Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
Home
My WebLink
About
Agenda Backup 02-06-2019
CITY OF SAN BERNARDINO AGENDA FOR THE JOINT REGULAR MEETING OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO ACTING AS THE SUCCESSOR AGENCY TO THE REDEVELOPMENT AGENCY, MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO ACTING AS THE SUCCESSOR HOUSING AGENCY TO THE REDEVELOPMENT AGENCY, MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO ACTING AS THE HOUSING AUTHORITY, AND THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO ACTING AS THE SAN BERNARDINO JOINT POWERS FINANCING AUTHORITY WEDNESDAY, FEBRUARY 6, 2019 4:00 PM – CLOSED SESSION 5:00 PM – OPEN SESSION COUNCIL CHAMBER • 201 NORTH E STREET • SAN BERNARDINO, CA 92401 • WWW.SBCITY.ORG Theodore Sanchez John Valdivia James Mulvihill COUNCIL MEMBER, W ARD 1 MAYOR COUNCIL MEMBER, WARD 7 Sandra Ibarra Andrea M. Miller COUNCIL MEMBER, W ARD 2 CITY MANAGER Vacant Gary D. Saenz COUNCIL MEMBER, W ARD 3 CITY ATTORNEY Fred Shorett Georgeann “Gigi” Hanna COUNCIL MEMBER, W ARD 4 CITY CLERK Henry Nickel David Kennedy COUNCIL MEMBER, W ARD 5 CITY TREASURER Bessine L. Richard COUNCIL MEMBER, W ARD 6 Welcome to a meeting of the Mayor and City Council of the City of San Bernardino. o Anyone who wishes to speak during public comment or on a particular item will be required to fill out a speaker slip. Speaker slips must be turned in to the City Clerk. You may email your request to speak to publiccomments@sbcity.org prior to 4 p.m. Each request will cover one speaker. Those who wish to speak must submit their own request to be called on by the Mayor. o There is a 3-minute-per-person time limit for all comments, excluding public or quasi-judicial hearings. o Written comment on any item may also be submitted to the City Clerk to be included in the meeting record. It will not be read aloud by the City Clerk. o Those who wish to speak on public or quasi-judicial hearing items will have three minutes for each item. o All who wish to speak, including Council members and staff, need to be recognized by the Mayor or Mayor Pro Tempore before speaking. o Please contact the City Clerk’s Office (384-5002) two working days prior to the meeting for any requests for reasonable accommodation to include interpreters. o All documents for public review are on file with the City Clerk’s Office or may be accessed online by going to www.sbcity.org. o Please turn off or mute your cell phone while the meeting is in session. Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 2 Printed 2/1/2019 o Call to Order Attendee Name Present Absent Late Arrived Council Member, Ward 1 Theodore Sanchez Council Member, Ward 2 Sandra Ibarra Council Member, Ward 3 Vacant Council Member, Ward 4 Fred Shorett Council Member, Ward 5 Henry Nickel Council Member, Ward 6 Bessine L. Richard Council Member, Ward 7 James Mulvihill Mayor John Valdivia City Clerk Georgeann "Gigi" Hanna City Attorney Gary D. Saenz City Manager Andrea M. Miller CLOSED SESSION PUBLIC COMMENTS ON CLOSED SESSION ITEMS A three-minute limitation shall apply to each member of the public who wishes to address the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency. No member of the public shall be permitted to “share” his/her three minutes with any other member of the public. A. CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION (Pursuant to Government Code Section 54956.9(a) and (d)(1)): i. Darren Sims v. City of San Bernardino, WCAB Claim No. 17-131653 ii. John Cardillo v. City of San Bernardino, WCAB Claim No. CSBY-102388 iii. Angel Gamez v. City of San Bernardino, WCAB Claim No. CSBY-9834 iv. Thomas Bielaszka v. City of San Bernardino , WCAB Case Nos. ADJ1186712, ADJ10642283, ADJ3028913, ADJ10046983, ADJ4051111, and ADJ5809124 v. Daniel Acosta v. City of San Bernardino, W CAB Claim No. 18-134632 vi. Adam Affrunti v. City of San Bernardino, WCAB Claim No. CSBY-10238 vii. Brian Cartony v. City of San Bernardino , WCAB Claim Nos. CSBY-3425, CSBY-3426, CSBY-5105, CSBY-6705, and CBSY-7152 viii. Jesse Shank v. City of San Bernardino, WCAB Claim No. CSBY-10472 ix. Tara Ellwanger-Carper v. City of San Bernardino, WCAB Claim No. CSBY-10049 x. Steven Dokken v. City of San Bernardino , WCAB Case Nos. ADJ10756605 and ADJ10756622 xi. People (by and through the City Attorney for the City of San Bernardino) v. Kush Inc., et al. (San Berdoo Holding Company), San Bernardino Superior Court, Case No. CIVDS1512329 B. CONFERENCE WITH LEGAL COUNSEL – ANTICIPATED LITIGATION Initiation of litigation - Government Code Section 54956.9(d)(4): Two cases. Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 3 Printed 2/1/2019 C. CONFERENCE WITH LEGAL COUNSEL – ANTICIPATED LITIGATION Significant exposure to litigation - Government Code Section 54956.9(d)(2). D. PUBLIC EMPLOYEE PERFORMANCE EVALUATION (Pursuant to Government Code Section 54957(b(1)): City Manager INVOCATION AND PLEDGE OF ALLEGIANCE CLOSED SESSION REPORT APPOINTMENTS 1. Parks, Recreation and Community Services Commission Appointment Recommendation: Approve the appointment of Roxana M. Barrera to the Parks, Recreation and Community Services Commission. 2. Measure “Z” Citizens Oversight Committee Appointment Recommendation: Approve the appointment of Gloria G. Amaya to the Measure “Z” Citizens Oversight Committee. 3. Arts and Historical Preservation Commission Reappointment Recommendation: Approve the reappointment of Mrs. Dorothy J. Garcia to the Arts and Historical Preservation Commission. 4. Arts and Historical Preservation Commission Appointment Recommendation: Approve the appointment of Mr. Mario Montecino to the Arts and Historical Preservation Commission. 5. Interagency Council on Homelessness Recommendation: Approve the appointment of Mayor Pro Tem Bessine Richard to the Interagency Council on Homelessness, as a voting member, and Councilwoman Sandra Ibarra as her alternate. PRESENTATION 6. Chamber of Commerce & Local Elected Officials Announcements Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 4 Printed 2/1/2019 PUBLIC COMMENTS FOR ITEMS LISTED AND NOT LISTED ON THE AGENDA A three-minute limitation shall apply to each member of the public who wishes to address the Mayor and City Council on any item on the agenda. There is no limit to the number of items that may be discussed within the three-minute time limit. To be called on by the Mayor, please turn in individual speaker slips to the City Clerk by 5:00 p.m. the day of the meeting. If you wish, you may email your speaking request to publiccomments@sbcity.org prior to the beginning of the meeting. Emailed requests to speak will not be accepted from anyone but the person requesting to speak. CONSENT CALENDAR There will be no separate discussion of Consent Calendar items unless a Council member requests that the item be considered in its normal sequence on the agenda. Public comment on Consent Calendar items is limited to three minutes total per person. There is no limit on the items that can be discussed within that time. 7. Waive Full Reading of Resolutions and Ordinances Recommendation: Waive full reading of Resolutions and Ordinances on the agenda dated February 6, 2019. 8. City Council Approval of Commercial and Payroll Checks Recommendation: Approve the commercial and payroll checks for January 2019. 9. City Council Approval of Draft Minutes Recommendation: Approve the minutes of the Mayor and City Council Regular Meetings of December 5, 2018 and January 16, 2019. 10. Water Board Terms of Office Recommendation: Adopt Resolution No. 2019-16 of the Mayor and City Council of the City of San Bernardino, California, confirming the terms of office of the members of the Water Board to terms of office as required by Charter. 11. Purchase and Sale Agreement for 478 and 480 N. "D" Street (APNs 0134- 141-28 and 0134-141-29) Recommendation: Authorize the City Manager to execute a Purchase and Sale Agreement and Joint Escrow Instructions between the Successor Agency and Inland Maple Partners, LLC with respect to the real property located at 478 and 481 N. "D" Street, San Bernardino, California (APNs 0134-141-28 and 0134-141-29), and approving certain related actions. Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 5 Printed 2/1/2019 12. Resolution of the Mayor and City Council of the City of San Bernardino declaring its Intent to Order the Vacation of a Portion of Little Mountain Court and the Reservation of Utility Easements Therein Recommendation: Adopt Resolution No. 2019-17 of the Mayor and City Council of the City of San Bernardino, California, declaring its intent to conduct a Public Hearing to order the vacation of portions of Little Mountain Court located on the northeast corner of Little Mountain Court and 27th Street and the reservations of utilities therein. 13. Resolution of the Mayor and City Council of the City of San Bernardino declaring its Intent to Order the Vacation of a Portion of "I" Street, Broadway Street, and Main Street, South of 3rd Street and the Reservation of Utility Easements Therein Recommendation: Adopt Resolution No. 2019-18 of the Mayor and City Council of the City of San Bernardino, California, declaring its intent to conduct a Public Hearing to order the vacation of portions of "I" Street, Broadway Street, and Main Street, south of 3rd Street and the reservations of utilities therein. 14. Final Reading and Adoption - Ordinance MC-1513 - Development Code Amendment (Zoning Map Amendment) 18-03 - Fast 5 Xpress Car Wash Recommendation: Accept for final reading and adopt Ordinance No. MC-1513 of the Mayor and City Council of the City of San Bernardino, California, approving Development Code Amendment (Zoning Map Amendment) 18-03 to change the Zoning District Classification from Residential Medium High (RMH) to Commercial General (CG-1) of one (1) parcel (APN:0280-131-28) containing a total of approximately 0.39 acres, pursuant to a Mitigated Negative Declaration. 15. Final Reading, and Adoption - Ordinance No. MC-1511 amending Section 2.58.010 of Chapter 2.58 Title 2 of the San Bernardino Municipal Code relating to Meetings Recommendation: Accept for final reading and adopt Ordinance No. MC-1511 of the Mayor and City Council of the City of San Bernardino, California, amending Section 2.58.010 of Chapter 2.58 of Title 2 of the San Bernardino Municipal Code relating to meetings. Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 6 Printed 2/1/2019 16. Amendment No. 2 to the Agreement for Services w ith Tetra Tech for design of the 2nd Street Bridge replacement at Warm Creek Recommendation: Adopt Resolution No. 2019-19 of the Mayor and City Council of the City of San Bernardino, California, approving Amendment No. 2 to the Agreement for Services with Tetra Tech for design of the 2nd Street Bridge replacement at Warm Creek (SS13-001). 17. Transition of Deferred Compensation 457(B) Record Keeper from Nationwide Retirement Services to MassMutual and Amend Professional Services Agreement with SFG Retirement Plan Consulting, LLC as the 457(B) Plan Consultant and Investment Advisor Recommendation: 1. Approve the termination of the current 457(b) deferred compensation plan with Nationwide Retirement Services effective within 90 days of City Council approval and initiation of a new 457(b) deferred compensation plan agreement with MassMutual also effective within 90 days of City Council approval; and 2. Approve an amendment to the existing one-year agreement with SFG Retirement Plan Consulting, LLC as the plan consultant, investment advisor and Fiduciary to the City's 457(b) deferred compensation plan modifying the term of the agreement to a three-year period; and 3. Approve the proposed Investment Policy Statement; and 4. Authorize the City Manager, or designee, to execute the necessary agreements to effectuate the above noted actions. 18. Authorize the First Amendment to the Vendor Services Agreement with West Coast Lights & Sirens, Inc. Recommendation: Adopt Resolution No. 2019-20 of the Mayor and City Council of the City of San Bernardino, California, authorizing the City Manager to execute the First Amendment to Vendor Services Agreement with West Coast Lights & Sirens, increasing the total to $528,280 for FY 2018/19 with one single-year renewal option through June 30, 2020; and authorizing the Director of Finance to increase the Purchase Order issued to West Coast Lights & Sirens, Inc. in an amount not to exceed $528,280 Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 7 Printed 2/1/2019 pursuant to San Bernardino Municipal Code 3.04.010(b)(3), purchases approved by the Mayor and City Council. 19. Issuance of a Purchase Order to DuraTech USA for the Purchase of Mobile Data Computers (MDC) Equipment Recommendation: Adopt Resolution No. 2019-21 of the Mayor and City Council of the City of San Bernardino, California, authorizing the Director of Finance to issue a purchase order to DuraTech USA in an amount not to exceed $125,000 to purchase mobile data computer (MDC) equipment. 20. City of San Bernardino Boards, Commissions, and Citizen Advisory Committees - Updating the Regular Meeting Dates, Times, and Locations Recommendation: Adopt Resolution No. 2019-22 of the Mayor and City Council of the City of San Bernardino, California, amending the regular meeting dates, times, and locations for City Boards, Commissions, and Citizen Advisory Committees and repealing Resolution No. 2018-276. 21. City Manager Purchasing Authority Recommendation: Receive and file this report concerning the City Manager’s purchasing authority. 22. Commercial Cannabis Business Permit Application Process Recommendation: Receive and file report. STAFF REPORTS 23. ATP Grant Revised Funding Level – Oral Report Recommendation: Receive an oral report for the ATP Grant Revised Funding Level. 24. Legislative Branch Staffing - Offices of the Mayor and City Council Recommendation: Review, discuss, consider, and provide direction regarding staffing to meet the operational needs identified by the Mayor and City Council to support the City's legislative function. Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 8 Printed 2/1/2019 25. City of San Bernardino's Animal Sheltering, Field and Licensing Services Recommendation: Review and discuss the City's Animal Control Program and service delivery alternatives and provide direction regarding animal sheltering, field and licensing services. 26. Community Oriented Policing and Problem Solving (COPPS) Strategies Recommendation: Review and discuss Community Oriented Policing and Problem Solving (COPPS) programs and philosophies. 27. City Facility Building - Condition Assessment Report Recommendation: Review, discuss, and direct staff to prepare alternatives, including a fiscal analysis, for presentation during budget discussions. 28. Transportation, Communication & Public Works Policy Committee Update – January 17-18, 2019 Recommendation: Receive an oral report by Mayor Valdivia. ADJOURNMENT The next joint regular meeting of the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency will be held on Wednesday, February 20, 2019 in the Council Chamber located at 201 North “E” Street, San Bernardino, California 92401. Closed Session will begin at 4:00 p.m. and Open Session will begin at 5:00 p.m. CERTIFICATION OF POSTING AGENDA I, Georgeann “Gigi” Hanna, MMC, City Clerk for the City of San Bernardino, California, hereby certify that the agenda for the February 6, 2 019 regular meeting of the Mayor and City Council and the Mayor and City Council acting as the Successor Agency to the Redevelopment Agency was posted on the City’s bulletin board located at 201 North “E” Street, San Bernardino, California, at the San Bernardino Public Library, and on the City’s website www.ci.san-bernardino.ca.us on Friday, February 1, 2019. I declare under the penalty of perjury that the foregoing is true and correct. Georgeann “Gigi” Hanna, MMC, City Clerk Joint Regular Meeting Agenda February 6, 2019 Mayor and City Council of the City of San Bernardino Page 9 Printed 2/1/2019 NOTICE: Any member of the public may address this meeting of the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency on any item appearing on the agenda by approaching the microphone in the Council Chamber when the item about which the member desires to speak is called and by asking to be recognized. Any member of the public desiring to speak to the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency concerning any matter not on the agenda but which is within the subject matter jurisdiction of the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency may address the body at the end of the meeting, during the period reserved for public comments. Said total period for public comments shall not exceed 60 minutes, unless such time limit is extended by the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency. A three minute limitation shall apply to each member of the public, unless such time limit is extended by the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency. No member of the pub lic shall be permitted to “share” his/her three minutes with any other member of the public. Speakers who wish to present documents to the governing body may hand the documents to the City Clerk at the time the request to speak is made. The Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency may refer any item raised by the public to staff, or to any commission, board, bureau, or committee for appropriate action or have the item placed on the next agenda of the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency. However, no other action shall be taken nor discussion held by the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency on any item which does not appear on the agenda unless the action is otherwise authorized in accordance with the provisions of subdivision (b) of Section 54954.2 of the Government Code. Public comments will not be received on any item on the agenda when a public hearing has been conducted and closed. Appointment City of San Bernardino Request for Council Action Date: February 6, 2019 To: Honorable Mayor and City Council Members From: Theodore Sanchez, Council Member First Ward By: Valerie R. Montoya, Administrative Assistant to City Council Subject: Parks, Recreation and Community Services Commission Appointment Recommendation Approve the appointment of Roxana M. Barrera to the Parks, Recreation and Community Services Commission. Background The Parks, Recreation and Community Services Commission was established by Resolution No. 2018-47 on February 21, 2018 and is charged with advising the Mayor, City Council and City Staff on matters pertaining to pertaining to parks, recreation, youth and senior affairs in the City. Appointees to the commission must have relative experience or knowledge in the area of parks, recreation services, youth and senior services or other areas which relate to the mission and purpose of the Commission. The commission is comprised of nine (9) members who serve at pleasure of the Mayor and City Council. Pursuant to Chapter 2.17 of the Municipal Code, each City Council member shall nominate one member who shall serve during and for the term of the nominating Council member, and the Mayor shall nominate two members who shall serve during and for the term of the Mayor. Mayor, City Council and City Manager Goals and Objectives The proposed commission appointment aligns with Goal Number 5 Improving City Government Operations by appointing commissioners to the citizen advisory boards with clearly defined roles. Conclusion Approve the appointment of Ms. Roxana M. Barrera to the Parks and Recreation Commission. Fiscal Impact None 1.a Packet Pg. 10 Attachment: MCC.Parks, Recreation & Community Services Commission appointment - Roxana M. Barrera (5927 : Parks, Recreation and Attachments Attachment 1 – Commission Application – Roxana M. Barrera 1.a Packet Pg. 11 Attachment: MCC.Parks, Recreation & Community Services Commission appointment - Roxana M. Barrera (5927 : Parks, Recreation and 1.b Packet Pg. 12 Attachment: MCC.Commission application - Roxana M. Barrera_Redacted (5927 : Parks, Recreation and Community Services Commission 1.b Packet Pg. 13 Attachment: MCC.Commission application - Roxana M. Barrera_Redacted (5927 : Parks, Recreation and Community Services Commission 1.b Packet Pg. 14 Attachment: MCC.Commission application - Roxana M. Barrera_Redacted (5927 : Parks, Recreation and Community Services Commission Appointment City of San Bernardino Request for Council Action Date: February 6, 2019 To: Honorable Mayor and City Council Members From: Sandra Ibarra, Council Member Second Ward By: Valerie R. Montoya, Administrative Assistant to City Council Subject: Measure “Z” Citizens Oversight Committee Appointment Recommendation Approve the appointment of Gloria G. Amaya to the Measure “Z” Citizens Oversight Committee. Background The Measure “Z” Citizens Oversight Committee was established by Ordinance No. MC- 1229 effective November 8, 2006 and is charged with reviewing and reporting annually on the use of the proceeds from the quarter cent general sales tax established by Measure “Z” beginning on April 1, 2007 for a 15-year period. The revenue generated from the Measure “Z” sales tax are to be used to fund police officers along with anti- gang and anti-crime operations, including drug resistance education and supervised after-school youth activities. The commission is comprised of nine (9) members who serve at pleasure of the Mayor and City Council. Pursuant to Chapter 2.17 of the Municipal Code, each City Council member shall nominate one member who shall serve during and for the term of the nominating Council member, and the Mayor shall nominate two members who shall serve during and for the term of the Mayor. Mayor, City Council and City Manager Goals and Objectives The proposed commission appointment aligns with Goal Number 5 Improving City Government Operations by appointing commissioners to the citizen advisory boards with clearly defined roles. Conclusion Approve the appointment of Ms. Gloria G. Amaya to the Measure “Z” Citizens Oversight Committee. Fiscal Impact None 2.a Packet Pg. 15 Attachment: MCC.Measure Z Citizens Oversight Committee appointment - Gloria G. Amaya (5928 : Measure “Z” Citizens Oversight Committee Attachments Attachment 1 – Commission Application – Gloria G. Amaya 2.a Packet Pg. 16 Attachment: MCC.Measure Z Citizens Oversight Committee appointment - Gloria G. Amaya (5928 : Measure “Z” Citizens Oversight Committee 2.b Packet Pg. 17 Attachment: MCC.Commission application - Gloria G. Amaya_Redacted (5928 : Measure “Z” Citizens Oversight Committee Appointment) 2.b Packet Pg. 18 Attachment: MCC.Commission application - Gloria G. Amaya_Redacted (5928 : Measure “Z” Citizens Oversight Committee Appointment) 2.b Packet Pg. 19 Attachment: MCC.Commission application - Gloria G. Amaya_Redacted (5928 : Measure “Z” Citizens Oversight Committee Appointment) Appointment City of San Bernardino Request for Council Action Date: February 6, 2019 To: Honorable Mayor and City Council Members From: Fred Shorett, Council Member Fourth Ward By: Valerie R. Montoya, Administrative Assistant to City Council Subject: Arts and Historical Preservation Commission Reappointment Recommendation Approve the reappointment of Mrs. Dorothy J. Garcia to the Arts and Historical Preservation Commission. Background The Arts and Historical Preservation Commission was established by Resolution No. 2018-97 on April 4, 2018 and is charged with advising the Mayor, City Council and City Staff on matters pertaining to the arts, culture, and historic preservation and heritage in the City. The commission is also charged with serving in an advisory capacity to the Planning Commission in making recommendations relating to the designation, preservation and protection of historical properties. Appointees to the commission must have relevant experience or knowledge of visual, performing, literary, and multi-media arts, cultural and architectural heritage or other areas which relate to the mission and purpose of the commission. The commission is comprised of nine (9) members who serve at pleasure of the Mayor and City Council. Pursuant to Chapter 2.17 of the Municipal Code, each City Council member shall nominate one member who shall serve during and for the term of the nominating Council member, and the Mayor shall nominate two members who shall serve during and for the term of the Mayor. Mayor, City Council and City Manager Goals and Objectives The proposed commission appointment aligns with Goal Number 5 Improving City Government Operations by appointing commissioners to the citizen advisory boards with clearly defined roles. Conclusion Approve the reappointment of Mrs. Dorothy J. Garcia to the Arts and Historical Preservation Commission. 3.a Packet Pg. 20 Attachment: MCC.Arts & Historical Preservation Commission reappointment - Ms. Dorothy J. Garcia (5929 : Arts and Historical Preservation Fiscal Impact None Attachments Attachment 1 – Commission application – Mrs. Dorothy J. Garcia 3.a Packet Pg. 21 Attachment: MCC.Arts & Historical Preservation Commission reappointment - Ms. Dorothy J. Garcia (5929 : Arts and Historical Preservation 3.b Packet Pg. 22 Attachment: MCC.Commission applicaton - Dorothy J. Garcia_Redacted (5929 : Arts and Historical Preservation Commission Reappointment) 3.b Packet Pg. 23 Attachment: MCC.Commission applicaton - Dorothy J. Garcia_Redacted (5929 : Arts and Historical Preservation Commission Reappointment) 3.b Packet Pg. 24 Attachment: MCC.Commission applicaton - Dorothy J. Garcia_Redacted (5929 : Arts and Historical Preservation Commission Reappointment) Appointment City of San Bernardino Request for Council Action Date: February 6, 2019 To: Honorable Mayor and City Council Members From: Theodore Sanchez, Council Member First Ward By: Valerie R. Montoya, Administrative Assistant to City Council Subject: Arts and Historical Preservation Commission Appointment Recommendation Approve the appointment of Mr. Mario Montecino to the Arts and Historical Preservation Commission. Background The Arts and Historical Preservation Commission was established by Resolution No. 2018-97 on April 4, 2018 and is charged with advising the Mayor, City Council and City Staff on matters pertaining to the arts, culture, and historic preservation and heritage in the City. The commission is also charged with serving in an advisory capacity to the Planning Commission in making recommendations relating to the designation, preservation and protection of historical properties. Appointees to the commission must have relevant experience or knowledge of visual, performing, literary, and multi-media arts, cultural and architectural heritage or other areas which relate to the mission and purpose of the commission. The commission is comprised of nine (9) members who serve at pleasure of the Mayor and City Council. Pursuant to Chapter 2.17 of the Municipal Code, each City Council member shall nominate one member who shall serve during and for the term of the nominating Council member, and the Mayor shall nominate two members who shall serve during and for the term of the Mayor. Mayor, City Council and City Manager Goals and Objectives The proposed commission appointment aligns with Goal Number 5 Improving City Government Operations by appointing commissioners to the citizen advisory boards with clearly defined roles. Conclusion Approve the appointment of Mr. Mario Montecino to the Arts and Historical Preservation Commission. 4.a Packet Pg. 25 Attachment: MCC.Arts & Historical Preservation Commission appointment - Mario Montecino (5930 : Arts and Historical Preservation Fiscal Impact None Attachments Attachment 1 – Commission application – Mr. Mario Montecino 4.a Packet Pg. 26 Attachment: MCC.Arts & Historical Preservation Commission appointment - Mario Montecino (5930 : Arts and Historical Preservation 4.b Packet Pg. 27 Attachment: MCC.Commission application - Mario Montecino_Redacted (5930 : Arts and Historical Preservation Commission Appointment) 4.b Packet Pg. 28 Attachment: MCC.Commission application - Mario Montecino_Redacted (5930 : Arts and Historical Preservation Commission Appointment) 4.b Packet Pg. 29 Attachment: MCC.Commission application - Mario Montecino_Redacted (5930 : Arts and Historical Preservation Commission Appointment) Appointment City of San Bernardino Request for Council Action Date: February 6, 2019 To: Honorable Mayor and City Council Members From: John Valdivia, Mayor Subject: Interagency Council on Homelessness Recommendation Approve the appointment of Mayor Pro Tem Bessine Richard to the Interagency Council on Homelessness, as a voting member, and Councilwoman Sandra Ibarra as her alternate. Background The County of San Bernardino hosts a Homeless Provider Network and policy making body, Interagency Council on Homelessness (ICH). This is required by the U.S. Department of Housing and Urban Development (HUD), due to receipt of funds under the Homeless Continuum of Care Program of the Homeless Emergency Assistance and Rapid Transition to Housing Act (HEARTH Act). The ICH works to ensure that the recommendations listed in the County’s 10-Year Strategy to End Homelessness are realized. The City of San Bernardino is allotted one seat with a vote, and an alternate. Discussion The Interagency Council on Homelessness was occupied by former Councilwoman Virginia Marquez. Mayor Pro Tem Richard will assume that position, with Councilwoman Ibarra serving as the alternate position. Mayor, City Council and City Manager Goals and Objectives The proposed appointment aligns with Goal Number 7 Pursue City Goals and Objectives by Working With Other Agencies by placing representatives of San Bernardino in regional roles. Conclusion Approve the appointment of Mayor Pro Tem Bessine Richard to the Interagency Council on Homelessness, as a voting member, and Councilwoman Sandra Ibarra as her alternate. Fiscal Impact None Attachments None 5.a Packet Pg. 30 Attachment: Mayor ICH Appointment (5931 : Interagency Council on Homelessness) Consent Calendar City of San Bernardino Request for Council Action \ Date: February 6, 2019 To: Honorable Mayor and City Council Members From: Gigi Hanna, City Clerk Subject: Waive Full Reading of Resolutions and Ordinances Recommendation: Waive full reading of Resolutions and Ordinances on the agenda dated February 6, 2019. 7.a Packet Pg. 31 Attachment: Waive Reading.Report_Feb 6 (5932 : Waive Full Reading of Resolutions and Ordinances) 8.a Packet Pg. 32 Attachment: FN.Commercial Checks Payroll Report -Feb 06 ,2019 (5933 : City Council Approval of Commercial and Payroll Checks) 2018-2019 Goals and Objectives Approval of the noted check registers for commercial and payroll checks align with Goal No. 6: Operate in a Fiscally Responsible and Business-Like Manner. The Mayor and City Council’s approval of the City’s weekly remittances to third parties promotes transparency of City business with the public. Fiscal Impact Amounts noted in the check registers have no further fiscal impact. Amounts were paid consistent with existing budget authorization and no further budgetary impact is required. Conclusion It is recommended that the attached check registers be approved by the Mayor and City Council. Attachments Attachment 1 – Commercial checks for Register #35 Attachment 2 – Payroll checks for January, 2019 Ward: Synopsis of Previous Council Actions: 8.a Packet Pg. 33 Attachment: FN.Commercial Checks Payroll Report -Feb 06 ,2019 (5933 : City Council Approval of Commercial and Payroll Checks) 8.b Packet Pg. 34 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 35 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 36 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 37 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 38 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 39 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 40 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 41 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 42 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 43 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 44 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 45 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 46 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 47 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 48 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 49 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 50 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 51 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 52 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 53 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 54 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 55 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 56 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 57 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 58 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 59 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 60 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.b Packet Pg. 61 Attachment: FN.Commercial Checks & Payroll. Register #35 (5933 : City Council Approval of Commercial 8.c Packet Pg. 62 Attachment: FN. Payroll Summary Report BW-1 (5933 : City Council Approval of Commercial and Payroll Checks) 8.d Packet Pg. 63 Attachment: FN. Payroll Summary Report 1M (5933 : City Council Approval of Commercial and Payroll Checks) Consent Calendar City of San Bernardino Request for Council Action \ Date: February 6, 2019 To: Honorable Mayor and City Council Members From: Gigi Hanna, MMC, City Clerk John Paul Maier, CMC, Chief Deputy City Clerk Subject: City Council Approval of Draft Minutes Recommendation Approve the minutes of the Mayor and City Council Regular Meetings of Dece mber 5, 2018 and January 16, 2019. 9.a Packet Pg. 64 Attachment: Minutes_Feb 6 (5934 : City Council Approval of Draft Minutes) City of San Bernardino 290 North D Street San Bernardino, CA 92401 http://www.sbcity.org Mayor and City Council of the City of San Bernardino Page 1 Printed 1/17/2019 MINUTES JOINT REGULAR MEETING MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO WEDNESDAY, DECEMBER 5, 2018 COUNCIL CHAMBER The Joint Regular Meeting of the Mayor and City Council and Community Development Commission of the City of San Bernardino was called to order by Mayor R. Carey Davis at 4:00 PM, Wednesday, December 5, 2018, in the Council Chamber, 201 North "E" Street, San Bernardino, CA. Call to Order Attendee Name Title Status Arrived Virginia Marquez Council Member, Ward 1 Present 4:00 PM Benito J. Barrios Council Member, Ward 2 Present 5:13 PM John Valdivia Council Member, Ward 3 Present 4:45 PM Fred Shorett Council Member, Ward 4 Present 4:00 PM Henry Nickel Council Member, Ward 5 Present 4:00 PM Bessine L. Richard Council Member, Ward 6 Present 4:00 PM James Mulvihill Council Member, Ward 7 Present 4:00 PM R. Carey Davis Mayor Present 4:00 PM John Paul Maier Chief Deputy City Clerk Present 4:00 PM Gary D. Saenz City Attorney Present 4:00 PM Closed Session There were no public comments. A. CONFERENCE WITH LEGAL COUNSEL – ANTICIPATED LITIGATION Significant exposure to litigation – Government Code Section 54956.9(d)(2): One or more cases Mayor R. Carey Davis Council Members Virginia Marquez Benito Barrios John Valdivia Fred Shorett Henry Nickel Bessine Richard Jim Mulvihill 9.b Packet Pg. 65 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 2 Printed 1/17/2019 INVOCATION AND PLEDGE OF ALLEGIANCE The invocation was led by Pastor Jose Medina of the Living Waters Community Church. The Pledge of Allegiance was led by Leonardo Resendiz, a 5th grade student at Vermont Elementary School. CLOSED SESSION REPORT Chief Assistant City Attorney Carvalho reported one reportable action: The City Council approved a reimbursement of utility user taxes. PRESENTATIONS 1. Special Recognition – Loma Linda Animal Hospital 50th Anniversary Council Member Valdivia presented a certificate to Dr. Sig of the Loma Linda Animal Hospital. 2. Chamber of Commerce & Local Elected Officials Announcements Leslie Stevens announced various community events, including: December 6 th, Annual Bishops Golf Classic, December 7-9, the Nutcracker at the California Theater, December 8th YMCA Christmas Parade, and December 10-13th, Community Ho Ho Parade. Representative of Eloise Reyes announced on December 19th a Toy Drive for children in the community. PUBLIC COMMENTS FOR ITEMS LISTED AND NOT LISTED ON THE AGENDA Sam Khil, Bayview Loan Servicing, LLC, regarding item 9, announced that he had no opposition to the adoption by Bayview Loan Services and further noted that he has been in communication with the City’s Code Enforcement Division. Andrea Neyses, Highland, requested help for the City’s Animal Shelter; spoke about several concerns regarding the lack of care for the dogs at the shelter; and spoke about harassment from the Police Department when dealing with how they treat the animals. Alberta Vanettes, San Bernardino, spoke about the release dates for adoption of the animals at the animal shelter; and noted that animals leave the shelter sick and often are declined by adopters due to costs for care for the animals. Howard Wright, San Bernardino, spoke about street racing on Kendall Drive on Friday nights; shared a story about one of the street racers who lost control and struck a tree; and urged the City Council to do something to prevent more d eaths. 9.b Packet Pg. 66 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 3 Printed 1/17/2019 Project Fighting Chance Coach, San Bernardino, spoke about the positive things coming out of San Bernardino, like boxing; highlighted that there are kids ranked 1 and 2 in the nation; and announced the show Hopefuls, which follows community-building work with children who work in a youth boxing afterschool program with Project Fighting Chance. Karen Adams, Mira Loma, expressed concerns with animals that are not being treated well and about the animals that are sleeping on the cold cement; and urged the Council to consider the people who want to help out with the animal shelter. Monica Temple, Yucaipa, shared concerns regarding the hostile environment for animals and humans at the animal shelter; encouraged the enthusiasm of last June’s Council Meeting for support and care for the animals; and urged the Council to put effort into the animal shelter. Carol Fong, Mira Loma, spoke about poor communication with the elected officials and City staff regarding the concerns about the animal shelter; shared that she was disgusted with the service that has been provided to the community; and highlighted that staff in charge of the shelter should be reassigned. Shirley Harlan, San Bernardino, spoke about the protest that took place last Saturday with over 300 people who have concerns about the animal shelter; and encouraged the public to attend the Animal Control Commission Meeting on December 12 th at 4:00 p.m. to share their concerns. Diana Zimmerman, Los Angeles, shared a story about a dog that was struck by a car and taken to the animal shelter, highlighting that the dog is put in a place that is cold and provided with very little medicine; and urged the Council to care of the animals to prevent them from being killed. Sharon Logan, Huntington Beach, announced that she is the plaintiff for Logan vs. OC Animal Care; shared several violations of animal care and asked the Council not to contract with Riverside; and urged the Council to correct the employee in charge of the animal shelter. Bobbie Forbes, Grand Terrace, spoke about the mistreatment of animals at the shelter and the animals that come out of San Bernardino that are sick; and expressed concerns about the dying animals and history of where animals have been transferred in the last 30 years. Robert Porter, San Bernardino, spoke about the history of corruption in the City; spoke about which City inspectors would visit his property and how fairly he would be treated; and spoke about the volunteers who are trying to help at the animal shelter. Mark Estermyer, San Bernardino, thanked the City Council Members for their service and congratulated John Valdivia on his win; and spoke about the election results for Measures W and X. Abigail Farr, Rialto, read a letter about a pet name Angel and their story abou t visiting the San Bernardino Animal Shelter; urged for extra time to allow the animals to be adopted; and stated that she would like to work together as a community to help the animals. 9.b Packet Pg. 67 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 4 Printed 1/17/2019 Summer Stuart, Riverside, expressed concerns with the treatment of animals at the shelter; highlighted that the animals’ beds and blankets have been taken away; and urged the Council to let the people help. Barbara Babcock, San Bernardino, spoke about the Fine Arts Commission and service to the community; talked about the concerns of the community regarding the animals; and spoke about the outgoing and incoming members on the Council. Karmel Roe, San Bernardino, spoke about the killing of hundreds of dogs at the animal shelter; expressed excitement with changes for the new leadership; and noted that she holds the City Manager accountable for concerns about the animal shelter. CONSENT CALENDAR Items on the consent calendar are considered routine and are voted on in one vote. Items 3 through 15 have the same vote, unless it is indicated that the item was pulled for further discussion. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 3. Waive Full Reading of Resolutions and Ordinances Approved Motion: Waive full reading of Resolutions and Ordinances on the agenda dated December 5, 2018. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 4. City Council Approval of Commercial and Payroll Checks Approved Motion: Approve the commercial and payroll checks for November 2018. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 9.b Packet Pg. 68 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 5 Printed 1/17/2019 5. Cooperative Agreement with County of San Bernardino for Conejo Drive Storm Drain Improvements at 39th Street Approved Motion: Adopt the resolution. Reso. 2018-309 Resolution of the Mayor and City Council of the City of San Bernardino, California, approving the Cooperative Agreement with the County of San Bernardino for Conejo Drive Storm Drain Improvements at 39th Street (SD19-001). RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 6. Agreement with Engineering Resources of Southern California, Inc. for Environmental Clearance and Preparation of Plans Specifications & Estimate for the State Street Extension Phase 1 between Baseline Street and 15th Street Approved Motion: Adopt the resolution. Reso. 2018-310 Resolution of the Mayor and City Council of the City of San Bernardino, California, awarding an Agreement to Engineering Resources of Southern California, Inc. to provide Environmental Clearance under the California Environmental Quality Act (CEQA) and preparation of Plans Specifications and Estimate (PS&E) for State Street Extension Phase 1 between Baseline Street and 16th Street (SS04-009). RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 9.b Packet Pg. 69 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 6 Printed 1/17/2019 7. Agreement with Engineering Resources of Southern California Inc. for Sierra Way Storm Drain Approved Motion: Adopt the resolution. Reso. 2018-311 Resolution of the Mayor and City Council of the City of San Bernardino, California, approving the award of a design contract with Engineering Resources of Southern California, Inc. in the amount of $190,000 for Sierra Way Storm Drain project. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 8. 2019 Legislative and Regulatory Platform and Receive Legislative Update Approved Motion: Approve the 2019 Legislative and Regulatory Platform and receive and file a legislative update. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 9. Imposing Liens to Recover Costs for Code Enforcement Abatement Approved Motion: Adopt the resolution. Reso. 2018-312 Resolution of the Mayor and City Council of the City of San Bernardino, California, imposing liens on certain real property located within the City San Bernardino for the costs of public nuisance abatements. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 9.b Packet Pg. 70 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 7 Printed 1/17/2019 10. Authorize the purchase of Hosted Microsoft Exchange Email from Connections in an Amount Not to Exceed $59,024 Approved Motion: Authorize the City Manager or her designee to execute documents for the purchase of hosted Microsoft Exchange from Connections in an amount not to exceed $53,659.20. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 11. Agreement with TruStar Energy LLC for Fuel Station Upgrades at the City Yard, Amending the FY 2018/19 Budget with the MSRC-AQMD Grant, and Internally Borrowed Funds from Integrated Waste Approved Motion: Adopt the resolution. Reso. 2018-299 Resolution of the Mayor and City Council of the City of San Bernardino, California, approving the award of a design-build contract with TruStar Energy LLC, in the amount of $2,195,427 for Fuel Station Upgrades at the City Yard; authorizing the City Manager to execute the contingency in the amount of $204,573; authorizing the execution of an inter-fund loan using Integrated Waste Funds (527); authorizing the Finance Director to amend the FY 2018/19 Adopted Budget to allocate the MSRC-AQMD grant and Integrated Waste funding to the project; and authorizing the City Manager or designee to expend the contingency fund, if necessary to complete the project. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 9.b Packet Pg. 71 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 8 Printed 1/17/2019 12. Increase to PO with West Coast Arborists Approved Motion: Adopt the resolution. Reso. 2018-301 Resolution of the Mayor and City Council of the City of San Bernardino, California, authorizing and directing the City Manager to authorize a Third Amendment of the Vendor Services Agreement With West Coast Arborists, Inc. and increase Purchase Order No. 2019-167 for the cycle pruning (grid trimming) of trees Citywide and other related tree services. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 13. Interim Director of Finance (U) Employment Agreement and Appointment Approved Motion: Adopt the resolution. Reso. 2018-313 Resolution of the Mayor and City Council of the City of San Bernardino, California, appointing Rita Conrad as Interim Director of Finance (U) under government code section 21221(h). RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 14. Purchase and Sale Agreement for APN 0146-241-07-1256 Wall Avenue Approved Motion: Authorize the City Manager to execute a Purchase and Sale Agreement and Joint Escrow Instructions between the Successor Agency and Mr. Bennie Benton with respect to the real property located on 1256 Wall Avenue, San Bernardino, California (APN 0146-241-07), and approving certain related actions. 9.b Packet Pg. 72 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 9 Printed 1/17/2019 RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill 15. Final Reading and Adoption - Amendment of Chapter 10.52 of the San Bernardino Municipal Code to Reduce the Speed Limit on Arrowhead Avenue between Highland Avenue and Thompson Place from 45 mph to 35 mph Approved Motion: Adopt the ordinance. Ord. MC-1502 Ordinance of the Mayor and City Council of the City of San Bernardino, California, amending Chapter 10.52 of the San Bernardino Municipal Code to reduce the speed limit on Arrowhead Avenue between Highland Avenue and Thompson Place from forty-five miles per hour to thirty-five miles per hour and authorize staff to implement striping modification. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill Mayor Davis ordered to hear Public Hearing Item No. 20 before Council Member Marquez’s departure. By consensus, the City Council agreed to move the item. STAFF REPORTS Council Member Marquez left the dais at 6:03 p.m. 16. Public Works Department Reorganization Approved Motion: Adopt the resolution. Reso. 2018-314 Resolution of the Mayor and City Council of the City of San Bernardino, California to: 1). transfer operations and personnel from the Parks, Recreation and Community Services Department and Community and Economic Development Department to the Public Works Department; 2). reclassify positions within the Public Works Department; 3). delete, amend and approve classifications and job descriptions; 4). amend the full-time salary schedule adopted by 9.b Packet Pg. 73 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 10 Printed 1/17/2019 Resolution No. 2018-181; 5). amend the part-time salary schedule adopted by Resolution No.2018-135; and 6). amend the fiscal year 2018/19 budget to reflect these actions. This Resolution will be effective January 1, 2019. RESULT: ADOPTED [UNANIMOUS] MOVER: James Mulvihill, Council Member, Ward 7 SECONDER: Henry Nickel, Council Member, Ward 6 AYES: Barrios, Valdivia, Shorett, Nickel, Richard, and Mulvihill ABSENT: Marquez 17. Violence Intervention Program (VIP) Update and Supportive Service Professional Services Agreements Approved Motion: Authorize the City Manager to execute professional service agreements with Clay Counseling Solutions, Inc., Victory Outreach of San Bernardino, and Young Visionaries Youth Leadership Academy to provide supportive services for the City's Violence Intervention Program (VIP). RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: Benito Barrios, Council Member, Ward 1 AYES: Barrios, Valdivia, Shorett, Nickel, Richard, and Mulvihill ABSENT: Marquez 18. Capital Improvement Work Plan Update for FY 2018/19 Approved Motion: Receive and file the Work Plan Update on the FY 2018/19 Capital Improvement Program. PUBLIC HEARINGS 19. Substantial Amendment to FY 2018/19 Action Plan Approved Motion: 1. Adopt a Substantial Amendment to the FY 2018/19 Action Plan; and 2. Authorize the Director of Finance or his designee to revise the FY 2018/19 Budget pursuant to the Substantial Amendment to the FY 2018/19 Action Plan. 9.b Packet Pg. 74 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 11 Printed 1/17/2019 RESULT: ADOPTED [UNANIMOUS] MOVER: James Mulvihill, Council Member, Ward 7 SECONDER: Benito J. Barrios, Council Member, Ward 2 AYES: Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill ABSENT: Marquez 20. Read By Title Only, Waive Further Reading, and Introduce Ordinance No. MC- 1510 Amending Chapter 2.03 to Title 2 of the Municipal Code, Establishing Procedures for Filling Mayoral Vacancies Speakers Tom Pierce, in support. Al Palazzo, San Bernardino, submitted a speaker slip to speak on concerns related to the animal shelter and was not allowed to speak on the matter during the public hearing. Approved Motion: Read By Title Only, Waive Further Reading, and Introduce Ordinance No. MC-1510 of the Mayor and City Council of the City of San Bernardino, California, amending Chapter 2.03 to Title 2 of the San Bernardino Municipal Code, establishing procedures for filling Mayor vacancies. RESULT: ADOPTED [UNANIMOUS] MOVER: John Valdivia, Council Member, Ward 3 SECONDER: James Mulvihill, Council Member, Ward 7 AYES: Marquez, Barrios, Valdivia, Shorett, Nickel, Richard, Mulvihill PRESENTATIONS (CONTINUED) 21. Recognition of Dedicated Service – Mayor R. Carey Davis, Council Member Virginia Marquez, Council Member Benito Barrios, and Council Member John Valdivia Council Member Nickel provided a brief presentation, recognizing the outgoing Council Members and Mayor Davis. 9.b Packet Pg. 75 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) Joint Regular Meeting Minutes December 5, 2018 Mayor and City Council of the City of San Bernardino Page 12 Printed 1/17/2019 22. ADJOURNMENT The meeting adjourned at 7:22 p.m. The next joint regular meeting of the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency is scheduled for 4:00 p.m., Wednesday, December 19, 2018 in the Council Chamber located at 201 North “E” Street, San Bernardino, California. By: __________________________ Georgeann “Gigi” Hanna, MMC City Clerk 9.b Packet Pg. 76 Attachment: 12-05-19_jtreg_draft (5934 : City Council Approval of Draft Minutes) City of San Bernardino 290 North E Street San Bernardino, CA 92401 http://www.sbcity.org Mayor and City Council of the City of San Bernardino Page 1 Printed 1/16/2019 MINUTES REGULAR MEETING MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO WEDNESDAY, JANUARY 16, 2019 COUNCIL CHAMBER The Regular Meeting of the Mayor and Common Council and Community Development Commission of the City of San Bernardino was called to order by Mayor John Valdivia at 4:00 PM, Wednesday, January 16, 2019, in the Council Chamber, 201 North "E" Street, San Bernardino, CA. Call to Order Attendee Name Title Status Arrived Theodore Sanchez Council Member, Ward 1 Present 4:00 PM Sandra Ibarra Council Member, Ward 2 Present 4:00 PM Fred Shorett Council Member, Ward 4 Present 4:00 PM Henry Nickel Council Member, Ward 5 Present 4:00 PM Bessine L. Richard Council Member, Ward 6 Present 4:00 PM James Mulvihill Council Member, Ward 7 Present 4:00 PM John Valdivia Mayor Present 4:00 PM Georgeann "Gigi" Hanna City Clerk Present 4:00 PM Gary D. Saenz City Attorney Present 4:00 PM Sonia Carvalho Sr. Assistant City Attorney Present 4:00 PM Andrea Miller City Manager Present 4:00 PM Mayor John Valdivia Council Members Theodore Sanchez Sandra Ibarra Vacant – third ward Fred Shorett Henry Nickel Bessine Richard Jim Mulvihill 9.c Packet Pg. 77 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 2 Printed 1/16/2019 CLOSED SESSION A. CONFERENCE WITH REAL PROPERTY NEGOTIATORS – Pursuant to Government Code Section 54956.8: i. Property Address: 480 and 478 N. “D” Street – APNs 0134-141- 28 and 0134-141-29 Agency Negotiator: Andrea Miller, City Manager Negotiator: Inland Maple Partners, LLC Under Negotiation: Price and Terms of Purchase ii. Property Address: An approximately 18 acre vacant site consisting of 74 parcel located at the southwest corner of East Highland and Arden Avenues – APNs 11-021-01; 1191-021-11 to 69; 1191-041-17 to 22; and 1191-041-25 to 32 Agency Negotiator: Steven Duckett, Managing Director, Urban Futures, Inc. Negotiating Parties: Mark Development, Inc. Under Negotiation: Price and Terms of Payment B. PUBLIC EMPLOYEE PERFORMANCE EVALUATION (Pursuant to Government Code Section 54957(b(1)): City Manager INVOCATION AND PLEDGE OF ALLEGIANCE Pastor Sherman Dumas from All Nations Worship Assembly led the invocation. Emir Soto, 6th grade student from Warm Springs Elementary School led the Pledge of Allegiance. CLOSED SESSION REPORT City Attorney Saenz said there was no reportable action from Closed Sess ion. MAYORAL ANNOUNCEMNT Mayor Valdivia announced that he would be enforcing a 3-minute time limit for council members to speak on agenda items. APPOINTMENTS 1. Appointment to Various Regional Boards Approved Motion Approve the appointments of: Council Member Theodore Sanchez to the San Bernardino International Airport Authority Board of Directors, as a voting member, and Council Member Henry Nickel as an alternate. 9.c Packet Pg. 78 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 3 Printed 1/16/2019 Council Members Theodore Sanchez and Bessine Richard to the Inland Valley Development Agency, as voting members, and Council Member Sandra Ibarra as an alternate. Council Member Henry Nickel to the San Bernardino County Transportation Authority as an alternate; Council Members Bessine Richard and Sandra Ibarra to the San Bernardino Regional W ater Resources Authority, as voting members; Council Member Theodore Sanchez to the Omnitrans Board of Directors, as an alternate. RESULT: ADOPTED [4-2] MOVER: Henry Nickel, Council Member, Ward 5 SECONDER: Sandra Ibarra, Council Member, Ward 2 AYES: Sanchez, Ibarra, Nickel, Richard NOES: Shorett, Mulvihill PRESENTATIONS 2. Issuance of Proclamations Mayor Valdivia presented a proclamation proclaiming January 2019 as National Mentoring Month in the City of San Bernardino. Gwen Rodgers accepted the proclamation on behalf of the San Bernardino County Children’s Network. Mayor Valdivia issued a proclamation naming the week of January 20 -26, 2019 as National School Choice Week in in the City of San Bernardino. 3. Youth Recognition - Raymond Reiter, Cajon High School - Council Member Nickel Council Member Nickel presented Mr. Reiter with a certificate recognizing his achievements at Cajon High School. Reiter also received certificates of recognition from the offices of Senator Mike Morrell and Assemblywoman Eloise Reyes. 4. Chamber of Commerce & Local Elected Officials Announcements Jim Wheeler gave the announcements from the Chamber of Commerce. Darrell Frye announced Assemblywoman Reyes’ swearing in ceremony on Friday at San Bernardino Valley College and othe r events in the district. PUBLIC COMMENTS FOR ITEMS LISTED AND NOT LISTED ON THE AGENDA Johnetta Davis, San Bernardino, spoke against what she said appears to be retaliation against the City Manager by Mayor Valdivia and evidence to generate evidence again st herby him and some council members. 9.c Packet Pg. 79 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 4 Printed 1/16/2019 Alice Chow , San Bernardino Animal Care Association, spoke about the rescue organizations that are available to take animals taken in by the City’s animal control division. She also asked for information about current operating budgets for the animal shelter. She said her organization is preparing to submit a proposal for an alternative to contracting animal care services to Riverside County. Alberta Venetz, San Bernardino, spoke about lack of repairs at the San Bernardino City animal shelter and asked why donors have been turned away. Robert Porter, San Bernardino, thanked Council Member Ibarra and Mayor Valdivia for keeping residents aware of what is going on and by putting them on social media platforms. Amelia Lopez, San Bernardino, thanked the mayor for expediting requested meeting between MCC and the Neighborhood Council Association to work on engaging residents to work with city officials to enhance quality of life and create partnerships. She requested that staff be assigned to work with the NCA on a proposal to improve the city. Roger Henderson, San Bernardino, spoke about how to get hold of council members and mayor via the (909) 384-7272 line. He spoke about help he had received recently. He thanked Mayor Valdivia for making the city more business friendly. Thomas, American Towing Group, said he has been told that he needs to apply for a new conditional use permit for his business and asked why he needs another one in order to supply pallets at his business when he already has one. Pablo Ledesma, owns a small business in San Bernardino said they need more communication and said code enforcement barges in and does not treat people well. Asked how to work it out so they can continue to do business in San Bernardino. She said they had an issue with pallets. Gary Saenz, San Bernardino, expressed condolences for the recent death of his friend Douglas William Bader. Hilda Wendtland spoke about code enforcement harassment of business people on the outskirts of the city. Nirosha Peltier, Beverly Hills, said that they are willing to help and can donate money for the animal shelter Robyn Logan, Thousand Oaks, spoke about helping the city with the animal shelter. She said she had spent some time at the shelter and found that i t wasn’t as bad as she expected it to be. Said she and her colleagues believe the shelter needs to stay in the City and in support of the SB Animal Alliance and that it utilizes a network already in place. James Penman, San Bernardino, said he was speaking on behalf of his wife Judy concerning the conduct at recent council meetings, which he called sexist and racist. Said we need to give new council members and mayor a chance and that cannot happen with personal attacks. 9.c Packet Pg. 80 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 5 Printed 1/16/2019 Armando Quezada, owner of Armando’s Pallets said he had had some problems with code enforcement based on his business. He said he has not been able to resolve any issues and asked if he could apply for those permits he needs. Luis Ojeda, San Bernardino, said that residents would not be silent anymore. People are waking up and not allow people to disrespect us and code enforcement has been doing that. We didn’t realize we needed permits to operate. No one is saying they won’t comply. Pallets art of the logistics business. Ask for guidance from the city if they have to move their businesses. Jose said the mayor should be respected and spoke of his involvement with previous events in the city. Roberto Santos, spoke about the pallet issue, and said that a code enforcement officer threatened his employees with the DEA and ICE if they did not leave the business. Sedy Delgado spoke about problems her father has had with his pallet business. We want to work, and we want to stop being harassed. Chris Egger spoke about cannabis permits and said he feels like there is common ground with the new council and mayor. Asked that they be able to start issue their build out permits as they are in the stage four of the city’s process. Karmel Roe, San Bernardino, spoke about giving peace a chance. Said she felt t here was more direction with the agenda this time. She said people should give the new council a chance to work. Barbara Babcock, San Bernardino, spoke in support of previous mayor Davis and his wife speaking out against issues they disagree with. She praised the City Manager for street repairs on her street. She praised Captain Rich Lawhead. Jose Cortez, San Bernardino, said he had been in SB since 1986 and loves the City. Ginna Escobar, Pomona, congratulated the new mayor and council and said she looked forward to working with them on projects that help the city prosper. Christopher Kim congratulated the new mayor. He said he was surprised to hear people calling San Bernardino beautiful. He said he sees wonderful people in the city , but not a lot of beautiful buildings. He said everything in his property on Hallmark is gone, every piece of copper had been stolen. He said he’d love to stay in San Bernardino and make his business grow and would like to meet the council and discuss development possibilities CONSENT CALENDAR Items on the consent calendar are considered routine and are voted on in one vote. Council Member Ibarra pulled items 6, 7, 10 and 14 for further discussion. The remaining items were voted on in a single vote. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 9.c Packet Pg. 81 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 6 Printed 1/16/2019 5. Waive Full Reading of Resolutions and Ordinances Approved Motion Waive full reading of Resolutions and Ordinances on the agenda dated January 16, 2019. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 6. City Council Approval of Commercial and Payroll Checks Approved Motion Approve the commercial and payroll checks for December 2018. RESULT: ADOPTED [UNANIMOUS] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: Jim Mulvihill, Council Member, Ward 7 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 7. City Council Approval of Draft Minutes Approved Motion Approve the minutes of the Mayor and City Council Regular Meetings of December 19, 2018 and January 2, 2019 and Special Meetings of December 21, 2018 (2) and January 10, 2019. RESULT: ADOPTED [UNANIMOUS] MOVER: Henry Nickel, Council Member, Ward 5 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 8. Amendment of Adopted FY 2018/19 Budget to Increase Police Pers onnel and Authorization of Agreement with Dignity Health Approved Motion Adopt the resolution. Reso. 2019-8 Resolution of the Mayor and City Council of the City of San Bernardino, California, amending the Adopted FY 2018/19 Budget to increase police personnel and for the budget transfers as detailed in the staff report, and authorizing the City Manager to execute an agreement between Dignity Health for police services at two locations. 9.c Packet Pg. 82 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 7 Printed 1/16/2019 RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 9. Authorize Acceptance of Urban Areas Security Initiative FY2017 Grant Approved Motion Authorize the City Manager to accept and administer the FY 2017 Urban Areas Security Initiative Grant in the amount of $375,000. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 10. First Amendment to the Spicer Consulting Group Agreement Approved Motion Adopt the resolution. Reso. 2019-9 Resolution of the Mayor and City Council of the City of San Bernardino, California, authorizing and directing the City Manager to execute the First Amendment to the Consultant Services Agreement with Spicer Consulting Group (SCG) for as-needed consulting services related to Maintenance District Administration and formation/annexation of Community Facilities Districts and Assessment Districts. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Henry Nickel, Council Member, Ward 5 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 11. Award of Construction Contract for Bridge Railing Repair at Various Locations to Peterson-Chase Engineering Construction, Inc. Approved Motion Adopt the resolution. Reso. 2019-10 Resolution of the Mayor and City Council of the City of San Bernardino, California, approving the award of a Construction Contract with Peterson-Chase General Engineering Construction Inc. in the amount of $92,744 for bridge railing repair at various locations; authorizing the City Manager to execute the construction contingency in the 9.c Packet Pg. 83 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 8 Printed 1/16/2019 amount of $9,256; and authorize the City Manager or designee to expend the contingency fund, if necessary, to complete the project. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 12. Approve Final Tract Map 18895 Secured Income Group, Incorporated Approved Motion Adopt the resolution. Reso. 2019-11 Resolution of the Mayor and City Council of the City of San Bernardino, California, approving Final Map for Tract No. 18895 (Subdivision 18-12) involving the subdivision of a property comprised of four (4) parcels containing approximately 3.0 acres into twelve (12) single-family residential lots located on the northeast corner of W. Mill Street and S. Macy Street within the Residential Suburban (RS) Zone, accepting the public dedications as set forth on said map; and authorizing execution of the standard form of agreement for the subdivision improvements. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 13. Comprehensive General Plan Update Approved Motion Authorize staff to issue a Request for Proposal (RFP) to begin the planning process to complete a comprehensive General Plan (GP) Update. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 14. Consultant Services Agreement Between the City of San Bernardino and Keyser Marston Associates, Inc. Speaker Karmel Roe 9.c Packet Pg. 84 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 9 Printed 1/16/2019 Approved Motion Adopt the resolution. Reso. 2019-12 Resolution of the Mayor and City Council of the City of San Bernardino, California, authorizing the City Manager, or designee, to execute a three-year Consultant Services Agreement between the City of San Bernardino and Keyser Marston Associates, Inc. for an amount not to exceed $160,000; upon completion of the initial contract term, to extend the contract for two additional one-year terms as needed, but not to exceed $45,000 per year; and authorize the Finance Director, or designee, to amend the FY 2018/19 Budget pursuant to the approved Consultant Services Agreement. RESULT: ADOPTED [UNANIMOUS] MOVER: Henry Nickel, Council Member, Ward 5 SECONDER: Jim Mulvihill, Council Member, Ward 7 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 15. Recognized Obligation Payment Schedule 19-20 a & B Approved Motion Approve Recognized Obligation Payment Schedule 19-20 A and B and authorize the City Manager, or designee, to administer its filing and implementation consistent with the California Health and Safety Code and as more particularly described within the staff report. RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 16. October 2018 and November 2018 City Board, Commission, and Citizen Advisory Committee Approved Minutes Approved Motion Receive and file the minutes from the City board, commission, and citizen advisory committee meetings approved in November 2018. 9.c Packet Pg. 85 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 10 Printed 1/16/2019 RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill STAFF REPORTS 17. Animal Control Commission Update Speaker Shirley Harlan Karmel Roe Mike Hartley No vote was taken on this item. The City Manager indicated that a report on options for the shelter with partnerships with animal rescue groups would come to the MCC in February. 18. Support Staffing for the City’s Legislative Branch – Offices of the Mayor and City Council Speakers Kathleen Boeck Luis Ojeda Aaron Cox Karmel Roe Cathy Hartley Patrick Morris Mike Hartley James Penman Virginia Marquez (written correspondence, read by Council Member Sanchez) Jean Kennedy (written correspondence, read by Council Member Mulvihill) Judi Castorena (written correspondence, read by Council Member Shorett) Melissa Gonzalez (written correspondence, read by Council Member Shorett) Mayor Chief of Staff Bill Essayli presented a proposal, called option 1B, for staffing levels in the mayor’s office. Approved Motion: Allow time for Council Member Nickel to work with the City Manager to put together a proposal that includes a visioning workshop in February and bring the matter back next month. RESULT: ADOPTED [5-1] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Fred Shorett, Council Member, Ward 4 AYES: Ibarra, Shorett, Nickel, Richard, Mulvihill NOES: Sanchez 19. Communications Update 9.c Packet Pg. 86 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 11 Printed 1/16/2019 Speaker Karmel Roe Approved Motion Recognize the Council Member who wishes to speak on this item. RESULT: ADOPTED [4-2] MOVER: Fred Shorett, Council Member, Ward 4 SECONDER: Jim Mulvihill, Council Member, Ward 7 AYES: Shorett, Nickel, Richard, Mulvihill NOES: Sanchez, Ibarra Approved Motion Terminate the contract with Westbound Communications. RESULT: ADOPTED [3-3, Mayor broke tie] MOVER: Theodore Sanchez, Council Member, Ward 1 SECONDER: Sandra Ibarra, Council Member, Ward 2 AYES: Sanchez, Ibarra, Richard NOES: Shorett, Nickel, Mulvihill PUBLIC HEARINGS 20. Mitigated Negative Declaration, Mitigation Monitoring and Reporting Program – General Plan Amendment 18-02, Development Code Amendment (Zoning Map Amendment) 18-03, and Conditional Use Permit 18-03 – 5Xpress Car Wash The mayor opened the public hearing. No one wished to speak on the matter. Speaker Approved Motions Adopt the resolutions; Adopt the ordinance; and Schedule the second reading of the above Ordinance to the regularly scheduled meeting of the Mayor and City Council on February 6, 2019. Reso. 2019-14 Resolution of the Mayor and City Council of the City of San Bernardino, California, adopting the Mitigated Negative Declaration and Mitigation Monitoring and Reporting Program, and approving General Plan Amendment 18-02 to change the General Plan Land Use Designation from Multi- Family Residential to Commercial of one (1) parcel (APN: 0280-131-28) containing approximately 0.39 acres; 9.c Packet Pg. 87 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 12 Printed 1/16/2019 Reso. 2019-15 Resolution of the Mayor and City Council of the City of San Bernardino, California, approving Conditional Use Permit 18- 03 to allow the development, establishment, and operation of a drive-thru express carwash containing approximately 5,486 square feet, along with the construction of the required on- site and off-site improvements, on a project site comprised of four (4) parcels (APN(S): 0821-131-28, 29, 30, and 50) containing a total of approximately 1.32 acres located at 1659 S. Tippecanoe Avenue; and MC-1513 Ordinance of the Mayor and City Council of the City of San Bernardino, California, approving Development Code Amendment (Zoning Map Amendment) 18-03 to change the Zoning District Classification from Residential Medium High (RMH) to Commercial General (CG-1) of one (1) parcel (APN: 0280-131-28) containing approximately 0.39 acres; RESULT: ADOPTED [UNANIMOUS] MOVER: Jim Mulvihill, Council Member, Ward 7 SECONDER: Henry Nickel, Council Member, Ward 5 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 21. Read by Title Only, Waive Further Reading, and Introduce Ordinance No. MC-1511 Amending Section 2.58.010 of Chapter 2.58 Title 2 of the San Bernardino Municipal Code Relating to Meetings; and Review, Discuss, and Provide Direction Based on the Findings of City Council Chamber Relocation Options The mayor opened the public hearing. Approved Motion Read By Title Only, Waive Further Reading, and Introduce Ordinance No. MC-1511 amending Section 2.58.010 of Chapter 2.58 Title 2 of the San Bernardino Municipa l Code relating to Meetings; and review, discuss, and provide direction based on the findings of City Council Chamber relocation options. RESULT: ADOPTED [UNANIMOUS] MOVER: Henry Nickel, Council Member, Ward 5 SECONDER: Jim Mulvihill, Council Member, Ward 7 AYES: Sanchez, Ibarra, Shorett, Nickel, Richard, Mulvihill 9.c Packet Pg. 88 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) Regular Meeting DRAFT Minutes January 16, 2019 Mayor and City Council of the City of San Bernardino Page 13 Printed 1/16/2019 Requests for future agenda items Mayor Valdivia asked that the following items be placed on a future agenda: Community Oriented Policing Seismic Study of City Hall Report on Cannabis permits. Council Member Sanchez asked for a report on the City Manager’s discretionary spending limit. ADJOURNMENT The meeting adjourned at 10:59 p.m. The next joint regular meeting of the Mayor and City Council and the Mayor and City Council Acting as the Successor Agency to the Redevelopment Agency will be held on Wednesday, February 6, 2019 in the Council Chamber located at 201 North “E” Street, San Bernardino, California 92401. Closed Session will begin at 4:00 p.m. and Open Session will begin at 5:00 p.m. 9.c Packet Pg. 89 Attachment: jan_16_19_JtReg_gh_draft (5934 : City Council Approval of Draft Minutes) 10.a Packet Pg. 90 Attachment: CM.Water Board Terms.01.Staff Report (5935 : Water Board Terms of Office) Seat 1 Seat 2 Seat 3 Seat 4 Seat 5 Cycle 6 May-65 May-63 May-67 Cycle 7 May-71 May-69 May-73 May-71 May-71 Cycle 8 May-77 May-75 May-79 May-72 May-74 Cycle 9 May-83 May-81 May-85 May-78 May-80 Cycle 10 May-89 May-87 May-91 May-84 May-86 Cycle 11 May-95 May-93 May-97 May-90 May-92 Cycle 12 May-01 May-99 May-03 May-96 May-98 Cycle 13 May-07 May-05 May-09 May-02 May-04 Cycle 14 May-13 May-11 May-15 May-08 May-10 Cycle 15 May-19 May-17 May-21 May-14 May-16 Cycle 16 May-25 May-23 May-27 May-20 May-22 Cycle 17 May-31 May-29 May-33 May-26 May-28 Discussion Due to discrepancies found in the Maddy Act vacancy lists adopted by the Mayor and Council, the records maintained by the Water Department and the fact that the assigned term of office was not made clear at the time of each appointment, there is a need for the Mayor and City Council to affirm the terms of office assigned to each of the current Water Board members in keeping with the City Charter. It is understood that under the provisions of the City Charter, any member of the Water Board may be appointed or removed by five affirmative votes of the Mayor and entire City Council. Staff has met with the members of the Water Board to discuss the terms of office as required by the City Charter. The rotation identified in Exhibit B to the Resolution provides the Water Board Commissioners with a term of office as close as possible to a six year term from their date of appointment (or most recent reappointment) while adhering to the rotation requirements established by the City Charter. Commissioner Thomas Brinkley and Commissioner Rikke Van Johnson were appointed on the same day, November 7, 2018. In order to adhere to the rotation requirements as established under the City Charter, Commissioner Rikke Van Johnson has volunteered to assume the shorter term of office. 2018-19 Goals and Objectives The appointment of the members of the Water Board as required by the Charter aligns with Goal No. 5: Implement the City Charter by maintaining clear roles and lines of authority. Fiscal Impact No fiscal impact to the City. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino, California, adopt Resolution No. 2019-16, confirming the terms of office of the members of the Water Board as required by Charter. 1/31/2019 12:22 PM 10.a Packet Pg. 91 Attachment: CM.Water Board Terms.01.Staff Report (5935 : Water Board Terms of Office) Attachments Attachment 1 Resolution; Exhibit A-Rotation Schedule; Exhibit B Proposed Terms Attachment 2 Related Sections of the City Charter Ward: 1/31/2019 12:22 PM 10.a Packet Pg. 92 Attachment: CM.Water Board Terms.01.Staff Report (5935 : Water Board Terms of Office) Resolution No. ___ RESOLUTION NO.______ RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, CONFIRMING THE TERMS OF OFFICE OF THE MEMBERS OF THE WATER BOARD AS REQUIRED BY CHARTER WHEREAS, Section 603 of the City Charter stipulates that a Water Board of five (5) Commissioners shall be appointed by at least five affirmatives votes of the Mayor and members of the Council; and WHEREAS, Section 603 of the City Charter states that Water Board Commissioners shall serve terms of six (6) years each, staggered in the same manner as at the time of the adoption of the Charter adopted by voters on November 8, 2016 and filed with the California Secretary of State January 31, 2017; and WHEREAS, the terms of office set for the Water Board Commissioners at the time of the adoption of the current City Charter were established under Article IX, Section 160 of the former City Charter; and WHEREAS, Section 160 of the form City Charter stipulated that the term of office for Water Commissioners would commence on the second Monday of May at twelve o’clock noon with one member appointed on the second Monday in May 1935 for six years; one member appointed on the second Monday in May 1937 for two years; one member appointed on the second Monday of May 1937 for six years; one member appointed on the second Monday of May 1972 for six years; and one member appointed on the second Monday of May 1974 for six years; and WHEREAS, Section 160 of the former City Charter stipulate that vacancies on the Water Board shall be filled for the unexpired term; and WHEREAS, the Commissioner Toni Callicott was reappointed to the Water Board on September 16, 2013; Commissioner Wayne Hendrix was reappointed on April 6, 2015; Commissioner David Mlynarski was appointed on May 19, 2014; Commissioner Thomas Brickley was appointed on November 7, 2018 and Commissioner Rikke V. Johnson was appointed on November 7, 2018; and WHEREAS, the Water Board Commission term of office assigned to each of the current Water Board members in keeping with the requirements under the City Charter was not made clear; and WHEREAS, there is a need to establish the assigned term of office for each of the Commissioners serving on the Water Board in alignment with the City Charter; and WHEREAS, the terms of office identified in Exhibit B provide the Water Board Commissioners with a term of office as close to a full six year term of office from their date of 10.b Packet Pg. 93 Attachment: CM.Water Board Terms.02.RESOLUTION (5935 : Water Board Terms of Office) Resolution No. ___ appointment/reappointment as possible while adhering to the rotation requirements under the City Charter; and WHEREAS, staff have met with the members of the Water Board appointment on the same day (Commissioner Thomas Brickley and Commissioner Rikke V. Johnson) they have agreed upon the assigned terms of office; and WHEREAS, any member of the Water Board may be appointed or removed by five affirmative votes of the Mayor and entire City Council. BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS: SECTION 1. The above recitals are true and correct and are incorporated herein by this reference. SECTION 2. The terms of office for the members of the Water Board will commence on the second Monday of May at twelve o’clock noon following the appointment cycle described in Exhibit A, which is attached hereto and incorporated herein by this reference. SECTION 3. The terms of office for the members of the Water Board are established as described in Exhibit B, which is attached hereto and incorporated herein by this reference. SECTION 4. Severability. If any provision of this Resolution or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications, and to this end the provisions of this Resolution are declared to be severable. SECTION 5. Effective Date. This Resolution shall become effective immediately. APPROVED and ADOPTED by the Mayor and City Council and signed by the Mayor and attested by the City Clerk this ___ day of __________, 2019. John Valdivia, Mayor City of San Bernardino Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 10.b Packet Pg. 94 Attachment: CM.Water Board Terms.02.RESOLUTION (5935 : Water Board Terms of Office) Resolution No. ___ CERTIFICATION STATE OF CALIFORNIA ) COUNTY OF SAN BERNARDINO) ss CITY OF SAN BERNARDINO ) I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Resolution No. _____, adopted at a regular meeting held at the ___ day of _______, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ Mayor: AYES NAYS ABSTAIN ABSENT VALDIVIA _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 10.b Packet Pg. 95 Attachment: CM.Water Board Terms.02.RESOLUTION (5935 : Water Board Terms of Office) Exhibit A - Rotation Schedule Seat 1 Seat 2 Seat 3 Seat 4 Seat 5 Cycle 1 May-35 May-37 May-37 Cycle 2 May-41 May-39 May-43 Cycle 3 May-47 May-45 May-49 Cycle 4 May-53 May-51 May-55 Cycle 5 May-59 May-57 May-61 Cycle 6 May-65 May-63 May-67 Cycle 7 May-71 May-69 May-73 May-71 May-71 Cycle 8 May-77 May-75 May-79 May-72 May-74 Cycle 9 May-83 May-81 May-85 May-78 May-80 Cycle 10 May-89 May-87 May-91 May-84 May-86 Cycle 11 May-95 May-93 May-97 May-90 May-92 Cycle 12 May-01 May-99 May-03 May-96 May-98 Cycle 13 May-07 May-05 May-09 May-02 May-04 Cycle 14 May-13 May-11 May-15 May-08 May-10 Cycle 15 May-19 May-17 May-21 May-14 May-16 Cycle 16 May-25 May-23 May-27 May-20 May-22 Cycle 17 May-31 May-29 May-33 May-26 May-28 10.c Packet Pg. 96 Attachment: CM.Water Board Terms.03.Exhibit A (5935 : Water Board Terms of Office) Exhibit B - Proposed Seat Current Commissioner Original Appointment Date Most Recent Reappointment Appointment Cycle Expiration Date Service Period 1 Cecilia (Toni) Callicott 10/5/1998 9/3/2013 5/13/19 5.7 years 2 Thomas M. Brickley 11/7/2018 N/A 5/8/23 4.5 years 3 Wayne Hendrix 1/5/2009 4/6/2015 5/10/21 6.1 years 4 David Mlynarski 5/19/2014 N/A 5/11/20 6 years 5 Rikke V. Johnson 11/7/2018 N/A 5/9/22 3.5 years 10.d Packet Pg. 97 Attachment: CM.Water Board Terms.04.Exhibits B (5935 : Water Board Terms of Office) FORMER CITY CHARTER SECTION 160 Attachment 2 10.e Packet Pg. 98 Attachment: CM.Water Board Terms. 05. Related Sections of the City Charter (5935 : Water Board Terms of Office) CURRENT CITY CHARTER SECTION 60310.e Packet Pg. 99 Attachment: CM.Water Board Terms. 05. Related Sections of the City Charter (5935 : Water Board Terms of Office) 11.a Packet Pg. 100 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Report (5936 : Purchase and Sale Agreement for 478 and 480 parcels of land grouped into forty-six (46) separate sites, eighteen (18) of which were designated as government use sites, seven (7) of which are designated as future development sites and twenty-one (21) of which were designated to be sold. The Successor Agency is the owner of certain real property located at 478 and 480 N. “D” Street, San Bernardino, California (APNs 0134-141-28 and 0134-141-29) (the “Property”). Within the LRPMP, the Property is: i) identified as Site No. 46; ii) described as an approximately 0.26-acre vacant lot zoned Commercial; iii) designated for sale; and iv) more fully described within Attachment "1" to this Staff Report, which is an excerpt from the LRPMP. On March 6, 2017, the Successor Agency Board approved the original Property Disposition Strategy, which among other things, authorized a competitive process that would result in listing for sale of 18 real property sites with a real estate broker (two of which are owned by the City of San Bernardino). On August 16, 2017, the Successor Agency Board approved the “Amended Property Disposition Strategy,” which: i) reduced the number of real property sites to be listed with a real estate broker from 18 to 16 (one of which is owned by the City of San Bernardino); ii) provided for an alternate method of real property disposition for the two real property sites removed from the group to be listed with a real estate broker; iii) where applicable, provided a current status update on completed and pending real property transfers; and iv) established an Escrow and Title Administrative Management Fee to allow the City to recover a portion of the cost of its services with respect to the management of the sale of real property assets. Consistent with the amended Property Disposition Strategy, on October 18, 2017, the Successor Agency approved an agreement with Keller Williams (the “KW Agreement”) to list and sell 15 real property sites of the Successor Agency (the City entered into a separate agreement with Keller Williams for its single real property site). The Property is included within the KW Agreement. As a part of the KW Agreement, KW is required to prepare of a Broker’s Opinion of Value (the “BOV”) for each property that is to be sold. Based on past practice, the DOF has acknowledged that BOVs are an acceptable method and basis for confirming that the value of real property being sold is fair and reasonable. Discussion On November 28, 2018, Keller Williams received an offer from Inland Maple Partners, LLC (“IMP”) to purchase the Property for $54,150 (the “Purchase Price”) (Attachment “2”). Subsequent to vetting the offer, Keller Williams has recommended that the Successor Agency accept IMP’s purchase offer. December 3, 2018, KW submitted its BOV, indicating its opinion that the market value of the Property is $54,036 (the “BOV Market Value”). In consideration that the Purchase Price exceeds the BOV Market Value by $114, or 0.002%, it may be concluded that the purchase price offered by IMP for the Property is fair and reasonable, as more fully described within the BOV (Attachment “3”). 11.a Packet Pg. 101 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Report (5936 : Purchase and Sale Agreement for 478 and 480 The Purchase and Sale Agreement and Joint Escrow Instructions (the “Purchase and Sale Agreement”) between the Successor Agency and IMP with respect to the Property, is attached to this Staff Report (Attachment “4”). Consistent with the provisions of the HSC and the LRPMP, the effectiveness of the Purchase and Sale Agreement is subject to the approval of the Oversight Board and review by DOF. The Purchase and Sale Agreement has been reviewed with respect to applicability of the California Environmental Quality Act (the “CEQA”), the State CEQA Guidelines (California Code of Regulations, Title 14, § 15000 et seq., hereafter the “CEQA Guidelines”), and the City’s environmental guidelines. The Purchase and Sale Agreement does not constitute a “project” for purposes of CEQA, as that term is defined by CEQA Guidelines § 15378, because the Purchase and Sale Agreement is an organizational or administrative activity that will not result in a direct or indirect physical change in the environment, per § 15378 (b) (5) of the CEQA Guidelines. The sale of the Property was reviewed with the City Council in closed session on January 16, 2019, and staff was directed to prepare the Purchase and Sale Agreement. 2018-19 Goals and Objectives The authorization of the City Manager to execute the Purchase and Sale Agreement for the sale of the Cooley Avenue Property aligns with Goals No. 3: Create, Maintain and Grow Jobs and Economic Value in the City; and Goal No. 4: Ensure Development of a Well-Planned, Balanced, and Sustainable City. The activity involves the winding-down of the former redevelopment agency, which will result in the transfer of real property assets to third parties to place them into highest and best economic uses, consistent with the City’s General Plan and Zoning Ordinance, that will create economic activities, create job opportunities, remove blight, improve neighborhoods, create affordable housing and increase tax-ratables. The activities will also result in the fulfillment of monetary obligations resulting in the use of less Redevelopment Property Tax Trust Fund revenues (formerly known as tax increment) and increasing the flow of General Tax Levy funds to the taxing entities for appropriate uses to sustain local government services. Fiscal Impact There is no negative fiscal impact to the City with the execution of the Purchase and Sale Agreement. Once the Property is sold pursuant to the Purchase and Sale Agreement, and after the net proceeds are transferred to the San Bernardino County Auditor-Controller, the San Bernardino County Auditor-Controller will divide and pay the net proceeds to the affected taxing entities in proportion to their respective shares of the 1% general tax levy. It is estimated, after escrow and title charges, and the pay-off of liens, the City could receive approximately $8,300 ($54,150 [Purchase Price] - $7,900 (estimated commission, escrow, and title charges] = $46,290 x 18% [estimated City share of the net proceeds] = $8,300 [rounded]). 11.a Packet Pg. 102 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Report (5936 : Purchase and Sale Agreement for 478 and 480 Conclusion It is recommended that the Mayor and City Council, in the capacity as the Successor Agency to the Redevelopment Agency of the City of San Bernardino, authorize the City Manager, or designee, to execute the Purchase and Sale Agreement and Joint Escrow Instructions between the Successor Agency and Inland Maple Partners, LLC with respect to the real property located at 478 and 480 N. “D” Street, San Bernardino, California (APNs 0134-141-28 and 0134-141-29). Attachment Attachment 1 An excerpt from the LRPMP Attachment 2 Purchase Offer Attachment 3 BOV Attachment 4 Original Purchase and Sale Agreement Ward: 1 Synopsis of Previous Council Actions: NONE 11.a Packet Pg. 103 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Report (5936 : Purchase and Sale Agreement for 478 and 480 Successor Agency to the Redevelopment Agency of the City of San Bernardino Long-Range Property Management Plan September 2015 Amended December 2015 Site No. 46: N. “D” Street Vacant Commercial Property 215 V. Property to Sold Site No. 46 – N. “D” Street Vacant Commercial Property Address: APNs: N. “D” Street 0134-141-28 0134-141-29 W. 5th Street N. D Street N. E Street N. Stoddard Avenue 11.b Packet Pg. 104 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 1 (5936 : Purchase and Sale Agreement for 478 and 480 Successor Agency to the Redevelopment Agency of the City of San Bernardino Long-Range Property Management Plan September 2015 Amended December 2015 Site No. 46: N. “D” Street Vacant Commercial Property 216 V. Property to Sold Site No. 46 – N. “D” Street Vacant Commercial Property A. Permissible Use (HSC § 34191.5 (c) (2)): Site No. 46 is the N. “D” Street Vacant Commercial Property (the “Vacant Commercial Property”) and is proposed to be sold by the Successor Agency. B. Acquisition of Property (HSC § 34191.5 (c) (1) (A) and § 34191.5 (c) (1) (B)): Property records indicate that the Vacant Commercial Property was acquired by the Agency on November 21, 1996, and carries a total Book Value of $87,180. The Agency acquired the Vacant Commercial Property as part of a larger land acquisition in order to meet the revitalization goals of the City and Agency to alleviate the existence and spread of physical and economic blight by assembling land and preparing property for the future development of the Caltrans District 8 complex. The estimated current value (the “ECV”) of the Vacant Commercial Property is $73,000. C. Site Information (HSC § 34191.5 (c) (1) (C)): The Vacant Commercial Property consists of two (2) parcels (APNs 0134-141-28, -29) totaling 0.22 acres located at 480 and 478 N. “D” Street. The Vacant Commercial Property is zoned Commercial Regional-Downtown (CR-2) in the City’s General Plan. The purpose of the CR-2 zone is to permit a diversity of regional-serving uses in the Downtown area including local, county, and state governmental/administrative uses, professional offices, cultural/historical and entertainment uses, convention facilities, hotels/motels, financial establishments, restaurants, supporting retail and services, educational institutions, public open spaces, and residential and senior housing. D. Estimated Current Value (HSC § 34191.5 (c) (1) (D)): To determine an ECV for the Vacant Commercial Property, in January 2015, the Agency conducted a comparable sales analysis through the National Data Collective. The ECV was determined to be approximately $73,000. Local factors were not taken into consideration in determining the ECV of this site. The ECV is only a rough estimate that was obtained from an on-line source where only comparable sales data are available. It is not possible to include environmental issues or any other special or unique factors into simple ECV calculations, as such data are not available from the source. Therefore, the actual value of the property may vary significantly from the ECV. The Successor Agency notes that in the environment of AB 1484, it may not be possible to achieve appraised values. The Successor Agency will be in charge of the process seeking to achieve successful marketing of properties, and will act with reasonable diligence. However, the constraints and environment of AB 1484 militate against maximizing prices. The actual sales prices to be realized will be a function of what a willing buyer is willing to pay under circumstances where there will be no seller financing and dispositions will be subject to Oversight Board approval. There is no reason to think that book values will be realized. E. Site Revenues (HSC § 34191.5 (c) (1) (E)): There are no site revenues generated from the Vacant Commercial Property. 11.b Packet Pg. 105 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 1 (5936 : Purchase and Sale Agreement for 478 and 480 Successor Agency to the Redevelopment Agency of the City of San Bernardino Long-Range Property Management Plan September 2015 Amended December 2015 Site No. 46: N. “D” Street Vacant Commercial Property 217 V. Property to Sold Site No. 46 – N. “D” Street Vacant Commercial Property F. History of Environmental Contamination (HSC § 34191.5 (c) (1) (F)): There is no known history of environmental contamination.52 G. Potential for Transit Oriented Development (TOD) and the Advancement of Planning Objectives of the Successor Agency (HSC § 34191.5 (c) (1) (G)): There is no potential for Transit Oriented Development (TOD), however, the Vacant Commercial Property is located within a ½-mile radius of the Downtown San Bernardino Transit Oriented Development (TOD) Area. The TOD is centered at the 12-acre San Bernardino Intermodal Transit Center (Transit Center). The Transit Center will integrate local and regional transportation systems, including the west terminus station for the Redlands Corridor transit service, Metrolink, sbX E Street Bus Rapid Transit (BRT), and local Omnitrans buses. Bicycles and pedestrians will access the station via planned and proposed city bike and pedestrian pathways. The Transit Center will be a major regional transit hub and in the future, the Transit Center could include inter-regional transportation systems such as California High Speed Rail and transit connections to the San Bernardino International Airport. Selling the Vacant Commercial Property advances the planning objectives of the Successor Agency and the City to develop and revitalize this area of the community through the creation of opportunities for private investment in the City. H. History of Previous Development Proposals and Activity (HSC § 34191.5 (c) (1) (H)): There is no history of previous development proposals or activities in conjunction with the Vacant Commercial Property. I. Disposition of Property: The Successor Agency proposes to sell the Vacant Commercial Property in accordance with the Successor Agency’s policies and procedures for property disposition as shown in Exhibit “A” Section I. Purchase and Sale Procedures. The ECV of the Vacant Commercial Property is approximately $73,000. Date of estimated current value – January 2015 Value Basis – The ECV was determined by a comparable sales analysis using the National Data Collective subscription service. The ECV is approximately $73,000. Local factors that may affect land value were not taken into consideration. Therefore, the actual value of the property may vary greatly from the ECV. The ECV is only a planning number and should not be relied upon as a basis for actual value. Proposed sale date – TBD and subject to the Successor Agency’s implementation of its policies and procedures for property disposition as shown in Exhibit “A.” 52 http://geotracker.waterboards.ca.gov/map/?CMD=runreport&myaddress=5th+and+d+st+san+bernardino 11.b Packet Pg. 106 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 1 (5936 : Purchase and Sale Agreement for 478 and 480 Successor Agency to the Redevelopment Agency of the City of San Bernardino Long-Range Property Management Plan September 2015 Amended December 2015 Site No. 46: N. “D” Street Vacant Commercial Property 218 V. Property to Sold Site No. 46 – N. “D” Street Vacant Commercial Property Proposed sale value – TBD and subject to a fair market appraisal conducted by a licensed appraiser. The Successor Agency notes that in the environment of AB 1484, it may not be possible to achieve appraised values. The Successor Agency will be in charge of the process seeking to achieve successful marketing of properties, and will act with reasonable diligence. However, the constraints and environment of AB 1484 militate against maximizing prices. The actual sales prices to be realized will be a function of what a willing buyer is willing to pay under circumstances where there will be no seller financing and dispositions will be subject to Oversight Board approval. There is no reason to think that book values will be realized. J. Implementation of the Long-Range Property Management Plan: Following the approval of the LRPMP by the DOF, the Successor Agency will implement the LRPMP. For properties to be sold, implementation will include distribution of any land sales proceeds for enforceable obligations and/or distributed as property tax to the taxing entities. Due to the vagaries associated with the sale of land, such as uncertainties concerning the timing of sale and the price that would be realized, it is not feasible to precisely state in the LRPMP how the funds will be used. In that regard, once an agreement is reached with respect to the purchase and sale of a property, the agreement will be presented to the Oversight Board for concurrence. The Oversight Board’s approval will be evidenced by a resolution that will be submitted to DOF and, per the HSC, is subject to DOF’s review. That resolution will include or refer to a staff report which describes with greater particularity, once more facts are known, how the proceeds of sale will be distributed. As noted in Section I – Introduction of the LRPMP, the LRPMP provides that proceeds of the sale may be used for enforceable obligations and/or distributed as property tax to the taxing entities through the County Auditor-Controller. The need to retain some or all of the proceeds of sale for enforceable obligations will depend on whether there is a short-fall in RPTTF in the ROPS cycle during which the escrow is anticipated to close. If a short-fall were to occur in the RPTTF at that time, then all or a portion of the sale proceeds should be used to fulfill an enforceable obligation with any remaining sale proceeds then distributed as property tax to the taxing entities through the County Auditor-Controller. If there is not a short-fall in RPTTF at the time of close of escrow, then land sale proceeds would be distributed as property tax to the taxing entities through the County Auditor-Controller in a manner described at the time of Oversight Board approval as to a particular property sale. Since it is impossible to foresee when and if a short-fall in the RPTTF may occur, or when the property will be sold, the use of the sale proceeds cannot be specifically determined at this time and, therefore, cannot be stated with greater particularity in the LRPMP. However, it is clear that at the time a sale takes place, the sale will be brought back to the Oversight Board and will be subject to review. 11.b Packet Pg. 107 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 1 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 108 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 109 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 110 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 111 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 112 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 113 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 114 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 115 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 116 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 117 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 118 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 119 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 120 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 121 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 11.c Packet Pg. 122 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 2 (5936 : Purchase and Sale Agreement for 478 and 480 PREPARED FOR: Ms. Lisa Connor Project Manager Successor Agency to the Redevelopment Agency of the City of San Bernardino 290 N. “D” Street - 3rd Floor San Bernardino, CA 92401 FOR THE PROPERTY LOCATED AT: 480 N. “D” St. San Bernardino, CA 92401 APN: 0134-141-28, 0134-141-29 December 3, 2018 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 123 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 TABLE OF CONTENTS Broker’s Opinion of Value •Property Profile •Location Aerial •Assessor’s Parcel Maps •Location Map Comparable Sales Comparable #1 •Property Profile •Assessor’s Parcel Map •Aerial Comparable #2 •Property Profile •Assessor’s Parcel Map •Aerial Comparable #3 •Property Profile •Assessor’s Parcel Map •Aerial Leading Broker’s Resume 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 124 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 December 3, 2018 Ms. Lisa Connor Project Manager Successor Agency to the Redevelopment Agency of the City of San Bernardino 290 N “D” Street – 3rd Floor San Bernardino, California 92401 RE: Broker Opinion of Value for Site No. 46 – APN 0134-141-28, 0134-141-29 Dear Ms. Connor: We have prepared the following report regarding our opinion of value for the above referenced properties. We utilized a comparable sales approach to determine our opinion of value for this properties. Subject Property The subject properties are zoned Commercial Regional Downtown (“CR-2”), which allows for a diversity of regional-serving uses in the Downtown area and consists of two contiguous parcels of land totaling approximately .26 acres (11,400 SQFT). Comparable Sales As further described within this report, within the last 41 months, there have been 3 property sales which can be used as sale comparable for this Site. The comparable are all zoned “CR-2”. The Sale Comparable dates run from July 2015 to December 2017. The Sale Comparables are summarized below: 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 125 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Broker Opinion of Value Based on the foregoing, the average price per square foot of the three vacant Sale Comparables is $4.74. Applying this average price per square foot to the lot square footage (11,400 SF), a value of $54,036 results. It is our opinion that the subject property is worth $54,036. We appreciate the opportunity to prepare this report. Please do not hesitate to call with any questions. Sales Comparables Summary APN Address Lot SF Sale Value Price/SF Sale Date Property Site 0134-141-28 0134-141-29 480 N. “D” St. 478 N. “D” St. 5,700 5,700 Sale Comparable #1 0134-023-50 646 N. St.30,900 $120,000 $3.88 12/31/2015 Sale Comparable #2 0135-081-11 0135-081-12 0135-081-13 0135-081-14 0135-081-15 540 N. Arrowhead Ave. 6,000 6,000 5,467 7,000 7,000 $180,000 $5.72 7/9/2015 Sale Comparable #3 0134-053-07 736 W. 6th St.6,500 $30,000 $4.62 12/15/2017 Average Price/SF $4.74 April 6, 2018 Lisa Connor Project Manager Successor Agency to the Redevelopment Agency of the City of San Bernardino 290 N. “D” Street - 3rd Floor San Bernardino, CA 92401 RE: ANALYSIS OF COMPETITIVE OFFERS FOR SITE NO. 37 - 1256 Wall Ave. - APN 0146-241-07 (RM 0.17 ACRES) Dear Ms. Connor, We are pleased to provide to the Successor Agency our situation summary of the proposed sale transactions for Site No. 37, as follows: Site No. 37 was marketed locally, regionally and nationally resulting in Keller Williams receiving several phone calls and emails requesting marketing information on the subject site. This effort produced one (1) proposals to purchase as follows: March 22, 2018 – Leaping Frog Investments, LLC (“LFI”) proposed to purchase Site No. 37 for $54,000. The terms are as follows: (i) within 5 days of the opening of escrow, LFI shall deposit $3,000; (ii) 17-day due diligence periods; and (iii) the property shall be developed within the guidelines of the City General Plan and/or other City regulations that may address development parameters. Recommendations: The offer from Leaping Frog Investments, LLC is $18,011 above the BOV, is the highest monetary offer and therefore it is recommended that the Successor Agency accepts this offer. Sincerely, Kenneth Patterson BRE# 00774852 951-318-8516 kenpcommercial@gmail.com O: 909.793.2100 F: 909.793.8200 1473 FORD ST SUITE 200 REDLANDS CA 92373 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 126 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 N D St, San Bernardino, CA 92401, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 5,700 MLS List Price $125,000 Baths N/A Yr Built N/A Type VCNT LND-NE Sale Date N/A Active Listing Owner Information Owner Name:Successor Agency/Rda City Of San Bdn Tax Billing City & State:San Bernardino, CA Mail Owner Name:Successor Agency/Rda City Of San Bdn Tax Billing Zip:92401 Tax Billing Address:201 N E St #301 Tax Billing Zip+4:1520 Location Information Zip Code:92401 Census Tract:57.01 School District:San Bernardino Topography:Flat/Level Comm College District Code:San Bernardino Vly J Neighborhood Code:092-092 Tax Information APN :0134-141-28-0000 Lot:8 Tax Area:7006 Block:29 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:CITY N 1/2 S 59.12 FT N 159.12 FT LOT 8 AND N 1/2 E 50 FT S 59.12 FT N 159.12 FT LOT 7 BLK 29 Characteristics County Land Use:Vacant Land Lot Area:5,700 Universal Land Use:Vacant Land (NEC)Gross Area:MLS: 11,400 Lot Frontage:30 Water:Public Lot Depth:190 Sewer:Public Service Lot Acres:0.1309 Listing Information MLS Listing Number:EV17251237 MLS Current List Price:$125,000 MLS Status:Active MLS Original List Price:$125,000 MLS Area:274 - SAN BERNARDINO MLS Listing Agent:Evfernlar-Lara Fernandez MLS Status Change Date:11/04/2017 MLS Listing Broker:KELLER WILLIAMS REALTY Last Market Sale & Sales History Recording Date:11/21/1996 Deed Type:Grant Deed Multi/Split Sale:Multiple Owner Name:Successor Agency/Rda City Of San Bdn Document Number:431993 Seller:Joint Development Inc Recording Date 12/03/2014 04/18/2011 03/18/2011 11/21/1996 03/04/1991 Sale Date 11/24/2014 04/06/2011 03/17/2011 Sale Price $270,000 Nominal Y Y Y Buyer Name Redevelopment Agcy Of San Bernard San Bernardino Economic Dev Co San Bernardino Economic Dev Co Economic Dev Agency Cy Sb Joint Development Seller Name San Bernardino Economic Dev Co Economic Dev Agcy Of Cty/San Bern Redevelopment Agcy Of San Bernard Joint Development Inc 11.d Packet Pg. 127 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 N D St, San Bernardino, CA 92401, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 5,700 Sale Price N/A Baths N/A Yr Built N/A Type VCNT LND-NE Sale Date N/A Owner Information Owner Name:Successor Agency/Rda City Of San Bdn Tax Billing City & State:San Bernardino, CA Mail Owner Name:Successor Agency/Rda City Of San Bdn Tax Billing Zip:92401 Tax Billing Address:201 N E St #301 Tax Billing Zip+4:1520 Location Information Zip Code:92401 Census Tract:57.01 School District:San Bernardino Topography:Flat/Level Comm College District Code:San Bernardino Vly J Neighborhood Code:092-092 Tax Information APN :0134-141-29-0000 Lot:8 Tax Area:7006 Block:29 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:CITY S 1/2 S 59.12 FT N 159.12 FT LOT 8 AND S 1/2 E 50 FT S 59.12 FT N 159.12 FT LOT 7 BLK 29 Characteristics County Land Use:Vacant Land Lot Acres:0.1309 Universal Land Use:Vacant Land (NEC)Lot Area:5,700 Lot Frontage:30 Water:Public Lot Depth:190 Sewer:Public Service Last Market Sale & Sales History Recording Date:11/21/1996 Deed Type:Grant Deed Multi/Split Sale:Multiple Owner Name:Successor Agency/Rda City Of San Bdn Document Number:431993 Seller:Joint Development Inc Recording Date 12/03/2014 04/18/2011 03/21/2011 11/21/1996 03/04/1991 Sale Date 11/24/2014 04/06/2011 03/17/2011 Sale Price $270,000 Nominal Y Y Y Buyer Name Redevelopment Agcy Of San Bernard San Bernardino Economic Dev Co San Bernardino Economic Dev Co Economic Dev Agency Cy Sb Joint Development Seller Name San Bernardino Economic Dev Co Economic Dev Agcy Of Cty Of San Bern Redevelopment Agcy Of San Bernard Joint Development Inc Document Number 463130 154453 113539 431993 73981 Document Type Quit Claim Deed Quit Claim Deed Quit Claim Deed Grant Deed Quit Claim Deed Recording Date 10/15/1990 04/05/1989 Sale Date 09/1990 01/1989 Sale Price Nominal 11.d Packet Pg. 128 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Courtesy Of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Map Page 1 of 1 Generated on 12/04/2018 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 129 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 11.d Packet Pg. 130 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Comparable Sale #1 •Property Profile •Assessor’s Parcel Map •Aerial 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 131 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 646 N E St, San Bernardino, CA 92410-3013, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 30,900 Sale Price $120,000 Baths N/A Yr Built N/A Type COM-NEC Sale Date 12/31/2015 Expired Listing Owner Information Owner Name:Shree Properties Inc Tax Billing Zip:91765 Mail Owner Name:Shree Properties Inc Tax Billing Zip+4:1626 Tax Billing Address:23535 Palomino Dr #346 Owner Occupied:No Tax Billing City & State:Diamond Bar, CA Location Information Zip Code:92410 Census Tract:57.01 Carrier Route:C013 Topography:Flat/Level School District:San Bernardino Neighborhood Code:092-092 Comm College District Code:San Bernardino Vly J Tax Information APN :0134-023-50-0000 Lot:1 Tax Area:7006 Block:44 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:CITY N 25 FT E 200 FT LOT 1 BLK 44 AND E 200 FT LOT 8 BLK 44 EX N 20 FT THEREOF Assessment & Tax Assessment Year 2017 2016 2015 Assessed Value - Total $122,400 $139,600 $124,000 Assessed Value - Land $122,400 $139,600 $124,000 YOY Assessed Change ($)-$17,200 $15,600 YOY Assessed Change (%)-12.32%12.58% Tax Year Total Tax Change ($)Change (%) 2015 $1,639 2016 $1,933 $293 17.88% 2017 $1,734 -$198 -10.26% Special Assessment Tax Amount Sb Valley Muni Wtr Dbt Svc $186.66 Sbcofire Fp-5 City Snbndo $152.98 School Bonds $123.25 San Bdno Comm College Bond $46.02 Co Ventor Control $1.30 Total Of Special Assessments $510.21 Characteristics County Land Use:Vacant Land Water:Public Universal Land Use:Tax: Commercial (NEC) MLS: Vacant Land (NEC) Sewer:Public Service Lot Acres:0.7094 Year Built:MLS: 1985 Lot Area:30,900 Listing Information 11.d Packet Pg. 132 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 2 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 MLS Listing Number:CC269449 MLS Current List Price:$135,000 MLS Status:Expired MLS Listing Agent:Xnone-None Specified MLS Area:274 - SAN BERNARDINO MLS Listing Broker:NO OFFICE SPECIFIED MLS Status Change Date:06/24/2013 Last Market Sale & Sales History Recording Date:04/12/2016 Sale Type:Unknown Sale Date:12/31/2015 Deed Type:Grant Deed Sale Price:$120,000 Owner Name:Shree Properties Inc Document Number:136970 Seller:Om Gray LLC Recording Date 04/12/2016 04/09/2007 10/07/2002 05/16/2002 04/23/2002 Sale Date 12/31/2015 02/13/2007 09/11/2002 05/02/2002 04/10/2002 Sale Price $120,000 $50,000 Nominal Y Y Buyer Name Shree Properties Inc Om Gray LLC Lothrop Fred H G Trust Lothrop Fred Trust White Evelyn L Trust Seller Name Om Gray LLC Lothrop Fred H G Trust White Evelyn L Trust Lothrop Fred G White Evelyn L Document Number 136970 214809 531590 253481 206182 Document Type Grant Deed Grant Deed Quit Claim Deed Grant Deed Deed (Reg) Recording Date 03/08/2002 07/30/2001 05/08/1995 Sale Date 02/11/2002 07/09/2001 Sale Price Nominal Y Y Y Buyer Name White Evelyn L Lothrop Fred H G Lothrop Derelle C Seller Name Lothrop Marcus Trust Lothrop Derelee C Lothrop Marcus & Derelle Trust Document Number 117271 312974 146146 Document Type Grant Deed Affidavit Grant Deed Property Map *Lot Dimensions are Estimated 11.d Packet Pg. 133 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 11.d Packet Pg. 134 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 135 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Comparable Sale #2 •Property Profile •Assessor’s Parcel Map •Aerial 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 136 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 540 N Arrowhead Ave, San Bernardino, CA 92401, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 6,000 MLS Sale Price $180,000 Baths N/A Yr Built N/A Type VCNT LND-NE MLS Sale Date 07/09/2015 Owner Information Owner Name:540 Arrowhead Ave LLC Tax Billing Zip:91403 Mail Owner Name:540 Arrowhead Ave LLC Tax Billing Zip+4:3600 Tax Billing Address:14622 Ventura Blvd #400 Owner Occupied:No Tax Billing City & State:Sherman Oaks, CA Location Information Zip Code:92401 Census Tract:57.01 Carrier Route:C010 Topography:Flat/Level School District:San Bernardino Neighborhood Code:092-092 Comm College District Code:San Bernardino Vly J Tax Information APN :0135-081-11-0000 Lot:1 Tax Area:7006 Block:35 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:C1TY S 40 FT N 80 FT LOT 1 BLK 35 Assessment & Tax Assessment Year 2017 2016 2015 Assessed Value - Total $35,190 $34,500 $31,306 Assessed Value - Land $35,190 $34,500 $31,306 YOY Assessed Change ($)$690 $3,194 YOY Assessed Change (%)2%10.2% Tax Year Total Tax Change ($)Change (%) 2015 $415 2016 $590 $176 42.32% 2017 $1,064 $473 80.19% Special Assessment Tax Amount S B City Weed Abatement $455.30 Sbcofire Fp-5 City Snbndo $152.98 Sb Valley Muni Wtr Dbt Svc $53.66 School Bonds $35.43 San Bdno Comm College Bond $13.23 Co Ventor Control $1.30 Total Of Special Assessments $711.90 Characteristics County Land Use:Vacant Land Lot Acres:0.1377 Universal Land Use:Vacant Land (NEC)Lot Area:6,000 Lot Frontage:40 Water:Public Lot Depth:150 Sewer:Public Service Listing Information 11.d Packet Pg. 137 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 2 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 MLS Listing Number:P824456 MLS Original List Price:$350,000 MLS Status:Closed Closing Date:07/09/2015 MLS Area:274 - SAN BERNARDINO MLS Sale Price :$180,000 MLS Status Change Date:07/09/2015 MLS Listing Agent:Wstolrob-Rob Stoll MLS Current List Price:$235,000 MLS Listing Broker:4-STAR, REALTORS Last Market Sale & Sales History Recording Date:07/07/2015 Sale Type:Full Sale Date:Tax: 03/19/2015 MLS: 07/09/2015 Deed Type:Grant Deed Sale Price:$180,000 Owner Name:540 Arrowhead Ave LLC Multi/Split Sale:Multiple Seller:Stoll Family Trust Document Number:284927 Recording Date 07/07/2015 08/08/2013 04/01/2003 01/13/1999 12/18/1998 Sale Date 03/19/2015 02/14/2013 03/27/2003 Sale Price $180,000 Nominal Y Y Y Buyer Name 540 Arrowhead Ave LLC Stoll Family Trust Stoll Trust Stoll Barbara L & Alfred Trustees Stoll Alfred W Seller Name Stoll Family Trust Tahitti Group Stoll Trust Stoll Barbara L Meyer Irene P & Stoll Alfred W Truste Document Number 284927 351494 214391 12978 538036 Document Type Grant Deed Quit Claim Deed Trustee's Deed(Transfer)Quit Claim Deed Affidavit Recording Date 12/11/1995 12/11/1995 11/15/1994 Sale Date Sale Price Nominal Buyer Name Meyer Irene P Meyer Irene P Stoll Alfred W Seller Name Stoll Alfred W Stoll Alfred W Meyer Irene P & Stoll Alfrred W Document Number 423224 423218 459616 Document Type Grant Deed Quit Claim Deed Quit Claim Deed Property Map *Lot Dimensions are Estimated 11.d Packet Pg. 138 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 534 N Arrowhead Ave, San Bernardino, CA 92401, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 6,000 Sale Price $180,000 Baths N/A Yr Built N/A Type VCNT LND-NE Sale Date 03/19/2015 Owner Information Owner Name:540 Arrowhead Ave LLC Tax Billing Zip:91403 Mail Owner Name:540 Arrowhead Ave LLC Tax Billing Zip+4:3600 Tax Billing Address:14622 Ventura Blvd #400 Owner Occupied:No Tax Billing City & State:Sherman Oaks, CA Location Information Zip Code:92401 Census Tract:57.01 Carrier Route:C010 Topography:Flat/Level School District:San Bernardino Neighborhood Code:092-092 Comm College District Code:San Bernardino Vly J Tax Information APN :0135-081-12-0000 Lot:1 Tax Area:7006 Block:35 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:C1TY S 40 FT N 120 FT LOT 1 BLK 35 Assessment & Tax Assessment Year 2017 2016 2015 Assessed Value - Total $35,190 $34,500 $31,306 Assessed Value - Land $35,190 $34,500 $31,306 YOY Assessed Change ($)$690 $3,194 YOY Assessed Change (%)2%10.2% Tax Year Total Tax Change ($)Change (%) 2015 $415 2016 $590 $176 42.32% 2017 $1,064 $473 80.19% Special Assessment Tax Amount S B City Weed Abatement $455.30 Sbcofire Fp-5 City Snbndo $152.98 Sb Valley Muni Wtr Dbt Svc $53.66 School Bonds $35.43 San Bdno Comm College Bond $13.23 Co Ventor Control $1.30 Total Of Special Assessments $711.90 Characteristics County Land Use:Vacant Land Lot Acres:0.1377 Universal Land Use:Vacant Land (NEC)Lot Area:6,000 Lot Frontage:40 Water:Public Lot Depth:150 Sewer:Public Service Last Market Sale & Sales History 11.d Packet Pg. 139 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 2 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 Recording Date:07/07/2015 Sale Type:Full Sale Date:03/19/2015 Deed Type:Grant Deed Sale Price:$180,000 Owner Name:540 Arrowhead Ave LLC Multi/Split Sale:Multi Seller:Stoll Family Trust Document Number:284927 Recording Date 07/07/2015 08/08/2013 04/01/2003 01/13/1999 12/18/1998 Sale Date 03/19/2015 02/14/2013 03/27/2003 Sale Price $180,000 Nominal Y Y Y Buyer Name 540 Arrowhead Ave LLC Stoll Family Trust Stoll Trust Stoll Barbara L & Alfred Trustees Stoll Alfred W Seller Name Stoll Family Trust Tahitti Group Stoll Trust Stoll Barbara L Meyer Irene P & Stoll Alfred W Truste Document Number 284927 351494 214391 12979 538037 Document Type Grant Deed Quit Claim Deed Trustee's Deed(Transfer)Quit Claim Deed Affidavit Recording Date 12/11/1995 12/11/1995 11/15/1994 Sale Date Sale Price Nominal Buyer Name Meyer Irene P Meyer Irene P Stoll Alfred W Seller Name Stoll Alfred W Stoll Alfred W Meyer Irene P & Alfred W Document Number 423225 423219 459616 Document Type Grant Deed Quit Claim Deed Quit Claim Deed Property Map *Lot Dimensions are Estimated 11.d Packet Pg. 140 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 524 N Arrowhead Ave, San Bernardino, CA 92401, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 5,467 Sale Price $180,000 Baths N/A Yr Built N/A Type VCNT LND-NE Sale Date 03/19/2015 Owner Information Owner Name:540 Arrowhead Ave LLC Tax Billing Zip:91403 Mail Owner Name:540 Arrowhead Ave LLC Tax Billing Zip+4:3600 Tax Billing Address:14622 Ventura Blvd #400 Owner Occupied:No Tax Billing City & State:Sherman Oaks, CA Location Information Zip Code:92401 Census Tract:57.01 Carrier Route:C010 Topography:Flat/Level School District:San Bernardino Neighborhood Code:092-092 Comm College District Code:San Bernardino Vly J Tax Information APN :0135-081-13-0000 Lot:1 Tax Area:7006 Block:35 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:C1TY BEG 140 FT N OF SE COR LOT 1 BLK 35 N 39.78 FT W 149.7 FT S 29.78 FT E 50 FT S 10 FT E 99.7 FT TO POB Assessment & Tax Assessment Year 2017 2016 2015 Assessed Value - Total $31,620 $31,000 $28,698 Assessed Value - Land $31,620 $31,000 $28,698 YOY Assessed Change ($)$620 $2,302 YOY Assessed Change (%)2%8.02% Tax Year Total Tax Change ($)Change (%) 2015 $380 2016 $546 $165 43.46% 2017 $562 $17 3.07% Special Assessment Tax Amount Sbcofire Fp-5 City Snbndo $152.98 Sb Valley Muni Wtr Dbt Svc $48.22 School Bonds $31.84 San Bdno Comm College Bond $11.88 Co Ventor Control $1.30 Total Of Special Assessments $246.22 Characteristics County Land Use:Vacant Land Lot Area:5,467 Universal Land Use:Vacant Land (NEC)Water:Public Lot Acres:0.126 Sewer:Public Service Last Market Sale & Sales History Recording Date:07/07/2015 Sale Type:Full 11.d Packet Pg. 141 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 2 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 Sale Date:03/19/2015 Deed Type:Grant Deed Sale Price:$180,000 Owner Name:540 Arrowhead Ave LLC Multi/Split Sale:Multi Seller:Stoll Family Trust Document Number:284927 Recording Date 07/07/2015 08/08/2013 04/01/2003 01/13/1999 12/18/1998 Sale Date 03/19/2015 02/14/2013 03/27/2003 Sale Price $180,000 Nominal Y Y Y Buyer Name 540 Arrowhead Ave LLC Stoll Family Trust Stoll Trust Stoll Barbara L & Alfred Trustees Stoll Alfred W Seller Name Stoll Family Trust Tahitti Group Stoll Trust Stoll Barbara L Meyer Irene P & Stoll Alfred W Truste Document Number 284927 351494 214391 12980 538038 Document Type Grant Deed Quit Claim Deed Trustee's Deed(Transfer)Quit Claim Deed Affidavit Recording Date 12/11/1995 12/11/1995 12/11/1995 Sale Date Sale Price Nominal Buyer Name Meyer Irene P Meyer Irene P Meyer Irene P Seller Name Stoll Alfred W Stoll Alfred W Stoll Alfred W Document Number 423229 423226 423220 Document Type Grant Deed Grant Deed Quit Claim Deed Property Map *Lot Dimensions are Estimated 11.d Packet Pg. 142 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 514 N Arrowhead Ave, San Bernardino, CA 92401, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 7,000 Sale Price $180,000 Baths N/A Yr Built N/A Type VCNT LND-NE Sale Date 03/19/2015 Owner Information Owner Name:540 Arrowhead Ave LLC Tax Billing Zip:91403 Mail Owner Name:540 Arrowhead Ave LLC Tax Billing Zip+4:3600 Tax Billing Address:14622 Ventura Blvd #400 Owner Occupied:No Tax Billing City & State:Sherman Oaks, CA Location Information Zip Code:92401 Census Tract:57.01 Carrier Route:C010 Topography:Flat/Level School District:San Bernardino Neighborhood Code:092-092 Comm College District Code:San Bernardino Vly J Tax Information APN :0135-081-14-0000 Lot:1 Tax Area:7006 Block:35 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:C1TY E 50 FT S 140 LOT 1 BLK 35 Assessment & Tax Assessment Year 2017 2016 2015 Assessed Value - Total $40,800 $40,000 $36,522 Assessed Value - Land $40,800 $40,000 $36,522 YOY Assessed Change ($)$800 $3,478 YOY Assessed Change (%)2%9.52% Tax Year Total Tax Change ($)Change (%) 2015 $484 2016 $661 $177 36.57% 2017 $1,136 $476 71.99% Special Assessment Tax Amount S B City Weed Abatement $455.30 Sbcofire Fp-5 City Snbndo $152.98 Sb Valley Muni Wtr Dbt Svc $62.22 School Bonds $41.08 San Bdno Comm College Bond $15.34 Co Ventor Control $1.30 Total Of Special Assessments $728.22 Characteristics County Land Use:Vacant Land Lot Acres:0.161 Universal Land Use:Vacant Land (NEC)Lot Area:7,000 Lot Frontage:50 Water:Public Lot Depth:140 Sewer:Public Service Last Market Sale & Sales History 11.d Packet Pg. 143 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 2 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 Recording Date:07/07/2015 Sale Type:Full Sale Date:03/19/2015 Deed Type:Grant Deed Sale Price:$180,000 Owner Name:540 Arrowhead Ave LLC Multi/Split Sale:Multi Seller:Stoll Family Trust Document Number:284927 Recording Date 07/07/2015 08/08/2013 04/01/2003 01/13/1999 12/18/1998 Sale Date 03/19/2015 02/14/2013 03/27/2003 Sale Price $180,000 Nominal Y Y Y Buyer Name 540 Arrowhead Ave LLC Stoll Family Trust Stoll Trust Stoll Barbara L & Alfred Trustees Stoll Alfred W Seller Name Stoll Family Trust Tahitti Group Stoll Trust Stoll Barbara L Meyer Irene P & Stoll Alfred W Truste Document Number 284927 351494 214391 12982 538039 Document Type Grant Deed Quit Claim Deed Trustee's Deed(Transfer)Quit Claim Deed Affidavit Recording Date 12/11/1995 12/11/1995 11/15/1994 Sale Date Sale Price Nominal Buyer Name Meyer Irene P Meyer Irene P Stoll Alfred W Seller Name Stoll Alfred W Stoll Alfred W Meyer Irene P Document Number 423227 423221 459616 Document Type Grant Deed Quit Claim Deed Quit Claim Deed Property Map *Lot Dimensions are Estimated 11.d Packet Pg. 144 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 0135-081-15-0000, CA, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 7,000 Sale Price $180,000 Baths N/A Yr Built N/A Type VCNT LND-NE Sale Date 03/19/2015 Owner Information Owner Name:540 Arrowhead Ave LLC Tax Billing City & State:Sherman Oaks, CA Mail Owner Name:540 Arrowhead Ave LLC Tax Billing Zip:91403 Tax Billing Address:14622 Ventura Blvd #400 Tax Billing Zip+4:3600 Location Information School District:San Bernardino Topography:Flat/Level Comm College District Code:San Bernardino Vly J Neighborhood Code:092-092 Census Tract:57.01 Tax Information APN :0135-081-15-0000 Lot:1 Tax Area:7006 Block:35 Tax Appraisal Area:12 Water Tax Dist:San Bernardino Vly J Legal Description:C1TY W 50 FT E 100 FT S 140 FT LOT 1 BLK 35 Assessment & Tax Assessment Year 2017 2016 2015 Assessed Value - Total $40,800 $40,000 $36,522 Assessed Value - Land $40,800 $40,000 $36,522 YOY Assessed Change ($)$800 $3,478 YOY Assessed Change (%)2%9.52% Tax Year Total Tax Change ($)Change (%) 2015 $484 2016 $661 $177 36.57% 2017 $1,136 $476 71.99% Special Assessment Tax Amount S B City Weed Abatement $455.30 Sbcofire Fp-5 City Snbndo $152.98 Sb Valley Muni Wtr Dbt Svc $62.22 School Bonds $41.08 San Bdno Comm College Bond $15.34 Co Ventor Control $1.30 Total Of Special Assessments $728.22 Characteristics County Land Use:Vacant Land Lot Area:7,000 Universal Land Use:Vacant Land (NEC)Water:Public Lot Acres:0.161 Sewer:Public Service Last Market Sale & Sales History Recording Date:07/07/2015 Sale Type:Full Sale Date:03/19/2015 Deed Type:Grant Deed Sale Price:$180,000 Owner Name:540 Arrowhead Ave LLC 11.d Packet Pg. 145 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 2 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 Multi/Split Sale:Multi Seller:Stoll Family Trust Document Number:284927 Recording Date 07/07/2015 08/08/2013 04/01/2003 01/13/1999 12/18/1998 Sale Date 03/19/2015 02/14/2013 03/27/2003 Sale Price $180,000 Nominal Y Y Y Buyer Name 540 Arrowhead Ave LLC Stoll Family Trust Stoll Trust Stoll Barbara L & Alfred Trustees Stoll Alfred W Seller Name Stoll Family Trust Tahitti Group Stoll Trust Stoll Barbara L Meyer Irene P & Stoll Alfred W Truste Document Number 284927 351494 214391 12981 538040 Document Type Grant Deed Quit Claim Deed Trustee's Deed(Transfer)Quit Claim Deed Affidavit Recording Date 12/11/1995 12/11/1995 10/24/1991 Sale Date 10/1991 Sale Price Nominal Y Buyer Name Meyer Irene P Meyer Irene P Meyer Irene P & Stoll Alfred W Seller Name Meyer Irene Poppett Document Number 423228 423222 405773 Document Type Grant Deed Quit Claim Deed Grant Deed Property Map *Lot Dimensions are Estimated 11.d Packet Pg. 146 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 11.dPacket Pg. 147Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 148 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Comparable Sale #3 •Property Profile •Assessor’s Parcel Map •Aerial 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 149 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 1 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 763 W 6th St, San Bernardino, CA 92410, San Bernardino County Beds N/A Bldg Sq Ft N/A Lot Sq Ft 6,500 MLS Sale Price $30,000 Baths N/A Yr Built N/A Type VCNT LND-NE MLS Sale Date 12/15/2017 Owner Information Owner Name:Biskay Investments LLC Tax Billing City & State:San Bernardino, CA Mail Owner Name:Biskay Investments LLC Tax Billing Zip:92410 Tax Billing Address:763 W 6th St Owner Occupied:Yes Location Information Zip Code:92410 Census Tract:57.01 Carrier Route:C008 Topography:Flat/Level School District:San Bernardino Neighborhood Code:092-092 Comm College District Code:San Bernardino Vly J Tax Information APN :0134-053-07-0000 Lot:6 Tax Area:7006 Water Tax Dist:San Bernardino Vly J Tax Appraisal Area:12 Legal Description:K1NGMAN AND HAMPSON SUB LOT 6 AND THAT PTN OF N 1/2 OF ALLEY VAC ADJ ON S Assessment & Tax Assessment Year 2017 2016 2015 Assessed Value - Total $32,984 $32,337 $31,851 Assessed Value - Land $32,984 $32,337 $31,851 YOY Assessed Change ($)$647 $486 YOY Assessed Change (%)2%1.53% Tax Year Total Tax Change ($)Change (%) 2015 $422 2016 $563 $141 33.34% 2017 $580 $17 3.07% Special Assessment Tax Amount Sbcofire Fp-5 City Snbndo $152.98 Sb Valley Muni Wtr Dbt Svc $50.30 School Bonds $33.21 San Bdno Comm College Bond $12.40 Co Ventor Control $1.30 Total Of Special Assessments $250.19 Characteristics County Land Use:Vacant Land Lot Acres:0.1492 Universal Land Use:Vacant Land (NEC)Lot Area:6,500 Lot Frontage:50 Water:Public Lot Depth:130 Sewer:Public Service Listing Information MLS Listing Number:EV17160294 MLS Original List Price:$34,900 MLS Status:Closed Closing Date:12/15/2017 11.d Packet Pg. 150 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 Property Detail Page 2 of 2 The data within this report is compiled by CoreLogic from public and private sources. The data is deemed reliable, but is not guaranteed. The accuracy of the data contained herein can be independently verified by the recipient of this report with the applicable county or municipality. Courtesy of LARA FERNANDEZ, KELLER WILLIAMS REALTY, California Regional MLS Generated on 06/16/2018 MLS Area:274 - SAN BERNARDINO MLS Sale Price :$30,000 MLS Status Change Date:12/18/2017 MLS Listing Agent:Elarscyn-Cynthia Larson MLS Current List Price:$34,900 MLS Listing Broker:TARBELL, REALTORS - REDLANDS MLS Listing #Ev14019880 MLS Status Expired MLS Listing Date 01/28/2014 MLS Listing Price $49,000 MLS Orig Listing Price $49,000 MLS Listing Cancellation Date 05/27/2015 Last Market Sale & Sales History Recording Date:12/12/2017 Sale Type:Full Sale Date:Tax: 12/04/2017 MLS: 12/15/2017 Deed Type:Grant Deed Sale Price:$30,000 Owner Name:Biskay Investments LLC Document Number:525656 Seller:Allen Michael Sr & B Trust Recording Date 12/12/2017 05/12/2010 04/24/1987 04/25/1983 08/19/1980 Sale Date 12/04/2017 05/03/2010 03/1987 Sale Price $30,000 $20,050 $200 $41,500 Nominal Y Y Buyer Name Biskay Investments LLC Allen M Sr & B Family Trust Allen Michael & Brenda Hohman Donald W Seller Name Allen Michael Sr & B Trust Allen Michael P & Brenda L El Camino Thrift & Loan As Document Number 525656 187740 134347 184592 Document Type Grant Deed Quit Claim Deed Corporation Grant Deed Deed (Reg)Deed (Reg) Property Map *Lot Dimensions are Estimated 11.d Packet Pg. 151 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 11.d Packet Pg. 152 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 153 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 04/17/2017 Resume for Kenneth Patterson: 1975 to late 1979 Mess Management Specialist for USN (primary jobs: Staff Cook, Mess Manager, maintained food supplies and Buyers agent for ships food) I was E4 at time of discharge. Licensed as a California Real Estate Agent in 1979 Licensed as a California Real Estate Broker in 1989 Licensed as a Security Dealer with the National Association of Security Dealers (FINRA) in 1995. (Series 7 and 63 license, State of California Fixed and Variable life license) 1993-1995 Manager of Neighborhood Mortgage Corp. in Costa Mesa, Ca. (4 offices in Southern Ca.) We did over $80 million in Originating Residential and Commercial loans yearly. 