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HomeMy WebLinkAbout07-03-2013 City Council Agenda Packet1/11� ok �SA Rq �Z l R% AGENDA SPECIAL MEETING SARATOGA CITY COUNCIL JULY 39 2013 SPECIAL MEETING — 5:00 P.M. — ADMINISTRATIVE CONFERENCE ROOM, 13777 FRUITVALE AVENUE. CALL MEETING TO ORDER — 5:00 P.M. REPORT ON POSTING OF AGENDA (Pursuant to Gov't. Code 54954.2, the agenda for this meeting was properly posted on June 27, 2013) COMMUNICATIONS FROM COMMISSIONS & PUBLIC ORAL COMMUNICATIONS ON NON - AGENDIZED ITEMS Any member of the public will be allowed to address the City Council for up to three (3) minutes on matters not on this agenda. The law generally prohibits the council from discussing or taking action on such items. However, the Council may instruct staff accordingly regarding Oral Communications under Council Direction to Staff. COUNCIL DIRECTION TO STAFF Instruction to Staff regarding actions on current Oral Communications. ADJOURN TO CLOSED SESSION — 5:00 P.M. CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION (Government Code section 54956.9(d)(1)) Name of case: Lee v. City of Saratoga (Santa Clara County Superior Court Case No. 1 -12- CV - 225772) PUBLIC EMPLOYEE PERFORMANCE EVALUATION (Gov't Code Section 54957) Title: City Attorney CALL STUDY SESSION TO ORDER — 6:00 P.M. ADMINISTRATIVE CONFERENCE ROOM, 13777 FRUITVALE AVENUE Civic Theater Master Plan Study Session Recommended Action: Discuss and provide comments on the Civic Theater Master Plan. ADJOURNMENT In accordance with the Ralph M. Brown Act, copies of the staff reports and other materials provided to the City Council by City staff in connection with this agenda are available at the office of the City Clerk at 13777 Fruitvale Avenue, Saratoga, CA 95070. Note that copies of materials distributed to the City Council concurrently with the posting of the agenda are also available on the City Website at www.sarato ag ca.us. Any materials distributed by staff after the posting of the agenda are made available for public review at the office of the City Clerk at the time they are distributed to the City Council. In Compliance with the Americans with Disabilities Act, if you need assistance to participate in this meeting, please contact the City Clerk at 4081868 -1269. Notification 24 hours prior to the meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting. [28 CFR 35.102- 35.104 ADA title II] Certificate of Posting of Agenda: I, Crystal Bothelio, City Clerk for the City of Saratoga, declare that the foregoing agenda for the meeting of the City Council was posted and available for public review on June 27, 2013 at the City of Saratoga, 13777 Fruitvale Ave., Saratoga, CA 95070 and on the City's website at www.saratoga.ca.us. Signed this 27th day ofJune 2013 at Saratoga, California. Crystal Bothelio, City Clerk 2 Table of Contents Agenda. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Appointment of Traffic Safety Commissioner and Oath of Office Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 9 Attachment A: Resolution of Appointment . . . . . . . . . . . 11 Attachment B: Oath of Office . . . . . . . . . . . . . . . . . 12 City Council Meeting Minutes Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 13 Attachment A: Minutes for Special and Regular City Council Meeting on June 19, 2013 . . . . . . . . . . . . . . . 15 Review of Accounts Payable Check Registers Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 26 6/18/2013 Check Register . . . . . . . . . . . . . . . . . . . 28 6/25/2013 Check Register . . . . . . . . . . . . . . . . . . . 34 Treasurer's Report for the Month Ended May 31, 2013 Treasurer's Report for the Month Ended May 31, 2013 . . . . . 39 Resolution Authorizing Final Disposition of Certain City Records Staff report . . . . . . . . . . . . . . . . . . . . . . . . . . 46 Resolution . . . . . . . . . . . . . . . . . . . . . . . . . . 48 Exhibit A . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Annual Approval of the City's Investment Policy Annual Investment Policy . . . . . . . . . . . . . . . . . . . 51 Citizen Options for Public Safety - Supplemental Law Enforcement Services Funds Grant COPS /SLESF Grant . . . . . . . . . . . . . . . . . . . . . 60 Agreement for Annual Financial Audit Services Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 64 Chavan Proposal . . . . . . . . . . . . . . . . . . . . . . . 67 Resolution to Establish Property Tax Levy for Debt Service Payments on the Library General Obligation Bonds GO Bond Tax Levy . . . . . . . . . . . . . . . . . . . . . . 105 Property Tax Levy Resolution . . . . . . . . . . . . . . . . . 110 Resolution Naming City Representative to the ABAG PLAN Board ABAG Report . . . . . . . . . . . . . . . . . . . . . . . . . 111 ABAG Resolution . . . . . . . . . . . . . . . . . . . . . . . 113 Resolution Supporting Measure A, Santa Clara County Library District Special Tax Renewal Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 115 Attachment A: Resolution in Support of Measure A, Santa Clara County Library District Special Tax Renewal . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 Confirmation of Report and Assessment of 2013 Weed Abatement Program Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 119 1 Attachment A: Resolution Confirming Report and Assessment of Hazardous Vegetation Abatement Charges . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 Attachment B: 2013 Hazardous Vegetation Abatement Assessment Report . . . . . . . . . . . . . . . . . . . . . . 122 Attachment C: Notice of Public Hearing . . . . . . . . . . . . 124 Application for Community Event Grant Funds Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 125 Attachment A: Community Event Grant Application . . . . . . . 127 Attachment B: Fiscal Year 2013/14 Community Event Grant Allocations . . . . . . . . . . . . . . . . . . . . . . . 133 Saratoga Emergency Operations Plan (EOP) Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 134 Attachment A: Saratoga Emergency Operations Plan . . . . . . 136 Attachment B: Resolution . . . . . . . . . . . . . . . . . . . 257 Provide Direction on the Planning Commission's Review of the City's Residential Green Building Standards Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 258 Attachment 1 - Current Standards . . . . . . . . . . . . . . . 260 Council Meeting Decorum Staff Report . . . . . . . . . . . . . . . . . . . . . . . . . 271 Attachment A: June 15, 2011 Staff Report on Council Meeting Decorum . . . . . . . . . . . . . . . . . . . . . . . 275 Attachment B: City Council Norms of Operation and Rules of Order and Procedure for City Council . . . . . . . . . 283 2 f� f�c ;v &9L Lt's l AGENDA REGULAR MEETING SARATOGA CITY COUNCIL WEDNESDAY, JULY 39 2013 REGULAR MEETING — 7:00 P.M. — CIVIC THEATER/COUNCIL CHAMBERS AT 13777 FRUITVALE AVENUE PLEDGE OF ALLEGIANCE ROLL CALL REPORT OF CITY CLERK ON POSTING OF AGENDA (Pursuant to Gov't. Code 54954.2, the agenda for this meeting was properly posted on June 27, 2013) REPORT FROM CLOSED SESSION COMMUNICATIONS FROM COMMISSIONS & PUBLIC Oral Communications on Non- Agendized Items Any member of the public will be allowed to address the City Council for up to three (3) minutes on matters not on this agenda. The law generally prohibits the council from discussing or taking action on such items. However, the Council may instruct staff accordingly regarding Oral Communications under Council Direction to Staff. Oral Communications - Council Direction to Staff Instruction to Staff regarding actions on current Oral Communications. Communications from Boards and Commissions Council Direction to Staff Instruction to Staff regarding actions on current Communications from Boards & Commissions. ANNOUNCEMENTS CEREMONIAL ITEMS 1. Appointment of Traffic Safety Commissioner and Oath of Office Recommended action: Adopt the attached resolution appointing Mitch Kane to the Traffic Safety Commission and direct the City Clerk to administer the Oath of Office. SPECIAL PRESENTATIONS None 3 CONSENT CALENDAR The Consent Calendar contains routine items of business. Items in this section will be acted in one motion, unless removed by the Mayor or a Council member. Any member of the public may speak to an item on the Consent Calendar at this time, or request the Mayor remove an item from the Consent Calendar for discussion. Public Speakers are limited to three (3) minutes. 2. City Council Meeting Minutes Recommended action: Approve City Council minutes for the Special and Regular City Council Meeting on June 19, 2013. Review of Accounts Payable Check Registers Recommended action: Review and accept check registers for the following accounts payable payment cycles: 6/18/2013 6/25/2013 4. Treasurer's Report for the Month Ended May 31, 2013 Recommended action: Review and accept the Treasurer's Report for the month ended May 31, 2013. 5. Resolution Authorizing Final Disposition of Certain City Records Recommended action: Adopt resolution authorizing final disposition of certain city records. 6. Annual Approval of the City's Investment Policy Recommended action: Review and approve the Investment Policy for FY 2013/14. 7. Citizen Options for Public Safety - Supplemental Law Enforcement Services Funds Grant Recommended action: Adopt resolution authorizing the continued use of the Citizen Options for Public Safety Program's Supplemental Law Enforcement Services Fund (COPS /SLESF) Grant as a source of funds for additional public safety services. 8. Agreement for Annual Financial Audit Services Recommended action: Authorize the City Manager to enter into an agreement for professional auditing services between the City of Saratoga and Chavan & Associates, LLP Certified Public Accountants, for the three fiscal years 2012/13 through 2014/15 with one -year options for each of the following two years (FY's 2015/16 and 2016/17). 9. Resolution to Establish Property Tax Levy for Debt Service Payments on the Library General Obligation Bonds Recommended action: Adopt the attached resolution which sets the property tax levy rate to provide for the Library General Obligation Bond's debt service payment at $.0074 per $100 of Assessed Valuation. El 10. Resolution Naming City Representative to the ABAG PLAN Board Recommended action: Adopt resolution designating City of Saratoga representatives to the Association of Bay Area Government's (ABAG) Pooled Liability Assurance Network (PLAN) Corporation Board of Directors. 11. Resolution Supporting Measure A, Santa Clara County Library District Special Tax Renewal Recommended action: Approve the attached resolution in support of Measure A, renewal of the Santa Clara County Library District special tax. PUBLIC HEARINGS Applicants /Appellants and their representatives have a total of ten minutes maximum for opening statements. Members of the public may comment on any item for up to three minutes. Applicant /Appellants and their representatives have a total of five minutes maximum for closing statements. Items requested for continuance are subject to Council's approval at the Council meeting 12. Confirmation of Report and Assessment of 2013 Weed Abatement Program Recommended action: Open public hearing, accept public testimony, close public hearing, and adopt resolution confirming report and assessment of hazardous vegetation abatement charges. OLD BUSINESS None NEW BUSINESS 13. Application for Community Event Grant Funds Recommended action: Review Community Event Grant Program application and determine whether to allocate grant funds. 14. Saratoga Emergency Operations Plan (EOP) Recommended action: Approve the new Emergency Operations Plan (EOP) 15. Provide Direction on the Planning Commission's Review of the City's Residential Green Building Standards Recommended action: Provide direction on the scope of review. 16. Council Meeting Decorum Recommended action: Accept report and direct staff accordingly. 5 ADHOC & AGENCY ASSIGNMENT REPORTS Mayor Jill Hunter City School Ad Hoc Hakone Foundation Board Hakone Foundation Executive Committee Historical Foundation KSAR Community Access TV Board Saratoga Chamber of Commerce Contract Review Ad Hoc Village Ad Hoc West Valley Mayors and Managers Association Vice Mayor Emily Lo Hakone Foundation Board Let's Move City Ad Hoc Library Joint Powers Authority Santa Clara Valley Water District Commission Village Ad Hoc West Valley Flood Control & Watershed Advisory Committee Council Member Howard Miller City School Ad Hoc Council Finance Committee Postal Service Liaison Saratoga Ministerial Association Valley Transportation Authority PAC West Valley Solid Waste Management Joint Powers Authority Council Member Manny Cappello Chamber of Commerce County HCD Policy Committee Highway 9 Ad Hoc Let's Move City Ad Hoc Santa Clara County Emergency Council Saratoga Chamber of Commerce Contract Review Ad Hoc SASCC TEA Ad Hoc Council Member Chuck Page Association of Bay Area Governments Highway 9 Ad Hoc Santa Clara County Cities Association Santa Clara County Cities Association Selection Committee Sister City Liaison TEA Ad Hoc West Valley Sanitation District CITY COUNCIL ITEMS CITY MANAGER'S REPORT ADJOURNMENT 0 In accordance with the Ralph M. Brown Act, copies of the staff reports and other materials provided to the City Council by City staff in connection with this agenda are available at the office of the City Clerk at 13777 Fruitvale Avenue, Saratoga, CA 95070. Note that copies of materials distributed to the City Council concurrently with the posting of the agenda are also available on the City Website at www.sarato ag ca.us. Any materials distributed by staff after the posting of the agenda are made available for public review at the office of the City Clerk at the time they are distributed to the City Council. In compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this meeting, please contact the City Clerk at (408) 868 -1269. Notification 48 hours prior to the meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting (28 CFR 35.102- 35.104 ADA Title II) Certificate of Posting of Agenda: I, Crystal Bothelio, City Clerk for the City of Saratoga, declare that the foregoing agenda for the meeting of the City Council for the City of Saratoga was posted on June 27, 2013, at the City of Saratoga, 13777 Fruitvale Ave., Saratoga, CA 95070 and was available for public review at that location. The agenda is also available on the City's website at www.saratoga.ca.us Signed this 27th day of June 2013 at Saratoga, California. Crystal Bothelio, City Clerk 7 NOTE: To view current or previous City Council meetings anytime, go to the City Video Archives at www.sarato ag ca.us 07/03 07/17 08/07 08/21 09/04 09/18 10/02 10/16 11/06 11/20 CITY OF SARATOGA CITY COUNCIL MEETING CALENDAR 2013 Regular Meeting — Civic Theater Master Plan Study Session RECESS RECESS Regular Meeting — Joint Meeting with SASCC Regular Meeting — Joint Meeting with Parks and Rec /PEBTAC Regular Meeting — Joint Meeting with West Valley Board of Trustees Regular Meeting — 5:30 p.m. Joint Meeting with Saratoga School Districts Regular Meeting — Joint Meeting with Hakone Foundation Board Regular Meeting — Joint Meeting with Senator Jim Beall and Assembly Member Paul Fong Regular Meeting — Joint Meeting Sister City Committee 12/04 Regular Meeting — Joint Meeting with Library Commission and Friends of the Saratoga Libraries 12/18 Regular Meeting — Joint Meeting TBD Of Pam SARATOGA CITY COUNCIL 4 S't;V MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Crystal Morrow DIRECTOR: Dave Anderson City Clerk SUBJECT: Appointment of Traffic Safety Commissioner and Oath of Office RECOMMENDED ACTION: Adopt the attached resolution appointing Mitch Kane to the Traffic Safety Commission and direct the City Clerk to administer the Oath of Office. BACKGROUND: In April 2013, Traffic Safety Commissioner Kenneth Biester passed away. Following this unexpected loss, the City conducted a recruitment to fill the vacant seat on the Traffic Safety Commission. A total of 3 applications were received. Interviews for the term that ends January 1, 2014 were held the evening of June 19, 2013. Following interviews, Council selected Mitch Kane to complete the unfinished term. FISCAL IMPACTS: N/A CONSEQUENCES OF NOT FOLLOWING THE RECOMMENDED ACTIONS: The appointment to the Traffic Safety Commission would not be made and the recruitment process would be reopened. ALTERNATIVE ACTION(S): N/A FOLLOW UP ACTION(S): Update the City's Commission roster. ADVERTISING, NOTICING AND PUBLIC CONTACT: Page 1 of 2 D Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Attachment A: Resolution of Appointment Attachment B: Oath of Office Page 2 of 2 10 RESOLUTION 13- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA APPOINTING ONE MEMBER TO THE SARATOGA TRAFFIC SAFETY COMMISSION WHEREAS, a vacancy on the Traffic Safety Commission was created when Traffic Safety Commissioner Kenneth Biester passed away in April 2013; and WHEREAS, the unexpired term ends January 2014; and WHEREAS, the City publicized the vacancies, accepted applications, and the City Council conducted interviews on June 19, 2013; NOW, THEREFORE, the City Council of the City of Saratoga hereby resolves that the following individual is appointed to the Saratoga Traffic Safety Commission to serve the remainder of the unexpired term: NAME COMMISSION TERM Mitch Kane Traffic Safety July 3, 2013 — January 1, 2014 The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of July 2013 by the following vote: AYES: NOES: ABSENT: ABSTAIN: ATTEST: DATE: Crystal Bothelio, City Clerk 11 Jill Hunter, Mayor STATE OF CALIFORNIA COUNTY OF SANTA CLARA I, Mitch Kane, do solemnly swear (or affirm) that I will support and defend the Constitution of the United States and the Constitution of the State of California against all enemies, foreign and domestic; that I will bear true faith and allegiance to the Constitution of the United States and the Constitution of the State of California; that I take this obligation freely, without any mental reservation or purpose of evasion; and that I will well and faithfully discharge the duties upon which I am about to enter. Subscribed and sworn to before me on this 3rd day of July 2013. Crystal Bothelio City Clerk 12 Mitch Kane, Member Traffic Safety Commission Of Pam SARATOGA CITY COUNCIL 4 S't;V MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Crystal Bothelio DIRECTOR: Dave Anderson City Clerk SUBJECT: City Council Meeting Minutes RECOMMENDED ACTION: Approve City Council minutes for the Special and Regular City Council Meeting on June 19, 2013. BACKGROUND: The draft minutes for the Special and Regular City Council Meeting on June 19, 2013 are attached to this report for Council review and approval. FISCAL IMPACTS: N/A CONSEQUENCES OF NOT FOLLOWING THE RECOMMENDED ACTIONS: N/A ALTERNATIVE ACTION(S): N/A FOLLOW UP ACTION(S): Retain minutes for legislative history. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. Page 1 of 2 13 ATTACHMENTS: Attachment A: Minutes for Special and Regular City Council Meeting on June 19, 2013 Page 2 of 2 14 MINUTES WEDNESDAY, JUNE 19, 2013 SARATOGA SPECIAL CITY COUNCIL MEETING The City Council held interviews for the Traffic Safety Commission at 4:55 p.m. in the Administrative Conference Room at City Hall at 13777 Fruitvale Avenue. At 5:30 p.m., the Council held a Joint Meeting with Saratoga Neighborhood and Homeowners' Associations in the Saunders Room of the Saratoga Senior Center at 19655 Allendale Avenue. SARATOGA REGULAR CITY COUNCIL MEETING Mayor Hunter called the meeting to order at 7:03 pm and invited Boy Scout Troop 581 to lead the Pledge of Allegiance. ROLL CALL PRESENT Mayor Jill Hunter, Vice Mayor Emily Lo, Council Members Howard Miller, Manny Cappello, Chuck Page ABSENT: None ALSO PRESENT: Dave Anderson, City Manager Richard Taylor, City Attorney Crystal Bothelio, City Clerk John Cherbone, Public Works Director Mary Furey, Finance and Administrative Services Director James Lindsay, Community Development Director Michael Taylor, Recreation and Facilities Director Adam Henig, Recreation Supervisor Michael Fossati, Planner Mainini Cabute, Administrative Analyst 11 REPORT OF CITY CLERK ON POSTING OF AGENDA City Clerk Crystal Bothelio reported that pursuant to Gov't. Code 54954.2, the agenda for this meeting was properly posted on June 14, 2013. COMMUNICATIONS FROM COMMISSIONS & PUBLIC Oral Communications on Non- Aundized Items Trish Cypher spoke about Plan Bay Area and encouraged the Council to place discussion on Plan Bay Area on a future agenda. She also complimented the City Council for placing the resolution in support of Federal Drug Administration regulation of menthol cigarettes and flavored tobacco products. Jeff Schwartz spoke about decorum and Council behavior at City Council Meetings. 15 Oral Communications - Council Direction to Staff None Communications from Boards and Commissions Mayor Hunter provided an overview on the Joint Meeting with the Saratoga Neighborhood and Homeowners' Associations. Council Direction to Staff None ANNOUNCEMENTS Council Member Miller shared information about recreation programs, including a variety of summer camps, available through the City of Saratoga and encouraged residents to check the Saratoga Recreation Guide for additional information. He also announced Saratoga at the Movies, an outdoor summer movie series held by the City and Parks and Recreation Commission. The first movie will be shown on June 21, 2013 at El Quito Park. Mayor Hunter shared that the Saratoga History Museum will be holding a reception on June 23, 2013 from 1:00 p.m. to 3:00 p.m. on the exhibit on "Betty and Willys Peck: The Heart of Saratoga." The event is open to the public. Additionally, the Sidewalk Affair will be held in the Village on June 22, 2013. CEREMONIAL ITEMS Commendation for Michael Wayne Bitner Recommended action: Read and present commendation for Michael Wayne Bitner. Mayor Hunter read and presented the proclamation to Michael Wayne Bitner. SPECIAL PRESENTATIONS 2. Affordable Housing Impact Fee Presentation Recommended action: Receive presentation Community Development Director James Lindsay made the presentation on affordable housing impact fees to the City Council. Council Member Page indicated that he would like staff to roughly estimate what the outcome of an affordable housing impact fee would be in Saratoga. Council Member Miller added that he would also like staff to return with estimates on the outcome of an affordable housing impact fee, including a long -term estimate of 10 -years and accounting for future housing growth potential. 2 16 City Manager Dave Anderson confirmed that staff could prepare estimates and return to Council in the fall. CONSENT CALENDAR City Council Meeting Minutes Recommended action: Approve City Council minutes for the Special and Regular City Council Meeting on June 5, 2013. PAGE /LO MOVED TO APPROVE CITY COUNCIL MINUTES FOR THE SPECIAL AND REGULAR CITY COUNCIL MEETING ON JUNE 5, 2013. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 4. Review of Accounts Payable Check Registers Recommended action: Review and accept check registers for the following accounts payable payment cycles: 6/4/2013 6/11/2013 PAGE /LO MOVED TO ACCEPT CHECK REGISTERS FOR THE FOLLOWING ACCOUNTS PAYABLE PAYMENT CYCLES: 6/4/2013 AND 6/11/2013. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 5. Orchard Well Pump Replacement — Fiscal Year 2012/13 Budget Adjustment Recommended action: Approve Resolution adjusting Fiscal Year 2012/13 budget to fund replacement of Orchard well pump. RESOLUTION NO. 13 -040 PAGE /LO MOVED TO APPROVE RESOLUTION ADJUSTING FISCAL YEAR 2012/13 BUDGET TO FUND REPLACEMENT OF ORCHARD WELL PUMP. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 6. New AFIS /Cal -ID MOU Reflecting Move of AFIS /Cal -ID Fingerprint Identification System from the City of San Jose to the County Recommended action: Approve the attached Memorandum of Understanding reflecting the transition of the AFIS /Cal -ID Program from the City of San Jose to the County of Santa Clara and authorize the City Manager to execute the agreement. PAGE /LO MOVED TO APPROVE THE ATTACHED MEMORANDUM OF UNDERSTANDING REFLECTING THE TRANSITION OF THE AFIS /CAL- ID PROGRAM FROM THE CITY OF SAN JOSE TO THE COUNTY OF SANTA CLARA AND AUTHORIZE THE CITY MANAGER TO EXECUTE THE AGREEMENT. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 17 7. Memorandum of Agreement — Recycling and Waste Reduction Technical Advisory Committee Recommended action: Approve the attached resolution and authorize the City Manager to execute the Memorandum of Agreement creating the Santa Clara County Recycling and Waste Reduction Technical Advisory Committee. RESOLUTION NO. 13 -041 PAGE /LO MOVED TO APPROVE THE ATTACHED RESOLUTION AND AUTHORIZE THE CITY MANAGER TO EXECUTE THE MEMORANDUM OF AGREEMENT CREATING THE SANTA CLARA COUNTY RECYCLING AND WASTE REDUCTION TECHNICAL ADVISORY COMMITTEE. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 8. Civic Theater / Council Chambers Master Plan Award of Contract Recommended action: Move to award a contract to Anderson - Brule' Architects, Inc. for a Civic Theater / Council Chambers Master Plan in the amount not to exceed $60,000 and authorize the City Manager to execute the contract. Mayor Hunter removed this item from the Consent Calendar to indicate that she would not be voting in favor of this item. Recreation and Facilities Director Michael Taylor addressed Council questions on the item. Mayor Hunter invited public comment. No one requested to speak. PAGE /CAPPELLO MOVED TO AWARD A CONTRACT TO ANDERSON - BRULE' ARCHITECTS, INC. FOR A CIVIC THEATER / COUNCIL CHAMBERS MASTER PLAN IN THE AMOUNT NOT TO EXCEED $60,000 AND AUTHORIZE THE CITY MANAGER TO EXECUTE THE CONTRACT. MOTION PASSED. AYES: LO, MILLER, CAPPELLO, PAGE. NOES: HUNTER. ABSENT: NONE. ABSTAIN: NONE. 9. Adoption of an Ordinance Applying R -1- 40,000 Zoning to an Adjusted One Acre Parcel Located at 14001 Chester Avenue and Applying AP /OS Overlay Zoning to the Entire Site Recommended action: Waive the second reading and adopt the proposed ordinance. ORDINANCE NO. 306 PAGE /LO MOVED TO WAIVE THE SECOND READING AND ADOPT THE PROPOSED ORDINANCE. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. in 10. Resolution in Support of Food and Drug Administration (FDA) Regulation of Menthol in Cigarettes and Flavoring in Other Tobacco Products Recommended action: Approve the attached resolution in support of FDA regulation of menthol in cigarettes and flavoring in other tobacco products. Council Member Miller requested that this item be removed from the Consent Calendar. Mayor Hunter invited public comment on the item. Vy Hoang with the Tobacco Free Coalition spoke in support of the resolution. Patsy Cortez with the Tobacco Free Coalition spoke in support of the resolution. PAGE /MILLER MOVED TO APPROVE THE ATTACHED RESOLUTION IN SUPPORT OF FDA REGULATION OF MENTHOL IN CIGARETTES AND FLAVORING IN OTHER TOBACCO PRODUCTS. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 11. League of California Cities Annual Conference Designated Voter Recommended action: Designate Council Member Chuck Page as the voting delegate and City Manager Dave Anderson as the City of Saratoga voting delegate alternate at the 2013 League of California Cities Annual Conference. PAGE /LO MOVED TO DESIGNATE COUNCIL MEMBER CHUCK PAGE AS THE VOTING DELEGATE AND CITY MANAGER DAVE ANDERSON AS THE CITY OF SARATOGA VOTING DELEGATE ALTERNATE AT THE 2013 LEAGUE OF CALIFORNIA CITIES ANNUAL CONFERENCE. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 12. Agreement with the Saratoga Chamber of Commerce Recommended action: Approve the agreement. PAGE /LO MOVED TO APPROVE THE AGREEMENT. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. PUBLIC HEARINGS 13. Appeal of the Planning Commission's Denial of a Proposed Two -Story Building with Medical Offices and Day Care Uses at 12250 Saratoga - Sunnyvale Road Recommended action: Conduct a public hearing and adopt a resolution upholding or denying the appeal. Community Development Planner Michael Fossati presented the staff report on the item. 5 19 Planning Commission Chair Joyce Hlava addressed the Council and provided an overview of the Planning Commission's decision to deny the proposed two -story building. Mayor Hunter invited Yorke Lee, the applicant and appellant, to provide his opening remarks. Les Meu, architect with George Meu Associates, spoke on Yorke Lee's behalf. Yorke Lee spoke and concluded opening remarks on his proposed project and appeal of the Planning Commission decision. Council Member Cappello asked Steve Hough, the traffic engineer hired by Yorke Lee, to provide additional information about the analysis that he performed. Steve Hough, traffic consultant with MPH Traffic Consulting, addressed the City Council. Katy Cole with Fehr and Peers, the City of Saratoga's traffic consultant, spoke about the peer review of the traffic study conducted by Steve Hough. Mayor Hunter invited public comments on the item. The following people requested to speak: Marcia Fariss spoke in favor of denying the appeal. Trish Cypher spoke in favor of denying the appeal. Jeff Walker spoke in favor of denying the appeal. Planning Commission Vice Chair Mary Lynne Bernald spoke about the Planning Commission's decision on the project and urged the Council to send the project back to the Planning Commission if the Council upholds the appeal. Jeff Schwartz spoke in favor of denying the appeal. Gay Pang spoke in favor of denying the appeal and shared a traffic impact analysis that he prepared based on the proposed project. Jim Foley of Restore Saratoga spoke in favor of denying the appeal. Ben Nygaard spoke in favor of denying the appeal. Stan Bogosian spoke in favor of denying the appeal. Peg Towns spoke in favor of denying the appeal. Joe Marvin spoke in favor of denying the appeal. Awinash Sinha spoke in favor of denying the appeal. m 20 Li Sun spoke in favor of upholding the appeal. Jack Mallory spoke in favor of denying the appeal. Larry West spoke in favor of denying the appeal. Planning Commission Tina Walia spoke about the Planning Commissions decision and encouraged the City Council to send the project back to the Planning Commission for further review and analysis if the appeal is upheld. Council Member Miller asked Gay Pang to return to the podium to answer questions from the Council. Gay Pang addressed the Council and provided additional information about the methodology for his traffic analysis. Council Member Cappello requested additional information from Steve Hough. Steve Hough addressed the Council. Council Member Miller invited Katy Cole to the podium and asked additional questions about peer review standards. Katy Cole addressed the Council. Community Development Director James Lindsay also addressed the Council to answer questions about the proposed project and appeal. City Attorney Richard Taylor responded to Council questions on the appeal process. Mayor Hunter invited the appellant and applicant to make closing remarks. Yorke Lee made his closing remarks. Mayor Hunter closed the public hearing. PAGE /MILLER MOVED TO CONTINUE THE PUBLIC HEARING TO THE REGULAR MEETING ON AUGUST 21, 2013 AND HOLD A JOINT STUDY SESSION WITH THE PLANNING COMMISSION PRIOR TO THE AUGUST 21 MEETING TO REVIEW THE PROPOSED DAY CARE USE AND APPARENT BULK AND HEIGHT ISSUES WITH THE BUILDING DESIGN. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. At this time, the City Council took a short break. 14. Resolution Ordering Abatement of a Public Nuisance by Removal of Hazardous Vegetation (Brush) Recommended action: 1. Open public hearing, listen to public testimony, and close public hearing; and 2. Adopt resolution overruling objections and ordering hazardous vegetation abatement (brush). 7 21 City Clerk Crystal Bothelio presented the staff report on the item. Senior Deputy Fire Marshall Ryan Rucker with the Santa Clara County Fire Department addressed Council questions regarding the brush abatement program. Mayor Hunter invited public comment on the item. No one requested to speak. RESOLUTION NO. 13 -044 PAGE /LO MOVED TO OPEN THE PUBLIC HEARING, LISTEN TO PUBLIC TESTIMONY, AND CLOSE PUBLIC HEARING; AND ADOPT RESOLUTION OVERRULING OBJECTIONS AND ORDERING HAZARDOUS VEGETATION ABATEMENT (BRUSH). MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 15. Landscaping & Lighting Assessment District LLA -1 - Public Hearing for Proposition 218 Protest Election for the Annexation a New Zone (Hill Avenue) and Confirmation of Assessments for FY 13 -14 Recommended action: Move to adopt the Resolution Ordering the Improvements and Confirming the Diagram and Assessments for FY 13 -14. Public Works Director John Cherbone presented the staff report on the item. Mayor Hunter invited public comment on the item. The following person spoke: Ben Nygaard No one else requested to speak. RESOLUTION NO. 13 -045 CAPPELLO /PAGE MOVED TO ADOPT THE RESOLUTION ORDERING THE IMPROVEMENTS AND CONFIRMING THE DIAGRAM AND ASSESSMENTS FOR FY 13 -14. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. OLD BUSINESS None N. 22 NEW BUSINESS 16. Heritage Tree Inventory Recommended action: Adopt a resolution establishing the City's Heritage Tree Inventory. Cynthia McCormick, Planner in the Community Development Department, presented the staff report. Heritage Preservation Commissioner Paula Cappello spoke about the Heritage Tree Inventory. Mayor Hunter invited public comment on the item. No one requested to speak. RESOLUTION NO. 13 -046 PAGE /MILLER MOVED TO ADOPT A RESOLUTION ESTABLISHING THE CITY'S HERITAGE TREE INVENTORY. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. 17. Summer 2013 Issue of The Saratogan Recommended action: Accept report and direct staff accordingly. Administrative Analyst II Mainini Cabute presented the staff report. Council Member Page suggested an article on long -term waste reduction efforts instead of the long -term trash plan. He also suggested that the next issue include articles on issues that were discussed during the Joint Meeting with Saratoga Neighborhood and Homeowners Associations, such as wildlife in Saratoga. Council Member Lo suggested that the newsletter include safety tips on traffic, thefts on campus, or other school related matters for the start of the school year in the late summer and early fall. Council Member Page suggested using a service like Constant Contact to distribute the newsletter electronically. Mayor Hunter suggested an article on former Mayor Don Wolf, who recently passed away. Council Members Page and Cappello also supported this idea. Council Members Miller and Page recommended removing the article on summer recreation classes. Mayor Hunter invited public comment on the item. E 23 No one requested to speak. ADHOC & AGENCY ASSIGNMENT REPORTS Mayor Jill Hunter Mayor Hunter shared she attended a dinner with Santa Clara County Supervisor Joe Simitian and that he will be at the Farmers Market on Saturday to speak with constituents. KSAR Community Access TV Board — the Board recently met and is working on a number of interesting things. Vice Mayor Emily Lo Hakone Foundation Board — the Board had a reception to welcome delegates from the sister garden from Nigata, which is northwest of Tokyo. The Saratoga Sister City delegation plans to visit the sister garden as part of the next trip to Muko, Japan. Council Member Howard Miller Council Finance Committee — the City recently received and evaluated proposals for audit services and has narrowed the selection down to 3 firms. Approval of an agreement for audit services is scheduled for the next City Council meeting. Valley Transportation Authority PAC — at the last meeting, CalTrain funding issues in San Mateo County were discussed. Additionally, it was announced that the 237 Express Lane project received the California Transit Award of the Year. Plan Bay Area was also discussed. West Valley Solid Waste Management Joint Powers Authority — the Board is currently in negotiations for executive director services and plans to approve an agreement at the next regular meeting. Council Member Manny Cappello Chamber of Commerce — 3 members of the Chamber's Youth Council attended the last meeting. The Chamber hopes to establish several projects that the Youth Council can work on to become more integrated into the business community. The Youth Council recently assisted with the May wine stroll. Council Member Cappello also shared that annual car show will be held on July 21, 2013. Saratoga Chamber of Commerce Contract Review Ad Hoc — Council Member Cappello suggested removing the Ad Hoc from the list of Council assignments now that the contract with the Chamber has been approved. Mayor Hunter concurred. Council Member Chuck Page Santa Clara County Cities Association — during the last meeting there were several interesting discussion topics, including potential changes to membership dues. West Valley Sanitation District — Council Member Page shared information about a property that was connected to the West Valley Sanitation District without paying service or connection fees and how the matter was resolved. He also provided an update on the San Jose -Santa Clara Regional Wastewater Treatment Plant Advisory Committee. CITY COUNCIL ITEMS Council Member Page requested that discussion on Council meeting decorum be scheduled for a future City Council meeting. Council Member Miller supported the request. 10 24 CITY MANAGER'S REPORT City Manager Dave Anderson shared that he met with the General Manager of the West Valley Sanitation District. During the meeting, the two discussed the San Jose -Santa Clara Regional Wastewater Treatment Plant. He also provided an update on the Santa Clara County City Manager's Association, which discussed development of a new Operational Area Council for emergency services. City Manager Dave Anderson also shared that he met with representatives of other West Valley cities and the Santa Clara County Fire Chief on development of a work plan for emergency services. Mayor Hunter asked the other members of the Council when they would be available for a joint study session with the Planning Commission on the design guidelines. The Council agreed to meet on September 9, 2013. ADJOURNMENT PAGE /MILLER MOVED TO ADJOURN THE MEETING AT 12:43 A.M. MOTION PASSED. AYES: HUNTER, LO, MILLER, CAPPELLO, PAGE. NOES: NONE. ABSENT: NONE. ABSTAIN: NONE. Minutes respectfully submitted: Crystal Bothelio, City Clerk 11 25 SARATOGA CITY COUNCIL MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: Finance & Administrative Services CITY MANAGER: Dave Anderson PREPARED BY: Gina Fitch DEPT. DIRECTOR: Mary Furey SUBJECT: Review of Accounts Payable Check Registers RECOMMENDED ACTION: Review and accept check registers for the following accounts payable payment cycles: 6/18/2013 6/25/2013 REPORT SUMMARY: Attached are Check Registers for: Type of Checks Date Starting Check # Ending Check # Total Checks Amount Checks Released Prior Check Register Date Ending Check # Accounts Payable 6/18/13 123066 123128 63 593,998.71 06/18/13 6/11/13 123065 Accounts Payable 6/25/13 123129 123184 56 113,914.32 06/25/13 6/18/13 123128 Accounts Payable checks issued for $20,000 or greater: Date Check # Issued to Fund Dept. Purpose Amount 06/18/13 123074 City of San jose General PS Animal Control 29,438.62 06/18/13 123079 Duran & Venables, Inc. CIP Gas Tax Fund PW Highway 9 38,900.00 06/18/13 123081 Ekim Painting CIP Facility Project Facilities Library Painting /Civic Ctr 20,650.00 06/18/13 123103 SCC Office of the Sheriff General PS Law Enforcement 341,375.87 06/18/13 123117 1 Tennyson Electric, Inc. ICIP Streets Project IPW I Cox Ave Ped Crossing 86,595.94 Accounts Payable checks voided during this time period: AP Date Check # Issued to Reason Status Amount 02/27/13 122214 Cal Pers Retirement Payment Cancelled VOID 586.36 06/11/13 123006 Argonaut School /Mary Evans Modify name on check VOID /REISSUE 300.00 26 Cash reductions by fund: Fund # Fund Description 06/18/13 06/25/13 Total 111 General Fund 404,964.02 37,038.44 442,002.46 231 Village Lighting - 232 Azule Lighting - 233 Sarahills Lighting - 241 Arroyo de Saratoga Landscape 63.49 63.49 242 Bonnet Way Landscape 1,721.20 1,721.20 243 Carnelian Glen - 244 Cunningham/Glasgow Landscape 170.91 170.91 245 Fredericksburg Landscape 36.46 36.46 246 Greenbriar Landscape 351.67 351.67 247 Kerwin Ranch Landscape - 248 Leutar Court Landscape 60.47 60.47 249 Manor Drive Landscape - 251 McCartysville Landscape 361.94 361.94 252 Prides Crossing Landscape 262.57 262.57 253 Saratoga Legends Landscape - 254 Sunland Park Landscape - 255 Tricia Woods Landscape 49.62 49.62 271 Beauchamps Landscape - 272 Bellgrove Landscape 3,521.72 795.00 4,316.72 273 Gateway Landscape 582.13 2,585.00 3,167.13 274 Horseshoe Landscape /Lighting - 275 Quito Lighting 60.47 60.47 276 Tollgate LLD - 277 Village Commercial Landscape 16.14 16.14 278 Brookglen L &L - 311 Library GO Bond Debt Service - 411 CIP Street Projects 92,192.06 20,513.84 112,705.90 412 CIP Park & Trail Projects 6,244.36 11,870.00 18,114.36 413 CIP Facility Projects 20,650.00 8.67 20,658.67 414 CIP Admin Projects 1,414.50 1,414.50 421 Tree Fund 3,560.00 3,560.00 431 Grant Fund - CIP Streets 2,025.00 2,025.00 432 Grant Fund - Parks & Trails - 433 Grant Fund - Facilities - 434 Grant Fund - Admin Projects 13,020.18 13,020.18 481 Gas Tax Fund 46,245.86 1 3,599.05 49,844.91 611 Liability /Risk Mgt 4,233.60 4,233.60 612 Workers' Comp 200.00 200.00 621 Office Support 636.02 636.02 622 IT Services 2,217.08 1,885.25 4,102.33 623 Vehicle & Equipment Maint 215.11 1 4,286.55 4,501.66 624 Building Maintenance 1,492.23 2,755.37 4,247.60 631 Vehicle & Equipment Replacement - 632 IT Equipment Replacement 2,516.74 13,490.31 16,007.05 TOTAL 593,998.71 113,914.32 - 707,913.03 FOLLOW UP ACTION: N/A ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and included in the packet made available on the City's website in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Check Registers in the 'A /P Checks By Period and Year' report format 27 SUNGARD PUBLIC SECTOR PAGE NUMBER: 1 DATE: 06/18/2013 CITY OF SARATOGA ACCTPA21 TIME: 11:47:30 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130618 00:00:00.000' ACCOUNTING PERIOD: 12/13 - - - -- VENDOR - - -- --- - - - - -- FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT -- - - - - -- 11111 123066 06/18/13 1125 11111 123066 06/18/13 1125 TOTAL CHECK 6246202 BOOK -GO -ROUND ALARM 11111 123067 06/18/13 234 11111 123067 06/18/13 234 11111 123067 06/18/13 234 11111 123067 06/18/13 234 11111 123067 06/18/13 234 11111 123067 06/18/13 234 11111 123067 06/18/13 234 11111 123067 06/18/13 234 11111 123067 06/18/13 234 TOTAL CHECK CREDIT - RETURNED PART CDW GOVERNMENT 11111 123068 06/18/13 27 11111 123068 06/18/13 27 TOTAL CHECK 0.00 11111 123069 06/18/13 521 11111 123069 06/18/13 521 TOTAL CHECK 0.00 11111 123070 06/18/13 977 11111 123071 06/18/13 197 11111 123072 06/18/13 130 11111 123072 06/18/13 130 11111 123072 06/18/13 130 TOTAL CHECK 0.00 11111 123073 06/18/13 935 11111 123074 06/18/13 517 11111 123075 06/18/13 909 11111 123076 06/18/13 320 11111 123077 06/18/13 211 11111 123078 06/18/13 552 11111 123079 06/18/13 355 11111 123080 06/18/13 366 11111 123081 06/18/13 378 11111 123081 06/18/13 378 TOTAL CHECK - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT ----- DESCRIPTION - - - -- 888 MONKEYS LLC 1116101 INSTRUCTOR - CIRCUS 888 MONKEYS LLC 1116101 INSTRUCTOR - CIRCUS • T & T 1117102 EMER LN RECREATION • T & T 1117102 EMERG IN VM MAILBOX • T & T 6246202 BOOK -GO -ROUND ALARM • T & T 1117102 EMERG IN CM OFC • T & T 6246202 POSTAGE MACH CPY RM • T & T 1117102 AM 1610 RADIO SARA LN • T & T 1115301 GATEWAY IRRIG CNTRL • T & T 1115301 PHONES, LINES & PARKS • T & T 1115301 CONGRESS SPRINGS PRK ABAG PLAN CORPORATION 6118499 CLAIM #071151 ABAG PLAN CORPORATION 6118499 CLAIM #071151 ALLIED LOCK & SAFE INC 6246202 FACILITIES SUPPLIES ALLIED LOCK & SAFE INC 6246202 FACILITIES SUPPLIES AQUA SYSTEMS INC. 6246202 JANITORIAL SUPPLIES ARROWHEAD MOUNTAIN SPRIN 6246202 DRINKING WATER SRVC CDW GOVERNMENT 6223201 CREDIT - RETURNED PART CDW GOVERNMENT 6223201 IT PARTS AND SUPPLIES CDW GOVERNMENT 6223201 IT PARTS CHRISP COMPANY 4119111 -001 CITY OF SAN JOSE 1117101 COMPUCOM SYSTEMS INC 6323202 CYGANY INC 1115301 DEEP CLIFF GOLF COURSE 1116101 DEPARTMENT OF JUSTICE 1113301 DURAN & VENABLES, INC. 4819111 -001 ECONOMIC DRIVING SCHOOL 1116101 EKIM PAINTING - NORTH, I 4139321 -012 EKIM PAINTING - NORTH, I 4139372 -001 0 *ij RET RELEASE ST PROJ ANIMAL SVC MAY & JUNE WINDOWS SRVR LIC PARKS SUPPLIES INSTRUCTOR -GOLF MAY FINGERPRINT APPS FARWELL @ HWY 9 ROADWA INSTRUCTOR - DRIVING CITY HALL WAINSCOT LIB EXTERIOR PAINT SALES TAX AMOUNT 0.00 1,344.60 0.00 178.80 0.00 1,523.40 0.00 14.67 0.00 63.22 0.00 30.56 0.00 15.93 0.00 14.67 0.00 15.98 0.00 15.62 0.00 16.45 0.00 31.62 0.00 218.72 0.00 2,348.80 0.00 1,884.80 0.00 4,233.60 0.00 26.48 0.00 73.81 0.00 100.29 0.00 351.84 0.00 105.57 0.00 -35.77 0.00 469.69 0.00 70.69 0.00 504.61 0.00 307.00 0.00 29,438.62 0.00 2,216.00 0.00 1,325.00 0.00 636.48 0.00 32.00 0.00 38,900.00 0.00 360.00 0.00 2,750.00 0.00 17,900.00 0.00 20,650.00 SUNGARD PUBLIC SECTOR DATE: 06/18/2013 CITY OF SARATOGA TIME: 11:47:30 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130618 00:00:00.000' ACCOUNTING PERIOD: 12/13 PAGE NUMBER: 2 ACCTPA21 - - - -- VENDOR - - -- --- - - - - -- FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT -- - - - - -- 11111 123082 06/18/13 421 11111 123083 06/18/13 423 11111 123083 06/18/13 423 TOTAL CHECK 4119111 -001 11111 123084 06/18/13 987 11111 123085 06/18/13 454 11111 123086 06/18/13 742 11111 123086 06/18/13 742 11111 123086 06/18/13 742 11111 123086 06/18/13 742 11111 123086 06/18/13 742 TOTAL CHECK 360.00 11111 123087 06/18/13 1138 11111 123088 06/18/13 500 11111 123089 06/18/13 488 11111 123089 06/18/13 488 TOTAL CHECK 0.00 480.00 11111 123090 06/18/13 832 11111 123091 06/18/13 14 11111 123092 06/18/13 956 11111 123092 06/18/13 956 TOTAL CHECK PROF SRVCS THRU 5/31 0.00 11111 123093 06/18/13 63 11111 123093 06/18/13 63 11111 123093 06/18/13 63 11111 123093 06/18/13 63 TOTAL CHECK PARKS SUPPLIES 11111 123094 06/18/13 525 11111 123094 06/18/13 525 TOTAL CHECK HP DIRECT 6323202 11111 123095 06/18/13 118 11111 123095 06/18/13 118 11111 123095 06/18/13 118 11111 123095 06/18/13 118 TOTAL CHECK INDEPENDENT STATIONERS 11111 123096 06/18/13 151 11111 123097 06/18/13 929 PAGE NUMBER: 2 ACCTPA21 - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT - - - -- DESCRIPTION - - - - -- SALES TAX AMOUNT EWING IRRIGATION 1115301 IRRIGATION SUPPLIES 0.00 144.31 FEHR & PEERS 1115101 CITY TRAFFIC ENGINEERI 0.00 3,565.53 FEHR & PEERS 4119111 -001 CITY TRAFFIC ENGINEERI 0.00 485.94 0.00 4,051.47 FJM TRUCK AND TRAILER CE 6235202 AUTO PARTS 0.00 33.41 GACHINA LANDSCAPE MANAGE 1115301 CLEAN UP -EL QUITO 0.00 675.00 GIULIANI & KULL, INC 111 SUB 12 -0002 DEP 0.00 360.00 GIULIANI & KULL, INC 111 SUB 11 -0002 DEP 0.00 60.00 GIULIANI & KULL, INC 111 LLA 12 -0002 DEP 0.00 480.00 GIULIANI & KULL, INC 111 LLA 12 -0003 DEP 0.00 480.00 GIULIANI & KULL, INC 111 MAP 13 -0002 DEP 0.00 360.00 0.00 1,740.00 HARRIS & ASSOCIATES, INC 4819111 -001 PROF SRVCS THRU 5/31 0.00 5,950.00 HOLLY BOLLER 1116101 CAMP REFUND 0.00 20.00 HOME DEPOT CREDIT SERVIC 1115201 STREETS SUPPLIES 0.00 118.56 HOME DEPOT CREDIT SERVIC 1115301 PARKS SUPPLIES 0.00 6.06 0.00 124.62 HP DIRECT 6323202 HP EQUIPMENT 0.00 300.74 HYDROTEC IRRIGATION EQUI 1115301 LIBRARY MASTER VALVE 0.00 73.00 INDEPENDENT STATIONERS 1113101 OFFICE SUPPLIES 0.00 295.31 INDEPENDENT STATIONERS 1113101 OFFICE SUPPLIES 0.00 281.39 0.00 576.70 INTERSTATE TRAFFIC CONTR 4119111 -002 STREETS SUPPLIES 0.00 217.50 INTERSTATE TRAFFIC CONTR 4119111 -002 STREETS SUPPLIES 0.00 2,338.13 INTERSTATE TRAFFIC CONTR 4119111 -002 STREETS SUPPLIES 0.00 1,631.25 INTERSTATE TRAFFIC CONTR 1115301 PARKS SUPPLIES 0.00 117.45 0.00 4,304.33 JAMELLO, NANCY 1116101 INSTRUCTOR -YOGA 0.00 415.00 JAMELLO, NANCY 1116101 INSTRUCTOR -YOGA 0.00 371.25 0.00 786.25 JUST FOR KICKS 1116101 INSTRUCTOR - SOCCER 0.00 90.75 JUST FOR KICKS 1116101 INSTRUCTOR - SOCCER 0.00 126.00 JUST FOR KICKS 1116101 INSTRUCTOR - SOCCER 0.00 346.50 JUST FOR KICKS 1116101 INSTRUCTOR - SOCCER 0.00 126.00 0.00 689.25 KOEHLER, PETER 1116101 INSTRUCTOR - MATH &ART 0.00 698.10 KOPPEL & GRUBER PUBLIC F 1115101 LLA ANNUAL ADMIN SRVC 0.00 1,888.70 29 SUNGARD PUBLIC SECTOR DATE: 06/18/2013 CITY OF SARATOGA TIME: 11:47:30 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130618 00:00:00.000' ACCOUNTING PERIOD: 12/13 PAGE NUMBER: 3 ACCTPA21 11111 123113 06/18/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 207.00 30 FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT -------- - - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT - - - -- DESCRIPTION - - - - -- SALES TAX AMOUNT 11111 123098 06/18/13 624 LABOR CONSULTANTS OF CA 4119122 -001 HWY 9 PHASE II -LABOR 0.00 225.00 11111 123098 06/18/13 624 LABOR CONSULTANTS OF CA 4319122 -001 HWY 9 PHASE II -LABOR 0.00 2,025.00 TOTAL CHECK 0.00 2,250.00 11111 123099 06/18/13 263 MAINTENANCE SUPERINTENDE 1115201 2013/14 MEMBER TORRES 0.00 60.00 11111 123100 06/18/13 263 MAINTENANCE SUPERINTENDE 1115201 2013/14 MEMBER JESUS 0.00 60.00 11111 123101 06/18/13 263 MAINTENANCE SUPERINTENDE 1115201 2013/14 MEMBER SERGIO 0.00 60.00 11111 123102 06/18/13 831 MUSSON THEATRICAL, INC 6246202 FACILITIES SUPPLIES 0.00 22.84 11111 123103 06/18/13 1 OFF OF SHERIFF - FISCAL SV 1117101 LAW ENFORCEMENT 6/13 0.00 341,375.87 11111 123104 06/18/13 60 ONTRAC 1112101 DELIVERY CHARGES 0.00 16.05 11111 123104 06/18/13 60 ONTRAC 1115101 DELIVERY CHARGES 0.00 34.76 TOTAL CHECK 0.00 50.81 11111 123105 06/18/13 540 ORCHARD SUPPLY 6246202 FACILITIES SUPPLIES 0.00 212.47 11111 123106 06/18/13 1063 PETERSON TRACTOR CO 6235202 SMALL TOOLS & EQUIP 0.00 181.70 11111 123107 06/18/13 500 PRATIMA KEJRIWAL 111 REFUND FACILITY 0.00 500.00 11111 123108 06/18/13 393 REED & GRAHAM, INC 4819111 -001 STREETS SUPPLIES 0.00 184.10 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 1115301 MEDIANS /PARKWAYS 0.00 1,149.61 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2455302 FREDERICKSBURG 0.00 36.46 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2465302 GREENBRIAR 0.00 351.67 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2515302 MCCARTYSVILLE 0.00 361.94 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2555302 TRICIA WOODS 22.5°% 0.00 49.62 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2415302 ARROYO DE SARATOGA 0.00 63.49 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2485302 LEUTAR CT 0.00 60.47 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2425302 BONNET WAY 0.00 1,721.20 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2525302 PRIDES CROSSING 0.00 262.57 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2725302 BELLGROVE 0.00 3,521.72 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2445302 CUNNINGHAM /GLAS 77.5°% 0.00 170.91 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2735302 GATEWAY PROJECT 0.00 582.13 11111 123109 06/18/13 87 SAN JOSE WATER COMPANY 2755302 EL QUITO LANDSCAPE 0.00 60.47 TOTAL CHECK 0.00 8,392.26 11111 123110 06/18/13 500 SANTA CLARA COUNTY LIBRA 1115301 LIBRARY WATER REIMB 0.00 1,511.47 11111 123111 06/18/13 1 SANTA CLARA COUNTY VECTO 1118101 12/13 VECTOR CONTROL 0.00 267.52 11111 123112 06/18/13 1104 SARA DEAN 1116101 INSTRUCTOR -U JAM 0.00 64.80 11111 123112 06/18/13 1104 SARA DEAN 1116101 INSTRUCTOR -U JAM 0.00 7.20 11111 123112 06/18/13 1104 SARA DEAN 1116101 INSTRUCTOR -U JAM 0.00 162.00 TOTAL CHECK 0.00 234.00 11111 123113 06/18/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 207.00 30 SUNGARD PUBLIC SECTOR PAGE NUMBER: 4 DATE: 06/18/2013 CITY OF SARATOGA ACCTPA21 TIME: 11:47:30 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130618 00:00:00.000' ACCOUNTING PERIOD: 12/13 FUND - 009 - DISBURSEMENT FUND y X97/ CK�lliitil .la[�l'��[�ibY.Y�la■�]li 11111 123113 TOTAL CHECK 11111 123114 11111 123115 11111 123115 TOTAL CHECK 11111 123116 11111 123117 11111 123117 TOTAL CHECK 11111 123118 11111 123119 11111 123120 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 11111 123125 06/18/13 729 06/18/13 500 06/18/13 236 06/18/13 236 06/18/13 826 06/18/13 1097 06/18/13 1097 06/18/13 1143 06/18/13 336 06/18/13 377 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 06/18/13 391 ---- - - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT SARATOGA SCHOOL OF DANCE 1116101 SILVIA RAMIREZ 111 SOLECTRIC ELECTRICAL 1115301 SOLECTRIC ELECTRICAL 1115301 STEFAN BAUMANN 1116101 TENNYSON ELECTRIC, INC. 411 TENNYSON ELECTRIC, INC. 4119121 -001 THE PLANNING CENTER 4129281 -002 TLC ADMINISTRATORS 1113301 UNITED SITE SERVICES 4129211 -004 US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD 1111201 1114201 1111201 1111201 4119142 -004 1111201 1115201 1115201 1116201 1116101 1115201 1115201 1115201 1115201 1115201 4819111 -001 1115201 1115201 6246202 1117102 6246202 6246202 6246202 6246202 6246202 6246202 6246202 1113301 1113301 4119142 -004 1115101 31 ----- DESCRIPTION - -- INSTRUCTOR -DANCE REFUND FACILITY BLANEY PLAZA REPAIR CONGRESS SPRINGS RPR INSTRUCTOR - PAINTING RETENTION HELD PO #108 COX AVENUE PEDESTRIAN QUARRY PARK MASTER PLA 125 ADMIN FEES 6/13 TEMPORARY RESTROOM PC STUDY SESSION PUBLIC STORAGE PC STUDY SESSION PC STUDY SESSION VILLAGE FLOWERS TRAFFIC SAFETY MTG PARKING FEE CONFERENCE LODGING EMPLOYEE RECOGNITION BAY AREA CAMP FAIR SMALL TOOLS SMALL TOOLS CONFERENCE LODGING CONFERENCE LODGING PAINTING SUPPLIES OFFICE FURNITURE SEMA SHOW REG STREETS SUPPLIES FACILITIES SUPPLIES EMERGENCY KIT RETURN FACILITIES SUPPLIES FACILITIES SUPPLIES FACILITIES SUPPLIES FACILITIES SUPPLIES FACILITIES SUPPLIES FACILITIES SUPPLIES FACILITIES SUPPLIES RECRUIT & SELECT.COM ORAL BOARD EXPENSES FLOWERS FOR VILLAGE OFFICE SUPPLIES SALES TAX AMOUNT 0.00 34.50 0.00 241.50 0.00 300.00 0.00 272.65 0.00 275.26 0.00 547.91 0.00 2,021.30 0.00 - 10,388.43 0.00 96,984.37 0.00 86,595.94 0.00 6,063.95 0.00 175.00 0.00 180.41 0.00 147.79 0.00 105.00 0.00 115.88 0.00 7.38 0.00 239.13 0.00 23.87 0.00 13.75 0.00 95.16 0.00 35.88 0.00 300.00 0.00 31.53 0.00 141.21 0.00 190.32 0.00 190.32 0.00 51.90 0.00 967.88 0.00 25.00 0.00 14.10 0.00 60.82 0.00 - 282.18 0.00 133.41 0.00 20.77 0.00 21.60 0.00 36.67 0.00 20.40 0.00 84.70 0.00 108.67 0.00 274.99 0.00 70.25 0.00 152.17 0.00 21.74 SUNGARD PUBLIC SECTOR PAGE NUMBER DATE: 06/18/2013 CITY OF SARATOGA ACCTPA21 TIME: 11:47:30 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130618 00:00:00.000' ACCOUNTING PERIOD: 12/13 FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT -------- - - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT - - - -- DESCRIPTION - - - - -- SALES TAX AMOUNT 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1115102 OFFICE SUPPLIES 0.00 171.78 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1114201 POSTAGE 0.00 6.11 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6246202 OFFICE SUPPLIES 0.00 56.82 11111 123125 06/18/13 391 US BANK PURCHASING CARD 4819111 -001 TRAFFIC CNTRL MANUAL 0.00 243.88 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1115301 POSTAGE 0.00 10.72 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 NETWORK CABLES 0.00 15.70 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 DESKTOP LOCKING KIT 0.00 34.87 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 AC ADAPTOR 0.00 10.90 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 USB CHARGER & CABLE 0.00 27.23 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 USB CHARGER RETURN 0.00 -10.89 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 USB CHARGER & CABLE 0.00 6.53 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 BARRACUDA LIC & RNWL 0.00 699.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 COMPUTER MEMORY 0.00 265.12 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1118101 COMPUTER HARDWARE 0.00 1,091.48 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1118101 COMPUTER HARDWARE CR 0.00 -54.36 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1118101 COMPUTER HARDWARE 0.00 76.12 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 ON -LINE BACK UPS 0.00 119.45 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 VGA PROJECTOR ADAPTOR 0.00 32.69 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 PHOTO EDIT SOFTWARE 0.00 299.99 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 COMPUTER REMOTE SFTWR 0.00 145.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1118101 COMPUTER HARDWARE 0.00 1,113.22 11111 123125 06/18/13 391 US BANK PURCHASING CARD 6223201 ADDITIONAL HARDDRIVE 0.00 7.26 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 SASCC MEMBERSHIP 0.00 45.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 PLUG & PAY PROC FEE 0.00 15.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 PLUG & PAY PROC FEE 0.00 15.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116201 VGA ADAPTOR 0.00 31.54 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 COUNCIL MEETING 0.00 17.50 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1112101 MEETING 0.00 49.50 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1113301 STAFF TRAINING 0.00 49.53 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1112101 CONFERENCE TRAVEL 0.00 75.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1112101 CONFERENCE LODGING 0.00 363.96 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 COUNCIL MEETING 0.00 303.57 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 COUNCIL MEETING 0.00 18.13 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111201 COM RECOG DINNER 0.00 318.60 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111201 COM RECOG DINNER 0.00 87.49 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1112101 MEETING 0.00 36.59 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1112101 LEAGUE OF CITIES CONF 0.00 475.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 LEAGUE OF CITIES CONF 0.00 475.