HomeMy WebLinkAbout14 - Council Policy Manual Updates & Statement of Investment Policy F-1ITEM 14
TO: Members of the Newport Beach City Council
FROM: Dave Kiff, Assistant City Manager
SUBJECT: Council Policy Manual Update for 2002 and Public Meeting to Consider
City's Statement of Investment Policy (Policy F -1)
RECOMMENDED Approve the proposed revisions or additions to the Council Policy Manual:
ACTION: — Revisions to A -2, D -1, E -1, F -1, F -2, F -3, F -8, F -11, Gl, I -1, I -5, I -25, K -7,
and L-21; and
— Additions of F -17, K -11, Lr18, and L-22
BACKGROUND: This agenda item contains two parts:
• Part I - The annual review of the City Council's Council Policy Manual (with
recommended changes to or additions of 18 separate policies); and
• Part II - The annual affirmation of the City's Statement of Investment Policy
(Council Policy F -1) as required by California law.
Part I — Policy Manual Review. Council Policy D -3 directs the City Council to
review the more than 100 policies in the Council Policy Manual annually. These
policies exist to instruct the Council and City staff on how to process a variety of
different issues -- from airport and annexations to voice mail and water service
outside the City limits.
This year, the 18 policies proposed for change or for addition are summarized in
Attachment A. Many of the proposed changes are minor and are NOT all
summarized below. Noteworthy changes include the following:
Public Records Act Policy (E -1)
The City Attorney suggests changes to E -1 that reflect recent changes to State law
and the California Public Records Act.
Statement of Investment Policy (F -1)
The Administrative Services Director recommends specific changes to F -1 that
reflect his recommendations and that of the City's financial advisors.
Electronic Communications Policy (F -17)
This NEW policy written by the City Attorney's Office describes how the City
manages its electronic document system and describes that documents like e-
mail are:
Newport Beach City Council
Page 2
"...not customarily preserved and retained by the City or its officers or employees,
but are transitory in nature similar to, and often used as a substitute for, telephonic
or person- to-person communications."
Retention or Removal of City Trees (G -1)
The General Services Department recommends revising G -1's Attachment 1
(Preservation of Special Trees) to add any Dedicated Tree to the Attachment that
has been added to the City's inventory since February 22, 2000.
Park Fee Policy (I -1)
The Community Services Director asks that the Council add the new Arroyo
Park and the soon -to-be- opened Bonita Canyon Sports Park to this Policy's list of
"Community and Neighborhood Parks" that offer unique recreational
opportunities.
OASIS Senior Center Operation and Relationships (I -5)
The Community Services Director asks that the Council approve minor changes
to this Policy regarding activity planning at OASIS.
Public Use of City Facilities (I -25)
The Community Services Director asks that the Council allow CS staff to keep
Policy I -25's facilities closed (and therefore not available for reservation) on major
holidays.
Determination of Convenience and Necessity for Alcoholic Beverage Outlets (K-
7ZJ. Chief McDonell writes that "recent legislative changes have modified certain
elements of the Business and Professions Code as it relates to the ABC license
application process." Two provisions of those changes are within the scope of
Council Policy K -7. They are as follows:
• The Department of Alcoholic Beverage Control is now authorized to take
into account data from adjacent crime reporting districts if the applicant's
premises for an alcoholic beverage license is located within 100' of the
boundaries of any adjacent crime reporting district.
• The time period for a local governing body to request conditions has been
extended from 30 to 40 days if the license to be transferred is located in a
high crime district AND a census tract with an existing over concentration of
such licenses. The time elements referenced in the existing policy have been
updated to reflect this change."
Temporary Signa¢e for City- Sponsored Events (K -11).
This NEW policy sets guidelines for where and when the City would permit
temporary advertisement of events that the City co-sponsors. The Policy
requires a Temporary Sign Permit and allows the sign to stay in place for no
more than 90 days.
Protection of Water Quality — Drainage - Public Rights of Way (L -18)
This NEW policy allows the City (via the Public Works Department) to
encourage greater use of permeable surfaces and runoff control measures to limit
runoff from development that affects the public right -of -way.
Page 3
Sidewalk Cafe Standards and Procedures (L-21)
The Public Works Director recommends changes to L -21 that clarify his role in
enforcing the terms of Encroachment Permits that authorize the permit holder to
set up outdoor dining on the public right -of -way.
Protection of Water Quality — Water Quality Management Plans (L -22)
This NEW policy implements a portion of the recently- adopted 5 -Year Municipal
Stormwater Permit for the City's storm drain system. The Permit requires cities
to require development applicants to include Water Quality Management Plans
in their applications which minimize runoff in dry- weather and during small
storm events.
Part II — Affirmation of City's Investment Policy. Following the County of
Oranges bankruptcy in late 1994, the State Legislature adopted SB 564 (Johnston)
which requires each local agency to consider its Statement of Investment Policy (the
City Council's Policy F -1) annually at a public meeting. The law reads as
follows:
Government Code § 53646 — (a) The treasurer or chief fiscal officer shall
annually render to the legislative body of the local agency and any oversight
committee a statement of investment policy, which the legislative body of the
local agency shall consider at a public meeting. Any changes in the policy shall
also be considered by the legislative body of the local agency at a public meeting.
The Council's review of this policy at a public meeting (the April 23, 2002 City
Council Meeting) completes this obligation.
ATTACHMENTS: Attachment A - Summary of Proposed Council Policy Changes
Attachment B - Council Policies - Strikeout and Underline Versions (except F -17,
K -11, L -18, and L-22, which are new)
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A -2
BOARD AND COMMISSION APPOINTMENTS
Service on City Boards and Commissions is one of the principal means by which
citizens can participate in the conduct of City government. The number of citizens
qualified for such service always exceeds the number of appointments that periodically
can be made by the Council.
On or before December 31 of each year, the City Clerk shall prepare a list of all
appointive terms of Boards, Commissions and Committees which will expire during the
next calendar year, with the name of the incumbent appointee, the date of appointment,
the date the term expires, and the necessary qualifications for the position. Also, the
City Clerk shall list all Boards, Commissions and Committees whose members serve at
the pleasure of the City Council, and the necessary qualifications of each position.
The City Clerk shall further maintain a file of Candidates for Board and Commission
appointments, which shall be reviewed each year by the City Clerk to insure that those
applicants are still available for appointment. Applications shall be retained in the
active file for two (2) full years; thereafter they will be destroyed.
Two months prior to a scheduled vacancy, the City Clerk shall prepare and submit to
the various newspapers, information relating to the vacancy including meeting dates
and times, Board or Commission functions, and the method of obtaining and
submitting applications and establishing the third Wednesday prior to June 1 as the last
date to submit applications. The City Clerk shall notify each applicant of the receipt of
their application.
Within twenty days after an unscheduled vacancy occurs on a Board or Commission, a
special vacancy notice shall be posted in the City Clerk's office, and other locations as
directed by City Council. Additionally the City Clerk shall prepare and submit to the
various newspapers information relating to the vacancy including meeting dates and
times, and Board or Commission application procedure. Final appointment (other than
emergency appointments) shall not be made for at least 10 working days after the
posting of notice.
If an unscheduled vacancy occurs within one year from the expiration of the term, the
City Council has the discretion to appoint a replacement to serve the balance of the
unexpired term plus one full term of four years.
Periodically, situations may arise wherein due to the occurrence of a number of
simultaneously scheduled Board or Commission vacancies, it may be appropriate to
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make certain adjustments in the advertising and recruitment procedures, which are
regularly utilized to fill these vacancies. In these cases, the City Council may make the
following adjustments by majority vote at a regular public meeting:
A. The two -month period prior to the occurrence of a scheduled vacancy, which is
established for advertising purposes, may be extended to three months.