1995 through 1997 Independent Security Dealer with American Express Financial Advisor. Since 1998 through 2011 I managed Investment Retirement accounts for clients as an Independent Security Dealer and Small Group Health Benefits; through Lighthouse Capital Corporation out of Monterey, CA. From 1979 through 1999 I primarily sold and developed land to and for developers as an independent agent/broker. From 2000 to 2005 I incorporated residential sales into my sales activities because of demand by builders/developers I worked with. At which time I became an associate broker with Coldwell Banker Kivett-Teeters, I averaged 70 closed transactions per-year, until the recent down turn in the market. Mid-year 2005 to August 2012; Coldwell Banker Commercial Kivett-Teeters became the newest Commercial franchise. I deal in Commercial Sales, Building Leases, Ground Leases, land Sales and development. 2003-2007 I have been awarded the International Presidents Circle from Coldwell Banker International, which places me in the top 5% of Sales Associates Internationally. 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 154 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 August 2012 to Current I moved to Keller Williams Commercial as an Associate Broker in Redlands Ca. Doing the same business practices in the commercial arena, plus I now work with Asset Managers for Defaulted Notes and Real Estate, Probate and Bankruptcy Trustees. I'm also currently an Independent Financial Advisor for Colorado Financial Services. Kenneth Patterson KW Commercial 1473 Ford St Ste #200 Redlands, Ca. 92373 951-318-8516 cell 909-793-8200 Fax kenpcommercial@gmail.com Ca Lic#00774852 480 N. D St, San Bernardino, CA 92401 KW COMMERCIAL 1473 Ford Street Redlands, CA 92373 www.kwcommercial.com We obtained the information above from sources we believe to be reliable.However,we have not verified its accuracy and make no guarantee,warranty or representation about it.It is submitted subject to the possibility of errors,omissions,change of price,rental or other conditions,prior sale,lease or financing,or withdrawal without notice.We include projections,opinions,assumptions or estimates for example only,and they may not represent current or future performance of the property.You and your tax and legal advisors should conduct your own investigation of the property and transaction. KENNETH PATTERSON Agent 0: 909.793.2100 kenpcommercial@gmail.com DOUGLAS REYNOLDSONCommercial Real Estate Investment AdvisorO: 909.793.2100C: 909.478.4517dreynoldson@kwcommercial.comCA DRE# #01456022 11.d Packet Pg. 155 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 3 (5936 : Purchase and Sale Agreement for 478 and 480 PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS SELLER: Successor Agency to the Redevelopment Agency of the City of San Bernardino BUYER: Inland Maple Partners, LLC DATED: February 6, 2019 (478 and 480 N. “D” Street, San Bernardino, California, APNs 034-141-28 and 0134-141-29) 11.e Packet Pg. 156 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. BASIC TERMS Buyer: Inland maple Partners, LLC Buyer’s Address: 363 W 6th Street San Bernardino, CA 92401-1128 Email: davidfriedmanhomes@gmail.com Tel: 909-486-2957 City: City of San Bernardino Closing Contingency Date: May 15, 2019 Closing Date (or Closing) Estimated to occur by March 3, 2019, but not later than the Outside Date Deed: A grant deed in the form of Exhibit B hereto Effective Date: February 6, 2019 Escrow Holder: Commonwealth Land Title A Fidelity National Financial Company 888 S. Figueroa Street, Suite 2100 Los Angeles, CA 90017 Tel: (213) 330-3059 Attention: Crystal Leyvas, Vice President, National Accounts National Commercial Services Direct: (213) 330-3059; email: Cleyvas@cltic.com (or another escrow holder mutually acceptable to Buyer and Seller) Independent Consideration Amount: Two Hundred Dollars ($200) Outside Date: June 9, 2019; provided that such date may be extended by mutual writing agreement by Seller and Buyer Purchase Price: Fifty-Four Thousand Dollars ($54,150) Real Property: That property described in Exhibit A hereto; the subject property is sometimes referred to as APNs 0134-141-28 and 0134-141-29 Seller: Successor Agency to the Redevelopment Agency of the City of San Bernardino Seller’s Address: 290 N. “D” Street – Third Floor San Bernardino, California 92418 11.e Packet Pg. 157 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. Attention: Andrea M. Miller, City Manager Tel. (909) 384-5122 Fax: (909) 384-5138 Email: Miller_An@sbcity.org Soil and Title Contingency Date: April 18, 2019 Title Company: Commonwealth Land Title A Fidelity National Financial Company 888 S. Figueroa Street, Suite 2100 Los Angeles, CA 90017 Tel: (213) 330-3059 Attention: Crystal Leyvas, Vice President, National Accounts National Commercial Services Direct: (213) 330-3059; email: Cleyvas@cltic.com (or another title company mutually acceptable to Buyer and Seller) 2 11.e Packet Pg. 158 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS This PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS (“Agreement”) is made and entered into as of February 6, 2019 (the “Effective Date”) by and between Seller and Buyer. RECITALS A. Seller is the fee owner of the Real Property. The Real Property is approximately 0.26 acres of vacant land. B. Seller has offered to sell to Buyer the Real Property described herein for the price and subject to the terms set forth below. Buyer has considered the offer by Seller and agrees to buy from Seller the Real Property, as more specifically described below. C. In addition to the Purchase Price, material considerations to Seller in agreeing to enter into this Agreement, Buyer has agreed to pay to Seller the Independent Consideration Amount; NOW, THEREFORE, in consideration of the mutual covenants and agreements contained herein, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Seller and Buyer agree as follows: 1. Purchase and Sale. Seller hereby agrees to sell the Real Property to Buyer, and Buyer hereby agrees to purchase the Real Property from Seller, on the terms and conditions set forth in this Agreement. The term Real Property is defined collectively as the following: (a) The fee interest in the Real Property to be conveyed by a grant deed in the form of the Deed; and (b) All personal property, equipment, supplies, and fixtures owned by Seller and located at the Real Property. 2. Payment of Consideration. As consideration for the sale of the Real Property from Seller to Buyer, Buyer shall, at the Closing (as defined below), pay to Seller the Purchase Price for the Real Property. Upon payment of the Purchase Price (less any adjustments made to clear liens and to defray Seller’s costs of sale including, but not limited to, the preparation of legal documents and validation of the purchase price incurred by the City of San Bernardino and the Seller’s share of closing costs), the use of sales proceeds by Seller is a matter with which Buyer is not concerned. 3. Escrow and Independent Consideration. (a) Opening of Escrow. For the purposes of this Agreement, the escrow (“Escrow”) shall be deemed opened (“Opening of Escrow”) on the date that Escrow Holder receives a copy of this Agreement fully executed by Buyer and Seller. Buyer and Seller shall use their best efforts to cause the Opening of Escrow to occur on or before five (5) business days after the Effective Date. Escrow Holder shall promptly notify Buyer and Seller in writing of the date of the Opening of Escrow. Buyer and Seller agree to execute, deliver and be bound by any reasonable or 3 11.e Packet Pg. 159 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. customary supplemental escrow instructions or other instruments reasonably required by Escrow Holder to consummate the transaction contemplated by this Agreement; provided, however, that no such instruments shall be inconsistent or in conflict with, amend or supersede any portion of this Agreement. If there is any conflict or inconsistency between the terms of such instruments and the terms of this Agreement, then the terms of this Agreement shall control. Without limiting the generality of the foregoing, no such instruments shall extinguish any obligations imposed by this Agreement or any other agreement between Seller and Buyer. (b) Independent Consideration. Within two (2) days after the Effective Date, Buyer shall pay to Seller the Independent Consideration Amount to be retained by Seller as non- refundable independent consideration. The Independent Consideration Amount has been bargained for and agreed to as consideration for Seller’s execution and delivery of this Agreement and Seller holding the Real Property off the market for a period commencing as of the Effective Date and continuing until the Outside Date and for the rights and privileges granted to Buyer herein, including any and all rights granted to Buyer to terminate this Agreement under the circumstances provided for herein. Notwithstanding anything to the contrary contained in this Agreement, the Independent Consideration Amount shall be non-refundable in all events, except for (i) Seller’s default hereunder, (ii) the failure of the Countywide Oversight Board of the County of San Bernardino (the “CWOB”) to approve the sale of the Real Property as provided under this Agreement, and (iii) actions by the California Department of Finance (“DOF”) which prevent the disposition of the Real Property to Buyer as provided under this Agreement. If the Closing occurs, a credit shall be applied to the Purchase Price based upon payment of the Independent Consideration Amount. (c) Closing. For purposes of this Agreement, the “Closing” or “Closing Date” shall be the date the Deed (as defined below) is recorded pursuant to applicable law in the county in which the Real Property is located. Unless changed in writing by Buyer and Seller, the Closing shall occur on the Closing Date, or as soon thereafter as the conditions precedent to closing are satisfied pursuant to Sections 6 and 7 of this Agreement. If the Closing has not, for any reason, occurred by the Closing Date, then either Buyer or Seller may terminate this Agreement by delivering written notice to the other at any time after the outside Closing Date; provided, however, that if either party is in default under this Agreement at the time of such termination, then such termination shall not affect the rights and remedies of the non-defaulting party against the defaulting party. 4. Seller’s Delivery of Real Property and Formation Documents. Within ten (10) days after the Effective Date, Seller shall deliver to Buyer the following items (collectively, the “Property Documents”): (a) Such proof of Sellers’ authority and authorization to enter into this Agreement and to consummate this transaction as may be reasonably requested by Buyer and the Title Company consistent with the terms of this Agreement, including without limitation approval of the CWOB of the sale of the Real Property by Seller to Buyer. In addition, Seller shall cause Escrow Holder to obtain and deliver to Buyer a Natural Hazard Report as provided for under Sections 1102 and 1103 of the California Civil Code (the “Natural Hazard Report”) on or before the Soil and Title Contingency Date. 4 11.e Packet Pg. 160 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. 5. Buyer’s Right of Entry. From and after the Opening of Escrow through the earlier to occur of the termination of this Agreement or the Soil and Title Contingency Date, or as otherwise agreed in writing by Seller prior to entry is effected, Buyer and Buyer’s employees, agents, consultants and contractors shall have the right to enter upon the Real Property during normal business hours, provided reasonable prior notice has been given to Seller. (a) Investigation of the Real Property. In addition to the foregoing, the Buyer shall have the right, at its sole cost and expense, prior to the Soil and Title Contingency Date, to engage its own environmental consultant (the “Environmental Consultant”) to make such investigations as Buyer deems necessary or appropriate, including any “Phase 1” or “Phase 2” investigations of the Real Property. If, based upon such evaluation, inspections, tests or investigation, Buyer determines that it, in its discretion, does not wish to proceed with purchase of the Real Property based upon the condition of the Real Property, Buyer may cancel this Agreement by giving written notice of termination to Seller on or before the Soil and Title Contingency Date which specifically references this Section 5. If Buyer does not cancel this Agreement by the time allowed under this Section 5, Buyer shall be deemed to have approved the evaluation, inspections and tests as provided herein and to have elected to proceed with this transaction on the terms and conditions of this Agreement. Buyer shall provide a copy to the Seller of all reports and test results provided by Buyer’s Environmental Consultant promptly after receipt by the Buyer of any such reports and test results without any representation or warranty as to their accuracy or completeness. Buyer shall bear all costs, if any, associated with restoring the Real Property to substantially the same condition prior to its testing by or on behalf of Buyer if requested to so do by Seller but excluding any latent defects or Hazardous Materials (as defined below) discovered by Buyer during its investigation of the Real Property. Buyer agrees to indemnify, protect, defend (with counsel satisfactory to Seller) and hold Seller and the Real Property free and harmless from and against all costs, claims, losses, liabilities, damages, judgments, actions, demands, attorneys’ fees or mechanic’s liens arising out of or resulting from any entry or activities on the Real Property by Buyer, Buyer’s agents, contractors or subcontractors and the contractors and subcontractors of such agents, but in no event shall the indemnity of this Section include the discovery of pre-existing conditions by Buyer or any such liabilities, costs, etc. arising from the negligence or willful misconduct of Seller and/or its consultants. The indemnity obligations of Buyer set forth in this Section 5(a) shall survive any termination of this Agreement or the Close of Escrow. “Hazardous Materials” means any substance, material, or waste which is or becomes regulated by any local governmental authority, the County, the State of California, regional governmental authority, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a “hazardous waste,” “extremely hazardous waste,” or “restricted hazardous waste” under Sections 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as a “hazardous substance” under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter-Presley-Tanner Hazardous Substance Account Act), (iii) defined as a “hazardous material,” “hazardous substance,” or “hazardous waste” under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a “hazardous substance” under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) friable asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as “hazardous” or “extremely hazardous” pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, 5 11.e Packet Pg. 161 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. Chapter 20, (ix) designated as “hazardous substances” pursuant to Section 311 of the Clean Water Act (33 U.S.C. §1317), (x) defined as a “hazardous waste” pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. §6901 et seq. (42 U.S.C. §6903) or (xi) defined as “hazardous substances” pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, and Liability Act, 42 U.S.C. §9601 et seq. (b) No Warranties as to the Real Property. The physical condition and possession of the Real Property, is and shall be delivered from Seller to Buyer in an “as is” condition, with no warranty expressed or implied by Seller, including without limitation, the presence of Hazardous Materials or the condition of the soil, its geology, the presence of known or unknown seismic faults, or the suitability of the Real Property for development purposes. In addition, Seller makes no representations, warranties or assurances concerning the Real Property, its suitability for any particular use or with regard to the approval process for entitlements as to the Real Property. (c) Buyer Precautions after Closing. Upon and after the Closing, Buyer shall take all necessary precautions to prevent the release into the environment of any Hazardous Materials which are located in, on or under the Real Property. Such precautions shall include compliance with all laws, ordinances, statutes, codes, rules, regulations, orders, and decrees of the United States, the state, the County, the City, or any other political subdivision in which the Real Property is located, and of any other political subdivision, agency, or instrumentality exercising jurisdiction over the Real Property (“Governmental Requirements”) with respect to Hazardous Materials. 6. Buyer’s Conditions Precedent and Termination Right. (a) Conditions Precedent. The Closing and Buyer’s obligation to consummate the purchase of the Real Property under this Agreement are subject to the timely satisfaction or written waiver of the following conditions precedent (collectively, “Buyer’s Contingencies”), which are for Buyer’s benefit only. (i) Title Review. Within twenty (20) calendar days after the Opening of Escrow, Seller shall cause the Title Company to deliver to Buyer a preliminary title report (the “Report”) describing the title to the Real Property, together with copies of the plotted easements and the exceptions (the “Exceptions”) set forth in the Report; provided that the cost of the Report shall be borne by Seller. Seller acknowledges that the Buyer’s Title Policy shall include an endorsement against the effect of any mechanics’ liens; Seller will provide such indemnity or other assurances as necessary to induce the Title Company to provide such endorsement. On or before the Soil and Title Contingency Date, Buyer shall have approved in writing, in Buyer’s sole discretion, any matters of title disclosed by the following (collectively, the “Title Documents”): (i) the Report; (ii) the Exceptions; (iii) the legal description of the Real Property and (iv) any survey Buyer desires to obtain at Buyer’s sole cost and expense. Buyer shall have the same rights to approve or disapprove any exceptions to title that are not created by Buyer and that come into existence after issuance of the Report but prior to Closing. Seller shall, on or before the Closing, remove all deeds of trust, mortgages, and delinquent taxes (but not the lien for any real property taxes or assessments not yet delinquent). (ii) Buyer’s Title Policy. On or before the Closing, the Title Company shall, upon payment (by Buyer) of the Title Company’s premium, have agreed to issue to Buyer, a 6 11.e Packet Pg. 162 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. standard ALTA owner’s policy of title insurance insuring only as to matters of record title (“Standard Buyer’s Title Policy”) in the amount of the Purchase Price showing fee title to the Real Property vested solely in Buyer and subject only to the (i) the standard, preprinted exceptions to Buyer’s Title Policy; (ii) liens to secure payment of real estate taxes or assessments not yet delinquent; (iii) matters affecting the Real Property created by or with the written consent of Buyer; and (iv) those matters specifically approved in writing by Buyer. Buyer shall have the right, at its sole cost and expense, to obtain coverage beyond that offered by a Standard Buyer’s Title Policy (such as an owner’s extended coverage ALTA policy); provided, however, that Buyer’s ability to obtain such extended coverage shall not be a Buyer’s Contingency and Buyer’s obligations hereunder shall in no way be conditioned or contingent upon obtaining such extended coverage. Buyer shall have sole responsibility for obtaining, and bearing the cost of, any endorsements and for any survey or other matters required by the Title Company for such extended coverage. In the event Buyer is married but is taking title as Buyer’s sole and separate property, Buyer shall, as a condition to closing, provide to Seller and to the Title Company a spousal consent in form acceptable to Title Company and Seller. In the event Buyer enters into a loan agreement to generate moneys to purchase the Real Property from Seller under this Agreement, Buyer and not Seller shall be responsible for the title insurance, closing costs and any other costs, fees or expenses in relation to Buyer obtaining such loaned moneys. The sale shall be all cash to Seller. (iii) Physical and Legal Inspections and Studies. On or before Soil and Title the Contingency Date, Buyer shall have approved in writing, in Buyer’s sole and absolute discretion, the results of any physical and legal (but not feasibility or economic) inspections, investigations, tests and studies. Buyer elects to make or obtain, including, but not limited to, investigations with regard to zoning, building codes and other governmental regulations; engineering tests; soils, seismic and geologic reports; environmental audits, inspections and studies; environmental investigation or other invasive or subsurface testing; and any other physical or legal inspections and/or investigations as Buyer may elect to make or obtain. (iv) Natural Hazard Report. Seller shall cause the Escrow Holder to provide to Buyer prior to the Soil and Title Contingency Date the Natural Hazard Report described at Section 8(a)(iii) of this Agreement; provided that Seller shall bear the cost to prepare such Natural Hazard Report. (v) Property and Formation Documents. On or before the Soil and Title Contingency Date, Buyer shall have approved in writing, in Buyer’s reasonable discretion, the terms, conditions and status of all of the Property Documents. (vi) Delivery of Documents. Seller’s delivery of all documents described in Section 8, below. (vii) Representations and Warranties. All representations and warranties of Seller contained in this Agreement shall be materially true and correct as of the date made and as of the Closing. (viii) Title Company Confirmation. The Title Company shall have confirmed that it is prepared to issue the Buyer’s Title Policy consistent with the provisions of this Agreement. 7 11.e Packet Pg. 163 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. (ix) CWOB and DOF Approval. The CWOB and, if required as a condition of the issuance of title insurance or by either party hereto, approval by DOF, shall have been given as to the disposition of the Real Property by Seller to Buyer under this Agreement. (x) No Default. As of the Closing, Seller shall not be in default in the performance of any material covenant or agreement to be performed by Seller under this Agreement. (b) Termination Right. Each of (i), (ii) and (iii) shall operate independently and each shall entitle Seller to terminate this Agreement, as follows: (i) If the Independent Consideration Amount is not paid by Buyer to Seller by the time set forth therefor in Section 3(b)(i) of this Agreement, then this Agreement shall terminate upon Seller giving notice thereof to Buyer; (ii) If any of Buyer’s Contingencies are not met by the Closing Contingency Date, and Seller so informs Buyer, Buyer may, by written notice to Seller, terminate this Agreement. If this Agreement is so terminated, then (except to the extent expressly allocated to one party hereto by this Agreement) any escrow, title or other cancellation fees shall be paid by Buyer, unless Seller is in default hereunder, in which case Seller shall pay all such fees. If the Agreement has not been terminated pursuant to (i) or (ii) of this Section 6(b) and Buyer has not terminated this Agreement in writing (“Termination Notice”) on or before 5:00 p.m. on the Monday preceding the scheduled Closing (“Termination Notice Deadline”), then all such Buyer’s Contingencies shall be deemed to have been satisfied and this Agreement shall continue pursuant to its terms. If Buyer has not delivered a Termination Notice as the items set forth in Sections 6(a)(i)-(xi) inclusive, prior to the Termination Notice Deadline, such Buyer’s Contingencies shall be deemed to have been satisfied. If this Agreement is terminated, then (except to the extent expressly allocated to one party hereto by this Agreement) any escrow, title or other cancellation fees shall be paid by Buyer, unless Seller is in default hereunder, in which case Seller shall pay all such fees. (c) Seller’s Cure Right. Buyer shall notify Seller, in Buyer’s Termination Notice, of Buyer’s disapproval or conditional approval of any Title Documents. Seller shall then have the right, but not the obligation, to (i) remove from title any disapproved or conditionally approved Exception(s) (or cure such other title matters that are the basis of Buyer’s disapproval or conditional approval of the Title Documents) within five (5) business days after Seller’s receipt of Buyer’s Termination Notice, or (ii) provide assurances reasonably satisfactory to Buyer that such Exception(s) will be removed (or other matters cured) on or before the Closing. With respect to any such Exception, it shall be sufficient for purposes hereof for Seller to commit in writing, within the applicable period, to remove such Exception at or before the Closing. Seller’s failure to remove such Exception after committing to do so shall be a default hereunder. An Exception shall be deemed removed or cured if Seller furnishes Buyer with evidence that the Title Company will issue the Buyer’s Title Policy, as defined herein, at the Closing deleting such Exception or providing an endorsement (at Seller’s expense) reasonably satisfactory to Buyer concerning such Exception. If Seller cannot or does not remove or agree to remove any of the disapproved Exception(s) (or cure other matters) within such five (5) business day period, Buyer shall have three (3) business days 8 11.e Packet Pg. 164 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. after the expiration of such five (5) business day period to give Seller written notice that Buyer elects to proceed with the purchase of the Real Property subject to the disapproved Title Document(s), it being understood that Buyer shall have no further recourse against Seller for such disapproved Title Exception(s). 7. Seller’s Conditions Precedent and Termination Right. The Closing and Seller’s obligations with respect to the transaction contemplated by this Agreement are subject to the timely satisfaction or written waiver of the following condition precedent (“Seller’s Contingencies”), which are for Seller’s benefit only: (a) Completion of Title Review. Seller shall have received written confirmation from Buyer on or before the Soil and Title Contingency Date that Buyer has completed its review of title and that the condition of title satisfactory. (b) Confirmation Concerning Site. Seller shall have received written confirmation from Buyer on or before the Soil and Title Contingency Date that Buyer has reviewed the condition of the Real Property, including without limitation concerning Hazardous Materials, zoning and suitability, and approves the condition of the Real Property. (c) Confirmation Regarding Buyer’s Title Policy. Seller shall have received written confirmation from Buyer on or before the Soil and Title Contingency Date that Buyer has approved a pro forma title policy. (d) Liens. Seller shall have obtained the consent of any lien holder to the release of such liens prior to or concurrent with closing. (e) CWOB and DOF Approval. The approval by the CWOB and DOF shall have been given as to the disposition of the Real Property by Seller to Buyer under this Agreement. (f) Delivery of Documents. Buyer’s delivery of all documents described in Section 9(a), below. Should any of Buyer’s Contingencies not be met by the respective times set forth for the satisfaction for such contingency (and without regard to whether all such contingencies have been removed or satisfied) and Buyer has so informed Seller, Seller may, by written notice to Buyer, terminate this Agreement; such termination rights shall be in addition to those termination rights of Seller as set forth in Section 6. If this Agreement is so terminated, then (except to the extent expressly allocated to one party hereto by this Agreement) any escrow, title or other cancellation fees shall be paid by Buyer. 8. Seller’s Deliveries to Escrow Holder. (a) Seller’s Delivered Documents. At least one (1) business day prior to the Closing Date, Seller shall deposit or cause to be deposited with Escrow Holder the following items, duly executed and, where appropriate, acknowledged (“Seller’s Delivered Items”): (i) Deed. The Deed. (ii) FIRPTA/Tax Exemption Forms. The Transferor’s Certification of Non-Foreign Status in the form attached hereto as Exhibit C (the “FIRPTA Certificate”), together 9 11.e Packet Pg. 165 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. with any necessary tax withholding forms, and a duly executed California Form 593-C, as applicable (the “California Exemption Certificate”). (iii) Hazard Disclosure Report. Unless earlier delivered to Buyer, Seller shall cause Escrow Holder to obtain and deliver to Buyer, at Seller’s cost, a Natural Hazard Report as provided for under Sections 1102 and 1103 of the California Civil Code (the “Natural Hazard Report”) before the Closing. (iv) Possession of Real Property. Possession of the Real Property free of any tenancies or occupancy. (v) Authority. Such evidence of Seller’s authority and authorization to enter into this Agreement and to consummate this transaction as may be reasonably requested by Buyer and the Title Company which are consistent with the terms of this Agreement. (vi) Further Documents or Items. Any other documents or items reasonably required to close the transaction contemplated by this Agreement as determined by the Title Company which are consistent with the terms of this Agreement. (b) Failure to Deliver. Should any of Seller’s Delivered Items not be timely delivered to Escrow, Buyer may, by written notice to Seller, terminate this Agreement; provided, however, that Buyer may (but shall not be obligated to) in such notice provide Seller with five (5) business days to deliver all of Seller’s Delivered Items. If Buyer’s notice provides Seller such five (5) business days to deliver Seller’s Delivered Items, and if Seller’s Delivered Items are not delivered within such period, then this Agreement shall automatically terminate without further action or notice. In the event of any such termination, any cash deposited by Buyer shall immediately be returned to Buyer. Under no circumstances shall Buyer have any responsibility to or duty to pay consultants or real estate brokers retained by Seller, Seller being solely responsible in connection with any such contractual arrangements of Seller. 9. Buyer’s Deliveries to Escrow. At least one (1) business day prior to the Closing Date, Buyer shall deposit or cause to be deposited with Escrow Holder the following, each duly executed and acknowledged, by Buyer as appropriate (“Buyer’s Delivered Items”): (a) Purchase Price. The Purchase Price, less amounts which Seller confirms in writing to Escrow Holder were theretofore paid to Seller as the Independent Consideration Amount, together with additional funds as are necessary to pay Buyer’s closing costs set forth in Section 10(b) herein. In the event Seller does not qualify for an exemption from California withholding tax under Section 18662 of the California Revenue and Taxation Code, as evidenced by the delivery at Closing of the California Exemption Certificate duly executed by Seller, Title Company shall withhold three and one-third percent (3-1/3%) of the Purchase Price on behalf of Buyer for payment to the California Franchise Tax Board in accordance with Section 11(b) hereof. In the event Seller is not exempt from such withholding or does not otherwise deliver the California Exemption Certificate at Closing, Buyer shall execute and deliver three (3) originals of California Form 593 to Title Company at or immediately after Closing. (b) Change of Ownership Report. One (1) original Preliminary Change of Ownership Report. 10 11.e Packet Pg. 166 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. (c) Final Escrow Instructions. Buyer’s final written escrow instructions to close escrow in accordance with the terms of this Agreement. (d) Authority. Such proof of Buyer’s authority and authorization to enter into this Agreement and to consummate the transaction contemplated hereby as may be reasonably requested by Seller or the Title Company. (e) Moneys for Buyer’s Real Estate Broker. Buyer shall deposit any moneys due and payable to Buyer’s Real Estate Broker in connection with the sale of the Real Property. (f) Further Documents or Items. Any other documents or items reasonably required to close the transaction contemplated by this Agreement as determined by the Title Company. 10. Costs and Expenses. (a) Seller’s Costs. If the transaction contemplated by this Agreement is consummated, then Seller shall be debited for and bear the following costs: (i) costs and charges associated with the removal of encumbrances; (ii) Seller’s share of prorations; (iii) the premium for a Standard Buyer’s Title Policy with coverage in the amount of the Purchase Price; (iv) documentary recording fees, if any; (v) documentary transfer tax, if any; (vi) the Seller’s Real Estate Broker’s Commission of Five Thousand Four Hundred Fifteen Dollars ($5,415) which the parties acknowledge and agree that at Close of Escrow, Seller shall pay Seller’s Real Estate Broker’s Commission for sale of the Property in accordance with Seller’s listing agreement with Seller’s Real Estate Broker and that the broker's commission shall be divided equally between Buyer's Real Estate Broker and Seller's Real Estate Broker; (vii) one half of the escrow charges; and (viii) costs, if any, allocable to Seller under this Agreement and costs for such services as Seller may additionally request that Escrow perform on its behalf (which foregoing items collectively constitute “Seller’s Costs and Debited Amounts”). (b) Buyer’s Costs. If the transaction contemplated by this Agreement is consummated, then Buyer shall bear the following costs and expenses: (i) the Escrow Holder’s fee; (ii) Buyer’s share of prorations, (iii) the premium for title insurance other than or in excess of a Standard Buyer’s Title Policy based on the Purchase Price, and, if applicable, the cost for any survey required in connection with the delivery of an ALTA owner’s extended coverage policy of title insurance; (iv) one half of escrow charges; (v) recording and other costs of closing; (vi) costs, if any, for such services as Buyer may additionally request that Escrow perform on its behalf; and (vii) any costs associated with Buyer borrowing money in order to pay to Seller the Purchase Price (collectively, “Buyer’s Costs and Debited Amounts”). (c) Generally. Each party shall bear the costs of its own attorneys, consultants, and real estate brokers, other than broker’s commission, in connection with the negotiation and preparation of this Agreement and the consummation of the transaction contemplated hereby. The parties acknowledge and agree that at Close of Escrow, Seller shall pay Seller’s Real Estate Broker’s Commission for sale of the Property in accordance with Seller’s listing agreement with Seller’s Real Estate Broker and that the broker's commission shall be divided equally between Buyer's Real Estate Broker and Seller's Real Estate Broker. 11 11.e Packet Pg. 167 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. 11. Prorations; Withholding. (a) All revenues (if any) and expenses relating to the Real Property (including, but not limited to, property taxes, utility costs and expenses, water charges and sewer rents and refuse collection charges) shall be prorated as of the Closing Date; provided that all delinquent taxes shall be satisfied at the expense of Seller. Not less than five (5) business days prior to the Closing, Seller shall deliver to Buyer a tentative schedule of prorations for Buyer’s approval (the “Proration and Expense Schedule”). If any prorations made under this Section shall require final adjustment after the Closing, then the parties shall make the appropriate adjustments promptly when accurate information becomes available and either party hereto shall be entitled to an adjustment to correct the same. Any corrected or adjustment proration shall be paid promptly in cash to the party entitled thereto. (b) In the event Seller does not qualify for an exemption from California withholding tax under Section 18662 of the California Revenue and Taxation Code (the “Tax Code”) as evidenced by the delivery to Buyer at Closing of the California Exemption Certificate duly executed by Seller, (i) Title Company shall withhold three and one-third percent (3-1/3%) of the Purchase Price on behalf of Buyer at Closing for payment to the California Franchise Tax Board in accordance with the Tax Code, (ii) Buyer shall deliver three (3) duly executed copies of California Form 593 to Title Company at or immediately after Closing, (iii) two (2) copies of California Form 593 shall be delivered by Title Company to Seller, and (iv) on or before the 20th day of the month following the month title to the Real Property is transferred to Buyer (as evidenced by the recording of the Grant Deed), Title Company shall remit such funds withheld from the Purchase Price, together with one (1) copy of California Form 593 to the California Franchise Tax Board on behalf of Buyer. Buyer and Seller hereby appoint Title Company as a reporting entity under the Tax Code, authorized to withhold and remit the withholding tax contemplated under the Tax Code, together with such other documents required by the Tax Code (including, without limitation, California Form 593), to the California Franchise Tax Board. 12. Closing Procedure. When the Title Company is unconditionally prepared (subject to payment of the premium therefor) to issue the Buyer’s Title Policy, and all required documents and funds have been deposited with Escrow Holder, Escrow Holder shall immediately close Escrow in the manner and order provided below. (a) Recording. Escrow Holder shall cause the Deed to be recorded pursuant to applicable law in the county in which the Real Property is located and obtain conformed copies thereof for distribution to Buyer and Seller. (b) Disburse Funds. Escrow Holder shall debit or credit (as provided herein) all Buyer’s Costs and Debited Amounts, Seller’s Costs and Debited Amounts and General Expenses, prorate matters and withhold funds as provided herein. The Purchase Price, less any applicable debits or credits (including any liens as to which such liens and the amount to satisfy such liens shall have been confirmed in writing by Seller to Escrow Holder) shall be distributed by check payable to Seller unless Escrow Holder is instructed otherwise in writing signed by Seller (and, in such event, in accordance with such instructions). Seller authorizes Escrow Holder to request demands for payment and to make such payments from the Purchase Price (or such other funds, if any, as are advanced by Seller) to defray the cost of removing deeds of trust, liens and other encumbrances (but not for obligations of Buyer). Escrow Holder shall disburse on behalf of Buyer such moneys as are deposited by Buyer (in addition to the Purchase Price and Buyer’s share of closing costs) as the 12 11.e Packet Pg. 168 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. commission for Buyer’s Real Estate Broker (unless Buyer’s Real Estate Broker shall deliver a written statement to Escrow Holder which indicates that Buyer has arranged to pay Buyer’s Real Estate Broker outside escrow and that payment of such remuneration is a matter with respect to which Escrow Holder and Seller need not be concerned). (c) Documents to Seller. Escrow Holder shall deliver to Seller a conformed copy of the Deed, and documents, if any, recorded on behalf of any lender, as duly recorded among the official land records of the County of San Bernardino, and a copy of each other document (or copies thereof) deposited into Escrow by Buyer pursuant hereto. (d) Documents to Buyer. Escrow Holder shall deliver to Buyer the original FIRPTA Certificate, the original California Exemption Certificate (as applicable), and a conformed copy of each of the Deed as duly recorded among the official land records of the County of San Bernardino, the Natural Hazard Report, and each other document (or copies thereof) deposited into Escrow by Seller pursuant hereto, including, without limitation, those documents referenced in Section 8. (e) Title Company. Escrow Holder shall cause the Title Company to issue the Buyer’s Title Policy to Buyer. (f) Closing Statement. Escrow Holder shall forward to both Buyer and Seller a separate accounting of all funds received and disbursed for each party. (g) Informational Reports. Escrow Holder shall file any information reports required by Internal Revenue Code Section 6045(e), as amended. (h) Possession. Possession of the Real Property shall be delivered to Buyer at the Closing. 13. Representations and Warranties. (a) Seller’s Representations and Warranties. In consideration of Buyer entering into this Agreement and as an inducement to Buyer to purchase the Real Property, Seller makes the following representations and warranties as of the Effective Date and as of the Closing, each of which is material and is being relied upon by Buyer (and the truth and accuracy of which shall constitute a condition precedent to Buyer’s obligations hereunder), and all of which are material inducements to Buyer to enter into this Agreement (and but for which Buyer would not have entered into this Agreement) and shall survive Closing; provided that each of the representations and warranties of Seller is based upon the information and belief of the Executive Director of the Successor Agency: (i) Seller believes that it has the legal power, right and authority to enter into this Agreement and the instruments referenced herein, and to consummate the transaction contemplated subject to the approval of the CWOB and, as may be applicable, DOF. (ii) Subject to the approval of the CWOB and, as may be applicable, DOF, Seller believes that all requisite action (corporate, trust, partnership or otherwise) has been taken by Seller in connection with entering into this Agreement and the instruments referenced 13 11.e Packet Pg. 169 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. herein; and, by the Closing, all such necessary action will have been taken to authorize the consummation of the transaction contemplated hereby. (iii) Subject to the approval of the CWOB and, as may be applicable, DOF, the individual executing this Agreement and the instruments referenced herein on behalf of Seller has the legal power, right and actual authority to bind Seller to the terms and conditions hereof and thereof. (iv) Seller believes that neither the execution or delivery of this Agreement or the documents or instruments referenced herein, nor incurring the obligations set forth herein, nor the consummation of the transaction contemplated herein, nor compliance with the terms of this Agreement or the documents or instruments referenced herein or therein conflict with or result in the material breach of any terms, conditions or provisions of, or constitute a default under, any bond, note or other evidence of indebtedness or any contract, indenture, mortgage, deed of trust, loan, lease or other agreement or instrument to which Seller is a party or that affect the Real Property, including, but not limited to, any of the Title Documents or the Property Documents. (v) There is no pending litigation nor, to the best of Seller’s knowledge, threatened litigation, which does or will adversely affect the right of Seller to convey the Real Property. There are no claims which have been received by Seller that have not been disclosed to Buyer. (vi) Seller has made no written or oral commitments to or agreements with any governmental authority or agency materially and adversely affecting the Real Property, or any part hereof, or any interest therein, which will survive the Closing. (vii) There are no leases or rental agreements in effect as to the Real Property. (viii) Seller is not in default of its obligations under any contract, agreement or instrument to which Seller is a party pertaining to the Real Property. (ix) There are no mechanics’, materialmen’s or similar claims or liens presently claimed or which will be claimed against the Real Property for work performed or commenced for Seller or on Seller’s behalf prior to the date of this Agreement. (x) There are no undisclosed contracts, licenses, commitments, undertakings or other written or oral agreements for services, supplies or materials concerning the use, operation, maintenance, or management of the Real Property that will be binding upon Buyer or the Real Property after the Closing. There are no oral contracts or other oral agreements for services, supplies or materials, affecting the use, operation, maintenance or management of the Real Property. (xi) There are not as of the Effective Date, nor will there be as of the Closing, any written or oral leases or contractual right or option to lease, purchase, or otherwise enjoy possession, rights or interest of any nature in and to the Real Property or any part thereof, and no person other than Buyer shall have any right of possession to the Real Property or any part thereof as of the Closing. 14 11.e Packet Pg. 170 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. (xii) No person, excepting Seller, has possession or any rights to possession of the Real Property or portion thereof. (b) Subsequent Changes to Seller’s Representations and Warranties. If, prior to the Closing, Buyer or Seller should learn, discover or become aware of any existing or new item, fact or circumstance which renders a representation or warranty of Seller set forth herein incorrect or untrue in any respect (collectively, the “Seller Representation Matter”), then the party who has learned, discovered or become aware of such Representation Matter shall promptly give written notice thereof to the other party and Seller’s representations and warranties shall be automatically limited to account for the Representation Matter. Buyer shall have the right to approve or disapprove any such change and to terminate this Agreement by written notice to Seller if Buyer reasonably disapproves any such change. If Buyer does not elect to terminate this Agreement, Seller’s representation shall be qualified by such Seller Representation Matter and Seller shall have no obligation to Buyer for such Seller Representation Matter. (c) Buyer’s Representations and Warranties. In consideration of Seller entering into this Agreement and as an inducement to Seller to sell the Real Property, Buyer makes the following representations and warranties as of the date hereof and at and as of the Closing, each of which is material and is being relied upon by Seller (and the truth and accuracy of which shall constitute a condition precedent to Seller’s obligations hereunder), and all of which shall survive Closing: (i) Buyer has the legal power, right and authority to enter into this Agreement and the instruments referenced herein, and to consummate the transaction contemplated hereby. (ii) All requisite action has been taken by Buyer in connection with entering into this Agreement and the instruments referenced herein; and, by the Closing, all such necessary action will have been taken to authorize the consummation of the transaction contemplated hereby. (iii) The individuals executing this Agreement and the instruments referenced herein on behalf of Buyer have the legal power, right and actual authority to bind Buyer to the terms and conditions hereof and thereof. (iv) Neither the execution and delivery of this Agreement and the documents and instruments referenced herein, nor incurring the obligations set forth herein, nor the consummation of the transaction contemplated herein, nor compliance with the terms of this Agreement and the documents and instruments referenced herein conflict with or result in the material breach of any terms, conditions or provisions of, or constitute a default under, any bond, note or other evidence of indebtedness or any contract, indenture, mortgage, deed of trust, loan, partnership agreement, lease or other agreement or instrument to which Buyer is a party or by which any of Buyer’s properties are bound. (d) Subsequent Changes to Buyer’s Representations and Warranties. If, prior to the Closing, Seller or Buyer should learn, discover or become aware of any existing or new item, fact or circumstance which renders a representation or warranty of Buyer set forth herein incorrect or untrue in any respect (collectively, the “Buyer’s Representation Matter”), then the party who has learned, discovered or become aware of such Buyer’s Representation Matter shall promptly give 15 11.e Packet Pg. 171 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. written notice thereof to the other party and Buyer’s representations and warranties shall be automatically limited to account for the Buyer’s Representation Matter. Seller shall have the right to approve or disapprove any such change and to terminate this Agreement by written notice to Buyer if Seller reasonably disapproves any such change. If Seller does not elect to terminate this Agreement, Buyer’s representation shall be qualified by such Buyer’s Representation Matter and Buyer shall have no obligation to Seller for such Buyer’s Representation Matter. 14. Fair Value Price. Each of Buyer and Seller believe that the Purchase Price represents a fair value price for the Real Property. At such time as Buyer makes improvements to the Real Property, the costs for planning, designing, and constructing such improvements shall be borne exclusively by the Buyer and the Buyer shall construct or cause to be constructed such improvements in compliance with all the zoning, planning and design review requirements of the San Bernardino Municipal Code, and all nondiscrimination, labor standard, and wage rate requirements to the extent such labor and wage requirements are applicable. Buyer, including but not limited to its contractors and subcontractors, shall be responsible to comply with Labor Code Section 1720, et seq., if applicable, and its implementing regulations, regarding the payment of prevailing wages (the “State Prevailing Wage Law”), if applicable, and, if applicable, federal prevailing wage law (“Federal Prevailing Wage Law” and, together with State Prevailing Wage Law, “Prevailing Wage Laws”) with regard to the construction of improvements to the Real Property, but only if and to the extent such sections are applicable to the development of the Real Property. Insofar as the parties understand that Buyer is paying a fair market price for the Real Property, the parties believe that the payment of prevailing wages will not be required. In any event, Buyer shall be solely responsible for determining and effectuating compliance with the Prevailing Wage Laws, neither the Seller nor the City makes any final representation as to the applicability or non-applicability of the Prevailing Wage Laws to improvements to the Real Property, or any part thereof. Buyer hereby releases from liability, and agrees to indemnify, defend, assume all responsibility for and hold each of the Seller and the City, and their respective officers, employees, agents and representatives, harmless from any and all claims, demands, actions, suits, proceedings, fines, penalties, damages, expenses resulting from, arising out of, or based upon Buyer’s acts or omissions pertaining to the compliance with the Prevailing Wage Laws as to the Real Property. This Section 14 shall survive Closing. 15. General Provisions. (a) Condemnation. If any material portion of the Real Property shall be taken or appropriated by a public or quasi-public authority exercising the power of eminent domain, Buyer shall have the right, at its option, to (i) terminate this Agreement or (ii) proceed with the purchase of the Real Property and receive all of the award or payment made in connection with such taking. (b) Notices. All notices, demands, requests or other communications required or permitted hereunder (collectively, “Notices”) shall be in writing, shall be addressed to the receiving party as provided in the Basic Terms section above, and shall be personally delivered, sent by overnight mail (Federal Express or another carrier that provides receipts for all deliveries), sent by certified mail, postage prepaid, return receipt requested, or sent by facsimile transmission (provided that a successful transmission report is received). All Notices shall be effective upon receipt at the appropriate address. Notice of change of address shall be given by written notice in the manner detailed in this Section. Rejection or other refusal to accept or the inability to deliver because of changed address of which no Notice in accordance with this Section was given shall be deemed to 16 11.e Packet Pg. 172 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. constitute receipt of such Notice. The providing of copies of Notices to the parties’ respective counsels is for information only, is not required for valid Notice and does not alone constitute Notice hereunder. (c) Brokers. Seller assumes sole responsibility for any consultants or brokers (“Seller’s Agents”) it may have retained in connection with the sale of the Real Property (and Buyer shall have no responsibility in connection with such matters). Seller represents that it has engaged Keller Williams Realty as “Seller’s Real Estate Broker” and that Seller shall be solely responsible for any commission, cost, fee or compensation of any kind due to Seller’s Real Estate Broker. Seller represents to Buyer that Seller has not engaged any consultants, finders or real estate brokers other than Seller’s Real Estate Broker in connection with the sale of the Real Property to the Buyer, and there are no brokerage commission, finder’s fee or other compensation of any kind due or owing to any person or entity in connection with this Agreement other than Seller’s costs with respect to the Seller’s Real Estate Broker Commission. Seller agrees to and does hereby indemnify and hold the Buyer free and harmless from and against any and all costs, liabilities or causes of action or proceedings which may be instituted by any broker, agent or finder, licensed or otherwise, claiming through, under or by reason of the conduct of the Seller in connection with this Agreement. Buyer assumes sole responsibility for any consultants or brokers (“Buyer’s Agents”) it may have retained in connection with the purchase of the Real Property. Buyer represents that it has engaged Realicore as “Buyer’s Real Estate Broker” and other than the portion of the Seller’s Real Estate Broker’s Commission that is payable to the Buyer’s Real Estate Broker per Section 10(a) of this Agreement, Buyer shall be solely responsible for any other cost, fee or compensation of any kind due to Buyer’s Real Estate Broker, if any. Buyer represents to Seller that Buyer has not engaged any consultants, finders or real estate brokers other than Buyer’s Real Estate Broker in connection with the sale of the Real Property to the Buyer, and there are no brokerage commission, finder’s fee or other compensation of any kind due or owing to any person or entity in connection with this Agreement. Buyer agrees to and does hereby indemnify and hold the Seller free and harmless from and against any and all costs, liabilities or causes of action or proceedings which may be instituted by any broker, agent or finder, licensed or otherwise, claiming through, under or by reason of the conduct of the Buyer in connection with this Agreement. The Parties acknowledge and agree that Buyer has been represented in this transaction by Realicore as “Buyer’s Real Estate Broker.” At Close of Escrow, Seller shall pay Seller’s Real Estate Broker’s Commission for sale of the Property in accordance with Seller’s listing agreement with Seller’s Real Estate Broker. The broker's commission shall be divided equally between Buyer's Real Estate Broker and Seller's Real Estate Broker. (d) Waiver, Consent and Remedies. Each provision of this Agreement to be performed by Buyer and Seller shall be deemed both a covenant and a condition and shall be a material consideration for Seller’s and Buyer’s performance hereunder, as appropriate, and any breach thereof by Buyer or Seller shall be deemed a material default hereunder. Either party may specifically and expressly waive in writing any portion of this Agreement or any breach thereof, but no such waiver shall constitute a further or continuing waiver of a preceding or succeeding breach of the same or any other provision. A waiving party may at any time thereafter require further compliance by the other party with any breach or provision so waived. The consent by one party to any act by the other for which such consent was required shall not be deemed to imply consent or waiver of the necessity of obtaining such consent for the same or any similar acts in the future. No waiver or consent shall be implied from silence or any failure of a party to act, except as otherwise specified in this Agreement. All rights, remedies, undertakings, obligations, options, covenants, conditions and agreements contained in this Agreement shall be cumulative and no one of them 17 11.e Packet Pg. 173 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. shall be exclusive of any other. Except as otherwise specified herein, either party hereto may pursue any one or more of its rights, options or remedies hereunder or may seek damages or specific performance in the event of the other party’s breach hereunder, or may pursue any other remedy at law or equity, whether or not stated in this Agreement. (e) Cooperation. Buyer and Seller agree to execute such instruments and documents and to diligently undertake such actions as may be required in order to consummate the purchase and sale herein contemplated and shall use all reasonable efforts to accomplish the Closing in accordance with the provisions hereof and, following Closing. (f) Remedies. Without limitation as to the availability of other remedies, this Agreement may be enforced by an action for specific enforcement. (g) Time. Time is of the essence of every provision herein contained. In the computation of any period of time provided for in this Agreement or by law, the day of the act or event from which said period of time runs shall be excluded, and the last day of such period shall be included, unless it is a Saturday, Sunday, or legal holiday, in which case the period shall be deemed to run until 5:00 p.m. of the next day that is not a Saturday, Sunday, or legal holiday. Except as otherwise expressly provided herein, all time periods expiring on a specified date or period herein shall be deemed to expire at 5:00 p.m. on such specified date or period. (h) Counterparts; Facsimile Signatures. This Agreement may be executed in multiple counterparts, each of which shall be deemed an original, but all of which, together, shall constitute but one and the same instrument. A facsimile signature shall be deemed an original signature. (i) Captions. Any captions to, or headings of, the sections or subsections of this Agreement are solely for the convenience of the parties hereto, are not a part of this Agreement, and shall not be used for the interpretation or determination of the validity of this Agreement or any provision hereof. (j) Obligations to Third Parties. City shall be deemed to be a third party beneficiary of this Agreement. Excepting only for the City, the execution and delivery of this Agreement shall not be deemed to confer any rights upon, nor obligate any of the parties to this Agreement to, any person or entity other than the parties hereto. (k) Amendment to this Agreement. The terms of this Agreement may not be modified or amended except by an instrument in writing executed by each of the parties hereto. Any election by Seller to extend the Outside Date shall be at the sole and absolute discretion of Seller. (l) Waiver. The waiver or failure to enforce any provision of this Agreement shall not operate as a waiver of any future breach of any such provision or any other provision hereof. (m) Applicable Law. This Agreement shall be governed by and construed in accordance with the local law of the State of California. 18 11.e Packet Pg. 174 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. (n) Exhibits and Schedules. The exhibits and schedules attached hereto are incorporated herein by this reference for all purposes. (o) Entire Agreement. This Agreement supersedes any prior agreements, negotiations and communications, oral or written, including, without limitation, that certain Standard Offer, Agreement and Escrow Instructions for Purchase of Real Estate dated October 15, 2018, and contains the entire agreement between, and the final expression of, Buyer and Seller with respect to the subject matter hereof. The parties hereto expressly agree and confirm that this Agreement is executed without reliance on any oral or written statements, representations or promises of any kind which are not expressly contained in this Agreement. No subsequent agreement, representation or promise made by either party hereto, or by or to an employee, officer, agent or representative of either party hereto shall be of any effect unless it is in writing and executed by the party to be bound thereby. (p) Successors and Assigns. This Agreement shall be binding upon and shall inure to the benefit of the permitted successors and assigns of the parties hereto. (q) Assignment. Neither party may assign its rights under this Agreement without the prior consent of the other party. (r) Manner in Which Title is Held. Buyer is solely responsible for determining the manner in which it will take title to the Real Property; Seller shall have no responsibility in connection therewith. [signatures begin on the following page] 19 11.e Packet Pg. 175 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day and year first written above. “SELLER” SUCCESSOR AGENCY TO THE REDEVELOPMENT AGENCY OF THE CITY OF SAN BERNARDINO, a public entity, corporate and politic By: Andrea M. Miller Executive Director “BUYER” Inland Maple Partners, LLC By: Name: Its: Approved as to form: Gary D. Saenz, City Attorney By: ______________________ 20 11.e Packet Pg. 176 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. Acceptance by Escrow Holder: Commonwealth Land and Title Company hereby acknowledges that it has received a fully executed copy of the foregoing Purchase and Sale Agreement and Joint Escrow Instructions by and between the Successor Agency to the Redevelopment Agency of the City of San Bernardino, a public entity, corporate and politic (“Seller”), and Inland Maple Partners, LLC (“Buyer”) and agrees to act as Escrow Holder thereunder and to be bound by and strictly perform the terms thereof as such terms apply to Escrow Holder. Dated: _____________, 2019 COMMONWEALTH LAND AND TITLE COMPANY By: Name: Its: 11.e Packet Pg. 177 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. EXHIBIT A LEGAL DESCRIPTION All that portion of Lots 7 and 8, Block 29, in the City of San Bernardino, County of San Bernardino, State of California, as per map recorded in Book 7, Page 1 of Maps in the office of the Recorder of said County, described as follows: Beginning at a point 100 feet South of the Northeast corner of said Lot 8, being the Southeast corner of that certain parcel conveyed to R. B. Taylor, by deed recorded February 20, 1889, in Book 93 of Deeds, Page 171; thence Westerly 200 feet to the Southwest corner of said Taylor land; thence at right angles South 57 feet to the Northwest corner of that certain parcel conveyed to Smith Haile, by deed recorded September 10, 1881 in Book 26 of deeds, Page 134; thence at right angles East 200 Feet to the Northeast corner of said Haile land; thence North 57 feet to the point of beginning. EXCEPT the int The East 8.75 feet of the South 129.03 feet of the North 229.03 feet of said Lot 8. Address: 478 and 480 N. “D” Street APNs: 0134-141-28 and 0134-141-29 A-1 11.e Packet Pg. 178 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. EXHIBIT B DEED NOT FOR SIGNATURE RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO: Inland Maple partners, LLC APN: 0134-141-28 and 0134-141-29 [Space above for recorder.] Address: 478 and 48/0 N. “D” Street DOCUMENTARY TRANSFER TAX San Bernardino, California $ ______ computed on the consideration or value of property conveyed; OR computed on the consideration or value less liens or encumbrances remaining at time of sale. Signature of Declarant or Agent determining tax - Firm Name GRANT DEED FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, the Successor Agency to the Redevelopment Agency of the City of San Bernardino, a public entity, corporate and politic (“Grantor”), hereby grants to Inland Maple Partners, LLC, a California company, that certain real property located in the County of San Bernardino, State of California, more particularly described on Attachment No. 1 attached hereto and incorporated herein by this reference (the “Property”), subject to existing easements, restrictions and covenants of record. IN WITNESS WHEREOF, Grantor has executed this Grant Deed as of __________, 2019. SUCCESSOR AGENCY TO THE REDEVELOPMENT AGENCY OF THE CITY OF SAN BERNARDINO By: NOT FOR SIGNATURE Andrea M. Miller Executive Director B-2 11.e Packet Pg. 179 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. ATTACHMENT NO. 1 TO GRANT DEED LEGAL DESCRIPTION All that portion of Lots 7 and 8, Block 29, in the City of San Bernardino, County of San Bernardino, State of California, as per map recorded in Book 7, Page 1 of Maps in the office of the Recorder of said County, described as follows: Beginning at a point 100 feet South of the Northeast corner of said Lot 8, being the Southeast corner of that certain parcel conveyed to R. B. Taylor, by deed recorded February 20, 1889, in Book 93 of Deeds, Page 171; thence Westerly 200 feet to the Southwest corner of said Taylor land; thence at right angles South 57 feet to the Northwest corner of that certain parcel conveyed to Smith Haile, by deed recorded September 10, 1881 in Book 26 of deeds, Page 134; thence at right angles East 200 Feet to the Northeast corner of said Haile land; thence North 57 feet to the point of beginning. EXCEPT the int The East 8.75 feet of the South 129.03 feet of the North 229.03 feet of said Lot 8. Address: 478 and 480 N. “D” Street APNs: 0134-141-28 and 0134-141-29 11.e Packet Pg. 180 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. 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 ) ) ss. COUNTY OF ____________ ) On _____________________________, before me, _______________________________ , Notary Public, (Print Name of Notary Public) personally appeared who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature of Notary Public OPTIONAL Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent reattachment of this form. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT Individual Corporate Officer __________________________________________ Title(s) __________________________________________ Title or Type of Document Partner(s) Limited General Attorney-In-Fact Trustee(s) Guardian/Conservator Other: ________________________________ Signer is representing: Name of Person(s) Or Entity(ies) __________________________________________ __________________________________________ __________________________________________ Number of Pages __________________________________________ Date of Documents __________________________________________ Signer(s) Other Than Named Above 11.e Packet Pg. 181 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. EXHIBIT C FIRPTA CERTIFICATE TRANSFEROR’S CERTIFICATE OF NON-FOREIGN STATUS To inform Inland Maple Partners, LLC, (the “Transferee”), that withholding of tax under Section 1445 of the Internal Revenue Code of 1986, as amended (“Code”) will not be required upon the transfer of certain real property to the Transferee by the Successor Agency to the Redevelopment Agency of the City of San Bernardino (the “Transferor”), the undersigned hereby certifies the following: 1. The Transferor is not a foreign person or citizen, foreign corporation, foreign partnership, foreign trust, or foreign estate (as those terms are defined in the Code and the Income Tax Regulations promulgated thereunder); 2. The Transferor’s social security number or U.S. employer identification number is as follows: _________________. 3. The Transferor’s home or office address is: _________________________________________ _________________________________________ The Transferor understands that this certification may be disclosed to the Internal Revenue Service by the Transferee and that any false statement contained herein could be punished by fine, imprisonment or both. Under penalty of perjury, I declare that I have examined this certification and to the best of my knowledge and belief it is true, correct and complete, and I further declare that I have authority to sign this document. Successor Agency to the Redevelopment Agency of the City of San Bernardino C-1 11.e Packet Pg. 182 Attachment: CED.PSA btwn SA and Inland Maple Partners LLC for 478-480 N D St-Att 4 (5936 : Purchase and Sale Agreement for 478 and 480 N. 12.a Packet Pg. 183 Attachment: PW.Street Vacation Little Mtn.public Hearing 1 Staff Report (5937 : Resolution Oto Order the Vacation of a Portion of Little On October 17, 2018, the Mayor and City Council authorized staff to proceed with an investigation and analysis of Plan No. 13241 to vacate portions of Little Mountain Court. On August 30, 2018, notices were sent out to City Departments, San Bernardino County Fire, utility providers, including the Water Department, and residents within 500’ informing them of the proposed street vacations. • Reservations of easements were requested for existing and future facilities by the Water Department. On January 8, 2019, the Planning Commission adopted Resolution No. 2019-002 forwarding a recommendation of approval to the Mayor and City Council for Real Property Street Vacation 15.30-430 and finding that the project is Categorically Exempt under the California Environmental Quality Act. Discussion If the Resolution is adopted, it will set the date, time and place for a public hearing on March 6, 2019, at 5:00 pm at 201 North “E” Street, San Bernardino, California in the Council Chambers. At which time, interested parties may present evidence to the Mayor and City Council. The Resolution of Intent also will direct staff to publish notices of the public hearing in the newspaper as well as positing notices along the proposed street vacation as required by the SHC sections 8322 and 8323. Staff will present, for the Mayor and City Council’s consideration, a Resolution Ordering the vacation of Little Mountain Court located on the northeast corner of Little Mountain Court and 27th Street and the reservations of utility easements therein, which will adopt a Categorical Exemption for the street vacation, reserve easements for gas, water, sewer, storm drain, electric and phone utilities and make a final order of vacation of portions of Little Mountain Court as described in Plan No. 13241. Utilities, which do not hold an existing easement and do not have an easement reserved for them in the Resolution Ordering the Vacation, will not be able to use the right of way being vacated without first obtaining an easement from the property owner. The street vacation proceedings are not completed until the Resolution making the final order vacating portions of Little Mountain Court has been recorded with the San Bernardino County Recorder’s office pursuant to SHC section 8325. Pursuant to SHC section 8324, the resolution of vacation may provide that the vacation occurs only after conditions required by the legislative body have been satisfied and may instruct the clerk that the resolution of vacation not be recorded until the conditions have been satisfied. As a condition of recording the resolution of vacation for Plan No. 13241, Public Works will require that the applicant apply for permits for the plan check and ultimate construction and acceptance of the required improvements. 1/30/2019 2:17 PM 12.a Packet Pg. 184 Attachment: PW.Street Vacation Little Mtn.public Hearing 1 Staff Report (5937 : Resolution Oto Order the Vacation of a Portion of Little Future actions by the City will consist of: • Publication of Notices of Vacation pursuant to SHC Sections 8322 & 8323 • Public Hearing and Resolution of Vacation pursuant to SHC Section 8324 • Recordation of the Resolution of Vacation pursuant to SHC Section 8325 2018-2019 Goals and Objectives This project is consistent with Goal No. 4: Ensure Development of a Well-Planned, Balanced, and Sustainable City. Investigations are required before the City can proceed with vacating the public right of way. Fiscal Impact Costs incurred with this action will be offset by the non-refundable petitioner paid processing fee of $2,000 which has been paid in full. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino, adopt Resolution No. 2019-17 declaring its intent to conduct a Public Hearing to consider the vacation of Little Mountain Court, the proposed street vacation is granted for Plan No. 13241. If the Resolution of Intent is not adopted then the petition to vacate the street will be terminated, and no further action will be taken. Attachments Attachment 1 Resolution Attachment 2 Resolution Exhibit “A”&”B” – Legal and Plats Attachment 3 Petition Attachment 4 Resolution No.2019-002-PC Ward: 2 Synopsis of Previous Council Actions: • October 17, 2018 Council authorized staff to investigate Plan No. 13241 to vacate a portion of Little Mountain Court. 1/30/2019 2:17 PM 12.a Packet Pg. 185 Attachment: PW.Street Vacation Little Mtn.public Hearing 1 Staff Report (5937 : Resolution Oto Order the Vacation of a Portion of Little Resolution No. 2019-17 RESOLUTION NO. 2019-17 RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, DECLARING ITS INTENT TO CONDUCT A PUBLIC HEARING TO ORDER THE VACATION OF PORTIONS OF LITTLE MOUNTAIN COURT AND 27TH STREET AND THE RESERVATION OF UTILITIES THEREIN WHEREAS, On October 26, 2017 a petition to vacate a portion of Little Mountain Court was received on from Scott C. Beard which owns the property on the corner of Little Mountain Court and 27th Street abutting the proposed street vacations; and WHEREAS, On October 17, 2018, the Mayor and City Council authorized staff to proceed with an investigation and analysis of Plan No. 13241 to vacate portions of Little Mountain Court, and WHEREAS, On August 30, 2018, notices were sent out to City Departments, San Bernardino County Fire, utility providers, including the Water Department, and residents within 500’ informing them of the proposed street vacations, and BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS: SECTION 1. The Mayor and City Council of San Bernardino, California hereby declare its intentions to order the vacation of portions of Little Mountain Court and the reservation of utilities therein as described on each of the legal descriptions attached hereto and incorporated as Exhibit “A” and depicted on each of the maps attached hereto and incorporated herein as Exhibit “B”. SECTION 2. The Mayor and City Council of San Bernardino, California, in vacating the above-described portions of said streets, elects to proceed in accordance with the provisions of the “Public Streets, Highways and Service Easements Vacation Law”, being Division 9, Part 3, of the Streets and Highways Code of the State of California SECTION 3. The hour of 5:00 p.m., on Wednesday, March 6, 2019, in the 3rd Floor Council Chamber of 201 North “E” Street, San Bernardino, California, is fixed as the time and place when and where all persons interested in or objecting to the propose vacation areas may appear before the Mayor and City Council of San Bernardino, California and offer evidence in relation hereto. For further particulars as to the proposed vacation, reference is made to that map marked “Plan No. 13241”. SECTION 4. Nothing in this Resolution shall in any way affect or disturb any other existing easements for public utility purposes belonging either to the City of San Bernardino or public entity that existed prior to these vacation proceedings; and is hereby specifically reserved for the City of San Bernardino Municipal Water Department, an easement for the full width of 12.b Packet Pg. 186 Attachment: PW.Street Vacation little Mountain public Hearing 1 Resolution 1 (5937 : Resolution Oto Order the Vacation of a Portion of Little Resolution No. 2019-17 each street portion proposed to be vacated, including the right at any time, or from time to time, to construct, maintain, operate, replace and renew one or more pipelines or appurtenances thereto for the transportation of water and for the construction and maintenance of water wells and related incidental purposes, including the right of ingress and egress thereto; SECTION 5 The Deputy Director of Public Works/City Engineer of the City of San Bernardino is hereby directed to cause Notices of Street Vacation to be posted as required by said “Public Streets, Highways and Service Easements Vacation Law.” SECTION 6 The City Clerk shall certify the adoption of this Resolution of Intention and shall cause the same to be published once per week for two successive weeks in The Sun, a newspaper published and circulated in the City of San Bernardino, prior to the above date set forth for the public hearing SECTION 7. The City Council finds this Resolution is not subject to the California Environmental Quality Act (CEQA) in that the activity is covered by the general rule 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, as in this case, 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. SECTION 5. Severability. If any provision of this Resolution or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications, and to this end the provisions of this Resolution are declared to be severable. SECTION 6 Effective Date. This Resolution shall become effective immediately. APPROVED and ADOPTED by the City Council and signed by the Mayor and attested by the City Clerk this ___ day of __________, 2019. John Valdivia, Mayor City of San Bernardino Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 12.b Packet Pg. 187 Attachment: PW.Street Vacation little Mountain public Hearing 1 Resolution 1 (5937 : Resolution Oto Order the Vacation of a Portion of Little Resolution No. 2019-17 CERTIFICATION STATE OF CALIFORNIA ) COUNTY OF SAN BERNARDINO) ss CITY OF SAN BERNARDINO ) I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Resolution No. _____, adopted at a regular meeting held at the ___ day of _______, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ Mayor: AYES NAYS ABSTAIN ABSENT VALDIVIA _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 12.b Packet Pg. 188 Attachment: PW.Street Vacation little Mountain public Hearing 1 Resolution 1 (5937 : Resolution Oto Order the Vacation of a Portion of Little 12.c Packet Pg. 189 Attachment: PW.Street Vacation Little Mtn.public Hearing 1Legal and Plat.docx (5937 : Resolution Oto Order the Vacation of a Portion of Little 12.c Packet Pg. 190 Attachment: PW.Street Vacation Little Mtn.public Hearing 1Legal and Plat.docx (5937 : Resolution Oto Order the Vacation of a Portion of Little 12.d Packet Pg. 191 Attachment: PW.Street Vacation Little Mtn.public Hearing 1 Petition.docx (5937 : Resolution Oto Order the Vacation of a Portion of Little 1 RESOLUTION NO. 2019-002-PC A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SAN BERNARDINO, CALIFORNIA, FORWARDING A RECOMMENDATION OF APPROVAL TO THE MAYOR AND CITY COUNCIL FOR REAL PROPERTY STREET VACATION 15.30-430 FOR PLAN NO. 13241 TO ALLOW THE STREET VACATION FOR A PORTION OF LITTLE MOUNTAIN COURT NORTH OF W. 27th STREET; AND, FINDING THE PROJECT SUBJECT TO A CATEGORICAL EXEMPTION UNDER THE CALIFORNIA ENVIRONMENTAL QUALITY ACT. WHEREAS, on October 18, 2018, pursuant to the requirements of §8312, Division 9, Part 3 of the Streets and Highway Code, California Government Code §65402, and Chapter 19.56 (Interpretation) of the City of San Bernardino Development Code, an application for Real Property Street Vacation 15.30-430 for Plan No. 13241 was duly submitted by: Property Owner: City of San Bernardino 290 N. D Street San Bernardino, CA 92401 Project Applicant: 27th Street TAD, LLC P.O. Box 7 Rialto, CA 92377 WHEREAS, the Planning Division of the Community Development Department has reviewed Real Property Street Vacation 15.30-430 for Plan No. 13241 for consistency with the City of San Bernardino General Plan and compliance with the City of San Bernardino Development Code; and WHEREAS, the Circulation Element is to design and improve a circulation system to meet current and future needs of all residents, businesses and visitors, allow more convenient and practical circulation to important economic segment within the City and improve safety, and the vacating of a portion of Little Mountain Court north of W. 27th Street will not conflict with the City’s General Plan Circulation Element; and WHEREAS, pursuant to the requirements of the California Environmental Quality Act (“CEQA”), the Planning Division of the Community Development Department has evaluated Real Property Street Vacation 15.30-430 for Plan No. 13241 and determined that it is exempt from CEQA pursuant to Section 15061(b)(3) (Review for Exemption) of CEQA due to the fact that the activity is covered by the general rule that CEQA applies only to projects, which have the potential for causing a significant effect on the environment. The proposed street vacation of an unimproved portion of Little Mountain Court has been evaluated, per Section 15061(b)(3) (Review for Exemption) of CEQA, and it can been seen with certainty that there is no possibility that the proposed activity may have a significant effect on the environment. Therefore, the proposed street vacation of an unimproved portion of Little Mountain Court is not subject to CEQA; and 12.e Packet Pg. 192 Attachment: PW.Attachment A_Resolution 2019-002 (5937 : Resolution Oto Order the Vacation of a Portion of Little Mountain Court) 2 WHEREAS, on December 28, 2018, pursuant to the requirements of §19.52.020 of the City of San Bernardino Development Code, the City gave public notice by advertising in the San Bernardino Sun, a newspaper of general circulation within the City of San Bernardino, of the holding of a public hearing at which Real Property Street Vacation 15.30-430 for Plan No. 13241 would be considered by the Planning Commission; and WHEREAS, on January 8, 2019, pursuant to the requirements of §19.52.040 of the City of San Bernardino Development Code, the Planning Commission held the duly noticed public hearing at which interested persons had an opportunity to testify in support of, or opposition to Real Property Street Vacation 15.30-430 for Plan No. 13241 and at which meeting the Planning Commission considered Real Property Street Vacation 15.30-430 for Plan No. 13241; and WHEREAS, pursuant to the requirements of Chapter 19.56 of the City of San Bernardino Development Code, the Planning Commission has the authority to take action on Real Property Street Vacation 15.30-430 for Plan No. 13241; and NOW THEREFORE, the Planning Commission of the City of San Bernardino does hereby resolve, determine, find, and order as follows: SECTION 1. ENVIRONMENTAL DETERMINATION: As the decision-making body for the project, the Planning Commission has reviewed and considered the information contained in the administrative record for Real Property Street Vacation 15.30-430 for Plan No. 13241. Based upon the facts and information contained in the administrative record, including all written and oral evidence presented to the Planning Commission, the Planning Commission finds, as follows: (1) The administrative record has been completed in compliance with CEQA, the State CEQA Guidelines, and the City’s Local CEQA Guidelines, and (2) The proposed project is categorically exempt from the requirements of the California Environmental Quality Act pursuant to Section 15061(b)(3) (Review for Exemption) of the CEQA Guidelines; and (3) The application of the categorical exemption is not barred by one of the exceptions set forth in the CEQA Guidelines Section 15061(b)(3); and (4) The determination of CEQA exemption reflects the independent judgment of the Planning Commission. 12.e Packet Pg. 193 Attachment: PW.Attachment A_Resolution 2019-002 (5937 : Resolution Oto Order the Vacation of a Portion of Little Mountain Court) 3 SECTION 2. FINDINGS FOR REAL PROPERTY STREET VACATION 15.30- 430: Section 65402 of the California Government Code requires that Street Vacations meet a certain finding prior to the approval by the Mayor and City Council. Accordingly, the following finding is provided in support of the recommendation by the Planning Commission for the approval of Real Property Street Vacation 15.30-430 for Plan No. 13241 by the Mayor and City Council. Finding No. 1: The proposed street vacation is consistent with the General Plan. Finding of Fact: The proposed vacation of an unimproved portion of Little Mountain Court north of 27th Street in order to accommodate the development of an office building containing approximately 38,150 square feet on a parcel containing approximately 4.2 acres, as previously approved by the City’s Development and Environmental Review Committee under Development Permit Type-D 18-01, will not impair circulation to economic segments of the City due to there being no street improvements occupying the right-of- way. Although the street is depicted on maps as a Collector Street, the street is considered a paper street in the City’s General Plan Circulation Element. Additionally, the paper street (right -of-way) is vacant land impassible to vehicular traffic with the exception of specifically equipped off-road vehicles. Thus, the vacating of a portion of an unimproved portion of Little Mountain Court north of 27th Street will not conflict with the City’s General Plan Circulation Element. Therefore, Real Property Street Vacation 15.30-430 for Plan No. 13241 is consistent with the City’s General Plan. 12.e Packet Pg. 194 Attachment: PW.Attachment A_Resolution 2019-002 (5937 : Resolution Oto Order the Vacation of a Portion of Little Mountain Court) 4 SECTION 3. PLANNING COMMISSION ACTION: The Planning Commission hereby takes the following action: 1. Adoption of Planning Commission Resolution No. 2019-002 forwarding a recommendation that the Mayor and City Council: a. Finding the Categorical Exemption, pursuant to Section 15061(b)(3) (Review for Exemption) for Real Property Street Vacation 15.30-430 for Plan No. 13241 in accordance with the California Environmental Quality Act, and directing the Community Development Director to prepare and file with the Clerk of th e County of San Bernardino a Notice of Exemption as provided under Public Resources Code Section 21152(b) and CEQA Guidelines Section 15062; and b. Approving Real Property Street Vacation 15.30-430 for Plan No. 13241 to allow the street vacation of an unimproved portion of Little Mountain Court north of 27th Street (Exhibit “A”). PASSED, APPROVED AND ADOPTED this 8th of January 2019. _____________________________ Anthony Jones, Chairman San Bernardino Planning Commission ATTEST: _______________________________________ Oliver Mujica, Planning Commission Secretary City of San Bernardino, California 12.e Packet Pg. 195 Attachment: PW.Attachment A_Resolution 2019-002 (5937 : Resolution Oto Order the Vacation of a Portion of Little Mountain Court) 5 CERTIFICATION: I, Stephanie Sanchez, Recording Secretary of the Planning Commission of the City of San Bernardino, California, do hereby certify that the foregoing Resolution No. 2019-002, was duly adopted by the Planning Commission of the City of San Bernardino, California, at a regula r meeting thereof held on the 8th day of January 2019, by the following vote, to wit: AYES: NOES: ABSENT: ABSTAIN: ____________________________________ Stephanie Sanchez, Recording Secretary City of San Bernardino, California 12.e Packet Pg. 196 Attachment: PW.Attachment A_Resolution 2019-002 (5937 : Resolution Oto Order the Vacation of a Portion of Little Mountain Court) 6 EXHIBIT “A” STREET VACATION 15.30-430 12.e Packet Pg. 197 Attachment: PW.Attachment A_Resolution 2019-002 (5937 : Resolution Oto Order the Vacation of a Portion of Little Mountain Court) 13.a Packet Pg. 198 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Staff Report (5938 : Resolution to Order the Vacation of a Portion of "I" St, On July 5, 2018, the Mayor and City Council authorized staff to proceed with an investigation and analysis of Plan No. 13218 to vacate portions of “I” Street, Broadway Street and Main Street, South of 3rd Street. On August 30, 2018, notices were sent out to City Departments, San Bernardino County Fire, utility providers, including the Water Department, and residents within 500’ informing them of the proposed street vacations. • Reservations of easements were requested for existing and future facilities by the Water Department. On January 8, 2019, the Planning Commission adopted Resolution No. 2019-001 forwarding a recommendation of approval to the Mayor and City Council for Real Property Street Vacation 15.30-429 and finding that the project is Categorically Exempt under the California Environmental Quality Act. Discussion If Resolution No. 2019-18 is adopted, it will set the date, time and place for a public hearing on March 6, 2019, at 5:00 pm at 201 North “E” Street, San Bernardino, California, Council Chambers. At which time, interested parties may present evidence to the Mayor and City Council. The Resolution will also direct staff to publish notices of the public hearing in the newspaper as well as positing notices along the proposed street vacation as required by the SHC sections 8322 and 8323. After the public hearing, staff will present for the Mayor and City Council’s consideration, a Resolution Ordering the Vacation of portions of “I” Street, Broadway Street and Main Street, South of 3rd Street, with the reservation of utility easements therein, which will adopt a Categorical Exemption for the street vacation, reserve easements for gas, water, sewer, storm drain, electric and phone utilities and make a final order of vacation of portions of “I” Street, Broadway Street and Main Street, South of 3rd Street as described in Plan No. 13218. Utilities which do not hold an existing easement and do not have an easement reserved for them in the Resolution Ordering the Vacation will not be able to use the right of way being vacated without first obtaining an easement from the property owner. The street vacation proceedings are not completed until the Resolution making the final order vacating portions of “I” Street, Broadway Street and Main Street, South of 3rd Street has been recorded with the San Bernardino County Recorder’s office pursuant to SHC section 8325. Pursuant to SHC section 8324, the resolution of vacation may provide that the vacation occurs only after conditions required by the legislative body have been satisfied and may instruct the clerk that the resolution of vacation not be recorded until the conditions have been satisfied. 1/30/2019 2:17 PM 13.a Packet Pg. 199 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Staff Report (5938 : Resolution to Order the Vacation of a Portion of "I" St, As a condition of recording the resolution of vacation for Plan No. 13218, Public Works will require that the applicant apply for permits for the plan check and ultimate construction and acceptance of the required improvements Future actions by the City will consist of: • Publication of Notices of Vacation pursuant to SHC Sections 8322 & 8323 • Public Hearing and Resolution of Vacation pursuant to SHC Section 8324 • Recordation of the Resolution of Vacation pursuant to SHC Section 8325 2018-2019 Goals and Objectives This project is consistent with Goal No. 4: Ensure Development of a Well-Planned, Balanced, and Sustainable City. Investigations are required before the City can proceed with vacating the public right of way. Fiscal Impact Costs incurred with this action will be offset by the non-refundable petitioner paid processing fee of $2,000 which has been paid in full. Conclusion It is recommended that the Mayor and City Council adopt Resolution No. 2019-18 declaring its intent to conduct a Public Hearing to consider the vacation of “I” Street, Broadway Street and Main Street, South of 3rd Street the proposed street vacation be granted for Plan No. 13218. If the Resolution of Intention is not adopted, then the petition to vacate the street will be terminated and no further action will be taken. Attachments Attachment 1 Resolution Attachment 2 Resolution Exhibit “A”&”B” – Legal and Plats Attachment 3 Petition Attachment 4 Resolution No. 2019-001-PC Ward: 1 Synopsis of Previous Council Actions: • July 5, 2018 Council authorized staff to investigate Plan No. 13218 to vacate a portion of “I” Street, Broadway Street and Main Street, South of 3rd Street 1/30/2019 2:17 PM 13.a Packet Pg. 200 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Staff Report (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 201 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 202 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 203 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 204 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 205 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 206 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 207 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.b Packet Pg. 208 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Resolution 1 (5938 : Resolution to Order the Vacation of a Portion of "I" St, 13.cPacket Pg. 209Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Exhibit A and B Legal and Plat .doc (5938 : Resolution to Order the Vacation of 13.cPacket Pg. 210Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Exhibit A and B Legal and Plat .doc (5938 : Resolution to Order the Vacation of 13.cPacket Pg. 211Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Exhibit A and B Legal and Plat .doc (5938 : Resolution to Order the Vacation of 13.cPacket Pg. 212Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Exhibit A and B Legal and Plat .doc (5938 : Resolution to Order the Vacation of MAIN STREET N89°35'27"E 0.43'N0°23'42"W10.00'N0°23'00"W10.00'N89°35'27"E ℄ MAIN STREET S89°35'27"W 285.08'N0°23'00"W 10.00' N89°35'27"E 0.43' N0°23'42"W 10.00' N89°35'27"E 284.65' ℄SANBAGRAILWAYS0°22'26"E 20.00'20'10'10'BROADWAY STREET S89°35'25"W 308.93' L=20.92', R=587.92', Δ=2°02'21" N89°35'25"E 315.09' ℄SANBAG RAILWAYN73° 3 1' 5 4" E ( R) THIRD STREET "I" STREETN0°23'13"W 185.86'N89°36'53"E 41.24' N89°37'21"E 41.26' S0°23'13"E 5.95'L=108.57',R=51.50',Δ=120°48'08"L=4.57', R=58.50', Δ=4°28'25"S0°23'13"E 97.83'S0°21'34"E 103.04'S89°35'27"W 82.50' ℄10'10'20'41.25'41.25'41.25'41.25'℄N26°47'46"E (R)N0°21'34"W 93.05'5STREET VACATIONS PORTIONS OF MAIN, BROADWAY & "I" STREETS SHT. NO. OF 5 DETAIL: N.T.S. EXHIBIT "B" 50 0 50 SCALE: 1"=50' SEE DETAIL 13.c Packet Pg. 213 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Exhibit A and B Legal and Plat .doc (5938 : Resolution to Order the Vacation of 13.d Packet Pg. 214 Attachment: PW. Street Vacation I St and 3rd St.public Hearing 1 Petition.doc (5938 : Resolution to Order the Vacation of a Portion of "I" St, 1 RESOLUTION NO. 2019-001-PC A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SAN BERNARDINO, CALIFORNIA, FORWARDING A RECOMMENDATION OF APPROVAL TO THE MAYOR AND CITY COUNCIL FOR REAL PROPERTY STREET VACATION 15.30-429 FOR PLAN NO. 13218 TO ALLOW THE STREET VACATIONS FOR PORTIONS OF W. BROADWAY STREET, W. MAIN STREET AND N. I STREET; AND, FINDING THE PROJECT SUBJECT TO A CATEGORICAL EXEMPTION UNDER THE CALIFORNIA ENVIRONMENTAL QUALITY ACT. WHEREAS, on October 3, 2018, pursuant to the requirements of §8312, Division 9, Part 3 of the Streets and Highway Code, California Government Code §65402, and Chapter 19.56 (Interpretation) of the City of San Bernardino Development Code, an application for Real Property Street Vacation 15.30-429 for Plan No. 13218 was duly submitted by: Property Owner: City of San Bernardino 290 N. D Street San Bernardino, CA 92401 Project Applicant: Joseph E. Bonadiman & Associates 234 N. Arrowhead Avenue San Bernardino, CA 92408 WHEREAS, the Planning Division of the Community Development Department has reviewed Real Property Street Vacation 15.30-429 for Plan No. 13218 for consistency with the City of San Bernardino General Plan and compliance with the City of San Bernardino Development Code; and WHEREAS, the Circulation Element is to design and improve a circulation system to meet current and future needs of all residents, businesses and visitors, allow more convenient and practical circulation to important economic segment within the City and improve safety, and the vacating of portions of W. Broadway Street, W. Main Street and N. I Street will not conflict with the City’s General Plan Circulation Element; and WHEREAS, pursuant to the requirements of the California Environmental Quality Act (“CEQA”), the Planning Division of the Community Development Department has evaluated Real Property Street Vacation 15.30-429 for Plan No. 13218 and determined that it is exempt from CEQA pursuant to Section 15061(b)(3) (Review for Exemption) of CEQA due to the fact that the activity is covered by the general rule that CEQA applies only to projects, which have the potential for causing a significant effect on the environment. The proposed street vacations of portions of W. Broadway Street, W. Main Street and N. I Street has been evaluated, per Section 15061(b)(3) (Review for Exemption) of CEQA, and it can been seen with certainty that there is no possibility that the proposed activity may have a significant effect on the environment. Therefore, the proposed street vacations of portions of W. Broadway Street, W. Main Street and N. I Street is not subject to CEQA; and 13.e Packet Pg. 215 Attachment: PW.Attachment A_Resolution 2019-001 (5938 : Resolution to Order the Vacation of a Portion of "I" St, Broadway St, and Main St, 2 WHEREAS, on December 28, 2018, pursuant to the requirements of §19.52.020 of the City of San Bernardino Development Code, the City gave public notice by advertising in the San Bernardino Sun, a newspaper of general circulation within the City of San Bernardino, of the holding of a public hearing at which Real Property Street Vacation 15.30-429 for Plan No. 13218 would be considered by the Planning Commission; and WHEREAS, on January 8, 2019, pursuant to the requirements of §19.52.040 of the City of San Bernardino Development Code, the Planning Commission held the dul y noticed public hearing at which interested persons had an opportunity to testify in support of, or opposition to Real Property Street Vacation 15.30-429 for Plan No. 13218 and at which meeting the Planning Commission considered Real Property Street Vacation 15.30-429 for Plan No. 13218; and WHEREAS, pursuant to the requirements of Chapter 19.56 of the City of San Bernardino Development Code, the Planning Commission has the authority to take action on Real Property Street Vacation 15.30-429 for Plan No. 13218; and NOW THEREFORE, the Planning Commission of the City of San Bernardino does hereby resolve, determine, find, and order as follows: SECTION 1. ENVIRONMENTAL DETERMINATION: As the decision-making body for the project, the Planning Commission has reviewed and considered the information contained in the administrative record for Real Property Street Vacation 15.30-429 for Plan No. 13218. Based upon the facts and information contained in the administrative record, including all written and oral evidence presented to the Planning Commission, the Planning Commission finds, as follows: (1) The administrative record has been completed in compliance with CEQA, the State CEQA Guidelines, and the City’s Local CEQA Guidelines, and (2) The proposed project is categorically exempt from the requirements of the California Environmental Quality Act pursuant to Section 15061(b)(3) (Review for Exemption) of the CEQA Guidelines; and (3) The application of the categorical exemption is not barred by one of the exceptions set forth in the CEQA Guidelines Section 15061(b)(3); and (4) The determination of CEQA exemption reflects the independent judgment of the Planning Commission. 13.e Packet Pg. 216 Attachment: PW.Attachment A_Resolution 2019-001 (5938 : Resolution to Order the Vacation of a Portion of "I" St, Broadway St, and Main St, 3 SECTION 2. FINDINGS FOR REAL PROPERTY STREET VACATION 15.30- 429: Section 65402 of the California Government Code requires that Street Vacations meet a certain finding prior to the approval by the Mayor and City Council. Accordingly, the following finding is provided in support of the recommendation by the Planning Commission for the approval of Real Property Street Vacation 15.30-429 for Plan No. 13218 by the Mayor and City Council. Finding No. 1: The proposed street vacation is consistent with the General Plan. Finding of Fact: The proposed vacations of portions of W. Broadway Street, W. Main Street and N. I Street in order to accommodate the future development of a commercial center, will not impair circulation to economic segments of the City due to there being minimal vehicular traffic within the subject area and these streets are depicted on maps as a Collector Streets in the City’s General Plan Circulation Element. Thus, vacating portions of W. Broadway Street, W. Main Street and N. I Street will not conflict with the City’s General Plan Circulation Element. Therefore, Real Property Street Vacation 15.30-429 for Plan No. 13218 is consistent with the City’s General Plan. 13.e Packet Pg. 217 Attachment: PW.Attachment A_Resolution 2019-001 (5938 : Resolution to Order the Vacation of a Portion of "I" St, Broadway St, and Main St, 4 SECTION 3. PLANNING COMMISSION ACTION: The Planning Commission hereby takes the following action: 1. Adoption of Planning Commission Resolution No. 2019-001 forwarding a recommendation that the Mayor and City Council: a. Finding the Categorical Exemption, pursuant to Section 15061(b)(3) (Review for Exemption) for Real Property Street Vacation 15.30-429 for Plan No. 13218 in accordance with the California Environmental Quality Act, and directing the Community Development Director to prepare and file with the Clerk of the County of San Bernardino a Notice of Exemption as provided under Public Resources Code Section 21152(b) and CEQA Guidelines Section 15062; and b. Approving Real Property Street Vacation 15.30-429 for Plan No. 13218 to allow the street vacations of portions of W. Broadway Street, W. Main Street and N. I Street (Exhibit “A”). PASSED, APPROVED AND ADOPTED this 8th of January 2019. _____________________________ Anthony Jones, Chairman San Bernardino Planning Commission ATTEST: _______________________________________ Oliver Mujica, Planning Commission Secretary City of San Bernardino, California 13.e Packet Pg. 218 Attachment: PW.Attachment A_Resolution 2019-001 (5938 : Resolution to Order the Vacation of a Portion of "I" St, Broadway St, and Main St, 5 CERTIFICATION: I, Stephanie Sanchez, Recording Secretary of the Planning Commission of the City of San Bernardino, California, do hereby certify that the foregoing Resolution No. 2019-001, was duly adopted by the Planning Commission of the City of San Bernardino, California, at a regula r meeting thereof held on the 8th day of January 2019, by the following vote, to wit: AYES: NOES: ABSENT: ABSTAIN: ____________________________________ Stephanie Sanchez, Recording Secretary City of San Bernardino, California 13.e Packet Pg. 219 Attachment: PW.Attachment A_Resolution 2019-001 (5938 : Resolution to Order the Vacation of a Portion of "I" St, Broadway St, and Main St, 6 EXHIBIT “A” STREET VACATION 15.30-429 13.e Packet Pg. 220 Attachment: PW.Attachment A_Resolution 2019-001 (5938 : Resolution to Order the Vacation of a Portion of "I" St, Broadway St, and Main St, 14.a Packet Pg. 221 Attachment: CD.DCA18-03.Fast5Xpress.StaffReport.FinalReading (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code 14.a Packet Pg. 222 Attachment: CD.DCA18-03.Fast5Xpress.StaffReport.FinalReading (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code Ordinance No. MC-1513 ORDINANCE NO. MC-1513 ORDINANCE OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, APPROVING DEVELOPMENT CODE AMENDMENT (ZONING MAP AMENDMENT) 18-03 TO CHANGE THE ZONING DISTRICT CLASSIFICATION FROM RESIDENTIAL MEDIUM HIGH (RMH) TO COMMERCIAL GENERAL (CG-1) OF ONE (1) PARCEL (APN: 0280-131-28) CONTAINING A TOTAL OF APPROXIMATELY 0.39 ACRES, PURSUANT TO A MITIGATED NEGATIVE DECLARATION. WHEREAS, together, General Plan Amendment 18-02, Development Code Amendment (Zoning Map Amendment) 18-03, and Conditional Use Permit 18-03 constitute the Fast 5 Xpress Car Wash Project (“Project”); and WHEREAS, pursuant to the California Environmental Quality Act (“CEQA”; Pub. Resources Code, § 21000 et seq.), section 21067, and State CEQA Guidelines (Cal. Code Regs., § 15000 et seq.), section 15367, the City of San Bernardino is the lead agency for the Project; and WHEREAS, City staff determined that pursuant to State CEQA Guidelines section 15073, preparation of a mitigated negative declaration was the appropriate environmental review procedure under CEQA, because all potential significant impacts of the Project can be mitigated to a level of less than significant; and WHEREAS, a Mitigated Negative Declaration (“MND”) and Mitigation Monitoring and Reporting Program (“MMRP”) were prepared for the Project; and WHEREAS, the Mayor and City Council, having independently reviewed and considered the MND and MMRP, and the entire record related thereto, have certified that the MND has been completed in compliance with the requirements of CEQA, and that, with the incorporation of identified mitigation measures, there is no substantial evidence supporting a fair argument that approval of the Project will result in a significant effect on the environment; and WHEREAS, on October 9, 2018, the Planning Commission of the City of San Bernardino held a duly noticed public hearing to consider public testimony and the staff report, and adopted Resolution 2018-059 recommending the adoption of the Mitigated Negative Declaration, and the approval of General Plan Amendment 18-02, Development Code Amendment (Zoning Map Amendment) 18-03, and Conditional Use Permit 18-03 to the Mayor and City Council; and WHEREAS, notice of the public hearing for the Mayor and City Council's consideration of this proposed Resolution was published in The Sun newspaper on January 5, 2019, and was 14.b Packet Pg. 223 Attachment: CD.DCA18-03.Fast5Xpress.Ordinance.MC1513 (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code Ordinance No. MC-1513 mailed to property owners within a 500 foot radius of the project site in accordance with Development Code Chapter 19.52; and WHEREAS, no comments made in the public hearing conducted by the Mayor and City Council and no additional information submitted to the City Council, has produced substantial new information requiring substantial revisions that would trigger additional environmental review under State CEQA Guidelines section 15073.5. NOW THEREFORE, THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, DO ORDAIN AS FOLLOWS: SECTION 1. The above recitals are true and correct and are incorporated herein. SECTION 2. Compliance with the California Environmental Quality Act. The City Council having independently reviewed and analyzed the record before it, including the adopted Mitigated Negative Declaration and Mitigation Monitoring and Reporting Program, and written and oral testimony, and having exercised their independent judgment, finds that there is no substantial evidence supporting a fair argument that approval of the Project will result in a significant effect on the environment. SECTION 3. Finding of Facts – Development Code Amendment (Zoning Map Amendment) 18-03 Finding No. 1: The proposed amendment is consistent with the General Plan. Finding of Fact: The project site, which is owned entirely by HHI San Bernardino, LLC, is currently a mix of vacant commercial property and underdeveloped residential property. The proposed amendment will result in removing the existing Residential Medium High (RMH) General Plan Land Use Designation from a portion of the project site, resulting in the entire site having the Commercial General (CG-1) General Plan Land Use Designation. The Commercial General (CG-1) General Plan Land Use Designation is intended to provide for the continued use, enhancement, and new development of retail, personal service, entertainment, office, and related commercial uses along major transportation corridors and intersections to service the needs of the residents. The change in the General Plan Land Use Designation would provide a single land use/zone over the entire 1.32 acre parcel and would allow the development, establishment, and operation of a drive-thru express carwash containing approximately 5,486 square feet (Fast 5 Xpress Car Wash), which is consistent with other commercial retail and service uses within the project area. The project is also consistent with the following General Plan goals and policies: 14.b Packet Pg. 224 Attachment: CD.DCA18-03.Fast5Xpress.Ordinance.MC1513 (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code Ordinance No. MC-1513 Goal 4.1 encourages economic activity that capitalizes upon the transportation and locational strengths of San Bernardino. The proposed change of the General Plan Land Use Designation and Zoning District Classification from Residential Medium High (RMH) to Commercial General (CG-1) will capitalize on the existing local and regional commuter traffic along the corridor. Policy 5.7.3 requires that new development maintain architectural interest and variety through varied rooflines, building setbacks, and detailed façade treatments, and maintain a strong sense of project identity through similarities in façade organization, signage, landscaping, material use, colors, and roof shapes. The proposed project implements the above General Plan policy in that the proposed development includes a new commercial building and been designed with high-quality façade treatments and a varied roofline that incorporates distinct signage, which will provide additional architectural interest. Finding No. 2: The proposed amendment would not be detrimental to the public interest, health, safety, convenience, or welfare of the City. Finding of Fact: The proposed amendment will not be detrimental to the public interest, health, safety, convenience, or welfare of the City in that the amendment from Residential Medium High (RMH) to Commercial General (CG-1) will facilitate the development of a drive-thru express carwash, which is consistent with the commercial retail and service uses within the project vicinity. The project site will be generally flat, with access from S. Tippecanoe Avenue (via E. Gould Street and E. Davidson Street), fully served by utility providers, and constructed in accordance with all applicable codes and regulations, and will not result in the need for the excessive provision of services. Additionally, any potential impacts created by the proposed amendment have been addressed in the Final Initial Study/Mitigated Negative Declaration and appropriate mitigation measures have been included within the Mitigation Monitoring and Reporting Program. Finding No. 3: The proposed amendment would maintain the appropriate balance of land uses within the City. 14.b Packet Pg. 225 Attachment: CD.DCA18-03.Fast5Xpress.Ordinance.MC1513 (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code Ordinance No. MC-1513 Finding of Fact: The proposed amendment would result in the project site having the Commercial General (CG-1) Zoning District classification, which, upon consolidation of the property, will allow for the development of a drive- thru express carwash. The subject property is located along a major arterial that supports other existing local and regional commercial uses. Therefore, the proposed change from Residential Medium High (RMH) to Commercial General (CG-1) for the one (1) parcel would increase the commercial designation along a major corridor creating greater consistency with other properties located along the existing commercial corridor and providing for an appropriate balance of land uses within the City. Finding No. 4: The subject parcels are physically suitable (including, but not limited to, access, provision of utilities, compatibility with adjoining land uses, and absence of physical constraints) for the requested land use designation and the anticipated land use development. Finding of Fact: The project site is currently comprised of four (4) parcels that are proposed to be merged into one (1) parcel containing a total of approximately 1.32 acres. The project site will be generally flat, with access from S. Tippecanoe Avenue (via E. Gould Street and E. Davidson Street). Utilities are available directly from S. Tippecanoe Avenue. The project site is sufficient in size to meet parking, loading, and landscaping requirements for the proposed drive-thru express carwash. There are no physical constraints on the site, such as steep slopes or watercourses. SECTION 4. Development Code Amendment (Zoning Map Amendment) 18-03 to change the Zoning District Classification from Residential Medium High (RMH) to Commercial General (CG-1) of one (1) parcel (APN: 0280-131-28), attached hereto and incorporated herein by reference as Exhibit A, is hereby approved. SECTION 5. Notice of Determination: The Planning Division of the Community Development Department is hereby directed to file a Notice of Determination with the County Clerk of the County of San Bernardino within five (5) working days of final project approval certifying the City’s compliance with the California Environmental Quality Act in approving the Project. SECTION 6. Severability: If any section, subsection, subdivision, sentence, or clause or phrase in this Ordinance or any part thereof is for any reason held to be unconstitutional, invalid or ineffective by any court of competent jurisdiction, such decision shall not affect the validity or effectiveness of the remaining portions of this Ordinance or any part thereof. The City Council hereby declares that it would have adopted each section irrespective of the fact that any one or more subsections, subdivisions, sentences, clauses, or phrases be declared unconstitutional, invalid, or ineffective. 14.b Packet Pg. 226 Attachment: CD.DCA18-03.Fast5Xpress.Ordinance.MC1513 (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code Ordinance No. MC-1513 SECTION 7. Effective Date. This Ordinance shall become effective thirty (30) days after the date of its adoption. SECTION 8. Notice of Adoption. The City Clerk of the City of San Bernardino shall certify to the adoption of this Ordinance and cause publication to occur in a newspaper of general circulation and published and circulated in the City in a manner permitted under section 36933 of the Government Code of the State of California. APPROVED and ADOPTED by the City Council and signed by the Mayor and attested by the City Clerk this ___ day of __________, 2019. John Valdivia, Mayor City of San Bernardino Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 14.b Packet Pg. 227 Attachment: CD.DCA18-03.Fast5Xpress.Ordinance.MC1513 (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code Ordinance No. MC-1513 CERTIFICATION STATE OF CALIFORNIA COUNTY OF SAN BERNARDINO CITY OF SAN BERNARDINO I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Ordinance No. MC ____, introduced at a regular meeting held on the 16th day of January, 2019 and adopted at a regular meeting held on the ___ day of _______, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 14.b Packet Pg. 228 Attachment: CD.DCA18-03.Fast5Xpress.Ordinance.MC1513 (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code PROJECT: DCA (ZMA) 18-03 Change the Zoning District Classification from Residential Medium High (RMH) to Commercial General (CG-1) for 0.39 acres. NORTH EXHIBIT A – DEVELOPMENT CODE AMENDMENT PROJECT SITE 14.c Packet Pg. 229 Attachment: CD.DCA18-03.Fast5Xpress.Ordinance.Exhibit.A (5939 : Final Reading and Adoption - Ordinance MC-1513 - Development Code 15.a Packet Pg. 230 Attachment: CM.Meeting Dates and Times Final Reading Staff Report. (5940 : Final Reading, and Adoption - Ordinance No. MC-1511 Amending Additionally, there was a request that the City implement a modified schedule during the holidays and in the spring and summer months. In 2019, this would consist of: Holiday Schedule – meet ONLY the first Wednesday in November 2019 and December 2019, and return on the third Wednesday in January 2020 Spring Recess — Cancel Wednesday, April 17, 2019 Summer Recess—Cancel Wednesday July 3, 2019 Staff would administratively adjust the 2019 meeting schedule to reflect these dates. The Ordinance will continue to provide these dates as regular meeting dates in the event there is a need for the City Council to act on an item. Meeting Location Options At the January 2nd Council Meeting, there was also discussion concerning the use of the Inland Valley Development Agency’s (IVDA) Board room for City Council Meetings. After some discussion it was agreed that staff would update the information provided at the April 4, 2018, meeting regarding facility options for Council Meetings. Five additional facilities have been researched: Community College District, Sturges Center for Fine Arts, California Theatre, San Bernardino Valley College and the San Bernardino Unified School District. Of those options, the most suitable locations to accommodate the needs of the Mayor and City Council appear to be: 1. Continue to hold meeting at the current location at 201. N E Street until such time that a decision is made and timing is known about a new City Hall (no cost). 2. Inland Valley Airport Authority Board Room – 1601 E 3rd Street (up to $1800 per meeting). 3. Feldheym Library – Bing Wong Lecture Hall – 555 W. 5th Street (no cost). After further discussion on the matter at the January 16th meeting, there was general consensus that the meetings continue being held at the current location for the time being. Fiscal Impact There is no fiscal impact associated with the approval of the change to the meeting schedule. 2018-19 Goals and Objectives The consideration of City Council meeting dates, times, and place align with Goal No. 5: Improve City Government Operations, by providing a better opportunity for public participation. Conclusion 1/31/2019 12:22 PM 15.a Packet Pg. 231 Attachment: CM.Meeting Dates and Times Final Reading Staff Report. (5940 : Final Reading, and Adoption - Ordinance No. MC-1511 Amending Staff recommends that the City Council accept for final reading and adopt Ordinance No. MC-1511. Attachments Attachment 1 Ordinance No. MC 1511 Recommendation Ward: All Synopsis of Previous Council Actions: 1/2/2019 – Directed staff to prepare and Ordinance amending Chapter 2.58 of the Municipal Code concerning meeting times. 