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 COUNCIL MEETING 0.00 15.99 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 COUNCIL MEETING 0.00 452.02 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 COUNCIL MEETING 0.00 96.50 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111201 COM RECOG DINNER 0.00 230.00 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1117102 EMERG MANAGER'S ASSOC 0.00 129.12 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1118302 ARBOR DAY EVENT 0.00 20.77 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1111101 QUARRY MASTER PLAN 0.00 20.85 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1118302 POSTER SCAN COM EVENT 0.00 30.37 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1118302 QUARRY WALK COM EVENT 0.00 32.84 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 OPEN HOUSE PRIZE 0.00 4.69 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 PET PARADE TREATS 0.00 5.58 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 OPEN HSE REFRESHMENTS 0.00 36.27 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 OPEN HOUSE SUPPLIES 0.00 39.24 11111 123125 06/18/13 391 US BANK PURCHASING CARD 1116101 FANDANGO TRIP (LUNCH) 0.00 690.89 32 SUNGARD PUBLIC SECTOR PAGE NUMBER: 6 DATE: 06/18/2013 CITY OF SARATOGA ACCTPA21 TIME: 11:47:30 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130618 00:00:00.000' ACCOUNTING PERIOD: 12/13 FUND - 009 - DISBURSEMENT FUND y X97/ CK�lliitil .la[�l'��[�ibY.Y�la■�]li 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 11111 123125 06/18/13 391 TOTAL CHECK 0.00 36.88 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 11111 123126 06/18/13 395 TOTAL CHECK 11111 123127 06/18/13 402 11111 123127 06/18/13 402 11111 123127 06/18/13 402 11111 123127 06/18/13 402 TOTAL CHECK 11111 123128 06/18/13 500 TOTAL CASH ACCOUNT TOTAL FUND TOTAL REPORT VENDOR BUDGET UNIT US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD US BANK PURCHASING CARD 1116101 1116101 1116101 6128501 1116101 1115301 1115301 1115301 1115301 1115301 1115301 1115301 1115301 1115301 1115301 1111201 DESCRIPTION FANDANGO LUNCH- CREDIT EMAIL CAMPAIGN OFFICE SUPPLIES OPEN HOUSE GIFT CARDS OPEN HS REFRESHMENTS FLOWER BASKETS - DWNTWN FLOWER BASKETS - DWNTWN HANGING BASKETS -DWNTN KIOSK KEYS USA ARBORIST QUIZ ISA ARBORIST RNWL /MBR HANGING BASKETS POTTING SOIL S BAY MATERIALS /ROCKS CABINET PC STUDY SESSION VERIZON WIRELESS 1112101 CITY MANAGER VERIZON WIRELESS 1112201 CITY CLERK VERIZON WIRELESS 1113101 FINANCE VERIZON WIRELESS 6223201 IT SERVICES VERIZON WIRELESS 1114201 BUILDING & INSPECTION VERIZON WIRELESS 1114101 DEVELOPMENT SRVCS VERIZON WIRELESS 1115201 STREETS VERIZON WIRELESS 1115301 PARKS VERIZON WIRELESS 1115101 GENERAL ENG VERIZON WIRELESS 6246202 BUILDING MAINTENANCE VISTA LANDSCAPE & MAINTE 4219211 -002 GARDINER PARK PLANTS VISTA LANDSCAPE & MAINTE 1115301 RESEED CIVIC CENTER VISTA LANDSCAPE & MAINTE 1115301 CARNELIAN GLEN TRAIL VISTA LANDSCAPE & MAINTE 1115301 POISON OAK REMOVAL YASHODA NAG 111 REFUND FACILITY 33 SALES TAX AMOUNT 0.00 - 690.89 0.00 0.00 95.00 593,998.71 0.00 19.00 0.00 200.00 0.00 47.29 0.00 190.26 0.00 152.21 0.00 161.92 0.00 8.14 0.00 12.95 0.00 270.00 0.00 214.65 0.00 74.46 0.00 131.08 0.00 135.94 0.00 7.48 0.00 12,999.76 0.00 0.17 0.00 4.61 0.00 51.73 0.00 59.62 0.00 36.88 0.00 36.88 0.00 119.36 0.00 139.80 0.00 36.71 0.00 110.13 0.00 595.89 0.00 3,560.00 0.00 960.00 0.00 700.00 0.00 235.00 0.00 5,455.00 0.00 500.00 0.00 593,998.71 0.00 593,998.71 0.00 593,998.71 SUNGARD PUBLIC SECTOR PAGE NUMBER: 1 DATE: 06/25/2013 CITY OF SARATOGA ACCTPA21 TIME: 11:08:10 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130625 00:00:00.000' ACCOUNTING PERIOD: 12/13 FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT - - - - -- 11111 123129 06/25/13 234 11111 123129 06/25/13 234 11111 123129 06/25/13 234 11111 123129 06/25/13 234 11111 123129 06/25/13 234 11111 123129 06/25/13 234 TOTAL CHECK OFFICE SUPPLIES ACCENT GRAPHICS 11111 123130 06/25/13 546 11111 123131 06/25/13 35 11111 123131 06/25/13 35 TOTAL CHECK 0.00 240.00 11111 123132 06/25/13 1132 11111 123133 06/25/13 303 11111 123134 06/25/13 348 11111 123135 06/25/13 179 11111 123136 06/25/13 214 11111 123136 06/25/13 214 11111 123136 06/25/13 214 11111 123136 06/25/13 214 11111 123136 06/25/13 214 11111 123136 06/25/13 214 11111 123136 06/25/13 214 11111 123136 06/25/13 214 TOTAL CHECK 159.12 11111 123137 06/25/13 980 11111 123137 06/25/13 980 TOTAL CHECK 1,528.02 11111 123138 06/25/13 229 11111 123139 06/25/13 930 11111 123140 06/25/13 250 11111 123141 06/25/13 211 11111 123141 06/25/13 211 11111 123141 06/25/13 211 11111 123141 06/25/13 211 11111 123141 06/25/13 211 TOTAL CHECK 11111 123142 06/25/13 620 11111 123143 06/25/13 421 - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT ----- DESCRIPTION - - - -- A T & T 6246202 SUPERTRUNK • T & T 6246202 PROSPECT FIRE ALARM • T & T 1115301 EL QUITO IRR MODEM • T & T 1115301 TITUS /PROSPECT MEDIAN • T & T 1115301 HISTORICAL PARK • T & T 2775302 BIG BASIN WAY ABAG POWER PURCHASING PO 6246202 GAS SERVICE ACCENT GRAPHICS 6246202 OFFICE SUPPLIES ACCENT GRAPHICS 1111201 OFFICE SUPPLIES AIR -SEA CONTAINERS, INC. 1116201 BAY AREA FLOOR MACHINE C 6246202 BLAZE CONE CO 4819111 -001 CIM AIR, INC 6246202 CITY OF SARATOGA -PETTY C 1111101 CITY OF SARATOGA -PETTY C 1112101 CITY OF SARATOGA -PETTY C 1113101 CITY OF SARATOGA -PETTY C 1113101 CITY OF SARATOGA -PETTY C 1113301 CITY OF SARATOGA -PETTY C 1114101 CITY OF SARATOGA -PETTY C 1115101 CITY OF SARATOGA -PETTY C 1113101 CITY OF SARATOGA -PETTY C 1116101 CITY OF SARATOGA -PETTY C 4139322 -001 COAST OIL COMPANY LLC 6235202 COLE SUPPLY COMPANY, INC 1115301 COTTON SHIRES AND ASSOCI 4349451 -001 DEEP CLIFF GOLF COURSE 1116101 DEEP CLIFF GOLF COURSE 1116101 DEEP CLIFF GOLF COURSE 1116101 DEEP CLIFF GOLF COURSE 1116101 DEEP CLIFF GOLF COURSE 1116101 DRAKE WELDING INC 4819111 -001 EWING IRRIGATION 1115301 !K! STORAGE RENTAL JANTORIAL SUPPLIES STREETS SUPPLIES HVAC REPAIRS PETTY CASH - POSTAGE PETTY CASH -MTG EXP PETTY CASH -FIN TRAVEL PETTY CASH -FIN MTG PETTY CASH - POSTAGE PETTY CASH -DEV REVIEW PETTY CASH -GEN ENG PETTY CASH - POSTAGE CAMP SUPPLIES THEATRE LIGHTS UNLEADED FUEL RESTROOM SUPPLIES PROF SRVCS THRU 6/16 INSTRUCTOR -GOLF INSTRUCTOR -GOLF INSTRUCTOR -GOLF INSTRUCTOR -GOLF INSTRUCTOR -GOLF PROSPECT - ADAPTER PLTS IRRIGATION SUPPLIES SALES TAX AMOUNT 0.00 420.73 0.00 30.58 0.00 15.93 0.00 16.14 0.00 16.14 0.00 16.14 0.00 515.66 0.00 749.48 0.00 26.97 0.00 62.31 0.00 89.28 0.00 106.75 0.00 390.37 0.00 636.38 0.00 240.00 0.00 4.29 0.00 42.50 0.00 6.00 0.00 25.77 0.00 2.98 0.00 18.00 0.00 106.78 0.00 51.90 0.00 258.22 0.00 96.46 0.00 8.67 0.00 105.13 0.00 3,314.15 0.00 697.23 0.00 13,020.18 0.00 302.64 0.00 159.12 0.00 108.42 0.00 162.24 0.00 795.60 0.00 1,528.02 0.00 538.46 0.00 101.54 SUNGARD PUBLIC SECTOR DATE: 06/25/2013 CITY OF SARATOGA TIME: 11:08:10 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130625 00:00:00.000' ACCOUNTING PERIOD: 12/13 PAGE NUMBER: 2 ACCTPA21 11111 123161 06/25/13 1062 NI GOVERNMENT SERVICES, 1117102 AIR TIME 5/13 0.00 79.57 35 FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT -------- - - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT - - - -- DESCRIPTION - - - - -- SALES TAX AMOUNT 11111 123144 06/25/13 423 FEHR & PEERS 1115101 CITY TRAFFIC ENGINEERI 0.00 4,579.55 11111 123144 06/25/13 423 FEHR & PEERS 4119111 -001 CITY TRAFFIC ENGINEERI 0.00 749.95 TOTAL CHECK 0.00 5,329.50 11111 123145 06/25/13 454 GACHINA LANDSCAPE MANAGE 4819111 -001 JUNE MAINT - ALOHA 0.00 390.00 11111 123146 06/25/13 455 GARDENLAND POWER EQUIPME 1115201 STREETS SUPPLIES 0.00 161.26 11111 123147 06/25/13 456 GARROD FARMS STABLES 1116101 INSTRUCTOR -HORSE CAMP 0.00 2,420.00 11111 123148 06/25/13 463 GRAINGER 1117102 EMERGENCY SUPPLIES 0.00 219.21 11111 123149 06/25/13 648 HEALTH EDUCATION SERVICE 6246202 FACILITIES SUPPLIES 0.00 137.24 11111 123150 06/25/13 520 FUN FUN FUNDAMENTALS 1116101 INSTRUCTOR - SPORTS CMP 0.00 804.00 11111 123151 06/25/13 832 HP DIRECT 6323202 IT EQUIPMENT 0.00 3,372.71 11111 123152 06/25/13 491 HUMAN BEHAVIOR ASSOCIATE 1113301 EAP SERVICES 5/13 0.00 95.00 11111 123153 06/25/13 14 HYDROTEC IRRIGATION EQUI 4119133 -001 FRUITVALE AVE MED IRR 0.00 9,624.89 11111 123153 06/25/13 14 HYDROTEC IRRIGATION EQUI 1115301 WILDWOOD- VALVE #2 0.00 96.18 11111 123153 06/25/13 14 HYDROTEC IRRIGATION EQUI 1115301 REPAIR BACKFLOW 0.00 182.29 11111 123153 06/25/13 14 HYDROTEC IRRIGATION EQUI 4119133 -001 FRUITVALE AVE MEDIAN I 0.00 6,465.88 TOTAL CHECK 0.00 16,369.24 11111 123154 06/25/13 19 IAN GEDDES TREE CARE, IN 1115301 LIFT OAK - CREEKSIDE 0.00 295.00 11111 123154 06/25/13 19 IAN GEDDES TREE CARE, IN 2725302 PRUNE OAKS- BELGROVE 0.00 795.00 11111 123154 06/25/13 19 IAN GEDDES TREE CARE, IN 2735302 PRUNE TREES - GATEWAY 0.00 2,300.00 11111 123154 06/25/13 19 IAN GEDDES TREE CARE, IN 2735302 THIN OAKS - GATEWAY 0.00 285.00 TOTAL CHECK 0.00 3,675.00 11111 123155 06/25/13 24 ICE CENTER OF CUPERTINO 1116101 INSTRUCTOR -ICE SKATE 0.00 500.00 11111 123156 06/25/13 63 INTERSTATE TRAFFIC CONTR 4119121 -001 STREETS SUPPLIES 0.00 291.45 11111 123156 06/25/13 63 INTERSTATE TRAFFIC CONTR 4119111 -002 STREETS SUPPLIES 0.00 2,046.42 TOTAL CHECK 0.00 2,337.87 11111 123157 06/25/13 944 LEAGUE OF CA CITIES -PENI 1111101 LEAGUE -CA CITIES MTG 0.00 96.00 11111 123158 06/25/13 1145 LUNDMARK CONSTRUCTION 4129211 -004 CSP & WWP RESTROOM 0.00 11,870.00 11111 123159 06/25/13 500 MARY EVANS 111 RPLC CHK #123006 0.00 300.00 11111 123160 06/25/13 83 MUSICAL ME, INC 1116101 INSTRUCTOR -MUSIC 0.00 292.05 11111 123160 06/25/13 83 MUSICAL ME, INC 1116101 INSTRUCTOR -MUSIC 0.00 217.88 11111 123160 06/25/13 83 MUSICAL ME, INC 1116101 INSTRUCTOR -MUSIC 0.00 167.91 11111 123160 06/25/13 83 MUSICAL ME, INC 1116101 INSTRUCTOR -MUSIC 0.00 302.40 TOTAL CHECK 0.00 980.24 11111 123161 06/25/13 1062 NI GOVERNMENT SERVICES, 1117102 AIR TIME 5/13 0.00 79.57 35 SUNGARD PUBLIC SECTOR DATE: 06/25/2013 CITY OF SARATOGA TIME: 11:08:10 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130625 00:00:00.000' ACCOUNTING PERIOD: 12/13 PAGE NUMBER: 3 ACCTPA21 FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT -------- - - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT - - - -- DESCRIPTION - - - - -- SALES TAX AMOUNT 11111 123162 06/25/13 135 NORTH BAY BLDG MAINTENAN 6246202 JANITORIAL SERVICES 0.00 209.00 11111 123162 06/25/13 135 NORTH BAY BLDG MAINTENAN 6246202 JANITORIAL SERVICES 0.00 551.00 TOTAL CHECK 0.00 760.00 11111 123163 06/25/13 912 NORTHERN UNDERGROUND CON 4819111 -001 SINK HOLE REPAIR 0.00 1,453.92 11111 123164 06/25/13 145 OFFICE DEPOT INC. 1113101 OFFICE SUPPLIES 0.00 156.56 11111 123164 06/25/13 145 OFFICE DEPOT INC. 1113101 CR FOR OFC SUPPLIES 0.00 - 108.75 11111 123164 06/25/13 145 OFFICE DEPOT INC. 1118101 OFFICE SUPPLIES 0.00 51.60 11111 123164 06/25/13 145 OFFICE DEPOT INC. 1115101 OFFICE SUPPLIES 0.00 10.74 11111 123164 06/25/13 145 OFFICE DEPOT INC. 6223201 OFFICE SUPPLIES 0.00 29.00 TOTAL CHECK 0.00 139.15 11111 123165 06/25/13 1092 PALACE ART & OFFICE SUPP 6213102 COPY PAPER 0.00 636.02 11111 123166 06/25/13 890 PEELLE TECHNOLOGIES, INC 4149412 -001 LASERFICHE SVCS -PW 0.00 1,130.39 11111 123166 06/25/13 890 PEELLE TECHNOLOGIES, INC 4149412 -003 LASERFICHE SVCS -CLERK 0.00 284.11 TOTAL CHECK 0.00 1,414.50 11111 123167 06/25/13 210 PENINSULA YOUTH THEATER 1116101 INSTRUCTOR - THEATRE 0.00 877.50 11111 123168 06/25/13 278 PETROTEK 6235202 4/13 FUEL TESTING 0.00 200.00 11111 123168 06/25/13 278 PETROTEK 6235202 JUNE 2013 FUEL TESTIN 0.00 200.00 11111 123168 06/25/13 278 PETROTEK 6235202 EQUIPMENT MAINTENANCE 0.00 572.40 TOTAL CHECK 0.00 972.40 11111 123169 06/25/13 393 REED & GRAHAM, INC 4819111 -001 STREETS SUPPLIES 0.00 278.36 11111 123169 06/25/13 393 REED & GRAHAM, INC 4819111 -001 STREETS SUPPLIES 0.00 171.77 11111 123169 06/25/13 393 REED & GRAHAM, INC 4819111 -001 STREETS SUPPLIES 0.00 130.16 TOTAL CHECK 0.00 580.29 11111 123170 06/25/13 500 RENEE LIU 1116101 REFUND -CLS CANCELLED 0.00 258.00 11111 123171 06/25/13 87 SAN JOSE WATER COMPANY 1115301 PARKS /OPEN SPACE 0.00 359.19 11111 123172 06/25/13 109 SARATOGA FOOTHILL CLUB 1118302 COM EVNT- MEMORIAL DAY 0.00 750.00 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 95.91 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 191.82 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 767.28 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 287.73 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 287.73 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 47.61 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 191.82 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 191.82 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 95.91 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 287.73 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 60.72 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 177.00 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 164.22 11111 123174 06/25/13 729 SARATOGA SCHOOL OF DANCE 1116101 INSTRUCTOR -DANCE 0.00 82.11 36 SUNGARD PUBLIC SECTOR PAGE NUMBER: 4 DATE: 06/25/2013 CITY OF SARATOGA ACCTPA21 TIME: 11:08:10 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130625 00:00:00.000' ACCOUNTING PERIOD: 12/13 FUND - 009 - DISBURSEMENT FUND y X97/ CK�lliitil .la[�l'��[�ibY.Y�la■�]li 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 11111 123174 06/25/13 729 TOTAL CHECK VISTA LANDSCAPE & MAINTE 1115301 11111 123175 06/25/13 1079 11111 123175 06/25/13 1079 TOTAL CHECK VISTA LANDSCAPE & MAINTE 1115301 11111 123176 06/25/13 162 11111 123176 06/25/13 162 11111 123176 06/25/13 162 11111 123176 06/25/13 162 11111 123176 06/25/13 162 11111 123176 06/25/13 162 11111 123176 06/25/13 162 11111 123176 06/25/13 162 11111 123176 06/25/13 162 TOTAL CHECK 11111 123177 06/25/13 884 11111 123178 06/25/13 313 11111 123179 06/25/13 1116 11111 123180 06/25/13 396 11111 123181 06/25/13 398 11111 123182 06/25/13 402 11111 123182 06/25/13 402 11111 123182 06/25/13 402 11111 123182 06/25/13 402 11111 123182 06/25/13 402 11111 123182 06/25/13 402 TOTAL CHECK 11111 123183 06/25/13 1129 11111 123183 06/25/13 1129 TOTAL CHECK 11111 123184 06/25/13 696 11111 123184 06/25/13 696 11111 123184 06/25/13 696 VENDOR BUDGET UNIT SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SARATOGA SCHOOL OF DANCE 1116101 SIEMENS INDUSTRY, INC. 1115201 SIEMENS INDUSTRY, INC. 4119111 -001 DESCRIPTION INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE INSTRUCTOR -DANCE TRAFFIC SIGNALS & LGT TRAFFIC SIGNALS & LGT SILICON VALLEY COMM NEWS 1114101 LEGAL LINER 4846018 SILICON VALLEY COMM NEWS 1112201 LEGAL LINER 4850123 SILICON VALLEY COMM NEWS 1112201 LEGAL LINER 4862043 SILICON VALLEY COMM NEWS 1112201 LEGAL LINER 4862061 SILICON VALLEY COMM NEWS 1114101 LEGAL LINER 4864785 SILICON VALLEY COMM NEWS 1114101 LEGAL LINER 4847621 SILICON VALLEY COMM NEWS 1114101 LEGAL LINER 4847630 SILICON VALLEY COMM NEWS 1114101 LL4847630 CR NOT OURS SILICON VALLEY COMM NEWS 1114101 LL4847621 CR NOT OURS STAPLES CONTRACT & COMME 1112101 OFFICE SUPPLIES THE MERCURY NEWS 1118101 SRVC THRU 9/27/13 UNIVERSAL SITE SERVICES 1115301 WASH LIB FRONT WALK US POSTMASTERS 1116101 FALL 2013 GUIDE VERMONT SYSTEMS, INC 1116101 RECTRAC SUPPORT VISTA LANDSCAPE & MAINTE 1115301 REMOVE JUNIPER VISTA LANDSCAPE & MAINTE 1115301 DRIP IRRIGATION VISTA LANDSCAPE & MAINTE 1115301 QUITO PARK PLANTING VISTA LANDSCAPE & MAINTE 1115301 IRRIGATION RPR BONNET VISTA LANDSCAPE & MAINTE 1115301 LATERAL LN RPR -PARK VISTA LANDSCAPE & MAINTE 1115301 PLANT NATIVE GRASS WEST VALLEY GYMNASTICS S 1116101 INSTRUCTOR - GYMNASTICS WEST VALLEY GYMNASTICS S 1116101 INSTRUCTOR - GYMNASTICS ZAG TECHNICAL SERVICES, 6223201 IT SUPPORT SERVICES - ZAG TECHNICAL SERVICES, 6323202 HP CARE PACK HARDWARE ZAG TECHNICAL SERVICES, 6323202 HP PROLIANT DL380P GEN ,ti1A SALES TAX AMOUNT 0.00 95.91 0.00 0.00 191.82 4,404.00 0.00 95.91 0.00 959.10 0.00 383.64 0.00 95.91 0.00 479.55 0.00 287.73 0.00 574.77 0.00 75.21 0.00 6,168.96 0.00 1,425.00 0.00 1,335.25 0.00 2,760.25 0.00 176.70 0.00 261.33 0.00 88.02 0.00 303.78 0.00 151.26 0.00 62.31 0.00 32.55 0.00 -32.55 0.00 -62.31 0.00 981.09 0.00 295.78 0.00 32.83 0.00 475.00 0.00 3,500.00 0.00 4,404.00 0.00 550.00 0.00 257.00 0.00 926.00 0.00 1,095.00 0.00 107.50 0.00 280.00 0.00 3,215.50 0.00 319.20 0.00 159.20 0.00 478.40 0.00 1,856.25 0.00 659.84 0.00 9,457.76 SUNGARD PUBLIC SECTOR PAGE NUMBER: 5 DATE: 06/25/2013 CITY OF SARATOGA ACCTPA21 TIME: 11:08:10 CHECK REGISTER - DISBURSEMENT FUND SELECTION CRITERIA: transact.ck date= '20130625 00:00:00.000' ACCOUNTING PERIOD: 12/13 FUND - 009 - DISBURSEMENT FUND CASH ACCT CHECK NO ISSUE DT -------- - - - - -- VENDOR - - -- --- - - - - -- BUDGET UNIT ----- DESCRIPTION - -- TOTAL CHECK TOTAL CASH ACCOUNT TOTAL FUND TOTAL REPORT 0.11 SALES TAX AMOUNT 0.00 11,973.85 0.00 113,914.32 0.00 113,914.32 0.00 113,914.32 SARATOGA CITY COUNCIL MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: Finance & Administrative Services CITY MANAGER: Dave Anderson PREPARED BY: Ann Xu, Accountant DIRECTOR: Mary Furey SUBJECT: Treasurer's Report for the Month Ended May 31, 2013 RECOMMENDED ACTION Review and accept the Treasurer's Report for the month ended May 31, 2013. REPORT SUMMARY California government code section 41004 requires that the City Treasurer submit to the City Clerk and the legislative body a written report and accounting of all receipts, disbursements, and fund balances. The Municipal Code of the City of Saratoga, Article 2 -20, Section 2- 20.035 designates the City Manager as the City Treasurer. Section 41004. Regularly, at least once each month, the City Treasurer shall submit to the City Clerk a written report and accounting of all receipts, disbursements, and fund balances. He shall file a copy with the legislative body. The following attachments provide various financial transaction data for the City of Saratoga's Funds collectively as well as specifically for the City's General (Operating) Fund, including an attachment from the State Treasurer's Office of Quarterly LAIF rates from the 15` Quarter of 1977 to present. FISCAL IMPACT Cash and Investments Balance by Fund As of May 31, 2013, the City had $97,174 in cash deposit at Comerica bank, and $16,677,421 on deposit with LAIF. Council Policy on Working Capital Reserve Funds (formerly known as Operation Reserve), adopted on April 20, 1994, states that: for cash flow purposes, to avoid occurrence of dry period financing, pooled cash from all funds should not be allowed to fall below $2,000,000. The total pooled cash balance as of May 31, 2013 is $16,774,595 and exceeds the minimum limit required. Cash Summary Unrestricted Cash Comerica Bank $ 97,174 Deposit with LAIF $ 16,677,421 Total Unrestricted Cash $ 16,774,595 39 The following Fund Balance schedule represents actual funding available for all funds at the end of the monthly period. This amount differs from the above Cash Summary schedule as assets and liabilities are components of the fund balance. As illustrated in the summary below, Total Unrestricted Cash is adjusted by the addition of Total Assets less the amount of Total Liabilities to arrive at the Ending Fund Balance — which represents the actual amount of funds available. Adjusting Cash to Ending Fund Balance Total Unrestricted Cash $ 16,774,595 Plus: Assets 337,313 Less: Liabilities (1,332,029) Ending Fund Balance $ 15,779,879 Fund Balances Designations In February 2009, the Governmental Accounting Standards Board (GASB) issued Statement No. 54, Fund Balance Reporting and Governmental Fund Type Definitions. This standard left unchanged the total amount reported as fund balance, but substantially altered the categories and terminology used to describe its components. The new categories and terminology focus, not on financial resources available for appropriation, but on the extent to which the government is bound to honor constraints on the specific purpose for which the amounts in the fund can be spent. The components of fund balance are now categorized as follows: "non- spendable fund balance ", resources that are inherently non - spendable from the vantage point of the current period; "restricted fund balance ", resources that are subject to external enforceable legal restrictions; "committed fund balance ", resources whose use is constrained by limitations that the government imposes upon itself at its highest level of decision making and remain binding unless removed in the same manner; "assigned fund balance ", resources that reflects a government's intended use of resources, such intent would have to be established at either the highest level of decision making, by a body, or an official designated for that purpose; and "unassigned fund balance ", net resources in excess of what can properly be classified in one of the other four categories. Currently, the City's fund balance reserves fall into one of the four spendable categories; restricted, committed, assigned, or unassigned fund balance. CONSEQUENCES OF NOT FOLLOWING RECOMMENDED ACTION The City would not be in compliance with Government Code Section 41004. ALTERNATIVE ACTION N/A FOLLOW UP ACTION N/A ADVERTISING, NOTICING AND PUBLIC CONTACT Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. W ATTACHMENTS A — Change in Total Fund Balances by Fund under GASB 54 B — Change in Total Fund Balances by CIP Project C — Change in Cash Balance by Month D — Local Agency Investment Fund (LAIF) Quarterly Apportionment Rates 41 ATTACHMENT A CHANGES IN TOTAL FUND BALANCE UNDER GASB 54 42 Fund Increase/ Balance (Decrease) Current Current Fund Balance Fund Description 7/1/12 Jul - Mar Revenue Expenditure Transfers 5/31/13 General Fund Restricted Fund Balances: Environmental Services 513,182 - (50,000) 463,182 Committed Fund Balances: Hillside Stability 600,000 - (325,000) 275,000 Assigned Fund Balances: Capital Projects 1,923,658 - (759,500) 1,164,158 Carryforwards 247,201 - 247,201 Unassigned Fund Balances: Working Capital 2,914,426 - 2,914,426 Fiscal Uncertainty 1,500,000 - 1,500,000 Development Services 667,233 - 667,233 Uncollected Deposits 44,791 - - - - 44,791 OtherUnassi ned 518,631 2,237,782 926,351 1,164,283 56,000 2,574,481 General Fund Total 8,929,122 2,237,782 926,351 1,164,283 (1,078,500) 9,850,472 Special Revenue Landscape /Lighting Districts 562,504 (15,594) 891 28,739 - 519,062 Capital Project Street Projects 1,701,512 (318,171) 46,978 266,921 195,000 1,358,398 Park and Trail Projects 621,118 (122,689) - 14,698 580,000 1,063,732 Facility Projects 493,709 (541,498) 4,702 2,748 324,500 278,665 Administrative Projects 129,400 (21,946) - - 85,000 192,454 Tree Fund Projects 34,345 16,660 - 676 - 50,330 CIP Grant Street Projects 466,818 (445,578) 12,715 86,252 (52,297) CIP Grant Park & Trail Projects - (411,713) 243,756 59,546 (227,503) CIP Grant Facility Projects (2,500) - 14,760 (17,260) CIP Grant Administrative Projects - (86,057) - - (86,057) Gas TaxFund Projects 97,305 522,014 63,640 45,817 (106,000) 531,141 Debt Service Library Bond 862,414 (357,415) 5,019 - 510,019 Internal Service Fund Liability /Risk Management 134,757 115,333 - 6,716 243,373 Workers Compensation 231,966 69,283 - 3,250 297,999 Office Support Fund 11,220 21,861 1,372 4,201 30,253 Information Technology Services 256,701 89,808 - 32,961 313,548 Equipment Maintenance 23,031 23,832 - 20,949 25,914 Building Maintenance 200,926 134,248 358 62,142 - 273,390 Equipment Replacement 437,088 5,761 - 761 - 442,088 Technology Replacement 156,760 32,628 - 7,228 - 182,159 Total City 15,350,695 946,047 1,305,782 1,822,646 - 15,779,879 42 ATTACHMENT B FUND BALANCES BY CIP PROJECT 43 Fund Increase/ Fund Balance (Decrease) Current Current Balance CIP Funds/Pr ccts 7/1/12 Jul - Mar Revenue Expenditure Transfers 5/31/13 Street Projects Annual Street Resurfacing 295,612 (15,837) 46,978 161,249 - 165,504 Street Restriping & Signage 123,434 (28,398) - 8,011 - 87,025 Roadway Safety & Traffic Calming 149,755 (61,946) - 7,876 50,000 129,933 Solar Power Radar Feedback Signs 12,912 (10,360) - - - 2,551 Highway 9 Safety Project - Phase 11 (Ped Paths) 76,528 (20,779) - 9,264 - 46,485 Highway 9 Safety Project - Phase III (Bicycles) 24,562 (49) - - - 24,513 Highway 9 Safety Project - Phase IV 90,000 - - - - 90,000 Fmitvale Ave Medians 90,000 (690) - 37,613 - 51,697 Village LED Streetlights 5,482 - - - - 5,482 Annual Sidewalks Project 3,839 (20,599) - - 50'000 33,240 Annual Storm Drain Upgrades 13,148 (63,148) - - 50,000 - El Quito Area Curb Replacement 37,553 - - - - 37,553 Village - Streets cape Improvements 221,120 (67,608) - - - 153,513 Village -Phase II Design 27,236 (13,873) - - - 13,363 Village -Phase II Construction 224,300 (2,949) - - - 221,351 Fourth Street Bridge 100,000 - - - - 100,000 Quito Road Bridge Replacement Design 107,287 (11,936) - 289 - 95,062 Parking District #3 Hillside - - - 42,620 45,000 2,380 Underground Project 98,744 98,744 Total Street Projects 1,701,512 (318,171) 46,978 266,921 195,000 1,358,398 Parks & Trails Projects Park/Trail Repairs 22,459 (2,267) - - - 20,192 Playground Safety Equipment 20,078 - - - - 20,078 Park Restroom Improvements 57,589 (4,646) - 831 - 52,112 Blaney Plaza Improvements 6,527 - - - - 6,527 Hakone Carden Matching Funds 250,000 - - - - 250,000 Hakone Carden Retaining Wall & D/W 137,379 (78,029) - 11,666 280,000 327,684 Hakone Garden Upper Moon House 125,000 - - - - 125,000 Ravenswood Playground Improvement 2,086 (2,086) - - - - Saratoga to Sea Quarry Master Plan (35,660) 2,200 300,000 262,140 Total Parks & Trails Projects 621,118 (122,689) - 14,698 580,000 1,063,732 Facility Projects Facility Projects 108,413 299 (12,571) - (75,901) 20,241 Security Locks - - - - 40,000 40,000 Electric Charging Stations 43,400 (47,287) - - 3,887 - City Hall Emergency Power Backup 43,232 (15,598) - - 60,000 87,635 City Hall Fanergency EVAC Plan Sign - (3,713) - - 4,820 1,108 City Hall Cool Roof Project - (39,148) - - 39,148 - CDD /Engineering - Carpet - (5,795) - - 5,795 - HVAC Unit #3 - (36,309) - - 36,309 - Planning Conference Room Door (4,465) - - 4,465 - Wainscoting Rehabilitation - - - 4,700 4,700 Theater Improvement 35,529 327 4,702 1,173 - 39,394 Civic Theater Master Plan - - - - 60,000 60,000 WITH Furniture & Equipment - (1,942) - - 4,855 2,914 IPCC Wood Floor Upgrade - (78,227) 12,571 844 66,500 - SeniorCenterFumitureandFinture - (1,135) - - 1,135 - Corp Yard Painting - (4,700) - - 4,700 - Saratoga Prospect Center Bldg & Site Improvements 113,452 (113,341) - - - 111 Historical Bldg Painting - (16,100) - - 16,100 - Book -Go -Round Bldg Paint - (4,500) - - 4,500 - BGRHVACImprovements - (35,067) - - 35,067 - MuseumElectricalUpgrade 12,468 (12,895) - - 427 - MuseumHVACUnitReplaee - (7,992) - - 7,992 - McWilliams House Improvements 4,435 - - 731 - 3,703 Library Building Exterior Maintenance Projects 13,870 5,000 - - - 18,870 Library Irnprovements 118,910 (118,910 Total Facility Projects 493,709 (541,498) 4,702 2,748 324,500 278,665 Administrative Projects Financial System Upgrade 3,534 - - - - 3,534 PW Document Imaging Project 73,607 (5,041) - - 68,566 CDD Document Imaging Project 22,121 - - - - 22,121 CMO Document Imaging Project 9,510 (1,698) - - 10,000 17,812 IT Emergency Power Backup - - - - - - Village Facade Program 20,628 (11,807) - - - 8,821 Business Development Incentive Program - (3,400) - - 25,000 21,600 Risk Management Project Funding 50,000 50,000 Total Administrative Projects 129,400 (21,946) - - 85,000 192,454 Tree Fund Projects Citywide Tree Planting Program 11,096 17,035 - 676 - 27,455 Tree Dedication Program 21,375 (250) - - - 21,125 SMSCF Tree Donation Pmgmm Program 1,875 125 1,750 Total Tree Fund Projects 34,345 16,660 676 - 50,330 CIP Grant Street Projects 466,818 (445,578) 12,715 86,252 - (52,297) CIP Grant Park & Trail Projects - (411,713) 243,756 59,546 - (227,503) CIP Grant Facility Projects - (2,500) - 14,760 - (17,260) CIP Grant Administrative Projects - (86,057) - - - (86,057) Gas Tax Fund Projects 97,305 522,014 63,640 45,817 (106,000) 531,141 Total CIP Funds 3,544,206 (1,411,479) 371,791 491,418 1,078,500 3,091,601 43 ATTACHMENT C CASH BALANCE BY MONTH Cash Balance $20,000,000 $15,000,000 $10,000,000 $5,000,000 $0 July -12 August -12 September -12 October -12 November -12 Decemher42 January -13 February -13 March -13 April43 May -13 m ATTACHMENT D Local Agency Investment Fund Quarterly Apportionment Rates 1977 March 5.68 June 5.78 Se pte b. r 5.84 December 6.45 1978 6.97 7.35 7.86 8.32 1979 8.81 9.10 9.26 10.06 1980 11.11 11.54 10.01 10.47 1981 11.23 11.68 12.40 11.91 1982 11.82 11.99 11.74 10.71 1983 9.87 9.64 10.04 10.18 1984 10.32 10.88 11.53 11.41 1985 10.32 9.98 9.54 9.43 1986 9.09 8.39 7.81 7.48 1987 7.24 7.21 7.54 7.97 1988 8.01 7.87 8.20 8.45 1989 8.76 9.13 8.87 8.68 1990 8.52 8.50 8.39 8.27 1991 7.97 7.38 7.00 6.52 1992 5.87 5.45 4.97 4.67 1993 4.64 4.51 4.44 4.36 1994 4.25 4.45 4.96 5.37 1995 5.76 5.98 5.89 5.76 1996 5.62 5.52 5.57 5.58 1997 5.56 5.63 5.68 5.71 1998 5.70 5.66 5.64 5.46 1999 5.19 5.08 5.21 5.49 2000 5.80 6.18 6.47 6.52 2001 6.16 5.32 4.47 3.52 2002 2.96 2.75 2.63 2.31 2003 1.98 1.77 1.63 1.56 2004 1.47 1.44 1.67 2.00 2005 2.38 2.85 3.18 3.63 2006 4.03 4.53 4.93 5.11 2007 5.17 5.23 5.24 4.96 2008 4.18 3.11 2.77 2.54 2009 1.91 1.51 0.90 0.60 2010 0.56 0.56 0.51 0.46 2011 0.51 0.48 0.38 0.38 2012 0.38 0.36 0.35 0.32 2013 0.28 45 Of Pam SARATOGA CITY COUNCIL 4 S't;V MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Debbie Bretschneider DIRECTOR: Deputy City Clerk SUBJECT: Resolution Authorizing Final Disposition of Certain City Records RECOMMENDED ACTION: Adopt resolution authorizing final disposition of certain city records. REPORT SUMMARY: In June 2009, the City Council approved a new Records Retention Schedule. In accordance with the schedule, staff and the City Attorney review archived documents to determine those that are nonessential and can, therefore, be shredded. In order to comply with State law, processing expired records for destruction is a multi -step process: 1. Staff in each department identifies records that have expired in accordance with the approved records retention schedule. Each box is looked through to make sure no permanent records are destroyed. 2. Department directors review and approve the list of records to be destroyed in their departments. 3. The City Clerk and City Attorney review and approve a combined list of all expired records. 4. The list of records is presented to the City Council along with a resolution authorizing the shredding of listed documents. Records may not be shredded without the authorization of the City Council. At this time, staff has identified 29 boxes of expired records and is requesting authorization from the Council to proceed with shredding the documents. FISCAL IMPACTS: Funding for shredding of records is included in the operating budget. CONSEQUENCES OF NOT FOLLOWING RECOMMENDED ACTION: Records will not be shredded. ALTERNATIVE ACTION: Remove specific records from destruction list and approve with changes. FOLLOW UP ACTION: The records will be held for seven days for review pursuant to the Public Records Act. If no request for review is submitted, they will be promptly destroyed. If a request for review is submitted, the records will be destroyed between 20 and 30 days after they have been made available for review. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's website in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Attachment 1 - Resolution Authorizing the Final Disposition of Certain City Records Attachment 2 - Exhibit A: List of Records Proposed for Final Disposition 47 RESOLUTION NO. 13- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA AUTHORIZING THE FINAL DISPOSITION OF CERTAIN CITY RECORDS WHEREAS, Government Code Section 34090 et seq. authorizes City department heads to destroy certain records, documents, instruments, books or paper after the same are no longer required with the approval of the legislative body by resolution and the written consent of the City Attorney. NOW, THEREFORE, the City Council of the City of Saratoga hereby resolves as follows: Department heads are hereby authorized to have shredded those certain records, documents, instruments, books or paper under their charge as described in Exhibit `A. 2. The records, documents, instruments, books or paper described in Exhibit `A shall be held for seven days for review pursuant to the Public Records Act prior to shredding. If no request for review is submitted within that time, they shall be promptly destroyed. If a request for review is submitted, the records shall be destroyed not less than twenty days and not more than thirty days after the records have been made available for review. The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of July, 2013 by the following vote: AYES: NOES: ABSENT: ABSTAIN: ATTEST: Crystal Bothelio, City Clerk CITY ATTORNEY CONSENT TO DESTRUCTION OF THE RECORDS, DOCUMENTS, INSTRUMENTS, BOOKS OR PAPER DESCRIBED IN EXHIBIT `A.: Richard Taylor City Attorney Jill Hunter, Mayor Disposal of Records 1 box Department Description Record series Retention date can be disposed 25C Finance Duplicates of Public Finance Authority records 1998- 2000, 2006 -2007 Reference Files, External Superseded + 2 12/31/2010 70D IFinance Duplicates of Budget Finance Binders Reference Files, Internal Superseded + 2 6/30/2013 13513-2 Finance ank tatement Bank Records Audit + 5 6/30/2013 135C -1 Finance ank tatement Bank Records Audit + 5 6/30/2013 143C Finance ate ann m t e rt and d t e rt Reference Files, Internal Superseded + 2 12/31/2012 143D Finance ate d et nan a nder Reference Files, Internal Superseded + 2 6/30/2013 145C Finance ate d et nan a nder Reference Files, Internal Superseded + 2 6/30/2013 575 Finance a endar ear a rd ate Payroll - Registers Audit + 5 6/30/2013 583 Finance nt e e a e a k d mentat n e rd ate Accounts Receivable Audit + 4 6/30/2013 597 Finance a e e t e e rd date Cash Receipts Audit + 4 6/30/2013 598 Finance a e e t an a rd date Cash Receipts Audit + 4 6/30/2013 599 Finance a re e t a ne a rd date Cash Receipts Audit + 4 6/30/2013 600 Finance a e e t e rd date Cash Receipts Audit + 4 6/30/2013 601 Finance a e e t e rd date Cash Receipts Audit + 4 6/30/2013 602 Finance a e e t e e rd date Cash Receipts Audit +4 6/30/2013 603 Finance a e e t Mar a rd date Cash Receipts Audit + 4 6/30/2013 604 Finance a e e t r e rd date Cash Receipts Audit + 4 6/30/2013 605 Finance a e e t Ma ne a rd date Cash Receipts Audit + 4 6/30/2013 606 Finance a e e t e t t e rded Cash Receipts Audit + 4 6/30/2013 607 Finance a e e t t e rd date Cash Receipts Audit + 4 6/30/2013 608 Finance a e e t ne ne and ark n tat n an ne a rd date Cash Receipts Audit + 4 6/30/2013 US] Disposal of Records 2 632 Finance enera e k n nt e n at n Account Reconciliation Audit + 5 6/30/2013 635 Finance enera e k n nt e n at n a r nt e n at n Account Reconciliation Audit + 5 6/30/2013 642 Finance r t at n t d and d t er a Bids and Proposals Terminated + 4 6/30/2013 112 -10 Recreation Facility Rentals 2005 -2006 Facility Rentals Current Year + 4 1/1/2011 113 -10 Recreation Budget working papers 1987 -2003 Reference Files, internal Superseded + 2 12/31/2006 116 -10 Recreation Teacher Payments 2006 Teacher Payments Current Year + 4 1/1/2011 118 -10 Recreation Daily Accounting records 2007 Accounts Receivable Audit + 4 12/31/2012 119 -10 Recreation Teacher Contracts, applications, W -9 forms 2000 -2007 Instructor Applications and Contracts Termination + 4 1 1/1/2012 .411 SARATOGA CITY COUNCIL MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: Administrative Services CITY MANAGER: Dave Anderson PREPARED BY: Mary Furey DIRECTOR: Mary Furey SUBJECT: Annual Approval of the City's Investment Policy RECOMMENDED ACTION Review and approve the Investment Policy for Fiscal Year 2013/14. REPORT SUMMARY Background California Government Code Section 53600 et seq., City of Saratoga Municipal Code Section 2- 20.035, and Section 16.0 of the City of Saratoga Investment Policy require the City Council to annually review and approve the City's Investment Policy. The Investment Policy lays the foundation for the City's investment management functions. It serves as a guide for setting and achieving investment objectives, defines rules and established benchmarks, prohibits and /or restricts investment instruments, and reduces the exposure to liability by both staff and City Council. Compliance with the investment policy is an element of fiscal discipline considered by the City's auditors and rating agencies during their respective reviews. The City's investment policy establishes a wide array of authorized and suitable investments in alignment with State government code; however the City's ongoing practice is to restrict investments to the Local Agency Investment Fund (LAIF). LAIF began in 1977 as an investment alternative for California's local governments and special districts to offer governmental agencies the opportunity to participate in a major portfolio which invests hundreds of millions of dollars annually, using the investment expertise of the State's Treasurer's Office investment staff at no cost to participating agencies. As LAlF is governed by conservative investment practices, earnings may provide slightly lower returns than actively managed bond investment portfolios during a healthy economy, however LAIF is a safe and proven investment strategy which has historically protected the City against investment losses during economic downturns, and continues to provide quarterly interest earnings in a well diversified and expertly managed portfolio. Under protection by state and federal laws, funds placed on deposit in LAIF are not subject to use by, borrowing of, or impoundment or seizure by any state official or state agency. The Treasurer's Office also maintains Investment Protection Standards that set principles for the investment banks and broker - dealers to protect investors. Discussion Last year, at the June 20, 2012 Council Meeting, the City Council approved the Investment Policy for FY 2012/13 in its current version. Staff recommends the currently adopted investment policy continue for 51 the 2013/14 fiscal year. The policy is modeled on the policy approved by the Association of Public Treasurers of the United States and Canada (APT US &C) in August 2002. FISCAL IMPACTS None. CONSEQUENCES OF NOT FOLLOWING RECOMMENDED ACTION The City would not be in compliance with State and Local regulations. ALTERNATIVE ACTION Direct Staff to make changes to the Investment Policy and return at the next meeting. FOLLOW UP ACTION N/A ADVERTISING, NOTICING AND PUBLIC CONTACT Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and included in the packet made available on the City's website in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS A: Investment Policy 52 City of Saratoga INVESTMENT POLICY FOR THE FISCAL YEAR 2012/13 Attachment A 1.0 Policy: It is the policy of the City of Saratoga to invest public funds in a manner which will provide the maximum security with the highest investment return, while meeting the daily cash flow demands of the City and conforming to all state and local statutes governing the investment of public funds. 2.0 Scope: This investment policy applies to all financial assets of the City of Saratoga. These funds are accounted for in the City of Saratoga's Comprehensive Annual Financial Report and include: 2.1 Funds: 2.1.1 2.1.2 2.1.3 2.1.4 2.1.5 2.1.6 General Fund Special Revenue Funds Capital Project Funds Debt Service Funds Trust and Agency Funds Any new fund, unless specifically exempted 2.2 Exceptions: The following financial assets are excluded: 2.2.1 Deferred Compensation Plans- Investments are directed by the individual plan participants. 2.2.2 Debt Service Funds Held by Trustees - Investments is placed in accordance with bond indenture provisions. 2.2.3 Notes and Loans - Investments are authorized by separate agreements approved by City Council. 3.0 Prudence: Investments shall be made with judgment and care - -under circumstances then prevailing - -which persons of prudence, discretion and intelligence exercise in the management of their own affairs, not for speculation, but for investments, considering the probable safety of their capital as well as the probable income to be derived. 3.1 The standard of prudence to be used by investment officials shall be the "prudent person" standard and shall be applied in the context of managing an overall portfolio. Investment officers acting in accordance with written procedures and this investment policy and exercising due diligence shall be relieved of personal responsibility for an individual security's credit risk or market price changes, provided deviations from expectations are reported in a timely fashion and appropriate action is taken to control adverse developments. 53 4.0 Objectives: The primary objectives, in priority order, of the City of Saratoga's investment activities shall be: 4.1 Safety: Safety of principal is the foremost objective of the investment program. Investments of the City of Saratoga shall be undertaken in a manner that seeks to ensure the preservation of capital in the overall portfolio. The objectives will be to mitigate credit risk and market risk. a. Credit risk, defined as the risk of loss due to failure of the issuer of a security, shall be mitigated by investing only in investment grade securities and by diversifying the investment portfolio so that potential losses on individual securities will have a minimal impact on the portfolio. b. Market risk, defined as market value fluctuations due to overall changes in the general level of interest rates, shall be mitigated by limiting the average maturity of the City's investment portfolio to two years and the maximum maturity of any one security to five years, and by structuring the portfolio based on cash flow analysis so as to avoid the need to sell securities prior to maturity. 4.2 Liquidity: The City of Saratoga's investment portfolio will remain sufficiently liquid to enable the City of Saratoga to meet all operating requirements, which might be reasonably anticipated. 4.3 Return on Investments: The City of Saratoga's investment portfolio shall be designed with the objective of attaining a rate of return throughout budgetary and economic cycles, commensurate with the City of Saratoga's investment risk constraints and the cash flow characteristics of the portfolio. 5.0 Delegation of Authority: Authority to manage the City of Saratoga's investment program is derived from the following: California Government Code Section 53600 et seq. and Saratoga Municipal Code Section 2- 20.035. Management responsibility for the investment program is hereby delegated to the City Manager who shall be responsible for supervising all treasury activities of the Administrative Services Director and who shall establish written procedures for the operation of the investment program consistent with this investment policy. Procedures should include reference to: safekeeping, delivery vs. payment, investment accounting, wire transfer agreements, banking service contracts and collateral /depository agreements. Such procedures shall include explicit delegations of authority to persons responsible for investment transactions. No person may engage in investment transactions except as provided under the terms of this policy and the procedures established by the City Manager. The City Manager shall be responsible for all transactions undertaken and shall establish a system of controls to regulate the activities of subordinate officials. 6.0 Ethics and Conflicts of Interest: Officers and employees involved in the investment process shall refrain from personal business activity that could conflict with proper execution of the investment program, or which could impair their ability to make impartial investment decisions. These officers and employees involved in the investment process shall disclose to the City Manager any material financial interests in financial institutions that conduct business with the City. - Employees and investment officials shall refrain from undertaking personal investment transactions with individuals with who business is conducted on behalf of the City of Saratoga 54 7.0 Authorized Financial Dealers and Institutions: The City Manager will maintain a list of financial institutions authorized to provide investment services to the City. In addition, a list will also be maintained of approved security broker /dealers selected by credit worthiness and who are authorized to provide investment services in the State of California. These may include "primary" dealers or regional dealers that qualify under Securities & Exchange Commission Rule 150-1 (uniform net capital rule). No public deposit shall be made except in a qualified public depository as established by state laws. All financial institutions and broker /dealers who desire to become qualified bidders for investment transactions must supply the City Manager with the following: personal interview, firm description and audited financial statements, proof of National Association of Securities Dealers (NASD) certification, proof of State of California registration, completed broker /dealer questionnaire and certification of having read the City of Saratoga's investment policy and applicable depository contracts. An annual review of the financial condition and registrations of qualified bidders will be conducted by the City Manager. A current audited financial statement is required to be on file for each financial institution and broker /dealer with which the City of Saratoga invests prior to any transaction. 8.0 Authorized and Suitable Investments: The City of Saratoga is empowered by Government Code Section 53601, and further limited by this investment policy, to invest in the following types of securities: 55 Term to Type Guarantee Limits Maturity LAIF State Fund $40,000,000 On Demand U.S. Treasury Bills U.S. Treasury No Limit 1 Year U.S. Treasury Notes U.S. Treasury No Limit 5 Years U.S. Govt. Agency Issues (e.g. FNMA, Federal No Limit 5 Years GNMA) Agencies Certificates of Deposit (California FDIC/FSLIC 20% portfolio per 3 Years Bank or Savings & Loan Companies) and Collateral institution; 30% total portfolio Negotiable Certificates of Deposit Issuing 20% portfolio per 5 Years Institution institution; 30% total portfolio Investment Grade Obligations of Public Entity 20% portfolio per 5 Years California, or Local Governments, or institution; 30% total Public Agencies portfolio Money Market Mutual Funds Fund 10% portfolio per On Demand institution; 20% total portfolio Passbook Savings Account and Issuing Bank Minimum necessary for On Demand Demand Deposit current cash flow 55 9.0 The City shall not engage in leveraged investing, such as margin accounts, or any form of borrowing for the purpose of investing. The City shall not invest in instruments whose principal and interest could be at risk contrary to Section 4.1 of this policy. Examples of these instruments are options and future contracts. The City shall not invest in "derivatives ". See Glossary for description of above securities. Collateralization: Collateralization will be required on certificates of deposit and other deposit -type securities. In order to anticipate market changes and provide a level of security for all funds, the collateralization level will be 110% of market value of principal and accrued interest, in accordance with California Government Code Section 53651 and 53652. The City of Saratoga chooses to limit collateral to those listed in Section 8.0. Collateral will always be held by an independent third party with whom the entity has a current custodial agreement. A clearly marked evidence of ownership (safekeeping receipt) must be supplied to the City of Saratoga and retained. The right of collateral substitution may be granted. 10.0 Safekeeping and Custody: All security transactions entered into by the City of Saratoga shall be conducted on a delivery - versus- payment (DVP) basis. Securities will be held by a third party custodian, in the City of Saratoga's name and control, designated by the City Manager and evidenced by safekeeping receipts. 11.0 Diversification: The City of Saratoga will diversify its investments by security type and institution. Limits are provided for in Section 8.0. With the exception of U.S. Treasury securities and authorized pools, no more than 30% of the City of Saratoga's total investment portfolio will be invested in a single security type or 20% with a single financial institution. 12.0 Maximum Maturities: To the extent possible, the City of Saratoga will attempt to match its investments with anticipated cash flow requirements. Unless matched to a specific cash flow, the City of Saratoga will not directly invest in securities maturing more than five (5) years from the date of purchase. However, the City of Saratoga may collateralize its certificates of deposits using longer -dated investments not to exceed ten (10) years to maturity. Debt reserve funds may be invested in securities exceeding five (5) years if the maturities of such investments coincide as nearly as practicable with the expected use of the funds. 56 The City of Saratoga will retain a general operating reserve adopted annually by the City Council. The amount of active deposits and inactive investments with maturity of one year or less shall always be equal to or greater than the required general operating reserve. The report discussed in Section 15.0 shall demonstrate this policy is in effect. 13.0 Internal Control: The City of Saratoga is responsible for establishing and maintaining an internal control structure designed to ensure that the assets of the City are protected from loss, theft or misuse. The internal control structure shall be designed to provide reasonable assurance that these objectives are met. The concept of reasonable assurance recognizes that (1) the cost of a control should not exceed the benefits likely to be derived and (2) the valuation of costs and benefits requires estimates and judgments by the City Manager and staff. Accordingly, the City shall establish an annual process of independent review by an external auditor. This review will provide internal control by assuring compliance with policies and procedures. The internal controls shall address the following points: • Control of collusion. • Separation of transaction authority from accounting and recordkeeping. • Custodial safekeeping. • Avoidance of physical delivery of securities. • Clear delegation of authority to subordinate staff members. • Written confirmation of transactions for investments and wire transfers. • Development of a wire transfer agreement with the lead bank and third -party custodian. 14.0 Performance Standards: The investment portfolio shall be designed with the objective of obtaining a reasonable rate of return throughout budgetary and economic cycles, commensurate with the investment risk constraints and cash flow needs. 14.1 Market Yield (Benchmark): The City's investment strategy is passive. Given this strategy, the benchmark used by the City of Saratoga to determine whether market yields are being achieved shall be the one year U.S. Treasury Bill. 15.0 Reporting: The City Manager is charged with the responsibility of including a market report on investment activity and returns in the City of Saratoga's Cash and Investment Report. The report will be in compliance with California Government Code Section 53646. 16.0 Investment Policy Adoption: The City of Saratoga's investment policy shall be reviewed and adopted by the City Council annually. 57 GLOSSARY Broker Someone who brings buyers and sellers together and is compensated for his/her service. Comprehensive Annual Financial Report (CAFR) The City's annual financial statements and footnotes, along with an executive summary, financial outlook, statistical information, and other financial information. Certificates of Deposit Commonly called time deposit certificates or time deposit open accounts. These are nonnegotiable. Collateralization Process by which a borrower pledges securities, property or other deposits for the purpose of securing the repayment of a loan and/or security. Also refers to securities pledged by a bank to secure deposits of public monies. Custodian A bank or other financial institution that keeps custody of stock certificates and other assets. Dealer Someone who acts as a principal in all transactions, including buying and selling from his/her own account. Delivery vs. Payment The preferred method of delivering securities, with an exchange of money for the securities. Demand Deposits A deposit of monies which are payable by the bank upon demand of the depositor. Derivative Securities that are based on, or derived from, some underlying asset, reference date, or index. FDIC Federal Depository Insurance Corporation FSLIC Federal Savings and Loans Insurance Corporation Licluidi An asset that can easily and rapidly be converted into cash without significant loss of value. Local Agency Investment Fund (LAIF) The LAIF was established by the State of California to enable treasurers to place funds in a pool for investments. There is a limitation of $30 million per agency subject to a maximum of ten (10) total transactions per month. The City uses this fund when market interest rates are declining as well as for short- term investments and liquidity. Money market mutual funds Mutual funds that invest in short term securities and strive to maintain a share price of $1. Negotiable certificates of deposit A bank deposit issued in negotiable form (i.e., one that can be bought or sold in the open market). Passive Investment Strategy An approach to managing the investment portfolio, which entails a "buy and hold" strategy in which investments are generally held until they mature. Portfolio Combined holding of more than one stock, bond, commodity, cash equivalent or other asset. The purpose of a portfolio is to reduce risk through diversification. Primary Dealer A group of government securities dealers that submit daily reports of market activity and security positions held to the Federal Reserve Bank of New York and are subject to its oversight. Regional Dealer A dealer who is not a primary dealer, and therefore not monitored by the Federal Reserve, but is registered with the Securities and Exchange Commission. Safekeeping Offers storage and protection of assets provided by an institution serving as an agent U.S. Treasury Bills Commonly referred to as T -Bills these are short-term marketable securities sold as obligations of the U.S. Government. They are offered in three- month, six -month and one -year maturities. T -Bills do not accrue interest but are sold at a discount to pay face value at maturity. U.S. Treasury Notes These are marketable, interest - bearing securities sold as obligations of the U.S. Government with original maturities of one to ten years. Interest is paid semi - annually. U.S. Government Agency Issues Include securities, which fall into this category. Issues, which are unconditionally, backed by the full faith and credit of the United States, e.g. Small Business Administration Loans. 59 SARATOGA CITY COUNCIL MEETING DATE: July 3, 2013 DEPARTMENT: Administrative Services PREPARED BY: Mary Furey AGENDA ITEM: CITY MANAGER: Dave Anderson DIRECTOR: Mary Furey SUBJECT: Citizen Options for Public Safety - Supplemental Law Enforcement Services Funds Grant RECOMMENDED ACTION: Adopt resolution authorizing the continued use of the Citizen Options for Public Safety Program's Supplemental Law Enforcement Services Fund (COPS /SLESF) Grant as a source of funds for additional public safety services. REPORT SUMMARY: Background Assembly Bill 3229, Chapter 134, Statue of 1996, established the Citizen's Option for Public Safety (COPS) Program. Per Government Code §§ 30061 - 30065, compliant cities are allocated a proportionate share of COPS funds by the State, for the exclusive purpose of funding supplemental front line law enforcement services. Proportionate shares are based on population estimates determined by the California Department of Finance. Under the standard grant program allocation, the City of Saratoga is eligible to receive the minimum grant amount of $100,000 each year. Funds from this program cannot supplant existing funding and are to be used for personnel and /or equipment. On an annual basis, the spending plan of the City must be submitted to the County's Supplemental Law Enforcement Oversight Committee for review and certification. Upon Council's approval authorizing the use of these grant funds, this report and attached resolution will be submitted to the County to comply with this requirement. As part of the FY 2009/10 state budget agreement, COPS /SLESF grants heretofore funded by the state general fund were instead funded for a two year period by a 0.15% state Vehicle License Fee increase. This temporary tax increase expired effective June 30, 2011. Under the FY 2011/12 state budget agreement, the COPS /SLESF funding was reinstated through a new fee combined with budgetary funding swaps. Vehicle License Registration Fees were increased by $12 to fund the Department of Motor Vehicles (DMV) registration operations. In turn, this new fee reduced state funding needed for DMV operations, thereby allowing general fund monies to be shifted to a Local Law Enforcement Services Account. Additionally, the portion of the .65% VLF assessment paid with vehicle registration fees, which had been allocated to cities, is now also transferred to this Local Law Enforcement Services Account. Under the State budget bill, these two revenue sources are now directed •1 to fund the COPS /SLESF grants on an ongoing basis. This means cities will continue to receive COPS /SLESF grants, but no longer receive VLF revenues. At the time this budget funding swap was enacted in FY 2011/12, the impact to the City of Saratoga was a net reduction in General Fund revenues of approximately $115,000 per year. Discussion For Fiscal Year 2013/14, the City of Saratoga proposes to allocate the $100,000 COPS /Supplemental Law Enforcement Services Fund (SLESF) grant funding for the supplemental law enforcement and patrol officer hours and school resource officer, as provided by Santa Clara County Sheriff's Office. The proposed contract with the Santa Clara County Sheriffs Office for Fiscal Year 2013/14 will include the following supplemental services: 1. 1,046 additional general law enforcement hours at a cost of $169,243 2. 2,396.5 additional patrol hours at a cost of $381,930 3. 2,400 additional patrol hours at a cost of 374,184 4. School Resource Officer at a flat fee of $100,000 (the City's portion) The $100,000 in Supplemental Law Enforcement Services Funding pays for 9.75% of the additional services in the FY 2013/14 contract. FISCAL IMPACT: Adoption of the resolution will authorize the County to provide the City with the base $100,000 grant amount. This grant revenue is included in the Public Safety Department's FY 2013/14 adopted budget. CONSEQUENCES OF NOT FOLLOWING RECOMMENDED ACTION: The City would become ineligible for the $100,000 in Supplemental Law Enforcement Services Fund grant funding. ALTERNATIVE ACTION: N/A FOLLOW UP ACTION: Direct the City Clerk to send a copy of the report; a certified copy of the resolution; and the Supplemental Law Enforcement Form, to the County of Santa Clara Office of the District Attorney. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and included in the packet made available on the City's website in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Attachment A — Resolution Attachment B — Supplemental Law Enforcement Form 61 ATTACHMENT A RESOLUTION NO. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA REPORTING THE USE OF SUPPLEMENTAL LAW ENFORCEMENT SERVICES FUNDS ( SLESF) FOR FISCAL YEAR 2013/14 WHEREAS, the State of California has made additional funding available to supplement City funds for front line municipal public safety services; WHEREAS, the City of Saratoga has determined the best use of the SLESF funds is to improve public safety with supplemental patrol officer hours and school resource officer; WHEREAS, the City of Saratoga is required to report planned use of such funds to the County of Santa Clara, Office of the District Attorney annually; NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of Saratoga hereby resolves to approve the use of the $100,000 available from the Supplemental Law Enforcement Services Fund for supplemental patrol officer hours and school resource officer; AND BE IT FURTHER RESOLVED, that the City Council wishes to notify the District Attorney's Office of their approved spending plan by copy of this resolution. The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of July, 2013 by the following vote: AYES: NOES: ABSENT: ABSTAIN: ATTEST: Crystal Bothelio, City Clerk 62 Jill Hunter, Mayor ATTACHMENT B SUPPLEMENTAL LAW ENFORCEMENT STANDARIZED FORM Oversight Committee Summary For FY 2013/14 BEGINNING FUND BALANCE $ - Prior Year Adjustment Additional General Law Enforcement Hours - Prior Year Encumbrance Reversals 169,243 - RESTATED FUND BALANCE $ - REVENUES 2,400.00 155.91 State Funding School Resource Officer (Saratoga's share) 100,000 Interest Revenue 100,000 - Other Revenue - TOTAL REVENUES $ 100,000 EXPENDITURES Salaries & Benefits 100,000 Services & Supplies - Equipment - Administrative Overhead - TOTAL EXPENDITURES $ 100,000 ENCUMBRANCES Current Year Services & Supplies - Equipment - Total Current Year $ - NET CHANGE IN FUND BALANCE $ - ENDING FUND BALANCE $ - SUPPLEMENTAL SERVICES EXPENSE Per SCC Sheriffs FY 2013/14 Contract Update Percent paid by SLESF Funds 9.75% 63 Hours Rate Cost Additional General Law Enforcement Hours 1,046.00 161.80 169,243 Supplemental Patrol Hours 2,396.50 159.37 381,930 Additional Investigative Hours 2,400.00 155.91 374,184 School Resource Officer (Saratoga's share) Flat Rate 100,000 Total Supplemental Cost 1,025,357 Percent paid by SLESF Funds 9.75% 63 SARATOGA CITY COUNCIL MEETING DATE: July 3, 2013 DEPARTMENT: Finance & Administrative Services PREPARED BY: Mary Furey AGENDA ITEM: SUBJECT: Agreement for Annual Financial Audit Services CITY MANAGER: Dave Anderson DIRECTOR: Mary Furey RECOMMENDED ACTION Authorize the City Manager to enter into an agreement for professional auditing services between the City of Saratoga and Chavan & Associates, LLP Certified Public Accountants, for the three fiscal years 2012/13 through 2014/15 with one -year options for each of the following two years (FY's 2015/16 and 2016/17). REPORT SUMMARY Background California State Law requires a governmental entity's financial statements be audited annually by an independent firm of licensed certified public accountants (CPAs). The primary purpose of the financial audit is to render an opinion on whether the entity's financial statement reports are presented fairly and in conformity with applicable Generally Accepted Accounting Principles (GAAP). To ensure independence, the Governmental Finance Officers Association (GFOA) Best Practices recommends governmental entities undertake a full -scale competitive process for the selection of independent auditors at the end of the contract term, rather than automatically retain the current auditors, even if they have performed satisfactorily. Discussion The City's contract for audit services with Vavrinek, Trine, Day & Co., LLP expired with the completion of the 2011/12 audit and financial reports. In May, a Request for Proposal (RFP) was distributed to nineteen qualified auditing firms and two RFP distribution firms to solicit proposals for professional auditing services from a licensed certified public accountant firm. Eight proposals were received in response to the June IOth submittal deadline. The firms were evaluated on qualifications detailed in their proposal, including: • Technical qualifications and relevant audit experience • Approach and understanding of the scope of the City's audit • Audit team staffing • Proposed hours and fees M After reviewing and rating the submitted proposals, the Audit Review Committee, comprised of Howard Miller, Councilmember and Finance Committee Member, Dave Anderson, City Manager, and Mary Furey, Finance and Administrative Services Director, interviewed the three top rated firms: • Chavan & Associates • Badawi & Associates • Maze & Associates While the firms were all highly qualified and competitive in their proposals, the firm of Chavan & Associates is recommended for selection due to the Partner's commitment to be on site full -time to oversee the audit, their intent to undertake a thorough review of City financial processes and provide recommendations to staff for internal control and efficiency improvements, their offer to assist staff with improving the City's Comprehensive Annual Financial Report (CAFR), and the partner's strong communication skills demonstrated in discussing the proposed audit engagement with the audit panel. An advantage to the City to have the audit firm's partner on -site full -time to run the audit is the higher level of skills he brings due to his fifteen years of audit experience, in comparison to the other firm's onsite Audit Supervisor with three or four years of experience. While the other firms would have the higher skilled Audit Managers and Partners onsite for 25% to 50% of the audit, having the Chavan & Associates Partner onsite full -time to lead the audit will: 1) ensure audit reviews are more efficient and thorough; 2) eliminate redundancy and time spent on unnecessary assignments by both audit and City staff, 3) allow for immediate follow -up and resolution; and 4) offer stronger analysis of financial activity and appropriateness of reviews. The Partner's direct hands -on, detailed understanding of the City's financial activities will provide a broader perspective for process improvement, financial statement review, and internal controls analysis. Furthermore, the Chavan & Associates proposal included the highest number of audit hours, indicating a more thorough level of detailed review and documentation in their audit work. The professional financial audit services contract between the City and Chavan & Associates for the requested financial audit services is being finalized for the City Manager's signature upon Council approval. FISCAL IMPACTS The Chavan & Associates Financial Audit Services Proposal has a maximum audit fee of $39,000 for the stated audit work for each of the five fiscal years. Sufficient funds are appropriated in the FY 2013/14 Financial Services Operating Budget, and will be included in the proposed budgets for future years. CONSEQUENCES OF NOT FOLLOWING RECOMMENDED ACTION The City would be in violation of fulfilling Municipal Code 2- 25.020 Duties and Responsibilities. ALTERNATIVE ACTION Council could direct staff to enter into an agreement with a different firm, or reopen the RFP for additional proposals. 65 FOLLOW UP ACTION After contract approval from the City Attorney, City Manager to enter into agreement for professional auditing services between the City of Saratoga and Chavan & Associates LLP Certified Public Accountants (CPA's) for the three fiscal years 2012/13 through 2014/15 with one -year options for each of the following two years. ADVERTISING, NOTICING AND PUBLIC CONTACT Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and included in the packet made available on the City's website in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS A — Proposal from Chavan & Associates, LLP to perform auditing services. •• PROPOSAL FOR CONDUCTING THE ANNUAL INDEPENDENT AUDIT OF THE CITY OF SARATOGA Submitted June 10, 2013 1 Chavan & Associates, LLP Certified Public Accountants 1475 Saratoga Ave., Suite 180 San Jose, CA 95129 Phone: (650) 346-1329 Fax: (480) 247-5523 E -mail: sheldon @cnallp.com Contact: Sheldon Chavan, Partner 67 This Page Intentionally Left Blank •: F tle Page TransmittalLetter ................................................................................................................. ............................... i - ii A. Firm Information (Qualifications and Experience) ........................................................ ............................... Contractor Identification and Introduction ............................................................. ............................... Firm Size, Staff Size, Location and Staffing .............................................................. ............................... Rangeof Services .................................................................................................... ............................... ContractTerminations ............................................................................................ ............................... Independence......................................................................................................... ............................... Priorengagements .................................................................................................. ............................... BusinessLicenses .................................................................................................... ............................... License to Practice in California .............................................................................. ............................... Insurance................................................................................................................ ............................... QualityControl Review ........................................................................................... ............................... Discussion of Relevant Accounting Issues ............................................................... ............................... B. Specific Audit Approach ................................................................................................ ............................... PhaseI ..................................................................................................................... ............................... PhaseII .................................................................................................................... ............................... 4 PhaseIII ................................................................................................................... ............................... 5 Compliance and Program Specific Auditing ............................................................ ............................... 6 Recommendations for Improved Operations ......................................................... ............................... 6 Irregularities and Illegal Acts ................................................................................... ............................... 6 ControlRisk Assessment ......................................................................................... ............................... 6 AnalyticalProcedures ............................................................................................. ............................... 6 Identification of Potential Audit Problems .............................................................. ............................... 6 Resources Available for Standards Interpretations ................................................. ............................... 7 MonthlyProgress Reports ...................................................................................... ............................... 7 WorkPlan by Segment ............................................................................................ ............................... 7 Summary of Staff Hours by Phase ........................................................................... ............................... 9 SummaryTimeline .................................................................................................. ............................... 10 AuditScope ............................................................................................................. ............................... 10 C. Additional Data /Proposal Exceptions ........................................................................... ............................... 13 CurrentClient List ................................................................................................... ............................... 13 Technologyin the Audit .......................................................................................... ............................... 14 ProposalExceptions ................................................................................................ ............................... 14 D. Partner, Supervisory, and Staff Qualifications and Experience ..................................... ............................... 15 Sheldon Chavan, Engagement Partner .................................................................... ............................... 15 MichaelDjurovic, Manager ..................................................................................... ............................... 18 Paul Pham, Professional Staff ................................................................................. ............................... 19 Greg Metz, Professional Staff ................................................................................. ............................... 20 Nick Underwood, Professional Staff ....................................................................... ............................... 21 Michael Copher, Professional Staff ......................................................................... ............................... 22 Alice Hsu, Professional Staff .................................................................................... ............................... 23 Professional Education and Training ....................................................................... ............................... 23 E. Client References and Similar Engagements ................................................................. ............................... 24 Attachments: Attachment A — Peer Review Report •9 This Page Intentionally Left Blank 70 Chavan & Associates, LLP Certified Public Accountants June 10, 2013 City of Saratoga Mary Furey, Finance & Administrative Services Director 13777 Fruitvale Avenue Saratoga, CA 95070 We are pleased to have this opportunity to submit our proposal to provide auditing services for the City of Saratoga (the "City "). Our understanding of the work outlined in the request for proposal is that we will audit the financial statements of the governmental activities, business -type activities, component units, each major fund, and aggregate remaining fund information of the City for the fiscal years ending June 30, 2013, 2014 and 2015, with options to renew for each of the two subsequent fiscal years. Our audits will be performed in accordance with auditing standards generally accepted in the United States of America, the standards set forth for financial audits in the United States General Accounting Office's (GAO) Government Auditing Standards, the provisions of the Federal Single Audit Act, the United States Office of Management and Budget (OMB) Circular A -133, Audits of State and Local Governments, and relevant GASB statements. We will also apply the necessary limited procedures to the management's discussion and analysis and required supplementary information as outlined in the RFP. As a result of our audit, we will express an opinion on the fair presentation of the basic financial statements of the City and other entities and grants as listed in the RFP in accordance with GAAP. We will also issue a report on the City's internal controls over financial reporting, the City's compliance with applicable laws and regulations, the City's internal control structure used in administering federal financial assistance programs and the City's compliance with general and specific requirements related to major and non -major federal financial assistance programs in accordance with Government Auditing Standards and OMB A -133. Throughout the contract period, we will provide consultation on accounting and compliance issues and attend City meetings to discuss the audit and management comments. It is our commitment to the City that we will complete the work within the agreed time frame. We are confident Chavan & Associates LLP ( "C &A ") is the best - qualified firm to serve as your independent auditors. A brief list of reasons includes: • We specialize in the audits of local governments and non - profit organizations. • Sheldon Chavan, managing partner, will supervise and run the audit in the field and has been auditing local governments and non - profit organizations for 15 years. • Our managing partner has performed similar audits for the Town of Los Gatos, the City of Berkeley, the City of Sunnyvale and the City of San Rafael. Page I i 1475 Saratoga Ave, Suite 180, San Jose, CA 95129 Tel: 408 - 217 -8749 • E -Fax: 480 - 247 -5523 71 info @cnallp.com • www.enallp.com Chavan & Associates, LLP Certified Public Accountants • Our firm and key professionals are properly licensed to practice in the state of California. • Our service will be dependable, reliable and timely. • We will be sensitive to your workload. We understand you and your staff must keep up with your current work as well as deal with the audit. • We are available twelve months of the year to serve our audit clients. You are important to our firm and we promise a high level of involvement and enthusiasm at all levels. We are secure in our belief that our firm is the best qualified to meet your needs. Once you have examined our proposal and contacted our references, we feel you will agree. Sheldon Chavan (1475 Saratoga Ave, Suite 180, San Jose, CA 95130, 650 - 346 -1329, Sheldon @cnallp.com) is the partner authorized to sign and obligate the firm contractually and represent the firm. He is empowered to submit the bid and authorized to sign a contract with the City. This proposal is a firm and irrevocable offer for 60 days. We also agree to all of the terms and conditions in the Standard Agreement for Services as outlined in the RFP. No Revisions to the standard services agreement have been identified. We look forward to being of service to you. Very truly yours, C �f A alp Sheldon Chavan, C.P.A., Partner Chavan & Associates, LLP Page I ii 1475 Saratoga Ave, Suite 180, San Jose, CA 95129 Tel: 408 - 217 -8749 • E -Fax: 480 - 247 -5523 72 info @cnallp.com • www.enallp.com SECTION A FIRM INFORMATION QUALIFICATIONS AND EXPERIENCE) 73 Section A - Firm Information (Qualifications and Experience) City of Saratoga Proposal for Auditing Services Contractor Identification and Introduction Company Name: Chavan & Associates, LLP (C &A) Address: 1475 Saratoga Ave, Suite 180, San Jose, CA 95129 Contact: 650- 346 -1329 Office: 408 - 217 -8749 Fax: 480 - 247 -5523 (Efax area code is correct) E -mail: Sheldon @cnaIIp.com CA File Number: 202009218003 FEIN: 27- 0630496 Authorized to Sign: Sheldon Chavan, CPA, Partner Our managing and engagement partner, Sheldon Chavan, has performed audits under the State Controller's Office Minimum Audit Requirements, Government Auditing Standards and Single Audit Act requirements since 1998. In August of 2009, Sheldon established C &A as a limited liability partnership specializing in local government auditing and consulting. Sheldon has audited and prepared Comprehensive Annual Financial Reports (CAFR's) and basic financial statements as required by the Government Finance Officers Association (GFOA) and the Governmental Accounting Standards Board (GASB) for over 100 cities, fire districts, water district's, sanitation district's, JPA's and other types of special districts. He has also been a reviewer of CAFR's for the GFOA. Most recently, Sheldon prepared the CAFR's of the Town of Lost Gatos and the Los Altos School District for the year ending June 30, 2012 in addition to the basic financial statements required of all engagements noted in our client list. Our goal at C &A is to provide premium audit services at a reasonable fee. We believe that continuous partner involvement helps us achieve our goal, which is why our partners are constantly in the field. Ultimately, eliminating on- the -job training allows us to focus exclusively on servicing our clients. We currently have 45 government, nonprofit and grant audit clients. 32 of those audits are required to have a single audit (OMB A -133) in 2012 -13. In total, we have a combined 54 audit and attest clients after starting the firm with only 9 clients in 2009. Our firm's experience includes numerous audits under state and federal compliance audit guides, including the Minimum Audit Requirements and Reporting Guidelines for special districts as required by the State Controller's Office. What makes us unique from other audit firms is that we strive to eliminate "on- the -job" training through intensive in -house training, audit planning, and by having partners in the field throughout the entire engagement (not just "spot - checking"). The daily interaction with our engagement partner has been invaluable to our clients as it provides the opportunity for immediate feedback and the chance to ask questions related accounting, account coding, grant requirements, CAFR requirements, budgeting, and much more. Auditing is the main focus of our practice and we are available to start as early as February 1, however our calendar is flexible. Having an early start date has great returns for our clients in that control deficiencies can be corrected before reports have been submitted and the year has been closed. Firm Size, Staff Size, Location and Staffing We also have six professional staff in addition to our partners that will be available to assist as needed throughout the engagement. As the managing partner, Sheldon will perform the work directly with assistance from Michael Djurovic, Manager, and other professional staff as needed. Our central office is located in San Jose, CA. Chavan & Associates, LLP Page 1 74 Section A - Firm Information (Qualifications and Experience) City of Saratoga Proposal for Auditing Services Staffing for the City's audit will include the following professionals (audit experience): Sheldon Chavan, Engagement Partner (15 yrs) Paul Pham, Professional Staff (5yrs) Michael Djurovic, Manager (8 yrs) Greg Metz, Professional Staff (2 yrs) One of the professional staff could change from year to year. The City will be notified of any staff changes prior to field work. The engagement partner will be the same during each year of the engagement. See our work plan by segment on page 7 for detailed staff responsibilities. Range of Services In addition to standard auditing, we also provide the following services: • Special grant audits • Review and drafting policies and procedures • Proposition 39 bond performance audits • MD &A preparation, templates and assistance (templates and assistance included with the audit) • Contractor prequalification services for public bids • Special construction contractor audits for time, billing and materials • Measure A & B audits (sales tax) • Transient occupancy tax audits • Revenue audits including water, sewer, airports, golf courses, etc. • Preparation of annual financial transactions reports (SCO) • Non - profit tax return services Contract Terminations C &A and all assigned personnel do not have any record of substandard work, contract failures, outstanding claims, litigation, investigations, or other unsatisfactory performance issues against us or pending. Independence C &A is independent of the City as defined by generally accepted auditing standards and the U.S. GAO's Government Auditing Standards. In all matters relating to the audit work, the audit organization and individual auditors, whether government or public, should be free from personal and external impairments to independence, should be fiscally independent, and should maintain an independent attitude and appearance. Prior Engagements C &A has not had any professional relationships involving the City of Saratoga, or any of its agencies and component units, for the past five (5) years that would cause a conflict of interest relative to the scope of services identified in the request for proposal. Business Licenses C &A will obtain and maintain a valid business license with the City throughout the duration of the contract. Chavan & Associates, LLP Page 2 75 Section A - Firm Information (Qualifications and Experience) City of Saratoga Proposal for Auditing Services License to Practice in the State of California C &A and all key professionals are properly licensed to practice as certified public accountants in the State of California and do not have any record of substandard work or unsatisfactory performance pending with the State Board of Accountancy. Insurance C &A maintains the following insurance: • Commercial General Liability Insurance (bodily injury and property damage) is $4,000,000 per occurrence. The carrier is Hartford Insurance Company. • Automobile Bodily Injury and Property damage liability insurance is $2,000,000 per occurrence. The carrier is Hartford Insurance Company. • Professional Liability Insurance carrier is Philadelphia Insurance Company. The per claim /aggregate limit of the liability is $3,000,000. • Workers Compensation Insurance carrier is Twin City Insurance Company. The per claim /aggregate limit of the liability is $1,000,000. Quality Control Review We are enrolled in the AICPA quality control peer review program. Our first peer review was performed and submitted by Chaing, Hammon and Co. on June 30, 2011 and included the audits completed for the June 30, 2010 fiscal year and December 31, 2010 calendar year. We passed our peer review without exception. Sheldon's prior firm received an unqualified opinion on their system of quality control for every review performed under his 11 years of guidance. See Attachment A for a copy of our peer review report. C &A has an exceptional record of quality control. Our audits substantially complied with auditing standards generally accepted in the United States of America and the standards for financial and compliance audits contained in the U.S. General Accounting Office's Standards for Audits of Governmental Agencies, Programs, Activities, and Functions; issued by the U.S. General Accounting Office; the provisions of the Single Audit Act Amendments of 1996; and the provisions of OMB Circular A -133, Audits of States, Local Governments, and Non - Profit Organizations. Discussion of Relevant Accounting Issues The Governmental Accounting Standards Board (GASB) continues to issue new statements in an effort to make financial information accounted for, and reported by, local governments more reliable. Often, the statements issued by GASB are confusing and difficult to apply. Therefore, it is our goal to keep our clients informed about upcoming standards and how they may affect their future. Our technical expertise and guidance in the implementation and interpretation of GASB statements will be available throughout the year. We offer inclusive consultation throughout the term of our contract. We also offer in -house training via internally developed seminars. For example, we have given presentations and training on compliance requirements for specific grants and the key controls needed to meet those requirements. Generally these sessions provide about 8 -32 hours of training and are included in the audit. Any training related to single audit compliance reporting requirements is included in our all - inclusive maximum price. Chavan & Associates, LLP Page 3 76 SECTION B SPECIFIC AUDIT APPROACH 77 Section B - Specific Audit Approach City of Saratoga Proposal for Auditing Services The C &A audit approach begins with an entrance conference between Sheldon Chavan and management to gather information for risk assessment and audit planning. Upon the conclusion of the entrance conference, Sheldon will plan and schedule C &A's three phase audit approach and prepare a list of items to be provided for Phase I of the audit. Significant aspects of each phase are outlined as follows: Phase I - Planning and Risk Assessment This phase is designed to evaluate your operating and accounting procedures and will provide the basis for a significant portion of our letter to management. The results of our work during this phase will determine our audit approach for significant accounts and compliance. At the conclusion of this phase, we intend to provide the City with a list detailing the information that will be needed in order to facilitate the completion of the audit in a timely manner. Having all items on the list are available prior to the beginning of Phase II will allow us to complete the audit within the allotted time frame or earlier. We will also begin the testing of federal compliance for major programs during this phase. We plan the audit and obtain our understanding of the internal control structure, control environment, and accounting system through: • Inquiries of appropriate management and staff personnel. • Inspection of the City's documents, records, budget and related materials, organizational charts, manuals and programs. • Observation of the City's activities and operations to corroborate the results of inquiries. • Testing of the controls to determine they are operating as planned. • Performance of preliminary analytical review on interim financials. The analytical review entails comparing similar information for the same time frame from the prior year and also comparing current year -to -date information to the budget to determine areas that may need additional attention during Phase 11. • Review and evaluation of the City's financial and other management information system controls and procedures. Our staff has gained invaluable experience with systems such as HTE, MOM, Springbrook, Pentamation, QuickBooks, SunGuard, Escape, FUND$, CECC, SACS, Financial 2000, SASi, Quicken, Edusoft, Minisoft, Infinite Campus, Power School, Genesis, as well as many others. It is our goal to maximize the usage of your computer system during the audit. This phase constitutes approximately 33% of all non - clerical hours of the engagement and may be combined with Phase II if desired. At the completion of Phase I, an exit conference will be held to discuss findings and recommendations and prepare for Phase 11. Phase II - Substantive Audit Procedures and Compliance This phase is designed to complete our substantive and compliance audit procedures on the accounts of the City. The approach for Phase II will be based on the results of Phase I. Audit programs will be tailored for your City's needs. This work will begin after the closing of your books. Chavan & Associates, LLP Page 4 Section 6 - Specific Audit Approach City of Saratoga Proposal for Auditing Services Sample size and selection is based on our assessment of risk and planned or actual deviations. A typical sample size will be 40 to 80 items and be randomly selected. Our sampling methods vary depending on the type of tests we perform. We use Practitioners Publishing Company (PPC) and Knowledge Coach (KC) audit programs to assist in our risk determination and sampling selection. We also use ProSystems fx Engagement paperless audit, Microsoft Excel, and Microsoft Word on laptops to perform the audit. Generally, we prefer information provided in electronic format, however we use production scanners in the office and portable scanners in the field for information that is unavailable in electronic format. Analytical procedures during Phase II involve comparing current data to prior year and budget data, calculating dollar and percentage variances and investigating differences. We also analyze trends and relationships of the various financial statement components and ratios. Laws and regulations subject to audit will be determined based on inquiry and familiarity we gain with the City, and with state and federal compliance requirements. Sample selection for compliance work will be based on the respective compliance and audit guides, PPC, KC, our experience and judgment, and other various sources. Phase II will take approximately 34% of the engagement hours. At this time, an exit conference will be held to discuss findings and recommendations and prepare for Phase III. Phase III - Financial Statement Preparation and Review This phase consists of preparing or assisting with the preparation of your financial statements, as required in the RFP, in conformity with accounting principles generally accepted in the United States of America. We will also prepare all other financial and compliance reports required of us as listed on the RFP. The required reports and management letter will be submitted to management as noted in the RFP. Our reporting process is automated through our audit software. Once we obtain the City's trial balance in electronic format, we can import that into our system, which will automatically code and update all financial statements and most note disclosures in the financial statements and notes. We can also auto link tables, charts and other documents the City would like to generate. All agreed upon adjustments will be linked in our audit software. This greatly reduces the report preparation time and involvement of City staff and creates more opportunity for review of information systems, internal controls and management recommendations. At the end of this phase we will provide a summary of audit adjustments and uncorrected misstatements (passed adjustments). We anticipate that Phase III will comprise approximately 33% of the engagement hours, including the majority of the clerical hours. The timing of each phase of the audit is estimated based on the assumption that the City will meet their close schedule and responsibilities as noted in the request for proposal. Please note that we generally hold entrance conferences at the beginning of Phase I and II and exit conferences at the end of Phase I, II and III. However, we are available to meet with the City at any time. Chavan & Associates, LLP Page 5 79 Section 6 - Specific Audit Approach City of Saratoga Proposal for Auditing Services Compliance and Program Specific Auditing Included in all phases are specific procedures required to complete individual compliance items. Analytic and sampling procedures generally follow those described in the preceding phase, but are modified, when needed, to meet specific guidelines of the programs audited. Recommendations for Improved Operations We feel we have accumulated valuable knowledge in accounting and auditing which has allowed us to offer a wide range of specific recommendations to increase the efficiency and effectiveness of our audit clients. With our background, we can provide services that may be very beneficial to you presently and in the future. As our client, you can look to us for informed support year -round in all areas of interest or concern. In the course of our engagement with the City, we will provide prompt, knowledgeable answers to your questions regarding all aspects of accounting, finance, management, and operations. It is our policy to discuss discrepancies and recommendations with City staff directly involved and then with management, as necessary. If an item warrants inclusion in the report as a finding, we will obtain management's responses to each finding. All responses will be reviewed with management and staff before it is presented to the City Council. Irregularities and Illegal Acts We will make an immediate, written report of all irregularities and illegal acts or indications of illegal acts of which we become aware to the City Manager, City Attorney, and Finance & Administrative Services Director. Control Risk Assessment As part of our audit approach, we use PPC and KC forms, narratives, questionnaires and summary schedules to gain an understanding of the control environment and assess its overall effectiveness. This helps us identify the types of potential misstatements and factors that affect the risk of material misstatement and their impact on the audit plan. Analytical Procedures Analytical procedures are used at three points of time during our audit; planning, substantive testing, and final review of the completed financial statements. Analytical procedures are used to obtain knowledge of conditions and events, to indicate the presence of possible misstatements, to provide substantive evidence of balances and to assess the financial condition of the City. As we obtain knowledge about the City, we will be able to direct our attention to areas requiring greater audit emphasis as well as provide substantive evidence in support of recorded account balances. Identification of Potential Audit Problems Each year we approach the audit objectively and use a risk based approach to anticipate any potential audit problems. If anything were to come to our attention during the course of the audit, it would be reported to the proper management level depending on the nature of the problem and as noted in the RFP. Chavan & Associates, LLP Page 6 :1 Section B - Specific Audit Approach City of Saratoga Proposal for Auditing Services Resources Available for Standards Interpretations In addition to the items published by GFOA, AICPA, FASB, and GASB, we use RIA checkpoint as our main online reference material. As our client, the City will have access to all our resources. Monthly Progress Reports Monthly progress reports will be submitted to the Finance & Administrative Services Director. Work Plan by Segment Phase I (Planning, Risk Assessment and Internal Controls) July Key Component Engagement Partner Manager Prof. Staff Admin. Staff Entrance Conference 1 List of Items Required for the Interim Audit 1 1 Planning, Risk Assessment and Preliminary Analytics 10 2 Preliminary Identification of Major Programs (Single Audit) 1 4 Materiality and Major Fund Determination 1 2 Initial SAS 114 Letter 0.5 1 Internal Control Documentation & Testing 8 30 64 Status of Prior Year Findings 1 Update Initial List of Confirmations 0.5 2 Summary of Potential Findings 2 4 4 Phase I Review, Clean -up and C &A Team Meetings 4 61 8 8 Exit Conference 2 Subtotal 32 48 80 8 Roles of C &A Staff: The Engagement Partner wi I I be responsible the overa I I planning, scheduI i ng, review and coordination of Phase I. The Manager will review workpapers, letters and reports and help maintain quality control. The Senior Professional Staff will focus on the more complex areas of controls and support the Engagement Partner. The Professional Staffwill focus on detail oftests of controls overfinancial, federal compliance and other areas as needed. Roles of City Staff: During this phase, City staff will be expected to provide a preliminary balance sheet and revenues and expenditures by fund, policies and procedures for key controls, a preliminary summary of federal grants, the original budget, contact information for departments and confirmations, and generally provide the information included in the lists of items for interim. We also plan to interview various staffto document and testcontrols. Testing controls will include sampling for significant areas. Our documentation of internal controls will be done in person and via interviews, unless otherwise requested. Note: The above hours were estimated and allocated based on information in the City's most recent basic financial statements, budget, the City's website and other information obtained during the RFP process. Chavan & Associates, LLP Page 7 Section 6 - Specific Audit Approach City of Saratoga Proposal for Auditing Services Phase II (Substantive Testing and Final Compliance) October Key Component Engagement Partner Manager Prof. Staff Admin. Staff List of Items Required for Substantive Testing 1 2 General Audit Procedures and Set -up 8 Finalize Major Program Determination 1 Finalize Major Fund Determination 1 Prepare Audit Programs 2 4 Confirmations 1 4 Entrance Conference 1 Trial Balance and Leads 1 2 Substantive Analytics 8 8 8 Substantive Tests of Accounts 2 16 36 Single Audit (Federal Compliance Audits) 4 4 20 TDA Audit 1 8 GANN Limit Review 1 2 Summary of Potential Findings and Audit Adjustments 2 4 4 Phase II Review, Clean -up and C &A Team Meetings 4 4 8 8 Exit Conference 2 Subtotal 40 44 90 8 Roles of C &A Staff (Partial List): The Engagement Pa rtner's focus wi I I i ncl ude fi na I i zi ng the a ud i t progra ms, s ubsta nti ve a na I yti cs, a nd overseei ng the a udi t The Manager will review workpa pers, letters and reports and help maintain quality control The Senior Professional Staff will focus on substantive tests for significant accounts and the RDA audit The Professional Staff will focus on substantive tests for significant accounts, federal compliance, and other required audits Roles of City Staff: During this Phase, City staff will be expected to provide the final balance sheet and revenue expenditures by fund and account. Will prepa re I ea ds heets i n our a udit softwa re, but the City s houl d have adequate support for significa nt accounts. We will perform a revi ew of j ourna I entries at this ti me and again before the finaI reports are issued,thus we will need access to the City's journal entries. We will request reports for major grant programs, certain City programs, business type activities and RDA activities. We will also perform a number of analytical procedures which will require staff responses, and this will be done in person in most cases. Note: The above hours were estimated and allocated based on information in the City's most recent basic financial statements, budget, the City's website and other information obtained during the RFP process. Chavan & Associates, LLP Page 8 Section 6 - Specific Audit Approach City of Saratoga Proposal for Auditing Services Phase III (Reporting) November /December /January Key Component Engagement Partner Manager Prof. Staff Admin. Staff Review /Finalize GASB 34 Conversion Entries 1 4 46 118 Finalize Audit Adjustments 1 4 3 152 Management Letter 1 4 24 0.5 CAFR Assistance 20 1 8 2 28 CAFR Financial Statement Preparation 4 16 142 492 CAFR Notes to Financial Statement Preparation 4 16 CAFR Statistical Section Preparation 2 12 CAFR Printing, Processing, etc. 2 8 Single Audit (Federal Compliance Audits) 2 6 1 TDA Audit 1 2 0.5 GANN Report 1 1 0.5 Final WP Review and Clean -up 2 8 4 0.5 Final SAS 114 Report to the Board 1 2 0.5 Board Presentation, Exit Conferences 4 0.5 Subtotal 46 60 24 12 Roles of C &A Staff (Partial List): The Engagement Partner's focus will be on overall reporting, guidance and working with City staff to complete the reporting phase The Manager will review workpa pers, letters and reports, and help maintain quality control The Senior Professional Staff will focus on report preparation and assisting the engagement partner and guiding our staff The Professional Staff wiI I act in a support role duri ng this phase Roles of City Staff: We expect the City staff to review, respond and take responsibiIityforaII reports required to comp lete the audit. Management will be required to sign a representation letter which will be provided by us. Management wi I I be required to provide responses to any and all recommendations and findings included in the management letter. Note: The above hours were estimated and allocated based on information in the City's most recent basic financial statements, budget, the City's website and other information obtained during the RFP process. Summary of Staff Hours by Phase Level of Staff Phases Total Hours 1 II III Engagement Partner 32 40 46 118 Senior Staff 48 44 60 152 Professional Staff 80 90 24 194 Administrative Staff 8 1 8 12 28 Totals 168 1 182 142 492 Chavan & Associates, LLP Page 9 Section B - Specific Audit Approach City of Saratoga Proposal for Auditing Services Summary Timeline Segment Estimated Date Phase Entrance Conference July 16, 2013 1 Audit Planning (C &A's Office) July 17, 2013 1 Interim List of Items and Audit Plan July 17, 2013 1 Interim Testing July 29, 2013 1 Interim Exit Conference August 2, 2013 1 Initial List of Findings and Recommendations August 9, 2013 1 Year -end List of Items Required by Client August 15, 2013 11 Year -end Field Work October 14, 2013 11 Exit Conference October 21, 2013 II Final List of Findings and Recommendations October 21, 2013 II Draft Reports, Financials and Management Letters November 11, 2013 111 Final Reports and CAFR December 2, 2013 III Final Management Letter January 16, 2014 111 Final Single Audit Report January 16, 2014 111 Final GANN Limit Report January 16, 2014 III Final Exit Conference January 16, 2013 111 Council & Committee Presentations As Needed III (11 The estimated dates are flexible based on the City's needs and City staff availability Audit Scope We understand the scope of our services to be as follows: A. We will perform an audit of all City funds and assist City staff with the preparation of a Comprehensive Annual Financial Report (CAFR) and its component unit financial statements. The audit will be conducted in accordance with auditing standards generally accepted in the United States and Government Auditing Standards, issued by the Comptroller of the United States. The CAFR is to be in full compliance with GASB. We will render our report on the basic financial statements, which will include both government -wide financial statements and fund financial statements. We will assist the City with its plans to submit the CAFR to GFOA for review in their Certificate of Achievement for Excellence in Financial Reporting Program. B. We will perform a single audit on the expenditures of federal grants in accordance with OMB Circular A -133. We will issue a report on compliance and on internal control over financial reporting based on an audit of financial statements performed in accordance with government auditing standards. We will also issue a report on compliance with requirements applicable to each major program and internal control over compliance in accordance with the OMB A -133. Finally, we will issue an "in relation -to" report on the Schedule of Expenditures of Federal Awards. C. If applicable, we will perform an audit on TDA Fund financial statements in accordance with government auditing standards and issue a report on compliance. Chavan & Associates, LLP Page 10 0 Section B - Specific Audit Approach City of Saratoga Proposal for Auditing Services D. We will perform agreed -upon auditing procedures pertaining to the City's GANN Limit and render the annual letter as required in the RFP. E. We will be responsible for submitting monthly progress reports with the Finance and Administrative Services Director on the progress of our examinations and on preliminary findings and recommendations. F. We shall be responsible for scheduling an audit kickoff meeting with the Finance and Administrative Services Director and other key department personnel to discuss prior audit concerns, field work schedule, due dates for the City to provide worksheets, other data requested by us, and other matters. G. We shall communicate any reportable conditions found during the audit in the required reports on compliance and internal controls. A reportable condition shall be defined as a significant deficiency in the design or operation of the internal control structure, which could adversely affect the organization's ability to record, process, summarize, and report financial data consistent with the assertions of management in the financial statements. Reportable conditions that are also material weaknesses shall be identified as such in the report. Non - reportable conditions discovered by the auditor shall be reported in a separate letter to management, which shall be referred to in the reports on internal controls. The reports on compliance shall include all instances of non - compliance. We shall be required to make an immediate, written report of all irregularities and illegal acts or indications of illegal acts of which we become aware of to the City Manager, City Attorney, and Finance & Administrative Services Director. H. We shall retain all working papers and reports at the auditor's expense for a minimum of five (5) years, unless the firm is notified in writing by the City of the need to extend the retention period. The working papers are subject to review by federal and state agencies and other individuals designated by the City. Accordingly, the working papers shall be made available upon request by the following parties or their designee: a. Saratoga City Manager or designee b. Saratoga Finance and Administrative Services Director or designee c. Saratoga City Attorney or designee d. Parties designated by the federal or state government or by the City of Saratoga as part of an audit quality review process e. Auditors of entities that make grants to the City of Saratoga Additionally, the audit firm shall respond to the reasonable inquiries of successor auditors and allow successor auditors to review working papers. I. We will assist the City in the transition to adhere to any new GASB pronouncements. To the extent possible, this assistance may include reviewing reports, transactions, Management Discussion and Chavan & Associates, LLP Page 11 Section B - Specific Audit Approach City of Saratoga Proposal for Auditing Services Analysis, GASB 54 Fund Balance Reporting and Governmental Fund Type Definitions, GASB 67 & 68 implementation, and other relevant pronouncements. We shall ensure that the City of Saratoga's Council, City Manager, Finance & Administrative Services Director and relevant Committees are informed of each of the following: 1. Our responsibility under generally accepted auditing standards 2. Significant accounting policies 3. Management judgments and accounting estimates 4. Significant audit adjustments 5. Other information in documents containing audited financial statements 6. Disagreements with management 7. Management consultation with other accountants 8. Major issues discussed with management prior to retention 9. Difficulties encountered in performing the audit We will deliver the number of reports as listed in the City's RFP for audit services by the due dates noted in item 10 on page 5 of the RFP. L. At the completion of each phase, we will schedule an exit conference with management, as noted in the RFP, to discuss the results of the audit and the adequacy and effectiveness of the City's current accounting procedures and controls based on our understanding of the control structure and assessment of control risk. Any management points will address issues related to the City's systems of internal control, accounting systems, functions, procedures and processes and compliance with laws and regulations. Chavan & Associates, LLP Page 12 0 SECTION C ADDITIONAL DATA/PROPOSAL EXCEPTIONS Section C - Additional Data /Proposal Exceptions City of Saratoga Proposal for Auditing Services Current Client List Client Town of Los Gatos City of Point Arena Central Marin Sanitation Agency South Bayside Systems Authority Westborough Water District West Bay Sanitary District Bay Area Water Supply Conservation Agency The Cities' Group East Bay Dischargers Authority Tahoe Transportation District Cotati - Rohnert Park Unified School District Windsor Unified School District & Prop 39 Mountain View Whisman School District Sequoia Union High School District & Prop 39 Antelope School District Lassen View School District Manton Joint Unified School District Mineral School District Red Bluff School District Moreland School District Plum Valley School District Sonoma Valley Unified School District & Prop 39 Cabrillo Unified School District Los Altos School District Pacifica School District Union School District Las Lomitas School District & Prop 39 Millbrae School District & Prop 39 Orchard School District & Prop 39 Scotts Valley Unified School District Woodside Elementary School District San Bruno Park School District Portola Valley School District West County Transportation Agency Credo High School Morgan Hill Charter School Mission Preparatory School San Jose Consery Corps Charter School Halcyon Molecular Pathway to Choices Sociometrics Livebooks, Inc Mashery Inc Nodality, Inc Tahoe Regional Planning Agency Boys and Girls Clubs of Central Sonoma County Boys and Girls Clubs of Cloverdale Boys and Girls Clubs of Cloverdale Foundation Boys and Girls Clubs of Windsor Children of Grace Collective Roots Redwood City Education Foundation San Jose Conservation Corps Singulairty University Type of Entity City /Town City /Town Special District Special District Special District Special District Special District Special District Special District Special District Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Local Education Agency Charter School /Nonprofit Charter School /Nonprofit Charter School /Nonprofit Charter School /Nonprofit Private Corporation Private Corporation Private Corporation Private Corporation Private Corporation Private Corporation Planning Agency Nonprofit Nonprofit Nonprofit Nonprofit Nonprofit Nonprofit Nonprofit Nonprofit Nonprofit Level of Service Single Audit /GAGAS GAGAS GAGAS GAGAS Monthly Compilation GAGAS /SCO Report GAGAS /SCO Report GAGAS GAGAS Consulting /SCO Report Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Consulting Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO Single Audit /GAGAS /SCO GAGAS /SCO GAGAS /SCO /Tax GAGAS /SCO /Tax GAGAS /SCO /Tax GAGAS /SCO OMB A- 133 /Single Audit OMB A- 133 /Single Audit OMB A- 133 /Single Audit GAAS Audit OMB A- 133 /Single Audit Audit Consultation Consulting /SCO Report Single Audit /Tax Single Audit /Tax Single Audit /Tax Single Audit /Tax Review /Tax GAAS Audit GAGAS Audit /Tax Single Audit /Tax GAAS Audit /Tax Level of Fin. Statements CAFR (GFOA) GASB Financial CAFR(GFOA) GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial SCO Reports GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial Internal GASB Financial GASB Financial GASB Financial CAFR(GFOA,CASBO) GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial GASB Financial FASB Financial FASB Financial FASB Financial GASB Financial FASB Financial FASB Financial FASB Financial FASB Financial FASB Financial FASB Financial SCO Reports FASB Financial FASB Financial FASB Financial FASB Financial FASB Financial FASB Financial FASB Financial FASB Financial FASB Financial Chavan & Associates, LLP Page 13 Section C - Additional Data /Proposal Exceptions City of Saratoga Proposal for Auditing Services Technology in the Audit C &A is a paperless firm and we use a secure cloud server for file sharing. We have Lenovo laptops and Fujitsu and Plustek scanners that we use in the field. Our laptops are synchronized to our cloud server every day to avoid loss of data. The scanners allow for flexibility during the audit since it is not feasible to expect every document in electronic format. Our secure online lockbox provides for a better option over e- mailing electronic files. Each of our clients has an account login username and password through our website that allows them to upload files. This is especially helpful with sensitive information such as payroll data as it is much more secure than e- mail. While we have an office, we pride ourselves on our mobility. Our office has become a meeting place and printing center. We have invested in high -end HP black /white and color printers and have established a printing and binding shop for report processing. Our audit software is ProSystems fx Engagement which we compliment with Knowledge Coach and PPC's Smart E- practice Aides audit workpapers. These programs allow us to roll- forward audit information without having to replace the audit programs in the binder because they automatically update with changes in auditing and accounting standards every month. Finally, we have purchased data extraction software for each of our laptops that convert Adobe and other file types to Word and Excel. All of the above mentioned technological innovations make the audit more efficient and provides us the opportunity to spend time in areas that are more meaningful to the City, such as having the financial statements completed by the December deadline each year. It also reduces the time and effort required by City staff to provide information and almost entirely eliminates redundancy from year to year in the audit. Proposal Exceptions C &A did not have any exceptions or requested changes to the City's RFP conditions or requirements. Chavan & Associates, LLP Page 14 This Page Intentionally Left Blank a SECTION D PARTNER, SUPERVISORY AND STAFF QUALIFICATIONS AND EXPERIENCE 91 Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services What makes us unique from other audit firms is that we strive to eliminate "on- the -job" training. Our engagement partner will be in the field leading the engagement and actually performing detailed tests along with three well trained professional staff. This daily interaction has been invaluable to our clients as it provides the opportunity for immediate feedback. We are aware of the need for continuity of personnel on the engagement and promise that the Engagement Partner and Manager will be directly involved in the audit during each year of the contract. We believe that extensive partner involvement provides continuity that could not be achieved in any other way. All staff committed in this proposal will be available for the entire June 30, 2013 audit and are available 12 months a year for questions, comments and implementation support. We understand that the engagement partners, managers and other supervisory staff and specialists may be changed only with the express prior written permission of the City. Other audit personnel may be changed at our discretion as long as the replacements have substantially the same or better qualifications or experience. Note that Sheldon Chavan will be your key contact throughout the audit and Michael will be his back- up. They will help implement new accounting standards and facilitate ongoing support and maintenance. Sheldon Chavan, CPA Engagement Partner Sheldon holds a B.S. in Accounting from San Jose State University. He began his career in public accounting with CGU in 1998 and has been auditing local governments and nonprofit organizations ever since. Sheldon is a CPA licensed in California and a member of AICPA, CaICPA and GFOA. He has also been a member of the GFOA Special Review Committee, with responsibility for reviewing CAFR's for award of the Certificate of Excellence in Financial Reporting. Sheldon has prepared CAFR's for the City of Berkeley, City of Sunnyvale, City of Pittsburg and many others over his career. Most recently, Sheldon prepared the CAFR of the Los Altos School District and the Town of Los Gatos for the fiscal year ended June 30, 2012. Sheldon has been managing audits his entire 15 year career, which includes the technical review of all work papers, staffing, scheduling, reporting, state compliance, federal compliance and much more. He is responsible for providing accounting and auditing technical support to other partners and staff, primarily in the areas of compliance with auditing standards generally accepted in the United States of America, the standards set forth for financial audits in the United States General Accounting Office's (GAO) Government Auditing Standards, and the provisions of the Federal Single Audit Act and the United States Office of Management and Budget (OMB) Circular A -133, Audits of State and Local Government and Nonprofit Organizations., Sheldon also ensures that each staff has met the continuing professional education requirements under these standards and teaches several in -house seminars a year. He also administers our firm's quality control system as required by GAAS and Yellow Book standards. Sheldon has been performing audits under OMB A -133 and the Single Audit Act his entire career. Understanding the complexities of the various federal programs is one of his specialties. Over the years, Sheldon has audited major programs such as CDBG, Shelter Plus Care, Home Investment in Affordable Housing, HUD Section 8, Highway Planning and Construction, Medi -Cal, Low - income Low Energy Assistance, IDEA Local Assistance, ARRA, and many more. Chavan & Associates, LLP Page 15 92 Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services Sheldon's recent continuing professional education: Fraud in Exempt Organizations: GAGAS, Preventing Fraud, and Audit Committees Fraud in Exempt Organizations: Government & NPO Environment' plus 'Fraudulent Financial Reporting Ethics: Pointer Electronics, Inc. - You Are the Audit Partner Ethics: BAN &K Advisory Services LLC - You Are the Audit Partner Frequent Government and NPO Frauds: Misuse of Assets 2010 Governmental and Nonprofit Annual Update: Federal Government Activities 2011 Qrtly Update- Gov /NFP - #1 (Winter): SAS No. 117 and GASB Nos. 57 & 58 2011 Qrtly Update- Gov /NFP - #2 (Spring): OMB A -133 Developments and SASs 118, 119, & 120 2012 Governmental and Nonprofit Annual Update: Federal Government Activities 2012 Qrtly Update- Gov /NFP - #1 (Winter): SAS No. 117 and GASB Nos. 67 & 68 OMB A -133: 'Program- Specific Audits' plus 'Audit Tools and Guidance' Applying Risk Assessment Standards: Understanding the Entity and Its Environment How to conduct a peer review Governmental Accounting and Auditing Conference Webcast - 5121266C Not - for - Profit Organizations Conference Webcast - 5121343C Cases in NFP Acct. & Auditing: 'Financial Statement Requirements' plus 'Net Asset Classifications' Fraud in Exempt Organizations: Applying AU Sec. 316 in Governmental and Not - for - Profit Environments Ethics: AA &C LLP - Accounting Firm Practice Development Committee Ethics: Precious Mining Inc.- You Are the Audit Committee Chair Cases in NFP Acct. & Auditing: Contributions Field Work Documentation: Preparation, Maintenance, Types of Workpapers School District Update School Districts Conference Webcast - 5121445C Comprehending OMB A -133: Overview plus 'Federal Awards' Comprehending OMB A -133: 'Pass- Through Awards and Subrecipients' plus 'Meet the SEW Comprehending OMB A -133: 'Major Program Determination' plus 'Types of Compliance Requirements' Comprehending OMB A -133: Compliance Supplement, Cost Circulars, and Testing Internal Control Comprehending OMB A -133: 'Testing Compliance' plus 'Reporting Requirements' Comprehending OMB A -133: The Current OMB A -133 Environment Basic Governmental Accounting: 'Reporting Entity' plus 'Government -Wide Statements' Chavan & Associates, LLP Page 16 93 Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services The following is a partial list of Sheldon's clients over the years: Cities and Towns Special Districts School Districts /COE's Nonprofits and Other City of Berkeley Bay Area Water Services & Cons Antelope 2006 Washington St. City of Campbell Central Marin Sanitation Agency Belmont Redwood Shores Bay Area Water Users Association City of Cloverdale East Bay Dischargers Authority Burlingame Boys and Girls Clubs of Sonoma City of Cupertino Half Moon Bay Fire Protection Cabrillo Unified Children of Grace City of Marina Hayward Area Parks and Rec Campbell Union Collective Roots City of Millbrae Highland Recreation District Cloverdale Unified Credo High School City of Novato Los Trancos Water District Cotati Rhonert Park Livebooks City of Pittsburg Mckinney Water District Hillsborough City Mission Charter City of Redwood City Menlo Park Fire Protection La Honda Pescadero Morgan Hill Charter School City of Salinas Pleasant Hill Parks and Rec Lakeside Nob Hill Home Owners Assoc. City of San Carlos Point Montara Fire Protection District Las Lomitas Elementary O'Conner Water City of San Rafael South Bayside System Authority Lassen View One Million Lights City of Saratoga South San Francisco Conf. Ctr. Los Altos Elementary Pathway to Choices City of Scotts Valley Tahoe Reqional Planning Agency Luther Burbank Redwood City Education Foundation City of Sonoma The Cities Group Manton San Jose Conservation Corps City of South San Francisco West Bay Sanitary District Menlo Park City Singularity University City of Sunnyvale West County Wastewater District Millbrae Elementary Sociometrics Town of Los Gatos Westborough Water District Mineral South Tahoe Area Transit Authority Town of Windsor Woodside Fire Protection District Mountain View Whisman Woodside Atherton Authority City of Point Arena Orchard Pacifica Plum Valley Portola Valley Elementary Red Bluff San Bruno Park San Carlos Elementary San Mateo County Office San Mateo Union High Scotts Valley Unfied Sequoia Union High Sonoma Valley Unified Union School District West County Agency (LEA) Windsor Unified Chavan & Associates, LLP Page 17 0 Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services Michael Djurovic Manager Michael graduated from the University of California, Santa Cruz, with a B.S. in Information Systems Management. He has been working in public accounting since 2005, performing audits for local governments, nonprofit organizations, non - public companies and publicly held companies. In addition to Michael's experience performing audits under GAGAS, OMB A -133, and the Single Audit Act, he has performed audits on PCAOB, which requires separate internal control audits. We have found that this combination of experience has made Michael very proficient in identifying control deficiencies and offering solutions to areas of controls that need improvement. Michael has performed audits and prepared reports under OMB A- 133 /Single Audit Act and California's RDA audit guide for most of the entities listed below. He has audited Federal grants from various agencies, including Highway Planning and Construction, HUD, and more. Most recently, Michael assisted in the preparation of the CAFR of the Los Altos School District and the Town of Los Gatos for the fiscal year ended June 30, 2012. Mike's recent continuing professional education: GAGAS - Ethical Principles In Government Auditing GAGAS - Field Work and Reporting Standards GAGAS - Field Work Standards For Financial Audits GAGAS- General Field Work And Reporting Standards GAGAS- General Standards GAGAS - Reporting Standards For Financial Audits GAGAS - Use and Application of GAGAS Government Auditing Major Changes to Auditing Standards Limiting Auditor Liability Auditor Communications: Critical New Requirements School Districts Conference Governmental Accounting, Reporting, and Auditing Update GASB Basic Financial Statements for State and Local The following is a list of Michael's clients over the years: Cities and Towns Special Districts School Districts /COE's Nonprofits and Charter Schools City of Berkeley Bay Area Water Supply Conserv. Agency Cabrillo Unified Bay Area Water Users Association City of Cloverdale Central Marin Sanitation Agency Cotati Rhonert Park Cadence City of Sonoma East Bay Dischargers Authority La Honda Pescadero Children of Grace Town of Los Gatos Half Moon Bay Fire Protection Las Lomitas Elementary Credo Charter Los Trancos Water District Los Altos Elementary Mission Charter Menlo Park Fire Protection Luther Burbank Morgan Hill Charter School Pleasant Hill Parks and Rec Menlo Park City O'Conner Water Point Montara Fire Protection District Millbrae Elementary Pathway to Choices South Bayside Systems Authority Mountain View Whisman San Jose Conservation Charter South San Francisco Conf. Ctr. Orchard School District San Jose Conservation Corps Tahoe Regional Planning Agency San Mateo County Office Socimetrics The Cities Group Seqouia Union High South Tahoe Area Transit Authority West Bay Sanitary District Sonoma Valley Unified Woodside Atherton Authority West County Wastewater District Union Elementary Westborough Water District West County Agency (LEA) Woodside Fire Protection District Windsor Unified Woodside Elementary Chavan & Associates, LLP Page 18 95 Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services Paul Pham Professional Staff Paul received his Bachelor of Science from Pacific University and hopes to pursue a Master of Accountancy in the near future. He is currently preparing to sit for the CPA exam and plans to complete his CPA certification by the end of the year. Paul has been working in public and private accounting since 2007 and has completed five governmental audit seasons. Besides the standard control documentation and substantive testing required for GAAS audits, Paul has performed audits and prepared reports under OMB A -133 and the Single Audit Act for most of the entities listed below. He has audited Federal grants from various agencies, including FEMA, HUD, FTA, the Department of Education, ARRA grants and much more. Paul's recent continuing professional education: GAGAS - Ethical Principles In Government Auditing GAGAS - Field Work and Reporting Standards GAGAS - Field Work Standards For Financial Audits GAGAS - General Field Work And Reporting Standards GAGAS- General Standards GAGAS - Reporting Standards For Financial Audits GAGAS - Use and Application of GAGAS Government Auditing Major Changes to Auditing Standards Limiting Auditor Liability Internal Fraud: Analytical Techniques School Districts Conference Yellow Book: General, Field Work and Reporting Standards GASB Basic Financial Statements for State and Local The following is a list of Paul's clients over the years: Cities and Towns Special Districts School Districts /COE's Nonprofits and Charter Schools City of Sonoma Bay Area Water Supply Conserv. Agency Cabrillo Unified 2006 Washington St CIA Town of Los Gatos Central Marin Sanitation Agency Cotati Rhonert Park Boys and Girls Clubs of Sonoma City of Berkeley East Bay Dischargers Authority La Honda Pescadero Collective Roots Half Moon Bay Fire Protection Las Lomitas Elementary Credo Charter Los Trancos Water District Los Altos Elementary Morgan Hill Charter Menlo Park Fire Protection Luther Burbank Nob Hill Home Owners Association Pleasant Hill Parks and Rec Millbrae Elementary Pathway to Choices Point Mortara Fire Protection District Mountain View Whisman San Jose Charter South Bayside Systems Authority Orchard School District San Jose Conservation Corps South San Francisco Conf. Ctr. San Bruno Park Sociometrics Tahoe Regional Planning Agency San Mateo County Office The Cities Group Seqouia Union High West Bay Sanitary District Sonoma Valley Unified West County Wastewater District Union Elementary Westborough Water District West County Agency (LEA) Woodside Fire Protection District Windsor Unified Woodside Elementary Chavan & Associates, LLP Page 19 M Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services Greg Metz Professional Staff Greg graduated from California State University, Chico with a Bachelor of Science in Business Administration. New to public accounting in 2011, he has completed two seasons of governmental auditing. Greg has performed tests of controls, substantive tests, state compliance testing and Federal compliance testing for various local governments during his past two years. Besides the standard control documentation and substantive testing required for GAAS audits, Greg has performed audits and prepared reports under OMB A -133 and the Single Audit Act. He has audited Federal grants from various agencies, including ARRA Special Education, ARRA grants, Department of Education and others. Greg's recent continuing professional education: GAGAS - Ethical Principles In Government Auditing GAGAS - Field Work and Reporting Standards GAGAS - Field Work Standards For Financial Audits GAGAS - General Field Work And Reporting Standards GAGAS - General Standards GAGAS - Reporting Standards For Financial Audits GAGAS - Use and Application of GAGAS Government Auditing Major Changes to Auditing Standards Limiting Auditor Liability Internal Fraud: Analytical Techniques School Districts Conference Yellow Book: General, Field Work and Reporting Standards GASB Basic Financial Statements for State and Local The following is a list of Greg's clients over the years: Cities and Towns Special Districts School Districts /COE's Nonprofits and Other Town of Los Gatos Bay Area Water Supply Conserv. Agency Cabrillo Unified Collective Roots Central Marin Sanitation Agency Cotati Rhonert Park Credo Charter East Bay Dischargers Authority Las Lomitas Elementary Morgan Hill Charter South Bayside Systems Authority Los Altos Elementary San Jose Charter West Bay Sanitary District Millbrae Elementary San Jose