B. The last date to submit applications for a vacancy may be changed from the third
Wednesday prior to June, to no sooner than the third Wednesday prior to May 1.
C. The period established for the ad -hoc Appointments Committee's
recommendation to the Council of candidates, may be extended from at least two
weeks, to at least four weeks prior to the date of appointment.
When vacancies occur, the City Council shall make every effort to appoint the best -
qualified person to serve the interest of Newport Beach. The City Council shall only
appoint persons who have filed an application for appointment with the City Clerk no
later than five (5) days prior to the date on which the City Council nominates
candidates for positions. The application shall serve as a basis for determining if the
person is a qualified elector of the City, has no conflict of interest that would prevent
the applicant from serving, and otherwise satisfies the criteria for appointment specified
in the City Charter and any relevant ordinance or Council policy. The City Council
prefers that members of Boards and Commissions represent different geographical
areas of the City, but residence is a consideration only when applicants are otherwise
equally qualified.
To afford the maximum opportunity for citizen service, no person shall be eligible for
appointment to any one City Board or Commission for more than two consecutive four
year terms, exclusive of a prior appointment to fill an unexpired term. Appointees shall
serve on only one standing City Board, Commission or Committee at any time, with the
exception of individuals who serve on committees as representatives from other City
Boards, Commissions or Committees (i.e. a Planning Commissioner may be seated on
the Economic Development Committee as a representative of the Planning
Commission). This provision may be waived by a majority vote of City Council.
At such time when an appointment to a Board or Commission is necessary, the Mayor
will establish an ad -hoc Appointments Committee composed of three Councilmembers.
The Committee's duties are as follows:
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A. Review all applications for position to City Boards and Commissions. The ad-
hoc Appointments Committee will review applicant answers to all questions
contained in the application;
B. Conduct any necessary interviews with individual applicants; and
C. At least two weeks prior to the date of appointment, recommend to the full City
Council at a regular public meeting, two or more candidates for each Board or
Commission vacancy. Members of the Council may wish to interview the
recommended candidates further prior to final selection by the Council. By
requiring two or more candidates for each vacancy, it is the intent of the City
Council that at least two separate individuals should be considered for each
vacancy, i.e., if there are two vacancies, at least four separate individuals will be
considered.
The ad -hoc Appointments Committee, in conducting their review of applications and
interviews with the individual applicants, shall attempt to determine if there exists a
potential conflict of interest, which might interfere with the performance of the
applicant's duties in an impartial manner free from bias. It is generally recognized that
from time to time it is possible for any individual to have a conflict on any one given
issue.
The ad -hoc Appointments Committee, however, shall endeavor to avoid
recommending appointments of applicants with a substantial conflict of interest, which
would require repeated disqualification from voting on issues that are likely to come
before the Board or Commission.
PROCEDURE FOR VOTING ON APPOINTMENTS TO CITY COMMISSIONS,
BOARDS AND COMMITTEES
A. The Council will vote on all appointments and seats on each Board /Commission
simultaneously. The voting will be by paper ballot and the City Clerk will
tabulate and announce the results, including the vote tally.
B. Each member of the Council will cast the number of votes as indicated on the
paper ballot for each seat from the list of the nominees. In order to be appointed,
the nominees must receive at least four votes.
C. For boards/ commissions with two vacancies, if two of the nominees receive four
or more votes, they will be automatically appointed.
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D. If there is a tie vote, ballots will be distributed to the Council Members to vote for
the tying candidates only.
E. In the event that no one receives four votes, nominees receiving zero or one vote
will be dropped and the Council will cast two votes from the list of the
remaining nominees and the determination will be made as previously stated.
The City Clerk shall also be responsible for the following functions associated with
Board and Commission as well as Citizens' Advisory Committee appointments:
A. Preparation of letters for the Mayor's signature notifying successful candidates of
their appointment.
B. Preparation of letters for the Mayor's signature notifying unsuccessful
candidates for appointment.
C. Preparation of letters for the Mayor's signature thanking outgoing members for
their service and coordination with the Purchasing Agent in the preparation of
formal Certificates of Appreciation.
Once the final appointments are made by the City Council, the ad -hoc Appointments
Committee will be dissolved.
Adopted - June 28,1965
Amended - November 23,1981
Amended - August 15,1966
Amended - January 24,1994
Amended - September 26,1966
Amended - February 26,1995
Amended - June 10, 1968
Amended - August 12,1996
Amended - July 12,1976
Amended - February 24,1997
Amended - September 12,1977
Amended - March 22,1999
Amended - November 28,1977
Amended - July 12,1999
Amended - December 19,1977
Amended - September 27,1999
Amended - June 26,1978
Amended - March 14, 2000
Amended - March 12,1979
Amended - May 8, 2001
Amended - July 27,1981
Formerly A-4
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D -1
-MEDIA RELATIONS
A continuing responsibility of City Management is that of informing citizens about the
functions of City government. To ensure that timely City communications reach
citizens in an accurate form, the following procedures shall be adopted by all City
personnel, boards, commissions, and committees.
A. Speaking to the Print and Broadcast Media
1. Department Directors, or designated departmental representatives, may
handle routine requests from the media that are within their area of
expertise. Other employees who may be asked questions should refer the
reporter to the Department Director or designated representative.
2. Department Directors may address questions from the media on sensitive
issues relating to their area of expertise, including topics that may affect
City policy and /or matters that may ultimately result in Council action.
Department Directors are expected to inform and/or consult with the City
Manager about such interaction as appropriate.
3. Reports prepared by City staff for submission to the City Council shall not
be shared with the media or the general public until the agenda packets
have been delivered to the City Council.
4. Press -News Rreleases shall not contain information, which is confidential
pursuant to provisions of State or Federal statutory or decisional law, or
has been received by the City pursuant to a representation of
confidentiality. Documents or information exempt from disclosure
pursuant to provisions of the Government Public Records Act shall not be
contained in any press-news release without City Manager approval.
B. Press-News Releases
1. Press -News Rreleases shall be prepared and routed to the City Manager
for final review before they are released to the media. Departments,
boards, commissions, or committees may send out releases publicizing
specific City events (date, time, place, etc.) or routine activities without
submitting said releases for review. All other }cress -news releases shall be
1
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routed for comment to any department that would be affected by the
release prior to final approval by the City Manager. This requirement will
ensure that information is current and correct.
2. Exception. Fire and Marine, and Police responses to emergencies in the
community may be reported directly to the media by a designated
department spokesperson with the approval of the Fire and Marine Chief,
or Police Chief. Police Department releases concerning traffic advisories,
investigations and routine community relations activities may also be
reported directly to the media. Any releases deemed to be of concern to
the communitv should also be copied to the City's Public Information
Officer.
3. City departments, boards, commissions, or committees shall use standard
City of Newport Beach Mess --news release stationery to distribute
information to the media.
4. Press News releases shall include the name, telephone number and
department, board, commission or committee of the individual who has
prepared the release.
5. P+es-,,News releases shall adhere to a specified City }press -news release
format (see Attachment "A ").
6. Mess News releases containing controversial or sensitive materials and /or
matters relating to public safety shall be distributed to the Mayor and
members of the City Council prior to release to the media.
[Attachment]
Adopted - November 23,1992
Amended - January 24,1994
Amended - February 26,1996
Amended — April 23, 2002
Formerly G -3
2
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PUBLIC RECORDS ACT POLICY
PURPOSE
E -1
The purpose of this policy is to ensure a prompt and appropriate response to all Public
Records Act (PRA,) requests.