4/17/17 – Adopted Ordinance No. MC – 1438 amending Chapter 2.58 of the Municipal Code. 1/31/2019 12:22 PM 15.a Packet Pg. 232 Attachment: CM.Meeting Dates and Times Final Reading Staff Report. (5940 : Final Reading, and Adoption - Ordinance No. MC-1511 Amending ORDINANCE NO. MC-1511 AN ORDINANCE OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA AMENDING SECTION 2.58.010 OF CHAPTER 2.58 OF TITLE 2 OF THE SAN BERNARDINO MUNICIPAL CODE, RELATING TO MEETINGS WHEREAS, Section 309 of the City Charter for the City of San Bernardino (“City”) authorizes the City Council to establish the time and place of its meetings; and WHEREAS, on April 17, 2017, the Mayor and City Council adopted Ordinance No. MC-1438 amending Chapter 2.58 of the San Bernardino Municipal Code to establish meeting procedures; and WHEREAS, now, the City Council desires to amend Section 2.58.010 of Chapter 2.58 of the San Bernardino Municipal Code to change the time of City Council meetings. THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO DO ORDAIN AS FOLLOWS: SECTION 1. The above recitals are true and correct and are incorporated herein by this reference. SECTION 2. Section 2.58.010 of Chapter 2.58 of the San Bernardino Municipal Code is hereby amended in its entirety to read as follows: “2.58.010 Mayor and City Council A. Regular meetings of the Mayor and City Council of the City of San Bernardino shall be held on the first and third Wednesdays of each month commencing at five-thirty p.m. (5:30 p.m.) for Closed Session and at seven p.m. (7 p.m.) for Open Session at the City Council Chambers, City Hall, 300 North “D” Street, San Bernardino, California, or such other location within the City as may be properly noticed. B. The City Council, as the elected body serving all of the residents of the City, shall perform its duties and exercise its powers in a manner that serves the best interests of the entire City, rather than any particular geographic area or special interest.” SECTION 3. Effective Date. This Ordinance shall take effect thirty (30) days after its adoption. SECTION 4. Severability. If any section, subsection, subdivision, paragraph, sentence, clause or phrase of this ordinance, or any part thereof, is for any reason held to be unconstitutional, such decision shall not affect the validity of the remaining portion of this Ordinance or any part thereof. The City Council hereby declares that it would have passed each section, subsection, subdivision, paragraph, sentence, clause or phrase thereof, irrespective of the fact that any one or more section, subsection, subdivision, paragraph, sentence, clause or phrase 15.b Packet Pg. 233 Attachment: CM.Meeting Dates and Times.Ordinance MC-1511 (final) (5940 : Final Reading, and Adoption - Ordinance No. MC-1511 Amending Ordinance No. MC-1511 be declared unconstitutional. If for any reason any portion of this ordinance is found to be invalid by a court of competent jurisdiction, the balance of this ordinance shall not be affected. SECTION 5. Certification. City Clerk of the City of San Bernardino shall certify to the adoption of this Ordinance and cause publication to occur in a newspaper of general circulation and published and circulated in the City in a manner permitted under section 36933 of the Government Code of the State of California. SECTION 6. CEQA. The City Council finds that this Ordinance is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly. APPROVED and ADOPTED by the City Council and signed by the Mayor and attested by the City Clerk this 6th day of February, 2019. ___________________________ John Valdivia, Mayor City of San Bernardino Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 15.b Packet Pg. 234 Attachment: CM.Meeting Dates and Times.Ordinance MC-1511 (final) (5940 : Final Reading, and Adoption - Ordinance No. MC-1511 Amending CERTIFICATION STATE OF CALIFORNIA ) COUNTY OF SAN BERNARDINO) ss CITY OF SAN BERNARDINO ) I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Ordinance No. MC-1511, introduced by the City Council of the City of San Bernardino, California, at a regular meeting held the 16th day of January, 2019. Ordinance No. MC-1511 was approved, passed and adopted at a regular meeting held the 6th day of February, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 15.b Packet Pg. 235 Attachment: CM.Meeting Dates and Times.Ordinance MC-1511 (final) (5940 : Final Reading, and Adoption - Ordinance No. MC-1511 Amending 16.a Packet Pg. 236 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.00REPORT-01-08-19 (5941 : Amendment No. 2 to the Agreement and the Santa Ana Regional Water Quality Control Board (SARWQB). The applications for all three permits have been submitted and the USACOE has responded that a biological study prepared in 2015 must be updated to reflect the latest regulations. We are still awaiting responses from the CDFW and the SARWQB. Certain tasks were not anticipated to be needed as part of the original contract. However, it became apparent that additional tasks would be necessary due to events that occurred later. For example, the Corps of Engineers is requiring that a 2015 biological study must be updated before they will issue a permit for work in Warm Creek. Other tasks, such as bid and award support and construction support were deferred due to a funding shortfall. A complete list of the additional tasks is as follows: 1. Additional project management. 2. Additional biological services (Includes biological study update as required by USACOE). 3. Final PS&E revisions. 4. Design support during bid and award. 5. Design support during construction. Tetra Tech has submitted a proposal to provide the above services for a total additional fee of $97,239. The fee is a fair price for the work and staff recommends acceptance of the proposal. Staff has determined it to be advantageous to amend the existing Agreement with Tetra Tech because of the familiarity with the project and existing conditions. It is important that the design be completed and the project constructed otherwise money previously reimbursed by Caltrans will be required to be paid back. The original Agreement with Tetra Tech expired on December 31, 2018; therefore, it is recommended that the Agreement be extended to December 31, 2020. This is a federally funded project through Highway Bridge Program (HBP) in the amount of $2,567,250. 2018-2019 Goals and Objectives This project is consistent with Goal No. 4: Ensure Development of a Well-Planned Balanced and Sustainable City and Goal No. 7: Pursue City Goals and Objectives by working with other agencies such as: Federal, State, and regional governments to ensure San Bernardino receives its fair share of resources by maintaining close working relationships with other governmental agencies. Fiscal Impact Sufficient funds in the amount of $97,239 are available in the Development Impact Fee Fund in Account No. 264-160-7841-5504 “2nd Street Bridge Replacement at Warm Creek (SS13-001). 1/30/2019 2:19 PM 16.a Packet Pg. 237 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.00REPORT-01-08-19 (5941 : Amendment No. 2 to the Agreement Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino, California, adopt Resolution No. 2019-19 approving Amendment No. 2 to the Agreement for Services with Tetra Tech for design of the 2nd Street Bridge replacement at Warm Creek (SS13-001). Attachments Attachment 1 Resolution; Exhibit “A”- Amendment No. 1 Attachment 2 Location Map Ward: 1 Synopsis of Previous Council Actions: 06-16-14 Approved Resolution No. 2014-234 awarding an Agreement to Tetra Tech for the design of bridge replacement at 2nd Street and Warm Creek Federal Aid Project No. BRLS-5033(052), Capital Improvement Project No. SS13-001, Bridge No. 54C-0411. 12-05-16 Approved Resolution No. 2016-247 adopting a Mitigated Negative Declaration (MND), approving a Mitigation Monitoring and Reporting Program(MMRP) and authorizing the Director of Community Development or Designee to file a Notice of Determination (NOD) with the Clerk of the Board of Supervisors of San Bernardino County for the Second Street Bridge Replacement Project, Bridge #54C-0411. 05/16/18 Approved Resolution No. 2018-139 approving Amendment No 1 to Agreement to Tetra Tech for the design of the 2nd Street Bridge Replacement at Warm Creek Federal Aid Project No. BRLS-5033(052), Capital Improvement Project No. SS13-001, Bridge No. 54C-0411 1/30/2019 2:19 PM 16.a Packet Pg. 238 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.00REPORT-01-08-19 (5941 : Amendment No. 2 to the Agreement Resolution No. 2019-19 RESOLUTION NO. 2019-19 RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, APPROVING AMENDMENT NO. 2 TO THE AGREEMENT FOR SERVICES WITH TETRA TECH FOR DESIGN OF 2ND STREET BRIDGE REPLACEMENT AT WARM CREEK (SS13-001) WHEREAS, on June 16, 2014, an Agreement with Tetra Tech in the amount of $470,790 for the design and environmental work for the 2nd Street Bridge replacement at Warm Creek (SS13-001) was approved; and WHEREAS, on December 5, 2016, a mitigated negative declaration under the California Environmental Quality Act was adopted and on April 4, 2017 Caltrans approved a Categorical Exclusion under the National Environment Policy Act; and WHEREAS, on May 16, 2018, the Mayor and City Council adopted Resolution No. 2018-139 approving Amendment No. 1 to the Agreement for Services with Tetra Tech for design of the 2nd Street Bridge replacement at Warm Creek (SS13-001);and WHEREAS, consultant services are needed to completed work on the design of the 2nd Street Bridge replacement at Warm Creek (SS13-001); and WHEREAS, consultant has submitted a proposal dated December 20, 2018 to provide the necessary services to complete project. BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS: SECTION 1. The above recitals are true and correct and are incorporated herein by this reference. SECTION 2. The City Manager or designee is hereby authorized and directed to execute Amendment No. 2 to the Agreement for Services with Tetra Tech for design of 2nd Street Bridge replacement at Warm Creek, Federal Aid Project No. BRLS-5033(052), Capital Improvement Project No. SS13-001, Bridge No. 54C-0411, a copy of which is attached as Exhibit “A” and incorporated herein. SECTION 3. This Amendment shall not take effect until it is fully signed and executed by the parties, and no party shall be obligated hereunder until the time of such full execution. No oral contracts, amendments, modifications or waivers are intended or authorized and shall not be implied from any act or course of conduct of any party. SECTION 4. The authorization to execute this Amendment No. 2 is rescinded if the parties to the Agreement fail to execute it and return it to the office of the City Clerk within ninety (90) days of the passage of this Resolution. 16.b Packet Pg. 239 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.02Attachment 1- Resolution (5941 : Amendment No. 2 to the Resolution No. 2019-19 SECTION 5. That the City Council finds a mitigated negative declaration under the California Environmental Quality Act was adopted for this project on April 4, 2017 and Caltrans approved a Categorical Exclusion under the National Environment Policy Act. SECTION 6. Severability. If any provision of this Resolution or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications, and to this end the provisions of this Resolution are declared to be severable. SECTION 7. Effective Date. This Resolution shall become effective immediately. APPROVED and ADOPTED by the City Council and signed by the Mayor and attested by the City Clerk this ___ day of __________, 2019. John Valdivia, Mayor City of San Bernardino Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 16.b Packet Pg. 240 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.02Attachment 1- Resolution (5941 : Amendment No. 2 to the Resolution No. 2019-19 CERTIFICATION STATE OF CALIFORNIA ) COUNTY OF SAN BERNARDINO) ss CITY OF SAN BERNARDINO ) I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Resolution No. _____, adopted at a regular meeting held at the ___ day of _______, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 16.b Packet Pg. 241 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.02Attachment 1- Resolution (5941 : Amendment No. 2 to the EXHIBIT “A” AMENDMENT NO. 2 TO THE AGREEMENT FOR SERVICES WITH TETRA TECH FOR DESIGN OF THE 2ND STREET BRIDGE REPLACEMENT AT WARM CREEK. This AMENDMENT is made and entered into this______ day of ____________, 2019, by and between the CITY OF SAN BERNARDINO, California, a municipal corporation, hereinafter referred to as the “City” and TETRA TECH, hereinafter referred to as “Consultant." WITNESSETH: A. WHEREAS, on June 16, 2014 the Mayor and City Council adopted Resolution No. 2014-234 awarding an Agreement to Tetra Tech for the design of bridge replacement at 2nd Street and Warm Creek Federal Aid Project No. BRLS-5033(052), Capital Improvement Project No. SS13-001, Bridge No. 54C-0411 (Project); and B. WHEREAS, on December 5, 2016 the Mayor and City Council approved Resolution No. 2016-247 adopting a Mitigated Negative Declaration (MND), approving a Mitigation Monitoring and Reporting Program(MMRP) and authorizing the Director of Community Development or Designee to file a Notice of Determination (NOD) with the Clerk of the Board of Supervisors of San Bernardino County for the Second Street Bridge Replacement Project, Bridge #54C-0411; and C. WHEREAS, on May 16, 2018, the Mayor and City Council adopted Resolution No. 2018-139 approving Amendment No. 1 to the Agreement for Services with Tetra Tech for design of the 2nd Street Bridge replacement at Warm Creek (SS13- 001);and D. WHEREAS, based on the Amendment No. 1, the expiration date of the Agreement for Services was established as December 31, 2018; and E. WHEREAS, the Project is continuing and the services of the Consultant will be needed through December 31, 2020; and F. WHEREAS, the Consultant has submitted a proposal by letter dated December 20, 2018, attached hereto as Attachment A, concurring with extending the expiration date of the Agreement to December 31, 2020 and requesting additional fees. NOW THEREFORE, the parties hereto agree as follows: 1. Section 4.1 “Term” of said Agreement for Services is hereby amended to extend the term of this Agreement to December 31, 2020, unless terminated sooner as provided herein. - 1 - 16.c Packet Pg. 242 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.03Attachment 1-EXHIBIT A.pdf (5941 : Amendment No. 2 to the Amendment No. 2 to Agreement for Services with Tetra Tech. 2. Section 2.6 “Compensation” of Agreement for Professional Services is hereby amended as follows: Original Contract Amount $470,790.00 Amendment No. 1 $0.00 Amendment No. 2 $97,239.00 Revised Contract Amount $568,029.00 3. All other terms and conditions of said Agreement for Services, as amended, approved by Resolution Nos. 2014-234, 2016-247 and 2018-139 shall remain unchanged. - 2 - 16.c Packet Pg. 243 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.03Attachment 1-EXHIBIT A.pdf (5941 : Amendment No. 2 to the Amendment No. 2 to Agreement for Services with Tetra Tech. AMENDMENT NO. 2 TO THE AGREEMENT FOR SERVICES WITH TETRA TECH FOR DESIGN OF THE 2ND STREET BRIDGE REPLACEMENT AT WARM CREEK (SS13-001). IN WITNESS WHEREOF, the parties hereto have executed this Amendment on the date first shown above. CITY OF SAN BERNARDINO TETRA TECH By: __________________________ By: ___________________________ Andrea M. Miller, City Manager Signature Print Name/Title ATTEST: __________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: Gary D. Saenz City Attorney By: _______________________ /// /// - 3 - 16.c Packet Pg. 244 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.03Attachment 1-EXHIBIT A.pdf (5941 : Amendment No. 2 to the ATTACHMENT 1 PROJECT LOCATION LOCATION MAP SECOND STREET BRIDGE OVER WARM CREEK BRIDGE REPLACEMENT PROJECT 16.d Packet Pg. 245 Attachment: PW.Tetra Tech Amend 2 to Agreement for 2nd St Bridge Replace.1.01Attacment 2 - Location Map (5941 : Amendment No. 2 to the 17.a Packet Pg. 246 Attachment: FN. Deferred Compensation Contract Approval. Staff Report (5942 : Transition of Deferred Compensation 457(B) Record Keeper advisors. Additional core responsibilities include a quarterly review of investment options and the development of education, training, and communication standards and materials for eligible employees. The City has had its 457(b) plan with Nationwide for more than two decades. Due to increased fiduciary responsibilities related to administering and monitoring the Plan under the IRC and California law, staff sought out the advisory services of an investment advisor to serve as the plan’s Fiduciary. In order to secure an investment advisor for the deferred compensation plan, staff conducted a Request for Proposals (RFP). Based on the results of that RFP, the committee agreed to award a one year contract to SFG based on price, qualifications, and recent experience. Part of the services provided by SFG are a review of the plan, it’s investment makeup and costs/interest rate earnings offered by the plan provider (Nationwide). SFG will also assist the City in the recommended switch of record keepers from Nationwide to MassMutual. To ensure a smooth transition from Nationwide to MassMutual, and to provide ongoing plan compliance support, administrative support services, and oversight of the pricing and investment options with the plan, the committee is recommending an amendment to the agreement with SFG to three-years, not to exceed $48,000 annually. The actions necessary to put into effect these objectives are to: • Approve the termination and transition of the current 457(b) plan with Nationwide to the successful proposer, MassMutual; • Approve the engagement of SFG, an independent third-party consultant and investment advisor, to lead the conversion to MassMutual and provide ongoing plan compliance support, administrative support services, and oversight of the pricing and investment options within the plans for a three year period; and • Approve the Investment Policy Statement (IPS) that guides the investment management processes the City and SFG will follow. Discussion Under Section 457(b) of the Internal Revenue Code, government entities may sponsor a deferred compensation plan, while meeting fiduciary responsibilities under California law, to allow employees to defer income tax on retirement savings into future years. Under the California State Constitution, Article XVI Section 17, government entities that sponsor a 457(b) plan have fiduciary responsibilities to ensure the operation and investment of the public retirement plan is for the exclusive purpose of providing benefits to participants and beneficiaries. The fiduciary responsibilities are to: • Invest the assets of the plan, • Administer the plan, • Engage in a prudent process for making all decisions related to the operation of the plan, including decisions related to the plan's investments and related services. 1/31/2019 12:53 PM 17.a Packet Pg. 247 Attachment: FN. Deferred Compensation Contract Approval. Staff Report (5942 : Transition of Deferred Compensation 457(B) Record Keeper As a fiduciary, the City has a responsibility to control the investment choices made available in the 457(b) plan. In addition, the City has a fiduciary responsibility to ensure plan fees and investment expenses are reasonable. Beginning in June of 1970, a committee of selected City personnel, now known as the Deferred Compensation Committee, has managed the investment selection and review process utilizing information provided by the incumbent record-keeper, and has reviewed and negotiated the fees charged by the incumbent record-keeper. Because of the complexity of the investment process, plan sponsor responsibilities and increased fiduciary liability, staff met with SFG, a leading retirement plan consulting firm, to learn more about recent trends affecting the 457(b) marketplace and laws governing fiduciary requirements for the operation and investment of the City's sponsored plans. Based on the information provided, staff determined that it needed such assistance to best address the fiduciary responsibilities to most expertly manage and evaluate options related to the City’s 457 (b) plan. Staff conducted an RFP process inviting three top providers of these fiduciary advisory 457(b) plan services. SFG was the best proposal with the most significant anticipated impact on the plan’s performance. SFG was also the least expensive of the three options. The decision was made by staff to award a one year contract to SFG at $48,000 based on their competitive pricing quote and their demonstrated ability to conduct successful fee negotiations with the various record keeping 457(b) plan providers. The cities of Ontario, La Verne, Chino, and Upland are a few of the 42 California cities currently contracting with SFG. Staff asked SFG to conduct a fee and investment audit of the Plan resulting in recommendations for plan improvements and changes to reduce the City’s fiduciary liability. SFG’s findings included poor visibility with how fees are charged and revenue generated, and identified areas the investment line-up could be improved and broadened. SFG also noted the fixed interest rate being credited could be improved. Lastly, SFG identified that the current fund line-up includes funds that generated unequal revenue over-and-above what Nationwide charges to administer the plan. SFG recommended, and the Deferred Compensation Committee concurred, that pricing can be reduced and the fixed interest rate enhanced by either moving to a new record-keeper, or entering into a new contract with NRS. SFG also proposed an improved, comprehensive institutional class investment menu for the 457(b) plan that is lower in cost to participants, more transparent and eliminates the unequal revenue sharing arrangement that had been occurring. The RFP was issued to seven (7) record keepers including our current provider, Nationwide. MassMutual, Voya, Nationwide and Prudential provided the most competitive record-keeping and administration quotes. Depending upon the record- keeper, the RFP results and subsequent negotiations provide the City the opportunity to reduce plan and investment fees and enhance the fixed interest rate. 1/31/2019 12:53 PM 17.a Packet Pg. 248 Attachment: FN. Deferred Compensation Contract Approval. Staff Report (5942 : Transition of Deferred Compensation 457(B) Record Keeper Finalist presentations were made by MassMutual, Voya, NRS and Prudential to the Deferred Compensation Committee and SFG. Additional due diligence was conducted, including interviews and reference checks. As a result of the presentations and follow- up activities, the Committee unanimously named MassMutual as the finalist and recommends a change in the record-keeping and plan administration provider to MassMutual. A summary of the pricing offered by the four finalists is below. Record-Keeper Asset Charge Crediting Rate MassMutual 0.03% 4.55% Voya 0.07% 3.50% Nationwide 0.06% 3.00% Prudential 0.10% 3.12% The impact to employees will be lower fees and higher fixed interest rates. In addition, SFG’s improved investment options line-up with MassMutual is projected to perform better in terms of market growth. The move to MassMutual provides the City the opportunity to reduce plan and investment fees charged up to 25% (estimated $103k of fee savings) and enhance the fixed interest rate by up to 80% (estimated $483k of additional earnings), an estimated combined fee and fixed interest rate positive impact of $586k to participants annually. With the guidance of SFG, the City of San Bernardino employees will have many opportunities over the coming months to attend meetings and learn more about the change in providers. MassMutual representatives will also be available to assist employees with their questions about investment allocation transfers. All participant assets will remain in trust throughout the transition process. SFG also prepared a draft IPS for use by the City to manage the deferred compensation investment portfolio. It outlines the investment selections and investment review process to be followed by the City and SFG. Included in the IPS are: 1) list of investments the Deferred Compensation Committee and SFG believe are appropriate for the retirement plan; 2) list of prohibited investments; 3) roles and responsibilities in administering the plan; 4) investment option selection criteria; and 5) investment option monitoring. The IPS has no material changes from the document used to direct investments for the current plan with NRS. Based on the above, the staff is requesting to engage MassMutual as the new record- keeper and administrator for an initial contract period of three (3) years with two additional one-year options. 2018/19 Goals and Objectives Approving the replacement of the current 457(b) deferred compensation plan provider and extending the term of the current investment advisor/Fiduciary is consistent with Goal No. 6: Operate in a Fiscally Responsible and Business-Like Manner. 1/31/2019 12:53 PM 17.a Packet Pg. 249 Attachment: FN. Deferred Compensation Contract Approval. Staff Report (5942 : Transition of Deferred Compensation 457(B) Record Keeper Fiscal Impact The proposed action has no fiscal impact to the City. The 457(b) plans earnings belong to the plan’s participants and all costs are incurred are paid from plan resources. The cost of the investment advisor is a new cost to the plan; however the fiscal results of the RFP process lead by SFG amongst several plan providers will result in a positive net position after absorbing the cost of the investment advisor. SFG will be paid $48,000 annually from plan resources. The 457(b) plan participants are expected to have improved performance in their individual accounts each year based on the proposed changes. Conclusion It is recommended that the Mayor and City Council: 1. Approve the termination of the current 457(b) deferred compensation plan with Nationwide Retirement Services effective within 90 days of City Council approval and initiation of a new 457(b) deferred compensation plan agreement with MassMutual also effective within 90 days of City Council approval; and 2. Approve an amendment to the existing one-year agreement with SFG Retirement Plan Consulting, LLC as the plan consultant, investment advisor and Fiduciary to the City’s 457(b) deferred compensation plan modifying the term of the agreement to a three-year period; and 3. Approve the proposed Investment Policy Statement; and 4. Authorize the City Manager, or designee, to execute the necessary agreements to effectuate the above noted actions. Attachments Attachment 1 Basic 457(b) Plan Document Attachment 2 MassMutual Fee Pages Attachment 3 Sample 457(b) Plan Agreement Attachment 4 457(b) Plan Investment Policy Statement Attachment 5 Investment Advisory Agreement Synopsis of previous action: None 1/31/2019 12:53 PM 17.a Packet Pg. 250 Attachment: FN. Deferred Compensation Contract Approval. Staff Report (5942 : Transition of Deferred Compensation 457(B) Record Keeper GOVERNMENTAL 457(b) PLAN BASIC PLAN DOCUMENT 17.b Packet Pg. 251 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred © Copyright 2015 Governmental 457(b) Basic Plan Document i TABLE OF CONTENTS SECTION 1 PLAN DEFINITIONS 1.01 Account. ........................................................................................................................................................ 1 1.02 Account Balance .......................................................................................................................................... 1 1.03 Adoption Agreement ................................................................................................................................... 1 1.04 Age 50 Catch-Up Contributions ................................................................................................................. 1 1.05 Age 50 Catch-Up Contribution Limit ........................................................................................................ 1 1.06 Alternate Payee ............................................................................................................................................ 1 1.07 Anniversary Years ....................................................................................................................................... 1 1.08 Annuity Starting Date ................................................................................................................................. 2 1.09 Beneficiary ................................................................................................................................................... 2 1.10 Code .............................................................................................................................................................. 2 1.11 Collectively Bargained Employee .............................................................................................................. 2 1.12 Computation Period .................................................................................................................................... 2 (a) Eligibility Computation Period .......................................................................................................... 2 (b) Vesting Computation Period .............................................................................................................. 2 1.13 Custodian ..................................................................................................................................................... 2 1.14 Designated Beneficiary................................................................................................................................ 2 1.15 Differential Pay ............................................................................................................................................ 2 1.16 Direct Rollover ............................................................................................................................................. 2 1.17 Disabled ........................................................................................................................................................ 2 1.18 Distribution Calendar Year ........................................................................................................................ 2 1.19 Effective Date ............................................................................................................................................... 2 1.20 Elapsed Time ............................................................................................................................................... 3 1.21 Eligible Employee ........................................................................................................................................ 3 1.22 Eligible Rollover Distribution .................................................................................................................... 3 1.23 Eligible Retirement Plan ............................................................................................................................. 3 1.24 Employee ...................................................................................................................................................... 3 1.25 Employer ...................................................................................................................................................... 3 1.26 Employer Contributions ............................................................................................................................. 3 1.27 Employment Commencement Date ........................................................................................................... 3 1.28 Entry Date .................................................................................................................................................... 3 1.29 Equivalency Method.................................................................................................................................... 3 1.30 Excess Amount ............................................................................................................................................. 3 1.31 Governmental Plan...................................................................................................................................... 3 1.32 Hour of Service ............................................................................................................................................ 3 (a) Performance of duties ......................................................................................................................... 3 (b) Nonperformance of duties .................................................................................................................. 3 (c) Back pay award ................................................................................................................................... 4 (d) Related Employers ............................................................................................................................... 4 (e) Maternity/paternity leave ................................................................................................................... 4 1.34 Independent Contractor. ............................................................................................................................ 4 1.35 Matching Contributions.............................................................................................................................. 4 1.37 Normal Retirement Age .............................................................................................................................. 4 1.39 Participant .................................................................................................................................................... 5 1.40 Participating Employer ............................................................................................................................... 5 1.41 Period of Severance ..................................................................................................................................... 5 1.42 Plan ............................................................................................................................................................... 5 1.43 Plan Administrator...................................................................................................................................... 5 1.44 Plan Compensation ..................................................................................................................................... 5 17.b Packet Pg. 252 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Table of Contents © Copyright 2015 Governmental 457(b) Basic Plan Document ii (a) Determination period .......................................................................................................................... 6 (b) Partial period of participation ............................................................................................................ 6 1.45 Plan Year ...................................................................................................................................................... 6 1.47 Predecessor Employer ................................................................................................................................. 6 1.48 Qualified Domestic Relations Order (QDRO) .......................................................................................... 6 1.49 Reemployment Commencement Date........................................................................................................ 6 1.50 Related Employer ........................................................................................................................................ 6 1.51 Required Beginning Date ............................................................................................................................ 6 1.52 Rollover Contribution ................................................................................................................................. 7 1.54 Salary Deferrals ........................................................................................................................................... 7 1.55 Salary Reduction Agreement ..................................................................................................................... 7 1.56 Seasonal Employee ...................................................................................................................................... 7 1.57 Severance from Employment. .................................................................................................................... 7 1.58 Special 457 Catch-Up Contributions ......................................................................................................... 7 1.59 Temporary Employee.................................................................................................................................. 7 1.60 Total Compensation .................................................................................................................................... 8 (a) Definition of Total Compensation ...................................................................................................... 8 (b) Post-Severance Compensation............................................................................................................ 9 (c) Continuation payments for disabled Participants .......................................................................... 10 (d) Deemed §125 compensation .............................................................................................................. 10 (e) Differential Pay .................................................................................................................................. 10 1.53 Valuation Date ........................................................................................................................................... 10 1.54 Year of Service ........................................................................................................................................... 10 SECTION 2 ELIGIBILITY AND PARTICIPATION 2.01 Eligibility .................................................................................................................................................... 12 (a) Salary Deferrals ................................................................................................................................. 12 (b) Employer Contributions and Matching Contributions .................................................................. 12 2.02 Eligible Employees .................................................................................................................................... 12 (a) Only Employees or Independent Contractors may participate in the Plan ................................. 12 (b) Excluded Employees .......................................................................................................................... 12 (c) Employees of Related Employers ..................................................................................................... 13 (d) Ineligible Employee becomes Eligible Employee ............................................................................ 13 (e) Eligible Employee becomes ineligible Employee ............................................................................ 13 2.03 Minimum Age and Service Conditions .................................................................................................... 13 (a) Application of age and service conditions ....................................................................................... 13 (b) Entry Dates for Salary Deferrals, Employer Contributions and Matching Contributions ..................................................................................................................................... 15 2.04 Participation on Effective Date of Plan ................................................................................................... 16 2.05 Service with Predecessor Employers ....................................................................................................... 16 SECTION 3 PLAN CONTRIBUTIONS 3.01 Types and Timing of Contributions ......................................................................................................... 17 (a) Types of Contributions ...................................................................................................................... 17 (b) Timing of Contributions ................................................................................................................... 17 3.02 Employer Contribution Formulas ........................................................................................................... 17 (a) Discretionary Employer Contribution ............................................................................................. 17 (b) Fixed Employer Contribution .......................................................................................................... 17 (c) Service-based Employer Contribution ............................................................................................ 17 3.03 Salary Deferrals ......................................................................................................................................... 18 17.b Packet Pg. 253 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Table of Contents © Copyright 2015 Governmental 457(b) Basic Plan Document iii (a) Salary Reduction Agreement ............................................................................................................ 18 (b) Change in deferral election ............................................................................................................... 18 (c) Automatic deferral election .............................................................................................................. 18 (d) Age 50 Catch-Up Contributions ....................................................................................................... 22 (e) Special 457 Catch-Up Contributions ............................................................................................... 23 (f) Deferral of sick, vacation and back pay. ......................................................................................... 23 (g) Roth Deferrals .................................................................................................................................... 23 (h) In-Plan Roth Conversions. ................................................................................................................ 24 (1) Amounts Eligible for In-Plan Roth Conversion .............................................................................. 25 (2) Effect of In-Plan Roth Conversion ................................................................................................... 25 (3) Contribution Sources ........................................................................................................................ 25 3.04 Matching Contributions............................................................................................................................ 25 3.05 Rollover Contributions ............................................................................................................................. 26 3.06 Allocation Conditions ................................................................................................................................ 26 (a) Application to designated period...................................................................................................... 26 (b) Special rule for year of termination ................................................................................................. 26 3.07 Service with Predecessor Employers ....................................................................................................... 26 3.08 FICA Replacement Plan ........................................................................................................................... 27 SECTION 4 ROLLOVER CONTRIBUTIONS AND TRANSFERS 4.01 Rollover Contributions ............................................................................................................................. 29 4.02 Transfers to the Plan ................................................................................................................................. 29 SECTION 5 LIMITS ON CONTRIBUTIONS 5.01 Maximum Contribution Limit ................................................................................................................. 30 (a) Components of the Maximum Contribution Limit ........................................................................ 30 (b) Limitation Period ............................................................................................................................... 30 (c) Contributions Subject to the Maximum Contribution Limitation ............................................... 30 5.02 Basic Annual Limit .................................................................................................................................... 30 5.03 Age 50 Catch-Up Limit ............................................................................................................................. 30 5.04 Special 457 Catch-Up Limit ...................................................................................................................... 30 (a) Underutilization Limitation .............................................................................................................. 30 (b) Normal Retirement Age .................................................................................................................... 30 (c) Special Rule for Qualified Police and Firefighters ......................................................................... 31 5.05 Excess Deferrals under the Plan .............................................................................................................. 31 5.06 Excess Deferrals Arising from Application of the Individual Limitation ............................................ 31 (a) Individual Limitation ........................................................................................................................ 31 (b) Special Rules for Catch-Up Amounts under Multiple 457(b) Plans ............................................. 31 SECTION 6 SPECIAL RULES AFFECTING THIS GOVERNMENTAL 457(B) PLAN 6.01 Plan Adoption as Governmental Plan ..................................................................................................... 32 6.02 Failure to Satisfy Requirements of Code §457(b) Applicable to Governmental Code §457(b Plans . 32 6.03 Reporting to Internal Revenue Service and Participants ...................................................................... 32 6.04 Taxation of Distributions .......................................................................................................................... 32 SECTION 7 PARTICIPANT VESTING AND FORFEITURES 7.01 Vesting of Contributions ........................................................................................................................... 33 7.02 Vesting Schedules ...................................................................................................................................... 33 (a) Vesting schedule ................................................................................................................................. 33 17.b Packet Pg. 254 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Table of Contents © Copyright 2015 Governmental 457(b) Basic Plan Document iv (b) Special vesting rules .......................................................................................................................... 33 7.03 Year of Service ........................................................................................................................................... 34 (a) Hours of Service ................................................................................................................................. 34 (b) Elapsed Time method ........................................................................................................................ 35 7.04 Vesting Computation Period .................................................................................................................... 35 7.05 Excluded service ........................................................................................................................................ 35 7.06 Service with Predecessor Employers ....................................................................................................... 35 7.07 Forfeiture of Benefits ................................................................................................................................ 35 7.08 Allocation of Forfeitures ........................................................................................................................... 36 (a) Reallocation as additional contributions ......................................................................................... 36 (b) Reduction of contributions ............................................................................................................... 36 (c) Payment of Plan expenses ................................................................................................................. 36 SECTION 8 PLAN DISTRIBUTIONS 8.01 Distribution Options ................................................................................................................................. 37 8.02 Amount Eligible for Distribution ............................................................................................................. 37 8.03 Permissible Distribution Events ............................................................................................................... 37 8.04 Severance from Employment ................................................................................................................... 37 8.05 Distribution Upon Death........................................................................................................................... 37 (a) Death after commencement of benefits ........................................................................................... 38 (b) Death before commencement of benefits ......................................................................................... 38 (c) Determining a Participant’s Beneficiary ......................................................................................... 38 8.06 Distributions of Smaller Amounts ........................................................................................................... 39 (a) Conditions for Distribution .............................................................................................................. 39 (b) Participant Election ........................................................................................................................... 39 8.07 Distributions under a Qualified Domestic Relations Order .................................................................. 40 8.08 Unforeseeable Emergency Distribution ................................................................................................... 40 (a) Amount available for distribution.................................................................................................... 40 (b) Definition of Unforeseeable Emergency .......................................................................................... 40 (c) Availability of Other Resources ....................................................................................................... 40 8.09 Direct Rollovers ......................................................................................................................................... 40 (a) Eligible Rollover Distribution........................................................................................................... 40 (b) Eligible Retirement Plan ................................................................................................................... 41 (c) Direct Rollover ................................................................................................................................... 41 (d) Direct Rollover notice ........................................................................................................................ 41 (e) Direct Rollover by Non-Spouse Beneficiary .................................................................................... 41 (f) Automatic Rollovers .......................................................................................................................... 41 8.10 Sources of Distribution ............................................................................................................................. 42 8.11 Transfers from the Plan to another Code §457(b) Plan ......................................................................... 42 SECTION 9 REQUIRED MINIMUM DISTRIBUTIONS 9.01 Death of Participant Before Distributions Begin .................................................................................... 45 (a) Surviving spouse is sole Designated Beneficiary ............................................................................. 45 (b) Surviving spouse is not the sole Designated Beneficiary ................................................................ 45 (c) No Designated Beneficiary ................................................................................................................ 45 (d) Death of surviving spouse ................................................................................................................. 45 9.02 Required Minimum Distributions during Participant’s lifetime .......................................................... 46 (a) Amount of Required Minimum Distribution for each Distribution Calendar Year ................... 46 (b) Lifetime Required Minimum Distributions continue through year of Participant’s death ................................................................................................................................................... 46 17.b Packet Pg. 255 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Table of Contents © Copyright 2015 Governmental 457(b) Basic Plan Document v 9.03 Required Minimum Distributions After Participant’s Death ............................................................... 46 (a) Death on or after date required distributions begin....................................................................... 46 (b) Death before date required distributions begin .............................................................................. 47 9.04 Definitions .................................................................................................................................................. 47 (a) Designated Beneficiary ...................................................................................................................... 47 (b) Distribution Calendar Year .............................................................................................................. 47 (c) Life expectancy .................................................................................................................................. 48 (d) Account Balance ................................................................................................................................ 48 (e) Required Beginning Date .................................................................................................................. 48 (f) Five-Percent Owner ........................................................................................................................... 48 9.05 Special Rules .............................................................................................................................................. 48 (a) Election to apply 5-year rule to required distributions after death .............................................. 48 (b) Election to allow Participants or Beneficiaries to elect 5-year rule .............................................. 49 (c) Forms of Distribution ........................................................................................................................ 49 (d) Treatment of trust beneficiaries as Designated Beneficiaries ........................................................ 49 (e) Special rules applicable to trust beneficiaries ................................................................................. 49 SECTION 10 INVESTMENT VEHICLES AND PARTICIPANT ACCOUNTS 10.01 Participant Accounts ................................................................................................................................. 52 10.02 Value of Participant Accounts .................................................................................................................. 52 (a) Periodic valuation .............................................................................................................................. 52 (b) Daily valuation ................................................................................................................................... 52 (c) Interim valuations ............................................................................................................................. 52 10.03 Adjustments to Participant Accounts ...................................................................................................... 52 (a) Distributions and forfeitures from a Participant’s Account .......................................................... 52 (b) Contributions and forfeitures allocated to a Participant’s Account ............................................. 52 (c) Net income or loss .............................................................................................................................. 52 10.04 Procedures for Determining Net Income or Loss ................................................................................... 53 10.05 Investments under the Plan. ..................................................................................................................... 53 (a) Individual/Pooled Accounts. ............................................................................................................. 53 (b) Participant direction of investments ................................................................................................ 53 SECTION 11 PLAN ADMINISTRATION AND OPERATION 11.01 Plan Administrator.................................................................................................................................... 54 11.02 Designation of Alternative Plan Administrator. ..................................................................................... 54 (a) Acceptance of responsibility by designated Plan Administrator................................................... 54 (b) Multiple alternative Plan Administrators. ...................................................................................... 54 (c) Resignation or removal of designated Plan Administrator ........................................................... 54 (d) Employer responsibilities .................................................................................................................. 54 11.03 Duties, Powers and Responsibilities of the Plan Administrator ............................................................ 54 (a) Delegation of duties, powers and responsibilities ........................................................................... 54 (b) Specific Plan Administrator responsibilities. .................................................................................. 55 11.04 Plan Administration Expenses ................................................................................................................. 55 (a) Reasonable Plan administration expenses ....................................................................................... 55 (b) Plan expense allocation. .................................................................................................................... 55 11.05 Delegation of Administrative Responsibilities ........................................................................................ 56 11.06 Qualified Domestic Relations Orders (QDROs) ..................................................................................... 56 (a) In general ............................................................................................................................................ 56 (b) Definitions related to Qualified Domestic Relations Orders (QDROs) ........................................ 56 (c) Recognition as a QDRO .................................................................................................................... 56 17.b Packet Pg. 256 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Table of Contents © Copyright 2015 Governmental 457(b) Basic Plan Document vi (d) Contents of QDRO ............................................................................................................................ 56 (e) Impermissible QDRO provisions ..................................................................................................... 57 (f) Immediate distribution to Alternate Payee ..................................................................................... 57 (g) Fee for QDRO determination ........................................................................................................... 57 (h) Default QDRO procedure ................................................................................................................. 57 SECTION 12 TRUST AGREEMENT 12.01 Creation of Trust. ...................................................................................................................................... 60 12.02 Trustee ........................................................................................................................................................ 60 (a) Discretionary Trustee ........................................................................................................................ 60 (b) Directed Trustee ................................................................................................................................ 60 12.03 Trustee’s Responsibilities Regarding Administration of Trust ............................................................ 60 12.04 Trustee’s Responsibility Regarding Investment of Plan Assets ............................................................ 61 12.05 More than One Person as Trustee ........................................................................................................... 62 12.06 Annual Valuation ...................................................................................................................................... 62 12.07 Reporting to Plan Administrator and Employer .................................................................................... 62 12.08 Reasonable Compensation ........................................................................................................................ 63 12.09 Resignation and Removal of Trustee ....................................................................................................... 63 12.10 Indemnification of Trustee ....................................................................................................................... 63 12.11 Appointment of Custodian ....................................................................................................................... 64 12.12 Satisfaction of Trust Requirement Using Custodial Accounts or Annuity Contracts ........................ 64 SECTION 13 PARTICIPANT LOANS 13.01 Availability of Participant Loans ............................................................................................................. 65 13.02 Must be Available in Reasonably Equivalent Manner .......................................................................... 65 13.03 Loan Limitations ....................................................................................................................................... 65 13.04 Limit on Amount and Number of Loans. ................................................................................................ 65 (a) Loan renegotiation. ............................................................................................................................ 65 (b) Participant must be creditworthy. ................................................................................................... 66 13.05 Reasonable Rate of Interest ...................................................................................................................... 66 13.06 Adequate Security ..................................................................................................................................... 66 13.07 Periodic Repayment .................................................................................................................................. 66 (a) Unpaid leave of absence .................................................................................................................... 66 (b) Military leave ..................................................................................................................................... 67 13.08 Designation of Accounts. ........................................................................................................................... 67 13.09 Procedures for Loan Default .................................................................................................................... 67 13.10 Termination of Employment .................................................................................................................... 68 (a) Offset of outstanding loan ................................................................................................................. 68 (b) Direct Rollover ................................................................................................................................... 68 (c) Modified loan policy .......................................................................................................................... 68 SECTION 14 PLAN AMENDMENTS, TERMINATION, MERGERS, EXCHANGES, AND TRANSFERS 14.01 Plan Amendments ..................................................................................................................................... 69 (a) Amendment by the Employer ........................................................................................................... 69 (b) Reduction of Account Balance.......................................................................................................... 69 14.02 Plan Termination ....................................................................................................................................... 69 (a) Distribution upon Plan termination ................................................................................................. 69 (b) Termination upon merger, liquidation or dissolution of the Employer ....................................... 69 (c) Missing Participants .......................................................................................................................... 69 17.b Packet Pg. 257 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Table of Contents © Copyright 2015 Governmental 457(b) Basic Plan Document vii 14.03 Merger or Consolidation........................................................................................................................... 70 SECTION 15 MISCELLANEOUS 15.01 Exclusive Benefit ....................................................................................................................................... 71 15.02 Return of Employer Contributions .......................................................................................................... 71 15.03 Alienation or Assignment ......................................................................................................................... 71 15.04 Participants’ Rights ................................................................................................................................... 71 15.05 Military Service ......................................................................................................................................... 71 15.06 Annuity Contracts ..................................................................................................................................... 73 15.07 Use of IRS compliance programs ............................................................................................................. 73 15.08 Governing Law .......................................................................................................................................... 73 15.09 Waiver of Notice ........................................................................................................................................ 73 15.10 Use of Electronic Media ............................................................................................................................ 73 15.11 Severability of Provisions ......................................................................................................................... 73 15.12 Binding Effect ............................................................................................................................................ 74 SECTION 16 PARTICIPATING EMPLOYERS 16.01 Participation by Participating Employers ............................................................................................... 75 16.02 Participating Employer Adoption Page................................................................................................... 75 (a) Application of Plan provisions. ........................................................................................................ 75 (b) Plan amendments. .............................................................................................................................. 75 (c) Trustee Declaration. .......................................................................................................................... 75 16.03 Compensation of Related Employers. ..................................................................................................... 75 16.04 Allocation of Contributions and Forfeitures ........................................................................................... 75 16.05 Discontinuance of Participation by a Participating Employer .............................................................. 75 16.06 Operational Rules for Related Employer Groups. ................................................................................. 76 17.b Packet Pg. 258 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 1 SECTION 1 PLAN DEFINITIONS This Section contains definitions for common terms that are used throughout the Plan. All capitalized terms under the Plan are defined in this Section or in the relevant section of the Plan document where such term is used. 1.01 Account. The separate Account that the Plan Administrator maintains for each Participant under the Plan. A Participant may have any (or all) of the following separate Accounts under the Plan: Pre-Tax Salary Deferral Account Roth Deferral Account Employer Contribution Account Matching Contribution Account Rollover Contribution Account Roth Rollover Contribution Account In -Plan Roth Conversion Account Transfer Account The Plan Administrator will maintain separate Accounts for the vested and non-vested portions of any Employer Contribution Account and Matching Contribution Account. The Plan Administrator may establish other Accounts, as it deems necessary, for the proper administration of the Plan. 1.02 Account Balance. Account Balance shall mean a Participant's balances in all of the Accounts that the Plan Administrator maintains for the Participant under the Plan. 1.03 Adoption Agreement. The Adoption Agreement contains the elective provisions that an Employer may complete to supplement or modify the provisions under the Plan. Each adopting Employer must complete and execute the Adoption Agreement. Employers adopting the Plan (other than the Employer that executes the Signature Page of the Adoption Agreement) must execute a Participating Employer Signature Page under the Adoption Agreement. (See Section 16 for rules applicable to adoption by multiple Employers.) An Employer may adopt more than one Adoption Agreement associated with this Plan document. Each executed Agreement is treated as a separate Plan. 1.04 Age 50 Catch-Up Contributions. Salary Deferrals made to the Plan that are in excess of an otherwise applicable Plan limit and that are made by Participants who are age 50 or over by the end of their taxable years. See Section 3.03(d). 1.05 Age 50 Catch-Up Contribution Limit. The annual limit applicable to Age 50 Catch-Up Contributions as set forth in Section 3.03(d)(1). 1.06 Alternate Payee. A person designated to receive all or a portion of the Participant’s benefit pursuant to a QDRO. See Section 11.06. 1.07 Anniversary Years. An alternative period for measuring Eligibility Computation Periods (under Section 2.03(a)(2)) and Vesting Computation Periods (under Section 7.04). An Anniversary Year is any 12-month period which commences with the Employee’s Employment Commencement Date or which commences with the anniversary of the Employee’s Employment Commencement Date. 17.b Packet Pg. 259 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 2 1.08 Annuity Starting Date. The date an Employee commences distribution from the Plan. If a Participant commences distribution with respect to a portion of his/her Account Balance, a separate Annuity Starting Date applies to any subsequent distribution. If distribution is made in the form of an annuity, the Annuity Starting Date may be treated as the first day of the first period for which annuity payments are made. 1.09 Beneficiary. A person designated by the Participant (or by the terms of the Plan) to receive a benefit under the Plan upon the death of the Participant. 1.10 Code. The Internal Revenue Code of 1986, as amended. 1.11 Collectively Bargained Employee. An Employee who is included in a unit of Employees covered by a collective bargaining agreement between the Employer and Employee representatives and whose retirement benefits are subject to good faith bargaining. Such Employees may be excluded from the Plan if designated under AA §3-1. See Section 2.02(b)(1) for additional requirements related to the exclusion of Collectively Bargained Employees. 1.12 Computation Period. The 12-consecutive month period used for measuring whether an Employee completes a Year of Service for eligibility or vesting purposes. (a) Eligibility Computation Period. The 12-consecutive month period used for measuring Years of Service for eligibility purposes. See Section 2.03(a)(2). (b) Vesting Computation Period. The 12-consecutive month period used for measuring Years of Service for vesting purposes. See Section 7.04. 1.13 Custodian. The company(ies) that hold Custodial Accounts held under the Plan. 1.14 Designated Beneficiary. A Beneficiary who is designated by the Participant (or by the terms of the Plan) and whose life expectancy is taken into account in determining minimum distributions under Code §401(a)(9) and Treas. Reg. §1.401(a)(9)-4. See Section 9.04(a). 1.15 Differential Pay. Certain payments made by the Employer to an individual while the individual is performing service in the Uniformed Services. 1.16 Direct Rollover. A rollover, at the Participant’s direction, of all or a portion of the Participant’s vested Account Balance directly to an Eligible Retirement Plan. 1.17 Disabled. An individual is considered Disabled for purposes of applying the provisions of this Plan if the individual is unable to engage in any substantial gainful activity by reason of a medically determinable physical or mental impairment that can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months. The permanence and degree of such impairment shall be supported by medical evidence. 1.18 Distribution Calendar Year. A calendar year for which a minimum distribution is required. See Section 9.04(b). 1.19 Effective Date. The date this Plan, including any restatement or amendment of this Plan, is effective. (See the Employer Signature Page of the Adoption Agreement.) 17.b Packet Pg. 260 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 3 1.20 Elapsed Time. A special method for crediting service for eligibility or vesting. See Section 2.03(a)(5) for more information on the Elapsed Time method of crediting service for eligibility purposes and Section 7.03(b) for more information on the Elapsed Time method of crediting service for vesting purposes. Also see Section 3.06 for information on the Elapsed Time method for allocation conditions. 1.21 Eligible Employee. An Employee who is not excluded from participation under Section 2.02 of the Plan or AA §3-1. 1.22 Eligible Rollover Distribution. An amount distributed from the Plan that is eligible for rollover to an Eligible Retirement Plan. 1.23 Eligible Retirement Plan. A qualified retirement plan or IRA that may receive a rollover contribution. 1.24 Employee. An Employee is any individual employed by the Employer (including any Related Employers). An independent contractor is not an Employee. An Employee is not eligible to participate under the Plan if the individual is not an Eligible Employee under Section 2.02. 1.25 Employer. Except as otherwise provided, Employer means the Employer that adopts this Plan and any Related Employer. (See Section 16 for rules that apply to Employers that execute a Participating Employer Adoption Page.) 1.26 Employer Contributions. Contributions the Employer makes pursuant to AA §6. See Section 3.02. 1.27 Employment Commencement Date. The date the Employee first performs an Hour of Service for the Employer. 1.28 Entry Date. The date on which an Employee becomes a Participant upon satisfying the Plan’s minimum age and service conditions. See Section 2.03(b). 1.29 Equivalency Method. An alternative method for crediting Hours of Service for purposes of eligibility and vesting. See Section 2.03(a)(4) for eligibility provisions and Section 7.03(a)(2) for vesting provisions. 1.30 Excess Amount. Amounts which exceed the Code §457(b) Maximum Contribution Limit. 1.31 Governmental Plan. A Governmental Plan is a Plan established and maintained for its Employees by a State, and any agency or instrumentality a State or political subdivision of a State as described in Code §457(e)(1)(A). 1.32 Hour of Service. Each Employee of the Employer will receive credit for each Hour of Service he/she works for purposes of applying the eligibility and vesting rules under the Plan. An Employee will not receive credit for the same Hour of Service under more than one category listed below. (a) Performance of duties. Hours of Service include each hour for which an Employee is paid, or entitled to payment, for the performance of duties for the Employer. These hours will be credited to the Employee for the computation period in which the duties are performed. (b) Nonperformance of duties. Hours of Service include each hour for which an Employee is paid, or entitled to payment, by the Employer on account of a period of time during which no duties are performed (irrespective of whether the employment relationship has terminated) due to vacation, holiday, illness, incapacity (including disability), layoff, jury duty, military duty or leave of 17.b Packet Pg. 261 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 4 absence. No more than 501 hours of service will be credited under this paragraph for any single continuous period (whether or not such period occurs in a single Computation Period). Hours under this paragraph will be calculated and credited pursuant to §2530.200b-2 of the Department of Labor Regulations which is incorporated herein by this reference. (c) Back pay award. Hours of Service include each hour for which back pay, irrespective of mitigation of damages, is either awarded or agreed to by the Employer. The same Hours of Service will not be credited both under subsection (a) or subsection (b), as the case may be, and under this subsection (c). These hours will be credited to the Employee for the Computation Period(s) to which the award or agreement pertains rather than the Computation Period in which the award, agreement or payment is made. (d) Related Employers. Hours of Service will be credited for employment with any Related Employer. (e) Maternity/paternity leave. Solely for purposes of determining whether a Break in Service has occurred in a Computation Period, an individual who is absent from work for maternity or paternity reasons will receive credit for the Hours of Service which would otherwise have been credited to such individual but for such absence, or in any case in which such hours cannot be determined, eight Hours of Service per day of such absence. For purposes of this paragraph, an absence from work for maternity or paternity reasons means an absence (1) by reason of the pregnancy of the individual, (2) by reason of a birth of a child of the individual, (3) by reason of the placement of a child with the individual in connection with the adoption of such child by such individual, or (4) for purposes of caring for such child for a period beginning immediately following such birth or placement. The Hours of Service credited under this paragraph will be credited (1) in the Computation Period in which the absence begins if the crediting is necessary to prevent a Break in Service in that period, or (2) in all other cases, in the following Computation Period. 1.33 Includible Compensation. As used under this Plan, the term Includible Compensation has the same meaning as Total Compensation, as defined in Section 1.60 of the Plan. 1.34 Independent Contractor. An individual that provides goods or services to the Employer under terms specified in a contract or within some other type of agreement. Generally, an individual is an Independent Contractor if the Employer has the right to control or direct only the result of the individual’s work and not what will be done and how it will be done. An Independent Contractor is not an Employee. 1.35 Matching Contributions. Matching Contributions are contributions made by the Employer on behalf of a Participant on account of Salary Deferrals made by such Participant, as designated under AA §6B. 1.36 Maximum Contribution Limit. The limit on contributions made to the Plan as described under Section 5 of the Plan. 1.37 Normal Retirement Age. The age selected under AA §7-1. If a Participant’s Normal Retirement Age is determined wholly or partly with reference to an anniversary of the date the Participant commenced participation in the Plan and/or the Participant’s Years of Service, Normal Retirement Age is the Participant’s age when such requirements are satisfied. If the Employer enforces a mandatory retirement age, the Normal Retirement Age is the lesser of that mandatory age or the age specified in the Adoption Agreement. 17.b Packet Pg. 262 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 5 1.38 Part-Time Employee. Unless designated otherwise under AA §3-1(l), a Part-Time Employee is an Employee who is normally scheduled to work 20 or fewer hours per week. Notwithstanding the foregoing, if the Employer is a post-secondary educational institution, an Employee who is a teacher shall not be considered a Part-Time Employee if he/she normally has classroom hours of one-half or more of the number of classroom hours designated by the Employer as constituting full-time employment, provided that such designation is reasonable under all of the facts and circumstances. 1.39 Participant. Except as provided under AA §3-1, a Participant is an Employee (or former Employee) who has satisfied the conditions for participating under the Plan, as described in Section 2.03 and AA §4-1. A Participant also includes any Employee (or former Employee) who has an Account Balance under the Plan, including an Account Balance derived from a rollover or transfer from another plan or IRA. A Participant is entitled to share in an allocation of contributions or forfeitures under the Plan for a given year only if the Participant is an Eligible Employee as defined in Section 2.02, and satisfies the allocation conditions set forth in Section 3.06. An Employee is treated as a Participant with respect to Salary Deferrals once the Employee has satisfied the eligibility conditions under AA §4-1 for making such contributions, even if the Employee chooses not to actually make such contributions to the Plan. An Employee is treated as a Participant with respect to Matching Contributions once the Employee has satisfied the eligibility conditions under AA §4-1 for receiving such contributions, even if the Employee does not receive a Matching Contribution because of the Employee’s failure to make contributions eligible for the Matching Contribution. 1.40 Participating Employer. An Employer that adopts this Plan by executing the Participating Employer Adoption Page under the Adoption Agreement. See Section 16 for the rules applicable to contributions and deductions for contributions made by a Participating Employer. 1.41 Period of Severance. A continuous period of time during which the Employee is not employed by the Employer and which is used to determine an Employee’s Participation under the Elapsed Time method. See Section 2.03(a)(5) for rules regarding eligibility and Section 7.03(b) for rules regarding vesting. 1.42 Plan. The Plan is the deferred compensation plan, established or continued by the Employer for the benefit of its Employees under this Plan document, which is to be interpreted and operated in compliance with the requirements of Code §457(b) and applicable regulations. The Employer must be an Eligible Employer under Code §457(e)(1) to establish the Plan and the Plan must satisfy the requirements of Treas. Reg. 1.457(b). The Plan consists of the basic plan document and the elections made under the Adoption Agreement. The basic plan document is the portion of the Plan that contains the non-elective provisions. The Employer may supplement or modify the basic plan document through its elections in the Adoption Agreement or by separate governing documents that are expressly authorized by the Plan. If the Employer adopts more than one Adoption Agreement under this Plan, then each executed Adoption Agreement represents a separate Plan. 1.43 Plan Administrator. The Plan Administrator is the person designated to be responsible for the administration and operation of the Plan. Unless otherwise designated by the Employer, the Plan Administrator is the Employer. If another Employer has executed a Participating Employer Adoption Page, the Employer referred to in this Section is the Employer that executes the Employer Signature Page of the Adoption Agreement. 1.44 Plan Compensation. Plan Compensation is Total Compensation, as modified under AA §5-3, which is actually paid to an Employee during the determination period (as defined in subsection (a) below). In determining Plan Compensation, the Employer may elect under AA §5-3 to exclude all Salary Deferrals, pre-tax contributions to a cafeteria plan or a Code §457 plan, and qualified transportation fringes under 17.b Packet Pg. 263 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 6 Code§132(f)(4). In addition, the Employer may elect under AA §5-3 to exclude other designated elements of compensation. Plan Compensation generally includes amounts an Employee earns with a Participating Employer and amounts earned with a Related Employer (even if the Related Employer has not executed a Participating Employer Adoption Page under the Adoption Agreement). However, the Employer may elect under AA §5-3(m) to exclude all amounts earned with a Related Employer that has not executed a Participating Employer Adoption Page. (a) Determination period. Unless designated otherwise under AA §5-4(a), Plan Compensation is determined based on the Plan Year. Alternatively, the Employer may elect under AA §5-4 to determine Plan Compensation on the basis of the calendar year ending in the Plan Year or any other 12-month period ending in the Plan Year. If the determination period is the calendar year or other 12-month period ending in the Plan Year, for any Employee whose date of hire is less than 12 months before the end of the designated 12-month period, Plan Compensation will be determined over the Plan Year. (b) Partial period of participation. If an Employee is a Participant for only part of a Plan Year, Plan Compensation may be determined over the entire Plan Year or over the period during which such Employee is a Participant. In determining whether an Employee is a Participant for purposes of applying this subsection (b), the Employee’s status will be determined solely with respect to the contribution type for which the definition of Plan Compensation is being determined. Plan Compensation does not include any amounts earned for any period while an individual is not an Eligible Employee (as defined in Section 2.02). 1.45 Plan Year. The 12-consecutive month period designated under AA §2-4 on which the records of the Plan are maintained. 1.46 Pre-Tax Deferrals. Pre-Tax Deferrals are a Participant's Salary Deferrals that are not includible in the Participant's gross income at the time deferred. 1.47 Predecessor Employer. An employer that previously employed the Employees of the Employer. 1.48 Qualified Domestic Relations Order (QDRO). A domestic relations order that provides for the payment of all or a portion of the Participant’s benefits to an Alternate Payee and satisfies the requirements under Code §414(p). See Section 11.06. 1.49 Reemployment Commencement Date. The first date upon which an Employee is credited with an Hour of Service following a Break in Service (or Period of Severance, if the Plan is using the Elapsed Time method of crediting service). 1.50 Related Employer. A Related Employer means a controlled group of employers under common control. This determination is made consistent with the principles set forth under Treas. Reg.§1.414(c)-5 and any other guidance issued by the IRS relating to control groups of tax-exempt or governmental employers. For purposes of applying the provisions under this Plan, the Employer and any Related Employers are treated as a single Employer, unless specifically stated otherwise. See Section 16.06 for operating rules that apply when the Employer is a member of a Related Employer group. Also see Section 16 for rules regarding participation of Employees of Related Employers. 1.51 Required Beginning Date. The date by which minimum distributions must commence under the Plan. See Section 9.04(e). 17.b Packet Pg. 264 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 7 1.52 Rollover Contribution. A contribution made by an Employee to the Plan attributable to an Eligible Rollover Distribution from another qualified plan or IRA. See Section 3.05 for rules regarding the acceptance of Rollover Contributions under this Plan. 1.53 Roth Deferrals. Roth Deferrals are Salary Deferrals that are includible in the Participant's gross income at the time deferred and have been irrevocably designated as Roth Deferrals in the Participant’s Salary Deferral Election. A Participant's Roth Deferrals will be maintained in a separate Account containing only the Participant's Roth Deferrals and gains and losses attributable to those Roth Deferrals. 1.54 Salary Deferrals. Amounts contributed to the Plan at the election of the Participant, in lieu of cash compensation, which are made pursuant to a Salary Reduction Agreement or other deferral mechanism, and which are not includible in the gross income of the Employee pursuant to Code §457. Salary Deferrals include Roth Deferrals and Pre-Tax Deferrals. 1.55 Salary Reduction Agreement. A written agreement between a Participant and the Employer, whereby the Participant elects to have a specific percentage or dollar amount withheld from his/her Plan Compensation and the Employer agrees to contribute such amount into the 457(b) Plan. See Section 3.03(a). 1.56 Seasonal Employee. An Employee who normally works on a full-time basis less than five months during any year. 1.57 Severance from Employment. The Employee ceases to be employed by the Employer maintaining the Plan due to death, retirement or other severance from employment as provided under Treas. Reg. §1.457-6(b)(1). An Independent Contractor is considered to have a Severance from Employment upon the expiration of the contract under which the services are performed as provided under Treas. Reg. §1.457-6(b)(2). An Independent Contractor will be deemed to have a Severance from Employment if: (1) no amount will be paid from the Plan before a date that is at least 12 months after the contract expires, and (2) no amount payable to the Participant on the date described in (1) is paid if, before such date, the Participant performs services for the employer as an Independent Contractor or as an Employee. 1.58 Special 457 Catch-Up Contributions. A special catch-up contribution allowed for certain Employees as permitted under Code §457(b)(3) and described under Section 5.04. 1.59 Temporary Employee. Any Employee performing services under a contractual arrangement with the Employer of two years or less duration. Possible contract extensions may be considered in determining the duration of a contractual arrangement, but only if, under the facts and circumstances, there is a significant likelihood that the Employee’s contract will be extended. Future contract extensions are considered significantly likely to occur for purposes of this rule if: (a) on average 80 percent of similarly situated Employees have had bona fide offers to renew their contracts in the immediately preceding two academic or calendar years; or (b) the Employee with respect to whom the determination is being made has a history of contract extensions with respect to his or her current position. An Employee is not considered a Temporary Employee solely because he or she is included in a unit of Employees covered by a collective bargaining agreement of two years or less duration. 17.b Packet Pg. 265 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 8 1.60 Total Compensation. A Participant’s compensation for services with the Employer. The term Total Compensation as used in this Plan has the same meaning as “includible compensation” as defined under Treasury Regulations §1.457-2(g). As used under this Plan, the terms Total Compensation and Includible Compensation have the same meaning. Total Compensation may be defined in AA §5-1 to be either W-2 Wages, Wages under Code §3401(a), or Code §415 Compensation. Each definition of Total Compensation includes Salary Deferrals, elective contributions to a cafeteria plan under Code §125 or to an eligible deferred compensation plan under Code §401(k) or Code §403(b), and elective contributions that are not includible in the Employee’s gross income as a qualified transportation fringe under Code §132(f)(4). Unless described otherwise under AA §5-3(j), a reference to elective contributions under a Code §125 cafeteria plan includes any amounts that are not available to a participant in cash in lieu of group health coverage because the Participant is unable to certify that he or she has other health coverage. Such “deemed §125 compensation” will be treated as an amount under Code §125 only if the Employer does not request or collect information regarding the Participant’s other health coverage as part of the enrollment process for the health plan. (a) Definition of Total Compensation. The Employer may elect under AA §5-1 to define Total Compensation as any of the following definitions: (1) W-2 Wages. Wages within the meaning of Code §3401(a) and all other payments of compensation to an Employee by the Employer (in the course of the Employer’s trade or business) for which the Employer is required to furnish the Employee a written statement under Code §6041(d), 6051(a)(3), and 6052, determined without regard to any rules under Code §3401(a) that limit the remuneration included in wages based on the nature or location of the employment or the services performed. (2) Wages under Code §3401(a). Wages within the meaning of Code §3401(a) for the purposes of income tax withholding at the source but determined without regard to any rules that limit the remuneration included in wages based on the nature or location of the employment or the services performed. (3) Code §415 Compensation. Wages, salaries, fees for professional services and other amounts received for personal services actually rendered in the course of employment with the Employer (without regard to whether or not such amounts are paid in cash) to the extent that the amounts are includible in gross income. Such amounts include, but are not limited to, commissions, compensation for services on the basis of a percentage of profits, tips, bonuses, fringe benefits, and reimbursements or other expense allowances under a nonaccountable plan (as described in Treas. Reg. §1.62-2(c)), and excluding the following: (i) Employer contributions to a plan of deferred compensation which are not includible in the Employee’s gross income for the taxable year in which contributed, or Employer contributions (other than Salary Deferrals) under a Simplified Employee Pension Plan (as described in Code §408(k)), or any distributions from a plan of deferred compensation. (ii) Amounts realized from the exercise of a non-qualified stock option, or when restricted stock (or property) held by the Employee either becomes freely transferable or is no longer subject to a substantial risk of forfeiture. 17.b Packet Pg. 266 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 9 (iii) Amounts realized from the sale, exchange or other disposition of stock acquired under a qualified stock option. (iv) Other amounts which received special tax benefits, or contributions made by the Employer (other than elective deferrals) towards the purchase of an annuity contract described in Code §403(b) (whether or not the contributions are actually excludable from the gross income of the Employee). (b) Post-Severance Compensation. Total Compensation includes compensation that is paid after an Employee severs employment with the Employer, provided the compensation is paid by the later of 2½ months after severance from employment with the Employer maintaining the Plan or the end of the taxable year that includes such date of severance from employment. For this purpose, compensation paid after severance of employment may only be included in Total Compensation to the extent such amounts would have been included as compensation if they were paid prior to the Employee’s severance from employment. For purposes of applying this subsection (b), unless designated otherwise under AA §5-2(a), the following amounts that are paid after a Participant’s Severance from Employment are included in Total Compensation: (1) Regular pay. Compensation for services during the Employee’s regular working hours, or compensation for services outside the Employee’s regular working hours (such as overtime or shift differential), commissions, bonuses, or other similar payments; (2) Unused leave payments. Payment for unused accrued bona fide sick, vacation, or other leave, but only if the Employee would have been able to use the leave if employment had continued; and (3) Deferred compensation. Payments received by an Employee pursuant to a nonqualified unfunded deferred compensation plan, but only if the payment would have been paid to the Employee at the same time if the Employee had continued in employment and only to the extent that the payment is includible in the Employee’s gross income. Other post-severance payments (such as severance pay, parachute payments within the meaning of Code §280G(b)(2), or post-severance payments under a nonqualified unfunded deferred compensation plan that would not had been paid if the Employee had continued in employment) are not included as Total Compensation, even if such amounts are paid within the time period described in this subsection (b). In determining the amount of a Participant’s Employer Contributions, Matching Contributions or Salary Deferrals, Plan Compensation may not include any amounts that do not satisfy the requirements of this subsection (b) or subsection (c). If Total Compensation is defined to include post-severance compensation, the Employer may elect to exclude all such compensation paid after severance from employment from the definition of Plan Compensation under AA §5-3(k) or may elect to exclude any of the specific types of post-severance compensation defined in subsections (1), (2) and/or (3) above, by designating such compensation types under AA §5-3(m). The exclusion of post-severance compensation from the definition of Plan Compensation that is otherwise includible in Total Compensation may cause the Plan to fail the nondiscriminatory compensation rules under Treas. Reg. §1.414(s)-1. 17.b Packet Pg. 267 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 10 (c) Continuation payments for disabled Participants. Unless designated otherwise under AA §5- 2(b), Total Compensation does not include compensation paid to a Participant who is permanently and totally disabled (as defined in Code §22(e)(3)). For this purpose, compensation is the compensation the Participant would have received for the year if the Participant was paid at the rate of compensation paid immediately before becoming permanently and totally disabled (if such compensation is greater than the Participant’s compensation determined without regard to this subsection (c)), provided contributions made with respect to amounts treated as compensation under this subsection (c) are nonforfeitable when made. If so elected under AA §5-2(b), such amounts will be included as Total Compensation, notwithstanding the rules under subsection (b). (d) Deemed §125 compensation. A reference to elective contributions under a Code §125 cafeteria plan includes any amounts that are not available to a participant in cash in lieu of group health coverage because the Participant is unable to certify that he or she has other health coverage. Such deemed §125 compensation will be treated as an amount under Code §125 only if the Employer does not request or collect information regarding the Participant’s other health coverage as part of the enrollment process for the health plan. If the Employer elects under AA §5-3(j) to exclude deemed §125 compensation from the definition of Plan Compensation, such exclusion also will apply for purposes of determining Total Compensation under this Section 1.60. (e) Differential Pay. Effective for years beginning on or after January 1, 2009, in the case of an individual who receives Differential Pay from the Employer: : (1) such individual will be treated as an Employee of the Employer making the payment, and (2) the Differential Pay shall be treated as wages and will be included in calculating an Employee’s Total Compensation under the Plan. If all Employees performing service in the Uniformed Services are entitled to receive Differential Pay on reasonably equivalent terms and are eligible to make contributions based on the payments on reasonably equivalent terms, the Plan shall not be treated as failing to meet the requirements of any provision described in Code §414(u)(1)(C) by reason of any contribution or benefit based on Differential Pay. The Employer may elect to exclude Differential Pay from the definition of Plan Compensation under AA §5-3(l). For purposes of this subsection (e), Differential Pay means any payment which is made by an Employer to an individual while the individual is performing service in the Uniformed Services while on active duty for a period of more than 30 days, and represents all or a portion of the wages the individual would have received from the Employer if the individual were performing services for the Employer. In applying the provisions of this subsection (e), Uniformed Services are services as described in Code §3401(h)(2)(A). 1.53 Valuation Date. The date or dates upon which Plan assets are valued. Plan assets will be valued as of the last day of each Plan Year. In addition, the Employer may elect under AA §10-1 to establish additional Valuation Dates. Notwithstanding any election under AA §10-1, the Trustee and the Employer and/or the Plan Administrator may agree to more frequent valuation dates. 1.54 Year of Service. A Year of Service is a 12-consecutive month period (“Computation Period”) during which an Employee completes 1,000 Hours of Service. For purposes of applying the eligibility rules 17.b Packet Pg. 268 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 1 – Plan Definitions © Copyright 2017 Governmental 457(b) Basic Plan Document 11 under Section 2.03 of the Plan, an Employee will earn a Year of Service if he/she completes 1,000 Hours of Service with the Employer during an Eligibility Computation Period (as defined in Section 2.03(a)(2)). For purposes of applying the vesting rules under Section 7.03, an Employee will earn a Year of Service if he/she completes 1,000 Hours of Service with the Employer during a Vesting Computation Period (as defined in Section 7.04). The Employer may elect under AA §4-3(a) (for eligibility purposes) and AA §8-5(a) (for vesting purposes) to require the completion of any other number of Hours of Service to earn a Year of Service. Alternatively, the Employer may elect to apply the Elapsed Time method (for eligibility and/or vesting purposes) in calculating an Employee’s Years of Service under the Plan. 17.b Packet Pg. 269 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 2 – Eligibility and Participation © Copyright 2017 Governmental 457(b) Basic Plan Document 12 SECTION 2 ELIGIBILITY AND PARTICIPATION 2.01 Eligibility. In order to participate in the Plan, an Employee must be an Eligible Employee (as defined in Section 2.02) and must satisfy the Plan’s minimum age and service conditions (as defined in Section 2.03). Once an Employee satisfies the Plan’s minimum age and service conditions, such Employee shall become a Participant on the appropriate Entry Date (as selected in AA §4-2). An Employee who meets the minimum age and service requirements set forth herein, but who is not an Eligible Employee, will be eligible to participate in the Plan only upon becoming an Eligible Employee. (a) Salary Deferrals. An Employee who is not excluded from participation under Section 2.02(b) will become an Eligible Participant under the Plan for purposes of making Salary Deferrals as of the Entry Date elected in the Agreement following the satisfaction of the age and service conditions specified in AA §4-1. The Employer will contribute a Participant’s Salary Deferrals to the Plan on behalf of the Participant. To be eligible to make Salary Deferrals, an Eligible Participant must complete a Salary Reduction Agreement. (b) Employer Contributions and Matching Contributions. An Employee who is not excluded from participation under Section 2.02(b) will become an Eligible Participant under the Plan for purposes of receiving Employer Contributions and Employer Matching Contributions (as applicable) as of the Entry Date elected in the Agreement following the satisfaction of the age and service conditions specified in AA §4-1. 2.02 Eligible Employees. Unless specifically excluded under AA §3-1 or this Section 2.02, all Employees of the Employer are Eligible Employees. AA §3-1 lists various classes of Employees that may be excluded from Plan participation. If an Employee is not an Eligible Employee (e.g., such Employee is a member of a class of Employees excluded under AA §3-1), that individual may not participate under the Plan, unless he/she subsequently becomes an Eligible Employee. (a) Only Employees or Independent Contractors may participate in the Plan. To participate in the Plan, an individual must be an Employee or, if elected under the Adoption Agreement, an Independent Contractor. If an Employer elects to cover Independent Contractors, such Independent Contractors will be treated as an Employee under the Plan. The Employer may describe special rules applicable to Independent Contractors under AA §3-2(b). (b) Excluded Employees. The Employer may elect under AA §3-1 to exclude designated classes of Employees. The Employer may elect to exclude different classes of Employees for different contribution sources under the Plan. (1) Collectively Bargained Employees. The Employer may elect under AA §3-1(b) to exclude Collectively Bargained Employees with respect to Employer Contributions and Matching Contributions, unless the Collective Bargaining Agreement provides otherwise. For this purpose, a Collectively Bargained Employee is an Employee who is included in a unit of Employees covered by a collective bargaining agreement between the Employer and Employee representatives and whose retirement benefits are subject to good faith bargaining. (2) Nonresident aliens. The Employer may elect under AA §3-1(c) to exclude Employees who are nonresident aliens with respect to Salary Deferrals, Employer Contributions and Matching Contributions. For this purpose, a nonresident alien is neither a citizen of the United States nor a resident of the United States for U.S. tax purposes (as defined in Code 17.b Packet Pg. 270 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 2 – Eligibility and Participation © Copyright 2017 Governmental 457(b) Basic Plan Document 13 §7701(b)), and who does not have any earned income (as defined in Code §911) for the Employer that constitutes U.S. source income (within the meaning of Code §861). If a nonresident alien Employee has U.S. source income, he/she is treated as satisfying this definition if all of his/her U.S. source income from the Employer is exempt from U.S. income tax under an applicable income tax treaty. (3) Employees who normally work fewer than a certain number of hours per week. The Employer may elect under AA §3-1(d) to exclude Employees who normally work fewer than a certain number of hours per week with respect to Salary Deferrals, Employer Contributions and Matching Contributions. (c) Employees of Related Employers. If the Employer is a member of a Related Employer group, Employees of each member of the Related Employer group may participate under this Plan, provided the Related Employer executes a Participating Employer Adoption Page under the Adoption Agreement. If a Related Employer does not execute a Participating Employer Adoption Page, any Employees of such Related Employer are not eligible to participate in the Plan. See Section 16 for rules regarding participation of Employees of Related Employers. (d) Ineligible Employee becomes Eligible Employee. If an Employee changes status from an ineligible Employee to an Eligible Employee, such Employee will become a Participant immediately on the date he/she changes status to an Eligible Employee, provided the Employee has satisfied the Plan’s minimum age and service conditions (with respect to Employer Contributions) and has passed the Entry Date (as defined in AA §4-2) that would otherwise have applied had the Employee been an Eligible Employee. If the Employee’s original Entry Date (determined as if the Employee was always an Eligible Employee) has not passed as of the date the Employee becomes an Eligible Employee, the Employee will not become a Participant until such Entry Date. This requirement is deemed satisfied with respect to Salary Deferrals under the Plan if the Employee is permitted to commence making deferrals under the Plan as of the beginning of the first payroll period commencing after the Employee becomes an Eligible Employee. If an ineligible Employee has not satisfied the Plan’s minimum age and service conditions applicable to Employer Contributions at the time such Employee becomes an Eligible Employee, such Employee will become a Participant on the appropriate Entry Date following satisfaction of the Plan’s minimum age and service requirements. (e) Eligible Employee becomes ineligible Employee. If an Employee ceases to qualify as an Eligible Employee (i.e., the Employee changes status from an eligible class to an ineligible class of Employees), such Employee will immediately cease to participate in the Plan. If such Employee should subsequently become an Eligible Employee, he/she will be able to participate in the Plan in accordance with subsection (d) above. 2.03 Minimum Age and Service Conditions. AA §4-1 contains specific elections as to the minimum age and service conditions which an Employee must satisfy prior to becoming eligible to participate under the Plan. (a) Application of age and service conditions. The Employer may elect under AA §4-1 to impose minimum age and service conditions that an Employee must satisfy in order to participate under the Plan. (1) Year of Service. In applying the minimum service requirements under AA §4-1, an Employee will earn a Year of Service if the Employee completes at least 1,000 Hours of Service with the Employer during an Eligibility Computation Period (as defined in 17.b Packet Pg. 271 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 2 – Eligibility and Participation © Copyright 2017 Governmental 457(b) Basic Plan Document 14 subsection (2) below). The Employer may modify the definition of Year of Service under AA §4-3(a) to require some other number of Hours of Service to earn a Year of Service. An Employee will receive credit for a Year of Service, as of the end of the Eligibility Computation Period during which the Employee completes the required Hours of Service needed to earn a Year of Service. An Employee need not be employed for the entire Eligibility Computation Period to receive credit for a Year of Service, provided the Employee completes the required Hours of Service during such period. (2) Eligibility Computation Periods. In determining whether an Employee has earned a Year of Service for eligibility purposes, an Employee’s initial Eligibility Computation Period is the 12-month period beginning on the Employee’s Employment Commencement Date. Subsequent Eligibility Computation Periods will either be based on Plan Years or Anniversary Years (as set forth in AA §4-3). (i) Plan Years. If the Employer elects under AA §4-3 to base subsequent Eligibility Computation Periods on Plan Years, the Plan will begin measuring Years of Service on the basis of Plan Years beginning with the first Plan Year commencing after the Employee’s Employment Commencement Date. Thus, for the first Plan Year following the Employee’s Employment Commencement Date, the initial Eligibility Computation Period and the first Plan Year Eligibility Computation Period may overlap. (ii) Anniversary Years. If the Employer elects under AA §4-3 to base subsequent Eligibility Computation Periods on Anniversary Years, the Plan will measure Years of Service after the initial Eligibility Computation Period on the basis of 12-month periods commencing with the anniversaries of the Employee’s Employment Commencement Date. (3) Hours of Service. In calculating an Employee’s Hours of Service for purposes of applying the eligibility rules under this Section 2.03, the Employer will count the actual Hours of Service an Employee works during the year. The Employer may elect under AA §4-3(c) or (d) to use the Equivalency Method or Elapsed Time method (instead of counting the actual Hours of Service an Employee works). (See subsections (4) and (5) below for a description of the Equivalency Method and Elapsed Time method of crediting service.) (4) Equivalency Method. Instead of counting actual Hours of Service in applying the minimum service conditions under this Section 2.03, the Employer may elect under AA §4- 3(d) to determine Hours of Service based on the Equivalency Method. Under the Equivalency Method, an Employee receives credit for a specified number of Hours of Service based on the period worked with the Employer. (i) Monthly. Under the monthly Equivalency Method, an Employee is credited with 190 Hours of Service for each calendar month during which the Employee completes at least one Hour of Service with the Employer. (ii) Daily. Under the daily Equivalency Method, an Employee is credited with 10 Hours of Service for each day during which the Employee completes at least one Hour of Service with the Employer. 17.b Packet Pg. 272 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 2 – Eligibility and Participation © Copyright 2017 Governmental 457(b) Basic Plan Document 15 (iii) Weekly. Under the weekly Equivalency Method, an Employee is credited with 45 Hours of Service for each week during which the Employee completes at least one Hour of Service with the Employer. . (iv) Semi-monthly. Under the semi-monthly Equivalency Method, an Employee is credited with 95 Hours of Service for each semi-monthly period during which the Employee completes at least one Hour of Service with the Employer. (5) Elapsed Time method. Instead of counting actual Hours of Service in applying the minimum service requirements under this Section 2.03, the Employer may elect under AA §4-3(c) to apply the Elapsed Time method for calculating an Employee’s service with the Employer. Under the Elapsed Time method, an Employee receives credit for the aggregate period of time worked for the Employer commencing with the Employee's first day of employment (or reemployment, if applicable) and ending on the date the Employee begins a Period of Severance which lasts at least 12 consecutive months. In calculating an Employee’s aggregate period of service, an Employee receives credit for any Period of Severance that lasts less than 12 consecutive months. If an Employee’s aggregate period of service includes fractional years, such fractional years are expressed in terms of days. (i) Period of Severance. For purposes of applying the Elapsed Time method, a Period of Severance is any continuous period of time during which the Employee is not employed by the Employer. A Period of Severance begins on the date the Employee retires, quits or is discharged, or if earlier, the 12-month anniversary of the date on which the Employee is first absent from service for a reason other than retirement, quit or discharge. In the case of an Employee who is absent from work for maternity or paternity reasons, the 12-consecutive month period beginning on the first anniversary of the first date of such absence shall not constitute a Period of Severance. For purposes of this paragraph, an absence from work for maternity or paternity reasons means an absence (i) by reason of the pregnancy of the Employee, (ii) by reason of the birth of a child of the Employee, (iii) by reason of the placement of a child with the Employee in connection with the adoption of such child by the Employee, or (iv) for purposes of caring for a child of the Employee for a period beginning immediately following the birth or placement of such child. (ii) Related Employers/Leased Employees. For purposes of applying the Elapsed Time method, service will be credited for employment with any Related Employer. Service also will be credited for any service as a Leased Employee or as an employee under Code §414(o). (6) Amendment of age and service requirements. If the Plan’s minimum age and service conditions are amended, an Employee who is a Participant immediately prior to the effective date of the amendment is deemed to satisfy the amended requirements. This provision may be modified under the special Effective Date provisions under Appendix A of the Adoption Agreement. (b) Entry Dates for Salary Deferrals, Employer Contributions and Matching Contributions. Once an Eligible Employee satisfies the minimum age and service conditions (as set forth in AA §4-1), the Employee will be eligible to participate under the Plan as of his/her Entry Date (as set 17.b Packet Pg. 273 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 2 – Eligibility and Participation © Copyright 2017 Governmental 457(b) Basic Plan Document 16 forth in AA §4-2). The Employer may elect different Entry Dates with respect to Salary Deferrals, Matching Contributions and Employer Contributions. 2.04 Participation on Effective Date of Plan. An Employee who has satisfied the minimum age and service conditions and reached his/her Entry Date as of the Effective Date of the Plan will be eligible to participate in the Plan as of such Effective Date. If an Employee has satisfied the minimum age and service conditions as of the Effective Date of the Plan but has not yet reached his/her Entry Date, the Employee will be eligible to participate on the appropriate Entry Date. The Employer may modify this rule under AA §4-4 by electing to treat all Employees employed on the Effective Date of the Plan as Participants (regardless of whether they have satisfied the Plan’s minimum age and service conditions) or by designating a specific date as of which all Eligible Employees will be deemed to be a Participant, (regardless of whether the Employee has otherwise satisfied the minimum age and service conditions). 2.05 Service with Predecessor Employers. Unless the Employer elects otherwise, if the Employer maintains the plan of a Predecessor Employer, any service with such Predecessor Employer is treated as service with the Employer for purposes of applying the provisions of this Plan. If the Employer does not maintain the plan of a Predecessor Employer, service with such Predecessor Employer does not count for eligibility purposes under this Section 2, unless the Employer specifically designates under AA §4-5 to credit service with such Predecessor Employer for eligibility. Unless designated otherwise under AA §4-5, if the Employer takes into account service with a Predecessor Employer, such service will count for purposes of eligibility under this Section 2, vesting under Section 7 (see Section 7.06) and for purposes of the minimum allocation conditions under Section 3.06 (see Section 3.07). 17.b Packet Pg. 274 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 17 SECTION 3 PLAN CONTRIBUTIONS This Section 3 describes the type of contributions that may be made to the Plan. The type of contributions that may be made to the Plan and the method for allocating such contributions may vary depending on the type of Plan involved. (See Section 5 for a discussion of the limits that apply to any contributions made under the Plan.) 3.01 Types and Timing of Contributions. (a) Types of Contributions. An Employer may designate under AA §6 the amount and type of contributions that may be made under this Plan. To share in a contribution under the Plan, an Employee must satisfy all of the conditions for being a Participant (as described in Section 2) and must satisfy any allocation conditions (as described in Section 3.06) applicable to the particular type of contribution. (b) Timing of Contributions. The Employer must make contributions to the Plan within a reasonable period of time for the proper administration of the Plan. 3.02 Employer Contribution Formulas. If permitted under AA §6, the Employer may make an Employer Contribution to the Plan, in accordance with the contribution formula selected under AA §6-2. Any Employer Contribution authorized under the Plan must be allocated in accordance with a definite allocation formula as set forth in AA §6-3. To receive an allocation of Employer Contributions, a Participant must satisfy any allocations conditions designated under the Plan, as described in Section 3.06 below. The Employer may elect under AA §6-2 to make any of the following Employer Contributions. If the Employer elects more than one Employer Contribution formula, each formula is applied separately. The Employer’s aggregate Employer Contribution for a Plan Year will be the sum of the Employer Contributions under all such formulas. (a) Discretionary Employer Contribution. If elected in AA §6-2(a), the Employer may decide on an annual basis how much (if any) it wishes to contribute to the Plan as an Employer Contribution. (1) Pro rata allocation method. Under the pro rata allocation method, a pro rata share of the Employer Contribution is allocated to each Participant’s Employer Contribution Account. A Participant's pro rata share is determined based on the ratio such Participant's Plan Compensation bears to the total Plan Compensation of all Participants or as a uniform dollar amount. (2) Discretionary allocation method. If the Employer elects the discretionary allocation method, the Employer Contribution under AA §6-2 will be allocated in the sole discretion of the Employer in a manner solely determined by the Employer. (b) Fixed Employer Contribution. If elected in AA §6-2(b), the Employer will make a fixed contribution to the Plan as a designated percentage of Plan Compensation or as a uniform dollar amount. The Employer Contribution will be allocated under the prorata allocation formula under AA §6-3(a) in accordance with the selections made in AA §6-2(b). (c) Service-based Employer Contribution. If elected in AA §6-2(c), the Employer may make a contribution based on an Employee’s service with the Employer during the Plan Year (or other period designated under AA §6-4(a).) The Employer may elect to make the service-based 17.b Packet Pg. 275 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 18 contribution as a discretionary contribution or as a fixed contribution. Any such contribution will be allocated on the basis of Participants’ Hours of Service, weeks of employment or other measuring period selected under AA §6-2(c). The Employer Contribution will be allocated in accordance with the selections made in AA §6-2(c). (d) Other allocation method. The Employer may designate any other allocation method under the Adoption Agreement. 