Conservation Corps West County Wastewater District Mountain View Whisman Pathway to choices Westborough Water District Orchard School District Sociometrics San Bruno Park San Mateo County Office Seqouia Union High Sonoma Valley Unified Union Elementary West County Agency (LEA) Windsor Unified Woodside Elementary Chavan & Associates, LLP Page 20 97 Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services Nick Underwood Professional Staff Nick graduated from the San Jose State University, with a B.S. in Accounting. He has been working in public accounting since 2010 and was an accounting associate at Arminino McKenna before Joining C &A in 2012. Nick has performed audits for local governments, nonprofit organizations and non - public companies. Some of his responsibilities included testing of controls over financial reporting and compliance, year -end substantive testing and drafting financial statements and note disclosures. Nick is accustom to meeting deadlines and has worked closely with clients to do so. We believe that his experience brings us another staff member capable of identifying and improving the design and implementation of internal controls. Nick has audited Federal grants from various agencies, including ARRA Special Education, ARRA grants, Highway Planning and Construction, HUD, the Department of Education and others. Nick's recent continuing professional education: GAGAS - Ethical Principles In Government Auditing GAGAS - Field Work and Reporting Standards GAGAS - Field Work Standards For Financial Audits GAGAS - General Field Work And Reporting Standards GAGAS - General Standards GAGAS - Reporting Standards For Financial Audits GAGAS - Use and Application of GAGAS Government Auditing Major Changes to Auditing Standards Limiting Auditor Liability Internal Fraud: Analytical Techniques School Districts Conference Yellow Book: General, Field Work and Reporting Standards GASB Basic Financial Statements for State and Local The following is a list of Nick's clients over the years: Cities and Towns Special Districts School Districts /COE's Nonprofits and Other Town of Los Gatos Bay Area Water Supply Conserv. Agency Cabrillo Unified Collective Roots Central Marin Sanitation Agency Cotati Rhonert Park Credo Charter East Bay Dischargers Authority Las Lomitas Elementary Morgan Hill Charter South Bayside Systems Authority Los Altos Elementary San Jose Charter West Bay Sanitary District Millbrae Elementary San Jose Conservation Corps West County Wastewater District Mountain View Whisman Pathway to choices Westborough Water District Orchard School District Sociometrics San Mateo County Office Seqouia Union High Sonoma Valley Unified Union Elementary West County Agency (LEA) Windsor Unified Woodside Elementary Chavan & Associates, LLP Page 21 Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services Michael Copher, CPA Professional Staff Mike holds a Masters in Accountancy, a B.S. in Accountancy, a B.S. in Finance (Investment Banking) and a minor in Computer Science. He has three years of auditing experience and two years of accounting consulting experience since graduating from Illinois in 2005. He has two years of auditing experience at KPMG in Silicon Valley /San Francisco and one year at Arminino McKenna in San Jose. Mike contributed to KPMG annual audit engagements, quarterly reviews and SOX404 testwork with large cap client such as Apple, Infineon and SVB Financial Group. In addition, Mike contributed to the audit engagement at the State Compensation Insurance Fund in San Francisco, gaining experience with Yellow Book government compliance. Mike also has experience from Arminino McKenna with ETR Associates, a non - for- profit client in Scotts Valley. Mike is proficient with the IDEA auditing software tool, Microsoft Excel and Access as well as HTML and C ++ programming. His skill of data analysis combined with reengineering audit procedures earned him the Exceptional Performer Award in 2007 at KPMG placing him in the top 5% of his class. Mike's recent continuing professional education: GAGAS - Ethical Principles In Government Auditing Government Auditing GAGAS - Field Work and Reporting Standards Major Changes to Auditing Standards GAGAS - Field Work Standards For Financial Audits GAGAS - General Standards GAGAS - General Field Work And Reporting Standards GAGAS - Reporting Standards For Financial Audits GASB Basic Financial Statements for State and Local GAGAS - Use and Application of GAGAS The following is a list of Michael's clients over the years: Special Districts School Districts /COE's Nonprofits and Other Bay Area Water Supply Conserv. Agency Cabrillo Unified Annams Central Marin Sanitation Agency Cotati Rhonert Park Collective Roots South Bayside Systems Authority Las Lomitas Elementary Credo Charter West Bay Sanitary District Mountain View Whisman LiveBooks West County Wastewater District Orchard School District Mashery Westborough Water District San Bruno Park Pathway to choices Sonoma Valley Unified San Jose Charter West County Agency (LEA) Sociometrics Windsor Unified Chavan & Associates, LLP Page 22 .. Section D - Partner, Supervisory and Staff Qualifications and Experience City of Saratoga Proposal for Auditing Services Alice Hsu, CPA Professional Staff Alice graduated from the University of California, Santa Barbara, with a B.A. in Business and Economics with an emphasis in Accounting. She has been working in public accounting since 2006 and was an accounting associate at Montgomery Professional Service Corporation for one year before that. Alice has performed audits for local governments, nonprofit organizations, non - public companies and publicly held companies which included in- charge assignments. Some of her responsibilities included engagement planning, review of SEC filings, reporting internal control deficiencies, drafting financial statements and note disclosures, training assigned staff, and tax preparation. Alice is accustom to meeting deadlines and has worked closely with clients to do so. We believe that her experience brings us another staff member capable of identifying and improving the design and implementation of internal controls. Alice's recent continuing professional education: GAGAS - Ethical Principles In Government Auditing Government Auditing GAGAS - Field Work and Reporting Standards Major Changes to Auditing Standards GAGAS - Field Work Standards For Financial Audits GAGAS - General Standards GAGAS- General Field Work And Reporting Standards GAGAS- Reporting Standards For Financial Audits GASB Basic Financial Statements for State and Local GAGAS - Use and Application of GAGAS The following is a list of Alice's clients over the years: Special Districts School Districts /COE's Nonprofits and Other Bay Area Water Supply Conserv. Agency Cabrillo Unified Annams Central Marin Sanitation Agency Cotati Rhonert Park Collective Roots South Bayside Systems Authority Las Lomitas Elementary Credo Charter West Bay Sanitary District Mountain View Whisman LiveBooks West County Wastewater District Orchard School District Mashery Westborough Water District San Bruno Park Pathway to choices Sonoma Valley Unified San Jose Charter West County Agency (LEA) Sociometrics Windsor Unified Professional Education and Training Our professionals complete 80 hours of continuing professional education every two years in auditing and accounting which includes 80 hours of governmental auditing and accounting training. We use a combination of in -house seminars, self -study and outside seminars sponsored by the AICPA, the GFOA, the California Education Foundation and other recognized groups. Chavan & Associates, LLP Page 23 100 SECTION E REFERENCES AND SIMILAR ENGAGEMENTS 101 Section E - Client References and Similar Engagements City of Saratoga Proposal for Auditing Services Client References and Similar Engagements The following projects were completed by C &A for the fiscal year ended June 30, 2012, or by our managing partner, Sheldon Chavan, during the past five audited fiscal years: Client Town of Los Gatos City of Sonoma City of Berkeley Contact Person Steve Conway Carol Giovanatto Robert Hicks Title Finance Director City Manager Finance Director Address 110 E. Main St, Los Gatos, CA 95030 No. 1, The Plaza, Sonoma, CA 95476 2180 Milvia St, Berkeley, CA 94704 Phone 408 - 354 -6828 707 - 933 -2213 510- 981 -7339 E -mail sconway @losgatosca.gov cgiovanatto @sonomacity.org RHicks @ci.berkeley.ca.us Period Completed 6/30/2012 6/30/2009 6/30/2008 Hours 460 440 1,500 Contract Amount $38,000 $35,000 $180,000 Engagement Partner Sheldon Chavan Sheldon Chavan Sheldon Chavan /Jeff Ira GFOA Award Yes No Yes Scope of Work CAFR Prep Report Prep CAFR Review GAGAS Audit GAGAS Audit GAGAS Audit Single Audit Single Audit Single Audit SAS 114 Report SAS 114 Report SAS 114 Report Management Letter Management Letter Management Letter GANN Limit AUP GANN Limit AUP GANN Limit AUP TDA Audit TDA Audit Measure A Audit SA /RDA Audit SA /RDA Audit Measure B Audit Year Round Consultation Year Round Consultation Housing Authority Audit Rent Stab Board Audit TDA Audit SA /RDA Audit Year Round Consultation Year Round Consultation Client Los Altos School District Central Marin Sanitation Agency Sequoia Union High School District Contact Person Randy Kenyon Hank Jen Marty Fuentes Title Assist Sup of Business Services Finance Manager CBO Address 201 Covington Rd, Los Altos, CA 94022 1301 Andersen Dr, San Rafael, CA 94901 480 James Ave, Redwood City, CA 94061 Phone 650- 947 -1160 415- 459- 1455x129 650- 369 - 1411x2289 E -mail rkenyon @lasdschools.org hjen @crosa.us mfuentes @seq.org Period Completed 6/30/2012 6/30/2012 6/30/2012 Hours 220 200 425 Contract Amount $16,500 $16,000 34,400 Engagement Partner Sheldon Chavan Sheldon Chavan Sheldon Chavan GFOA Award Yes Yes No Scope of Work CAFR Prep Report Prep /CAFR Review Report Prep GAGAS Audit GAGAS Audit GAGAS Audit Single Audit SCO Min Audit Req Single Audit SAS 114 Report Review SCO Report SAS 114 Report Management Letter SAS 114 Report Management Letter State Compliance Management Letter Prop 39 Bond Audit Student Body Funds Audit Year Round Consultation Vendor Prequalification Audit Year Round Consultation State Compliance Student Body Fund Audit Year Round Consultation Chavan & Associates, LLP Page 24 102 ATTACHMENTS 103 Attachment A Peer Review Report CHIANG, HAMMON & COMPANY Certified Public Accountants edd n treet to an e System Review Report June 28, 2011 To the members of Chavan & Associates LLP and the Peer Review Committee of the Ca1CPA We have reviewed the system of quality control for the accounting and auditing practice of Chavan & Associates LLP in effect for the year ended December 31, 2010. Our peer review was conducted in accordance with the Standards for Performing and reporting on Peer Reviews established by the Peer Review Board of the American Institute of Certified Public Accountants. The firm is responsible for designing a system of quality control and complying with it to provide the firm reasonable assurance of conforming with applicable professional standards in all material respects. Our responsibility is to express an opinion on the design of the system of quality control and the firm's compliance therewith based on our review. The nature, objectives, scope, limitations of, and the procedures performed in a System Review are described in the standards at www.aicpa.org/prsumma . As required by the standards, engagements selected for review included engagements performed under the Government Auditing Standards. In our opinion, the system of quality control for the accounting and auditing practice of Chavan & Associates LLP in effect for the year ended December 31, 2010, has been suitably designed and complied with to provide the firm with reasonable assurance of conforming with applicable professional standards in all material respects. Firms can receive a rating of pass, pass with deficiency(ies) or fail. Chavan & Associates LLP, has received a peer review rating of pass. t Chiang, Hammon & Company rl 104 MEETING DATE: July 3, 2013 SARATOGA CITY COUNCIL DEPARTMENT: Finance & Administrative Services PREPARED BY: Mary Furey AGENDA ITEM: CITY MANAGER: Dave Anderson DIRECTOR: Mary Furey SUBJECT: Resolution to Establish Property Tax Levy for Debt Service Payments on the Library General Obligation Bonds RECOMMENDED ACTION Adopt the attached resolution which sets the property tax levy rate to provide for the Library General Obligation Bond's debt service payment at $.0074 per $100 of Assessed Valuation. REPORT SUMMARY Background In March 2000, the citizens of Saratoga approved the issuance of $15,000,000 of General Obligation (GO) Bonds to pay for improvements to the Saratoga Community's Library Building. GO Bonds are tax - exempt debt obligations secured by the City's statutory authority to levy ad valorem taxes on real and personal property located within city boundaries for payment of the bond's principal, interest, and administrative expenses. The County of Santa Clara collects the GO Bond levy along with property taxes, and subsequently remits the assessments to the City. The City in turn, dispenses payments on behalf of the bond debt. The City does not receive revenue for this administrative obligation, nor expend any City funds for the bond debt. The General Obligation Bonds were issued in May of 2001, and debt service payments began in February 2002. At the time the GO Bonds were issued, competitive interest rates ranged between 5 and 6 %. With interest rates falling to historic lows in 2011, and with the GO Bonds becoming eligible for redemption, it was financially advantageous for the City to refund the outstanding bond debt. Therefore, the 2001 Series General Obligation Bonds were refunded on August 1, 2011 saving the City's residents $2,677,041 in interest over the remaining twenty years of the bond term. Discussion For the purpose of assessing a levy to the City's property owners to fund debt service payments, the County of Santa Clara requires local jurisdictions to adopt a resolution each year which establishes the annual tax levy rate. The tax levy rate may adjust from year to year due to ongoing increases in property values (resulting in higher tax receipts) and decreasing annual debt service payments due on the bonds. Santa Clara County's Auditor - Controller's Office does not provide a secured assessed valuation report for the upcoming fiscal year until days before the tax levy rate is due to the County on August l st. This timing does not leave sufficient time for the Council to approve the levy based on actuals. Therefore, a property tax assessed value estimate from the Assessor's most recent Secured Property Roll Growth Comparison report is used to prepare the tax rate calculation. 105 In prior years, the City's tax levy rate was structured to yield an amount approximately equal to the fiscal year's debt service, however with rising property tax growth, receipts surpassed debt service payments each year, and the Debt Fund reserves grew to significantly exceed debt service payment requirements. For the last several years, the property tax levy calculation has been structured to provide slightly less than debt service payments to reduce this reserve balance. As the bond refunding lowered debt service requirements further, the levy rate was again lowered. And now, with property values on the rise, the levy rate is being lowered even further for next year, with the intent to continue reducing the Debt Fund reserve on a slow but steady pace. There are two debt service payments each year: principal and interest in August, and interest only in February. This means that at a minimum, the year -end Debt Service Fund Balance Reserve should provide sufficient funding for the August debt service payment, which is made prior to the annual property tax levy remittance to the City. At this point in the bond payment cycle, the August debt service payment is approximately $700,000. Scheduled principal and interest debt service payments are shown on the debt schedule attached to this report. Fiscal Year 2013114 Calculation The Library bond's principal and interest debt service requirements for FY 2013/14 are shown below: Debt Service — Principal Debt Service — Interest Debt Service — Fees Total Debt Service $ 485,000 403,085 1,775 $ 889,860 The Tax Assessor's roll as of June 1, 2013 lists the City of Saratoga's assessed valuation under the Current Assessor's Working File (CAWF) Roll for FY 2013/14 at $11,625,975,973. The required property tax levy is then subsequently determined by dividing the annual recovery amount per $100 of estimated assessed valuation: Property Tax Levy Calculation: Debt Service recovery amount $ 889,860 Divided per $100 of estimated valuation $ 116,259,760 Fully Funded Property Tax Levy Rate: .007654 However, with the intent to reduce the Debt Service Fund's Fund Balance Reserve at a slow but steady pace, staff recommends the Property Tax Levy Rate be set lower than the rate calculated above for full debt service funding. Lowering the current rate to .0074 (rate rounded to 4 decimals per Assessor) will result in total tax assessment receipts of approximately $860,000, thereby reducing the current Fund Balance Reserve by an estimated $30,000. With this reduction, current budget estimates project the Reserve would be lowered to approximately $859,000 at FY 2013/14 year -end. A gradual decrease is intended to prevent upward swings in the tax rate levy at a later date. On the property tax bill, this assessment is equivalent to $74 per $1,000,000 of assessed valuation. The tax levy is designated specifically for funding the annual debt service requirements of the voter approved General Obligation Bond, with the tax revenue receipts included in the City's operating budget, within the Library Bond Debt Service Fund. For historical reference, the following schedule displays the City's adopted annual property tax levy rates since first assessed in FY 2001/02: 106 Library General Obligation Bond Tax Levy Rate History 2001/02 0.01673 2002/03 0.01650 2003/04 0.01210 2004/05 0.01484 2005/06 0.01170 2006/07 0.00955 2007/08 0.01130 2008/09 0.01040 2009/10 0.00940 2010/11 0.00940 2011/12 0.00880 2012/13 0.00800 2013/14 0.00740 FISCAL IMPACT With the adoption of the property tax levy rate of .0074, debt service payments will be funded by tax assessments and excess prior year assessment receipts; debt service payments would not fiscally impact city operations. ALTERNATIVE ACTION The Council could choose to approve an alternative property tax levy rate, or to not approve a tax levy rate. If the property tax levy is not approved, supplemental funds would not be collected by the Santa Clara County Tax Assessor for the debt service related to the Library General Obligation Bond, and the debt service payments would be funded from City reserves, or result in default. FOLLOW UP ACTION The Finance & Administrative Services Director will send a certified copy of the adopted resolution setting the property tax levy for the Library General Obligation Bond no later than August 1st to: Mu -Hua Cheng County of Santa Clara Controller- Treasurer Department 70 West Hedding Street, East Wing, 2nd Floor San Jose, CA 95110 -1705 ADVERTISING, NOTICING AND PUBLIC CONTACT Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and included in the packet made available on the City's website in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. 107 ATTACHMENTS A: General Obligation Bond Debt Service Schedule B. Resolution authorizing the Tax Rate Levy for the General Obligation Bonds and report the levy rate to the Santa Clara County Tax Collector. 1: Attachment A City of Saratoga 2011 General Obligation Bond Debt Schedule August August February Fiscal Year Bond Fiscal Interest Annual Interest Interest Annual Debt Principal Year Rate Principal Payment Payment Interest Service Balance @YE Refunded Bond Issuance dated August I, 2011 11,995,000 2011/12 2.00% - - 228,211 228,211 228,211 11,995,000 2012/13 2.00% 455,000 208,518 203,968 412,485 867,485 11,540,000 2013/14 2.00% 485,000 203,968 199,118 403,085 888,085 11,055,000 2014/15 2.00% 495,000 199,118 194,168 393,285 888,285 10,560,000 2015/16 2.00% 500,000 194,168 189,168 383,335 883,335 10,060,000 2016/17 3.00% 475,000 189,168 182,043 371,210 846,210 9,585,000 2017/18 3.00% 485,000 182,043 174,768 356,810 841,810 9,100,000 2018/19 4.00% 500,000 174,768 164,768 339,535 839,535 8,600,000 2019/20 4.00% 525,000 164,768 154,268 319,035 844,035 8,075,000 2020/21 4.00% 545,000 154,268 143,368 297,635 842,635 7,530,000 2021/22 3.00% 565,000 143,368 134,893 278,260 843,260 6,965,000 2022/23 4.00% 580,000 134,893 123,293 258,185 838,185 6,385,000 2023/24 4.00% 610,000 123,293 111,093 234,385 844,385 5,775,000 2024/25 4.00% 630,000 111,093 98,493 209,585 839,585 5,145,000 2025/26 3.50% 655,000 98,493 87,030 185,523 840,523 4,490,000 2026/27 3.50% 685,000 87,030 75,043 162,073 847,073 3,805,000 2027/28 3.70% 705,000 75,043 62,000 137,043 842,043 3,100,000 2028/29 4.00% 730,000 62,000 47,400 109,400 839,400 2,370,000 2029/30 4.00% 760,000 47,400 32,200 79,600 839,600 1,610,000 2030/31 4.00% 790,000 32,200 16,400 48,600 838,600 820,000 2031/32 4.00% 820,000 16,400 - 16,400 836,400 - TOTAL PAYMENTS 11,995,000 2,601,993 2,621,686 5,223,678 17,218,678 Total Bond Principal payments 11,995,000 Total Bond Interest payments 5,223,678 Total Cost of Bond Issuance 17,218,678 109 Attachment B RESOLUTION NO. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA ESTABLISHING THE FY 2013/14 PROPERTY TAX LEVY ASSESSMENT RATE FOR DEBT SERVICE PAYMENTS ON THE LIBRARY GENERAL OBLIGATION BOND WHEREAS, in March 2000, the citizens of Saratoga approved an increase in their property tax rate to pay for the debt service and other expenses of the general obligation bonds for construction of the Library, and WHEREAS, the general obligation bonds were originally sold on April 24, 2001, and WHEREAS, the general obligation bonds were refunded on August 1, 2011, and WHEREAS, it is necessary for the City Council of the City of Saratoga to establish an annual property tax levy rate to provide funds for debt service payments and related expenditures during the fiscal year, NOW, THEREFORE, BE IT RESOLVED that the FY 2013/14 Property Tax Levy rate for debt service on the Library General Obligation Bonds be established at $.0074 per $100 of assessed valuation. The above and foregoing resolution was passed and adopted at an adjourned meeting of the Saratoga City Council held on the 3rd day of July 2013 by the following vote: AYES: NOES: ABSENT: ABSTAIN: ATTEST: Crystal Bothelio, City Clerk City of Saratoga Jill Hunter, Mayor City of Saratoga 110 foSARATOGA CITY COUNCIL i MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: Finance & Administrative Services CITY MANAGER: Dave Anderson PREPARED BY: Mary Furey DIRECTOR: Mary Furey SUBJECT: Resolution Naming City Representatives to the ABAG PLAN Board (Liability Pool) RECOMMENDED ACTION Adopt resolution designating City of Saratoga representatives to the Association of Bay Area Government's (ABAG) Pooled Liability Assurance Network (PLAN) Corporation Board of Directors. REPORT SUMMARY Background Since 1986, the City of Saratoga has belonged to the Association of Bay Area Government (ABAG) Pooled Liability Assurance Network (PLAN) for liability and risk management services, and the Shared Agency Risk Pool (SHARP) for workers' compensation coverage. Risk sharing pools are designed to provide small to medium -sized municipalities and agencies the benefits available to larger self - insured entities. Sharing the risk and oversight duties of a liability and/or workers compensation program helps to control costs. ABAG's Corporation bylaws and memorandum of coverage requires each member agency to appoint a Director and Alternate to the program boards. The City Council designates the appointees to represent the City on the ABAG PLAN and SHARP Boards through the adoption of a resolution. When there is a change in the designated representative, the City is required to rescind the prior resolution and adopt a new resolution naming the new representatives. Discussion On June 1, 2011, Resolution 11 -03 5 was adopted naming Michael Taylor, Risk Manager and Recreation & Facilities Director as the ABAG PLAN Director, and former City Clerk, Ann Sullivan as the Alternate. After Ann Sullivan retired in November, 2011, Mary Furey, Finance & Administrative Services Director began to serve as the Alternate. The City was notified recently that ABAG PLAN did not have a current City resolution on file which officially reflected this change. Therefore, staff requests Council adopt the attached resolution to formally appoint the currently assigned Director and Alternate to update the ABAG PLAN records. FISCAL IMPACTS: There is no financial impact from the adoption of the resolution. 111 CONSEQUENCES OF NOT FOLLOWING RECOMMENDED ACTION: The City would not be represented on the ABAG PLAN Board. ALTERNATIVE ACTION: The Council may wish to designate different employees to serve on the ABAG PLAN Board. FOLLOW UP ACTION: The designated employees will attend and represent the City at regular ABAG PLAN meetings. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's website in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: A. Resolution to appoint Director and Alternate to the ABAG PLAN Board of Directors. 112 RESOLUTION 13 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA APPOINTING ONE DIRECTOR AND ONE ALTERNATE TO THE ABAG PLAN BOARD OF DIRECTORS WHEREAS, the City of Saratoga has been a charter member of the Association of Bay Area Government (ABAG) Pooled Liability Assurance Network (PLAN) Corporation since 1986; and WHEREAS, ABAG PLAN Corporation is provides the City with liability insurance, property insurance, employee bonds, and risk management services; and WHEREAS, ABAG PLAN Corporation is a self - funded insurance pool serving public agencies; and WHEREAS, the operations of these programs are governed by a Board of Directors consisting of one representative from each member agency; and WHEREAS, ABAG's corporation bylaws state that each governing body of each member entity in ABAG PLAN shall appoint one (1) Director and one (1) Alternate to serve at the respective member entity's pleasure; and WHEREAS, participation on the Board of Directors is carried out by City staff as part of their regular duties and does not result in any remuneration to the employee; and WHEREAS, in Resolution No. 11 -035 dated June 6, 2011, Recreation and Facilities Director Michael Taylor was appointed as the City of Saratoga's Director to the Board and the City's former City Clerk Ann Sullivan (who has since retired), was appointed as the Alternate; and WHEREAS, the Finance & Administrative Services Director, Mary Furey has served as the Alternate to the ABAG Board of Directors since Ann Sullivan's retirement; and WHEREAS, ABAG PLAN requires the member agencies to adopt a resolution to officially re- designate this appointment. NOW, THEREFORE, the City Council of the City of Saratoga hereby rescinds Resolution 11 -035; and NOW, THEREFORE, the City Council of the City of Saratoga hereby resolves to appoint Michael Taylor, Risk Manager and Recreation and Facilities Director, to serve as the City of Saratoga's Director on the ABAG Board of Directors and Mary Furey, Finance & Administrative Services Director, to serve as the Alternate. The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of July, 2013, by the following vote: AYES: NAYS: 113 ABSENT: ABSTAIN: ATTEST: Crystal Bothelio, City Clerk 114 Jill Hunter, Mayor Of Pam SARATOGA CITY COUNCIL 4 S't;V MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Crystal Bothelio DIRECTOR: Dave Anderson City Clerk SUBJECT: Resolution Supporting Measure A, Santa Clara County Library District Special Tax Renewal RECOMMENDED ACTION: Approve the attached resolution in support of Measure A, renewal of the Santa Clara County Library District special tax. BACKGROUND: The voter - approved special tax that supports funding for the Santa Clara County Library District has been in place for the past twenty years and is due to expire June 30, 2015. Consequently, the Joint Powers Authority Board of the Santa Clara County Library District unanimously approved placing a special tax measure on an August 2013 mailed ballot that would continue existing library funding at current rates to maintain and protect library services provided by the County Library District. The annual tax is $33.66 per single- family home, condominium, or townhouse. Revenues from the special tax account for approximately 18 percent of the County Library District's revenues and is used primarily to buy materials and to staff libraries in the Library District. If the tax is not renewed, libraries operated by the County Library District may be forced to close for up to 1.5 days per week. Additionally, the Library District would have significantly less funding for purchasing books and other collection materials. The Library District may also have to layoff staff. The County Library District serves the communities of Saratoga, Campbell, Cupertino, Gilroy, Los Altos, Los Altos Hills, Milpitas, Monte Sereno, Morgan Hill, and uincorporated Santa Clara County. FISCAL IMPACTS: There are no direct fiscal impacts associated with approval of the resolution of support for Measure A. Page 1 of 2 115 CONSEQUENCES OF NOT FOLLOWING THE RECOMMENDED ACTIONS: The City of Saratoga will not be identified as a supporter of Measure A. ALTERNATIVE ACTION(S): IN= FOLLOW UP ACTION(S): Implement Council direction. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Attachment A: Resolution in Support of Measure A, Santa Clara County Library District Special Tax Renewal Page 2 of 2 116 RESOLUTION NO. 13- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA SUPPORTING MEASURE A, SANTA CLARA COUNTY LIBRARY DISTRICT WHEREAS, a Santa Clara County Library District Community Facilities District Special Tax Measure will appear on the August 27, 2013 mail ballot in our community; and WHEREAS, voter - approved taxpayer funding for our local library has been in place for the past twenty years and is due to expire in June 2015; and WHEREAS, continuing this funding at existing rates does not increase taxes and will help Saratoga Library to buy needed books and up -to -date research materials; maintain library hours and services; keep qualified librarians; continue summer student reading programs; and provide an award - winning bookmobile program; and WHEREAS, every dollar from these voter - approved revenues raised within the City of Saratoga goes directly for the benefit and operation of our local library; and WHEREAS, public libraries are an important educational asset in the community as it provides school and community college students with access to new books, up -to -date research materials, and summer reading programs; and WHEREAS, many seniors on fixed incomes rely on libraries because buying books is just too expensive, and this funding helps maintain our bookmobile program that brings books to senior centers; and WHEREAS, without this funding, Saratoga Library and other libraries in the Santa Clara County Library District will be forced implement significant cuts to programs and services, including purchasing fewer books and databases, reducing its ability to maintain up -to -date collections; reducing or eliminating library programs for children, teens and seniors; and closing the library for an additional day to day- and -a -half each week; and NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Saratoga endorses the Santa Clara County Library District Community Facilities District Special Tax Measure A on the August 27, 2013 mail ballot. NOW, THEREFORE, BE IT FURTHER RESOLVED that we authorize the use of our name by the campaign in support of the Measure. 117 The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of July 2013 by the following vote: AYES: NOES: ABSENT: ABSTAIN: ATTEST: DATE: Crystal Bothelio, City Clerk 118 Jill Hunter, Mayor ug SAIt 04 SARATOGA CITY COUNCIL �e �Lx�oR�s MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Crystal Bothelio DIRECTOR: Dave Anderson City Clerk SUBJECT: Confirmation of Report and Assessment of 2013 Weed Abatement Program RECOMMENDED ACTION: Open public hearing, accept public testimony, close public hearing, and adopt resolution confirming report and assessment of hazardous vegetation abatement charges. BACKGROUND: Under State and local laws, local governments routinely abate the seasonal hazardous vegetation on undeveloped property. For the County and several cities, including Saratoga, this hazardous vegetation abatement program is administered by the Office of the Agricultural Commissioner. As part of the abatement program, properties are inspected for hazardous vegetation and property owners that are out of compliance are notified that they must meet abatement requirements. If the property owner fails to do so, a contractor hired by the County will perform abatement work and the cost of removal will be applied to the property owner's property tax. The attached list, Attachment B, notes the parcels that remain out of compliance with weed and/or brush abatement requirements. If the property owner completes the abatement work prior to the County contractor performing the abatement, the property owner will only incur a $250 inspection fee. If the property is new to the program, there is also a $41 administrative fee to create and maintain a file on the property in the weed and brush abatement program database. If abatement work is performed by the County's contractor, the property owner will be assessed for these fees plus the cost of work performed by the contractor and an additional administrative fee of $169 per parcel. The total amount will be included as a special assessment on the property owner's tax bill following confirmation of charges. If the attached resolution is adopted by Council, the Office of the Agricultural Commissioner will proceed with the abatement program process and property owners will be assessed for any applicable administrative, inspection, or abatement work expenses. Page 1 of 2 119 FISCAL IMPACTS: There are no direct financial impacts to the City of Saratoga as a result of the weed and brush abatement programs if the attached resolution is adopted. Associated costs are charged to property owners. CONSEQUENCES OF NOT FOLLOWING THE RECOMMENDED ACTIONS: If the resolution is not adopted, the City may be liable for assessments not levied. ALTERNATIVE ACTION(S): N/A FOLLOW UP ACTION(S): Implement Council direction. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. Additionally, a notice of public hearing was published in the Saratoga News on June 18, 2013. ATTACHMENTS: Attachment A: Resolution Confirming Report and Assessment of Hazardous Vegetation Abatement Charges Attachment B: 2013 Hazardous Vegetation Abatement Assessment Report Attachment C: Notice of Public Hearing Page 2 of 2 120 RESOLUTION NO. 13- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA CONFIRMING REPORT AND ASSESSMENT OF HAZARDOUS VEGETATION ASSESSMENT CHARGES WHEREAS, at a regular meeting of the Saratoga City Council held on July 3, 2013, the Office of the Agricultural Commissioner submitted a report to the City Council consisting of all unpaid bills for weed and brush abatement expenses and a proposed assessment list, including the parcels against which said expenses and applicable administrative and collection costs are to be assessed, all pursuant to Article 7 -15 of the Saratoga City Code; and WHEREAS, the City Council, having heard said report and all objections finds that no modifications need to be made to any of said assessments; NOW, THEREFORE, BE IT RESOLVED that the 2013 Weed Abatement Program Assessment Report, City of Saratoga, prepared by the Office of the Agricultural Commissioner, attached to this resolution as Exhibit A and incorporated herein by reference, be and hereby is confirmed. Should the abatement work be completed by a County contractor, the property owner will be assessed the contractor's charges plus a County administrative fee of $169 per parcel. The total amount will be included as a special assessment on the property owner's tax bill following confirmation of the charges; and the Santa Clara County Auditor will be directed to enter the amounts of said assessments against the respective parcels of land on the County Tax Roll, and to collect the same at the time and in the manner as general municipal taxes are collected. A certified copy of this resolution and assessments shall be filed with the Santa Clara County Auditor. Attachments: Exhibit A — 2013 Weed Abatement Program Assessment Report — City of Saratoga The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of July 2013 by the following vote: AYES: NOES: ABSENT: ABSTAIN: ATTEST: DATE: Crystal Bothelio, City Clerk 121 Jill Hunter, Mayor 2013 Weed Abatement Program Assessment Report City of Saratoga Exhibit A iipxa 5itus APN OWNER ADDRESS TAX ROLL AMT J$A 1 12260 Sara[oga- sunnyva1e 386 -30 -035 West Valley M us] im Assn 12260 Saratoga- sunntrale Rd SARATOGA 95070-3026 S291.00 15033 2 I3601 Myron 389-37 -039 Yalta, Srinivas iZoshan And Pedarla 607 Grayson W } y MILPITAS 95035 5250.00 15042 3 14923 Sobcy 397 -04 -126 Ansari, Floashang 14923 Sake} Rd SARATOGA 95470 -6235 � $1,_51.30 15001 4 14921 Sobey 397 -04 -127 Jpmorgan Chase Bk 7255 Bayrneadows Way JACKSONVILLE :2256 S1.155-60 150131 5 14416 Old 1§'ood 397 - 05-432 Pitxen, David H And Pitzen, Jennifer 1224 Lincoln Ave SAN JOSE. � 95I ;5 $'1 50.00 15[101 6 15120 Quito 41"0 -01S IIuynh, Paul Hong Ngoc And Ngo, 21201 Luinber[own Ln SARATOGA 95070 -5712 5250.{}0 35027 7 503 -13 -067 Ali. Sved And Shnista Ali 22653 Garrud Rd SARAT( }C3A 45070 -0000 $2.373.00 15033 8 22215 hot laden 503 -13 -138 Keenan, John E And keenan, Cher 1 y 22215 Mt Eden Rd SARATOGA 95070 -Of100 $250.(]0 15021 9 22122 Mt Eden 503 -13 -143 Ax Chemicals Inc Et Al. 8226 Rinconada Ct NEU -ARK 94560 $250.00 15033 10 13615 Vaquero 503 - 14-034 Cochrane, James E And Cnehrane, 13615 Vaquero Ct SARATOGA 95070 -4849 $250.40 15033 11 12943 P ercc 503 -15 -019 Teraic, John 12943 Pierce Rd SARAT0t3A 95070-37 1.3 5291.00 15033 12 12973 fierce 503 -18 -060 Fan, Yn 12973 Pierce Rd SARAIOG,A 95070 -3752 541.UI} 15024 13 20$95 Canon VieiA- 503 -28 -004 Worobey, Ann M 20895 Canyon View Dr SARATOGA 95470 -5 763 $250.00 15028 14 13845 Pike 503 -30 -003 Liu, Qingxiang And Zhon, Ling 13845 Pike Rd SARATOGA 95070 -5346 $250.40 15070 15 14134 Dorene 503 -31 -058 Liaag, Zhu 14134 Dorene Ct. SARATOGA„ 95070 -9727 $1.248.40 1SE133 16 13947 Albar 503 -31 -088 Hwang, Lily L And Hwang, Joseph J P 13966 Albar Ct SARATOGA 95070 -9718 5777.00 15017 17 13966 Mbar 503-31-107 Hwan ,Lit L And "wan Jose hJ g Y g, P 13966AIbarCl SARATOGA 95470 -9715 X250.00 117 18 LAND fierce 503 -474)07 Chateaa Masson Lie 1250 4akmead Pv Unit 21[4 SUNNYVALE 940$5 $41.00 15033 79 Toll Gate 503 -62 -027 Gaddis, Stephen B p 42 U Selby Ln 11Z7l1;RTOIU 94027 4013 $250.00 I5013 20 21786 Via Regina 503-69 -007 Hoeber, Anthonv N And Hoeber, 709 Duncanville Ct # Court 08 CAMPBELL 95008 -3146 $25000 15033 Report Date: $12012013 (List Sorted by APN) Page i iipxa 2013 Weed Abatement Program Exhibit A Assessment Report City of Saratoga TAX ROLL Situ& APN OWNER ADDRESS AMT MA 21 2) 1770 Congress Hail 503 -75 -008 Davis, Anthony 141 And Davis, fshbel 1253 Collins Ix SAN JOSE 95129-4209 S250.00 15013 TOTAL $10,469.30 Report Date: W2012013 (List Sorted by APN) Page 2 123 NOTICE OF PUBLIC HEARING BEFORE CITY COUNCIL Notice is hereby given that the City Clerk of the City of Saratoga State of California has set WEDNESDAY, THE 3RD DAY OF JULY 2013 AT 7:00 P.M. in the City Council Chambers at 13777 Fruitvale Avenue, Saratoga, California, as the set time and place for public hearing on: RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARAOGA CONFIRMING REPORT AND ASSESSMENT OF WEEDS AND BRUSH ABATEMENT CHARGES All interested persons may appear and be heard at the above time and place. If you challenge this item in court, you may be limited to raising only issues you or someone else raised at the public hearing described in this notice or in written correspondence delivered to the City Council at, or prior to the public hearing. In order to be included in the City Council's information packets, written communications should be filed on or before the Thursday before the meeting. A copy of any material provided to the City Council on the above hearing(s) is on file at the Office of the Saratoga City Clerk at 13777 Fruitvale Avenue, Saratoga. Questions may be addressed to the City Clerk, (408) 868 -1269. /s /Crystal Bothelio, City Clerk PUB: 6/18/2013 Saratoga News 124 ug SAIt 04 SARATOGA CITY COUNCIL �e �Lx�oR�s MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Crystal Bothelio DIRECTOR: Dave Anderson City Clerk SUBJECT: Application for Community Event Grant Funds RECOMMENDED ACTION: Review Community Event Grant Program application and determine whether to allocate grant funds. BACKGROUND: On June 26, 2013, the City received a community event grant application from Sankritilaya Inc. for an Indian classical vocal music concert by Prasanna Venkatraman on September 1 in the Civic Theater. The grant request is for $2,750. Per the City's Community Event Grant Program policy, event organizers may submit grant applications throughout the year if they are unable to participate in the annual application process. Consequently, staff added the application to the July 3, 2013 Council Meeting for Council consideration and decision. The annual application process took place in early 2013 and in March 2013, the City Council made allocations for the Fiscal Year 2013/14 Community Event Grant Program. A total of $19,253 was allocated to events that are scheduled to take place in Fiscal Year 2013/14. A total of $769 is unallocated. FISCAL IMPACTS: Currently, only $769 is unallocated from the Fiscal Year 2013/14 Community Event Grant Program budget. If Council chooses to fund the full grant request of $2,750, funding from another source will be required to cover the full amount of the grant. CONSEQUENCES OF NOT FOLLOWING THE RECOMMENDED ACTIONS: A decision on whether or not to allocate grant funds requested by Sankritilaya Inc. will not be made. ALTERNATIVE ACTION(S): N/A Page 1 of 2 125 FOLLOW UP ACTION(S): Implement Council direction. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Attachment A: Community Event Grant Application Attachment B: Fiscal Year 2013/14 Community Event Grant Allocations Page 2 of 2 126 �� 01 5ARgTGr �� City of Saratoga lose Community Event Grant Application rRLIF09 SUMMARY OF EVENT Event Name:lndian Classical Vocal music concert by Prasanna Venkatraman Event Date: 9/1/2013 Event Location: Saratoga Civic Theater Grant Request: $2750 CONTACT FOR GRANT APPLICATION Contact Name: Mrs. Viji Mani Title: Treasurer Organization: Sankritilaya Inc Address: 22561 Poppy Dr., Cupertino CA 95014 Phone: (650) 336 -5292 ABOUT THE EVENT Event Hours: 4 pm to 8 pm (4 hours) Total Event Cost:$3250 Email:board @sankritilaya.org Print For Event Description: Sankritilaya's charter is to promote Indian classical arts, and to promote the young and upcoming artists of these arts, by organizing workshops for the local students collaborating with other local organizations. The artist for this event, part of 2013 events by Sankritilaya - Prasanna Venkatraman is of the next generation and this is his first International /North American tour. Estimated Attendance: 300 One Time Event ® Annual Event ❑ Funding Amount Received from City in Past:None Other Funding Sources: Include source & amountTicket sales (expected) $250 Event Promotion Plan: Online ads (including google ads) and email marketing Advertising & marketinginternet promotion (search engines and listing in related sites such as sulekha.com) Posters in key locations in the area (restaurants and specialty grocery stores) Prior Event Organizing Experience: Sankritilaya was formed as a non - profit (501(c)3 status) in 2008 and has been Describe the experience of the eventconducting classical concerts and classical dance events every year since - about 6 coordinator and the organization events a year on an average - in the south bay. requesting funds EVENT BUDGET: Please attach an itemized list of event expenses; identify the items you are requesting grant funding for. * Please attach additional sheets as needed to answer application questions. Provisional estimate of expenses (For the concert of Vidwan Prasanna Venkatraman on Sept. 1, 2013 at Saratoga Civic Theater) Grant requested 1. Artists' compensation $1,000 $1,000 2. Artist' travel /airfare (approx.) $ 750 $ 750 3. Sound technician $ 250 4. Theater cost $1,000 $1,000 5. Advertising /printing posters, misc. $ 250 Total expenses $3,250 $2,750 INTERNAL REVENUE SERVICE P. O. SOX 2508 CINCINNATI, OR 45201 Date: UT 2 SANEK.R.IT'ILAYA CEO MAUALINGAM MANI 22561 POPPY DR CUPERTINO, CA 95014 -0802 Dear Applicant: DEPARTMENT OF THE TREASURY Employer Identification Number: 26- 2297124 DLN: 17053162300008 Contact Person: SHEILA M ROBINSON ID# 31220 Contact Telephone Number: (877) 829 -5500 Accounting Period Ending: December 31 Public Charity Status: 549 (a) (2) Form 990 Required: Yes Effective Date of Exemption: April 9, 2008 Contribution Deductibility: Yes Addendum Applies: No We are pleased to inform you that upon review of your application for tax exempt status we have determined that you are exempt from Federal income tax under section 501(c )(3) of the Internal Revenue Code. Contributions to you are deductible under section 170 of the Code. You are also qualified to receive tax deductible requests, devises, transfers or gifts under section 2055, 2105 or 2522 of the Code. Because this letter could help resolve any questions regarding your exempt status, you should keep it in your permanent records. Organizations exempt under section 501(c)(3) of the Code are further classified as either public charities or private foundations. We determined that you are a public charity under the Code section (s) listed in the heading of this letter. Please see enclosed Publication 4221 -PC, Compliance Guide for 501(c)(3) Public charities, for some helpful information about your responsibilities as an exempt organization. Letter 947 (DO/CG) SANKRITILAYA Enclosures: Publication 4221 -PC -2- sincerely, Robert Choi Director, Exempt organizations Rulings and Agreements Letter 947 (DO /CG) STATE OF CALIFORNIA FRANCHISE TAX BOARD u- PO BOX 1286 '�f•' RANCHO CaRDaVA CA 95741 -1286 In reply refer to 755:AFF:ARJ December 15, 2008 SANKRITILAYA MAHALINGAM MANI 22561 POPPY DR CUPERTINO CA 95014 -0802 Purpose CHARITABLE Code Section 23701d Form of Organization Corporation Accounting Period Ending: December 31 Organization Number 2953775 EXEMPT ACKNOWLEDGEMENT LETTER This letter acknowledges that the Franchise Tax Board (FTB) has received your federal determination Letter that shows exemption under Internal Revenue Code (IRC) Section 501(c)(3). Under California law, Revenue and Taxation Code (R &TC) Section 23701d(c)(1) provides that an organization is exempt from taxes imposed under Part 11 upon submission of the federal determination letter approving the organization's tax - exempt status pursuant to Section 501(c)(3) of the IRC. The effective date of your organization's California tax - exempt status is 04/09/2098. R &TC Section 2370ld(c)(1) further provides that the effective date of an organization's California tax-exempt status is the same date as the federal tax- exempt status under IRC Section 501(c)(3). Under R &TC Section 2370ld(c), any change to your organization's operation, character, or purpose that has occurred since the federal exemption was originally granted must be reported immediately to this office. Additionally, organizations are required to be organized and operating for December 15, 2008 SANKRITILAYA ENTITY I❑ : 2953775 Page 2 nonprofit purposes to retain California tax- exempt status. For filing requirements, see FTB Pub. 1068, Exempt Organizations - Requirements for Filing Returns and Paying Filing Fees. Go to our website at ftb.ca.gov and search for 1068. Note: This exemption is for state franchise or income tax purposes only. For information regarding sales tax exemption, contact the State Board of Equalization at 800.400.7115, or go to their website at bae.ca.gov. A JENKINS EXEMPT ORGANIZATIONS BUSINESS ENTITIES SECTION TELEPHONE (916) 845 -4171 FAX NUMBER (916) 845 -9029 RTF: Fiscal Year 2013/14 Community Event Grant Allocations Event Name Allocation Blossom Festival $4,600 Saratoga Historical Foundation Bollywood Dance $1,300 Sushama Takker Celebrating Service $520 Assistance League Foodie on the Run $1,440 Saratoga - Sunnyvale Businesses & Alameda Family Funeral Home Hansel & Gretel Opera for Children and Families $940 Bay Shore Lyric Opera Company Library - Heart of the Community $1,380 Saratoga Library Memorial Day Observance $750 Foothill Club Opera at Wildwood Park to Celebrate Bastille Day $380 Bay Shore Lyric Opera Company Saratoga Community Band Sunday Afternoon Concert in the Park $325 Saratoga Community Band Saratoga Community Health and Wellness Event - Saratoga Trails 5K Walk for Life $2,380 SASCC Saratoga Grammar School Reunion $118 Lea Ann Hernandez Saratoga July 4th Celebration $1,984 Saratoga Sister City 30th Anniversary Open House $618 Sister City Committee Village Holiday Tree Lighting & Wine Stroll $2,518 Saratoga Chamber of Commerce Total Grant Funding Allocated FY 2013/14 $19,253 133 ug SAIt 04 SARATOGA CITY COUNCIL �e �Lx�oR�s MEETING DATE: June 26, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Jim Yoke DIRECTOR: Dave Anderson Emergency Services Coordinator Santa Clara County Fire Department SUBJECT: Saratoga Emergency Operations Plan (EOP) RECOMMENDED ACTION: Approve the new Emergency Operations Plan (EOP). BACKGROUND: The attached EOP is an update of the current EOP which was approved in 2009. This is the Basic Plan and the annexes will be added in the second half of 2013. FISCAL IMPACTS: N/A CONSEQUENCES OF NOT FOLLOWING THE RECOMMENDED ACTIONS: The older EOP will continue to be in effect. ALTERNATIVE ACTION(S): N/A FOLLOW UP ACTION(S): Implement Council direction. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Page 1 of 2 134 Attachment A: Draft 2013 Saratoga Emergency Operations Plan Attachment B: Resolution Page 2 of 2 135 City of Saratoga Emergency Operation Plan on This Page Intentionally Left Blank FW ill141imp 64- W] Foreword The Emergency Operational Plan for the City of Saratoga is a joint effort between the City of Saratoga and the Santa Clara County Fire Department. The Santa Clara County Fire Department promotes a regional approach to the service provided. Emergency management staff from the Santa Clara County Fire Department has developed the Emergency Operations Plans for the cities of Campbell, Cupertino, Monte Sereno, Saratoga, and the Town of Los Gatos. By doing so all of the emergency plans of the West Valley cities have a common format and inasmuch as possible standardized procedures and protocols. This approach ensures compliance with planning requirements and mandates. By planning this way the West Valley cities are able to participate in joint training programs, conduct joint exercises, and manage disasters with the same approach. The goal of the Santa Clara County Fire Department in this effort is to provide the highest level of service and expertise to the West Valley cities. FW il141imp 64- W] Table of Contents Introduction................................................................................ ............................... 5 City History & Description .................................................................. ..............................5 PlanPhilosophy ................................................................................. ..............................5 Purpose& Scope .............................................................................. ..............................6 PlanStructure ................................................................................... ..............................7 PlanMaintenance ............................................................................. ..............................7 Promulgation, Authorities, Approvals, & References ........................ ..............................8 Homeland Security Exercise & Evaluation Program (HSEEP) .......... ..............................8 References........................................................................................ ..............................8 AgencyResponsibilities .................................................................... ..............................9 Distribution....................................................................................... .............................10 BasicPlan: ............................................................................................................... 11 BasicPlan ......................................................................................... .............................11 Annexes............................................................................................ .............................11 Appendices....................................................................................... .............................11 HazardAnalysis ............................................................................... .............................12 Mitigation.......................................................................................... .............................15 Preparedness................................................................................... .............................16 City Emergency Organization .................................................................. ............................... 16 City General Plan, Safety Element .......................................................... ............................... 16 Vital Records Protection .......................................................................... ............................... 16 SantaClara County Role ......................................................................... ............................... 17 State of California Role ............................................................................ ............................... 17 Relationships with Federal Agencies ....................................................... ............................... 17 Homeland Security Exercise & Evaluation Program ( HSEEP) ................ ............................... 17 Cross - Jurisdictional Preparedness Actions ............................................. ............................... 17 Preparingthe Public ................................................................................... .............................18 Response......................................................................................... .............................19 Activation................................................................................................... ............................... 19 Levelsof Emergency .................................................................................. ............................... 19 Notification................................................................................................. ............................... 20 CityStaff Protocols ..................................................................................... ............................... 20 Field Incident Command Relationship With EOC Incident Management .. ............................... 21 Linesof Succession .................................................................................. ............................... 22 Alternate Seat of Government locations ................................................... ............................... 22 Santa Clara County Operational Area ...................................................... ............................... 22 MutualAid ................................................................................................. ............................... 22 SpecialDistricts ......................................................................................... ............................... 22 OperationsCenters ................................................................................... ............................... 22 Communications........................................................................................ ............................... 23 EOCStaffing Pattern ................................................................................. ............................... 23 WebEOC .................................................................................................. ............................... 24 Recovery.......................................................................................... .............................25 2 FW il141imp 64- W] Conceptof Operations .............................................................................. ............................... 25 SEMSRecovery Organization .................................................................. ............................... 26 DamageAssessment ................................................................................ ............................... 28 RecoveryActivities ................................................................................................................................ .............................29 DisasterAssistance ................................................................................... ............................... 30 Mitigation........................................................................................... .............................33 Appendices............................................................................... ............................... 35 Municipal Codes, Administrative Policies and Procedures .............. .............................35 City of Saratoga Municipal Code (Emergency Services) .................. .............................36 Proclamations........................................................................................ .............................40 Emergency Services Director Proclamation ............................................. ............................... 41 City Council Concurring Proclamation ...................................................... ............................... 42 Emergency Operation Plan Records ..................................................... .............................43 Drill /Exercise Record ................................................................................. ............................... 44 Emergency Operations Plan Revision Log ............................................... ............................... 45 ExternalResources ........................................................................................... .............................46 PublicSafety ............................................................................................. ............................... 47 Governments.............................................................................................. ............................... 48 Schools....................................................................................................... .............................50 TraumaCenters ......................................................................................... ............................... 52 LocalHospitals ........................................................................................... ............................... 52 Utilities....................................................................................................... ............................... 53 Transportation............................................................................................. .............................54 American Red Cross Shelters ................................................................... ............................... 55 Local Non - Profit Agencies ......................................................................... ............................... 56 National Non- profits/Voluntary Organizations Active in a Disaster ........... ............................... 57 Placesof Worship ...................................................................................... ............................... 58 Emergency Operation Center Position Checklists ....................................... .............................59 Generic Checklist for All EOC Personnel .................................................. ............................... 60 Director of Emergency Services (EOC Director) ...................................... ............................... 61 LegalOfficer .............................................................................................. ............................... 64 AgencyRepresentative ............................................................................. ............................... 66 LiaisonOfficer ........................................................................................... ............................... 68 Public Information Officer (PIO) ................................................................ ............................... 70 Safety & Security Officer ........................................................................... ............................... 74 OperationsSection Chief .......................................................................... ............................... 76 Care & Shelter Branch Coordinator .......................................................... ............................... 80 Fire and Rescue Branch Coordinator ....................................................... ............................... 82 Law Enforcement Branch Coordinator ...................................................... ............................... 84 Public Works Branch Coordinator ............................................................. ............................... 86 Planning /Intelligence Section Chief .......................................................... ............................... 88 Damage Assessment Branch Coordinator ................................................. ............................... 92 Documentation Branch Coordinator .......................................................... ............................... 94 Situation Status Branch Coordinator ......................................................... ............................... 96 LogisticsSection Chief .............................................................................. ............................... 98 Communications Branch Coordinator ..................................................... ............................... 101 Information Technology Branch Coordinator .......................................... ............................... 103 Facilities Branch Coordinator .................................................................. ............................... 