POLICY
This policy applies to all requests for docume^}s add City records pursuant to
provisions of the Public Records Act (PRA) found in Section 6250 et. seq. of the
Government Code of the State of California. The PRA applies to records that are paper
(hard copy) or electronic (computerized). The PRA requires disclosure of eertain -City
aecilmenfTrecords within ten (10) calendar days unless there are extenuating
^irattm taro^ The PRA disclosure L it 1 li . 7 1 these _�__�__....__.�..,,. ........,..::.^1::....., ....�,�....,....., ...... p........., i�.�.v:u.r -cra ax�.r"`�`." «c'^cvvrcru
are exempt from disclosure or there is a statutory basis for non - disclosure, or the City it
is- determinesd that the public interest in non - disclosure significantly outweighs the
public interest in disclosure. The City is liable for attorney's fees and costs in the event
a court orders release of records that WhiEh the City has not disclosed after
receipt of a request.
To facilitate a prompt and appropriate response, all PRA requests shall be processed as
follows:
A. Any employee or officer receiving a written PRA request shall, on the day of
receipt, deliver a copy of the request to the City Attorney and the
vfeewa va uaa. Department(s) � eustedy e
r-equeste
B. An Employee receiving a verbal request that requires a search for records or that
should be reviewed by the City Attorney's Office should ask the requester to
confirm the request in writing and, if the requester declines prepare a written
record of the request.
C. Requests for public records must sufficiently describe the records souLrht so that
identification, location and retrieval can be accomplished. When a request to
inspect /copy as .public record is received, and the request does not describe a
reasonably identifiable record, employees are responsible to assist the requesting
party as necessary to identify the records they are seeking_
BD. The City Manager-Attorney will reeeFd the written nn n4,. and the « }
monitor compliance with this Policy and
State Law.
EE. AAA Department Director receiving a copy of a PRA request shall, within three
days of receipt, deliver and the request to the
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City AttorneyL briefly a, _ibi any document all reeerds in the . ted i' of she
DF. The City Attorney shall ith n two days after- receipt ,.c the f e f-fa ., w
Department DireetoF(s) prepaT-e and deliver to the City Manager a memo whi
,a,.,.Erib, , exen-ptien c..,..,. ,7iscl.....,,.e which y be applicable,—evaluates the any
pablk interest in disclosure and non diselestire, afid request and
reconunend an appropriate response.
EG. The ityAttorney shall respond to the PRA request within ten
( —calendar days after the request is received, of the
hall be sent to the City Attorney and all affeeted Depart .,,,,t,, unless
"unusual circumstances" as defined in the PRA, require additional time. The
City's response shall contain, or be accompanied by, direction to the Department
Director(s) specifying the records to be duplicated and in the case of electronic
records, the format of the records to be disclosed.
H. Once a request is made to inspect a public record and the records identified are
located in the electronic communication system, the City officer or employee
having control of the electronic communication shall use his /her best efforts, to
temporarily preserve the record until it is determined if the record is subject to
preservation, public inspection, or production.
I. All PRA requests for electronic communications should be handled in
accordance with this Policy Policy F -24 and Departmental policy and direction.
All electronic communications that constitute an identifiable =Public record and
that are not privileged or exempt from disclosure shall be disclosed in
compliance with the applicable provisions of the PRA.
L The City is obligated to produce the records upon payment of fees covering
direct costs of duplication or a statutory fee, if applicable. The City is not entitled
to recover costs associated with searching for or retrieving the record unless
specifically authorized by State law. The requestor should be referred to the
Finance Department for payment of the costs of duplication prior to release of
the records.
K. An Emplovee is after review by the City Attornev, authorized not to disclose
records pursuant to a PRA request when:
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a. The request does not reasonably describe an identifiable record after
making a reasonable effort to elicit additional clarifying information to
help identify the record(s);
b. The request would require that the City compile data, perform research or
create new records not currently in existence;
C. The request seeks records which are privileged or exempt from disclosure;
or
d. The request seeks records which are not reasonably segregable from
records which are exempt from disclosure.
Adopted - January 24,1994
Amended -- April 23,200
ii
STATEMENT OF INVESTMENT POLICY
PURPOSE
F -1
To set forth the City's policy concerning the investment of temporarily idle funds. It is
the policy of the City to invest funds not required for immediate expenditures.
Investments will be in compliance with governing provisions of law and the policy
contained herein. Primary investment goals are security of principal, adequate liquidity
maintenance, and yield, in that order. Investments shall be placed only in securities as
outlined below. The balance between various investment instruments may change in
order to provide the City with the best combination of yield, liquidity, and a
consideration for other factors, such as placement of an appropriate percentage of
available investment funds locally. It shall be the main responsibility of the City
Council, in adopting this policy and reviewing the investment holdings on a monthly
basis, to preserve the investment principal.
INVESTMENT AUTHORITY
Under the direction of the City Manager, the investment authority has been delegated
to the Director of Administrative Services, who is responsible for administration of the
City's investment program. This authority shall be renewed annually as part of the
review and update of this Policy. In addition to the monthly investment report that is
submitted to the City Council, the Administrative Services Director shall provide more
detailed investment information to the City Council as requested. The City Council
shall be briefed directly by the City's investment advisors on a quarterly basis
whenever possible.
Sections 53600 -53601 of the California Government Code provide basic investment
limits and guidelines for government entities. In the event an apparent discrepancy is
found between this policy and Sections 53600- 53601, the more restrictive parameters
will take precedence.
FINANCIAL INSTITUTIONS
The City shall not deposit funds with any financial institution not receiving a minimum
overall satisfactory rating for meeting the credit needs of California Communities in its
most recent evaluation ( §53635.2).
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LIQUIDITY
Sufficient funding to accommodate at least two- week's projected cash outflow is to be
maintained in immediately available investments, such as the State Local Agency
Investment Fund, maturing certificates of deposit, or similar liquid instruments. An
analysis of cash flow must be conducted at least weekly to serve as the basis for
determining appropriate maturities for investments. At no time shall the liquid cash on
hand be less than 5 percent of the City's total investment portfolio. For purposes of this
policy, cash on hand includes all cash and investments accessible within 48 hours.
ACCEPTABLE INVESTMENT INSTRUMENTS
The following are types of investments made by the City and the guidelines for
investing in each. In all cases, investments shall be made in the context of the "Prudent
Man" rule, which states, in part, that:
"When investing, reinvesting, purchasing, acquiring, exchanging, selling,
and managing public funds, a trustee shall act with care, skill, prudence,
and diligence under the circumstances then prevailing, that a prudent
person acting in a like capacity and familiarity with those matters would
use in the conduct of funds of a like character and with like aims, to
safeguard the principal and maintain the liquidity needs of the agency.
Within the limitations of this section and considering individual
investments as part to (sic) an overall investment strategy, a trustee is
authorized to acquire investments as authorized by law."
In this light, the City of Newport Beach does not purchase or sell securities on margin.
Additionally, any institution, which holds either the collateral or the investment
instruments themselves in safekeeping for the City, must maintain at least one billion
dollars ($1,000,000,000) in assets.
A. Certificates of Deposit
Only fully collateralized certificates of deposit with FDIC insured institutions
will be utilized in investment of City funds. Government securities having a
market value of 110 percent of the total amount of investment are acceptable as
collateral. Noncollateralized CD investments may be made in amounts less than
$100,000 so long as they are fully insured by the FDIC.
2
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Not more than 10 percent of the City's investment portfolio shall be invested in
certificates of deposit with any one institution. CD's will not be placed for a
period of longer than one year. Further, an institution must meet the following
criteria to be considered by the City:
1. The institution must maintain at least $1 billion in assets ($100 million for
fully insured CD's of $100,000 or less).