3.03 Salary Deferrals. The Employer may elect under AA §6A to authorize Participants to make Salary Deferrals under the Plan. (a) Salary Reduction Agreement. In order to make Salary Deferrals under the Plan, a Participant must enter into a Salary Reduction Agreement which authorizes the Employer to withhold a specific dollar amount or a specific percentage from the Participant’s Plan Compensation. The Employer will deposit any amounts withheld from a Participant’s Plan Compensation as Salary Deferrals into the Participant’s Salary Deferral Account under the Plan. A Salary Reduction Agreement may only relate to Plan Compensation that is not currently available at the time the Salary Reduction Agreement is completed. A Salary Reduction Agreement is not effective unless the Participant enters into the Agreement before the first day of the month in which the Plan Compensation to which it applies is paid or made available. A new Employee may defer compensation payable in the calendar month during which the participant first becomes an Employee if a Salary Deferral Agreement providing for the deferral is entered into on or before the first day on which the Participant performs services for the Employer. (b) Change in deferral election. An Employee must be permitted to enter into a new Salary Reduction Agreement or to modify or terminate an existing Salary Reduction Agreement at least once a year. In addition, the Employer may designate additional dates on the Salary Reduction Agreement form (or other written procedures). (c) Automatic deferral election. The Employer may elect under AA §6A-6 to provide for an automatic deferral election under the Plan. If the Employer elects to apply an automatic deferral election, the Employer will automatically withhold the amount designated under AA §6A-6 from Participants’ Plan Compensation, unless the Participant completes a Salary Reduction Agreement electing a different deferral amount (including a zero deferral amount). If an automatic deferral election applies under the Plan, such election will not apply to Participants who have entered into a Salary Reduction Agreement for an amount equal to or greater than the automatic deferral amount designated under AA §6A-6. The Employer also may elect to apply the automatic deferral election only to Participants who become eligible to participate after a specified date. Any Salary Deferrals withheld pursuant to an automatic deferral election will be deposited into the Participant’s Salary Deferral Account. The Plan may provide under AA §6A-6 that the automatic deferral amount will automatically increase by a designated percentage or dollar amount each Plan Year. In applying any automatic deferral increase under AA §6A-6, the initial deferral amount will apply for the period that begins when the employee first participates in the automatic contribution arrangement and ends on the last day of the following Plan Year. The automatic increase will apply for each full Plan Year beginning with the Plan Year immediately following the initial deferral period and for each subsequent full Plan Year. 17.b Packet Pg. 276 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 19 Prior to the time an automatic deferral election first goes into effect, the Participant must receive written notice concerning the effect of the automatic deferral election and his/her right to elect a different level of deferral under the Plan, including the right to elect not to defer. After receiving the notice, a Participant must have a reasonable time to enter into a new Salary Reduction Agreement before any automatic deferral election goes into effect. (1) Eligible Automatic Contribution Arrangement (EACA). To the extent an Automatic Contribution Arrangement satisfies the requirements of an EACA for a Plan Year, as set forth below, such Automatic Contribution Arrangement will automatically qualify as an EACA for purposes of applying the special rules applicable to EACAs described in subsection (3)(2) below. If an Automatic Contribution Arrangement does not satisfy the requirement for an EACA for an entire Plan Year, the Automatic Contribution Arrangement will not be eligible for the special EACA provisions under subsection (3) for such Plan Year. However, the Automatic Contribution Arrangement continues to apply for such Plan Year. (2) Definition of Eligible Automatic Contribution Arrangement (EACA). The Plan will qualify as an EACA if the Plan provides for an automatic deferral election (as described in subsection (i)) and provides an annual written notice as described in subsection (iv) below. Any Salary Deferrals withheld pursuant to an automatic deferral election will be deposited into the Participant’s Salary Deferral Account. (i) Automatic deferral election. To qualify as an EACA, each Employee eligible to participate in the Plan must have a reasonable opportunity after receipt of the notice described in subsection (iv) to make an affirmative election to defer (or an election not to defer) under the Plan before any automatic deferral election goes into effect. If an automatic deferral election applies under the Plan, such election will not apply to Participants who have entered into a Salary Deferral Election for an amount equal to or greater than the automatic deferral amount designated under AA §6A-6. The Employer also may elect to apply the automatic deferral election only to Participants who become eligible to participate after a specified date. An automatic deferral election ceases to apply with respect to any Employee who makes an affirmative election (that remains in effect) to make Salary Deferrals or to not have any Salary Deferrals made on his/her behalf. Salary Deferrals made pursuant to an automatic deferral election will cease as soon as administratively feasible after an Eligible Employee makes an affirmative deferral election. Unless elected otherwise under AA §6A-6(a)(5)(i), a Participant’s affirmative election to defer (or to not defer) will cease upon termination of employment. If a terminated Participant’s affirmative election to defer (or to not defer) ceases upon termination of employment, the Participant will be subject to the automatic deferral provisions of this subsection (i) upon rehire, including the default election provisions and the notice requirements under subsection (iv) below. (ii) Uniformity requirement. If an Eligible Employee does not make an affirmative deferral election, such Employee will be treated as having elected to make Salary Deferrals in an amount equal to a uniform percentage of Plan Compensation as set forth in AA §6A-6. For this purpose, an automatic deferral election will not fail to be a uniform percentage of Plan Compensation merely because: 17.b Packet Pg. 277 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 20 (A) The deferral percentage varies based on the number of years an Eligible Employee has participated in the Plan (e.g., due to the application of an automatic increase provisions); (B) The automatic deferral election does not reduce a Salary Deferral election in effect immediately prior to the effective date of the automatic deferral election; or (C) The rate of Salary Deferrals is limited so as not to exceed the limits of Code §457(b). (iii) Automatic increase. The Plan may provide under AA §6A-6 that the automatic deferral amount will automatically increase by a designated percentage each Plan Year. Unless designated otherwise under AA §6A-6, in applying any automatic deferral increase under AA §6A-6, the initial deferral amount will apply for the period that begins when the employee first participates in the automatic contribution arrangement and ends on the last day of the following Plan Year. The automatic increase will apply for each Plan Year beginning with the Plan Year immediately following the initial deferral period and for each subsequent Plan Year. For example, if an Employee makes his/her first automatic deferral for the period beginning July 1, 2014, and no special election is made under AA §6A-6, the first automatic increase would take effect on January 1, 2016 (assuming the Plan is using a calendar Plan Year) which is the first day of the Plan Year beginning after the first Plan Year following the period for which the Employee makes his/her first automatic deferral under the Plan. (iv) Annual notice requirement. Each Eligible Employee must receive a written notice describing the Participant’s rights and obligations under the Plan which is sufficiently accurate and comprehensive to apprise the Employee of such rights and obligations, and is written in a manner calculated to be understood by the average Plan Participant. The annual notice only needs to be provided to those Employees who are covered under the Automatic Contribution Arrangement. If it is impractical to provide the annual notice to a newly eligible Participant before the date such individual becomes eligible to participate under the Plan, the notice will be treated as timely if it is provided as soon as practicable after such date and the Employee is permitted to defer from Plan Compensation earned beginning on the date of participation. (A) Contents of annual notice. To qualify as an EACA, the annual notice must include a description of contributions under the Plan; the type and amount of Plan Compensation that may be deferred under the Plan; the administrative requirements for making and changing Salary Deferral elections; and the withdrawal and vesting provisions under the Plan. In addition, to qualify as an EACA, the annual notice must include a description of: (I) the level of Salary Deferrals which will be made on the Employee’s behalf if the Employee does not make an affirmative election; (II) the Employee’s right under the EACA to elect not to have Salary Deferrals made on the Employee’s behalf (or to elect to have such Salary Deferrals made in a different amount or percentage of Plan Compensation); (III) how contributions under the EACA will be invested and, if the Plan provides for Participant direction of investment, how Salary Deferrals made 17.b Packet Pg. 278 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 21 pursuant to an automatic deferral election will be invested in the absence of an investment election by the Employee; and (IV) the Employee’s right to make a permissible withdrawal (as described under subsection (3)(i) below), if applicable, and the procedures to elect such a withdrawal. In addition to any other election periods provided under the Plan, each eligible Participant may make or modify his/her Salary Deferral election during the 30- day period immediately following receipt of the annual notice. (v) Timing of annual notice. The annual notice must be provided within a reasonable period before the beginning of each Plan Year (or, in the year an Employee becomes an Eligible Employee, within a reasonable period before the Employee becomes an Eligible Employee). In addition, a notice satisfies the timing requirements only if it is provided sufficiently early so that the Employee has a reasonable period of time after receipt of the notice and before the first Salary Deferral made under the arrangement to make an alternative deferral election. The annual notice will be deemed timely if it is provided to each Eligible Employee at least 30 days (and no more than 90 days) before the beginning of each Plan Year. In the case of an Employee who does not receive the notice within such period because the Employee becomes an Eligible Employee after the 90th day before the beginning of the Plan Year, the timing requirement is deemed to be satisfied if the notice is provided no more than 90 days before the Employee becomes an Eligible Employee (and no later than the date the Employee becomes an Eligible Employee). (vi) Timing of automatic deferral. Generally, the automatic deferral will commence as of the date the Employee is otherwise eligible to make Salary Deferrals under the Plan, if the Employee had completed a Salary Deferral Election. However, the automatic deferral will be treated as timely if the automatic deferral commences no later than the earlier of the pay date for the second payroll period or the pay date that occurs at least 30 days following the later of: (A) the date on which the Employee first becomes an Eligible Employee (or becomes an Eligible Employee following a rehire); or (B) the date on which such Employee is provided notice of the automatic deferral. (3) Special Rules for Eligible Automatic Contribution Arrangement (EACA). If the Plan provides for an automatic deferral election provision under AA §6A-6 and such automatic deferral election qualifies as an EACA, the Employer may elect to offer special permissible withdrawals (as set forth in subsection (i) below). To qualify as an EACA, the Plan must satisfy the provisions of subsection (2) for the entire Plan Year. (i) Permissible Withdrawals under EACA. If so elected under AA §6A-6 of the Adoption Agreement, any Employee who has Salary Deferrals contributed to the Plan pursuant to an automatic deferral election under an EACA may elect to withdraw such contributions (and earnings attributable thereto) in accordance with the requirements of this subsection (i). A permissible withdrawal under this subsection (i) may be made 17.b Packet Pg. 279 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 22 without regard to any elections under AA §9 and will not cause the Plan to fail the prohibition on in-service distributions. (A) Amount of distribution. A distribution satisfies the requirement of this subsection (i) if the distribution is equal to the amount of Salary Deferrals made pursuant to the automatic deferral election through the effective date of the withdrawal election (as described in subsection (C)) adjusted for allocable gains and losses as of the date of the distribution. The distribution amount determined under this subsection (A) may be reduced by any generally applicable fees. However, the Plan may not charge a greater fee for a permissible distribution under this subsection (i) than applies with respect to other Plan distributions. (B) Timing of permissive withdrawal election. An election to withdraw Salary Deferrals under this subsection (i) must be made no later than 90 days after the date of the first default Salary Deferral under the EACA. The date of the first default Salary Deferral is the date that the Plan Compensation from which such Salary Deferrals are withheld would otherwise have been included in gross income. The Employer may designate an alternative period for making permissive withdrawals under AA §6A-6. (C) Effective date of permissible withdrawal. The effective date of a permissible withdrawal election cannot be later than the pay date for the second payroll period that begins after the election is made or, if earlier, the first pay date that occurs at least 30 days after the election is made. If an Employee does not make automatic deferrals to the Plan for an entire Plan Year (e.g., due to termination of employment), the Plan may allow such Employee to take a permissive withdrawal, but only with respect to default contributions made after the Employee’s return to employment. (D) Consequences of permissible withdrawal. Any amount distributed under this subsection (i) is includible in the Employee’s gross income for the taxable year in which the distribution is made. However, the portion of any distribution consisting of Roth Deferrals is not included in an Employee’s gross income a second time. Unless the Employee affirmatively elects otherwise, any withdrawal request will be treated as an affirmative election to stop having Salary Deferrals made on the Employee’s behalf as of the date specified in subsection (C) above. (E) Forfeiture of Matching Contributions. In the case of any withdrawal made under this subsection (i), any Matching Contributions made with respect to such withdrawn Salary Deferrals must be forfeited. (d) Age 50 Catch-Up Contributions. If permitted under AA §6A-4, a Participant who is aged 50 or over by the end of his/her taxable year beginning in the calendar year may make Age 50 Catch-Up Contributions under the Plan, provided such Age 50 Catch-Up Contributions are in excess of an otherwise applicable limit under the Plan. For this purpose, an otherwise applicable Plan limit is a limit in the Plan that applies to Salary Deferrals without regard to Age 50 Catch-up Contributions. (1) Age 50 Catch-Up Contribution Limit. Age 50 Catch-up Contributions for a Participant for a taxable year may not exceed the Age 50 Catch-Up Contribution Limit. The Age 50 17.b Packet Pg. 280 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 23 Catch-Up Contribution Limit for taxable years beginning in 2015 is $6,000. For taxable years beginning after 2015, the Age 50 Catch-Up Contribution Limit will be adjusted for cost-of-living increases under Code §414(v)(2)(C). (2) Special treatment of Age 50 Catch-Up Contributions. Age 50 Catch-up Contributions are not subject to the Maximum Contribution Limit, as described in Section 5 of the Plan (e) Special 457 Catch-Up Contributions. If permitted under AA §6A-4, a Participant may make Special 457 Catch-Up Contributions as limited under Section 5.04. (f) Deferral of sick, vacation and back pay. Unless otherwise elected in the Adoption Agreement, a Participant may elect to defer accumulated sick pay, accumulated vacation pay, or back pay if: (1) a Salary Reduction Agreement is entered into before the amount become currently available, and (2) the Participant is an Employee in the month of deferral, as provided under Treas. Reg. §1.457- 4(d). With respect to sick pay, vacation pay or back pay that is payable before a Participant has a Severance from Employment, the Salary Reduction Agreement may be entered into before the amount becomes currently available (as defined under the Code §401(k) regulations), even if that is the month in which such amounts become payable. If the deferral is automatic, the Salary Reduction Agreement requirement in (1) is deemed satisfied by the terms of the Plan. (g) Roth Deferrals. If permitted under AA §6A-5 of the Adoption Agreement, a Participant may designate all or a portion of his/her Salary Deferrals as Roth Deferrals. For this purpose, a Roth Deferral is a Salary Deferral that satisfies the following conditions. (1) Irrevocable election. The Participant makes an irrevocable election (at the time the Participant enters into his/her Salary Deferral Election) designating all or a portion of his/her Salary Deferrals as Roth Deferrals. The irrevocable election applies with respect to Salary Deferrals that are made pursuant to such election. A Participant may modify or change a Salary Deferral Election to increase or decrease the amount of Salary Deferrals designated as Roth Deferrals, provided such change or modification applies only with respect to Salary Deferrals made after such change or modification. (2) Subject to immediate taxation. To the extent a Participant designates all or a portion of his/her Salary Deferrals as Roth Deferrals, such amounts will be includible in the Participant’s income at the time the Participant would have received the contribution amounts in cash if the Employee had not made the Salary Deferral election. (3) Separate account. Any amounts designated as Roth Deferrals will be maintained by the Plan in a separate Roth Deferral Account. The Plan will credit and debit all contributions and withdrawals of Roth Deferrals to such separate Account. The Plan will separately allocate gains, losses, and other credits and charges to the Roth Deferral Account on a reasonable basis that is consistent with such allocations for other Accounts under the Plan. However, in no event may the Plan allocate forfeitures under the Plan to the Roth Deferral Account. The Plan will separately track Participants’ accumulated Roth Deferrals and the earnings on such amounts. (4) Satisfaction of Salary Deferral requirements. Roth Deferrals are subject to the same requirements as apply to Salary Deferrals. Thus Roth Deferrals are subject to the following requirements: (i) Roth Deferrals are always 100% vested. 17.b Packet Pg. 281 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 24 (ii) Roth Deferrals are subject to the contribution limits, as described in Section 5 (iii) Roth Deferrals are subject to the same distribution restrictions as apply to Salary Deferrals. (iv) Roth Deferrals are subject to the required minimum distribution requirements under Code §401(a)(9). (5) Rollover of Roth Deferrals. (i) Rollovers from this Plan. For purposes of the rollover rules, a Direct Rollover of a distribution from a Participant’s Roth Deferral Account will only be made to another Roth Deferral Account under a governmental 457(b) plan, a qualified plan described in Code §401(a) or an annuity contract or custodial account described in Code §403(b) or to a Roth IRA described in §408A, and only to the extent the rollover is permitted under the rules of Code §402(c). (ii) Rollovers to this Plan. Subject to the provisions under Section 4, a Participant may make a Rollover Contribution to his/her Roth Deferral Account only if the rollover is a Direct Rollover from another Roth Deferral Account only to the extent the rollover is permitted under the rules of Code §402(c). A rollover of Roth Deferrals may not be made to this Plan from a Roth IRA. Any rollover of Roth Deferrals to this Plan will be held in a separate Roth Rollover Account. (iii) Minimum rollover amount. The Plan will not provide for a Direct Rollover for distributions from a Participant's Roth Deferral Account if it is reasonably expected (at the time of the distribution) that the total amount the Participant will receive as a distribution during the calendar year will total less than $200. In addition, any distribution from a Participant's Roth Deferral Account is not taken into account in determining whether distributions from a Participant's other Accounts are reasonably expected to total less than $200 during a year. (iv) Separate treatment of Roth Deferrals. The provisions under Section 8.09 that allow a Participant to elect a Direct Rollover of only a portion of an Eligible Rollover Distribution but only if the amount rolled over is at least $500 is applied by treating any amount distributed from the Participant’s Roth Deferral Account as a separate distribution from any amount distributed from the Participant's other Accounts in the Plan, even if the amounts are distributed at the same time. (h) In-Plan Roth Conversions. The Employer may elect under the Adoption Agreement to permit In -Plan Roth Conversions under the Plan. For this purpose, an In-Plan Roth Conversion is a conversion of amounts held in a Participant’s Plan Account, other than a Roth Deferral Account or Roth Rollover Account, into the Participant’s In-Plan Roth Conversion Account under the Plan, pursuant to Code §402A(c)(4). Any election to make an In-Plan Roth Conversion during a taxable year may not be changed after the In-Plan Roth Conversion is completed. An In-Plan Roth Conversion may be elected by a Participant, a Spousal beneficiary, or an Alternate Payee who is a Spouse or former Spouse. To the extent the term “Participant” is used for purposes of determining eligibility to make an In -Plan Roth Conversion, such term will also include a Spousal beneficiary and an Alternate Payee who is a Spouse or former Spouse. 17.b Packet Pg. 282 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 25 To permit In-Plan Roth Conversions §6A-5(c) of the Adoption Agreement must be completed. In addition, the Plan must provide for Roth Deferrals under AA §6A-5(a) as of the date the In-Plan Roth Conversion is permitted under the Plan. If In-Plan Roth Conversions are not specifically authorized under AA §6A-5(c) of the Adoption Agreement, Participants may not make an In-Plan Roth Conversion. (1) Amounts Eligible for In-Plan Roth Conversion. If permitted under the Adoption Agreement, a Participant may convert any portion of his/her vested Account Balance (other than amounts attributable to Roth Deferrals or Roth Deferral rollovers) to an In-Plan Roth Conversion Account. Unless elected otherwise under the Adoption Agreement, a Participant need not be eligible to receive a distribution from the Plan at the time of the In-Plan Roth Conversion. In addition, an In-Plan Roth Conversion will not be treated as a distribution for the following purposes: (i) Participant loans. A Participant loan directly transferred in an In-Plan Roth Conversion without changing the repayment schedule is not treated as a new loan. The Employer may elect to not permit Participant loans to be distributed as part of an In - Plan Roth Conversion. (ii) Mandatory withholding. An In-Plan Roth Conversion is not subject to 20% mandatory withholding under Code §3405(c). (2) Effect of In-Plan Roth Conversion. A Participant must include in gross income the taxable amount of an In-Plan Roth Conversion. For this purpose, the taxable amount of an In -Plan Roth Conversion is the fair market value of the distribution reduced by any basis in the converted amounts. If the distribution includes Employer securities, the fair market value includes any net unrealized appreciation within the meaning of Code §402(e)(4). If an outstanding loan is rolled over as part of an In-Plan Roth Conversion, the amount includible in gross income includes the balance of the loan. (3) Contribution Sources. Unless elected otherwise under the Adoption Agreement, an In- Plan Roth Conversion may be made from any contribution source under the Plan, other than a Roth Deferral Account or Roth Rollover Account. The Employer may elect to limit the contribution sources that are eligible for In-Plan Roth Conversion. In addition, the Employer may elect to limit In-Plan Roth Conversions to contribution accounts that are 100% vested. 3.04 Matching Contributions. The Employer may elect under AA §6B to authorize Matching Contributions under the Plan. If the Employer elects more than one Matching Contribution formula under AA §6B-2, each formula is applied separately. A Participant’s aggregate Matching Contributions will be the sum of the Matching Contributions under all such formulas. Any Matching Contribution made under the Plan will be allocated to Participants’ Matching Contribution Account. To receive an allocation of Matching Contributions, a Participant must satisfy any allocations conditions designated under the Plan, as described in Section 3.06 below. (a) Contributions eligible for Matching Contributions. The Matching Contribution formula(s) applies to Salary Deferrals, to the extent authorized under the Plan. (b) Period for determining Matching Contributions. AA §6B-5 sets forth the period for which the Matching Contribution formula(s) applies. For this purpose, the period designated in AA §6B-5 17.b Packet Pg. 283 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 26 applies for purposes of determining the amount of Salary Deferrals taken into account in applying the Matching Contribution formula(s) and in applying any limits on the amount of Salary Deferrals that may be taken into account under the Matching Contribution formula(s). (c) True-up contributions. If the Employer makes Matching Contributions more frequently than annually, the Employer may have to make “true-up” contributions for Participants. Such “true- up” contributions will be required if the Employer actually contributes Matching Contributions to the Plan on a more frequent basis than is used for purposes of determining the amount of Salary Deferrals taken into account under AA §6B-5. For example, if the Plan limits Matching Contributions on the basis of Salary Deferrals for the Plan Year, but the Employer contributes the Matching Contributions on a quarterly basis, the Employer may have to make a “true-up” contribution to any Participant based on Salary Deferrals for the Plan Year. If a “true-up” contribution is required under this subsection (c), the Employer may make such additional contribution as required to satisfy the contribution requirements under the Plan. 3.05 Rollover Contributions. If elected under Appendix C of the Adoption Agreement or under separate administrative procedures, the Plan may accept Rollover Contributions. The requirements applicable to Rollover Contributions are set forth under Section 4. 3.06 Allocation Conditions. In order to receive an allocation of Employer Contributions (other than Salary Deferrals) or an allocation of Matching Contributions, a Participant must satisfy any allocation conditions designated under AA §6-5 or AA §6B-6, as applicable. If the Employer elects under AA §6- 5(c) or AA §6B-6(c) to apply a minimum service requirement, the Employer may elect to base such minimum service requirement on the basis of Hours of Service or on the basis of consecutive days of employment under the Elapsed Time method. (a) Application to designated period. Instead of applying the allocation conditions on the basis of the Plan Year, the Employer may apply the allocation conditions on the basis of designated periods, if the Employer describes the methodology under the Special Rules under AA§6-4 or 6B- 6. (b) Special rule for year of termination. A last day employment condition automatically applies for any Plan Year in which the Plan is terminated, regardless of whether the Employer has elected to apply a last day employment condition under the Agreement. Thus, the Employer will not be obligated to make an Employer Contribution or Matching Contribution for the Plan Year in which the Plan terminates, unless the Employer provides for an Employer Contribution and/or Matching Contribution in its termination amendment. If there are unallocated forfeitures at the time of Plan termination, such forfeitures will be allocated to Participants under the Plan’s procedures for allocating forfeitures. 3.07 Service with Predecessor Employers. Unless otherwise designated under the Adoption Agreement, if the Employer maintains the plan of a Predecessor Employer, any service with such Predecessor Employer is treated as service with the Employer for purposes of applying the allocation conditions under Section 3.06. If the Employer does not maintain the plan of a Predecessor Employer, service with such Predecessor Employer does not count for purposes of applying the allocation conditions under Section 3.06, unless the Employer specifically designates under AA §4-5 to credit service with such Predecessor Employer. Unless designated otherwise under AA §4-5, if the Employer takes into account service with a Predecessor Employer, such service will count for purposes of eligibility under Section 2 (see Section 2.05), vesting under Section 7 (see Section 7.06) and for purposes of the minimum allocation conditions under Section 3.06. 17.b Packet Pg. 284 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 27 3.08 FICA Replacement Plan. An Employee who satisfies the requirements as a Qualified Participant under subsection (b) will be exempt from FICA tax as provided under Code §3121(b)(7)(F) if the requirements under this Section 3.08 are satisfied. The Plan may be identified as a FICA Replacement Plan under AA §2-2. (a) Minimum benefit requirement. The Plan must provide a minimum retirement benefit as set forth under this subsection (a). For this purpose, the Plan satisfies the minimum retirement benefit requirement with respect to an Employee if allocations to the Employee's Account (without regard to any earnings allocated to the Employee’s Account) are at least 7.5% of the Employee's Plan Compensation for service with the Employer. Matching Contributions by the Employer may be taken into account for this purpose. (1) Definition of Plan Compensation. The definition of Plan Compensation used in determining whether the minimum retirement benefit requirement under this subsection (a) is satisfied must be at least equal to the Employee's base pay, provided such designation is reasonable under all the facts and circumstances. Thus, the Employer may elect under AA §5-3 to exclude items such as overtime pay, bonuses, or fringe benefits. (2) Reasonable rate of earnings. An Employee's Account must be credited with a reasonable rate of earnings. This requirement is satisfied if Employees' Accounts are held in a separate trust that is subject to general fiduciary standards and are credited with actual earnings under the Plan. (3) Employee Contributions. Contributions from both the Employer and Employee may be used to make up the 7.5% allocation requirement under subsection (a). If the Plan only provides for Employee Contributions, the Plan will satisfy the minimum benefit requirement under subsection (a) if the total Employee Contributions are at least 7.5% of Plan Compensation. (b) Qualified Participant. An Employee is a Qualified Participant under the Plan with respect to the services performed on a given day if, on that day, the Employee has satisfied all conditions (other than vesting) for receiving an allocation under the Plan that meets the minimum retirement benefit requirement under subsection (a). An Employee will be a Qualified Participant on any day with respect to compensation earned during a period ending on that day and beginning on or after the beginning of the Plan Year, regardless of whether the allocations were made or accrued before the effective date of Code §3121(b)(7)(F). (1) Part-Time, Seasonal and Temporary Employees. A Part-Time, Seasonal, or Temporary Employee is not a Qualified Participant on a given day unless any benefit relied upon to meet the minimum benefit requirement under subsection (a) is 100% vested. A Part-Time, Seasonal or Temporary Employee's benefit is considered 100% vested on a given day if on that day the Employee is unconditionally entitled to a single-sum distribution on account of death or separation from service of an amount that is at least equal to 7.5% of Plan Compensation for all periods of service taken into account in determining whether the Employee's benefit meets the minimum retirement benefit requirement under subsection (a). (2) Alternative lookback rule. The Employer may elect to apply the alternative lookback rule described in Treas. Reg. §31.3121(b)(7)-2(d)(3) in determining whether an Employee is a Qualified Participant. Under the alternative lookback rule, an Employee may be treated as a Qualified Participant throughout a calendar year if the Employee is a Qualified Participant at the end of the Plan Year ending in the previous calendar year. For this purpose, if the alternative lookback rule is used, an Employee may be treated as a Qualified Participant on 17.b Packet Pg. 285 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 3 – Plan Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 28 any given day during the first Plan Year of participation if it is reasonable on such day to believe that the Employee will be a Qualified Participant on the last day of such Plan Year. (c) Special rule for short period. An Employee may not be treated as a Qualified Participant if Plan Compensation for less than a full plan year or other 12-month period is regularly taken into account in determining allocations to the Employee's Account for the Plan Year unless, under all of the facts and circumstances, such arrangement is not a device to avoid the imposition of FICA taxes. 17.b Packet Pg. 286 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 4 –Rollover Contributions and Transfers © Copyright 2017 Governmental 457(b) Basic Plan Document 29 SECTION 4 ROLLOVER CONTRIBUTIONS AND TRANSFERS This Section provides the rules regarding Rollover Contributions and transfers that may be made under this Plan. The Plan Administrator has the authority under Section 11 to accept Rollover Contributions under this Plan and to enter into transfer agreements concerning the transfer of assets from another plan to this Plan. 4.01 Rollover Contributions. As allowed under applicable law and regulations, an Employee may make a Rollover Contribution to this Plan from an Eligible Retirement Plan, if the special accounting rule is satisfied and the acceptance of rollovers is permitted under the Adoption Agreement or if the Plan Administrator adopts administrative procedures regarding the acceptance of Rollover Contributions. The Employee’s Rollover Contributions are always 100% vested. If Rollover Contributions are permitted, an Employee may make a Rollover Contribution to the Plan even if the Employee is not an eligible Participant with respect to any or all other contributions under the Plan, unless otherwise prohibited under separate administrative procedures adopted by the Plan Administrator. An Employee who makes a Rollover Contribution to this Plan prior to becoming an Eligible Participant shall be treated as a Participant only with respect to such Rollover Contributions, but shall not be treated as an eligible Participant until he/she otherwise satisfies the eligibility conditions under the Plan. A Participant may withdraw amounts from his/her Rollover Contribution Account(s) at any time, in accordance with the distribution rules under Section 8, except as prohibited under AA §9. (a) Special Accounting Rule for Rollovers. The Plan must maintain two separate Rollover Accounts. One Rollover Account may receive Rollover Contributions from: (1) a qualified plan described in §401(a) of the Code; (2) a tax sheltered annuity plan described in §403(b) of the Code; (3) an individual retirement account described in §408(a) of the Code; and (4) an individual retirement annuity described in §408(b) of the Code. The other Rollover Account may receive Rollover Contributions only from a governmental 457 plan described in §457(b) of the Code. Neither Rollover Account may include any amount that is not attributable to a Rollover Contribution. (b) Refusal of Rollover Contributions. The Plan Administrator may refuse to accept a Rollover Contribution if the Plan Administrator reasonably believes the Rollover Contribution: (a) is not being made from a proper plan or IRA; (b) is not being made within sixty (60) days from receipt of the amounts from another plan or IRA; (c) could jeopardize the Plan status under Code §457(b); or (d) could create adverse tax consequences for the Plan or the Employer. Prior to accepting a Rollover Contribution, the Plan Administrator may require the Employee to provide satisfactory evidence establishing that the Rollover Contribution meets the requirements of this Section. 4.02 Transfers to the Plan. As allowed under applicable laws, regulations and other guidance, the Plan Administrator may accept a transfer of funds from another governmental 457(b) plan. Such transfers must meet the conditions set forth under Treasury Regulation §1.457-10(b). The Plan Administrator may not accept a transfer from a 457(b) plan of a tax-exempt employer, a 403(b) plan or a 401(a) qualified plan. 17.b Packet Pg. 287 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 5 – Limits on Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 30 SECTION 5 LIMITS ON CONTRIBUTIONS 5.01 Maximum Contribution Limit. Annual contributions on behalf of a Participant for a taxable year may not exceed the Maximum Contribution Limit. (a) Components of the Maximum Contribution Limit. The Maximum Contribution Limit consists of one or more of the following - the Basic Annual Limit, the Age 50 Catch-Up Limit and the Special 457 Catch-Up Limit. (b) Limitation Period. The relevant limitation period is the taxable year of the Participant. (c) Contributions Subject to the Maximum Contribution Limitation. Contributions that are subject to the Maximum Contribution Limit include Salary Deferral Contributions and Employer Contributions, including Employer Matching Contributions. Rollover Contributions and transfers are not subject to the Maximum Contribution Limit. If a contribution is subject to a substantial risk of forfeiture, such contribution is not counted toward the Maximum Contribution Limit until the substantial risk of forfeiture lapses. Where an amount is subject to a substantial risk of forfeiture, gains or losses allocable to the amount deferred, through the date that the substantial risk of forfeiture lapses, are taken into account in determining the amount that is considered deferred in the year in which the substantial risk of forfeiture lapses. 5.02 Basic Annual Limit. The Basic Annual Limit is the lesser of (i) the applicable dollar amount specified under Code §457(e)(15) for the relevant taxable year or (ii) 100% of the Participant’s Includible Compensation (without any adjustments, but subject to the maximum limitation as may apply under Code§401(a)(17)) for the taxable year. The applicable dollar amount under Code §457(e)(15) is $18,000 for 2017. The applicable dollar amount is adjusted for cost-of-living increases. 5.03 Age 50 Catch-Up Limit. The Age 50 Catch-Up Limit only applies to a Participant who attains age 50 by the end of the relevant taxable year. The Age 50 Catch-Up Limit is the applicable amount specified under Code §414(v) for the relevant taxable year. The Age 50 Catch-Up Contribution Limit for taxable years beginning in 2015 and 2016 is $6,000. For taxable years beginning after 2016, the Age 50 Catch- Up Contribution Limit will be adjusted for cost-of-living increases under Code §414(v)(2)(C). The Age 50 Catch-Up Limit does not apply for any taxable year for which a higher limitation applies under the Special 457 Catch-Up Limit. 5.04 Special 457 Catch-Up Limit. For one or more of the Participant’s last three taxable years ending before the Participant’s Normal Retirement Age, the Maximum Contribution Limit is an amount not in excess of the lesser of (i) twice the dollar amount in effect under Code §457(e)(15) or (ii) the underutilization limitation. (a) Underutilization Limitation. The sum of (i) the Maximum Contribution Limit under the Basic Annual Limit for the relevant taxable year, plus the Maximum Contribution Limit for any prior taxable year or years, less the amount of contributions for such taxable year or years (disregarding any Age 50 Catch-Up Contributions). (b) Normal Retirement Age. The Employer will elect a Normal Retirement Age under the Agreement. Normal Retirement Age may be any age that is on or after the earlier of age 65 or the age at which the Participant has the right to retire and receive, under the Employer’s pension plan (if any), immediate retirement benefits without actuarial reduction because of retirement before a specified date and that is not later than age 70 ½. Alternatively, the Employer may elect to allow 17.b Packet Pg. 288 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 5 – Limits on Contributions © Copyright 2017 Governmental 457(b) Basic Plan Document 31 the Participant to designate a Normal Retirement Age within these ages. If an Employer sponsors more than one 457(b) plan, any Participant may only have one Normal Retirement Age. (c) Special Rule for Qualified Police and Firefighters. An Employer with a Plan that covers qualified police and firefighters (as defined under Code §415(b)(2)(H)(ii)(I)) may elect a Normal Retirement Age that is earlier than that specified under subsection (b), but in no event may the Normal Retirement Age be earlier than age 40. Alternatively, the Employer may elect to allow a qualified police or firefighter Participant to designate a Normal Retirement Age that is between age 40 and age 70 ½. 5.05 Excess Deferrals under the Plan. If Contributions to a Participant under the Plan exceed the Maximum Contribution Limit for a taxable year, the Plan must distribute the excess deferrals (i.e., the amounts that exceed the Maximum Contribution Limit) to the Participant, with allocable net income, as soon as administratively practicable after the Plan determines that the amount is an excess deferral. For purposes of determining whether contributions exceed the Maximum Contribution Limit, all 457(b) plans of the Employer, including plans of Related Employers, are treated as a single plan. 5.06 Excess Deferrals Arising from Application of the Individual Limitation. The Plan may distribute excess deferrals that arise from application of the Individual Limitation. The Plan may distribute the excess deferrals to the Participant, with allocable net income, as soon as administratively practicable after the Plan determines that the amount is an excess deferral. The Participant must inform the Plan Administrator of the excess deferrals. (a) Individual Limitation. The Individual Limitation (as set forth under Code §457(c)) equals the Basic Annual Limitation, plus the Age 50 Catch-Up Limitation or the Special 457 Catch-Up Limitation, applied by taking into account the combined annual contributions for the Participant for any taxable year under all Code §457(b) plans. For this purpose, contributions to all Code §457(b) plans, whether sponsored by a governmental employer or a tax-exempt employer, are counted toward the Individual Limitation. (b) Special Rules for Catch-Up Amounts under Multiple 457(b) Plans. For purposes of applying the Individual Limitation, the Special 457 Catch-Up is taken into account only to the extent that the annual contribution is made for a Participant under a 457(b) plan as a result of a plan provision permitted under the Special 457 Catch-Up rules. In addition, if a Participant has annual contributions under more than one 457(b) plan and the applicable catch-up amount under the Age 50 Catch-Up and the Special 457 Catch-Up rules is not the same for each such 457(b) plan for the taxable year, the Individual Limitation is determined using the catch-up amount under whichever plan has the largest catch-up amount applicable to the Participant. 17.b Packet Pg. 289 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 6 – Special Rules Affecting 457(b) Plans © Copyright 2017 Governmental 457(b) Basic Plan Document 32 SECTION 6 SPECIAL RULES AFFECTING THIS GOVERNMENTAL 457(b) PLAN 6.01 Plan Adoption as Governmental Plan. Only an Employer that is an eligible employer as defined under Code §457(e)(1)(A) may adopt this Plan. As a Governmental Plan, the Plan is not subject to the requirements under Title I of ERISA. 6.02 Failure to Satisfy Requirements of Code §457(b) Applicable to Governmental Code §457(b) Plans. If the Plan fails to satisfy any applicable requirement under Code §457(b), the Plan is treated as not meeting such requirement as of the first Plan Year beginning more than 180 days after the date of notification by the Internal Revenue Service, unless the Employer corrects the inconsistency before the first day of such Plan Year. 6.03 Reporting to Internal Revenue Service and Participants. The Employer will report contributions to the Plan and distributions from the Plan at the time and in the manner prescribed by the Internal Revenue Service. 6.04 Taxation of Distributions. Amounts deferred under the Plan are includible in gross income in the taxable year in which the amounts are actually paid from the Plan. See Treas. Reg. §1.457-7 for special rules applicable to Governmental Plans. 17.b Packet Pg. 290 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 7 – Participant Vesting and Forfeitures © Copyright 2017 Governmental 457(b) Basic Plan Document 33 SECTION 7 PARTICIPANT VESTING AND FORFEITURES 7.01 Vesting of Contributions. A Participant’s vested interest in his/her Employer Contribution Account and Matching Contribution Account is determined based on the vesting schedule elected in the Adoption Agreement. A Participant is always fully vested in his/her Salary Deferral Account and Rollover Contribution Account. The imposition of a vesting schedule creates a substantial risk of forfeiture with respect to the contributions subject to the vesting schedule. If a contribution is subject to a substantial risk of forfeiture, such contribution is not counted toward the Maximum Contribution Limit until the substantial risk of forfeiture lapses (i.e., the contributions are vested). Where an amount is subject to a substantial risk of forfeiture, gains or losses allocable to the amount deferred, through the date that the substantial risk of forfeiture lapses, are taken into account in determining the amount that is considered deferred in the year in which the substantial risk of forfeiture lapses. 7.02 Vesting Schedules. A Participant’s vested interest in his/her Employer Contribution Account and/or Matching Contribution Account is determined by multiplying the Participant’s vesting percentage (determined under the applicable vesting schedule selected in AA §8) by the total amount under the applicable Account. (a) Vesting schedule. The Employer may choose any of the vesting schedules described in this subsection (a) as the normal vesting schedule with respect to Employer Contributions. (1) Full and immediate vesting schedule. Under the full and immediate vesting schedule, the Participant is always 100% vested in his/her Account Balance. (2) 3-year cliff vesting schedule. Under the 3-year cliff vesting schedule, an Employee is 100% vested after 3 Years of Service. Prior to the third Year of Service, the vesting percentage is zero. (3) 6-year graded vesting schedule. Under the 6-year graded vesting schedule, an Employee vests in his/her Employer Contribution Account and/or Matching Contribution Account in the following manner: After 2 Years of Service – 20% vesting After 3 Years of Service – 40% vesting After 4 Years of Service – 60% vesting After 5 Years of Service – 80% vesting After 6 Years of Service – 100% vesting (4) Modified vesting schedule. Under the modified vesting schedule, the Employer may designate the vesting percentage that applies for each Year of Service. (b) Special vesting rules. (1) Normal Retirement Age. Regardless of the Plan’s vesting schedule, a Participant’s right to his/her Account Balance is fully vested upon the date he/she attains Normal Retirement Age (as defined in AA §7-1), provided the Participant is an Employee on or after such date. 17.b Packet Pg. 291 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 7 – Participant Vesting and Forfeitures © Copyright 2017 Governmental 457(b) Basic Plan Document 34 (2) Separate Accounting. The Plan Administrator will maintain separate accounting for the vested and non-vested portions of any Employer Contribution Account and Matching Contribution Account. (3) 100% vesting upon death, or becoming Disabled. The Employer may elect under AA §8- 4 to allow a Participant’s vesting percentage to automatically increase to 100% if the Participant dies or becomes Disabled while employed by the Employer. 7.03 Year of Service. An Employee’s position on the vesting schedule is dependent on the Employee’s Years of Service with the Employer. Generally, an Employee will earn a vesting Year of Service for each Vesting Computation Period during which the Employee completes at least 1,000 Hours of Service. Alternatively, the Employer may elect under AA §8-5(a) to modify the definition of Year of Service to require completion of any other number of Hours of Service or may elect to calculate Years of Service using the Elapsed Time method (as defined in subsection (b) below). (a) Hours of Service. Unless the Employer elects to use the Elapsed Time method under AA §8-5(c), vesting Years of Service will be determined based on an Employee’s Hours of Service earned during the Vesting Computation Period. (1) Actual Hours of Service. In determining an Employee’s vesting Years of Service, the Employer will credit an Employee with the actual Hours of Service earned during the Vesting Computation Period, unless the Employer elects under AA §8-5(d) to determine Hours of Service using the Equivalency Method. (2) Equivalency Method. Instead of counting actual Hours of Service in applying the Plan’s vesting schedules, the Employer may elect under AA §8-5(d) to determine Hours of Service based on the Equivalency Method. Under the Equivalency Method, an Employee receives credit for a specified number of Hours of Service based on the period worked with the Employer. (i) Monthly. Under the monthly Equivalency Method, an Employee is credited with 190 Hours of Service for each calendar month during which the Employee completes at least one Hour of Service with the Employer. (ii) Weekly. Under the weekly Equivalency Method, an Employee is credited with 45 Hours of Service for each week during which the Employee completes at least one Hour of Service with the Employer. (iii) Daily. Under the daily Equivalency Method, an Employee is credited with 10 Hours of Service for each day during which the Employee completes at least one Hour of Service with the Employer. (iv) Semi-monthly. Under the semi-monthly Equivalency Method, an Employee is credited with 95 Hours of Service for each semi-monthly period during which the Employee completes at least one Hour of Service with the Employer. (3) Employee need not be employed for entire Vesting Computation Period. If an Employee completes the required Hours of Service during a Vesting Computation Period, the Employee will receive credit for a Year of Service as of the end of such Vesting Computation Period, even if the Employee is not employed for the entire Vesting Computation Period. 17.b Packet Pg. 292 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 7 – Participant Vesting and Forfeitures © Copyright 2017 Governmental 457(b) Basic Plan Document 35 (b) Elapsed Time method. Instead of using Hours of Service in applying the Plan’s vesting schedules, the Employer may elect under AA §8-5(c) to apply the Elapsed Time method for calculating an Employee’s vesting service with the Employer. Under the Elapsed Time method, an Employee receives credit for the aggregate period of time worked for the Employer commencing with the Employee's first day of employment (or reemployment, if applicable) and ending on the date the Employee begins a Period of Severance which lasts at least 12 consecutive months. In calculating an Employee’s aggregate period of service, an Employee receives credit for any Period of Severance that lasts less than 12 consecutive months. If an Employee’s aggregate period of service includes fractional years, such fractional years are expressed in terms of days. (1) Period of Severance. For purposes of applying the Elapsed Time method, a Period of Severance is any continuous period of time during which the Employee is not employed by the Employer. A Period of Severance begins on the date the Employee retires, quits or is discharged, or if earlier, the 12-month anniversary of the date on which the Employee is first absent from service for a reason other than retirement, quit or discharge. In the case of an Employee who is absent from work for maternity or paternity reasons, the 12-consecutive month period beginning on the first anniversary of the first date of such absence shall not constitute a Period of Severance. For purposes of this paragraph, an absence from work for maternity or paternity reasons means an absence (i) by reason of the pregnancy of the Employee, (ii) by reason of the birth of a child of the Employee, (iii) by reason of the placement of a child with the Employee in connection with the adoption of such child by the Employee, or (iv) for purposes of caring for a child of the Employee for a period beginning immediately following the birth or placement of such child. (2) Related Employers. For purposes of applying the Elapsed Time method, service will be credited for employment with any Related Employer. 7.04 Vesting Computation Period. Generally, the Vesting Computation Period is the Plan Year. Alternatively, the Employer may elect under AA §8-5(b) to use the 12-month period commencing on the Employee’s date of hire (or reemployment date, if applicable) and each subsequent 12-month period commencing on the anniversary of such date or the Employer may elect to use any other 12-consecutive month period as the Vesting Computation Period. 7.05 Excluded service. Generally, all service with the Employer counts for purposes of applying the Plan’s vesting schedules. However, the Employer may elect under AA §8-3 to exclude certain service with the Employer in calculating an Employee’s vesting Years of Service. 7.06 Service with Predecessor Employers. If the Employer maintains the plan of a Predecessor Employer, any service with such Predecessor Employer is treated as service with the Employer for purposes of applying the provisions of this Plan, unless otherwise specified by the Employer in the Adoption Agreement. If the Employer does not maintain the plan of a Predecessor Employer, service with such Predecessor Employer does not count for vesting purposes under this Section 7, unless the Employer specifically designates under AA §4-5 to credit service with such Predecessor Employer for vesting. 7.07 Forfeiture of Benefits. A Participant will forfeit the nonvested portion of his/her Employer Contribution and/or Matching Contribution Account at such time as the Plan Administrator determines a forfeiture event has occurred. The Plan Administrator has the responsibility to determine the amount of a Participant’s forfeiture. Until an amount is forfeited pursuant to this Section 7.07, a Participant’s entire Account must remain in the Plan and continue to share in gains and losses. A Participant will not forfeit 17.b Packet Pg. 293 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 7 – Participant Vesting and Forfeitures © Copyright 2017 Governmental 457(b) Basic Plan Document 36 any of his/her nonvested Account until the occurrence of a total distribution to the Participant or Beneficiary or the occurrence of a distributable event as described under the Plan. 7.08 Allocation of Forfeitures. The Employer may elect in AA §8-6 or under separate procedures how it wishes to allocate forfeitures under the Plan. Forfeitures may be allocated in the Plan Year in which the forfeitures occur or in the Plan Year following the Plan Year in which the forfeitures occur. In applying the forfeiture provisions under the Plan, if there are any unused forfeitures as of the end of the Plan Year designated in AA §8-6(d) or (e), as applicable, any remaining forfeiture will be used (as designated in AA §8-6) in the immediately following Plan Year. (a) Reallocation as additional contributions. The Employer may elect in AA §8-6 to reallocate forfeitures as additional contributions under the Plan. If the Employer elects to reallocate forfeitures as additional contributions, the Employer may elect, in its discretion, to allocate such amounts as additional Employer Contributions and/or additional Matching Contributions. Forfeitures allocated under this subsection (a) will be allocated in the same manner as selected under AA §6-3 or AA §6B-2 with respect to the contribution type being allocated. If no allocation method is selected for a particular contribution type, forfeitures will be reallocated as a pro rata allocation (as described in AA §6-3(a)) if such amount is reallocated as an additional Employer Contribution or as a discretionary Matching Contribution (as described in AA §6B-2(a)) if such amount is reallocated as an additional Matching Contribution. In applying the provisions of this subsection (a), no allocation of forfeitures will be made to any Participant with respect to forfeitures that arise out of his/her own Account. (b) Reduction of contributions. The Employer may elect in AA §8-6 to use forfeitures to reduce Employer Contributions and/or Matching Contributions under the Plan. If the Employer elects to use forfeitures to reduce contributions, the Employer may, in its discretion, use such forfeitures to reduce Employer Contributions, Matching Contributions, or both. The Employer may adjust its contribution deposits in any manner, provided the total Employer Contributions made for the Plan Year properly take into account the forfeitures that are to be used to reduce such contributions for that Plan Year. If contributions are allocated over multiple allocation periods, the Employer may reduce its contribution for any allocation periods within the Plan Year in which the forfeitures are to be allocated so that the total amount allocated for the Plan Year is proper. (c) Payment of Plan expenses. The Employer may elect under AA §8-6 to first use forfeitures to pay Plan expenses for the Plan Year in which the forfeitures would otherwise be applied. If any forfeitures remain after the payment of Plan expenses under this subsection, the remaining forfeitures will be allocated as selected under AA §8-6. 17.b Packet Pg. 294 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 37 SECTION 8 PLAN DISTRIBUTIONS A Participant may receive a distribution of his/her vested Account Balance at the time and in the manner provided under this Section 8. 8.01 Distribution Options. Distributions from the Plan may be made in the form of a lump sum of the Participant’s entire vested Account Balance, a single sum distribution of a portion of the Participant’s vested Account Balance, installments, annuity payments or other form of distribution, as elected by the Employer under the Agreement. The Plan Administrator will make distributions to a Participant (or beneficiary) as soon as administratively feasible or at such other time determined by the Plan Administrator. Notwithstanding any other provision in this Article 8, if the amount of a Participant's Account Balance is not in excess of $5,000 (or the dollar limit under Code§411(a)(11), if greater) on the date that payments commence on account of Severance from Employment or on the date of the Participant's death, then payment shall be made to the Participant (or to the Beneficiary if the Participant is deceased) in a lump sum equal to the Participant's Account Balance as soon as practicable following the Participant's death, or other Severance from Employment. 8.02 Amount Eligible for Distribution. For purposes of determining the amount a Participant may receive as a distribution from the Plan, a Participant’s Account Balance is determined as of the Valuation Date that immediately precedes the date the Participant receives his/her distribution from the Plan. For this purpose, the Participant’s Account Balance must be increased for any contributions allocated to the Participant’s Account since the most recent Valuation Date and must be reduced for any distributions the Participant received from the Plan since the most recent Valuation Date. A Participant does not share in any allocation of gains or losses attributable to the period between the Valuation Date and the date of the distribution under the Plan, unless the Plan Administrator establishes an alternative policy. 8.03 Permissible Distribution Events. A Participant may receive a distribution from the Plan on account of a Severance from Employment. With respect to in-service distributions, except as provided under the sections below and as elected by the Employer in the Agreement, a Participant may not receive a distribution of any amounts held under the Plan unless the Participant satisfies one of the following conditions: (a) The Participant has attained age 70 ½. (b) The Participant qualifies for an Unforeseeable Emergency distribution. 8.04 Severance from Employment. An Employee has a Severance from Employment if the Employee dies, retires or otherwise has a severance from employment. In general, an Independent Contractor is considered to have a Severance from Employment upon the expiration of the contract under which services are performed for the Employer, if the expiration constitutes a good faith and complete termination of the contractual relationship. 8.05 Distribution Upon Death. Upon death and subject to the Required Minimum Distribution rules in Section 9, a Participant’s vested Account Balance will be distributed to the Participant’s Beneficiary(ies) in accordance with this Section. The form of benefit payable with respect to a deceased Participant will depend on whether the Participant dies before or after distribution of his/her Account Balance has commenced. 17.b Packet Pg. 295 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 38 (a) Death after commencement of benefits. If a Participant begins receiving a distribution of his/her benefits under the Plan, and subsequently dies prior to receiving the full value of his/her vested Account Balance, the remaining benefit will continue to be paid to the Participant’s Beneficiary(ies) in accordance with the form of payment that has already commenced. If a Participant commences distribution prior to death only with respect to a portion of his/her Account Balance, then the rules in subsection (b) apply to the rest of the Account Balance. (b) Death before commencement of benefits. If a Participant dies before commencing distribution of his/her benefits under the Plan, the form and timing of any death benefits will depend on whether the value of the death benefit exceeds $5,000 (or other threshold designated under the Agreement). In no event will any death benefit be paid in a manner that is inconsistent with the Required Minimum Distribution rules under Section 9. If a Participant’s vested Account Balance does not exceed $5,000 (or other Cash-Out threshold designated under the Agreement) at the time of distribution, the only distribution option available under the Plan is a lump sum option. If a Participant’s vested Account Balance exceeds $5,000 (or other Cash-Out threshold designated under the Agreement) at the time of distribution, the Participant may elect to receive a distribution in any form permitted under AA §9-1. The Employer may elect to accelerate the distribution to Employees upon special circumstances, such as termination after attainment of Normal Retirement Age or other special circumstances. (c) Determining a Participant’s Beneficiary. The determination of a Participant’s Beneficiary(ies) to receive any death benefits under the Plan will be based on the Participant’s Beneficiary designation under the Plan. If a Participant does not designate a Beneficiary to receive the death benefits under the Plan, distribution will be made to the default Beneficiaries, as set forth in subsection (3) below. (1) Post-retirement death benefit. If a Participant dies after commencing distribution of benefits under the Plan (but prior to receiving a distribution of his/her entire vested Account Balance under the Plan), the Beneficiary of any post-retirement death benefit is determined in accordance with the Beneficiary selected under the distribution options in effect prior to death. (2) Pre-retirement death benefit. If a Participant dies before commencing distribution of his/her benefits under the Plan, the surviving Spouse (determined at the time of the Participant’s death) will be treated as the sole Beneficiary, unless: (i) there is a valid contrary Beneficiary designation, (ii) there is no surviving Spouse, or (iii) the Spouse makes a valid disclaimer. (3) Default beneficiaries. To the extent a Beneficiary has not been named by the Participant and is not designated under the terms of this Plan to receive all or any portion of the deceased Participant’s death benefit, such amount shall be distributed to the Participant’s surviving Spouse (if the Participant was married at the time of death). If the Participant does not have a surviving Spouse at the time of death, distribution will be made to the Participant’s surviving children, in equal shares. If the Participant has no surviving children, distribution will be made to the Participant’s estate. The Employer may modify the default beneficiary rules described in this subparagraph under AA §9-6. 17.b Packet Pg. 296 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 39 (4) Identification of Beneficiaries. The Plan Administrator may request proof of the Participant’s death and may require the Beneficiary to provide evidence of his/her right to receive a distribution from the Plan in any form or manner the Plan Administrator may deem appropriate. The Plan Administrator’s determination of the Participant’s death and of the right of a Beneficiary to receive payment under the Plan shall be conclusive. If a distribution is to be made to a minor or incompetent Beneficiary, payments may be made to the person’s legal guardian, conservator recognized under state law, or custodian in accordance with the Uniform Gifts to Minors Act or similar law as permitted under the laws of the state where the Beneficiary resides. The Plan Administrator or Trustee will not be liable for any payments made in accordance with this subsection (4) and will not be required to make any inquiries with respect to the competence of any person entitled to benefits under the Plan. (5) Death of Beneficiary. Unless specified otherwise in the Participant’s Beneficiary designation form or under AA §9-6, if a Beneficiary does not predecease the Participant but dies before distribution of the death benefit is made to the Beneficiary, the death benefit will be paid to the Beneficiary’s estate. If the Participant and the Participant’s Beneficiary die simultaneously and the Participant’s Beneficiary designation form does not address simultaneous death, the determination of the death beneficiary will be determined under any state simultaneous death laws, to the extent applicable. If no applicable state law applies, the death benefit will be paid to the any contingent beneficiaries named under the Participant’s beneficiary designation. If there are no contingent beneficiaries, the death benefit will be paid to the Participant’s default beneficiaries, as described in subsection (3). (6) Divorce from Spouse. If a Participant designates his/her Spouse as Beneficiary and subsequent to such Beneficiary designation, the Participant and Spouse are divorced, the designation of the Spouse as Beneficiary under the Plan is automatically rescinded unless specifically provided otherwise under the Plan, a divorce decree or QDRO, or unless the Participant enters into a new Beneficiary designation naming the prior Spouse as Beneficiary. In addition, the provisions under this subsection (6) will not apply if the Participant has entered into a Beneficiary designation that specifically overrides the provisions of this subsection (6). 8.06 Distributions of Smaller Amounts. The Employer may elect under the Agreement to allow for distribution of all or a portion of the Participant’s Account Balance, provided the conditions set forth under subsection (a) are satisfied. (a) Conditions for Distribution. In order for a Plan to make distributions under this Section 8.06, the following conditions must be satisfied: (i) the Participant’s total Account Balance which is not attributable to rollover contributions is not in excess of $5,000 (or such other dollar limit specified under Code §411(a)(11)(A)), (ii) the Participant has not received an Employer Contribution or made a Salary Reduction Contribution during the two-year period ending on the date of distribution and (iii) the Plan has not made a prior distribution to the Participant under this Section 8.06. (b) Participant Election. The Employer may elect under the Agreement to allow a Participant to receive a distribution under this Section 8.06 at the Participant’s (or Beneficiary’s) request, provided the conditions in subsection (a) are satisfied. 17.b Packet Pg. 297 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 40 8.07 Distributions under a Qualified Domestic Relations Order. The plan may make distributions to an Alternate Payee pursuant to a Qualified Domestic Relations Order (as described in Section 11.06 of the Plan, even if the amounts subject to the QDRO are not otherwise distributable. 8.08 Unforeseeable Emergency Distribution. A Participant may receive an in-service distribution on account of an Unforeseeable Emergency. (a) Amount available for distribution. A Participant may receive a distribution on account of an Unforeseeable Emergency of any portion of his/her vested benefit (including earnings thereon) up to the amount reasonably necessary to satisfy the emergency need (which may include any amounts necessary to pay any federal, state, or local income taxes or penalties reasonably anticipated to result from the distribution. (b) Definition of Unforeseeable Emergency. An Unforeseeable Emergency is a severe financial hardship resulting from (i) an illness or accident of the Participant or Beneficiary, the Participant’s or Beneficiary’s spouse or the Participant’s or Beneficiary’s dependent; (ii) loss of the Participant’s or Beneficiary’s property due to casualty; or (iii) similar extraordinary or unforeseeable circumstances arising as a result of events beyond the control of the Participant or Beneficiary (such as the need to pay medical expenses or funeral expenses). Imminent foreclosure of or eviction from the Participant's or beneficiary’s primary residence; the need to pay for medical expenses, including non-refundable deductibles, as well as for the cost of prescription drug medication; the need to pay for the funeral expenses of a spouse or a dependent (as defined in IRC §152(a)) may constitute Unforeseeable Emergencies. However, the purchase of a home and the payment of college tuition generally are not Unforeseeable Emergencies. The Plan Administrator will determine based on relevant facts and circumstances whether a Participant or beneficiary is faced with an Unforeseeable Emergency permitting a distribution. (c) Availability of Other Resources. The Plan may not make a distribution on account of an Unforeseeable Emergency to the extent that the emergency is or may be relieved through reimbursement or compensation from insurance or otherwise; by liquidation of the Participant’s assets without causing financial hardship; or by cessation of Salary Deferrals under the Plan. 8.09 Direct Rollovers. Notwithstanding any provision in the Plan to the contrary, a Participant may elect to have all or any portion of an Eligible Rollover Distribution paid directly to an Eligible Retirement Plan in a Direct Rollover. If a Participant elects a Direct Rollover of only a portion of an Eligible Rollover Distribution, the Plan Administrator may require that the amount being rolled over equals at least $500. For purposes of this Section 8.09, a Participant includes a Participant or former Participant. In addition, this Section applies to any distribution from the Plan made to a Participant’s surviving spouse or to a Participant’s spouse or former spouse who is the Alternate Payee under a QDRO. If it is reasonable to expect (at the time of the distribution) that the total amount the Participant will receive as a distribution during the calendar year will total less than $200, the Employer need not offer the Participant a Direct Rollover option with respect to such distribution. (a) Eligible Rollover Distribution. An Eligible Rollover Distribution is any distribution of all or any portion of a Participant’s Account Balance, except for the following distributions: (1) any distribution that is one of a series of substantially equal periodic payments (not less frequently than annually) made for the life (or Life Expectancy) of the Participant or the 17.b Packet Pg. 298 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 41 joint lives (or joint Life Expectancies) of the Participant and the Participant’s Beneficiary, or for a specified period of ten years or more; (2) any distribution to the extent such distribution is a required minimum distribution under Article 9; (3) the portion of any distribution that is not includible in gross income; (4) the portion of any distribution that is a distribution of excess deferrals as described under Section 5.05 0f the Plan; or (5) a distribution on account of an Unforeseeable Emergency. (b) Eligible Retirement Plan. An Eligible Retirement Plan is: (1) an individual retirement account described in §408(a) of the Code; (2) an individual retirement annuity described in §408(b) of the Code; (3) an annuity plan described in §403(a) of the Code; (4) a qualified plan described in §401(a) of the Code; (5) a tax sheltered annuity plan described in §403(b) of the Code; or (6) a governmental 457 plan described in §457(b) of the Code. (c) Direct Rollover. A Direct Rollover is a payment made directly from the Plan to the Eligible Retirement Plan specified by the Participant. The Plan Administrator may develop reasonable procedures for accommodating Direct Rollover requests. (d) Direct Rollover notice. A Participant entitled to an Eligible Rollover Distribution must receive a written explanation of his/her right to a Direct Rollover, the tax consequences of not making a Direct Rollover, and, if applicable, any available special income tax elections. The notice must be provided within 30 – 180 days prior to the date of distribution. The Direct Rollover notice must be provided to all Participants, unless the total amount the Participant will receive as a distribution during the calendar year is expected to be less than $200. (e) Direct Rollover by Non-Spouse Beneficiary. A non-spouse beneficiary (as defined in Code §401(a)(9)(E)) may elect to directly rollover an eligible rollover distribution to an individual retirement account under Code §408(a) or an individual retirement annuity under Code §408(b). In order to be able to roll over the distribution, the distribution otherwise must satisfy the definition of an Eligible Rollover Distribution (as defined in Code §402(c)). A non-spouse rollover will not be subject to the direct rollover requirements under Code §401(a)(31), the rollover notice requirements under Code §402(f) or the mandatory withholding requirements under Code §3405(c). (f) Automatic Rollovers. (1) Automatic Rollover requirements. If a Participant is entitled to an Involuntary Cash-Out Distribution (as defined in subsection (2)), and the Participant does not elect to receive a 17.b Packet Pg. 299 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 42 distribution of such amount (either as a Direct Rollover to an Eligible Retirement Plan or as a direct distribution to the Participant), then the Plan Administrator may pay the distribution in a Direct Rollover to an individual retirement plan (IRA) designated by the Plan Administrator. (The Automatic Rollover provisions under this subsection apply to any Involuntary Cash-Out Distribution for which the Participant fails to consent to a distribution, without regard to whether the Participant can be located.) (2) Involuntary Cash-Out Distribution. An Involuntary Cash-Out Distribution is any distribution that is made from the Plan without the Participant’s consent. Unless elected otherwise under AA §9-5, an Involuntary Cash-Out Distribution, for purposes of applying the Automatic Rollover requirements does not include any amounts below $1,000. (3) Treatment of Rollover Contributions. Unless elected otherwise under AA §9-5, for purposes of determining whether a mandatory distribution is greater than $1,000, the portion of the Participant’s distribution attributable to any Rollover Contribution is excluded. 8.10 Sources of Distribution. Unless provided otherwise in separate administrative provisions adopted by the Plan Administrator, in applying the distribution provisions under this Article 8, distributions will be made on a pro rata basis from all Accounts from which a distribution is permitted under this Article. Alternatively, the Plan Administrator may permit Participants to direct the Plan Administrator as to which Account the distribution is to be made. Regardless of a Participant’s direction as to the source of any distribution, the tax effect of such a distribution will be governed by Code §457 and the regulations there under. Nothing in this Article precludes the Plan from making a distribution in the form of property, or other in-kind distribution. 8.11 Transfers from the Plan to another Code §457(b) Plan. The Plan may provide for the transfer of all or a portion of a Participant’s (or Beneficiary’s) vested Account Balance to another eligible governmental plan within the meaning of Code §457(b) and Treasury Regulation §1.457-2(f) if the conditions below are satisfied: Upon the transfer of assets under this Section, the Plan's liability to pay benefits to the Participant or Beneficiary under this Plan shall be discharged to the extent of the amount so transferred for the Participant or Beneficiary. The Administrator may require such documentation from the receiving plan as it deems appropriate or necessary to comply with this Section (for example, to confirm that the receiving plan is an eligible governmental plan, and to assure that the transfer is permitted under the receiving plan) or to effectuate the transfer pursuant to Treas. Reg. §1.457-10 (b). (a) Requirements for post-severance plan-to-plan transfers among eligible governmental plans. A transfer from this Plan to another eligible governmental plan is permitted if the following conditions are met: (1) The receiving plan provides for the receipt of transfers; (2) The Participant or Beneficiary whose amounts are being transferred will have an amount immediately after the transfer at least equal to the amount with respect to that Participant or Beneficiary immediately before the transfer; and (3) The participant has had a Severance from Employment with theEmployer and is performing services for the entity maintaining the receiving plan. 17.b Packet Pg. 300 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 43 (b) Requirements for plan-to-plan transfers of all plan assets of eligible governmental plan. A transfer from the Plan to another eligible governmental plan is permitted if the following conditions are met: (1) The transfer is from the Plan an eligible governmental plan to another eligible governmental plan within the same State; (2) All of the assets held by the Plan are transferred; (3) The receiving plan provides for the receipt of transfers; (4) The Participant or Beneficiary whose amounts deferred are being transferred will have an amount immediately after the transfer at least equal to the amount with respect to that Participant or Beneficiary immediately before the transfer; and (5) The Participants or Beneficiaries whose amounts are being transferred are not eligible for additional contributions in the receiving plan unless they are performing services for the entity maintaining the receiving plan. (c) Requirements for plan-to-plan transfers among eligible governmental plans of the Employer. A transfer from the Plan to another eligible governmental plan is permitted if the following conditions are met: (1) The transfer is to another eligible governmental plan of the Employer; (2) The receiving plan provides for the receipt of transfers; (3) The Participant or Beneficiary whose amounts are being transferred will have an amount immediately after the transfer at least equal to the amount deferred with respect to that Participant or Beneficiary immediately before the transfer; and (4) The Participant or Beneficiary whose amounts are being transferred is not eligible for additional contributions in the receiving plan unless the Participant or Beneficiary is performing services for the entity maintaining the receiving plan. 8.12 Permissive Service Credit Transfers. If a Participant is also a participant in a tax-qualified defined benefit governmental plan (as defined in Code §414(d)) that provides for the acceptance of plan-to-plan transfers with respect to the Participant, then the Participant, if permitted by the Employer, may elect to have any portion of the Participant's Account Balance transferred to the defined benefit governmental plan (without regard to whether the defined benefit governmental plan is maintained by the Employer). A transfer under this Section may be made before the Participant has had a Severance from Employment. A transfer may be made under this Section only if the transfer is either for the purchase of permissive service credit (as defined in Code §415(n)(3)(A)) under the receiving defined benefit governmental plan or a repayment to which Code §415 does not apply by reason of Code §415(k)(3). 8.13 Qualified Distributions for Retired Public Safety Officers. A Participant who is an eligible retired public safety officer may elect, after separation from service, to have qualified health insurance premiums deducted from amounts to be distributed from the Plan that would otherwise be includible in gross income, and to have such amounts paid directly to the insurer or group health plan. The distribution shall be excluded from the Participant's gross income to the extent that the aggregate amount of the distribution does not exceed the lesser of the amount used to pay the qualified health 17.b Packet Pg. 301 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 8 – Plan Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 44 insurance premiums of the Participant, the Participant's spouse, and the Participant's dependents (as defined in Code §152), or $3,000, determined by aggregating all distributions with respect to the Participant that are used to pay qualified health insurance premiums from all eligible retirement plans of the Employer. (a) Qualified health insurance premiums. The term "qualified health insurance premiums" means premiums for coverage for the Participant, the Participant's spouse, and the Participant's dependents (as defined in Code Section 152) by an accident or health insurance plan (including under a self-insured plan) or qualified long-term care insurance contract (within the meaning of Code Section 7702B(b)). (b) Eligible retired public safety officer. The term "eligible retired public safety officer" means an individual who separated from service, either by reason of disability or after attainment of Normal Retirement Age, as a public safety officer with the Employer. For this purpose, a public safety officer is an individual serving the Employer in an official capacity, with or without compensation, as a law enforcement officer, a firefighter, a chaplain, or a member of a rescue squad or ambulance crew. 17.b Packet Pg. 302 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 9 – Required Minimum Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 45 SECTION 9 REQUIRED MINIMUM DISTRIBUTIONS A Participant’s entire interest under the Plan will be distributed, or begin to be distributed, to the Participant no later than the Participant's Required Beginning Date (as defined in subsection 9.04(e)). All distributions required under this Section 9 will be determined and made in accordance with the regulations under Code §401(a)(9) and the minimum distribution incidental benefit requirement of Code §401(a)(9)(G). For purposes of applying the required minimum distribution rules under this Section 9, any distribution made in a form other than a lump sum must be made over one of the following periods (or a combination thereof): (1) the life of the Participant; (2) the life of the Participant and a Designated Beneficiary; (3) a period certain not extending beyond the life expectancy of the Participant; or (4) a period certain not extending beyond the joint and last survivor life expectancy of the Participant and a Designated Beneficiary. 9.01 Death of Participant Before Distributions Begin. If the Participant dies before required distributions begin, the Participant's entire interest will be distributed, or begin to be distributed, no later than as follows: (a) Surviving spouse is sole Designated Beneficiary. If the Participant’s surviving spouse is the Participant’s sole Designated Beneficiary, the surviving spouse may elect to take distributions under the five-year rule (as described in subsection 9.05(a) below) or under the life expectancy method. If the life expectancy method applies, distributions to the surviving spouse will begin by December 31 of the calendar year immediately following the calendar year in which the Participant died, or by December 31 of the calendar year in which the Participant would have attained age 70-1/2, if later. (b) Surviving spouse is not the sole Designated Beneficiary. If the Participant’s surviving spouse is not the Participant’s sole Designated Beneficiary, the Designated Beneficiary may elect to take distributions under the five-year rule (as described in subsection 9.05(a) below) or under the life expectancy method. If the life expectancy method applies, then distributions to the Designated Beneficiary will begin by December 31 of the calendar year immediately following the calendar year in which the Participant died. (c) No Designated Beneficiary. If there is no Designated Beneficiary as of the date of the Participant’s death who remains a Beneficiary as of September 30 of the year immediately following the year of the Participant’s death, the Participant’s entire interest will be distributed by December 31 of the calendar year containing the fifth anniversary of the Participant’s death. (d) Death of surviving spouse. If the Participant’s surviving spouse is the Participant’s sole Designated Beneficiary and the surviving spouse dies after the Participant but before distributions to the surviving spouse begin, this Section 9.01 (other than subsection (a)) will apply as if the surviving spouse were the Participant. For purposes of this Section 9.01, unless subsection (d) applies, distributions are considered to begin on the Participant’s Required Beginning Date. If subsection (d) applies, distributions are considered to begin on the date distributions are required to begin to the surviving spouse under subsection (a) above. If distributions under an annuity purchased from an insurance company irrevocably commence to the participant before the Participant’s Required Beginning Date (or to the Participant’s surviving spouse before the date distributions are required to begin to the surviving spouse under subsection (a)), the date distributions are considered to begin is the date distributions actually commence. 17.b Packet Pg. 303 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 9 – Required Minimum Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 46 9.02 Required Minimum Distributions during Participant’s lifetime. (a) Amount of Required Minimum Distribution for each Distribution Calendar Year. During the Participant’s lifetime, the minimum amount that will be distributed for each Distribution Calendar Year is the lesser of: (1) the quotient obtained by dividing the Participant’s Account Balance by the distribution period set forth in the Uniform Lifetime Table found in Treas. Reg. §1.401(a)(9)-9, Q&A-2, using the Participant’s age as of the Participant’s birthday in the Distribution Calendar Year; or (2) if the Participant’s sole Designated Beneficiary for the Distribution Calendar Year is the Participant’s spouse, the quotient obtained by dividing the Participant’s Account Balance by the number in the Joint and Last Survivor Table set forth in Treas. Reg. §1.401(a)(9)-9, Q&A-3, using the Participant’s and spouse’s attained ages as of the Participant’s and spouse’s birthdays in the Distribution Calendar Year. (b) Lifetime Required Minimum Distributions continue through year of Participant’s death. Required Minimum Distributions will be determined under this section 9.02 beginning with the first Distribution Calendar Year and continuing up to, and including, the Distribution Calendar Year that includes the Participant’s date of death. 9.03 Required Minimum Distributions After Participant’s Death. (a) Death on or after date required distributions begin. (1) Participant survived by Designated Beneficiary. If the Participant dies on or after the date required distributions begin and there is a Designated Beneficiary, the minimum amount that will be distributed for each Distribution Calendar Year after the year of the Participant’s death is the quotient obtained by dividing the Participant’s Account Balance by the longer of the remaining life expectancy of the Participant or the remaining life expectancy of the Participant’s Designated Beneficiary, determined as follows: (i) The Participant’s remaining life expectancy is calculated in accordance with the Single Life Table found in Treas. Reg. §1.401(a)(9)-9, Q&A-1, using the age of the Participant in the year of death, reduced by one for each subsequent year. (ii) If the Participant’s surviving spouse is the Participant’s sole Designated Beneficiary, the remaining life expectancy of the surviving spouse is calculated using the Single Life Table found in Treas. Reg. §1.401(a)(9)-9, Q&A-1, for each Distribution Calendar Year after the year of the Participant’s death using the surviving spouse’s age as of the spouse’s birthday in that year. For Distribution Calendar Years after the year of the surviving spouse’s death, the remaining life expectancy of the surviving spouse is calculated using the age of the surviving spouse as of the spouse’s birthday in the calendar year of the spouse’s death, reduced by one for each subsequent calendar year. (iii) If the Participant’s surviving spouse is not the Participant’s sole Designated Beneficiary, the Designated Beneficiary’s remaining life expectancy is calculated under the Single Life Table using the age of the Designated Beneficiary in the year following the year of the Participant’s death, reduced by one for each subsequent year. 17.b Packet Pg. 304 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 9 – Required Minimum Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 47 (2) No Designated Beneficiary. If the participant dies on or after the date required distributions begin and there is no Designated Beneficiary as of the Participant’s date of death who remains a Designated Beneficiary as of September 30 of the year after the year of the Participant’s death, the minimum amount that will be distributed for each Distribution Calendar Year after the year of the Participant’s death is the quotient obtained by dividing the Participant’s Account Balance by the Participant’s remaining life expectancy under the Single Life Table calculated using the age of the Participant in the year of death, reduced by one for each subsequent year. (b) Death before date required distributions begin. (1) Participant survived by Designated Beneficiary. If the Participant dies before the date required distributions begin and there is a Designated Beneficiary, the minimum amount that will be distributed for each Distribution Calendar Year after the year of the Participant’s death is the quotient obtained by dividing the Participant’s Account Balance by the remaining life expectancy of the Participant’s Designated Beneficiary, determined as provided in subsection (a). (2) No Designated Beneficiary. If the Participant dies before the date distributions begin and there is no Designated Beneficiary as of the date of death of the Participant who remains a Designated Beneficiary as of September 30 of the year following the year of the Participant’s death, distribution of the Participant’s entire interest must be completed by December 31 of the calendar year containing the fifth anniversary of the Participant’s death. (3) Death of surviving spouse before distributions to surviving spouse are required to begin. If the Participant dies before the date distributions begin, the Participant’s surviving spouse is the Participant’s sole Designated Beneficiary, and the surviving spouse dies before distributions are required to begin to the surviving spouse under Section 9.01(a), this subsection (b) will apply as if the surviving spouse were the Participant. 9.04 Definitions. (a) Designated Beneficiary. A Beneficiary designated by the Participant (or the Plan), whose life expectancy may be taken into account to calculate minimum distributions, pursuant to Code §401(a)(9) and Treas. Reg. §1.401(a)(9)-4. (b) Distribution Calendar Year. A calendar year for which a minimum distribution is required. For distributions beginning before the Participant’s death, the first Distribution Calendar Year is the calendar year immediately preceding the calendar year that contains the Participant’s Required Beginning Date. For distributions beginning after the Participant’s death, the first Distribution Calendar Year is the calendar year in which distributions are required to begin pursuant to Section 9.01. The Required Minimum Distribution for the Participant’s first Distribution Calendar Year will be made on or before the Participant’s Required Beginning Date. The Required Minimum Distribution for other Distribution Calendar Years, including the Required Minimum Distribution for the Distribution Calendar Year in which the Participant’s Required Beginning Date occurs, will be made on or before December 31 of that Distribution Calendar Year. 17.b Packet Pg. 305 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 9 – Required Minimum Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 48 (c) Life expectancy. For purposes of determining a Participant’s Required Minimum Distribution amount, life expectancy is computed using one of the following tables, as appropriate: (1) Single Life Table, (2) Uniform Life Table, or (3) Joint and Last Survivor Table found in Treas. Reg. §1.401(a)(9)-9. (d) Account Balance. For purposes of determining a Participant’s Required Minimum Distribution, the Participant’s Account Balance is determined based on the Account Balance as of the last Valuation Date in the calendar year immediately preceding the Distribution Calendar Year (the “valuation calendar year”) increased by the amount of any contributions or forfeitures allocated to the Account Balance as of dates in the calendar year after the Valuation Date and decreased by distributions made in the calendar year after the Valuation Date. The Account Balance for the valuation calendar year includes any amounts rolled over or transferred to the Plan either in the valuation calendar year or in the Distribution Calendar Year if distributed or transferred in the valuation calendar year. (e) Required Beginning Date. A Participant’s Required Beginning Date under the Plan is: (1) For Five-Percent Owners. April 1 that follows the end of the calendar year in which the Participant attains age 70½. (2) For Participants other than Five-Percent Owners. April 1 that follows the end of the calendar year in which the later of the following two events occurs: (i) the Participant attains age 70½ or (ii) the Participant retires. If a Participant is not a Five-Percent Owner for the Plan Year that ends with or within the calendar year in which the Participant attains age 70-1/2, and the Participant has not retired by the end of such calendar year, his/her Required Beginning Date is April 1 that follows the end of the first subsequent calendar year in which the Participant becomes a Five- Percent Owner or retires. (f) Five-Percent Owner. A Participant is a Five-Percent Owner for purposes of this Section if such Participant is a Five-Percent Owner at any time during the Plan Year ending with or within the calendar year in which the Participant attains age 70½. Once distributions have begun to a Five- Percent Owner under this Section 9, they must continue to be distributed, even if the Participant ceases to be a Five-Percent Owner in a subsequent year. 9.05 Special Rules. (a) Election to apply 5-year rule to required distributions after death. If the Participant dies before distributions begin and there is a Designated Beneficiary, the Designated Beneficiary may elect to have the Participant’s entire interest distributed to the Designated Beneficiary by December 31 of the calendar year containing the fifth anniversary of the Participant’s death. If the Participant’s surviving spouse is the Participant’s sole Designated Beneficiary and the surviving spouse dies after the Participant but before distributions to either the Participant or the surviving spouse begin, this election will apply as if the surviving spouse were the Participant. 17.b Packet Pg. 306 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 9 – Required Minimum Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 49 (b) Election to allow Participants or Beneficiaries to elect 5-year rule. If a Participant or Designated Beneficiary elects to apply the life expectancy rule under Section 9.01 above or the five year rule under subsection (a), the election must be made no later than the earlier of September 30 of the calendar year in which distribution would be required to begin under Section 9.01 or by September 30 of the calendar year which contains the fifth anniversary of the Participant’s (or, if applicable, surviving spouse’s) death. If neither the Participant nor Beneficiary makes an election under this paragraph, distributions will be made in accordance with the five-year rule under subsection (a) above. (c) Forms of Distribution. Unless the Participant’s interest is distributed in the form of an annuity purchased from an insurance company or in a lump sum on or before the Required Beginning Date, as of the first Distribution Calendar Year distributions will be made in accordance with Sections 9.01 and 9.03. If the Participant’s interest is distributed in the form of an annuity purchased from an insurance company, distributions thereunder will be made in accordance with the requirements of Code §401(a)(9) and the regulations. (d) Treatment of trust beneficiaries as Designated Beneficiaries. If a trust is properly named as a Beneficiary under the Plan, the beneficiaries of the trust will be treated as the Designated Beneficiaries of the Participant solely for purposes of determining the distribution period under this Section 9 with respect to the trust’s interests in the Participant’s vested Account Balance. The beneficiaries of a trust will be treated as Designated Beneficiaries for this purpose only if, during any period during which required minimum distributions are being determined by treating the beneficiaries of the trust as Designated Beneficiaries, the following requirements are met: (1) the trust is a valid trust under state law, or would be but for the fact there is no corpus; (2) the trust is irrevocable or will, by its terms, become irrevocable upon the death of the Participant; (3) the beneficiaries of the trust who are beneficiaries with respect to the trust’s interests in the Participant’s vested Account Balance are identifiable from the trust instrument; and (4) the Plan Administrator receives the documentation described in subsection (e)(1) below. If the foregoing requirements are satisfied and the Plan Administrator receives such additional information as it may request, the Plan Administrator may treat such beneficiaries of the trust as Designated Beneficiaries. (e) Special rules applicable to trust beneficiaries. (1) Information that must be supplied to Plan Administrator. (i) Required minimum distribution before death where spouse is sole beneficiary. If a Participant designates a trust as the beneficiary of his/her entire benefit and the Participant’s spouse is the sole beneficiary of the trust, the Participant must provide the information under (A) or (B) below to satisfy the information requirements under (d)(4) above. (A) The Participant must provide to the Plan Administrator a copy of the trust instrument and agree that if the trust instrument is amended at any time in the 17.b Packet Pg. 307 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 9 – Required Minimum Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 50 future, the Participant will, within a reasonable time, provide to the Plan Administrator a copy of each such amendment; or (B) The Participant must: (I) provide to the Plan Administrator a list of all of the beneficiaries of the trust (including contingent and remaindermen beneficiaries with a description of the conditions on their entitlement sufficient to establish that the spouse is the sole beneficiary) for purposes of Code §401(a)(9); (II) certify that, to the best of the Participant’s knowledge, the list under subsection (I) is correct and complete and that the requirements of subsection (d) above are satisfied; (III) agree that, if the trust instrument is amended at any time in the future, the Participant will, within a reasonable time, provide to the Plan Administrator corrected certifications to the extent that the amendment changes any information previously certified; and (IV) agree to provide a copy of the trust instrument to the Plan Administrator upon demand. (ii) Required minimum distribution after death. In order to satisfy the documentation requirement of subsection (d)(4) above for required minimum distributions after the death of the Participant (or spouse in a case to which Treas. Reg. §.401(a)(9)-3, A-5 applies), the trustee of the trust must satisfy the requirements of (A) or (B) by October 31 of the calendar year immediately following the calendar year in which the Participant died. (A) The trustee of the trust must: (I) provide the Plan Administrator with a final list of all beneficiaries of the trust (including contingent and remaindermen beneficiaries with a description of the conditions on their entitlement) as of September 30 of the calendar year following the calendar year of the Participant’s death; (II) certify that, to the best of the trustee's knowledge, the list in subsection (I) is correct and complete and that the requirements of subsection (d) above are satisfied; (III) and agree to provide a copy of the trust instrument to the Plan Administrator upon demand. (B) The trustee of the trust must provide the Plan Administrator with a copy of the actual trust document for the trust that is named as a beneficiary of the Participant under the Plan as of the Participant’s date of death. (2) Relief for discrepancy. If required minimum distributions are determined based on the information provided to the Plan Administrator in certifications or trust instruments described in subsection (1) above, the Plan will not fail to satisfy Code §401(a)(9) merely because the actual terms of the trust instrument are inconsistent with the information in 17.b Packet Pg. 308 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 9 – Required Minimum Distributions © Copyright 2017 Governmental 457(b) Basic Plan Document 51 those certifications or trust instruments previously provided to the Plan Administrator, provided the Plan Administrator reasonably relied on the information provided and the required minimum distributions for calendar years after the calendar year in which the discrepancy is discovered are determined based on the actual terms of the trust instrument. (f) Qualifying Longevity Annuity Contracts. The Account Balance used for determining required minimum distribution under this Section 9 does not include the value of any Qualifying Longevity Annuity Contract (QLAC) that is held under the Plan. A QLAC is an annuity contract that is purchased from an insurance company for an Employee and that satisfies the requirements under Treas. Reg. §1.401(a)(9)-6, Q&A-17. This subsection applies only to QLACs purchased on or after July 2, 2014. 17.b Packet Pg. 309 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 10 – Investment Vehicles and Participant Accounts © Copyright 2017 Governmental 457(b) Basic Plan Document 52 SECTION 10 INVESTMENT VEHICLES AND PARTICIPANT ACCOUNTS 10.01 Participant Accounts. The Plan Administrator will establish and maintain a separate Account (or multiple Accounts, if appropriate) for each Participant to reflect the Participant’s entire interest under the Plan. To the extent applicable, the Plan Administrator may establish and maintain separate sub- Accounts for a Participant. Accounts may include, but are not limited to: Pre-Tax Salary Deferral Account Roth Deferral Account Employer Contribution Account Matching Contribution Account Rollover Contribution Account Roth Rollover Contribution Account In -Plan Roth Conversion Account Transfer Account The Plan Administrator will maintain separate Accounts for the vested and non-vested portions of any Employer Contribution Account and Matching Contribution Account. 10.02 Value of Participant Accounts. The value of a Participant’s Account consists of the fair market value of the Participant’s share of the Plan assets. (a) Periodic valuation. The Trustee must value Plan assets at least annually. (b) Daily valuation. If the Employer elects daily valuation under AA §10-1(a) or, if in operation, the Employer elects to have the Plan daily valued, the Plan Administrator may adopt reasonable procedures for performing such valuations. Unless otherwise set forth in the written procedures, a daily valued Plan will have its assets valued at the end of each business day during which the New York Stock Exchange is open. The Plan Administrator has authority to interpret the provisions of this Plan in the context of a daily valuation procedure. This includes, but is not limited to, the determination of the value of the Participant's Account for purposes of Participant loans, distribution and consent rights, and corrective distributions under Section 6. (c) Interim valuations. The Plan Administrator may perform interim valuations. 10.03 Adjustments to Participant Accounts. As of each Valuation Date under the Plan, each Participant’s Account is adjusted in the following manner. (a) Distributions and forfeitures from a Participant’s Account. A Participant’s Account will be reduced by any distributions and forfeitures from the Account since the previous Valuation Date. (b) Contributions and forfeitures allocated to a Participant’s Account. A Participant’s Account will be credited with any contribution or forfeiture allocated to the Participant since the previous Valuation Date. (c) Net income or loss. A Participant’s Account will be adjusted for any net income or loss in accordance with the provisions under Section 10.04. 17.b Packet Pg. 310 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 10 – Investment Vehicles and Participant Accounts © Copyright 2017 Governmental 457(b) Basic Plan Document 53 10.04 Procedures for Determining Net Income or Loss. The Plan Administrator may establish any reasonable procedures for determining net income or loss. Such procedures may be reflected in a funding agreement governing the applicable investments under the Plan. 10.05 Investments under the Plan. The Trustee or other person(s) responsible for the investment of Plan assets is authorized to invest Plan assets in any prudent investment consistent with the funding policy of the Plan. Investment options include, but are not limited to, the following: common and preferred stock or other equity securities (including stock bought and sold on margin); corporate bonds; open-end or closed-end mutual funds; money market accounts; certificates of deposit; debentures; commercial paper; put and call options; limited partnerships; mortgages; U.S. Government obligations, including U.S. Treasury notes and bonds; real and personal property having a ready market; life insurance or annuity policies; commodities; savings accounts; notes; and securities issued by the Trustee and/or its affiliates, as permitted by law. All of the terms and provisions of any such common/collective trust fund or group trust into which Plan assets are invested are incorporated by reference into the provisions of the Trust for this Plan. (a) Individual/Pooled Accounts. The Plan may maintain individual or pooled accounts for Participants. (b) Participant direction of investments. If the Plan permits Participant direction of investments, the Plan Administrator, along with the Trustee must adopt investment procedures for such direction. The investment procedures should set forth the permissible investment options available for Participant direction, the timing and frequency of investment changes, and any other procedures or limitations applicable to Participant direction of investment. The Employer may elect to limit Participant direction of investment to specific types of contributions. If Participant direction of investments is permitted, the Employer will designate how accounts will be invested in the absence of proper affirmative direction from the Participant. Except as otherwise provided in this Plan, neither the Employer nor Trustee will be liable to the Participant or Beneficiary for any loss resulting from action taken at the direction of the Participant. 17.b Packet Pg. 311 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 11 – Plan Administration and Operation © Copyright 2017 Governmental 457(b) Basic Plan Document 54 SECTION 11 PLAN ADMINISTRATION AND OPERATION 11.01 Plan Administrator. The Employer is the Plan Administrator, unless the Employer designates in writing an alternative Plan Administrator. The Plan Administrator has the responsibilities described in this Section 11. 11.02 Designation of Alternative Plan Administrator. The Employer may designate another person or persons as he Plan Administrator by name, by reference to the person or group of persons holding a particular position, by reference to a procedure under which the Plan Administrator is designated, or by reference to a person or group of persons charged with the specific responsibilities of Plan Administrator. (a) Acceptance of responsibility by designated Plan Administrator. If the Employer designates an alternative Plan Administrator, the designated Plan Administrator must accept its responsibilities in writing. The Employer and the designated Plan Administrator jointly will determine the time period for which the alternative Plan Administrator will serve. (b) Multiple alternative Plan Administrators. If the Employer designated more than one person as an alternative Plan Administrator, such Plan Administrators shall act by majority vote, unless the group delegates particular Plan Administrator duties to a specific person. (c) Resignation or removal of designated Plan Administrator. A designated Plan Administrator may resign by delivering a written notice of resignation to the Employer. The Employer may remove a designated Plan Administrator by delivering a written notice of removal. If a designated Plan Administrator resigns or is removed, and no new alternative Plan Administrator is designated, the Employer is the Plan Administrator. (d) Employer responsibilities. If the Employer designates an alternative Plan Administrator, the Employer will provide in a timely manner all appropriate information necessary for the Plan Administrator to perform its duties. This information includes, but is not limited to, Participant compensation data, Employee employment, service and termination information, and other information the Plan Administrator may require. The Plan Administrator may rely on the accuracy of any information and data provided by the Employer. 11.03 Duties, Powers and Responsibilities of the Plan Administrator. The Plan Administrator will administer the Plan for the exclusive benefit of the Plan Participants and Beneficiaries, and in accordance with the terms of the Plan. If the terms of the Plan are unclear, the Plan Administrator may interpret the Plan, provided such interpretation is consistent with the rules of Code §457(b) and is performed in a uniform and nondiscriminatory manner. This right to interpret the Plan is an express grant of discretionary authority to resolve ambiguities in the Plan document and to make discretionary decisions regarding the interpretation of the Plan’s terms, including who is eligible to participate under the Plan, and the benefit rights of a Participant or Beneficiary. Unless an interpretation or decision is determined to be arbitrary and capricious, the Plan Administrator will not be held liable for any interpretation of the Plan terms or decision regarding the application of a Plan provision. (a) Delegation of duties, powers and responsibilities. The Employer, as Plan Administrator, may delegate its duties, powers or responsibilities to one or more persons. Such delegation must be in writing and accepted by the person or persons receiving the delegation. The Employer may not delegate responsibilities to Plan Participants. The Employer must agree to such delegation by an alternative Plan Administrator. 17.b Packet Pg. 312 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 11 – Plan Administration and Operation © Copyright 2017 Governmental 457(b) Basic Plan Document 55 (b) Specific Plan Administrator responsibilities. The Plan Administrator has the general responsibility to control and manage the operation of the Plan. This responsibility includes, but is not limited to, the following: (1) To interpret and enforce the provisions of the Plan and applicable rules under Code §457(b) including those related to Plan eligibility, vesting, benefits and other tax requirements; (2) To communicate with the appropriate persons with respect to the crediting of Plan contributions, the disbursement of Plan distributions and other relevant matters (3) To develop separate procedures (if necessary) consistent with the terms of the Plan to assist in the administration of the Plan, including the adoption of a separate or modified loan policy (see Section 13), procedures for direction of investment by Participants (see Section 10.05(b)), procedures for determining whether domestic relations orders are QDROs (see Section 11.06), and procedures for the determination of investment earnings to be allocated to Participants’ Accounts (see Section 10.03); (4) To maintain all records necessary for tax and other administration purposes; (5) To furnish and to file all appropriate notices, reports and other information to Participants, Beneficiaries, the Employer, the Trustee and government agencies (as necessary); (6) To provide information relating to Plan Participants and Beneficiaries; (7) To retain the services of other persons, including investment managers, attorneys, consultants, advisers and others, to assist in the administration of the Plan; (8) To review and decide on claims for benefits under the Plan; and (9) To correct any defect or error in the operation of the Plan. 11.04 Plan Administration Expenses. (a) Reasonable Plan administration expenses. All reasonable expenses related to plan administration will be paid from Plan assets, except to the extent the expenses are paid (or reimbursed) by the Employer. For this purpose, Plan expenses include, but are not limited to, all reasonable costs, charges and expenses incurred in connection with the administration of the Plan. (b) Plan expense allocation. The Plan Administrator may allocate plan expenses among the accounts of Plan Participants. The Plan Administrator has authority to allocate these expenses either proportionally based on the value of the Account Balances or pro rata based on the number of Participants in the Plan. The Plan Administrator will determine the proper method for allocating expenses in accordance with such reasonable rules as the Plan Administrator deems appropriate under the circumstances. Unless the Plan Administrator decides otherwise, the following expenses will be allocated to the Participant’s Account relative to which the expense is incurred: distribution expenses, including those relating to lump sums, installments, QDROs, hardship, in- service and required minimum distributions; loan expenses; participant direction expenses, including brokerage fees; and benefit calculations. 17.b Packet Pg. 313 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 11 – Plan Administration and Operation © Copyright 2017 Governmental 457(b) Basic Plan Document 56 11.05 Delegation of Administrative Responsibilities. Generally, the Employer has responsibility to administer the Plan. These responsibilities include compliance with Code §457(b) and other tax requirements. However, the Employer may allocate such responsibilities to a third party, provided such third party agrees to such allocation of responsibilities. An Employer may not allocate administrative responsibilities to Plan Participants. 11.06 Qualified Domestic Relations Orders (QDROs). (a) In general. The Plan Administrator must develop written procedures for determining whether a domestic relations order is a QDRO and for administering distributions under a QDRO. For this purpose, the Plan Administrator may use the default QDRO procedures set forth in subsection (h) below or may develop separate QDRO procedures. (b) Definitions related to Qualified Domestic Relations Orders (QDROs). (1) QDRO. A QDRO is a domestic relations order that creates or recognizes the existence of an Alternate Payee’s right to receive, or assigns to an Alternate Payee the right to receive, all or a portion of the benefits payable with respect to a Participant under the Plan. (See Code §414(p).) The QDRO must contain certain information and meet other requirements described in this Section 11.06. (2) Domestic relations order. A domestic relations order is a judgment, decree, or order (including the approval of a property settlement) that is made pursuant to state domestic relations law (including community property law). (3) Alternate Payee. An Alternate Payee must be a spouse, former spouse, child, or other dependent of a Participant. (4) Revision of QDRO. A domestic relations order otherwise meeting the requirements to be a QDRO under Code §414(p)(3) shall not fail to be treated as a QDRO solely because: (i) the order is issued after, or revises, another domestic relations order or QDRO; or (ii) of the time at which the order is issued, including orders issued after the death of the Participant. Any QDRO described in this Section 11.06 shall be subject to the same requirements and protections which apply to QDROs under Code §414(p)(7). (c) Recognition as a QDRO. To be a QDRO, an order must be a domestic relations order (as defined in subsection (b)(2) above) that relates to the provision of child support, alimony payments, or marital property rights for the benefit of an Alternate Payee. The Plan Administrator is not required to determine whether the court or agency issuing the domestic relations order had jurisdiction to issue an order, whether state law is correctly applied in the order, whether service was properly made on the parties, or whether an individual identified in an order as an Alternate Payee is a proper Alternate Payee under state law. (d) Contents of QDRO. A QDRO must contain the following information: (1) the name and last known mailing address of the Participant and each Alternate Payee; 17.b Packet Pg. 314 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 11 – Plan Administration and Operation © Copyright 2017 Governmental 457(b) Basic Plan Document 57 (2) the name of each plan to which the order applies; (3) the dollar amount or percentage (or the method of determining the amount or percentage) of the benefit to be paid to the Alternate Payee; and (4) the number of payments or time period to which the order applies. (e) Impermissible QDRO provisions. (1) The order must not require the Plan to provide an Alternate Payee or Participant with any type or form of benefit, or any option, not otherwise provided under the Plan; (2) The order must not require the Plan to provide for increased benefits (determined on the basis of actuarial value); and (3) The order must not require the Plan to pay benefits to an Alternate Payee that are required to be paid to another Alternate Payee under another order previously determined to be a QDRO. (f) Immediate distribution to Alternate Payee. Even if a Participant is not eligible to receive an immediate distribution from the Plan, an Alternate Payee may receive a QDRO benefit immediately in a lump sum, provided such distribution is consistent with the QDRO provisions. (g) Fee for QDRO determination. The Plan Administrator may condition the making of a QDRO determination on the payment of a fee by a Participant or an Alternate Payee (either directly or as a charge against the Participant’s Account). (h) Default QDRO procedure. If the Plan Administrator chooses this default QDRO procedure or if the Plan Administrator does not establish a separate QDRO procedure, this subsection (h) will apply as the procedure the Plan Administrator will use to determine whether a domestic relations order is a QDRO. This default QDRO procedure incorporates the requirements set forth below. (1) Access to information. The Plan Administrator will provide access to Plan and Participant benefit information sufficient for a prospective Alternate Payee to prepare a QDRO. Such information might include the summary plan description, other relevant plan documents, and a statement of the Participant’s benefit entitlements. The disclosure of this information is conditioned on the prospective Alternate Payee providing to the Plan Administrator information sufficient to reasonably establish that the disclosure request is being made in connection with a domestic relations order. (2) Notifications to Participant and Alternate Payee. The Plan Administrator will promptly notify the affected Participant and each Alternate Payee named in the domestic relations order of the receipt of the order. The Plan Administrator will send the notification to the address included in the domestic relations order. Along with the notification, the Plan Administrator will provide a copy of the Plan’s procedures for determining whether a domestic relations order is a QDRO. (3) Alternate Payee representative. The prospective Alternate Payee may designate a representative to receive copies of notices and Plan information that are sent to the Alternate Payee with respect to the domestic relations order. 