105 Personnel/Volunteer Branch Coordinator ................................................ ............................... 107 3 rw 64- W] Supplies Branch Coordinator .................................................................. ............................... 110 Transportation Branch Coordinator .......................................................... ............................... 112 Finance /Administration Section Chief ..................................................... ............................... 113 Purchasing Branch Coordinator .............................................................. ............................... 116 Time Keeping Branch Coordinator .......................................................... ............................... 118 N FW ilI141imp 64- W] Introduction City History & Description The City of Saratoga, as a community built around a sawmill in 1850 and incorporated in 1958 has an approximate population of 30,000 people. It is a vibrant city with five school districts as well as a number of private schools, numerous parks and access to area freeways, mass transit systems, and the San Jose International Airport, and close proximity to major employers in the county. Primarily a residential suburb of the greater San Jose area it does have a popular shopping area in "The Village" in the downtown area along Big Basin Way. Saratoga is bordered to the north by San Jose and Cupertino, to the east by San Jose, Campbell, Monte Sereno, and Los Gatos, and to the south and west by unincorporated Santa Clara County. Plan Philosophy Emergency planning is not about the document. It is about the relationships, roles, and responsibilities that people assume in any given social and /or jurisdictional grouping, in an organized fashion, to effectively anticipate, prevent, mitigate, prepare, respond, and recover from emergencies. The document that you are reading is the product of many hours of work that individuals have invested in order to make the City of Saratoga safer and better prepared for all contingencies. Emergency planning never ends. Nobody is ever prepared - everybody is always in the process of preparing. This does not mean that the level of preparedness cannot be high, or that people can never feel confident about their ability to respond to disasters. It means that there will always be work to do. It means that emergency planning should always be thought of as a work in progress. No emergency planner can ever experience the day when all work is complete and there is nothing more to do. With this in mind, it is crucial to realize that complacency is potentially deadly. Disasters and emergencies will happen and all City personnel must be prepared to deal with them. It is not a question of whether an emergency will happen in Saratoga It is a question of when it will happen. This plan is written with certain fundamentals that are universally accepted: Planning must be community- based, representing the whole population and its needs. Planning must include participation from all stakeholders in the community. Planning uses a logical and analytical problem solving process to help address the complexity and uncertainty inherent in potential hazards and threats. Planning considers all hazards and threats. Planning should be flexible enough to address both traditional and catastrophic incidents. 5 FW iII141imp 64- W] Plans must clearly identify the mission and supporting goals (with desired results). Planning depicts the anticipated environment for action. Planning identifies tasks, allocates resources to accomplish those tasks, and establishes accountability. Planning includes senior officials throughout the process to ensure both understanding and approval. Time, uncertainty, risk, and experience influence planning. Effective plans tell those with operational responsibilities what to do and why to do it, and they instruct those outside the jurisdiction in how to provide support and what to expect. Planning is fundamentally a process to manage risk. Planning is one of the key components of the preparedness cycle, in which it is followed by: organizing and equipping, training, exercising, evaluating and improving. Purpose & Scope The purposes of this emergency plan: To create a framework for Saratoga response personnel that will make the continual planning process both very clear and relatively easy. To identify the hazards that exists in Saratoga. To enhance the development of Local Hazard Mitigation Planning on an ongoing basis. To address the needs of all people located in Saratoga when a disaster happens. To support collaborative efforts with not only city staff, but also external partners as well such as fire services, law enforcement, utilities, community groups, volunteers, and the American Red Cross. This concept serves to enhance not only response and recovery activities, but also municipal preparedness and community education. To outline clearly the strengths and weaknesses of the city in its preparedness activities. This plan will help City leadership see where training is needed, and where needs exist for other preparedness activities. This plan will guide the City through an effective and skillful response to any emergency. The Response Section is useful both in relation to the other sections of the plan and as a separate document unto itself. As part of the larger document it provides continuity between the Preparedness and Recovery Sections, and must be kept up to date in concert with those sections. It will also be useful and necessary in the Emergency Operations Center during an emergency, where staff will be able to refer to it at and direct response efforts with it. To aid the recovery process of a disaster. 6 FW iII141imp 64- W] The scope of this plan primarily is to address the needs and actions of City personnel before, during, and after a disaster, yet secondarily is to address the activities of all people and organizations in the City of Saratoga to develop and ensure communication, cooperation, coordination, and collaboration in all disaster related work. Plan Structure This plan is organized into three main parts. They are: A. The Basic Plan section describes in detail and in order hazard analysis of the City, plans and actions that will either prevent particular disasters from happening or mitigate the consequences of disasters that cannot be prevented, describe the preparedness activities of the City, describe the steps the City will take to respond to a disaster, and lastly describe the methods of recovering from disasters that will be used in Saratoga. B. The Annexes comprise plans that supplement the Basic Plan by going into greater detail in specific subjects. Plans that fit naturally after the Basic Plan are present here as annexes, but there will be others that logically exist as separate documents and these will be referenced in the Appendices. C. The Appendices contain useful information on a variety of subjects that will assist people using this plan. Lists, tables, and references to other documents containing valuable information will be found in the appendices. Plan Maintenance Ongoing & Continuous Planning Work - As described in the Introduction to this plan, the planning process is a never ending one that includes organizing and equipping people, training people, exercising plans, policies, and capabilities, and lastly evaluating and improving all of those things. This plan will be maintained on a regular basis by the Santa Clara County Fire Department, the Santa County Sheriff's Office, and the City of Saratoga. SEMS & NIMS Compliance & Updates - The State of California has regular planning updates and revisions through the SEMS Technical Committee and the SEMS Advisory Group that will influence this document. The United States of America through the Department of Homeland Security and the Federal Emergency Management Agency do the same with annual NIMSCAST evaluations and modifications to the National Preparedness Goal, the National Response Framework, and annual NIMS requirements that will force this plan to be a living document. A Plan Revision Log will be maintained in the appendices of this document. 7 FW 64- W] Promulgation, Authorities, Approvals, & References 1. City Council resolution approving this plan 2. City Municipal Code - Chapter 6 3. State Law California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the Government Code California Code of Regulations Title 19, Chapter 2, Subchapter 3, §2620 et seq. Standardized Emergency Management System (SEMS) Regulations, Chapter 1 of Division 2 of Title 21 of the California Code of Regulations (CCR) California Government Code §8607 (a) 4. Federal Laws & Mandates Federal Disaster Relief Act of 1974 (PL 93 -288) Federal Civil Defense Act of 1950 (PL 920) Public Law 84 -99 Homeland Security Presidential Directives 5 & 8 National Incident Management System (NIMS) at the NIMS Integration Center, http : / /www.fema.gov /emergency /nims/ Homeland Security Exercise & Evaluation Program (HSEEP) HSEEP is one of the US Department of Homeland Security's methods of standardizing and guiding training and exercise activity in the United States, and all exercises must be planned using it. It contains the National Exercise Schedule (NEXS), which will include Saratoga's exercise activities, the Design and Development System (DDS), and the Corrective Action Program (CAP). By using these HSEEP tools Saratoga's training and exercise program will be consistent with national standards and will systematically improve the City's capabilities to handle crises. References 1. City of Saratoga General Plan, Safety Element 2. City of Saratoga Local Hazard Mitigation Plan 3. Santa Clara County Emergency Operations Plan 4. Santa Clara County Local Hazard Mitigation Plan 5. State of California Emergency Plan 6. California Emergency Services Act 7. California Disaster Assistance Act 8. California Master Mutual Aid Agreement 9. California Emergency Management Mutual Aid Plan 10. National Response Framework 11. National Incident Management System 8 FW iII141imp 64- W] 12. National Preparedness Goal 13. FEMA, Developing and Maintaining Emergency Operations Plans - CPG 101 Agency Responsibilities City of Saratoga - The City will decide when this plan and the Emergency Operations Center (EOC) will be activated, coordinate volunteer response efforts, deploy personnel and resources to address disaster caused needs, issue emergency proclamations when needed, and coordinate response and recovery efforts with the County EOC. Santa Clara County Fire Department - The Fire Department is responsible for firefighting, rescue, medical response, and hazardous materials (HAZMAT) response. During incidents in which these capabilities are the primary objectives the Fire Department will act as Incident Command either solely or in a Unified Command as appropriate. Santa Clara County Sheriff's Office - The Sheriff Office is responsible for the maintenance of law and order during emergencies, search and rescue operations, city facility security, and the evacuations of residents as needed. During incidents focused on criminal matters the Sheriff Office will act as Incident Command either solely or in a Unified Command as appropriate. Saratoga Public Works (PW) - PW has the equipment and the trained personnel to clear debris, transport supplies and heavy materials, and interact professionally with utilities, water, and sewer contract agencies. PW will act as the City's Incident Command when dealing with infrastructure damage to the city, either solely or in a Unified Command as is appropriate. Santa Clara County - Santa Clara County is responsible for the support of the municipalities in the county, the coordination of resources countywide, and as the coordinating agency for the Santa Clara County Operational Area communicates with the State of California regarding disasters in this county. American Red Cross - The American Red Cross establishes facility agreements with schools, churches, recreation halls and the like in order to shelter evacuees and provide mass care feeding and sheltering. It also provides casework services for those who have suffered losses, and physical and mental health services for the victims of disasters. School Districts - The schools are responsible for the custodial care of students on school property during school hours when disaster strikes. They must be prepared to 9 rw ill141imp 64- W] house and feed students for up to three days in order to release them to their parents as the parents arrive. High schools in particular are frequently the locations of Red Cross shelters. Distribution American Red Cross, Silicon Valley Chapter Saratoga Radio Amateur Civil Emergency Service (RACES) Los Gatos - Saratoga Joint Union High School District Saratoga Union School District City of Saratoga City Council Members City of Saratoga Department Heads Santa Clara County Sheriff's Office Santa Clara County Fire Department Santa Clara County Office of Emergency Services 10 FW ill141imp 64- W] Basic Plan There are three parts to the City of Saratoga Emergency Operational Plan: The Basic Plan, Annexes and Appendices. Basic Plan: The basic plan describes the fundamental systems, strategies, policies, assumptions, responsibilities and operational priorities that the City of Saratoga will utilize to guide and support emergency management efforts. Essential elements of the basic plan include: A description of the emergency services that are provided by governmental agencies and how resources are mobilized, An outline of the methods for carrying out emergency operations and the process for rendering mutual aid, An overview of the system for providing public information and Emphasis on the need for continuity planning to ensure uninterrupted government operations. These elements culminate with a comprehensive emergency management concept of operations that outlines the relationships and responsibilities for state government and its political subdivisions. Annexes: This plan implements Emergency working groups, which will develop annexes that follow an established format to describe discipline- specific goals, objectives, operational concepts, capabilities, organizational structures and related policies and procedures. The annexes will be developed separately from the basic plan and will make reference to existing agency and department plans and procedures. Supporting plans and documents should be listed in an attachment to each annex. Appendices: Subsequent plans and procedures that are developed in support of the City of Saratoga Emergency Operation Plan, such as mutual aid plans, hazard - specific plans, catastrophic plans and related procedures will be incorporated by reference and maintained separate from the basic plan. Some of these supporting plans may be appended to the end of the basic plan as deemed appropriate. 11 FW 64- W] Hazard Analysis Hazard Analysis Likelihood of Occurrence Chart Likelihood Hazard Infrequent Sometimes Frequent Aviation Disaster Civil Disturbance Earthquake M <5 Earthquake M >5 Extreme Weather /Storm Fire Floods HAZMAT Heat Wave Public Health Emergency Terrorism Transportation — Highway Wildland Fire Severity Low I Moderate I High Aviation Disaster Commercial aircraft approaching the San Jose International Airport do fly over Saratoga occasionally, and are still fairly high, thus mitigating their risk. Civil Disturbance Socially and historically Saratoga is not a community that lends itself to civil unrest, hence this risk is low. 12 FW ill141imp 64- W] Earthquake Saratoga is particularly prone to earthquakes and the risk is high. Active fault lines surround the City: San Andreas to the south and west, Hayward and Calaveras to the north and east, and Monte Vista to the west. According to the Branched States Geological Survey the Hayward Fault is of particular concern, as it has a history of 7.0> earthquakes on an approximately 140 year cycle, the most recent of which was in 1868. Note: In the past there have been earthquakes on the different fault lines within the area that have caused significant shaking in Saratoga. It is safe to say that any major earthquake in the Santa Clara County area (including Saratoga) will cause many injuries, loss of life, residential and commercial structural damage, and infrastructure damage to bridges, roads, utilities, and communications. Extreme Weather /Storm, Floods, Landslides Because Saratoga is near the base of the Santa Cruz Mountains water can flow rapidly through the City's creeks and streams during times of heavy rain. However, wind damage from heavy storms typically causes more damage than flooding in Saratoga because of the many trees and tree branches that fall down on structures and power lines, while storm water generally drains away effectively. Fire Older neighborhoods have many residences with wooden shake shingle roofs, which pose a significant threat, particularly when a strong wind is blowing. Furthermore, a major fire in the downtown area could potentially have a large financial impact. HAZMAT There are few businesses in Saratoga that manufacture products that pose a hazardous materials risk, and with frequent inspections and compliance the risk is considered low. The majority of this activity happens at West Valley College. Heat Wave The summer heat in Santa Clara County does reach levels that qualify for Heat Warnings from the National Weather Service on occasion, and Saratoga is commonly amongst the hottest locations in the County during a heat wave. When the heat reaches oppressive levels heat exhaustion and heat stroke are real possibilities for those who are without cooling systems in their homes and those who are working outdoors. Public Health Emergency 13 FW ill141imp 64- W] Saratoga is at neither greater nor lesser risk from a public health emergency than most other communities, hence the unpredictability of this risk. Occasional outbreaks of seasonal cold and flu do occur, while all are at risk from serious threats such as pandemic flu. Terrorism Although not considered a terrorist target in the category of cities like New York or Washington D.C., Saratoga shares the risks of the general public from indiscriminate threats such as cyber- terrorism, agro- terrorism, and biological warfare. Transportation - Highway Risks from the presence of a heavily travelled highway do exist in Saratoga because of Highway 85 which bisects the City, but not as much as would normally be the case. Commercial traffic is restricted on this highway in that no tractor semi trucks over 4.5 tons are allowed which mitigates most traffic that would contain any hazardous materials, such as heavy tanker trucks. Wildfire /Forest Fire The wildfire risk in Saratoga and in the Santa Cruz Mountains above it to the west is seasonal in nature. Because of the types of vegetation and typically high moisture content this risk is usually small. However, there are brief occasions each year when winds blowing east to west dry out the hillsides and cause wildfire concerns. The 2008 Summit Fire near Loma Prieta, the Stevens Canyon Fire in 2007, the 1985 Lexington Fire in Los Gatos which burned 42 buildings and 13,000 acres, and the 1997 Cats Fire that threatened downtown Los Gatos are examples of fires that do threaten the area. 14 FW iII141imp 64- W] Mitigation Mitigation is the phase, where action is taken to reduce or eliminate the long -term risk to human life and property from natural and human - caused hazards. Mitigation efforts occur both before and after an event. In 2012 Saratoga completed a Local Hazard Mitigation Plan (LHMP), which serves as an annex to the County's LHMP and to a similar plan with the Association of Bay Area Governments (ABAG). Also in 2012, Saratoga adopted a revised Safety Element to the General Plan which is linked to the LHMP. These plans assess in detail Saratoga's emergency capabilities, vulnerabilities, and mitigation strategies. Completion of these plans also makes Saratoga eligible for mitigation grant funds from the Federal Emergency Management Agency (FEMA). 15 FW iII141imp 64- W] Preparedness Preparedness in emergency management has two essential parts, planning and training, both of which must be viewed as ongoing and continuous efforts that never end. This document will continue to be analyzed and edited during its lifespan. New annexes will be added, out of date items will be replaced, and procedures and protocols will change. Other plans related to this EOP will be written. Training subjects like the Incident Command System, Standardized Emergency Management System (SEMS) and EOC operations must be kept current for long -term employees through refresher training, and new staff will need introductory training on these and other subjects. City Emergency Organization Saratoga is staffed with all of the departments that are typically found in a city of its size with the exception of fire services, which are provided by Santa Clara County Fire Department, and law enforcement, which is provided by the Santa Clara County Sheriff's Office. City staff are housed for the most part at City Hall with two main exceptions: Public Works staff are located at that department's facility on Allendale Avenue adjacent to City Hall and the Parks & Recreation staff are also adjacent to City Hall at the Joan Pisani Community Center. The City Manager is both the Director of Emergency Services during a disaster response sits on the City's Disaster Council during times of preparedness. Department Directors and EOC Section Chiefs all report to the City Manager /Director of Emergency Services and that person has the ability to limit or expand staff activated during a disaster and adjust personnel assignments as he or she sees fit. The City provides for a line of succession if the City Manager is unavailable or incapacitated. City General Plan, Safety Element The Safety Element of the Saratoga General Plan describes hazard analysis in great detail, and sets City goals in enhancing health and safety in the City. A Safety Element revision has recently been completed and is currently under review prior to formal adoption. Vital Records Protection The Information Technology Department backs up all of the City's records on a two - part schedule: Daily backups are made of incremental files, e-mail, and laser fiche. Weekly backups are made of everything in the city's computer system. 16 FW ill141imp 64- W] Santa Clara County Role The Santa Clara County Office of Emergency Services (OES) is a key preparedness partner for the City in that it convenes Operational Area meetings, manages and makes available to the cities various grants, organizes and hosts trainings, and provides planning guidance. OES also manages the Santa Clara County Operational Area during both response and recovery operations. State of California Role The California Emergency Management Agency (Cal EMA) is also a key partner for the City for many of the same reasons as the County. It is part of the grant management system, it provides training through the California Specialized Training Institute, hosts major exercises (Golden Guardian), gives guidance on SEMS and NIMS compliance, and assists with plan development.. Cal EMA organizes and delivers State of California personnel and resources during response and recovery operations. Relationships With Federal Agencies The Federal Emergency Management Agency (FEMA) is the main federal agency that has an influence on emergency management in the City of Saratoga. FEMA authors the National Response Framework, and other similar plans. FEMA provides a wealth of training both online and at its Emergency Management Institute that Saratoga employees can attend. During a disaster response large enough to cause a Presidential Disaster Declaration FEMA will organize and coordinate national response personnel and resources and during the recovery phase FEMA will manage and support Disaster Field Offices in collaboration with the State of California. Homeland Security Exercise & Evaluation Program (HSEEP) The US Department of Homeland Security maintains the HSEEP program, which provides a system to guide training and exercises nationwide. All exercise activity in the City of Saratoga must be directed by HSEEP including meetings, conferences, goal setting, the use of partner agencies, and after action planning. Adherence to HSEEP processes provides management practice as well that will be of benefit before, during, and after real world disaster activations, particularly in the after action planning process. A formal After Action Conference with the requisite Improvement Plans and Corrective Action Plans must follow all drills, exercises, and real world activations. Cross - Jurisdictional Preparedness Actions As part of the plan writing process for this EOP and following FEMA directions for the "Whole Community" approach to emergency planning, the Saratoga community is being brought into the planning process. The provides an environment where city institutions improve their planning efforts, and also ensures that those institutions 17 FW iII141imp 64- W] have familiarity with emergency planning at City Hall and vice versa as well. In particular, the city institutions involved in the planning process are: The Saratoga Chamber of Commerce /Business Community Faith Based Organizations /Congregations Licensed Residential Facilities Schools Utilities Preparing The Public Public disaster education is delivered in the City in three ways: The Santa Clara County Fire Department regularly hosts Personal Emergency Preparedness (PEP) classes in Saratoga and throughout the West Valley Region. In these classes participants learn what risks they face, how to plan for those risks, and what supplies they should have ready in their homes. The Santa Clara County Fire Department and the City collaborate on Saratoga's Community Emergency Response Team (CERT). This is a twenty - hour class in which participants learn disaster preparedness, small fire fighting, disaster medical operations, light search and rescue methods, disaster psychology, team organization, and terrorism facts. Upon graduation participants become volunteers for the City, organizing them selves systematically so that they are ready to respond within their capabilities in the City during a disaster. The American Red Cross, Silicon Valley Chapter frequently hosts Community Disaster Education classes throughout the County, which are of the same nature as the PEP classes mentioned above. 18 FW iII141imp 64- W] Response Activation EOC activation can be done under the following circumstances: 1. On the order of the following: a. City Manager b. Public Works Director 2. When the Governor has proclaimed a State Of Emergency in an area including Saratoga. 3. Automatically on the proclamation of a State Of War Emergency as defined in California Emergency Services Act (Chapter 7, Division 1, Title 2, California Government Code). 4. A Presidential declaration of a National Emergency in an area including Saratoga. 5. Automatically on receipt of an attack warning or actual attack on the United States. 6. The City EOC can be activated prior to and completely without an emergency proclamation. Both the EOP and the EOC are flexible instruments of disaster response that can be used only in the parts needed for smaller responses, and can also be used to the fullest for major responses. Generally, there are three considerations when deciding to activate the EOC: a. The ability of the City government to function b. The ability of the people in the City to go about their daily lives c. The status of infrastructure in the City including roads, electricity, gas, bridges, water, sewage, etc. Levels of Emergency Level I - A minor to moderate incident characterized by adequate local response capability and sufficient resources to favorably resolve the situation. A local emergency may or may not be proclaimed. Level II - A moderate to severe emergency characterized by a need for Mutual Aid to ensure a favorable resolution of the situation. In most cases, a Local Emergency will be proclaimed. The Governor may proclaim a State Of Emergency. Level III - A major disaster, exemplified by depletion of resources and Mutual Aid response capability area -wide, necessitating extensive statewide and federal assistance. Generally, a Local Emergency and a State Of Emergency will be proclaimed. A Presidential declaration may or may not be proclaimed. 19 FW ii141imp 64- W] Notification - (this will occur based on one of two scenarios) An earthquake that requires no notification - when an earthquake strikes everybody in the vicinity of the quake knows it. A disaster such as a hazardous materials spill or a fire that will need a systematic notification process. The City of Saratoga uses the County's Alert SCC system has the ability to deliver specific messages to city staff and volunteers as well as the ability to send alert and warning style messages to the general public. The City Manager's Office, the Sheriff's Office, and the Santa Clara County Fire Department all have the ability to send out voice messages, text messages, and e-mail alerts using this system, both internally to city staff, volunteers, and city council members, and to the general public City Staff Protocols: 1. Earthquakes 6.5 and above, within a 60 mile radius of the City of Saratoga, City Management should consider immediate activation of the EOC. Off duty EOC staff and City employees should call their supervisor immediately to determine if they should report back to the city. If the employees are unable to contact their supervisor, do to a communication outage, they are to report back to work. RACES personnel should to report to the EOC immediately. CERT members are to check on their homes and families first, then their neighborhoods, and then report to their staging areas. An earthquake of this size or bigger is probably the only disaster in which the above personnel may respond automatically without further notification. 2. In all other disasters, once the appropriate City leadership has decided to activate the EOC, the Director of Emergency Services and /or his designees will make the appropriate notifications to City EOC staff to report to the EOC immediately. This includes EOC volunteers like RACES and CERT. 3. Some notes on activation and notification: Chaos to one degree or another is to be expected in the opening minutes and hours of a major disaster. Crucial factors will be the time of day and the day of the week. Activations that happen Monday through Friday during business hours will have the advantage of most if not all City staff present, but will have the disadvantage of many volunteers being scattered across the Bay Area at their places of employment. Activations during non - business hours and weekends will have the advantage of many volunteers present at their homes, but City staff will be slow to assemble at their posts and some may not even be able to travel to Saratoga because of infrastructure damage. Communications will also be a difficult issue for many if power and phone lines are down. In this environment amateur radio communications and Television Station 26 will become important sources of public information as soon as possible. 20 FW III141imp 64- W] Field Incident Command Relationship With EOC Incident Management Field Incident Command will be led at Incident Command Posts by the Police Department, County Fire Department, the Public Works Department, or some combination of the three in a Unified Command. With the communications methods available to them Incident Commanders will keep their respective disciplines located in the Operations Section of the EOC informed of response progress, and EOC personnel will assist field responders with personnel, facilities, and material needed to accomplish tactical objectives. Comparison of Field and EOC SEMS Functions PRIMARY SEMS FUNCTION FIELD RESPONSE LEVEL EOCS LEVEL Command / Management Command is responsible Management is for the directing, ordering, responsible for facilitation and /or controlling of of overall policy, resources. coordination and support of the incident. Operations The coordinated tactical The coordination of all response of all field jurisdictional operations in operations in accordance support of the response to with the Incident Action the emergency in Plan. accordance with the EOC Action Plan. Planning / Intelligence The collection, evaluation, Collecting, evaluating and documentation and use of disseminating information intelligence related to the and maintaining incident. documentation relative to all jurisdiction activities. Logistics Providing facilities, Providing facilities, services, personnel, services, personnel, equipment and materials in equipment and materials in support of the incident. support of all jurisdiction activities as required. Finance / Administration Financial and cost analysis Responsible for and administrative aspects coordinating and not handled by the other supporting administrative functions. and fiscal consideration surrounding an emergency incident 21 FW ilI141imp 64- W] Lines of Succession 1. City Manager 2. Public Works Director Alternate Seat of Government locations include the: 1. The Saratoga- Prospect Center on Prospect Road at 19848 Prospect Road 2. St. Andrew's Episcopal Church on Saratoga Avenue at 13601 Saratoga Avenue 3. West Valley College on Fruitvale Avenue at 14000 Fruitvale Avenue Santa Clara County Operational Area Coordinated by the County EOC the Santa Clara County Operational Area, which consists of the County, all 15 municipalities, and the special districts (school, water, etc.), will support Incident Command Posts in the field and the Saratoga EOC with personnel and material resources. Should the resources of the Operational Area be exhausted the County EOC will communicate with the Coastal Region and the State for further mutual aid. Mutual Aid Mutual Aid resources will be made available through the Operational Area coordinated at the County EOC, only after internal logistical supplies and the purchasing ability of the City have been exhausted. This does not apply to law enforcement and fire services mutual aid, which have their own county and statewide mutual aid systems as described in the California Master Mutual Aid Agreement and other related documents. Special Districts Special districts such as School Districts will send agency representatives to the City EOC as needed, and will coordinate with the City response activities in their areas. Life safety and preservation of property are the top priorities for all, and the City and the special districts will endeavor to assist each other as much as possible. Operations Centers Emergency Operations Center (EOC) - Located at the downtown Fire Station (Santa Clara County Fire Station #17) at 14380 Saratoga Avenue • Purpose & Function - The EOC exists to support tactical objectives in the field at Incident Command posts, and to manage response resources in the City when multiple incidents need support. • Representation - See the EOC Staffing Roster in the Appendices. • Backup Locations: City Manager's Administrative Conference Room, Saratoga- Prospect Center, Corporation Yard Saratoga Union School District - Located at the District Office 22 FW iII141imp 64- W] Los Gatos - Saratoga Joint Union High School District - Located at the District Office Communications During a disaster response the City will use two communications methods that will serve different groups of people with different objectives: A Santa Clara County Sheriff's Office representative will be staff the Law Enforcement Branch of the Operations Section of the EOC and will provide communications in the service of that department. The City's radio station (1610 AM) will broadcast emergency information to the Saratoga area The Saratoga cable channel (KSAR) will also broadcast emergency information to the Saratoga area Saratoga amateur radio operators will serve in the Logistics Section of the EOC and will provide communications to all who need their services. Their primary tasks will be to provide communications to CERT volunteers in the field, other amateur radio operators in the field, and provide communications if needed between the City and the Operational Area EOC. They will operate as described by the Federal Communications Commission in their Radio Amateur Civil Emergency Service capacity. EOC Staffing Pattern The Saratoga EOC is staffed with an EOC Roster that lists two shifts over a 24 -hour period of City personnel to the Section Chief and Branch Coordinator level for most EOC positions in all of the ICS sections. It is important to note that an EOC can be staffed partially or fully depending on need and Director of Emergency Services has the flexibility to staff the EOC partially or fully. Position checklists for each of the EOC positions are located in the appendices. Broken down into each of its sections and branches, the EOC staff at its fullest would exist as follows: Management • Director of Emergency Services • Legal Officer • Liaison Officer • Public Information Officer • Safety & Security Officer Operations • Fire & Rescue • Law Enforcement o Care and Shelter Public Works 23 FW iII141imp 64- W] Planning • Damage Assessment • Documentation • Resource Status • Situation Status Logistics • Information Technology • Communications • Donations Management • Facilities • Personnel • Spontaneous Volunteers • Supplies • Transportation Finance • Purchasing • Time Keeping Web EOC Web EOC is an emergency management software tool used by all of the Santa Clara County Operational Area to share information, make resource requests, provide situation status reports, and organize disaster responses in general. If during the initial hours or days of a response power and the internet are not available the Saratoga EOC is prepared to manage a response within its borders using paper, handwritten forms, but when power and the internet are available this work will be done using Web EOC. 24 FW il141imp 64- W] Recovery Recovery refers to those measures undertaken by an entity following a disaster that will return all systems (utilities, phones, government offices, etc.) to normal levels of service. Effective recovery consists of a complex array of interdependent and coordinated actions. Some jurisdictions may have recovery operations as a separate manual, referenced in the EOP. Concept of Operations Recovery operations should begin as soon as possible after a disaster. Many think recovery operations generally are initiated after the disaster response has been ongoing and appears to show some promise of diminishing. A successful recovery starts at the moment of impact. There is no clearly defined separation between response and recovery. The tasks are different from response, but they should be carried out simultaneously. Establishing a recovery organization prior to a disaster has proven effective in enabling a smooth and speedier recovery. Although SEMS is required for emergency response, it is not specifically required for recovery operations. However, emergency planners may find it useful to continue using SEMS principles and procedures for recovery when personnel are already in a SEMS environment. Short Term Recovery operations are divided into two phases. The first phase is short term. This involves restoring the infrastructure that includes: electric power; communications; water and sewer; high impact areas and special populations, schools, hospitals, etc.; and economic and social systems of the Community. Continued coordination from the response phase into the recovery phase is necessary to identify high priority areas for resumption of utilities, liability concerns, financing, and recovery ordinances. Jurisdictional emergency managers should develop checklists for short -term recovery to ensure governing boards are kept up -to- date, to identify potential areas of mitigation, and to improve preparedness and response planning. 25 FW ilI141imp 64- W] Long Term Long -term recovery consists of actions that will return the jurisdiction back to normal pre- disaster levels of service. Long -term considerations include: development of a recovery team; economic and resource stabilization; hazard mitigation; updating plans based on lessons learned; and post -event assessments. It is critical that the documentation functions during response continue and expand into recovery. Checklists should be developed for recovery operations to ensure accountability. Failure to strictly account for damage documentation and personnel costs can result in loss of possible reimbursement. SEMS Recovery Organization Recovery operations differ significantly from emergency response. SEMS is not required for recovery operations, although it is used by the California Emergency Management Agency (Cal EMA) in recovery operations and may provide for greater efficiency at all levels. Response activity is greater in the SEMS Operations and Logistics functions. Recovery activities see much more activity in the Finance /Administration function and less in the other SEMS functions. The Operational Area plays a different role in recovery than in response. The Operational Area may act as an information and coordination point for its constituent jurisdiction. However, each local jurisdiction rather than the Operational Area, works directly with state and federal recovery programs. Recovery plans utilizing SEMS functions may have the following tasking: Management Section This section is responsible for the jurisdiction's overall recovery. Tasks include: informing and briefing elected officials; providing lead for policy decisions; issuing public information releases; and ensuring safety of response activities. 26 FW ill141imp 64- W] Operations Section This section is responsible for operations that restore the jurisdiction back to normal day -to -day operations. Tasks include: restoring medical facilities and service; restoring government facility functions; removing debris; demolishing buildings; restoring utilities; providing emergency housing; providing application process for disaster assistance; and providing building and public safety inspections. Planning Section This section documents and provides management with direction for recovery activities. Tasks include: providing documentation of SEMS compliance for disaster assistance; providing after - action reports consistent with SEMS requirements providing direction in land use and zoning issues; issuing building permits; developing alternative building regulations and code enforcement; reviewing the general plan; providing an action plan for recovery operations; developing redevelopment plans; developing recovery situation reports; documenting recovery operations; and creating mitigation plans. Logistics Section Logistics section is responsible for obtaining resources necessary to carry out recovery operations. Tasks include: providing government operations and allocating office space; providing recovery supplies and equipment; and providing vehicles and personnel. 27 FW iII141imp 64- W] Finance /Administration Section Finance /Administration handles the jurisdiction's recovery financial transactions. Tasks include: managing public finance; preparing and maintaining the budget; developing and maintaining contracts; processing accounting and claims; collecting taxes; and managing insurance settlements. Organizations should be assigned appropriate SEMS functions to address the tasks listed above. Damage Assessment During the early phase of a disaster, the initial damage is only estimated. Plans should include procedures for conducting more detailed surveys to be used in disaster project applications. It is critical to understand that damage assessment, especially after an earthquake, will be a continuous project almost on a daily basis for a month or more due to the high frequency of aftershocks. Structures that were not damaged initially could become severely damaged after a minor aftershock. A significant number of building inspectors providing assessments will be key to state and federal reimbursement monies. The procedures should include the following: Safety Concerns Safety precautions that will contribute to recovery operations include: ensuring gas, water, sewer leaks are identified; ensuring utilities are turned off in unsafe or damaged structures; securing hazardous materials sites and preparing cleanup plan; ensuring unsafe buildings are vacated, clearly marked and access is restricted; and identifying safety precautions to be undertaken by emergency workers. Structural Damage Checklists and procedures for survey teams should include the following terms when describing damages: Destroyed - Cost of repair is more than 75% of value. Major Damage - Cost of repair is greater than 10% of value. Minor Damage - Cost of repair is less than 10% of value. Note: Damages are limited to the structure and not contents. 28 FW ii141imp 64- W] Structural Categories The following are categories used for private structures applying for disaster assistance: Homes, includes City Homes and Condominiums (1 -3) Mobile Homes (4) Rental Units (5) Farm Dwellings (6) Businesses (7) Recovery Activities Common terms for recovery activities are listed below: Category A Debris Clearance Clearance of debris, wreckage, demolition, and removal of buildings damaged beyond repair. Category B Protective Measures to eliminate or lessen immediate Measures threats to life, and public health, and safety Category C Roads & Bridges All non - emergency work and any that may require more time for decision - making, preparation of detailed design, construction plans, cost estimates, and schedules. Category D Water Control Includes flood control, drainage, levees, Facilities dams, dikes, irrigation works, seawalls, and bulkheads. Category E Public Buildings Buildings, vehicles or other equipment, and Equipment transportation systems, fire stations, supplies or inventory, higher education facilities, libraries, and schools. Category F Utilities Water supply systems, sanitary sewerage treatment plants, storm drainage, light/power. Category G Other Park facilities, piers, boat ramps, public and private non - profit facilities, recreational facilities, playground equipment. List of Damages Once a Presidential Disaster Declaration has been made, a "List of Damage" needs to be completed by each jurisdiction and transmitted to the Operational Area. The 29 FW iII141imp 64- W] Operational Area will transmit damages to the Cal EMA Region, who will in turn send them to the State and FEMA. It should include: 1. Location of Action /Damage Geographical location of damaged facility or emergency work. 2. Description of Action /Damages Narrative description explaining the nature of the disaster - related problem (engineering details are not needed). 3. Estimates of Cost A separate estimate for each facility or system affected. Disaster Assistance Disaster assistance is divided into two forms: Individual and Public Assistance. Recovery plans should address both types of assistance, methods of acquiring help, restrictions, and other pertinent information. Individual Assistance Individual assistance consists of services provided to individuals and businesses - the private sector. Government Assistance to Individuals Effective recovery plans should have the following federal programs for individual assistance included: Federal Programs Disaster Housing Assistance Program This is a federal program administered by FEMA that provides temporary housing to disaster victims during presidentially declared disasters. Disaster Mortgage and Rental Assistance Program This program provides grants for home - related mortgage or rent payments to disaster victims, who as a result of a disaster, have lost their job or business and face foreclosure or eviction from their homes. It is a federal program available under a presidentially declared disaster. Housing and Urban Development (HUD) Program 30 FW iII141imp 64- W] This program is offered to families with an income below $20,000. It provides up to 70% of the rental cost for a maximum of 18 months to disaster victims. It is also available under a presidentially declared disaster. Small Business Administration (SBA) This program is automatically implemented following a presidential disaster declaration for Individual Assistance, or may be implemented at the request of the governor. It provides low interest loans to businesses and individuals who have suffered disaster losses. Individual and Family Grant Program (IFGP) This is authorized only by a federal disaster declaration. It provides grants to disaster victims who are not eligible for SBA loans. Cora Brown Fund This is authorized only by a federal disaster declaration. The fund provides disaster victims with assistance provided they are not eligible for any other disaster assistance award from the government or other organizations. These are only a few federal programs that could be activated under a presidentially declared disaster. Disaster assistance may be altered by legislation passed at the time of the event. Other types of assistance may also be available. EOPs should have all programs addressed either in the plan or in a supplement. Non - profit Volunteer Charitable Organizations Recovery plans should include all forms of assistance available, including volunteer charitable organizations such as the American Red Cross, Salvation Army, and others. Plans should identify what is available, conditions, and client focus. In developing a recovery plan that includes volunteer charitable organizations, local networks of volunteer agencies should not be overlooked. Some communities have a "Community council" of local organizations that may be able to provide some level of relief or fund - raising experience. This can be helpful in developing a local disaster victim's fund or outreach. Public Assistance Public assistance consists of various programs of disaster relief to the public sector. Public sector includes state and local government (city, county, special district). Recovery plans should include the following forms of assistance and the application process: State - Natural Disaster Assistance Act (NDAA) NDAA is available to counties, cities, and special districts to repair disaster - related damages to public buildings, levees, flood control works, channels, 31 FW iII141imp 64- W] irrigation works, city streets, county roads, bridges, and other public works except those facilities used solely for recreational purposes. This program offers up to 75% of the eligible cost to: repair, restore, reconstruct or replace public property or facilities; to cover direct and indirect costs of grant administration with the Cal EMA Director's concurrence; and, to cover the cost of overtime and supplies used for response. Conditions for Implementation of NDAA: • Cal EMA Director must concur with local emergency declaration for permanent restoration assistance; • Governor must proclaim a state of emergency (for disaster response and permanent restoration assistance); or • President must declare a major disaster or emergency (for matching fund assistance for cost sharing required under federal public assistance programs). Federal - Robert T. Stafford Disaster Relief Act of 1974 The following is a brief overview of this program. This information would be useful in a recovery plan because it is the primary source of public assistance. Recovery planners may choose to go into more detail about this program. A Presidential Declaration of Major Disaster or Emergency is_required to activate the provisions of this law. Eligible applicants include the following: • state agencies; • counties; • cities; • special districts; • schools K -12; • colleges and institutions of higher education; • private non - profit organizations organized under § 501(c) 3 of the Internal Revenue Code; • utilities; • emergency agencies; • medical agencies; • custodial care organizations; and • government services such as: community centers, libraries, homeless shelters, senior citizen centers, and similar facilities open to the general public. 32 FW iII141imp 64- W] To provide efficiency in the recovery process the particulars of work and cost eligibility, wage information, and other pertinent information should be included in the recovery plan. This could be in the form of information sheets on each program, checklists, or written procedures. Disaster Field Office (DFO) Following a Presidential Declaration of a Major Disaster or Emergency, a Disaster Field Office will be established in the proximity of the disaster area. The DFO provides the direction and coordination point for federal assistance. Typical functions of the DFO include: • Management - Coordination of the overall federal assistance programs for both Individual and Public Assistance, as well as any existing emergency work. • Public Information - Overall direction of public news releases on the progress of the emergency recovery actions, public notices on obtaining assistance, problems, and other pertinent information. • Liaison - Provides coordination and cooperation with other federal and state agencies. • Operations - Responsible for damage survey teams, outreach activities, and program implementation (i.e., Public Assistance, Individual Assistance, Hazard Mitigation, etc.) • Logistics - Provides materials and resources to perform the tasks associated with recovery. • Finance /Administration - Tracks and monitors costs, approves purchases, audits activities as needed. • Plans /Intelligence - Develops action plans, identifies priorities, potential problems, and documents the overall recovery actions. Mitigation This aspect of recovery operations is critical in reducing or eliminating disaster related property damage and loss of lives from reoccurring. The immediate post - disaster period presents a rare opportunity for mitigation. During this time, officials and citizens are more responsive to mitigation recommendations, and unique opportunities to rebuild or redirect development may be available. Recovery plans would benefit from addressing mitigation planning as part of the recovery process. The following represents some information that would be useful in recovery sections of emergency plans. 33 Fw ill141imp 64- W] Forms of Mitigation: changes in building codes; variances or set -backs in construction; zoning, to reduce types of construction in high hazard areas; and relocation or removal of structures from high hazard zones. This could also be described in more detail in recovery plans as checklists, SOPs, or information sheets. 34 Fw 64- W] Appendices Municipal Codes, Administrative Policies and Procedures 35 FW 64- W] City of Saratoga Municipal Code Municipal Code — Chapter 6 Sections: 6- 05.010 Purpose of Article 6- 05.020 Emergency Defined 6- 05.030 Disaster Council 6- 05.040 Director of Emergency Services 6- 05.050 Emergency Organization 6- 05.060 Emergency Plan 6- 05.070 Mutual Aid 6- 05.080 Expenditures 6- 05.090 Prohibited Acts During Emergency 6- 05.010 — Purpose of Article The3 declared purposes of this Article are to provide for the preparation and carrying out of plans for the protection of persons and property within the City in the event of an emergency; the direction of the emergency organization; and the coordination of the emergency functions of the City with all other public agencies, corporations, organizations and affected private persons. 6- 05.020 — Emergency Defined As used in the Article, "emergency" shall mean the actual or threatened existence of conditions of disaster or of extreme peril to the safety of persons and property within the City caused by such conditions as air pollution, fire, flood, storm, epidemic, riot or earthquake, or other conditions, including conditions resulting from war or immanent threat of war, which conditions are or are likely to be beyond the control of the services, personnel, equipment and facilities of the City, requiring the combined forces of other political subdivisions to combat. 6- 05.030 — Disaster Council a) The Disaster Council is hereby created and shall consist of the members of the City Council. The Mayor shall be chairman. The Mayor pro tem shall be vice - chairman. b) It shall be the duty of the Disaster Council, and it is hereby empowered, to develop and recommend for adoption by the City Council, emergency and mutual aid plans and agreements and such ordinances, resolutions, rules and regulations as are necessary to implement such plans and agreements. The Disaster Council shall meet upon call of the chairman or, in his absence from the City or inability to call such meeting, upon call of the vice - chairman. 36 FW 64— W] 6- 05.040 — Director of Emergency Services a) There is hereby created the office of Director of Emergency Services. The City Manager shall be the Director of Emergency Services. There is hereby created the office of Assistant Director of Emergency Services, who shall be the Assistant City Manager. The Assistant Director shall exercise all powers vested by this Article in the Director in the event of the absence or incapacitation of the Director. b) The Director of Emergency Services is hereby empowered to: 1. Request the City Council to proclaim the existence of a "local emergency" if the City Council is in session, or to issue such proclamation if the City Council is not in session. Whenever a local emergency is proclaimed by the Director, the City Council shall take action to ratify the proclamation within seven days thereafter or the proclamation shall have no further force or effect. 2. Request the governor to proclaim a "state of emergency" when, in the opinion of the Director, the locally available resources are inadequate to cope with the emergency. 3. Develop emergency plans with the assistance of emergency service chiefs for consideration by the Disaster Council and manage the emergency the emergency programs of the City. 4. Control and direct the effort of the emergency organization of the City for the accomplishment of the purposes of this Article. 5. Direct cooperation between and coordination of services and staff of the emergency organization of the City and resolve questions of authority and responsibility that may arise between them. 6. Represent the City in all dealings with public or private agencies on matters pertaining to emergencies as defined herein. c) In the event of the proclamation of a "local emergency" as herein provided, the proclamation of a "state of emergency" by the governor or the director of the State Office of Emergency Services (changed in 2009 to the California Emergency Management Agency, or Cal EMA), or the existence of a "state of war emergency," the Director of Emergency Services is hereby empowered to" 1. Make and issue rules and regulations on maters reasonably related to the protection of life and property as affected by such emergency; provided, however, that such rules and regulations shall be confirmed or modified at the earliest practicable time by the City Council. 2. Obtain vital supplies, equipment and other such properties found lacking and needed for the protection of life and property and to bind the City for the fair value thereof and, if required immediately, to commandeer the same for public use. 3. Require emergency services of any City officer or employee and, in the event of the proclamation of a "state of emergency" in the County or the existence of a "state of war emergency," to command the aid of as many citizens of the City 37 FW 64— W] as he deems necessary in the execution of his duties. Such persons shall be entitled to al privileges, benefits and immunities as are provided by State law for registered disaster service workers. 4. Requisition necessary personnel or material of any City department or agency. 5. Execute all his ordinary powers as City Manager, all of the special powers conferred upon him by this Article or by resolution or emergency plan pursuant hereto adopted by the City Council, all powers conferred upon him by any statute, by an agreement approved by the City Council and by any other lawful authority. d) The Director of Emergency Services shall designate the order of succession to that office, to take effect in the event the Director is unavailable to attend meetings and otherwise perform his duties during an emergency. Such order of succession shall be approved by the City Council. e) The Assistant Director shall, under the supervision of the Director and with the assistance of emergency service chiefs, develop emergency plans and manage the emergency programs of the City and shall have such other powers and duties as may be assigned by the Director. 6- 05.050 — Emergency Organization The emergency organization of the City shall consist of all officers and employees of the City, together with those volunteer forces enrolled to aid them during an emergency, and all groups, organizations and persons who may, by agreement or operation of law, be charged with duties incident to the protection of life and property in the City during such emergency, including persons impressed into service under the provisions of Subsection 6- 05.040(c)(3) of this Article. 6- 05.060 — Emergency Plan The Disaster Council shall be responsible for the development of the City emergency plan, which plan shall provide for the effective mobilization of all the resources of the City, both public and private, to meet any condition constituting a "local emergency," "state of emergency" or "state of war emergency;" and shall provide for the organization, powers and duties, services and staff of the emergency organization. Such plans shall be adopted by resolution of the City Council. 6- 05.070 — Mutual Aid It is the purpose of the City Council in enacting this Article to facilitate the rendering of mutual aid to and for the people of the City. Emergency plans adopted and approved by the City Council shall provide for the interchange of mutual aid and for coordination with the emergency plans of the County. 38 FW 64— W] 6- 05.080 — Expenditures Any expenditures made in connection with emergency activities, including mutual aid activities, shall conclusively be deemed to be for the direct protection and benefit of the inhabitants and property of the City. 6- 05.090 — Prohibited Acts During Emergency It shall be unlawful and shall constitute a misdemeanor for any person, during an emergency to: a) Willfully obstruct, hinder or delay any member of the emergency organization in the enforcement of any lawful rule or regulation issued pursuant to this Article, or in the performance of any duty imposed upon him by virtue of this Article. b) Do any act forbidden by any lawful rule or regulation issued pursuant to this Article. C) Wear, carry or display, without authority, any means of identification specified by the emergency agency of the State. 