2. The institution must have been in business at least three years.
3. The institution must have a net worth to asset ratio of at least 6 percent.
4. The institution must place and maintain on file with the City an audited
financial statement not more than one year old.
5. Interest shall be paid to the City on a monthly basis.
B. Negotiable Certificates of Deposit
As a matter of policy, the City invests in Negotiable Certificates of Deposit only
with U.S. Banks whose underlying securities are rated A -1 or P -1 by one of the
top two rating agencies and having assets in excess of $10 billion, so as to insure
security and a large, well - established secondary market. Ease of subsequent
marketability is further ascertained prior to initial investment by examining
currently quoted bids by primary dealers and the acceptability of the issuer by
these dealers. No one issuer shall exceed more than 10 percent of the portfolio,
and maturity shall not exceed one year. The California Government Code
Section 53601 limits investment in negotiable certificates of deposit to 30 percent
of the portfolio.
C. Bankers Acceptances
The City may invest only in Bankers Acceptances issued by the 100 largest banks
in the world, which are eligible for purchase by the Federal Reserve System, the
short term paper of which is rated at the highest category by Moody's and
Standard & Poor's. In the case of foreign banks, the Bankers Acceptances must
be written by their U.S. branches. Maximum maturity shall be 180 days. No
more than 30 percent of the City's overall investment portfolio shall be placed in
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Bankers Acceptances, with no more than 10 percent of the City's portfolio
invested in the banker's acceptances of any one commercial bank.
D. U.S. Treasury Issues
The City may invest in treasury notes, bills and bonds. Safekeeping
documentation of these instruments in an acceptable and secure account in the
City's name is required. Maximum maturity of any U.S. Treasury issue shall be
five years.
E. Federal Agency Securities
Securities of this type that are acceptable for the City's investments are Federal
Home Loan Bank notes, Federal National Mortgage Association notes, Federal
Farm Credit Bank notes, or any other U. S. Government Agency security.
Security requirements and maturity limitations are the same as those for U.S.
Treasury issues.
F. Commercial Paper
The City may only invest in commercial paper issued by large, exceptionally
well - established firms (firms with assets greater than $1 billion and their
subsidiaries) organized and operating in the United States with the highest
Moody's or Standard & Poor's ratings (A1 /P1). Commercial paper shall be used
solely as a short -term investment not to exceed 4,90 -270 days. Additionally, not
,. than 15 , ,..t of. the pertfol :..shall be invested in .,1 papef ,:th
a Ynatuvity beyond 3(I -gays. Another 15 per-cent -,i may be im,est2Eli-- 2i-'rcoimercial
paper if the entire amount invested in Eemmef-Eial 13aiRef has a weighted dellar
avei!age matufity of less than 11 days. No more than 25 percent of the City's
portfolio may be invested in commercial paper. Security requirements are the
same as those listed above. Investment in commercial paper of any one issuer
shall not exceed 10 percent of the portfolio.
G. Repurchase Agreements ( Repos) and Reverse Repurchase Agreements
Repos and reverse repos shall be used solely as a short -term investment not to
exceed 30 days. The institution from which the City purchases a Repo must
deliver adequate collateral to the City's safekeeping account (either directly or
through a third party safekeeping agent), consisting of U.S. Treasury or Agency
4
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securities at the rate of 102 percent of the face value of the repo. The amount of
this collateral must be sufficient to compensate for fluctuating market conditions.
Repos will only be purchased from Primary Dealers.
The City must own assets for more than 30 days before they can be used as
collateral for a reverse repurchase agreement. No more than 10 percent of the
portfolio can be involved in reverse repos..
61
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H. Passbook Savings Accounts
Savings accounts may be used as a repository for customer deposits, or for
similar purposes. Consistent with the requirements for CD investments, funds
deposited in savings accounts must either be FDIC insured or collateralized.
I. Local Agency Investment Fund (LAIF) (State of California)
State Regulation currently limits any one City's investment in this fund to $30
million at any one time, and prohibits more than 15 transactions (deposits or
withdrawals) per month. Investment in this Pool is intended to be used as a
temporary repository for short -term funds used for liquidity purposes.
J. County Investment Funds
Los Angeles County provides a service similar to LAIF for municipal and other
government entities. This Fund is available to certain cities outside of Los
Angeles County, including Newport Beach. Investment in this pool is intended
to be used as a temporary repository for short -term funds used for liquidity
purposes. At no time shall more than 5 percent of the City's total investment
portfolio be placed in this Pool.
The City shall not invest funds with the Orange County Pool.
K. Medium Term Corporate Bonds /Notes
Investments of this type will normally only be in corporations rated in the top
three note categories by two of the three largest nationally recognized rating
services. Maximum term to maturity for individual securities shall not exceed
five years, and not more than 25 percent of the portfolio shall be invested in
medium term notes of maturity greater than 2 years. No more than 30 percent of
the City's investment funds shall be placed in securities of this type. As an
additional restriction, not more than 10 percent can be invested in "A," rated
securities, and none of those investments shall exceed two years to maturity.
L. Asset - backed Securities
Investment in asset - backed securities is limited to those collateralized with
consumer receivables, rated "AAA," or the equivalent, by Moody's Investor
6
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ial
Services or Standard & Poor's, Inc., and which have a final, stated maturity of
five years or less from the date of purchase. No more than 10 percent of the
City's investment funds shall be placed in securities of this type.
M. Municipal Bonds
Municipal bonds rated AAA, or AA and insured, are acceptable investments for
the City. Not more than 15 percent of the portfolio shall be in investments of this
type.
N. Money Market Funds
The City may invest in Money Market Funds subject to the following constraints.
Investment in these funds is primarily intended for short -term "sweep account"
purposes, not for longer -term investments.
1. Shares of beneficial interest issued by diversified management companies
that are money market funds registered with the Securities and Exchange
Commission under the Investment Company Act of 1940 (15 U.S.C. Sec.
80a -1.)
2. The company shall have met either of the following criteria:
a. Attained the highest ranking or the highest letter and numerical
rating provided by not less than two nationally recognized
statistical rating organizations.
b. Retained an investment adviser registered or exempt from
registration with the Securities and Exchange Commission with not
less than ten years' experience managing money market mutual
funds with assets under management in excess of one billion
dollars ($1,000,000,000).
3. The purchase price of shares of beneficial interest purchased shall not
include any commission that the companies may charge.
4. No more than 20 percent of the City's investment portfolio shall be
invested in money market funds.
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5. The City shall not invest in funds the market value of which is or has been
less than $1 per share.
PROHIBITED INVESTMENTS
Consistent with California Government Code 53601.6, inverse floaters, range notes,
mortgage derived interest -only strips, or any security that could result in zero interest
accrual if held to maturity are specifically prohibited, except to the extent that they are
shares of diversified management companies registered under the Investment
Company Act of 1940.
The City shall not purchase any security rated Al and or A+ or below if that security
has been placed on "credit watch" for a possible downgrade by either Moody's Investor
Services or Standard and Poor's.
Investments not specifically approved by this policy are prohibited.
ASSET/ INVESTMENT MANAGEMENT AGREEMENTS
The City may employ the services of asset/ investment management companies. Such
companies must have a history of producing no losses and relatively high net returns.
They must also be well established and exceptionally reputable. Members of the staffs
of such companies who will have primary responsibility for managing the City's
investments must have a working familiarity with the special requirements and
constraints of investing municipal funds in general and this City's funds in particular.
They must contractually agree to conform to all provisions of governing law and the
collateralization and other requirements contained herein. At no time shall more than
30 percent of the City's total investment portfolio be placed in any one investment
management account. In order to implement this requirement, the City's portfolio
assets will be reallocated annually among its investment managers.