17.b Packet Pg. 315 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 11 – Plan Administration and Operation © Copyright 2017 Governmental 457(b) Basic Plan Document 58 (4) Evaluation of domestic relations order. Within a reasonable period of time, the Plan Administrator will evaluate the domestic relations order to determine whether it is a QDRO. A reasonable period will depend on the specific circumstances. The domestic relations order must contain the information described in subsection (d). If the order is only deficient in a minor respect, the Plan Administrator may supplement information in the order from information within the Plan Administrator’s control or through communication with the prospective Alternate Payee. (i) Separate accounting. Upon receipt of a domestic relations order, the Plan Administrator will separately account for and preserve the amounts that would be payable to an Alternate Payee until a determination is made with respect to the status of the order. During the period in which the status of the order is being determined, the Plan Administrator will take whatever steps are necessary to ensure that amounts that would be payable to the Alternate Payee, if the order were a QDRO, are not distributed to the Participant or any other person. The separate accounting requirement may be satisfied, at the Plan Administrator’s discretion, by a segregation of the assets that are subject to separate accounting. (ii) Separate accounting until the end of “18-month period." The Plan Administrator will continue to separately account for amounts that are payable under the QDRO until the end of an "18-month period." The "18-month period" will begin on the first date following the Plan’s receipt of the order upon which a payment would be required to be made to an Alternate Payee under the order. If, within the "18-month period," the Plan Administrator determines that the order is a QDRO, the Plan Administrator must pay the Alternate Payee in accordance with the terms of the QDRO. If, however, the Plan Administrator determines within the "18-month period" that the order is not a QDRO, or, if the status of the order is not resolved by the end of the "18-month period," the Plan Administrator may pay out the amounts otherwise payable under the order to the person or persons who would have been entitled to such amounts if there had been no order. If the order is later determined to be a QDRO, the order will apply only prospectively; that is, the Alternate Payee will be entitled only to amounts payable under the order after the subsequent determination. (iii) Preliminary review. The Plan Administrator will perform a preliminary review of the domestic relations order to determine if it is a QDRO. If this preliminary review indicates the order is deficient in some manner, the Plan Administrator will allow the parties to attempt to correct any deficiency before issuing a final decision on the domestic relations order. The ability to correct is limited to a reasonable period of time. (iv) Notification of determination. The Plan Administrator will notify in writing the Participant and each Alternate Payee of the Plan Administrator’s decision as to whether a domestic relations order is a QDRO. In the case of a determination that an order is not a QDRO, the written notice will contain the following information: (A) references to the Plan provisions on which the Plan Administrator based its decision; (B) an explanation of any time limits that apply to rights available to the parties under the Plan (such as the duration of any protective actions the Plan Administrator will take); and 17.b Packet Pg. 316 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 11 – Plan Administration and Operation © Copyright 2017 Governmental 457(b) Basic Plan Document 59 (C) a description of any additional material, information, or modifications necessary for the order to be a QDRO and an explanation of why such material, information, or modifications are necessary. (v) Treatment of Alternate Payee. If an order is accepted as a QDRO, the Plan Administrator will act in accordance with the terms of the QDRO as if it were a part of the Plan. An Alternate Payee will be considered a Beneficiary under the Plan and be afforded the same rights as a Beneficiary. The Plan Administrator will provide any appropriate disclosure information relating to the Plan to the Alternate Payee. 17.b Packet Pg. 317 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 12 – Trust Agreement © Copyright 2017 Governmental 457(b) Basic Plan Document 60 SECTION 12 TRUST AGREEMENT 12.01 Creation of Trust. By adopting this Plan, the Employer creates a Trust to hold the assets of the Plan (or, in the event that this Plan document represents an amendment of the Plan, the Employer hereby amends the terms of the Trust maintained in connection with the Plan). The Trustee is the owner of the Plan assets held by the Trust. The Trustee is to hold the Plan assets for the exclusive benefit of Plan Participants and Beneficiaries. Plan Participants and Beneficiaries do not have ownership interests in the assets held by the Trust. The Employer may adopt a separate trust agreement in lieu of the trust provisions under this Section. 12.02 Trustee. The Trustee identified in the Trustee Declaration under the Agreement shall act either as a Discretionary Trustee or as a Directed Trustee, as identified under the Agreement. (a) Discretionary Trustee. A Trustee is a Discretionary Trustee to the extent the Trustee has exclusive authority and discretion with respect to the investment, management or control of Plan assets. Notwithstanding a Trustee’s designation as a Discretionary Trustee, a Trustee’s discretion is limited, and the Trustee shall be considered a Directed Trustee, to the extent the Trustee is subject to the direction of the Plan Administrator or the Employer. (b) Directed Trustee. A Trustee is a Directed Trustee with respect to the investment of Plan assets to the extent the Trustee is subject to the direction of the Plan Administrator or the Employer. The Trustee does not have any discretionary authority with respect to the investment of Plan assets. In addition, the Trustee is not responsible for the propriety of any directed investment made pursuant to this Section and shall not be required to consult or advise the Employer regarding the investment quality of any directed investment held under the Plan. The Trustee shall be advised in writing regarding the retention of investment powers by the Employer or the appointment of an investment manager with power to direct the investment of Plan assets. Any such delegation of investment powers will remain in force until such delegation is revoked or amended in writing. The Employer is deemed to have retained investment powers under this subsection to the extent the Employer directs the investment of Participant Accounts for which affirmative investment direction has not been received. A Directed Trustee must act solely in accordance with the direction of the Plan Administrator, the Employer, or any employees or agents of the Employer. The Employer may direct the Trustee to invest in any media in which the Trustee may invest, as described in Section 12.04. However, the Employer may not borrow from the Trust or pledge any of the assets of the Trust as security for a loan to itself; buy property or assets from or sell property or assets to the Trust; charge any fee for services rendered to the Trust; or receive any services from the Trust on a preferential basis. 12.03 Trustee’s Responsibilities Regarding Administration of Trust. This Section outlines the Trustee’s powers, rights and duties under the Plan with respect to the administration of the investments held in the Plan. The Trustee’s administrative duties are limited to those described in this Section 12.03; the Employer is responsible for any other administrative duties required under the Plan or by applicable law. (a) The Trustee will receive all contributions made under the terms of the Plan. The Trustee is not obligated in any manner to ensure that such contributions are correct in amount or that such 17.b Packet Pg. 318 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 12 – Trust Agreement © Copyright 2017 Governmental 457(b) Basic Plan Document 61 contributions comply with the terms of the Plan. In addition, the Trustee is under no obligation to request that the Employer make contributions to the Plan. The Trustee is not liable for the manner in which such amounts are deposited or the allocation between Participant’s Accounts, to the extent the Trustee follows the written direction of the Plan Administrator or Employer. (b) The Trustee will make distributions from the Trust in accordance with the written directions of the Plan Administrator or other authorized representative. To the extent the Trustee follows such written direction, the Trustee is not obligated in any manner to ensure a distribution complies with the terms of the Plan, that a Participant or Beneficiary is entitled to such a distribution, or that the amount distributed is proper under the terms of the Plan. If there is a dispute as to a payment from the Trust, the Trustee may decline to make payment of such amounts until the proper payment of such amounts is determined by a court of competent jurisdiction, or the Trustee has been indemnified to its satisfaction. (c) The Trustee may employ agents, attorneys, accountants and other third parties to provide counsel on behalf of the Plan, where the Trustee deems advisable. The Trustee may reimburse such persons from the Trust for reasonable expenses and compensation incurred as a result of such employment. The Trustee shall not be liable for the actions of such persons, provided the Trustee acted prudently in the employment and retention of such persons. In addition, the Trustee will not be liable for any actions taken as a result of good faith reliance on the advice of such persons. 12.04 Trustee’s Responsibility Regarding Investment of Plan Assets. In addition to the powers, rights and duties enumerated under this Section, the Trustee has whatever powers are necessary to carry out its duties in a prudent manner. The Trustee’s powers, rights and duties may be supplemented or limited by a separate trust agreement, investment policy, funding agreement, or other binding document entered into between the Trustee and the Plan Administrator which designates the Trustee’s responsibilities with respect to the Plan. A separate trust agreement must be consistent with the terms of this Plan and must comply with all requirements of Code §457 and regulations there under. (a) The Trustee shall be responsible for the safekeeping of the assets of the Trust in accordance with the provisions of this Plan. (b) The Trustee may invest, manage and control the Plan assets in a manner that is consistent with the Plan’s funding policy and investment objectives. The Trustee may invest in any investment, which the Trustee deems advisable and prudent, subject to the proper written direction of the Plan Administrator or the Employer. The Trustee is not liable for the investment of Plan assets to the extent the Trustee is following the proper direction of the Plan Administrator, the Employer, a Participant, or other person or persons duly appointed by the Employer to provide investment direction. In addition, the Trustee does not guarantee the Trust in any manner against investment loss or depreciation in asset value, or guarantee the adequacy of the Trust to meet and discharge any or all liabilities of the Plan. (c) The Trustee may retain such portion of the Plan assets in cash or cash balances as the Trustee may, from time to time, deem to be in the best interests of the Plan, without liability for interest thereon. (d) The Trustee may collect and receive any and all moneys and other property due the Plan and to settle, compromise, or submit to arbitration any claims, debts, or damages with respect to the Plan, and to commence or defend on behalf of the Plan any lawsuit, or other legal or administrative proceedings. 17.b Packet Pg. 319 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 12 – Trust Agreement © Copyright 2017 Governmental 457(b) Basic Plan Document 62 (e) The Trustee may hold any securities or other property in the name of the Trustee or in the name of the Trustee’s nominee, and may hold any investments in bearer form, provided the books and records of the Trustee at all times show such investment to be part of the Trust. (f) The Trustee may exercise any of the powers of an individual owner with respect to stocks, bonds, securities or other property, including the right to vote upon such stocks, bonds or securities; to give general or special proxies or powers of attorney; to exercise or sell any conversion privileges, subscription rights, or other options; to participate in corporate reorganizations, mergers, consolidations, or other changes affecting corporate securities (including those in which it or its affiliates are interested as Trustee); and to make any incidental payments in connection with such stocks, bonds, securities or other property. (g) The Trustee may borrow or raise money on behalf of the Plan in such amount, and upon such terms and conditions, as the Trustee deems advisable. The Trustee may issue a promissory note as Trustee to secure the repayment of such amounts and may pledge all, or any part, of the Trust as security. (h) The Trustee, upon the written direction of the Plan Administrator, is authorized to enter into a transfer agreement with the Trustee of another Code §457 plan and to accept a transfer of assets from such retirement plan on behalf of any Employee of the Employer. The Trustee is also authorized, upon the written direction of the Plan Administrator, to transfer some or all of a Participant’s vested Account Balance to another Code §457 plan on behalf of such Participant. (i) The Trustee is authorized to execute, acknowledge and deliver all documents of transfer and conveyance, receipts, releases, and any other instruments that the Trustee deems necessary or appropriate to carry out its powers, rights and duties hereunder. (j) If the Employer maintains more than one Plan, the assets of such Plans may be commingled for investment purposes. The Trustee must separately account for the assets of each Plan. A commingling of assets, as described in this paragraph, does not cause the Trusts maintained with respect to the Employer’s Plans to be treated as a single Trust, except as provided in a separate document authorized in the first paragraph of this Section 12.04. (k) If the Trustee is a bank or similar financial institution, the Trustee is authorized to i nvest in any type of deposit of the Trustee (including its own money market fund) at a reasonable rate of interest. 12.05 More than One Person as Trustee. If the Plan has more than one person acting as Trustee, the Trustees may allocate the Trustee responsibilities by mutual agreement and Trustee decisions will be made by a majority vote (unless otherwise agreed to by the Trustees) or as otherwise provided in a separate trust agreement or other binding document. 12.06 Annual Valuation. The Plan assets will be valued at least on an annual basis. The Employer may designate more frequent valuation dates. The Trustee and Plan Administrator may agree to value the Trust on a more frequent basis, and/or to perform an interim valuation of the Trust. 12.07 Reporting to Plan Administrator and Employer. Within a reasonable time following the end of each Plan Year, the Trustee will file with the Employer an accounting of its administration of the Trust from the date of its last accounting. The accounting will include a statement of cash receipts, disbursements and other transactions effected by the Trustee since the date of its last accounting, and such further 17.b Packet Pg. 320 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 12 – Trust Agreement © Copyright 2017 Governmental 457(b) Basic Plan Document 63 information as the Trustee and/or Employer deems appropriate. Upon receipt of such information, the Employer must promptly notify the Trustee of its approval or disapproval of the information. 12.08 Reasonable Compensation. The Trustee shall be paid reasonable compensation in an amount agreed upon by the Plan Administrator and Trustee. The Trustee also will be reimbursed for any reasonable expenses or fees incurred in its function as Trustee. The Plan will pay the reasonable compensation and expenses incurred by the Trustee, unless the Employer pays such compensation and expenses. 12.09 Resignation and Removal of Trustee. The Trustee may resign at any time by delivering to the Employer a written notice of resignation at least thirty (30) days prior to the effective date of such resignation, unless the Employer consents in writing to a shorter notice period. The Employer may remove the Trustee at any time, with or without cause, by delivering written notice to the Trustee at least 30 days prior to the effective date of such removal. The Employer may remove the Trustee upon a shorter written notice period if the Employer reasonably determines such shorter period is necessary to protect Plan assets. Upon the resignation, removal, death or incapacity of a Trustee, the Employer may appoint a successor Trustee which, upon accepting such appointment, will have all the powers, rights and duties conferred upon the preceding Trustee. In the event there is a period of time following the effective date of a Trustee’s removal or resignation before a successor Trustee is appointed, the Employer is deemed to be the Trustee. During such period, the Trust continues to be in existence and legally enforceable, and the assets of the Plan shall continue to be protected by the provisions of the Trust. 12.10 Indemnification of Trustee. Except to the extent that it is judicially determined that the Trustee has acted with gross negligence or willful misconduct, the Employer shall indemnify the Trustee (whether or not the Trustee has resigned or been removed) against any liabilities, losses, damages, and expenses, including attorney, accountant, and other advisory fees, incurred as a result of: (a) any action of the Trustee taken in good faith in accordance with any information, instruction, direction, or opinion given to the Trustee by the Employer, the Plan Administrator, or legal counsel of the Employer, or any person or entity appointed by any of them and authorized to give any information, instruction, direction, or opinion to the Trustee; (b) the failure of the Employer, the Plan Administrator, or any person or entity appointed by any of them to make timely disclosure to the Trustee of information which any of them or any appointee knows or should know if it acted in a reasonably prudent manner; or (c) any breach of fiduciary duty by the Employer, the Plan Administrator or any person or entity appointed by any of them, other than such a breach which is caused by any failure of the Trustee to perform its duties under this Trust. The duties and obligations of the Trustee shall be limited to those expressly imposed upon it by this instrument or subsequently agreed upon by the parties. Responsibility for administrative duties required under the Plan or applicable law not expressly imposed upon or agreed to by the Trustee shall rest solely with the Employer. The Employer agrees that the Trustee shall have no liability with regard to the investment or management of illiquid Plan assets transferred from a prior Trustee, and shall have no responsibility for investments made before the transfer of Plan assets to it, or for the viability or prudence of any investment made by a prior Trustee, including those represented by assets now transferred to the custody of the Trustee, or for any dealings whatsoever with respect to Plan assets before the transfer of such assets to the Trustee. The Employer shall indemnify and hold the Trustee harmless for any and all claims, actions or causes of action for loss or damage, or any liability whatsoever relating to the assets of the Plan transferred to the Trustee by any prior Trustee of the Plan, including any liability arising out 17.b Packet Pg. 321 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 12 – Trust Agreement © Copyright 2017 Governmental 457(b) Basic Plan Document 64 of or related to any act or event, including prohibited transactions, occurring prior to the date the Trustee accepts such assets, including all claims, actions, causes of action, loss, damage, or any liability whatsoever arising out of or related to that act or event, although that claim, action, cause of action, loss, damage, or liability may not be asserted, may not have accrued, or may not have been made known until after the date the Trustee accepts the Plan assets. Such indemnification shall extend to all applicable periods, including periods for which the Plan is retroactively restated to comply with any tax law or regulation. 12.11 Appointment of Custodian. The Plan Administrator may appoint a Custodian to hold all or any portion of the Plan assets. A Custodian has the same powers, rights and duties as a Directed Trustee. The Custodian will be protected from any liability with respect to actions taken pursuant to the direction of the Trustee, Plan Administrator, the Employer, or other third party with authority to provide direction to the Custodian. 12.12 Satisfaction of Trust Requirement Using Custodial Accounts or Annuity Contracts. The Employer may satisfy the trust requirement of Code §457(g) as provided under Treas. Reg. §1.457-8(a)(3)(iii). 17.b Packet Pg. 322 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 13 – Participant Loans © Copyright 2017 Governmental 457(b) Basic Plan Document 65 SECTION 13 PARTICIPANT LOANS 13.01 Availability of Participant Loans. The Employer may elect under Appendix B of the Adoption Agreement to permit Participants to take loans from their vested Account Balance under the Plan. If the Employer elects to permit loans under the Plan, the Employer may elect to use the default loan policy under this Section 13, as modified under Appendix B of the Adoption Agreement, or may establish an outside loan policy for purposes of administering Participant loans under the Plan. If the Employer adopts a separate written loan policy, the terms of such separate loan policy will control over the terms of this Plan with respect to the administration of any Participant loans. Any separate written loan policy must satisfy the requirements under Code §72(p) and the regulations thereunder. Participant loans are subject to the terms of any vendor agreements or contracts associated with the Plan. To receive a Participant loan, a Participant must sign a promissory note along with a pledge or assignment of the portion of the Account Balance used for security on the loan. The loan will be evidenced by a legally enforceable agreement which specifies the amount and term of the loan, and the repayment schedule. 13.02 Must be Available in Reasonably Equivalent Manner. Participant loans must be made available to Participants in a reasonably equivalent manner. The Employer may elect under AA §B-7 to limit the availability of Participant loans to specified events. 13.03 Loan Limitations. A Participant loan may not be made to the extent such loan (when added to the outstanding balance of all other loans made to the Participant) exceeds the lesser of: (a) $50,000 (reduced by the excess, if any, of the Participant’s highest outstanding balance of loans from the Plan during the one-year period ending on the day before the date on which such loan is made, over the Participant’s outstanding balance of loans from the Plan as of the date such loan is made) or (b) one-half (½) of the Participant’s vested Account Balance, determined as of the Valuation Date coinciding with or immediately preceding such loan, adjusted for any contributions or distributions made since such Valuation Date. In applying the limitations under this Section 13.03, all plans maintained by the Employer are aggregated and treated as a single plan. In addition, any assignment or pledge of any portion of the Participant’s interest in the Plan and any loan, pledge, or assignment with respect to any insurance contract purchased under the Plan will be treated as loan under this Section. 13.04 Limit on Amount and Number of Loans. Unless elected otherwise under AA §B-4 and/or AA §B-6, or under a separate written loan policy, a Participant may not receive a Participant loan of less than $1,000 nor may a Participant have more than one Participant loan outstanding at any time. (a) Loan renegotiation. A Participant may renegotiate a loan without violating the one outstanding loan requirement to the extent such renegotiated loan is a new loan (i.e., the renegotiated loan separately satisfies the reasonable interest rate requirement under Section 13.05, the adequate security requirement under Section 13.06, and the periodic repayment requirement under Section 13.07) and the renegotiated loan does not exceed the limitations under Section 13.03 above, treating both the replaced loan and the renegotiated loan as outstanding at the same time. However, if the term of the renegotiated loan does not end later than the original term of the 17.b Packet Pg. 323 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 13 – Participant Loans © Copyright 2017 Governmental 457(b) Basic Plan Document 66 replaced loan, the replaced loan may be ignored in applying the limitations under Section 13.03 above. (b) Participant must be creditworthy. The Plan Administrator may refuse to make a loan to any Participant who is determined to be not creditworthy. For this purpose, a Participant is not creditworthy if, based on the facts and circumstances, it is reasonable to believe that the Participant will not repay the loan. A Participant who has defaulted on a previous loan from the Plan and has not repaid such loan (with accrued interest) at the time of any subsequent loan will be treated as not creditworthy until such time as the Participant repays the defaulted loan (with accrued interest). 13.05 Reasonable Rate of Interest. All Participant loans will be charged a reasonable rate of interest. For this purpose, the interest rate charged on a Participant loan must be commensurate with the interest rates charged by persons in the business of lending money for loans under similar circumstances. The Employer may identify alternative methods for determining a reasonable rate of interest under AA §B-5 or under a separate written loan policy. The Plan Administrator must periodically review its interest rate assumptions to ensure the interest rate charged on Participant loans is reasonable. If a Participant is in “military service” while he/she has an outstanding Participant loan, the applicable interest charged on such loan during the period while the Participant is in “military service” will not exceed 6% per year provided the Participant provides written notice and a copy of his/her call-up or extension orders to the Plan Administrator within 180 days following the Participant’s termination or release from “military service.” For this purpose, “military service” is as defined in the Soldier’s and Sailor’s Civil Relief Act of 1940 as modified by the Servicemembers Civil Relief Act of 2003. The Participant may voluntarily waive this 6% interest limitation and the Plan Administrator may petition the court to retain the original interest rate if the ability to repay is not affected by the Participant's activation to military duty. 13.06 Adequate Security. All Participant loans must be adequately secured. The Participant’s vested Account Balance shall be used as security for a Participant loan provided the outstanding balance of all Participant loans made to such Participant does not exceed 50% of the Participants vested Account Balance, determined immediately after the origination of each loan. The Plan Administrator may require a Participant to provide additional collateral to receive a Participant loan if the Plan Administrator determines such additional collateral is required to protect the interests of Plan Participants. A separate loan policy or written modifications to this loan policy may prescribe alternative rules for obtaining adequate security. However, the 50% rule in this paragraph may not be replaced with a greater percentage. 13.07 Periodic Repayment. A Participant loan must provide for level amortization with payments to be made not less frequently than quarterly. A Participant loan must be payable within a period not exceeding five (5) years from the date the Participant receives the loan from the Plan, unless the loan is for the purchase of the Participant’s principal residence, in which case the loan must be payable within a reasonable time commensurate with the repayment period permitted by commercial lenders for similar loans. Loan repayments must be made through payroll withholding, except to the extent the Plan Administrator determines payroll withholding is not practical given the level of a Participant’s wages, the frequency with which the Participant is paid, or other circumstances. (a) Unpaid leave of absence. A Participant with an outstanding Participant loan may suspend loan payments to the Plan for up to 12 months for any period during which the Participant is on an unpaid leave of absence. Upon the Participant’s return to employment (or after the end of the 12- month period, if earlier), the Participant’s outstanding loan will be reamortized over the 17.b Packet Pg. 324 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 13 – Participant Loans © Copyright 2017 Governmental 457(b) Basic Plan Document 67 remaining period of such loan to make up for the missed payments. The reamortized loan may extend beyond the original loan term so long as the loan is paid in full by whichever of the following dates comes first: (1) the date which is five (5) years from the original date of the loan (or the end of the suspension, if sooner), or (2) the original loan repayment deadline (or the end of the suspension period, if later) plus the length of the suspension period. (b) Military leave. A Participant with an outstanding Participant loan also may suspend loan payments for any period such Participant is on military leave, in accordance with Code §414(u)(4). Upon the Participant’s return from military leave (or the expiration of five years from the date the Participant began his/her military leave, if earlier), loan payments will recommence under the amortization schedule in effect prior to the Participant’s military leave, without regard to the five-year maximum loan repayment period. Alternatively, the loan may be reamortized to require a different level of loan payment, as long as the amount and frequency of such payments are not less than the amount and frequency under the amortization schedule in effect prior to the Participant’s military leave. 13.08 Designation of Accounts. Unless designated otherwise under a separate loan procedure, Participant loans will first be taken proportionately from the Participant’s Employer Contribution Account and Matching Contribution Account, to the extent the Participant has a vested interest in such Accounts and subject to the loan limits under Section 13.03. If a Participant’s total vested Account Balance attributable to the Employer Contribution and Matching Contribution Accounts is not sufficient to satisfy the amount of the loan, the Participant loan will next be taken from the Participant’s Salary Deferral Account. Finally, the loan will be taken from the Participant’s Rollover Contribution Account. A Participant loan will be treated as a segregated investment on behalf of the individual Participant for whom the loan is made. Each payment of principal and interest paid by a Participant on his/her Participant loan shall be credited to the Participant’s Accounts and investment funds within such Accounts in the same manner as allocated under the above paragraph. 13.09 Procedures for Loan Default. A Participant will be considered to be in default with respect to a loan if any scheduled repayment with respect to such loan is not made by the end of the calendar quarter following the calendar quarter in which the missed payment was due. If a Participant defaults on a Participant loan, the Plan may not offset the Participant’s Account Balance until the Participant is otherwise entitled to an immediate distribution of the portion of the Account Balance which will be offset and such amount being offset is available as security on the loan, pursuant to Section 13.06. For this purpose, a loan default is treated as an immediate distribution event to the extent the law does not prohibit an actual distribution of the type of contributions which would be offset as a result of the loan default. The Participant may repay the outstanding balance of a defaulted loan (including accrued interest through the date of repayment) at any time. Pending the offset of a Participant’s Account Balance following a defaulted loan, the following rules apply to the amount in default. (a) Interest continues to accrue on the amount in default until the time of the loan offset or, if earlier, the date the loan repayments are made current or the amount is satisfied with other collateral. (b) A subsequent offset of the amount in default is not reported as a taxable distribution, except to the extent the taxable portion of the default amount was not previously reported by the Plan as a taxable distribution. 17.b Packet Pg. 325 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 13 – Participant Loans © Copyright 2017 Governmental 457(b) Basic Plan Document 68 (c) The post-default accrued interest included in the loan offset is not reported as a taxable distribution at the time of the offset. A separate loan policy or written modifications to this loan policy may modify the procedures for determining a loan default. 13.10 Termination of Employment. (a) Offset of outstanding loan. A Participant loan becomes due and payable in full immediately upon the Participant’s termination of employment. Upon a Participant’s termination, the Participant may repay the entire outstanding balance of the loan (including any accrued interest) within a reasonable period following termination of employment. If the Participant does not repay the entire outstanding loan balance, the Participant’s vested Account Balance will be reduced by the remaining outstanding balance of the loan, to the extent such Account Balance is available as security on the loan, pursuant to Section 13.06, and the remaining vested Account Balance will be distributed in accordance with the distribution provisions under Section 8. If the outstanding loan balance of a deceased Participant is not repaid, the outstanding loan balance shall be treated as a distribution to the Participant and shall reduce the death benefit amount payable to the Beneficiary. (b) Direct Rollover. Upon termination of employment, a Participant may request a Direct Rollover of the loan note (provided the distribution is an Eligible Rollover Distribution) to another qualified plan which agrees to accept a Direct Rollover of the loan note. A Participant may not engage in a Direct Rollover of a loan to the extent the Participant has already received a deemed distribution with respect to such loan. (c) Modified loan policy. A separate loan policy or written modifications to this loan policy may modify this Section 13.10, including, but not limited to: (1) a provision to permit loan repayments to continue beyond termination of employment; (2) to prohibit the Direct Rollover of a loan note; and (3) to provide for other events that may accelerate the Participant’s repayment obligation under the loan. 17.b Packet Pg. 326 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 14 – Plan Amendments, Termination, Mergers, Exchanges and Transfers © Copyright 2017 Governmental 457(b) Basic Plan Document 69 SECTION 14 PLAN AMENDMENTS, TERMINATION, MERGERS, EXCHANGES AND TRANSFERS 14.01 Plan Amendments. (a) Amendment by the Employer. The Employer shall have the right at any time to amend the Plan at any time. (The ability to amend the Plan as authorized under this subsection (a) applies only to the Employer that executes the Signature Page of the Adoption Agreement. Any amendment to the Plan by the Employer under this subsection (a) also applies to any other Employer that participates under the Plan as a Participating Employer.) Such amendments include, but are not limited to: (1) The Employer may change any optional selections under the Adoption Agreement. (2) The Employer may add additional language or provisions to the Plan. (3) The Employer may change the administrative selections under Appendix C of the Adoption Agreement by replacing the appropriate page(s) within the Adoption Agreement. Such amendment does not require re-execution of the Employer Signature Page of the Adoption Agreement. (4) The Employer may amend administrative provisions of the Plan document, including the name of the Plan, Employer, Trustee, and Plan Administrator. (5) The Employer may add or change provisions permitted under the Plan and/or specify or change the effective date of a provision as permitted under the Plan and correct obvious and unambiguous typographical errors and/or cross-references that merely correct a reference but that do not in any way change the original intended meaning of the provisions. (b) Reduction of Account Balance. No amendment to the plan shall be effective to the extent that it has the effect of reducing a Participant's Account Balance. 14.02 Plan Termination. The Employer may terminate (or freeze) this Plan at any time. The Employer will amend the Plan as necessary to effectuate a Plan termination. (a) Distribution upon Plan termination. Upon the termination of the Plan, the Plan Administrator shall direct the distribution of Account Balances to Participants in accordance with the provisions under Section 8 as soon as administratively practicable after termination of the Plan. (b) Termination upon merger, liquidation or dissolution of the Employer. The Plan may terminate upon the liquidation or dissolution of the Employer provided however, that in any such event, arrangements may be made for the Plan to be continued by any successor to the Employer. (c) Missing Participants. Upon termination of the Plan, if any Participant cannot be located after a reasonable diligent search, the Plan Administrator may make a direct rollover to an IRA selected by the Plan Administrator. An Automatic Rollover under this subsection (c) may be made on behalf of any missing Participant, regardless of the value of his/her vested Account Balance. 17.b Packet Pg. 327 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 14 – Plan Amendments, Termination, Mergers, Exchanges and Transfers © Copyright 2017 Governmental 457(b) Basic Plan Document 70 14.03 Merger or Consolidation. In the event the Plan is merged or consolidated with another plan, each Participant must be entitled to a benefit immediately after such merger or consolidation that is at least equal to the benefit the Participant would have been entitled to if the Plan terminated immediately before such merger or consolidation. 17.b Packet Pg. 328 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 15 – Miscellaneous © Copyright 2017 Governmental 457(b) Basic Plan Document 71 SECTION 15 MISCELLANEOUS 15.01 Exclusive Benefit. Except as provided under this Section 15, no part of the Plan assets may revert to the Employer prior to the satisfaction of all liabilities under the Plan nor will such Plan assets be used for, or diverted to, a purpose other than the exclusive benefit of Participants or their Beneficiaries. No amendment may authorize or permit any portion of the assets held under the Plan to be used for or diverted to a purpose other than the exclusive benefit of Participants or their Beneficiaries, except to the extent such assets are used to pay taxes or administrative expenses of the Plan. An amendment also may not cause or permit any portion of the assets held under the Plan to revert to or become property of the Employer. 15.02 Return of Employer Contributions. Upon written request by the Employer, the Trustee must return any Employer Contributions made because of a mistake of fact must be returned to the Employer within one year of the contribution. 15.03 Alienation or Assignment. Except as permitted under applicable statute or regulation, a Participant or Beneficiary may not assign, alienate, transfer or sell any right or claim to a benefit or distribution from the Plan, and any attempt to assign, alienate, transfer or sell such a right or claim shall be void, except as permitted by statute or regulation. Any such right or claim under the Plan shall not be subject to attachment, execution, garnishment, sequestration, or other legal or equitable process. This prohibition against alienation or assignment also applies to the creation, assignment, or recognition of a right to a benefit payable with respect to a Participant pursuant to a domestic relations order, unless such order is determined to be a QDRO pursuant to Section 11.06. 15.04 Participants’ Rights. The adoption of this Plan by the Employer does not give any Participant, Beneficiary, or Employee a right to continued employment with the Employer and does not affect the Employer’s right to discharge an Employee or Participant at any time. This Plan also does not create any legal or equitable rights in favor of any Participant, Beneficiary, or Employee against the Employer or Plan Administrator. Unless the context indicates otherwise, any amendment to this Plan is not applicable to determine the benefits accrued (and the extent to which such benefits are vested) by a Participant or former Employee whose employment terminated before the effective date of such amendment, except where application of such amendment to the terminated Participant or former Employee is required by statute, regulation or other guidance of general applicability. Where the provisions of the Plan are ambiguous as to the application of an amendment to a terminated Participant or former Employee, the Plan Administrator has the authority to make a final determination on the proper interpretation of the Plan. 15.05 Military Service. To the extent required under Code §414(u), an Employee who returns to employment with the Employer following a period of qualified military service will receive any contributions, benefits and service credit required under Code §414(u), provided the Employee satisfies all applicable requirements under the Code and regulations. In determining the amount of contributions under Code §414(u), Plan Compensation will be deemed to be the compensation the Employee would have received during the period while in military service based on the rate of pay the Employee would have received from the Employer but for the absence due to military leave. If the compensation the Employee would have received during the leave is not reasonably certain, Plan Compensation will be equal to the Employee’s average compensation from the Employer during the twelve (12) month period immediately preceding the military leave or, if shorter, the Employee’s actual period of employment with the Employer. 17.b Packet Pg. 329 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 15 – Miscellaneous © Copyright 2017 Governmental 457(b) Basic Plan Document 72 (a) Death benefits under qualified military service. In the case of a Participant who dies while performing qualified military service (as defined in Code §414(u)), the survivors of the Participant are entitled to any additional benefits (other than benefit accruals relating to the period of qualified military service) provided under the Plan as though the Participant resumed and then terminated employment on account of death. This provision is effective with respect to deaths occurring on or after January 1, 2007. (b) Benefit accruals. If elected under AA §10-3, for benefit accrual purposes, the Plan will treat an individual who dies or becomes disabled (as defined under the terms of the Plan) while performing qualified military service (as defined in Code §414(u)) with respect to the Employer, as if the individual has resumed employment in accordance with the individual’s reemployment rights under the Uniformed Services Employment and Reemployment Rights Act (USERRA) on the day preceding death or disability (as the case may be) and terminated employment on the actual date of death or disability. This provision is effective with respect to deaths and disabilities occurring on or after January 1, 2007. (1) This subsection (b) shall apply only if all individuals performing qualified military service with respect to the Employer maintaining the plan who die or became disabled as a result of performing qualified military service prior to reemployment by the employer are credited with service and benefits on reasonably equivalent terms. (2) The amount of employee contributions and the amount of elective deferrals of an individual treated as reemployed under this subsection (b) shall be determined on the basis of the individual’s average actual employee contributions or elective deferrals for the lesser of: (i) the 12-month period of service with the Employer immediately prior to qualified military service, or (ii) if service with the Employer is less than such 12-month period, the actual length of continuous service with the Employer. (c) Plan distributions. Notwithstanding the provisions of Section 1.52 regarding the treatment of Differential Pay, an individual shall be treated as having been severed from employment during any period the individual is performing service in the Uniformed Services for purposes of receiving a Plan distribution under Code §401(k)(2)(B)(i)(I). If an individual elects to receive a distribution while on military leave, the individual may not make Salary Deferrals or Employee After-Tax Employee Contributions under the Plan during the 6-month period beginning on the date of the distribution. (d) Make-Up Contributions. A Participant who is reemployed following a qualified military leave shall have the right to make up any Salary Deferrals or After-Tax Employee Contributions to which he/she would have been entitled but for the fact the Participant was on qualified military leave. The Employer will also make any Employer Contributions and Matching Contributions the Participant would have earned during the period of qualified military leave had the Participant remained employed during such period. The Employer will only be required to make Matching Contributions if the reemployed Participant makes up the underlying contributions that were eligible for the Matching Contributions. In determining the amount of Make-Up Contributions a Participant may make under this subsection (d), a Participant will be treated as earning Plan Compensation during the period the Participant was on qualified military leave equal to: 17.b Packet Pg. 330 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 15 – Miscellaneous © Copyright 2017 Governmental 457(b) Basic Plan Document 73 (1) the rate of pay the Participant would have received from the Employer during such period had the Participant not been on qualified military leave, or (2) if the Plan Compensation the Participant would have received during such period was not reasonably certain, the Participant's average Plan Compensation during the 12-month period immediately preceding the qualified military leave (or the entire period of employment, if shorter). If the Employer is required under this subsection (d) to make Employer Contributions for a reemployed Participant, the Employer must make such Employer Contributions not later than 90 days after the date of reemployment or the date the Employer Contributions are otherwise due for the year in which the military service was performed. For Salary Deferrals and After-Tax Employee Contributions, a Participant who is reemployed following a qualified military leave may make up such contributions during the period beginning on the date of reemployment and ending on the earlier of the date that is three times the length of the military service period or 5 years from the date of reemployment. Any required Matching Contributions must be made in the same manner as other Matching Contribution under the Plan following the Participant’s contribution of the amounts eligible for the Matching Contributions. Any make up contributions under this subsection (d) are subject to the Code §457(b) Basic Annual Limit under Section 5 for the year for which the make-up contribution would have been made had the Participant not been on qualified military leave. 15.06 Annuity Contracts. Any annuity contract distributed under the Plan must be nontransferable. In addition, the terms of any annuity contract purchased and distributed to a Participant or Beneficiary must comply with all requirements under this Plan. 15.07 Use of IRS compliance programs. Nothing in this Plan document should be construed to limit the availability of the IRS’ voluntary compliance programs, An Employer may take whatever corrective actions are permitted under the IRS voluntary compliance programs, as is deemed appropriate by the Plan Administrator or Employer. 15.08 Governing Law. The provisions of this Plan shall be construed, administered, and enforced in accordance with the provisions of applicable Federal Law and, to the extent applicable, the laws of the state in which the Employer has its principal place of business. 15.09 Waiver of Notice. Any person entitled to a notice under the Plan may waive the right to receive such notice, to the extent such a waiver is not prohibited by law, regulation or other pronouncement. 15.10 Use of Electronic Media. The Plan Administrator may use telephonic or electronic media to satisfy any notice requirements required by this Plan, to the extent permissible under regulations (or other generally applicable guidance). In addition, a Participant's consent to immediate distribution may be provided through telephonic or electronic means, to the extent permissible under regulations (or other generally applicable guidance). The Plan Administrator also may use telephonic or electronic media to conduct plan transactions such as enrolling participants, making (and changing) salary reduction elections, electing (and changing) investment allocations, applying for Plan loans, and other transactions, to the extent permissible under regulations (or other generally applicable guidance). 15.11 Severability of Provisions. In the event that any provision of this Plan shall be held to be illegal, invalid or unenforceable for any reason, the remaining provisions under the Plan shall be construed as if the illegal, invalid or unenforceable provisions had never been included in the Plan. 17.b Packet Pg. 331 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 15 – Miscellaneous © Copyright 2017 Governmental 457(b) Basic Plan Document 74 15.12 Binding Effect. The Plan, and all actions and decisions made thereunder, shall be binding upon all applicable parties, and their heirs, executors, administrators, successors and assigns. 17.b Packet Pg. 332 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 16 – Participating Employers © Copyright 2017 Governmental 457(b) Basic Plan Document 75 SECTION 16 PARTICIPATING EMPLOYERS 16.01 Participation by Participating Employers. An Employer (other than the Employer that executes the Employer Signature Page of the Adoption Agreement) may elect to participate under this Plan by executing a Participating Employer Adoption Page under the Adoption Agreement. A Participating Employer (including a Related Employer) may not contribute to this Plan unless it executes the Participating Employer Adoption Page. 16.02 Participating Employer Adoption Page. (a) Application of Plan provisions. By executing a Participating Employer Adoption Page, a Participating Employer adopts all the provisions of the Plan, including the elective choices made by the signatory Employer under the Adoption Agreement. The Participating Employer may elect under the Participating Employer Adoption Page to modify the elective provisions under the Adoption Agreement as they apply to the Participating Employer. (b) Plan amendments. In addition, unless provided otherwise under the Participating Employer Adoption Page, a Participating Employer is bound by any amendments made to the Plan in accordance with Section 14.01. (c) Trustee Declaration. The Participating Employer agrees to use the same Trustee(s) as is designated on the Trustee Declaration under the Agreement, except as provided in a separate agreement. 16.03 Compensation of Related Employers. In applying the provisions of this Plan, Total Compensation includes amounts earned with a Related Employer, regardless of whether such Related Employer executes a Participating Employer Adoption Page. The Employer may elect under AA §5-3(m) to exclude amounts earned with a Related Employer that does not execute a Participating Employer Adoption Page for purposes of determining an Employee’s Plan Compensation. 16.04 Allocation of Contributions and Forfeitures. Unless selected otherwise under the Participating Employer Adoption Page, any contributions made by a Participating Employer (and any forfeitures relating to such contributions) will be allocated to all Participants employed by the Employer and Participating Employers in accordance with the provisions under this Plan. A Participating Employer may elect under the Participating Employer Adoption Page to allocate its contributions (and forfeitures relating to such contributions) only to the Participants employed by the Participating Employer making such contributions. If so elected, Employees of the Participating Employer will not share in an allocation of contributions (or forfeitures relating to such contributions) made by any other Participating Employer (except in such individual's capacity as an Employee of that other Participating Employer). Thus, for example, a Participating Employer may make a different discretionary contribution and allocate such contribution only to its Employees. Where contributions are allocated only to the Employees of a contributing Participating Employer, a separate accounting must be maintained of Employees’ Account Balances attributable to the contributions of a particular Participating Employer. This separate accounting is necessary only for contributions that are not 100% vested, so that the allocation of forfeitures attributable to such contributions can be allocated for the benefit of the appropriate Employees. 16.05 Discontinuance of Participation by a Participating Employer. A Participating Employer may discontinue its participation under the Plan at any time. To document a Participating Employer’s cessation of participation, the following procedures should be followed: (1) the Participating Employer 17.b Packet Pg. 333 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred Governmental 457(b) Plan Section 16 – Participating Employers © Copyright 2017 Governmental 457(b) Basic Plan Document 76 should adopt a resolution that formally terminates active participation in the Plan as of a specified date, (2) the Employer that has executed the Employer Signature Page of the Adoption Agreement should re- execute such page, indicating an amendment by page substitution through the deletion of the Participating Employer Adoption Page executed by the withdrawing Participating Employer, and (3) the withdrawing Participating Employer should provide any notices to its Employees that are required by law. Discontinuance of participation means that no further benefits accrue after the effective date of such discontinuance with respect to employment with the withdrawing Participating Employer. The portion of the Plan attributable to the withdrawing Participating Employer may continue as a separate plan, under which benefits may continue to accrue, through the adoption by the Participating Employer of a successor plan (which may be created through the execution of a separate Adoption Agreement by the Participating Employer) or by spin-off of the portion of the Plan attributable to such Participating Employer followed by a merger or transfer into another existing plan, as specified in a merger or transfer agreement. 16.06 Operational Rules for Related Employer Groups. If an Employer has one or more Related Employers, the Employer and such Related Employer(s) constitute a Related Employer group. In such case, the following rules apply to the operation of the Plan. (a) If the term "Employer" is used in the context of administrative functions necessary to the operation, establishment, maintenance, or termination of the Plan, only the Employer executing the Employer Signature Page under the Adoption Agreement, and any Related Employer executing a Participating Employer Adoption Page, is treated as the Employer. (b) Hours of Service are determined by treating all members of the Related Employer group as the Employer. (c) The term Excluded Employee is determined by treating all members of the Related Employer group as the Employer, except as specifically provided in the Plan. (d) Compensation is determined by treating all members of the Related Employer group as the Employer, except as specifically provided in the Plan. (e) An Employee is not treated as terminated from employment if the Employee is employed by any member of the Related Employer group. In all other contexts, the term "Employer" generally means a reference to all members of the Related Employer group, unless the context requires otherwise. If the terms of the Plan are ambiguous with respect to the treatment of the Related Employer group as the Employer, the Plan Administrator has the authority to make a final determination on the proper interpretation of the Plan. 17.b Packet Pg. 334 Attachment: FN. Deferred Compensation Contract Approval- Basic Plan Document-457(b)- Attachment 1 (5942 : Transition of Deferred 1 of 6Cost and disclosureCity of San Bernardino - Plan PricingPrepared on 12/12/2018 Quote ID: 128735 C: 33189-00Sub-Total Administrative Services Revenue10.03%*Additional Plan Specific Revenue RequestedPayment to Your Financial Advisor2+ 0.00%Sub-Total Administrative Services Revenue plus Additional RevenueRequested30.03%Assumptions About Your PlanPlan Type457(b) PlanService ModelBundledPlatformMutual FundTotal Number of Retirement Plans1Total Plan Assets$80,000,000Total Annual Gross Contributions$3,700,000Total Participants with Balances1049*Please refer to the 408(b)(2) disclosure section of the Endnotes for more details related to additional revenue generated from the MassMutualSAGIC investment option.17.cPacket Pg. 335Attachment: FN. Deferred Compensation Contract Approval- MassMutual Fee Pages- Attachment 2 (5942 : 2 of 6Cost and disclosureProposal AssumptionsOn-site EducationIncluded4Investment Transfer Method5Not ApplicableTarget Date Conversion Credit5Not ApplicableMassMutual's Managed Account Credit0.01%Stable Value Investment OptionDiversified Bond P5MassMutual SAGIC Crediting Rate4.15%Quarterly Participant StatementsPosted OnlineCompensation to YourFinancial AdvisorFirst YearSubsequent YearsFlat Dollar Amount$0$0Percentage of Plan Deposits0.00%0.00%Percentage of Plan Assets0.00%0.00%This proposal may be subject to revision if the assumptions made are inaccurate and after a more detailed review of your plan document and othercurrent records and after you make your investment mapping elections and select the plan administrative services you will receive.17.cPacket Pg. 336Attachment: FN. Deferred Compensation Contract Approval- MassMutual Fee Pages- Attachment 2 (5942 : 3 of 6Cost and disclosureTransactional Fees & Optional ServicesNew Loan Initiation Fees$50 per LoanAnnual Loan Maintenance Fee$40Distribution FeeIncluded in PricingHardship Qualification$125DRO QualificationIncluded in Pricing17.cPacket Pg. 337Attachment: FN. Deferred Compensation Contract Approval- MassMutual Fee Pages- Attachment 2 (5942 : 4 of 6Cost and disclosureEndnotes408(b)(2) Plan Sponsor Fee DisclosureAdministrative Services RevenueInvestment Revenue0.00%Asset Charge0.03%Per Participant Charge0.00%Flat Charge0.00%Sub-Total0.03%SAGIC Administrative Services Revenue10.09%Total Administrative Services Revenue0.12%Less Payment to Your Financial Advisor0.00%Less ERISA Budget Account0.00%Net Administrative Services Revenue0.12%Less Cost for Participant Services60.04%Less Cost for Plan Sponsor Services60.04%Cost for Recordkeeping Services as defined by408(b)(2)60.04%This proposal provides estimates of the expenses that would beincurred by your plan and the revenue that MassMutual wouldreceive as compensation for the services it provides to your plan.These estimates are calculated based on information listed aboveand the assumption that the plan assets, investment allocationsand investment expenses remain constant. Because the size ofyour plan, the plan's asset allocations and the investment expenseratios will change over time, the actual expenses of the plan andMassMutual administrative services revenue will vary.MassMutual offers various plan investment options, includingvarious share classes of certain plan investment options, toretirement plan customers depending on the amount of directfees Plan Sponsors choose to pay and other factors, that thesevarious plan investment options pay to MassMutual differingamounts of revenue sharing as a percentage of the planinvestment options’ assets, that only one share class of each planinvestment option is typically offered to a plan consistent withMassMutual’ pricing and product offering and that, as aninvestment option under a retirement plan, the primary differencebetween share classes of a plan investment option is theinvestment option’s expense ratio (i.e., the amount that the plan’sparticipants pay as a plan investment option expense) and theamount of revenue sharing that MassMutual receives from theplan investment option, which is paid from the revenue derivedfrom the plan investment option’s fees and expenses, and thatplan investment options are available to all plans that pay norevenue sharing of any kind resulting in the expenses of a planbeing paid for entirely by direct fees assessed to the plan and/orits participants.Revenue sharing payments are made by certain, but not all, planinvestment options and the amount of revenue sharing paymentsreceived can be dependent on the share class(es) offered by theplan investment option and the share class(es) chosen byMassMutual.17.cPacket Pg. 338Attachment: FN. Deferred Compensation Contract Approval- MassMutual Fee Pages- Attachment 2 (5942 : 5 of 6Cost and disclosureEndnotesMore detailed information regarding the share classes of the planinvestment options available on various investment menus offeredby MassMutual, the revenue sharing associated with those shareclasses, and the revenue sharing received in connection with theplan's investments, will be provided upon MassMutual’s receipt ofwritten request.You may pay all fees to MassMutual through direct charges and, ifrequested by you or your advisor, MassMutual will offer aselection of investment options for which MassMutual does notreceive revenue sharing payments.Notwithstanding some of the terms used in these materials (e.g.,plan sponsor or employer), these materials are directed to and areintended for use by the referenced plan’s independent fiduciaryadviser based on MassMutual’s understanding that (a) theindependent fiduciary is a broker-dealer, investment adviser,insurance carrier, bank, or other independent fiduciary that hasunder management or control total assets of at least $50 million,as defined in 29 CFR section 2510.3-21(c)(1), (b) the independentfiduciary is responsible for exercising independent judgment inevaluating any transaction between the plan and MassMutual and(c) the independent fiduciary is capable of evaluating investmentrisks independently, both in general and with regard to particulartransactions and investment strategies. Unless you tell usotherwise, MassMutual will assume that our understanding of theindependent fiduciary’s role and qualifications is correct.MassMutual is not undertaking to provide impartial investmentadvice, or give advice in a fiduciary capacity, in connection withany investment by, or other transaction of, the plan. MassMutualand its affiliates have a financial interest in any investment madeby the plan while a client of MassMutual’s and may receive 12(b)(1)fees, sub-transfer agency fees, shareholder servicing fees,revenue sharing, investment advisory fees, administrative fees,asset charges, float, optional services fees and other fees andrevenue as a result of any investment by the plan. MassMutual willprovide the plan with a complete description of all such fees priorto any investment by the plan and upon request.Please read the endnotes below for additional information aboutthe information presented in this proposal.1. In addition to the Sub-total Administrative Services Revenue neededfor your plan, this proposal assumes 0.30% of additional revenuegenerated from MassMutual's Diversified Bond P5, which nets an initialcrediting rate of 4.15%. The entire amount of this additional revenue isused to support administrative services. Assuming the allocation to theSAGIC is 31.25% of total assets, this additional revenue supports 0.09%.of target administrative services revenue and equates to 0.09%. ofadditional expense when expressed as a percentage of total plan assets.The actual percentages will vary based on the amount of assets allocatedto the SAGIC. Any administrative services revenue derived from theSAGIC's investment fee is reflected in the Investments category of the408(b)(2) Plan Sponsor Fee Disclosure.2. Payment to Your Financial Advisor is based on the compensationschedule on the Proposal Assumptions page, provided that if the firstyear and subsequent year compensation payments are different, theamount disclosed on the Plan Pricing page will be an estimate of thecompensation that will be paid to your advisor over an extended timeperiod, determined by amortizing the first year payment over suchextended time period and adding that amount to the subsequent yearpayment. Hard dollar payments, if any, are converted to a percentagebased on the applicable payment schedule and the total plan assets.3. Administrative Services Revenue and Additional Plan specific RevenueRequested is made up of revenue from investments, the asset charge,per participant charge, and flat charge (with dollar cost items, if any,converted to a percentage based on the applicable expense scheduleand the total plan assets). This target revenue excludes theAdministrative Services Revenue from the SAGIC Asset Based Fee andtransaction expenses, such as distribution check charges, and fees foroptional services (see list of services in the Plan Administrator's guideattached to the "Understanding Your Plan's Services and Related Fees"brochure).4. When Retirement Education Services are requested, which are outsideof our standard service model, a fee of $1,500 per day of services maybe assessed. For more information, please contact your MassMutualrepresentative.17.cPacket Pg. 339Attachment: FN. Deferred Compensation Contract Approval- MassMutual Fee Pages- Attachment 2 (5942 : 6 of 6Cost and disclosureEndnotes5. If you select the Qualified Default Investment Alternative (“QDIA”)conversion to either the MassMutual RetireSMART, MassMutual Select T.Rowe Price, or Legg Mason Total Advantage fund suite for your plan, theTarget Date Conversion Credit (the “Credit”) would be available as aresult of the cost savings and revenue enhancement attributable to thisform of conversion. This Credit would be available to offsetadministrative services expenses and is already reflected in a reducedCost of Servicing Your Plan. This Credit will not be available if anotherconversion method is selected and MassMutual reserves the right toreduce or eliminate the Credit. If the Credit is reduced or eliminated, anadditional amount may need to be collected to make up the difference.6. The Net Annual revenue for Administrative Services is allocatedamong up to three categories of Services depending on your servicemodel - Participant Services (30%), Plan Sponsor Services (40%) andRecordkeeping Services (30%). If this allocation process does not resultin whole numbers, then the numbers will be rounded based onconventional rounding principles and if rounding results in the total ofthe applicable categories not equaling the Net Annual Revenue forAdministrative Services, then the allocation to the Plan Sponsor Serviceswill be adjusted as necessary. The services within each category are listedin the Understanding Your Plan's Services and Related Fees brochure.The percentage of the Net Annual Revenue for Administrative Servicesthat is allocated to each of the applicable categories of services isconsistent with an independent, third-party market research study ofdefined contribution plan service providers and MassMutual’s internalexpense allocation analysis. The third-party study analyzes the costsassociated with administering and providing recordkeeping services toplans and the revenue derived from offering these retirement services incomparison to averages and ranges of organizations of similar size andservicing similar market segments.17.cPacket Pg. 340Attachment: FN. Deferred Compensation Contract Approval- MassMutual Fee Pages- Attachment 2 (5942 : Contract No. 099999-9999-0000 © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 1 GOVERNMENTAL 457(b) PLAN ADOPTION AGREEMENT By executing this Governmental 457(b) Plan Adoption Agreement (the "Agreement"), the undersigned Employer agrees to establish or continue a 457(b) Plan for its Employees. The Plan adopted by the Employer consists of the Governmental 457(b) Basic Plan Document (the "BPD") and the elections made under this Agreement (collectively referred to as the "Plan"). An Employer may jointly co-sponsor the Plan by signing a Participating Employer Adoption Page, which is attached to this Agreement. This Plan is effective as of the Effective Date identified on the Signature Page of this Agreement. In completing the provisions of this Adoption Agreement, unless designated otherwise, selections under the Deferral column apply to all Salary Deferrals (including Roth Deferrals and Catch-Up Contributions). Note that some State and local laws may restrict the election of certain provisions under the Plan. Please check with legal counsel to assess the impact of State and local laws on the Plan. Certain vendor agreements associated with the Plan may restrict the application of certain Plan provisions. SECTION 1 EMPLOYER INFORMATION 1-1 EMPLOYER INFORMATION: Name: Sample Government Client Address: 123 Main St Anytown, MO 11111 Telephone: 123-456-7890 Fax: 1-2 EMPLOYER IDENTIFICATION NUMBER (EIN): 99-9999999 1-3 TYPE OF EMPLOYER: (a) State: (Describe) (b) Political Subdivision of a State: (Describe) (c) Agency or Instrumentality of a State: (Describe) (d) Other governmental entity: (Describe) 1-4 EMPLOYER’S TAX YEAR END: The Employer’s tax year ends December 31 1-5 RELATED EMPLOYERS: (optional) List any Related Employers. A Related Employer must complete a Participating Employer Adoption Page for Employees of that Related Employer to participate in this Plan. SECTION 2 PLAN INFORMATION 2-1 PLAN NAME: Sample Government 457 Plan 2-2 TYPE OF PLAN: This Plan is a Governmental 457(b) Plan. The Plan is intended to be a FICA Replacement Plan (as defined under Section 3.08 of the Plan). 2-3 TYPE OF CONTRIBUTIONS: (Check all that apply.) (a) Salary Deferral Contributions (b) Employer Matching Contributions (c) Employer Contributions (d) Rollover Contributions 17.d Packet Pg. 341 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 2 – Plan Information © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 2 2-4 PLAN YEAR: (a) Calendar year. (b) The 12-consecutive month period ending on each year. (c) Other: 2-5 PLAN ADMINISTRATOR: (a) The Employer identified in AA §1-1. (b) Name: Address: Telephone: SECTION 3 ELIGIBLE EMPLOYEES 3-1 ELIGIBLE EMPLOYEES: In addition to the Employees identified in Section 2.02 of the Plan, the following Employees are excluded from participation under the Plan with respect to the contribution source(s) identified in this AA §3-1. (See Sections 2.02(d) and (e) of the Plan for rules regarding the effect on Plan participation if an Employee changes between an eligible and ineligible class of employment.) Deferral Match ER (a) No exclusions. (b) Collectively Bargained Employees, unless the Collective Bargaining Agreement provides otherwise. (c) Non-resident aliens who receive no compensation from the Employer which constitutes U.S. source income. (d) Employees who normally work less than hours a week. (See Section 2.02(b)(3) of the Plan.) (e) Employees eligible for a 401(k), a 403(b) plan or another 457(b) plan sponsored by the Employer. (f) Part-Time Employees (as defined in Section 1.38 of the Plan) (g) Seasonal Employees (as defined in Section 1.56 of the Plan) (h) Temporary Employees (as defined in Section 1.59 of the Plan) (i) Employees in an appointed or elected position. (j) Employees paid on an hourly basis. (k) Employees paid on a salaried basis. (l) Other: 3-2 INDEPENDENT CONTRACTORS: Independent Contractors of the Employer are excluded from participation in the Plan, unless the Employer specifically elects otherwise below. If the Employer so elects, the term Employee as used in the Plan shall include the eligible Independent Contractors. Select the types of contributions for which Independent Contractors are eligible. Deferral Match ER (a) Independent Contractors may participate in the Plan. (b) Describe any special rules applicable to Independent Contractors: 17.d Packet Pg. 342 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 4 – Minimum Age and Service Requirements © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 3 SECTION 4 MINIMUM AGE AND SERVICE REQUIREMENTS 4-1 ELIGIBILITY REQUIREMENTS – MINIMUM AGE AND SERVICE: An Eligible Employee (as defined in AA §3-1) who satisfies the minimum age and service conditions under this AA §4-1 will be eligible to participate under the Plan as of his/her Entry Date (as defined in AA §4-2 below). (a)Service Requirement. An Eligible Employee must complete the following minimum service requirements to participate in the Plan. Deferral Match ER (1) There is no minimum service requirement for participation in the Plan. (2) One Year of Service (as defined in Section 2.03(a)(1) of the Plan and AA §4-3). (3) The completion of consecutive full calendar months of employment during which the Employee is credited with at least Hours of Service or the completion of a Year of Service. [If no minimum Hours of Service are required, insert one (1) in the second blank line.] (4) The completion of Hours of Service during an Eligibility Computation Period. [If this (4) is chosen, an Employee satisfies the service requirement immediately upon completion of the designated Hours of Service.] (5) Eligibility service will be determined under the Elapsed Time method as described in AA§4-3 below. (6) Describe eligibility conditions: Describe eligibility conditions: (b)Minimum Age Requirement. An Eligible Employee (as defined in AA §3-1) must have attained the following age with respect to the contribution source(s) identified in this AA §4-1(b). Deferral Match ER (1) There is no minimum age for Plan eligibility. (2) Age 21. (3) Age . 4-2 ENTRY DATE: An Eligible Employee who satisfies the minimum age and service requirements in AA §4-1 shall be eligible to participate in the Plan as of his/her Entry Date. For this purpose, the Entry Date is the following date with respect to the contribution source(s) identified under this AA §4-2. [Note: If any of (b) – (g) is completed for a contribution source, also complete one of (h) – (k) for the same contribution source.] Deferral Match ER (a)Immediate. The date the minimum age and service requirements are satisfied (or date of hire, if no minimum age and service requirements apply). (b)Semi-annual. The first day of the 1st and 7th month of the Plan Year. (c)Quarterly. The first day of the 1st, 4th, 7th and 10th month of the Plan Year. (d)Monthly. The first day of each calendar month. (e)Payroll period. The first day of the payroll period. (f)The first day of the Plan Year. (g) Other: 17.d Packet Pg. 343 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 4 – Minimum Age and Service Requirements © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 4 An Eligible Employee’s Entry Date (as defined above) is determined based on when the Employee satisfies the minimum age and service requirements in AA §4-1. For this purpose, an Employee’s Entry Date is the Entry Date: Deferral Match ER (h)next following satisfaction of the minimum age and service requirements. (i)coinciding with or next following satisfaction of the minimum age and service requirements. N/A (j)nearest the satisfaction of the minimum age and service requirements. N/A (k)preceding the satisfaction of the minimum age and service requirements. This section may be used to describe any special rules for determining Entry Dates under the Plan. For example, if different Entry Date provisions apply for the same contribution sources with respect to different groups of Employees, such different Entry Date provisions may be described below. Deferral Match ER (l)Describe special rules for determining Entry Dates under the Plan: 4-3 DEFAULT ELIGIBILITY RULES. In applying the minimum age and service requirements under AA §4-1 above, the following default rules apply with respect to all contribution sources under the Plan: Year of Service. An Employee earns a Year of Service for eligibility purposes upon completing 1,000 Hours of Service during an Eligibility Computation Period. Hours of Service are calculated based on actual hours worked during the Eligibility Computation Period. (See Section 1.32 of the Plan for the definition of Hours of Service.) Eligibility Computation Period. If one Year of Service is required for eligibility, the Plan will determine subsequent Eligibility Computation Periods on the basis of Plan Years (see Section 2.03(a)(2)(i) of the Plan). If more than one Year of Service is required for eligibility, the Plan will determine subsequent Eligibility Computation Periods on the basis of Anniversary Years (see Section 2.03(a)(2)(ii) of the Plan). To override the default eligibility rules, complete the applicable sections of this AA §4-3. If this AA §4-3 is not completed for a particular contribution source, the default eligibility rules apply. Deferral Match ER (a)Year of Service. Instead of 1,000 Hours of Service, an Employee earns a Year of Service upon the completion of Hours of Service during an Eligibility Computation Period. (b)Eligibility Computation Period (ECP). The Plan will use Anniversary Years. (c)Elapsed Time method. [Check the same contribution source as checked in AA §4-1(a)(5) above.] Eligibility service will be determined under the Elapsed Time method. An Eligible Employee (as defined in AA §3-1) must complete a period of service to participate in the Plan. (See Section 2.03(a)(5) of the Plan.) 17.d Packet Pg. 344 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 4 – Minimum Age and Service Requirements © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 5 Deferral Match ER (d)Equivalency Method. For purposes of determining an Employee’s Hours of Service for eligibility, the Plan will use the Equivalency Method (as defined in Section 2.03(a)(4) of the Plan). The Equivalency Method will apply to: (1) All Employees. (2) Employees who are not paid on an hourly basis. For Employees for whom the Employer maintains hourly records, eligibility will be determined based on actual hours worked. If this (d) is checked, Hours of Service for eligibility will be determined under the following Equivalency Method. (3)Monthly. 190 Hours of Service for each month worked. (4)Weekly. 45 Hours of Service for each week worked. (5)Daily. 10 Hours of Service for each day worked. (6)Semi-monthly. 95 Hours of Service for each semi-monthly period worked. (e)Special eligibility provisions. The following special eligibility provisions apply: 4-4 EFFECTIVE DATE OF MINIMUM AGE AND SERVICE REQUIREMENTS. The minimum age and/or service requirements under AA §4-1 apply to all Employees under the Plan. An Employee will participate with respect to all contribution sources under the Plan as of his/her Entry Date, taking into account all service with the Employer, including service earned prior to the Effective Date. To allow Employees hired on a specified date to enter the Plan without regard to the minimum age and/or service conditions, complete this AA §4-4. Deferral Match ER (a)Automatic Eligibility. An Eligible Employee who is employed by the Employer on the following date will become eligible to enter the Plan without regard to minimum age and/or service conditions: (1) the Effective Date of this Plan (as designated in subsection (a) or (b) of the Employer Signature Page, as applicable) (2) the date the Plan is executed by the Employer (as indicated on the Employer Signature Page) (3) [insert date] (b)Describe other effective date provisions: 4-5 SERVICE WITH PREDECESSOR EMPLOYER. Service with the following Predecessor Employers will be counted for purposes of determining eligibility, vesting and allocation conditions under this Plan, unless designated otherwise under (b) below. (a) Identify Predecessor Employer(s): The Plan will count service with the following Predecessor Employers: Name of Predecessor Employer (1) (b) The following special rules apply with respect to service with a Predecessor Employer: 17.d Packet Pg. 345 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 5 – Compensation Definitions © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 6 SECTION 5 COMPENSATION DEFINITIONS 5-1 TOTAL COMPENSATION. Total Compensation is based on the definition set forth under this AA §5-1. See Section 1.60 of the Plan for a specific definition of the various types of Total Compensation. (a) W-2 Wages (b) Code §415 Compensation (c) Wages under Code §3401(a) [For purposes of determining Total Compensation, each definition includes pre-tax contributions to a Code §125 cafeteria plan, Code §401(k), Code §403(b) or a Code §457 plan, and qualified transportation fringes under Code §132(f)(4).] 5-2 POST-SEVERANCE COMPENSATION. (a)Exclusion of post-severance compensation from Total Compensation. Total Compensation (as defined in Section 1.60 of the Plan) includes post-severance compensation, to the extent provided in Section 1.60(b) of the Plan. For this purpose, severance pay is always excluded from the definition of Plan Compensation. Other post-severance compensation paid within 2½ months after severance from employment with the Employer or the end of the calendar year in which severance occurs is included in Plan Compensation, unless excluded under this subsection (a). See Section 1.60(b) of the Plan. The following amounts paid after a Participant’s severance from employment are excluded from Plan Compensation. (1)Unused leave payments. Payment for unused accrued bona fide sick, vacation, or other leave, but only if the Employee would have been able to use the leave if employment had continued. (2)Deferred compensation. Payments received by an Employee pursuant to a nonqualified unfunded deferred compensation plan, but only if the payment would have been paid to the Employee at the same time if the Employee had continued in employment and only to the extent that the payment is includible in the Employee’s gross income. (b)Continuation payments for disabled Participants. Unless designated otherwise under this subsection (b), Total Compensation does not include continuation payments for disabled Participants. To count Total Compensation paid after severance of employment on account of disability, check the box below. Payments to disabled Participants. Total Compensation shall include post-severance compensation paid to a Participant who is permanently and totally disabled, as provided in Section 1.60(c) of the Plan. 5-3 PLAN COMPENSATION: Plan Compensation is Total Compensation (as defined in AA §5-1 above) with the following exclusions described below. Deferral Match ER (a) No exclusions. N/A (b) Salary Deferrals (as defined in Section 1.54 of the Plan), pre-tax contributions to a cafeteria plan or a Code §457 plan, and qualified transportation fringes under Code §132(f)(4) are excluded. (c) All fringe benefits (cash and noncash), reimbursements or other expense allowances, moving expenses, deferred compensation, and welfare benefits are excluded. (d) Compensation above $ is excluded. (e) Amounts received as a bonus are excluded. (f) Amounts received as commissions are excluded. (g) Overtime payments are excluded. (h) Shift differentials are excluded. (i) Exclusions as described by the applicable Collective Bargaining Agreement. (j) “Deemed §125 compensation” as defined in Section 1.60(d) of the Plan. 17.d Packet Pg. 346 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 5 – Compensation Definitions © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 7 Deferral Match ER (k) Amounts received after severance from employment are excluded. (l) Differential Pay (as defined in Section 1.60(e) of the Plan) is excluded. (m) Describe adjustments to Plan Compensation: 5-4 PERIOD FOR DETERMINING COMPENSATION. (a)Compensation Period. Plan Compensation will be determined on the basis of the following period(s) for the contribution sources identified in this AA §5-4. [If a period other than Plan Year applies for any contribution source, any reference to the Plan Year as it refers to Plan Compensation for that contribution source will be deemed to be a reference to the period designated under this AA §5-4.] Deferral Match ER (1) The Plan Year. (2) The calendar year ending in the Plan Year. (3) The Employer's fiscal tax year ending in the Plan Year. (4) The 12-month period ending on which ends during the Plan Year. (b)Compensation while a Participant. Unless provided otherwise under this subsection (b), in determining Plan Compensation, only compensation earned while an individual is a Participant under the Plan with respect to a particular contribution source will be taken into account. To count compensation for the entire Plan Year for a particular contribution source, including compensation earned while an individual is not a Participant with respect to such contribution source, check below. (See Section 1.44 of the Plan.) Deferral Match ER All compensation earned during the Plan Year will be taken into account, including compensation earned while an individual is not a Participant. SECTION 6 EMPLOYER CONTRIBUTIONS 6-1 EMPLOYER CONTRIBUTIONS. Is the Employer authorized to make Employer Contributions under the Plan? Yes No [If No, skip to Section 6A.] [Note: Any Employer Contribution made pursuant to this AA §6 will count towards the Code §457(e)(15) Maximum Contribution Limit. See Section 5.01 of the Plan.] 6-2 EMPLOYER CONTRIBUTION FORMULA. For the period designated in AA §6-4(a) below, the Employer will make the following Employer Contributions on behalf of Participants who satisfy the allocation conditions designated in AA §6-5 below. Any Employer Contribution authorized under this AA §6-2 will be allocated in accordance with the allocation formula selected under AA §6-3 or AA §6-4, as applicable. (a)Discretionary contribution. The Employer will determine in its sole discretion how much, if any, it will make as an Employer Contribution. (b)Fixed contribution. (1) % of each Participant’s Plan Compensation. (2) $ for each Participant. (3) The Employer Contribution will be determined in accordance with the personal service contract or employment contract applicable to the Participant. (4) The Employer Contribution will be determined in accordance with any Collective Bargaining Agreement(s) addressing retirement benefits of Collectively Bargained Employees under the Plan. 17.d Packet Pg. 347 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6 – Employer Contributions © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 8 (c)Service-based contribution. The Employer will make: (1)Discretionary. A discretionary contribution determined as a uniform percentage of Plan Compensation or a uniform dollar amount for each period of service designated below. (2)Fixed percentage. % of Plan Compensation paid for each period of service designated below. (3)Fixed dollar. $ for each period of service designated below. The service-based contribution selected under this (c) will be based on the following periods of service: (4) Each Hour of Service (5) Each week of employment (6) Describe period: [Note: Any period described in subsection (6) cannot exceed a 12-month period.] The service-based contribution is subject to the following rules: (7) Describe any special provisions that apply to service-based contribution: (d)FICA Replacement Contribution (see Section 3.08 of Plan). (1) The Employee will make the 7.5% of Plan Compensation mandatory contribution. (2) The Employer will make the 7.5% of Plan Compensation mandatory contribution. (3) The Employee will make a mandatory contribution equal to % of Plan Compensation and the Employer will make a mandatory contribution equal to % of Plan Compensation. [Note: The combined Employer and Employee contribution must equal 7.5% of Plan Compensation.] (e) Describe Employer Contribution formula: 6-3 ALLOCATION FORMULA. (a)Pro rata allocation. The Employer Contribution under AA §6-2 will be allocated as: (1) a uniform percentage of Plan Compensation or (2) a uniform dollar amount If a fixed Employer Contribution is selected in AA §6-2(b), the Employer Contribution will be allocated in accordance with the selections made in AA §6-2(b). If both a discretionary and fixed Employer Contribution is selected in AA §6- 2, this subsection (a) may be selected for both contribution formulas. (b)Discretionary allocation. The Employer Contribution under AA §6-2 will be allocated in the sole discretion of the Employer in a manner solely determined by the Employer. (c)Service-based allocation formula. The service-based Employer Contribution selected in AA §6-2(c) will be allocated in accordance with the selections made in AA §6-2(c). (d)Describe other allocation method: 6-4 SPECIAL RULES. No special rules apply with respect to Employer Contributions under the Plan, except to the extent designated under this AA §6-4. (a)Period for determining Employer Contributions. In determining the amount of the Employer Contributions to be allocated under this AA §6, the Employer Contribution will be based on Plan Compensation earned during the Plan Year, unless this (a) is selected and one of (1) – (4) is selected below. Alternatively, the Employer may elect to base the Employer Contributions on Plan Compensation earned during the following period: (1) Plan Year quarter (2) calendar month (3) payroll period (4) Other: [Note: Although Employer Contributions are determined on the basis of Plan Compensation earned during the period designated under this subsection (a), this does not require the Employer to actually make contributions or allocate contributions on the basis of such period.] 17.d Packet Pg. 348 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6 – Employer Contributions © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 9 (b)Limit on Employer Contributions. The Employer Contribution elected in AA §6-2 may not exceed: (1) % of Plan Compensation (2) $ (3) Describe: (c)Offset of Employer Contribution. (1) A Participant’s allocation of Employer Contributions under AA §6-2 of this Plan is reduced by contributions under [insert name of plan(s)]. (2) In applying the offset under this subsection, the following rules apply: (d)Special rules. The following special provisions apply with respect to Employer Contributions: 6-5 ALLOCATION CONDITIONS. A Participant who has otherwise satisfied all conditions to receive an Employer Contribution, must satisfy any allocation conditions designated under this AA §6-5 to receive an allocation of Employer Contributions under the Plan. (a)No allocation conditions apply with respect to Employer Contributions under the Plan. (b)Employment condition. An Employee must be employed with the Employer on the last day of the Plan Year. (c)Minimum service condition. An Employee must be credited with at least: (1) Hours of Service during the Plan Year. (2) consecutive days of employment with the Employer during the Plan Year. (d)Exceptions. The above allocation condition(s) will not apply if the Employee: (1) dies during the Plan Year. (2) terminates employment as a result of a Disability. (3) terminates employment after attainment of Normal Retirement Age. (4) Other: (e)Describe any special rules governing the allocation conditions under the Plan: SECTION 6A SALARY DEFERRALS 6A-1 SALARY DEFERRALS. Are Employees permitted to make Salary Deferrals under the Plan? Yes No [If “No” is checked, skip to Section 6B.] 6A-2 MAXIMUM LIMIT ON SALARY DEFERRALS. Unless designated otherwise under this AA §6A-2, a Participant may defer any amount up to the Code §457(e)(15) Maximum Contribution Limit. (a)Salary Deferral Limit. A Participant may not defer an amount in excess of: (1) % of Plan Compensation (2) $ . [Note: If both (1) and (2) are checked, the deferral limit is the lesser of the amounts selected.] Any limit described in subsection (1) or (2) above applies with respect to the following period: (3) Plan Year. (4) the portion of the Plan Year during which the individual is eligible to participate. (5) each separate payroll period during which the individual is eligible to participate. (b)Special limit for bonus payments. If bonus payments are not excluded from the definition of Plan Compensation under AA §5-3, Employees may defer any amounts out of bonus payments, subject to the Code §457(e)(15) Maximum Contribution Limit and any other limit on Salary Deferrals under this AA 6A-2. The Employer may use this section to impose special limits on bonus payments or may impose special limits on bonus payments under the Salary Deferral election. 17.d Packet Pg. 349 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6A – Salary Deferrals © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 10 A Participant may defer up to % (not to exceed 100%) of any bonus payment (subject to the Code §457(e)(15) Maximum Contribution Limit) without regard to any other limits described under this AA §6A-2. [Note: If this (b) is checked, bonus payments may not be excluded from Plan Compensation in the Deferral column under AA §5-3.] (c)Deferral of sick, vacation and back pay. Unless otherwise elected below, a Participant may elect to defer accumulated sick pay, accumulated vacation pay, or back pay if: (1) a Salary Reduction Agreement is entered into before the amount become currently available, and (2) the Participant is an Employee in the month of deferral. A Participant may NOT defer accumulated sick pay, accumulated vacation pay, or back pay. (d)Describe any other limits that apply with respect to Salary Deferrals under the Plan: 6A-3 MINIMUM DEFERRAL RATE. Unless designated otherwise under this AA §6A-3, no minimum deferral requirement applies under the Plan. Alternatively, a Participant must defer at least the following amount in order to make Salary Deferrals under the Plan. (a) % of Plan Compensation for a payroll period. (b) $ for a payroll period. (c) Describe. 6A-4 CATCH-UP CONTRIBUTIONS. Age 50 Catch-Up Contributions and Special 457 Catch-Up Contributions (as defined in Section 3.03(d) and (e) of the Plan) are permitted under the Plan, unless designated otherwise under this AA §6A-4. (a) Age 50 Catch-Up Contributions are not permitted under the Plan. (b) Special 457 Catch-Up Contributions are not permitted under the Plan. 6A-5 ROTH DEFERRALS. Roth Deferrals (as defined in Section 3.03(g) of the Plan) are not permitted under the Plan, unless designated otherwise under this AA §6A-5. (a)Availability of Roth Deferrals. Roth Deferrals are permitted under the Plan. [Note: If Roth Deferrals are effective as of a date later than the Effective Date of the Plan, designate such special Effective Date in AA §6A-7 below.] (b)Distribution of Roth Deferrals. Unless designated otherwise under this subsection, to the extent a Participant takes a distribution or withdrawal from his/her Salary Deferral Account(s), the Participant may designate the extent to which such distribution is taken from the Pre-Tax Deferral Account or from the Roth Deferral Account. Alternatively, the Employer may designate the order of distributions for the distribution types listed below: (1)Distributions and withdrawals. (i) Any distribution will be taken on a pro rata basis from the Participant’s Pre-Tax Deferral Account and Roth Deferral Account. (ii) Any distribution will be taken first from the Participant’s Roth Deferral Account and then from the Participant’s Pre-Tax Deferral Account. (iii) Any distribution will be taken first from the Participant’s Pre-Tax Deferral Account and then from the Participant’s Roth Deferral Account. (2)Distribution of Excess Deferrals. (i) Distribution of Excess Deferrals will be made from Roth and Pre-Tax Deferral Accounts in the same proportion that deferrals were allocated to such Accounts for the calendar year. (ii) Distribution of Excess Deferrals will be made first from the Roth Deferral Account and then from the Pre-Tax Deferral Account. (iii) Distribution of Excess Deferrals will be made first from the Pre-Tax Deferral Account and then from the Roth Deferral Account. (c)In-Plan Roth Conversions. Unless elected under this AA §6A-5(c), the Plan does not permit a Participant to make an In-Plan Roth Conversion under the Plan. To override this provision to allow Participants to make an In-Plan Roth Conversion, subsection (1) must be checked. (1)Effective date. Effective [not earlier than 1/1/2013], a Participant may elect to convert all or any portion of his/her non-Roth vested Account Balance to an In-Plan Roth Conversion Account. 17.d Packet Pg. 350 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6A – Salary Deferrals © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 11 [Note: The Plan must provide for Roth Deferrals under AA §6A-5(a) as of the effective date designated in this subsection (1). An election under this subsection (1) does not affect an In-Plan Roth Conversion that was allowed under prior Plan provisions.] (2)In-Service Distribution. For a Participant to convert his/her eligible contributions to Roth Deferrals through an In-Plan Roth Conversion, the Participant need not be eligible to take a distribution from the Plan. To override this default provision to require a distributable event, complete this subsection (c). If this subsection (c) is checked, a Participant must be eligible for a distribution of any amounts converted to Roth Deferrals through an In-Plan Roth Conversion. Thus, only amounts that are eligible for distribution under AA §9 are eligible for In-Plan Roth Conversion. [Note: If this subsection (c) is not checked, a Participant may convert any or all of the eligible contribution sources to Roth Deferrals through an In-Plan Roth Conversion.] (3)Contribution sources. An Employee may only elect to make an In-Plan Roth Conversion from the following sources: [Check all contribution sources available under the Plan from which an In-Plan Roth Conversion is available.] (i) All available sources under the Plan (ii) Pre-tax Salary Deferrals (iii) Employer Contributions (iv) Matching Contributions (v) Rollover Contributions (vi) Describe: (4)Limits applicable to In-Plan Roth Conversions. No special limits apply with respect to In-Plan Roth Conversions, unless designated otherwise under this subsection (4). (i) Roth conversions may only be made from contribution sources that are fully vested (i.e., 100% vested). (ii) A Participant may not make an In-Plan Roth Conversion of less than $ (may not exceed $1,000). (iii) A Participant may not make an In-Plan Roth Conversion of any outstanding loan amount. [Note: If this subsection (iii) is not checked, a Participant may convert amounts that are attributable to an outstanding loan, to the extent the loan relates to a contribution source that is eligible for conversion under subsection (3) above.] (iv) Describe: (5)Distribution from In-Plan Roth Conversion Account. Distributions from the In-Plan Roth Conversion Account will be permitted at the same time as permitted for Roth Deferrals, as set forth under AA §9-2, unless designated otherwise under this subsection (5). Describe distribution options: (d)Describe any special rules that apply to Roth Deferrals under the Plan: 6A-6 AUTOMATIC CONTRIBUTION ARRANGEMENT. No automatic contribution provisions apply under Section 3.03(c) of the Plan, unless provided otherwise under this AA §6A-6. (Note: Some States through anti-garnishment laws or otherwise may not allow Automatic Contribution Arrangements.) (a)Automatic deferral election. Upon becoming eligible to make Salary Deferrals under the Plan (pursuant to AA §3 and AA §4), a Participant will be deemed to have entered into a Salary Deferral Election for each payroll period, unless the Participant completes a Salary Deferral Election (subject to the limitations under AA §6A-2 and AA §6A-3) in accordance with procedures adopted by the Plan Administrator. (1)Effective date of Automatic Contribution Arrangement. The automatic deferral provisions under this AA §6A-6 are effective as of: (i) The Effective Date of this Plan as set forth under the Employer Signature Page. (ii) [insert date] 17.d Packet Pg. 351 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6A – Salary Deferrals © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 12 (iii) As set forth under a prior Plan document. [Note: If this subsection (iii) is checked, the automatic deferral provisions under this AA §6A-6 will apply as of the original Effective Date of the automatic contribution arrangement. Unless provided otherwise under this AA §6A-6, an Employee who is automatically enrolled under a prior Plan document will continue to be automatically enrolled under the current Plan document.] (2)Automatic Contribution Arrangement. Check this subsection (2) if the Plan is designated as an Automatic Contribution Arrangement, as described under Section 3.03(c) of the Plan. [Note: Unless an election is made under this AA §6A-6 that is inconsistent with the requirements of an Eligible Automatic Contribution Arrangement (EACA), the Automatic Contribution Arrangement will qualify as an EACA, as described in Section 3.03(c) of the Plan.] (i)Automatic deferral percentage. (A) % of Plan Compensation (B) $ (ii)Automatic increase. If elected under this subsection (ii), the automatic deferral amount will increase each Plan Year by the following amount. (See Section 3.03(c) of the Plan.) (A) % of Plan Compensation (B) $ (C) Describe: Any automatic increase elected under this subsection (ii) will not cause the automatic deferral amount to exceed: (D) % of Plan Compensation (E) $ (F) Describe: (3)Application of automatic deferral provisions. The automatic deferral election under subsection (2) will apply to new Participants and existing Participants as set forth under this subsection (3). (i)New Participants. The automatic deferral provisions apply to all eligible Participants who do not enter into a Salary Deferral Election (including an election not to defer) and who: (A) become Participants on or after the effective date of the automatic deferral provisions. (B) are hired on or after the effective date of the automatic deferral provisions. (ii)Current Participants. The automatic deferral provisions apply to all other eligible Participants as follows: (A) Automatic deferral provisions apply to all current Participants who have not entered into a Salary Deferral Election (including an election not to defer under the Plan). (B) Automatic deferral provisions apply to all current Participants who have not entered into a Salary Deferral Election that is at least equal to the automatic deferral amount under subsection (2)(i). Current Participants who have made a Salary Deferral Election that is less than the automatic deferral amount or who have not made a Salary Deferral Election will automatically be increased to the automatic deferral amount unless the Participant enters into a new Salary Deferral election on or after the effective date of the automatic deferral provisions. (C) Automatic deferral provisions do not apply to current Participants. Only new Participants described in subsection (i) above are subject to the automatic deferral provisions. (D) Describe: (iii)Treatment of automatic deferrals. Any Salary Deferrals made pursuant to an automatic deferral election will be treated as Pre-Tax Salary Deferrals, unless designated otherwise under this subsection (iii). Any Salary Deferrals made pursuant to an automatic deferral election will be treated as Roth Deferrals. [This subsection (iii) may only be checked if Roth Deferrals are permitted under AA §6A-5.] 17.d Packet Pg. 352 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6A – Salary Deferrals © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 13 [Note: Any Salary Deferral Election (including an election not to defer under the Plan) made after the effective date of the automatic deferral provisions will override such automatic deferral provisions.] (4)Application of automatic increase. Unless designated otherwise under this subsection (4), if an automatic increase is selected under subsection (2)(ii) above, the automatic increase will take effect as of the first day of the second Plan Year following the Plan Year in which the automatic deferral election first becomes effective with respect to a Participant. (See Section 3.03(c)(2)(iii) of the Plan.) (i)First Plan Year. Instead of applying as of the second Plan Year, the automatic increase described in subsection (2)(ii) takes effect as of the appropriate date (as designated under subsection (iii) below) within the first Plan Year following the date automatic contributions begin. (ii)Designated Plan Year. Instead of applying as of the second Plan Year, the automatic increase described in subsection (2)(ii) takes effect as of the appropriate date (as designated under subsection (iii) below) within the Plan Year following the Plan Year in which the automatic deferral election first becomes effective with respect to a Participant. (iii)Effective date. The automatic increase described under subsection (2)(ii) is generally effective as of the first day of the Plan Year. If this subsection (iii) is checked, instead of becoming effective on the first day of the Plan Year, the automatic increase will be effective on: (A) The anniversary of the Participant's date of hire. (B) The anniversary of the Participant's first automatic deferral contribution. (C) The first day of each calendar year. (D) Other date: (iv)Special rules: (5)Treatment of terminated Employees. Unless designated otherwise under subsection (i) below, a Participant’s affirmative election to defer (or to not defer) will cease upon termination of employment. In addition, unless designated otherwise under subsection (ii) below, in applying the automatic deferral provisions under the Plan, a rehired Participant is treated as a new Employee if the Participant is precluded from making automatic deferrals to the Plan for a full Plan Year. (i)Terminated Employees. If this subsection (i) is selected, a terminated Participant’s affirmative election to defer (or to not defer) will not cease upon termination of employment. Thus, a Participant who entered into an election to defer (or not to defer) prior to termination of employment will not be subject to the automatic deferral provisions upon rehire. (ii)Rehired Employees. If this provision applies, a Participant who is precluded from making automatic deferrals to the Plan for a full Plan Year will not be treated as a new Employee for purposes of applying the automatic deferral provisions under the Plan. Thus, a rehired Participant’s minimum deferral percentage will continue to be calculated based on the date the individual first began making automatic deferrals under the Plan. (b)Permissible Withdrawals under Automatic Contribution Arrangement. (1)Permissible withdrawals allowed. If the Plan satisfies the requirements for an EACA (as set forth in Section 3.03(c) of the Plan), the permissible withdrawal provisions under Section 3.03(c) of the Plan apply. Thus, a Participant who receives an automatic deferral may withdraw such contributions (and earnings attributable thereto) within the time period set forth under Section 3.03(c) of the Plan, without regard to the in-service distribution provisions selected under AA §9-2. (2)No permissible withdrawals. Although the Plan contains an automatic deferral election that is designed to satisfy the requirements of an EACA, the permissible withdrawal provisions under this subsection (b) are not available. (3)Time period for electing a permissible withdrawal. Instead of a 90-day election period, a Participant must request a permissible withdrawal no later than [may not be less than 30 or more than 90] days after the date the Plan Compensation from which such Salary Deferrals are withheld would otherwise have been included in gross income. (c)Other automatic deferral provisions: 17.d Packet Pg. 353 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6A – Salary Deferrals © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 14 6A-7 SPECIAL DEFERRAL EFFECTIVE DATES. Unless designated otherwise under this AA §6A-7, a Participant is eligible to make Salary Deferrals under the Plan as of the Effective Date of the Plan (as designated in the Employer Signature Page). However, in no case may a Participant begin making Salary Deferrals prior to the later of the date the Employee becomes a Participant, the date the Participant executes a Salary Reduction Agreement or the date the Plan is adopted or effective. (See Section 3.03(a) of the Plan.) To designate a later Effective Date for Salary Deferrals or Roth Deferrals, complete this AA §6A-7. (a)Salary Deferrals. A Participant is eligible to make Salary Deferrals under the Plan as of: (1) the date the Plan is executed by the Employer (as indicated on the Employer Signature Page). (2) (insert date). (b)Roth Deferrals. The Roth Deferral provisions under AA §6A-5 are effective as of . [If Roth Deferrals are permitted under AA §6A-5 above, Roth Deferrals are effective as of the Effective Date applicable to Salary Deferrals under this AA §6A-7, unless a later date is designated under this subsection.] SECTION 6B MATCHING CONTRIBUTIONS 6B-1 MATCHING CONTRIBUTIONS. Is the Employer authorized to make Matching Contributions under the Plan? Yes. No. [Check this box if there are no Matching Contributions. If “No” is checked, skip to Section 7.] [Note: Any Matching Contribution made pursuant to this AA §6B will count towards the Code §457(e)(15) Maximum Contribution Limit. See Section 5.01 of the Plan.] 6B-2 MATCHING CONTRIBUTION FORMULA: For the period designated in AA §6B-5 below, the Employer will make the following Matching Contribution on behalf of Participants who satisfy the allocation conditions under AA §6B-6 below. (a)Discretionary match. The Employer will determine in its sole discretion how much, if any, it will make as a Matching Contribution. (b)Fixed match. The Employer will make a Matching Contribution for each Participant equal to: (1) % of Salary Deferrals made for each period designated in AA §6B-5 below. (2) $ for each period designated in AA §6B-5 below. (3) The Employer Contribution will be determined in accordance with the personal service contract or employment contract applicable to the Participant. (4) The Employer Contribution will be determined in accordance with any Collective Bargaining Agreement(s) addressing retirement benefits of Collectively Bargained Employees under the Plan. (c)Tiered match. The Employer will/may make a Fixed/Discretionary Matching Contribution to all Participants based on the following tiers of Salary Deferrals. (1)Tiers as percentage of Plan Compensation. Salary Deferrals Fixed Match Discretionary Match (i) Up to % of Plan Compensation % (ii) From % up to % of Plan Compensation % 17.d Packet Pg. 354 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6B – Matching Contributions © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 15 Salary Deferrals Fixed Match Discretionary Match (iii) From % up to % of Plan Compensation % (iv) From % up to % of Plan Compensation % (2)Tiers as dollar amounts. Salary Deferrals Fixed Match Discretionary Match (i) Up to $ % (ii) From $ up to $ % (iii) From $ up to $ % (iv) Above $ % (d)Year of Service match. The Employer will/may make a fixed %/Discretionary Matching Contribution as a uniform percentage of Salary Deferrals to all Participants based on Years of Service with the Employer. Years of Service Matching %Discretionary Match (1) From up to Years of Service % (2) From up to Years of Service % (3) From up to Years of Service % (4) Years of Service equal to and above % For this purpose, a Year of Service is each Plan Year during which an Employee completes at least 1,000 Hours of Service. Alternatively, a Year of Service is: 6B-3 CONTRIBUTIONS ELIGIBLE FOR MATCHING CONTRIBUTIONS (“ELIGIBLE CONTRIBUTIONS”). Unless designated otherwise under this AA §6B-3, all Salary Deferrals, including any Roth Deferrals, Age 50 Catch-Up Contributions and Special 457 Catch-Up Contributions, are eligible for the Matching Contributions designated under AA §6B-2. (a)Matching Contributions. Only the following contribution sources are eligible for a Matching Contribution under AA §6B-2: (1) Pre-tax Salary Deferrals (2) Roth Deferrals (3) Age 50 Catch-Up Contributions (4) Special 457 Catch-Up Contributions (b)Application of Matching Contributions to elective deferrals made under another plan maintained by the Employer. If this subsection is checked, the Matching Contributions described in AA §6B-2 will apply to elective deferrals made under another plan maintained by the Employer. (1) The Matching Contribution designated in AA §6B-2 above will apply to elective deferrals under the following plan maintained by the Employer: (2) The following special rules apply in determining the amount of Matching Contributions under this Plan with respect to elective deferrals under the plan described in subsection (1): 17.d Packet Pg. 355 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 6B – Matching Contributions © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 16 [Note: This subsection may be used to describe special provisions applicable to Matching Contributions provided with respect to elective deferrals under another plan maintained by the Employer, including another Code §457(b) plan, a §401(a) qualified plan, or Code §403(b) plan.] (c)Special rules. The following special rules apply for purposes of determining the Matching Contribution under this AA §6B-3: 6B-4 LIMITS ON MATCHING CONTRIBUTIONS. In applying the Matching Contribution formula(s) selected under AA §6B-2 above, the following limits apply. (a)No limits apply. All Salary Deferrals are eligible for Matching Contributions. (b)Limit on Salary Deferrals. The Matching Contribution formula(s) selected in AA §6B-2 above apply only to Salary Deferrals that do not exceed: (1) % of Plan Compensation. (2) $ . (3) A discretionary amount determined by the Employer. (c)Limit on Matching Contributions. The total Matching Contribution provided under the formula(s) selected in AA §6B-2 above will not exceed: (1) % of Plan Compensation. (2) $ . (d)Special limits: 6B-5 PERIOD FOR DETERMINING MATCHING CONTRIBUTIONS. The Matching Contribution formula(s) selected in AA §6B-2 above (including any limitations on such amounts under AA §6B-4) are based on Salary Deferrals for the Plan Year. To apply a different period for determining the Matching Contributions and limits under AA §6B-2 and AA §6B-3, check one of (a) – (d) below. (a) payroll period (b) Plan Year quarter (c) calendar month (d) Other: [Note: Although Matching Contributions (and any limits on those Matching Contributions) will be determined on the basis of the period designated under this AA §6B-5, this does not require the Employer to actually make contributions or allocate contributions on the basis of such period. See Section 3.04(c) of the Plan for a discussion of the “true up” requirements applicable to Matching Contributions.] 6B-6 ALLOCATION CONDITIONS. A Participant who has otherwise satisfied all conditions to receive a Matching Contribution, must satisfy any allocation conditions designated under this AA §6B-6 to receive an allocation of Matching Contributions under the Plan. (a)No allocation conditions apply with respect to Matching Contributions under the Plan. (b)Employment condition. An Employee must be employed with the Employer on the last day of the Plan Year. (c)Minimum service condition. An Employee must be credited with at least: (1) Hours of Service during the Plan Year. (2) consecutive days of employment with the Employer during the Plan Year. (d)Exceptions. The above allocation condition(s) will not apply: (1) if the Employee dies during the Plan Year. (2) if the Employee terminates employment as a result of a Disability. (3) if the Employee terminates employment after attainment of Normal Retirement Age. (4) Other: 6B-7 SPECIAL RULES APPLICABLE TO MATCHING CONTRIBUTIONS. The following special rules apply to Matching Contributions: 17.d Packet Pg. 356 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 7 – Retirement Ages © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 17 SECTION 7 RETIREMENT AGES 7-1 NORMAL RETIREMENT AGE: For purposes of applying the Special 457 Catch-Up Contribution under AA §6A-4(b), Normal Retirement Age under the Plan is: (a) Age (not earlier than age 65 or later than age 70 ½). (b) The earlier of: age (not earlier than age 65 or later than age 70 ½) or the date immediate retirement benefits are authorized under another plan maintained by the Employer (as set forth under Section 5.04(b) of the Plan). (c) The Participant may designate a Normal Retirement Age that is on or after the earlier of age 65 or the date immediate retirement benefits are authorized under another plan maintained by the Employer (as set forth under Section 5.04(b) of the Plan) but not later than age 70½. Normal Retirement Age for Qualified Police and Firefighters (elect if applicable) (d) The earlier of: age (not earlier than age 40 or later than age 70 ½). (e) The earlier of: age (not earlier than age 40 or later than age 70 ½) or the date immediate retirement benefits are authorized under another plan maintained by the Employer (as set forth under Section 5.04(c) of the Plan). (f) The Participant may designate a Normal Retirement Age that is on or after the earlier of age 40 or the date immediate retirement benefits are authorized under another plan maintained by the Employer (as set forth under Section 5.04(b) of the Plan) but not later than age 70½. [Note: A Participant’s Normal Retirement Age must be the same as his/her normal retirement age under any other deferred compensation plan or plans sponsored by the Employer. The designation of a Normal Retirement Age under the Plan does not compel retirement with the Employer.] SECTION 8 VESTING AND FORFEITURES 8-1 CONTRIBUTIONS SUBJECT TO VESTING. Does the Plan provide for Employer Contributions under AA §6 or Matching Contributions under AA §6B that are subject to vesting? Yes No [If “No” is checked, skip to Section 9. ] [Note: The imposition of a vesting schedule creates a substantial risk of forfeiture with respect to the contributions subject to the vesting schedule. If a contribution is subject to a substantial risk of forfeiture, such contribution is not counted toward the Maximum Contribution Limit until the substantial risk of forfeiture lapses (i.e., the contributions are vested.). Where an amount is subject to a substantial risk of forfeiture, gains or losses allocable to the amount deferred, through the date that the substantial risk of forfeiture lapses, are taken into account in determining the amount that is considered deferred in the year in which the substantial risk of forfeiture lapses.] 17.d Packet Pg. 357 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 8 – Vesting and Forfeitures © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 18 8-2 VESTING SCHEDULE. The vesting schedule under the Plan is as follows for both Employer Contributions and Matching Contributions, to the extent authorized under AA §6 and AA §6B. See Section 7.02(a) of the Plan for a description of the various vesting schedules under this AA §8-2. (Note: If the Employer imposes a vesting schedule, Employer Contributions and Matching Contributions, and attributable earnings, will count towards the Code §457(e)(15) Maximum Contribution Limit for the year in which the amounts become vested.) ER Match (a) Full and immediate vesting. (b) 3-year cliff vesting schedule (c) 6-year graded vesting schedule (d) Modified vesting schedule % after 1 Year of Service % after 2 Years of Service % after 3 Years of Service % after 4 Years of Service % after 5 Years of Service 100% after 7 Years of Service 100% after 6 Years of Service (e) Other: 8-3 VESTING SERVICE. In applying the vesting schedules under this AA §8, the following service with the Employer is excluded. (a) None, all service with the Employer counts for vesting purposes. (b) Service before the original Effective Date of this Plan is excluded. (See Section 7.06 of the Plan for rules regarding Predecessor Service.) (c) Service completed before the Employee's birthday is excluded. 8-4 FULL VESTING. An Employee's vesting percentage increases to 100% if, while employed with the Employer, the Employee: (a) dies. (b) terminates employment due to becoming Disabled. (c) Other: (d) Not applicable. No increase in vesting applies. 8-5 DEFAULT VESTING RULES. In applying the vesting requirements under this AA §8, the following default rules apply. Year of Service. An Employee earns a Year of Service for vesting purposes upon completing 1,000 Hours of Service during a Vesting Computation Period. Hours of Service are calculated based on actual hours worked during the Vesting Computation Period. Vesting Computation Period. The Vesting Computation Period is the Plan Year. To override the default vesting rules, complete the applicable sections of this AA §8-5. If this AA §8-5 is not completed, the default vesting rules apply. ER Match (a)Year of Service. Instead of 1,000 Hours of Service, an Employee earns a Year of Service upon the completion of [must be less than 1,000] Hours of Service during a Vesting Computation Period. (b)Vesting Computation Period. Instead of the Plan Year, the Vesting Computation Period is: (1) The 12-month period beginning with the anniversary of the Employee’s date of hire. (2) Describe: [Note: Any Vesting Computation Period described in (2) must be a 12-consecutive month period and must apply uniformly to all Participants.] 17.d Packet Pg. 358 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 8 – Vesting and Forfeitures © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 19 ER Match (c)Elapsed Time Method. Vesting service will be determined under the Elapsed Time Method. (See Section 7.03(b) of the Plan.) (d)Equivalency Method. For purposes of determining an Employee’s Hours of Service for vesting, the Plan will use the Equivalency Method (as defined in Section 7.03(a)(2) of the Plan). The Equivalency Method will apply to: (1) All Employees. (2) Employees who are not paid on an hourly basis. For Employees paid on an hourly basis, vesting will be determined based on actual hours worked. If this (d) is checked, Hours of Service for vesting will be determined under the following Equivalency Method. (3)Monthly. 190 Hours of Service for each month worked. (4)Weekly. 45 Hours of Service for each week worked. (5)Daily. 10 Hours of Service for each day worked. (6)Semi-monthly. 95 Hours of Service for each semi-monthly period. 8-6 ALLOCATION OF FORFEITURES. Any forfeitures occurring during a Plan Year will be: ER Match (a) N/A. All contributions are 100% vested. [Do not complete the rest of this AA §8-6.] (b) Reallocated as additional Employer Contributions or as additional Matching Contributions. (c) Used to reduce Employer and/or Matching Contributions. For purposes of subsection (b) or (c), forfeitures will be applied: (d) for the Plan Year in which the forfeiture occurs. (e) for the Plan Year following the Plan Year in which the forfeitures occur. Prior to applying forfeitures under subsection (b) or (c): (f) Forfeitures may be used to pay Plan expenses. (See Section 7.08(c) of the Plan.) (g) Forfeitures may not be used to pay Plan expenses. In determining the amount of forfeitures to be reallocated under subsection (b), the same allocation conditions apply as for the source for which the forfeiture is being allocated under AA §6-5 or AA §6B-6, unless designated otherwise below. (h) Forfeitures are not subject to any allocation conditions. (i) Forfeitures are subject to a last day of employment allocation condition. (j) Forfeitures are subject to a Hours of Service minimum service requirement. In determining the treatment of forfeitures under this AA §8-6, the following special rules apply: (k) Describe: 8-7 SPECIAL RULES REGARDING CASH-OUT DISTRIBUTIONS. (a)Additional allocations. If a terminated Participant receives a complete distribution of his/her vested Account Balance while still entitled to an additional allocation, the forfeiture provisions do not apply until the Participant receives a distribution of the additional amounts to be allocated. To modify the default forfeiture rules, complete this AA §8-7(a). The forfeiture provisions will apply if a terminated Participant takes a complete distribution, regardless of any additional allocations during the Plan Year. 17.d Packet Pg. 359 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 8 – Vesting and Forfeitures © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 20 (b)Timing of forfeitures. A Participant who receives an Involuntary Cash-Out Distribution (as described in AA §9-5(a)) is treated as having an immediate forfeiture of his/her nonvested Account Balance. To modify the forfeiture timing rules to delay the occurrence of a forfeiture upon an Involuntary Cash-Out Distribution, complete this AA §8-7(b). A forfeiture will occur at the end of the year following the Involuntary Cash-Out Distribution. 8-8 SPECIAL VESTING RULES. ER Match Special vesting provisions: SECTION 9 DISTRIBUTION PROVISIONS 9-1 AVAILABLE FORMS OF DISTRIBUTION. Lump sum distribution. Unless selected otherwise under subsection (e) below, a Participant may take a distribution of his/her entire vested Account Balance in a single lump sum. Additional distribution options. To provide for additional distribution options, check the applicable distribution forms under this AA §9-1. If a lump sum distribution will not be provided under the Plan, check (e) below and indicate that no lump sum distribution is available under the Plan. (a)Partial lump sum. A Participant may take a distribution of less than the entire vested Account Balance upon termination of employment. (1) Minimum distribution amount. A Participant may not take a partial lump sum distribution of less than $ . (b)Installment distributions. A Participant may take a distribution over a specified period not to exceed the life or life expectancy of the Participant (and a designated beneficiary). (c)Installment distribution for required minimum distributions. A Participant may take an installment distribution solely to the extent necessary to satisfy the required minimum distribution rules under Section 8 of the Plan. (d)Annuity distributions. A Participant may elect to have the Plan Administrator use the Participant’s vested Account Balance to purchase an annuity. (e)Describe: [Note: Any additional distribution option described in (e) will apply uniformly to all Participants under the Plan and may not be subject to the discretion of the Employer or Plan Administrator.] 