -�. -. �-. �-. �. -. --. r. v rr EXHIBIT B SCHEDULE ti. y �.r V L y �r lftr NOW �.r �r y %W 39 `w Page 24 --r �-r �r �r rr %W �ft' EXHIBIT C %W PROPOSAL a. r.. NNW `. %,W %W `. %w. %W 40 `r \r `-' Page 25 �-. �-. -� -r -. --. .. �-. .-. �r �-. --. .�. -�. --. -�. -� -. -�. --. ^. -� --. -�. �-. --. •-r '-. •-. �. --, .. �-. •-, ^. •-. --. -�. .-. --. -. --. EXHIBIT D EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A. Contractor certifies and represents that, during the performance of this Agreement, the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated facilities. •.. B. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer" or that all qualified applicants will receive consideration for employment without regard to their race, religious creed, color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement, discriminated against applicants or employees because of their membership in a protected class. D. Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are •.- confidential or privileged under state or federal law. E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. 41 Page 26 ..r ` EXHIBIT E LIVING WAGE PROVISIONS Minimum Living Waaes: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or $11.55 per hour without health benefits. :..- Paid and Unpaid Days Off: �- Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. ., No Retaliation: �- A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in y Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. L 4 1� 42 Page 27 �' PTQUL-+d�UTG.I� C�UITUL�,lZ �E'L(TLCE �D.� J12L. y EXECUTIVE SUMMARY Haul-Away Rubbish Service Co., Inc. is a third generation family-owned and operated business. We have offered solid waste collection and recycling services to Los Angeles County and Orange County for 67 years. Family Patriarch Morris Beliakoff Sr. founded the company with a vision to provide quality service you can trust. To this day, that vision holds true. We feel our size and ownership position enables us to be more responsive and competitive. Our owners are involved in day-to-day operations and are able to adapt more quickly to changing work requirements and deliver consistent performance. Being locally owned and operated, Haul-Away Rubbish Service Co., Inc. offers a stable management team with commitment and loyalty to provide solid waste and recycling services. �- Both management and employees are dedicated to provide high quality service to all the communities we serve. Haul-Away Rubbish Service Co., Inc. currently provides state-of-the-art customer service and billing software that provides real-time service and billing information. The company maintains ... up to 8 incoming phone lines and mapping software. We also perform quality control inspections; y trained customer service representatives provide information and assist with service problems when they arise. y Our customer service and billing center is located in Montebello,California. When possible,Haul- Away Rubbish Service Co., Inc. recruits local customer service representatives that have personal knowledge of our service areas. Low employee turnover is key to our superior customer service. ` Low turnover enables us to create long-term relationships with our customers. This is a win-win situation for both parties. Our customer service department helps to educate the public by providing information about ` recycling services, household hazardous waste disposal, and proper disposal instructions. We place high priority on diversion and have consistently demonstrated our ability to be innovative in •- our techniques for delivering these services to all the communities we serve. We currently comply with the provisions of AB-341 and have educational materials ready to be distributed. Haul-Away Rubbish Service Co., Inc. is dedicated to preserving our environment for the future. Our recycling `r motto is: "Recycle, It's everyone's responsibility. " 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 haulawayrubbish.com Page 28 -. -�. -, --, -� �. �-. .� -� -. -. .� '-. .. �-. --. -. --. .. �-. -�. •-. •-. �-. -. �-. �-. --. .-. -. -. -. .-. 1 c4au&-_4wa� c=-RubbiJ 4&xuiaz 60.0_qna. 4 SCOPE OF WORK Refuse Collection,Recycling and Disposal Services Work to be performed by Haul-Away Rubbish Service Co., Inc. includes the famishing of all labor, supervision, equipment, materials, tools and all other items necessary to perform Refuse Collection, Recycling and Disposal Services in accordance with the City of Vernon's Request for Proposals. City Facilities Collections from City Facility resources shall be accomplished at least once weekly, or more frequently, as stated in the Scope of Work. All services shall be rendered between the hours of 7:00 A.M. to 3:00 P.M. Haul-Away Rubbish Service Co., Inc. shall provide the bins for the collection of solid waste, green waste and recyclables. y Residential Refuse Collection V Collections from residential sources shall be accomplished once weekly. All services shall be rendered between the hours of 9:00 A.M. to 4:00 P.M. Haul-Away Rubbish Service Co., Inc. will provide each customer with 1-60-gallon barrel each for trash,green waste and recycling. The carts will be of durable construction, have lightweight ergonomic lid design, handles and a foot hold. The carts are wheeled with single axles and have appropriate signage along with instructions. Bins Haul-Away Rubbish Service Co., Inc. will provide frontload style, pitch-top bins. The bins will be waterproof and have plastic fitting lids. Drivers will identify and report bins in need of repair, .� painting, or cleaning. Bins will be repaired and cleaned, and unsightly conditions will be removed at our facility in Montebello. Haul-Away Rubbish Service Co., Inc. will replace, or remedy, unsightly containers within one(1)working day after receiving the request. Any materials dumped onto or around the ground will be properly cleaned and disposed of by the driver. Bins used for recycling will be painted a different color to identify them as recyclable. The company's name and telephone number will be stenciled on all bins along with other instructional and promotional signage. 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax(323)887-0920 haulawayrubbish.com Page 29 -. -�. --. ... .. �-. .-. -. -. --. -. -. -. -. -. r. .-. --. -�. �-. .-. �-. .-. -. .� -. --. .. �-. -. -. --. •-. -�. --. �-, %W Billing ., Haul-Away Rubbish Service Co., Inc. will bill all Single Family Residences directly on a monthly basis, thirty (30) days in the rear. We will bill the City directly for the remaining accounts, on a monthly basis, based on container size and service needs. We will accept major credit cards. �- Temporary Bin & Roll-Off Container Service NRW Haul-Away Rubbish Service Co., Inc. can also provide temporary bin and roll-off container Iftw services, including, but not limited to, containers for construction and demolition projects. These services can be performed upon request. I%w 4 rr •r �.r \r 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 haulawayrubbish.com low Page 30 �-, --. -�, -. r, �. �-, �. �-. -. .. �. .^ �-. -� •-. --. -�. -�. �-. •-. -1 --. ,-. .-. r. .-. �-, .. --� .r �-. �-. -� --. �-. ^. �-. --. 1. c4auf-�-.4wa� cRubgjj 4:&7Lv10z 670.., _qnc. r \r 4 PERSONNEL y Waste and recycling collection services are a top priority at Haul-Away Rubbish Service Co., Inc. Our customer service call center responds quickly and provides accurate information to all �.. inquiries in a professional manner. Any inquiries or complaints about possible missed pick-ups, spills, etc., are immediately forwarded to the Project Manager. After assessing the situation, the Project Manager will then contact the designated City of Vernon Representative to take all necessary steps to resolve the y issue. To ensure quality service and satisfaction, necessary meetings will be planned with the designated City of Vernon Representative to discuss all details regarding refuse, recycling and disposal collection services. Any City Representatives service requests will be responded to within 24 NNW hours. All assigned personnel will be in direct communication with the Haul-Away Rubbish .. Service Co., Inc. Project Manager to ensure all work has been completed as specified in the Scope of Work. During waste and recycling collection services, all route collectors operate in a safe and •.- professional manner. Each driver will complete a daily report history for that day's route. All solid waste and recycling tonnages will be compiled and recorded at the end of each work day. 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 �- haulawayrubbish.com `' Page 31 �-, -�, �-. r. --, �-. .-. •—. �-. -�r .—. .. .-. �-. •-. --. --r --, --. �-. �-. �-, �. �. -. �—. --. �-. --. -� --. �--. �—. -�, ^. --� s L �.r �r 4SG�V iez IfQ.,_qllr1 . � J Key Personnel David Beliakoff and Morrie Beliakoff will serve as the key personnel contacts who shall oversee all service areas designated in the Scope of Work. Both have managerial experience, and most importantly, have a great deal of route collection experience and full knowledge of our operating equipment. David M.Beliakoff,CFO,Secretary and Operations and Maintenance Manager,has over 29 years' of experience in the refuse and recycling collection industry. Morrie M. Beliakoff, CEO, President and Route Manager, has more than 43 years' of experience ` in the refuse and recycling collection industry. The following is a description of our Supervisory qualifications. David Beliakoff CFO, Secretary Operations and Maintenance Manager RESPONSIBILITIES Project Manager %W Transitional Service Provider Quality Control Driver and Route Supervisor Customer Service Administrator �- financial Morrie M. Beliakoff CEO, President �- Route Manager RESPONSIBILITIES Contract Compliance Safety Administrator Iftw Facility Management AB939 Compliance 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 ` haulawayrubbish.com �- Page 32 -�. .. -. ^. -�, .. '-. �-. --. .�, .. .�. -�, �-. -. ^. -�. .-. .�. -�r �. --. .r •-. -� .-. �-. .-. .-. -�. --. -�. --, �. �--. .. y �auf-c:::7qa7a3 c:.-RXiA c v iez Co., lqne- SAFETY AND EXPERIENCE Traffic-Route and Safety `r Collection routes will be designed to minimize air pollution, traffic, noise, and wear and tear on the roads. Collection vehicles will avoid high traffic areas during peak traffic periods. All collection vehicles are equipped with the most current safety equipment such as highly visible turn signal indicators at the rear and on the side of each truck as well as rear-view mirror cameras. Preventative maintenance technicians perform daily, monthly and annual vehicle and equipment inspections. Other items are routinely monitored and quickly repaired to assist the driver's •• performance. ti. Haul-Away Rubbish Service Co.,Inc. supervisors provide all necessary training and all employees are properly trained before delivering and operating any equipment. Also, it is mandatory for all �- personnel to attend regularly scheduled safety meetings and to abide by the company dress code, which includes wearing a safety vest, gloves and steel toed boots,that meet CALOSHA standards, when providing solid waste and recycling collection. Experience Our experience ranges from Government, State, Local and Private sectors. We understand each customer's demands are different. We adapt to their needs and address them professionally. Our �- employees take pride in the communities we service and are eager to help our customers. References .,, Please find attached a list of references. 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 haulawayrubbish.com `r Page 33 U I Qlf-O¢Wa� CRu1TLTC �E'L(T LG'E Co... _qna. REFERENCES ... City of Bell Gardens (Non-Exclusive Franchise) 8327 S. Garfield Avenue Bell Gardens, CA 90201 Public Works Director Phone# (562) 806-7770 Fax #(562) 806-7789 We have been servicing this community since 1972. .r We service approximately 255 commercial customers using frontload bins. We utilize a front- loader truck and a scout truck that fits into areas where the front loader truck cannot. The scout .. truck is used on narrow or very long driveways. Utilizing a scout truck conserves driver energy and increases route pick-up efficiency. v In 2004 Haul-Away Rubbish Service Co., Inc. was the first company in Bell Gardens to offer a Multi-Family Recycling program. We delivered to each of our Multi-Family customers a blue ` recycling automated cart. The carts are lightweight and include the proper signage, instructing the ... patrons what can go into the recycling cart. The program has yielded great results. The program is also open to any of our commercial/business customers that take interest in recycling. City of Long Beach (Non-Exclusive Franchise) ... 2929 E. Willow Street `. Long Beach, CA 90806 Erin Rowland `' Phone# (562) 570-2851 Fax # (562) 570-2861 We have been servicing this community since 1983 ,%W .. We provide commercial and residential trash disposal services throughout the City of Long Beach. '%W Included in our services are weekly scheduled recycling collections. Containers are provided to all NOW customers, including barrels and bins, which are emptied using either our front loader or scout vehicles. �. Also available are roll-off and low-boy containers along with our temporary 3yd bins. We have ,%„ current recycling programs available for any customer who must meet recycling diversion requirements specified by the City of Long Beach. 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 haulawayrubbish.com ,%W •.- Page 34 Al-IN AMk A-. I-k e_V4aU&=7q(A7ay czl?Xid 4Szoruiez (70.1 _qnc. QUALIFICATIONS Haul-Away Rubbish Service Co., Inc. shall appoint two employees to serve as the primary and secondary contact persons in relation to the City's operations. David M. Beliakoff, Operations and Maintenance Manager,has more than 29 years' of experience in the refuse collection industry. Morris M. Beliakoff, Route Manager, has over 43 years' of experience in the refuse collection industry. NOW Haul-Away Rubbish Service Co., Inc. is in complete compliance with all federal and state mandates for clean air including SCAQMD Rule 1193 compliance. In the past 9 years, Haul- Away Rubbish has been aggressively updating our fleet with today's most modem diesel particulate trap mufflers as required by the California Air Resources Board. Recently purchased �- vehicles from the dealer have already been equipped with the necessary requirements. Since August 2010, in addition to our clean burning diesel trucks, we have incorporated 6 CNG vehicles to our fleet. Haul-Away Rubbish is dedicated to preserving our environment for the future. y �- Haul-Away Rubbish Service Co., Inc. has not received any citations or failure-to-abate notices in the last three years from the California Division of Occupational Safety and Health. Haul-Away Rubbish Service Co., Inc. vehicle terminal has received a rating of Satisfactory(S) by the California Highway Patrol (CHP) in our most recent BIT. A copy of our inspection can be provided upon request. Insurance required by the City of Vernon will be provided upon awarded contact. •r �r L �.r 4 1205 Date Street, Montebello, CA 90640 Phone (323)721-0371 Fax (323)887-0920 .. haulawayrubbish.com Page 35 -r � � � � � � � § c z Z kkk @ (A $ ƒ 2Q 0 0> r R -E K! 2@§ R E (AEƒ7 (a" \ 07 q m 52 2q M M\ z iJ{{§2 0 9c I ( ate ■ n � j3 > 2 e m > co CD 2§ r \ p -fo (A§ m> � 2 E 7 m m m % 77}& J NNW z 7 o » n n c: K z \ K.ga M /Ash c 0 e 0 7 , f2$■ ■ m d # V EAt % g2Ja M n = 7 - A 3 � 77 � z ■ � its\§ NNW _ _ co $kfK 0 ■ M E $ m � J t 2 q z c < ■ m 21 0 O i V m � 0 wr0 z ■ q 9 2 _ � , z wc) f � 0 d � co D -n2 < E ■ % o » & � Q § § 0 E E � Z %%W & � @ %W � � Page 36 � 00% Amk -r �r -1 .r Notify the Health Department of any change of ownership, type of business activity, business name, or billing address by calling (323) 583-8811.Failure to notify the Health Department may result in late penalties, Permit denial or revocation, and business closure. ` PERMITS TO OPERATE AND ANNUAL FEE PAYMENTS ARE NOT TRANSFERABLE.Permits become void on change of ownership. New owners must apply and pay for a new Permit(s)prior to beginning operation or penalties will be assessed at 10%per month. HAUL-AWAY-RUBBISH SER CO INC. 1205 DATE ST MONTEBELLO, CA 90640 r. DETACH FORM HERE AND DISPLAY HEALTH PERMIT PORTION CONSPICUOUSLY ON THE PRFMISLS v City of Vernon Health Department 4305 S. Santa Fe Avenue Vernon, CA 90058 • (323) 583-8811 �- HEALTH PERMIT Business Name HAUL-AWAY-RUBBISH SER CO INC. Facility ID: FA0000688 DBA Issued: 1/30/2017 %W ATTN Business Address 1205 DATE ST 4, MONTEBELLO,CA 90640 �. PT0001594 %W SOLID WASTE COLLECTION BUSINESS Valid From 1/1=17 To 12/31/2017 •- PT0000979 ... SOLID WASTE COLLECTION VEHICLE Valid From 1/1/2017 To 12131/2017 v LICENSE# 67230F1 LICENSE# 8R17803 �.. LICENSE# 7L44973 v \r v ti. THE PERSON, FIRM,OR CORPORATION ABOVE NAMED IS HEREBY GRANTED A PERMIT TO ENGAGE IN THE BUSINESS ACTIVITY DESCRIBED ABOVE IN THE CITY OF VERNON FOR THE PERIOD INDICATED. %W BY. r Health Officer Page 37 L .-. �-. -. -. -�. .-. .-. �. ^. �-. -. -. �-. .. -. --. -� --. .-, --, •-, •-. ^, .-. -� -. .. --. -. -�. -�. -� -. --� -. --. -. -1 -. -. •-. --, EXHIBIT D EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A Contractor certifies and represents that, during the performance of this Agreement, the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated facilities. B Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer or that all qualified applicants will receive consideration for employment without regard to their race, religious creed, color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement, discriminated against applicants or employees because of their membership in a protected class. D Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. 15 June 2017 EXHIBIT E LIVING WAGE PROVISIONS Minimum living Wages: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or$11.55 per hour without health benefits. Paid and Unpaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. 1$ June 2017 R E C ,9= R E C � �" Q E D OCT 1 1 2017 OCT 12 2017 CITY gpMI11ISTftATION CITY CLERK'S OFFICE STAFF REPORT (110`t L(tj PUBLIC WORKS DEPARTMENT DATE: October 17, 2017 TO: Honorable Mayor and City Council r I FROM: Daniel Wall,Public Works Directo6> Originator: Brandon Araujo, Project Engineer A.A. RE: A Resolution Authorizing Submittal of Application(s) for all CalRecycle Grants for which the City of Vernon is Eligible, Including the Rubberized Pavement Grant Program Recommendation A. Find that approval of the attached resolution in this staff report is exempt from California Environmental Quality Act("CEQA")review, because it is a general policy and procedure making activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Adopt the attached Resolution authorizing the City Administrator, Director of Finance, Director of Health and Environmental Control, Director of Public Works, the Chief of Police, the Fire Chief, and the General Manager of Public Utilities, or their respective designee, as stated in a separate Letter of Designation, to execute in the name of the City of Vernon all CalRecycle grant documents, including but not limited to, applications, agreements, amendments and requests for payment, necessary to secure grant funds and implement the approved grant project. Background CalRecycle has established a number of grant programs aimed at reducing waste and diverting materials from landfills. Of particular interest to the Public Works Department is The Rubberized Pavement (TRP) Grant Program. Rubberized Asphalt Concrete (RAC) is typically more expensive than conventional pavement. TRP Grant Program reimburses the eligible grantees the difference in cost between the RAC and conventional pavement up to an amount of$10/ton. Generally, rubberized asphalt concrete provides structural performance that is superior to conventional pavement. This superior performance is desirable in a city with heavy-vehicle traffic. The Public Works Department is proposing the use of RAC for the Soto Street Resurfacing project, currently scheduled for Fiscal Year 2018-2019. This project will resurface Soto Street from the Los Angeles River to the City's southern limits. As a condition of the grant, construction must be completed by April 1, 2020. Attached is the completed application which was submitted electronically by the deadline of October S, 2017. CalRecycle requires the City Council to adopt a resolution by November 2, 2017 that authorizes the grant Applicants to apply on the City's behalf. CalRecycle offered two sample resolutions: one that could be used for individual grants and one that could be used for all grants that CalRecycle offers for which the City would be eligible. In order to reduce the need to adopt a resolution for each individual grant the City may apply for in the future, the resolution to be used for all grants was selected. In addition, since both the Health and Environmental Control Department and the Public Works Department will have applied for grants from CalRecycle, the language of the Resolution was expanded to allow the City Administrator, Director of Finance, Director of Health and Environmental Control, Director of Public Works, the Chief of Police, the Fire Chief, and the General Manager of Public Utilities, or their respective designee, as stated in a separate Letter of Designation, to execute in the name of the City of Vernon all grant documents, including but not limited to applications, agreements, amendments and request for payment, necessary to secure grant funds and implement the approved grant project. Fiscal Impact There is no fiscal impact as a result of adopting the attached Resolution. The grant funds will benefit the City by reducing the cost of RAC. Attachment 1) Resolution 2) Letter of Designation 3) Completed Application Submitted to CalRecycle Page 2 of 2 4 1 PUBLIC WORKS 4305 Santa Fe Avenue, Vernon,California 90058 Telephone(323)583-881 1 Fax (323) 826-1435 October 3, 2017 California Department of Resource Recycling and Recovery 1001 I Street 91h Floor, 9-57E Sacramento, CA 95814 Dear Ms. Tesser: Pursuant to the Resolution authorizing submittal of application(s) for all CalRecycle grants for which the City of Vernon is eligible, I am a designated Signature Authority for the City of Vernon. I am authorized by the Resolution to execute on behalf of the City of Vernon all documents, including but not limited to, applications, agreements, amendments and requests for payment, necessary to secure funds and implement the approved project. The Resolution also authorizes me to delegate this authority. Accordingly, I hereby delegate this authority to the Public Works Department's Project Engineer. This delegation is effective as long as the Resolution is in effect. Sincerely, f Daniel Wall Director of Public Works City of Vernon 4305 S. Santa Fe Avenue Vernon, CA 90058 (323) 583-8811, Ext. 305 dwall@ci.vemon.ca.us E,XcfusiVea In diatrial Cal Recycle Grants Management System(GMS) Application Generated By: Brandon Araujo Appllcatton Information Applicant: City of Vernon Cycle Name: Rubberized Pavement Grant Program Application Due Date: 10/5/2017 Cycle Code: TRP9 Secondary Due Date: 11/2/2017 Grant ID: 20533 Grant Funds Requested: $55.000.00 Matching Funds: $0.00(if applicable) Awarded Funds: $0.00 Project Summary: As a part of the Soto Street Resurfacing project,the Public Works Department proposes to grind four to six inches of existing asphalt concrete and replace with a conventional lift of asphalt concrete two to four inches in depth followed by a two inch overlay of rubberized asphalt concrete. Based on the limits of the project and assuming a 0.20 inch overlay of rubberized asphalt concrete,roughly 5,000 tons of rubberized asphalt concrete will be required. Assuming that the full differential in cost between rubberized asphalt concrete and conventional asphalt concrete is$101ton and a 10%contingency,we have requested$55,000. The Soto Street Resurfacing project is also slated to incorporate design features to improve the water quality of stormwater runoff. We believe combining those features with the use of asphalt that incorporates the use of reclaimed rubber will serve as an example to others how environmentally sustainable a road can be. ApplicantlPartic I pant Name: City of Vernon Lead: X Federal Tax ID: 95-6000808 Jurisdiction: Vernon County: Los Angeles C41"tac# Prime Second Auth Cnsft Brandon Araujo Title:Project Engineer X X Public Works Phone:3235838811 4305 Santa Fe Avenue Fax: Vernon,CA 90058 Email:baraujo@ci.vemon.ca.us Daniel Wall Title:Director X Public Works Phone:3235838811 4305 Santa Fe Avenue Fax: Vernon,CA 90058 Email:dwall@ci_vemon.ra.us Bridget Category Name Amount Materials $55,000 00 No Site Information Provided oocuments Document Title Received Date Required Application Certification Application Certification-SIGNED 10/4/2017 Project Summary&Calculation Project Summary&Calculation 101412017 Required By Secondary Due Date Resolution-Lead Participant httpsJlsecure.calrecycle.ca.gov/Grants/GranVGrant_aspx?Granti D=20533 Date Generated:October 4,2017 3:38 PM Page 1 of 2 Other Supporting Document(s) Draft Resolution Draft Resolution 10/4/2017 EPPP Policy Certification/Notification Joint Powers Agreement Letter of Authorization/Resolution Letter of Designation RasaluDon Check the following,as applicable.Each applicant must upload one of the following docurneqts to their application See Application G-r=delinPs and instructions for more information. X Applicant acknowledges that a Draft Resolution is uploaded in the application.The Resouution must be approved by its governing body by the secondary due dale,which authorizes submittal of the application and designates a signature authority.If applicable,applicant has uploaded a Letter of DesIgnation(LOD)designati+ig an additional 51gnatum authority(ies)_ EPP Does your entire organization have an existing Environmentally Preferable Purchasing and Practices(EPPP)Policy? X Yes,our entire organization has an existing EPPP Policy. (Must answer Yes to be eligible). Program Que3tians Ga dam is Labor Code section 1782 43rohibits a charter city from receiving state funding or fin$ncial assistance for construction projects if that charter city does not comply with Labor Cade sections 1770-1782, If any applicants or participating jurisdictions are charter cities or joint powers authorities that include charter cities.the lead applicant must certify that Labor Code section 1782 does not prohibit any included charter city from receiving state funds for the project described in this application. If it is determined after award that a participating jurisdiction is a charter city prohibited from receiving state funds for this grant project,the grant will be terminated and any disbursed grant funds shall be returned to CalRecyce. If any applicant or participating jurisdiction is a charter city or a joint powers authority that contains one or more charter cities,does Labor Code section 1782 prohibit those charter cities from receiving state funding for the project described in this grant application?Check the following,as applicable. X No.Applicant certifies that no charter cities included in this application are prohibited from receiving state funding for the project described in this grant application. Does the applicant certify that all crumb rubber used in the proposed project(s)will be derived from only California-generated waste tires and processed in California?(Must answer YES in order to be eligible) (x Yes)( No) Does the applicant certify that binder material used in all project(s)will contain a minimum of 300 pounds(of equivalent to[15%]by weight)of the tire- derived crumb rubber per ton of rubberized binder?(Must answer YES in order to be eligible) (x Yes)( No) No grant eligible costs may be incurred prior to execution of the Grant Agreement and issuance of the Notice to Proceed.You may plan and bid the project,however the placementlnstallation of the hot-mix or chip seal material may not occur prior to the date indicated in the Notice to Proceed.Any and all otherwise eligible costs that are incurred prior to the date indicated in the Notice to Proceed will not be reimbursed.Do you acknowledge that no costs will be paid for material placed or installed prior to the date indicated in the Notice to Proceed? (x Yes)( No) https:/lsecure.calrecycle.ca.govIGrants/Gra nt/Grant.aspx?GrantlD=20533 Date Generated:October 4,2017 3:38 PM Page 2 of 2 RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AND AUTHORIZING THE SUBMITTAL OF APPLICATION (S) FOR ALL CALRECYCLE GRANTS FOR WHICH THE CITY OF VERNON IS ELIGIBLE WHEREAS, Public Resources Code sections 48000 et seq. authorize the Department of Resources Recycling and Recovery ("CalRecycle" ) to administer various grant programs ( "grants" ) in furtherance of the State of California' s ( "State" ) efforts to reduce, recycle and reuse solid waste generated in the state thereby preserving landfill capacity and protecting public health and safety and the environment; and WHEREAS, in furtherance of this authority CalRecycle is required to establish procedures governing the application, awarding, and management of the grants; and WHEREAS, CalRecycle grant application procedures require, among other things, an applicant' s governing body to declare by resolution certain authorizations related to the administration of CalRecycle grants; and WHEREAS, by memorandum dated October 17 , 2017, the Director of Public Works has requested the authority for the City Administrator, Director of Finance, Director of Health and Environmental Control, Director of Public Works, the Chief of Police, the Fire Chief, and the General Manager of Public Utilities, or their respective designee, as stated in a separate Letter of Designation, to execute in the name of the City of Vernon all grant documents, including but not limited to, applications, agreements, amendments and requests for payment, necessary to secure grant funds and implement the approved grant project; and WHEREAS, the City Council of the City of Vernon desires to approve and authorize the submittal of application(s) to CalRecycle for which the City of Vernon is eligible. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS: SECTION 1: The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct . SECTION 2 : The City Council of the City of Vernon finds that this action is exempt from the California Environmental Quality Act (CEQA) , because it is a general policy and procedure making activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378 . SECTION 3 : The City Council of the City of Vernon hereby approves and authorizes the submittal of application(s) for any and all payment programs offered. SECTION 4 : The City Council of the City of Vernon hereby authorizes the City Administrator, Director of Finance, Director of Health and Environmental Control, Director of Public Works, the Chief of Police, the Fire Chief, and the General Manager of Public Utilities, or their respective designee, as stated in a separate Letter of Designation, to execute in the name of the City of Vernon all grant documents, including but not limited to, applications, agreements, amendments and requests for payment, necessary to secure grant funds and implement the approved grant project, and on behalf of, the City of Vernon and to take whatever actions are deemed necessary or desirable for the purpose of implementing and carrying out the purposes of this Resolution and the actions herein approved or - 2 - authorized. SECTION 5 : This authorization is effective until repealed by the City Council of the City of Vernon. SECTION 6 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 17th day of October, 2017 . Name : Title : Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPROVED AS TO FORM: +' Bri yun, 9eni Deputy City Attorney - 3 - STATE OF CALIFORNIA } } ss COUNTY OF LOS ANGELES } I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. - _ , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, October 17, 2017, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of October, 2017 , at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 4 - RECEIVED � RECERVE® OCT 12 2017 OCT 10 2W CITY CLEWS OFFICE STAFF REPORT CITY ADMINISTRATION PUBLIC UTILTIES DEPARTMENT �--� DATE: October 17, 2017 01� TO: Honorable Mayor and City Council FROM: Kelly Nguyen, General Manager of Public Utilities RE: Approval of Water Rights License and Agreement for Golden State Water Company Recommendation A. Find that approval of the proposed action is exempt under the California Environmental Quality Act("CEQA"),because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Approve a Water Rights License and Agreement with Golden State Water Company, in substantially the same form as submitted herewith, to lease 2,000 acre feet from the City of Vernon's Allocated Pumping Rights in the Central Basin for a lease unit price per acre foot of$162.00 for a revenue total of$324,000 to be placed into the Public Utilities Water Fund Revenue Account; and C. Authorize the General Manager of Public Utilities to execute the Water Rights License and Agreement with Golden State Water Company. Background The City of Vernon overlies the Central Basin and is party to the Judgment dated October 11, 1965, and entered in Los Angeles County Superior Court Case No. 786656 entitled "Central and West Basin Water Replenishment District v. Charles E. Adams, et al" and subsequent amendments thereof as of July 1, 2017. As a party to the Judgement, the City was awarded an annual Allocated Pumping Rights (APA) of 7,539 acre feet. The water rights are in perpetuity and have a market value of over$90,000,000. In 1959, the Water Replenishment District (WRD) was created to manage the groundwater basin and to oversee replenishment activities of the basin. In order to increase flexibility in the use of the City's APA, the WRD created the Carryover Program. The program allows the City to place unused water from its APA into a carryover account. For example, if the City uses 6,539 acre feet Page 1 of 2 of its APA in any given year, it is allowed to put the remaining 1,000 acre feet, into its carryover account for later use. The 1,000 acre feet can be used at any time and is saved in the carryover account in perpetuity. The program allows the City to place a maximum of up to 60% or 4,523 acre feet into its carryover account. It is also standard practice in the Central Basin to sell, purchase, lease, and trade unused water rights among parties to the Judgement in Central Basin. Over the last twelve years,a decline in the City's overall water demand fell by approximately 30%. In addition, groundwater well production decreased dramatically due to deferred maintenance. Lastly, water quality issues forced the decommissioning of two wells and curtailment of groundwater well production at two rehabilitated wells by sealing off contaminated aquifers. Due to these factors,the City's carryover account is at its maximum amount of 4,523 and due to recent well failures, staff is estimating that not all this year's water rights will be used. To prevent any loss of water rights, staff is recommending that the City's carryover account be reduced by 3,000 acre feet. Discussion Staff placed 3,000 acre feet of water rights out for lease. Three private water companies responded to the City's water right lease offering: • Liberty Utilities submitted an offer for 1,000 acre feet at$150 per acre foot • Suburban Water submitted an offer for 1,000 acre feet at $25 per acre foot • Golden State Water Company submitted an offer for 2,000 acre feet at$162 per acre foot The total anticipated revenues for the entire 3,000 acre foot leases is $474,000 for FY 2017-18. Benefits of leasing the water rights are as follows: • Increase in Water Division revenues by$474,000 for FY 2017-18 • Relief of the City's carry-over account • Flexibility to placed unused water rights in FY 2017-18 into the City's carry-over account • Elimination of anticipated water rights losses in FY 2017-18 The City Attorney has reviewed and approved the agreement as to form. Fiscal Impact This amount of$324,000 will be placed into the Public Utilities Department Water Fund revenue account for use in the division's operating and capital improvement budgets for FY 17-18. Attachments 1. Proposed Water Rights License and Agreement with Golden State Water Company Page 2 of 2 WATER RIGHTS LICENSE AND AGREEMENT For valuable consideration,the City of Vernon("Licensor")hereby grants to Golden State Water Company ("Licensee") a license to extract Two Thousand(2,000) acre- feet of Licensor's Allowed Pumping Allocation allocated to Licensor(or its predecessors in interest)under and pursuant to that cerlain Judgment dated October 11, 1965 in the case of Central and West Basin Water Replenishment District v. Charles E. Adams, et al. (Los Angeles County Superior Court,Case No. 786656)(the "Judgment"), and subsequent amendments thereof as of July 1, 2017 during the period commencing July 1,2017 and continuing to and including June 30,2018 (the "Term"). Said License is granted subject to the following conditions: 1. Licensee shall exercise said right and extract the same on behalf of Licensor during the Term and put the same to beneficial use and Licensee shall not by the exercise hereunder of said right acquire any right to extract water independent of the rights of Licensor. 2. Licensee shall pay assessments levied on the pumping of said ground waters by the Water Replenishment District of Southern California_ 3. Licensee shall notify the Water Replenishment District of Southern California and the Waterrnaster that said pumping was done pursuant to this license and provide the Watermaster with a copy of this document. 4. Licensee shall note, in any recording of water production during the Term, that said pumping was done pursuant to this license. 5. Licensee's Allowed Pumping Allocation shall be increased by the amount hereby leased when computing carryover or allowable over extraction as provided by Part III, Subpart A and B in the Judgment. Licensor warrants that it has Two Thousand(2,000)acre-feet ofAllowed Pumping Allocation and that it has not pumped and will not pump or permit or license any other person to pump any part of said Two Thousand(2,000) acre-feet during the Term. Dated: October 17,2017 CITY OF VERNON "Licensor" GOLDEN STATE WATER COMPANY "Licensee" By: By: Kelly Nguyen General Manager of Public Utilities Name: Title: Name: Title: ATTEST: APPROVED AS TO FORM: Maria Ayala, City Clerk Brian Byun, Senior Deputy City Attorney v RECEIVED 4 L* J OCT 11 2017 RECEIVED - TION OCT 12 Z017 STAFF REPORT GITV ADMINISTRA CITY CLERK'S OFFICE PUBLIC UTILITIES DEPARTMENT (216f DATE: October 17,2017 TO: Honorable Mayor and City Council FROM: Kelly Nguyen, General Manager of Public Utilities- if RE: A Resolution Approving and Adopting the Resource Adequacy Plan for 2018 Recommendation A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is a fiscal and administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Adopt a resolution approving and adopting the Public Utilities Department Resource Adequacy Plan for 2018, which includes the peak Demand Forecast, the Planning Reserve Margin,the Qualifying Capacity Criteria and the Qualifying Capacity from such resources, City's Resource Adequacy and Supply Data and approving the resources used to satisfy the California Independent System Operator's (CAISO) tariff requirements; and C. Authorize staff to submit the Resource Adequacy Plan for 2018 and the Monthly Resource Adequacy and Supply data to the CAISO. Background The California Independent System Operator(CAISO) as the electric grid operator is responsible for maintaining a reliable electric grid. One of the keys to maintaining a reliable grid is to ensure that the electric system has adequate resources it needs to meet its electric demand. To do this the CAISO has established provisions in its Tariff that are intended to ensure that Load Serving Entities(LSE), such as the City of Vernon,will secure sufficient resources to meet their customer's energy demands. Pursuant to Section 40 of the CAISO Tariff LSEs must provide to the CAISO annually a Resource Adequacy demonstration or plan. The Resource Adequacy demonstration must include(1)a coincident peak Demand Forecast, (2)Reserve Margin,(3)Qualifying Capacity Criteria,(4)an annual and monthly Resource Adequacy and Supply data,and(5)a list of Resource Adequacy Resources that will be counted on to satisfy its Local Capacity Requirement and (6) Flexible Resource Adequacy Capacity Requirement. (1) Coincident Peak Demand Forecast: is defined as the amount of the City of Vernon's load that contributes to the CAISO system peak. This is calculated by first establishing a monthly peak demand for the upcoming year. A monthly peak demand is established by taking the latest highest metered energy demand for the month and applying the projected load growth rate. Based on staff analysis, a projected load reduction for 2018 is set at 1.5%. To establish the monthly energy demand for 2018, Staff has used the most recent 12-month highest monthly energy demand and applied a 1.5% reduction. Once the peak demand forecast is established, each monthly peak demand is multiplied by a coincident peak factor to establish the monthly coincident peak demand forecast. The coincident peak factor is calculated and provided to the City of Vernon annually by the California Energy Commission. It is the percentage of the City of Vernon's energy demand at the time of the CAISO system's peak demand. Mathematically, the Coincident Peak Demand Forecast for 2018 is equal to the peak demand forecast and multiplied by the coincident peak demand factor. (2) Reserve Margin: is defined as the amount of Resource Adequacy Capacity that an LSE must maintain above its coincident peak Demand Forecast. Pursuant to the CAISO Tariff, a LSE must establish a Reserve Margin of no less than 15%. Historically the City of Vernon has established its Reserve Margin at 15%. (3) Qualifying Capacity Criteria: a Load Serving Entity must provide the CAISO with a description of the criteria that will be used to determine the type of resources that can be used to meet its capacity obligation and the amount of capacity (Qualifying Capacity) from such resources. The City of Vernon has elected to use the following resources to meet its capacity needs and the qualifying capacity from each of them. a) Power supply contracts entered through WSPP Agreement (MRTU Amendment) and defined as any SC-to-SC traded product for which an IST (Inter-SC Trades) can be submitted to the CAISO. b) Vernon Purchase Power Contract with SCPPA for SCPPA's share of the Palo Verde Generating Station. The qualified capacity shall be 4.9% of SCPPA share of the Palo Verde Generating Station. c) The contract between the United States Department of Energy Western Area Power Administration Boulder Canyon Project and the City of Vernon. The Qualifying Capacity will be based on the most current schedule for the available capacity from the Boulder Canyon Project. d) The generating units and system units within the City of Vernon's electric system. The amount of qualifying capacity of such units will be based on the projected dependable gross output capacity on a day when the ambient air temperature is 90 degrees Fahrenheit. e) Long term power purchase contracts of 5 years or more. The Qualifying Capacity bill be based on the City of Vernon's percentage share of the contracted capacity quantity. f) Capacity from a Participating Generator, System Unit or a System Resource as defined in the CAISO Tariff. g) Interruptible Service agreements between the City of Vernon and its electrical customers. The qualifying capacity will be based on the contracted amount the electrical customer has agreed to interrupt either by a request from CAISO or upon an unscheduled outage of the Malburg Generating Station or any other generating unit internal to the City's electric system. (4) Annual and monthly Resource Adequacy and Supply data: each annual and monthly Resource Adequacy and Supply data must be submitted to the CAISO on the established templates and on the set schedule dates. The Resource Adequacy data templates shall identify all of the qualified resources committed to meet the City's resource adequacy obligations and the adopted Reserve Margin. The Supply data templates list only those resources that the City owns or is responsible for scheduling with the CAISO. Monthly Resource Adequacy and Supply data templates will be consistent with the data submitted in the Annual Resource Adequacy and Supply data templates and may be adjusted for seasonal variations in the City's load or changes in its contracted/owned resources. (5) Local Capacity Requirement: On an annual basis the CAISO publishes a technical study that determines the amount of capacity resources needed in the Los Angeles Basin area that must be available to the CAISO. Based on this study the CAISO allocates the amount of local capacity the City of Vernon must make available each month. The City of Vernon must then include in the CAISO approved Resource Adequacy data templates the resources that will meet its Local Capacity Requirement. (6) Flexible Resource Adequacy Capacity Requirement: On an annual basis the CAISO conducts and publishes the results of a study that determines the Flexible Capacity Need for the CAISO Balancing Authority Area. The need for flexible capacity is a result of the CAISO managing a greener grid. The increase of variable energy resources and distributed generation has presented significant challenges to grid reliability. The CAISO determines and allocates the flexible resource adequacy requirement to each LSE. The tariff requires LSEs to have sufficient resources that could ramp up and down quickly and have the potential to start and shut down multiple times per day i.e. flexible capacity. LSEs are required to include both an annual and monthly Flexible Resource Adequacy capacity showings in the Resource Adequacy data template. The City of Vernon must then include in its Resource Adequacy Plan the list of Flexible Resource Adequacy resources that will meet its requirement. These resources must be listed and submitted to the CAISO in the approved Resource Adequacy data template. Consistent with the CAISO Tariff requirements, Staff has prepared the City of Vernon Public Utilities Department's Resource Adequacy Plan for 2018 for City Council approval. Fiscal Impact There is no known fiscal impact. Attachments 1. Proposed Resolution Approving and Adopting the Resource Adequacy Plan for 2018 RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AND ADOPTING THE VERNON PUBLIC UTILITIES DEPARTMENT RESOURCE ADEQUACY PLAN FOR 2018, WHICH INCLUDES THE PEAK DEMAND FORECAST, THE PLANNING RESERVE MARGIN, THE QUALIFYING CAPACITY CRITERIA AND THE QUALIFYING CAPACITY FROM SUCH RESOURCES, CITY' S RESOURCE ADEQUACY AND SUPPLY DATA AND APPROVES THE RESOURCES USED TO SATI.9FY THE CALIFORNIA INDEPENDENT SYSTEM OPERATOR' S TARIFF REQUIREMENTS WHEREAS, the City of Vernon (the "City" ) is a chartered municipal corporation of the State of California that owns and operates a system for the generation, purchase, transmission, distribution and sale of electric capacity and energy; and WHEREAS, the City has executed a Metered Subsystem Agreement ( "MSS Agreement" ) with the California Independent System Operator ( "CAISO" ) ; and WHEREAS, the City is considered a Load Serving Entity ( "LSE" ) under certain terms of the CAISO' s Tariff ( "Tariff" ) ; and WHEREAS, the Tariff requires each LSE to establish and submit to CAISO an annual Resource Adequacy Plan, which includes a peak Demand Forecast, a Reserve Margin, Qualifying Capacity Criteria, and a Supply Plan; and WHEREAS, the Tariff requires each LSE to submit monthly Resource Adequacy Plans and Supply Plans; and WHEREAS, the City has reviewed the historical and expected demand for and supplies of electricity within its distribution system, including the likely peak demand for electricity within the City' s distribution system throughout 2018 , the available generation and other capacity to serve that demand, and constraints which might impact the availability of capacity to serve the City' s projected peak demand; and WHEREAS, based upon that review, the City finds that the peak demand for electricity within the City' s distribution system throughout 2018 is likely to experience load growth of approximately 0% as compared to the same months of the prior year; and WHEREAS, based upon that review, the City finds that the default 15% Reserve Margin set forth in the Resource Adequacy provisions of the MRTU Tariff is sufficient for planning purposes; and WHEREAS, based upon that review, the City finds that the Qualifying Capacity Criteria specified in the City of Vernon Demand Forecast for 2018, Planning Reserve Margin, Qualifying Capacity Criteria and Annual Resource Adequacy and Supply Plan are sufficient and appropriate to be used in determining the amount of Qualifying Capacity needed to meet the City' s projected peak monthly demand and 15% Reserve Margin. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS: SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct . SECTION 2 : The City Council of the City of Vernon finds that this action is exempt under the California Environmental Quality Act (CEQA) , because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" under CEQA Guidelines section 15378 ; and SECTION 3 : The City Council of the City of Vernon hereby approves and adopts the Public Utilities Department Resource Adequacy Plan for Calendar Year 2018 (the "Annual Resource Adequacy Plan" ) , which - 2 - includes the peak Demand Forecast, the Planning Reserve Margin, the Qualifying Capacity Criteria and the Qualifying Capacity from such resources, the annual Resource Adequacy and Supply data, and the Resource Adequacy resources that will be used to satisfy the City' s Local Capacity Requirement for 2018, which is attached hereto as Exhibit A. SECTION 4 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 17Ch day of October, 2017 . Name : Title : Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPROVED AS TO FORM: wll'� Brigh Byun, Senior Deputy City Attorney - 3 - STATE OF CALIFORNIA ) ss COUNTY OF LOS ANGELES ) I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, October 17, 2017, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of October, 2017, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) 4 - EXHIBIT A City of Vernon Public Utilities Department Resource Adequacy Plan Calendar Year 2018 Background: The Resource Adequacy provisions of the CAISO's Tariff require the Scheduling Coordinator ("SC") of a Load Serving Entity ("LSE") such as the City of Vernon to establish and submit the following information upon approval from its Local Regulatory Authority. (1) a Coincident Peak Demand Forecast for its load, (2) a Reserve Margin used for planning purposes, (3) the Qualifying Capacity Criteria that will be used for determining qualifying resource types and the Qualifying Capacity from such resources, (4) an annual and monthly Resource Adequacy and Supply data, and (5) a list of the resource that will be used to satisfy the LSE's Local Capacity Requirement and Flexible Resource Adequacy Capacity Requirement showing. Staff has prepared this "City of Vernon Public Utilities Department Resource Adequacy PIan for Calendar Year 2018 consistent with the CAISO Tariff requirements. The following is a discussion of each of the CAISO Tariff requirements and how the City will meet each requirement. Coincident Peak Demand Forecast: Vernon's municipal load resides within the CAISO control area. The CAISO,as the balancing authority, has the responsibility for meeting reliability criteria established by the Western Electricity Coordinating Council("WECC"). As such the CAISO has entered into agreements with various market participants including, but not limited to, Generators, Scheduling Coordinators, Participating Transmission Owners, Utility Distribution Companies, and Metered Subsystems ("MSS"), which impose certain responsibilities on parties to establish a reliable system. One of those responsibilities is to have operating reserves that meet the WECC minimum requirements. The CAISO's goal in considering reserve requirements is to balance available capacity with demand across the entire CAISO control area and, therefore, CAISO's primary concern is with the time and amount of peak demand on the CAISO-controlled transmission system (the "system peak"). In order to reduce demand during the period of the system peak (and, therefore, to lower the peak demand on the transmission system),utilities generally offer retail rate structures designed to encourage load shifting away from the on-peak period. Such efforts I are intended to achieve on-peak demand reduction and lower the need to build new generation to meet peak demand. Vernon has adopted such a rate structure and has succeeded in shifting the peak demand period for Vernon's system to a time that is generally earlier than the time of the CAISO system peak. Vernon's share of needed capacity to meet CAISO control area capacity requirements may be established by determining the amount of Vernon's load that contributes to the CAISO system peak. Vernon's load that contributes to the CAISO system peak is the City of Vernon Coincident peak Demand. The process to establish Vernon's monthly coincident peak Demand Forecast consists of the following three steps: 1. Establish Monthly Vernon System Peak Demand Forecast for 2018 To establish Vernon's System peak demand forecast, Staff performs an analysis on the year to year change in the City's energy demand peaks during a five year period. Based on the results of the analysis, staff forecasts a load growth rate for the coming calendar year (Exhibit 1). This year's analysis shows that for the period between 2013 and 2017, the City of Vernon system peak demand has decreased 1.2%. Closer review of Exhibit 1 reveals that the decreases in system peak demand from 2016 to 2017 is 2.494%. Based on the current load trend and recent history of years of stagnation, Staff concluded that a 1.5% load reduction is an appropriate forecast for calendar year 2018. Exhibit 2 shows the determination of the projected system peak demand for 2018 that incorporates a 1.5% load reduction. The projected system peak demand for the City of Vernon is also shown below in Table 1. Table l Projected Load 2018 MW January 172.02 February 164.69 Mar 67.53 Aril 169.93 2 May 166.14 June 172.76 July 174.50 August 181.31 September 171.43 October 179.43 November 177.57 December ,162.59 2. Establish Coincidental Peak Factor The coincidental peak factor is the percentage of the City of Vernon's energy demand at the time of the CAISO system peak demand. As set forth in Section 40 of the CAISO Tariff, the coincidental peak factor for each month has been calculated and provided to the City annually by the California Energy Commission(CEC).The monthly coincidental peak factor is shown in column C of Exhibit 3. 3. Calculate Monthly Coincident Peak Demand Forecast The City of Vemon's Coincident Peak Demand forecast is calculated as the mathematical product of the City of Vernon's forecasted System peak demand and the coincidental peak factor. This reflects the City of Vernon's projected demand at the time of the CAISO system peak demand for each month. The monthly coincident peak Demand Forecast is calculated and listed in column D of Exhibit 3 for the period of January through December 2018. It is also shown below in Table 2. Table 2 Demand Forecast 2017 MW January 129.9 February 128.8 March 131.2 JApril 138.2 Imay 1128.6 3 June 146.7 July 151.6 August 145.8 e tember ,134.2 October 141.0 ;November 145.1 'December 1132.2 Reserve Margin for Planning Purposes The Reserve Margin is the amount of Resource Adequacy Capacity that an LSE must maintain above its coincident peak Demand Forecast. Historically, the City of Vernon has established its Reserve Margin at 15%. Staff has recommended that the City Council maintain the Reserve Margin at 15% for planning purposes. The 15% Reserve Margin was used to establish the monthly Resource Adequacy obligation for the City of Vernon. The monthly Resource Adequacy obligation is listed in column E of Exhibit 3. Qualifying Capacity: A Load Serving Entity must provide the CAISO with a description of the criteria that will be used to determine the type of resources that can be used to meet its capacity obligation and the amount of capacity (Qualifying Capacity) from such resources. Historically Vernon has used the following criterion to determine whether a resource qualifies: It qualifies if Vernon has a contractual right to the power or has an interruptible service agreement with a customer. The six following resources are among those that meet this criterion and provide Qualifying Capacity. The calculation for the amount of Qualifying Capacity the six eligible resource types follows: 1. CAISO 1ST-enabled Product. Power supply contractls entered through WSPP Agreement (MRTU Amendment) and defined as any SC-to-SC traded product for which an IST (Inter-SC Trades) can be submitted and for which CAISO will make payment or issue an invoice, including Energy, Tier I IFM Bid Cost Recovery 4 Obligations and Ancillary Service Obligation trades, as each defined in the Tariff. 2. Palo Verde. Vernon Purchase Power Contract with SCPPA for 4.9%of SCPPA's share of Palo Verde Nuclear Generating Station (Palo Verde) shall be eligible as Qualifying Capacity. The power is scheduled as an import generally at Westwing Substation through the CAISO's entitlement of transmission from Westwing to SP-15. 3. Boulder Canyon. Contract NO 16-DSR-12650 between United States Department of Energy Western Area Power Administration Boulder Canyon Project and City of Vernon, California for Electric Service shall be eligible to count as Qualifying Capacity. The power is scheduled as an import at Mead Substation generally through the CAISO's entitlement of transmission from Mead Substation to SP-15. The amount of Qualifying Capacity will be based on the most current schedule for the available capacity from the Boulder Canyon Project at the time of submittal of the Resource Adequacy Plan. 4. Vernon Units. Generating units and system units (but excluding Vernon diesel generating units) within Vernon's MSS including the Malburg Generating Station and the City owned H. Gonzalez units, as reflected in Schedule 14 of Vernon's MSS Agreement with CAISO shall be eligible to count as Qualifying Capacity. The amount of Qualifying Capacity of such units will be based on the projected dependable gross output capacity on a day when the ambient air temperature is 90 degrees Fahrenheit. 5. Long Term Power Purchase Contracts. Long term power supply contracts(5 years or more) entered through a power purchase agreement shall be eligible to count as Qualifying Capacity. The amount of Qualifying Capacity will be based on the City of Vernon's percentage share of the contracted capacity quantity. For the upcoming year, the following contracts will count as Qualifying Capacity, Antelope DSR I Solar Project, Astoria 2 Solar Project and Puente Hills Landfill Gas-To-Energy Facility. 6. Other Units. All other capacity from a Participating Generator, a System Unit, or a System Resource, as defined in the CAISO Tariff, shall be eligible as Qualifying Capacity. System Resources,however, must have a firm transmission path from source to the CAISO control area. Such criteria for firm transmission facilities over the CAISO control area can be satisfied with the possession of a firm transmission right from the CAISO on the path associated with the System Resource. Firm transmission rights provide physical priority right to schedule over congested paths. 7. Interruptible Service Agreements. Interruptible Service Agreements with the City's Electrical customers. Currently Vernon has an Interruptible Service Agreement where the customer agrees to interrupt 12.65 MW of load within a 30 minute notification. A period of interruption can occur upon notification from the Independent System Operator (ISO) requiring the City to shed load or upon the unscheduled outage of the Malburg Generating Station("MGS")or any other generating unit internal to the City's system. Annual and Monthly Resource Adenuacv and Supply data: The CAISO Tariff requires that the scheduling coordinator of a load serving entity provide an annual and a monthly Resource Adequacy Plan(Section 40.2.2.4) using the required templates and submitted on the set schedules. Furthermore, the scheduling coordinator of a resource providing resource adequacy must submit both an annual and monthly Supply Plan (Section 40.4.7.1) using the required templates and submitted on the set schedules. Therefore, the City of Vernon as a load serving entity and a scheduling coordinator for resource adequacy resources must submit a Resource Adequacy and Supply Plan on the set schedules. Staff has prepared the Annual Resource Adequacy (Exhibit 4) and Supply data (Exhibit 5) for calendar year 2018. Staff will submit the monthly Resource Adequacy and Supply data to the CAISO as they become due. The data to be submitted on the monthly plans will be consistent with the Annual Resource Adequacy and Supply Plan and may be adjusted for seasonal variations as well as load and resource changes. The monthly plan is due to the CAISO 45 days prior to the beginning of the month. 6 Local Capacity Area Resources: In accordance with Section 40.3 of the CAISO Tariff, CAISO annually publishes a Local Capacity Technical Study that determines the amount of local capacity needed in the Los Angeles Basin area that must be available to the CAISO. Based on the Local Capacity Technical Study, the CAISO allocates responsibility for Local Capacity Area Resources to the Scheduling Coordinators of the LSEs. The CAISO validates that the Scheduling Coordinator list enough local resources in its Resource Adequacy data templates to satisfy its obligation. Staff has prepared the Resource Adequacy data templates (Exhibit 4)which lists the Resource Adequacy Resources including the Malburg Generating Station, Puente Hills Landfill Gas-To- Energy Facility and the City owned H. Gonzalez units that will be counted on to satisfy the Local Area Capacity requirement for the City of Vernon. Flexible Resource Adequacy Capacity: In accordance with Section 40.10 of the CAISO Tariff, CAISO annually conducts a study to determine the Flexible Capacity Need for the CAISO Balancing Authority Area for each month of the next calendar year and provides the results of the study to each Local Regulatory Authority in the CAISO Balancing Authority Area. Flexible resources are resources with the potential to ramp up and down quickly and have the capability to start and shut down multiple times per day. The need for flexible capacity is a result of the CAISO managing a greener grid. The increase of variable energy resources and distributed generation has presented significant challenges to grid reliability. These types of resources are projected to continue to increase in the future which will create an increase in supply and load variability and unpredictability within the CAISO system. In order for the CAISO to efficiently operate the grid, it needs measures to ensure that flexible resources are economically bid into the CAISO markets and as a result optimally dispatch them. The CAISO study calculates the total system amount of Flexible Capacity needed for each of the three Flexible Capacity Categories. The three categories are: (1) base ramping flexibility; (2) peak ramping flexibility; and (3) super-peak ramping flexibility. Section 40.10.3 of the CAISO Tariff sets the criteria needed by resources to qualify for each category. For the Calendar Year 2018, the CAISO has determined the system-wide Flexible Capacity needs and 7 has notified each LSE their monthly requirement. Exhibit 6 lists the City's Flexible Capacity requirement by month and category. Furthermore, the CAISO has established the Effective Flexible Capacity for each resource and the category of Flexible Capacity each will qualify for the upcoming compliance year. For Calendar Year 2018, the CAISO has established 78 MW of category 1 base ramping flexible resources adequacy capacity for Malburg Generating Station, and 5.75 MW category 1 base ramping flexible resource adequacy capacity for each H. Gonzales Unit (Exhibit 7). CAISO Tariff Section 40.10.5.1 requires the Scheduling Coordinators of LSEs to identify the resources it will rely on to satisfy its Flexible Resource Adequacy Capacity on both the annual and monthly Resource Adequacy data templates. Staff has prepared the Resource Adequacy data templates (Exhibit 4) which lists the Resource Adequacy Resources including the Malburg Generating Station and the City owned H. Gonzalez units that will be counted on to satisfy the Flexible Resource Adequacy Capacity requirement for the City of Vernon. Exhibit 1 5 year Sytem Peak Demand Analysis Year Peak % Inc./Dec. (A) (B) (C) 1 2013 194.0 212014 191.0 -1.572% 3 2015 192.3 0.717% 412016 1894 -1 510% 512017 1847 -2-494% 6 Average 190.3 -1.2% A Year B Source: (City Historical Sytem Peak Load Data) C % Increase/Decrease from previous year. Note: The five year system peak demand average will not be used in this year's RA Plan. It has been determined that a1.5% load decrease is appropriate for calendar 2018. Exhibit 2 January - December 2018 Projected Load 2015-2017 2018 (Actual City Projected System Peak System Peak Month Load) Load (A) (13) (C) 1 Janua '17 17464 172.02 2 February'17 167.20 16469 3 March `17 17008 16753 4 APril '17 172.52 16993 51 May'17 16867 166 14 61 June "!7 175 39 17276 7 Julv'17 177 15 174.50 8 Auqust '17 18407 181.31 9 September'17 174 04 17143. 