SAFEKEEPING/ THIRD PARTY CUSTODIANS
Cash and securities in the City's portfolio, which are being managed by private sector
asset/ investment management companies, will not be in the custody of those
companies. The City will contract separately with major banks or other well -
established, reputable financial institutions, which provide custodial services to
maintain custody of cash and securities in this category. In the case of a major financial
institution, the City may have an asset/ investment management relationship, and a
8
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custodial relationship, with the same entity. However, the services must be provided by
separately managed departments within that entity, and the City's portfolio must be
completely separate and distinct from the assets of the institution and from all other
portfolios managed by the institution.
BOND PROCEEDS
The investment of bond proceeds will be made in accordance with applicable bond
indentures.
RATING AGENCY CHANGES
In the event a security held by the City is the subject of a rate drop which brings it
below accepted minimums specified herein, or the security is placed on negative credit
watch, where downgrade could result in a rate drop below acceptable levels, the
investment advisor who purchased the security will immediately notify the
Administrative Services Director or Deputy Director of that fact. The course of action to
be followed will then be decided on a case by case basis, considering such factors as the
reason for the rate drop, prognosis for recovery or further drop, and market price of the
security. The City Council will be advised of the situation and intended course of
action by e -mail or fax.
REPORTING REQUIREMENTS
In addition to the Monthly Investment Report, the City Council shall receive a detailed
quarterly listing of all investments in the City portfolio. The report must show the type
of investment, issuer, date of maturity, par and dollar amount of deposit /investment,
and rate of interest. Quarterly reports from outside investment managers must also
include market valuation of assets under their management and the source of that
valuation, and shall also include a statement of compliance with investment policy.
Current ratings of non - government securities, either Moody's or Standard & Poor's,
will be included.
In his report to Council, the Director of Administrative Services shall include a
statement denoting the ability of the City to meet its expenditures for the next six
months, and shall also include a statement of compliance with investment policy for
assets under his direct management. In addition, the City Council shall be notified
whenever 5 percent or more of the total portfolio is invested, withdrawn, or moved
from one Investment Advisor or Pool to another.
9
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Adopted - April 6,1959
Amended - November 9,1970
Amended - February 11, 1974
Amended - February 9,1981
Amended - October 27,1986
Rewritten - October 22,1990
Amended - January 28,1991
Amended - January 24,1994
Amended - January 9,1995
Amended - April 22,1996
Corrected - January 27, 1997
Amended - February 24,1997
Amended - May 26,1998
Reaffirmed - March 22,1999
Reaffirmed - March 14, 2000
Amended & Reaffirmed - May 8, 2001
Amended & Reaffirmed -- Apri123, 2002
F -1
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RESERVES /DESIGNATIONS OF FUND BALANCE
PURPOSE
F -2
To establish City Council policy for the administration of financial reserves and fund
balances.
DISCUSSION
A. Background. Prudent financial management dictates that some portion of the
funds available to the City be reserved for future use. Future uses are
categorized as either pre - planned projects or unforeseen financial emergencies.
B. Structure and Funding of Reserves. This Policy establishes Reserve Accounts or
designated Fund Balance levels for moneys being held in reserve. In addition,
the sources and eventual use of Reserve Funds are set forth.
It is the policy of the City Council that each Reserve identified herein is to be
fully funded as part of the annual budget process. If operational or other
considerations require the City Council to temporarily override this policy
during any fiscal year, the City Manager will recommend to the City Council a
plan to restore any Reserves falling below required minimum levels. Reserve
levels will be restored as soon as practical, but in not more than 5 years.
Each of the City's fiscal reserves is established and maintained for one of four
purposes listed in general order of importance below. If the reserve
requirements of this policy are unmet in any fiscal year, the City Manager will
recommend funding prioritization to the City Council as part of the Budget.
C. Use of Reserves. The City Council decides whether to appropriate funds from
Reserve Accounts. Even though a project or other expenditure qualifies as a
proper use of Reserves, the Council may decide that it is more beneficial to use
current year operating funds or bond proceeds instead, thereby retaining the
Reserve funds for future use. Reserve Funds will not be spent for any function
other than the specific purpose of the Reserve Account from which they are
drawn without a separate City Council Resolution approving that specific action.
Information regarding Annual Budget Adoption and Administration is
contained in City Council Policy F -3.
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D. Categories of Reserves.
1. Accounting Reserves. Generally accepted governmental accounting
practices require identification of generic reserve funds for certain
purposes. These accounts represent the unspendable portions of fund
balance, such as inventories and long term receivables, as well as funds
that are legally restricted by some external source, such as debt service
reserves and encumbrances. Reserving funds for a contract awarded in
one year but not completed until a succeeding year is one example of an
accounting reserve for encumbrance.
2. Contingency Reserves. Contingency Reserves represent funds for
unexpected financial emergencies. One example requiring the use of this
Reserve is the adverse impact of natural disasters such as earthquake or
flooding on revenue availability, as well as increased demand for City
services. Other examples are unexpected loss or reduction of a key
revenue source; special projects, programs, or price changes mandated by
another government entity; and emergency capital projects needed to deal
with unforeseen structural failure.
3. Designated Reserves. These Reserves are designated for known or
anticipated events. Such events require large, non - recurring financial
outlay, such as the replacement of systems and equipment or major capital
improvements.
4. Stabilization Reserves. Stabilization Reserves enhance the orderly
management of the Operating Budget by stabilizing revenues and
expenditures, which fluctuate beyond the ability of City staff to control or
predict. One example is the annual change in retirement contribution
rates mandated by the Public Employee Retirement System (PERS). Other
examples are changing prices for utilities and fuel, as well as the volatility
in certain special program funding. These Reserves provide stability by
"smoothing out" year to year volatility in the City's finances.
FUNCTION AND ADMINISTRATION OF RESERVE ACCOUNTS
Reserves are identified below by fund, category and specific function. The specific
numbers of accounts where these Reserves are physically located change from time to
time as the overall account structure is updated and modified. However, the Fund
Balance Statement, which is available for ready reference in the City's Annual Budget
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document, identifies balances, past -year activity, and projected current year activity for
each of these Reserves.
A. General Fund.
1
1. Accounting Reserves.
a. Reserve for Inventories. The value of inventories purchased by the
City but not yet issued to the operating Departments is reflected in
this account.
b. Reserve for Debt Service. Funds are placed in this Reserve at the
time debt is issued. The provisions governing the Reserve are
established in the Bond Indenture, and the Reserve itself is
controlled by the Trustee.
C. Reserve for Long Term Receivables. This Reserve is used to
identify and segregate that portion of the City's financial assets
which are not due to be received for an extended period, so are not
available during the budget year.
d. Reserve for Encumbrances. This Reserve accommodates spending
for contracts or other items, which are legally committed but not
expended by fiscal year end.
e. Reserve for Appropriations This is a temporary repository for
funds not vet fully appropriated in the annual budget. It is
normally used only during; the budget process.
2. Contingency Reserve. This Reserve has a target balance of not less than
ten percent (10 %) of annual General Fund expenditures. The City Council
authorizes expenditures from this Reserve.
3. Designated Reserves.
a. Capital Improvement. Generally accepted governmental
accounting practices do not provide for the depreciation of assets of
Governmental Funds such as the General Fund. Therefore, special
procedures are required to set aside money (a "sinking fund ") for
replacement or renovation of fixed assets such as, but not limited
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to, City Hall and Police Department buildings, Fire Stations, and
Library Branches.
The Capital Improvement Reserve will accumulate funds only for
infrastructure items financed through the General Fund.