9-2 IN-SERVICE DISTRIBUTIONS. (a)Distribution events. A Participant may withdraw all or any portion of his/her vested Account Balance, to the extent designated, upon the occurrence of the event(s) selected under this AA §9-2. Deferral Match ER (1) No in-service distributions are permitted. (2) The attainment of age 70½. (3) The occurrence of an Unforeseeable Emergency. 17.d Packet Pg. 360 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 9 – Distribution Provisions – Termination of Employment © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 21 (b)Rollover Contributions. Unless designated otherwise under this subsection (b), a Participant may withdraw amounts attributable to Rollover Contributions at any time. If this subsection (b) is selected, amounts attributable to Rollover Contributions may be distributed only upon the occurrence of the following event(s): (1) No in-service distributions are permitted. (2) The attainment of age 70½. (3) The occurrence of an Unforeseeable Emergency. (4) Describe: (c)Distribution of Smaller Amounts (1) The Employer has discretion to make distribution of smaller amounts as described in Section 8.06 of the Plan. (2) The Participant may withdraw a distribution of smaller amounts as described in Section 8.06 of the Plan. (3) Special rules applicable to the distribution of smaller amounts: 9-3 SPECIAL RULES FOR IN-SERVICE DISTRIBUTIONS. (a) In-service distributions will only be permitted if the Participant is 100% vested in the amounts being withdrawn. (b) A Participant may take no more than in-service distribution(s) in a Plan Year. (c) A Participant may not take an in-service distribution of less than $ . (d) If a distribution is permitted upon the occurrence of an Unforeseeable Emergency in AA §9-2 above, a Participant may take such a distribution after termination of employment. (e) Describe any special in-service distribution rules: 9-4 TIMING OF DISTRIBUTIONS UPON TERMINATION OF EMPLOYMENT. (a)Distribution of vested Account Balances exceeding $5,000. A Participant who terminates employment with a vested Account Balance exceeding $5,000 may receive a distribution of his/her vested Account Balance in any form permitted under AA §9-1 within a reasonable period following: (1) the date the Participant terminates employment. (2) the last day of the Plan Year during which the Participant terminates employment. (3) the first Valuation Date following the Participant's termination of employment. (4) Describe: (b)Distribution of vested Account Balances not exceeding $5,000. A Participant who terminates employment with a vested Account Balance that does not exceed $5,000 may receive a lump sum distribution of his/her vested Account Balance within a reasonable period following: (1) the date the Participant terminates employment. (2) the last day of the Plan Year during which the Participant terminates employment. (3) the first Valuation Date following the Participant's termination of employment. (4) Describe: 9-5 PARTICIPANT AND SPOUSAL CONSENT. (a)Involuntary Cash-Out Distribution. A Participant who terminates employment with a vested Account Balance of $5,000 or less will receive an Involuntary Cash-Out Distribution, unless elected otherwise under this AA §9-5. If a Participant’s vested Account Balance exceeds $5,000, the Participant generally must consent to a distribution from the Plan, except to the extent provided otherwise under this AA §9-5. (1)No Involuntary Cash-Out Distributions. The Plan does not provide for Involuntary Cash-Out Distributions. A terminated Participant must consent to any distribution from the Plan. (See Section 14.02(a) of the Plan for special rules upon Plan termination.) (2)Involuntary Cash-Out Distribution threshold. A terminated Participant will receive an Involuntary Cash- Out Distribution only if the Participant’s vested Account Balance is less than or equal to $ . (3)Application of Automatic Rollover rules. The Automatic Rollover rules described in Section 8.09(f) of the Plan do not apply to any Involuntary Cash-Out Distribution below $1,000, unless elected otherwise under this subsection (3). If this subsection (3) is checked, the Automatic Rollover provisions apply to all Involuntary Cash-Out Distributions (including those below $1,000). 17.d Packet Pg. 361 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 9 – Distribution Provisions – Termination of Employment © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 22 (4)Treatment of Rollover Contributions. Unless elected otherwise under this subsection (4), Rollover Contributions will be excluded in determining whether a Participant’s vested Account Balance exceeds the Involuntary Cash-Out threshold for purposes of applying the distribution rules under this AA §9 and the Automatic Rollover provisions under Section 8.09(f) of the Plan. If this subsection (4) is checked, Rollover Contributions are included for purposes of applying the Plan’s distribution rules. (b)Spousal consent. Spousal consent is not required for a Participant to receive a distribution or name an alternate beneficiary, unless designated otherwise under this subsection (b). (1)Distribution consent. A Participant’s Spouse must consent to any distribution, if the Participant’s vested Account Balance exceeds $ . (2)Beneficiary consent. A Participant’s Spouse must consent to naming someone other than the Spouse as beneficiary under the Plan. (c)Describe any special rules affecting Participant or Spousal consent: 9-6 DETERMINATION OF BENEFICIARY. (a)Default beneficiaries. Unless elected otherwise under this subsection (a), the default beneficiaries described under Section 8.05 of the Plan are the Participant’s surviving Spouse, the Participant’s surviving children, and the Participant’s estate. If this subsection (a) is checked, the default beneficiaries under Section 8.05 of the Plan are modified as follows: (b)One-year marriage rule. For purposes of determining whether an individual is considered the surviving Spouse of the Participant, the determination is based on the marital status as of the date of the Participant’s death, unless designated otherwise under this subsection (b). If this subsection (b) is checked, in order to be considered the surviving Spouse, the Participant and surviving Spouse must have been married for the entire one-year period ending on the date of the Participant’s death. If the Participant and surviving Spouse are not married for at least one year as of the date of the Participant’s death, the Spouse will not be treated as the surviving Spouse for purposes of applying the distribution provisions of the Plan. (c)Divorce of Spouse. Unless elected otherwise under this subsection (c), if a Participant designates his/her Spouse as Beneficiary and subsequent to such Beneficiary designation, the Participant and Spouse are divorced, the designation of the Spouse as Beneficiary under the Plan is automatically rescinded as set forth under Section 8.05 of the Plan. If this subsection (c) is checked, a Beneficiary designation will not be rescinded upon divorce of the Participant and Spouse. [Note: Section 8.05 of the Plan and this subsection (c) will be subject to the provisions of a Beneficiary designation entered into by the Participant. Thus, if a Beneficiary designation specifically overrides the election under this subsection (c), the provisions of the Beneficiary designation will control. See Section 8.05 of the Plan.] 9-7 QUALIFIED DISTRIBUTIONS FOR RETIRED PUBLIC SAFETY OFFICERS. Unless otherwise elected below, a Participant who is an eligible retired public safety officer may elect, after separation from service, to have qualified health insurance premiums deducted from amounts to be distributed from the Plan that would otherwise be includible in gross income, and to have such amounts paid directly to the insurer or group health plan. (See Section 8.13 of the Plan.) If this subsection is checked, a Participant who is an eligible retired public safety officer may NOT elect to have qualified health insurance premiums deducted from amounts to be distributed from the Plan. 9-8 SPECIAL DISTRIBUTION RULES. Describe any additional distribution options or rules: 17.d Packet Pg. 362 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Section 10 – Miscellaneous Provisions © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page 23 SECTION 10 MISCELLANEOUS PROVISIONS 10-1 PLAN VALUATION. The Plan is valued annually, as of the last day of the Plan Year. In addition, the Plan will be valued on the following dates: Deferral Match ER (a)Daily. The Plan is valued at the end of each business day during which the New York Stock Exchange is open. (b)Monthly. The Plan is valued at the end of each month of the Plan Year. (c)Quarterly. The Plan is valued at the end of each Plan Year quarter. (d)Describe: [Note: The Employer may elect operationally to perform interim valuations.] 10-2 SPECIAL RULES FOR DETERMINING AMOUNT OF INCOME OR LOSS. The following special rules apply in determining the amount of income or loss allocated to Participants’ Accounts: 10-3 HEART ACT PROVISIONS -- BENEFIT ACCRUALS. The benefit accrual provisions under Section 15.05(b) of the Plan do not apply. To apply the benefit accrual provisions under Section 15.05(b) of the Plan, check the box below. Eligibility for Plan benefits. Check this box if the Plan will provide the benefits described in Section 15.05(b) of the Plan. If this box is checked, an individual who dies or becomes disabled in qualified military service will be treated as reemployed for purposes of determining entitlement to benefits under the Plan. 10-4 OTHER SPECIAL RULES APPLICABLE TO THIS PLAN. The following special rules, including the applicability of any vendor agreements, apply to this Plan: 17.d Packet Pg. 363 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Appendix A – Special Effective Dates © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page A - 1 APPENDIX A SPECIAL EFFECTIVE DATES A-1 Eligible Employees. The definition of Eligible Employee under AA §3 is effective as follows: A-2 Minimum age and service conditions. The minimum age and service conditions and Entry Date provisions specified in AA §4 are effective as follows: A-3 Compensation definitions. The compensation definitions under AA §5 are effective as follows: A-4 Employer Contributions. The Employer Contribution provisions under AA §6 are effective as follows: A-5 Salary Deferrals. The provisions regarding Salary Deferrals under AA §6A are effective as follows: A-6 Matching Contributions. The Matching Contribution provisions under AA §6B are effective as follows: A-7 Retirement ages. The retirement age provisions under AA §7 are effective as follows: A-8 Vesting and forfeiture rules. The rules regarding vesting and forfeitures under AA §8 are effective as follows: A-9 Distribution provisions. The distribution provisions under AA §9 are effective as follows: A-10 Miscellaneous provisions. The provisions under AA §10 are effective as follows: A-11 Special effective date provisions for merged plans. If any Code §457(b) plan has been merged into this Plan, the following provisions apply: A-12 Other special effective dates: 17.d Packet Pg. 364 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Appendix B – Loan Policy © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page B - 1 APPENDIX B LOAN POLICY Use this Appendix B to identify elections dealing with the administration of Participant loans. These elections may be changed without amending this Agreement by substituting an updated Appendix B with new elections. B-1 Are PARTICIPANT LOANS permitted? (See Section 13 of the Plan.) (a) Yes (b) No B-2 LOAN PROCEDURES. (a) Loans will be provided under the default loan procedures set forth in Section 13 of the Plan, unless modified under this Appendix B. (b) Loans will be provided under a separate written loan policy. [If this subsection (b) is checked, do not complete the rest of this Appendix B.] B-3 AVAILABILITY OF LOANS. Participant loans are available to all Participants and Beneficiaries. Participant loans are not available to a former Employee or Beneficiary. To override this default provision, complete this AA §B-3. A former Employee or Beneficiary who has a vested Account Balance may request a loan from the Plan. B-4 LOAN LIMITS. The default loan policy under Section 13.03 of the Plan allows Participants to take a loan provided all outstanding loans do not exceed 50% of the Participant’s vested Account Balance. To override the default loan policy to allow loans up to $10,000, even if greater than 50% of the Participant’s vested Account Balance, check this AA §B-4. A Participant may take a loan equal to the greater of $10,000 or 50% of the Participant's vested Account Balance. [If this AA §B-4 is checked, the Participant may be required to provide adequate security as required under Section 13.06 of the Plan.] B-5 NUMBER OF LOANS. The default loan policy under Section 13.04 of the Plan restricts Participants to one loan outstanding at any time. To override the default loan policy and permit Participants to have more than one loan outstanding at any time, complete (a) or (b) below. (a) A Participant may have loans outstanding at any time. (b) There are no restrictions on the number of loans a Participant may have outstanding at any time. B-6 LOAN AMOUNT. The default loan policy under Section 13.04 of the Plan provides that a Participant may not receive a loan of less than $1,000. To modify the minimum loan amount or to add a maximum loan amount, complete this AA §B-6. (a) There is no minimum loan amount. (b) The minimum loan amount is $ . (c) The maximum loan amount is $ . B-7 INTEREST RATE. The default loan policy under Section 13.05 of the Plan provides for an interest rate commensurate with the interest rates charged by local commercial banks for similar loans. To override the default loan policy and provide a specific interest rate to be charged on Participant loans, complete this AA §B-7. (a) The prime interest rate plus percentage point(s). (b) Describe: [Note: Any interest rate described in this AA §B-7 must be reasonable and must apply uniformly to all Participants.] B-8 PURPOSE OF LOAN. The default loan policy under Section 13.02 of the Plan provides that a Participant may receive a Participant loan for any purpose. To modify the default loan policy to restrict the availability of Participant loans, complete this AA §B-8. A Participant may only receive a Participant loan under the following circumstances: B-9 APPLICATION OF LOAN LIMITS. If Participant loans are not available from all contribution sources, the limitations under Code §72(p) and the adequate security requirements of the Department of Labor regulations will be applied by taking into account the Participant’s entire Account Balance. To override this provision, complete this AA §B-9. 17.d Packet Pg. 365 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Appendix B – Loan Policy © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page B - 2 The loan limits and adequate security requirements will be applied by taking into account only those contribution Accounts which are available for Participant loans. B-10 CURE PERIOD. The Plan provides that a Participant incurs a loan default if a Participant does not repay a missed payment by the end of the calendar quarter following the calendar quarter in which the missed payment was due. To override this default provision to apply a shorter cure period, complete this AA §B-10. The cure period for determining when a Participant loan is treated as in default will be days (cannot exceed 90) following the end of the month in which the loan payment is missed. B-11 PERIODIC REPAYMENT – PRINCIPAL RESIDENCE. If a Participant loan is for the purchase of a Participant’s primary residence, the loan repayment period for the purchase of a principal residence may not exceed ten (10) years. (a) The Plan does not permit loan payments to exceed five (5) years, even for the purchase of a principal residence. (b) The loan repayment period for the purchase of a principal residence may not exceed years (may not exceed 30). (c) Loans for the purchase of a Participant’s primary residence may be payable over any reasonable period commensurate with the period permitted by commercial lenders for similar loans. B-12 TERMINATION OF EMPLOYMENT. Section 13.10 of the Plan provides that a Participant loan becomes due and payable in full upon the Participant’s termination of employment. To override this default provision, complete this AA §B-12. A Participant loan will not become due and payable in full upon the Participant’s termination of employment. B-13 DIRECT ROLLOVER OF A LOAN NOTE. Section 13.10(b) of the Plan provides that upon termination of employment a Participant may request the Direct Rollover of a loan note. To override this default provision, complete this AA §B-13. A Participant may not request the Direct Rollover of the loan note upon termination of employment. B-14 LOAN RENEGOTIATION. The default loan policy provides that a Participant may renegotiate a loan, provided the renegotiated loan separately satisfies the reasonable interest rate requirement, the adequate security requirement, the periodic repayment requirement and the loan limitations under the Plan. The Employer may restrict the availability of renegotiations to prescribed purposes provided the ability to renegotiate a Participant loan is available on a non-discriminatory basis. To override the default loan policy and restrict the ability of a Participant to renegotiate a loan, complete this AA §B-14. (a) A Participant may not renegotiate the terms of a loan. (b) The following special provisions apply with respect to renegotiated loans: B-15 SOURCE OF LOAN. Participant loans may be made from all available contribution sources, to the extent vested, unless designated otherwise under this AA §B-15. Participant loans will not be available from the following contribution sources: B-16 SPOUSAL CONSENT. Spousal consent is not required for a Participant to receive a loan. To override this provision, complete this AA §B-16. Spousal consent is required to receive a Participant loan. B-17 MODIFICATIONS TO DEFAULT LOAN PROVISIONS. The following special rules will apply with respect to Participant loans under the Plan: [Note: Any provision under this AA §B-17 must satisfy the requirements under Code §72(p) and the regulations thereunder and will control over any inconsistent provisions of the Plan dealing with the administration of Participant loans.] 17.d Packet Pg. 366 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Appendix C – Administrative Elections © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page C - 1 APPENDIX C ADMINISTRATIVE ELECTIONS Use this Appendix C to identify certain elections dealing with the administration of the Plan. These elections may be changed without re- executing this Agreement by substituting an updated Appendix C with new elections. C-1 ROLLOVER CONTRIBUTIONS. Does the Plan accept Rollover Contributions? (See Section 3.05 of the Plan.) (a) No (b) Yes (c) Describe any special rules for accepting Rollover Contributions: C-2 QDRO PROCEDURES. Do the default QDRO procedures under Section 11.06 of the Plan apply? (a) No (b) Yes C-3 SELF-DIRECTED INVESTMENTS. Are Participants permitted to direct investments? (a) No (b) Yes Specify Accounts: (1) All Accounts (2) Pre-Tax Salary Deferral Account (3) Roth Deferral Account (4) Matching Contribution Account (5) Employer Contribution Account (6) Rollover Contributions Account (7) Other: (c) Describe any special rules that apply for purposes of direction of investments: 17.d Packet Pg. 367 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Employer Signature Page © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page ER - 1 EMPLOYER SIGNATURE PAGE PURPOSE OF EXECUTION. This Signature Page is being executed to effect: (a) The adoption of a new plan, effective [insert Effective Date of Plan]. (b) The restatement of an existing plan, effective [insert Effective Date of Plan]. (1) Name of Plan(s) being restated: (2) The original effective date of the plan(s) being restated: (c) An amendment of the Plan. If this Plan is being amended, the updated pages of the Adoption Agreement may be substituted for the original pages in the Adoption Agreement. All prior Employer Signature Pages should be retained as part of this Adoption Agreement. (1) Identify the section(s) of the Adoption Agreement being amended: (2) Effective Date(s) of such changes: [Note: It is recommended that the Employer consult with legal counsel before executing this Agreement.] (Name of Employer) (Name of authorized representative) (Title) (Signature) (Date) Employers should consult with legal counsel to ensure that the Plan meets applicable federal, state and local law requirements. Employers who want the Internal Revenue Service to review their 457(b) plan document or consider any other document form issue may request a private letter ruling. See Revenue Procedure 2015-1 (or annual successor Revenue Procedure) for details. The IRS does not maintain a pre-approved plan program or a determination letter program for 457(b) plans. 17.d Packet Pg. 368 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Governmental 457(b) Plan Contract No. 099999-9999-0000 Trustee Declaration © Copyright 2017 Massachusetts Mutual Life Insurance Company Version: V1-1 Page TD - 1 TRUSTEE DECLARATION Effective date of Trustee Declaration: Trustee Investment Powers (a)Discretionary (b)Nondiscretionary (c)No Trustee. Plan is funded exclusively with custodial accounts, annuity contracts, and/or insurance contracts (see Section 12.12 of Plan) (d)Determined under a separate trust agreement. Name of Trustee: Title of Trust Agreement: Address: Description of any special Trustee powers: 17.d Packet Pg. 369 Attachment: FN. Deferred Compensation Contract Approval- Sample 457b Plan Agreement- Attachment 3 (5942 : Transition of Deferred Page 1 of 13 City of San Bernardino 457(b) Investment Policy Statement Part I. THE PLAN The City of San Bernardino (“City”) sponsors a 457(b) Plan (herein known as “the Plan”) for the benefit of its employees and their designated beneficiaries. The City will appoint a Committee to fulfill City’s fiduciary duties in regards to Plan investments. The Plan is intended to provide participating employees the ability to create long -term accumulation of savings through contributions to individual participant accounts and the earnings thereon. The Plan is a qualified employee benefit plan intended to comply with all applicable federal laws and regulations The Plan’s participants and beneficiaries are expected to have different investment objectives, time horizons and risk tolerances. To meet these varying investment needs, participants and beneficiaries will be able to direct their account balances among a range of investment options to construct diversified portfolios that reasonably span the risk/return spectrum. Participants and beneficiaries alone bear the risk of gains or losses of their investment options and their asset allocation. Part II. THE PURPOSE OF THE INVESTMENT POLICY STATEMENT This Investment Policy Statement is intended to assist the Plan’s fiduciaries by establishing nonbinding guidelines for making investment-related decisions in a prudent manner. It outlines the underlying philosophies and processes for the selection, periodic monitoring and evaluation of the investment options offered by the Plan. Specifically, this Investment Policy Statement: Defines the Plan’s investment objectives. Defines the roles of those responsible for the Plan’s investments. Describes the criteria and procedures for selecting the investment options. Establishes investment procedures, measurement standards and monitoring procedures. Describes potential corrective actions the Committee (or an independent investment advisor, if delegated authority pursuant to Part III, hereinafter Advisor) can take should investment options (or their respective managers) fail to satisfy established objectives, if the Committee (or Advisor, if applicable) determines that such actions are prudent and advisable given the circumstances. Describes the types of educational materials to be provided to Plan participants and beneficiaries. Describes certain fiduciary obligations and related applicable laws and regulations. The guidelines provided in this Investment Policy Statement do not constitute a contract. These guidelines are also not meant to be a statement of mandatory requirements. Rather, these guidelines are only an explanation of general principles and guidelines being currently applied for investment option selection, retention and replacement. Furthermore, these guidelines are not the sole factors considered by the Committee (or Advisor, if applicable) in the process. This Investment Policy Statement is not intended to, and shall not be deemed to expand the fiduciary duties of the Committee, or its individual members, (or Advisor, if applicable) or to create duties that do not exist under applicable law. This Investment Policy Statement will be reviewed periodically, and, if appropriate, may be amended by the Committee at any time to reflect changes in the capital markets, Plan objectives, or other factors relevant to the Plan. This Investment Policy Statement (including the criteria for the selection and monitoring of investment options under the Plan) does not apply to employer securities (also known as Company stock) if offered under the Plan. Part III. INVESTMENT OBJECTIVES In accordance with the relevant terms of the Plan document, the Committee has delegated investment discretion to an independent investment advisor (the Advisor) (as limited by the last paragraph of Part VII). The Advisor will select the 17.e Packet Pg. 370 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 2 of 13 Plan’s investment options (as limited by the last paragraph of Part VII) based on criteria deemed relevant, from time to time, by the Advisor. These criteria may include, but are not limited to, the following: Maximization of return within reasonable and prudent levels of risk. Provision of returns comparable to returns for similar investment options. Provision of exposure to a wide range of investment opportunities in various asset classes and vehicles. Control administrative and management fees. Provision of appropriate diversification within investment vehicles. Investment manager’s adherence to stated investment objectives and style. Part IV. ROLES AND RESPONSIBILITIES Subject to the terms of the Plan document, the Committee is responsible for: Selecting the trustee(s). Hiring the recordkeeper. Hiring, and periodically monitoring the Advisor. Establishing and maintaining the Investment Policy Statement. Periodically monitoring the performance and fees charged by service providers. Periodically monitoring any other Plan fees. Providing for Plan participant investment education and communication. Subject to the terms of the Plan document and any contract or agreement entered into by and between City and Advisor, the Advisor is responsible for: Selecting the investment options (as limited by the last paragraph of Part VII). Periodically evaluating the Plan’s investments’ performances and considering investment option changes (as limited by the last paragraph of Part VII). In executing its responsibilities, the Committee and Advisor will make decisions in accordance with all applicable fiduciary standards as follows: Solely in the interest of Plan participants and beneficiaries, for the exclusive purpose of providing Plan benefits and defraying reasonable administrative fees; With the care, skill, prudence and diligence under the circumstances then prevailing that a pr udent person acting in like capacity and familiar with such matters would use in the cond uct of an enterprise of a like character and of like aims; and In accordance with the documents and instruments governing the Plan insofar as such documents and instruments are consistent with all applicable laws and regulations. 17.e Packet Pg. 371 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 3 of 13 Part V. MONITORING OF SERVICE PROVIDERS The Committee should monitor service providers on an ongoing and regular basis. Administrative and/or recordkeeping service providers may be benchmarked against, but not limited to, industry averages and/or other provider quotes. Monitoring for these service providers should include, but not be limited to, an evaluation of the provider’s: Investment offerings and services Recordkeeping technology and services Compliance services and support Technology Participant access and communications Fees The ongoing monitoring of the Plan’s service providers is to ensure that total Plan fees, services and investment opportunities are competitive and reasonable. Advisor, and any other investment consultant service providers (Plan and participant level) should be monitored regularly and the evaluation should include, but not be limited to, consideration of the provider’s: Investment due diligence processes Fiduciary guidance and services RFP/Benchmarking scope and services Technology Participant-level access, communications and advice (if applicable) Fees Part VI. SELECTION OF INVESTMENT OPTIONS Set forth below are the considerations and guidelines that the Advisor should employ in fulfilling the fiduciary responsibility of selecting investment options for the Plan. The Plan intends to provide an appropriate range of investment options that, in the aggregate, will allow Plan participants t o construct portfolios consistent with their unique individual circumstances, goals, time horizon s and tolerance for risk. The Advisor, shall be responsible for the Plan-level investment selection process, as set forth in this Investment Policy Statement, but cannot guarantee investment results for any selected investment option. Major asset classes to be considered may include, but are not limited to: Conservative Investments Cash and liquid investments including, but not limited to, money market, stable value and guaranteed interest accounts. Income Investments Income oriented investments including, but not limited to, low, medium and high-quality bond investments, with short, intermediate and/or long-term duration. Management styles may be indexed and actively managed international, global and domestic styles. Equity Investments Investments that invest in equity securities, both domestic and foreign, including, but not limited to, small, medium and large market capitalization, with value, blend and growth investment objectives, which may be actively managed or indexed. Asset Allocation Investments Investments or accounts that invest in a combination of conservative, income, and equity investments, “fund of funds” accounts combining several of the above investments into one or a series of investments, and “manager of managers” accounts combining several different investment styles and fund managers into one account or a series of accounts. Other Investments 17.e Packet Pg. 372 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 4 of 13 In addition to the foregoing major assets classes, the Advisor may also consider other appropriate investments in other styles or asset classes offered through vehicles such as commingled trusts, insurance company separate accounts through a group annuity contract and mutual funds. Notwithstanding the foregoing, the Advisor may consider, but is not required, to include in the investment menu any specific investment asset class, option or style. After considering the desired asset classes, the Advisor will evaluate and choose the appropriate investment option(s) desired to be offered by the Plan’s investment menu. I The Advisor should consider the following standards for selection of all investments: 1. Investment performance should be competitive with an appropriate style -specific benchmark and the median return for an appropriate, style-specific peer group (where appropriate and available, long-term performance of an investment manager may be inferred through the performance of another investment with similar style attributes managed by such investment manager); 2. Specific risk and risk-adjusted return measures should be reviewed by the Advisor and be within a reasonable range relative to appropriate, style-specific benchmark and peer group; 3. The investment should demonstrate adherence to the stated investment objective, without excess style drift over trailing performance periods; 4. Fees and fee structures should be competitive compared with similar investments reasonably available to the Plan; part of this examination includes a review of the proper use of investment -generated fees (and related revenue) to offset Plan recordkeeper fees, which should also be reviewed on a periodic basis; 5. The investment should exhibit attractive qualitative characteristics, including, but not limited to, acceptable manager tenure; and 6. The investment should be able to provide performance, holdings and other relevant informa tion in a timely fashion with specified frequency. Furthermore, investments will be evaluated and selected utilizing a “score card,” detailed below in Part VII (Investment Monitoring and Reporting). Part VII. INVESTMENT MONITORING AND REPORTING The ongoing monitoring of investments is a regular and disciplined process intended to ensure that a previously selected investment option continues to satisfy the selection process and that an investment option continues to be a prudent option offered for investment in the Plan. The process of monitoring investment performance relative to specified guidelines will be consistently applied. Frequent change of investments is neither expected nor desired. The Advisor will bear in mind any and all political, social, economic or other changes that may potentially require more frequent review and consideration of investments. The following are some, but not all, general factors that may be considered in ongoing monitoring: Current regulatory environment, Current state of capital markets, Performance of investment alternatives, Utilization of accounts by Plan demographic, The prudent applicability of this Investment Policy Statement as written, in light of prevailing facts and circumstances. Monitoring will generally utilize the same investment selection criteria used in the original selection analysis, or such other criteria as deemed prudent by the Advisor. Unusual, notable, or extraordinary events should be communicated by each investment and/or provider on a timely basis to the Advisor. Examples of such events include portfolio manager or team departure, violation of investment guidelines, material litigation against the investment management firm, or material changes in firm ownership structure and announcements thereof. 17.e Packet Pg. 373 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 5 of 13 If overall satisfaction with the investment option is acceptable, no further action is required. If areas of dissatisfaction exist, the Advisor will monitor whether the investment is taking appropriate and prudent steps to remedy the deficiency. I f over a reasonable period the issue remains unresolved, removal of the investment option may result. For supported asset classes, a “score card” will be maintained and documented (see addendum) to substantiate acceptable levels of performance and appropriate style characteristics. Based upon objective criteria, derived from modern portfolio theory concepts, each investment option will receive a score reflecting its overall performance. If an investment fails to meet the criteria standards, as determined by its score, it may be placed on a “watch list” (as defined in the attached Addendum). If the investment maintains a watch list score for four consecutive quarters, or five out of eight quarters, the investment may be considered for further action (see Part IX below) by the Advisor. In the event an investment receives a score which is below that of “watch list” status, or experiences extraordinary circumstances which may render it imprudent to maintain, it may be considered for action (see Part IX below) by the Advisor at the earliest administratively practicable date. If the investment meets criteria standards, as determined by its score as “acceptable” or “good” (as defined in the attached Addendum) for four consecutive quarters, it may be removed from the watch list. Cash, or principal preservation, alternatives should be reviewed with a primary focus on the investment’s ability to preserve capital and minimize risk. Criteria reviewed should include, but not be limited to, credit quality, diversificati on, and stability of insurance provider, if applicable. Asset allocation investments should be scored and monitored in the same manner as all other investments, using the previously described guidelines in Part VII. Because many of these investments conta in separate underlying investment funds, it may also be appropriate to score and monitor those, as available and applicable. Unlike other investments which are monitored and scored individually, target-date investments, though potentially scored individually, should be evaluated as a group. Due to the unique importance of these investment options for participants in the Plan, investments or suites of investments (as may be applicable), or managed accounts failing to achieve criteria standards should be care fully reviewed before removal from the Plan (in the absence of a reasonable alternative). In the event asset allocation investments have too brief a time history to be scored, the investment or suite should be evaluated both qualitatively and quantitatively on the underlying investments that may have a longer time history available, using a proxy, or a qualitative framework for all other instances. Investments where no score is applied due to specialty focus, short time history or other unique circumstanc es should be reviewed using a proxy, where applicable and prudent, or a qualitative framework for all other instances. The foregoing investment monitoring criteria shall not, under any circumstances, be taken as definitive, conclusive, or controlling for removal, termination or continuation of an investment option. All determinations should be made by the Advisor, in its sole discretion, taking into consideration all relevant facts and circumstances. In the event the Plan document allows self-directed brokerage accounts, the Committee retains full responsibility for the offering and monitoring of any self-directed brokerage account(s) offered as an investment option, which will be reviewed periodically as determined by MCSD, and not the Advisor, based on criteria determined by MCSD. Special considerations should be contemplated and discussed before allowing self-directed brokerage accounts as an investment option. PART VIII: ASSET ALLOCATION AND DEFAULT STRATEGY The Advisor will evaluate and choose an investment or set of investments, or multiple investments, to serve as the default investment(s) for the Plan. The default investment(s) will be the designated investment for dollars contributed to the Plan b y participants and/or the employer for which the Plan has no active employee direction on file. Asset allocation investments and/or accounts (risk-based or target date-based) should be considered as the Plan’s default investment strategy due to the inherent benefits these options provide to participants including the diversification of assets across multiple asset classes. 17.e Packet Pg. 374 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 6 of 13 Part IX. MANAGER REMOVAL An investment may be removed when the Advisor has lost confidence in the investment manager’s ability to: Achieve performance, style, allocation and/or risk objectives. Maintain acceptable qualitative standards (e.g., stable organization, compliance guidelines). If the investment manager has failed to adhere to and/or remedy one or both of the above conditions, the investment may be considered for removal from the Plan. The Advisor may also remove an investment option for any reason it deems necessary and prudent. Any decision by the Advisor to remove such an investment will be made on an individual basis, and will be made based on all the known facts and circumstances, including, but not limited to: The objective analysis (described above) Administrative impact on the Plan Timing Employee communication issues The availability of other (potential replacement) investments Underwriting and Plan provider limitations Financial considerations (hard and soft dollar fees) Professional or client turnover A material change in the investment process Other relevant factors Considerable judgment should be exercised in the Advisor decision-making process. The Advisor may administer the following approaches with an investment that fails to consistently meet criteria of this Investment Policy Statement: Remove and replace (map assets) with a reasonably similar alternative investment. Freeze the assets in the investment and direct new assets to an alternative, reasonably similar, investment. Phase out the investment over a specific time period. Remove the investment and do not provide a replacement investment and default assets into the Plan’s QDIA. Replacement of a removed investment follows the criteria outlined in Part VI (Selection of Investment Options). Part X. PARTICIPANT EDUCATION AND COMMUNICATION The Plan should communicate to employees that they can direct their own investments and investment changes. Investment communications materials, educational materials, and enrollment support should be available to help Plan participants make educated and informed choices, and may include: 1. Periodic enrollment and investment education, through one or more of the following: on-site meetings, phone conference, web conference, Internet, phone (voice-response and live representatives), or written materials; 2. Summary plan description made available to all participants; 3. General information regarding investment risk, inflation, potential taxation impact, investment earnings, and asset classes; 4. Other investment tools (e.g., investment risk profile questionnaire) to assist participants and beneficiaries in making educated and informed investment decisions; and 5. All additional information required for disclosure by the Internal Revenue Code of 1986, and all other Federal and state statutes and all regulations promulgated hereunder, and all regulatory guidance provided thereto. Notwithstanding the foregoing, all investment education provided by the Plan and/or Committee, and all communications connected thereto, is not intended, nor shall it be construed, as investment advice to Plan participants. 17.e Packet Pg. 375 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 7 of 13 Part XI. COORDINATION WITH THE PLAN DOCUMENT AND APPLICABLE LAWS Notwithstanding the foregoing, if any term or condition of this Investment Policy Statement conflicts with any section of the Internal Revenue Code, or regulations promulgated hereunder, or any term or condition in the Plan document, the terms and conditions of, the Internal Revenue Code, and the Plan document shall control. Part XII. INVESTMENT INFORMATION AND ADMINISTRATIVE SUPPORT The Committee and Advisor should require the investment manager and/or service provider (administrator, recordkeeper) to offer the following administrative information and support, competitive to that provided by other investment managers and/or service providers as it deems appropriate, which may include: 1. Daily valuation of all investments; 2. Daily access to account information via toll-free number and Internet access; 3. The ability to make investment transfers for both existing and future individual account balances on a daily basis (nonbusiness days and holidays excluded). Certain trading practices may be limited to comply with market timing, excess trading, liquidity driven and/or related policies and procedures of the service provider and/or specific investment options; 4. Participant account investment reports produced no less frequently than annually, with similar information available via the Internet at least quarterly; and 5. Quarterly investment performance updates available for participant review via the Internet. Part XIII. REVIEW PROCEDURES This Investment Policy Statement will be periodically reviewed and may be amended, if approp riate, at any time and without notice, by action of the Committee. It is not expected that this Investment Policy Statement will change frequently. In particular, short-term changes in the financial markets should not require amendments to this Investment Policy Statement. Part XIIII. EFFECTIVE DATE OF IMPLEMENTATION Should this Investment Policy Statement be executed during a period when the current Plan record -keeper(s), recordkeeping platform(s), or similar is undergoing a request for proposal or other evaluation, Plan investments will not be subject to this Investment Policy Statement until any and all decisions regarding Plan record -keepers and/or recordkeeping platforms are finalized and implemented. Name of Plan Fiduciary Signature Date Name of Plan Fiduciary Signature Date Name of Plan Fiduciary Signature Date 17.e Packet Pg. 376 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 8 of 13 ADDENDUM TO PART VII: INVESTMENT MONITORING AND REPORTING Scorecard System Methodology™ The Scorecard System Methodology incorporates both quantitative and qualitative factors in evaluating fund managers and their investment strategies. The Scorecard System is built around pass/fail criteria, on a scale of 0 to 10 (with 10 being the best) and has the ability to measure active, passive and asset allocation investing strategies. Active and asset allocation strategies are evaluated over a five-year time period, and passive strategies are evaluated over a three-year time period. Eighty percent of the fund’s score is quantitative (made up of eight unique factors), incorporating modern portfolio theory statistics, quadratic optimization analysis, and peer group rankings (among a few of the quantitative factors). The other 20 percent of the score is qualitative, taking into account things such as manager tenure, the fund’s expense ratio relative to the average fund expense ratio in that asset class category, and the fund’s strength of statistics (statistical significance). Other criteria that may be considered in the qualitative score includes the viability of the firm managing the assets, management or personnel issues at the firm, and/or whether there has been a change in direction of the fund’s stated investment strategy. The following pages detail the specific factors for each type of investing strategies. Combined, these factors are a way of measuring the relative performance, characteristics, behavior and overall appropriateness of a fund for inclusion into a plan as an inves tment option. General fund guidelines are shown in the “Scorecard Point System” table below. The Scorecard Point System is meant to be used in conjunction with our sample Investment Policy Statement, in order to help identify what strategies need to be discussed as a “watch-list” or removal candidate; what strategies continue to meet some minimum standards and continue to be appropriate; and/or identify new top-ranked strategies for inclusion into a plan. Scorecard Point System Good: 9-10 Points Acceptable: 7-8 Points Watch: 5-6 Points Poor: 0-4 Points 17.e Packet Pg. 377 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 9 of 13 Scorecard System Methodology™ Asset Allocation Strategies Asset allocation strategies are investment strategies that invest in a broad array of asset classes that may include U.S. equity, international equity, emerging markets, real estate, fixed income, high yield bonds and cash (to name a few asset classes). These strategies are typically structured in either a risk-based format (the strategies are managed to a level of risk, e.g., conservative or aggressive) or, in an age-based format (these strategies are managed to a retirement date or life expectancy date, typically growing more conservative as that date is approached). For this type of investment strategy, the Scorecard System is focused on how well these managers can add value from both asset allocation and manager selection. Multisector Bond (MSB) asset class follows the same evaluation criteria with some slightly different tolerance levels where noted. These managers are also evaluated on both their asset allocation and security selection. Weightings Asset Allocation Strategies Maximum Points Style Factors 30% Risk Level: The fund’s standard deviation is measured against the category it is being analyzed in. The fund passes if it falls within the range for that category. 1 Style Diversity: Fund passes if it reflects appropriate style diversity (returns-based) among the four major asset classes (Cash, Fixed Income, U.S. & International Equity) for the given category. MSB funds pass if reflect some level of diversity among fixed income asset classes (Cash, U.S. Fixed Income, Non-U.S. Fixed Income and High Yield/Emerging Markets). 1 R-Squared: Measures the percentage of a fund’s returns that are explained by the benchmark. Fund passes with an R-squared greater than 90 percent. This statistic measures whether the benchmark used in the analysis is appropriate. 1 Risk/Return Factors 30% Risk/Return: Fund passes if its risk is less than the benchmark or its return is greater than the benchmark. Favorable risk/return characteristics are desired. 1 Up/Down Capture Analysis: Measures the behavior of a fund in up and down markets. Fund passes with an up capture greater than its down capture. This analysis measures the relative value by the manager in up and down markets. 1 Information Ratio: Measures a fund’s relative risk and return. Fund passes if ratio is greater than 0. This statistic measures the value added above the benchmark, adjusted for risk. 1 Peer Group Rankings 20% Returns Peer Group Ranking: Fund passes if its median rank is above the 50th percentile. 1 Sharpe Ratio Peer Group Ranking: Fund passes if its median rank is above the 50th percentile. This ranking ranks risk-adjusted excess return. 1 Qualitative Factors 20% Two points may be awarded based on qualitative characteristics of the fund. Primary considerations are given to manager tenure, fund expenses and strength of statistics, however, other significant factors may be considered. It is important to take into account nonquantitative factors, which may impact future performance. 2 Total 10 17.e Packet Pg. 378 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 10 of 13 Scorecard System Methodology™ Active Strategies Active strategies are investment strategies where the fund manager is trying to add value and outperform the market averages (for that style of investing). Typically, these investment strategies have higher associated fees due to the active involvement in the portfolio management process by the fund manager(s). For this type of investment strategy, the Scorecard System is trying to identify those managers who can add value on a consistent basis within their own style of investing. Weightings Active Strategies Maximum Points Style Factors 30% Style Analysis: Returns-based analysis to determine the style characteristics of a fund over a period of time. Fund passes if it reflects the appropriate style characteristics. Style analysis helps ensure proper diversification in the Plan. 1 Style Drift: Returns-based analysis to determine the behavior of the fund/manager over multiple (rolling) time periods. Fund passes if the fund exhibits a consistent style pattern. Style consistency is desired so that funds can be effectively monitored within their designated ass et class. 1 R-Squared: Measures the percentage of a fund’s returns that are explained by the benchmark. Fund passes with an R-squared greater than 80 percent. This statistic measures whether the benchmark used in the analysis is appropriate. 1 Risk/Return Factors 30% Risk/Return: Fund passes if its risk is less than the benchmark or its return is greater than the benchmark. Favorable risk/return characteristics are desired. 1 Up/Down Capture Analysis: Measures the behavior of a fund in up and down markets. Fund passes with an up capture greater than its down capture. This analysis measures the relative value by the manager in up and down markets. 1 Information Ratio: Measures a fund’s relative risk and return. Fund passes if ratio is greater than 0. This statistic measures the value added above the benchmark, adjusted for risk. 1 Peer Group Rankings 20% Returns Peer Group Ranking: Fund passes if its median rank is above the 50th percentile. 1 Information Ratio Peer Group Ranking: Fund passes if its median rank is above the 50th percentile. This ranking ranks risk-adjusted excess return. 1 Qualitative Factors 20% Two points may be awarded based on qualitative characteristics of the fund. Primary considerations are given to manager tenure, fund expenses and strength of statistics, however, other significant factors may be considered. It is important to take into account nonquantitative factors, which may impact future performance. 2 Total 10 17.e Packet Pg. 379 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 11 of 13 Scorecard System Methodology™ Passive Strategies Passive strategies are investment strategies where the fund manager is trying to track or replicate some area of the market. These types of strategies may be broad-based in nature (e.g., the fund manager is trying to track/replicate the entire U.S. equity market like the S&P 500) or may be more specific to a particular area of the market (e.g., the fund manager may be trying to track/replicate the technology sector). These investment strategies typically have lower fees than active investment strategies due to their passive nature of investing and are commonly referred to as index funds. For this type of investment strategy, the Scorecard System is focused on how well these managers track and/or replicate a particular area of the market with an emphasis on how they compare ag ainst their peers. Weightings Passive Strategies Maximum Points Style & Tracking Factors 40% Style Analysis: Returns-based analysis to determine the style characteristics of a fund over a period of time. Fund passes if it reflects the appropriate style characteristics. Style analysis helps ensure proper diversification in the Plan. 1 Style Drift: Returns-based analysis to determine the behavior of the fund/manager over multiple (rolling) time periods. Fund passes if the fund exhibits a consistent style pattern. Style consistency is desired so that funds can be effectively monitored within their de signated asset class. 1 R-Squared: Measures the percentage of a fund’s returns that are explained by the benchmark. Fund passes with an R-squared greater than 95 percent. This statistic measures whether the benchmark used in the analysis is appropriate. 1 Tracking Error: Measures the percentage of a fund’s excess return volatility relative to the benchmark. Fund passes with a tracking error less than 4. This statistic measures how well the fund tracks the benchmark. 1 Peer Group Rankings 40% Tracking Error Peer Group Ranking: Fund passes if its median rank is above the 75th percentile. 1 Expense Ratio Peer Group Ranking: Fund passes if its median rank is above the 75th percentile. 1 Returns Peer Group Ranking: Fund passes if its median rank is above the 75th percentile. 1 Sharpe Ratio Peer Group Ranking: Fund passes if its median rank is above the 75th percentile. 1 Qualitative Factors 20% Two points may be awarded based on qualitative characteristics of the fund. Primary considerations are given to fund expenses and strength of statistics, however, other significant factors may be considered. It is important to take into account nonquantitative factors, which may impact future performance. 2 Total 10 17.e Packet Pg. 380 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 12 of 13 Manager Research Methodology Beyond the Scorecard The Scorecard System™ uses an institutional approach which is comprehensive, independent, and utilizes a process and methodology that strives to create successful outcomes for plan sponsors and participants. The Scorecard helps direct the additional research the Investment team conducts with fund managers throughout the year. Three of the primary factors that go into the fund manager research are people, process and philosophy. PHILOSOPHY PROCESS PEOPLE Key Factors: Research and ideas must be coherent and persuasive Strong rationale Logical and compelling Focus on identifying skillful managers Key Factors: Fund manager and team experience Deep institutional expertise Organizational structure Ability to drive the process and performance Key Factors: Clearly defined Consistent application Sound and established Clearly communicated Successfully executed process 17.e Packet Pg. 381 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 13 of 13 Scorecard System Disclosures Investment objectives and strategies vary among fund, and may not be similar for funds included in the same asset class. All definitions are typical category representations. The specific share classes or accounts identified above may not be available or chosen by the Plan. Share class and account availability is unique to the client's specific circumstances. There may be multi ple share classes or accounts available to the client from which to choose. All recommendations are subject to vendor/provider approval before implementation into the Plan. The performance data quoted may not reflect the deduction of additional fees, i f applicable. If reflected, additional fees would reduce the performance quoted. Performance data is subject to change without prior notice. The information used in the analysis has been taken from sources deemed to be reliable, including, third -party providers such as Markov Processes International, Morningstar, firms who manage the investments, and/or the retirement plan providers who offer the funds. Every reasonable effort has been made to ensure completeness and accuracy; however, the final accuracy of the numbers and information is the responsibility of the investment manager(s) of each fund and/or the retirement plan providers offering these funds. Discrepancies between the figures reported in this analysis, and those reported by the actual investment managers and/or retirement plan providers, may be caused by a variety of factors, including: Inaccurate reporting by the manager/provider; Changes in reporting by the manager/provider from the time this report was prepared to a subsequent retro -active audit and corrected reporting; Differences in fees and share-classes impacting net investment return; and, Scriveners error by your advisor in preparing this report. The enclosed Investment Due Diligence report, including the Scorecard System, is intended for plan sponsor and/or institutional use only. The materials are not intended for participant use. The purpose of this report is to assist fiduciaries in selecting and monitoring investment options. A fund’s score is meant t o be used by the Plan sponsor and/or fiduciaries as a tool for selecting the most appropri ate fund. Fund scores will change as the performance of the funds change and as certain factors measured in the qualitative category ch ange (e.g., manager tenure). Fund scores are not expected to change dramatically from each measured period, however, ther e is no guarantee this will be the case. Scores will change depending on the changes in the underlying pre -specified Scorecard™ factors. Neither past performance nor statistics calculated using past performance are guarantees of a fund’s future performance . Likewise, a fund’s score using the Scorecard System™ does not guarantee the future performance or style consistency of a fund. This report was prepared with the belief that this information is relevant to the Plan sponsor as the Plan sponsor makes investment selections. Fund selection is at the discretion of the investment fiduciaries, which are either the Plan sponsor or the Committee appoint ed to perform that function. Cash Equivalents (e.g., money market fund) and some specialty funds are not scored by the Scorecard System. The enclosed Investment Due Diligence report and Scorecard™ is not an offer to sell mutual funds. An offer to sell may be mad e only after the client has received and read the appropriate prospectus. For the most current month-end performance, please contact your advisor. The Strategy Review notes section is for informational purposes only. The views expressed here are those of your advisor and do not constitute an offer to sell an investment. An offer to sell may be made only after the client has received and read the appropriate prospectus. Carefully consider the investment objectives, risk factors and charges and expenses of the investment company before investing. This and other information can be found in the fund’s prospectus, which may be obtained by contacting your Investment Advisor/Consultant or Vendor/Provider. Read the prospectus carefully before investing. For a copy of the most recent prospectus, please contact your Investment Advisor/Consultant or Vendor/Provider. 17.e Packet Pg. 382 Attachment: FN. Deferred Compensation Contract Approval. 457b Plan Investment Policy Statement. Attachement 4 (5942 : Transition of Page 1 PROFESSIONAL SERVICES AGREEMENT BETWEEN THE CITY OF SAN BERNARDINO AND SFG RETIREMENT PLAN CONSULTING, LLC AMENDMENT # 1 In consideration of the mutual undertakings in this Amendment Agreement (“Amendment”) and for other good and valuable consideration, the Agreement between SFG Retirement Plan Consulting, LLC (“Consultant”) and The City of San Bernardino (“City”) which was executed by the parties with an effective date of November 1, 2018, is hereby amended by mutual agreement, as follows: 1. Section 9. Term. shall be replaced in its entirety by the paragraph below: This agreement shall commence on the Effective Date and continue for thirty-six (36) months unless the Agreement is terminated as provided for herein (“Term”). Upon expiration of the original thirty-six (36) month term, the Agreement may be renewed for two successive twelve (12) month periods (each a Renewal Term) unless, at least sixty (60) days prior to the expiration of either renewal date, either party gives the other party written notice of its intent not to continue the Agreement. During any renewal term, the terms, conditions, and provisions set forth in this Agreement shall remain in effect unless modified in accordance with the Agreement. Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is a conflict between this Amendment and the Agreement or any earlier amendment, the terms of this Amendment will prevail. City of San Bernardino SFG Retirement Plan Consulting, LLC Andrea M. Miller, City Manager Mark Shuster, Managing Member 17.f Packet Pg. 383 Attachment: FN. Deferred Compensation Contract Approval. Investment Advisory Agreement Amendment. Attachement 5 (5942 : Transition of 2/1/2019 2:46 PM Consent Calendar City of San Bernardino Request for Council Action Date: February 6, 2019 To: Honorable Mayor and City Council Members From: Andrea M. Miller, City Manager By: Eric McBride, Assistant Chief of Police Francisco Hernandez, Lieutenant Subject: Authorize the First Amendment to the Vendor Services Agreement with West Coast Lights & Sirens, Inc. Recommendation Adopt Resolution No. 2019-20 of the Mayor and City Council of the City of San Bernardino, California, authorizing the City Manager to execute the First Amendment to Vendor Services Agreement with West Coast Lights & Sirens, increasing the total to $528,280 for FY 2018/19 with one single-year renewal option through June 30, 2020; and authorizing the Director of Finance to increase the Purchase Order issued to West Coast Lights & Sirens, Inc. in an amount not to exceed $528,280 pursuant to San Bernardino Municipal Code 3.04.010(b)(3), purchases approved by the Mayor and City Council. Background On August 1, 2018, a Vendor Service Agreement with West Coast Lights & Sirens was approved in the amount of $253,280 for the purpose of completing the vehicle builds of 22 police patrol units that were not able to be completed by the contractor of record at that time. Discussion West Coast Lights & Sirens is one of only two vendors within a 25-mile radius of the City that are equipped to build police vehicles to the Police Department’s specifications. The second vendor could not meet delivery dates requested for the vehicle builds and their contract was cancelled. West Coast Lights & Sirens delivered twenty-two complete police vehicles within 60 days of the execution of the original agreement. The City and vendor staff work well together to ensure a quality safe police vehicle is delivered as quoted and in a timely manner. The Police Department ordered twenty 2019 Ford Taurus’ in September 2018 and anticipates taking delivery of the new vehicles by mid-February 2019. Ford is still searching for six used Ford Fusions that meet department specifications. Six Ford C- 18.a Packet Pg. 384 Attachment: PD.First Amendment to Agreement with West Coast Lights-Staff Report_FINAL (5943 : Authorize the First Amendment to the 2/1/2019 2:46 PM Max vehicles were delivered early 2018 that need to be outfitted with police safety equipment. The department has seven Crown Victoria’s that were previously used for the SMASH program and still have relatively low mileage, about 40,000 miles, that need some updated equipment in order to be re-entered into the Patrol and/or Community Service Officer fleet. A total of thirty-nine vehicles need safety equipment installed. Total amount based on quotes submitted by the vendor is $266,803 (Attachment 2). Staff is requesting an increase of $275,000 which includes 3% for contingency. 2018-19 Goals and Objectives Amending the current contract for police safety equipment on police vehicles aligns with Goal No. 5: Improve City Government Operations by evaluating operations and performance through investment in resources, technology and tools that are needed to continually improve organizational efficiency and effectiveness. Fiscal Impact The financial impact to the City is $275,000. There is sufficient funding in the FY2018/19 Adopted Budget in account numbers 001-210-0001*5701, 123-210-8652*5701, and 128-210-0087*5701. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino, California: 1. Adopt Resolution No. 2019-20 of the Mayor and City Council of the City of San Bernardino, California, authorizing the City Manager to execute the First Amendment to Vendor Services Agreement with West Coast Lights & Sirens, increasing the total to $528,280 for FY 2018/19 with one single-year renewal option through June 30, 2020; and 2. Authorize the Director of Finance to increase the Purchase Order issued to West Coast Lights & Sirens, Inc. in an amount not to exceed $528,280 pursuant to San Bernardino Municipal Code 3.04.010(b)(3), purchases approved by the Mayor and City Council. Police Vehicle Equipment Builds Vehicle Type Number Cost per Unit Total 2019 Ford Taurus (patrol) 17 $10,650.00 $181,050.00 2019 Ford Taurus (supervisor) 3 $8,601.00 $25,803.00 2018 Ford C-Max 6 $4,500.00 $27,000.00 2018 Ford Fusion (used-unmarked) 6 $3,275.00 $19,650.00 Various Crown Victoria -refit 7 $1,900.00 $13,300.00 Total Cost $266,803.00 18.a Packet Pg. 385 Attachment: PD.First Amendment to Agreement with West Coast Lights-Staff Report_FINAL (5943 : Authorize the First Amendment to the 2/1/2019 2:46 PM Attachments Attachment 1 Resolution, Exhibit A Attachment 2 West Coast Lights & Sirens Quotes Ward: Synopsis of Previous Council Actions: One August 1, 2018, the Mayor and City Council adopted Resolution No. 2018-221, authorizing the issuance of a Purchase Order to West Coast Lights & Sirens in the amount of $253,280 and the execution of a Vendor Service Agreement for the purchase and installation of safety equipment on new police vehicles. On June 7, 2017, the Mayor and City Council adopted Resolution No. 2017-101, authorizing the issuance of a Purchase Order to Innovative Emergency Equipment in the amount of $251,000 and the execution of a Vendor Service Agreement for the purchase and installation of safety equipment on new police vehicles. On December 6, 2017, the Mayor and City Council adopted Resolution No. 2017-235, authorizing the issuance of a Purchase Order to Innovative Emergency Equipment in the amount of $260,000 for the purchase and installation of safety equipment on new 2018 police vehicles and removal of equipment on decommissioned police vehicles. 18.a Packet Pg. 386 Attachment: PD.First Amendment to Agreement with West Coast Lights-Staff Report_FINAL (5943 : Authorize the First Amendment to the Resolution No. 2019-20 RESOLUTION NO. 2019-20 RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, AUTHORIZING THE CITY MANAGER TO EXECUTE THE FIRST AMENDMENT TO VENDOR SERVICES AGREEMENT WITH WEST COAST LIGHTS & SIRENS, INCREASING THE TOTAL TO $528,280 FOR FY 2018-19 WITH ONE SINGLE-YEAR RENEWAL OPTION THROUGH JUNE 30, 2020; AND AUTHORIZING THE DIRECTOR OF FINANCE TO INCREASE THE PURCHASE ORDER ISSUED TO WEST COAST LIGHTS & SIRENS, INC. IN AN AMOUNT NOT TO EXCEED $528,280 PURSUANT TO SAN BERNARDINO MUNICIPAL CODE 3.04.010(B)(3), PURCHASES APPROVED BY THE MAYOR AND CITY COUNCIL WHEREAS, One August 1, 2018, the Mayor and City Council adopted Resolution No. 2018-221, authorizing the issuance of a Purchase Order to West Coast Lights & Sirens in the amount of $253,280 and the execution of a Vendor Service Agreement for the purchase and installation of safety equipment on new police vehicles. BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS: SECTION 1. The above recitals are true and correct and are incorporated herein by this reference. SECTION 2. The City Manager is hereby authorized and directed to execute the First Amendment to Vendor Services Agreement with West Coast Lights & Sirens, increasing the total to $528,280.00 for FY2018/19 with one single-year renewal option through June 30, 2020, attached hereto as Exhibit “A” SECTION 3. The Director of Finance is hereby authorized to increase the purchase order issued to West Coast Lights & Sirens, Inc. to a total of $528,280.00. SECTION 4. That the City Council finds this Resolution is not subject to the California Environmental Quality Act (CEQA) in that the activity is covered by the general rule 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, as in this case, 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. SECTION 5. Severability. If any provision of this Resolution or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications, and to this end the provisions of this Resolution are declared to be severable. 18.b Packet Pg. 387 Attachment: PD.First Amendment to Agreement with West Coast Lights-Reso.doc (5943 : Authorize the First Amendment to the Vendor Resolution No. 2019-20 SECTION 6. Effective Date. This Resolution shall become effective immediately. APPROVED and ADOPTED by the City Council and signed by the Mayor and attested by the City Clerk this ___ day of __________, 2019. John Valdivia, Mayor City of San Bernardino Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 18.b Packet Pg. 388 Attachment: PD.First Amendment to Agreement with West Coast Lights-Reso.doc (5943 : Authorize the First Amendment to the Vendor Resolution No. 2019-20 CERTIFICATION STATE OF CALIFORNIA) COUNTY OF SAN BERNARDINO) ss CITY OF SAN BERNARDINO) I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Resolution No. _____, adopted at a regular meeting held at the ___ day of _______, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 18.b Packet Pg. 389 Attachment: PD.First Amendment to Agreement with West Coast Lights-Reso.doc (5943 : Authorize the First Amendment to the Vendor FIRST AMENDMENT TO VENDOR SERVICE AGREEMENT BETWEEN THE CITY OF SAN BERNARDINO, CALIFORNIA, AND WEST COAST LIGHTS & SIRENS, INC FOR PURCHASE AND INSTALLATION OF SAFETY EQUPMENT IN POLICE VEHICLES OWNED BY THE SAN BERNARDINO POLICE DEPARTMENT THIS AMENDMENT NUMBER ONE TO AGREEMENT is made and entered into this __ day of _ , 2019 (“Effective Date”), by and between the City of San Bernardino, California (“CITY”) and West Coast Lights & Sirens, Inc. (“VENDOR”). WITNESSETH: WHEREAS, CITY and VENDOR entered into the Original Agreement on August 1, 2018; and WHEREAS, CITY and VENDOR seek to amend the Original Agreement by increasing the total annual compensation to the VENDOR. NOW, THEREFORE, the parties hereto agree as follows: 1. Section 2 COMPENSATION AND EXPENSES. a. For services, the CITY, upon presentation of an invoice, shall pay the VENDOR up to the amount of $528,280.00 through June 30, 2019. 2. Section 3 TERM; TERMINATION. Agreement is hereby amended to continue through June 30, 2019, with one (1) single-year option to renew, with written notice from the City prior to June 1 of the preceding year, unless the Agreement is previously terminated as provided. 3. Except for the changes specifically set forth herein, all other terms and conditions of the Agreement shall remain in full force and effect. 18.c Packet Pg. 390 Attachment: PD.First Amendment to Agreement with West Coast Lights-Exhibit A (First Amendment) (5943 : Authorize the First Amendment to FIRST AMENDMENT TO VENDOR SERVICE AGREEMENT BETWEEN THE CITY OF SAN BERNARDINO, CALIFORNIA, AND WEST COAST LIGHTS & SIRENS, INC FOR PURCHASE AND INSTALLATION OF SAFETY EQUPMENT IN POLICE VEHICLES OWNED BY THE SAN BERNARDINO POLICE DEPARTMENT IN WITNESS THEREOF, the parties hereto have executed this Agreement on the day and date set forth below. Dated: ____________, 2019 VENDOR. By: ___________________________ Its: ___________________________ Dated ____________, 2019 CITY OF SAN BERNARDINO By: ___________________________ Andrea M. Miller, City Manager Approved as to Form: Gary Saenz, City Attorney By: ______________________ 2 18.c Packet Pg. 391 Attachment: PD.First Amendment to Agreement with West Coast Lights-Exhibit A (First Amendment) (5943 : Authorize the First Amendment to 18.d Packet Pg. 392 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 393 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 394 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 395 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 396 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 397 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 398 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 399 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 400 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 18.d Packet Pg. 401 Attachment: PD.First Amendment to Agreement with West Coast Lights-Attach 2 (5943 : Authorize the First Amendment to the Vendor Services 19.a Packet Pg. 402 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Staff Report (5944 : Issuance of a Purchase Order to DuraTech USA for the 2018-19 Goals and Objectives The purchase of mobile data computers (MDC) aligns with Goal No. 2: Provide for the Safety of City Residents and Businesses. The installation of MDC equipment will maintain or improve emergency response times. Fiscal Impact The financial impact to the City is $125,000. The bid response included a project cost of $121,176.70. The authorization request includes a 3% contingency amount for a total authorization amount of $125,000. There is sufficient funding in the FY 2018/19 Adopted Budget in account numbers 001-210-0001*5701 and 123-210-8652*5701. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino, California, adopt Resolution No. 2019-21, authorizing the Director of Finance to issue a purchase order to DuraTech USA in an amount not to exceed $125,000 to purchase mobile data computer (MDC) equipment. Attachments Attachment 1 Resolution Attachment 2 RFQ Ward: Synopsis of Previous Council Actions: On June 21, 2017, the Mayor and City Council adopted Resolution No. 2017-115, authorizing the award of a purchase order for the purchase of mobile data computers (MDC) equipment from DuraTech USA, Inc. in an amount not to exceed $161,000. 1/30/2019 2:21 PM 19.a Packet Pg. 403 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Staff Report (5944 : Issuance of a Purchase Order to DuraTech USA for the Resolution No. 2019-21 RESOLUTION NO. 2019-21 RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, AUTHORIZING THE DIRECTOR OF FINANCE TO ISSUE A PURCHASE ORDER TO DURATECH USA IN AN AMOUNT NOT TO EXCEED $125,000 TO PURCHASE MOBILE DATA COMPUTER (MDC) EQUIPMENT WHEREAS, DuraTech USA was selected as the sole qualified bidder through formal bid F-19-27 in January 2019; and BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS: SECTION 1. The above recitals are true and correct and are incorporated herein by this reference. SECTION 2. The Director of Finance is hereby authorized to issue a Purchase Order to DuraTech USA in an amount not to exceed $125,000, for the purchase of mobile data computer (MDC) equipment. SECTION 3. That the City Council finds this Resolution is not subject to the California Environmental Quality Act (CEQA) in that the activity is covered by the general rule 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, as in this case, 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. SECTION 4. Severability. If any provision of this Resolution or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications, and to this end the provisions of this Resolution are declared to be severable. SECTION 5. Effective Date. This Resolution shall become effective immediately. APPROVED and ADOPTED by the City Council and signed by the Mayor and attested by the City Clerk this ___ day of __________, 2019. John Valdivia, Mayor City of San Bernardino Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 19.b Packet Pg. 404 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Reso.doc (5944 : Issuance of a Purchase Order to DuraTech USA for the Resolution No. 2019-21 CERTIFICATION STATE OF CALIFORNIA) COUNTY OF SAN BERNARDINO) ss CITY OF SAN BERNARDINO) I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Resolution No. _____, adopted at a regular meeting held at the ___ day of _______, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 19.b Packet Pg. 405 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Reso.doc (5944 : Issuance of a Purchase Order to DuraTech USA for the 19.c Packet Pg. 406 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Attach 2 (5944 : Issuance of a Purchase Order to DuraTech USA for the 19.c Packet Pg. 407 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Attach 2 (5944 : Issuance of a Purchase Order to DuraTech USA for the 19.c Packet Pg. 408 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Attach 2 (5944 : Issuance of a Purchase Order to DuraTech USA for the 19.c Packet Pg. 409 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Attach 2 (5944 : Issuance of a Purchase Order to DuraTech USA for the 19.c Packet Pg. 410 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Attach 2 (5944 : Issuance of a Purchase Order to DuraTech USA for the 19.c Packet Pg. 411 Attachment: PD.Authorize Issuance of Purchase Order to DuraTech-Attach 2 (5944 : Issuance of a Purchase Order to DuraTech USA for the 20.a Packet Pg. 412 Attachment: CM.BCCAC.01.Meeting Dates, Times & Locations.STAFF REPORT (5945 : City of San Bernardino Boards, Commissions, and Fiscal Impact There is no fiscal impact to the City. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino, California, adopt Resolution No. 2019-22, amending the regular meeting dates, times, and locations for City Boards, Commissions, and Citizen Advisory Committees, and repealing Resolution No. 2018-276. Attachments Attachment 1 Resolution No. 2019-22 - Exhibit A - Board, Commission and Citizen Advisory Committee Regular Meeting Dates, Times, and Locations Ward: Synopsis of Previous Council Actions: • October 3, 2018, the Mayor and City Council adopted Resolution No. 2018-276 establishing regular meeting times for the City’s boards, commissions, and citizen advisory committees. 1/31/2019 12:26 PM 20.a Packet Pg. 413 Attachment: CM.BCCAC.01.Meeting Dates, Times & Locations.STAFF REPORT (5945 : City of San Bernardino Boards, Commissions, and Resolution No. 2019-22 RESOLUTION NO. 2019-22 RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO, CALIFORNIA, AMMENDING THE REGULAR MEETING DATES, TIMES, AND LOCATIONS FOR CITY BOARDS, COMMISSIONS, AND CITIZEN ADVISORY COMMITTEES AND REPEALING RESOLUTION NO. 2018-276 WHEREAS, Section 601 of the City Charter stipulates that the rules and regulations pertaining to the conduct of board, commission, or committee business will be established with five affirmative votes of the Mayor and entire City Council; and WHEREAS, the Mayor and City Council find it to be in the best interests of the City to set forth regular meeting dates, times, and locations for the City’s boards, commissions, and citizen advisory committees; and WHEREAS, there is a need to amend the schedule for the regular meeting dates, times and locations of the City’s boards, commissions, and citizen advisory committees to include the Arts and Historical Preservation Commission. BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS: SECTION 1. The above recitals are true and correct and are incorporated herein by this reference. SECTION 2. The regular meeting dates, times and locations for the City’s boards, commissions, and citizen advisory committees are hereby set as described in Exhibit A, which is attached hereto and incorporated herein by this reference. SECTION 3. When necessary, and in compliance with the Ralph M. Brown Act, regular board, commission, and citizen advisory committee meetings may be held in another location. SECTION 4. Severability. If any provision of this Resolution or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications, and to this end the provisions of this Resolution are declared to be severable. SECTION 5. Effective Date. This Resolution shall become effective immediately. APPROVED and ADOPTED by the Mayor and City Council and signed by the Mayor and attested by the City Clerk this ___ day of __________, 2019. John Valdivia, Mayor City of San Bernardino 20.b Packet Pg. 414 Attachment: CM.BCCAC.02.Meeting Dates, Times & Locations.RESOLUTION (5945 : City of San Bernardino Boards, Commissions, and Citizen Resolution No. 2019-22 Attest: __________________________________ Georgeann Hanna, MMC, City Clerk Approved as to form: __________________________________ Gary D. Saenz, City Attorney 20.b Packet Pg. 415 Attachment: CM.BCCAC.02.Meeting Dates, Times & Locations.RESOLUTION (5945 : City of San Bernardino Boards, Commissions, and Citizen Resolution No. 2019-22 CERTIFICATION STATE OF CALIFORNIA ) COUNTY OF SAN BERNARDINO) ss CITY OF SAN BERNARDINO ) I, Georgeann Hanna, MMC, City Clerk, hereby certify that the attached is a true copy of Resolution No. _____, adopted at a regular meeting held at the ___ day of _______, 2019 by the following vote: Council Members: AYES NAYS ABSTAIN ABSENT SANCHEZ _____ _____ _______ _______ IBARRA _____ _____ _______ _______ VACANT _____ _____ _______ _______ SHORETT _____ _____ _______ _______ NICKEL _____ _____ _______ _______ RICHARD _____ _____ _______ _______ MULVIHILL _____ _____ _______ _______ Mayor: AYES NAYS ABSTAIN ABSENT VALDIVIA _____ _____ _______ _______ WITNESS my hand and official seal of the City of San Bernardino this ___ day of ____________ 2019. ______________________________ Georgeann Hanna, MMC, City Clerk 20.b Packet Pg. 416 Attachment: CM.BCCAC.02.Meeting Dates, Times & Locations.RESOLUTION (5945 : City of San Bernardino Boards, Commissions, and Citizen EXHIBIT A City of San Bernardino Board, Commission and Citizen Advisory Committee Meeting Dates, Times and Locations Board/Commission/ Committee Summary Meeting Time Meeting Location Animal Control Commission This nine (9) member commission, established by Resolution No. 2018- 45, is charged with providing advisory recommendations to the Mayor, City Council and City staff on strategies, policies, and programs designed to ensure quality care for animals housed at the City of San Bernardino’s Animal Shelter; increasing awareness of animals available for adoption at the shelter; and educating the community regarding the humane treatment of animals and other matters related to animal shelter services. Second Wednesday of each month at 4 p.m. Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Arts and Historical Preservation Commission Established by Resolution No. 2018-97, this nine (9) member commission advises the Mayor, City Council and City Staff on matters pertaining to the arts, culture, and historic preservation and heritage in the City. The commission is also charged with serving in an advisory capacity to the Planning Commission in making recommendations relating to the designation, preservation and protection of historical properties. Third Monday of each month at 4 p.m. Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Building and Accessibility Appeals Board This five (5) member appeal board established under Municipal Code Chapter 2.45 is comprised of two (2) physically disabled members, two (2) members experienced in building construction, and one (1) member of the general public. The board is tasked with hearing appeals associated with the decisions made by the City’s Building Official relative to the application and interpretation of the California Building, Fire, Plumbing, Mechanical and Electrical Codes and compliance with both State and Federal disabled access regulations. Meets as needed Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Charter Review Committee This nine (9) member committee, established by Resolution No. 2017- 243, is tasked with completing a periodic review of the City Charter to identify potential amendments that enhance clarity, efficiency, and the principles of the council-manager form of government. Meets as needed Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 1 | Page Prepared: 11.28.18 20.c Packet Pg. 417 Attachment: CM.BCCAC.03.Meeting Dates, Times and Locations List EXHIBIT A (5945 : City of San EXHIBIT A City of San Bernardino Board, Commission and Citizen Advisory Committee Meeting Dates, Times and Locations Board/Commission/ Committee Summary Meeting Time Meeting Location Elected Official Compensation Advisory Commission Required by Section 305 of the City Charter and established by Municipal Code Chapter 2.19, this nine (9) member commission is charged with evaluating and making compensation recommendations to the Mayor and City Council for the City’s elected officials. Meets as needed Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Library Board Established under City Charter Section 602, this five (5) member board is responsible for: providing adequate library services; appointing a Library Director; administering the Library budget allocated by the City Council; making and enforcing all rules and regulations applicable to library services; and administering such additional matters as may be determined by ordinance. Second Tuesday of each month at 3 p.m. Feldheym Central Library Administration Board Room located at 555 West 6th Street, San Bernardino, CA 92410 Measure "Z" Citizens Oversight Committee This nine (9) member oversight committee, is charged with reviewing and reporting annually on the use of the proceeds from the quarter cent general sales tax established by Measure “Z” beginning on April 1, 2007 for a 15 year period. The revenue generated from the Measure “Z” sales tax are to be used to fund police officers along with anti-gang and anti-crime operations, including drug resistance education and supervised after-school youth activities. Meets as needed Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Parks, Recreation and Community Services Commission This is a nine (9) member commission, established by Resolution No. 2018-47, charged with advising the Mayor, City Council, and City staff on community needs for the purpose of establishing City priorities, goals and objectives with respect to parks, recreation and community services, youth services, and senior services; and evaluating community agencies and organizations receiving City funds for the purpose of providing recreation services, youth and senior services. Third Thursday of each month at 4 p.m. Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 2 | Page Prepared: 11.28.18 20.c Packet Pg. 418 Attachment: CM.BCCAC.03.Meeting Dates, Times and Locations List EXHIBIT A (5945 : City of San EXHIBIT A City of San Bernardino Board, Commission and Citizen Advisory Committee Meeting Dates, Times and Locations Board/Commission/ Committee Summary Meeting Time Meeting Location Personnel Commission Established under City Charter Section 604, this five (5) member board is responsible solely for hearing appeals of disciplinary action filed by City employees, subject to the provisions of adopted labor agreements. Second and fourth Tuesday of each month at 8:30 a.m. as required to hear disciplinary appeals Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Planning Commission This nine (9) member Commission, established under Municipal Code Chapter 2.22, is tasked with advising the Mayor, City Council and City staff on the physical development of the city, including zoning, building, land use and related matters. Second Tuesday of each month at 6 p.m. Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Public Safety and Human Relations Commission This nine (9) member commission, established by Resolution No. 2018- 46 is charged with studying and making recommendations to the Mayor and City Council on matters concerning the City’s law enforcement and fire services, emergency preparedness and traffic safety (including traffic law enforcement and traffic engineering). Second Monday of each month at 6:00 p.m. Council Chamber at 201 North “E” Street, San Bernardino, CA 92401 Water Board Established under City Charter Section 603, this five (5) member board is responsible for: the oversight and management of the City’s water supply, recycled water, wastewater collection and treatment; employing such persons as may be needed for the proper administration of the City’s water and wastewater systems; setting and collecting water and wastewater rates, fees and charges; allocating all receipts and expenditures to separate, independent, water and sewer funds in accordance with State law; providing for an annual, independent audit of all water and wastewater accounts; compensating members of the Water Board; collaborating with the Mayor, City Council, and the City Manager on matters concerning the City’s water and wastewater systems; and establishing and periodically reviewing and revising such rules and regulations as may be appropriate for managing the City’s water and wastewater systems. Second and fourth Tuesday of each month at 9:30 a.m. Water Department Boardroom located at 399 Chandler Place, San Bernardino CA, 92408 3 | Page Prepared: 11.28.18 20.c Packet Pg. 419 Attachment: CM.BCCAC.03.Meeting Dates, Times and Locations List EXHIBIT A (5945 : City of San 21.a Packet Pg. 420 Attachment: CM.City Manager Purchasing Authority.SR (5946 : City Manager Purchasing Authority) In response to this request for information from Council Member Sanchez, the City’s Purchasing Manager surveyed 91 California cities with purchasing authorities listed online in order to provide updated information (Attachment 2). The purchasing authority for the cities surveyed ranges from $5,000 (Placerville population of 10,700) to $1,000,000 (Irvine population 257,000 – requires pre-approval during budget process). The average of all 91 cities is $61,842 (excluding Irvine). It’s important to keep in mind that the purchasing authority must coincide with the approved in the budget. The City Manager provides a monthly Purchase Order report to the Mayor and City Council. Purchase Orders are the mechanism by which contracts and agreements are paid. If the Mayor and City Council so desire, this report could also be included with the Commercial Check approval item at each council meeting. 2018-19 Goals and Objectives The City Manager’s current purchasing authority aligns with Goal No. 5. Improve City Government Operations. Fiscal Impact None. Conclusion It is recommended that the Mayor and City Council receive and file this report concerning the City Manager’s purchasing authority. Attachments Attachment 1 Ordinance No. MC-1413 - Purchases Attachment 2 2019 City Manager Purchasing Authority Survey of CA Cities Ward: All Synopsis of Previous Council Actions: On April 6, 2015, the Mayor and City Council adopted Ordinance No MC-1413 amending Chapter 3 of the Municipal Code. 1/31/2019 12:40 PM 21.a Packet Pg. 421 Attachment: CM.City Manager Purchasing Authority.SR (5946 : City Manager Purchasing Authority) Adopted: April 6, 2015 Effective:May 6, 2015 1 ORDINANCE NO. MC-1413 2 ORDINANCE OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN 3 BERNARDINO AMENDING SECTIONS 3.04.070, 3.04.080, 3.04.085, AND 3.04.115 OF THE SAN BERNARDINO MUNICIPAL CODE RELATING TO PURCHASES. 4 5 THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN 6 BERNARDINO DO ORDAIN AS FOLLOWS: 7 SECTION 1. Section 3.04.070 of the San Bernardino Municipal Code is hereby 8 amended to read as follows: 9 10 3.04.070 Formal Contract Procedure. 11 Except as otherwise provided in this Chapter, purchases and contracts for supplies, 12 materials and equipment of a value greater than fifty thousand dollars shall be by a written 13 contract with the lowest possible and best bidder, pursuant to the procedures described in this 14 section. 15 16 A. Notice Inviting Bids. Notice inviting bids shall include a general description of the 17 articles to be purchased, shall state where bid blanks and specifications may be 18 secured, and the time and place for opening bids. 19 B. Notice, Publication and Mailing. Notice inviting bids shall be published at least ten 20 days before the opening of bids in a newspaper of general circulation printed and 21 published in the City. 22 23 The Purchasing Agent may establish and maintain a list of prospective bidders. The 24 prospective bidders shall be listed on said list according to the service or product 25 provided as indicated by the prospective bidder. It shall not be the responsibility of 26 the Purchasing Agent to ensure that the list contains current information in respect 27 to the address, service or product of the prospective bidder. The Purchasing Agent is 28 Attachment 1 21.b Packet Pg. 422 Attachment: CM.City Manager Purchasing Authority. Attachment 1. MC-1413 - Purchasing 4-6-15 (5946 : City Manager Purchasing Authority) 1 authorized to mail invitations to bid directly to appropriate prospective bidders 2 appearing on said list and to other prospective bidders. 3 C. Bidder's Security. Each bid or proposal may be required by the Purchasing Agent to 4 be accompanied by a bidder's bond, certified or cashier's check, or cash in an amount not more than ten percent of the total bid. The City Manager shall establish 5 standards for determining under what circumstances a bidder's security shall be 6 required in order to protect the interests of the City. When deemed necessary by the 7 City Manager, bidder's security may be prescribed in the public notices inviting 8 bids. When bid security is required, bidders shall be entitled to return of bid security, 9 provided that a successful bidder shall forfeit his bid security upon refusal or failure 10 to execute the contract within ten days after the notice of award has been mailed, 11 unless and to the extent the City is responsible for the delay. The Common Council 12 may, on refusal or failure of the successful bidder to execute the contract, award it to 13 the next lowest and best bidder. If the Common Council awards the contract to the 14 next lowest and best bidder, the amount of the lowest bidder's required security 15 shall be applied by the City to the difference between the low bid and the second lowest bid and the surplus, if any, shall be returned to the lowest bidder. 16 17 D. Bid Opening Procedure. Sealed bids shall be submitted to the Purchasing Agent and 18 shall be identified as bids on the envelope. Bids shall be opened in public at the time 19 and place stated in the public notices. A record of the bids received shall be 20 available for public inspection after bids have been opened, indicating the amounts 21 bid by the various bidders and the basis for awarding the contract or purchase order 22 if other than the lowest bidder. Such list shall be available for thirty days after the 23 award has been made. 24 25 E. Rejection of Bids. At its discretion, the Mayor and Common Council shall have the 26 power to reject any and all bids presented and readvertise for bids. 27 28 2 21.b Packet Pg. 423 Attachment: CM.City Manager Purchasing Authority. Attachment 1. MC-1413 - Purchasing 4-6-15 (5946 : City Manager Purchasing Authority) C-1413 1 F. Award of Contracts. Contracts shall be awarded by the Mayor and Common 2 Council, by resolution, to the lowest and best bidder except as otherwise provided 3 herein. 4 G. Tie Bids. If two or more bids received are for the same total amount or unit price, 5 quality and service being equal and if the public interest will not permit the delay of 6 readvertising for bids, the Mayor and Common Council may accept the one it chooses or accept the lowest bid made by negotiation with the tie bidders at the time s of the bid opening. 9 10 H. Performance Bonds. The Mayor and Common Council shall have authority to 11 require a performance bond before executing a contract in such amount as it shall 12 find reasonably necessary to protect the best interests of the City. If the Mayor and 13 Common Council require a performance bond, the form and amount of the bond 14 shall be described in the notice inviting bids. 15 I. Negotiated Purchases. At the discretion of the City Manager, the Purchasing Agent 16 may authorize the purchase of technical or specialized supplies and equipment by 17 competitive negotiation when such a method of purchase would be more is advantageous to the City, and any one of the following conditions exists: 19 20 1. The supplies or equipment are such that suitable technical or performance 21 specifications are not readily available; 22 23 2. The City is not able to develop descriptive specifications; or, 24 25 3. The quality of the supplies and equipment cannot be accurately determined 26 by reference to their specifications alone. 27 2s 3 21.b Packet Pg. 424 Attachment: CM.City Manager Purchasing Authority. Attachment 1. MC-1413 - Purchasing 4-6-15 (5946 : City Manager Purchasing Authority) MC-1413 1 At the completion of such a negotiated purchase a written report thereon 2 shall be made to the City Manager." 3 SECTION 2. Section 3.04.080 of the San Bernardino Municipal Code is hereby 4 amended to read as follows: 5 6 3.04.080 Open market procedure. Purchase of supplies, materials, and equipment of a value in the amount of fifty s thousand dollars or less may be made by the Purchasing Agent in the open market, in 9 accordance with the following procedure: 10 11 A. Minimum Number of Bids. Open market purchases shall, wherever possible, be 12 based on at least three bids, and shall be awarded to the lowest and best bidder. 13 14 B. Notice Inviting Bids. The Purchasing Agent shall solicit bids by written requests or 15 by telephone to prospective vendors. 16 C. Written Bids. Sealed written bids shall be submitted to the Purchasing Agent who 17 shall keep a record of all open market orders and bids for the required period of time is after the submission of bids or the placing of orders. This record while so kept shall 19 be open to public inspection. 20 21 D. Open Market Purchases For Which No Bids Are Required. For open market 22 purchases not exceeding twenty-five hundred dollars, the Purchasing Agent shall 23 have the authority to select a specific vendor and place an order without obtaining 24 additional competitive bids." 25 26 SECTION 3. Section 3.04.085 of the San Bernardino Municipal Code is hereby amended to read as follows: 27 2s 4 21.b Packet Pg. 425 Attachment: CM.City Manager Purchasing Authority. Attachment 1. MC-1413 - Purchasing 4-6-15 (5946 : City Manager Purchasing Authority) MC-1413 1 3.04.085 Services. 2 A. The Purchasing Agent may contract for services of a value of fifty thousand dollars 3 or less in accordance with the following procedure: 4 1. Minimum Number of Proposals. Contracts for services shall, whenever 5 possible, be based on at least three proposals, and shall be awarded to the 6 provider who can best meet the needs of the City. Although cost shall be considered by the Purchasing Agent in entering into such contracts, it shall 8 not be the sole determining factor. 9 10 2. Request for Proposals (RFP). The Purchasing Agent shall solicit proposals 11 by written requests or by telephone to prospective providers. 12 13 3. Written Proposals. Sealed written proposals shall be submitted to the 14 Purchasing Agent, who shall keep a record of all such proposals for not less 15 than 180 days. This record while kept shall be open to public inspection. 16 4. Contractual Services For Which No Proposals Are Required. For contractual 17 services not exceeding twenty-five hundred dollars in value, the Purchasing la Agent shall have the authority to select a specific provider and enter into a 19 contract without obtaining additional proposals. 20 21 B. Contractual services with a value in excess of fifty thousand dollars must be 22 approved by the Mayor and Common Council pursuant to Requests for Proposals as 23 authorized by the Mayor and Common Council. 24 25 C. The provisions of Subsection A above shall not apply to contracts for special 26 counsel services which are provided for pursuant to Chapter 2.20 of this Code." 27 28 5 21.b Packet Pg. 426 Attachment: CM.City Manager Purchasing Authority. Attachment 1. MC-1413 - Purchasing 4-6-15 (5946 : City Manager Purchasing Authority) MC-1413 1 SECTION 4. Section 3.04.115 of the San Bernardino Municipal Code is hereby 2 amended to read as follows: 3 4 Section 3.04.115 CityManage, Any duty or responsibility given to the Purchasing Agent by this Chapter may likewise 5 be performed or fulfilled by the City Manager or his or her designee." 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 6 21.b Packet Pg. 427 Attachment: CM.City Manager Purchasing Authority. Attachment 1. MC-1413 - Purchasing 4-6-15 (5946 : City Manager Purchasing Authority) C-1413 1 ORDINANCE OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN BERNARDINO AMENDING SECTIONS 3.04.070, 3.04.080, 3.04.085, AND 3.04.115 OF 2 THE SAN BERNARDINO MUNICIPAL CODE RELATING TO PURCHASES. 3 I HEREBY CERTIFY that the foregoing Ordinance was duly adopted by the Mayor and 4 Common Council of the City of San Bernardino at a joint regular meeting thereof, held on the 5 6th day of April, 2015, by the following vote, to wit: 6 7 COUNCIL MEMBERS: AYES NAYS ABSTAIN ABSENT 8 MARQUEZ x 9 BARRIOS 10 VALDIVIA 11 SHORETT x 12 13 NICKEL x 14 JOHNSON x 15 MULVIHILL x 16 17 18 Georgeann anna, it Jerk 19 The foregoing Ordinance is hereby approved this 17 day of April, 2015. 20 21 R. Carey Davi , Mayor 22 City of San rnardino 23 Approved as to form: 24 Gary D. Saenz, City Attorney 25 26 By:' 27 28 7 21.b Packet Pg. 428 Attachment: CM.City Manager Purchasing Authority. Attachment 1. MC-1413 - Purchasing 4-6-15 (5946 : City Manager Purchasing Authority) 2019 City Manager Purchasing Authority Survey - California cities Attachment 2 City CM Contract Authority Population Notes Alameda 75,000$ 79,928 Albany 25,000$ 18,988 Aliso Viejo 25,000$ 50,312 Anaheim 50,000$ 350,742 Apple Valley 50,000$ 70,000 Belmont 50,000$ 27,594 $175K for CIP contracts Berkeley 25,000$ 121,238 Burlingame 100,000$ 30,148 Campbell 25,000$ 42,726 Chino 25,000$ 85,595 Chula Vista 250,000$ 265,757 Threshold for professional services is $50,000 Colma 75,000$ 1,506 Corona 100,000$ 164,226 Cupertino 175,000$ 58,917 Daly City 75,000$ 109,287 Dublin 45,000$ 59,686 East Palo Alto 27,000$ 30,340 Encinitas 100,000$ 62,288 Fairfield 25,000$ 114,157 Fontana 25,000$ 207,460 Foster City 30,000$ 33,225 Fremont 100,000$ 232,206 Gilroy 100,000$ 55,936 Half Moon Bay 35,000$ 12,591 Consulting services $30K, Non-consulting services $40K, Public works projects $200K Hayward 75,000$ 161,040 Hemet 50,000$ 83,861 Hillsborough 30,000$ 11,753 Public works projects $100K Huntington Beach 100,000$ 201,000 La Palma 25,000$ 15,984 La Quinta 50,000$ 40,000 Livermore 100,000$ 89,648 Long Beach 100,000$ 475,000 Los Altos 75,000$ 31,402 21.c Packet Pg. 429 Attachment: CM.City Manager Purchasing Authority Survey 2018.Attachement 2 (5946 : City Manager 2019 City Manager Purchasing Authority Survey - California cities Attachment 2 City CM Contract Authority Population Notes Los Altos Hills 15,000$ 8,634 Los Gatos 50,000$ 31,314 Martinez 100,000$ 37,658 Menlo Park 66,687$ 35,670 Millbrae 50,000$ 23,168 Milpitas 100,000$ 75,410 UPCCAA contracts up to $60K Mission Viejo 97,000$ 96,718 Modesto 50,000$ 211,266 Monte Sereno 15,000$ 3,501 Monterey 40,000$ 28,828 Public works projects $100K Moreno Valley 50,000$ 204,198 Public works projects $50K Morgan Hill 25,000$ 44,145 Mountain View 10,000$ 79,278 Newark 50,000$ 45,422 Oakland 250,000$ 426,074 Oceanside 50,000$ 176,461 UPCCAA $60K - $200K Ontario 100,000$ 171,214 Orange 30,000$ 135,000 Oxnard 100,000$ 210,137 UPCCAA $60K - $200K Pacifica 50,000$ 38,124 Palm Springs 25,000$ 48,142 Palo Alto 25,000$ 68,691 Pasadena 75,000$ 143,333 Pico Rivera 30,000$ 64,046 Piedmont 75,000$ 11,283 Placentia 25,000$ 52,268 Placerville 5,000$ 10,743 Pleasanton 76,000$ 75,916 Pomona 30,000$ 152,939 UPCCAA $60K - $200K Portola Valley 25,000$ 4,707 Rancho Cucamonga 100,000$ 175,236 Redlands 50,000$ 71,554 Redwood City 60,000$ 85,601 Riverside 50,000$ 322,424 21.c Packet Pg. 430 Attachment: CM.City Manager Purchasing Authority Survey 2018.Attachement 2 (5946 : City Manager 2019 City Manager Purchasing Authority Survey - California cities Attachment 2 City CM Contract Authority Population Notes Sacramento 100,000$ 474,000 San Bruno 25,000$ 45,295 San Carlos 75,000$ 29,311 San Leandro 50,000$ 88,274 San Mateo 100,000$ 103,426 San Ramon 50,000$ 80,550 Santa Ana 25,000$ 334,909 Santa Barbara 35,000$ 93,063 Santa Clara 100,000$ 123,983 Santa Clarita 50,000$ 182,371 UPCCAA up to $175K Santa Cruz 100,000$ 65,070 Saratoga 25,000$ 30,569 Seal Beach 32,267$ 24,890 Tied to Public Works bidding threshold Simi Valley 100,000$ 126,000 South San Francisco 75,000$ 65,451 Stockton 74,999$ 305,658 Sunnyvale 100,000$ 149,831 Twentynine Palms 25,000$ 26,919 Union City 75,000$ 73,452 Public works projects $200K Victorville 50,000$ 122,225 Woodland 50,000$ 59,616 Woodside 20,000$ 5,666 Average 61,842$ Irvine 1,000,000$ 256,927 pre-approval required during budget process. 21.c Packet Pg. 431 Attachment: CM.City Manager Purchasing Authority Survey 2018.Attachement 2 (5946 : City Manager 22.a Packet Pg. 432 Attachment: CM.Cannabis Business Permit.Staff Report. (5947 : Commercial Cannabis Business Permit Application Process) maximum of 5 permits to applicants for any of the specific business types (i.e., cultivation, distribution, manufacturing, microbusiness, retail, and testing). The City Council may adjust the distribution of permits by business type by resolution. The City Code also requires that the City issue a 10-day public hearing notice to all property owners located within six hundred feet of the proposed business location of the applicants. These notices will be issued once the scoring is complete. Staff tentatively plans to schedule a Special Meeting of the City Council for February 21, 2019, at 5:30 p.m. to review, discuss, and provide direction on the applications. Financial Impact Commercial Cannabis Business Permit applicants were required to pay an application fee to recover the City’s costs in processing the permits. Once Commercial Cannabis Business Permits are issued and businesses are operating, it is anticipated the City will receive revenues related to the business activities. 2018-2019 Goals and Objectives Facilitating business activity in the City aligns with Goal No. 3: Create, Maintain and Grow Jobs and Economic Value in the City. Conclusion It is recommended the Mayor and City Council receive and file this report. 2/1/2019 8:26 AM 22.a Packet Pg. 433 Attachment: CM.Cannabis Business Permit.Staff Report. (5947 : Commercial Cannabis Business Permit Application Process) 24.a Packet Pg. 434 Attachment: CM.Legislative Office Staffing.01.Staff Report 2.6.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 2/1/2019 9:09 AM The FY 2018/19 Adopted Budget related to the Mayor’s Office includes fundin g in the amount of $305,692 for three (3) dedicated full-time positions. These positions, that are currently filled, include: One (1) Chief of Staff (U); One (1) Assistant to the Mayor II (U); and One (1) Assistant to the Mayor III (U). In addition to the funding for the Mayor’s Office, the FY 2018/19 Adopted Budget for the legislative function includes funding in the amount of $370,378 for four (4) dedicated full-time positions that support the City Council. Three of these positions are currently filled, and there is one vacancy. The funded positions include: One (1) Executive Staff Assistant to City Council (U); One (1) Council Administrative Supervisor (U); and Two (2) Administrative Assistants to City Council (U). Mayor’s Alternative Staffing Model Following the discussion at the January 16, 2019, City Council meeting, the Mayor proposed an alternative staffing model for his office. This proposal would be to maintain the three (3) dedicated full-time positions that include the Chief of Staff (U), Assistant to the Mayor II (U), and Assistant to the Mayor III (U), and add the following positions reporting to the Mayor’s Chief of Staff : One (1) Assistant to the Mayor III (Full-time/U) to serve as the Communications Director for the Mayor to assist in his role as the chief spokesman for the City; One (1) Senior Customer Service Representative (Full-time/U) to serve as front office receptionist; and Two (2) Legislative Field Representatives (Part-time/U) to serve as liaison between the Mayor and constituents, district organizations, local governments, and state and federal agencies and monitor pertinent local issues, especially those involving local agencies, and keep the Mayor, Councilmembers and staff up to date on pending matters. Under this service model, there would be a five (5) support staff and two (2) part -time staff dedicated to the Mayor’s Office equating to 240 staff hours per week. The additional cost of the two (2) new full-time and two (2) part-time positions in the Mayor’s Office would be between $175,634 and $263,919 annually depending on the starting salary placement. Assuming the new positions will be filled as early as March 2019, the additional cost in FY 2018/19 is nearly $87,973 (Four (4) months of top step salary and benefits). The job specifications for the existing classifications within the Offices of the Mayor and City Council were developed before the adoption of the new City Charter. Prior to moving forward with adding and filling additional positions, the job descriptions will need to be updated to conform to the City Charter and address the support needs identified by the Mayor. 24.a Packet Pg. 435 Attachment: CM.Legislative Office Staffing.01.Staff Report 2.6.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 2/1/2019 9:09 AM Model Developed in Collaboration with Council Member Nickel Based on January 16, 2019, City Council Discussion As directed by the City Council, the City Manage r worked with Councilmember Nickel to further develop the model he presented verbally during the January 16 meeting and address comments from the City Council during the discussion. The staffing model identified by Councilmember Nickel combines and reconfigures the support staff function of the City’s legislative branch. The proposed staffing structure would reduce the number of full-time employees in the legislative offices from seven (7) to five (5) and add part-time, non-benefited, field representatives and interns. By replacing two (2) full- time positions with part-time personnel, the legislative office will receive 400 dedicated support staff hours per week as compared to the 280 support staff hours provided for under the existing support staff structure. Under this model, the Mayor and City Council members will be able to hire field representatives and interns equivalent to five (5) full- time employees (part-time, non-benefited employees are restricted to 1,000 hours within a 12-month period). The number of part-time personnel will be determined by the funding allocated in the adopted budget, the established salary range and the salary step for the selected personnel. The proposed staffing model would provide for two (2) full-time employees dedicated to supporting the Mayor’s office and three (3) full-time employees supporting the entire legislative branch of the City including both the offices of the Mayor and City Council. The adoption of this staffing model will require the use of a combination of existing and new job classifications including: Title Job Classification Status Reporting Structure One (1) Chief of Staff to the Mayor (U) Existing Full- Time Mayor One (1) Executive Assistant to the Mayor (U) Existing Full- Time Mayor’s Chief of Staff One (1) or more part-time non- benefited interns Existing Part- Time Mayor’s Chief of Staff One (1) Legislative Director (U) New Full- Time Legislative Staff Committee One (1) Legislative Assistant (U) New Full- Time Legislative Director One (1) Administrative Assistant (U) New Full- Time Legislative Director Four (4) or more part-time non- benefited Legislative Field Representatives New Part- Time Legislative Director Implementation of this service model will result in either a modest cost decrease of $27,063 each year or an increase of $112,948, as compared to the FY 2018/19 Adopted Budget depending upon the established salary ranges and starting salary placements of selected personnel. 24.a Packet Pg. 436 Attachment: CM.Legislative Office Staffing.01.Staff Report 2.6.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 2/1/2019 9:09 AM Six (6) of the seven (7) budgeted positions within the offices of the Mayor and City Council are filled. Realigning the support staff functions as identified above will impact existing staff in both the offices of the Mayor and City Council and require classification and compensation changes for four (4) employees. If the Mayor and City Council elect to move forward with this option the City will need to meet and confer with the impacted personnel. The job specifications for the existing classifications within the Offices of the Mayor and City Council were developed before the adoption of the new City Charter. Prior to moving forward with adding and filling additional positions, the job descripti ons will need to be updated to conform to the City Charter and address identified support needs. To establish new classifications, job descriptions will need to be developed following a classification and compensation analysis and presented to the Mayor and City Council for approval. Recruitment, Selection and Reporting Structure The staffing proposal identified by Councilmember Nickel would establish a legislative staff committee comprised of the Mayor, Mayor Pro Tempore and a Councilmember. The committee would be tasked with interviewing and recommending a Legislative Director candidate for appointment. The selected candidate would be considered for appointment by the City Council at a Regular or Special meeting and appointed by four (4) affirmative votes unless vetoed by the Mayor. The Legislative Director would be responsible for supervising the legislative office staff supporting both the Offices of the Mayor and City Council and report to the legislative staff committee. On at least a quarterly basis the Legislative Director will submit a report documenting the performance of the legislative staff during the public portion of Re gular City Council meeting. The Mayor’s Chief of Staff would be responsible for managing the Mayor’s office personnel including the Executive Assistant to the Mayor and part-time interns. Under this proposal, candidates for the legislative office positions would be selected following an open recruitment in keeping the City’s competitive recruitment process, accepting applications submitted on-line, followed by application review, candidate interviews and selection. Visioning Workshop At the January 16, 2019, meeting, the City Manager was also directed to schedule a Visioning Workshop to discuss issues related to the organization of government for the Mayor and City Council for February 2019. This Workshop has been scheduled for Monday, February 11, 2019, at 5:30 p.m. in the Council Chamber. Beginning in 2017, the Mayor, City Council and City Manager implemented regular Strategic Planning or visioning sessions that resulted in a shared vision of the future, a clear statement by the Mayor and City Council about the job of the City and the paradigm under which we work and the expectations. This practice of strategic planning and development of a shared vision among policy -makers through the adoption of goals and objectives that form the basis of t he annual budget and Capital 24.a Packet Pg. 437 Attachment: CM.Legislative Office Staffing.01.Staff Report 2.6.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 2/1/2019 9:09 AM Improvement Plan (CIP) and long-term planning documents such as the General Plan, specific plans, and policies, which are then implemented by the City’s administrative staff, is practiced by successful communities throughout the state. On March 5, 2018, the Mayor and City Council adopted a clear vision, job statement and operating paradigm (Resolution No. 2018-130; adopted March 5, 2018) which are being shared throughout the City organization to ensure the City staff is meetin g the City Council’s expectations. During these discussions, the Mayor and City Council also established the FY 2018/19 Goals and Objectives. The Goals and Objectives, adopted by the City Council, guide the development of the annual operating Budget and CIP and facilitate the annual appraisal of the City Manager’s performance. With the upcoming budget development process beginning, it is important that we begin discussions about the goals and expectations for FY 2019/20. This will provide the opportunity for the Mayor and City Council to share their objectives and the strategies to be employed to achieve these objectives and enable the City staff to develop a budget and CIP document that is reflective of the City Council’s priorities and then implement t he objectives. Financial Impact If the Mayor and City Council elect to adopt a support staffing model as demonstrated by the Mayor’s alternative staffing model the fiscal impact is estimated to be between $175,634 and $263,919 annually. If the Mayor and City Council elect to adopt the support staffing model as presented by Councilmember Nickel , the financial impact is estimated to provide for an annual cost decrease of $27,063 or an increase of up to $112,948, as compared to the FY 2018/19 Adopted Budget, depending upon the established salary ranges and starting salary placements of selected personnel. 2018-2019 Goals and Objectives The proposed changes to the legislative branch of the City align with Goal No. 3: Create, Maintain and Grow Jobs and Economic Value in the City, as the perceptions of the City are directly related to our ability to encourage investment in and attract economic development to the City and Goal No. 7: Pursue City Goals and Objectives by working with other agencies such as: Federal, State, and regional governments to ensure San Bernardino receives its fair share of resources by maintaining close working relationships with other governmental agencies. Conclusion It is recommended the City Council review, discuss, consider and provide direction regarding staffing required to meet the operational needs identified by the Mayor and City Council to support the City’s legislative function. Attachment 1 January 16, 2019 Staff Report Attachment 2 Mayors Staffing Proposal Attachment 3 Councilmember Henry Nickel’s Staffing Proposal Ward: All Synopsis of Previous Council Actions: N/A 24.a Packet Pg. 438 Attachment: CM.Legislative Office Staffing.01.Staff Report 2.6.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 18.a Packet Pg. 436 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 439 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM oversee and supervise the staff providing services with due respect for the wi shes and work related needs of the Mayor and City Council. FY2018/19 Adopted Budget Legislative Function Consistent with Article III of the City Charter which provides for the City’s legislative function with the power to set policy, approve contracts and agreements, and undertake other obligations, the FY 2018/19 Adopted Budget includes funding for both the legislative function that consists of both the offices of the Mayor and City Council. The FY 2018/19 Adopted Budget related to the Mayor’s Offic e includes funding in the amount of $305,692 for three (3) dedicated full-time positions. These positions, that are currently filled, include: One (1) Chief of Staff (U); One (1) Assistant to the Mayor II (U); and One (1) Assistant to the Mayor III (U). In addition to the funding for the Mayor’s Office, the FY 2018/19 Adop ted Budget for the legislative function includes funding in the amount of $370,378 for four (4) dedicated full-time positions that support the City Council. Three of these positions are currently filled, and there is one vacancy. The funded positions include : One (1) Executive Staff Assistant to City Council (U); One (1) Council Administrative Supervisor (U); and Two (2) Administrative Assistants to City Council (U). City Manager’s Office Staffing in the City Manager’s Office includes general administration and oversight of City operations along with the operational personnel responsible for the oversight and front line support of the City’s Violence Intervention Program (VIP), the Cable Television Program (CATV), citywide recruitment, grant management, the air quality and rideshare program as well as the City’s information center. To clarify information that was presented at the January 2, 2019 Council meeting related to the staffing in the City Manager’s Office, the number of employees in this office was reduced from sixteen (16) full-time positions in FY 2017/18 to fourteen (14) full-time positions in the FY 2018/19 with the elimination of a bilingual SB Direct Call Taker and the Manager of Communications. The City currently has four (4) bilingual staff members responsible for responding to requests for service from the public through the City’s customer relationship management (CRM) system, in person at the information center and by phone, responding to more than 142,000 calls for service annually. Westbound Communications was engaged by the Mayor and City Council in April 2018 to serve the City’s communications needs. The contact established with Westbound Communications provides the City with a professional team that is able to augment and support the City’s communications efforts producing and designing the monthly newsletter and annual report, issuing press releases, as well as developing and 18.a Packet Pg. 437 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 440 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM distributing informational materials. Using Westbound Communications in place of handling this function in house provided for a savings of $90,000 in the FY2018/19 Adopted Budget. Discussion At the January 2, 2019, Council meeting there was significant discussion and a number of questions were asked and point s raised. City staff has attempted to capture and address each of these in this report and provide as much information as possible to enable the City Council to fully explore this and provide direction to staff at this meeting. The information, given in the form of options, to meet the legislative office support needs identified by the Mayor and City Council are based upon the questions and comments recited at the January 2nd meeting and are presented for consideration, further discussion and direction. Option IA As presented on January 2, 2019, the Mayor and City Council may fund six (6) new positions within the Mayor’s Office for a total of nine (9) positions using the existing job classifications, with amendments to comply with the City Charter, previously authorized by the City Council including: One (1) Chief of Staff (U); One (1) Executive Assistant to the Mayor (U); One (1) Assistant to the Mayor III (U); One (1) Assistant to the Mayor II (U); Four (4) Assistant to the Mayor I (U); and One (1) Senior Customer Service Representative (U), to serve as front office receptionist. The proposed six (6) additional positions would be assigned the duties as follows: Assistant to the Mayor I (4 positions) This position will serve as liaison between the Mayor and constituents, district organizations, local governments, and state and federal agencies. This classification will monitor pertinent local issues, especially those involving local agencies, and keep the Mayor and staff up to date on pending matters. Assistant to the Mayor III (U) (1 position) This position will serve as the communications director for the mayor to assist in his role as the chief spokesman for the city. Senior Customer Service Representative (U) (1 position) This position will serve to greet visitors to the office; answer, screen and transfer telephone calls; refer calls or requests for services to the appropriate departments and agencies; and assist in preparing correspondence and other duties as needed in support of the Mayor’s Office. 