39 Fw 64- W] Proclamations 40 FW 64— W] Proclamation by the Director or the Assistant Director of Emergency Services of the Existence of a Local Emergency WHEREAS, Section 6- 05.040 — Director of Emergency Services - Saratoga Municipal Code empowers the Director of Emergency Services, or in the Director's absence the Acting Director to proclaim the existence or threatened existence of a local emergency when the City of Saratoga is affected or likely to be affected by a public calamity and the City Council is not in session, and; WHEREAS, the Director of Emergency Services of the City of Saratoga does hereby find; That conditions of extreme peril to the safety of people and property have arisen within the City of Saratoga, caused by (fire, flood, storm, mudslides, torrential rain, wind, earthquake, drought, or other causes); which began on the th day of , 20 and; That these conditions are or are likely to be beyond the control of the services, personnel, equipment, and facilities of the City of Saratoga, and; That the City Council of the City of Saratoga is not in session and cannot immediately be called into session: NOW, THEREFORE, IT IS HEREBY PROCLAIMED that a local emergency now exists throughout the City of Saratoga, and; IT IS FURTHER PROCLAIMED AND ORDERED that during the existence of said local emergency the powers, functions, and duties of the emergency organization of the City of Saratoga shall be those prescribed by state law, by ordinances, and resolutions of this City, and; That this emergency proclamation shall expire in 7 days after issuance unless confirmed and ratified by the City Council of the City of Saratoga. Dated: By: Print Name Address 41 FW 64— W] Proclamation by the City Council Confirming the Existence of a Local Emergency that was proclaimed by the Director or the Acting Director of Emergency Services WHEREAS, Section 6- 05.040 — Director of Emergency Services - Saratoga Municipal Code empowers the Director of Emergency Services or the Acting Director to proclaim the existence or threatened existence of a local emergency when the City of Saratoga is affected or likely to be affected by a public calamity and the City Council is not in session, subject to ratification by the City Council within seven days; and, WHEREAS, conditions of extreme peril to the safety of people and property have arisen within the City of Saratoga caused by (fire, flood, storm, mudslides, torrential rain, wind, earthquake, drought, or other causes) Commencing on or about _.m., on the 20 , at which time the City Council was not in session; and day of , WHEREAS, the Saratoga City Council does hereby find that the aforesaid conditions of extreme peril did warrant and necessitate the proclamation of the existence of a local emergency; and WHEREAS, the Director of Emergency Services of the City of Saratoga, or the Acting Director, did proclaim the existence of a local emergency with the City of Saratoga on the day of 20 ; NOW, THEREFORE, IT IS HEREBY PROCLAIMED AND ORDERED that said local emergency shall be deemed to continue to exist until its termination is proclaimed by the City Council of the City of Saratoga, State of California. Dated: Attest: City Clerk City Council, City of Saratoga 42 (Mayor) Fw 64- W] Emergency Operation Plan Records 43 rw ill141imp 64- W] Saratoga Emergency Drill /Exercise Record Name of Type of Drill /Exercise External Partners After Action Date Drill /Exercise (Tabletop, Functional, Participating Report Full Scale, etc.) Completed 44 Fw ii141imp 64- W] City of Saratoga Emergency Plan Revision Log 11 Material /Sections Revised I Revised By Whom I Date Revised 11 45 rw 64- W] EXTERNAL RESOURCES 46 FW il141imp 64- W] PUBLIC SAFETY Service Agency Phone Website Fire Services Santa Clara 408 - 378 -4010 www.sccfd.org County Fire Santa Clara 408 - 378 -4010 www.sccfd.org County Mutual Aid SCCFD California State 408 - 378 -4010 www.sccfd.org Mutual Aid SCCFD Law Enforcement Santa Clara 408 - 808 -4900 www.sccsheriff.org County Sheriff's Office Campbell Police 408 - 866 -2121 www.ci.campbell.ca.us /Police Department California Highway 408 - 467 -5400 www.chp.ca.gov Patrol Los Gatos /Monte 408 - 354 -8600 www.losgatosca.gov Sereno Police Department San Jose Police 408 - 277 -8900 www.sjpd.org Department Animal Control Silicon Valley 408 - 764 -0344 www.svaca.com Animal Control Authority Poison Control California Poison 800 - 222 -1222 www.calpoison.org Action Line 47 rw iII141imp 64- W] GOVERNMENTS Jurisdiction Agency Phone Website Santa Clara County Coroner's Office 408 - 793 -1900 www.sccgov.org /portal /sit e /coroner County 408 - 299 -3144 Communications 408 - 299 -2507 Emergency Medical 408 - 885 -4250 www.sccqov.org /portal /sit a /ems Services Mental Health 408 - 885 -5770 www.sccmhd.org Services Office of Emergency 408 - 808 -7800 www.sccgov.org /portal /sit e /oes Services (OES) Public Health 408 - 792 -5163 www.sccgov.org /portal /sit e /phd Regional Agencies Association of Bay 510 - 464 -5163 www.abag.ca.gov Area Governments ABAG Bay Area Air Quality 415 - 771 -6000 www.baaqmd.gov Management District State of California Cal Fire - Santa 408 - 779 -2121 www.fire.ca.gov Clara Unit HQ Caltrans 510 - 286 -4444 www.dot.ca.gov Insurance 800 - 927 -4357 www.insurance.ca.g_ ov Commissioner's Office California Emergency 916- 845 -8510 www.oes.ca.gov Management Agency Regional Emergency 916- 845 -8911 "Resource requests to Operations Center - the REOC need to be Mather routed through the Op Area EOC. State Operations 916- 845 -8911 "Resource requests to Center - Mather the SOC need to be routed through the OpArea EOC. 48 rw iII141imp 64- W] Jurisdiction Agency Phone Website United States of Federal Emergency 800 - 621 -3362 www.fema.gov America Management Agency FEMA hotline Internal Revenue 408 - 817 -6747 www.irs.gov Service IRS Small Business 800 - 659 -2955 www.sba.gov Administration SBA United States 650 - 329 -4002 www.usgs.gov Geological Survey (USGS) - Menlo Park 49 FW ii141imp 64- W] SCHOOLS District / Schools Phone Website Saratoga Union School District 408 - 867 -3424 www.saratogausd.org 20460 Forrest Hills Drive Saratoga, California 95070 Argonaut Elementary 408 - 867 -4773 www.saratogausd.org /argonaut/ 13200 Shadow Mountain Drive Saratoga, California 95070 Foothill Elementary 408 - 867 -4036 www.saratogausd.org /foothill/ 13919 Lynde Avenue Saratoga, California 95070 Saratoga Elementary 408 - 867 -3476 www.saratogausd.org / saratoga/ 14592 Oak Street Saratoga, California 95070 Saratoga -Los Gatos Union High 408 - 354 -2520 www.igsuhsd.org School District 17421 Farley Road West Los Gatos, California 95132 Saratoga High School 408 - 867 -3411 www.saratogahigh.org 20300 Herriman Avenue Saratoga, California 95070 Cupertino Union School District 408 - 252 -3000 www.cupertino.ca.campusgrid. net /home 10301 Vista Drive Cupertino California 95014 Blue Hills Elementary School 408 - 257 -9282 www.cupertino.ca.campusgrid. net /home 12300 De Sanka Avenue Saratoga, California 95070 McAuliffe School 408 - 253 -4696 www.cupertino.ca.campusgrid.ne t /home 12211 Titus Avenue Saratoga, California 95070 Campbell Union High School 408 - 371 -0960 www.cuhsd.orq District 3235 Union Avenue San Jose, California 95124 50 FW ii141imp 64- W] Other Schools St. Andrews's Episcopal School 408 - 867 -3785 www.st- andrews.org 13601 Saratoga Avenue Saratoga, California 95070 Sacred Heart Catholic School 408 - 867 -9241 www. school. sacred heartsaratoga or 13718 Saratoga Avenue Saratoga, California 95070 51 FW ii141imp 64- W] TRAUMA CENTERS Hospital Phone Website Santa Clara County 408 - 885 -5000 www.svmed.orq Valley Medical Center El Camino Hospital of Mountain View 2500 Grant Road Mountain View, CA 94040 650 - 940 -7000 751 S. Bascom Avenue r Good Samaritan 2425 Samaritan Drive San Jose, California 95124 San Jose, California 95128 www.goodsamsj.org Kaiser Medical Center Santa Clara 700 Lawrence Expressway Santa Clara, CA 95051 Regional Medical Center San Jose 408 - 259 -5000 http: / /regionalmedicalsanjos e.com/ 225 North Jackson Ave https: / /healthy.kaiserperman San Jose, CA 951116 Stanford Hospital 650 - 723 -7570 http: / /stanfordhospital.org/ 300 Pasteur Drive Stanford, CA 94304 LOCAL HOSPITALS Hospital Phone Website El Camino Hospital of Los Gatos 815 Pollard Road Los Gatos, California 95030 408 - 378 -6131 http: / /www.eicaminohospital r El Camino Hospital of Mountain View 2500 Grant Road Mountain View, CA 94040 650 - 940 -7000 http: / /www.eicaminohospital r Good Samaritan 2425 Samaritan Drive San Jose, California 95124 408 - 559 -2011 www.goodsamsj.org Kaiser Medical Center Santa Clara 700 Lawrence Expressway Santa Clara, CA 95051 408 851 -1000 https: / /healthy.kaiserperman ente.orq Kaiser Medical Center San Jose 250 Hospital Parkway San Jose, CA 95119 408 - 972 -3000 https: / /healthy.kaiserperman ente.orq 52 FW ill141imp 64- W] UTILITIES Service Name Phone Website Gas and Elect PG &E 408 - 823 -5267 (local representative www.pqe.com Telephone AT &T www.att.com Sprint www.sprint.com T- Mobile www.tmobile.com Verizon www.verizon.com Sewer Cupertino Sanitary District 408 - 253 -7071 www.cupertinosanitarydistrict com West Valley Sanitation District 408 - 378 -2407 business hours 408 - 299 -2507 non business hours www.westvalleysan.org Waste Disposal West Valley Collection & Recycling 408 - 283 -9250 www.westvallevrecycles.com Water Services San Jose Water Company 408 - 298 -0994 www.sowater.com Santa Clara Valley Water District 408 - 808 -7800 www.valleywater.org 53 Fw ill141imp 64- W] TRANSPORTATION Service Name Phone Website Public Mass Transit Outreach 408 - 436 -2865 www.outreachl.org Valley Transportation Authority 408 - 321 -2300 www.vta.org Taxi & Limousine Services Airport Taxi Cab 650 - 593 -1234 Yellow Cab 408 - 666 -1051 www. ellowacab.com Rental Car Alamo 800 - 462 -5266 www.alamo.com Avis 800 - 331 -1212 www.avis.com Budget 800 - 527 -0700 www.budggt.com Enterprise 800 - 261 -7331 www.enterprise.com Hertz 800 - 654 -3131 www.hertz.com National 800 - 227 -7368 www.nationalcar.com 54 FW 64- W] AMERICAN RED CROSS - SHELTERS CAMPBELL, CUPERTINO, LOS GATOS, & SARATOGA AREA Facility Address City Zip POC Phone Campbell Community 1 W. Campbell Campbell 95008 Misty Booth 408 - 866 -2105 Center Avenue Campbell Middle School 295 Cherry Lane Campbell 95008 Zimmer, Susan 408 - 364 -4222 Westmont High School 4805 Westmont Campbell 95008 Espinoza, Louis 408 - 626 -3406 Avenue Cupertino High School 10100 Finch Cupertino 95014 Perry, Leonard 408 - 366 -7300 Avenue De Anza College 21250 Stevens Cupertino 95014 Schulze, John 408 - 864 -5678 Creek Boulevard Homestead High School 21370 Homestead Cupertino 95014 Dunn, Carl 408 - 522 -2500 Road Hyde Middle School 19325 Bollinger Cupertino 95014 Parker, 408 - 252 -6290 Avenue Stephen Kennedy Middle School 821 Bubb Road Cupertino 95014 Shurr, Sonia 408 - 253 -1525 Monte Vista High School 21840 McClellan Cupertino 95014 Amoral, Manual 408 - 366 -7600 Road Quinlan Community 10185 N. Stelling Cupertino 95014 Walters, Tom 408 - 777 -3120 Center Road Calvary Baptist Church 16330 Los Gatos Los Gatos 95032 Turner, Matt 408- 356 -5126 Boulevard Lakeside Elementary 19621 Black Road Los Gatos 95033 Chrisman, Bob 408 - 354 -2372 School The Church of Jesus 15955 Rose Ave Los Gatos 95030 Christ of Latter-Day Saints Los Gatos High School 20 High School Los Gatos 95030 Guerra, John 408 - 354 -2730 Court R.J. Fisher Middle School 19195 Fisher Los Gatos 95032 Olds, Ken 408 - 335 -2385 Avenue Rolling Hills Middle School 1585 More Avenue Los Gatos 95032 Gibbs, Kathleen 408 - 364 -4235 Prospect High School 18900 Prospect Saratoga 95070 Matthews, Rita 408 - 626 -3408 Avenue Redwood Middle School 13925 Fruitvale Saratoga 95070 Green, Kelly 408 - 867 -3042 Avenue Saratoga Community 19655 Allendale Saratoga 95070 Cauthorn, 408 - 868 -1249 Center Avenue Claudia Saratoga High School 20300 Herriman Saratoga 95070 Anderson, Jeff 408- 867 -3411 Avenue Southwest YMCA 13500 Quito Road Saratoga 95070 408 - 370 -1877 est Valley College LW 14000 Fruitvale Saratoga 95070 Hartley, Phil 408 - 867 -2200 Avenue 55 rw ill141imp 64- W] LOCAL NON - PROFIT AGENCIES Name Phone Website American Red Cross, Silicon Valley Chapter 408 - 577 -1000 www.siliconvalley- redcross.org Collaborative Agencies Disaster Relief Effort (CADRE) 408 - 247 -1126 x302 www.vcsv.us /cadre.shtml Council On Aging Silicon Valle 408 - 296 -8290 www.careaccess.or Humane Society Silicon Valley 408 - 727 -3383 www.hssv.org Second Harvest Food Bank of Santa Clara & San Mateo Counties 408 - 266 -8866 www.2ndharvest.net United Way Silicon Valle 408 - 345 -4300 www.uwsv.or 56 FW 64- W] NATIONAL NON- PROFITS/VOLUNTARY ORGANIZATIONS ACTIVE IN DISASTER (VOAD) Agency Website Adventist Community Services www.commu-nityservicg§.org American Legion www.le ion.or American Red Cross www.redcross.or Boy Scouts of America www.scoutin or Catholic Charities www.catholiccharities.or Church of the Brethren www.brethren.org/genbd/BDM Church World Service www.churchworldservice.or Civil Air Patrol www.cgp.gov Habitat For Humanity www.habitat.org/disaster/defauIt.aspx Humane Society of the United States www.hsus.org Jewish Family Services www.ifg§.or Latter Day Charities www.lds.or Lutheran Disaster Response www.ldr.or Mennonite Disaster Services www.mds.mennonite.net Noah's Wish www.noahswish.or Salvation Army www.salvationarmyusg.org Southern Baptist Disaster Relief www.namb.net Tzu Chi Foundation www.tzuchi.or United Methodist Committee On Relief www.umcor.org Voluntary Organizations Active In Disaster www.nvoad.org 57 FW 64- W] PLACE OF WORSHIP' Name Phone Website Church of the Ascension 408 - 725 -3939 www.churchoftheascension.n 12033 Miller Avenue et Saratoga, California 95070 Church of Jesus Christ of Latter Day 408 - 867 -1750 Saints 19100 Allendale Avenue Saratoga, California 95070 Congregation Beth David 408 - 257 -3333 www.beth - david.org 19700 Prospect Road Saratoga, California 95070 Immanuel Lutheran Church 408 - 867 -0822 www.ilcsaratoga.org 14103 Saratoga Avenue Saratoga, California 95070 Prince of Peace Lutheran Church 12770 Saratoga Avenue 408 - 253 -7167 www.propeace.org Saratoga, California 95070 Sacred Heart Roman Catholic Church 408 - 867 -3634 www.sacredheartsaratoga.org 13716 Saratoga Avenue Saratoga, California 95070 Saratoga Federated Church 408 - 867 -1000 www.saratogafederated.org 20390 Park Place Saratoga, California 95070 Saratoga Presbyterian Church 408 - 867 -0144 www.saratogapres.org 20455 Herriman Avenue Saratoga, California 95070 St. Andrews Episcopal Church 408 - 867 -3493 www.st - andrews - saratoga.org 13601 Saratoga Avenue Saratoga, California 95070 St. Archangel Michael Serbian Church 408 - 867 -4876 www.saratoga.serbian - 18870 Allendale Avenue church.net Saratoga, California 95070 St. Nicholas Orthodox Church 408 - 867 -0628 www.stnicholassaratoqa.org 14220 Elva Avenue Saratoga, California 95070 Westhope Presbyterian Church 408 - 255 -0955 www.westhopepres.org i 12850 Saratoga Avenue I I ' Places of worship are highly important to the communities they serve during all phases of emergency management work. During the preparedness phase they are common locations for public education program delivery. They are often used as shelters during response operations, and can serve in other capacities as well with tasks ranging from staging areas to Emergency Volunteer Centers. During recovery operations they often are places where communities and neighborhoods can gather for town hall meetings, donations centers, and daycare providers. 58 Fw 64- W] Saratoga, California 95070 59 Fw 64- W] Emergency Operation Center Position Checklists 60 FW iII141imp 64- W] Generic Checklist for All EOC Personnel Activation Phase: 0 Check in upon arrival at the EOC. 0 Report to the EOC Director, Section Chief, Branch Coordinator, or other assigned Supervisor, and provide your supervisor with your contact information. 0 Set up your workstation and review your position responsibilities. 0 Establish and maintain a position log that chronologically describes your actions taken during your shift. O Determine your resource needs, such as a computer, phone, plan copies, and other reference documents. Demobilization Phase: 0 Deactivate your assigned position and close out logs when authorized by the EOC Director. O Complete all required forms, reports, and other documentation. All forms should be submitted through your supervisor to the Planning /Intelligence Section, as appropriate, prior to your departure. O Be prepared to provide input to the after - action report. O If another person is relieving you, ensure they are thoroughly briefed before you leave your workstation. Clean up your work area before you leave. Leave a forwarding phone number where you can be reached. 61 FW ilI141imp 64- W] Director of Emergency Services (EOC Director) Checklist Responsibilities 1. Establish the appropriate staffing level for the EOC and continuously monitor organizational effectiveness ensuring that appropriate modifications occur as required. 2. Exercise overall management responsibility for the coordination between emergency response agencies within the jurisdictional area. 3. In conjunction with staff, set jurisdictional priorities for response efforts. Ensure that all department and agency actions are accomplished within the priorities established at the EOC. 4. Ensure that inter - agency coordination is accomplished effectively. Activation Phase 0 Determine appropriate level of activation based on situation as known. 0 Mobilize appropriate personnel for the initial activation of the EOC. 0 Respond immediately to EOC site and determine operational status. 0 Obtain briefing from whatever sources are available. 0 Ensure that the EOC is properly set up and ready for operations. O Ensure that an EOC check -in procedure is established immediately. O Ensure that an EOC organization and staffing chart is posted and completed. O Determine which sections are needed, assign Section Chiefs as appropriate and ensure they are staffing their sections as required. • Operations Section Chief • Planning /Intelligence Section Chief • Logistics Section Chief • Finance /Administration Section Chief 62 FW ilI141imp 64- W] 0 Determine which Management Staff positions are required and ensure they are filled as soon as possible. • Legal Officer • Liaison Officer o Public Information Officer o Safety & Security Officer O Ensure that communications systems are established and functioning. O Schedule the initial Action Planning meeting. O Confer with staff to determine what representation is needed at the EOC from other emergency response agencies. 0 Inform members of the City Council and develop appropriate policy decisions. Operational Phase: 0 Monitor general staff activities to ensure that all appropriate actions are being taken. O In conjunction with the Public Information Officer, conduct news conferences and review media releases for final approval, following the established procedure for information releases and media briefings. O Ensure that the Liaison Officer is providing for and maintaining effective inter- agency coordination. 0 Based on current status reports, establish initial strategic objectives for the EOC. O In coordination with Management Staff, prepare EOC objectives for the initial Action Planning Meeting. 0 Convene the initial Action Planning meeting. Ensure that all Section Coordinators, Management Staff, and other key agency representatives are in attendance. Ensure that appropriate Action Planning procedures are followed (refer to Planning /Intelligence Section, "Action Planning Guidelines. "). Ensure the meeting is facilitated appropriately by the Planning /Intelligence Section Chief. O Once the Action Plan is completed by the Planning /Intelligence Section, review, approve and authorize its implementation. 63 FW ill141imp 64- W] O Conduct periodic briefings with the general staff to ensure strategic objectives are current and appropriate. 0 Conduct periodic briefings for elected officials or their representatives. 0 Formally issue an Emergency Proclamation as necessary, and coordinate local government proclamations with other emergency response agencies, as appropriate. 0 Brief your relief at shift change, ensuring that ongoing activities are identified and follow -up requirements are known. Demobilization Phase: 0 Authorize demobilization of sections and branches when they are no longer required. O Notify higher level EOC's and other appropriate organizations of the planned demobilization, as appropriate. 0 Ensure that any open actions not yet completed will be handled after demobilization. O Ensure that all required forms or reports are completed prior to demobilization. O Be prepared to provide input to the after action report. O Deactivate the EOC at the designated time, as appropriate. O Proclaim termination of the emergency response and proceed with recovery operations. 64 FW ill141imp 64- W] Legal Officer Responsibilities: 1. Ensure that proper legal procedures are followed in all phases of disaster response and recovery, including disaster declarations, posting City Council ratification, emergency power exercised by the Director of Emergency Services, and requests for mutual aid and other forms of outside assistance. 2. Provide legal advice to the EOC staff. Activation Phase: 0 Follow the generic Activation Phase Checklist. 0 Check in with the Management Section Chief and determine the appropriate level of participation by the Legal Officer at the EOC. Arrange for immediate notification capabilities (pagers, cell phone) if off -site. 0 Review special ordinances and laws that may govern a disaster. Ensure that appropriate legal reference materials are ready and accessible to the Legal Officer at the EOC. 0 Provide legal advice, when you determine it is needed or when it is requested. Operational Phase: 0 Respond to requests for legal advice and support. 0 Keep current on the general status of the disaster, and anticipate steps that could be taken to lessen potential City liability. Advise the Director of Emergency Services of the timing and implementation of such steps. 0 Provide legal advice to EOC staff, when you determine it is needed, or when it is requested. O Advise on intergovernmental relations, including legal issues involved in notifications and requests for assistance or resources. 0 Maintain logs and files associated with your position, keeping custody of all attorney /client documentation. 65 FW ill141imp 64- W] 0 11%�0111FIRIMn1iJ�ai 0 Follow generic Demobilization Phase Checklist. 0 Ensure that you complete all final reports, close out your activity log, and transfer any ongoing missions and /or actions to the person assigned by the Director of Emergency Services. 0 Ensure copies of all documentation generated during the operation are submitted to the Planning Section, except for attorney /client matters that you will retain. 66 FW ill141imp 64- W] Agency Representative Responsibilities: Agency Representatives should be able to speak on behalf of their agencies, within established policy limits, acting as a liaison between their agencies and the EOC. 2. Agency Representatives may facilitate requests to or from their agencies, but normally do not directly act on or process resource requests. 3. Agency Representatives are responsible for obtaining situation status information and response activities from their agencies for the EOC. Activation Phase: 0 Follow generic Activation Phase Checklist. 0 Check in with the Liaison Officer and clarify any issues regarding your authority and assignment, including the functions of other representatives from your agency (if any) in the EOC. 0 Establish communications with your home agency; notify the Logistics Section Communications Branch and the Liaison Officer of any communications problems. 0 Unpack any materials you may have brought with you and set up your assigned station, requesting necessary materials and equipment through the Liaison Officer and /or Logistics Section. O Obtain an EOC organization chart, floor plan, and telephone list from the Liaison Officer. 0 Contact the EOC sections or branches that are appropriate to your responsibility; advise them of your availability and assigned work location in the EOC. Operational Phase: O Facilitate requests for support or information that your agency can provide. 67 FW ill141imp 64- W] O Keep current on the general status of resources and activity associated with your agency. 0 Provide appropriate situation information to the Planning /Intelligence Section. 0 Represent your agency at planning meetings, as appropriate, providing update briefings about your agency's activities and priorities. O Keep your agency executives informed and ensure that you can provide agency policy guidance and clarification for the Director of Emergency Services as required. O On a regular basis, inform your agency of the EOC priorities and actions that may be of interest. 0 Maintain logs and files associated with your position. Demobilization Phase: O Follow generic Demobilization Phase Checklist. O When demobilization is approved by the Director of Emergency Services, contact your agency and advise them of expected time of demobilization and points of contact for the completion of ongoing actions or new requirements. O Ensure that you complete all final reports, close out your activity log, and transfer any ongoing missions and /or actions to the Liaison Officer or other appropriate individual. O Ensure copies of all documentation generated during the operation are submitted to the Planning /Intelligence Section. 68 FW ilI141imp 64- W] Liaison Officer Checklist Responsibilities: Oversee all liaison activities, including coordinating outside agency representatives assigned to the EOC and handling requests from other EOCs for EOC agency representatives. 2. Establish and maintain a central location for incoming agency representatives, providing workspace and support as needed. 3. Ensure that position specific guidelines, policy directives, situation reports, and a copy of the EOC Action Plan is provided to Agency Representatives upon check -in. 4. Provide orientations for VIPs and other visitors to the EOC. 5. Ensure that demobilization is accomplished when directed by the Director of Emergency Services. Activation Phase: 0 Follow generic Activation Phase Checklist. 0 Obtain assistance for your position through the Personnel Branch in Logistics, as required. Operational Phase: O Contact Agency Representatives already on -site, ensuring that they: • Have signed into the EOC • Understand their role in the EOC o Know their work locations o Understand the EOC organization and floor plan O Determine if additional representation is required from: • Community based organizations • Private organizations • Utilities not already represented • Other agencies 69 FW iII141imp 64- W] O In conjunction with the Director of Emergency Services establish and maintain an Inter - agency Coordination Group comprised of outside agency representatives and executives not assigned to specific sections within the EOC. 0 Assist the Director of Emergency Services in conducting regular briefings for the Inter - agency Coordination Group and with distribution of the current EOC Action Plan and Situation Report. 0 Request that Agency Representatives maintain communications with their agencies and obtain situation status reports regularly. O With the approval of the Director of Emergency Services, coordinate with the Safety & Security Branch EOC tours for visiting VIP's and other visitors. 0 With the approval of the Director of Emergency Services, provide agency representatives from the EOC to other EOCs as required and requested. O Maintain a roster of agency representatives located at the EOC. Roster should include assignment within the EOC (Section or Inter - agency Coordination Group). Roster should be distributed internally on a regular basis. Demobilization Phase: 0 Follow generic Demobilization Phase Checklist. 0 Release agency representatives that are no longer required in the EOC when authorized by the Director of Emergency Services. 70 FW iII141imp 64- W] Public Information Officer (PIO) Checklist Responsibilities: 1. Serve as the central coordination point for the agency or jurisdiction for all media releases. 2. Ensure that the public within the affected area receives complete, accurate, and consistent information about life safety procedures, public health advisories, relief and assistance programs and other vital information. 3. Coordinate media releases with Public Information Officers at incidents or representing other affected emergency response agencies as required. 4. Develop the format for press conferences, in conjunction with the Director of Emergency Services. 5. Maintain a positive relationship with the media representatives. 6. Provide staffing for rumor control telephone bank. 7. Establish a "Disaster Hotline" with an up -to -date recorded message. 8. Ensure that all rumors are responded to in a timely manner and with factual information. 9. Supervise the Public Information Branch. 10. Participate in a Santa Clara County Joint Information Center (JIC) as needed, or delegate others to that duty. Activation Phase: O Follow generic Activation Phase Checklists. O Determine staffing requirements and make required personnel assignments for the Public Information function as necessary. 71 FW ilI141imp 64- W] Operational Phase: Public Communication 0 Provide appropriate staffing and telephones to efficiently handle incoming media and public calls. O Operate a telephone bank for receiving incoming inquiries from the general public. 0 Establish a "Disaster Hotline" recorded message and provide updated message information periodically. Media Relations O Establish a Media Information Center, as required, providing necessary space, materials, telephones and electrical power. 0 Maintain up -to -date status boards and other references at the media information center. Provide adequate staff to answer questions from members of the media. 0 Develop and publish a media - briefing schedule, to include location, format, and preparation and distribution of handout materials. O At the request of the Director of Emergency Services, prepare media briefings for members of the agencies or jurisdiction policy groups and provide other assistance as necessary to facilitate their participation in media briefings and press conferences. 0 Refer inquiries from members of the media to the lead Public Information Officer or designated staff. O Keep the Director of Emergency Services advised of all unusual requests for information and of all major critical or unfavorable media comments. Recommend procedures or measures to improve media relations. O Ensure that adequate staff is available at the incident sites to coordinate and conduct tours of the affected areas. Emergency Information Collection 72 FW iII141imp 64- W] 0 Coordinate with the Situation Status Branch and identify the method of obtaining and verifying significant information as it is developed. O Develop content for state Emergency Alert System (EAS) releases if available. Monitor EAS releases as necessary. 0 Prepare, update, and distribute to the public a Disaster Assistance Information Directory, which contains locations to obtain food, shelter, supplies, health services, etc. 0 Ensure that announcements, emergency information and materials are translated and prepared for special populations (non - English speaking, hearing impaired etc.). 0 Ensure that a rumor control function is established to correct false or erroneous information. O Interact with other EOC PIOs and obtain information relative to public information operations. Information Dissemination 0 Obtain policy guidance from the Director of Emergency Services with regard to media releases. o Provide copies of all media releases to the Director of Emergency Services O Implement and maintain an overall information release program. O Monitor broadcast media, using information to develop follow -up news releases and correct rumors by providing factual information based on confirmed data. O Prepare final news releases and advise media representatives of points -of- contact for follow -up stories. 0 In coordination with other EOC sections and as approved by the Director of Emergency Services, issue timely and consistent advisories and instructions for life safety, health, and assistance for the public. 0 Provide appropriate staffing and telephones to efficiently handle incoming media and public calls. 73 FW ill141imp 64- W] 0 Correct rumors by providing factual information based on confirmed data. 0 Ensure that file copies are maintained of all information released. Demobilization Phase: O Follow generic Demobilization Phase Checklist. O Conduct shift change briefings in detail, ensuring that in- progress activities are identified and follow -up requirements are known. 74 FW ill141imp 64- W] Safety & Security Officer Responsibilities: 1. Ensure that all buildings and other facilities used in support of the EOC are in a safe operating condition. 2. Monitor operational procedures and activities in the EOC to ensure they are being conducted in a safe manner, considering the existing situation and conditions. 3. Stop or modify all unsafe operations outside the scope of the EOC Action Plan, notifying the Director of Emergency Services of actions taken. 4. Provide 24 -hour security for the EOC. 5. Control personnel access to the EOC in accordance with policies established by the Director of Emergency Services. 6. Handle any situation arising from inappropriate personnel actions within the EOC. Activation Phase: O Follow generic Activation Phase Checklist. Operational Phase: 0 Tour the entire EOC facility and evaluate conditions; advise the Director of Emergency Services of any conditions and actions that might result in liability, unsafe layout or equipment set -up, etc. 0 Study the EOC facility and document the locations of all fire extinguishers, emergency pull stations, and evacuation routes and exits. O Be familiar with particularly hazardous conditions in the facility; take action when necessary. 0 Prepare and present safety briefings for the Director of Emergency Services and staff at appropriate meetings. 75 FW iII141imp 64- W] 0 If the event that caused activation was an earthquake, provide guidance regarding actions to be taken in preparation for aftershocks. O Ensure that the EOC facility is free from any environmental threats — e.g., radiation exposure, air purity, water quality, etc. 0 Keep the Director of Emergency Services advised of unsafe conditions; take action when necessary. O Determine the current EOC security requirements and arrange for staffing as needed. 0 Determine needs for special access to EOC facilities. 0 Provide executive and VIP security as appropriate and required. 0 Provide recommendations as appropriate to Director of Emergency Services. 0 Prepare and present security briefings for the Director of Emergency Services and General Staff at appropriate meetings. Demobilization Phase: O Follow generic Demobilization Phase Checklist. 76 FW 61 141imp 64- W] Operations Section Chief Responsibilities: 1. Ensure that the Operations function is carried out including coordination of activities for all operational functions assigned to the EOC. 2. Ensure that operational objectives and assignments identified in the EOC Action Plan are carried out effectively. 3. Establish the appropriate level of branch and Branch organizations within the Operations Section, continuously monitoring the effectiveness and modifying accordingly. 4. Exercise overall responsibility for the coordination of Branch activities within the Operations Section. 5. Ensure that the Planning /Intelligence Section is provided with Status Reports and Major Incident Reports. 6. Conduct periodic Operations briefings for the Director of Emergency Services as required or requested. 7. Supervise the Operations Section. Activation Phase: O Follow generic Activation Phase Checklists. O Ensure that the Operations Section is set up properly and that appropriate personnel, equipment, and supplies are in place including maps and status boards. O Meet with Planning /Intelligence Section Chief; obtain a preliminary situation briefing. 0 Based on the situation, activate appropriate branches within the section. Designate Branch Coordinators as necessary: o Fire & Rescue Branch 77 FW ilI141imp 64- W] o Law Enforcement Branch o Public Works Branch o Care & Shelter Branch o Communications Branch (RACES) o CERT Branch 0 Determine if there are mutual aid requests for these functional areas. Initiate coordination with appropriate mutual aid systems as required. O Request additional personnel for the section as necessary for 24 -hour operation. 0 Obtain a current communications status briefing from the Communications Branch Coordinator in Logistics. Ensure that there is adequate equipment and radio frequencies available as necessary for the section. 0 Determine estimated times of arrival of section staff from the Personnel Branch in Logistics. O Confer with the Director of Emergency Services to ensure that the Planning /Intelligence and Logistics Sections are staffed at levels necessary to provide adequate information and support for operations. O Coordinate with the Liaison Officer regarding the need for Agency Representatives in the Operations Section. 0 Coordinate with the Planning /Intelligence Section Chief to determine the need for any Technical Specialists. O Establish radio or phone communications with Department Operations Centers (DOCs), and /or with Incident Commander(s) as directed, and coordinate accordingly. O Based on the situation known or forecasted, determine likely future needs of the Operations Section. 0 Identify key issues currently affecting the Operations Section; meet with section personnel and determine appropriate section objectives for the first operational period. 0 Review responsibilities of branches in section; develop an Operations Plan detailing strategies for carrying out Operations objectives. 78 FW ilI141imp 64- W] 0 Adopt a pro- active attitude. Think ahead and anticipate situations and problems before they occur. Operational Phase: 0 Ensure Operations Section position logs and other necessary files are maintained. O Ensure that situation and resources information is provided to the Planning /Intelligence Section on a regular basis or as the situation requires, including Status Reports and Major Incident Reports. O Ensure that all media contacts are referred to the Public Information Officer. O Conduct periodic briefings and work to reach consensus among staff on objectives for forthcoming operational periods. 0 Attend and participate in Director of Emergency Service's Action Planning meetings. O Provide the Planning /Intelligence Section Chief with Operations Section's objectives prior to each Action Planning meeting. 0 Work closely with each Branch Coordinator to ensure that the Operations Section objectives, as defined in the current Action Plan, are being addressed. O Ensure that the branches coordinate all resource needs through the Logistics Section. 0 Ensure that intelligence information from Branch Coordinators is made available to the Planning /Intelligence Section in a timely manner. O Ensure that fiscal and administrative requirements are coordinated through the Finance /Administration Section (notification of emergency expenditures and daily time sheets). O Brief the Director of Emergency Services on all major incidents. O Complete a Major Incident Report for all major incidents; forward a copy to the Planning /Intelligence Section. 79 FW ill141imp 64- W] 0 Brief Branch Coordinators periodically on any updated information you may have received. O Share status information with other sections as appropriate. Demobilization Phase: O Follow generic Demobilization Phase Checklist. 80 FW ill141imp 64- W] Care & Shelter Branch Coordinator Responsibilities: 1. Coordinate directly with the American Red Cross and other agencies to provide food, potable water, clothing, shelter and other basic needs as required to disaster victims within the City. 2. Assist the American Red Cross with inquiries and registration services to reunite families or respond to inquiries from relatives or friends. 3. Assist the American Red Cross with the transition from mass care to separate family /individual housing. 4. Supervise the Care & Shelter Branch. Activation Phase: O Follow the generic Activation Phase Checklist. Operational Phase: O Establish and maintain your position log and other necessary files. O Coordinate with the Liaison Officer to request an Agency Representative from the American Red Cross. Work with the Agency Representative to coordinate all shelter and congregate care activity. 0 Establish communications with other volunteer agencies to provide clothing and other basic life sustaining needs. O Ensure that each active shelter meets the requirements as described under the American with Disabilities Act (ADA). 0 Assist the American Red Cross in staffing and managing the shelters to the extent possible. O Assist the American Red Cross with the transition from operating shelters for displaced people to separate family /individual housing. 0 Complete and maintain the Care and Shelter Status Report Form. 81 FW iII141imp 64- W] 0 Maintain a running tally of the number of displaced people being sheltered. 0 Refer all contacts with the media to the Public Information Officer. Demobilization Phase: O Follow the generic Demobilization Phase Checklist. 82 FW iII141imp 64- W] Fire and Rescue Branch Coordinator Responsibilities: 1. Coordinate fire, emergency medical, hazardous materials, and urban search and rescue operations in the jurisdictional area. 2. Assist Fire & Rescue Mutual Aid System Coordinator in acquiring mutual aid resources, as necessary. 3. Coordinate the mobilization and transportation of all resources through the Logistics Section. 4. Complete and maintain status reports for major incidents requiring or potentially requiring operational area, state and federal response, and maintains status of unassigned fire and rescue resources. 5. Coordinate with the Law Enforcement Branch Coordinator on jurisdiction Search & Rescue activities. 6. Implement the objectives of the EOC Action Plan assigned to the Fire & Rescue Branch. 7. Supervise the Fire & Rescue Branch. Activation Phase: O Follow the generic Activation Phase Checklist. O Based on the situation, activate the necessary units within the Fire & Rescue Branch: o Fire & Rescue Unit o Emergency Medical Unit o HazMat Unit 0 If the mutual aid system is activated, coordinate use of fire resources with the Operational Area Fire & Rescue Mutual Aid Coordinator. 83 FW iII141imp 64- W] 0 Prepare and submit a preliminary status report and major incident reports as appropriate to the Operations Section Chief. O Prepare objectives for the Fire & Rescue Branch; provide them to the Operations Section Chief prior to the first Action Planning meeting. Operational Phase: 0 Ensure that Branch logs and other necessary files are maintained. 0 Obtain and maintain current status on Fire & Rescue missions being conducted in the jurisdictional area. O Provide the Operations Section Chief and the Planning /Intelligence Section with an overall summary of Fire & Rescue Branch operations periodically or as requested during the operational period. O On a regular basis, complete and maintain the Fire & Rescue Status Report. O Refer all contacts with the media to the Public Information Officer. O Ensure that all fiscal and administrative requirements are coordinated through the Finance /Administration Section (daily time sheets and notification of any emergency expenditures). O Prepare objectives for the Fire & Rescue Branch for the subsequent operational period; provide them to the Operations Section Chief prior to the end of the shift and the next Action Planning meeting. O Provide your relief with a briefing at shift change; inform him /her of all ongoing activities. Branch objectives for the next operational period, and any other pertinent information. 0=Haoil 9711 Me, WIT— i 0 Follow the generic Demobilization Phase Checklist. 84 FW il141imp 64- W] Law Enforcement Branch Coordinator Responsibilities: 1. Coordinate movement and evacuation operations during an emergency. 2. Alert and notify the public of the impending or existing emergency. I Coordinate law enforcement, search and rescue, and traffic control operations during the emergency. 4. Coordinate site security at incidents. 5. Coordinate Law Enforcement Mutual Aid requests from emergency response agencies through the Law Enforcement Mutual Aid Coordinator at the Operational Area EOC. 6. Supervise the Law Enforcement Branch. Activation Phase: O Follow the generic Activation Phase Checklist. O Based on the situation, activate the necessary units within the Law Enforcement Branch: • Law Enforcement Operations Unit • Coroner /Fatalities Management Unit • Search and Rescue Unit 0 Contact and assist the Operational Area EOC Law Enforcement and Coroner's Mutual Aid Coordinators as required or requested. O Provide an initial situation report to the Operations Section Chief. O Based on the initial EOC strategic objectives prepare objectives for the Law Enforcement Branch and provide them to the Operations Section Chief prior to the first Action Planning meeting. 85 FW ilI141imp 64- W] Operational Phase: 0 Ensure that Branch position logs and other necessary files are maintained. 0 Maintain current status on Law Enforcement missions being conducted. 0 Provide the Operations Section Chief and the Planning /Intelligence Section with an overall summary of Law Enforcement Branch operations periodically or as requested during the operational period. 0 On a regular basis, complete and maintain the Law Enforcement Status Report. O Refer all contacts with the media to the Public Information Officer. O Determine need for Law Enforcement Mutual Aid. O Determine need for Coroner's Mutual Aid. O Ensure that all fiscal and administrative requirements are coordinated through the Finance /Administration Section (daily time sheets and notification of any emergency expenditures). O Prepare objectives for the Law Enforcement Branch for the subsequent Operational period; provide them to the Operations Section Chief prior to the end of the shift and the next Action Planning meeting. O Provide your relief with a briefing at shift change, informing him /her of all ongoing activities, branch objectives for the next operational period, and any other pertinent information. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklist. 86 FW ill141imp 64- W] Public Works Branch Coordinator Responsibilities: 1. Survey all utility systems, and restore systems that have been disrupted, including coordinating with utility service providers in the restoration of disrupted services. 2. Survey all public and private facilities, assessing the damage to such facilities, and coordinating the repair of damage to public facilities. 3. Survey all other infrastructure systems, such as streets and roads within the jurisdictional area. 4. Assist other sections and branches as needed. 5. Supervise the Public Works Branch. Activation Phase: 0 Follow the generic Activation Phase Checklist. 0 Based on the situation, activate the necessary units within the Public Works Branch. O Contact and assist the Operational Area Public Works Mutual Aid Coordinator with the coordination of mutual aid resources as necessary. O Provide an initial situation report to the Operations Section Chief. O Based on initial EOC strategic objectives prepare objectives for the Public Works Branch and provide them to the Operations Section Chief prior to the first Action Planning meeting. Operational Phase: O Ensure that Branch position logs and other necessary files are maintained. O Maintain current status on all public works activities being conducted. 87 FW iII141imp 64- W] 0 Ensure that damage and safety assessments are being carried out for both public and private facilities. O Request mutual aid as required through the Operational Area Public Works Mutual Aid Coordinator. 0 Determine and document the status of transportation routes into and within affected areas. O Coordinate debris removal services as required. O Provide the Operations Section Chief and the Planning /Intelligence Section with an overall summary of Public Works Branch activities periodically during the operational period or as requested. O Ensure that all Utilities and Construction /Engineering Status Reports, as well as the Initial Damage Estimation are completed and maintained. 0 Refer all contacts with the media to the Pubic Information Officer. 0 Ensure that all fiscal and administrative requirements are coordinated through the Finance /Administration Section (daily time sheets and notification of any emergency expenditures). 0 Prepare objectives for the Public Works Branch for the subsequent operations period; provide them to the Operations Section Chief prior to the end of the shift and the next Action Planning meeting. 0 Provide your relief with a briefing at shift change, informing him /her of all ongoing activities, branch objectives for the next operational period, and any other pertinent information. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklist. 88 FW 61 141imp 64- W] Planning /Intelligence Section Chief Responsibilities: 1. Ensure that the following responsibilities of the Planning /Intelligence Section are addressed as required: a. Collecting, analyzing, and displaying situation information, b. Preparing periodic Situation Reports, c. Preparing and distributing the EOC Action Plan and facilitating the Action Planning meeting, d. Conducting Advance Planning activities and report, e. Providing technical support services to the various EOC sections and branches, and documenting and maintaining files on all EOC activities. 2. Establish the appropriate level of organization for the Planning /Intelligence Section. 3. Exercise overall responsibility for the coordination of Branch activities with the section. 4. Keep the Director of Emergency Services informed of significant issues affecting the Planning /Intelligence Section. 5. In coordination with the other section chiefs, ensure that Status Reports are completed and utilized as a basis for situation reports, and the EOC Action Plan. 6. Develop a Demobilization Plan for the EOC based on a review of all pertinent planning documents, and status reports. 7. Supervise the Planning /Intelligence Section. Activation Phase: O Follow generic Activation Phase Checklists. O Ensure that the Planning /Intelligence Section is set up properly and that appropriate personnel, equipment, and supplies are in place, including maps and status boards. 89 FW iII141imp 64- W] 0 Based on the situation, activate Branches within the section as needed and designate Branch Coordinators for each element: o Damage Assessment Branch o Documentation Branch o Situation Status Branch O Request additional personnel for the section as necessary to maintain a 24- hour operation. 0 Establish contact with the Operational Area EOC when activated, and coordinate Situation Reports with their Planning /Intelligence Section. Meet with Operations Section Chief; obtain and review any major incident reports. 0 Review responsibilities of branches in the section; develop plans for carrying out all responsibilities. O Make a list of key issues to be addressed by the Planning /Intelligence Section; in consultation with section staff, identify objectives to be accomplished during the initial Operational Period. O Keep the Director of Emergency Services informed of significant events. O Adopt a proactive attitude, thinking ahead and anticipating situations and problems before they occur. Operational Phase: 0 Ensure that Planning /Intelligence Section position logs and other necessary files are maintained. O Ensure that the Situation Analysis Branch is maintaining current information for the situation report. 0 Ensure that major incidents reports and status reports are completed by the Operations Section and are accessible by Planning /Intelligence. O Ensure that all status boards and other displays are kept current and that posted information is neat and legible. 0 Ensure that the Public Information Officer has immediate and unlimited access to all status reports and displays. 90 FW iII141imp 64- W] 0 Conduct periodic briefings with section staff and work to reach consensus among staff on section objectives for forthcoming operational periods. O Facilitate the Director of Emergency Service's Action Planning meetings approximately two hours before the end of each operational period. 0 Ensure that objectives for each section are completed, collected and posted in preparation for the next Action Planning meeting. O Ensure that the EOC Action Plan is completed and distributed prior to the start of the next operational period. 0 Work closely with each branch within the Planning /Intelligence Section to ensure the section objectives, as defined in the current EOC Action Plan are being addressed. 0 Ensure that the Situation Status Branch develops and distributes a report which highlights forecasted events or conditions likely to occur beyond the forthcoming operational period; particularly those situations which may influence the overall strategic objectives of the EOC. O Ensure that the Documentation Branch maintains files on all EOC activities and provides reproduction and archiving services for the EOC, as required. 0 Provide technical specialists to all EOC sections as required. 0 Ensure that fiscal and administrative requirements are coordinated through the Finance /Administration Section. O Review EOC personnel roster to determine size and scope of any demobilization efforts. 0 Meet individually with the general staff to determine their need for assistance in any Demobilization Planning. O Decide on the need for a formal written Demobilization Plan. O If a Demobilization Plan is required, develop the plan using detailed specific responsibilities, release priorities and procedures. 0 Establish with each Section Chief which branches /personnel should be demobilized first. 91 FW ill141imp 64- W] 0 Establish timetables for deactivating or downsizing branches. 0 Determine if any special needs exist for personnel demobilization (e.g. transportation). O Develop a checkout procedure if necessary, to ensure all deactivated personnel have cleared their operating position. 0 Meet with each assigned Agency Representative and Technical Specialist to determine what assistance may be required for their demobilization from the EOC. 0 Monitor the implementation of the Demobilization Plan and be prepared to handle any demobilization issues as they occur. Demobilization Phase: 0 Follow generic Demobilization Phase Checklist. 92 FW iII141imp 64- W] Damage Assessment Branch Coordinator Responsibilities: 1. Collect initial damage assessment information from other branches /units in the EOC. 2. If the emergency is storm, flood, or earthquake related, ensure that inspection teams have been dispatched to assess the condition of the dam. 3. Provide detailed damage assessment information to the rest of the Planning Section, with associated loss damage estimates. 4. Maintain detailed records on damaged areas and structures. 5. Initiate requests for engineers, to inspect structures and /or facilities. 6. Supervise the Damage Assessment Branch. Activation Phase: 0 Follow generic Activation Phase Checklist. Operational Phase: 0 Establish and maintain a position log and other necessary files. O Obtain initial damage assessment information from the Fire & Rescue Branch, the Law Enforcement Branch, utilities, and other branches /units as necessary. 0 Coordinate with the American Red Cross, utility service providers, and other sources for additional damage assessment information. O Prepare detailed damage assessment information, including estimate of value of the losses, and provide to the rest of the Planning Section. 0 Clearly label each structure and /or facility inspected in accordance with ATC- 20 standards and guidelines. 93 FW iII141imp 64- W] 0 Maintain a list of structures and facilities requiring immediate inspection or engineering assessment. O Initiate all requests for engineers and building inspectors through the Operational Area EOC. 0 Keep the Planning Section Chief informed of the inspection and engineering assessment status. O Refer all contacts with the media to the Public Information Officer. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklist. 94 FW iII141imp 64- W] Documentation Branch Coordinator Responsibilities: 1. Collect, organize and file all completed emergency related forms, to include: all EOC position logs, situation reports, EOC Action Plans and any other related information, just prior to the end of each operational period. 2. Provide document reproduction services to the EOC staff. 3. Distribute the EOC situation reports, EOC Action Plan, and other documents, as required. 4. Maintain a permanent electronic archive of all situation reports and Action Plans associated with the emergency. 5. Prepare and distribute the After Action Report. 6. Supervise the Documentation Branch. Activation Phase: O Follow the generic Activation Phase Checklist. Operational Phase: 0 Establish and maintain a position log and other necessary files. 0 Meet with the Planning /Intelligence Section Chief to determine what EOC materials should be maintained as official records. O Meet with the Recovery Branch Leader to determine what EOC materials and documents are necessary to provide accurate records and documentation for recovery purposes. O Initiate and maintain a roster of all activated EOC positions to ensure that position logs are accounted for and submitted to the Documentation Branch at the end of each shift. 95 FW ill141imp 64- W] 0 Reproduce and distribute the Situation Reports and Action Plans. Ensure distribution is made to the Operational Area EOC. O Keep extra copies of reports and plans available for special distribution as required. 0 Set up and maintain document reproduction services for the EOC. Demobilization Phase: O Follow the generic Demobilization Phase Checklist. 96 FW ill141imp 64- W] Situation Status Branch Coordinator Responsibilities 1. Oversee the collection, organization, and analysis of situation information related to the emergency. 2. Ensure that information collected from all sources is validated prior to posting on status boards. 3. Ensure that situation reports are developed for dissemination to EOC staff and also to other EOCs as required. 4. Ensure that an EOC Action Plan is developed for each operational period. 5. Ensure that all maps, status boards and other displays contain current and accurate information. 6. Supervise the Situation Status Branch. Activation Phase: O Follow the generic Activation Phase Checklist. O Make contact with local government EOCs in the operational area and establish a schedule for obtaining situation reports. 0 Ensure there is adequate staff available to collect and analyze incoming information, maintain the Situation Report and facilitate the Action Planning process. O Prepare the Situation Status Branch objectives for the initial Action Planning meeting. Operational Phase: 0 Establish and maintain a position log and other necessary files. 0 Oversee the collection and analysis of all emergency related information. 97 FW iII141imp 64- W] 0 Oversee the preparation and distribution of the Situation Report. Coordinate with the Documentation Branch for manual distribution and reproduction as required. 0 Ensure that each EOC Section provides the Situation Status Branch with status reports on a regular basis. O Meet with the PIO to determine the best method for ensuring access to current information. 0 Prepare a situation summary for the EOC Action Planning meeting. 0 Ensure each section provides their objectives at least 30 minutes prior to each Action Planning meeting. O In preparation for the Action Planning meeting, ensure that all EOC objectives are posted on chart paper, and that the meeting room is set up with appropriate equipment and materials (easels, markers, situation reports, etc.). O Following the meeting, ensure that the Documentation Branch publishes and distributes the EOC Action Plan prior to the beginning of the next operational period. O Ensure that adequate staff is assigned to maintain all maps, status boards and other displays. 0 11%�011971wn1iJ�ai 0 Follow the generic Demobilization Phase Checklist. 98 FW iII141imp 64- W] Logistics Section Chief Responsibilities: 1. Ensure the Logistics function is carried out in support of the EOC. This function includes providing communication services, resource tracking; acquiring equipment, supplies, personnel, facilities, and transportation services; as well as arranging for food, lodging, and other support services as required. 2. Establish the appropriate level of branch and /or Branch staffing within the Logistics Section, continuously monitoring the effectiveness of the organization and modifying as required. 3. Ensure section objectives as stated in the EOC Action Plan are accomplished within the operational period or with the estimated time frame. 4. Coordinate closely with the Operations Section Chief to establish priorities for resource allocation to activated Incident Commands within the affected area. 5. Keep the Director of Emergency Services informed of all significant issues relating to the Logistics Section. 6. Supervise the Logistics Section. Activation Phase: 0 Follow generic Activation Phase Checklists. O Ensure the Logistics Section is set up properly and that appropriate personnel, equipment, and supplies are in place, including maps, status boards, vendor references, and other resource directories. O Based on the situation, activate branches within the section as needed and designate Branch Coordinators for each element: o Communications Branch o IT Branch o Facilities Branch • Person nelNolunteer Branch • Supplies Branch • Transportation Branch 99 FW il141imp 64- W] O Mobilize sufficient section staffing for 24 -hour operations. O Establish communications with the Logistics Section at the Operational Area EOC if activated. 0 Advise Branches within the section to coordinate with appropriate branches in the Operations Section to prioritize and validate resource requests from DOCs or Incident Command Posts in the field. This should be done prior to acting on the request. O Meet with the Director of Emergency Services and staff and identify immediate resource needs. 0 Meet with the Finance /Administration Section Chief and determine level of purchasing authority for the Logistics Section. O Assist Branch Coordinators in developing objectives for the section as well as plans to accomplish their objectives within the first operational period, or in accordance with the Action Plan. O Provide periodic Section Status reports to the Director of Emergency Services. O Adopt a proactive attitude, thinking ahead and anticipating situations and problems before they occur. Operational Phase: 0 Ensure that Logistics Section position logs and other necessary files are maintained. O Meet regularly with section staff and work to reach consensus on section objectives for forthcoming operational periods. 0 Provide the Planning /Intelligence Section Coordinator with the Logistics Section objectives at least 30 minutes prior to each Action Planning meeting. O Attend and participate in EOC Action Planning meetings. O Ensure that the Supplies Branch coordinates closely with the Purchasing Branch in the Finance /Administration Section, and that all required documents and procedures are completed and followed. 100 FW ill141imp 64- W] 0 Ensure that transportation requirements, in support of response operations, are met. O Ensure that all requests for facilities and facility support are addressed. O Ensure that all resources are tracked and accounted for, as well as resources ordered through Mutual Aid. 0 Provide section staff with information updates as required. Demobilization Phase: 0 Follow generic Demobilization Phase Checklist. 