Infrastructure assets of Enterprise Funds, as well as those of
Governmental Fund, for which non - general fund money is
available, are not components of this Reserve. Funds from this
Reserve are restricted to replacement or acquisition of periodic,
major projects or improvements typically exceeding .7 percent of
the annual General Fund Operating Budget (not including capital
projects). Projects for which this Reserve is intended generally
have the effect of extending the useful lives of infrastructure items.
The City Manager will update the status of items of the General
Fund infrastructure inventory on an annual basis. Included as part
of the City Manager's budget proposal will be a plan to fund this
Reserve at a level of not more than one hundred percent (100 %) of
the replacement cost of each asset by the year in which replacement
is anticipated.
b. Senior Citizen Site. This Reserve is established by Council Policy
I -5, which specifies that ten percent (10 %) of revenue collected from
rental of facilities at the Oasis Center be set aside for equipment
replacement and /or refurbishment at the Center.
C. Park Fees. This Reserve contains Park Fees collected by the
construction permit process. Use of Park Fees is governed by
Council Policy I -1, which limit their expenditure to park, open
space, and recreational facilities.
d. Off Street Parkin. Newport Beach Municipal Code 12.44.025
establishes this Reserve and governs its administration. Fifty
percent (50 %) of parking meter revenue collected in designated
areas is set aside for acquisition, development, and improvement of
off street parking facilities within those areas.
e. Neighborhood Enhancement Reserve. Newport Beach Municipal
Code 12.44.027 establishes this account and governs its
administration. Funds for the Neighborhood Enhancement
4
F -2
Reserve are derived from designated parking meters and used for
enhancement of services to designated areas.
f. Helicopter Replacement. Each year the Police Department will
budget operating funds sufficient for the orderly replacement of
police helicopter assets. These funds will be transferred to the
Helicopter Replacement Reserve until eventually appropriated by
the City Council for a replacement helicopter.
g. Paramedic Program (Hoag). This Reserve was established by the
City in conjunction with debt issuance agreements with Hoag
Hospital. In addition to the original amount(s) deposited to this
reserve, effective July 1, 2000, any excess revenues generated by
this program, after accounting for General City Overhead of 15
percent, shall be deposited to this reserve account for future
paramedic related purposes, to a maximum of $250,000. Funds in
this reserve account may be used for any paramedic related
purpose as directed by the City Council. Target level for this
reserve is 25 percent of the annual budget for operations and
capital expenditures.
h. Recreational Instruction Reserve. City Council Policy I -2
establishes reserves for surfboard replacement and refurbishment,
development of tennis courts, and development of new recreational
activities. The Policy requires twenty percent (20°x) of gross annual
revenues derived from specified recreational classes be set aside.
i. Other Designated Reserves. The Administrative Services Director
may add additional designated reserves as required. This will
normally be done in response to new programs or policies
established by the City Council or another government entity
providing funds to the City. Examples are the In Lieu Parking
Reserve, Oil Spill Recovery Reserve, and the Public Library und
Reserve.
4. Stabilization Reserve. The Stabilization Reserve has a target balance of
two percent (2 %) of the budgeted expenditures within the General Fund.
Each year, the City Manager will analyze uncontrollable revenues and
expenditures. When expenditures are required from this Reserve, the City
5
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F -2
Manager will note the reasons in the preliminary and final budget. The
Stabilization Reserve may have subdivisions.
B. Water Fund.
(City Council Policy L -20 contains additional information concerning budgeting
and rate setting within the Water Fund.)
1. Contingency Reserve.
a. Water System Reserve. This Reserve is used for emergency repair
to the water system. The target level for this Reserve is 25 percent
of the annual budget for operations and capital expenditures.
2. DesigLiated Reserves.
a. Future Water Infrastructure Reserve. This Reserve is used for large
designated projects that are part of the water distribution system.
System replacement/ upgrade and most improvement /major
maintenance projects are funded within that amount. However,
certain large -scale projects are projected on a ten -year horizon,
which is updated and refined each year. The purpose of this
Reserve is to set aside partial funding for those projects in advance.
Included as part of the City Manager's annual budget proposal will
be a plan to fund this Reserve at a level of not more than one
hundred percent (100 %) of the projected cost of planned projects by
the year in which contract award is anticipated. Projected future
costs notwithstanding, a minimum of five percent (5 %) of the
annual budget for operations and capital expenditures will be set
aside to this reserve each year. The City Council must approve the
ultimate fund transfer from this Reserve to a designated Water
Enterprise Fund Capital Project Account as part of the Budget
process.
0
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F -2
C. Wastewater Fund.
1. Contingency Reserve.
a. Wastewater System Reserve. This Reserve is used for emergency
repair to the Wastewater system. The target level for this Reserve
is 33 percent of the annual budget for operations and capital
expenditures.
2. Designated Reserve.
a. Future Wastewater Infrastructure Reserve. This Reserve is used for
large designated projects that are part of the City's Wastewater
system. Funds are reserved for large -scale future projects, which
cannot be accommodated within the annual budget of the year in
which they are planned. In the years prior to estimated contract
award, the City Manager's budget proposal will include a plan to
set money aside in this Reserve sufficient to accumulate not more
than one hundred percent (100%) of the projected cost of such
projects.
D. Internal Service Funds.
Internal Service Funds receive moneys from departmental operating budgets.
There are two Internal Service Funds: the Equipment Maintenance and
Replacement Fund, and the Insurance Reserve Fund.
One of the functions of Internal Service Funds is to act as reserve accounts.
1. Equipment Maintenance and Replacement Fund. The Equipment
Maintenance and Replacement Fund receives operating moneys from the
Departments to provide equipment maintenance and to fund the regular
replacement of major pieces of equipment (mostly rolling stock) at their
economic obsolescence.
a. Equipment Maintenance Account. In order to provide adequate
funds for unexpected extraordinary costs due to damage or
mechanical failure to a large piece of equipment, five percent (5 %)
of the total annual budget for equipment maintenance is retained in
the Fund.
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F -2
b. Equipment Replacement Account. Departmental operating funds
are charged amounts sufficient for the replacement of rolling stock
in accordance with Council Policy F -9. Equipment replacement
needs vary from year to year; therefore the year -end Fund balance
will fluctuate. It will increase substantially in the years preceding
major purchases or when an unusually large percentage of the fleet
is scheduled for replacement. The City Manager annually
determines and adjusts the rates for collection of funds from the
Departments based on pricing, future replacement schedules, and
other variables.
2. Insurance Reserve Fund. The operating budgets of City's Departments
are charged for Liability, Workers' Compensation, and Compensated
Absences.
a. Liability and Workers' Compensation Accounts. These accounts
each serve three purposes:
Payment of insurance premiums;
Payment of the deductible (self - insured retention) for liability or
workers' compensation claims;
Reserve for future claims.
i. Collection of Funds. Each year, the City Manager will
determine and adjust the internal collection rates from the
Departments.
ii. Short Term Expenditures. The Budget will account for
projected expenditures during the coming year.
iii. Future Costs. Money will be set aside each year to
accommodate projected long term cash outflow. The annual
funding level will be sufficient to offset the estimated cost of
known claims. Resolution of most claims fall within a three -
year window. At this time, the target fund balance each year
is fifty percent (50 %) of the estimated overall liability for
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F -2
known or anticipated claims, based on the City's general
experience in the past.
3. Compensated Absences.
a. Background. Employee benefits such as accumulated flex leave,
vacation leave, and sick leave, have a cash value. Accounting
practices require that the book value of the City's compensated
absences liability reflect the cash outflow as if all absences were
cashed out immediately. Much of this cash outflow will never
occur, since the benefits will be taken in the form of time off, rather
than cash. Additionally, the cash outflow could occur all at once
only if the City dissolved and made full payment for all
accumulated leave amounts.