18.a Packet Pg. 438 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 441 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM Under this service model there will be a total of thirteen (13) support staff (nine (9) in the Mayor’s Office and four (4) in the Council’s Office) dedicated to the legislative function of the City equating to 520 staff hours per week. The additional cost of the six (6) new positions in the Mayor’s Office would be between $386,853 and $508,262 annually depending on the starting salary placement. Assuming the new positions will be filled as early as January 2019, the additional cost in FY 2018/19 is nearly $254,131 (6 months of top step salary and benefits). The job specifications for the existing classifications within the Offices of the Mayor and City Council were developed before the adoption of the new City Charter. Prior to moving forward with adding and filling additional positions, the job descriptions will need to be updated to conform to the City Charter and address the support needs identified by the Mayor (Attachment 4). Option IB An alternative proposed by the Mayor would be to add two (2) positions in the Mayor’s office, eliminate the vacant Administrative Assistant position in the City Council’s O ffice and add four (4) field representatives supporting both the offices of the Mayor and City Council for a total of twelve (12) employees supporting the City’s legislative function including: One (1) Chief of Staff (U); One (1) Executive Assistant to the Mayor (U); One (1) Assistant to the Mayor III (U); One (1) Assistant to the Mayor II (U); One (1) Senior Customer Service Representative (U), to serve as front office receptionist; One (1) Administrative Assistant To City Council (U); One (1) Executive Staff Assistant To City Council (U); One (1) Council Administrative Supervisor (U); Four (4) Legislative Field Representatives (U). The proposed five (5) new positions would be assigned the duties as follows: Legislative Field Representatives (4 positions) This position will serve as liaison between the Mayor and Councilmembers and constituents, district organizations, local governments, and state and federal agencies. This classification will monitor pertinent local issues, especially those involving local agencies, and keep the Mayor, Councilmembers and staff up to date on pending matters. Assistant to the Mayor III (U) (1 position) This position will serve as the communications director for the mayor to assist in his role as the chief spokesman for the city. Senior Customer Service Representative (U) (1 position) This position will serve to greet visitors to the office; answer, screen and transfer telephone calls; refer calls or requests for services to the appropriate 18.a Packet Pg. 439 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 442 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM departments and agencies; and assist in preparing correspondence and other duties as needed in support of the Mayor’s Office. Under this service model there will be a total of twelve (12) support staff dedicated to the legislative function of the City equating to 480 staff hours per week. The additional cost of the five (5) new positions in the Mayor’s Office would be between $275,591 and $443,573 annually depending on the starting salary placement. Assuming the new positions will be filled as early as January 2019, the additional cost in FY 2018/19 is nearly $221,787 (6 months of top step salary and benefits). The job specifications for the existing classifications within the Offices of the Mayor and City Council were developed before the adoption of the new City Charter. Prior to moving forward with adding and filling additional positions, the job descriptions will need to be updated to conform to the City Charter and address the support needs identified by the Mayor (Attachment 4). In addition to the proposals suggested by the Mayor, the following options, responsive to the suggestions and comments, are offered for consideration. Option II Combine and reconfigure the support staff functions for the legislative branch of the City, eliminating existing classifications and establishing new job c lassifications that support the offices of both the Mayor and City Council and provide field personnel for the Mayor and individual members of the City Council including: 1. One (1) Chief of Staff to the Legislative Office (U); 2. One (1) Executive Assistant to the Legislative Office (U); 3. One (1) Administrative Assistant to the Legislative Office (U); 4. One (1) Office Assistant (U); and 5. Eight (8) Legislative Field Representatives with one representative assigned to support each member of the City Council and one representative assigned to support the Mayor. This will increase the number of support personnel assigned to the offices of the Mayor and City Council from seven (7) to twelve (12), providing a total of 480 hours of staff time dedicated to the legislative function of the City per week. The projected cost increase associated with this staffing model will be between $158,308 and $300,947 annually depending upon the established salary range and starting salary placement. Assuming the new positions will be filled as early as January 2019, the additional cost projected in FY 2018/19 is nearly $150,474 (6 months of top step salary and benefits). Six (6) of the seven (7) budgeted positions within the offices of the Mayor and City Council are filled. Realigning the support staff functions as identified above will impact existing staff and require classification and compensation changes. If the Mayor and City Council elect to move forward with this option the City will need to meet and confer with the impacted personnel. 18.a Packet Pg. 440 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 443 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM Option III Establish a support service model with six (6) support staff assigned to the Office of the Mayor and seven (7) support staff assigned to the City Council . This is similar to the staffing model used by the City of Riverside’s legislative branch discussed at the January 2, 2019 Council meeting. The adoption of this staffing model will require the use of a combination of existing and new job classifications including: 1. One (1) Chief of Staff to the Mayor (U); 2. One (1) Executive Assistant to the Mayor (U); 3. One (1) Assistant to the Mayor III (U); 4. One (1) Assistant to the Mayor II (U); 5. One (1) Assistant to the Mayor I (U); 6. One (1) Senior Customer Service Representative (U); and 7. Seven (7) Council Field Representatives with one representative assigned to support each member of the City Council. This will increase the number of support personnel assigned to the offices of the Mayor and City Council from seven (7) to thirteen (13), providing a total of 520 hours of staff time dedicated to the legislative function of the City per week. The projecte d cost increase associated with this staffing model will be between $272,933 and $437,205 annually depending upon the established salary range and starting salary placement. Assuming the new positions will be filled as early as January 2019, the additiona l cost projected in FY 2018/19 is nearly $218,603 (6 months of top step salary and benefits). Six (6) of the seven (7) budgeted positions within the offices of the Mayor and City Council are filled. Realigning the support staff functions as identified above will impact the four (4) staff members in the City Council’s Office and require classification and compensation changes. If the Mayor and City Council elect to move forward with this option the City will need to meet and confer with the impacted personnel. The job specifications for the existing classifications within the Offices of the Mayor and City Council were developed before the adoption of the new City Charter. Prior to moving forward with adding and filling additional positions, the job descriptions will need to be updated to conform to the City Charter and address identified support needs (Attachment 4). Option IV During the January 2, 2019 meeting, the Mayor and City Council drew a distinction between general law and charter cities. For this reason staff surveyed two additional charter cities (Anaheim and Huntington Beach) in add ition to Cities of Pomona and Riverside previously included in the legislative office staff support survey (Attachment 3). The staffing model established for the Cities of Huntington Beach and Pomona do not address the needs expressed by the Mayor and Cit y Council to have dedicated support personnel for the Mayor and each member of the City Council. W ith two (2) full time employees and a mix of part-time personnel, the City of Anaheim’s staffing model 18.a Packet Pg. 441 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 444 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM offers a solution that provides the Mayor and members of the City Council with greater flexibility in developing individualized staffing support. Option IV establishes a support service model with two (2) full time employees assigned to the Offices of the Mayor and City Council in addition to part-time, non-benefited personnel assigned to each member of the City Council equating to 290 dedicated support staff hours per week. Under this model, City Council members are able to hire aides that fit within the adopted budget equivalent to 0.75 of a full-time employee (part- time non-benefited employees are restricted to 1,000 hours within a 12-month period). The number of part-time aides supporting each member of the City Council will be determined by the funding allocated in the adopted budget, the established salary range and salary step for the selected personnel. The adoption of this staffing model will require the use of a combination of existing and new job classifications including: 1. One (1) Chief of Staff to the Mayor (U); 2. One (1) Council Administrative Supervisor (U); and 3. Seven (7) or more part-time non-benefited Council Field Representatives reporting to the members of the City Council. The implementation of this service model will reduce the cost, as compared to the FY 2018/19 Adopted Budget, of providing support staff for the legislative branch of the City from between $145,166 to $234,164 annually depending upon the established salary range and starting salary placement. Six (6) of the seven (7) budgeted positions within the office s of the Mayor and City Council are filled. Realigning the support staff functions as identified above will impact existing staff in both the offices of the Mayor and City Council and require classification and compensation changes for four (4) employees. Five (5) positions will be reduced from full time to part-time roles. If the Mayor and City Council elect to move forward with this option the City will need to meet and confer with the impacted personnel. The job specifications for the existing class ifications within the Offices of the Mayor and City Council were developed before the adoption of the new City Charter. Prior to moving forward with adding and filling additional positions, the job descriptions will need to be updated to conform to the City Charter and address identified support needs (Attachment 4). Budgetary Considerations If the funding required to provide additional personnel in the Offices of the Mayor and City Council is increased, it will require reductions in other areas. During the January 2, 2019 Council meeting the Mayor and City Council suggested using the salary savings from existing vacancies included in the FY 2018/19 budget. Transferring funding from existing general fund budgeted positions will result in the City being unable to fill the selected positions. Salary savings are generally used for one time expenditures as it is anticipated that position will be filled to meet the City’s identified goals and objectives. 18.a Packet Pg. 442 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 445 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM While the City is in some stage of recruitment to fill vacancies throughout the organization, there are currently vacancies in the following areas: Community and Economic Development Department Chief Building Official Director of Community and Economic Development Development Services Technician City Council’s Office Administrative Assistant to City Council Finance Department Director of Finance Deputy Director of Finance Payroll Manager Senior Business Registration Representative Police Department Animal Shelter Attendants Animal Control Officers Animal Control Manager Animal Shelter Supervisor Customer Service Representatives Community Services Officers Community Engagement Specialists Criminal Investigation Officer Forensics Specialist Police Dispatchers Police Officers Police Records Technicians Property & Evidence Technician Public Works Department Arborist Data Analyst Groundworker Arborist Construction Inspector Facilities Maintenance Mechanic Lead Maintenance Worker Maintenance Supervisor Traffic Signal/Lighting Supervisor Real Property Manager 18.a Packet Pg. 443 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 446 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM Safety & Training Officer The total number of positions that will need to be defunded in FY 2018/19 will depend upon the staffing model adopted by the Mayor and City Council. While all of the budgeted vacant positions are needed to meet the City’s ide ntified goals and objectives, those that will have the least immediate impact on service obligations and may be used to support the Mayor and City Council’s objectives as part of a budget adjustment in FY 2018/19 include: Community Engagement Specialists (2 positions) Administrative Assistant to City Council (1 position) Depending upon the selected staffing model established by the Mayor and City Council to support the legislative branch of the City, additional positions may need to be defunded in FY 2018/19 and excluded from the FY 2019/20 budged. Recruitment Process Once the Mayor and City Council establish the preferred staffing model and allocate the required funding, City staff will develop and implement a recruitment plan based upon the direction provided by the Mayor and City Council. Members of the City Council have expressed a desire to see local residents and students attending local schools have an opportunity to fill entry level positions within the Offices of the Mayor and City Council. Staff will need direction from the Mayor and City Council as to how they would like to proceed with recruiting for and filling positions within the legislative branch. These options include: 1. Initiating an open recruitment process in keeping the City’s standard recruitment process, accepting applications submitted on-line, followed by application review, candidate interviews and selection; 2. Partner with local schools to identify qualified candidates; or 3. Partner with the San Bernardino County Office of Workforce Development to target and find qualified applicants. Financial Impact If the Mayor and City Council elect to adopt a support staffing model as demonstrated in options I-III the financial impact is estimated to be between $300,947 and $524,572 annually. Increases in staffing over the next 10 years are projected to cost more than $4.8 million. Conversely, option IV presents an annual reduction in cost ranging from $145,166 to $234,164 in savings. 2018-2019 Goals and Objectives The proposed changes to the Mayor’s Office align with Goal No. 3: Create, Maintain and Grow Jobs and Economic Value in the City, as the perceptions of the City are directly related to our ability to encourage investment in and attract economic development to the City and Goal No. 7: Pursue City Goals and Objectives by working with other agencies such as: Federal, State, and regional governments to ensure San 18.a Packet Pg. 444 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 447 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/11/2019 2:39 PM Bernardino receives its fair share of resources by maintaining close working relationships with other governmental agencies. Conclusion It is recommended the City Council review, discuss, consider and provide direction regarding staffing required to meet the operational needs identified by the Mayor and City Council to support the City’s legislative function. Attachment 1 Mayor’s Staffing Analysis Attachment 2 10-Year Historical Data on Mayor’s Office Staffing Attachment 3 Legislative Office Staff Support Survey Attachment 4 Current Legislative Office Job Specifications Attachment 5 City of Anaheim Legislative Office Job Specifications Attachment 6 City of Riverside Legislative Office Job Specifications Ward: All Synopsis of Previous Council Actions: N/A 18.a Packet Pg. 445 Attachment: CM.Legislative Office Staffing.01.Staff Report 1.16.19 (5923 : Support Staffing for the City’s Legislative Branch – Offices of the24.b Packet Pg. 448 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option I Current Personnel Budget (Minus Mayor & Members of the City Council) Title BU Salary Range Current Budget PERS @ Actual Tier Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 94,591.54 8,388.38$ 14,340.00$ 1,371.58$ 118,691.49$ Current Assistant to Mayor III (U)Mgmt 526 $ 82,220.82 6,469.13$ 14,340.00$ 1,192.20$ 104,222.16$ Current Assistant to Mayor II (U)Mgmt 476 $ 61,312.97 6,236.75$ 14,340.00$ 889.04$ 82,778.76$ Current Annualized Cost of Positions in the Mayor's Office 305,692.41$ Current Administrative Assistant To City Council (U)Conf 446 $ 56,571.75 5,016.78$ 14,340.00$ 820.29$ 76,748.82$ Current Administrative Assistant To City Council (U)Conf 446 $ 53,881.50 4,778.21$ 14,340.00$ 781.28$ 73,780.99$ Current Council Administrative Supervisor (U)Conf 496 $ 74,695.11 6,623.96$ 14,340.00$ 1,083.08$ 96,742.15$ Current Executive Staff Assistant To City Council (U)Conf 546 $ 98,593.20 8,743.24$ 14,340.00$ 1,429.60$ 123,106.05$ Current Annualized Cost of Positions in the City Council's Office 370,378.01$ Current Annualized Cost of the City's Legislative Support Positions in the Offices of the Mayor and City Council 676,070.42$ Title BU Salary Range Bottom Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 94,212.00$ 9,583.24$ 14,340.00$ 1,366.07$ 119,501.32$ Change Executive Assistant to Mayor (U)Mgmt 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Current Assistant to Mayor II (U)Mgmt 476 57,216.00$ 5,820.01$ 14,340.00$ 829.63$ 78,205.64$ Current Administrative Assistant To City Council (U)Conf 446 49,260.00$ 5,010.73$ 14,340.00$ 714.27$ 69,325.00$ Current Administrative Assistant To City Council (U)Conf 446 49,260.00$ 5,010.73$ 14,340.00$ 714.27$ 69,325.00$ Current Council Administrative Supervisor (U)Conf 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Current Executive Staff Assistant To City Council (U)Conf 546 81,120.00$ 8,251.53$ 14,340.00$ 1,176.24$ 104,887.77$ New Assistant to Mayor III (U)Mgmt 526 73,416.00$ 7,467.88$ 14,340.00$ 1,064.53$ 96,288.41$ New Assistant to the Mayor I (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Assistant to the Mayor I (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Assistant to the Mayor I (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Assistant to the Mayor I (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Senior Customer Service Representative (U)Conf 396 38,388.00$ 3,904.83$ 14,340.00$ 556.63$ 57,189.45$ Annualized Cost of Option IA at Bottom Step 1,020,986.44$ OPTION IA at Bottom Step - 13 positions total. Keep 2 current positions, add 6 new positions and change Assistant to Mayor III (U) to a Executive Assistant to Mayor (U). Updated: 1.11.2019 Attachment 1 18.bPacket Pg. 446Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 449Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option I OPTION IA at Middle Step - 13 positions total. Keep 2 current positions, add 6 new positions and change Assistant to Mayor III (U) to a Executive Assistant to Mayor (U). Title BU Salary Range Middle Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 103,872.00$ 10,565.86$ 14,340.00$ 1,506.14$ 130,284.00$ Change Executive Assistant to Mayor (U)Mgmt 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Current Assistant to Mayor II (U)Mgmt 476 63,084.00$ 6,416.90$ 14,340.00$ 914.72$ 84,755.62$ Current Administrative Assistant To City Council (U)Conf 446 54,312.00$ 5,524.62$ 14,340.00$ 787.52$ 74,964.14$ Current Administrative Assistant To City Council (U)Conf 446 54,312.00$ 5,524.62$ 14,340.00$ 787.52$ 74,964.14$ Current Council Administrative Supervisor (U)Conf 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Current Executive Staff Assistant To City Council (U)Conf 546 89,436.00$ 9,097.43$ 14,340.00$ 1,296.82$ 114,170.25$ New Assistant to Mayor III (U)Mgmt 526 80,952.00$ 8,234.44$ 14,340.00$ 1,173.80$ 104,700.24$ New Assistant to the Mayor I (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Assistant to the Mayor I (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Assistant to the Mayor I (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Assistant to the Mayor I (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Senior Customer Service Representative (U)Conf 396 42,324.00$ 4,305.20$ 14,340.00$ 613.70$ 61,582.90$ Annualized Cost of Option IA at Middle Step 1,106,564.79$ OPTION IA at Top Step - 13 positions total. Keep 2 current positions, add 6 new positions and change Assistant to Mayor III (U) to a Executive Assistant to Mayor (U). Title BU Salary Range Top Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 114,516.00 11,648.57$ 14,340.00$ 1,660.48$ 142,165.05$ Change Executive Assistant to Mayor (U)Mgmt 496 $ 76,836.00 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Current Assistant to Mayor II (U)Mgmt 476 69,552.00$ 7,074.83$ 14,340.00$ 1,008.50$ 91,975.33$ Current Administrative Assistant To City Council (U)Conf 446 59,880.00$ 6,090.99$ 14,340.00$ 868.26$ 81,179.25$ Current Administrative Assistant To City Council (U)Conf 446 59,880.00$ 6,090.99$ 14,340.00$ 868.26$ 81,179.25$ Current Council Administrative Supervisor (U)Conf 496 76,836.00$ 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Current Executive Staff Assistant To City Council (U)Conf 546 98,604.00$ 10,030.00$ 14,340.00$ 1,429.76$ 124,403.76$ New Assistant to Mayor III (U)Mgmt 526 $ 89,244.00 9,077.90$ 14,340.00$ 1,294.04$ 113,955.94$ New Assistant to the Mayor I (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Assistant to the Mayor I (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Assistant to the Mayor I (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Assistant to the Mayor I (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Senior Customer Service Representative (U)Conf 396 $ 46,668.00 4,747.07$ 14,340.00$ 676.69$ 66,431.75$ Annualized Cost of Option IA at Top Step 1,200,822.88$ Updated: 1.11.2019 18.bPacket Pg. 447Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 450Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option I Title BU Salary Range Bottom Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 94,212.00$ 9,583.24$ 14,340.00$ 1,366.07$ 119,501.32$ Change Executive Assistant to Mayor (U)Mgmt 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Current Assistant to Mayor II (U)Mgmt 476 57,216.00$ 5,820.01$ 14,340.00$ 829.63$ 78,205.64$ Current Administrative Assistant To City Council (U)Conf 446 49,260.00$ 5,010.73$ 14,340.00$ 714.27$ 69,325.00$ Current Council Administrative Supervisor (U)Conf 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Current Executive Staff Assistant To City Council (U)Conf 546 81,120.00$ 8,251.53$ 14,340.00$ 1,176.24$ 104,887.77$ New Assistant to Mayor III (U)Mgmt 526 73,416.00$ 7,467.88$ 14,340.00$ 1,064.53$ 96,288.41$ New Legislative Field Representative (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Senior Customer Service Representative (U)Conf 396 38,388.00$ 3,904.83$ 14,340.00$ 556.63$ 57,189.45$ Annualized Cost of Option IB at Bottom Step 951,661.44$ Title BU Salary Range Middle Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 103,872.00$ 10,565.86$ 14,340.00$ 1,506.14$ 130,284.00$ Change Executive Assistant to Mayor (U)Mgmt 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Current Assistant to Mayor II (U)Mgmt 476 63,084.00$ 6,416.90$ 14,340.00$ 914.72$ 84,755.62$ Current Administrative Assistant To City Council (U)Conf 446 54,312.00$ 5,524.62$ 14,340.00$ 787.52$ 74,964.14$ Current Council Administrative Supervisor (U)Conf 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Current Executive Staff Assistant To City Council (U)Conf 546 89,436.00$ 9,097.43$ 14,340.00$ 1,296.82$ 114,170.25$ New Assistant to Mayor III (U)Mgmt 526 80,952.00$ 8,234.44$ 14,340.00$ 1,173.80$ 104,700.24$ New Legislative Field Representative (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Senior Customer Service Representative (U)Conf 396 42,324.00$ 4,305.20$ 14,340.00$ 613.70$ 61,582.90$ Annualized Cost of Option IB at Middle Step 1,031,600.65$ OPTION IB at Bottom Step - 12 positions total. Keep 6 current positions , delete 1 position, add 5 new positions and change Assistant to Mayor III (U) to a Executive Assistant to Mayor (U). OPTION IB at Middle Step - 12 positions total. Keep 6 current positions , delete 1 position, add 5 new positions and change Assistant to Mayor III (U) to a Executive Assistant to Mayor (U). Updated: 1.11.2019 18.bPacket Pg. 448Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 451Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option I Title BU Salary Range Top Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 114,516.00 11,648.57$ 14,340.00$ 1,660.48$ 142,165.05$ Change Executive Assistant to Mayor (U)Mgmt 496 $ 76,836.00 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Current Assistant to Mayor II (U)Mgmt 476 69,552.00$ 7,074.83$ 14,340.00$ 1,008.50$ 91,975.33$ Current Administrative Assistant To City Council (U)Conf 446 59,880.00$ 6,090.99$ 14,340.00$ 868.26$ 81,179.25$ Current Council Administrative Supervisor (U)Conf 496 76,836.00$ 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Current Executive Staff Assistant To City Council (U)Conf 546 98,604.00$ 10,030.00$ 14,340.00$ 1,429.76$ 124,403.76$ New Assistant to Mayor III (U)Mgmt 526 $ 89,244.00 9,077.90$ 14,340.00$ 1,294.04$ 113,955.94$ New Legislative Field Representative (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Senior Customer Service Representative (U)Conf 396 $ 46,668.00 4,747.07$ 14,340.00$ 676.69$ 66,431.75$ Annualized Cost of Option IB at Top Step 1,119,643.62$ Note: The Legislative Field Representative classification has not yet been established. To establish the classification a job specification will need to be developed following a classification and compensation analysis and presented to the Mayor and City Council for approval. OPTION IB at Top Step - 12 positions total. Keep 6 current positions , delete 1 position, add 5 new positions and change Assistant to Mayor III (U) to a Executive Assistant to Mayor Updated: 1.11.2019 18.bPacket Pg. 449Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 452Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option II Current Personnel Budget (Minus Mayor & Members of the City Council) Title BU Salary Range Current Budget PERS @ Actual Tier Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 94,591.54 8,388.38$ 14,340.00$ 1,371.58$ 118,691.49$ Current Assistant to Mayor III (U)Mgmt 526 $ 82,220.82 6,469.13$ 14,340.00$ 1,192.20$ 104,222.16$ Current Assistant to Mayor II (U)Mgmt 476 $ 61,312.97 6,236.75$ 14,340.00$ 889.04$ 82,778.76$ Current Annualized Cost of Positions in the Mayor's Office 305,692.41$ Current Administrative Assistant To City Council (U)Conf 446 $ 56,571.75 5,016.78$ 14,340.00$ 820.29$ 76,748.82$ Current Administrative Assistant To City Council (U)Conf 446 $ 53,881.50 4,778.21$ 14,340.00$ 781.28$ 73,780.99$ Current Council Administrative Supervisor (U)Conf 496 $ 74,695.11 6,623.96$ 14,340.00$ 1,083.08$ 96,742.15$ Current Executive Staff Assistant To City Council (U)Conf 546 $ 98,593.20 8,743.24$ 14,340.00$ 1,429.60$ 123,106.05$ Current Annualized Cost of Positions in the City Council's Office 370,378.01$ Current Annualized Cost of the City's Legislative Support Positions in the Offices of the Mayor and City Council 676,070.42$ OPTION II at Bottom Step - Eliminate existing job classifications in the Offices of the Mayor and City Council and establish new job classifications supporting both offices. Title BU Salary Range Bottom Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Change/New Chief of Staff to the Legislative Office (U)Mgmt 576 94,212.00$ 9,583.24$ 14,340.00$ 1,366.07$ 119,501.32$ Change/New Executive Assistant to the Legislative Office (U)Mgmt 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Change/New Administrative Assistant To the Legislative Office (U)Conf 446 49,260.00$ 5,010.73$ 14,340.00$ 714.27$ 69,325.00$ Change Office Assistant (U)Conf 346 29,916.00$ 3,043.06$ 14,340.00$ 433.78$ 47,732.84$ Change/New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Change/New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Change/New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Legislative Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Annualized Cost of Option II at Bottom Step 834,377.97$ Updated: 1.11.2019 18.bPacket Pg. 450Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 453Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option II OPTION II at Middle Step - Eliminate existing job classifications in the Offices of the Mayor and City Council and establish new job classifications supporting both offices. Title BU Salary Range Middle Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Change/New Chief of Staff to the Legislative Office (U)Mgmt 576 103,872.00$ 10,565.86$ 14,340.00$ 1,506.14$ 130,284.00$ Change/New Executive Assistant to the Legislative Office (U)Mgmt 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Change/New Administrative Assistant To the Legislative Office (U)Mgmt 446 63,084.00$ 6,416.90$ 14,340.00$ 914.72$ 84,755.62$ Change Office Assistant (U)Conf 346 32,988.00$ 3,355.54$ 14,340.00$ 478.33$ 51,161.87$ Change/New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Change/New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Change/New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Legislative Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Annualized Cost of Option II at Middle Step 912,080.28$ OPTION II at Top Step - Eliminate existing job classifications in the Offices of the Mayor and City Council and establish new job classifications supporting both offices. Title BU Salary Range Top Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Change/New Chief of Staff to the Legislative Office (U)Mgmt 576 $ 114,516.00 11,648.57$ 14,340.00$ 1,660.48$ 142,165.05$ Change/New Executive Assistant to the Legislative Office (U)Mgmt 496 $ 76,836.00 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Change/New Administrative Assistant To the Legislative Office (U)Conf 446 59,880.00$ 6,090.99$ 14,340.00$ 868.26$ 81,179.25$ Change Office Assistant (U)Conf 346 36,360.00$ 3,698.54$ 14,340.00$ 527.22$ 54,925.76$ Change/New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Change/New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Change/New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Legislative Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Annualized Cost of Option II at Top Step 977,017.50$ Note: Option II will require changes in classifications for the existing six (6) employees in the Offices of the Mayor and City Council and will represent a reduction in compensation for some personnel. In order to move forward, the City will need to meet and confer with the impacted personnel. None of the identified classifications have been established. To establish the classifications, job specifications will need to be developed following a classification and compensation analysis and presented to the Mayor and City Council for approval. Updated: 1.11.2019 18.bPacket Pg. 451Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 454Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option III Current Personnel Budget (Minus Mayor & Members of the City Council) Title BU Salary Range Current Budget PERS @ Actual Tier Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 94,591.54 8,388.38$ 14,340.00$ 1,371.58$ 118,691.49$ Current Assistant to Mayor III (U)Mgmt 526 $ 82,220.82 6,469.13$ 14,340.00$ 1,192.20$ 104,222.16$ Current Assistant to Mayor II (U)Mgmt 476 $ 61,312.97 6,236.75$ 14,340.00$ 889.04$ 82,778.76$ Current Annualized Cost of Positions in the Mayor's Office 305,692.41$ Current Administrative Assistant To City Council (U)Conf 446 $ 56,571.75 5,016.78$ 14,340.00$ 820.29$ 76,748.82$ Current Administrative Assistant To City Council (U)Conf 446 $ 53,881.50 4,778.21$ 14,340.00$ 781.28$ 73,780.99$ Current Council Administrative Supervisor (U)Conf 496 $ 74,695.11 6,623.96$ 14,340.00$ 1,083.08$ 96,742.15$ Current Executive Staff Assistant To City Council (U)Conf 546 $ 98,593.20 8,743.24$ 14,340.00$ 1,429.60$ 123,106.05$ Current Annualized Cost of Positions in the City Council's Office 370,378.01$ Current Annualized Cost of the City's Legislative Support Positions in the Offices of the Mayor and City Council 676,070.42$ OPTION III at Bottom Step - Adopt a staffing model with 13 support staff assigned to the Mayor and City Council. Title BU Salary Range Bottom Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 94,212.00$ 9,583.24$ 14,340.00$ 1,366.07$ 119,501.32$ Change Executive Assistant to Mayor (U)Mgmt 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Current Assistant to Mayor II (U)Mgmt 476 57,216.00$ 5,820.01$ 14,340.00$ 829.63$ 78,205.64$ New Assistant to Mayor III (U)Mgmt 526 73,416.00$ 7,467.88$ 14,340.00$ 1,064.53$ 96,288.41$ New Assistant to the Mayor I (U)Mgmt 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Senior Customer Service Representative (U)Conf 396 38,388.00$ 3,904.83$ 14,340.00$ 556.63$ 57,189.45$ Change/New Council Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Change/New Council Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Change/New Council Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Change/New Council Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Council Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Council Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ New Council Field Representative (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Annualized Cost of Option III at Bottom Step 949,003.64$ Updated: 1.11.2019 18.bPacket Pg. 452Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 455Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option III OPTION III at Middle Step -Adopt a staffing model with 13 support staff assigned to the Mayor and City Council. Title BU Salary Range Middle Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 103,872.00$ 10,565.86$ 14,340.00$ 1,506.14$ 130,284.00$ Change Executive Assistant to Mayor (U)Mgmt 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Current Assistant to Mayor II (U)Mgmt 476 63,084.00$ 6,416.90$ 14,340.00$ 914.72$ 84,755.62$ New Assistant to Mayor III (U)Mgmt 526 80,952.00$ 8,234.44$ 14,340.00$ 1,173.80$ 104,700.24$ New Assistant to the Mayor I (U)Mgmt 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Senior Customer Service Representative (U)Conf 396 42,324.00$ 4,305.20$ 14,340.00$ 613.70$ 61,582.90$ Change/New Council Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Change/New Council Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Change/New Council Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Change/New Council Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Council Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Council Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ New Council Field Representative (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Annualized Cost of Option III at Middle Step 1,027,201.55$ OPTION III at Top Step - Adopt a staffing model with 13 support staff assigned to the Mayor and City Council. Title BU Salary Range Top Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 114,516.00 11,648.57$ 14,340.00$ 1,660.48$ 142,165.05$ Change Executive Assistant to Mayor (U)Mgmt 496 $ 76,836.00 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Current Assistant to Mayor II (U)Mgmt 476 69,552.00$ 7,074.83$ 14,340.00$ 1,008.50$ 91,975.33$ New Assistant to Mayor III (U)Mgmt 526 $ 89,244.00 9,077.90$ 14,340.00$ 1,294.04$ 113,955.94$ New Assistant to the Mayor I (U)Mgmt 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Senior Customer Service Representative (U)Conf 396 $ 46,668.00 4,747.07$ 14,340.00$ 676.69$ 66,431.75$ Change/New Council Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Change/New Council Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Change/New Council Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Change/New Council Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Council Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Council Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ New Council Field Representative (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Annualized Cost of Option III at Top Step 1,113,275.51$ Note: Option III will require changes in classifications for four (4) of the six (6) employees in the Office of the City Council and will represent a reduction in compensation for some personnel. In order to move forward, the City will need to meet and confer with the impacted personnel. Some of the identified classifications have yet to be established. To establish the classifications, job specifications will need to be developed following a classification and compensation analysis and presented to the Mayor and City Council for approval. Updated: 1.11.2019 18.bPacket Pg. 453Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 456Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option IV Current Personnel Budget (Minus Mayor & Members of the City Council) Title BU Salary Range Current Budget PERS @ Actual Tier Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 94,591.54 8,388.38$ 14,340.00$ 1,371.58$ 118,691.49$ Current Assistant to Mayor III (U)Mgmt 526 $ 82,220.82 6,469.13$ 14,340.00$ 1,192.20$ 104,222.16$ Current Assistant to Mayor II (U)Mgmt 476 $ 61,312.97 6,236.75$ 14,340.00$ 889.04$ 82,778.76$ Current Annualized Cost of Positions in the Mayor's Office 305,692.41$ Current Administrative Assistant To City Council (U)Conf 446 $ 56,571.75 5,016.78$ 14,340.00$ 820.29$ 76,748.82$ Current Administrative Assistant To City Council (U)Conf 446 $ 53,881.50 4,778.21$ 14,340.00$ 781.28$ 73,780.99$ Current Council Administrative Supervisor (U)Conf 496 $ 74,695.11 6,623.96$ 14,340.00$ 1,083.08$ 96,742.15$ Current Executive Staff Assistant To City Council (U)Conf 546 $ 98,593.20 8,743.24$ 14,340.00$ 1,429.60$ 123,106.05$ Current Annualized Cost of Positions in the City Council's Office 370,378.01$ Current Annualized Cost of the City's Legislative Support Positions in the Offices of the Mayor and City Council 676,070.42$ Title BU Salary Range Bottom Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 94,212.00$ 9,583.24$ 14,340.00$ 1,366.07$ 119,501.32$ Current Council Administrative Supervisor (U)Conf 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 33,444.00$ 484.94$ 33,928.94$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 33,444.00$ 484.94$ 33,928.94$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 33,444.00$ 484.94$ 33,928.94$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 33,444.00$ 484.94$ 33,928.94$ New Council Field Representative (Part-Time)Part-Time Part-Time 33,444.00$ 484.94$ 33,928.94$ New Council Field Representative (Part-Time)Part-Time Part-Time 33,444.00$ 484.94$ 33,928.94$ New Council Field Representative (Part-Time)Part-Time Part-Time 33,444.00$ 484.94$ 33,928.94$ Annualized Cost of Option IV at Bottom Step 441,906.85$ OPTION IV at Bottom Step - Adopt a staffing model with 2 full-time employees and a mix of part-time, non-benefited, support staff assigned to the Mayor and City Council. The number of part-time employees are based upon the equivalent of 0.75 employees for each member of the City Council as established in the adopted budget. Updated: 1.11.2019 18.bPacket Pg. 454Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 457Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Option IV Title BU Salary Range Middle Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 103,872.00$ 10,565.86$ 14,340.00$ 1,506.14$ 130,284.00$ Current Council Administrative Supervisor (U)Conf 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 36,873.00$ 534.66$ 37,407.66$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 36,873.00$ 534.66$ 37,407.66$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 36,873.00$ 534.66$ 37,407.66$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time 36,873.00$ 534.66$ 37,407.66$ New Council Field Representative (Part-Time)Part-Time Part-Time 36,873.00$ 534.66$ 37,407.66$ New Council Field Representative (Part-Time)Part-Time Part-Time 36,873.00$ 534.66$ 37,407.66$ New Council Field Representative (Part-Time)Part-Time Part-Time 36,873.00$ 534.66$ 37,407.66$ Annualized Cost of Option IV at Middle Step 484,273.68$ Title BU Salary Range Top Step Salary* PERS @ Tier 3 Health Medicare Total Salary & Benefits* Current Mayor's Chief of Staff (U)Mgmt 576 $ 114,516.00 11,648.57$ 14,340.00$ 1,660.48$ 142,165.05$ Current Council Administrative Supervisor (U)Conf 496 76,836.00$ 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time $ 40,644.00 589.34$ 41,233.34$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time $ 40,644.00 589.34$ 41,233.34$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time $ 40,644.00 589.34$ 41,233.34$ Change/New Council Field Representative (Part-Time)Part-Time Part-Time $ 40,644.00 589.34$ 41,233.34$ New Council Field Representative (Part-Time)Part-Time Part-Time $ 40,644.00 589.34$ 41,233.34$ New Council Field Representative (Part-Time)Part-Time Part-Time $ 40,644.00 589.34$ 41,233.34$ New Council Field Representative (Part-Time)Part-Time Part-Time $ 40,644.00 589.34$ 41,233.34$ Annualized Cost of Option IV at Top Step 530,904.30$ *Part-Time salary and benefits based upon a 0.75 full-time equivalent. Part-time, non-benefited employees are restricted to 1,000 hours within a 12-month period. Note: Option IV will require changes in classifications for four (4) of the six (6) employees in the Offices of the Mayor and City Council and will represent a reduction in compensation for the majority of personnel. In order to move forward, the City will need to meet and confer with the impacted personnel. Some of the identified classifications have yet to be established. To establish the classifications, job specifications will need to be developed following a classification and compensation analysis and presented to the Mayor and City Council for approval. OPTION IV at Middle Step - Adopt a staffing model with 2 full-time employees and a mix of part-time, non-benefited, support staff assigned to the Mayor and City Council. The number of part-time employees are based upon the equivalent of 0.75 employees for each member of the City Council as established in the adopted budget. OPTION IV at Top Step - Adopt a staffing model with 2 full-time employees and a mix of part-time, non-benefited, support staff assigned to the Mayor and City Council. The number of part-time employees are based upon the equivalent of 0.75 employees for each member of the City Council as established in the adopted budget. Updated: 1.11.2019 18.bPacket Pg. 455Attachment: CM.Legislative Office Staffing.02.Staffing Analysis.Attachment 1 (5923 : Support Staffing for the City’s Legislative Branch – Offices 24.bPacket Pg. 458Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Attachment 2 18.cPacket Pg. 456Attachment: CM.Legislative Office Staffing.03.10-Year Historical Data on Mayor's Office Staffing (5923 : Support Staffing for the City’s 24.bPacket Pg. 459Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Low High Executive Staff Assistant to City Council (U) (FT)81,120.00$ 98,604.00$ 1 Administrative Assistant to City Council (U) (FT)49,260.00$ 59,880.00$ 1 Administrative Assistant to City Council (U) (FT)49,260.00$ 59,880.00$ 1 Council Administrative Supervisor (U) (FT)63,216.00$ 76,836.00$ 1 Mayor's Chief of Staff (U) (FT)94,212.00$ 114,516.00$ 1 Assistant to the Mayor III (U) (FT)73,416.00$ 89,244.00$ 1 Assistant to the Mayor II (U) (FT)57,216.00$ 69,552.00$ 1 TOTAL:467,700.00$ 568,512.00$ 7 Low High Council Services Coordinator (FT)67,475.00$ 96,996.00$ 1 Employee reports to City Manager Chief Policy Advisor to the Mayor (FT)74,391.00$ 106,937.00$ 1 Employee reports to Mayor City Council Aide I, City Council Aide II, Senior Policy Aide (Part-Time/At-Will/Non-Benefitted) 21,309.60$ 65,036.40$ 0.75 City Council Aide I, City Council Aide II, Senior Policy Aide (Part-Time/At-Will/Non-Benefitted) 21,309.60$ 65,036.40$ 0.75 City Council Aide I, City Council Aide II, Senior Policy Aide (Part-Time/At-Will/Non-Benefitted) 21,309.60$ 65,036.40$ 0.75 City Council Aide I, City Council Aide II, Senior Policy Aide (Part-Time/At-Will/Non-Benefitted) 21,309.60$ 65,036.40$ 0.75 City Council Aide I, City Council Aide II, Senior Policy Aide (Part-Time/At-Will/Non-Benefitted) 21,309.60$ 65,036.40$ 0.75 City Council Aide I, City Council Aide II, Senior Policy Aide (Part-Time/At-Will/Non-Benefitted) 21,309.60$ 65,036.40$ 0.75 TOTAL:269,723.60$ 594,151.40$ 6.5 Low High Administrative Assistant (FT)58,406.40$ 72,342.40$ 1 TOTAL:58,406.40$ 72,342.40$ 1 Low High Administrative Assistant III (FT)44,760.00$ 54,396.00$ 1 TOTAL:44,760.00$ 54,396.00$ 1 Employees reports to respective City Councilmember Based on the allotted budget for the fiscal year, councilmembers may hire an aide or aides that fit within that established budget, generally hourly aides, depending on classification, equivalent to 0.75 Full Time Employees (FTE). {Ex: 3 City Council Aide 1s at 0.25 FTE or 1 City Council Aide II at 0.5 FTE or 1 Senior Policy Aide at 0.3 FTE} City of San Bernardino Legislative Office Staff Support Survey Agency Classification Title Annual Base Salary No. of Position Reporting Structure Supports Employees report to City Manager Supports (7) City Council membersCity of San Bernardino Population: 216,995 System: Council - Manager Type: Charter City Employees report to Mayor Supports the Mayor Agency Classification Title Annual Salary No. of Position Reporting Structure Supports City of Anaheim Population: 352,497 System: Council - Manager Type: Charter City Administrative functions Policy advisement for the Mayor Reporting Structure City of Pomona Population: 152,939 System: Council - Manager Type: Charter City Employee reports to the City Manager & Deputy City Manager Supports City Manager, Mayor and (6) City Council members SupportsAgencyClassification Title Annual Salary No. of Position Agency Classification Title Annual Salary No. of Position Reporting Structure Supports City of Huntington Beach Population: 201,874 System: Council - Manager Type: Charter City Employee reports to City Manager Supports (7) City Council members including appointed Mayor. Updated on 1/10/2019 Attachment 3 18.d Packet Pg. 457 Attachment: CM.Legislative Office Staffing.04.Legislative Office Staff Support Survey (5923 : Support Staffing for the City’s Legislative Branch24.b Packet Pg. 460 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Low High Chief of Staff (FT)$79,164.00 $98,940.00 1 Senior Office Specialist (FT)$34,452.00 $46,164.00 1 International Relations Officer (FT)$81,540.00 $109,284.00 1 Administrative Assistant to the Mayor (FT)$50,064.00 $60,888.00 1 Assistant to the Mayor (FT)$51,528.00 $69,072.00 1 Assistant to the Mayor (FT)$51,528.00 $69,072.00 1 Council Assistant (FT)$47,376.00 $63,504.00 1 Council Assistant (FT)$47,376.00 $63,504.00 1 Council Assistant (FT)$47,376.00 $63,504.00 1 Council Assistant (FT)$47,376.00 $63,504.00 1 Council Assistant (FT)$47,376.00 $63,504.00 1 Council Assistant (FT)$47,376.00 $63,504.00 1 Council Assistant (FT)$47,376.00 $63,504.00 1 TOTAL:$679,908.00 $897,948.00 13 Low High Executive Assistant to the City Council (FT)57,744.00$ 70,176.00$ 1 Management Assistant (FT)68,892.00$ 83,736.00$ 1 TOTAL:126,636.00$ 153,912.00$ 2 Low High Management Services Assistant (FT)42,660.00$ 52,080.00$ 1 Senior Management Services Assistant (FT)46,212.00$ 56,412.00$ 1 Office Assistant (Part-Time/At-Will/Non-Benefitted)15,120.00$ 18,462.00$ 0.5 TOTAL:103,992.00$ 126,954.00$ 2.5 Low High Executive Secretary to the City Manager (FT)69,680.00$ 84,697.00$ 1 TOTAL:69,680.00$ 84,697.00$ 1 Low High Executive Assistant to Mayor and City Council (FT)59,050.16$ 83,139.26$ 1 Administrative Assistant (FT)46,267.31$ 65,141.65$ 1 Administrative Assistant (FT)46,267.31$ 65,141.65$ 1 Management Aide (FT)51,009.71$ 71,818.86$ 1 Office Assistant (Part-Time/At-Will/Non-Benefitted)15,975.03$ 22,491.77$ 0.5 TOTAL:218,569.52$ 307,733.19$ 4.5 Low High Executive Assistant to the City Manager (FT)107,099.20$ 130,166.40$ 1 Administrative Assistant to the Council (FT)72,217.60$ 87,734.40$ 1 Office Specialist (FT)42,702.40$ 51,459.20$ 1 TOTAL:222,019.20$ 269,360.00$ 3 Employees report to City Manager All function under the Administration Department supporting: City Manager, City Clerk, Mayor and (4) City Council members Employees report to City Manager City of Moreno Valley Population: 207,226 System: Council - Manager Type: General Law City Employees report to the City Clerk Supports Mayor, City Clerk and (4) City Council members Agency Classification Title Annual Salary No. of Position Reporting Structure Supports City of Fontana Population: 211,815 System: Council - Manager Type: General Law City Employee reports to City Manager Supports City Manager, Mayor and (4) City Council members Agency Classification Title Annual Salary No. of Position Reporting Structure Supports City of Corona Population: 167,836 System: Council - Manager Type: General Law City Employees report to the Assistant City Manager Agency Classification Title Annual Salary No. of Position Reporting Structure Supports Agency Classification Title Annual Salary No. of Position Reporting Structure City of Ontario Population: 175,841 System: Council - Manager Type: General Law City Agency Classification Title Annual Salary No. of Position Reporting Structure Supports Supports All function under the City Manager's Office supporting: City Manager, Mayor, and (4) City Council members All function under Management Services Department supporting: City Manager, Mayor, (4) City Council members. Agency Classification Title Annual Salary No. of Position Reporting Structure Supports City of Chino Population: 89,797 System: Council - Manager Type: General Law City City of Riverside Population: 327,728 System: Council - Manager Type: Charter City Employees report to the Mayor Employees report to respective Council Member Each council member has a field representative Supports the Mayor Updated on 1/10/2019 18.d Packet Pg. 458 Attachment: CM.Legislative Office Staffing.04.Legislative Office Staff Support Survey (5923 : Support Staffing for the City’s Legislative Branch24.b Packet Pg. 461 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Low High Executive Assistant (FT)53,316.00$ 71,916.00$ 1 Administrative Secretary (FT)53,088.00$ 55,613.00$ 1 Office Specialist I (FT)30,648.00$ 41,340.00$ 1 TOTAL:137,052.00$ 168,869.00$ 3 Low High Senior Administrative Assistant (FT)44,832.00$ 54,494.04$ 1 TOTAL:44,832.00$ 54,494.04$ 1 Low High Executive Assistant to City Administrator (FT)49,363.00$ 66,151.00$ 1 Executive Assistant to City Administrator (FT)49,363.00$ 66,151.00$ 1 TOTAL:98,726.00$ 132,302.00$ 2 Low High City Clerk 114,252.00$ 138,864.00$ 1 Assistant City Clerk 61,620.00$ 74,904.00$ 1 Deputy City Clerk 50,580.00$ 61,476.00$ 1 TOTAL:226,452.00$ 275,244.00$ 3 Low High Administrative Assistant II (FT)38,592.00$ 52,056.00$ 1 Executive Assistant to the City Manager (FT)47,460.00$ 64,044.00$ 1 TOTAL:86,052.00$ 116,100.00$ 2 Agency Classification Title Annual Salary No. of Position Reporting Structure City of Rancho Cucamonga Population: 177,452 System: Council - Manager Type: General Law City Employees report to the City Manager Supports the City Manager, Mayor, and (4) City Council members. Note: Employees primarily support the City Manager. Agency Classification Title Annual Salary No. of Position Reporting Structure Supports City of West Covina Population: 107,598 System: Council - Manager Type: General Law City All function under the City Manager's office supporting: City Manager, Mayor and (4) City Council members Agency Classification Title Annual Salary No. of Position Reporting Structure Supports City of Victorville Population: 122,441 System: Council - Manager Type: General Law City Employees report to the City Manager All function under the City Manager's office supporting: City Manager, Mayor, City Clerk and (4) City Council members Employees report to the City Manager Agency Classification Title Annual Salary No. of Position Reporting Structure Supports No. of Position Reporting Structure Supports City of Rialto Population: 103,562 System: Council - Administrator / Manager Type: General Law City Employees report to the City Manager All function under the City Manager's office supporting: City Manager, City Attorney, Mayor and (4) City Council members Agency Classification Title Annual Salary Redlands Population: 71,554 System: Council - Manager Type: General Law City Employee reports to the City Manager & Assistant City Manager All function under the City Manager's office supporting: City Manager, City Attorney, Mayor and (4) City Council members Supports Updated on 1/10/2019 18.d Packet Pg. 459 Attachment: CM.Legislative Office Staffing.04.Legislative Office Staff Support Survey (5923 : Support Staffing for the City’s Legislative Branch24.b Packet Pg. 462 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Administrative Assistant to the City Council (U) Page 1 Class Code: 10081 M/CC Date Updated: January 24, 2011 City of San Bernardino Signature: Director, Human Resources Bargaining Unit: Management/Confidential EEOC Job Category: Office and Clerical Class Specification ADMINISTRATIVE ASSISTANT TO THE CITY COUNCIL (U) JOB SUMMARY Under direction, pPerforms a variety of difficult, responsible, sensitive and confidential office administrative support functions for the City Council; and performs related duties as assigned. DISTINGUISHING CHARACTERISTICS Administrative Assistant to City Council performs a variety of administrative support functions for the City Council. Incumbents serve as first point of public contact for the City Council's Offices in receiving and welcoming visitors and managing all incoming calls. Duties include: organizing, updating and maintaining Office records, files and databases; assisting with preparation of a variety of reports, documents and materials and participating in planning and making logistical arrangements for events sponsored by City Council members. Work is performed in a highly sensitive, demanding, political and rapidly changing environment and requires a high degree of confidentiality and excellent customer service skills. Administrative Assistant to City Council is distinguished from Administrative Operations Supervisor in that an incumbent in the latter class serves as office manager for City Council Offices and supervises the work of other Office administrative support staff. ESSENTIAL DUTIES AND RESPONSIBILITIES The duties listed below are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude them from the position if the work is similar, related or a logical assignment to this class. 1.Receives and screens all visitors and telephone calls to the City Council Offices, providing information and handling issues that may require sensitivity and sound independent judgment; responds to requests for information or refers requests and complaints from officials, constituents and others to appropriate staff for resolution; reviews and distributes incoming mail; schedules conference rooms for meetings. 2.Creates, updates and maintains Office contact and other databases; creates and maintains central office filing systems for easy access by Office staff and City Council members. 3.Using word processing software, composes routine and/or types memoranda, correspondence, agenda items, reports, presentations, proclamations, certificates of recognition, lists and other documents often of a highly sensitive and confidential nature; proofreads and checks typed and other materials for accuracy, completeness and compliance with City Council Office standards, policies and procedures; ensures materials, reports and documents for signature are accurate and complete. 4.Participates in planning and making organizational/logistical arrangements for events sponsored by the City Council and its members, including researching site locations and Attachment 4 18.e Packet Pg. 460 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 463 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Administrative Assistant to the City Council (U) Page 2 negotiating rental contracts, making registration and housing arrangements, planning room and presentation equipment set ups, ensuring adherence to budget limits and requesting payments for final bills and ensuring smooth operations during the event. 5. Prepares requisitions and purchase orders for equipment, materials and supplies; prepares payment requests for invoices; prepares work order requests for repair of facilities, computers and communications equipment and serves as liaison to coordinate their completion. GENERAL QUALIFICATIONS Knowledge of: 1. Principles and practices of effective customer service and customer-oriented telephone etiquette. 2. Office administrative practices and procedures, including file and document management procedures and practices. 3. Correct English usage, including spelling, grammar and punctuation. 4. City organization and basic information regarding ordinances, rules, policies, procedures and operating practices applicable to providing telephone and visitor reception. 5. Advanced uses of word processing, graphics, spreadsheet, database and other software to create documents and materials requiring the interpretation and manipulation of data. 6. City administrative policies and procedures applicable to areas of assigned responsibility, including the requisitioning and purchasing of equipment and supplies and maintenance of public records. 7. Roles and responsibilities of an elected Council and applicable law, regulations and rules governing public meetings, including the Brown Act and Public Records Act. Ability to: 1. Organize, set priorities and exercise sound independent judgment within areas of responsibility. 2. Interpret, apply, explain and reach sound decisions in accordance with regulations, policies and procedures. 3. Represent the City Council and its members effectively in receiving and responding to inquiries, requests for information and complaints from constituents and others. 4. Organize, research and maintain complete and extensive office files. 5. Operate a computer, using word processing, spreadsheet and database software and other standard office equipment. 6. Type accurately at a speed necessary to meet the requirements of the position. 7. Compose routine correspondence, prepare documents and make arrangements from brief instructions. 8. Communicate clearly and effectively, both orally and in writing. 9. Understand and follow written and oral instructions. 10. Prepare clear, accurate and concise records and reports. 11. Maintain strict confidentiality of privileged information. 12. Use a high degree of tact, diplomacy and discretion in dealing with sensitive and confidential situations and concerned internal and external parties. 13. Establish and maintain highly effective working relationships with City Council members, the Mayor, other elected and appointed officials, committee members, department directors and managers, staff, residents, representatives of civic and community groups, the media, the public and others encountered in the course of work. 18.e Packet Pg. 461 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 464 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Administrative Assistant to the City Council (U) Page 3 MINIMUM QUALIFICATIONS Education, Training and Experience: A typical way of obtaining the knowledge, skills and abilities outlined above is graduation from high school or G.E.D. equivalent; and five years of increasingly responsible office administrative or secretarial experience; or an equivalent combination of training and experience. An Associate’s degree from an accredited college or university is highly desirable. Accreditation shall be by a national or regional accreditation body that is recognized by the Secretary of the United States Department of Education. Licenses; Certificates; Special Requirements: A valid California driver's license and the ability to maintain insurability under the City's vehicle insurance policy. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit; talk or hear, both in person and by telephone; use hands repetitively to finger, handle and feel computers and standard business equipment; and reach with hands and arms. The employee is frequently required to stand and walk and occasionally is required to lift up to 25 pounds. Specific vision abilities required by this job include close vision and the ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The employee works under typical office conditions and the noise level is usually quiet. 18.e Packet Pg. 462 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 465 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Council Administrative Supervisor (U) Page 1 Class Code: 10072 M/CC Date Adopted: _______________ City of San Bernardino Signature: ___________________________ Director, Human Resources Bargaining Unit: Management/Confidential Class Specification COUNCIL ADMINISTRATIVE SUPERVISOR (U) JOB SUMMARY Under direction, sSupervises and administers assigned administrative operations of the Council’s Office; supervises and participates in the work of Council staff; performs highly complex duties involving confidential and sensitive matters; and performs related duties as assigned. DISTINGUISHING CHARACTERISTICS Council Administrative Supervisor is responsible for supervising, overseeing and reviewing the work of and providing training and guidance to secretaries assigned to the Council’s Office. Duties and responsibilities are carried out with considerable independence within the framework of established policies, procedures and guidelines. ESSENTIAL DUTIES AND RESPONSIBILITIES The duties listed below are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude them from the position if the work is similar, related or a logical assignment to this class. 1. Plans, organizes, supervises and evaluates the work of assigned staff; with staff, develops, implements and monitors work plans to achieve assigned goals and objectives; assists in preparing and monitors the annual Office budget; assists in the organization, staffing and operations of the Office; evaluates and manages the workloads of staff and makes assignments accordingly. 2. Plans and evaluates the performance of assigned staff; establishes performance requirements and personal development targets; regularly monitors performance and provides coaching for performance improvement and development; recommends compensation and provides other rewards to recognize performance; addresses performance deficiencies; subject to management concurrence, takes disciplinary action, up to and including recommending termination. 3. Provides day-to-day leadership and works with staff to ensure a high performance, customer service-oriented work environment that supports achieving City and Office objectives and service expectations; provides leadership and participates in programs and activities that promote a positive employee relations environment. 4. Supervises, assigns, plans, organizes and oversees the work of secretaries assigned to the Council’s Office; reviews the work of secretaries for completeness, accuracy and conformance with Council's Office standards; provides training and guidance to secretaries on local, state and federal laws and regulations and City policies and procedures; provides information and assists in resolving issues. 5. Maintains and regularly updates the Office's master calendar and other critical dates. 6. Reviews Request for Payments submitted by secretaries; prepares, processes and submits Requests for Payments to the Finance Division; prepares purchase order requisitions as necessary. 18.e Packet Pg. 463 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 466 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Council Administrative Supervisor (U) Page 2 7. Prepares agenda items and supporting materials; gathers and compiles documents and other supporting materials for City Council action, staff reports, resolutions and professional services agreements for the Common Council; assists in the renewal of contracts. 8. Manages purchases and expenditures; creates and oversees implementation of Office policies and procedures; performs research and makes recommendations and decisions regarding expenditures for office equipment. 9. Performs a variety of other administrative and office support functions; designs and manages office record keeping systems and files; processes employee payroll; reviews, sorts and distributes incoming mail; calendars, response dates, and meeting dates. GENERAL QUALIFICATIONS Knowledge of: 1. Administrative and management practices and procedures. 2. Terminology, work processes, policies, procedures and local, state and federal requirements applicable to assigned departmental responsibilities. 3. Methods and techniques of research and investigation. 4. Principles and practices of sound business communication; correct English usage, including spelling, grammar and punctuation. 5. Federal, state and local laws and regulations applicable to assigned areas of responsibility. 6. City organization, ordinances, rules, policies and procedures. 7. Basic functions of public agencies, including the role of an elected Council member and appointed boards and commissions. 8. The uses of word processing and specialized software applicable to the management of an office. 9. Principles and practices of public administration, including budgeting, recordkeeping, filing and purchasing practices and procedures. 10. Advanced records management concepts applicable to a standard office. 11. Principles and practices of effective supervision. 12. City human resources policies and labor contract provisions. Ability to: 1. Plan, supervise, coordinate and evaluate the work of assigned staff. 2. Operate a computer and word processing software and other standard office equipment. 3. Make advanced uses of word processing software to produce competent documents. 4. Type accurately at a speed necessary to meet the requirements of the position. 5. Organize, set priorities and exercise sound independent judgment within areas of responsibility. 6. Interpret, apply, explain and reach sound decisions in accordance with laws, regulations, rules and policies. 7. Train others in work processes and procedures. 8. Organize, research and maintain confidential and office files and calendars. 9. Compose correspondence and prepare standard documents from brief instructions. 10. Communicate clearly and effectively, both orally and in writing. 11. Prepare clear, accurate and concise records and reports. 12. Maintain sensitive and confidential information. 13. Use tact, discretion and diplomacy in dealing with sensitive situations. 14. Establish and maintain highly effective working relationships with City management and officials, staff and others encountered in the course of work. 18.e Packet Pg. 464 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 467 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Council Administrative Supervisor (U) Page 3 MINIMUM QUALIFICATIONS Education, Training and Experience: Graduation from high school or G.ED. equivalent; and at least two years of secretarial experience; or one year of experience as a Secretary II with the City of San Bernardino. Licenses; Certificates; Special Requirements: None. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this class, employees are regularly required to sit; talk or hear, both in person and by telephone; and use hands to operate, finger, handle or feel office equipment; and reach with hands and arms. The employee is frequently required to stand, walk, stoop, kneel, bend, crouch and lift up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and the ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The employee works under typical office conditions, and the noise level is usually quiet. 18.e Packet Pg. 465 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 468 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Executive Staff Assistant to City Council Page 1 Class Code: 10951 M/CC Date Adopted: _______________ City of San Bernardino Signature: ___________________________ Human Resources Division Manager Bargaining Unit: Confidential-Management Class Specification Executive Staff Assistant to City Council (U) JOB SUMMARY Under direction from the City Council, pPlans, organizes and supervises the work of staff engaged in providing administrative and staff support to the City Council; and performs related duties as assigned. DISTINGUISHING CHARACTERISTICS Executive Staff Assistant to the City Council is responsible for planning, organizing and supervising the work of administrative and support staff providing support services to the City Council in a non-partisan manner. The incumbent serves the City Council as a body and members of the City Council individually by providing professional administrative and legislative support, as well as clerical and other assistance required to carry out their responsibilities as elected officials on the City's governing body. Assignments are broad in scope and allow for a high degree of administrative discretion in their execution. ESSENTIAL DUTIES AND RESPONSIBILITIES The duties listed below are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude them from the position if the work is similar, related or a logical assignment to this class. 1. Plans, organizes, controls, manages and evaluates the work of support staff to the City Council staff; with staff, participates in establishing operational plans and initiatives to assist the Council and each Council member in carrying out their elected responsibilities; implements plans, processes, procedures and policies required to achieve overall Office performance requirements; coordinates and integrates Office functions and responsibilities to achieve optimal efficiency and effectiveness; participates in developing and monitoring performance against the annual budget for the City Council. 2. Plans and evaluates the performance of assigned staff; establishes performance requirements and personal development targets; monitors performance and provides coaching for performance improvement and development; provides or recommends compensation and other rewards to recognize performance; takes disciplinary action, up to and including termination, to address performance deficiencies, subject to management concurrence, in accordance with the City’s human resources policies and procedures, Civil Service Personnel Rules and labor contract provisions. 3. Provides leadership and works with staff to develop and maintain a high performance, customer service-oriented work environment that supports achieving the City’s mission, strategic goals and core values. 4. Provides assistance to the Council on a variety of administrative matters related to its operations and functions; supervises and participates in research to provide requested background information and data in response to Council member needs; works with the City Manager to coordinates Council requests for information and/or services from 18.e Packet Pg. 466 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 469 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Executive Staff Assistant to City Council Page 2 various City departments; prepares staff reports on matters as requested by the Council or Council members. 5. Makes changes to organization and assignment of work to ensure effective administrative support and productive flow of work; performs special assignments for the Council as requested. 6. Receives and responds to requests for information, inquiries and complaints from the public; handles issues that may require sensitivity and sound independent judgment; as appropriate, refers requests and complaints from officials, other organizations and the public to appropriate staff or City departments for resolution; works with the City Manager to follows up to determine the actions taken and reports back to the Council or Council members. 7. Prepares annual budget for the City Council; prepares and processes requisitions and accounts payable requests; monitors assigned budget balances; prepares and maintains staff attendance and time off records. 8. Prepares a variety of memoranda, correspondence, reports, presentations, forms and other documents often of a highly sensitive and confidential nature in support of the City Council and in accordance with the City’s Council directions, policies and procedures. 9. As assigned, represents the City Council in meetings with appointed boards and committees, legislators and civic, community, business and industry. GENERAL QUALIFICATIONS Knowledge of: 1. Principles and practices of administrative, organizational, financial, legislative, policy and procedural analysis. 2. City Charter and Municipal Code provisions which define the roles and responsibilities of the City Council. 3. Federal and state law and regulations and court decisions applicable to the operations of the City Council, including the Brown Act and other regulations governing the conduct of public meetings. 4. General principles and practices of public administration, including municipal budget development and financial analysis. 5. Principles and practices of sound business communication; correct English usage, including spelling, grammar and punctuation. 6. Basic concepts, tools and techniques of project planning and management. 7. Uses and operations of a computer and standard business software, including word processing, spreadsheet and database applications. 8. Principles and practices of management and supervision. 9. City human resources policies and procedures, Civil Service Personnel Rules and labor contract provisions. Ability to: 1. Plan, organize, manage and evaluate the work of an Office and staff engaged in providing administrative and staff services to an elected City Council in a comprehensive and non-partisan manner. 2. Perform research, collect relevant data, evaluate alternatives and reach sound, logical, fact-based conclusions and recommendations. 3. Present proposals and recommendations clearly, logically and persuasively in public meetings. 4. Understand, interpret, explain and apply City, state and federal laws and regulations governing the operations of the City Council and the conduct of City business. 18.e Packet Pg. 467 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 470 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Executive Staff Assistant to City Council Page 3 5. Evaluate, develop and implement management systems, policies and controls. 6. Exercise sound independent judgment within general policy guidelines. 7. Prepare clear, concise and comprehensive correspondence, reports and other written materials. 8. Exercise tact, diplomacy and political acumen in dealing with highly sensitive political, public policy, community and employee issues and situations. 9. Establish and maintain effective working relationships with the Mayor, City Manager, all levels of City management, other governmental officials, community and civic organizations, employee organizations, employees, the media, the public and others encountered in the course of work. MINIMUM QUALIFICATIONS Education, Training and Experience: A typical way of obtaining the knowledge, skills and abilities outlined above is graduation from a college or university with a major in public or business administration, political science or a closely related field; and at least five years of increasingly responsible administrative analysis experience in a public agency; or the equivalent combination of training and experience. Licenses; Certificates; Special Requirements: A valid California driver’s license and the ability to maintain insurability under the City’s vehicle insurance policy. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit; talk or hear, both in person and by telephone; use hands to finger, handle and feel computers and standard business equipment; and reach with hands and arms. The employee is frequently required to stand and walk. Specific vision abilities required by this job include close vision and the ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The employee works under typical office conditions, and the noise level is usually quiet. 18.e Packet Pg. 468 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 471 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Senior Customer Services Representative (U) Page 1 Class Code: 10222 M/CC Date Updated: July 21, 2014 City of San Bernardino Signature: Director of Human Resources Bargaining Unit: Management/Confidential Class Specification SENIOR CUSTOMER SERVICES REPRESENTATIVE (U) JOB SUMMARY Under general supervision, performs a variety of highly responsible technical and customer service duties in support of an elected official’s office in the administration of City business license and registration, transient occupancy and permit programs, by telephone and in person; ranging from answering general questions and providing information to handling the more complex customer relations situations. Work requires a high degree of interpersonal skill and sensitivity in providing high levels of customer service to a diverse group of customers and detailed knowledge of departmental services, programs, policies and procedures applicable to specific job assignments. calculates fees, penalties and adjustments; receives payments, issues licenses, permits, provide information, accepting and referring customer reports and complaints, researching problems, preparing correspondence to customers and maintain records; accepts and processes U.S. passport applications as a Certified Passport Agent; and performs related duties as assigned. DISTINGUISHING CHARACTERISTICS Senior Customer Services Representative is an advanced journey-level class in the Customer Service job family. Incumbents provide a variety of services to customers by telephone and in person. , in administering the City's business registration and license programs, and operate as a Certified Passport Agent ranging from answering general questions and providing information calculate fees and penalties, accept payments of fees, perform billing and collections handling the more complex customer relations situations. Work requires a high degree of interpersonal skill and sensitivity in providing high levels of customer service to a diverse group of customers who are upset or distressed. and detailed knowledge of departmental services, programs, policies and procedures applicable to specific job assignments.Work requires learning and applying information on an extensive variety of business types and revenue levels and detailed knowledge of departmental services, programs, policies and procedures applicable to specific job assignments. ESSENTIAL DUTIES AND RESPONSIBILITIES The duties listed below are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude it from the position if the work is similar, related or a logical assignment to this class. 1. Greets customers and answers, screens and transfers calls; interviews and obtains information from customers, analyzes situations and problems and provides information; assists customers in completing forms; refers calls or requests for services outside the City's jurisdiction to other agencies. 2. In person and by telephone, assists customers with a wide variety of business registration and other permit questions and issues; reads business registration applications and interviews customers to determine the type of business license required 18.e Packet Pg. 469 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 472 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Senior Customer Services Representative (U) Page 2 and the relevant fee structure; explains City prerequisites for the type of business involved; directs customers to other agencies whose approvals are required for business startup; enters data to set up new accounts; calculates fees, penalties and prior year adjustments if involved; accepts and issues receipts for payments received in cash or by check or credit card; balances assigned cash drawer at the end of the day. 3.2. When assigned to the Office of the City Clerk, Eexplains passport procedures and documentation requirements; reviews identification and documents, accepts and processes applications for U.S. passports, as a Certified Passport Agent; administers necessary oaths or affirmations.; accepts and processes third-party claims filed against the City; notarizes documents as required; and accepts and issues receipts for payments received in cash or by check or credit card; balances assigned cash drawer at the end of the day. 4. Processes business registration renewal payments received by mail; reviews accounts for accuracy; corrects billing errors and closes accounts in the system; returns improperly filed returns; processes payments for transient occupancy. 5.3. Accepts and processes third-party claims filed against the City; pPrepares and maintains records and files applicable to assigned responsibilities; generates daily work activity reports and summaries; conducts special research projects as assigned. 6.4. Prepares correspondence for the City Clerk elected officials and other staff; maintains an inventory of forms, supplies and materials for department use; provides back up for other administrative staff. 5. Notarizes documents as required; pProvides translation services to customers in person and by telephone. 7.6. May assist in training other office staff. GENERAL QUALIFICATIONS Knowledge of: 1. Principles and practices of effective customer service and customer-oriented telephone etiquette. 2. Principles and practices of sound business communication; correct English usage, spelling, grammar and punctuation. 3. Business math. 4. Modern office practices and procedures, including filing and recordkeeping systems. 5. Uses and operations of a computer and standard business software including word processing, spreadsheet and database applications. 6. City codes regulations and rules applicable to determining business registration requirements, and fee amounts, ordinances and departmental policies, procedures and practices applicable to job assignment. Ability to: 1. Operate a computer and other standard office equipment. 2. Efficiently, courteously and calmly handle customer service requests in person and telephone. 3. Handle tactfully and effectively sensitive customer relations situations and calmly defuse situations that are emotional and volatile. 4. Understand, interpret, explain and apply complex City codes, regulations and rules regarding business registration and other business licenses/permits. 5. Reach accurate decisions in accordance with rules and policies. 6. Understand and carry out written and oral instructions. 7. Communicate clearly and effectively orally and in writing. 18.e Packet Pg. 470 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 473 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Senior Customer Services Representative (U) Page 3 8. Prepare clear, accurate and concise computer entries, records and basic correspondence. 9. Maintain sensitive and confidential information. 10. Use tact, discretion, patience and understanding in dealing with customers and the public. 11. Establish and maintain highly effective working relationships with City staff, customers, the public and others encountered in the course of work. MINIMUM QUALIFICATIONS Education, Training and Experience: A typical way of obtaining the knowledge, skills and abilities outlined above is graduation from high school or G.E.D.; and at least three years of progressively responsible customer service experience; or an equivalent combination of training and experience. Bilingual English/Spanish language skills preferred. Licenses; Certificates; Special Requirements: None. A valid California driver's license and the ability to maintain insurability under the City's vehicle insurance policy is required for certain assignments. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit, stand and walk; talk or hear, both in person and by telephone; and use hands repetitively to operate, finger, handle or feel computers and other standard office equipment; and reach with hands and arms. Employees are occasionally required to lift up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and the ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Employees work in typical office environments where the noise level is usually quiet. 18.e Packet Pg. 471 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 474 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Executive Assistant to Mayor Page 1 Class Code: 10978 M/CC Date Adopted: _______________ City of San Bernardino Signature: ___________________________ Human Resources Division Manager Bargaining Unit: Confidential-Management Class Specification EXECUTIVE ASSISTANT TO MAYOR (U) JOB SUMMARY Under direction from the Mayor and Chief of Staff, pPerforms a variety of complex, responsible, highly sensitive and confidential executive support functions for the Mayor’s Office; and performs related duties as assigned. DISTINGUISHING CHARACTERISTICS Executive Assistant to Mayor serves as office manager for the Mayor's Office and is responsible for providing a wide array of complex, diverse and confidential support services to the Mayor, in a highly sensitive, demanding, political and rapidly changing environment. The incumbent's work is characterized by involvement with broad City-wide issues and interactions with other elected officials, constituents, representatives of a wide variety of community, civil and bus iness groups, City management staff and others on complex and sensitive matters. Executive Assistant to Mayor is distinguished from Assistant to Mayor in that incumbents in the latter class perform a variety of constituent and administrative staff services for Mayor, often involving politically sensitive issues and requiring a high degree of independent judgment and sound political acumen. ESSENTIAL DUTIES AND RESPONSIBILITIES The duties listed below are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude them from the position if the work is similar, related or a logical assignment to this class. 1. Serves as office manager for the Mayor's Office; maintains, updates and rearranges calendars for the Mayor, Chief of Staff and Assistants to the Mayor; receives and screens requests, coordinates, arranges and confirms meetings, appointments, social engagements and community/intergovern-mental events; develops itineraries and makes and confirms travel arrangements for the Mayor and staff members; submits conference registrations; arranges hotel and flight reservations. 2. Receives and screens visitors and telephone calls, providing information and handling issues that require sensitivity and sound independent judgment; conducts research, responds to requests for information and resolves complaints from constituents; refers certain issues to appropriate staff members or City departments for resolution; reviews, determines the priority of and routes assigned incoming correspondence. 3. Plans, organizes, schedules and supervises the work of staff engaged in providing secretarial and administrative support to the Mayor and Mayor's staff; oversees the preparation and typing of correspondence, memoranda, agenda items, reports, resolutions, proclamations, agreements, presentations, forms and other documents often of a highly sensitive and confidential nature; ensures that documents are accurate, complete and conform to Mayor's Office standards, and City policies and procedures; 18.e Packet Pg. 472 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 475 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Executive Assistant to Mayor Page 2 ensures materials, reports and documents for signature are accurate and complete; responds independently to mail and email inquiries regarding a variety of City matters. 4. Plans and evaluates the performance of assigned administrative staff; establishes performance requirements and personal development targets; regularly monitors performance and provides coaching for performance improvement and development; recommends compensation and provides other rewards to recognize performance; subject to Mayor concurrence, takes disciplinary action, up to and including termination, to address performance deficiencies, in accordance with sound human resources practices.. 4.5. Provides day-to-day leadership and works with staff to ensure a high performance, customer service-oriented work environment that supports achieving the Mayor's objectives and service expectations; provides leadership and participates in programs and activities that promote a positive staff working environment. 5.6. Supervises and manages the maintenance of Office records and databases; researches and assembles information from a variety of sources for the preparation of records, correspondence and reports for the Mayor and staff; establishes and maintains confidential files. 6.7. Assists in preparing the Mayor's Office budget; tracks and monitors performance against the approved budget; prepares and processes requisitions, purchase orders and accounts payable requests; monitors budget balances; prepares and maintains staff attendance and time off records. 7.8. Plans, organizes, makes and supervises logistical arrangements and serves as host for a variety of Mayor's events, such as the Mayor's holiday reception, annual prayer breakfast and State-of-the-City address. GENERAL QUALIFICATIONS Knowledge of: 1. Office administrative and management practices and procedures, including principles and practices of file and document management. 2. Principles and practices of sound business communication; correct English usage, including spelling, grammar and punctuation. 3. City organization, ordinances, rules, policies, procedures and operating practices related to areas of responsibility. 4. Functions of public agencies, including the role of an elected Council and appointed committees and boards. 5. Methods, practices and techniques for project management and event planning. 6. Basic principles and practices of public administration, including budgeting, purchasing and maintenance of public records. 7. Principles and practices of effective supervision. 8. City human resources policies and procedures, Civil Service Personnel Rules and labor contract provisions. Ability to: 1. Manage multiple and rapidly changing priorities to meet the needs and expectations of the Mayor in interactions with other elected and appointed officials and various constituencies. 2. Organize, set priorities, take initiative and exercise sound independent judgment within areas of responsibility. 3. Represent the Mayor effectively in meetings and interactions in person and by telephone with a wide range of constituencies. 18.e Packet Pg. 473 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 476 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Executive Assistant to Mayor Page 3 4. Interpret, apply, explain and reach sound independent decisions in accordance with regulations, policies and procedures and Mayor's preferences. 5. Organize, research and maintain complete and extensive office files. 6. Operate a computer, word processing and spreadsheet software and other standard office equipment. 7. Compose correspondence, prepare documents and make arrangements from brief instructions. 8. Communicate clearly, effectively and persuasively, both orally and in writing. 9. Prepare clear, accurate and concise records and reports. 10. Maintain strict confidentiality of privileged information. 11. Use a high degree of tact, diplomacy and discretion in dealing with sensitive and confidential situations and concerned internal and external parties. 12. Establish and maintain highly effective working relationships with the Mayor, City Council members, other elected and appointed officials, committee members, department directors and managers, staff, residents, representatives of civic and community groups, the media, the public and others encountered in the course of work. MINIMUM QUALIFICATIONS Education, Training and Experience: Education and experience as determined by the Mayor. A desirable way of obtaining the knowledge, skills and abilities outlined above is graduation from a college or university with a major in public or business administration, political science or a closely related field; and at least three years of increasingly responsible administrative experience in a public agency; or some combination of education, training and experience that produces the requisite knowledges, skills and abilities. Licenses; Certificates; Special Requirements: A valid California driver's license and the ability to maintain insurability under the City's vehicle insurance policy. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit , stand and walk; talk or hear, both in person and by telephone; use hands to finger, handle and feel computers and standard business equipment; and reach with hands and arms. Specific vision abilities required by this job include close vision and the ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The employee works under typical office conditions and the noise level is usually quiet. 18.e Packet Pg. 474 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 477 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Executive Assistant to Mayor Page 4 Work requires attending meetings and events on behalf of the Mayor outside of regular work hours, in the evenings and on weekends. 18.e Packet Pg. 475 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 478 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Assistant to the Mayor I – IV (U) Page 1 Class Codes: 10104/10105/10106/10107 M/CC Date Updated: January 24, 2011 City of San Bernardino Signature: Director, Human Resources Bargaining Unit: Management/Confidential Class Specification ASSISTANT TO THE MAYOR I – IV (U) JOB SUMMARY Under direction from the Mayor and Chief of Staff, pPerforms responsible administrative staff work, ranging in difficulty from moderate to highly complex; in support of the Mayor's and City Council’s policy initiatives and City activities, functions and programs; represents the Mayor in interactions with a wide variety of constituent groups; and performs related duties as assigned. DISTINGUISHING CHARACTERISTICS Assistants to the Mayor perform research and analyses on a wide range of organizational, financial, policy, legislative and community issues in support of the Mayor's and City Council’s short- and long-term goals for the City and associated policy and program initiatives and plans and represent the Mayor in interactions with a variety of constituencies. Assistant to the Mayor I is the entry-level professional class in this series. Incumbents typically work in a supporting role to more senior Assistants and perform research and analyses on issues in one or more program or policy areas under their guidance. Incumbents may be assigned to represent the Mayor in attending assigned community and business meetings. Assistant to the Mayor II carries program and policy assignments involving more difficult issues and/or programs with more complex impacts on various constituencies and stakeholder groups. Incumbents in this class are expected to carry out representational responsibilities independently within the policy framework established by the Mayor and City Council, with sensitivity to the political and community impact of their communications. Assistant to the Mayor III typically carries an assigned portfolio of initiatives, programs and issue areas and represent the Mayor in interactions with the media; business, community and civic groups; other public agencies; professional and trade organizations; legislators at the local, state and national levels; residents/property owners and others who are stakeholders in areas in their portfolios. Assistant to the Mayor IV serves as a strategist, advisor and project manager to the Mayor on highly complex program, intergovernmental and other community issues having significant policy, financial, community and/or political implications and consequences and for which there are few precedents and guidelines for action. Assignments are broad in scope, require the exercise of seasoned expert professional and political acumen and the ability to consultatively lead and manage the completion of work assignments by others, demand expeditious action and allow for a high degree of administrative discretion in their execution. 18.e Packet Pg. 476 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 479 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Assistant to the Mayor I – IV (U) Page 2 ESSENTIAL DUTIES AND RESPONSIBILITIES The duties listed below are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude them from the position if the work is similar, related or a logical assignment to this class. 1. Provides staff assistance to the Mayor and Chief of Staff ranging from moderately difficult to highly complex; assists or participates in or leads in developing and overseeing implementation of plans and initiatives to meet short-term and long-terms goals and objectives of the Mayor and City Council; assists or participates in formulating strategies, approaches, outreach initiatives, collaborative arrangements and other processes to achieve overall results on goals and objectives; meets with a wide variety of stakeholder groups and their representatives to represent the Mayor's Office and/or build support, agreement, participation and partnerships. 2. Plans, coordinates, organizes and conducts, or assists in conducting or arranges for completion of administrative, policy and legislative analysis studies relating to assigned issues and/or programs ranging from routine to complex and highly responsible; identifies issues and challenges, obtains relevant information and data, analyzes alternatives and makes recommendations; prepares or requests revenue and cost analyses; presents reports of conclusions and recommendations to internal and external stakeholder groups; recommends the formation of task forces and committees to develop implementation plans to review policy issues; works with the City Manager City department heads and others as applicable in implementing programs and policies; drafts or requests drafting of reports, policy papers, recommended legislative proposals, presentation materials, press releases and talking points for the Mayor or others he/she may designate. 3. As assigned, represents the Mayor's Office and works closely with City Council members, appointed boards and committees, legislators and public and private officials to gain public and political support and form partnerships to pursue and/or carry out planned initiatives and program plans. 4. Receives, researches and formulates actions to respond to and/or resolve constituent complaints. 5. Represents the Mayor in meetings/interactions with the media, civic, community, business and industry groups and with representatives of other governmental agencies as assigned; serves as liaison with areas of the City, attends neighborhood meetings and keeps the Mayor informed on the pulse of the community. MINIMUM QUALIFICATIONS Knowledge of: 1. General principles and practices of administrative, organizational, financial, legislative, policy and procedural analysis. 2. The legislative process, its steps and influence points. 3. General principles and practices of public administration, including municipal budget development and financial analysis. 4. Principles and practices of sound business communication; correct English usage, including spelling, grammar and punctuation. 5. Principles and practices of preparing, producing, and disseminating public information 4.6. Basic concepts, tools and techniques of project planning and management. 5.7. Federal, state and local laws, regulations and court decisions applicable to assigned areas of responsibility. 18.e Packet Pg. 477 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 480 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Assistant to the Mayor I – IV (U) Page 3 6.8. City operations and functions and associated public policy, operational and financial management issues and challenges. 7.9. Uses and operations of a computer and standard business software. Ability to: 1. Reach sound independent conclusions and recommend appropriate courses of action within policy guidelines established by the Mayor and City Council. 2. Apply judgment and sound political acumen appropriate to level of assignment. 3. Represent the Mayor authoritatively before public bodies and in interactions with a variety of stakeholder groups, including legislative and governmental officials, business and civic organizations, community groups and committees and City departments the City Manager. 4. Use tact and diplomacy when addressing complex issues among competing interests. 5. Lead and facilitate group problem-solving efforts and develop consensus among parties with competing interests and priorities. 6. Operate effectively within a rapidly changing political environment. 7. Present press releases, proposals and recommendations clearly, logically and persuasively in public meetings and to the media. 7.8. Understand, interpret and explain City, state and federal laws and regulations governing the conduct of City operations. 8.9. Establish and maintain effective working relationships with the City Council, all levels of City management, other governmental officials, community and civic organizations, employee organizations, employees, the media, the public and others encountered in the course of work. GENERAL QUALIFICATIONS Education, Training and Experience: Education and experience as determined by the Mayor. A desirable way of obtaining the knowledge, skills and abilities outlined above is: Assistant to the Mayor I: Graduation from an accredited college or university with a major in public or business administration, political science or a closely related field; and one year of paid or volunteer experience involving legislative, community outreach, public relations or other similar activities or experience in a legislative or elected official's office; or some combination of education, training and experience that produces the requisite knowledge, skills and abilities. Assistant to Mayor II: Graduation from an accredited college or university with a major in public or business administration, political science or a closely related field; and two years of progressively responsible legislative, community outreach, public relations or other similar experience in a public agency, legislative or elected official's office; or some combination of education, training and experience that produces the requisite knowledge, skills and abilities. Assistant to Mayor III: Graduation from an accredited college or university with a major in public or business administration, political science or a closely related field; and at least three years of increasingly responsible legislative, policy, community outreach, public relations or similar experience in a public agency, legislative or elected official's office; or 18.e Packet Pg. 478 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 481 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Assistant to the Mayor I – IV (U) Page 4 some combination of education, training and experience that produces the requisite knowledge, skills and abilities. Assistant to Mayor IV: Graduation from an accredited college or university with a major in public or business administration, political science or a closely related field; and at least five years of increasingly responsible legislative, policy, community outreach, public relations or similar experience in a public agency, legislative or elected official's office; or some combination of education, training and experience that produces the requisite knowledge, skills and abilities. Accreditation shall be by a national or regional accreditation body that is recognized by the Secretary of the United States Department of Education. Licenses; Certificates; Special Requirements: A valid California driver’s license and the ability to maintain insurability under the City’s vehicle insurance policy. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit; talk or hear, both in person and by telephone; use hands to finger, handle and feel computers and standard business equipment; and reach with hands and arms. The employee is frequently required to stand and walk. Specific vision abilities required by this job include close vision and the ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The employee works under typical office conditions, and the noise level is usually quiet. Work requires attending meetings and events on behalf of the Mayor outside of regular work hours, in the evenings and on weekends. 18.e Packet Pg. 479 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 482 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Mayor’s Chief of Staff (U) Page 1 Class Code: 10503 M/CC Approval Date: February 17, 2015 City of San Bernardino Signature: Human Resources Division Manager Bargaining Unit: Management/Confidential Class Specification MAYOR’S CHIEF OF STAFF (U) JOB SUMMARY Under policy direction of the Mayor, pPerforms specialized work including the review and analysis of issues, reports and services; represents the Mayor at meetings with constituents; represents the Mayor at various committee and community meetings; serves as liaison for the Mayor with City departments the City Manager, constituents groups, civic organizations and public bodies; and performs related duties as assigned. DISTINGUISHING CHARACTERISTICS The Mayor’s Chief of Staff is a professional administrative staff position in the Office of the Mayor. Serves the Mayor as a resource person, analyst, project manager, and administrator and confidant handling politically sensitive issues requiring a high degree of independent judgement. Supervises the work of other administrative and clerical personnel within the Mayor’s Office. Dealing with City Department Heads, wW orks in close coordination with the Office of the City Manager. Incumbent must be willing to work varying hours. ESSENTIAL DUTIES AND RESPONSIBILITIES The duties listed below are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude it from the position if the work is similar, related or a logical assignment to this class. 1. Provides courteous and expeditious customer service to the general public and City department staffs. 2. Plans, organizes and controls special services provided to the Mayor.; 2.3. aActs as liaison between the Mayor and the City’s committees, branches of the City government to include, but not limited to, administrative and finance offices, departments, agencies, boards and commissions, authorities; appears before public bodies as designated by the Mayor and reports back the results of such meetings. 4. Provides assistance to the Mayor in a variety of administrative matters related to the Mayor’s office operations; accomplishes a variety of administrative and research studies to prepare background information; coordinates the Mayor’s requests for information or services from various City departments the City Manager. 3. 4. Answers inquiries from the general public by telephone, correspondence or in person; meets with citizens in the role of mediator, problem-solver and counselor to provide guidance, advice and/or assistance for the purpose of resolving problems. 5. Supervises the work of administrative and clerical staff of the Mayor’s Office; prepares press releases for the Mayor; writes staff reports on situations, problems and studies by the Mayor. Prepares a variety of memoranda, press releases, correspondence, reports, presentations, forms and other documents often of a highly sensitive and confidential nature in support of the Mayor and in accordance with the City’s policies and procedures. 18.e Packet Pg. 480 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 483 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Mayor’s Chief of Staff (U) Page 2 6. Provides leadership to the Mayor’s office, developing and maintaining a high performance, customer service-oriented work environment that supports achieving the City’s mission, strategic goals and core values. 7. Supervises the work of administrative and clerical staff of the Mayor’s Office; plans and evaluates the performance of assigned staff; establishes performance requirements and personal development targets; monitors performance and provides coaching for performance improvement and development; provides or recommends compensation and other rewards to recognize performance; takes disciplinary action, up to and including termination, to address performance deficiencies, subject to management concurrence, in accordance with the City’s human resources policies and procedures, Personnel Rules and labor contract provisions. 8. Prepares annual budget for the Mayor’s Office; monitors assigned budget balances; prepares and maintains staff attendance and time off records. GENERAL QUALIFICATIONS Knowledge of: 1. Advanced modern principles and practices of public administration; 2. Research techniques and procedures; 3. Advanced public relations techniques; 4. Principles of supervision. 5. Modern office procedures, methods and equipment including computers and related software. Ability to: 1. Analyze a variety of administrative problems and make sound policy and procedural recommendations as to their solution; 2. Maintain the confidentiality of privileged information; 3. Design and implement sound management and research techniques and procedures; 4. Operate a variety of office equipment including a computer and applicable software applications; 5. Supervise the work of administrative and clerical personnel; 6. Express ideas effectively, both orally and in writing; 7. Understand and carry out oral and written instructions; 8. Establish and maintain effective working relationships with those contacted in the course of work. MINIMUM QUALIFICATIONS Education, Training and Experience: A typical way of obtaining the knowledge, skills and abilities outlined above is graduation from an accredited four-year college or university with a major in political science, public or business administration or a closely related field; and two (2) years of responsible administrative-level experience performing staff work in a governmental agency. Up to two (2) additional years of the specific experience may be substituted for two (2) years of education on the basis of 30 semester units being equivalent to one (1) year of experience. Accreditation shall be by a national or regional accreditation body that is recognized by the Secretary of the United States Department of Education. Licenses; Certificates; Special Requirements: 18.e Packet Pg. 481 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 484 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) PROPOSED Mayor’s Chief of Staff (U) Page 3 A valid California driver’s license and the ability to maintain insurability under the City’s vehicle insurance policy. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit; talk or hear, both in person and by telephone; use hands to finger, handle and feel computers and standard business equipment; and reach with hands and arms. The employee is frequently required to stand and walk. Specific vision abilities required by this job include close vision and the ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this class. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The employee works under typical office conditions, and the noise level is usually quiet. 18.e Packet Pg. 482 Attachment: CM.Legislative Office Staffing.05.Current Legislative Office Job Specifications (5923 : Support Staffing for the City’s Legislative24.b Packet Pg. 485 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=1178337&headerfooter=0 1/4 Chief Policy Advisor to the Mayor Bargaining Unit: Professional Class Code: 179 CITY OF ANAHEIM Established Date: Dec 30, 2016 Revision Date: May 12, 2017 SALARY RANGE $35.76 - $49.18 Hourly $6,199.25 - $8,524.00 Monthly $74,391.00 - $102,288.00 Annually DESCRIPTION: Under direction, performs responsible administrative staff work, in support of the Mayor; makes recommendations on policy and procedures; conducts research and other special projects as assigned. DISTINGUISHING CHARACTERISTICS: This is a single position classification. Incumbents in this classification are "at-will" with no property rights to continued employment. Each appointment to this classification is for a limited-term basis aligned with the election term of the Mayor and shall not extend past the end of the Mayor's appointing election term. The Chief Policy Advisor to the Mayor serves as a strategist, advisor and project manager to the Mayor on highly complex program, intergovernmental and other issues having significant policy, community and/or political implications and consequences. Assignments are broad in scope, and require the exercise of seasoned expert professional and political acumen. This position is distinguished from the Senior Policy Aide in that incumbents in this position perform a variety of constituents and administrative staff services for the Mayor, often involving politically sensitive issues and requiring a high degree of independent judgement and sound political acumen. ESSENTIAL FUNCTIONS: The following functions are typical for this classification. Incumbents may not perform all of the listed functions and/or may be required to perform additional or different functions from those set forth below to address business needs and changing business practices. Attachment 518.f Packet Pg. 483 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 486 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=1178337&headerfooter=0 2/4 Responds promptly to constituent complaints or inquiries by gathering information, coordinating with city staff or constituents; discusses constituent complaints or inquiries with the Mayor and receives direction. Review and analyze a variety of confidential and/or highly sensitive information, while maintaining confidentiality. Conduct research and analysis related to City policies, procedures, operational programs, budgets, or other issues related to City business. Prepare oral and written reports of findings for the Mayor. Review, analyze and make policy recommendations on agenda items, legislation, and other issues of interest to the City; conduct cost benefit and statistical analysis; request additional information from departments as necessary; prepare written summary of findings. Work with a variety of City staff to obtain information related to City business, in response to requests from the Mayor and the general public. Acts as a liaison to media on behalf of the Mayor and provides briefings to the media on the Mayor's positions, views, and policies on various topics under the direction of the Mayor. Using good judgment and a thorough knowledge of functions and procedures, prepare letters, other correspondence and staff reports related to City business for the Mayor. Prepare a variety of information and statistical reports related to City business, as requested by the Mayor. Use a personal computer and word processing, statistical and presentation software in the preparation of reports and presentations. Attend meetings related to City business with, and/or on behalf of the Mayor as requested. Assemble and distribute follow-up information as required. May represent the Mayor on Boards and high-level policy meetings; speak on the Mayor's behalf at community meetings; and assist the Mayor in providing leadership in addressing complex and sensitive citywide matters. Perform other job related duties as required. QUALIFICATIONS: Experience: Minimum six (6) years of experience performing progressively responsible and complex public policy and administrative duties supporting an elected official supplemented by a Bachelor's degree from an accredited college or university with major course work in public or business administration, political science, or a closely related field. An equivalent combination of experience and training sufficient to perform the essential job functions and provide the required knowledge and abilities is qualifying. Master's degree in public policy or a related field is highly desirable. Knowledge of: Principles, practices and methods of public administration organizational and procedural analysis; concepts of council/manager form of government; legislative analysis techniques; principles and practices of fiscal planning; cost analysis techniques; methods of cost allocation; generally accepted accounting principles; 18.f Packet Pg. 484 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 487 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=1178337&headerfooter=0 3/4 principles and methods of financial analysis for purposes of municipal government; methods of research; and report writing; business computer user applications; federal, state, governing documents, and local rules and regulations pertaining to municipal operations. Ability to: Exercise sound judgment in the performance of assigned duties; analyze complex administrative, operational, legislative, and organizational problems; analyze budgets and other financial information; read, understand and apply highly complex information; research, gather, organize and analyze data; make sound policy recommendations; perform statistical and cost benefit analysis; conduct and evaluate surveys and special studies; prepare timely, complete, clear and precise reports; maintain accurate statistical information; prepare a variety of presentations; operate a personal computer and use word processing, statistical and presentation software; communicate effectively both orally and in writing; exercise sound judgment in dealing with a wide variety of politically sensitive issues; maintain confidentiality; establish and maintain effective working relationships with those contacted in the course of work including City officials, representatives and officials of government jurisdictions, management, employees and the general public. SUPPLEMENTAL INFORMATION: License/Certification Required: Possession of a valid California Driver's License. Note: Employees assigned to this job classification are regarded as "designated employees" for purposes of the Political Reform Act and Fair Political Practices filing requirements. ENVIRONMENT/WORKING CONDITIONS: Environmental Conditions: Work is performed primarily in a standard office setting with some travel to different sites. Physical Conditions: Primary functions require sufficient physical ability and mobility to work in an office setting; to stand or sit for prolonged periods of time; to occasionally stoop, bend, kneel, crouch, reach, and twist; to lift, carry, push, and/or pull light to moderate amounts of weight; to operate office equipment requiring repetitive hand movement and fine coordination including use of a computer keyboard; and to verbally communicate to exchange information. SUPERVISION RECEIVED AND EXERCISED: Works under general supervision. CLASS SPEC TITLE 7: The above statements are intended to describe the general nature and level of work being performed by persons assigned to this job. They are not intended to be an inclusive list of all duties, responsibilities and skills required of incumbents. In 18.f Packet Pg. 485 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 488 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=1178337&headerfooter=0 4/4 accordance with the Americans with Disability Act, reasonable accommodation may be made to enable individuals with disabilities to perform the essential job functions. 18.f Packet Pg. 486 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 489 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889154&headerfooter=0 1/3 City Council Aide I Bargaining Unit: PT Unrepresented Class Code: B13 CITY OF ANAHEIM Established Date: Dec 20, 2012 Revision Date: Dec 20, 2012 SALARY RANGE $13.66 - $17.43 Hourly DESCRIPTION: Under direct supervision, to perform a wide variety of administrative and field support duties to members of the City Council; to represent the City Council in the community and establish effective relationships with businesses and constituents; to represent Council members at professional meetings; and to perform other related duties as assigned. DISTINGUISHING CHARACTERISTICS: Incumbent in these positions shall be part time unrepresented. Positions are appointed “at-will” with no property rights to continued employment. Each appointment to this classification is for a specified period to be determined by the Mayor or Councilmember and does not extend past the end of the applicable elected official’s term. Incumbents at this level perform routine administrative and field support duties. Incumbents may have only limited work experience. ESSENTIAL FUNCTIONS: The following functions are typical for this classification. Incumbents may not perform all of the listed functions and/or may be required to perform additional or different functions from those set forth below to address business needs and changing business practices. Perform a wide variety of administrative and community relations duties for City Council members. Represent Council members in the community and at professional meetings; serve on a variety of internal and/or external committees; take summary notes and provide oral or written updates to elected officials. Receive, respond to, and refer citizen complaints and reports for handling and follow-up by various City departments. 18.f Packet Pg. 487 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 490 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889154&headerfooter=0 2/3 Be familiar with City policies and procedures in response to inquiries and make appropriate referrals. Respond independently to general correspondence of a routine nature for the City Council. Research and compile information for special presentations at Council meetings. Compile and maintain source material for the City Council including meeting agendas and minutes, correspondence and other related materials. Coordinate and schedule appointments, meetings, civic and community events for the City Council. Perform research and data gathering on a variety of community and/or legislative issues. Assist in preparing speeches, news releases, radio broadcasts, and other media information. Perform related duties and responsibilities as required. QUALIFICATIONS: Experience and Training: performing routine administrative clerical work; an Associate Degree is highly desirable. An equivalent combination of experience and training sufficient to perform the essential job functions and provide the required knowledge and abilities is qualifying. Knowledge of: English usage, spelling, grammar and punctuation; modern office methods and standard office equipment usage; computer software including word processing applications at an intermediate level; record keeping principles and procedures; city-wide policies and procedures; community relations methods and techniques; research techniques, methods, procedures, and report presentation. Ability to: operate standard office equipment, including a personal computer and applicable software programs; communicate clearly and concisely, both orally and in writing; organize work activities to ensure responsibilities are carried out in a timely manner; work independently and follow general directions; analyze situations carefully and recommend effective courses of action; take summary notes at meetings, prepare presentations, and compose correspondence and business letters from brief instructions; represent the City Council, displaying sound judgment, credibility, and respect for the community; maintain the confidentiality of privileged information; establish and maintain professional effective working relationships with a broad range of groups and individuals. SUPPLEMENTAL INFORMATION: License/Certification Required: Possession of a valid California Driver’s License by date of appointment. 18.f Packet Pg. 488 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 491 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889154&headerfooter=0 3/3 ENVIRONMENT/WORKING CONDITIONS: Environmental Conditions: Work is performed primarily in a standard office setting with some travel to different sites; incumbents may be required to work extended hours including evenings and weekends. Physical Conditions: Primary functions require sufficient physical ability and mobility to work in an office setting; to stand or sit for prolonged periods of time; to occasionally stoop, bend, kneel, crouch, reach, and twist; to lift, carry, push, and/or pull light to moderate amounts of weight; to operate office equipment requiring repetitive hand movement and fine coordination including use of a computer keyboard; and to verbally communicate to exchange information. SUPERVISION RECEIVED AND EXERCISED: Works under administrative supervision. Incumbents at this level perform routine administrative and field support duties. 