101 FW ill141imp 64- W] Communications Branch Coordinator Responsibilities: 1. Ensure radio resources and services are provided to EOC staff as required. 2. Ensure that a communications link is established with the Operational Area EOC. 3. Ensure that the EOC Communications Center is established to include sufficient frequencies to facilitate operations. 4. Develop and distribute a Communications Plan which identifies all systems in use and lists specific frequencies allotted for the event or disaster. 5. Supervise the Communications Branch. Activation Phase: 0 Follow the generic Activation Phase Checklist. 0 Based on the situation, activate Communications Systems personnel. 0 Prepare objectives for the Communications Branch; provide them to the Logistics Section Chief prior to the initial Action Planning meeting. Operational Phase: 0 Ensure that Communication Branch position logs and other necessary files are maintained. O Keep all sections informed of the status of communications systems, particularly those that are being restored. 0 Coordinate with all EOC sections /branches /units regarding the use of all communications systems. O Provide communications resources and services as needed to external City operated sites such as Points of Distribution (POD) and /or Emergency Volunteer Centers (Eva's) as needed. 102 FW ill141imp 64- W] 0 Ensure that the EOC Communications Center is activated to receive and direct all event or disaster related communications to appropriate destinations within the EOC. 0 Ensure that adequate communications operators are mobilized to accommodate each discipline on a 24 -hour basis or as required. Ensure that communications are established with the Operational Area EOC. 0 Ensure that communications links are established with activated EOCs within the Operational Area, as appropriate. O Continually monitor the operational effectiveness of EOC communications systems. Provide additional equipment as required. 0 Ensure that technical personnel are available for communications equipment maintenance and repair. O Mobilize and coordinate amateur radio resources as required. O Keep the Logistics Section Chief informed of the status of communications systems. 0 Prepare objectives for the Communications Branch; provide them to the Logistics Section Chief prior to the next Action Planning meeting. O Refer all contacts with the media to the Public Information Branch. Demobilization Phase: O Follow the generic Demobilization Phase Checklist. 103 FW ilI141imp 64- W] Information Technology Branch Coordinator Responsibilities: 1. Ensure computer resources and services are provided to EOC staff as required. 2. Oversee the installation of information technology resources within the City EOC. Ensure that information technology links are established with the Operational Area EOC. 3. Determine specific computer requirements for all EOC positions. 4. Supervise the Information Technology Branch. Activation Phase: O Follow the generic Activation Phase Checklist. O Based on the situation, activate Information Systems personnel. O Prepare objectives for the Information Technology Branch; provide them to the Logistics Section Chief prior to the initial Action Planning meeting. Operational Phase: 0 Ensure that Information Technology Branch position logs and other necessary files are maintained. O Keep all sections informed of the status of information technology systems, particularly those that are being restored. 0 Coordinate with all EOC sections /branches /units regarding the use of all information technology systems. O Ensure that adequate information technology specialists are mobilized to accommodate each discipline on a 24 -hour basis or as required. Ensure that links are established with the Operational Area EOC. 104 FW iII141imp 64- W] 0 Ensure that e-mail links are established with activated EOCs within the Operational Area, as appropriate. O Continually monitor the operational effectiveness of EOC information technology systems. Provide additional equipment as required. 0 Ensure that technical personnel are available for communications equipment maintenance and repair. O Keep the Logistics Section Chief informed of the status of information technology systems. 0 Prepare objectives for the Information Technology Branch; provide them to the Logistics Section Chief prior to the next Action Planning meeting. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklist. 105 FW iII141imp 64- W] Facilities Branch Coordinator Responsibilities: 1. Ensure that adequate essential facilities are provided for the response effort, including securing access to the facilities and providing staff, furniture, supplies, and materials necessary to configure the facilities in a manner adequate to accomplish the mission. 2. Ensure acquired building, building floors, and or workspaces are returned to their original state when no longer needed. 3. Supervise the Facilities Branch. Activation Phase: O Follow the generic Activation Phase Checklist. Operational Phase: 0 Establish and maintain a position log and other necessary files. 0 Work closely with all sections in determining facilities and furnishings required for effective operation of the EOC. 0 Coordinate with branches in the Operations Section to determine if assistance with facility acquisition and support is needed at the field level. O Arrange for continuous maintenance of acquired facilities, to include ensuring that utilities and restrooms are operating properly. 0 If facilities are acquired away from the EOC, coordinate with assigned personnel and designate a Facility Manager. O Develop and maintain a status board or other reference which depicts the location of each facility; a general description of furnishings, supplies and equipment at the site; hours of operation, and the name and phone number of the Facility Manager. 106 FW ill141imp 64- W] 0 Ensure all structures are safe for occupancy and that they comply with ADA requirements. O As facilities are vacated, coordinate with the facility manager to return the location to its original state. This includes removing and returning furnishings and equipment, arranging for janitorial services, and locking or otherwise securing the facility. 0 Keep the Logistics Section Chief informed of significant issues affecting the facilities branch. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklist. 107 FW iII141imp 64- W] Personnel/Volunteer Branch Coordinator Responsibilities: 1. Provide personnel resources as requested in support of the EOC and Field Operations. 2. Develop an EOC organization chart. 3. Ensure that workers' compensation claims resulting from the response are processed within a reasonable time, given the nature of the situation. 4. Oversee all functions of the Emergency Volunteer Center (EVC) and coordinating all communications with the EOC. 5. Assign an EVC Manager if needed. 6. Acquire and provide supplies for the EVC. 7. Keep the PIO informed of all media requests and activities at the EVC. 8. Given the size and complexity of managing both EOC and EVC personnel, delegate appropriately so that the branch retains span of control. 9. Supervise the Personnel Branch. Activation Phase: O Follow the generic Activation Phase Checklist O In consultation with the Logistics Section Chief, decide whether a City EVC or Regional EVC will be utilized. 0 If a City EVC is to be set up, decide in consultation with the Logistics Section Chief on the facility to be used. O If a Regional EVC in Saratoga is to be used, decide in consultation with the Logistics Section Chief and communicate status with other West Valley cities. 108 FW iII141imp 64- W] All portions of this checklist that follow assume a City EVC is to be used, and delegate responsibilities appropriately. O Make contact with the EVC facility representative, and conduct a walkthrough of the facility with that representative to establish the facility's condition prior to use O Secure and open the facility for the EVC O Request staffing and other resources for EVC operations O Assign and supervise lead EVC staff O Review set -up and layout procedures and assign staff to set up the EVC. Operational Phase O Establish and maintain personnel log and other necessary files. O In conjunction with the Documentation Branch, develop a large poster size EOC organization chart depicting each activated position. Upon check in, indicate the name of the person occupying each position on the chart. The chart should be posted in a conspicuous place, accessible to all EOC personnel. O Coordinate with the Liaison Officer and Safety Officer to ensure that all EOC staff to include volunteers, receives a current situation and safety briefing upon check -in. O Coordinate with the Santa Clara County Operational Area EOC to activate the Emergency Management Mutual Aid System (EMMA), if required. 0 Process all incoming requests for personnel support. Identify the number of personnel, special qualifications or training, where they are needed and the person or branch they should report to upon arrival. Determine the estimated time of arrival of responding personnel, and advise the requesting parties accordingly. 0 Maintain a status board or other reference to keep track of incoming personnel resources. 109 FW iII141imp 64- W] 0 Coordinate with the Liaison Officer and Security Officer to ensure access, badging or identification, and proper direction for responding personnel upon arrival at the EOC. 0 Assist the Fire Rescue Branch and Law Enforcement Branch with ordering of mutual aid resources as required. O To minimize redundancy, coordinate all requests for personnel resources from the field level through the EOC Operations Section prior to acting on the request. O Ensure that all workers' compensation claims, resulting from the emergency, are processed in a reasonable time - frame, given the nature of the situation. 0 In coordination with the Safety Officer, determine the need for crisis counseling for emergency workers; acquire mental health specialists as needed. O Arrange for child care services for EOC personnel as required. O In a major incident designate an Assistant Volunteer Branch Coordinator /EVC Manager. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklists for both the EOC and the EVC. 110 FW iII141imp 64- W] Supplies Branch Coordinator Responsibilities: 1. Oversee the procurement and allocation of supplies and material not normally provided through mutual aid channels. 2. Coordinate procurement actions with the Finance Section. 3. Coordinate delivery of supplies and material as required. 4. Supervise the Supply Branch. Activation Phase: 0 Follow the generic Activation Phase Checklist. Operational Phase: 0 Establish and maintain a position log and other necessary files. 0 Determine if requested types and quantities of supplies and material are available in City inventory. O Determine procurement spending limits with the Purchasing Branch in the Finance Section. Obtain a list of pre- designated emergency purchase orders as required. 0 Whenever possible, meet personally with the requesting party to clarify types and amount of supplies and material, and also verify that the request has not been previously filled through another source. 0 In conjunction with the Planning Section Chief, maintain a status board or other reference depicting procurement actions in progress and their current status. 0 Determine if the procurement item can be provided without cost from another jurisdiction or through the Operational Area. O Determine Branch costs of supplies and materials, from suppliers and vendors and if they will accept purchase orders as payment, prior to completing the order. 111 FW iII141imp 64- W] O Orders exceeding the purchase order limit must be approved by the Finance Section before the order can be completed. 0 If vendor contracts are required for procurement of specific resources or services, refer the request to the Finance Section for development of necessary agreements. 0 Determine if the vendor or provider will deliver the ordered items. If delivery services are not available, coordinate pick up and delivery through the Transportation Branch. 0 In coordination with the Personnel Branch, provide food and lodging for EOC staff and volunteers as required. Assist field level with food services at camp locations as requested. 0 Coordinate donated goods and services from community groups and private organizations. Set up procedures for collecting, inventorying, and distributing usable donations. Keep the Logistics Section Chief informed of significant issues affecting the Supply Branch. Demobilization Phase: O Follow the generic Demobilization Phase Checklist. 112 FW iII141imp 64- W] Transportation Branch Coordinator Responsibilities: 1. In coordination with the Public Works Branch Coordinator and the Situation Status Branch, develop a transportation plan to support EOC operations. 2. Arrange for the acquisition or use of required transportation resources. 3. Supervise the Transportation Branch. Activation Phase: 0 Follow the generic Activation Phase Checklist. Operational Phase: 0 Establish and maintain a position log and other necessary files. 0 Routinely coordinate with the Situation Status Branch to determine the status of transportation routes in and around the City. O Routinely coordinate with the Publics Works Branch Coordinator to determine progress of route recovery operations. 0 Develop a Transportation Plan which identifies routes of ingress and egress; thus facilitating the movement of response personnel, the affected population, and shipment of resources and materials. O Establish contact with local transportation agencies and schools to establish availability of equipment and transportation resources for use in evacuation and other operations as needed. O Keep the Logistics Section Chief informed of significant issues affecting the Transportation Branch. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklist. 113 FW iII141imp 64- W] Finance /Administration Section Chief Responsibilities: 1. Ensure that all financial records are maintained throughout the emergency. 2. Ensure that all on -duty time is recorded for all emergency response personnel. 3. Ensure that all on -duty time sheets are collected from EOC assigned personnel and that departments are collecting this information from Field Level Supervisors or Incident Commanders and their staff. 4. Ensure there is a continuum of the payroll process for all employees responding to the emergency. 5. Determine purchase order limits for the procurement function in Logistics. 6. Ensure that all travel and expense claims are processed within a reasonable time, given the nature of the situation. 7. Provide administrative support to all EOC Sections as required, in coordination with the Personnel Branch. 8. Activate branches within the Finance /Administration Section as required; monitor section activities continuously and modify the organization as needed. 9. Ensure that all recovery documentation is accurately maintained during the response and submitted on the appropriate forms to the Federal Emergency Management Agency (FEMA) and /or the Governor's Office of Emergency Services. 10. Supervise the Finance /Administration Section. Activation Phase: O Follow generic Activation Phase Checklists. O Ensure that the Finance /Administration Section is set up properly and that appropriate personnel, equipment, and supplies are in place. 0 Based on the situation, activate branches within the section as needed and designate Branch Coordinators for each element: 114 FW ilI141imp 64- W] • Purchasing Branch • Time Keeping Branch O Ensure that sufficient staff are available for a 24 -hour schedule, or as required. O Meet with the Logistics Section Chief and review financial and administrative support requirements and procedures; determine the level of purchasing authority to be delegated to the Logistics Section. O Meet with all Branch Coordinators and ensure that responsibilities are clearly understood. 0 In conjunction with Branch Coordinators, determine the initial Action Planning objectives for the first operational period. O Notify the Director of Emergency Services when the Finance /Administration Section is operational. 0 Adopt a proactive attitude, thinking ahead and anticipating situations and problems before they occur. Operational Phase: O Ensure that Finance /Administration Section position logs and other necessary files are maintained. 0 Ensure that displays associated with the Finance /Administrative Section are current, and that information is posted in a legible and concise manner. O Participate in all Action Planning meetings. O Brief all Branch Coordinators and ensure they are aware of the EOC objectives as defined in the Action Plan. 0 Keep the Director of Emergency Services, staff, and elected /other officials aware of the current fiscal situation and other related matters, on an on -going basis. 0 Ensure that the all financial records are maintained throughout the emergency for recovery purposes. O Ensure that the Time Keeping Branch tracks and records all agency staff time. 115 FW iII141imp 64- W] 0 In coordination with the Logistics Section, ensure that the Purchasing Branch processes purchase orders and develops contracts in a timely manner. O Ensure that the Time Keeping Branch processes all time - sheets and travel expense claims promptly. 0 Ensure that the Finance /Administration Section provides administrative support to other EOC Sections as required. O Ensure that Accounts Payable tracks travel claims. Demobilization Phase: 0 Follow generic Demobilization Phase Checklist. 116 FW il141imp 64- W] Purchasing Branch Coordinator Responsibilities: 1. Coordinate vendor contracts not previously addressed by existing approved vendor lists. 2. Coordinate with the Supplies Branch on all matters involving the need to exceed established purchase order limits. 3. Supervise the Purchasing Branch. Activation Phase: O Follow the generic Activation Phase Checklist. Operational Phase: O Establish and maintain position logs and other necessary files. O Review the City's emergency purchasing procedures. O Prepare and sign contracts as needed; obtain concurrence from the Finance Section Chief. 0 Ensure that all contracts identify the scope of work and specific site locations. 0 Negotiate rental rates not already established, or purchase price with vendors as required. O Admonish vendors as necessary, regarding unethical business practices, such as inflating prices or rental rates for their merchandise or equipment during disasters. O Finalize all agreements and contracts, as required. O Complete final processing and send documents to Budget and Payroll for payment. 0 Verify costs data in the pre - established vendor contracts and /or agreements. 117 FW iII141imp 64- W] 0 In coordination with the Logistics Section, ensure that the Purchasing Branch processes purchase orders and develops contracts in a timely manner. O Keep the Finance Section Chief informed of all significant issues involving the Purchasing Branch. Demobilization Phase: O Follow the generic Demobilization Phase Checklist. 118 FW iII141imp 64- W] Time Keeping Branch Coordinator Responsibilities: 1. Track, record, and report all on -duty time for personnel working during the event or disaster. 2. Ensure that personnel time records, travel expense claims and other related forms are prepared and submitted to the City budget and payroll office. 3. Supervise the Time Keeping Branch. Activation Phase: O Follow the generic Activation Phase Checklist. Operational Phase: O Establish and maintain position logs and other necessary files. O Initiate, gather, or update time reports from all personnel, to include volunteers assigned to each shift; ensure that time records are accurate and prepared in compliance with City policy. O Obtain complete personnel rosters from the Personnel Branch. Rosters must include all EOC Personnel as well as personnel assigned to the field level. 0 Provide instructions for all supervisors to ensure that time sheets and travel expense claims are completed properly and signed by each employee prior to submitting them. O Establish a file for each employee or volunteer within the first operational period; to maintain a fiscal record for as long as the employee is assigned to the response. O Keep the Finance /Administration Section Chief informed of significant issues affecting the Time - Keeping Branch. Demobilization Phase: 0 Follow the generic Demobilization Phase Checklist. 119 RESOLUTION NO. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA ESTABLISHING THE CITY OF SARATOGA EMERGENCY OPERATIONS PLAN WHEREAS, this City of Saratoga Emergency Operations Plan is an update of the 2009 Emergency Operations Plan that the Council passed on July 15, 2009; and WHEREAS, this City of Saratoga Emergency Operations Plan is a joint effort between the City of Saratoga and the Santa Clara County Fire Department; and WHEREAS, the overall objective of emergency management for the City of Saratoga is to ensure the effective management of response forces and resources in preparing for and responding to situations associated with natural disasters, technological incidents, and national security emergencies; and WHEREAS, the City of Saratoga is primarily responsible for emergency actions and will commit all available resources to save lives, minimize injury to persons and minimize damage to property and the environment; and NOW, THEREFORE, BE IT RESOLVED, the City Council of the City of Saratoga hereby approves the City of Saratoga Emergency Operations Plan. BE IT FURTHER RESOLVED, The above and foregoing resolution was passed and adopted by the Saratoga City Council at a regular meeting held on the 3rd day of July 2013, by the following vote: AYES: NAYES: ABSTAIN: ABSENT: ATTEST: DATE: Crystal Bothelio, City Clerk Jill Hunter, Mayor 257 VS�� ut SA Rq�Oq SARATOGA CITY COUNCIL loss C�ZLF0. MEETING DATE: July 3, 2013 DEPARTMENT: Community Development PREPARED BY: Christopher Riordan AGENDA ITEM: CITY MANAGER: Dave Anderson DIRECTOR: James Lindsay SUBJECT: Provide Direction on the Planning Commission's Review of the City's Residential Green Building Standards RECOMMENDED ACTION: Provide direction on the scope of review. BACKGROUND: This year's Planning Commission work plan includes a review of the CALGreen standards for residential construction. The Commission would like to review the potential of increasing the City's green building standards above the mandatory measures currently established by CALGreen. The California Building Code (CBC) includes the Green Building Standards Code referred to as "CALGreen ". These green building provisions were developed by the California Building Standards Commission along with other state agencies including the Department of Housing and Community Development. This code is applicable to the construction of new buildings and included mandatory measures, as well as two "tiers ", that are optional but could be adopted by local governments for more stringent green building measures. In September 2009 the City updated Article 16 -47 of the City Code (Green Building Regulations) which required all commercial, mixed -use, and community facility buildings to be 15% more energy efficient than required by Title 24 of the California Code of Regulations. DISCUSSION: The CBC, which includes the Green Building Standards Code, is updated every three years. The 2013 Green Building Standards Code will become effective January 1, 2014. The most significant change this cycle is that where previously CALGreen was applicable to only new buildings, it will now apply to both residential additions and alterations. The CBC defines a residential addition as an `extension or increase in floor area or height of a building and an alteration as `any construction or renovation to an existing structure other than a repair or an addition'. The new requirements will only apply to the specific area of an addition or alteration and not to the whole structure. Page 1 of 2 258 The Planning Commission's review of the City's Green Building Regulations in relation to CALGreen could include the following: Recommended that residential construction be consistent with commercial construction by requiring all new residential buildings to be 15% more energy efficient than required by Title 24 of the California Code of Regulations. Review the optional "Tiers" and make compliance with Tier 1 mandatory. To be considered in conformance with Tier 1 a project must incorporate specific additional measures from each category (prerequisites) as well as a specified number of elective measures from each category. The following table illustrates the required measures from each category to comply with Tier 1: Compliance Requirements from Appendix A4 CALGreen Tier 1 # Perquisites # Electives A4.1 — Planning and Design 3 2 A4.2 — Energy Efficiency < 15 %* 4 A4.3 — Water Efficiency & Conservation 2 1 A4.4 — Material Conservation & Resource Recovery 3 2 A4.5 — Environmental Quality 2 1 * eed ner en a rement t e Make no changes and accept the state mandated measures with no increased requirements. ATTACHMENT: Current Residential CalGreen Checklist Page 2 of 2 259 ATTACHMENT 1 APPENDIX A4 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE ronlinrued 260 73 i VERIFICATIONS € LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD j FEATURE OR MEASURE 'Prerequisites and electives' Enforcing Installer or Third j I Agency Designer party i Mandatory Tier 1 Tier 2 I All All All PLANNING AND DESIGN S1te Se }ecttti i A4.103.1 A site which complies with at least one of the following characteristics is selected: I 1. An infill site is selected. L] ❑ j d ❑ ❑ j 2. A greyfield site is selected. 0 ❑ q ❑ ❑ i! 3. An TPA recognized Brownfield site is selected l ❑ ❑ ❑ ❑ ❑ i A4.104.1 An individual with oversight responsibility for € f the project has participated in an educational program promoting environmentally friendly design or development ❑ ❑ € ❑ ❑ ❑ and has provided training or instruction to appropriate entities. D con�trucfa in ttdR et ,t?f l xts— Mat A4.105.2 Existing buildings are disassembled for reuse or recycling- of building materials.'17he proposed structure € ! utilizes at least one of the fallowing materials which can be easily reused: 1. Lighttixtures 2. Plumbing fixtures i El ❑ ❑ El ❑ j 3. Doors and trim I 4. Kasormy ! i 5. Electrical devices 6. Appliances i 7. Foundations or portions of Foundations 4.106.2 A plan is developed and implemented to manage x❑ I € € storm water drainage during construction. 4.106.3'fhe site shall be planned and developed to keep surface water away from buildings. Construction plans shall indicate how site grading or a drainage system will I E ! j manage all surface Water IloWS- I E A4.106.1 Orient buildings to optimize the use of solar i ! energy with the long side of the house oriented within 30° I ❑ ❑ ❑ Cl i C3 of south. A4.106.2.1 Soil analysis is performed by a licensed design i ! professional and the findings utilized in the structural i i ❑ ❑ ❑ Tl i C3 design of the building. 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE ronlinrued 260 73 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST — continued continued 74 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 261 VERIFICATIONS LEVELS I APPLICANT TO SELECT ELECTIVE MEASURES ENFORCING AGENCY TO SPECIFY VERIFICATION METHOD Enforcing Installer or Third FEATURE OR MEASURE I Prerequisites and electives- IAgency Designer party j ❑ © i ❑ Mandatory Tier t 1 Tier 2 All All All A4.106.2.2 Soil disturbance and erosion arc minimized by at leas( one of the following: j 1. Natural drainage patterns are evaluated and I ❑ ❑ ❑ ❑ ❑ erosion controls are implemented to minimize erosion during construction and after occupancy. 2. Site access is accomplished by minimizing the I ❑ I ❑ ❑ ❑ ❑ amount of cut and fill needed to install access roads and driveways. I I 3. Underground construction activities are D I © 0 Cl D eoprdinated to utilize the same trench, minimize tha amount of time the disturbed soil is exposed and the I soil is replaced using accepted compaction methods. I I A4.106.2.3 Topsoil shall he protected or saved for reumi ❑ ❑ ❑ as specified in this section. I Tier L Displaced topsoil shall be stocITI'led for I7'- 172 I reuse in a designated area and covered or protected from erosion. Tier 2. The construction area shall be identified and O'- delineated by fencing or flagging to hmit construction activity to the construction area. A4.106.3 Postconstructiou landscape designs I accomplish one or more of the following. € I I. Areas disrupted during construction are restored ❑ ❑ ❑ ❑ ❑ to beeonsistent with native vegetation species and patterns. 2. Limit turf areas to the greatest extent possible. a. Not more than 54 percent for Tier 1. ❑ D ❑ ❑ b. Not more than 25 percent for Tier 2. l I ❑ ❑ ❑ ❑ 3. Utilize at least 75 percent native California or f ❑ i ❑ ❑ ❑ ❑ drought tolerant plant and tree species appropriate ? for ilie climate zone region. 4. Hydrozoning irrigation techniques are l ❑ ❑ Cl Q Q incorporated into [lie landscape design. t I A4.106.4 Permeable paving is utilized for the parking, 1 walking or patio surfaces in compliance with the I following: i Tier L Not less than 20 percent of the total parking, ; 1 2 ( Q Q ❑ walking or patio surfaces shall be permeable. j I Tier 2. Not less than 30 percent of the total parking, i mil' ❑ ❑ ❑ walking or patio surfaces shall be permeable. ,4.1063 Rooting materials shall have a minimum f' 3 -year aged. solar reflectance and thermal emittauce or al ) I j minimum Reflectance Index (SRI) equal to or greater i than the values specified in Tables A4.106.5(1) and I E A4.106.5(2). Tier l roof eovering shall meet or exceed the values I 02 I contained in Table A4.106.5(1). I 3 Tier 2 roof covering shall meet ar exceed the values ; I [X)z E contained in Table A4.106.5(2). I continued 74 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 261 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST— continued 200 CALIFORNIA GREEN BUILDING STANDARDS CODE continued 262 75 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD Prerequisites and electives' Enforcing Installer or Third FEATURE OR MEASURE Agency Designer party 11 1:1 11 Mandatary Tler t Tier 2 All All All lttttovakve Concep #sand Lacsil )Cni�i rnninr�n'tt�t CQnilitlntts.: A4107.1 Items in this section are necessary to address innovative concepts or local environmental eonditions. Item .1 ❑ ❑ Q Q Q ❑ Item 2 ❑ ❑ ❑ ❑ ❑ ❑ Item 3 © ❑ I © ❑ I7 ❑ M� 4.201.1 Low-rise residential buildings shall meet or exceed the minimum standard design required by the California Energy ❑O Standards. A4.203.1 Exceed the Catiforrria.Euergy Code requirements, based on the 2008 Energy Efficiency Standards requirements 02 by 15 percent. A4,203.1 Exceed the Ca! fontia Energy Code requirements, based on the 2008 Energy Efficiency Standards requirerentsz by 30 percent E RrP �i iI II rosef �Bti►ilSlJn Env @� -e -. m n � .W_�� N.. � ,.. , A4.205.1 Radiant roof barrier is installed in Cliruate Zones 2, Q Q ❑ ❑ ❑ 14, and & thr•ou�h 15.. -_ A4.205.2 Exterior shading at least 18 inches in depth is p ❑ El ❑ ❑ provided on south and wet windows. j A4.2R6.1 Third parry Mower door test is conducted and passed to verify building envelope tightness. ❑ ❑ ❑ ❑ 0 200 CALIFORNIA GREEN BUILDING STANDARDS CODE continued 262 75 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.802 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST —continued continued 76 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 263 i VERIFICATIONS j LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD I Prerequisites and electives[ Enforcing installer or j Third FEATURE OR MEASURE i i Agency Designer I party ❑ ❑ ❑ Mandatory Tier t Tier 2 All Al I All rI[Y�A_G�=Ill�r n,:F ui�meh�a>td In��dlatt6n_ A4.207.1 Radiant, hydronic, ground source and other <.. _ I j — I i innovative space ]tearing and cooling systems included i j in the proposed design shall be designed using i ❑ ❑ ❑ ❑ j D generally accepted industry- approved guidelines and I j design criteria. A4.207.2 An FIVAC system commissioning plan is j ❑ ❑ ❑ ❑ i x❑ developed and the following items, as appropriate, pertaining to the heating and cooling systems are j j inspected and certified by an independent third party agency: j 1. Verify compliance with the manufacturer's i recorrunertded start -up procedures. 2. Verify refrigerant charge by super -heat or other methods specified by the manufacturer. 3. Burner is set to fire at the nameplate input rating. i 4. Temperature drop across the evaporator is within die manufacturer's recommended range. I 5. Test and verify air flow to be within t0 percent of the initial design air flow. 3 6. Static pressure within the duct system is within i 'the manufacturer's acceptable range. 7. Verify that the whole house and exhaust ventilation systems meet Title 24 requirements. 8. Verify that the recomrended maintenance l j procedures and schedules are documented and provided to the home owner. i ' A4.207.2.3 Results of the commissioning inspection shall be included in the Operation and Yfaintenance ❑ ❑ ❑ ❑ ❑ Manual required in Section 4.410.1. I A4.20.4 Install gas -fired (natural or propane) space I E i beating equipment with an Annual Fuel utilization ❑ j ❑ ❑ ❑ ❑ Ratio (AFUE) of .40 or higher. j A4.207.3 If an electric beat pump must be used, select I j I equipment with a Heating Seasonal Performance PactorI, I l� i Q ❑ ❑ ❑ i (HSPF) of 8.0 or higher. I j j A4.207.6 When climatic conditions necessitate the installation of cooling equipment, select cooling € i 1 equipment with a Seasonal Energy Efficiency Ratio j [7 i C7 ❑ ❑ ❑ (SUER) higher than 110 and an Energy Efficiency Ratio (EER) of at least 11.5, j A4.207.7 Install ductwork to comply with at least one i i of the following: 1. Install ducts within the conditioned envelope of i ❑ ; ❑ ❑ ❑ I ❑ the building. j 2. Install ducts in an underfloor crawl space. I ❑ ❑ ❑ ❑ I ❑ 3. Use ducts with an R -6 insulation value or higher. t I ❑ i ❑ ❑ El ; ❑ 4. Install ductwork which is buried in the ceiling i Q I Cl Q El ` ❑ I i IinsulationT -A--4-.207.81'errorm duct leakage testing to verify a total i j ❑ I ❑ ❑ ❑ j ❑ i leakage rate of less than 6 percent of the total fan flow. I I i continued 76 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 263 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST -- continued 2016 CALIFORNIA GREEN BUILDING STANDARDS CODE Continued 264 77 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD Prerequisites and electives' Enforcing I Installer or - -� Third FEATURE OR MEASURE Agency Designer party j ❑ ❑ ❑ Mandatory Tier 1 Tier 2 All All All A4.207.9 In cooling Climate Zones 2, 4, and 8 through 15 I install a whole -house fan with insulated louvers or an ❑ ❑ ❑ ❑ ❑ insulated cover- `A4.207.10 ENERGY STAR ceiling fans are installed in all l E3 1:1 13 11 17 I bedrooms and living areas. A4.208.1 The Energy Factor (EF) for a gas -fired storage © D ❑ I ❑ ❑ water heater is higher than .60. I A4.208.2 The Energy Factor (EF) for a gas -fired tankless j 13 ❑ 13 water healer is .80 of higher, l I A4.208.3 Where the hot water source is more than 10 feet from a fixture, the potable water distribution system shall ❑ ❑ ❑ I ❑ I Q convey hot water using a method designed to minimize wait time for hot water to arrive at the fixture. $h �C m IN A4.209.1 Building lighting consists of at least 90 percent I ❑ ❑ ❑ ❑ I ❑ ENERGY STAR qualified hard -wired fixtures. A4.210.1 Each appliance provided by the builder meets ENERGY STAR if an ENERGY STAR designation is ❑ ❑ ❑ i ❑ I ❑ applicable for that a Hance. i x.= Coe }Y61Z1 .:: fer ._ .,RM `` MIL- i I [ A4.211.1 Install a solar photovoltaic (PV) system in i t compliance with the California Energy Commission New ' Solar Homes Partnership (NSHP).t ' Install energy E efficiency measures meeting either Tier I or Tier H below. I l Tier 1. Exceed [he California Energy Cade ❑ 1 requirements, based on the 2008 Energy Efficiency ( Standards requirements by l5 percent. j [ Tier 2. Exceed the California Energy Code requirements, based on the 2008 Energy Efficiency Standards requirements by 30 percent. I � Solar water heating may be used to assist in meeting the energy } efficiency requirements of either Tier I or Tier H. t 1. In addition, for either Tier 1 or H. each appliance provided by the � l builder must be ENERGY STAR if an ENERGY STAR designativa is applicable for that appliance. I 2. Information on NSHP incentives available through the Crdifornia I Energy Commission may be obtained at the "Go Solar Califomia" I wabMu,: Www. GnSnlacCalifornia .ca.gov /nshp /index.hlml. I i A4.211.2 A solar water heating system is installed. ❑ I ❑ Q Q ❑ A4.211.3 Space on the roof surface and penetrations I through the roof surface are provided For future solar i ❑ C7 Q i Cl G7 installation. l A4.211.4 A mirtintum one -inch conduit is provided From i the electrical service equipment for the future installation ❑ I ❑ 11 i ❑ ❑ I of a photovoltaic (PV) system. € 2016 CALIFORNIA GREEN BUILDING STANDARDS CODE Continued 264 77 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST —continued continued 78 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 265 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD FEATURE OR MEASURE Prerequisites and electives' Enforcing Installer or Third Agency Designer party ❑ ❑ ❑ Mandatory Tier 1 Tier 2 All All All �Ievfi�c�il's; I�sCalaiG s_�ttil C)the���tPmeg�; � ' Tna�►i��"i► ��p� ��� t:Itl'En��ttm��al A4.213.1 Items in this section are necessary to address innovative concepts or local environmental conditions. Item 1 ❑ ❑ ❑ ❑ ❑ I ❑ Item 2 ❑ ❑ ❑ ❑ ❑ ❑ Item 3 ❑ ❑ ❑ ❑ ❑ ❑ w , w NNW a ,QE, ; 4.303.1 Indoor water use shall be reduced by at least 20 1:1 El El using one of the following methods. 7/0112011 E I 1. Water saving fixtures or flow restrictors shall be E used. 2. A 20 percent reduction in baseline water use shall I be demonstrated. 4.303.2 When using the calculation method specified in Section 4.303.1, multiple showerheads shall not exceed 7/010011 ❑ ❑ ❑ mmirnum How rates. I I 4.303.3 Plumbing fixtures (water closets and urinals) and x E 1 linings (faucets and showerheads) shall comply with 7101/2011 ❑ ❑ ❑ specified perfonnance. requirements. ' A4.303.1 Kitchen faucets and dishwashers shall comply ' ❑ ❑ ❑ with this section. Tier L The maximum flow rate at a kitchen sink 1 a] El, faucet shall not be greater than 1.5 gallons per minute E at 60 psi. Tier 2. In addition to the kitchen faucet requirements 0Z for Tier 1, dishwashers in Tier 2 buildings shall be i ENERGY STAR qualified and not use more than 5.8 i - -- gallons of water per — A4.303.2 Nonwater supplied urinals or waterless toilets ❑ ❑ ❑ i ❑ ❑ are installed. i 4.304.1 Automatic irrigation systems controllers installed ❑ ❑ ❑ at the time of fatal inspection shall be weather - based. A4.304.1 Install a low -water consumption irrigation I i ( ❑ ❑ ❑ E I ❑ ❑ system which minimizes the use of spray type heads. A4.304.2 A rainwater capture, storage and re -use system ❑ ❑ ❑ ❑ ❑ is designed and installed. A4.304.3 A water budget shall be developed for landscape irrigation. ❑ i ❑ ❑ ❑ ❑ continued 78 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 265 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST —continued 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE continued 266 79 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD Pretegulsltes and electives' Enforcing Installer or j Third FEATURE OR MEASURE Agency Designer E party © ❑ El Mandatory Tier 1 Tier 2 All All _; All A4.304.4 Provide water efficient landscape irrigation ❑ ❑ C7 I design that reduces the use of potable water. `Pier 1. does not exceed 65 percent of CT o times the 02 landscape area. Tier 2. Dues not exceed 60 percent of E'1 o times the Imo' - landscape area. A4.304.5 A landscape design is installed which does ❑ ❑ © Q not utilize potable water. A4.305.1 Piping is installed to permit future use of a graywater irrigation system served by the clothes i ❑ ❑ ❑ ❑ ❑ washer or other fixtures. A4.305.2 Recycled water piping is installed, ❑ I ❑ ❑ ❑ ❑ A4.305.3 Recycled water is used for landscape 11 ❑ ❑ ❑ i ❑ irrigation. EnStil'>S _ . af,��Gp_c�flfi�s . �-._W • . _.. I � A4.306.1 Items in this section are necessary to address ' innovative cone Is or local environmental conditions. I€em 1 ❑ ❑ ❑ ❑ ❑ ❑ Item 2 ❑ ❑ ❑ ❑ ❑ ❑ Item 3 ❑ El I ❑ ❑ ❑ 1 ❑ j A4.403.1 A Frost- Protected Shallow Foundation I ❑ ' ❑ ❑ ❑ ❑ I (FPSF) is designed and constructed. A4.4032 Cement use in foundation mix design is I ❑ 3 ❑ I ❑ reduced. Tier L Not less than a 20 percent reduction in 02 cement use. Tier 2. Not. less than a 25.percent reduction in I ❑x'- j cement use. 1 n �n r _,_._,..... .---- ..-- ._.__ -. - A04.1 Be unsanl Ieadeisardtamners are the i ❑ ❑ 0 minimum size to adequately support the load. i A4.404.2 Building dimensions and layouts are designed' to minimize waste. _ � ❑ ❑ ❑ _-- .__- ...__ —._ ❑ _..,. _- ._�._.- ❑ I A4.404.3 Use premanafactured building systems to I I ❑ I I clinii nate solid. sawn lumber whenever possible. Material 4 4 lists o a included t rhici Lu -- _......_...._ __._, __ _..,..,..,.....L�__._..,._...__ ._._........- --.-.-. - -- -- - -�I I specify direction it quantity P de f ❑ ❑ oil -site cuts. -- - -- i - - -- —L -- -- 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE continued 266 79 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.802 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST -- continued continued 80 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 267 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD Prerequisites and electives' Enforcing Installer or Third FEATURE OR MEASURE i Agency Designer party I ❑ ❑ ❑ Mandatory I Tier I Tier 2 All All All A4.405,1 one or more of the Following building tnatenals, that do not require additional resources for finishing are ❑ ❑ ❑ O _❑ used: 1. Fxwrior trim not requiring paint or stain 2. Windows not requiring paint or stain j 3. Siding or exterior wall coverings which do not require paint or stain X14.405.2 Floors that do not require additional coverings are used including but not limited to stained, natural or ❑ ❑ ❑ i ❑ ❑ stamped concrete floors. A4.405.3 Posteonsumar or preconsumer recycled content ❑ ❑ ❑ value (RCV) materials are used on the project. 'Pier 1. Not less than a 10 percent recycled content l]'- value. Tier 2. Not less than a 15 percent recycled content2 value - I A4.405A Renewable source building products are used. ❑ ❑ ❑ ❑ ❑ I! 4.406.1 Joinis and openings. Annular spaces a€ouad IX ❑ i ❑ ❑ pipes, electric cables, conduits or other openings in plates 1 at exterior walls shall he protected against the passage of j I rodents by closing such openings with cement mortar, j concrete masonry or similar method acceptable to the i enforcing a ncy y! A�Bf�CS16tAIlCf� _Iin��OSSilIl'E_AnR - - - - -- -- - ........... .... .. .... .__._-..._ .-.f . --... _-.-.. - -- - - -- - -- ..,..,...- -.,.._ ' A4.407.1 Install foundation and landscape drains. ❑ ❑ ❑ ❑ ❑ j A4.407.2Install gutter and downspout systems to route I water- at least 5 Feet away From the- foundation or connect to landscape drains which discharge to a dry well, sump, ❑ ❑ ❑ ❑ ❑ bioswale, rainwater capture system or other approved on -site location. E A4.407.3 Provide flashing details on the building plans and comply with accepted industry standards or � ❑ ❑ ❑ ❑ ❑ ! manufacturer's instructions._ -- A4.407.4 Protect building materials delivered to the ❑ ❑ ❑ ❑ ❑ construction site from rain and other sources of moisture. __..___....._. -_._ ,..,.......- ...... ....._.,- .i._...- ..,.- ..,__...- ..- .,.... _. _. _._.____-_-.....- _..,..,..,_.._...._..- .. -. -... - .-- .,_._.- ----------- A4.407.5 In Climate Zone 16 an ice /water bam'er is I installed at roof valleys, eaves and wall to roof ❑ 1 Cl ❑ 0 ❑ intersections. A4A07.6 Exterior doors to the dwelling are protected to ( ❑ � © © I ❑ prevent water intrusion. I j A4.407.7 A permanent overhang or awning at least 2 feet I ❑ 13 ❑ ( in depth is provided. I- - -- —❑ I continued 80 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 267 RESIDENTIAL VOLUNTARY MEASURES SECTION A4. 602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST — continued 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE continued - , 81 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD Prerequisites and electives' Enforcing Installer or Third FEATURE OR MEASURE Agency Designer party ❑ 1 ❑ 1 ❑ Mandatory Tier Tier All I Allf All � Con�tructian Waste `(teducttnn; Dts�iosa� anti I � - 4.408.1 A minimum of 50 percent of the construction 1 waste generated at the site is diverted to recycle or G7 ❑ ❑ 1 ❑ 4.408.2 Where a local jurisdiction does not have a € construction and demolition waste management ordinance, ❑ ❑ i ❑ a construction waste management ptan shall be submitted for approval to the enforvi ng agency _ A4.408.1 Construction waste generated at the site is diverted to recycle or salvage in compliance with one of the following: 1 1. Tier 1 at least a 65 percent reduction ❑z ❑ I ❑ ❑ 2. Tier 2 at least a 75 percent reduction 02 ❑ El ❑ Exception: Equivalent waste reduction methods I are develo red h working with local a enc, 4.410.1 An operation and maintenance manual shall be x I © ❑ ❑ provided to the building occupant or owner. A4.411.1 Items in this section are necessary to address innovative concepts or local environmental conditions. j pent 1 ❑ ❑ ❑ ❑ CI ❑ I € Item 2 I ❑ ❑ ❑ ❑ ---- ...._0 ❑ Item 3 ❑ ❑ i ❑ ❑ ❑ ❑ I E1�TY RQ11lEN�A',(�UX 4.503.1 Any installed gas fireplace shall be a direct -vent € ' sealed- combustion type. Any installed woodstove orpellet stove shall comply with US EPA Phase H emission limits ED I ❑ ❑ I ❑ 1 where applicable. Woodstoves, pellet stoves and fireplaces E 1 shall also comply with applicable local ordinances. 4.504.1 Duct openings and other related air distribution 91 ❑ I ❑ El 1 component openings shall he covered during construction. 14.504.2.1 Adhesives, sealants and caulks shall be ❑ I ❑ ❑ compliant with VOC and other toxic compound limits. 4.544.2.2 Paints, stains and other coatings shall he. I ❑ ❑ i ❑ coin liant with VOC limits. I 14.504.23 Aerosol paints and coatings shall he compliant ! I 1 with product weighted MIR limits for ROC and other toxic! [ ❑ j ❑ ❑ compounds. . .................. ......... _,............ 14.504.2.4 Documentation shall be provided to verify that I El ❑ ❑ ( ❑ compliant VOC limit finish materials have been used. i 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE continued - , 81 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST — continued continued 82 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 269 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD � Frereclulsltes and electives' Enforcing Installer ar Thlyd FEATURE OR MEASURE I Agency Designer party Mandatory I Tier 1 Tier 2 All All All 504,3 Carpet and carpet systems shall be compliant EE I ❑ ❑ ❑ with VOC limits. 1 4.5114.4 50 percent of floor area receiving resilient —_ flooring shall comply with the VOC- emission limits I defined in the Collaborative for High Performance I ❑ i Schools (CEPS) Low- emitting Materials List or be certified under the Resilient Floor Covering Institute I (RFCI) FloorScore program. 4.504.5 particleboard, medium density fiberboard ! (MDF) and hardwood plywood used in interior mush l7 ❑ ❑ ❑ systems shall comply with low formaldehyde emission Standards. A4.504.1 Meat the formaldehyde limits contai red in Table 4.504.5 before the nandatory compliance date, orI use composite wtwd products made with either ❑ ❑ ❑ ❑ ❑ California Air Resources Board approved no -added formaldehyde (NAF) resins or ultra -low emitting formaldehyde (bLEF) resins. A4.504.2 Install VOC compliant resilient flooring ❑ ❑ ❑ systems. I I Tier 1. At least 90 percent of the resilient flooring ❑O 2 installed shall comply. I Tier 2. At least 90 percent o€ the resit ietat flooring j D2 j instal led shall comply. I _ A4.504.3 Thermal insulation installed in the building ❑ ❑ I ❑ shall meet the following requirements: I Tier 1. Install thermal insulation in compliance with T 2 the VOC- emission limits defined in Collaborative for H igh Performance Schools (CHPS) Low - emitting Materials List. I { Tier 2. Install insulation which contains No -Added I 02 ! � Formaldehyde (IYAF) and is in compliance with the I VOC emission limits defined in Collaborative for I High Performance Schools (CHPS) Lose- emitting ! Materials List. I }�7r :Y�1 �'ib1S Ct►�aficti� = � .=� _� �..1__.- ..,— __._.- .... -. �.1_._ € 4.505.2 Vapor retarder and capillary break.is installed I at slab on grade foundations. x❑ ❑ ❑ I ❑ 4.505.3 Moisture content of building materials used in wall and floor franning is checked before euciosure. I ❑ ❑ I ❑ �7it�uo'An- Q��1>iCy a�ttl �xha�isi 's 1 4,506.1 Exhaust fans which terminate outside the I building are provided in every bathroom, GJ j ❑ ( ❑ A4,506.1 Iligher than MERV 6 Filters are installed on i ! I central air or ventilation systems. ❑ I ❑ ❑ ❑ ❑ A4.506.2 Direct vent appliances are used or isolated i ❑ I ❑ ❑ i ❑ i ❑ I from the conditioned space. continued 82 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 269 RESIDENTIAL VOLUNTARY MEASURES SECTION A4.602 RESIDENTIAL OCCUPANCIES APPLICATION CHECKLIST— continued Green building measures listed in this table may be mandator} if adopted by a city, county, or city and county as specified in Section I Of .7. Required prerequisite for this'I ier. 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 270 83 VERIFICATIONS LEVELS ENFORCING AGENCY TO SPECIFY APPLICANT TO SELECT ELECTIVE MEASURES VERIFICATION METHOD Prerequisites and electives' Enforcing Installer or Third FEATURE OR MEASURE I I Agency Designer i party El 11 11 :Mandatory Tier I Tier 2 All All All 4.507.1 Whole house exhaust fans shall have insulated louvers or covers which close when the fan is off. Covers ❑ I ❑ ❑ I ❑ or louvers shall have a minimum insulation value of R-4.2, 4.507.2. Duct systems are sized, designed, and equipment ! 1E I ❑ ❑ ❑ is selected using the following methods: j I 1. Establish heat loss and heat gain values according to I ACCA Manual 7 or equivalent. 2. Size duct systems according to ACCA 29 -D (h4anual D) or equivalent. 3. Select heating and cooling equipment according to ACCA 36 -S (Manual S) ore trivalent, u ors ` Y i�,elali ; an011 a 1 A4.509.1 Items in this section are necessary to address innovative_ concepts or local environutental conditions. ❑ ❑ ❑ ❑ I Q Item 2 ❑ Q ❑ ❑ I ❑ I i Item 3 ❑ ❑ ❑ ❑ ❑ �ns�llgr and�'eca�� ectar �ualiiica�io�s r� Kwing HVAC system installers are trained and certified in j ❑ ❑ ? Q E7021 the proper installation of HVAC systems. 1702.2 Special inspectors employed by the enforcing agency must be qualified and able to demonstrate Cl ❑ ❑ i ❑ I I competence ht the discipline they are inspecting. Vgt>cAtt► w. . 1 703.1 Verification of compliance with this code may I I I include construction documents, plan;, specifications builder or installer certification, inspection reports, or I Q ❑ ❑ ❑ other methods acceptable to the enforcing agency which I i show substantial conformance- ; Green building measures listed in this table may be mandator} if adopted by a city, county, or city and county as specified in Section I Of .7. Required prerequisite for this'I ier. 2010 CALIFORNIA GREEN BUILDING STANDARDS CODE 270 83 ug SAIt 04 SARATOGA CITY COUNCIL �e �Lx�oR�s MEETING DATE: July 3, 2013 AGENDA ITEM: DEPARTMENT: City Manager's Office CITY MANAGER: Dave Anderson PREPARED BY: Crystal Bothelio DIRECTOR: Dave Anderson City Clerk SUBJECT: Council Meeting Decorum RECOMMENDED ACTION: Accept report and direct staff accordingly. BACKGROUND: At the June 19, 2013 City Council Meeting, Council Members Page and Miller requested Council discussion on Council Meeting decorum. This topic was also reviewed by the City Council at the June 15, 2011 City Council Meeting. At that time, the Council decided to further study the matter and hold discussion on the topic at a later date. The staff report from the June 15, 2011 meeting is included as Attachment A. Currently, there are several rules that have been adopted to guide behavior at Saratoga City Council meetings. In the City Council Norms of Operation and Rules of Order and Procedure for City Council, there are several guidelines on meeting decorum. Relevant excerpts of the policy are copied below and the entire policy is attached to this report (Attachment B). City Council Norms of Operation and Rules of Order and Procedure for City Council Section 1, G: Members of Council should not engage in debate with a member of the public or Staff at Council meetings since these debates seldom resolve concerns and many times inflame feelings at a public meeting. Any concerns by a member of Council over the behavior or work of a City employee during a Council meeting should be directed to the City Manager privately to ensure the concern is resolved. Section 6, C: No person who addresses the Council shall make any belligerent, personal, impertinent, irrelevant, redundant, slanderous, loud, threatening, abusive or disparaging remark, statement or commentary toward the Council, staff or other individuals in a manner which disrupts, disturbs or otherwise impedes the orderly conduct of the Council meeting, nor shall any person engage in any other disorderly conduct which so disrupts, disturbs or impedes the orderly conduct of the meeting. Any violation of this rule shall be grounds for terminating the person's comment period. Continued inappropriate behavior or comments, after having been directed to discontinue, also shall be grounds for removal from the Page 1 of 4 271 meeting. Council shall not be belligerent or make disparaging commentary toward the speaker. Nothing in this section shall prohibit or discourage orderly criticism of any City decision or policy within the limits of these rules. If a member of the public fails to follow these rules after being warned once, the Council may bar that individual from further testimony for the evening or remove the person from the meeting. In addition to the above excerpts, the City of Saratoga Rules of Parliamentary Procedure, added to the City Council Norms of Operation and Rules of Order and Procedure for City Council in 2009, also provides guidance on the conduct of meetings. The Rules of Parliamentary Procedure are included as part of Attachment B. A number of other local cities also have rules that guide behavior at Council Meetings. Often, rules establish standards for respectful behavior for both the public and the Council. Some examples include: - Limitations on the size of banners or signs that may be brought into Council Chambers and displayed by audience members. - Restrictions on disruptive of disrespectful behavior, such as loud outbursts or expressions of emotion. This includes prohibiting clapping, hissing, or booing at meetings. - Rules and reminders on use of cell phones and other mobile devices in the Council Chambers. - Restrictions on private discussions among Council Members on the dais. - Reminders to treat those with opposing view points with respect. - Guidelines for when disruptive audience members may be removed from the Council Chambers. Examples of rules that guide Council Meeting decorum from the City of Cupertino, City of Mountain View, and City of Los Altos are below. Additionally, samples from the cities of San Jose, Fresno, and Fremont are included as part of Attachment A. City of Cupertino: City Council hearings serve as a venue for the discussion of sometimes divergent points of view. Please respect the opinions of others and refrain from outward expressions of emotions such as cheering or clapping. Such behavior delays the meeting and may intimidate other persons wishing to express alternate views. Loud, unruly outbursts will result in removal from the meeting. City of Mountain View: - Councilmembers shall refrain from abusive conduct, personal charges or verbal attacks upon the character or motives of other members of the City Council, boards, commissions, committees, staff or the public. - Councilmembers shall inform themselves on public issues, listen attentively to public discussions before the body and focus on the business at hand. - Council decisions shall be based upon the merits and substance of the matter at hand. - It is the responsibility of Councilmembers to publicly share substantive information that is relevant to a matter under consideration that they have Page 2 of 4 272 received from sources outside of the public decision - making process with all other Councilmembers and the public prior to taking action on the matter. - While the City Council is in session, all persons shall conduct themselves with reasonable decorum. - Any person who is so disorderly or who so persistently disrupts the business meeting so far as to interfere with the proper conduct of the business may be ordered removed from the meeting place. At such time, the Mayor may call a recess. Citv of Los Altos: Council members. Members of the City Council value and recognize the importance of the trust invested in them by the public to accomplish the business of the City. Council members shall accord the utmost courtesy to each other, City employees, and the public appearing before the City Council. Formal business attire is required only when Council meetings, workshops, or study sessions are held in Community Meeting Chambers and televised. City Employees. Members of the City staff shall observe the same rules of order and decorum applicable to the City Council. City staff shall act at all times in a business and professional manner towards Council members and members of the public. Public. Members of the public attending City Council meetings shall observe the same rules of order and decorum applicable to the City Council. City Code Chapter 2.05, Public Meeting Rules for Conduct, shall apply to all City Council Meetings. Noise in the Chambers. Noise emanating from the audience, whether expressing opposition or support within the Community Meeting Chambers or lobby area, which disrupts City Council meetings, shall not be permitted. All cellular phones and other consumer electronic devices shall be muted while in the chambers. Refusal is grounds for removal. If Council would like to expand upon existing meeting decorum rules, Council may provide specific direction on the type of rules it would like to add or expand upon and direct staff to return with a revision to the City Council Norms of Operation and Rules of Order and Procedure for City Council that contains additional language on decorum at Council Meetings. FISCAL IMPACTS: N/A CONSEQUENCES OF NOT FOLLOWING THE RECOMMENDED ACTIONS: N/A ALTERNATIVE ACTION(S): N/A Page 3 of 4 273 FOLLOW UP ACTION(S): Implement Council direction. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Attachment A: June 15, 2011 Staff Report on Council Meeting Decorum Attachment B: City Council Norms of Operation and Rules of Order and Procedure for City Council Page 4 of 4 274 of sAIr�a ❑� SARATOGA CITY COUNCIL c�Z��oYSTS�'� MEETING DATE: June 15, 2011 AGENDA ITEM: DEPARTMENT: City Manager's Office PREPARED BY: Ann Sullivan, City Clerk SUBJECT: City Council Meeting Decorum RECOMMENDED ACTION: CITY MANAGER: Dave Anderson DIRECTOR: Dave Anderson Discuss and provide direction to staff related to creating a council policy regarding meeting decorum for City meetings. REPORT SUMMARY: Many cities provide attendees to their City Council meetings with a defined policy related to audience decorum during the City Council meetings. This is done to minimize interruptions and allow members of the public to provide input to the City Council in a safe, equitable manner. Typically, during very contentious issues, like those affecting a specific neighborhood, tempers can flare and emotions can get out of control. It is the City Council's responsibility and that of the mayor specifically, to maintain order. A published meeting decorum would help ensure that all participants know of the protocol they are to follow during City Council and other public meetings. The City of Saratoga currently provides a brochure to the public (Attachment A) "General Information and Procedures for Public Meetings" and in that brochure there is a section titled PUBLIC PARTICIPATION that addresses some of the issues regarding public meeting decorum. There are many options related to meeting decorum. Noted below are options that have been documented by other cities: 1. Provide instructions to those who wish to speak to the city council a. Turn in speaker slip. b. Approach the podium only when called on by the presider. c. Define the materials allowed to be brought to the podium. 2. Limiting support of a speaker's comments to hand - raising, versus loud clapping and cheering. 3. Defining the size of signs that may be brought into the room where the council meeting is being held. 4. Rules related to objects that may or may not be brought into the room, or be brought towards the dais. 5. Rules related to food, drink in the meeting room 6. Rules related to the use of cellular and other mobile devices. 7. Rules related to appropriate attire (including shirts and shoes). 