10 October '16 182 16 17943 DNovember'16 180 28 177.57 1i December'16 16507 16259 A Month B Source: (City Historical System Peak Load Data) C Projected Load for 2018 (1.5% load decrease is applied) Exhibit 3 January - December 2018 Resource Adequacy Requirement Vernon Coincident System Peak Coincidental Peak Demand RA Capacity Month Demand Peak Factor Forecast Requirement (A) (B) (C) D (E) 1 January 1720 75.5% 129.9 1494 2 February 164.7 78 2% 128.8 148.1 3 March 167.5 78.3% 131.2 150.9 4 April 1699 81 3% 138-21 158.9 5 May 1661 77.4% 128.6 147.9 6 June 1728 84 9% 146.7 1687 7 July 1 174.5 86 9% 151.6 174.4 8 August 181 3 80 4% 145.8 167.6 9 September 1714 78.3% 134.2 154.4 10 October 179.4 78 6% 141.0 1622 11 November 177.6 81 7% 1451 166.8 12 December 1626 81.3% 132 2 1520 A Month B Source: (Exhibit 1 Column E) C Source: CEC D Product of B and C E Product of D and 115%(115% reflects Planning Reserve Margin) ¥ \ @ / a � T) :3 7 9 \ � m �� ;tea,-DG__ $ » a « 7mI : 2 � a § @ ® @ a ❑ � ^ � � � LZ � » 7i7LI � E % E 02 2 t , , , � b § § 2 k 22�_� �� ���0E— a c z 4 a b k % ■ = o _ � C)c GD 0 -0 2 A72 t { � cC � _ a0 _ ° ° ° c9P < / > > ® r2 ° ° ° > m6 - « _ n _ � 0 37 \ / bb kf22 5� u ¥ _ c � & _ © n 2 O � � $ § ± % .! 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Base Super Total Flexible i Flexibility Peak Peak RA Requirement Flexibility Flexibilty Requirement (A) (B_) (C) (D) (E) 1 January 17.28 2520 224 44.72 2 February 17.80 25-97 2.30 46.07 3 March 1393 2032 1.80 36.05 4 April 14.38 2098 1.86 37.22 5 May 22.03 16.15 2.01 40.19 6 June 1617 11.85 1 47' 29.49 7 July 21 40 1569 1.95 39.04 8 August 18.24 13.38 1.66 33.28 9 September 20.86 15.30 1.90 38.06 10 October 1426 20.80 1.84 36.90 11 November 1502 21.91 1.941 38.87 12 December 15.90 23.20 2-061 41.16 A Month and Year B Requirement for Category 1- Base Ramping Resources C Maximum allowed use of Category 2-Peak Flexibility D Maximum allowed use of Category 3- Super Peak Flexibility E Total Flexible RA Requirement for City of Vernon Exhibit 7 January - December 2018 Effective Flexible Capacity Effective Flexible Flexible Capacity _ Capacity Cateaorv_ (A) B (C) 1 Malburg Generating Station 78 1 2 H. Gonzalez 1 5.75 1 3 H. Gonzalez 2 5751 1 A Designated flexible resource B Designated Effective Flexible Capacity(Qualified Flexible Capacity by each Resource) C Designated Flexible Capacity Category RECCE RUED RECEIVED ' L - �* OCT 12 2017 �l E 1 �, `� 7�117 CITY ADM IRISTRATION CITY CLERK'S OFFICE STAFF REPORT PUBLIC UTILITIES DEPARTMENT TMEI T DATE: October 17, 2017 TO: Honorable Mayor and City Council FROM: Kelly Nguyen, General Manager of Public Utilities ff\— RE: Award of a Management Consulting Services Agreement with Black & Veatch for Asset Acquisition Advisory & Support Services Recommendation A. Find that approval of the proposed action is exempt from California Environmental Quality Act ("CEQA") review, because it is an administrative activity that will not result in direct or indirect physical changes in the environment, and therefore does not constitute a "project" as defined by CEQA Guidelines section 15378; and B. Approve a Management Consulting Services Agreement with Black & Veatch for services regarding Asset Acquisition Advisory & Support Services, for a fixed amount not-to-exceed $105,000 over the one-year term of the agreement and an additional $10,000 for estimated travel expenses, which are reimbursable at cost; and C. Authorize the City Administrator to execute a Management Consulting Services Agreement, in substantially the same form as submitted herewith, with Black & Veatch; and D. Authorize the City Administrator to issue change orders, if necessary, that may increase compensation for Black & Veatch in an amount not-to-exceed $15,000 over the one-year term of the agreement. Back round The City built the Malburg Generating Station ("MGS") in 2005 and later sold it to Bicent (California) Malburg, LLC ("Bicent") in 2008. MGS is a 120 MW base-load and 134 MW full- load natural gas-fired combined cycle plant. Pursuant to a Power Purchase and Tolling Agreement ("PPTA") with the Bicent, the City purchases all of the capacity and energy from the power plant through 2023, with a possible extension through 2028. The City is responsible for supplying the power plant with natural gas fuel, and makes capacity and energy payments. The capacity and energy payments under the PPTA represent a significant portion of the Vernon Public Utilities Department ("VPU') operating cost. In order to alleviate the burden of the PPTA Page 1 of 3 costs on the Department's operating cost and on the electric rates on its customers, staff sought to evaluate if it would make technical and financial sense to acquire back the MGS in lieu of the capacity and energy payments to Bicent through the term of the PPTA. In order to perform required due diligence, the City seeks to retain a consultant to provide consulting services for Asset Acquisition Advisory & Support Services. The consultant will perform engineering and financial evaluation of the power plant, determine its fair market value, and develop strategies to maximize value for the City. The consultant will be expected to identify and quantify risk areas associated with acquisition and to properly assess the plant's risk profiles and operating characteristics through engineering, financial modeling and other methods. On August 31, 2017, City staff properly publicized the Request for Proposal ("RFP") for Asset Acquisition Advisory & Support Services for the Vernon Public Utilities Department, as stated in Vernon Municipal Code section 2.17.14 requirements. The City received a total of two (2) timely proposals from qualified firms. The two firms that provided proposals were Black & Veatch (`B&V") and Goldman Sachs. B&V was the only firm that submitted a proposal to perform both the technical and financial valuation of the plant. A panel of City staff was assembled and selected B&V to be the most suitable firm to perform the services listed in the RFP. While B&V has proposed to provide additional asset acquisition consulting services, at this time staff is seeking approval to retain B&V for the following limited services: (1) Technical due diligence which will include review of the general plant design, assessment of the general condition of the facility, performance assessment, operations & maintenance ("O&M") practices and costs assessment, environmental compliance review, and contractual obligations review. The due diligence will focus on assessing the facility's risk profile and identifying technical and financial inputs to be utilized in the financial evaluation and fair market value determination of the facility. (2) Financial Valuation which will include a fair market value estimate of the facility by developing a valuation model that reflects the cash flow expected to be produced by the facility. B&V will also produce comparable asset and cost based valuations for information purposes. Therefore, staff recommends the City Council to retain Asset Acquisition Advisory Services from B&V as proposed. This agreement has been reviewed and approved by the City Attorney's office. Fiscal Impact The proposed fixed amount is $105,000, with the cumulative total contract value not-to-exceed $130,000 (which includes the rough estimate for travel reimbursement of$10,000 and an amount for any necessary change orders of $15,000) for the consulting services. This project will be included in the Vernon Public Utilities consulting services budget for 2017-2018 budget. Attachments 1. Proposed Management Consulting Services Agreement Page 2 of�. MANAGEMENT CONSULTING SERVICES AGREEMENT THIS MANAGEMENT CONSULTING SERVICES AGREEMENT ("Agreement") is between the City of Vernon ("Client"), a California chartered city and municipal corporation organized under the laws of the State of California, and Black & Veatch Management Consulting, LLC ("Consultant"), a limited liability company organized under the laws of the State of Kansas, each a"Party"and collectively"Parties". WITNESSETH: WHEREAS, Client has selected Consultant, through a public Request For Proposals process ("RFP"), to provide consulting services ("Services") for a certain contemplated transaction related to the Malburg Generating Station(the"Contemplated Transaction")and, WHEREAS, Consultant is prepared to provide the Services set forth in its proposal dated September 12, 2017 submitted in response to the RFP, attached hereto and incorporated by reference herein as Exhibit A(the "Proposal"),which will include the preparation of a consolidated due diligence report as more fully described in the Proposal(the"Report"). NOW THEREFORE, in consideration of the mutual promises contained in this Agreement, the Parties agree as follows: Article 1 --Effective Date and Term The effective date of this Agreement shall be October 17, 2017. The initial term shall be for one (1) year and may be renewed for two (2) successive one-year periods, at Client's election and subject to approval by Client's City Council ("City Council"), unless terminated in writing by either Party with no less than thirty (30)days written notice. Article 2—Scope of Services Consultant shall perform the Services as set forth in the Proposal. The Proposal shall be governed by the terms of this Agreement and describes the scope of Services, schedule, and compensation terms. Any additional or conflicting terms and conditions contained in the Proposal shall be superceded by the terms and conditions in this Agreement. Client understands that Consultant will not provide legal or tax advice or opinions,and Client will seek such advice and opinions from its attorneys and tax advisors. Article 3—Compensation and Invoicing 3.1 Compensation: Client shall pay the compensation as described in the Proposal. 3.2 Monthly Billing: Immediately upon execution of this Agreement Consultant shall invoice Client for an advance payment of 25 percent of the Task 1 through Task 3 fixed fee. (The final invoice will show a credit for the amount of the initial advance payment.) Consultant is under no obligation to submit any deliverable until such advance payment is made. Template Version date:01/30/17 3.3 Invoicing: Consultant shall submit to Client a monthly invoice itemizing the Services performed during the previous month and any interest due for any previously unpaid balances. Invoices may be submitted electronically by email to AALemu@ci.vemon.ca.us. In such event, the electronic copy of the invoice will be considered the official invoice and will not be followed by a hard copy invoice. If Client fails to pay any invoiced amounts when due, interest will accrue on each unpaid amount at the rate of 12 percent per annum, or the maximum amount allowed by law if less, from the date due until paid according to the provisions of this Agreement. Interest shall not be charged on any disputed invoice item that is resolved in Client's favor. Payment of interest shall not excuse or cure any default or delay in payment of amounts due. 3.4 Method of Payment: Electronic Transfer: Payments to Consultant under this Agreement shall be electronically transferred by wire transfer to the bank account and in accordance with the bank instructions identified in Consultant's most recent invoice in immediately available funds no later than the payment due date. The invoice number shall be referenced in the bank wire reference fields. 3.5 Disputes: In the event Client disputes any invoice item, Client shall provide Consultant written notice of such disputed item within 10 days after receipt of such invoice. Client shall nevertheless pay to Consultant any undisputed portion of the invoice according to the provisions hereof. Article 4—Client's Responsibilities Client shall supply to Consultant all necessary information and data required by Consultant to perform the Services hereunder. Client shall promptly notify Consultant of any fact or circumstance which is likely to make any such information untrue or inaccurate in any material respect at any time after it has provided such information to Consultant. Article 5—Warranty 5.1 Consultant's Services Consultant warrants that the Services will be performed in accordance with the standard of care and diligence customarily practiced by recognized firms in performing similar services at the time of Consultant's performance of the Services. If, within a reasonable period following completion of the Services but in any event no later than one-year after such completion under the applicable Request for Services, Client demonstrates that the Services were improperly performed as a result of Consultant's failure to meet such standard and Client has notified Consultant in writing of any such deficiency within that period, Consultant shall re-perform, without cost to Client, such Services within the original scope of work to ensure that the level of Consultant's performance meets the standard set forth above. 5.2 Reliance on Furnished Data Consultant shall have no liability for defects in the Services attributable to Consultant's reliance upon or use of data or information furnished by Client and Client shall defend, indemnify and hold Consultant harmless form any and all claims and liability, and all losses,costs and expenses arising from the use of such data. 5.3 Sole Warranty CONSULTANT MAKES NO OTHER WARRANTIES OR GUARANTEES, EXPRESS OR IMPLIED, RELATING TO CONSULTANT'S SERVICES, AND CONSULTANT DISCLAIMS ANY IMPLIED WARRANTIES OR WARRANTIES IMPOSED BY LAW INCLUDING WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. This Article governs, modifies and supersedes any other terms in this Agreement which address warranties or guarantees or the quality of the Services. The warranty contained in this Article is Consultant's sole warranty and guarantee obligation and Client's exclusive remedy in respect to the quality of the Services. Article b--Liability and Indemnification Template Version date:01/30/17 6.1 General A. Client acknowledges and agrees that it is not reasonably feasible for Consultant to conduct a comprehensive investigation and make definitive determinations for the compensation provided for herein and without thorough verification of the information upon which the Services were performed, and therefore Consultant can offer no assurances that any facts, observations, analysis, opinions or other matters contained in the Report will be accurate, either at the time the Report is issued or at any other time. B. The parties, having considered the risks and potential liabilities that may arise during the performance of the Services, the benefits of the Services and this Agreement, and in consideration of the other promises contained in this Agreement, agree to allocate and limit Consultant's liabilities in accordance with this Article. 6.2 Indemnification To the fullest extent permitted by law, Client hereby agrees to defend, indemnify and save harmless Consultant and its Affiliates from any and all liabilities, cost and expenses, including, without limitation, reasonable attorney's fees and expenses, arising out of any action, claim, investigation, litigation or proceeding by any third party, whether threatened or commenced, in connection with this Agreement or the use of or purported reliance on any Report provided by the Consultant and distributed to such third party other than in compliance with Section 13.1. Similarly, to the fullest extent permitted by law, Consultant hereby agrees to defend, indemnify and save harmless Client and its Affiliates from any and all liabilities, cost and expenses, including, without limitation, reasonable attorney's fees and expenses, arising out of any action, claim, investigation, litigation or proceeding by any person for bodily injuries and and for any third party property damage, whether threatened or commenced, in connection with this Agreement and Consultant's alleged negligence or willful misconduct. For purposes of this Agreement, "Affiliates" means a parry's directors, officers, elected officials, appointed commissioners, employees, shareholders, agents, independent contractors,parent, subsidiary, or a company under common majority ownership with the party. 6.3 Limitations of Liability To the fullest extent permitted by law the Parties hereby acknowledge and agree that the aggregate of each part's liability to the other and all third parties, for all claims, losses, damages, and expenses in any way arising from or related to the performance of the Services, or otherwise under this Agreement, shall not exceed the total compensation actually received by Consultant or to be paid by Client with respect to such Services and both Parties hereby waive any right to seek or collect damages in excess thereof under any legal theory, including without limitation breach of contract, breach of express or implied warranties, strict liability, negligence,negligent misrepresentation or otherwise. 6.4 Waiver of Consequential Damages In no event shall either Party be responsible or held liable for, and the Parties hereby release one another from, any loss of profits or revenue; loss of use; loss of opportunity; loss of goodwill; cost of substitute facilities, goods or services; cost of capital; governmental and regulatory sanctions; and claims of customers for such damages; or for any consequential, incidental, exemplary, special or indirect damages in any way arising from or related to the performance of this Agreement. 6.5 Exclusive Remedy The Parties' remedies, obligations and liabilities under this Agreement shall be exclusively those expressed in this Agreement and in lieu of any others available at law or otherwise. To the fullest extent permitted by law, releases, waivers or limitations of liability expressed in this Agreement shall apply notwithstanding the negligence, strict liability, fault, or breach of warranty or contract of the party whose liability is so released or limited. The benefit of such releases, waivers or limitations of liability shall extend to Affiliates of such parties. 6.6 Survival The terms and conditions of this Article 6, and other articles necessary to bring into effect the intent of the parties, shall survive the expiration or termination of this Agreement. Template Version date:01/30/17 Article 7-- Insurance 7.1 Consultant's Obligations During the performance of the Services, Consultant shall maintain the following insurance coverages: (a) General Liability Insurance,with a limit of$1,000,000 for each occurrence and in the aggregate. (b) Automobile Liability Insurance,with a combined single limit of$1,000,000. (c) Workers' Compensation Insurance, in accordance with statutory requirements and Employers' Liability Insurance,with a limit of$500,000 for each occurrence and in the aggregate. (d) Professional Liability Insurance,with a limit of$1,000,000 per occurrence and in the aggregate. Consultant shall, upon written request, furnish Client certificates of insurance which will include a provision that such insurance may not be canceled without at least 30 days' written notice to Client. 7.2 Client's Insurance Obligations A. Unless waived in writing by Consultant, Client shall require each contractor under contract with Client to include Client and Consultant as additional insureds on such contractors' general liability and automobile liability insurance policies. Client shall also require that such liability policies be endorsed to be primary and noncontributing and that such liability policies, including workers' compensation and employers' liability, include waivers of subrogation for the benefit of Client and Consultant. Client shall require each contractor to defend, indemnify and hold harmless Consultant to the same extent as Client. B. Client assumes sole responsibility for, and waives all rights and claims against Consultant for, all losses of or damage to property owned by or in the custody of Client, and any property at the work site or in transit thereto (including, but not limited to, construction work in progress), however such loss or damage shall occur, including, without limitation, the strict liability, negligence or fault of Consultant. Client agrees to maintain, or cause its contractor(s) to maintain, appropriate property insurance that identifies Consultant as a named insured without liability for the payment of insurance premiums. Certificates of insurance for such policies shall be provided to Consultant upon request. Article 8--Estimates of Cost and Schedule Client acknowledges that Consultant has no control over (i) the cost of labor, materials, equipment, or services furnished by others, (ii) the methods of determining prices used by others, (iii) competitive bidding or market conditions, or (iv) resources provided by others (including Client) to meet contract schedules. Consultant does not guarantee that proposals, bids or actual costs will not vary from Consultant's estimates or that actual schedules will not vary from Consultant's projected schedules. Notwithstanding the foregoing, the costs set forth in the Proposal for Tasks 1 through 3 shall be fixed, exclusive of reasonable travel expenses which will be reimbursed at cost. Article 9--Termination and Suspension 9.1 Default This Agreement may be terminated by either Party upon written notice in the event of substantial breach of this Agreement by the other Party. The nonperforming Party shall have 15 business days from the date of the termination notice to cure, or to submit a plan for cure, acceptable to the other Party. In the event of such termination, Consultant shall be paid for Services performed to the date of termination, so long as such Services are performed in accordance with the Proposal. 9.2 Convenience Client may terminate or suspend performance of any or all Services for convenience upon written notice to Consultant. In such event, Consultant shall then terminate or suspend performance of the Services on a schedule acceptable to Client (the "Termination Schedule"). Client shall pay Consultant for all the Services performed in accordance with this Agreement and reasonable expenses incurred up to and including the last Template Version date:01/30/17 day of the Termination Schedule. In the event of suspension, Client shall pay Consultant on a monthly basis for such costs and expenses and, prior to a restart of suspended Services, an equitable adjustment to Consultant's compensation shall be agreed upon by the parties. Article 10--Force Majeure Any delays in or failure of performance by either party, other than payment of money, shall not constitute a default if and to the extent such delays or failures of performance are caused by occurrences beyond the reasonable control of the affected party including, but not limited to, acts of God or public enemy: expropriation or confiscation of facilities; compliance with any order or request of any governmental authority; act of war; rebellion or sabotage or damage resulting therefrom; fires, floods, explosion, or accidents;riots or strikes or other concerted acts of workers, whether direct or indirect; or any causes,whether or not of the same class or kind as those specifically named above, and which by the exercise of reasonable diligence, such affected parry is unable to prevent. Article 11 —Notices All Notices permitted or required to be given under this Agreement will be in writing and will be deemed duly received: (a)if sent by overnight or international courier service, when confirmation of receipt by the recipient is confirmed by such service; (b) if delivered by personal delivery or mail, when received by the recipient, or (c) if sent by electronic mail, when the sender has received electronic confirmation that the recipient has read such transmission. All Notices shall be in the English language. All Notices will be delivered or sent to the Parties at their addresses or number shown below or to such other address or number as a Party may designate by prior Notice to other Party given in accordance with this provision: Consultant: Client: Black&Veatch Management Vernon Public Utilthes Consulting, LLC 4305 Santa Fe Ave. 11401 Lamar Ave Vernon, CA 90058 Overland Park, Kansas 66211 USA Attention: Kelly Nguyen Attention: John M. Chevrette Title: General Manager Title: President Phone: (323) 583-8811 ext. 262 Phone: 913-458-3716 This Article shall not be construed to restrict the exchange of routine communications between representatives of the parties. Article 12—Confidential Information 12.1 Definition For the purpose of this Article, "Confidential Information" shall include designs, drawings, plans, calculations, formulae, techniques and trade secrets or like information which has not been previously disclosed or reproduced without restriction by Client or has not become public knowledge; provided that Consultant shall be under no obligation or liability to treat information received as Confidential Information unless Client advised Consultant in writing at the time of disclosure that said information is confidential or, if the information is not in written form, advised Consultant at the time of disclosure that the information is confidential. 12.2 Restrictions Consultant shall not (except insofar as may be reasonably necessary for the performance of the Services hereunder or as required by law) use, disclose, or permit to be disclosed, to any person Confidential Information acquired from or given by Client to Consultant in the course of carrying out Services under this Template Version date:01/30/17 Agreement, without the prior approval of Client. Except when required in the performance of the Services or as required by law, Consultant shall not reproduce, or permit to be reproduced, any Confidential Information acquired from Client, without the prior written approval of the Client. Confidential Information disclosed by Client shall remain the property of Client; provided, Consultant may retain a record copy of all such information for legal and archival purposes. 12.3 Exclusions Consultant's confidentiality obligations hereunder shall not extend to information: (i) which, at the time of disclosure, is a part of the public domain through no fault of Consultant; (ii) which was in the possession of Consultant at the time of disclosure; (iii) which is subsequently disclosed to Consultant by a third party, which information Consultant reasonably believes had not been wrongfully acquired, directly or indirectly, from Client. Consultant shall not be restricted in any way from releasing confidential information in response to a subpoena, court order, or legal process, but shall notify Client of the demand for information before Consultant responds to such demand. Article 13—Rights to Work Product 13.1 Reports and Information A. No Report,nor any information contained in the Report or otherwise supplied by Consultant in connection with the Services, shall be released or used by Client in connection with any proxy, proxy statement, proxy soliciting material, prospectus, official statement, offering memorandum, securities registration statement or similar document, nor may Client identify Consultant in any such document by name, without the express prior written approval of Consultant and in accordance with this Article 13. Any information shared with the Client prior to the release of the Report is superseded by the applicable Report. Client may not rely on emails, drafts,or oral statements made prior to the issuance of the applicable Report. B. Client shall not distribute any Report, or any contents of the Report, to third parties except as permitted by this Section 13, unless Client has received from such third party or any other party receiving such Report, an executed Use of Work Products Agreement ("Use Agreement") at or prior to closing of a transaction in the form attached as Exhibit B. Should such Report be made available through an internet-based electronic data room service, Client shall notify Consultant and obtain a"click-through"acceptance of the terms contained in Exhibit B from such third parties accessing the Report. Should Client distribute such Report or any contents thereof without obtaining an executed Use Agreement, Client's distribution of the Report shall be at its own risk and Client agrees to defend, indemnify and hold Consultant harmless from and against any and all claims Consultant receives from any third party recipient of the applicable Report or the contents of the Report. C. In addition, Consultant,in its sole discretion,may include a"Special Notice" in the form set out in Exhibit C on the front page and footer of the Report when delivered to Client by Consultant, and Client shall include such Special Notice in any copy of the Report or excerpts. Article 14—Intellectual Property 14.1 Except as otherwise provided herein, Reports and other documents which Consultant prepares and delivers to Client shall become the property of Client when Consultant has been fully compensated for the Services rendered. Nothing contained in this Agreement shall be construed as limiting or depriving Consultant of its rights to use its basic knowledge and skills to carry out other services or work for itself or others, whether or not such other services or work are similar to the Services. 14.2 All documents, including, but not limited to, drawings, specifications, reports and computer software prepared by Consultant pursuant to this Agreement, are instruments of service in respect to the Services. They are not intended or represented to be suitable for reuse by Client or others on extensions of the Services or in any other services. Any reuse without prior written approval, and verification or adaptation by Consultant for the specific purpose intended will be a breach of the license granted by Consultant hereunder, and will be at Client's sole risk and without liability or legal exposure to Consultant. Client shall defend, Template Version date:01/30/17 indemnify, and hold harmless Consultant from and against all claims, losses, damages, injuries, and expenses, including attorneys' fees,arising out of or resulting from such reuse. 