18.f Packet Pg. 489 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 492 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889157&headerfooter=0 1/3 City Council Aide II Bargaining Unit: PT Unrepresented Class Code: B14 CITY OF ANAHEIM Established Date: Dec 20, 2012 Revision Date: Dec 20, 2012 SALARY RANGE $17.68 - $22.66 Hourly DESCRIPTION: Under general supervision, to perform a wide variety of responsible administrative and field support duties to members of the City Council; to represent the City Council in the community and establish effective relationships with businesses and constituents; to represent Council members at professional meetings; and to perform other related duties as assigned. DISTINGUISHING CHARACTERISTICS: Incumbent in these positions shall be part time unrepresented. Positions are appointed “at-will” with no property rights to continued employment. Each appointment to this classification is for a specified period to be determined by the Mayor or Councilmember and does not extend past the end of the applicable elected official’s term. Incumbents at this level perform responsible administrative functions and receive only occasional instruction or assistance as new or unusual situations arise, and are expected to have related outside experience performing the essential job functions of this position. ESSENTIAL FUNCTIONS: The following functions are typical for this classification. Incumbents may not perform all of the listed functions and/or may be required to perform additional or different functions from those set forth below to address business needs and changing business practices. Perform a wide variety of administrative and community relations duties for City Council members. Represent Council members in the community and at professional meetings; serve on a variety of internal and/or external committees; take summary notes and provide oral or written updates to elected officials. 18.f Packet Pg. 490 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 493 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889157&headerfooter=0 2/3 Receive, respond to, and refer citizen complaints and reports for handling and follow-up by various City departments. Be familiar with City policies and procedures in response to inquiries and make appropriate referrals. Review and analyze a variety of confidential and/or highly sensitive information, while maintaining confidentiality. Conduct research and analysis related to City policies, procedures, operational programs, budgets, or other issues related to City business. Prepare oral and written reports of findings for individual City Council members. Respond independently to letters and general correspondence of a routine nature for the City Council. Research and compile information for special presentations at Council meetings. Compile and maintain source material for the City Council including meeting agendas and minutes, correspondence and other related materials. Coordinate and schedule appointments, meetings, civic and community events for the City Council. Perform research on a variety of community and/or legislative issues. Assist in preparing speeches, news releases, radio broadcasts, and other media information. Perform related duties and responsibilities as required. QUALIFICATIONS: Experience and Training: performing analytical and complex administrative staff work; an Associate Degree is highly desirable. An equivalent combination of experience and training sufficient to perform the essential job functions and provide the required knowledge and abilities is qualifying. Knowledge of: English usage, spelling, grammar and punctuation; modern office methods and standard office equipment usage; computer software including word processing applications at an intermediate level; record keeping principles and procedures; city-wide policies and procedures; community relations methods and techniques; research techniques, methods, procedures, and report presentation. Ability to: operate standard office equipment, including a personal computer and applicable software programs; communicate clearly and concisely, both orally and in writing; organize work activities to ensure responsibilities are carried out in a timely manner; work independently and follow general directions; analyze situations carefully and recommend effective courses of action; take summary notes at meetings, prepare presentations, and compose correspondence and business letters from brief instructions; represent the City Council, displaying sound judgment, credibility, and respect for the community; maintain the confidentiality of privileged information; establish and maintain professional effective working relationships with a broad range of groups and individuals. 18.f Packet Pg. 491 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 494 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889157&headerfooter=0 3/3 SUPPLEMENTAL INFORMATION: License/Certification Required: Possession of a valid California Driver’s License by date of appointment. ENVIRONMENT/WORKING CONDITIONS: Environmental Conditions: Work is performed primarily in a standard office setting with some travel to different sites; incumbents may be required to work extended hours including evenings and weekends. Physical Conditions: Primary functions require sufficient physical ability and mobility to work in an office setting; to stand or sit for prolonged periods of time; to occasionally stoop, bend, kneel, crouch, reach, and twist; to lift, carry, push, and/or pull light to moderate amounts of weight; to operate office equipment requiring repetitive hand movement and fine coordination including use of a computer keyboard; and to verbally communicate to exchange information. SUPERVISION RECEIVED AND EXERCISED: Works under administrative supervisor. Receives only occasional instruction or assistance as new or unusual situations arise, and are expected to have related outside experience performing the essential job functions of this position. 18.f Packet Pg. 492 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 495 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=794156&headerfooter=0 1/4 Council Services Coordinator Bargaining Unit: Professional Class Code: N32 CITY OF ANAHEIM Established Date: Jan 31, 2011 Revision Date: Apr 15, 2011 SALARY RANGE $32.44 - $44.60 Hourly $5,622.92 - $7,731.50 Monthly $67,475.00 - $92,778.00 Annually DESCRIPTION: To coordinate the daily operations of the Office of the Mayor and City Council; and to provide a wide variety of responsible and complex staff assistance and administrative support to the Mayor and City Council members in order to address the day-to-day needs of the City’s elected officials. ESSENTIAL FUNCTIONS: The following functions are typical for this classification. Incumbents may not perform all of the listed functions and/or may be required to perform additional or different functions from those set forth below to address business needs and changing business practices. Communicate with the Mayor and City Council members regarding their individual day- to-day needs and requirements; interface on their behalf with City staff, the general public, the business community, government entities, and other elected officials. Plan, prioritize, and coordinate work plans and complex schedules for the Mayor and City Council members to meet their individual obligations and commitments; provide direction to staff to support said commitments. Analyze key points of information received from a wide range of sources on a broad range of sensitive and complex issues; summarize relevant background information and advise and update the Mayor and City Council members accordingly. Provide administrative analyses for special projects; conduct research; prepare detailed reports and summaries. Compile relevant information and details, prepare materials, and arrange logistics for public appearances. 18.f Packet Pg. 493 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 496 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=794156&headerfooter=0 2/4 Coordinate and prepare the Mayor and City Council members for participating in City Council meetings and numerous regional Board and Commission meetings on which they serve. Provide marketing support to the Anaheim/Orange County Visitor and Convention Bureau. Compose and draft correspondence for the Mayor and City Council members on a wide range of topics. Serve as liaison to the Anaheim Sister Cities Association; coordinate activities and visits with Anaheim’s two sister cities. Provide administrative support to Council Assistants. Research, recommend, and implement changes in procedures for the Office of the Mayor and City Council. Compose all forms of formal City Council recognition including declarations, proclamations, and certificates of recognition that are conferred on individuals and organizations. Select, train, supervise, and evaluate assigned staff; assign and schedule work projects; work with employees on performance standards and implement discipline and termination procedures as required. Receive incoming mail, telephone calls, and email for the Mayor and City Council members; take appropriate action. Arrange ticket assignments for events at all City venues; resolve issues as necessary. Participate in the development of the budget for the Office of the Mayor and City Council. Maintain inventory of official City gifts. Perform related duties as required. QUALIFICATIONS: Experience and Education: Four years of administrative and/or programmatic support experience, preferably in public administration supplemented by completion of two years of college level course work in business administration or a related field. An equivalent combination of experience and education sufficient to perform the essential job functions and provide the required knowledge and abilities is qualifying. Knowledge of: Organization and operation of municipal government; concepts and basic workings of the Council/Manager form of city government; work organization and office management principles and practices; standard organizational and management practices as applied to the analysis and evaluation of programs, policies, and operational needs related to area of assignment; techniques and formulae for administrative, financial, and comparative analyses; methods and techniques of effective technical, administrative, and financial record keeping, report preparation, and presentation; basic principles and practices of budget preparation and administration; 18.f Packet Pg. 494 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 497 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=794156&headerfooter=0 3/4 principles of business letter writing; principles of supervision, training, and performance evaluation; modern office procedures, methods, and equipment including computers and various software packages; methods and techniques used in customer service and public relations; English usage, spelling, grammar, and punctuation; pertinent federal, state, and local laws, codes, and regulations. Ability to: Oversee, coordinate, and participate in the management of administrative support services for the Office of the Mayor and City Council; understand the organization and operation of the City and of outside agencies as necessary to assume assigned responsibilities; understand, interpret, and apply administrative and departmental policies and procedures as well as pertinent laws, regulations, and ordinances; select, train, and evaluate assigned staff; supervise, organize, and review the work of lower level staff; perform responsible and difficult analytical, programmatic, and administrative duties involving the use of independent judgment and personal initiative; analyze problems, identify alternative solutions, project consequences of proposed actions and implement recommendations in support of goals; research, compile, analyze, and interpret data; respond to requests and inquiries from the general public; prepare clear, accurate and concise tables, schedules, summaries and other materials in statistical and narrative form; establish and maintain various data collection, record keeping, tracking, filing, and reporting systems; work under steady pressure with frequent interruptions and a high degree of public contact by phone or in person; manage multiple projects simultaneously; plan and organize work to meet schedules and time lines; exercise good judgment and maintain confidentiality in maintaining critical and sensitive information, records, and reports; operate and use modern office equipment including a computer and various software packages; identify and respond to community and organizational issues, concerns, and needs; exercise tact and diplomacy; communicate clearly and concisely, both orally and in writing; and establish and maintain effective working relationships with those contacted in the course of work. SUPPLEMENTAL INFORMATION: License/Certification Required: Possession of an appropriate, valid driver’s license. ENVIRONMENT/WORKING CONDITIONS: Environmental Conditions: Work is performed primarily in a standard office setting with some travel to different sites; incumbents may be required to work extended hours including evenings and weekends. Physical Conditions: Primary functions require sufficient physical ability and mobility to work in an office setting; to stand or sit for prolonged periods of time; to occasionally stoop, bend, kneel, crouch, reach, and twist; to lift, carry, push, and/or pull light to moderate amounts of weight; to operate office equipment requiring repetitive hand movement and fine coordination including use of a computer keyboard; and to verbally communicate to exchange information. SUPERVISION RECEIVED AND EXERCISED: 18.f Packet Pg. 495 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 498 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=794156&headerfooter=0 4/4 Receives direction from the Assistant City Manager. Exercises direct supervision over clerical staff. 18.f Packet Pg. 496 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 499 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=798503&headerfooter=0 1/2 Mayor's Assistant Bargaining Unit: PT Unrepresented Class Code: S22 CITY OF ANAHEIM Established Date: Jan 31, 2011 Revision Date: May 5, 2011 SALARY RANGE $31.84 - $38.70 Hourly DESCRIPTION: This is a part-time position responsible for performing a variety of professional level staff duties in support of the Mayor; makes recommendations on policy; and conducts research and other special projects as assigned. ESSENTIAL FUNCTIONS: The following functions are typical for this classification. Incumbents may not perform all of the listed functions and/or may be required to perform additional or different functions from those set forth below to address business needs and changing business practices. Review and analyze a variety of confidential and/or highly sensitive information, while maintaining confidentiality. Conduct research and analysis related to City policies, procedures, operational programs, budgets, or other issues related to City business. Prepare oral and written reports of findings for the Mayor. Review, analyze and make policy recommendations on agenda items, legislation, and other issues of interest to the City; conduct cost benefit and statistical analysis; request additional information from departments as necessary; prepare written summary of findings. Work with a variety of City staff to obtain information related to City business, in response to requests from the Mayor and the general public. Using good judgment and a thorough knowledge of functions and procedures, prepare letters, other correspondence and staff reports related to City business for the Mayor. Prepare a variety of information and statistical reports related to City business, as requested by the Mayor. Use a personal computer and word processing, statistical and presentation software in the preparation of reports and presentations. 18.f Packet Pg. 497 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 500 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=798503&headerfooter=0 2/2 Attend meetings related to City business with, and/or on behalf of the Mayor as requested. Assemble and distribute follow-up information as required. QUALIFICATIONS: Experience: Experience performing analytical and complex public policy and legislative work. Knowledge of: Principles and practices of public administration; concepts of council/manager form of government; basic workings of a local government entity; legislative analysis techniques; principles and practices of fiscal planning; cost analysis techniques; methods of cost allocation; generally accepted accounting principles; principles and methods of financial and statistical analysis including feasibility analysis; methods of research; and report writing. Ability to: Exercise sound judgment in the performance of assigned duties; analyze budgets and other financial information; read, understand and apply highly complex information; analyze and interpretpending legislation; gather, organize and analyze data; make sound policy recommendations; perform statistical and cost benefit analysis; conduct and evaluate surveys and special studies; prepare timely, complete, clear and precise reports; maintain accurate statistical information; prepare a variety of presentations; operate a personal computer and use word processing, statistical and presentation software; communicate effectively both orally and in writing; exercise sound judgment in dealing with a wide variety of politically sensitive issues; maintain confidentiality; establish and maintain effective working relationships with those contacted in the course of work including City officials, representatives and officials of government jurisdictions, management, employees and the general public. SUPPLEMENTAL INFORMATION: License/Certification Required: Possession of a valid California Driver’s License. ENVIRONMENT/WORKING CONDITIONS: Environmental Conditions: Work in an office environment. Physical Conditions: Ability to use a personal computer and other office equipment such as a telephone, fax, photocopier and audio-visual. SUPERVISION RECEIVED AND EXERCISED: Works under administrative supervision. Work is outlined and reviewed periodically. 18.f Packet Pg. 498 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 501 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889158&headerfooter=0 1/3 Senior Policy Aide Bargaining Unit: PT Unrepresented Class Code: B15 CITY OF ANAHEIM Established Date: Dec 20, 2012 Revision Date: Dec 20, 2012 SALARY RANGE $30.32 - $41.69 Hourly DESCRIPTION: To provide administrative, constituent services and legislative support for the Mayor and Council members. This position is responsible for a variety of legislative functions and activities in the office of an elected official and may have frequent contact with constituents, other elected officials and their staff, Department Heads and other City employees. Typical duties include researching and responding to inquiries from residents; drafting written communications involving strategy, policies and/or procedures on behalf of the elected official; and serving as the representative of the elected official regarding certain functions. DISTINGUISHING CHARACTERISTICS: Incumbent in these positions shall be part time unrepresented. Positions are appointed “at-will” with no property rights to continued employment. Each appointment to this classification is for a specified period to be determined by the Mayor or Councilmember and does not extend past the end of the applicable elected official’s term. Incumbents at this level will perform administrative, policy duties including handling of the most difficult, complex, and sensitive projects. Incumbent’s assignments are critical to the responsibilities of the elected official to whom they are assigned and are performed with little oversight. ESSENTIAL FUNCTIONS: The following functions are typical for this classification. Incumbents may not perform all of the listed functions and/or may be required to perform additional or different functions from those set forth below to address business needs and changing business practices. Provide assistance in resolving the most difficult, complex, politically sensitive, and highly sensitive, operational and administration problems, legislative support; identify problem areas and issues; plan, organize, coordinate, direct, and/or conduct complex administrative studies relating to the activities or operation of the assigned department, office, or program area; conduct difficult and complex surveys, research, 18.f Packet Pg. 499 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 502 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889158&headerfooter=0 2/3 and analysis on administrative, fiscal, and operational issues; determine analytical techniques and information-gathering processes and obtains required information and data for analysis; analyze alternatives and make recommendations. Serve as a liaison to the community and the applicable elected official’s office, to report community concerns, issues and priorities and promote the effective development, recommendation and implementation of policy changes where necessary. Using good judgment and a thorough knowledge of functions and procedures, prepare letters, other correspondence and staff reports related to City business for the Mayor or Council members. Respond to a variety of constituent inquiries and complaints; coordinate with city staff, regarding inquiries, complaints, issues. Prepare written memoranda and reports which articulate the elected official’s proposals, priorities, and position on matters pending before the City Council. Provide communication support such as drafting correspondence, memoranda or reports for routine to complex matters related to neighborhood or community concerns, pending issues before the City Council; state or federal legislation; or other matters. Coordinate assigned services and program/project activities with those of other City programs, functions, departments and staff, boards, committees, and task forces as well as external agencies, groups, and the general public to ensure effective cooperation consistent with optimal efficiency, effectiveness, and economy; coordinate data, resources, and work products as necessary and upon request in support of a productive and positive working environment; represent the mayor or council member in public and private groups, organizations, and other City groups; provide information and assistance as appropriate. Ensure that assigned program/project activities and services comply with relevant federal, state, and local laws, policies, and regulations. Attend and participate in professional group meetings; stay abreast of new trends and innovations in the fields of business and public administration and issues related to field of expertise. Perform related duties and responsibilities as required. QUALIFICATIONS: Experience: performing administrative, analytical and complex public policy and legislative work. A Bachelor’s degree from an accredited college or university with major course work in public administration, business administration or a related field or an equivalent combination of experience and education sufficient to perform the essential job functions and provide the required knowledge and abilities is qualifying. Knowledge of: principles and practices of public administration; concepts of council/manager form of government; workings of a local government entity; legislative analysis techniques; principles and applications of critical thinking and analysis; principles and practices of fiscal planning; cost analysis techniques; methods of cost allocation; principles and methods of statistical analysis including feasibility analysis; methods of research; and report writing; office procedures, methods, and 18.f Packet Pg. 500 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 503 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Anaheim - Class Specification Bulletin https://agency.governmentjobs.com/anaheim/default.cfm?action=specbulletin&ClassSpecID=889158&headerfooter=0 3/3 equipment including computers and applicable software applications such as word processing, spreadsheets, and databases; pertinent federal, state, and local laws, codes and regulations. Ability to: Exercise sound judgment in the performance of assigned duties; analyze budgets and other financial information; read, understand and apply highly complex information; analyze and interpret pending legislation; gather, organize and analyze data; make sound policy recommendations; perform statistical and cost benefit analysis; conduct and evaluate surveys and special studies; prepare timely, complete, clear, comprehensive and precise reports; maintain accurate statistical information; prepare a variety of presentations; operate a personal computer and use word processing, statistical and presentation software; communicate effectively both orally and in writing; exercise sound judgment in dealing with a wide variety of politically sensitive issues; interpret all applicable rules, ordinances and codes; maintain confidentiality; establish and maintain effective working relationships with those contacted in the course of work including City officials, representatives and officials of government jurisdictions, management, employees and the general public. SUPPLEMENTAL INFORMATION: License/Certification Required: Possession of a valid California Driver’s License by date of appointment. ENVIRONMENT/WORKING CONDITIONS: Environmental Conditions: Work is performed primarily in a standard office setting with some travel to different sites; incumbents may be required to work extended hours including evenings and weekends. Physical Conditions: Primary functions require sufficient physical ability and mobility to work in an office setting; to stand or sit for prolonged periods of time; to occasionally stoop, bend, kneel, crouch, reach, and twist; to lift, carry, push, and/or pull light to moderate amounts of weight; to operate office equipment requiring repetitive hand movement and fine coordination including use of a computer keyboard; and to verbally communicate to exchange information. SUPERVISION RECEIVED AND EXERCISED: Works under administrative supervision. Assignments are critical to the responsibilities of the elected official and are performed with little oversight. 18.f Packet Pg. 501 Attachment: CM.Legislative Office Staffing.06.City of Anaheim Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 504 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=886988&headerfooter=0 1/2 Administrative Assistant to the Mayor (Non- Classified) Bargaining Unit: Confidential Class Code: 9881 CITY OF RIVERSIDE Established Date: Nov 27, 2012 Revision Date: Nov 27, 2012 DEFINITION: Under general supervision, to perform a variety of highly responsible and confidential complex administrative tasks; to serve as a special assistant to the Mayor; to conduct a variety of public relations tasks; to assist with staff reports; and to perform other related duties as assigned. DISTINGUISHING CHARACTERISTICS: This is an entry/journey level para-professional administrative class. Incumbents will initially perform the more routine administrative office work, however, as experience is acquired, they are assigned more complex work and perform with increasing independence. This is an "at will" classification as defined by the City Municipal Code. Positions designated as Non-Classified are exempt from the classified service. The incumbent shall be appointed "at-will" and serve at the pleasure of the City Manager. SUPERVISION RECEIVED AND EXERCISED: Receives general supervision from the Mayor. May have lead responsibility on a project basis over clerical staff. Reports to: Mayor EXAMPLES OF DUTIES: Duties may include, but are not limited to, the following: Perform a wide variety of complex, responsible, and confidential duties for the Mayor and Mayor's office including screening and handling of calls. Assist in the organization, staffing, and operational activities of the Mayor's office. Assist in the preparation and administration of the office budget. Develop and implement new and revised office procedures and forms. Participate in maintaining a wide variety of correspondence, agendas of meetings, reports, and other materials. Perform research on a variety of administrative, fiscal, and operational problems. Assist in preparing speeches, news releases, radio broadcasts, and other media information. Coordinate commendation, certificate, and award programs. Participate in the scheduling of the Mayor's appointments and civic and social engagement. Receive, respond to, and refer citizen complaints and reports. Represent the Mayor and the City in the community and at professional meetings. Attachment 618.g Packet Pg. 502 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 505 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=886988&headerfooter=0 2/2 Coordinate office activities with other City departments and divisions and with outside agencies. Independently respond to letters and general correspondence of a routine nature. Take minutes and/or summary notes at meetings. KNOWLEDGE, SKILLS & ABILITIES: Knowledge of: Organization, procedures, and operating details of municipal government. City rules, regulations, and policies. Record keeping principles and procedures. Modern office methods, procedures, equipment, and business letter writing. Personal computer operation and software applications. Public relations and information techniques. Research techniques, methods, and procedures and report presentation. Ability to: Interpret and apply administrative and departmental policies, laws, and rules. Analyze situations carefully and adopt effective courses of action. Organize workload to ensure responsibilities are carried out in a timely manner. Communicate clearly and concisely, orally and in writing. Work independently in the absence of supervision. Establish and maintain effective and cooperative working relationships with those contacted in the course of work; promote good public relations; meet the general public with courtesy and tact. Maintain the confidentiality of privileged information. Operate standard office equipment including a typewriter, personal computer, and applicable software programs. Take minutes at meetings, write speeches, and respond to correspondence. MINIMUM QUALIFICATIONS: Education and Experience: Any combination of experience and education that would likely provide the required knowledge and abilities is qualifying. A typical way to obtain the knowledge and abilities would be: Education: Equivalent to the completion of the twelfth grade supplemented by specialized training or college course work in public or business administration, public relations, communications, or a closely related field. Experience: Three years of responsible administrative support experience including public information and public relations responsibilities. Additional college education may substitute for experience on a year for year basis. SUPPLEMENTAL INFORMATION: Medical Category: Group 1 18.g Packet Pg. 503 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 506 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829075&headerfooter=0 1/3 Assistant to the Mayor (Non-Classified) Bargaining Unit: Professional Class Code: 9635 CITY OF RIVERSIDE Revision Date: Dec 6, 2005 DEFINITION: Under general supervision, to perform a wide variety of highly responsible and confidential complex tasks; as part of a small team to accomplish the Mayor's goals; to serve as a special assistant in the Mayor's office to conduct a wide variety of public relations and promotion tasks; to conduct a wide variety of public relations and promotion tasks; to coordinate and provide professional level support to a variety of project oriented committees, task forces and working groups in furtherance of the goals of the office; to represent the Mayor's office in the community; to perform administrative duties including monitoring and processing of the office budget; and to perform other related duties as assigned. DISTINGUISHING CHARACTERISTICS: The incumbent shall be appointed "at-will" and exempt from the classified service and serve at the pleasure of the Mayor. Incumbents in this class perform confidential and complex administrative duties for the Mayor. Work involves a high degree of independent judgement requiring a thorough knowledge of City procedures and policies and the ability to choose among several alternatives in performing a variety of assignments without instruction and in scheduling and completing work. SUPERVISION RECEIVED AND EXERCISED: Receives general supervision from the Mayor's Chief of Staff. May have lead responsibility on a project basis over other administrative support staff. Reports To: Mayor's Chief of Staff EXAMPLES OF DUTIES: Typical duties may include, but are not limited to, the following: Perform a wide variety of complex, responsible, and confidential duties for the Mayor, Mayor's office, and designated City executives. Interpret and apply divisional policies and procedures in response to inquiries and make appropriate referrals. Review work of other administrative support staff upon completion for conformance to divisional requirements. Compose proclamation requests from outside agencies and for retiring City employees. Assist in training, supervising, and of administrative support staff. Coordinate annual Mayor's State of the City address exhibits with City departments and outside agencies. Represent Mayor's office at weekly agenda conferences with City Manager and department heads. Schedule, coordinate, and compile information for special presentations at Council meetings, such as proclamations and plaques, at the request of outside agencies. 18.g Packet Pg. 504 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 507 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829075&headerfooter=0 2/3 Represent Mayor's office and participate in a variety of special projects and activities that are business and/or community oriented. Gather, organize, and prepare information for routine reports and contact meeting participants. Recommend organizational or procedural changes affecting administrative support activities. Respond independently to letters and general correspondence of a routine nature. Coordinate in the administration of a small department; prepare comprehensive reports, compile annual budget requests, and recommend expenditure requests for designated accounts; review, log, determine priority, of and route correspondence. Supervise, initiate, and maintain a variety of files and records of information such as payroll, attendance, budget, production, and cost records. Respond to complaints and requests for information in relation to the intent, coverage, and content of instructions, guides, precedents, and regulations. As department representative, may serve on various internal and external committees. Coordinate commendation certificates with administrative support staff. Coordinate preparation and purchasing of presentation folders, plaques, and a variety of other speciality items. Coordinate and compile information for Annual City Spirit award with recipient and outside agencies. Serve as department representative on a variety of City projects which may include annual Employee's Service Awards program and United Way Campaign. KNOWLEDGE, SKILLS & ABILITIES: Knowledge of: Organization, procedures, and operating details of a municipal government. City policies, rules, and regulations. Record keeping principals and procedures. Modern office methods, procedures, equipment, and business letter writing. Computer devices and equipment; appropriate software applications. Public information techniques. Research techniques, methods, and procedures and report presentation. Ability to: Interpret and apply administrative and departmental policies, laws, and rules. Analyze situations carefully and adopt effective courses of action. Organize workload to ensure responsibilities are carried out in a timely manner. Communicate clearly and concisely, orally and in writing. Work independently in the absence of supervision. Establish and maintain effective and cooperative working relationships with those contacted in the course of work; promote good public relations. Maintain the confidentiality of privileged information. Operate computer devices and utilize various software and/or work processing techniques. Take minutes at meetings and respond to correspondence. MINIMUM QUALIFICATIONS: Education and Experience: Any combination of experience and education that would likely provide the required knowledge and abilities is qualifying. A typical way to obtain the knowledge and abilities would be: Education: Equivalent to a Bachelor's Degree from an accredited four year college or university with a major related to public or business administration, public relations, communications or a closely related field. A Master's Degree in public administration, public 18.g Packet Pg. 505 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 508 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829075&headerfooter=0 3/3 policy, business or public relations is highly desirable and may be substituted for up to two years of the required work experience. Experience: Four years of responsible administrative support work and/or public relations experience. SUPPLEMENTAL INFORMATION: Medical Category: Group 1 Necessary Special Requirement Possession of an appropriate, valid class "C" California Motor Vehicle Operator's License. Career Advancement Opportunities From: Assistant to the Mayor To: Inter-Governmental Affairs and Protocol Officer 18.g Packet Pg. 506 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 509 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829217&headerfooter=0 1/2 Chief of Staff/Mayor's Office (Non-Classified) Bargaining Unit: Sr. Management Class Code: 9642 CITY OF RIVERSIDE Revision Date: Dec 6, 2005 DEFINITION: Under Mayor's general direction, to manage, coordinate and oversee the staff, operations and programs of the Mayor's office; to implement the Mayor's goals and objectives; to serve as liaison between the Mayor and the community; to conduct intergovernmental affairs activities on behalf of the Mayor and to liaise with other elected official's staff members; to oversee the development of the international strategic plan and international relations activities; and to do related work as required. DISTINGUISHING CHARACTERISTICS: The incumbent shall be appointed "at-will" and exempt from classified service and serve at the pleasure of the Mayor. Incumbents in this class perform confidential and complex managerial duties for the Mayor. Work involves the highest degree of independent judgement, requiring a thorough knowledge of City procedures and policies and the ability to choose the best resolution among several alternatives in performing a variety of assignments without instruction and in scheduling and completing work. SUPERVISION RECEIVED AND EXERCISED: Receives general direction from Mayor. Exercises management and supervision over Mayor's other staff. Reports To: Mayor EXAMPLES OF DUTIES: Typical duties may include, but are not limited to, the following: Manage, coordinate and oversee the operations, programs and staff of the Mayor's office; provide the Mayor's staff and the Mayor with timely information, analyses, assistance and recommendations regarding programs' effectiveness. Develop and administer programs and activities and oversee the Mayor's goals and objectives; monitor economic development, quality of life and inclusive community issues. Perform community relations activities and represent the Mayor and the City at community events and activities as appropriate. Oversee the development of the international strategic plan and international relations activities that further develop the economic, educational and cultural promise of internationalism. Respond to and refer citizen issues, concerns and complaints on a wide variety of subject matters. Attend and participate in professional and community group meetings; stay abreast of local issues and business trends. Provide staff assistance to the Mayor; prepare and present staff reports and other necessary correspondence. 18.g Packet Pg. 507 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 510 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829217&headerfooter=0 2/2 Develop and monitor the Mayor's office budget. Represent the Mayor on various committees as assigned. KNOWLEDGE, SKILLS & ABILITIES: Knowledge of: Managerial practices and techniques. Federal, state and local government organization. Principles and practices of public administration. Principles of municipal budget preparation and control. Pertinent federal, state and local laws, rules and policies regarding local government operations. Research methods, techniques and report presentation. Personal computer operation and applications including word processing, database and spread sheets. Ability to: Effectively manage and supervise staff. Coordinate a variety of activities with other divisions, departments and outside agencies. Analyze and interpret federal and state legislation and prepare recommendations. Establish and maintain effective and cooperative working relationships with those contacted in the course of work including a variety of City and other government officials, community groups and the general public. Effectively deal with the public in responding to inquiries and resolving or referring complaints; promote good public relations. Analyze situations carefully and adopt effective courses of action. Interpret and apply administrative and departmental policies, laws and rules. Communicate clearly and concisely, both orally and in writing. Operate a personal computer and applicable software programs. MINIMUM QUALIFICATIONS: Education and Experience: Any combination of experience and education that would likely provide the required knowledge and abilities is qualifying. A typical way to obtain the knowledge and abilities would be: Education: The equivalent to a Bachelor's Degree from an accredited college or university with major work in public or business administration, political science or a related field. Experience: Three to five years professional experience including management or supervisory experience, analysis of legislation, and participation in a variety of business/community oriented special projects and activities. A Master's Degree may be substituted for one year of the required experience. SUPPLEMENTAL INFORMATION: Medical Category: Group 1 Necessary Special Requirement Possession of an appropriate, valid class "C" California Motor Vehicle Operator's License. 18.g Packet Pg. 508 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 511 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829325&headerfooter=0 1/3 Council Assistant (Non-Classified) Bargaining Unit: Professional Class Code: 0357 CITY OF RIVERSIDE Revision Date: May 19, 2015 DEFINITION: To perform a wide variety of highly responsible administrative and field support duties to members of the City Council; to represent the City Council in the community and establish effective relationships with businesses and constituents; to represent Council members at professional meetings; to coordinate communications with other departmental representatives; and to perform other related duties as assigned. DISTINGUISHING CHARACTERISTICS: The incumbent shall be appointed "at-will" and be exempt from the classified service. SUPERVISION RECEIVED AND EXERCISED: Under general supervision from a member of the City Council. REPORTS TO: Respective City Council Member EXAMPLES OF DUTIES: Typical duties may include, but are not limited to, the following: Perform a wide variety of administrative and community relations duties for City Council members Brief Council Member regarding feedback from community programs, events, and other meetings. Represent Council members in the community and at professional meetings; serve on a variety of internal and external committees; take summary notes and provide oral or written updates to elected officials; may make presentations on behalf of a Council Member. Receive, respond to, in person, by phone, and email and refer citizen, business representatives, school officials, and community groups' complaints and reports for handling and follow-up by various City departments. Explain City policies and procedures in response to inquiries and make appropriate referrals with respect to department services. Respond independently to letters and general correspondence of a routine nature for the City Council. Research and compile information for special presentations at Council meetings. Compile and maintain source material for the City Council including meeting agendas and minutes, correspondence and other related materials. Coordinate and schedule appointments, meetings, civic and community events for the City Council. Perform research on a variety of community and/or legislative issues. Assist in preparing newsletters, speeches, news releases, radio broadcasts, and other media information. 18.g Packet Pg. 509 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 512 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829325&headerfooter=0 2/3 Perform other related duties as assigned. KNOWLEDGE, SKILLS & ABILITIES: Knowledge of: English usage, spelling, grammar and punctuation. Modern office methods and standard office equipment usage. Computer software including word processing applications at an intermediate level. Record keeping principles and procedures. City-wide policies and procedures. Community relations methods and techniques. Research techniques, methods, procedures, and report presentation. Microsoft Office Excel (known as spreadsheet software), PowerPoint and Publisher (known as desktop publishing and presentation software) and Outlook (known as calendaring software). Fluency in Spanish is appropriate, depending upon position assignment. Ability to: Operate standard office equipment, including a personal computer and applicable software programs. Communicate clearly and concisely, both orally and in writing. Organize work activities to ensure responsibilities are carried out in a timely manner. Work independently and follow general directions. Analyze situations carefully and recommend effective courses of action. Take summary notes at meetings, prepare presentations, and compose correspondence and business letters from brief instructions. Represent the City Council, displaying sound judgment, credibility, and respect for the community. Maintain the confidentiality of privileged information. Establish and maintain professional effective working relationships with a broad range of groups and individuals. MINIMUM QUALIFICATIONS: Recruiting Guidelines: Any combination of experience and education that would likely provide the required knowledge and abilities is qualifying. Education: Equivalent to the completion of the twelfth grade supplemented by business or communications related courses. The completion of an Associate Degree is highly desirable. Experience: Three years of experience performing highly responsible administrative and/or field related duties involving customer/client/community relations. Municipal/public sector government experience is highly desirable. SUPPLEMENTAL INFORMATION: Medical Category: Group 1 Necessary Special Requirement Possession of an appropriate, valid class "C" California Motor Vehicle Operator's License. Must be willing to work a changing and flexible schedule, that include day-time, evening, and week- end hours, as required. 18.g Packet Pg. 510 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 513 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829325&headerfooter=0 3/3 18.g Packet Pg. 511 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 514 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829799&headerfooter=0 1/2 International Affairs and Protocol Officer (Non-Classified) Bargaining Unit: Professional Class Code: 9645 CITY OF RIVERSIDE Revision Date: Jul 18, 2006 DEFINITION: Under direction of the Mayor's Chief of Staff, provides professional and strategic guidance on the direction of the international relations program of the City; provides support services activities which enhance Riverside's international relations; plans, coordinates and performs services which include working with the International Relations Council (IRC) and its Sister City Committees; organizes and hosts Sister City delegations and initiatives; and other related duties as assigned. DISTINGUISHING CHARACTERISTICS: This classification is exempt from the classified service. The incumbent shall be appointed "at-will" and serve at the pleasure of the Mayor. SUPERVISION RECEIVED AND EXERCISED: Receives general direction from the Mayor's Chief of Staff. May exercise functional and technical supervision over administrative support staff and interns in the Mayor's Office. Reports To: The Mayor through the Mayor's Chief of Staff. EXAMPLES OF DUTIES: Typical duties may include, but are not limited to, the following: Coordinate international activities for the City of Riverside. Provide professional and strategic guidance on the direction of the international relations program of the City. Coordinate and organize official visits by delegations from sister cities, friendship cities and other international jurisdictions, as well as visits by official Riverside delegations to these entities; extend appropriate hospitality to visiting dignitaries. Liaise on a regular basis with the International Relations Council and support International Relations Council activities and endeavors. Research and submit grant proposals where appropriate to seek funding support for the City's international programs. Provide professional staffing services and guidance to Riverside's Sister City Committees in furtherance of Sister City goals. Conduct outreach and promotion of the City's international relations program and assist in communication and publicity efforts. Provide briefing materials and background information regarding international partners and delegations. Liaise with City's Economic Development Department to coordinate international economic development objectives. Maintain regular communications with Sister City officials to further enhance relationship. Meet and greet visiting dignitaries on behalf of the Mayor as appropriate. 18.g Packet Pg. 512 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 515 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=829799&headerfooter=0 2/2 Plan international events. Encourage positive international relations with all countries. Attend meetings, complete assignments and provide other support services in support of the international relations for the City. Prepare appropriate gifts for all occasions. KNOWLEDGE, SKILLS & ABILITIES: Knowledge of: International protocol. Local government organization. Principals of event planning and management. Pertinent local laws, rules, and policies regarding local government operations. International political, social, geographical and cultural issues as they pertain to municipal interactions. Research methods and techniques, report presentation, and grant writing. Personal computer operation and applications including word processing, data-base and spread sheets. Ability to: Coordinate a variety of activities. Establish and maintain effective and cooperative working relationships with those contacted in the course of work including a variety of foreign visitors, City and other government officials, community groups and the general public. • Analyze situations carefully and adopt effective courses of action. Communicate clearly and concisely, both orally and in writing, communicate cross-culturally, preferably in other languages. Operate a personal computer and applicable software programs. MINIMUM QUALIFICATIONS: Education and Experience: Any combination of experience and education that would likely provide the required knowledge and abilities is qualifying. A typical way to obtain the knowledge and abilities would be: Education: The equivalent to of a Bachelor's Degree from an accredited college with major work in public or business administration or a closely related field. Up to two years of additional professional experience may be substituted for two years of the required education on a year-for-year basis. A Master's Degree is highly desirable. Experience: A minimum of five years of professional experience and demonstrated understanding of international relations and special events planning. SUPPLEMENTAL INFORMATION: Medical Category: Group 1 Necessary Special Requirement Possession of an appropriate, valid class "C" California Motor Vehicle Operator's License. 18.g Packet Pg. 513 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 516 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=830076&headerfooter=0 1/3 Senior Office Specialist (C) Bargaining Unit: Confidential Class Code: 0086 CITY OF RIVERSIDE Revision Date: Aug 2, 2011 DEFINITION: To perform a variety of office and administrative support duties at various skill and ability levels, depending on the duties associated with the position to which assigned. DISTINGUISHING CHARACTERISTICS: The Office Specialist Series encompasses two levels of work. Positions within this series will be allocated based upon the level of work performed and required by the department to which it is assigned. This is the advanced journey level in the Office Specialist series. Positions at this level are distinguished from other classes within the series by the level of responsibility assumed and the complexity of duties assigned. Employees perform the most difficult and responsible types of duties assigned to classes within the series, including assuming responsibility for seeing that work of subordinates meets with appropriate standards, explaining policies, procedures, rules and regulations; and specialized work requiring extensive experience, knowledge of the technical subject matter, and functions of a work program. Employees at this level are required to be fully trained in all procedures related to assigned area of responsibility and to exercise independent judgment and discretion. SUPERVISION RECEIVED AND EXERCISED: Receives general supervision from management, professional, technical, or higher-level administrative support staff. May exercise lead supervision over lower level administrative support. Reports To: Varies depending on assignment EXAMPLES OF DUTIES: Duties may include, but are not limited to, the following: Perform a wide variety of administrative support work including word processing, proofreading, filing, checking, and recording information on records. Serve as receptionist, answering the telephone, screening calls and visitors, referring inquiries as appropriate, and assisting the general public, giving information as required. Keyboard a variety of documents including letters, memorandums, agendas, financial reports, minutes, or other materials from oral direction, rough draft, copy, notes, or transcribing machine recordings. Operate a variety of office equipment to carry out assigned administrative support functions. Check, maintain, and tabulate statistical data and records. Process and maintain personnel and payroll records and forms of departmental/divisional personnel. 18.g Packet Pg. 514 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 517 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=830076&headerfooter=0 2/3 Sort, code, scan, and file correspondence, vouchers, forms, documents, and other materials numerically, alphabetically or by other predetermined classification. Check records and papers for grammatical and arithmetic accuracy, completeness, and compliance with established standards and procedures. Maintain sections of a central records system; enter or extract information on or from records. Utilize computer and computer devices to carry out assigned administrative support functions. Sort and deliver mail. Participate in the work of an office unit. Compile information, data, and materials, and assist in the preparation of a variety of narrative, financial, and statistical reports. Apply departmental policies and procedures in determining completeness of applications, records, and reports; provide routine information and forms to the public; collect and process appropriate information and forms. Respond to routine complaints and request for information. Contact the public and outside agencies in acquiring and providing information and making referrals. Develop and/or maintain sections of a central records system; enter or extract information on or from records. Maintain records and compile detailed and complex information, data, and materials and assist in the preparation of a variety of narrative, financial, budgetary, and statistical reports. Assist in the development of departmental policies, procedures, and forms in determining completeness of applications, records, and reports. Respond to complaints and request for information that involve searching for and abstracting data and providing detailed explanation of policies and procedures. Serve as support staff to Boards or Commissions by taking minutes, preparing information packets, and coordinating meeting times and locations. Order necessary office supplies. Coordinate travel arrangements. Distribute and reconcile office petty cash. Train clerical staff in office/desk procedures. KNOWLEDGE, SKILLS & ABILITIES: Knowledge of: English usage, spelling, grammar, and punctuation. Organization and procedures of department/division to which assigned. Office methods and standard office equipment usage. Computers and related equipment; software including word processing applications at a basic level. Basic record keeping methods. Reception and telephone techniques. Techniques involving classifying, indexing, processing, retrieving, and controlling a large volume of records. Computers and related equipment; software, techniques, and programs including word- processing, spread sheets, and data bases at an intermediate level. Pertinent department and division operational policies and procedures. Principles of budgeting, record keeping, and training. Ability to: Perform routine administrative support work. Learn to operate office equipment, software, and programs appropriate to department to which assigned. Learn office methods, rules, and policies. Understand and carry out oral and written directions. Operate computer devices and utilize various software applications including word processing, spreadsheets, and databases. 18.g Packet Pg. 515 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 518 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) 1/4/2019 City of Riverside - Class Specification Bulletin https://agency.governmentjobs.com/cityofriversideca/default.cfm?action=specbulletin&ClassSpecID=830076&headerfooter=0 3/3 Assist in maintaining complex records. Communicate clearly and concisely, both orally and in writing. Establish and maintain cooperative-working relationships with those contacted in the course of work. Interpret and apply departmental policies and procedures. Maintain complex records and prepare technical reports. Work independently in the absence of supervisor. Plan and organize the work of administrative support staff. Perform relatively complex arithmetic and statistical calculations and computations rapidly and accurately. MINIMUM QUALIFICATIONS: Education and Experience: Any combination of experience and education that would likely provide the required knowledge and abilities is qualifying. A typical way to obtain the knowledge and abilities would be: Education: Equivalent to the completion of the twelfth grade supplemented by courses in business practices, computer applications, or other related field. Experience: Three years of general administrative support experience. SUPPLEMENTAL INFORMATION: Medical Category: Group 1 Necessary Special Requirements Possession of, or ability to obtain, an appropriate, valid, Class "C" California Motor Vehicle Operator's license. Requires a minimum keyboarding ability of 50 words per minute or demonstrated proficiency at an intermediate level in Word or Word Perfect. Some assignments may also require a minimum dictation speed of not less than 80 per words per minute. Career Advancement Opportunities From: Senior Office Specialist To: Administrative Assistant 18.g Packet Pg. 516 Attachment: CM.Legislative Office Staffing.07.City of Riverside Legislative Office Job Specifications (5923 : Support Staffing for the City’s24.b Packet Pg. 519 Attachment: CM.Legislative Office Staffing.02.Staff Report 1.16.19 (5949 : Legislative Branch Staffing - Offices of the Mayor and City Council) Legislative Office Staffing Analysis Mayors Staffing Proposal Current Personnel Budget (Minus Mayor & Members of the City Council) Title BU Salary Range Current Budget PERS @ Actual Tier Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 94,591.54 8,388.38$ 14,340.00$ 1,371.58$ 118,691.49$ Current Assistant to Mayor III (U)Mgmt 526 $ 82,220.82 6,469.13$ 14,340.00$ 1,192.20$ 104,222.16$ Current Assistant to Mayor II (U)Mgmt 476 $ 61,312.97 6,236.75$ 14,340.00$ 889.04$ 82,778.76$ Current Annualized Cost of Positions in the Mayor's Office 305,692.41$ Current Administrative Assistant To City Council (U)Conf 446 $ 56,571.75 5,016.78$ 14,340.00$ 820.29$ 76,748.82$ Current Administrative Assistant To City Council (U)Conf 446 $ 53,881.50 4,778.21$ 14,340.00$ 781.28$ 73,780.99$ Current Council Administrative Supervisor (U)Conf 496 $ 74,695.11 6,623.96$ 14,340.00$ 1,083.08$ 96,742.15$ Current Executive Staff Assistant To City Council (U)Mgmt 546 $ 98,593.20 8,743.24$ 14,340.00$ 1,429.60$ 123,106.05$ Current Annualized Cost of Positions in the City Council's Office 370,378.01$ Annualized Cost of the City's Legislative Support Positions in the Offices of the Mayor and City Council 676,070.42$ Title BU Salary Range Bottom Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 94,212.00$ 9,583.24$ 14,340.00$ 1,366.07$ 119,501.32$ New Executive Assistant to Mayor (U)Mgmt 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Current Assistant to Mayor III (U)Mgmt 526 73,416.00$ 7,467.88$ 14,340.00$ 1,064.53$ 96,288.41$ Current Assistant to Mayor II (U)Mgmt 476 57,216.00$ 5,820.01$ 14,340.00$ 829.63$ 78,205.64$ New Senior Customer Service Representative (U)Conf 396 38,388.00$ 3,904.83$ 14,340.00$ 556.63$ 57,189.45$ New Legislative Field Representative (Part-Time)Part-Time Part-Time 22,296.00$ 323.29$ 22,619.29$ New Legislative Field Representative (Part-Time)Part-Time Part-Time 22,296.00$ 323.29$ 22,619.29$ Current Annualized Cost of Positions in the Mayor's Office 481,326.37$ Current Administrative Assistant To City Council (U)Conf 446 49,260.00$ 5,010.73$ 14,340.00$ 714.27$ 69,325.00$ Current Administrative Assistant To City Council (U)Conf 446 49,260.00$ 5,010.73$ 14,340.00$ 714.27$ 69,325.00$ Current Council Administrative Supervisor (U)Conf 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Current Executive Staff Assistant To City Council (U)Mgmt 546 81,120.00$ 8,251.53$ 14,340.00$ 1,176.24$ 104,887.77$ Current Annualized Cost of Positions in the City Council's Office 328,440.72$ Annualized Cost of Option C at Bottom Step 809,767.09$ OPTION C at Bottom Step - Adopt a staffing model with 9 full-time positions including 2 new full-time and 2 part-time, non-benefited positions in the Mayor's Office. Updated: 1.31.2019 24.c Packet Pg. 520 Attachment: CM.Legislative Office Staffing.03 Mayor's Staffing Proposal (5949 : Legislative Branch Legislative Office Staffing Analysis Mayors Staffing Proposal Title BU Salary Range Middle Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 103,872.00$ 10,565.86$ 14,340.00$ 1,506.14$ 130,284.00$ New Executive Assistant to Mayor (U)Mgmt 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Current Assistant to Mayor III (U)Mgmt 526 80,952.00$ 8,234.44$ 14,340.00$ 1,173.80$ 104,700.24$ Current Assistant to Mayor II (U)Mgmt 476 63,084.00$ 6,416.90$ 14,340.00$ 914.72$ 84,755.62$ New Senior Customer Service Representative (U)Conf 396 42,324.00$ 4,305.20$ 14,340.00$ 613.70$ 61,582.90$ New Legislative Field Representative (Part-Time)Part-Time Part-Time 24,582.00$ 356.44$ 24,938.44$ New Legislative Field Representative (Part-Time)Part-Time Part-Time 24,582.00$ 356.44$ 24,938.44$ Current Annualized Cost of Positions in the Mayor's Office 523,335.71$ Current Administrative Assistant To City Council (U)Conf 446 54,312.00$ 5,524.62$ 14,340.00$ 787.52$ 74,964.14$ Current Administrative Assistant To City Council (U)Conf 446 54,312.00$ 5,524.62$ 14,340.00$ 787.52$ 74,964.14$ Current Council Administrative Supervisor (U)Conf 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Current Executive Staff Assistant To City Council (U)Mgmt 546 89,436.00$ 9,097.43$ 14,340.00$ 1,296.82$ 114,170.25$ Current Annualized Cost of Positions in the City Council's Office 356,234.60$ Annualized Cost of Option C at Middle Step 879,570.31$ Title BU Salary Range Top Step Salary PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 114,516.00 11,648.57$ 14,340.00$ 1,660.48$ 142,165.05$ New Executive Assistant to Mayor (U)Mgmt 496 $ 76,836.00 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Current Assistant to Mayor III (U)Mgmt 526 $ 89,244.00 9,077.90$ 14,340.00$ 1,294.04$ 113,955.94$ Current Assistant to Mayor II (U)Mgmt 476 69,552.00$ 7,074.83$ 14,340.00$ 1,008.50$ 91,975.33$ New Senior Customer Service Representative (U)Conf 396 $ 46,668.00 4,747.07$ 14,340.00$ 676.69$ 66,431.75$ New Legislative Field Representative (Part-Time)Part-Time Part-Time $ 27,096.00 392.89$ 27,488.89$ New Legislative Field Representative (Part-Time)Part-Time Part-Time $ 27,096.00 392.89$ 27,488.89$ Current Annualized Cost of Positions in the Mayor's Office 569,611.74$ Current Administrative Assistant To City Council (U)Conf 446 59,880.00$ 6,090.99$ 14,340.00$ 868.26$ 81,179.25$ Current Administrative Assistant To City Council (U)Conf 446 59,880.00$ 6,090.99$ 14,340.00$ 868.26$ 81,179.25$ Current Council Administrative Supervisor (U)Conf 496 76,836.00$ 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Current Executive Staff Assistant To City Council (U)Mgmt 546 98,604.00$ 10,030.00$ 14,340.00$ 1,429.76$ 124,403.76$ Current Annualized Cost of Positions in the City Council's Office 386,868.14$ Annualized Cost of Option C at Top Step 956,479.88$ OPTION C at Middle Step - Adopt a staffing model with 9 full-time positions including 2 new full-time and 2 part-time, non-benefited positions in the Mayor's Office. OPTION C at Top Step - Adopt a staffing model with 9 full-time positions including 2 new full-time and 2 part-time, non-benefited positions in the Mayor's Office. *Part-Time salary and benefits based upon a 0.5 full-time equivalent. Part-time, non-benefited employees are restricted to 1,000 hours within a 12-month period. Note: The Legislative Field Representative classification has not yet been established. To establish the classification a job specification will need to be developed following a classification and compensation analysis and presented to the Mayor and City Council for approval. Updated: 1.31.2019 24.c Packet Pg. 521 Attachment: CM.Legislative Office Staffing.03 Mayor's Staffing Proposal (5949 : Legislative Branch Legislative Office Staffing Analysis Councilmember Nickel's Proposal Current Personnel Budget (Minus Mayor & Members of the City Council) Title BU Salary Range Current Budget PERS @ Actual Tier Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 $ 94,591.54 8,388.38$ 14,340.00$ 1,371.58$ 118,691.49$ Current Assistant to Mayor III (U)Mgmt 526 $ 82,220.82 6,469.13$ 14,340.00$ 1,192.20$ 104,222.16$ Current Assistant to Mayor II (U)Mgmt 476 $ 61,312.97 6,236.75$ 14,340.00$ 889.04$ 82,778.76$ Current Annualized Cost of Positions in the Mayor's Office 305,692.41$ Current Administrative Assistant To City Council (U)Conf 446 $ 56,571.75 5,016.78$ 14,340.00$ 820.29$ 76,748.82$ Current Administrative Assistant To City Council (U)Conf 446 $ 53,881.50 4,778.21$ 14,340.00$ 781.28$ 73,780.99$ Current Council Administrative Supervisor (U)Conf 496 $ 74,695.11 6,623.96$ 14,340.00$ 1,083.08$ 96,742.15$ Current Executive Staff Assistant To City Council (U)Mgmt 546 $ 98,593.20 8,743.24$ 14,340.00$ 1,429.60$ 123,106.05$ Current Annualized Cost of Positions in the City Council's Office 370,378.01$ Current Annualized Cost of the City's Legislative Support Positions in the Offices of the Mayor and City Council 676,070.42$ Title BU Salary Range Bottom Step Salary* PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 94,212.00$ 9,583.24$ 14,340.00$ 1,366.07$ 119,501.32$ Change Executive Assistant to Mayor (U)Mgmt 496 63,216.00$ 6,430.33$ 14,340.00$ 916.63$ 84,902.96$ Change Intern (Part-Time)Part-Time Part-Time 24,960.00$ 361.92$ 25,321.92$ Change/New Legislative Director (U)Mgmt 546 81,120.00$ 8,251.53$ 14,340.00$ 1,176.24$ 104,887.77$ Change/New Legislative Assistant (U)Conf 426 44,592.00$ 4,535.90$ 14,340.00$ 646.58$ 64,114.48$ Change/New Administrative Assistant (U)Conf 446 49,260.00$ 5,010.73$ 14,340.00$ 714.27$ 69,325.00$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 44,592.00$ 646.58$ 45,238.58$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 44,592.00$ 646.58$ 45,238.58$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 44,592.00$ 646.58$ 45,238.58$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 44,592.00$ 646.58$ 45,238.58$ Annualized Cost of Option V at Bottom Step 649,007.78$ OPTION V at Bottom Step - Adopt a staffing model with 5 full-time employees and a mix of part-time, non-benefited support staff assigned to the Mayor and City Council. Updated: 1.31.2019 24.d Packet Pg. 522 Attachment: CM.Legislative Office Staffing.04 Councilmember Nickel's Staffing Proposal (5949 : Legislative Office Staffing Analysis Councilmember Nickel's Proposal Title BU Salary Range Middle Step Salary* PERS @ Tier 3 Health Medicare Total Salary & Benefits Current Mayor's Chief of Staff (U)Mgmt 576 103,872.00$ 10,565.86$ 14,340.00$ 1,506.14$ 130,284.00$ Change Executive Assistant to Mayor (U)Mgmt 496 69,696.00$ 7,089.48$ 14,340.00$ 1,010.59$ 92,136.07$ Change Intern (Part-Time)Part-Time Part-Time 35,360.00$ 512.72$ 35,872.72$ Change/New Legislative Director (U)Mgmt 546 89,436.00$ 9,097.43$ 14,340.00$ 1,296.82$ 114,170.25$ Change/New Legislative Assistant (U)Conf 426 49,164.00$ 5,000.96$ 14,340.00$ 712.88$ 69,217.84$ Change/New Administrative Assistant (U)Conf 446 54,312.00$ 5,524.62$ 14,340.00$ 787.52$ 74,964.14$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 49,164.00$ 712.88$ 49,876.88$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 49,164.00$ 712.88$ 49,876.88$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 49,164.00$ 712.88$ 49,876.88$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time 49,164.00$ 712.88$ 49,876.88$ Annualized Cost of Option V at Middle Step 716,152.54$ Title BU Salary Range Top Step Salary* PERS @ Tier 3 Health Medicare Total Salary & Benefits* Current Mayor's Chief of Staff (U)Mgmt 576 $ 114,516.00 11,648.57$ 14,340.00$ 1,660.48$ 142,165.05$ Change Executive Assistant to Mayor (U)Mgmt 496 $ 76,836.00 7,815.76$ 14,340.00$ 1,114.12$ 100,105.88$ Change Intern (Part-Time)Part-Time Part-Time 45,760.00$ 663.52$ 46,423.52$ Change/New Legislative Director (U)Mgmt 546 98,604.00$ 10,030.00$ 14,340.00$ 1,429.76$ 124,403.76$ Change/New Legislative Assistant (U)Conf 426 $ 54,192.00 5,512.41$ 14,340.00$ 785.78$ 74,830.19$ Change/New Administrative Assistant (U)Conf 446 59,880.00$ 6,090.99$ 14,340.00$ 868.26$ 81,179.25$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time $ 54,192.00 785.78$ 54,977.78$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time $ 54,192.00 785.78$ 54,977.78$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time $ 54,192.00 785.78$ 54,977.78$ Change/New Legislative Field Representative (Part-Time)Part-Time Part-Time $ 54,192.00 785.78$ 54,977.78$ Annualized Cost of Option V at Top Step 789,018.79$ Note: Option V will require changes in classifications for four (4) of the six (6) employees in the Offices of the Mayor and City Council and will represent a reduction in compensation for some personnel. In order to move forward, the City will need to meet and confer with the impacted personnel. Some of the identified classifications have yet to be established. To establish the classifications, job specifications will need to be developed following a classification and compensation analysis and presented to the Mayor and City Council for approval. OPTION V at Middle Step - Adopt a staffing model with 5 full-time employees and a mix of part-time, non-benefited support staff assigned to the Mayor and City Council. OPTION V at Top Step - Adopt a staffing model with 5 full-time employees and a mix of part-time, non-benefited support staff assigned to the Mayor and City Council. *Part-Time salary and benefits based upon the equivalent of 1 full-time employee. Part-time, non-benefited employees are restricted to 1,000 hours within a 12-month period. Updated: 1.31.2019 24.d Packet Pg. 523 Attachment: CM.Legislative Office Staffing.04 Councilmember Nickel's Staffing Proposal (5949 : 25.a Packet Pg. 524 Attachment: PD.Animal Control Program.01. Staff Report (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) Discussion As reported during the January 16, 2019 Council meeting, City and Police Department staff have continued to review and make operational improvements, such as, filling vacant positions, redesigning the volunteer program based upon industry standards and addressing landscape and facility maintenance needs provided for within the FY 2018/19 Adopted Budget. The report this evening explores options, as staff was requested to do and also addresses questions that were raised during the January 16, 2019 Council meeting discussion. To address the City’s animal service budgetary and shelter needs, the Department has explored several options including rebuilding the City’s existing in-house program with either a new or repurposed facility; establishing a joint powers authority agreement with public partners; and contract service opportunities. Rebuilding the City’s Existing In-House Animal Services Program The FY 2018/19 operating budget is $2,567,859 for Animal Control Services with revenue offset of $451,600 for licensing and shelter fees. In addition to the direct service costs associated with operating the Animal Control Program the City spends more than $444,105 annually in indirect costs resulting from administrative support and services provided by Police and other City Departments. The City’s current operating budget does not include funding needed to address the deferred maintenance of the existing shelter facility or provide the resources required for on-site veterinary care services and a robust licensing program including personnel, equipment and infrastructure. The City’s shelter is over fifty years old and does not meet modern shelter standards including kennel design, climate control, ventilation systems, drainage systems, and quarantine and animal care facilities. Due to the age and design of the City’s shelter, it cannot accommodate necessary upgrades without extensive demolition. These types of modifications will require the City to relocate animals to another facility during shelter demolition and reconstruction. Additionally, the current location of the shelter allows little room for expansion or growth. At present, a significant capital investment will be required to support the City’s animal shelter which exceeds the $642,220 currently available in the Animal Shelter Improvement Fund. New Construction According to the American Humane Association, construction costs for a shelter are typically 50% greater than construction of an average building of the same size. Using the shelter construction instrument developed by the Humane Society of the United States, the projected cost of constructing a new facility will be $18,820,766 excluding the cost of land. Given the cost associated with providing shelter services, many cities and counties have shifted to regionalized shelter services. The following table illustrates shelter construction costs for shelters built or planned within the last 13 years in relation to animal intake numbers as well as the number of cities and unincorporated areas served. Comparatively, the City of San Bernardino has an intake volume of 7,515 animals annually. The City will have to engage real estate, architectural, engineering and general contract professionals to identify the exact cost of building a new animal shelter. 1/31/2019 2:52 PM 25.a Packet Pg. 525 Attachment: PD.Animal Control Program.01. Staff Report (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) New Shelters Built/Being Built Within the Last 13 Years Location Cost to Build Shelter Annual Animal Intake # of Cities Served Riverside County $32,000,000 24,372 4+ Unincorporated Orange County $35,000,000 17,945 15 City of Elk Grove $18,000,000 1,700 1 City of San Jose $20,000,000 16,291 4 + Unincorporated Santa Clara County $26,000,000 3,000 2 + Unincorporated San Luis Obispo County $13,700,000 4,500 7 + Unincorporated City of Irvine $25,900,000 2,562 3 Repurposing an Existing Building During the January 16, 2019, Council meeting, staff received inquiry regarding the viability of repurposing an existing building for use as a new animal shelter. The utilization of an existing commercial building such as the former Lowes store location at 4060 Hallmark Parkway referenced as a possible shelter location will require the City to acquire a property or enter into a long-term lease agreement. Additionally, use of an existing commercial building will necessitate a significant capital improvement investment to retrofit the property to meet current shelter standards. This includes, but is not limited to, upgrading electrical systems, security systems, flooring, plumbing and drainage systems, as well as heating, air conditioning and ventilation systems providing for climate control and the proper air exchange needed to mitigate the spread of disease and support a healthy animal population. While it is anticipated that the cost of retrofitting an existing facility will be comparable to constructing a new facility, providing an exact cost will require selecting a shelter location and engaging an architectural and engineering design firm and a general contractor to bid the project. To fully evaluate this option, funding would have to be identified and approved to engage the necessary professionals. Joint Powers Authority A joint powers authority (JPA) offers another way for public agencies to deliver services by combining their powers and resources. As an alternative to maintaining an independent animal control program, the City could engage the County of San Bernardino and/or other public agencies in the region in establishing a JPA to provide shelter, field and licensing services pooling resources and sharing costs. A JPA allows two or more public agencies to form a separate legal entity with independent legal rights, including the ability to enter into contracts, hold property, hire staff, raise funds and separate the debts, liabilities and obligations of the JPA from the member agencies. The establishment of a JPA is a long term solution that would require further exploration with the County and other municipalities. Contract for Services Another option available to the City is contracting with another agency to provide animal control services in the City of San Bernardino. To address the City’s animal service shelter needs, City staff has explored contract service opportunities with existing full service shelter programs provided by the Counties of San Bernardino and Riverside. The 1/31/2019 2:52 PM 25.a Packet Pg. 526 Attachment: PD.Animal Control Program.01. Staff Report (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) County of San Bernardino declined to submit a proposal at this time due to a lack of shelter capacity. The Riverside County Department of Animal Control Services (RCDAS) has submitted a proposal with two service options which include solely providing shelter services or providing a combination of shelter, field and licensing services. The following evaluation outlines the proposal in relation to the City’s current animal control costs, revenues, and service demands. The City has the opportunity to contract with RCDAS to provide animal shelter, field and licensing services at an annual cost of $1,665,428 which is the net cost to the City based on the offset for anticipated licensing revenue of $516,500. The City could save $450,831 annually by contracting services with RCDAS. This would also provide the opportunity to redirect support service resources provided by Police and other City Departments to other priority areas. City of San Bernardino RCDAS Projected Total Revenue $451,600 * $516,500 Shelter Service Expenses $1,593,806 $1,072,898 Field Service Expenses $935,209 $880,400 Licensing Expenses $38,844 $228,630 Total Expenses $2,567,859 $2,181,928 TOTAL COST (Revenue less Expenses) ($2,116,259)* ($1,665,428) *Accounts for an $83,035 reduction in revenue resulting from the termination of the service contract with the City of Loma Linda. RCDAS has an on-site veterinary care team including full-time veterinarians and registered veterinary technicians as well as full-time staff dedicated to animal rescue coordination. The RCDAS veterinary care team provides low cost vaccinations as well as spay and neuter services through their on-site clinic which will be made available to residents of the City of San Bernardino under the proposed contract. For residents that lack transportation options an Animal Control Officer will be deployed upon request to pick up any animals a resident wishes to surrender with a call for service. Furthermore, when microchipped animals are located in the field, officers can scan their microchip, locate their residence and return the stray animal to the pet owner immediately. When animals are returned in the field pet owners are not charged for daily boarding fees and vaccinations required upon arrival at the shelter. The regular service hours for field services will be based upon call volume/need with on-call support provided to address the City’s emergency animal control needs 24 hours a day seven (7) days a week. If the Mayor and City Council elect to move forward with contracting with RCDAS to provide shelter, field and licensing services, RCDAS will work with the City to assist impacted employees by providing a list of open positions and facilitating the application 1/31/2019 2:52 PM 25.a Packet Pg. 527 Attachment: PD.Animal Control Program.01. Staff Report (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) and potential on-boarding of current qualified employees through an employment workshop. Local Adoption Center As an alternative to exclusively contracting with RCDAS for all animal control services, the City could also contract with a reputable non-profit organization to operate a local pet adoption center. Such an arrangement could provide local residents the ability to adopt a pet without having to drive to RCDAS’ facility in Jurupa Valley. Should the City wish to further explore this option, it could direct the City Manager to issue a request for proposals from all interested non-profit organizations and present proposals to the Animal Control Commission for a recommendation to the City Council. 2018-19 Goals and Objectives The evaluation of alternate service models associated with the City’s Animal Control Program aligns with Goal No. 6: Operate in a fiscally responsible and business-like manner. Fiscal Impact The financial impact associated with any of the selected service model options other than contacting with RCDAS would need further analysis based upon the direction provided by the Mayor and City Council. The projected annual operating cost associated with contracting with RCDAS for shelter, field and licensing services less the anticipated licensing revenue is $1,665,428 which is $450,831 less than it would cost the City of San Bernardino to provide the same level of service. In addition to the operational cost savings, if the animal control operation is contracted out, the City will not be required to make the capital improvement investments necessary to modernize the City’s animal shelter which is expected to exceed $18,000,000. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino review and discuss the City’s animal control program service delivery alternatives and provide direction regarding animal sheltering, field and licensing services. Attachments Attachment 1 Riverside County Department of Animal Control Services (RCDAS) Proposal Attachment 2 City of San Bernardino Animal Shelter Grant Funding Options Ward: Synopsis of Previous Council Actions: June 20, 2018 – Staff presented an agreement with the County of Riverside to provide Animal Control Services. January 16, 2019 – Staff presented an update regarding the Animal Control program and a report from the Animal Control Commission regarding capital improvement funding sources. 1/31/2019 2:52 PM 25.a Packet Pg. 528 Attachment: PD.Animal Control Program.01. Staff Report (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) 25.b Packet Pg. 529 Attachment: PD.Animal Control Program.02.RCDAS Proposal (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) 25.b Packet Pg. 530 Attachment: PD.Animal Control Program.02.RCDAS Proposal (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) 25.b Packet Pg. 531 Attachment: PD.Animal Control Program.02.RCDAS Proposal (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) 25.b Packet Pg. 532 Attachment: PD.Animal Control Program.02.RCDAS Proposal (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) 25.b Packet Pg. 533 Attachment: PD.Animal Control Program.02.RCDAS Proposal (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) 25.b Packet Pg. 534 Attachment: PD.Animal Control Program.02.RCDAS Proposal (5950 : City of San Bernardino's Animal Sheltering, Field and Licensing Services) Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link Albert Schweitzer Animal Welfare Albert Schweitzer Animal Welfare Fund Currently not accepting applications. Funding award based on project. Not Eligible The Albert Schweitzer Animal Welfare fund supports the following types of projects: Seeking and implementing humane solutions to the problem of companion animal overpopulation; and enhancing the humaneness and efficiency of animal shelter operations, sanctuaries and rescue centers. The fund has been revised to focus exclusively on community programs for owned animals and support to sanctuaries that are accredited by the Global Federation of Animal Sanctuaries. The Albert Schweitzer Animal Welfare Fund does not provide funding for capital campaigns and is unable to aid governmental entities. http://schweitzerfund. org/ American Humane Meacham Foundation Memorial Grant No deadline given. Grant may be awarded in any amount up to $4,000. Not Eligible The Meacham Foundation Memorial Grant was established in 1969 to provide financial assistance to agencies for shelter expansion or improvements. Shelters and rescue groups affected by disaster are selected by invitation only to apply for the Meacham Foundation Memorial Grant. https://www.american humane.org/initiative/ meacham-foundation- memorial-grant/ American Society for the Prevention of Cruelty to Animals (ASPCA) Shelter Program Grant Ongoing - No Deadline ASPCA does not have a specified amount of funding for their Shelter Program Grant. Not Eligible The Shelter Program Grant is for invited/solicited proposals only. Unsolicited proposals will be declined. Must be pre-approved by the ASPCA; must be established 501(c)(3) nonprofit or government organization in good standing with the Internal Revenue Service; and must be in good standing with the ASPCA, including no overdue requirements from previous grants. https://www.aspcapro .org/grant/2017/04/06 /shelter-program- grants-invitation-only Animal Farm Foundation Play Yard Construction Grant No deadline given. Grant may be awarded in any amount up to $10,000. Eligible Organizations implementing permanent play coup programs for the enrichment and socialization of their dogs may be eligible for up to $10.000 to expand, repair, or construct new play yards. A dog's suitability for playgroup participation cannot be based on suspected breed or mix. You must treat all dogs individually. Applicants must be an authorized member of the organization. https://animalfarmfou ndation.org/programs- events/grants/ City of San Bernardino Animal Shelter Grant Funding Options Page 1 Date Prepared: 9/6/2018 25.c Packet Pg. 535 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link City of San Bernardino Animal Shelter Grant Funding Options Banfield Foundation Disaster Relief Grant Ongoing - No Deadline Grant may be awarded up to $10,000. Not Eligible The Disaster Relief Grant provides financial support to nonprofit animal organizations and/or local or state governments whose communities have suffered the impact of natural or other disasters. Must be a nonprofit or governmental agency, such as municipal or county animal control, with an animal welfare mission or a direct relationship with an animal welfare organization; and have been directly affected by a recent disaster or emergency situation; and/or are assisting in an affected area. https://www.tfaforms. com/442684 Banfield Foundation Pet Advocacy Grant Two deadlines, April 30 and October 31st The average awards are between $5,000 and $15,000. Eligible The Pet Advocacy Grant program focuses on keeping pets with their families so they consider programs such as temporary shelter, behavior assistance for owned pets, pet help lines, disaster preparedness, combination programs that provide a variety of services including temporary shelter, pet food, vet care, pet supplies, pet deposits, etc. – must focus on a variety of services and not just a pet food pantry or veterinary care program), fence building programs, etc. Any municipality can apply for any of the grants. The Banfield Foundation is not restricted to just non-profits with a 501(c)(3). https://www.tfaforms. com/432674 Bissell Pet Foundation Partners Grant Currently Closed - Open Twice a year, in the Spring and Fall Average Amount Awarded to CA recipients from 2012 - 2018: $4,150. Not Eligible BISSELL Pet Foundation recognizes the lifesaving efforts of animal shelters and rescues of all sizes across the country. Grants will be considered for organizations working to reduce the homeless pet population through: Adoption, Spay/neuter, Microchipping, and Foster care. BISSELL Pet Foundation will not fund the following organization types, activities and programs: Capital campaigns and/or large building projects. https://www.bissellpe tfoundation.org/shelte rs-rescues/apply-for-a- grant/ Page 2 Date Prepared: 9/6/2018 25.c Packet Pg. 536 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link City of San Bernardino Animal Shelter Grant Funding Options Cesar Millan Foundation Cesar Millan Pack Project No longer in existence.N/A Not Eligible Through research, the foundation no longer appears to be active. The website provided is currently inactive. N/A http://millanpackproject .org/ Doris Day Animal Foundation Grant Program Ongoing - No Deadline Grants typically do not exceed $5,000. Not Eligible The grant programs are focused on helping animals and the people who love them, usually in a manner that helps the animals as directly as possible. Currently, many of our grants are focused on assisting senior companion animals, whether it be assisting with their food, care, veterinary costs, or need for adoption. Applicants must be incorporated as a 501(c)(3) non-profit charitable organization. Difficulties in complying with Federal regulations prevent us from making donations to individuals, non-U.S. charities, or for-profit organizations. https://www.dorisdayan imalfoundation.org/gra nts/guidelines-and-faq Grey Muzzle Organization Grant Program The call for 2018 grant applications is now closed. Grants typically range from $2,500 to $7,500. Not Eligible Guided by its vision - a world where no old dog dies alone and afraid - The Grey Muzzle Organization makes grants throughout the United States expressly for programs designed to improve the lives of at-risk senior dogs. The specific program for which the applicant is applying must: benefit senior dogs exclusively, have well-defined goals, and include measurable outcomes. https://www.greymuz zle.org/grants/about- grey-muzzle-grants Kenneth A. Scott Charitable Trust Grant Program August 15, 2019 One year grants are generally awarded in amounts between $10,000 and $50,000. Not Eligible The Kenneth Scott Charitable Trust invites proposals to advance the quality of life for owned, homeless, or wild animals or to address root causes of animal cruelty and neglect. The Foundation's priority is helping organizations go beyond the "basics" with projects that will provide an enhanced quality of life for homeless and suffering animals today and in the future. The Kenneth A. Scott Charitable Trust considers proposals from humane organizations based in the USA for projects designed to enhance the well- being of animals in Ohio and elsewhere in the Great Lakes region. The Foundation will not consider unsolicited requests from organizations based in other parts of the country, or fund activities taking place outside the USA. http://kennethscottcha ritabletrust.org/missio n-and-grant- guidelines Page 3 Date Prepared: 9/6/2018 25.c Packet Pg. 537 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link City of San Bernardino Animal Shelter Grant Funding Options Laura J. Niles Foundation Foundation Grant Ongoing - No Deadline Grant may be awarded up to $50,000. Not Eligible The Foundation is seeking ways to benefit animals, particularly dogs, and is especially interested in efforts that help animals and people simultaneously. The Foundation is targeting areas that include specific medical research, animal adoption, search & rescue, assistance dogs, and similar fields of interest. Currently, the Foundation does not consider spay/neuter programs to be a priority, given the limited funds it has available. The Foundation generally will not provide grants to the following: organizations not determined to be tax-exempt under section 501 (c) (3) of the Internal Revenue Code; individuals; general fundraising drives; endowments; government agencies; or organizations that subsist mainly on third party funding and have demonstrated no ability or expended little effort to attract private funding. http://www.ljniles.org /applications-- reports.html Maddie's Fund Innovation Grant October 22 - 29, 2018; March 11 - 18, 2019 Grant may be awarded up to $5,000. Not Eligible Maddie's Fund is offering up to $5,000 to implement a new program at your shelter or rescue organization that will advance lifesaving. Maddie's fund is looking for applications that propose to implement a new program or expand an existing program to increase lifesaving at proposer's organization. This grant opportunity is not designed to cover general operating costs or capital campaigns. https://www.maddiesf und.org/innovation.ht m Page 4 Date Prepared: 9/6/2018 25.c Packet Pg. 538 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link City of San Bernardino Animal Shelter Grant Funding Options Mason Foundation for Animal Shelter Design Mason Foundation's Grant Ongoing - No Deadline Grant may be awarded up to $4,000. Not Eligible The Mason Foundation for Animal Shelter Design (Mason Foundation) was established to provide financial assistance to initial assistance to an animal shelter looking to expand or remodel. Grant money must be used for needs assessment, initial consultation and architectural assistance, capital campaign studies, etc., for shelters interested in building a new facility or remodeling an existing building that will improve the quality of care given to animals and improve adoptions. The Mason Foundation grants cannot be used for normal operating expenses, supplement an organizations operating budget, or capital expenditures (e.g., new kennels or cattery equipment, new software, veterinary equipment, dog food, etc.). https://masonanimalf oundation.org/apply/ Oxbow Animal Health Oxbow Rescue Grant August 31, 2018 $20,000 in annual funding for grants to benefit 6 - 10 organizations. Eligible Each year, the Oxbow Rescue Grants provide up to $20,000 in cash and products to deserving shelter and rescue organizations throughout the US and Canada. Grant categories include: Capital Improvement Support - Renovations, additions, new structures, and equipment purchases. Rescue grants are limited to projects benefitting animals which utilize Oxbow's product line. Qualifying species include: rabbits, guinea pigs, chinchillas, ferrets, degus, sugar gliders, rats, mice, hamsters, gerbils, reptiles, tortoises, cats, and others. Please note that we are unable to provide funding for spay/neuter surgeries, or any dog-specific projects. http://www.oxbowani malhealth.com/the- oxbow- way/appreciation/ann ual-rescue-grants Pedigree Foundation Program Development Grant April 16, 2018 Grant may be awarded in the range of $5,000 to $10,000. Eligible Program Development Grants may be used for new programs or to support the expansion of current adoption programs. The project or program impact must be measurable and show adoption rate success attributable to funding. Capital requests will be considered. https://www.pedigree foundation.org/wp- content/uploads/2014 /05/2018-Guidelines- V5-FINAL- 3.5.2018.pdf Page 5 Date Prepared: 9/6/2018 25.c Packet Pg. 539 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link City of San Bernardino Animal Shelter Grant Funding Options PETCO Foundation Animal Welfare Organizations August 1 - September 28 Investments of $100,000 or more are considered Lifesaving Impact Awards. Eligible As one of the nation's largest funders of animal welfare causes, PETCO is proud to support organizations that care for animals in need, fight pet cancer, and celebrate our Helping Hero therapy and working animals. PETCO holds a responsibility to invest donor dollars in organizations that work to our achieve our shared, lifesaving goals. As such PETCO seeks to support organizations that continually endeavor to achieve a high standard of doing more, and are determined to efficiently save as many lives as possible with their investment. Investments of $100,000 or more are considered Lifesaving Impact Awards. Organizations must shelter a minimum of 2,500 animals in order to qualify of an award of this size. These types of grants are very limited and require an additional attachment detailing their lifesaving impact plan. Requests may be submitted for any purpose that is expected to result in an increase in their lifesaving results, or other significant positive lifesaving impact for the animals of your community. One should not submit a lifesaving impact award request unless their organization has a detailed plan to increase the lifesaving rate in your community. http://www.petcofoun dation.org/wp- content/uploads/2018 /07/Animal- Sheltering-and- Adoption-Application- Instructions.pdf Petfinder Foundation Play Yard Renovation Grant Currently available, no deadline listed. Grant may be awarded up to $5,000 based on need. Not Eligible This grant program is part of our commitment to enhancing shelter dogs' quality of life by allowing them to engage in natural social behaviors. Play Yard Renovation Grants will be given to shelters that have completed or are scheduled to complete play-group training seminars conducted by Dogs Playing for Life. Grant funds must be used to construct or improve play yards to bring them into compliance with DPFL’s recommendations. http://www.petfinderf oundation.com/for- shelters/apply-for-a- grant/ PetSmart Charities, Inc. Shelter Operations March 28, 2018 Grant may be awarded in any amount up to $100,000. Eligible Grant awards will support core sheltering functions that are scalable and represent a shelter's move toward sustainable and innovative sheltering practices. Grants will be considered for: Systematic improvements or additions that focus on shelter population management; or adoption programs or infrastructure improvements designed to decrease the length of stay. Grants will not be considered for: Requests for infrastructure or vehicles over $100,000. https://www.petsmart charities.org/pro/grant s/shelter-operations Page 6 Date Prepared: 9/6/2018 25.c Packet Pg. 540 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link City of San Bernardino Animal Shelter Grant Funding Options Rachael's Rescue Grant Program Not soliciting requests at this time. Unknown, not on website, and response from Rachael Ray Foundation staff was that they are not soliciting requests at this time. Not Eligible Through 2016, Rachael's Rescue has donated more than $14 million dollars to pet charities and other organizations that do good for animals. The funds are used for food, medical supplies, treatments, and more. Unknown, not on website, and response from Rachael Ray Foundation staff was that they are not soliciting requests at this time. https://www.rachaelray. com/rachaels-rescue/ Red Rover RedRover Relief Urgent Care grants Resumed accepting applications on September 7th. Grants typically are around $200. Not Eligible The RedRover Relief Urgent Care grant program helps animals who need urgent and emergency veterinary care. The typical grant is around $200, and is intended to fill a small gap in funding that is keeping an animal from care. Decisions are based upon several factors, including: medical urgency, financial need, available funding, and eligibility. The RedRover Relief Urgent Care grant provides financial assistance and resources to pet owners who are unable to pay for emergency veterinary care for their companion animals. https://redrover.org/wp- content/uploads/2017/0 9/RedRover-Relief- Flier-2017.pdf The Binky Foundation First Steps Grant Program 2018 Grant Program - Not accepting new applications. Grant may be awarded in any amount up to $2,500. Not Eligible Our First Steps Grant Program is designed to help small, local organizations get a firm basis for future sustainability or to help expand or perpetuate an organization's ability to perform its mission. Support for a specific one-time need that will provide a long-term benefit. Note: The number of letters of inquiry received under the 2017 Grant Program far exceeded the ability to process all worthy requests. Therefore in place of an open 2018 grant program, a number of the 2017 submitters were invited to apply for consideration in 2018. https://binkyfoundatio n.org/our-grant- program/ Page 7 Date Prepared: 9/6/2018 25.c Packet Pg. 541 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's Organization Grant Name Deadline Funding SB Eligibility Funding Source Description Requirements Link City of San Bernardino Animal Shelter Grant Funding Options The DJ&T Foundation Grant Program Ongoing - No Deadline Grant can be funded up to $250,000. Not Eligible A Non-Profit Foundation, founded by Bob Barker devoted to the support of low cost spay/neuter clinics and voucher programs throughout the 50 United States and the District of Columbia. Applicants must be incorporated as a 501(c)(3) non-profit charitable organization. http://www.djtfoundati on.org/index.htm The William and Charlotte Parks Foundation Project Grant The 2018 Grant Application Process is now CLOSED. Grant may be awarded in any amount up to $10,000. Not Eligible The Grants Committee makes grants to both animal protection organizations and to individual scholars pursuing work consistent with the goals of the Trust founders. Organizations may receive funds for general operating expenses or for specific projects. Doctoral or post-doctoral candidates may receive funds to support a specific research project. These funds must be distributed through an organization or institution with 501(c)3 status. The Foundation does NOT make capital grants (grants associated with major construction, remodeling, or expansion projects at shelters and other facilities), or general operating grants (i.e., grants to cover fixed or basic costs of administration; or rent or mortgage payments). http://www.parksfoun dation.org/index.html WaterShed Animal Fund Grant Program Ongoing - No Deadline Funding is project specific. Not Eligible The WaterShed Animal Fund is a private, separate entity within the Arnall Family Foundation. With an independent staff and strategic plan, we are dedicated to supporting innovative programs with exemplary institutions and individuals to better the lives of companion animals. The Fund supports organizations with shared interests that demonstrate competency, transparency and problem solving. The WaterShed Animal Fund does not provide funding for municipal governments. https://watershedanimal fund.org/grants/ Page 8 Date Prepared: 9/6/2018 25.c Packet Pg. 542 Attachment: PD.Animal Control Program.03.Grant Funding Options (5950 : City of San Bernardino's 26.a Packet Pg. 543 Attachment: PD.COPPS-Staff Report (5951 : Community Oriented Policing and Problem Solving (COPPS) Strategies) The City’s investment in additional officers and implementation of various COPPS strategies improved collaboration with the community and aided the department in reducing homicides from a peak of 84 in 1992 to a low of 25 by 1999. Resident support for law enforcement and desire for increased services and continued collaboration was demonstrated by the support for Measure Z. The quarter cent sales tax derived from the measure provided for an increase of forty sworn officers to the City’s police department and by the FY2008/09 budget cycle, the department’s authorized strength peaked at 356 sworn officers. While the number of sworn officers declined dramatically during the recessions and the year or so preceding and during bankruptcy, Measure Z was used to enable the City to maintain minimum sworn staffing levels. Unfortunately, during this time, many of the COPPS programs including the substations suffered through years of declining revenues, budget cuts, the recession and ultimately bankruptcy. The police department, like other departments throughout the nation, had implemented successful COPPS strategies. While the department was able to restructure and maintain some programs during the lean years, the geographic assignment of officers and substations were eliminated. Each district had its own police substation commanded by a lieutenant and staffed with a police supervisor, detectives, officers and civilian support staff. Assigned officers and detectives were responsible for addressing crime patterns, chronic service drains, and all quality of life issues in their respective districts. One of the core tenants of COPPS was that embedding staff directly into the community would improve relationships and lead to more cooperation in solving shared problems. During implementation, members of the community favored COPPS due to the improved accessibility to police staff and department leadership favored it due to the internal accountability among staff for responding to area specific problems. The number of geographic areas of the City supported by substations in the City ranged from six in 1991 to four in 2012 when they were finally closed altogether. COPPS is favored by police and community alike. Unfortunately, like many programs and services throughout the City, the financial situation resulted in less than desirable impacts. Further, in 2016, the department consolidated its vice, narcotic, gang and traffic units into one special enforcement team (SET). The premise of the consolidation was that officers comprising the unit would be experts in all investigative specialties thereby eliminating the need for more narrowly focused units. Some SET unit staff have been tasked with focusing more specifically on gang issues. As part of the rebuilding of the department consistent with the Plan of Adjustment and Mayor and City Council’s 2018-19 Goals and Objectives, the consolidations of the past ten years have largely coincided with reductions in staff. As depicted in Table 1, the department is currently operating with -25% fewer authorized sworn staff than its peak in FY 2008/09 and -27% fewer actual sworn staff than its peak in FY 2010/11. Staff reductions and operational consolidations have resulted in extended response times, reduced community access to police staff, reduced crime fighting capabilities, and diminished institutional expertise. Reductions have also decreased the amount of 2/1/2019 8:24 AM 26.a Packet Pg. 544 Attachment: PD.COPPS-Staff Report (5951 : Community Oriented Policing and Problem Solving (COPPS) Strategies) unstructured time available for patrol staff to proactively address crime and quality of life issues. Table 1. History of Sworn Police Staffing Levels Fiscal Year Budgeted Year-End Actual FY 2008/09 356 324 FY 2009/10 350 326 FY 2010/11 350 348 FY 2011/12 305 292 FY 2012/13 281 272 FY 2013/14 260 234 FY 2014/15 260 234 FY 2015/16 248 218 FY 2016/17 260 229 FY 2017/18 261 246 FY 2018/19 261/267 (January) 254 (February) Table 2. Staffing/Response Time Correlation 4 4.5 5 5.5 6 6.5 7 7.5 8 8.5 9 200 220 240 260 280 300 320 340 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 P r i o r i t y E R e s p o n s e T i m e s Y e a r E n d S t a f f i n g Staffing Pri E Respone Times 2/1/2019 8:24 AM 26.a Packet Pg. 545 Attachment: PD.COPPS-Staff Report (5951 : Community Oriented Policing and Problem Solving (COPPS) Strategies) Table 3. Staffing/Homicide Rate Correlation Current Community Outreach Efforts Although COPPS has been discontinued, the department has continued to engage in other community outreach efforts to include a police explorer program for youth, a police activities league (PAL), a citizen volunteer program, a citizen police academy and African-American and Hispanic advisory committees to provide feedback on issues affecting the community. The department has also created a community affairs unit which engages the community via social media and hosts forums such as Coffee with a Cop. Other functions of the department such as mounted patrol and the canine program have served to support both operational needs as well as use for community engagement events. In addition to department managed efforts, the City Manager’s Office has also implemented the Violence Interruption Program designed to reduce violence through collaboration among the police, the community and non-profit community based organizations. Discussion In 2014, City leaders engaged the community in a series of strategic planning workshops where the goal of improving public safety emerged as one of the City’s top priorities. Since 2014, the department has hired 69 sworn officers. Due to retirements and separations, there has been a net gain of seven sworn positions with six of those having been authorized this past month to support reimbursable contracts. With the gains in sworn personnel, the department is beginning to move away from the centralized staffing model designed to support its core function of emergency response. Additionally, we are evaluating other programs such as transportation services to increase patrol time, redistributing work and customizing functions to free up sworn officers who can be assigned to geographic regions. Re-implementing the regional substations would improve service to the community as well as internal accountability 30 35 40 45 50 55 60 65 200 220 240 260 280 300 320 340 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 N u m b e r o f M u r d e r s Y e a r E n d S t a f f i n g Staffing Homicide 2/1/2019 8:24 AM 26.a Packet Pg. 546 Attachment: PD.COPPS-Staff Report (5951 : Community Oriented Policing and Problem Solving (COPPS) Strategies) for addressing crime and quality of life issues. This would require the reorganization of department personnel and potential additions or reductions of specific classifications. Our staff is currently evaluating these changes and plan to present recommendations as part of the FY 2019/20 Budget process. In addition to the substations, the department is rebuilding its special investigative capabilities. Specific needs include a violent crime investigations unit as well as vice and narcotic units. With these added investigative capabilities, the department could better address the more nuanced crime problems that patrol and SET officers are unable to resolve. As part of the reorganization analysis discussed above, staff is currently working to address this need and will present options. 2018-19 Goals and Objectives The request to review and discuss COPPS strategies aligns with Goal No. 2: Provide for the safety of City residents and businesses. Improving the effectiveness of the police department will enable the City to improve public safety and better serve the City’s residents and businesses. Fiscal Impact No fiscal impact to the City. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino, California, receive the report and discuss. Attachments None Ward: None 2/1/2019 8:24 AM 26.a Packet Pg. 547 Attachment: PD.COPPS-Staff Report (5951 : Community Oriented Policing and Problem Solving (COPPS) Strategies) 27.a Packet Pg. 548 Attachment: CM.City Facility Assessment.SR (5952 : City Facility Building - Condition Assessment Report) cost of labor, material and equipment, including demolition, at the present time which would be required to replace a building. FCI value represents the five general condition ranking Good (0.00-0.05), Fair (0.06- 0.10), Poor (0.11-0.30), Critical (0.31-0.50), and Divest (0.51-1.0). Study findings revealed that most of City owned buildings are in critical to divest condition and required significant improvements to bring in fair condition. Based on the draft finding, staff feels the City Hall Campus should be the highest priority for developing a strategic action plan. This is based on the critical City functions the campus support and the overall conditions of the facilities. The main factor for the condition assessed of the campus is the 1970’s design and construction methods used throughout the campus development, such as concrete structural members and soft stories. Following is a brief condition assessment summary of the of buildings in City Hall campus which includes City Hall, Administration Campus Parking Structure, City Hall Public Works/Council Chambers/Community Development/IT/IEMG, Convention Center, and City Hall Park and Recreation /Business Registration. City Hall Assessment: The seven-story 105,000 square foot City Hall Facility in San Bernardino, CA opened in 1974 as part of centralized campus for the City. The building contains a basement largely utilized by facility maintenance and service personnel below the plaza level auditorium, which acted as Council Chambers. Subsequent floors housed administrative offices for various local government departments. Building mechanical services are located on a dedicated level above the administrative floors. The report indicates that the building, in its existing condition, does not meet the requirements for the life safety performance level as defined by ASCE 41-13; it requires significant seismic and structural upgrades. In addition, structural frame, walls, roofing, plumbing, heating, elevators, ADA conformity and Environmental Assessment show substantial deficiencies across multiple disciplines, systems, and components within the City Hall. Administration Campus Parking Structure: The City Hall Administration Campus Parking is a five-level building utilized for employee and patron parking. The structure was constructed in 1975 with elevated pedestrian ramps connecting to City Hall located in the north, and building 201 B in the west. Vehicular entrances to the ramp can be found on north E street, north D Street, and west 2nd street. The report indicates that the building, in its existing condition, does not meet the requirements for the life safety performance level as defined by ASCE 41-13; it requires significant seismic and structural upgrades. In addition, Handicap accessible features for this facility are partially non-compliant with the applicable provisions and sections of the California Building Code Chapter 11B which may include but not limited to interior and exterior accessible routes, communication systems, occupancy controls, handrails and guards, wayfinding and signage systems and parking area delineation. 27.a Packet Pg. 549 Attachment: CM.City Facility Assessment.SR (5952 : City Facility Building - Condition Assessment Report) Convention Center: The convention center is constructed in 1971, connects with an adjacent hotel in the south as well as San Bernardino City Hall to the east. The roof of the structure acts as a pedestrian plaza for the City Hall Campus with an elevated pedestrian ramp connecting to the Carousel Mall in the west. Main entrances are located on North E Street. The report indicates that the building, in its existing condition requires significant improvements in HVAC system. In addition, Handicap accessible features for this facility are partially non-compliant with the applicable provisions and sections of the California Building Code Chapter 11B which may include but not limited to interior and exterior accessible routes, handrails and guards, wayfinding and signage systems and parking area delineation. City Hall Park and Recreation/Business Registration: The 201 A South building, constructed in 1972, is a single story structure that currently houses the Parks and Recreation and Business Registration departments and connects with the adjacent 201 B North building. The roof of the structure supports a solar array. The report indicates that the building requires significant architectural and mechanical upgrades. In addition, Handicap accessible features for this facility are partially non- compliant with the applicable provisions and sections of the California Building Code Chapter 11B which may include but not limited to interior and exterior accessible routes, communication systems, occupancy controls, handrails and guards, wayfinding and signage systems and parking area delineation. City Hall Public Works/ Council Chambers/ Community Development/ IT/IEMG: The 201 B North building, constructed in 1971, currently houses the council chambers, community development, information technology, and public works department. It connects with the adjacent 201 A South building as well as San Bernardino City Hall parking structure to the east. The roof of the structure supports a solar array while an elevated pedestrian ramp connects the third floor to the parking structure. The lower level is comprised of commercial spaces currently fit out as a sporting goods store and vacant restaurant. The report indicates that the facility, in its existing condition, does not meet the Building Code and requires significant seismic and structural upgrades. In addition, structural frame, walls, roofing, plumbing, heating, elevators, ADA conformity and Environmental Assessment show substantial deficiencies across multiple disciplines, systems, and components within the City Hall. The following table summarizes costs associated with construction to address deficiencies in different disciplines such as structural/seismic, architecture, plumbing, mechanical, fire protection, electrical, communication, safety, and ADA for abovementioned facilities. Direct costs include all labor and material required for the component, assembly or system replacement. A direct cost typically includes incidental work or materials not specifically identified such as demolition, piping and ductwork connections, controls, HVAC balancing and electrical connections, design, project management. Project costs are customized to match the delivery method and typically include general conditions and 2/1/2019 9:53 AM 27.a Packet Pg. 550 Attachment: CM.City Facility Assessment.SR (5952 : City Facility Building - Condition Assessment Report) other soft costs including contingencies, design costs, permitting costs, bid phase costs and contractor's overhead and profit. Staff has projected construction costs which include an additional 30% for management and architectural costs. At this time, the final report for all City Facilities has not been finalized, when the report is finalized, staff will return to Council to discuss findings and alternatives. 2018-2019 Goals and Objectives This project is consistent with Goal 6 Operation in a fiscally responsible and business-like manner. This project provides an assessment of all City facilities and prepares a long range plan to maintain or replace them. Fiscal Impact Future fiscal impact to be determined. Conclusion There are many alternatives to consider regarding City Hall/Government Center. It is recommended that the Mayor and City Council of the City of San Bernardino direct staff to prepare the alternatives, including a fiscal analysis, for presentation during budget discussions. Struct Archit Plumb Mechni Fire Prote Elect Comm Safety Civil ADA Design /Project x 1000 x 1000 x 1000 x 1000 x 1000 x 1000 x 1000 x 1000 x 1000 x 1000 PM Cost City Hall $7,458 $11,612 $ 93 $2,498 $ 79 $2,538 $734 $328 $334 $2,284 $ 8,387 $36,345 Parking Struct. $3,644 $ 831 $ 13 $ - $ 227 $2,567 $ - $ 76 $337 $ 450 $ 2,444 $10,589 Convention Ctr $ 313 $ 2,097 $347 $1,400 $ 143 $ 708 $214 $ 83 $ 50 $ 282 $ 1,691 $ 7,328 Park & Rec $3,201 $ 1,065 $115 $ 263 $ 99 $ 353 $ 1 $ 58 $ 5 $ 305 $ 1,640 $ 7,105 CC/PW/IT $8,234 $ 1,338 $ - $1,752 $ 71 $ 663 $ - $ 69 $ 14 $ 543 $ 3,805 $16,489 Grand Total $17,967 $77,856 Disciplines Ward: ALL Synopsis of Previous Council Actions: June 6, 2018, CannonDesign was awarded a contract to conduct Condition and Need Assessment to all city owned facilities including City Hall. 27.a Packet Pg. 551 Attachment: CM.City Facility Assessment.SR (5952 : City Facility Building - Condition Assessment Report) Staff Report City of San Bernardino Request for Council Action Date: February 6, 2019 To: Honorable Mayor and City Council Members From: John Valdivia, Mayor By: Renee Brizuela, Executive Assistant to the Mayor Subject: Transportation, Communication & Public Works Policy Committee Update – January 17-18, 2019 Recommendation Receive an oral report by Mayor Valdivia. Background On January 17-18, 2019, Mayor Valdivia attended the Transportation, Communication & Public Works Policy Committee Meeting in Sacramento, CA. Discussion Mayor Valdivia will provide an oral report on the Transportation, Communication & Public Works Policy Committee Meeting at this evening’s meeting. Mayor, City Council and City Manager Goals and Objectives He attended the League of California Cities Transportation, Communication & Public Works Policy Committee Meeting to gain knowledge for future policy making decisions. It aligns with Goal Number 3 which is to Create, Maintain and Grow Jobs and Economic Value in the City. Fiscal Impact The estimated fiscal impact is $835.00 and it will be paid out of the Mayor’s Office “Meetings and Conferences” budget account number 001-010-0001-5132. Conclusion It is recommended that the Mayor and City Council of the City of San Bernardino receive and file the oral report. Attachments Attachment 1 – § 532323- Government Code on Reporting Trips Attachment 2 - AB 1234 Report on Meetings Attended Attachment 3 – Transportation, Communication & Public Works Policy Committee Agenda and backup. 28.a Packet Pg. 552 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Update 1-17-19 - Mayor Valdivia (5953 : 28.b Packet Pg. 553 Attachment: MCC.LCC § 532323- Government Code on Reporting Trips(Attachment 1) (5953 : Transportation, Communication & Public Works 28.c Packet Pg. 554 Attachment: MCC.LCC AB 1234 REPORT ON MEETINGS ATTENDED(Attachment 2) (5953 : Transportation, Communication & Public Works 28.d Packet Pg. 555 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 556 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 557 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 558 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 559 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 560 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 561 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 562 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 563 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 564 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 565 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 566 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 567 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 568 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 569 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 570 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 571 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 572 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 573 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 574 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 575 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 576 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 577 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 578 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 579 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 580 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 581 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 582 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 583 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 584 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 585 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 586 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 587 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 588 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 : 28.d Packet Pg. 589 Attachment: MCC.LCC Transportation, Communication & Public Works Policy Committee Agenda and backup (Attachment 3) (5953 :