245 8. Rules related to whom the speaker's message should be addressed (this is typically the full body) 9. Guidelines related to the length of time speakers have to speak. Attached to this staff report are samples of public meeting decorum /protocol that is used by the Cities of San Jose, Fresno, and Fremont. FISCAL IMPACTS: CONSEQUENCES OF NOT FOLLOWING RECOMMENDED ACTION: Attendees of Council meetings will have no defined decorum to follow. ALTERNATIVE ACTION: 00 FOLLOW UP ACTION: City Clerk will bring back Council's desires as policy for adoption by Council, update the existing General Information and Procedures for Public Meetings brochure that is currently available to the public at City meetings, and post on the City website. ADVERTISING, NOTICING AND PUBLIC CONTACT: Pursuant to Government Code 54954.2, this item was properly posted as a City Council agenda item and was included in the packet made available on the City's web site in advance of the meeting. A copy of the agenda packet is also made available at the Saratoga Branch Library each Monday in advance of the Council meeting. ATTACHMENTS: Attachment A — City of Saratoga's existing "General Information and Procedures for Public Meetings" brochure that is currently provided to the public at City meetings. Attachment B — City of San Jose Meeting Code of Conduct Attachment C — City of Fresno Speaker Instructions Attachment D — City of Fremont Speak Instructions am This brochure is designed to acquaint you with general information regarding the City and its officials and staff, including policies and procedures of public meetings of the City Council and Commissions. ABOUT THE CITY Incorporated on October 22, 1956, Saratoga is a General Law City and operates under a City Council- Manager form of government. The City has 5 departments, including the City Manager's Office, Finance & Administrative Services, Community Development, Public Works, and Recreation & Facilities. The City also contracts with the Santa Clara County Sheriffs Department for police services. Special districts, including the Fire District, seven school districts, Santa Clara Valley Water District, West Valley Sanitation District, Cupertino Sanitation District, provide services to the residents but are under the jurisdiction of separately elected legislative bodies. Total land area: 12 square miles Population: Approximately 29,843 ABOUT THE CITY OFFICIALS The City has a five - member City Council, The Councilmembers are selected by the electorate at large to serve the entire City for a term of four years. After each general municipal election held in November of each even numbered year, Council chooses one of its members as Mayor and one as Vice Mayor. Each selection shall be by three or more affirmative votes. The Council also selects one or two of its members to serve on various State and Regional agencies, Boards or commissions. At the first regular meeting in December of each year, the office of the Mayor and Vice Mayor shall automatically be considered by Council. CITY COMMISSIONS The City has six (6) advisory Commissions serving the community on various matters such as land use, heritage preservation, parks and recreation, library, public safety, and youth. The Commissioners serve four -year terms and are appointed by the City Council; however the Youth Commissioners serve one two -year term. The terns expire in January, April, and October of each year with a varying number of seats at each time. Notice of vacancies are posted on the City's website and advertised in the Saratoga News. A press release is transmitted to the Saratoga News. MEETING DATES & LOCATION A. Regular Meetings City Council - lst and 3`d Wednesday of each month at 7:00 p.m. in the Council Chambers /Civic Theater at 13777 Fruitvale Avenue. Planning Commission - 2 "d & 4th Wednesday of each month at 7:30 p.m. in the Council Chambers /Civic Theater at 13777 Fruitvale Ave.. Heritage Preservation Commission - 2nd Tuesday at 8:30 a.m. at the Warner Hutton House at 13777 Fruitvale Avenue. Library Commission - 4th Wednesday every other month at 12:00 noon. in the Saratoga Library at the corner of Saratoga Avenue and Fruitvale Avenue. Parks and Recreation Commission- Meets 2 "d Tuesday every other month at 6:30 pm. At City Hall at 13777 Fruitvale Avenue. Traffic Safety Commission - 2 "d Thursday every other month at 6:30 p.m. at City Hall at 13777 Fruitvale Avenue. Youth Commission - 2" d Tuesday 7 -9 p.m. at the Warner Hutton House at 13777 Fruitvale Avenue. B. Special Meetings The Mayor or a majority of the Council may call a special meeting at any time. A special meeting must be posted within 24 hours before the time of meeting. LEGAL NOTICES Legal notices for public hearings, ordinances, bids, certain resolutions and special projects are published in the Saratoga News, as required by law. ORDINANCES Ordinances are means by which the City enacts its local laws. Unless an urgency exists, an ordinance must be presented at one meeting for first reading and introduction, then at a subsequent meeting for second reading and adoption. Ordinances take effect thirty days after adoption; urgency ordinances take effect immediately. RESOLUTIONS Resolutions are the means by which the City Council formally adopts policy or approves the taking of specific action. These are effective upon adoption. AGENDAS /MINUTES Agendas are posted 72 hours before a regular meeting and 24 hours before a special meeting, as required by law. They are posted on the kiosk outside the Council Chambers /Civic Theater. Agendas are available for the public at the Library and on the City's website. Visit our website, www.sarato ag ca.us, to become a subscriber. Anyone may review copies of the agenda as soon as they are printed or minutes of the City Council after they have been approved. Minutes are available at the City Clerk's office and the City's website www.saratoga.ca.us. Copies of City records, including but not limited to, minutes, resolutions, and ordinances, are available upon request from the City Clerk's office for $0.20 per page. Depending on the record requested, copies may be provided upon request or may be provided at a later date as required by law. 243 PUBLIC PARTICIPATION The City encourages participation by all interested parties. If you wish to address the Council or Commission, please complete the speaker slip available on the table that is located in the front lobby or adjacent to the entrance, depending on where the meeting is being held, and submit it to the Mayor /Chairperson or the City Clerk/Commission Secretary. This applies to applicants and/or their representatives, interested citizens, and other speakers whether it is for a particular agenda or public hearing item(s) or to speak on a subject not on the agenda during the Oral Communications portion of the meeting. Please direct your comments and /or testimony to the Council or Commission. Questions should be directed to the Mayor or Chairperson. All comments and /or testimony are limited to three (3) minutes. If a longer time appears necessary, the Mayor /Chairperson may request that the issue be placed on the agenda for the next meeting, for comments pertaining to items not on the agenda. For items on the agenda, the Mayor /Chairperson may allow speakers extra time under exceptional circumstances and if the information being presented is pertinent to the case and non- repetitive. ORDER OF AGENDA ITEMS The following is the usual order of agenda items for regular Council meetings. The Mayor with the concurrence of Council, can change the order in which items on the agenda are heard. • Open Session - The Mayor opens the meeting in the Administration Conference Room at City Hall, to allow the public an opportunity to comment on closed session items before the Council adjourns to Closed Session, as required by law. Commission interviews are also done at this time. Closed Session - Immediately following open session, the Council adjourns to closed session in the Administration Conference Room at City Hall. Start times may vary depending on volume of closed session items and the estimated time required to conduct the closed session. The items are listed on the agenda as required by law, however this meeting is not open to the public. Call to Order - the Mayor calls the regular meeting to order. Pledge of Allegiance - The Mayor may call upon a member of the public or staff to lead the pledge. Roll Call - A quorum constituting 3 of the 5 members of the Council is required to conduct any Council meeting. The City Clerk calls the roll. Report of Posting of the Agenda - The City Clerk reports on the posting of the agenda as required by law. Mayor's Report on Closed Session - The Mayor is required to announce any action taken during closed session. Oral Communications - During this portion, any persons who wish to address the City Council on a subject not on the agenda may do so. Oral communications are not intended as the means for debate or decision- making, but only for making a presentation in person. Therefore, certain provisions may apply as indicated under the Public Participation section of this brochure. Announcements — Reserved time for the Council to make special announcements. Ceremonial Items - These items include presentation of proclamations, commendations, appointments, administration of oath of office and special introductions. Special Presentations - Reserved time for pre - scheduled outside presentations. Consent Calendar - These items are routine items of business. Items in this section will be acted in one motion, unless removed by the Mayor or a Councilmember. Any member of the public may speak to an item on the Consent Calendar, or request the Mayor remove an item for discussion. Resolutions concerning decisions made at previous meetings are for the purpose of memorializing the decision to assure the accuracy of the findings, the prior vote, and any conditions imposed. • Public Hearings - There are two kinds of public hearings, those required by law and those called by the City Council of its own volition. In either event, the purpose is to provide an opportunity for all interested persons to be heard. • Old Business - These are general items, which have been considered by the Council at a previous meeting. • New Business - These are general items, which have not been previously considered by the Council. • City Council Items - These items are procedural City Council matters, such as agendas for future meetings, and certain Council reports. • City Manager Items — City Manager or City Attorney may bring up other items of interest or make announcements under this section. • Adjournment - The Mayor may adjourn the meeting to a date specific. If no date specific is announced, the next meeting will be the next regularly scheduled Council meeting. ACCESSIBILITY Devices to assist the hearing impaired are available in the lobby. In compliance with the Americans with Disabilities Act, if you require reasonable accommodations for the public meetings, please contact the City Clerk's Office at (408) 868 -1269. A 48 -hour notification prior to a regular meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting. CITY ADDRESS AND DIRECTORY City Hall /Council Chambers /Civic Theater - 13777 Fruitvale Avenue Chamber of Commerce .. ............................... Adult Care Center - 19655 Allendale Avenue West Valley Recycling (garbage) ................ Community Center -19655 Allendale Avenue Library ........................... ............................... Corp Yard —19700 Allendale Avenue San Jose Water Company ..._........_ .............. Telephone numbers: Santa Clara County Fire District ................... City Council: Santa Clara Valley Water District ................. Mayor Howard Miller .... ............................... (408) 802 -4034 • Vice Mayor Chuck Page ...................... (408) 839 -9555 • Councilmember Jill Hunter .................. (408) 741 -1213 • Councilmember Manny Cappello ........ (408) 455 -4468 • Councilmember Emily Lo .................(408) 480 -2834 City Manager ................ ............................... (408) 868 -1213 Assistant City Manager ........................ ... (408)868 -1215 City Clerk ..................................................... (408) 868 -1269 Administrative Services . ............................... (408) 868 -1260 Community Development ............................. (408) 868 -1222 Public Works ................. ............................... (408) 868 -1240 Recreation ...................... ............................... (408) 868 -1249 OTHER SERVICES* Chamber of Commerce .. ............................... (408) 867 -0753 West Valley Recycling (garbage) ................ (408) 283 -9250 Library ........................... ............................... (408) 867 -6126 San Jose Water Company ..._........_ .............. (408) 279 -7900 Santa Clara County Fire District ................... (408) 378 -4010 Santa Clara Valley Water District ................. (408) 265 -2600 School Districts ............ ............................... Various districts serve the area. Please check telephone directory for listings. Sheriffs Department .......... .......................... (408) 299 -3233 West Valley Sanitation District ....................(408) 378 -2407 Cupertino Sanitation District ........................ (408) 253 -7071 248 GENERAL INFORMATION AND PROCEDURES FOR PUBLIC MEETINGS R 2",i Howard Miller, Mayor Chuck Page, Vice Mayor Jill Hunter, Councilmember Manny Cappello, Councilmember Emily Lo, Councilmember Dave Anderson, City Manager Attachment B City of San Jose Meeting Code of Conduct CITY OF SAN JOSE CODE OF CONDUCT FOR PUBLIC MEETINGS IN THE COUNCIL CHAMBERS AND COMMITTEE ROOMS The Code of Conduct is intended to promote open meetings that welcome debate of public policy issues being discussed by the City Council, Redevelopment Agency Board, their Committees, and City Boards and Commissions in an atmosphere of fairness, courtesy and respect for differing points of view. 1. Public Meeting Decorum: a) Persons in the audience will refrain from behavior which will disrupt the public meeting. This will include making loud noises, clapping, shouting, booing, hissing or engaging in any other activity in a manner that disturbs, disrupts or impedes the orderly conduct of the meeting. b) Persons in the audience will refrain from creating, provoking or participating in any type of disturbance involving unwelcome physical contact. c) Persons in the audience will refrain from using cellular phones and /or pagers while the meeting is in session. d) Appropriate attire, including shoes and shirts are required in the Council Chambers and Committee Rooms at all times. e) Persons in the audience will not place their feet on the seats in front of them. f) No food, drink (other than bottled water with a cap), or chewing gum will be allowed in the Council Chambers and Committee Rooms, except as otherwise pre- approved by City staff. g) All persons entering the Council Chambers and Committee Rooms, including their bags, purses, briefcases and similar belongings, may be subject to search for weapons and other dangerous materials. 2. Signs, Objects or Symbolic Material: a) Objects and symbolic materials, such as signs or banners, will be allowed in the Council Chambers and Committee Rooms, with the following restrictions: • objects will be larger than 2 feet by 3 feet. • sticks, posts, poles or other such items will be attached to the signs or other symbolic materials. • The items cannot create a building maintenance problem or a fire or safety hazard. b) Persons with objects and symbolic materials such as signs must remain seated when displaying them and must not raise the items above shoulder level, obstruct the view or passage of other attendees, or otherwise disturb the business of the meeting. c) Objects that are deemed a threat to persons at the meeting or the facility infrastructure are not allowed. City staff is authorized to remove items and /or individuals from the Council Chambers and Committee Rooms if a threat exists or is perceived to exist. Prohibited items include, but are not limited to: firearms (including replicas and antiques), toy guns, explosive material, and 349 ammunition; knives and other edged weapons; illegal drugs and drug paraphernalia; laser pointers, scissors, razors, scalpels, box cutting knives, and other cutting tools; letter openers, corkscrews, can openers with points, knitting needles, and hooks; hairspray, pepper spray, and aerosol containers; tools; glass containers; and large backpacks and suitcases that contain items unrelated to the meeting. 3. Addressing the Council, Redevelopment Agency Board, Committee, Board or Commission: a) Persons wishing to speak on an agenda item or during open forum are requested to complete a speaker card and submit the card to the City Clerk or other administrative staff at the meeting. b) Meeting attendees are usually given two (2) minutes to speak on any discussion item and /or during open forum; the time limit is in the discretion of the Chair of the meeting and may be limited when appropriate. Applicants and appellants in land use matters are usually given more time to speak. c) Speakers should discuss topics related to City business on the agenda. d) Speakers' comments should be addressed to the full body. Requests to engage the Mayor, Council Members, Board Members, Commissioners or Staff in conversation will not be honored. Abusive language is inappropriate. e) Speakers will not bring to the podium any items other than a prepared written statement, writing materials or objects that have been inspected by security staff. f) If an individual wishes to submit written information, he or she may give it to the City Clerk or other administrative staff at the meeting. g) Speakers and any other members of the public will not approach the dais at any time without prior consent from the Chair of the meeting. Failure to comply with this Code of Conduct which will disturb, disrupt or impede the orderly conduct of the meeting may result in removal from the meeting and /or possible arrest. em Attachment C City of Fresno Speaker Instructions PROCESS: For each matter considered by the Council there will first be a staff presentation followed by a presentation from the involved individuals, if present. Testimony from those in attendance will then be taken. All testimony will be limited to three minutes per person. If you would like to speak fill out a Speaker Request Form available from the City Clerk's Office and in the Council Chambers. The three lights on the podium next to the microphone will indicate the amount of time remaining for the speaker. The green light on the podium will be turned on when the speaker begins. The yellow light will come on with one minute remaining. The speaker should be completing the testimony by the time the red light comes on and tones sound, indicating that time has expired. A countdown of time remaining to speak is also displayed on the large screen behind the Council dais. Following is a general schedule of items for Council consideration and action. The City Council may consider and act on an agenda item in any order it deems appropriate. Actual timed items may be heard later but not before the time set on agenda. Persons interested in an item listed on the agenda are advised to be present throughout the meeting to ensure their presence when the item is called. 387 Attachment D City of Fremont Speaker Instructions Addressing the Council Any person may speak once on any item under discussion by the City Council after receiving recognition by the Mayor. Speaker cards will be available prior to and during the meeting. To address City Council, a card must be submitted to the City Clerk indicating name, address and the number of the item upon which a person wishes to speak. When addressing the City Council, please walk to the lectern located in front of the City Council. State your name. In order to ensure all persons have the opportunity to speak, a time limit will be set by the Mayor for each speaker (see instructions on speaker card). In the interest of time, each speaker may only speak once on each individual agenda item; please limit your comments to new material; do not repeat what a prior speaker has said. Oral Communications Any person desiring to speak on a matter which is not scheduled on this agenda may do so under the Oral Communications section of Public Communications. Please submit your speaker card to the City Clerk prior to the commencement of Oral Communications. Only those who have submitted cards prior to the beginning of Oral Communications will be permitted to speak. Please be aware the California Government Code prohibits the City Council from taking any immediate action on an item which does not appear on the agenda, unless the item meets stringent statutory requirements. The Mayor will limit the length of your presentation (see instructions on speaker card) and each speaker may only speak once on each agenda item. CITY COUNCIL NORMS OF OPERATION Section 1. OPERATION OF CITY COUNCIL MEETINGS A. City Council Meetings shall be run following the outline listed in Section 6.13. of this document. Each item shall be introduced by the Mayor and heard in accordance with the Rules of Parliamentary Procedure attached hereto as Exhibit A. B. The Mayor may place an item anywhere on the agenda. Two City Council members may place an item on the agenda. C. A single City Council Member may place on item on the agenda under City Council Member Items. Items under this manner shall have a limited staff report, if appropriate. No significant resources (more than three hours of staff time) shall be used by staff until the Council gives direction on the item. The Mayor shall determine when three hours of effort has been utilized. D. If an item appears again in a future Council meeting, it shall be heard under Old Business. Items placed under public hearings shall only be those that are defined by law as requiring a special notice and a public hearing or those called by City Council on its own volition. E. In order to ensure that all members of the public have an opportunity to speak and that the Council is able to complete its business, there will be a three - minute limitation on comments by the public except for applicants and appellants at public hearings or as otherwise provided by law. In order to effectively enforce this rule, the City Clerk will monitor the time for each speaker with an electronic timer. The timer will beep at the one - minute remaining point, and again at the three - minute point. If there are more than twenty (20) identified speakers for one item at the beginning of the public comment period or public hearing, the Mayor may adjust the three - minute time down to two minutes per speaker. F. Closed sessions of the City Council shall generally be conducted prior to the 7:00 p.m. business portion of regular meetings. If necessary, Closed Sessions not completed prior to the 7:00 p.m. business portion will be considered at the conclusion of the business portion of the meeting, or as otherwise determined by the City Council. Special Council Meeting may be called by the Mayor with proper public notice. G. Members of Council should not engage in debate with a member of the public or Staff at Council meetings since these debates seldom resolve concerns and many times inflame feelings at a public meeting. Any concerns by a member of Council over the behavior or work of a City employee during a Council meeting should be directed to the City Manager privately to ensure the concern is resolved. H. Prior to the close of the public hearing or comment period Councilmembers may ask questions of anyone in the audience. The public hearing and comment period are the times for Council to receive evidence. Once the hearing or comment period is closed, the 283 Council deliberates based on that evidence. While Council may elect to re -open a hearing or comment period (assume no prejudice to the rights of an applicant or appellant) it should make every effort to get all the information it needs while the hearing or comment period is still open. If the Council asks questions after the final presentation of the applicant /appellant in a permit- related hearing the Council would need to provide the applicant /appellant with an opportunity to rebut the answers to the questions. While these rules need not apply as strictly to hearings where due process is less of an issue (i.e., an ordinance amendment) a uniform set of rules for all public hearings and comment periods is desirable. The Mayor may, with Council concurrence, schedule Council review of agenda items out of their prescribed order on the printed agenda if a large number of the public are present to speak on agenda item. Section 2. CITY COUNCIL RELATIONS WITH CITY STAFF A. There shall be mutual respect from both Staff and Councilmembers of their respective roles and responsibilities when and if expressing criticism in public session. B. City Staff shall acknowledge the Council as policy makers and the City Council shall acknowledge Staff as administering the Council's policies. C. All written requests for information or questions by City Councilmembers to Staff shall be directed to the City Manager, City Attorney, City Clerk, or Department Managers (wit h a copy to the City Manager). All complaints should be submitted to the City Manager or, if a complaint concerns the City Manager, to the City Attorney. D. All written informational material requested by individual Councilmembers shall be submitted by Staff to all Councilmembers with the notation indicating which Councilmember requested the information. E. Council shall not attempt to coerce Staff in the making of appointments, the awarding of contracts, the selection of consultants, the processing of development applications, the granting of City licenses or permits. The Council shall not attempt to change or interfere with the operating policies and practices of any City department. F. Mail that is addressed to the Mayor and City Council shall be circulated by the City Clerk to the City Council with a comment as to which Staff person will be assisting the Mayor in preparing a response. The Mayor's response, in addition to the original communication, will be submitted to the City Council for their information. G. The City Clerk shall not open mail addressed to an individual Councilmember unless requested to do so by the Councilmember. H. Individual Councilmembers shall not direct Staff to initiate any action or prepare any report that is significant in nature or initiate any project or study. All such direction shall be ., provided by the City Manager or by action of a majority of the City Council at a City Council meeting. Councilmembers may ask for limited resources and information for items that are on an agenda as long as any information is distributed to all City Councilmembers Section 3. CITY COUNCIL RELATIONSHIP WITH CITY COMMISSIONS AND OTHER BODIFI; A. Members of the City Council should not attempt to influence or publicly criticize commission recommendations, or to influence or lobby individual commission members on any item under their consideration. It is important for commissions to be able to make objective recommendations to the City Council on items before them. Members of Council that attempt to strongly influence commission positions on an item may prejudice or hinder their role in reviewing the commission's recommendation as a member of the City Council. B. Individual Councilmembers shall have the right to attend meetings but shall refrain from speaking or becoming involved in the meeting's discussions. If asked a question, the Councilmember person should indicate that he /she can only provide a personal opinion and does not speak for the Council as a whole. C. If a member of the City Council appears before another governmental agency or organization except as member of outside agency appointed by the City Council to give a statement on an issue affecting the City, the Councilmember should first indicate the majority position and opinion of the Council (if any). Personal opinions and comments may be expressed only if the Councilmember clarifies that these statements do not represent the position of the City Council. Section 4. CITY COUNCIL HANDLING OF LITIGATION AND OTHER CONFIDENTIAL INFORMATION A. City Councilmembers shall keep all written materials and verbal information provided to them on matters that are confidential under State law in complete confidence to insure that the City's position is not compromised. No disclosure or mention of information in these materials shall be made to anyone other than Councilmembers, the City Attorney or City Manager. B. All negotiations and other contacts concerning matters that have come before the City Council in closed session (including, but not limited to, property acquisition or disposal, a pending claims or litigation, and /or employee negotiations) with the other party and/or party's agents or other representatives shall be limited to, and made by, the designated City staff representative handling the negotiations, claim or litigation unless the City Council has directed that a specific Council member to assist staff in negotiations. Except as authorized above, no Councilmember who has participated in any closed session shall have any contact or discussion with the other party or its agents or representatives concerning the matter under consideration except during public meetings of the City Council. All public statements, information and press releases shall be handled 285 exclusively by the City's designated spokesperson. Section 5. BUSINESS OF THE CITY COUNCIL A. Seating Arrangement of the City Council — The Mayor shall be seated on the left of the five members of the City Council. The Vice Mayor shall be seated to the right of the Mayor. The Councilmember with the most seniority shall be seated to the right of the Vice Mayor and the remaining Councilmember shall be seated to the right of the most senior Council member. The outgoing Mayor shall be seated to the far right of the Vice Mayor. When there is no outgoing Mayor the remaining Councilmembers shall be seated based upon length of service on the City Council with the most senior member seated to the right of the Mayor. In the case of members having been elected at the same time, seniority shall be determined by the number of votes received at the election. The highest vote getter shall be considered senior and so on. The City Clerk shall arrange nameplates at the Council dais at all Council meetings to assure this seating arrangement is followed. B. City Council Reorganization — The City Council Reorganization shall be held at the beginning of the first regular meeting of December unless the City Council calls and holds a special meeting on the Tuesday immediately preceding the first regular meeting of December. The floor shall be open to nominations for the purpose of electing a Mayor and Vice Mayor to serve for the following year. Such elections shall be made by majority vote of the Council members present at the meeting. The Mayor and Vice Mayor shall assume the duties of their respective offices immediately upon election. The Mayor and Vice Mayor shall serve a one -year term at the pleasure of the Council. In election years the date of the special meeting referenced above may be changed by the City Clerk as necessary to ensure compliance with State election laws. C. Mayor and Council Roles — The Mayor shall act as the primary spokesperson and official representative of the City Council, unless such responsibility is delegated by the Mayor, or otherwise assigned by a majority vote of the City Council. The Mayor shall preside at all regular, adjourned, and special meetings of the City Council, including joint meetings with commissions and closed sessions. The Mayor shall execute all official City documents, warrants and correspondence approved by City Council. The Mayor shall serve as the primary contact for the City Manager to provide direction and advice regarding routine planning and operational issues (i.e. meeting schedules, dispositions of correspondences, etc.) Nothing in this section is intended to suggest that the position of Mayor wields formal power or authority in excess of the other members of the City Council. Rather, the person serving as Mayor is to be recognized as the leader of the Council, or first among equals. The Vice Mayor shall serve and perform the functions as Mayor in the absence of the duly elected Mayor. D. Council Committee /Agency Assignments Every December immediately following the City Council reorganization the Mayor shall announce that new appointments for Committee /Agency Assignments are necessary. A list of committee /agency assignments shall be given to each Councilmember and each Councilmember shall provide the City Clerk with a list of the Committee /Agency :. Assignments in which the Councilmember is interested. The Mayor shall propose appointments for Council approval at the City Council meeting immediately following the reorganization. E. Ex Parte Communications An Ex Parte Communication occurs when a Council member receives information from a member of the public outside of a public meeting concerning a matter to be heard by the City Council. Ex Parte communications are an inherent part of the City of Saratoga's commitment to allowing City residents ample opportunity to consult with elected officials both inside and outside of public meetings. At the same time, the City is committed to the principle that the business of the public should be conducted in public, to ensure that citizens are afforded the opportunity to participate in the making of decisions that affect their lives, and the means to evaluate choices made by the City and its officers. Where a City Councilmember has received information outside of a public meeting that the Councilmember believes has a bearing on the decision and that is not reflected in the staff report presented to the Council and the public, the Councilmember should provide that information to the rest of the Council and the public following the staff report and prior to beginning of public testimony on the matter. This will allow the public and other members of the Council to consider the information in forming their views on the decision at hand. In addition, persons affected by the decision will also have the opportunity to know the evidence on which the decision is to be based and have an opportunity to comment on it and, if need be, to rebut it. This approach allows all members of the public access to elected officials and to the rationale for decisions made by those officials. F. Issuing Proclamations and Commendations A proclamation is prepared at the discretion of the Mayor to proclaim a specific date or event. Proclamations are prepared for signature by the Mayor. They may be presented at a City Council meeting or at an event or meeting outside the City Council meeting. A commendation is prepared at the discretion of the Mayor. A commendation may be issued for accomplishments such as: • Athletic /academic accomplishments • Act of heroism • Youth Accomplishments • A Community Organization's Citizen of the Year • A Community Organization's Business Person of the year • Outgoing elected officials • Outgoing City Commissioners Commendations are prepared for signature by the Mayor. They may be presented at a City Council meeting or at an event or meeting outside the City Council meeting. 287 G. City Sanction of Community Events Periodically, one or more Council members and/or one or more City residents seeks City sanction of a community event. "Community event" includes a gathering, celebration, visit from official delegation, memorial, arts /cultural production, holiday, installations, dedication, athletic event and/or other occasion. City sanction of a community event generally entails one or more of the following: • A request for the use of City -owned property • A request for the use of City staff time, funding, equipment, materials and /or supplies, including the City logo, website and /or City publications • Commemoration of historic occasions related to the City • Meetings with official visiting delegations • Direct involvement of a specified number of Council members in the planning and/or implementation of the event • Invitations distributed to City Council, City staff, committees, commissions, and/or affiliated community organizations; and The City Council has determined that City sanction of an event should be based upon whether the event: • Fosters a unique sense of place; • Builds a sense of community pride; • Enhances quality of life and well -being for community members; • Contributes to local economic vitality; • Promotes multi - cultural awareness; • Promotes the arts; and /or • Upholds stewardship of limited public resources. In order for the City to consider sanction a community event, either: • One or more Council members must agree to seek sanction of an event, and must receive concurrence for the sanction from the Mayor, (or Vice Mayor if the Mayor is sanctioning the event); or • A City resident must submit a completed "City Sanction of Community Event" application form (example attached) to City staff, who in turn will review the application and provide a recommendation about City sanction of the event to the City Council at the earliest available City Council meeting. Section 6. RULES OF ORDER AND PROCEDURE FOR CITY COUNCIL MEETINGS A. Time of Meetings Regular meetings of the City Council shall be held on the first and third Wednesday of each month in the Civic Theater commencing at 7:00 p.m. Special meetings shall be held as necessary and convenient on the second or fourth Tuesday of the month commencing at 7:00 p.m. or at such other time as may be necessary or convenient. B. Order of Agenda The following is the usual order of agenda items for regular Council meetings. The Mayor with the concurrence of Council can change the order in which items on the agenda are heard. • Open Session — The Mayor opens the meeting in the Administration Conference Room at City Hall, to allow the public an opportunity to comment on closed session items before the Council adjourns to Closed Session, as required by law. Commission interviews are also done at this time. • Joint Meeting with City Commissions — Reserved time for Commission members to meet with the City Council for their yearly update. • Closed Session — Immediately following open session, the Council adjourns to closed session in the Administration Conference Room at City Hall. Start times may vary depending on volume of closed session items and the estimated time required to conduct the closed session. The items are listed on the agenda as required by law; however this meeting is not open to the public. • Mayor's Report on Closed Session — The Mayor is required to announce any action taken during closed session before reconvening to the open session of the regular meeting. • Call to Order — the Mayor calls the regular meeting to order. • Pledge of Allegiance - The Mayor may lead or call upon a member of the public or staff to lead the pledge. • Roll Call — A quorum constituting 3 of the 5 members of the Council is required to conduct any Council meeting. The City Clerk calls the roll. • Report of Posting of the Agenda — The City Clerk reports on the posting of the agenda as required by law. • Oral Communications — During this portion, any persons who wish to address the City Council on a subject not on the agenda may do so. Oral communications are not intended as the means for debate or decision - making, but only for making a presentation in person. Comment shall be limited to three minutes for members of the public who wish to speak • Communications from City Commissions — Reserved time for Commission Chairs, or designated representative, to report information to the City Council or request direction. • Council Direction to Staff — Reserved time for the City Council to request follow up on Oral /Commission Communications. • Announcements - Reserved time for the Mayor to make special announcements. • Ceremonial Items —These items include presentation of proclamations, commendations, appointments, administration of Oath of Office and special introductions. • Special Presentations — reserved time for groups, agencies, persons to speak to the Council on special items. • Consent Calendar —These items are routine and non - controversial items of business. Items in this section will be acted in one motion, unless removed by the Mayor or a Councilmember. Any member of the public may speak to an item on the Consent Calendar, or request the Mayor remove an item for discussion. Resolutions concerning decisions made at previous meetings are for the purpose of memorializing the decision to assure the accuracy of the findings, the prior vote, and any conditions imposed. Public Hearings — There are two kinds of public hearings, those required by law and those called by the City Council of its own volition. In either event, the purpose is to provide an opportunity for all interested persons to be heard. Applicants /Appellants and their representatives have a total of ten minutes maximum for opening statements. Members of the public may comment on any item for up to three minutes. Applicant/Appellants and their representatives have a total of five minutes maximum for closing statements • Old Business — These are general items, which have been considered by the Council at a previous meeting. • New Business — These are general items, which have not been previously considered by the Council. • Council Reports on Committees— Provides members of the Council an opportunity to report on agency /commission assignments. • City Councilmember Items — Provides members of the Council an opportunity to introduce discussion/action on items not currently before the Council for consideration. • City Manager Items — City Manager or City Attorney may bring up other items of interest or make announcements under this section. • Adjournment —The Mayor may adjourn the meeting to a date specific. If no date specific is announced, the next meeting will be the next regularly scheduled Council meeting. C. Disruptive Comments and /or Conduct No person who addresses the Council shall make any belligerent, personal, impertinent, irrelevant, redundant, slanderous, loud, threatening, abusive or disparaging remark, statement or commentary toward the Council, staff or other individuals in a manner which disrupts, disturbs or otherwise impedes the orderly conduct of the Council meeting, nor shall any person engage in any other disorderly conduct which so disrupts, disturbs or impedes the orderly conduct of the meeting. Any violation of this rule shall be grounds for terminating the person's comment period. Continued inappropriate behavior or comments, after having been directed to discontinue, also shall be grounds for removal from the meeting. Council shall not be belligerent or make disparaging commentary toward the speaker. Nothing in this section shall prohibit or discourage orderly criticism of any City decision or policy within the limits of these rules. If a member of the public fails to follow these rules after being warned once, the Council may bar that individual from further testimony for the evening or remove the person from the meeting. 290 APPLICATION FOR CITY OF SARATOGA SANCTION OF A COMMUNITY EVENT NAME: DATE: PHONE Home: (408) Cell: E -MAIL: EVENT DESCRIPTION: EVENT DATE: PROPOSED LOCATION(S): PURPOSE OF EVENT: ❑ Fosters a unique sense of place ❑ Builds a sense of community pride ❑ Enhances quality of life and well -being for community members ❑ Contributes to local economic vitality ❑ Promotes multi - cultural awareness ❑ Promotes the arts ❑ Upholds stewardship of limited public resources ❑ Commemoration of historic occasion related to the City ❑ Meeting with official visiting delegations REQUEST FOR CITY SUPPORT: ❑ Request for the use of City -owned property ❑ Request for use of: ❑ City staff time (Estimated # of hours) _ ❑ Funding (Estimated cost) $ ❑ City equipment, materials and /or supplies (includes City logo, website and/or City publications — circle appropriate items) ❑ Direct involvement of Council members in the planning and /or implementation of the event ❑ Distribution of invitations to City Council, City staff, committees, commissions, and/or affiliated community organizations Reviewed by: Staff Use Only: Reviewed by: Staff Recommendation: ❑ Approve City Sanction ❑ Approve City Sanction with Conditions ❑ Do Not Approve City Sanction Comments: 291 CITY OF SARATOGA RULES OF PARLIAMENTARY PROCEDURE' Saratoga's rules of parliamentary procedure are supported by the following four principles: 1. Rules should establish order. The first purpose of the rules of parliamentary procedure is to establish a framework for the orderly conduct of meetings. 2. Rules should be clear. Simple rules lead to wider understanding and participation. Complex rules create two classes: those who understand and participate and those who do not fully understand and do not fully participate. 3. Rules should be user- friendly. That is, the rules must be simple enough that citizens feel they have been able to participate in the process. 4. Rules should enforce the will of the majority while protecting the rights of the minority. The ultimate purpose of the rules of procedure is to encourage discussion and to facilitate decision- making by the body. In a democracy, the majority rules. The rules must enable the majority to express itself and fashion a result, while permitting the minority to also express itself (but not dominate) and fully participate in the process. The Chairperson Should Take a Back Seat During Discussions While all members of the governing body should know and understand the rules of parliamentary procedure, it is the chairperson (chair) who is charged with applying the rules of conduct. The chair should be well versed in those rules, because the chair, for all intents and purposes, makes the final ruling on the rules. In fact, all decisions by the chair are final unless overruled by the governing body itself. Because the chair conducts the meeting, it is common courtesy for the chair to take a less active role than other members of the body in debates and discussions. This does not mean that the chair should not participate in the debate or discussion. On the contrary, as a member of the body, the chair has full rights to participate in debates, discussions and decision - making. The chair should, however, strive to be the last to speak at the discussion and debate stage, and should not make or second a motion unless he or she is convinced that no other member of the body will do so_ The Basic Format for an Agenda Item Discussion All City Council and Commission meetings have a written, published agenda. The meeting is governed by the agenda and the agenda constitutes the agreed -upon road map for the meeting. Each agenda item should be handled by the chair in the following basic format. ` These rules of parliamentary procedure are based on "Rosenberg's Rules of Order: Simple Parliamentary Procedures for the 21st Century" written by Dave Rosenberg and published by the League of California Cities in 2043. The procedures set forth in Rosenberg's have been modified slightly to reflect custom, practice, and specific code requirements in Saratoga. While these rules have been drafted to conform to requirements of State law and the Saratoga City Code, in the event of a conflict between these procedures and those laws, the laws shall govern. 292 First, the chair should clearly announce the agenda item number and should clearly state what the subject is. The chair should then announce the format that will be followed. If any member of the body has a conflict of interest, that member announces the conflict and need for recusal and leaves the dais at this time. Second, following that agenda format, the chair should invite the appropriate people to report on the item, including any recommendation they might have. The appropriate person may be the chair, a member of the governing body, a staff person, or a committee chair charged with providing information about the agenda item. Third, the chair should ask members of the body if they have any technical questions for clarification. At this point, members of the governing body may ask clarifying questions to the people who reported on the item, and they should be given time to respond. Fourth, the chair should invite public comments or, if appropriate at a formal public hearing, open the hearing. Speakers are typically limited to 3 minutes; shorter time limits may be imposed if numerous members of the public indicate a desire to speak to the subject. At the conclusion of the public comments, the chair should announce that public input has concluded (or that the public hearing, as the case may be, is closed). Fifth, the chair should invite members of the body to make remarks on the matter. This is an opportunity for members of the body to state their views on the subject before any formal motions are made. Sixth, the chair should invite a motion from the governing body members. The chair should announce the name of the member who makes the motion. Seventh, the chair should determine if any member of the body wishes to second the motion_ The chair should announce the name of the member who seconds the motion. It is normally good practice for a motion to require a second before proceeding with it, to ensure that it is not just one member of the body who is interested in a particular approach. However, a second is not an absolute requirement, and the chair can proceed with consideration and a vote on the motion even when there is no second. This is a matter left to the discretion of the chair. Eighth, if the motion is made and seconded, the chair should make sure everyone understands the motion. This is done in one of three ways: The chair can ask the maker of the motion to repeat it; 2. The chair can repeat the motion; or The chair can ask the secretary or the clerk of the body to repeat the motion. Ninth, the chair should now invite discussion of the motion by the members of the governing body. If there is no desired discussion or the discussion has ended, the chair should announce that the body will vote on the motion. If there has been no discussion or 293 a very brief discussion, the vote should proceed immediately, and there is no need to repeat the motion. If there has been substantial discussion, it is normally best to make sure everyone understands the motion by repeating it. Tenth, the chair takes a vote. Simply asking for the "ayes" and then the "nays" is normally sufficient. If members of the body do not vote, then they "abstain." Unless specific laws or procedures provide otherwise, a simple majority determines whether the motion passes or is defeated. Eleventh, the chair should announce the result of the vote and should announce what action (if any) the body has taken. In announcing the result, the chair should indicate the names of the members, if any, who voted in the minority on the motion. This announcement might take the following form: "The motion passes by a vote of 3 -2, with Smith and Jones dissenting. We have passed the motion requiring 10 days' notice for all future meetings of this governing body." Motions in General Motions are the vehicles for decisionmaking. It is usually best to have a motion before the governing body prior to discussing an agenda item, to help everyone focus on the motion before them. The chair usually initiates the motion by: 1. Inviting the members to make a motion: "A motion at this time would be in order." 2. Suggesting a motion to the members, for example: "A motion would be in order that we give 10 -days' notice in the future for all our meetings." 3. Making the motion. As noted, the chair has every right as a member of the body to make a motion, but normally should do so only if he or she wishes a motion to be made but no other member seems willing to do so. The Three Basic Motions Three motions are the most common: 4. The basic motion. The basic motion is the one that puts forward a decision for consideration. A basic motion might be: "1 move that we create a five- member committee to plan and put on our annual fundraiser." S. The motion to amend. If a member wants to change a basic motion that is under discussion, he or she would move to amend it. A motion to amend might be: "I move that we amend the motion to have a 10- member committee." A 294 motion to amend takes the basic motion that is before the body and seeks to change it in some way. G. The substitute motion. If a member wants to completely do away with the basic motion under discussion and put a new motion before the governing body, he or she would "move a substitute motion." A substitute motion might be: "I move a substitute motion that we cancel the annual fundraiser this year." Motions to amend and substitute motions are often confused. But they are quite different, and so is their effect, if passed. A motion to amend seeks to retain the basic motion on the floor, but to modify it in some way. A substitute motion seeks to throw out the basic motion on the floor and substitute a new and different motion for it. The decision as to whether a motion is really a motion to amend or a substitute motion is left to the chair. So that if a member makes what that member calls a motion to amend, but the chair determines it is really a substitute motion, the chair's designation governs. When Multiple Motions Are Before The Governing Body Up to three motions may be on the floor simultaneously_ The chair may reject a fourth motion until the three that are on the floor have been resolved. When two or three motions are on the floor (after motions and seconds) at the same time, the first vote should be on the last motion made. So, for example, assume the first motion is a basic "motion to have a five- member committee to plan and put on our annual fundraiser." During the discussion of this motion, a member might make a second motion to "amend the main motion to have a 10-member committee, not a five- member committee, to plan and put on our annual fundraiser." And perhaps, during that discussion, a member makes yet a third motion as a "substitute motion that we not have an annual fundraiser this year." The proper procedure would be as follows. First, the chair would deal with the third (the last) motion on the floor, the substitute motion. After discussion and debate, a vote would be taken first on the third motion. If the substitute motion passes, it would be a substitute for the basic motion and would eliminate it. The first motion would be moot, as would the second motion (which sought to amend the first motion), and the action on the agenda item would be complete. No vote would be taken on the first or second motions. On the other hand, if the substitute motion (the third motion) failed, the chair would proceed to consideration of the second (now the last) motion on the floor, the motion to amend. If the substitute motion failed, the chair would then deal with the second (now the last) motion on the floor, the motion to amend. The discussion and debate would focus strictly on the amendment (should the committee be five or 10 members). If the motion to amend passed, the chair would now move to consider the main motion (the first motion) as amended. If the motion 295 to amend failed, the chair would now move to consider the main motion (the first motion) in its original format, not amended. Third, the chair would now deal with the first motion that was placed on the floor. The original motion would either be in its original format (five- member committee) or, if amended, would be in its amended format (10- member committee). And the question on the floor for discussion and decision would be whether a committee should plan and put on the annual fundraiser. To Debate or Not to Debate The basic rule of motions is that they are subject to discussion and debate. Accordingly, basic motions, motions to amend, and substitute motions are all eligible, each in their turn, for full discussion before and by the body. The debate can continue as long as members of the body wish to discuss an item, subject to the decision of the chair that it is time to move on and take action. There are exceptions to the general rule of free and open debate on motions. The exceptions all apply when there is a desire of the body to move on. The following motions are not debatable (that is, when the following motions are made and seconded, the chair must immediately call for a vote of the body without debate on the motion): A motion to adjourn. This motion, if passed, requires the body to immediately adjourn to its next regularly scheduled meeting. This motion requires a simple majority vote. A motion to recess. This motion, if passed, requires the body to immediately take a recess. Normally, the chair determines the length of the recess, which may range from a few minutes to an hour. It requires a simple majority vote. A motion to fix the time to adjourn. This motion, if passed, requires the body to adjourn the meeting at the specific time set in the motion. For example, the motion might be: "I move we adjourn this meeting at midnight." It requires a simple majority vote. A motion to table. This motion, if passed, requires discussion of the agenda item to be halted and the agenda item to be placed on "hold." The motion may contain a specific time in which the item can come back to the body: "I move we table this item until our regular meeting in October." Or the motion may contain no specific time for the return of the item, in which case a motion to take the item off the table and bring it back to the body will have to be taken at a future meeting. A motion to table an item (or to bring it back to the body) requires a simple majority vote. A motion to limit debate. The most common form of this motion is to say: "I move the previous question" or "I move the question" or "I call for the question." When a member of the body makes such a motion, the member is really saying: "I've had enough debate. Let's get on with the vote." When such a motion is made, the chair should ask for a second to the motion, stop debate, and vote on the motion to limit debate_ The motion to limit debate requires a two- thirds vote of the body. Note that a motion to limit debate could include a time limit. For example: "I move we limit debate on this agenda item to 15 minutes." Even in this format, the motion to limit debate requires a two- thirds vote of the body. A similar motion is a motion to object to consideration of an item. This 296 motion is not debatable, and if passed, precludes the body from even considering an item on the agenda. It also requires a two - thirds vote. Majority and Super - Majority Votes In a democracy, decisions are made with a simple majority vote. A tie vote means the motion fails. So in a five - member body, a vote of 3 -2 passes the motion. A vote of 2 -2 with one abstention means the motion fails. If one member is absent or recused and the vote is 2 -2, the motion still fails. All motions require a simple majority, but there are a few exceptions. The exceptions occur when the body is taking an action that effectively cuts off the ability of a minority of the body to take an action or discuss an item_ These extraordinary motions require a two - thirds majority (a super - majority) to pass: Motion to limit debate. Whether a member says, "I move the previous question," "I move the question," "I call for the question" or "I move to limit debate," it all amounts to an attempt to cut off the ability of the minority to discuss an item, and it requires a two - thirds vote to pass. Motion to close nominations. When choosing officers of the body, such as the chair, nominations are in order either from a nominating committee or from the floor of the body. A motion to close nominations effectively cuts off the right of the minority to nominate officers, and it requires a two- thirds vote to pass. Motion to object to the consideration of a question. Normally, such a motion is unnecessary, because the objectionable item can be tabled or defeated straight up. However, when members of a body do not even want an item on the agenda to be considered, then such a motion is in order. It is not debatable, and it requires a two- thirds vote to pass. Motion to suspend the rules. This motion is debatable, but requires a two- thirds vote to pass. If the body has its own rules of order, conduct or procedure, this motion allows the body to suspend the rules for a particular purpose. For example, the body (a private club) might have a rule prohibiting the attendance at meetings by non -club members. A motion to suspend the rules would be in order to allow a non -club member to attend a meeting of the club on a particular date or on a particular agenda item. The Motion to Reconsider There is a special and unique motion that requires a bit of explanation all by itself: the motion to reconsider. A tenet of parliamentary procedure is finality. After vigorous discussion, debate and a vote, there must be some closure to the issue. And so, after a vote is taken, the matter is deemed closed, subject only to reopening if proper motion to reconsider is made. The standards for reconsideration are set forth in the City Code. 297 Courtesy and Decorum The rules of order are meant to create an atmosphere where the members of the body and the members of the public can attend to business efficiently, fairly and with full participation. And at the same time, it is up to the chair and the members of the body to maintain common courtesy and decorum. Unless the setting is very informal, it is always best for only one person at a time to have the floor, and it is always best for every speaker to be first recognized by the chair before proceeding to speak. The chair should always ensure that debate and discussion of an agenda item focus on the item and the policy in question, not on the personalities of the members of the body. Debate on policy is healthy; debate on personalities is not. The chair has the right to cut off discussion that is too personal, too loud or too crude. Debate and discussion should be focused, but free and open. In the interest of time, the chair may, however, limit the time allotted to speakers, including members of the body. Can a member of the body interrupt the speaker? The general rule is no. There are, however, exceptions. A speaker may be interrupted for the foIIowing reasons: Privilege. The proper interruption would be: "Point of privilege." The chair would then ask the interrupter to "state your point." Appropriate points of privilege relate to anything that would interfere with the normal comfort of the meeting. For example, the room may be too hot or too cold, or a blowing fan might interfere with a person's ability to hear. Order. The proper interruption would be: "Point of order." Again, the chair would ask the interrupter to "state your point." Appropriate points of order relate to anything that would not be considered appropriate conduct of the meeting; for example, if the chair moved on to a vote on a motion that permits debate without allowing that discussion or debate. Appeal. If the chair makes a ruling that a member of the body disagrees with, that member may appeal the ruling of the chair. If the motion is seconded and after debate, if it passes by a simple majority vote, then the ruling of the chair is deemed reversed. Call for orders of the day. This is simply another way of saying, "Let's return to the agenda." If a member believes that the body has drifted from the agreed -upon agenda, such a call may be made. It does not require a vote, and when the chair discovers that the agenda has not been followed, the chair simply reminds the body to return to the agenda item properly before them. If the chair fails to do so, the chair's determination may be appealed. Withdraw a motion. During debate and discussion of a motion, the maker of the motion on the floor, at any time, may interrupt a speaker to withdraw his or her motion from the floor. The motion is immediately deemed withdrawn, although the chair may ask the person who seconded the motion if he or she wishes to make the motion, and any other member may make the motion if properly recognized. Special Notes About Public Input The rules outlined here help make meetings very public - friendly. But in addition, and particularly for the chair, it is wise to remember three special rules that apply to each agenda item: Rule One: Tell the public what the body will be doing. Rule Two: Keep the public informed while the body is doing it. Rule Three: When the body has acted, tell the public what the body did. Public input is essential to a healthy democracy, and community participation in public meetings is an important element of that input. The challenge for anyone chairing a public meeting is to accommodate public input in a timely and time- sensitive way, while maintaining steady progress through the agenda items. The rules presented here for conducting a meeting are offered as tools for effective leadership and as a means of developing sound public policy. P ASARATOGMRESOLUTPRosenberesRu[es of Order2ndReadingp50509 (04- 23- 09),doc 299