14.3 At all times, each party shall retain all of its rights in its drawing details, designs, specifications, models, databases, computer software, copyrights, trade and service marks, patents, trade secrets, and any other proprietary property. Rights to intellectual property developed, utilized, or modified in the performance of the Services shall retrain the sole property of Consultant. Consultant grants to Client a royalty-free, non- exclusive, limited license to utilize, on an internal and need-to-know basis, Consultant's intellectual property provided to Client as part of the Services to the extent necessary for the Contemplated Transaction. Article 15— Governing Law In the event of any controversy, claim or dispute between the Parties arising out of or relating to this Agreement, including its enforcement, such controversy, claim or dispute shall be governed and construed in accordance with the laws of the State of California, without giving effect to the conflicts of laws principles thereof. Article 16—Miscellaneous Consultant will undertake performance of the Services as an independent contractor and will be solely responsible for its methods of performance. As such, subject to section 5.1 of this Agreement, Client may not supervise the methods used or request any alteration of the results obtained. Article 17—Integration and Modification This Agreement is adopted by Client and Consultant as a complete and exclusive statement of the terms of the agreement between the parties. This Agreement supersedes all prior agreements, contracts, proposals, representations, negotiations, letters, or other communications between the parties pertaining to the Services, whether written or oral. The Agreement may only be modified in writing and must be signed by both parties in order for such modification to be effective. A new request for additional services shall not amend or add to the terms and conditions of this Agreement in any respect except to describe the new request for services, the schedule therefore, and the applicable compensation amounts. In the event any portion or all of this Agreement is held to be void or unenforceable, such portion shall be deemed severed from this Agreement, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Agreement. In addition, the Parties may amend this Agreement to reflect the original intent of the Parties. Article 18--Assignment Neither Party may assign or transfer any rights under or interest in this Agreement (including, but without limitation, monies that may become due or monies that are due)without the written consent of the other Party (such consent not to be unreasonably withheld),and any assignment without such consent shall be invalid and of no effect. Unless specifically stated to the contrary in any such consent to an assignment, no assignment will release or discharge the assignor from any duty or responsibility under this Agreement. Consultant may not employ consultants, associates, and subcontractors to assist in the performance of the Services to the Client without prior written approval by Client, which approval shall not be unreasonably withheld. Article 19-Use of Name and Publicity Client agrees that it shall not, without the prior written consent of Consultant in each instance, (i) use in advertising, publicity, marketing, or otherwise, the name or logo of Consultant or any Affiliate, nor any trade name, trademark, logo, or simulation owned by Consultant or any Affiliate, or (ii) represent, directly or indirectly, that any product or any service provided by the Client has been approved or endorsed by Consultant or any Affiliate. Template Version date:01/30/17 Article 20—Non-Solicit At all times during the term of this Agreement, and for a period of six months following any termination or expiration, Client agrees that it will not hire or solicit any employee of Consultant who performed services under this Agreement, to become employees or independent contractors of Client or such other person or entity, excluding employees who are responding to a general solicitation for employment advertised by Client. Article 21—No Third Party Beneficiaries The provisions of this Agreement are intended for the sole benefit of the Parties. The Parties agree that there are no third party beneficiaries to this Agreement other than those subcontractors, vendors and others expressly contemplated, and then only to the extent contemplated, by the terms of this Agreement. Article 22—Living Wages Consultant and any subcontractor(s) shall comply with Client's Living Wage Ordinance, a copy of which is attached hereto as Exhibit "D" and incorporated herein by reference. Upon Client's request, Consultant shall promptly provide certified payroll records to Client for audit and inspection. Article 23—Equal Employment Opportunity Practices Consultant certifies and represents that, during the performance of this Agreement, it and any other parties with whom it may subcontract shall adhere to equal employment opportunity practices to assure that applicants, employees and recipients of service are treated equally and are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex, age, medical condition, sexual orientation or marital status. Consultant further certifies that it will not maintain any segregated facilities. Consultant further agrees to comply with The Equal Employment Opportunity Practices provisions as set forth in Exhibit"E,"which are incorporated herein by reference. IN WITNESS WHEREOF,the parties have signed this Agreement as of the date signified below. CITY OF VERNON BLACK&VEATCH MANAGEMENT CONSULTING, LLC By: By: .. (Printed) (Printed) Title: _ Title: Legal PM Approved Approved Reviewed _ Date Date Template Version date:01/30/17 EXHIBIT A PROPOSAL by Black& Veatch Management Consulting,LLC Template Version date:01/30/17 Asset Acquisition Advisory Service CITY OF VERNON 12 SEPTEMBER 2017 BUILDING A WORLD OF DIFFERENCE' BLACK&VEATCH Black&Veatch Management Consulting,LLC 13 BLACK&VEATCH 8400 Ward Parkway,Kansas City,MO 64114 P#1913 458-4377 E KlausnerU@bv.com 12 September 2017 Kelly Nguyen General Manager of Public Utilities City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 Subject: Asset Acquisition Advisory Service Dear Ms. Nguyen: Black&Veatch Management Consulting, LLC (Black&Veatch) is pleased to submit this proposal to the City of Vernon (City) to provide asset acquisition advisory services. In the attached proposal,we have outlined our proposed study approach,scope of services,key personnel, fee structure, qualifications and experience,and proposed work schedule. Black&Veatch's Management Consulting brings together more than 300 professionals, including experienced industry executives,senior analysts and technology experts from across the electric,water, oil, natural gas and technology industries.This expertise, combined with seamless access to the company's world-class engineering, procurement, construction and operations capabilities, experienced senior executives,economists, senior policy experts and regulatory officials,engineers and internationally respected subject- matter experts, makes Black&Veatch uniquely qualified to assist clients with their most complex challenges. Black&Veatch has performed several hundred Independent Engineer due diligence assessments of projects worldwide,including the target facility. Many of these projects have involved valuations of existing assets,and Black&Veatch is well positioned to provide the requested services. Our clients have sought our services because many of the power, energy,and cogeneration projects developed in recent years used project financing. We routinely provide support to clients who are developing bids for the acquisition of existing assets. We have performed these services for acquisition of entire utilities (generation, transmission,and distribution), for generating assets sold separately, and for transmission and distribution assets sold separately. Black&Veatch excels in both the areas of project valuation and combined cycle power plants as demonstrated by our past experience. We have endeavored to be responsive to the City's needs in this proposal and our goal is to provide outstanding service at a competitive cost. If you require additional information in order to evaluate our proposal,or if there are any changes or modifications to this proposal that you would like us to consider, please do not hesitate to contact Mr. Chris Klausner at 913-458-4377. BUILDING A WORLD OF DIFFERENCE' _ Black&Veatch Management Consulting,LLC BLACK&VEATCH 8400 Ward Parkway,Kansas City,MO 64114 P+1913 458-4377 E KlausnerCJ@bv.com This response will remain valid for a period of not less than ninety(90) days from the date of submittal. On behalf of the Black&Veatch team,we look forward to the opportunity to provide these services to the City. Very truly yours, BLACK&VEATCH MANAGEMENT CONSULTING, LLC 64,4 0—occl��� Chris Klausner Managing Director 8400 Ward Parkway Kansas City, MO 64114 +1 913-458-4377 klausnercj@bv.com BUILDING A WORLD OF DIFFERENCE' CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Table of Contents Table of Contents-----------------------------:.W.w......:._._...:..:. .:..:...:..:..i Introduction-..-::-. ........ ,. .. , , , -- --- ---- ----.:...:...----_..:.._---- --:-----_--:.._...:-...._.._1 GeneralScope of Work......................_..........,..,...,..,..,:----,.-----•-- --....y.:...:........................................................,........:..,.._2 WorkPlan..:........................... ---------------------------- _..-- ---•---------------------------_---3 Fees and Costs...................................................................................................................................................................................... 8 .............................. Ability of the Proposer to Perform.......................................... ...............................................10 WorkSummary......................._.._................,...,...,..,..,..,,..,.......___......................................................................................14 Scheftle------------------------------- -------_- . . ... ............................... .:..... .:._...:.._15 AppendixA-Resumes.................:........._........._..._..... __. _ ....................16 Appendix B-Affidavit of Non-Collusion By Contractor_WW:......-..__..._......._._.W.._._._._..:.._._...,._-----....,.:_,..,,---_---..,•. --_.­-59 BV.COM BLACK&VEATCH I TABLE OF CONTENTS i CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Introduction Black&Veatch is pleased to present this proposal to the City of Vernon (City) in response to a request for a proposal (RFP) to provide asset acquisition financial and technical advisory and support services.We have endeavored to prepare a proposal that is thorough and responsive to the City's needs. Black&Veatch understands that the City is exploring the potential acquisition of the Malburg Generating Station (plant or facility) and desires to retain a consultant to assist in conducting a technical and financial evaluation of the facility and to support the acquisition process by providing advice during the bidding, contract negotiations, financing, and closing processes.We understand the technical and Financial evaluation of the facility to include conducting a due diligence assessment of the facility and providing an independent determination of the fair market value of the facility. Black&Veatch proposes four main tasks of work and have developed this proposal to provide information to address each task. The first task involves completion of a due diligence assessment of the facility.Through this assessment, Black&Veatch will assess the facility's risk profile and identify technical and financial inputs to be utilized in the financial evaluation and fair market value determination of the facility.The independent engineering report produced by the due diligence assessment process can be utilized to assist in securing financing for the acquisition as well as provide information to be utilized in the bidding and contract negotiation processes. For the second task, Black&Veatch will utilize the findings and outputs of the due diligence assessment in conjunction with a market analysis/forecast to produce a pro forma financial forecast. This pro forma financial forecast will provide a determination of the fair market value of the facility which can be utilized in the bidding and contract negotiation processes. Third, Black&Veatch offers to perform a Phase I Environmental Site Assessment identify recognized environmental conditions in accordance with the ASTM Standard Practice for Environmental Site Assessments: Phase One Environmental Site Assessment Process (E 1527-13). Finally, Black&Veatch will provide consulting services,as required,to support the acquisition process including providing expert advice during bidding, contract negotiations,and closing and responding to lender inquiries to support financing. Black&Veatch has prepared this proposal in response to the RFP.We encourage the City to review our proposal in detail and advise of any areas where additional information is needed or additional discussion is warranted. BV COM BLACK&VEATCH I INTRODUCTION 1 CITY OF VERNON 1 ASSET ACQUISITION ADVISORY SERVICE General Scope of Work Outlined below is the general scope of work proposed by Black&Veatch to perform the asset acquisition advisory services. Task 1 - Technical Due Diligence Black&Veatch will perform a technical and environmental due diligence assessment of the facility to support the City's potential acquisition of the facility. Black&Veatch will document findings in a consolidated report,which will include an executive summary, discussion and review of the general plant design,assessment of the general condition of the facility,performance assessment,0&M practices and costs assessment,environmental compliance review,and contractual obligations review. Due diligence will focus on assessing the facility's risk profile and identifying technical and financial inputs to be utilized in the financial evaluation and fair market value determination of the facility. Task 2 —Valuation Black&Veatch will produce an estimate that reflects the fair market value of the facility by developing a discounted cash flow model (valuation model) that reflects the cash flow expected to be produced by the facility. Black&Veatch will also produce comparable asset and cost based valuations for information purposes. Black&Veatch will document the valuation methodology, major assumptions, underlying analyses,and the resultant fair market valuation estimate in a consolidated report section planned to be an appendix to the independent engineer's report. Task 3 — Phase I Environmental Site Assessment Black&Veatch will perform a Phase I Environmental Site Assessment to identify recognized environmental conditions in accordance with the ASTM Standard Practice for Environmental Site Assessments: Phase One Environmental Site Assessment Process (E 1527-13). Black&Veatch will review standard historical sources and conduct record searches for the site and surrounding properties, interview persons who are familiar with the property,and perform a site reconnaissance. The finding will be summarized in a brief report. Task 4—Asset Acquisition Consulting Services Per tasks 1, 2,and 3 above, Black&Veatch will produce deliverables which will be used by the City to support the acquisition process including bidding, financing,and closing. Additionally, Black&Veatch will provide consulting services,as required, to support the acquisition process including providing expert advice during bidding,contract negotiations,and closing and responding to lender inquiries to support financing. More detail on the specific approach to each task can be found in the Work Plan section below. BV-COM BLACK&VEATCH I GENERAL SCOPE OF WORK 2 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Work Plan Black&Veatch proposes the following Work Plan to meet the City's requirements for asset acquisition advisory services.The Work Plan is arranged in a way that represents our typical approach to asset acquisition advisory services, taking into account the specific needs of the City's RPP. Task 0 - Project Initiation/Kick-Off Meeting Upon notification to proceed, Black&Veatch will participate in a kick-off conference call to discuss and reconfirm our approach.Administrative procedures such as schedules for status meetings or conference calls and protocol for obtaining data and information and reviewing preliminary findings and results will be established. Task 1 - Technical Due Diligence Task 1.1 - Data Collection Black&Veatch will make an assessment based on the initial data available in an electronic data room,and prepare a preliminary data request list for additional data and other documents that are critical to our due diligence effort. Task 1.2 - Design Review Black&Veatch will provide a summary level review of the general facility design.This will include identification of the manufacturers and key features for major equipment Black& Veatch will comment on the general appropriateness and adequacy of the design,and will identify any significant departures from normal industry practice observed. Task 1.3 - Condition Assessment Black&Veatch will perform a general condition assessment of the facility. Black&Veatch will also review available data, recent inspection reports,and comment on expected useful life of the facility. Black&Veatch will send up to two team members to visit the facility for a one-day site visit. Black&Veatch will visually observe facility conditions,and interview available operations and maintenance management personnel. Task 1.4 - O&M Assessment Black&Veatch will review operations &maintenance (0&M) agreement,general 0&M practices,and forecast costs for operation and maintenance,including major maintenance and capital expenditures. Independent Engineer will comment on the general appropriateness of the practices, staffing, 0&M costs,major maintenance,capital expenditures,and processes relative to the potential long-term reliability and performance of the facility. BV.COM BLACK&VEATCH I WORK PLAN 3 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Task 1.5 - Environmental Review Black&Veatch will perform an environmental assessment of the facility. Based on review of documents such as permits and pending permit renewal applications, environmental studies,and agency correspondence made available in an electronic data room, Black& Veatch will determine the validity and current status of the federal and state permits and/or environmental approvals required for continued operation of the generation facility. Black&Veatch will also evaluate the facility's management plans and programs for adequacy to maintain compliance with permits conditions and regulatory requirements, and review the results of monitoring reports,study outcomes, and other documentation such as USEPA ECHO data base summaries to identify any compliance issues or concerns. Findings on environmental compliance, management and risks based on our review of all data and information provided, including responses or interviews with the asset owners, will be incorporated into the consolidated report. Task 1.6—Contract Review Black&Veatch will review key technical and commercial provisions of major project contracts and comment on the technical adequacy, consistency among the contracts,and their suitability to achieve the cash flow projections.The anticipated agreements include the power purchase tolling agreement, operation and maintenance agreement,long term service agreement, interconnections,water supply,and wastewater agreements, as applicable. Black&Veatch's review will be focused on commercial and technical provisions, and it is noted that Black&Veatch will not provide any legal, tax,or insurance advice. Task 1.7 —Valuation Model Technical Inputs Based on information gathered and developed in prior tasks, Black&Veatch will review historical plant performance data and provide a general opinion of probable future performance. The following performance parameters will be addressed: • 0&M, major maintenance and capital expenditures • Technical inputs including availability, forced outage, capacity and heat rate • Anticipated remaining useful life • Review overall project budget for consistency with project documents,evaluation of appropriateness of other inputs. • Review pro-forma financial model inputs and identify any discrepancies between project documents, 0&M estimates,and budgets provided. Task 1.8 - Reports and Documentation Black&Veatch will document the due diligence findings in a consolidated Draft Report.The report will include an executive summary, and will discuss the general design, performance, 0&M practices, 0&M costs, environmental compliance, major agreements, and the general condition of major plant systems.After receiving a consolidated list of feedback and comments, Black&Veatch will issue one Final Report. iV( BLACK&VEATCH I WORK PLAN 4 CITY OF V RNON 1655ET ACQUISITION ADVISORY SERVICE For the above tasks, Black&Veatch assumes that all relevant documents, including permits,environmental impact analyses and reports, contracts, historical performance and costs, historical maintenance reports and costs, agreements, and other pertinent information will be made available in the electronic data room upon notice to proceed. Task 2 - Valuation Valuation Approaches and Selection The focus of the Black&Veatch valuation will be to produce an estimate that reflects the fair value of the facility.There are three general approaches used to determine fair value, which are discussed and evaluated for appropriateness for the portfolio.The three approaches are: • Comparable Asset Valuations. • Cost Based Valuations. • Discounted Cash Flow or Earnings Based Valuations. Comparable Asset Valuations This type of valuation establishes a fair market value by evaluating the selling price of comparable assets recently transacted.The logic behind this approach is that,assuming that bidders were provided with complete information and not restricted in any way from bidding, the market bidding process results in awarding the asset to the highest bidder at the market clearing price.This price is the highest amount the market was willing to offer for comparable assets and is one estimate of the amount that the market will determine as the fair value of the assets in question.The comparable asset valuation approach has limitations for power transactions. However, Black&Veatch's analysis will include a comparable asset sale valuation for information. Cost Based Valuations A second general method of establishing a fair market value is the cost based approach. Cost based approaches focus on the cost of constructing the physical assets being valued; adjusted to recognize any decrease in value of the asset due to reduced remaining service life compared to a new facility. Generally,the replacement cost less depreciation (RCLD) method of cost based valuation involves inspection of the existing assets and current and historical operation and maintenance practices to determine the remaining life of the asset.The reproduction cost is then adjusted to reflect the remaining life of the asset.The result is the estimated fair value of the asset. Black&Veatch's analysis will include a cost based valuation for information purposes. Discounted Cash Flow Discounted cash flow or earnings valuations (pro forma type model) are based on the fundamental notion that the market value of any asset is the present value of future cash 6V CUM BLACK&VEATCH I WORK PLAN 5 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE flows that the asset is expected to provide. Stated differently,a firm considering the purchase of an asset is not willing to pay more than the cash flows generated by the asset, discounted (to the time the investment is made) at the firm's required rate of return or discount rate.Thus,as opposed to cost based methods, the discounted cash flow method focuses on the Future net cash flows generated by the asset. In typical Fair market valuations of assets expected to continue operations into the future, the discounted cash flow valuation generally provides the best indication of value. Black& Veatch will produce an estimate that reflects the fair market value of the facility by developing a valuation model that reflects the cash flow expected to be produced by the facility. Task 2.1 — Development of Valuation Model Using information obtained from Task 1.7 of the technical due diligence effort and Black& Veatch's internal database of power plant cost/performance characteristics, Black&Veatch will derive technical inputs for use in the evaluation including seasonal capacities, availability, planned and forced outage rates,heat rate curve,variable 0&M costs, minimum up and down times,and energy ramp rates. Black&Veatch will utilize the PROMOD IV/PAT production cost model to determine the Facility's projected dispatch factor.The model is an integrated electric model that relies upon a Fundamental market view of commodity prices,existing generation supply and demand projections,and other factors on which to produce a long term forecast of energy prices. Black&Veatch draws on both public and commercial data sources to produce the assumptions for the fundamental market model and supplements them with its own view on key market drivers,such as power plant capital costs, environmental and regulatory policy, natural gas exploration and development costs,and gas pipeline expansions. Black&Veatch will then take a step-by-step approach to develop a projection of the cash flows associated with the assets.The systematic approach will involve the development of assumptions and projections of cash flows in the following areas for each year in the analysis: • Revenues • Fuel Costs • Staffing Costs • Maintenance Costs • Overhead Costs • Miscellaneous Expenses • Debt Service Costs • Estimates of Depreciation for Tax Purposes • Tax Payments and Payments in Lieu of Taxes In addition, Black&Veatch will forecast any revenues related to contracted PPAs or other such agreements. Black&Veatch will also utilize short term forecasts of operation expenses and capital expenditures provided by the plant and work conducted in Task 1 to develop a long-term forecast of operating expenses and capital expenditures over the BV.COM BLACK&VEATCH I WORK PLAN 6 CITY OF VERNON,I ASSET ACQUISITION ADVISORY SERVICE evaluation period.With these forecasts, Black&Veatch will develop a cash flow model to support the valuation analysis.The cash flow model will utilize estimates of maintenance and capex expenses required to keep the facility in working order over the evaluation period. Task 2.2 - Reports and Documentation Black&Veatch will document the valuation findings in a consolidated Draft Report section planned to be an appendix to the independent engineer's report.The report will document the valuation methodology, major assumptions, underlying analyses,and the resultant fair market valuation estimate. Task 3 - Phase I Site Assessment A Phase I Environmental Site Assessment will be performed to identify recognized environmental conditions in accordance with the ASTM Standard Practice for Environmental Site Assessments: Phase One Environmental Site Assessment Process (E 1527-13). Information to be reviewed will include standard historical sources back to 1940 or the first developed use of the property,and record searches for the site and surrounding properties of standard ASTM E 1527-13 environmental sources. Interviews with state and local government officials,owners, occupants, and/or other persons who are familiar with the property will also be conducted. An environmental professional will perform a site reconnaissance and automobile tour. The findings will be summarized in a brief report submitted electronically. It has been assumed that standard client-supplied information will be made available prior to initiation of the assessment, including but not limited to the exact street address and legal description of the property,property boundary and facility maps, chain-of-title information,known historical use, and other available background information. Task 4 - Asset Acquisition Consulting Services Per tasks 1, 2 and 3 above, Black&Veatch will produce deliverables including an independent engineering report,a valuation report,a valuation model,and a Phase 1 site assessment which will be used by the City to support the acquisition process including bidding, financing,and closing.Additionally, Black&Veatch will provide consulting services,as required,to support the acquisition process including providing expert advice during bidding,contract negotiations,and closing and responding to lender inquiries to support financing. BV COM BLACK&VEATCH I WORK PLAN 7 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Fees and Costs Black&Veatch will conduct Tasks 1-3 of the Work Plan presented above on a fixed price basis,plus reimbursement of travel expenses at cost.Travel expenses will be incurred in relation to the one day site visit which will be performed to aid in assessment of the current condition of the facility and in relation to the performance of the Phase I Environmental Site Assessment,The following are the fixed price fees for Tasks 1-3: Tasks 1 and 2 $105,000 Task 3 $10,000 Travel Expenses Reimbursable at cost Proposed payment terms are 30 days (net 30) from the invoice date. Below are the proposed billing milestones: Notice to Proceed(NTP) 25 percent of fixed fee First Draft Report 60 percent of fixed fee Final Report or 10 weeks after NTP 15 percent of fixed fee For Task 4, it should be recognized that providing an accurate estimate of the cost of consulting services for evolving assignments of this type is often difficult.The anticipated level of effort required often varies depending on the extent of required contract negotiations,extent of lender inquires,and time elapsed during the acquisition process, for example. Black&Veatch proposes to provide consulting services,as required, to support the acquisition process on a time and materials basis to be invoiced monthly at the below hourly billing rates. The following schedule of hourly billing rates for Black&Veatch's transaction group would be applicable for Task 4 work scope. Table 1-2017 Billing Rates Administrativei5$95 Engineer U5165 Analyst US$175 Senior Engineer US$185 Senior Engineer Manager US$200 Senior Analyst US$220 Consultant US$265 Manager US$325 Principal USS350 Managing Director/Director US$365 Bv.COM BLACK&VEATCH I FEES AND COSTS 8 CITY OF VERNON J ASSET ACQUISITION ADVISORY SERVICE The above rates are fixed for 2017,and are subject to increase on the 1st day of January of each subsequent year. BV COM BLACK&VEATCH I FEES AND COSTS 9 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Ability of the Proposer to Perform Team Black&Veatch will utilize an experienced team of professionals to complete the Work Plan. The following individuals are the key assigned personnel for team with a brief description of each professional's role. Full resumes are included in Appendix B. Chris Klausner - Project Director Chris Klausner has responsibility for providing technical advisory services and direction for clients for Black&Veatch's Management Consulting power industry business. He is responsible for performing independent engineering assessments for project lenders, developers,owners and bidders pursuing acquisition of generation assets. These reviews