The largest portion of leave -to -cash conversion is at an employee's
retirement. That amount can be estimated with reasonable
accuracy.
b. Policy and Practice. The City will fund an appropriate amount, but
not the entire long -term book liability, for compensated absences.
i. Each year, the City Manager will project the amount of
expected short -term cash liability for compensated absences
and budget expenditures from the Compensated Absences
Account.
ii. The City Manager will establish a target closing balance that
will fund not less than twenty-five percent (25 %) of the long-
term liability for compensated absences.
Adopted - January 24,1994
Amended - April 10, 1995
Amended - April 27,1998
Amended - March 14, 2000
Amended - May 8, 2001
Amended -- April 23, 2002
0
BUDGET ADOPTION AND ADMINISTRATION
PURPOSE
F -3
To establish the policy for the preparation, adoption, and administration of the City's
Annual Budget.
POLICY
A. Organization and Development of the Annual Budget. Each year the City shall
prepare and adopt, by formal Resolution, an annual budget as required by the
City's Charter and as provided for in the City's Budget Instructions.
The Annual Budget is published in three volumes, the Resource Allocation Plan
(RAP), the Budget Detail and the Capital Improvement Program (CIP). The
n,,..,...rc nllee, ni.., iRAM provides an overview of each department's
mission, functions, statistical information, and budget. It also provides summary
information re,;arding the Capital Improvement Prof =ram, as well as summary
information for budgeted and historical overall City revenues, expenditures, an d
fund balances. The Budget Detail contains line by line information regarding
operating expenditures for the prior vear, current year and budget year., and
tThe Capital Tmpr-,..,,... ent n ............. (CID document provides a summary of
current and future planned projects, basic descriptions of each project, the
funding source and the scope of work to be performed. Eentains similar detail
The City programs expenditures into four classifications. These are Salaries and
Benefits, Maintenance and Operations, Other Charges, and Capital Expenditures.
Capital Expenditures are subdivided into Capital Outlay, which is generally
used for items of operating equipment or other purchases in excess of $500.00,
and Capital Projects, which generally deal with Public Works related
improvements for a distinct and identifiable purpose and function.
Budgeted Expenditures for all four classifications are aligned in the Budget
Documents by Department Budget Units, which usually coincide with Operating
Divisions within the City's organizational structure; and, separately, by Capital
Projects. Therefore within each Division Budget, there will be sections for
Salaries and Benefits, Maintenance and Operations, Other Charges, and Capital
OutlaV.Qut1 ....Fx ,a:t,. The section dealing with Capital n.. ,.t.. which are
1
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F -3
During December of each year, the Administrative Services Department shall
prepare preliminary fund balance estimates for the current year and preliminary
revenue estimates for the next fiscal year. In January of each year, the
Administrative Services Department shall prepare a budget calendar and issue
budget instructions and expenditure detail to each department for use in
preparation of the next year's City budget. Included in these instructions will be
budget guidelines and appropriation limits for each department. These
guidelines will be developed by the Administrative Services Director and
approved by the City Manager. In accordance with City Council Policy F -2
(Reserves/ Designations of Fund Balance), the status and possible changes in
Reserve Accounts shall be addressed as part of this process.
After submission of revenue and appropriation requests by each department, the
Administrative Services Department shall summarize the requests for review by
the City Manager and Department Heads. After review by the City Manager
and Department Heads, the Administrative Services Department shall prepare
the City's proposed budget for the next fiscal year and shall submit said
proposed budget to the City Council. as required by the City's Charter and th
Budget . Thereafter, the City Council shall hold as many budget
study sessions as it deems necessary. Council budget study sessions shall be
recorded. All proposed Council changes in the City Manager's proposed budget
shall be added to a budget checklist. Subsequent to Council review and prior to
its final adoption, the City Manager shall provide each Council Member with an
itemized list of all proposed changes to permit a roll call vote by the City Council
on each item during a Council meeting.!!- the roll ^^" vote COETeE I
The City Council shall hold a budget hearing and shall adopt a budget on or
before June 30 as required by the City Charter.
B. Administration of the Annual Budget. During the budget year, Department
Heads and their designated representatives may authorize only those
expenditures that are based on appropriations previously approved by City
Council action, and only from accounts under their organizational responsibility.
In addition, budget expenditures may only be authorized in the year
appropriated. Any unexpended appropriations, except valid encumbrances,
expire at fiscal year end unless specifically reappropriated by the City Council
for expenditure during the new fiscal year. Department Heads are responsible
for not authorizing expenditures above budget appropriations in any given
FK
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F -3
areae2i diture classification within their purview, without additional
appropriation or transfer as specified below.
1. New Appropriations. - During the Budget Year, the City Council may
appropriate additional funds for special purposes by a City Council
Budget Amendment. The City Manager has authority to approve requests
for budget increases not to exceed $25,000 in any Budget Activity or
Capital Project. (This must be specifically included in each year's Budget
Resolution to remain valid.)
2. Grants & Donations. The City Manager may accept donations or grants of
up to $57000 on behalf of the City and appropriate the funds for the
purpose intended. The City Council will be formally notified of such
actions on a quarterly basis by way of a re f ~eil _Meeting agenda
information iteEnthe City Manager newsletter to the City Council. (This
provision must be specifically included in each year's Budget Resolution
to remain valid}.) Additionally, grant appropriations approved by City
Council may be carried forward to thehe -to -the following fiscal iscal year(s) as
long as the grant terms remain valid, the expenditures are consistent with
the previous Council authorization, and the funds would otherwise need
to be returned to the granting or donor agency.
3. Transfers. During the fiscal year, actual expenditures may exceed budget
appropriations for specific expenditure line items within departmental
budgets. If a total departmental budget, within a specific Classification, is
not exceeded, the Administrative Services Director has the authority to
transfer funds within that Classification and Ddepartment, to make the
most efficient use of funds appropriated by the City Council. (Salaries
and Benefits, Maintenance and Operations, Other Charges, and Capital
Outla-y-Expenditures are the City's four Classifications.)
4. Realignments. Further, funds may be realigned between one Department
Budget Activity and another, within the same Classification, with City
Manager approval. For example, if a Fire Department function and the
employee who accomplishes it are replaced by a slightly different function
assigned to the Police Department, the City Manager may authorize the
transfer of appropriate funds to support this function.
5. Reprogramming. Any reprogramming of funds among the 4wee -four
Classifications (Salaries and Benefits, Maintenance and Operations, and
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F -3
Capital gaga-yExpendituresl within a given fund requires the City
Manager's approval. Any budget revision that changes the total amount
budgeted for any fund (other than the minor provisions contained in
paragraphs B.1. and B.6.b.) must be approved by the City Council.
6. Capital Projects. The Department Head having primary responsibility for
a Capital Project (usually the Public Works Director) is authorized to
encumberto encumber and approve subsequent expenditure of City funds
for Capital Projects. However, contracts in excess of $30,000 require
specific City Council authorization at the time of contract award. In
addition, any contracts not of format and wording already approved by
the City Attorney require specific City Attorney review and approval
prior to contract award.
Once a contract has been awarded, change orders may be approved by the
Public Works Director, or other Department Head having responsibility
for the Project, so long as the net total amount committed to the Project
remains below 110 percent of the original contract award amounteontFaR
and so long as the original amount
appropriated for the Project by City Council is not exceeded.
Change orders exceeding the aboveose thresholds may be approved by
the City Manager as follows:
a. Total prejeEt pending for any single contract may not
exceed 125 percent of the original contract award amount
without City Council approval.
b. b-.—The total amount authorized for a capital
improvement project may be increased by transferring funds
from one Project to another or by reprogramming funds
from AM of the other three classifications (see B.5), so long
as the new total does not exceed 110 percent of the original
amount appropriated by Council.