provide technical, economic and financial analysis in the following areas: technology, environment,plant overall design and performance,project contracts (power purchase; operations and maintenance (0&M); major maintenance; engineering,procurement and construction (EPC); fuel supply; steam sales; etc.), including liquidated damages provisions, 0&M expense projections,financial pro forma modeling, construction methods and schedule,and project capital costs. Krystal Richart - Project Manager Krystal Richart is a project manager in Black&Veatch's Management Consulting business, specializing in technical due diligence. Ms. Richart is responsible for leading and performing independent engineering due diligence,project development,and financial model assessments. Her project experience spans multiple technologies with focus on conventional power plants. Gary Wilmes— Market Modeling Gary Wilmes is a registered Professional Engineer with diverse experience in many aspects of the electric power industry, including system planning, production cost modeling, economic analysis, electricity market assessments, and conceptual design. He has conducted several system planning and feasibility studies for domestic and international clients. His activities have included technology screening and selection studies, development of utility generation expansion plans,generating system production cost simulation and analysis and reliability/availability assessments to predict plant availability and improvements attributable to proposed plant design changes. Mr.Wilmes has evaluated the economics of proposed DSM and Energy Efficiency programs using the DSMore (Demand Side Management Option Risk Evaluator) simulator as well as detailed hourly chronological production cost models such as ProSym and PROMOD to evaluate the economics of peak reductions and energy cost savings attributable to DSM and Energy Efficiency programs. BV,COM BLACK&VEATCH I ABILITY OF THE PROPOSER TO PERFORM 10 CITY OF VERNON l ASSET ACQUISITION ADVISORY SERVICE Michael Vaughan — Independent Engineer, Technical Lead Michael Vaughan is a project manager in Black&Veatch's Management Consulting business,specializing in technical due diligence. Mr.Vaughan's background is in conventional electricity generation,energy contract negotiation,electricity purchasing strategies (both regulated and competitive), power plant cost modeling, industrial energy efficiency and mechanical engineering. Since joining Black&Veatch Michael has focused on management of independent engineering due diligence,with focus on conventional power plants and renewable energy projects. Judy Carnali — Independent Engineer, Financial Modeling Support Judy Carnali is a consultant in Black&Veatch's Management consulting business. Ms. Carnali focuses on due diligence reviews,including engineering feasibility and independent technical assessments of novel technologies. She has worked on a wide variety of projects including midstream and distribution oil and natural gas assets, renewable energy portfolios and combined cycle plants. Ms. Carnali's skills set includes technical due diligence,operational assessment,and financial modeling and analysis. Bruce Boomer— Environmental Lead Bruce Boomer is an Environmental Engineer within Black&Veatch's global energy business. His technical competencies include environmental issues associated with site development,water pollution control,water resources,chemical management,air pollution compliance,and waste management. For industrial organizations,he has planned critical environmental permitting and compliance needs for proposed and modified facilities and managed continuing compliance with water, air,and waste requirements. For third-party organizations,he has reviewed the adequacy of permits and plans in place at facilities under development and at active facilities and has evaluated the needs for maintaining compliance with current,pending,and anticipated regulatory programs. Mike Knechtel —Air Permitting Lead Michael C. Knechtel is an Air Quality Specialist within Black&Veatch's global Power business and manages the Air Permitting Services Section. Knechtel specializes in air permit application preparation,air regulatory and permitting assessments, permit compliance assessments,emissions quantification and impact analyses, and meteorological / climatological studies. His permitting and regulatory experience includes various projects in Alabama, California, Colorado, Florida, Georgia, Idaho, Indiana, Iowa, Kansas, Michigan, Missouri, New Mexico, New York, Nevada, North Carolina, North Dakota, Oklahoma, Oregon,Tennessee,Texas, Utah,Virginia,and Wisconsin. Barbara Butler— Phase I Site Assessment Lead Ms. Butler has more than 26 years' experience in environmental engineering investigation, design,and assessment. Site management experience includes planning,field investigation, characterization, assessment, remedial design and implementation, and risk assessment. BV COM BLACK&VEATCH I ABILITY OF THE PROPOSER TO PERFORM 11 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Recent Relevant Valuation Qualifications and Experience Black&Veatch has conducted hundreds of independent Engineer due diligence assessments of projects worldwide,many of which have involved valuations of existing assets.A list of recent relevant valuation projects completed along with a brief description of each project's work scope is included below. Additional material on experience and qualifications is enclosed as an attachment to this proposal. Portfolio Valuation, Confidential Client (PJM Region) Black&Veatch provided an independent determination of the fair market value for a portfolio of generators including combustion turbines,diesel gensets,coal-fired generators, and solar PV.The valuation was focused primarily on the discounted cash flow method of valuation, but also included comparable asset sales and cost based valuations. Wins! Farm Valuation, Los Angeles Department of Water and Power Black&Veatch provided fair market value and due diligence services to evaluate an early buyout option of a large wind farm.The valuation approaches included discounted cash flow,cost-based and comparable sales. Combined Cycle Plant Valuation, Confidential Client Black&Veatch was retained to determine the fair market value of a combined cycle power plant located in the Western U.S.The fair market valuation was performed to determine the value of the portion of the power plant that the client did not own,and was used by the client in evaluating whether to purchase the share of the plant owned by its partner.Three valuation approaches were utilized- the market approach, the cost approach,and the discounted cash flow approach. Black&Veatch's scope of work involved estimating the fair market value of the asset, presenting the findings of the analysis to client management, presenting the results of the valuation to the client's project partner,and providing continued support to the client to comply with contractual obligations related to client's intent to purchase the share of the it did not currently own. Municipal Experience Black&Veatch has over 100 years'experience working with all levels of Government. From multi-million dollar IDIQ contracts for the Department of Defense and the Department of State to small task order contracts for the City of Charles Town,WV,we are experienced in providing responsive and cost-effective services to all levels of government clients. BV_COM BLACK&VEATCH I ABILITY OF THE PROPOSER TO PERFORM 12 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE References AES Corporation Chuck Hofmann Assistant Treasurer 1 Monument Circle,Suite 629C Indianapolis,IN 46204 317-829-7589 chuck.hofrnann@aes.com Starwood Energy Group Anik Gandhi Vice President 5 Greenwich Office Park Greenwich,CT 06831 203-422-7723 Azusa Light&Water Yarek Lehr,P.E. Assistant Director of Resource Management 729 N.Azusa Ave. Azusa,CA 91702 626-812-S214 ylehr@b.azusa.ca.us BV,COM BLACK&VEATCH I ABILITY OF THE PROPOSER TO PERFORM 13 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Work Summary For each of the tasks outlined in the proposal, the following deliverables will be produced: • Task 1:Technical Due Diligence • A consolidated independent engineering report documenting due diligence findings • Task 2:Valuation • An Excel file with the valuation model outputs • A consolidated valuation report documenting the valuation methodology, major assumptions,underlying analyses,and the resultant fair market valuation estimate • Task 3: Phase I Site Assessment • A Phase I Site Assessment report • Task 4:Asset Acquisition Consulting Services • No specific deliverables are envisioned as this task includes as needed advice and consulting services BV COM BLACK&VEATCH I WORK SUMMARY 14 CITY OF VERNON J ASSET ACQUISITION ADVISORY SERVICE Schedule The following outlines a preliminary indicative schedule for performance of the tasks outlined in this proposal.This schedule is based upon the following: • Site visit can be accommodated in a timely manner. • All necessary documents are provided to Black&Veatch in a timely manner. WEEKS AFTER NOTICE TO MILESTONE ACrIVITY PROCEED(NTP) Executed Agreement and NTP Q Receive Substantially Complete 1 Documentation Site Visit 3 Draft IE Report 5 Draft Valuation Report 6 Phase I Site Assessment 6 Final Reports 1 week after receipt of comments on draft reports Miscellaneous Consulting Services As required It is understood that,upon notification of your award of the project to Black&Veatch,both parties agree to use reasonable diligence, to negotiate a mutually acceptable definitive written contract with respect to the work described in this proposal. Based on our experience we are reasonably confident that the contract terms can be negotiated quickly and without any effect on the project schedule. However,until we receive a fully executed, mutually acceptable definitive written contract, Black&Veatch will not perform any work on behalf of the City of Vernon related to the scope of work proposed herein. BV.COM BLACK&VEATCH I SCHEDULE 15 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Appendix A - Resumes BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 16 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Chris J. Klausner, P.E. Mr. Klausner has responsibility for providing technical advisory PROJECT DIRECTOR services and direction for clients for Black&Veatch's management consulting power industry business. He is responsible for performing Expertise: independent engineering assessments for project lenders,developers, Expert Testimony; Power owners and bidders pursuing acquisition of generation assets.These Supply Studies; Project reviews provide technical,economic and financial analysis in the Contract Assessment; Project following areas: technology,environment,plant overall design and Management; Technical & performance,project contracts (power purchase;operations and Financial Analyses; maintenance [0&M]; major maintenance; engineering,procurement Technology Capital Costs and construction [EPQ fuel supply;steam sales; etc.),including Education liquidated damages provisions,0&M expense projections,financial pro Masters,Business Administration, forma modeling,construction methods and schedule,and project Finance,University of Kansas, capital costs. 20oi,United states Bachelor of Science,Mechanical In addition,Mr. Klausner manages other engineering studies,need for Engineering,University of power applications,integrated resource plans, power supply studies, Kansas.1991,United States project development support and also conducts power plant valuations. Professional Registration He has experience with simple-cycle,combined-cycle,cogeneration, License,Professional Engineer, fluidized bed,circulating fluidized bed (CFB),pulverized coal, Mechanical,13719,Kansas, United States,1995 integrated gasification combined-cycle,biomass,nuclear,solar thermal, Total Years of Experience solar photovoltaic(PV),waste-to-energy gasification and wind 27 technologies. He has also provided construction monitoring on behalf of Black&Veatch Years of lenders for more than 20 power plant construction projects. Experience 25 PROJECT EXPERIENCE Confidential Client; Lackawanna and Birdsboro; Pennsylvania, United States; 2016-2017 Project Director-Black&Veatch. Black&Veatch provided an independent engineering assessment on behalf of separate equity investors in the Lackawanna and Birdsboro combined cycle projects utilizing GE 7HA combustion turbines. Starwood; Marcus Hook; Delaware, United States; 2016-2016 Project Director-Black&Veatch.Black&Veatch provided an independent engineering assessment on behalf of Starwood for their acquisition and debt financing of this 790 MW combined cycle facility based on GE 7F.04 combustion turbines. Multiple Clients; North American Power Plant Technical Assessments; Global; 2015-2015 Project Director-Black&Veatch.Mr. Klausner directed multiple teams evaluating single asset and portfolios of power plants in the North American markets including gas fired CT and combined cycle, coal and cogeneration plants.Technologies included MHI 501G, Alstom GT11NM,GT24,Siemens 501D5A,501FD2,501G,SGT6000F, V84.2,GE LM6000,7EA,7FA,7HA, Pratt&Whitney FT-8 FT-4,and other technologies. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 17 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Exelon Generation; Exgen Power Portfolio Term Loan B Financing; Texas, United States; 2014-2014 Project Director-Black&Veatch.Mr. Klausner directed a multidiscipline team evaluating multiple power plants utilizing MHl 501G,GE 7EA,GE613 combustion turbines,and gas fired steam boilers in Texas. Multiple Clients; Power Plant Technical Assessments; Global; 2014-2014 Project Director-Black&Veatch.Mr.Klausner directed multiple teams evaluating single asset and portfolios of power plants in the North American markets. Asian Development Bank, International Finance Corporation, Korea Export Insurance Corporation, State Bank of India, Export- Import Bank of Korea; Due Diligence and Independent Technical Review, Mundra Coal Project; Mundra, Gujarat, India; 2008-2014 Principal Consultant-Black&Veatch.Mr. Klausner was the United States team project manager for the due diligence of a 4,000 MW supercritical coal fired project in India on behalf of project lenders. Black&Veatch's scope of independent technical review included the design; major plant equipment; permits and approvals; environmental issues; EPC plans;costs and schedule; other project contracts, including the power purchase agreement,coal supply and project performance parameters. Confidential Client; Siemens 8000H Repowering Assessment; New Jersey, United States; 2013-2013 Project Manager-Black&Veatch.Mr.Klausner led a technical team evaluating the repowering of an existing facility into a combined cycle utilizing the 8000H gas turbine. Bingham on behalf of Senior Certificate Holder; Choctaw Circulating Fluidized Bed Restructuring; Mississippi, United States; 2012-2013 Project Director-Black&Veatch.Mr. Klausner led a multidiscipline team providing technical advisory services to assist in the restructuring of the sale lease back transaction.Work included request for proposals (RFP)process for potential operators, evaluation of proposed capital expenditure forecasts,financial modeling support and other technical services which resulted in successful restructuring. Tyr Energy; EIF Portfolio of Four Gas Units; United States; 2012- 2013 Project Director-Black&Veatch. Mr.Klausner led a site visit team on the independent engineering assessment of a four unit gas fired portfolio including 501FC,7FA and Wartsila technologies.Upon BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 18 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE successful purchase and sale agreement execution,Black&Veatch worked with the lender financing the project. Lender Consortium; 66 MW Biomass Plant Independent Engineer; United States; 2010-2013 Project Manager-Black&Veatch.Mr.Klausner managed the technical,environmental and financial due diligence of a 66 MW bubbling bed boiler biomass power plant on behalf of the project lenders.The project involved the repowering of an existing black liquor boiler. Lender Consortium; 100 Megawatt (MW) Biomass Plant Independent Engineer; United States; 2010-2013 Project Manager-Black&Veatch. Mr. Klausner managed the technical,environmental and financial due diligence of a 100 MW bubbling bed boiler biomass power plant on behalf of the project lenders.He also managed a multidiscipline team that evaluated the design,financial model inputs and project contracts. Oyster Creek; Annual Audit for Lenders; Texas, United States; 2004-2013 Project Manager-Black&Veatch.Black&Veatch has served as the independent engineer for Oyster Creek since 1992. Mr.Klausner has led the annual budget and plant assessments for this 3x1 GE 7EA combined-cycle cogeneration facility since 2004. His responsibilities have included reviews of operational data,O&M records,plant visits and issuance of reports for lenders. Confidential Client; Granite Ridge; New Hampshire, United States; 2012-2012 Project Manager-Black&Veatch. Mr. Klausner led the site visit team and director for an independent engineering assessment on behalf of a potential buyer of this 2x1 SW 501G combined cycle project. Michigan South Central Power Agency; Integrated Resource Plan; Michigan, United States; 2011-2011 Project Manager-Black&Veatch.Mr.Klausner led a team providing an integrated resource plan.The study evaluated environmental compliance,potential participation in a new combined cycle unit,evaluation of other resources,evaluation of plant retirements,load forecasting,energy price forecasting and recommendations regarding future resource needs. Confidential Client; Dayton Power& Light; Ohio, United States; 2011-2011 Project Manager-Black&Veatch.Mr. Klausner led multiple technical teams evaluating the potential acquisition of the company. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 19 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Confidential Client; Premium Power; United States; 2010-2010 Project Manager- Black&Veatch.Mr. Klausner managed the technical assessment of the Premium Power zinc-flow battery technology on behalf of a potential investor. Black Hills Colorado Electric; Solar and Wind Integration Study; Colorado, United States; 2010-2010 Project Manager-Black&Veatch.Mr.Klausner managed a solar and wind integration study to estimate the feasibility and cost impact of integrating various levels of renewable energy into the system.The study concluded that it should be technically feasible to integrate up to 20 percent renewable resources,but there would be an added system cost.Black&Veatch also provided simulation to determine an appropriate reserve margin level for this utility to maintain a loss of load probability of one day in 10 years. Confidential Client; Dynegy Assets; United States; 2010-2010 Project Manager-Black&Veatch.Mr. Klausner led multiple technical teams evaluating the Dynegy power generation assets in support of a potential acquisition of the company. Brazos Electric Cooperative; Power Supply Study; Texas, United States; 2009-2010 Project Manager-Black&Veatch.Mr. Klausner was responsible for directing a RFP process for renewable and conventional power supply,development of self-build generating alternatives(GE 7A, LMS100,pulverized coal,nuclear,and integrated gasification combined-cycle [IGCC]) cost and performance,evaluation of alternatives,and other technical support on behalf of Brazos Electric to complete a power supply study to determine future generating unit additions. City of Oberlin; Power Supply Study; Oberlin, Ohio, United States; 2009-2010 Project Manager-Black&Veatch.Mr. Klausner was responsible for directing a power supply study for the city to determine future generating unit additions.The city's goal was to reduce CO2 and fossil fuel use while maintaining system reliability.The city was pursuing contracting with landfill gas internal combustion engine projects to replace coal purchase capacity that was to be retired. City of Holland Board of Public Works; Power Supply Study; Holland, Michigan, United States; 2009-2010 Project Manager- Black&Veatch.Mr. Klausner was responsible for directing a power supply study for the city that evaluated several coal fired,combined-cycle,simple-cycle and renewable technologies.Black &Veatch also developed the load forecast and provided market price forecasts for use in the study.The study utilized Ventyx StrategistTM modeling software and included analysis of demand side management (DSM)/energy efficiency savings,renewable requirements and WCOM BLACK&VEATCH I APPENDIX A-RESUMES 20 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE potential CO2 allowance pricing. Various Clients; Miscellaneous Sale Due Diligence; United States; 2009-2010 Project Manager- Black&Veatch.Mr.Klausner provided technical and financial due diligence on behalf of potential buyers of the following: Lake Road, Dighton,Masspower,Arlington Valley,Gila River and Navasota combined-cycle projects.He also managed the technical assessment on behalf of an investor for 24 MW biomass project and municipal solid waste gasification technology. Provided a valuation analysis of a 2x17FA combined cycle in Colorado. Lehman Brothers; Technical and Financial Analysis, FirstEnergy Bay Shore Project; Ohio, United States; 1997-2010 Project Manager-Black&Veatch.Mr. Klausner provided technical and financial analysis of a 1.38 million pounds per hour petroleum coke-fired circulating Fluidized bed boiler project The steam produced by the project was sold to FirstEnergy and an adjacent refinery.The assessment was performed for the bond offering and included multiple investor road shows. Lender Consortium; 100 MW Biomass Plant Independent Engineer; United States; 2009-2009 Project Manager-Black&Veatch.Mr. Klausner managed the technical,environmental and financial due diligence of a 100 MW bubbling bed boiler biomass power plant on behalf of the project lenders,the Nacogdoches Project. He also managed a multidisciplined team that evaluated the design,financial model inputs and project contracts. Confidential Client; Solar Photovoltaic Plant Independent Engineer; United States; 2009-2009 Project Manager-Black&Veatch.Mr. Klausner managed the technical and environmental assessment of a proposed First Solar thin film 30 MW solar PV power plant for an equity investor.The assessment included technology,a site visit to similar project under construction,performance testing methodology,performance estimates and other technical support. Confidential Client; Solar Thermal Plant Independent Engineer; United States; 2009-2009 Project Manager- Black&Veatch.Mr. Klausner managed the technical,environmental and financial due diligence of a 290 MW solar thermal power plant with thermal energy storage for submission to the Department of Energy for a loan guarantee. He also managed a multidiscipline team that evaluated the design,financial model inputs and project contracts. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 21 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Black Hills Colorado Electric Utility; Electric Resource Plan; Colorado, United States; 2007-2009 Project Manager- Black&Veatch.Mr. Klausner was responsible for directing the electric resource plan on behalf of Black Hills for the recently acquired Aquila Colorado Utility.Work scope included evaluation of conventional and renewable alternatives,modeling of wind,solar, DSM and conventional units including coal,gas combined- cycle and simple-cycle,drafting of report sections,forecasts of future emissions and CO2 reductions,and providing other support for the resource plan.It has also included modeling of RFP process bids including internal combustion engine,combined cycle and LMS100 responses. Serovskaya; 600 MW Coal Plant Feasibility Review; Sverdlovsk, Russia; 2007-2007 Senior Consultant-Black&Veatch.Mr. Klausner served on a project in which Black&Veatch reviewed the preliminary technical and economic feasibility of the Serovskaya coal fired generating plant proposed to be built by the Unified Energy System of Russia.The team evaluated technology,alternative configurations,vendor selection and high-level design from the project's prefeasibility study.Black& Veatch also analyzed the expected economic performance and assessed the reasonableness and viability of the planned capital costs. Confidential Clients; Jamaica Rockfort Diesel Power for Asset Acquisition; Kingston,Jamaica; 2007-2007 Project Manager- Black&Veatch.Mr.Klausner was responsible for due diligence of a 2x1 diesel power plant in Jamaica,Rockfort Diesel Power.This plant burned heavy fuel oil in two 29.8 MW MAN-BW slow speed diesels with heat recovery boilers and a 5 MW steam turbine. Confidential Clients; Various Due Diligences for Asset Acquisitions; United States; 2007-2007 Senior Consultant-Black&Veatch.Mr.Klausner was the team leader responsible for evaluating four Florida plants(three cogeneration),including GE 7EA combined-cycle(CC)cogeneration, ABB GT11N CC cogeneration,GE LM6000 2x1 CC cogeneration,and one multi-unit GE 7FA peaking unit as part of a larger portfolio due diligence performed by Black&Veatch. He also evaluated Choctaw's 3x1 combined-cycle plant utilizing GE 7FB turbines on behalf of a potential investor. Brazos Electric; Useful Life Study, Johnson County Plant; Texas, United States; 2007-2007 Senior Consultant-Black&Veatch.Mr.Klausner conducted a remaining useful life study of a 250 MW combined-cycle plant utilizing a SWPC 501FC turbine. BV_COM BLACK&VEATCH I APPENDIX A•RESUMES 22 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Competitive Power Ventures and Credit Suisse, Liberty Electric Power Project Refinancing; Due Diligence; Pennsylvania, United States; 2007-2007 Project Manager-Black&Veatch.Black&Veatch has served as the independent engineer for this 2x1 GE 7FA combined-cycle prior to its construction. Black&Veatch currently provides due diligence services to support the refinancing of the project and recently provided due diligence to support an equity sale process.Black&Veatch was responsible for technical,environmental,0&M and contract due diligence,as well as development of the financial model and major maintenance expense forecasts. Confidential Client; Nuclear Technical, Commercial and Economic Evaluation; Michigan, United States; 2007-2007 Principal Consultant-Black&Veatch.Mr.Klausner worked with a team comprised of Black&Veatch consultants and client staff to provide a detailed technical,commercial and economic evaluation of the four primary nuclear vendors offering Generation 111/III+nuclear reactor designs.The evaluation included Westinghouse AP1000, AREVA EPR,MHI APWR,GE ESBWR,and GE ABWR reactors. Brazos Electric Cooperative; Power Supply Study; Texas, United States; 2006-2007 Project Manager-Black&Veatch.Mr.Klausner was responsible for directing a RFP process for power supply,development of self-build generating alternatives(GE 7A,7EA Repowering,LMS100,pulverized coal,lignite CFB and IGCC)cost and performance,evaluation of alternatives and other technical support on behalf of Brazos Electric to complete a power supply study to determine future generating unit additions. Confidential Client; Connecticut and New Hampshire Sale Due Diligence; United States; 2006-2007 Project Manager-Black&Veatch. Mr. Klausner provided technical diligence on behalf of a bidder in the sale of the Lake Road generating facility,which consisted of three 1x1 single-shaft Alstom GT24B combined-cycle units totaling 766 MW. He also provided technical due diligence on behalf of the same bidder for the Granite Ridge facility, which consists of a 2x1 SWPC 501G combined-cycle unit. JEA, FMPA, City of Tallahassee, and Reedy Creek Need Application; Need for Power Application and Expert Testimony; Florida, United States; 2005-2007 Senior Consultant-Black&Veatch.Mr. Klausner was team leader for a jEA system need for power application for an 800 MW coal and petroleum coke fired supercritical coal fired power plant located in Florida.He also provided expert testimony regarding the capital cost and performance for numerous generating alternatives. BV_COM BLACK&VEATCH I APPENDIX A-RESUMES 23 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Krystal R. Richart, P.E., MBA Krystal Richart is currently a project manager in Black&Veatch's PROJECT MANAGER management consulting business.She holds a Bachelor of Science in Industrial and Management Systems Engineering from the University Expertise: of Nebraska and a Master of Business Administration with a Cost Controls; Data Analysis concentration in Finance from the University of Kansas.She is also a and Presentation; Planning licensed Professional Engineer of Industrial Engineering. and Scheduling; Project Ms. Richart has nine years of experience in project controls,estimating, Management;Technical Due and various management consulting projects at Black&Veatch. Her Diligence past experience includes extensive planning and scheduling experience Education including expertise in both Microsoft Project and Primavera products, Masters,Business Administration, Finance,University of Kansas, costs control as well as experience in the preparation of opinions of 2011,United States probable construction cost.Ms. Richar-Cs experience in Black& Bachelor of Science,Industrial Veatch's management consulting business includes independent Engineering,University of engineering technical due diligence for conventional energy,renewable Nebraska-Uncoln,2008,United energy,transmission lines,wind,and desalination plants. States Professional Registration Certification,Krystal R.Richart, PROJECT EXPERIENCE Industrial,E-14519,Nebraska, United States,2012 Confidential Clients; Conventional-Fired Plants/Portfolios Total Years of Experience Independent Engineering; United States; 2014-2017 9 Black&Veatch Years of Manager- Black&Veatch.Ms. Richart has provided independent Experience engineering services in support of various potential 9 acquisitions/sales/refinancing of portfolios of power generation assets or plants in the United States.Ms.Richart's responsibilities have included due diligence of asset characteristics,condition assessment,performance review,operations and maintenance review, review of major agreements and analysis of financial projections,with responsibilities varying by project. Ms. Richart has managed or participated in conducting independent engineering services on over 47 GW of conventional assets. Confidential Client; Wind Portfolio Independent Engineering; United States; 2016-2016 Consultant-Black&Veatch.Ms. Richart has provided independent engineering services in support of the potential sale of a portfolio of wind assets in the United States.Ms. Richart's responsibilities included performance review,review of major agreements,and analysis of operating cost projections. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 24 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Confidential Client; Charrua-Ancoa Transmission Project; Chile; 2015-2015 Consultant- Black&Veatch.Analyzed the project schedule and the terms of the engineering,procurement and construction (EPC) contract for reasonableness,use of industry best practices,and consistency to identify potential areas and magnitudes of schedule delay risk for an approximately 200 km 500 kV transmission line. Confidential Client; Wisconsin Utility Plant Independent Engineer; Madison, Wisconsin, United States; 2014-2015 Consultant-Black&Veatch.Senior analyst for independent engineering services in support of a potential sale of assets in Wisconsin.Collected and analyzed historical operating data,assisted in development of operating projections,and participated in site visits. Confidential Client; Interchile Transmission Project; Chile; 2014- 2015 Consultant-Black&Veatch.Analyzed the project schedule and the terms of the engineering,procurement and construction contracts for reasonableness,use of industry best practices,and consistency to identify potential areas and magnitudes of schedule delay risk for an approximately 1,000 kilometer(km) 500/220 kV transmission line. Sewerage and Water Board of New Orleans; Annual Report on Operations; New Orleans, Louisiana, United States; 2015-2015 Consultant-Black&Veatch.Consultant assisting in the preparation of the 2014 annual report on operations for water,wastewater and storm drainage utilities,including evaluation of management, operations,financing and compliance with bond covenants. Washington Suburban Sanitation Commission; FY2017 Executive Asset Management Plan Alternatives Evaluation; Laurel, Maryland, United States; 2015-2015 Senior Analyst-Black&Veatch.Senior analyst for alternatives evaluation to support WSSC in the development of their 2017 Enterprise Asset Management Plan Business Case. Effort included developing forecasted 30 year capital plans optimizing on level of service,risk,and cost. pv Com BLACK&VEATCH I APPENDIX A-RESUMES 25 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE BHP Billiton; Escondida Water Supply; Antofagasta, Chile; 2011- 2014 Lead Planner-Black&Veatch.Lead Planner,assisted in preparation of a study level resource-loaded,quantity-loaded engineering,procurement and construction(EPC)schedule for the purpose of validating the proposed project timeline and assisting the client in obtaining project funding.Assisted in preparation of the baseline engineering and procurement portions of the EPC schedule and identification of contractual key performance indicators (KPIs). Led schedule and cost control functions on an EPC project with over a $100 million total professional services fee,ensuring that the engineering documents and procurement services were delivered to support construction and planned KPI metrics were achieved. Developed,prepared and presented schedule and cost reports to clients,management,and team members,identifying trends and variances. Analyzed schedule and cost deviations from plan to determine and forecast project variations and developed recovery plans,when necessary.Analyzed the EPC schedule to determine contractual milestones for suppliers.Evaluated supplier bids for conformance to required schedule and identified risks within the proposal schedule. Evaluated suppliers'baseline and monthly schedule updates for conformance to schedule requirements and contractual milestones. Johnson County Wastewater; Mill Creek Regional Effluent Tunnel; Johnson County, Kansas, United States; 2010-2014 Project Controls-Black&Veatch.Helped to create a cost-loaded, logic driven schedule of design activities. Performed cost control functions and earned value analysis.Performed reviews of the contractor's P6 schedule to evaluate progress and performance,to assist in evaluation of pay applications,and to provide the client an estimate of the contractor's cash flows. Irvine Ranch Water District; Biosolids & Energy Recovery Facilities Project; Irvine, California, United States; 2010-2013 Project Controls-Black&Veatch.Created a logic-driven schedule of design activities which progressed on a monthly basis. Performed cost control functions including production of cost reports,earned value analysis,production of cost forecasts,and trend management. Various Clients; Cost Estimating Experience; United States; 2008- 2013 Estimator-Black&Veatch.Ms.Richart's cost estimating experience includes assistance in creating engineering opinion of probable construction costs,including the following responsibilities: o Performed takeoffs from drawings and specifications to develop quantities to use in the opinion of probable construction cost. 6V cans BLACK&VEATCH I APPENDIX A-RESUMES 26 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE o Assisted in the development of the estimate's work breakdown structure and reporting format. o Used the Timberline estimating tool to apply location-appropriate productivity rates and material costs to quantities in order to develop direct costs. o Assisted in identification and proper application of markups to achieve appropriate indirect costs. These responsibilities were performed on a number projects.Below is a representative list of the types of projects estimated: o San Diego County Water Authority E San Vicente Dam Raise, Lakeside,California 12009-2010 o Irvine Ranch Water District I Biosolids&Energy Recovery Facilities Project;Irvine,California 12010-2013 o Reading,PA Reading Wastewater Treatment Plant,Reading, Pennsylvania 2008-2009 o Orange County Water District I Initial Expansion of the Groundwater Replenishment System;Orange County,California 12009 - 2010 Orange County Water District; Initial Expansion of the Groundwater Replenishment System; Orange County, California, United States; 2009-2010 Project Controls- Black&Veatch.Helped to create a logic-driven schedule of design activities that were progressed on a monthly basis. Analyzed the schedule to identify areas of potential impact and modified the schedule when scope changes affected the baseline schedule. Developed a deliverables-based,earned value management system used to report progress internally and to create monthly progress reports to the client. American Structurepoint; East Chicago Water Treatment Plant; Indiana, United States; 2009-2010 Project Controls-Black&Veatch.Created a cost loaded,logic- driven schedule of detailed design activities including subcontract responsibilities and vendor deliverables. Modesto Irrigation District; Domestic Water Project- Phase 2, Plant Expansion CM Services; Modesto, California, United States; 2009-2009 Project Controls-Black&Veatch.Performed schedule reviews of contractor's Primavera schedule to ensure the contractor properly maintained the schedule and to identify areas of concern. Evaluated the impacts on the schedule's critical path and checked for conformance to the contract schedule specifications. BV COM BLACK&VEATCH I APPENDIX A-RESUMES 27 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE City of Reading; Reading Wastewater Treatment Plant; Pennsylvania, United States; 2008-2009 Project Controls-Black&Veatch.Created a detailed logic-driven Primavera schedule of design activities to be performed in multiple offices around the world.Created a work breakdown structure used to create various reports for submittal to client staff. BV.COM BLACK&VEATCH I APPENDIX -RESUMES 28 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Gary J. Wilmes Mr.Wilmes is a registered Professional Engineer with diverse MARKET MODELING experience in many aspects of the electric power industry,including system planning,production cost modeling,economic analysis, Expertise: electricity market assessments,and conceptual design.He has Asset Valuation; Electric Price conducted several system planning and feasibility studies for domestic Forecasting; LMP Analysis; and international clients.His activities have included technology Power Generation System screening and selection studies,development of utility generation Planning expansion plans,generating system production cost simulation and Education analysis and reliability/availability assessments to predict plant Master of Science,Manufacturing availability and improvements attributable to proposed plant design Systems Engineering,University changes. He has been involved in power plant site selection studies of Nebraska,Lincoln,1992, where he used geographical information system (ISIS) mapping tools United States and spatial databases to identify preferred sites for new power plants. Bachelor of Science,Agricultural Mr.Wilmes has evaluated the economics of proposed Demand-Side Engineering,University of Nebraska,Lincoln,1987,United Management(DSM)and Energy Efficiency programs using the DSMore States (Demand-Side Management Option Risk Evaluator)simulator as well as Professional Registration detailed hourly chronological production cost models such as ProSym License,Professional Engineer, and ProMod to evaluate the economics of peak reductions and energy Mechanical,14209,Kansas, cost savings attributable to DSM and Energy Efficiency programs.He United States,1996 has extensive experience in the use of full suite of PowerBase and Total Years of Experience EnerPrise products. He is experienced in managing data gathering to 25Black&Veatch Years of develop customized databases for input to these models.Mr.Wilmes Experience possesses strong financial analysis skills,supported by thorough 25 knowledge of financial,economic and accounting principles.He has a strong technical understanding of the electric utility industry and excellent analytical problem-solving skills,including quantitative analysis and computer modeling techniques. Mr.Wilmes has used his expertise in the areas of linear,mixed-integer, dynamic,and non-linear programming on several projects.Mr.Wilmes co-developed Black&Veatch's PowrPro chronological production costing program. PowrPro contains numerous features to realistically model actual unit commitment and dispatch.Mr.Wilmes authored Black&Veatch's PowrOpt,an optimal generation expansion program. PowrOpt uses a dynamic program in conjunction with the commitment and dispatch algorithms of PowrPro to determine the least-cost expansion plans meeting reliability criteria determined by reserve margin or loss-of-load probability(LOLP). Mr.Wilmes developed a fuel purchase optimization system in support of a Total Fuel Management system software development project The optimizer provides the capability to evaluate a large number of fuel purchase options while simultaneously accounting for system-wide and unit-specific constraints,coal delivery options,governmental regulations and inventory levels,as well as fuel purchase cost On another project,Mr.Wilmes developed an optimizer for use in an integrated fuel strategy study that determined the set of development options that consist of fuel,transportation and capital improvement BV COM BLACK&VEATCH I APPENDIX A-RESUMES 29 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE strategies that optimizes system profitability. Prior to joining Black&Veatch,Mr.Wilmes was a research engineer at the University of Nebraska at Lincoln.At the university,he performed research to measure crop yield response to timings and quantities of fertilizer and water applications.These experimental results were used to build crop simulation models that were used to develop decision support systems to advise producers on the timing and quantities of water and fertilizer applications to maximize profit under limited water constraints.These models were also used to advise policymakers on the economic impacts of limiting aquifer withdrawals to maintain a sustainable water supply and for limiting fertilizer and chemical applications to maintain water quality. PROJECT EXPERIENCE Confidential Midwest Utility; United States; 2013-In-Progress Consultant-Black&Veatch.Mr.Wilmes is providing ongoing support in detailed financial and production cost analysis of resource replacement and emission retrofit options for coal units owned by a Midwest utility.Resource replacement options include retrofitting air pollution control systems,conversion to natural gas,conversion to combined-cycle facility,and retirement. Various Clients; Independent Engineer; United States; 2011-In- Progress Project Manager- Black&Veatch.Mr.Wilmes has been project manager on,or otherwise supported,numerous independent engineering/due diligence engagements for various clients considering either purchasing or selling individual assets or portfolios of assets.Activities included coordinating the activities of specialists involved in the engagements,communication with clients, developments of reports,and site visits. Black & Veatch; Energy Market Perspective; Global; 2008-In- Progress Region Expert-Black&Veatch.SPP region expert for the Black& Veatch Midwest Energy Market Perspective and is responsible for developing the Black&Veatch outlook of SPP power markets that is updated every six months.The Energy Market Perspective(EMP)is a 25-year fundamental baseline view of electric,gas,oil and capacity prices across major pricing points across the U.S.power markets.The EMP leverages the ProMod production cost model to forecast hourly electricity prices over a long-term horizon.Prior to his focus on the SPP region,Mr.Wilmes was also the region expert for PJM. #W CC]M BLACK&VEATCH I APPENDIX A-RESUMES 30 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Various Portfolios; Global; 2007-In-Progress Consultant-Black&Veatch.Mr.Wilmes has provided technical due diligence and strategic advisory services to domestic and international clients who are involved in various electric facility transactions,refinancing,and development activities of assets located around the world. Florida Municipal Power Association (FMPA); Resource Planning Support; Florida, United States; 2014-2014 Consultant-Black&Veatch.Mr.Wilmes worked with FMPA to provide resource planning support activities for their integrated resource plan (IRP)efforts. Mr.Wilmes used the Ventyx Strategist model to produce optimal capacity expansion plans to meet FMPA's capacity needs going forward. West Texas Municipal Power Agency; Integrated Resource Plan; Lubbock,Texas, United States; 2013-2013 Consultant-Black&Veatch.In preparing an IRP for the West Texas Municipal Power Agency(WTMPA),Mr.Wilmes analyzed power supply alternatives beginning upon expiration of WTMPA's existing full requirements power purchase from Southwestern Public Service Co.(,a wholly-owned subsidiary of Xcel Energy, Inc..WTMPA is a joint power agency and municipal corporation comprised of four cities in Texas; Lubbock being the largest member.The WTMPA IRP considered various solutions to meeting the power requirements of WTMPA upon expiration of its existing fuel requirements power purchase.The IRP considered self-owned generation in combination with participation in the Southwest Power Pool (SPP) Integrated Marketplace. Mr.Wilmes performed the Strategist capacity expansion optimization modeling the ProMod production cost modeling for the study.As part of the IRP process,Mr.Wilmes help prepare a presentation of the results of the IRP for presentation to both the WTMPA and city of Lubbock Board of Directors. Confidential Nuclear Restart Analysis; United States; 2013-2013 Consultant-Black&Veatch.Mr.Wilmes provided nodal price analysis in support of restart analysis of an existing nuclear power plant.The nuclear power plant was shut down and required major capital and fixed operations and maintenance (0&M)expense before the unit was allowed back online.The analysis included an economic evaluation of restarting the plant compared to alternative resource options. Grand Prairie 400 Megawatt (MW) Wind Economic Analysis; Nebraska, United States; 2013-2013 Consultant-Black&Veatch.Black&Veatch performed an economic analysis of the 400 MW Grand Prairie wind farm located in western Nebraska.A utility was offered an unsolicited power purchase agreement(PPA) for output from the Grand Prairie Wind farm. Black &Veatch provided a recommendation on execution of the PPA to BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 31 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE senior management and the utility's Board of Directors.Mr.Wilmes performed short-term security constrained economic dispatch (SCED) analysis for the potential purchase.The SCED analysis examined the future market structure and market demand,and included major backbone transmission additions that could affect the operation of the asset. Projections of market energy prices,unit production, curtailment,and key congestion facilities for the project node were provided,as well as performance projections,cost projections and revenue projections. Tyr Energy; Portfolio of Four Gas Units; United States; 2012-2013 Project Manager -Black&Veatch.Project Manager who performed site visits for two assets for the independent engineering assessment of a four unit,gas fired portfolio including 501FC,7FA,and Wartsila technologies. Village of Rockville Centre (RVC); Integrated Resource Plan; New York, United States; 2012-2012 Consultant-Black&Veatch.Developed electric load forecast for an IRP study for the Village of Rockville Centre.The IRP included consideration of RVC's existing generating system and strategic planning to satisfy forecasted system requirements.The strategic planning process included consideration of conventional supply-side options,interaction with the purchase power market,demand-side management measures,and possible future environmental impacts. Confidential Client; Granite Ridge; United States; 2012-2012 Consultant-Black&Veatch. Mr.Wilmes was responsible for coordinating the report detailing the independent engineering assessment on behalf of a potential buyer of a 2x1 SW 501G combined cycle project. State Grid International Development; US Wind Portfolio Valuation; Global; 2011-2012 Consultant-Black&Veatch.Mr.Wilmes was part of a large team tasked to work with State Grid International Development located in China and the investment bank of Morgan Stanley evaluating the potential acquisition of a portfolio of wind plants located across the U.S. Black&Veatch provided Morgan Stanley a long-term forecast of energy,capacity,and renewable energy credit(REC)prices that the wind portfolio could earn in each of the U.S.power markets. Massachusetts Electric Company(MECO); Feasibility Analysis for Pumped Storage Hydroelectric Project; Massachusetts, United States; 2011-2011 Consultant-Black&Veatch.Performed preliminary economic feasibility of using variable speed pumped storage hydroelectric (PSH) generation to provide storage of intermittent renewable generation during lower electric demand hours for use during higher demand hours,storage of generation from lower cost thermal WCOM BLACK&VEATCH I APPENDIX A-RESUMES 32 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE generators available when system electric loads are low for use in lieu of more expensive thermal generators when system electric loads are higher,and delay in the need to add new generating capacity to maintain required capacity reserves.The electric system planning models Strategist and PROMOD were used to model the expansion and operation of the MECO system under four separate plans with and without the PSH plant,with a smaller version of the PSH plant,and with the PSH plant but without the 25 MW purchase of power from a new dedicated biomass plant. Delek Infrastructure Ltd.; Next Era Portfolio Valuation; Israel; 2011-2011 Consultant-Black&Veatch.Black&Veatch was retained by an Israeli-based private equity firm looking for buy-side transaction support of the NextEra power plant portfolio up for sale.Mr.Wilmes provided a market-based valuation of combined-cycle assets located in the Midwest Region. ISEPA; Compressed Air Energy Storage Study; United States; 2010- 2010 Consultant-Black&Veatch. Performed an analysis of the net systems benefits of adding a Compressed Air Energy Storage(CAES) unit to a Midwest utility's existing generation portfolio.The operation of the CAES unit was modeled using the ProMod production cost modeling software.The total system production cost with and without the CAES unit were compared to determine the net benefit of the CAES unit to the utility. Board of Public Utilities; DSM Planning; Kansas City, Kansas, United States; 2010-2010 Consultant-Black&Veatch.Evaluated the economics of proposed DSM programs using the DSMore (Demand-Side Management Option Risk Evaluator)simulator.Assembled the data needed to develop customized price and load profiles for the DSMore program.Also used the ProSyin based Planning and Risk software to evaluate economics of peak reductions attributable to DSM programs. SPP; Southwest Power Pool Integrated Transmission Plan (ITP) Year 20 Assessment; Little Rock, Arkansas, United States; 2010- 2010 Consultant-Black&Veatch.SPP retained Black&Veatch to provide assistance in developing 20-year forecasts of resource additions to maintain loads and resources balances throughout SPP.The forecasts of resource additions were used by SPP in performing the ITP Year 20 Assessment.The ITP process is designed to provide guidance on SPP's near-and long-term transmission infrastructure needs.Black& Veatch developed four,20-year forecasts of load and resource balances throughout SPP based on four future scenarios.The project included the development of a resource plan,GIS location of resources within SPP,and integration of resources into SPP transmission BV.COM BLACK&vEATCH I APPENDIX A-RESUMES 33 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE models. Board of Public Utilities (BPU); Power Supply Planning Study; Kansas City, Kansas, United States; 2008-2008 Consultant-Black&Veatch.Performed the system modeling simulations associated with a power supply planning study used to develop a generation expansion plan for the BPU considering future anticipated environmental regulations. Western Farmers Electric Cooperative; Electric Market Price Forecast Study; Oklahoma, United States; 2007-2007 Consultant-Black&Veatch.Developed electric market price forecast for the SPP region by modeling SPP,Midwest Reliability Organization and the Associated Electric Cooperative Inc.and Entergy sub-regions of SERC and relevant connected areas in support of integrated resource planning study. Confidential Client; Electric Waste Coal and Gas Turbine Plants Valuation; United States; 2007-2007 Consultant.Black&Veatch.Developed the electric market price forecast for the West PJM region and the Florida Reliability Coordinating Council (FRCC)and Southeastern Electric Reliability Council (SERC) regions of the southeastern United States by creating and using electric market models of the areas to estimate the value of the plants offered for sale to a group of investors. Confidential Client; Study of Transmission Expansion Alternatives; United States; 2007-2007 Consultant-Black&Veatch.Performed an analysis of three transmission expansion alternatives by developing a detailed nodal transmission ProMod model of the Eastern Interconnect The benefit to total production cost,locational marginal prices,and net cost to serve load was compared for the three alternatives. Confidential Client; Asset Valuation of Portfolio of Generation Facilities; United States; 2007-2007 Consultant-Black&Veatch.Developed electric models of the Western Electricity Coordinating Council system to forecast market revenue streams of a portfolio of generation assets to evaluate the value of the assets offered for sale.The analysis was used to support the development of a bid for the purchase of the assets. BV,COM BLACK&VEATCH I APPENDIX A-RESUMES 34 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Michael Vaughan Michael Vaughan is a Manager with over 14 years of experience INDEPENDENT ENGINEER; specializing in technical due diligence in Black&Veatch's management TECHNICAL LEAD consulting business.Mr.Vaughan's background is in conventional electricity generation,energy contract negotiation,electricity Expertise: purchasing strategies (both regulated and competitive),power plant Coal;Conventional Electricity cost modeling,industrial energy efficiency and mechanical engineering. Generation; Energy Contract Since joining Black&Veatch Mr.Vaughan has focused on management Negotiation (Regulated and of independent engineering due diligence,with focus on conventional Competitive); Mechanical power plants and renewable energy projects.During this period he has Engineering; Natural Gas; managed the due diligence for over 14 GW of generation capacity. Power Plant Production Cost Modelling; Renewable Mr.Vaughan has managed electricity supply for a large mining Energy; Solar PV;Wind organization with over 200 M W of demand and generation.This Education included requests for proposals to suppliers(both competitive and Bachelors,Commerce,Monash regulated), negotiation&implementation of electricity supply University,2003,Australia contracts,optimization of over 200 MW of onsite generation, Bachelor of Engineering, management of electrical system regulatory compliance and study of Mechanical Engineering,Monash alternative onsite generation options (including financing options). University,2003,Australia Total Years of Experience Mr.Vaughan also managed energy conservation and efficiency for a 14 large mining organization including identification of opportunities and Black&Veatch Years of working with senior management to secure support and implement Experience 1 improvements. PROJECT EXPERIENCE Confidential Client; Electricity Purchase Support for Large Mining Customer; United States; 2016-In-Progress Project Manager-Black&Veatch.Responsible for project management to support a large mining customer to implement new electricity supply agreement. Included analysis of agreement structure,identification of data to validate invoicing and analysis of electricity procurement options available under the agreement This included analysis of market pricing aspects of the agreement Confidential Client; Technical Due Diligence of an 8.6GW Portfolio; United States; 2016-In-Progress Project Manager-Black&Veatch.Responsible for proposal development,team leadership and project management for the technical due diligence of an 6.6GW portfolio of solar and wind projects.The portfolio included both operating and development projects,with the due diligence covering all aspects of technical due diligence including portfolio energy production,engineering design, commercial agreements(including Engineering, Procurement& Construction,Operating&Maintenance,interconnection and Power Purchase Agreements),Environmental Permitting and Financial Modelling. BV.COM BLACK&VEATCH APPENDIX A-RESUMES 35 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Confidential Client; Buy-side Technical Due Diligence of a 2.3GW Portfolio of Renewable Projects; United States; 2016-2016 Project Manager- Black&Veatch.Responsible for proposal development,team leadership and project management for the technical due diligence of a 2.3GW portfolio of solar PV and wind projects.The portfolio included The due diligence covered all aspects of technical due diligence including portfolio energy production, engineering design,commercial agreements(including Engineering, Procurement&Construction,Operating&Maintenance, Interconnection and Power Purchase Agreements)and Financial Modelling. Confidential Client; Buy-side Technical Due Diligence of a 2.OGW Portfolio of Commercial and Industrial Solar PV Projects; United States; 2016-2016 Project Manager-Black&Veatch. Responsible for proposal development,team leadership and project management for the technical due diligence of a 2.OGW portfolio of commercial and industrial solar PV projects.The due diligence covered all aspects of technical due diligence including portfolio energy production, engineering design,commercial agreements(including Engineering, Procurement&Construction,Operating&Maintenance, Interconnection and Power Purchase Agreements) and Financial Modelling. Confidential Client; Buy-side Technical Due Diligence of a 250MW Portfolio of Operating Residential Rooftop Solar PV Projects; United States; 2016-2016 Project Manager- Black&Veatch.Responsible for proposal development,team leadership and project management for the technical due diligence of a 250MW portfolio of residential rooftop solar PV projects.The due diligence covered all aspects of technical due diligence including portfolio energy production,engineering design,commercial agreements (including Engineering,Procurement &Construction,Operating&Maintenance,Interconnection and Power Purchase Agreements)and Financial Modelling. Confidential Client; Commercial Review for a 30OMW Open Cycle Natural Gas Project; California, United States; 2016-2016 Commercial Subject Matter Expert-Black&Veatch.Responsible for the review of commercial documentation for an independent engineering review of a 30OMW open cycle natural gas project. Commercial support included review of interconnection agreements, natural gas supply agreement,operating&maintenance agreements, asset management agreements,energy management agreements and power purchase agreements.Project included provision of an independent engineering report to the client. BV COM BLACK&VEATCH I APPENDIXA-RESUMES 36 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Confidential Client; Technical Due Diligence of a 40MW Portfolio of Battery Energy Storage Projects; United States; 2016-2016 Project Manager-Black&Veatch.Responsible for proposal development,team leadership and project management for the technical due diligence of a 40MW portfolio of battery energy storage projects.The due diligence covering all aspects of technical due diligence including engineering design,commercial agreements (including Engineering,Procurement&Construction,Operating& Maintenance,Interconnection and Power Purchase Agreements), Environmental Permitting and Financial Modelling. Confidential Client; Financial Close Support for a 230MW Wind Project; Texas, United States; 2016-2016 Commercial Subject Matter Expert-Black&Veatch.Responsible for the review of project engineering and commercial documentation to support financial close of the project Included review of engineering documentation,interconnection agreements,operating& maintenance agreements,asset management agreements and power purchase agreements.Project included provision of a supplemental independent engineering report to financing parties. Confidential Client; Energy Production and Operating & Maintenance Cost review of an 1.OGW Portfolio of Renewable Projects; Global; 2016-2016 Project Manager-Black&Veatch.Responsible for proposal development,team leadership and project management for the review of energy production and Operating&Maintenance for a 1.OGW portfolio of solar and wind projects. Multiple Responsibilities; Salt Lake City, Utah, United States; 2011-2016 Manager- Rio Tinto Kennecott Utah Copper.Responsible for the development of a comprehensive energy strategy for mining and processing operations and implementation of this strategy Included leadership of a cross-functional team including representatives from commercial,legal,government affairs,engineering,operations, environment,finance and external consultants to implement a Utah legislative change which allowed purchase of electricity from suppliers other than the local regulated utility. Conducted negotiations with electricity suppliers (both regulated and competitive) on behalf of mine leadership including identification of suppliers,RFP management,analysis of different supply options and selection of a final preferred option.This also included management of the approval of the preferred electricity supply option with the organizations London based investment committee. Management of regulatory compliance for interconnected electricity system including over 100 miles of high voltage distribution and over 20OMW of conventional generation and cogeneration. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 37 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Responsible for implementing energy consumption and spend reporting systems to improve energy performance accountability at mining and processing operations. Managed development and implementation mining and processing energy efficiency improvements.This included identification of opportunities and working with senior management to secure support and implement improvements. Managed energy and GHG data collection for mining and processing operations and reporting of data collected to mine investors and regulators. Multiple Responsibilities; Brisbane, Queensland,Australia; 2007- 2011 Manager-Rio Tinto Energy and Climate Strategy.Development of a detailed financial model for power generation projects to analyze current and future power generation costs for senior management and mining operations. Led implementation of energy data collection and reporting for operations spanning six continents.This included development of systems to enable sustainable annual collection of this data. Project management of energy technology option studies for mining business units,including studies for solar,wind and other thermal energy options. Multiple Responsibilities; George Town, Queensland, Australia; 2005-2007 Mechanical Engineer-Rio Tinto Alcan Bell Bay.Provided mechanical engineering expertise to site maintenance teams. Included: o Facilitating root cause analysis and reliability centered maintenance workshops for site critical equipment. o Management of Six Sigma business improvement projects. o Design and implementation of capital improvement projects. o Development of technical specifications for procurement of equipment and contracting services. o Management of external contractors,consultants and specialists. o Assisted in capital and operational budget planning for the Engineering Services department. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 38 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Judith L Carnali Judith Carnali is a consultant in Black&Veatch's management INDEPENDENT ENGINEER; consulting business.Ms.Carnali holds a Bachelor of Science and FINANCIAL MODELING Engineering in Chemical and Biological Engineering from Princeton SUPPORT University with a concentration in Energy and Environmental Technology and a minor in Sustainable Energy. Expertise: Ms.Carnali joined Black&Veatch upon graduation and focuses on due Bankability; Data Analysis; diligence reviews,including engineering feasibility and independent Due Diligence; Financial technical assessments of novel technologies.Ms.Carnali has worked on Modeling;Oil&Natural Gas; a wide variety of projects including midstream and distribution oil and OPEX/CAPEX Review; natural gas assets,renewable energy portfolios and combine cycle Renewable Energy;Solar plants.Ms.Carnah's skill set includes technical due diligence, Development;Solar operational assessment,financial modeling and analysis,and project Operations and Maintenance management. Budgeting Education Ms.Carnali has coding experience in Java and analytics experience in Bachelor of Science,chemical and SQL and R and a passion for data analysis. Biological Engineering,Energy and Environmental Technology, Princeton University,2013, PROJECT EXPERIENCE United Stites Confidential Developers; Technical Due Diligence & Solar PV Total Years of Experience Portfolios; United States; 2014-In-Progress 6 Assistant Project Manager-Black&Veatch.Ms.Carnali has Black&Veatch Years of coordinated and performed due diligence on solar photovoltaic(PV) Experience 5 projects in Arizona,California,Massachusetts,New York and North Professional Associations Carolina that range from utility scale to carport installations,as Society of Women Engineers- requested by the lender.She is currently coordinating all phases of Member these portfolio projects to support financial close through to substantial completion.Experience includes operations and maintenance scope review,financial model review,and inverter reserve modeling. Confidential Client; InterGen Portfolio Due Diligence; Global; 2016-2016 Consultant-Black&Veatch.Ms.Carnali performed historical performance benchmarking,outage and major maintenance review, and budgeting suggestions for wind,coal and natural gas assets OCI Solar Power— Mission Solar Energy; Solar PV Module Manufacturing Bankability; Texas, United States; 2014-2015 Analyst-Black&Veatch.Black&Veatch performed a manufacturing,quality,reliability,and durability review of Mission Solar Energy's solar cell and PV manufacturing facility. Confidential Client; 20 MW Solar PV Project Re-financing; Ontario, Canada; 2014-2014 Analyst-Black&Veatch.Black&Veatch performed due diligence to support a refinancing of a term loan for an operating 20 megawatt BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 39 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE (MW)solar facility in Ontario,Canada.The due diligence scope included reviewing the operating history to prepare an energy forecast,review of commercial agreements,conducted site visit, reviewed technical design review,environmental and permitting review,and financial model review.The multi-disciplined team included solar specialists,environmental specialists and financial analysts. Confidential Client; Chilean Natural Gas and LPG Asset—Technical and Operational Due Diligence; Chile; 2014-2014 Analyst-Black&Veatch.Black&Veatch conducted a buy-side due diligence of energy assets including electric transmission and distribution;liquefied petroleum gas terminals,storage and distribution;and natural gas terminals,transmission and distribution assets. Black&Veatch provided mostly desktop reviews of assets as well as limited site visits. Physical status of assets and operational practices were compared to industry standards and country regulations. Black&Veatch utilized its knowledge of gas operations and requirements to advise and provide guidance on Financial model inputs and review of historical and projected financial metrics for operating expenses and capital expenditures. Peregrine Midstream/EQT Partners; Ryckman Creek Gas Storage— Drilling/Reservoir/Facilities; Wyoming, United States; 2013-2014 Analyst-Black&Veatch.The Black&Veatch team performed an in- depth review and analysis of the nitrogen rejection unit(NRU) currently located in Madisonville,Texas.The review included not only an assessment of the NRU process,but also an analysis of demolition of the unit at its current location,the changes in and refurbishment of various unit components,and an analysis of the reconstruction of the unit in Wyoming.Ms.Carnali performed an ASPEN HYSYS modeling analysis of the NRU unit. Northland Power; Solar PV Plant Portfolio; Ontario, Canada; 2013- 2013 Analyst-Black&Veatch.Black&Veatch performed independent engineering due diligence,including production estimate, construction contract review,design review,operating plan review, environmental permitting review and financial model review. Plainfield Renewable Energy; 37.5 MW Biomass Plant; Connecticut, United States; 2013-2013 Analyst-Black&Veatch.Ms.Carnali provided ongoing construction monitoring due diligence services as lender's engineer as well as preparation of monthly progress reports and periodic site visits. BV COM BLACK&VEATCH I APPENDIX A-RESUMES 40 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Confidential Client; Project Magpie Natural Gas Utilities; China; 2013-2013 Analyst- Black&Veatch.On behalf of a potential investor, Black& Veatch conducted an engineering and operations due diligence review of the construction and operation of natural gas distribution and transmission assets in China.Some assets were under construction while others were already operational.Black&Veatch evaluated forecasted operational and capital expenditures(OPEX/CAPEX) for reasonableness.Black&Veatch also reviewed project schedules, quality of construction,operations,ability to serve current loads and the opportunity and impact of future expansions. Sacramento Municipal Utility District; Market Research; Sacramento, California, United States; 2012-2012 Team Member-Black&Veatch.Black&Veatch performed market research aimed at increasing employee involvement and interaction within the internal operation of the company through new initiatives and policies. Confidential Client; South Texas Salt Dome Storage Feasibility Study; Texas, United States; 2012-2012 Analyst-Black&Veatch.Black&Veatch provided an engineering feasibility study for storage utilization of a salt dome formation located in southern Texas.Black&Veatch evaluated the suitability and the application of the salt dome for the purpose of natural gas and natural gas liquids storage,anticipating the need for alternative sizing and location of infrastructure elements based on evolving project drivers. BV COM BLACK&VEATCH I APPENDIX A-RESUMES 41 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Bruce A. Boomer, P.E. Bruce A. Boomer is an Environmental Engineer within Black&Veatch's ENVIRONMENTAL global energy business. His technical competencies include ENGINEER environmental issues associated with site development,industrial water pollution control,water resources,chemical management, Expertise: combustion residues,air pollution compliance,and waste management Environmental Engineering For industrial organizations,he has planned critical environmental Education permitting and compliance needs for proposed and modified facilities Masters,Engineering, Environmental,West Virginia and managed continuing compliance with water,air,and waste University,1980,united states requirements. For third-party organizations,he has reviewed the Bachelors,Biology,Applied Biology, adequacy of permits and plans in place at facilities under development Georgia Institute of Technology, and at active facilities and has evaluated the needs for maintaining 1975,United States compliance with current,pending,and anticipated regulatory Professional Registration programs. License,Professional Engineer, Environmental,14599,Kansas, The following list of experience showcases his knowledge in these united States,1997 technical areas. Total Years of Experience 35.3 Black&Veatch Years of PROJECT EXPERIENCE Experience Multiple Confidential Clients; Solar Environmental Due Diligence; 10.4Language Capabilities United States; 2010-2017 English Environmental Compliance Engineer-Black&Veatch.Boomer French performed due diligence environmental reviews for major investors Office Location evaluating three major solar energy facilities under development in Overland Park,Kansas,USA:united California.The solar facilities,all larger than 300 [NW,had been states pursuing major environmental approvals to begin construction. Boomer provided independent review of the environmental aspects of the projects including the status and planning for all necessary federal,state,and local approvals,including environmental approvals under the National Environmental Protection Act(NEPA)and the California Environmental Quality Act(CEQA). He reviewed the feasibility,completeness,and cost impacts of all required/planned environmental actions,including NEPA and CEQA mitigation measures and assisted the client with evaluation of potential timing and cost risks associated with environmental aspects of the projects. Multiple Confidential Clients; Environmental Due Diligence; Global; 2007-2017 Environmental Compliance Engineer-Black&Veatch.Boomer performed due diligence environmental reviews for 200 confidential financial evaluation projects of multiple industrial facilities throughout North America and in Egypt, India, Indonesia,Oman,the Philippines,Saudi Arabia,and the United Kingdom including coal,gas, nuclear,hydro,biomass,geothermal,solar,and wind power facilities; natural gas and electricity transmission systems;water treatment/ wastewater treatment facilities; petroleum terminals; and industrial energy recovery systems.Duties have included reviews of pertinent BV.coM BLACK&VEATCH I APPENDIX A-RESUMES 42 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE environmental permits and compliance files/status for water,air, and waste issues;water supply and discharge issues;oil spill prevention/management;site ecological issues; environmental justice and social/cultural impact issues;agency/international organization determinations and standards including Equator Principles and World Bank guidelines;site technical and planning documents;pending regulations;site reconnaissance;and evaluation of environmental management systems.Summary reports were prepared to assist clients in assessing the status of existing environmental conditions,compliance with standards,and future cost risks as part of overall project findings for the financial reviews and decisions. Multiple Clients; Environmental Permitting and Planning Assistance to Power Generation and Power Transmission Projects; United States; 2009-2014 Environmental Compliance Engineer-Black&Veatch.Boomer assisted Black&Veatch teams in conducting permit need assessments and developing planning documents and permit applications for proposed new power generation facilities/new corridor projects. Boomer collected pertinent project information,discussed needs with regulators,assessed construction and operations aspects,developed planning documents,and developed permit applications for clients for such categories as construction storm water,water supply,and wastewater discharge. Multiple Confidential Clients; Power Generation Option Studies; United States; 2009-2013 Environmental Compliance Engineer-Black&Veatch.Boomer assisted Black&Veatch teams in evaluating environmental aspects of utility planning alternatives to maintain or replace power generation capacity.Studies included assessment of facility retirement, "mothball," or compliance/maintenance options; review of environmental aspects of selection of alternative coal sources; review of environmental aspects of renewable portfolio technology options; and preliminary environmental review of energy storage options. Boomer evaluated pertinent site-specific aspects including water,air, waste,and ecological issues and fuel management/combustion residue considerations.Summary findings were prepared and included with the overall planning study reports. Confidential Client; Chemical Management Planning; United States; 2010-2011 Environmental Engineer-Black&Veatch. Boomer helped a utility client improve its company-wide management of chemical safety information.Based upon findings from the gap analysis of requirements,site visits, interviews with additional company representatives,and professional judgment,Boomer helped develop general recommendations to improve and streamline the existing chemical approvals and material safety data sheet(MSDS)procedures BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 43 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE to meet regulatory,business,and effectiveness goals and incorporate best practices.Boomer worked with the client to modify or redesign the existing process and develop a change management plan for implementing recommended changes.Findings included business requirements with a focus on finalizing standards,methods,and staffing considerations,and system improvements with a focus on software/records systems. Multiple Confidential Clients; Generation Site and Corridor Selection Studies; United States; 2007-2010 Environmental Engineer-Black&Veatch.Boomer performed site assessments to identify potential biomass and natural gas electricity generation sites,and evaluate potential or revised corridors for new pipelines and transmission lines.The assessments consisted of preliminary reviews,site reconnaissance,and systematic scoring evaluations of possible sites.The reviews included potential major federal,state,and local regulations regarding water resources, wastewater discharge,air emissions,and waste management; ecological conditions;and existing local land usage conditions,as well as review of associated needs for the construction and operation of a generating facility at the reviewed sites,or for construction and maintenance of pipelines and transmission lines in the corridors. Bahamas Environment, Science, and Technology Commission; Andros Island and Bimini Bay Development Environmental Compliance Studies; Bahamas; 2008-2009 Environmental Engineer/Scientist-Black&Veatch.Boomer provided an independent review of existing environmental programs and environmental conditions associated with the continuing construction of the Bimini Bay resort development. He evaluated compliance with the requirements of the government of the Bahamas; reviewed the historic environmental studies of the project and area; evaluated environmental management and water resource aspects of the project;and recommended a structure for an Environmental Management Plan for the facility and development project For the Andros Island development project,he evaluated infrastructure and sensitive land use environmental issues associated with proposed near-shore land development options. Entergy Louisiana, LLC and Detroit Edison; Combined Operating License Applications; United States; 2007-2009 Environmental Engineer- Black&Veatch. Boomer aided in the development of Combined Operating License Applications(COLAs) for proposed new nuclear reactor projects.Boomer authored portions of the COLA's Environmental Report,identifying the water resource, water quality,water use,monitoring,nonradioactive waste,mixed waste,and cumulative environmental impacts associated with the siting,construction,and operation of the project facilities and presented findings in Nuclear Regulatory Commission review meetings. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 44 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Multiple Confidential Clients; Power Generation Feasibility Studies; California, United States; 2007-2009 Environmental Compliance Engineer-Black&Veatch.Boomer assisted Black&Veatch teams in evaluating environmental compliance issues for alternatives to expand power generation capacity at existing facilities in Texas,Illinois,and California.Boomer evaluated pertinent site expansion issues including environmental permits and compliance files/status for water,air,and waste issues; water supply and discharge issues; siting ecological issues;fuel management;site technical and planning documents;and pending regulations/permit modifications. Summary findings were prepared and included with the overall project engineering feasibility study reports. Environmental Compliance; Iowa, United States; 2003-2006 Environmental Manager-Archer Daniels Midland.Directed environmental compliance programs for major one thousand- employee corn processing plant(fuel alcohol,sweeteners,starches, etc.)with on-site power generation (co-generation). Managed air, water,and waste programs; developed/implemented phases of the facility Environmental Management System;and maintained contacts with regulatory agencies. For air pollution compliance programs, managed permitting and compliance for more than 300 plant sources, including annual reports and issues associated with Title V,Maximum Achievable Control Technology(MACT),National Emissions Standards for Hazardous Air Pollutants (NESHAPS),Resource Management Plan (RMP),modeling,and monitoring.Wastewater issues included compliance and planning for a direct discharge wastewater treatment plant as well as storm water management and spill prevention for large oil tank systems and loading systems near the Mississippi River.Waste management included Resource Conservation and Recovery Act(RCRA) compliance,corrective action, and groundwater monitoring. Directed major projects associated with pre-existing consent decree program; managed /monitored multiple projects/deadlines. Managed the environmental permitting/planning of major plant expansion projects.Directed the permitting effort for a new coal fired power plant to meet plant's current and expansion power needs.The project involved Prevention of Significant Deterioration (PSD)air permitting,boiler MACT issues,dispersion modeling,water supply, and discharge permitting,and planning for such issues as mercury emissions control,river water intake management,coal combustion residuals management,and cooling tower siting.Additional special projects included as investigation of whole effluent toxicity issues and investigations of long-term water quality impacts from plant effluent to the Mississippi River. BV.COM BLACK&VEATCH APPENDIX A-RESUMES 45 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Michael Charles Knechtel Michael C.Knechtel is an Air Quality Specialist within Black&Veatch's MANAGER, AIR global Power business and manages the Air Permitting Services Section. PERMITTING SECTION Knechtel specializes in air permit application preparation,air regulatory and permitting assessments,permit compliance Expertise: assessments,emissions quantification and impact analyses,and Air Permitting Specialist; meteorological/climatological studies. His permitting and regulatory Consulting Engineering experience includes various projects in Alabama,California,Colorado, Services; Environmental Florida,Georgia,Idaho, Indiana, Iowa, Kansas, Michigan, Missouri, New Regulatory Specialist; Mexico,New York, Nevada, North Carolina, North Dakota,Oklahoma, Meteorological and Climate Oregon,Tennessee,Texas,Utah,Virginia,and Wisconsin. Studies Knechtel has worked on projects involving numerous technologies at Education power generation facilities and water/wastewater facilities.Such Masters,Science,Atmospheric technologies include coal-fired boilers,simple and combined cycle Science,Creighton University, 2W3,United States combustion turbines,integrated gasification combined cycle turbines, Bachelors,Physics,Rockhurst reciprocating internal combustion engines(RICE),and liquefied natural University,2001,United states gas (LNG)facilities. Total Years of Experience 13 Knechtel has managed and prepared successful air permit applications Black&Veatch Years of for multiple energy sector infrastructure projects and has a strong Experience working knowledge of air regulations and air quality issues. 5 PROJECT EXPERIENCE University of Michigan; Central Power Plant Expansion - Feasibility Study and Air Construction Permit Application; Ann Arbor, Michigan, United States; 2013-In-Progress Air Permitting Specialist-Black&Veatch.Black&Veatch was retained by the University of Michigan to lead the design efforts for their proposed expansion of their Central Power Plant facilities.Phase I of the project required Black&Veatch to conduct an engineering evaluation of the feasibility of adding combustion turbine power generation and heat recovery steam generation at the Main Campus Central Power Plant(CPP)located in Ann Arbor,MI.In support of the Phase I feasibility study,developed an environmental fatal Flaw analysis,including a permit list. Prepared the permit list and determined that there was no environmental fatal flaw associated with the proposed expansion. Phase it of the project entailed preparing the air construction permit application to be submitted to the Michigan Department of Environmental Quality(MDEQ).The application is consistent with federal New Source Review requirements as well as state-specific regulations including Rule 201 permit requirements, Rule 224 best available control technology for toxics(T-BACT) requirements,Rule 225 health-based screening level requirements,and Rule 702 best available control technology(BACT) requirements for new sources of BV.COM BLACK&VEATCH I APPENDW A-RESUMES 46 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE volatile organic compounds (VOC). Various Confidential Clients; Due Diligence; United States; 2013- In-Progress Air Permitting Specialist-Black&Veatch.Performs due diligence reviews of air permits including construction,operation,and acid rain, as well as compliance histories of numerous facilities located throughout the United States. Facilities include combustion turbine and biomass units. Jordan Cove Energy Project; South Dunes Power Plant Site Certification Application; Oregon, United States; 2012-In-Progress Air Permitting Specialist-Black&Veatch.JCEP is proposing to construct the SDPP,a 420 MW power plant consisting of natural gas- fired combined cycle combustion turbine technology.The purpose of the project is to provide electricity and process steam to the adjacent JCEP liquified natural gas (LNG) facility.Black&Veatch assisted in the preparation of the Site Certificate application for the SDPP to be submitted to the Oregon Department of Energy, Energy Facility Siting Council (EFSC).Specifically,to fulfill the requirements of Exhibit Y of the Site Certificate application,Black&Veatch calculated the SDPP's "excess carbon dioxide"emissions according to EFSC methodology in order to determine the amount of carbon dioxide emissions that JCEP would be required to offset.The calculations involved quantifying the total reductions in excess carbon dioxide emissions that result from cogeneration (i.e.,use of steam generated at SDPP to drive various processes at the JCEP LNG facility). City of Sunnvale Water Pollution Control Plant; Engine Generator Overhauls/Air Permitting Assessment; California, United States; 2016-2017 Air Permitting Specialist-Black&Veatch.The City of Sunnvale California operates two reciprocating internal combustion engine (RICE) generators at their Water Pollution Control Plant to provide power to the facility.The RICE generators are fueled by a combination of landfill gas and digester gas and have the capability of generating 800 kW of electrical output.In an effort to keep the RICE generators operating for an additional 10 years,the City of Sunnyvale proposed to conduct major overhauls of the units. Black&Veatch performed an assessment of Bay Area Air Quality Control Distric(BAAQMD) regulations to determine,based on the scope of the proposed overhauls,if a permit to construct would be required to authorize the projects or if the projects would qualify as"routine maintenance, repair,or replacement",thus exempting the City of Sunnyvale from the requirement to obtain a BAAQMD permit to construct. Additionally, Black&Veatch evaluated potentially applicable federal emissions standards to determine if the engine generators were applicable as modified reconstructed units. Lastly,Black&Veatch assisted the City in determining the origin of a permit restriction on daily heat input to the RICE generators that limited the generating BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 47 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE capacity of the engines.After determining that the permit limit was an artifact of an administrative error that occurred in the original permit application for the engines, Black&Veatch composed a letter on behalf of the City requesting an administrative permit amendment in its upcoming Title V Permit renewal. National Grid; Environmental Impact Assessment; Massachusetts, United States; 2016-2016 Air Quality Specialist-Black&Veatch.National Grid,together with its partners,has proposed the construction of two interstate natural gas pipelines in the Northeastern United States;the Tennessee Northeast Energy Direct pipeline and the Algonquin Access Northeast pipeline.National Grid is required to file testimony in the state of Rhode Island detailing the impacts of the portion of the projects that will be constructed in Rhode Island. Black&Veatch was tasked with developing the environmental impact assessment to support this testimony.The environmental impact assessment developed by Black &Veatch consisted of a hybrid qualitative/quantitative analysis that addressed three key impacts of the projects; 1. How increased availability and utilization of natural gas resulting from the projects may impact the ambient air quality in Rhode Island and the surrounding airshed,as well as greenhouse gas (GHG) emissions; 2. The non-air environmental impacts associated with the proposed projects;and 3.The environmental impacts associated with the modification of an existing compressor station in Rhode Island. Following preparation of the environmental impact assessment, Black &Veatch continued to support National Grid throughout the process by providing expert testimony on the assessment throughout the state filing process. Southern California Gas Company (SoCal Gas); Environmental Permitting Assessment; California, United States; 2016-2016 Air Permitting Specialist- Black&Veatch.Southern California Gas Company was exploring a potential project in which pipeline quality fuel gas would be derived from commonly available bio-waste materials.The process involved conversion of bio-waste into a raw gas before impurities were removed to refine the gas into a pipeline quality product.Three options to produce this gas were evaluated; anaerobic digestion utilizing municipal waste as feedstock,anaerobic digestion utilizing agricultural waste as feedstock,and gasification technology utilizing woody biomass as feedstock.Black&Veatch performed a permitting assessment in order to identify the air regulations and permitting requirements that would apply to the various emissions sources included in each of the proposed options as well as emission targets for each source.Along with federal regulations, Black&Veatch assessed the local regulations of the applicable air quality management districts (AQMDs),which included the South Coast Air Quality Management District(SCAQMD),the San Joaquin Valley Air Pollution Control District(SJVAPCD),and the Mojave Desert Air Quality Management District(MDAQMD). BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 48 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Confidential Client; NSPS Subpart TTTT/Clean Power Plan Applicability Assessment and Project Evaluation; North Dakota, United States; 2016-2016 Regulatory Consultant- Black&Veatch.A confidential client commissioned Black&Veatch to study the feasibility and potential benefit of installing a waste heat power(WHP) project at a nearby industrial source for power generation in addition to the installation of combined heat and power(CHP) facility utilizing combustion turbine technology.The feasibility study included the evaluation of the potential benefits of the combined WHP/CHP project(s)within the federal CO2 regulations(i.e.,the Clean Power Plan and NSPS Subpart TTTT).The study examined both regulations in order to assess what compliance with the rule could entail for the proposed project Additionally,the project was evaluated in the context of the both the rate-based and mass-based model state implementation plans (SIPS) and federal implementation plans (FIPs) established under the Clean Power Plan in order to determine if there was opportunity to gain financial benefit from the project through the generation of emission reduction credits(ERCs) -in the case of a rate-based implementation plan-or the allocation of CO2 emission allowances out of a set-aside account-in the case of a mass-based program. Confidential Technology Firm; Proposed Data Center/Air Permitting Assessment; California, United States; 2016-2016 Air Permitting Specialist-Black&Veatch.A leading technology firm was considering installation of a new data center in central California.Black&Veatch was tasked with developing a permitting assessment to assist the firm in understanding the environmental permitting implications associated with such an installation.The analysis evaluated the permitting landscape of various engine generation alternatives(with and without controls)including operation in either an emergency or peak shaving capacity utilizing natural gas or diesel fuel.The assessment included an evaluation of the potential installation against various permitting thresholds including Best Available Control Technology and Emission Offset triggers. Confidential Client; Corporate Headquarters Air Permitting and Regulatory Assessment; Alabama, United States; 2016-2016 Air Permitting Specialist-Black&Veatch.A confidential client retained Black&Veatch to assess the various emissions sources located at their corporate headquarters in order to determine what,if any,emission standards applied and if the facility required an air operating permit.The emissions sources located at the corporate headquarters included diesel-fired emergency generators,painting operations,and metal cleaning operations. Black&Veatch quantified the potential to emit of the facility's emissions sources in order to ascertain applicability to various federal and state emissions standards and permitting requirements. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 49 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Confidential Client; Combustion Turbine Test Facility/Air Permitting Assessment; North Carolina, United States; 2016-2016 Air Permitting Specialist- Black&Veatch.A confidential client retained Black&Veatch to perform an air permitting assessment for a potential combustion turbine test facility.The client was particularly concerned about the potential for applicable air regulations to require the facility to install selective catalytic reduction (SCR) in order to control NOX emissions,as such a requirement would be considered a fatal flaw for the facility development Black&Veatch evaluated and summarized state and federal air regulations potentially applicable to the proposed Project and detailed the various analyses required should the facility be applicable to the Prevention of Significant Deterioration(PSD)pre-construction permitting program.Given the client's concerns regarding the potential requirement to install SCR, Black&Veatch included a thorough discussion on the PSD requirement to install Best Available Control Technology(BACT), focusing on the requirement that BACT must be determined to be both technologically and economically feasible. Black&Veatch qualitatively demonstrated that the unique design challenges and related costs associated with fitting a post-combustion control on a Facility where multiple turbines would be tested provided possible avenues to demonstrate that SCR would be not be technologically or economically viable emissions control option. City of Atlanta Department of Watershed Management; South River Water Reclamation Center- Digester Upgrade Project; Georgia, United States; 2015-2015 Air Permitting Specialist-Black&Veatch.Prepared a regulatory applicability analysis and an air permitting assessment in support of design efforts for the project.The purpose of the study was to identify potential regulatory constraints on the proposed digester gas-fired boilers and emergency flares and to identify target values for both the maximum hydrogen sulfide concentration in the digester gas and the NOx concentration in the boiler exhaust Both federal and state air quality regulations were examined and,where appropriate,compared to project emissions estimates. San Francisco Public Utilities Commission; Southeast Water Treatment Plant- Biosolids Digester Facilities Project; United States; 2015-2015 Air Permitting Specialist- Black&Veatch.Calculated operational emissions of the BDFP in support of the air quality requirements for the California Environmental Quality Assessment(CEQA). Emissions calculations were developed for Biosolids processing and digester gas- Fired combined heat and power(CHP)equipment including,odor control systems,process heating boilers,combined cycle combustion turbines,microturbines,and emergency diesel generators. BV COM BLACK&VEATCH I APPENDIX A-RESUMES 50 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE New York City Department of Environmental Protection - Oakwood Beach Wastewater Treatment Plant; Engine Installation Permitting Assessment; New York, United States; 2015-2015 Air Permitting Specialist-Black&Veatch.Evaluated the air permitting pathway available to transition a portable engine generator used during construction to a permanent emergency engine installation at the facility.The assessment included evaluating both the state (NYSDEC)and local (NYDEP) air permitting regulations and requirements. WaterOne; Wolcott Water Treatment Plant-Air Permit Application for Engine Installation; Kansas, United States; 2015- 2015 Air Permitting Specialist-Black&Veatch. Prepared a minor source permit application for the installation of three natural gas fired,non- emergency engines rated at 2 MW each to be located at the existing Wolcott WTP.The application required submittal to the local air permitting authority,the Department of Air Quality of the Unified Government of Wyandotte County,by following regulations and using forms from the state permitting authority,the Kansas Department of Health and Environment(KDHE). City of St. Petersburg, Florida; Biosolids Improvement Project; United States; 2013-2015 Air Permitting Specialist-Black&Veatch.The City of St. Petersburg is proposing to consolidate the City's biosolids operation for all treatment plants at the Southwest Water Reclamation Facility and to capture the digester gas and clean it to natural gas standards with the intention of using the gas beneficially.The multifaceted project includes the installation of gas-fired engine generators,the relocation of a backup diesel-fired engine generator,the installation of multiple flares,and the installation of multiple odor control systems. Black&Veatch is responsible for preparing the air permit application for submittal to the Florida Department of Environmental Protection (FDEP) which would allow the construction of this project. Black& Veatch calculated the Potential To Emit(PTE) of the project and compared to PSD major source thresholds in order to determine PSD applicability. Oak Ridge National Laboratory; Institutional Boiler Installation; Tennessee, United States; 2014-2014 Air Permitting Specialist-Black&Veatch.Assisted in the preperation of a minor source air construction permit application for the installation of duel fuel (natural gas&fuel oil)institutional heating boilers at Oak Ridge National Laboratory in Tennessee. BV.COM BLACK&VEATCH I APPENDIX A-RESUMES 51 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Grand River Dam Authority; Title V Permit Renewal Application; Oklahoma, United States; 2014-2014 Air Permitting Specialist-Black&Veatch.Assisted in the preperation of the Title V permit renewal application for GRDA's Grand River Energy Center,a coal-fired facility located in Oklahoma. City of Cedar Falls; Air Construction Permit Application; Cedar Falls, Iowa, United States; 2013-2014 Air Permitting Specialist-Black&Veatch. Prepared the minor source air construction permit application for The City of Cedar Falls, IA Water Reclamation Facility(WRF).The application requested the authorization for the installation of a new emergency backup diesel generator,a waste gas Flare,and new odor control systems to remove odor from the dewatering and loadout room,the gravity belt thickener, the filtrate wetwell,and the thickened sludge wetwell. Preparation of the construction permit application entailed calculating emissions from the newly constructed equipment and completion of the applicable IDNR application forms. Orlando Utilities Commission; Steam Turbine Project; Florida, United States; 2013-2013 Air Permitting Specialist-Black&Veatch.OUC is proposing to replace the HP/IP turbine on Unit 2 (a coal fired boiler).This replacement will increase Unit 2 efficiency by producing an additional 15 megawatts without changing the heat input or increasing fuel use or air pollutant emissions. Black&Veatch is responsible for preparing the air permit application for submittal to the Florida Department of Environmental Protection(FDEP)which would allow the construction of this modification. Black&Veatch is utilizing the NSR reform rule methodology,which compares baseline actual emissions to projected actual emissions to determine PSD applicability. Jacksonville Energy Authority (JEA) /St. Johns River Power Park (SJRPP); Toxic Release Inventory (TRI); Multiple Power Plants; United States; 2013-2013 Air Quality Specialist-Black&Veatch.Provided emissions and release information pertaining to the reporting requirements of the Emergency Planning and Community Right-to-Know Act Section 313 (Form R) for several JEA power plants.Completed applicable Section 313 forms. Empire District; Combined Cycle Combustion Turbine Conversion; United States; 2013-2013 Air Quality Specialist-Black&Veatch.Empire District is proposing to convert Unit 12,an existing natural gas fired simple cycle combustion turbine located at its Riverton facility,to combined cycle operation.The project also included the addition of a natural gas fired auxiliary boiler,emergency diesel generator,and a mechanical draft cooling tower.Black&Veatch supported Empire District by supplying W.WM BLACK&VEATCH I APPENDIX A-RESUMES 52 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE the Air Quality Impact Analysis and Additional Impact Analysis for PM10 and PM2.5 required by the Prevention of Significant Deterioration(PSD) regulations. Black&Veatch also supplied the Best Available Control Technology(BACT)analyses for particulate matter and greenhouse gases (GHG).Supporting these efforts,performed numerous analyses for the Additional Impact Analysis including a VISCREEN analysis to evaluate the effect the project would have on visibility in surrounding Class I and Class II areas. Orange County Sanitation District (OCSD); Air Permit Application Support; Wastewater Treatment Facilities; California, United States; 2012-2012 Air Quality Specialist-Black&Veatch.Calculated projected actual emissions and baseline actual emissions in support of air permitting efforts pertaining to the retrofitting of air quality control system (AQCS) equipment on eight digester gas-fired internal combustion engines.Performed Health Risk Analyses to demonstrate compliance with South Coast Air Quality Management District(SCAQMD) Rule 1401,New Source Review of Toxic Air Contaminants.All calculations were used to demonstrate the project's compliance with emission level thresholds outlined within various SCAQMD rules and regulations. Jacksonville Energy Authority (JEA) /St. Johns River Power Park (SJRPP); Toxic Release Inventory (TRI); Multiple Power Plants; Florida, United States; 2012-2012 Air Quality Specialist-Black&Veatch.Provided emissions and release information pertaining to the reporting requirements of the Emergency Planning and Community Right-to-Know Act Section 313 (Form R) for several JEA power plants.Completed applicable Section 313 forms. Confidential Client; Baseline Actual Emissions (BAE) Calculation; Coal-Fired Power Plant; United States; 2012-2012 Air Quality Specialist-Black&Veatch.Calculated BAE in support of New Source Review/Prevention of Significant Deterioration(NSR/ PSD)applicability determination as prescribed in the 2002 NSR reform rules modification applicability methodology.This methodology compares the difference between SAE and postproject actual emissions to the PSD significant emissions rates to determine if modifications are considered major or minor with respect to PSD- Mid-America Regional Council (MARC); Air Quality Public Education Committee; Missouri, United States; 2004-2012 Meteorologist/Air Quality Scientist-Black&Veatch.Analyzed and forecasted atmospheric conditions related to the formation of elevated levels of ground level ozone and concentrations of particulate matter(PM) 2.5,as well as developed improved air quality forecasting techniques.Attended and contributed to MARC Air Quality BV COM BLACK&VEATCH APPENDIX A-RESUMES 53 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Public Education committee meetings. Made several presentations on air quality forecasting results and techniques to MARC Air Quality Forum. BV.COM BLACK&VEATCH I APPENDIXA-RESUMES 54 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Barbara A. Butler, P.E. Ms. Butler has more than 26 years'experience in environmental PROJECT MANAGER engineering investigation,design,and assessment.Site management experience includes planning,field investigation,characterization, Expertise: assessment,remedial design and implementation,and risk assessment. CERCLA and RCRA; Environmental Due Diligence; PROJECT EXPERIENCE Environmental Remediation; Baker Botts; Expert Support; Global; 2015-2015 Environmental Support Project Manager-Black&Veatch.Oversees technical and during Construction; Former administrative aspects and manages day-to-day project activities Manufactured Gas Plants associated with conducting an expert review of three sites named by (MGP); Probability Cost EPA as potentially responsible parties associated with Diamond Alkali Modeling; Risk Assessment; Superfund Site in Passaic,NJ,to support the allocation process. Water Project Management Office Westar Entergy; Pittsburg MGP Site; Pittsburg, Kansas, United Education States; 2012-2015 Masters,Environmental Project Manager-Black&Veatch.Manages day-to-day activities Engineering,University of associated with conducting site and remedial investigations,including Kansas,1996,United States Bachelors,Environmental planning document preparation,fieldwork,and site characterization Engineering,Michigan and assessment Technological University,1989, United States Cargill; Flour Milling Site; Wichita, Kansas, United States; 2009- Professional Registration 2015 License,Barbara A.Buder,Civil, Project Manager-Black&Veatch.Oversees technical and 21827,Iowa,United States,2013 License,Professional Engineer, administrative aspects and manages day-to-day project activities Civil,Professional to Populate, associated with the implementation of investigation and remedial 12898,Kansas,United states, activities at chlorinated hydrocarbon contaminated property, 1993 including implementing an in situ chemical oxidation groundwater Total Years of Experience remedy that reduced the contaminant plume to within the site 28.6 property boundary.The corrective action,consisting of establishing Black&Veatch Years of environmental use controls and long-term groundwater monitoring, Experience was initiated in 2015. 26.6 Professional Associations Centel Corporation; MGP Sites; Nebraska, United States; 2009- AwRI-Member Language Capabilities 2015 Office Location Project Manager-Black&Veatch.Oversees technical and Kansas city,Missouri,USA:United administrative aspects and manages day-to-day project activities States associated with the implementation of investigation and remedial activities at 3 MGP sites in Nebraska under consent orders with the U.S. Environmental Protection Agency.Keeps client informed of project activities by maintaining a monthly status report and meeting with client on a routine basis. Prepares and maintains project budgets and schedules.Serves as mentor for engineering managers.Annually updates the probabilistic cost model for the three sites to assist client in managing financial liability associated with these legacy sites. At the Columbus site,comprehensive site investigations,risk assessment,and feasibility study resulted in completing a removal BV COM BLACK&VEATCH i APPENDIXA-RESUMES 55 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE action to address highly contaminated MGP residuals and impacted soil. Before the removal action could proceed,asbestos abatement and demolition of several site buildings were required.Groundwater monitoring is ongoing to assess contaminant migration,which is complicated by an upgradient chlorinated solvent site.A vapor intrusion assessment,involving both soil gas and indoor air monitoring,was completed to determine if groundwater contamination poses a risk to neighboring residents. Following completion of site investigation and assessment,a removal action was completed at the Norfolk site. Building demolition and soil removal were complicated by the presence of a building and underground communications line adjacent to the excavation area. Sheet piling was installed in sections to prevent undermining the building and utility line. Improvements to the structural integrity of the building wall along the excavation were required to protect the wall from damage during sheet piling and excavation.Sheet piling allowed for successful excavation of the site without damage to either building or communications line.A vapor intrusion assessment and groundwater monitoring are ongoing. At the Beatrice site,investigations,human health and ecological risk assessments,and feasibility studies have been completed. Removal actions have been proposed to address residual soil contamination and to prevent site contamination from impacting a river adjacent to the site. In December 201S,the site was transitioned from the EPA CERLCL Program to the Nebraska Voluntary Cleanup Program. Investigation and design in support of implementing a remedial action will be completed in 2016. Alliant Energy; MGP Program; Cedar Rapids, Iowa, United States; 2003-2015 Project Manager-Black&Veatch.Oversees technical and administrative aspects and manages day-to-day project activities associated with the implementation of investigation and remedial activities at over 20 MGP sites in Iowa. Keeps client informed of project activities by maintaining a weekly status report and meeting with client on a routine basis.Prepares and maintains project budgets and schedules.Serves as mentor for site managers. Westar Entergy; Arkansas City MGP Site; Arkansas City, Kansas, United States; 2002-2015 Project Manager-Black&Veatch.Manages day-to-day activities associated with conducting site investigations and remedial actions, including planning document preparation,fieldwork,and site characterization and assessment.The corrective action,consisting of establishing environmental use controls and long-term groundwater monitoring,was initiated in 2015. WCOM BLACK&VEATCH I APPENDIX A-RESUMES 56 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Energy Gulf States, Inc.; Lake Charles MGP Site; Lake Charles, Louisiana, United States; 1995-2015 Project Manager-Black&Veatch.Directed preparation of planning documents,directed remedial investigation and removal action fieldwork,conducted an engineering evaluation/cost analysis to address a highly contaminated tar area on site and river sediment, conducted baseline human health and ecological risk assessments, prepared feasibility study report,and removal action work plan. Investigative Fieldwork completed at the site includes installing monitoring wells,drilling borings and advancing probes,test pit trenching,collecting soil and ground water samples,collecting sediment and surface water samples from river and wetlands impacted by site,vibracore sediment sampling,and conducting geophysical and bathymetric surveys.Participated in community relations events including public meetings.Prepared reports detailing site investigations including the remedial investigation.Oversaw the preparation of a feasibility study report addressing ground water contamination on site and removal action design documents in support of the EE/CA. Directed removal actions at the site including sediment dredging and dewatering,excavation and restoration of a contaminated storm sewer,and excavation and capping of an area of tar and heavily contaminated soil.Prepared reports detailing removal action activities and a revised baseline risk assessment incorporating the results of the removal actions.Prepared a remedial action plan to address the long-term groundwater remedy of monitoring. Implementation of the groundwater remedy began in 2006.Beginning in 2014,investigation and design in support of an alternative groundwater remedy began. Because the site was proposed for NPL, all work has been done in compliance with CERCLA. Western Resources, Inc.; Newton MGP Site; Newton, Kansas, United States; 1995-2010 Project Manager-Black&Veatch.Managed day-to-day activities associated with conducting site and remedial investigations,including planning document preparation,fieldwork,and site characterization and assessment Assessment activities included using fingerprinting techniques to evaluate impact of offsite diesel spills on this former MGP site. Prepared a feasibility study proposing continued groundwater monitoring and deed restrictions as a remedy.The state concurred on this remedy and released a corrective action decision for this remedy for public comment Implementation of the remedy was completed in 2003. Henkel Corporation; Former Loctite Facility; Kansas City, Kansas, United States; 2002-2008 Senior Project Engineer-Black&Veatch. Directed preparation of planning documents and field investigation activities,including soil and groundwater probing,monitoring well installation,and soil and groundwater sampling,and preparation of an investigation report in BV COM BLACK&VEATCH I APPENDIX A-RESUMES 57 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE compliance with the Kansas Voluntary Cleanup Program. BV COM BLACK&VEATCH I APPENDIX A-RESUMES 58 CITY OF VERNON I ASSET ACQUISITION ADVISORY SERVICE Appendix B - Affidavit of Non-Collusion By Contractor BV.COM BLACK&VEATCH I APPENDIX B-AFFIDAVIT OF NON-COLLUSION BY CONTRACTOR 59 AFFIDAVIT OF NON-COLLUSION BY CONTRACTOR Kansas STATIE OF ) Johnson )ss COUNTY OF LOS ANGEL ) L. Shane Clark ,being first duly sworn deposes and says that he/she is Chief Financial Officer (lasert'Sole Owner,,'Partner'.'president,'Scwctery-,or other proper title) of Black&Veatch Management Consulting, LLC (I nsert name of bidder) who submits herewith to the City of Vernon a bid/proposal; That all statements of fact in such bid/proposal are true; That such bid/proposal was not made in the interest of or on behalf of any undisclosed person, partnership,company,association,organization or corporation; That such bid/proposal is genuine and not collusive or sham; That said bidder has not,directly or indirectly by agreement,communication or conference with anyone attempted to induce action prejudicial to the interest of the City of Vernon, or of any other bidder or anyone else interested in the proposed contract;and further That prior to the public opening and reading of bids/proposals,said bidder: a. Did not directly or indirectly, induce or solicit anyone else to submit a false or sham bid/proposal; b. Did not directly or indirectly, collude, conspire, connive or agree with anyone else that said bidder or anyone else would submit a false or sham bid/proposal,or that anyone should refrain from bidding or withdraw his/her bid/proposal; C. Did not, in any manner,directly or indirectly seek by agreement,communication or conference with anyone to raise or fix the bid/proposal price of said bidder or of anyone else,or to raise or fix any overhead,profit or cost element of his/her bid/proposal price,or of that of anyone else; d. Did not, directly or indirectly, submit his/her bid/proposal price or any breakdown thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof,or to any individual or group of individuals,except the City of Vernon,or to any person or persons who have a partnership or other financial interest with said bidder in his/her business. I certify under penalty of pequry that the above information is correct By: Title: Chief Financial Officer Date: 9-11-17 March 2013 Black& Veatch Management Consulting,LLC Exhibit"B" Use of Work Products Agreement You (the "Recipient") will receive from the City of Vernon ("Client") one or more copies of Black & Veatch Management Consulting, LLC's ("Consultant") report (the "Report") regarding (the "Contemplated Transaction"). The Recipient requires the use of the Report prepared under the Management Consulting Services Agreement ("MCSA") with Client by Consultant and Consultant is prepared to permit Client to distribute copies of the Report to Recipient on the condition of the terms set forth in this Use of Work Products Agreement. Recipient's use of the Report is expressly subject to the conditions below. For the avoidance of doubt, Consultant provides no warranty, guarantee, or promise, express or implied,to the Recipient for the contents of the Report. In consideration of the Report being provided to the Recipient,the Recipient agrees as follows: 1. Consultant prepared the Report in consultation with, and on the basis of, the MCSA and instructions received from and understandings with Client only. Consultant has not been provided with any instructions from any other party in relation to the scope of the Report. Accordingly, the issues covered by the Report and the emphasis placed on them may not necessarily address all or any specific concerns or interests that Recipient or others may have. The Report does not necessarily take account of those matters which may be important to the decisions of Recipient or others. In making credit and other decisions regarding the Contemplated Transaction, lenders and investors should satisfy themselves as to the sufficiency of the overall level of due diligence in relation to the Contemplated Transaction. Consultant does not warrant or represent that the Report is sufficient or appropriate for Recipient's purposes and all conditions, warranties, representations, terms and undertakings, express or implied, statutory or otherwise in respect of the Report for those purposes are disclaimed. 2. The Recipient agrees not to make any changes to the Report without the prior written approval of Consultant. 3. The Recipient will not, under any condition, further distribute this Report or any excerpts therefrom to any third party. For purposes of this Section only, third party shall not include lawyers, accounts and agents representing Recipient regarding the Contemplated Transaction. 4. The total aggregate liability of Consultant for any and all claims arising out of the MCSA, this Use of Work Products Agreement, and all other use agreements related to the Contemplated Transaction and any party's use of or reliance upon the Report shall not exceed in a cumulative and aggregate basis, the amount of compensation received by Consultant from the Client for the creation of the Report or Services performed under the applicable Request for Services to the MCSA. 5. In no event shall Consultant(or any of Consultant's related companies) be liable to Recipient, for any loss of profits or revenue; loss of use; loss of opportunity; loss of goodwill; cost of substitute facilities, goods or services; cost of capital; governmental and regulatory sanctions; and claims of customers for such damages; or for any special, consequential, incidental, indirect, punitive, or exemplary damages in any way arising from or related to the Contemplated Transaction, Report, or this Use of Work Products Agreement. Template Version date: 01/30/17 6. Releases, waivers and limitations expressed in this Use of Work Products Agreement concerning liability and remedies shall apply even in the event of the fault, tort (including negligence), strict liability, breach of contract or warranty, or other basis of liability of the Party released or whose liability is limited or against whom remedies have been limited, and shall extend to the officers, directors, partners, employees, licensors, agents, subcontractors, vendors and related entities of such Party 7. This Report shall not be construed as an invitation or inducement to any person to engage in the Contemplated Transaction,or any other transaction,with Client. S. The interpretation of this Agreement, and the parties' rights and obligations established by this Agreement, shall be governed and construed in accordance with the laws of the State of New York, without giving effect to the conflicts of laws principles thereof other than Sections 5-1401 and 5-1402 of the General Obligations Law of the State of New York. The exclusive venue for any claim, cause of action, legal proceeding, or lawsuit relating to this Use of Work Products Agreement or the Report shall be the federal courts, or the state courts if a federal court jurisdiction is not present, located in New York City, Borough of Manhattan, State of New York. Recipient irrevocably waives each argument, objection, defense, assertion, or claim that venue is improper for any reason in the state and federal courts in New York City, Borough of Manhattan, State of New York for any claim, cause of action, legal proceeding, or lawsuit brought in such courts or that such claims have been brought in an inconvenient forum. ACKNOWLEDGED & AGREED [Recipient] Printed Name: Tlrh�: Signature: Date: Template Version date:01/30/17 EXHIBIT C Form of Special Notige for Front Page of Reloort with Use A reenitnt SPECIAL NOTICE Acceptance of this report, or use of any information contained in this report, by any party receiving this report (each a "Recipient") shall constitute an acknowledgement and acceptance by such Recipient of, and agreement by such Recipient to be bound by,the following: (1) This report was prepared for the City of Vernon ("Client") by Black& Veatch Management Consulting, LLC ("Consultant") and is based on information not within the control of Consultant. In preparing this report, Consultant has assumed that the information, both verbal and written, provided by others is complete and correct. Consultant does not guarantee the accuracy of the information, data or opinions contained in this report and does not represent or warrant that the information contained in this report is sufficient or appropriate for any purpose. (2)This report should not be construed as an invitation or inducement to any Recipient or other party to engage or otherwise participate in the proposed or any other transaction,to provide any financing,or to make any investment. Recipient acknowledges and agrees that it is not reasonably feasible for Consultant to conduct a comprehensive investigation and make definitive determinations for the compensation provided and without thorough verification of the information upon which the Services were performed, and therefore Consultant can offer no guarantee or assurances that any facts,observations,analysis,projections,opinions,or other matters contained in the report will be more accurate,either at the time the report is issued or at any other time. (3)Recipient is not entitled to make any copies of any portion of this report,use extracts therefrom or transmit any part thereof to any other party in any form,including without limitation electronic or printed media of any kind. (4) TO THE FULLEST EXTENT PERMITTED BY LAW, CONSULTANT'S TOTAL LIABILITY, ON A CUMULATIVE AND AGGREGATE BASIS, TO CLIENT AND ALL RECIPIENTS AND OTHER PARTIES, RESULTING FROM CONSULTANT'S ACTIONS IN RELATION TO THE CREATION AND DISSEMINATION OF THIS REPORT, WILL BE LIMITED TO THE AMOUNT OF COMPENSATION (EXCLUSIVE OF THE REIMBURSEMENT OF COSTS AND EXPENSES) ACTUALLY RECEIVED BY CONSULTANT FROM CLIENT FOR THE CREATION OF THIS REPORT UNDER THE MCSA. Recipient hereby waives any right to seek or collect damages in excess thereof and releases Consultant from any and all damages or losses which, if required to be paid to Recipient, would result in Consultant paying total damages to any and all parties, including Client and all Recipients,in an amount that would exceed the limit set forth in the previous sentence. The above terms and conditions are governed by and shall be governed by and construed in accordance with the laws of the State of California,without giving effect to the conflicts of laws principles thereof. IF ANY RECIPIENT IS NOT WILLING TO ACKNOWLEDGE AND ACCEPT,OR AGREE TO,THE TERMS SET FORTH ABOVE, IT MUST RETURN THIS REPORT TO CONSULTANT IMMEDIATELY WITHOUT MAKING ANY COPIES THEREOF, EXTRACTS THEREFROM OR USE (INCLUDING DISCLOSURE) THEREOF. A RECIPIENT'S FAILURE SO TO RETURN THIS REPORT SHALL CONSTITUTE ITS ACI-NOV4'LEDGENIFNT .4N'D.-kC:CF-PTANCE OF AND AGREEMENT TO THE TERMS SET FORTH ABOVE Template Version date:01/30/17 EXHIBIT D LIVING WAGE PROVISIONS Minimum Living Wanes: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or $11.55 per hour without health benefits. Paid and Unsaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. Template Version date:01/30/17 EXHIBIT E EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A. Contractor certifies and represents that, during the performance of this Agreement, the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated facilities. B. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer' or that all qualified applicants will receive consideration for employment without regard to their race, religious creed, color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement, discriminated against applicants or employees because of their membership in a protected class. D. Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. Template Version date:01/30/17