C. In the event that the transfer or reprogramming action in
B.6.a. or B.6.b. above would result in a material reduction in
the scope of the capital project or other City activity from
which funds are to be withdrawn, City Council
authorization is required. For example, the movement of 5
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F -3
percent of the funding from one large project to another
large project of the same general category could be approved
by the City Manager, whereas the elimination or significant
reduction of two small, unrelated projects to provide funds
for a 5 percent increase in a much larger, project would
require City Council approval.
In all instances, notification of any changes to capital project contract
amount or budget authority must be communicated to the Administrative
Services Director.
All unexpended and unencumbered capital projects will be canceled on
June 30 of each fiscal year. The appropriation balance of these canceled
projects will be recorded in the Reserve for Capital Improvements or
another appropriate Reserve Account by the Administrative Services
Director at fiscal year end (see also paragraph C -_2, below).
7. Reserves. Funds from unappropriated contingency reserves may be
transferred to active Classification accounts only by City Council Budget
Amendment.
C. Additional City Council, City Manager, and Administrative Services Director
Responsibilities. The Administrative Services Director is responsible for
checking purchase requests against availability of funds and authorization as per
the approved Budget. The City Manager is responsible for approving
expenditures which do not conform to the approved Budget, but which fall
within the exceptions noted in this policy statement. It is the responsibility of the
City Manager to administer the City's budget within the framework of policy
and appropriation as approved by the City Council.
Special City Council Expenditure Approval. Once the final Budget has
been approved by the City Council, specific City Council approval to
make expenditures consistent with the Budget will not be required, with
two exceptions (see also Purchasing and Accounts Payable Procedures):
a. Capital Projects in excess of $30,000.
b. Consultant Contracts in excess of $30,000.
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F -3
All other budget administration actions, including the routine filling of
vacancies in staff positions authorized within the Budget, will not require
further City Council approval. However, new positions and other new
expenditures do require City Council approval, and the City Council and
City Manager reserve the right to impose any special fiscal control
measures, including a personnel hiring freeze, and other spending
controls, whenever circumstances warrant. Since the annual Budget is
approved by formal Resolution, a request by a City Council Member for
review of a portion or portions of the Budget, with a view toward
changing amounts appropriated or the purposes for which they were
appropriated, requires a majority vote of the City Council.
2. At fiscal year end, the Administrative Services Director is authorized to
realign, reprogram, and /or transfer money among accounts within each
Fund in order to close the books of accounts of the City of Newport Beach
in accordance with generally accepted governmental accounting
principles as established by the Government Accounting Standards Board,
Government Finance Officers Association, and other appropriate
accounting or auditing pronouncements. Any net shortage within a Fund
will be recorded as a decrease in Fund Balance and reported to the City
Council. Any net excess will be recorded as an increase to one or more
appropriate Reserve Accounts as recommended by the Administrative
Services Director and approved by the City Manager. (Information
regarding appropriation of Funds from the Reserve Accounts is contained
in City Council Policy F -2.)
Adopted - January 24,1994
Amended - February 27,1995
Corrected - February 26, 1996
Amended - May 13,1996
Amended - May 26,1998
Amended - August 8, 2000
Amended -May 8, 2001
Amended -- April 23, 2002
Formerly F -10, F -11, F -12, and F -21
ri
41
CITY TRAVEL POLICY STATEMENT
PURPOSE
To set forth the policy for official City travel and to establish procedures for
reimbursement of expenses incurred by City Council members, appointed officials,
members of special boards, commissions, committees, and employees while traveling
overnight on official City business. This policy shall not apply for commuter (local)
training seminars and local City business expenses, nor is it intended to supersede
P.O.S.T. reimbursable travel policies established by the State of California or the
Newport Beach Police Department. The governing rule for all City travel expenses
shall be availability, economy, convenience, and propriety.
TRAVEL POLICY
A. The City shall provide reimbursement for expenses directly related to attendance
at approved conferences, seminars, meetings, and other official functions/
purposes.
B. Official travel is planned, approved, budgeted, and controlled at the Department
level, except in specific cases described below.
C. Authorized travel approved in the annual budget requires no further approval
beyond the departmental level. If, however, it becomes apparent that the total
travel cost will exceed the budget estimate, the approval of the Administrative
Services Director must be obtained. Variations greater than twenty percent shall
be referred by the Administrative Services Director to the City Manager for
approval. The number of attendees representing the City at any given
conference (or other function requiring expenditure of travel funds) will not
exceed the number specified in the budget without Council approval (in the case
of commission members), or Department Head approval (in the case of City staff
or committee members).
D. Unbudgeted, unplanned travel requests shall be submitted by the Department
Director to the Administrative Services Director who will forward the requests to
the City Manager for approval. Such requests shall include the proposed
funding source for the travel (other travel canceled, reprogramming of other
funds within the department, etc.).
1
E. Travel Expenses fall into two categories.
1. Those that are paid directly by the City or reimbursed to the traveler
based on actual, itemized expenses. Lodging, airfare, rental car, fuel,
parking fees, tolls, taxi - fares /local transportation, official telephone calls
and conference registration fees fall into this category. Whenever practical,
these expenses should be paid directly by the City. These itemized
expenses shall be accompanied by receipts to obtain reimbursement.
2. All other expenses shall be covered by the per diem payment. These
expenses include meals, laundry, tips, and all other expenses not
specifically itemized above.
F. The City's per diem rate is $5060.00 per day (adjusted by December 2001
Consumer Price Index). Travel days may be included in computing the per
diem. The City Manager or Department Director may direct that travel expense
reimbursement be at the actual cost of travel rather than the per diem rate when
meals or other travel expenses are included as a part of the registration fee, or
when other circumstances dictate such a decision, but in no instance shall the
actual expense reimbursement for meals, etc. exceed the per diem rate. These
itemized expenses shall be accompanied by receipts to obtain reimbursement.
For appropriate events, the Department Director may further authorize travel at
a reimbursement amount that is less than either full per diem or actual expenses.
Travel of this type cannot be mandatory and is not to be authorized without the
traveler's concurrence. The per diem amount will be adjusted annually by the
Consumer Price Index, however, this annual adjustment will be made in
increments rounded to the nearest $5.00.
G. Any reimbursement/ cost offset from outside sources, such as P.O.S.T.
reimbursements or airline discounts, are payable to the City.
H. For local /short distance travel, City vehicles shall be used whenever practical.
When personal vehicles are authorized and used, reimbursement will be at a flat
rate as prescribed by Internal Revenue Service regulations.
I. If personal vehicles are used for trips to more distant locations, the City will
reimburse the traveler at the mileage rate or the standard discount /coach airfare
rate, whichever is less. One day of travel time will be allowed each way,
regardless of the mode of transportation. Travelers who request and are
2
44
VNIM
authorized to travel relatively long distances by personal vehicle rather than
commercial air transportation must take leave to accommodate the additional
travel time required. Regardless of the actual hours of travel, overtime will not
be paid for said travel. Travel days that fall on weekends will not constitute
overtime. Department Directors may authorize leave time at the travel site if
requested.
J. Travel advances up to 100°% of confirmed airfare, lodging, registration expense
and per diem are authorized. All other advances will be at the rate of 50% of
estimated expenses. Requests for advances beyond this amount must be
approved by the Administrative Services Director.
K. Airline travel shall be at standard coach or comparable class. Lodging
accommodations shall be at standard room, single occupancy rate. The
governing rule shall be availability, economy, convenience, and propriety.
L. Travel claims shall be submitted to the Administrative Services Director within
ten working days of travel completion.
PROCEDURE
A. Each Department Director shall include all planned trips in the Department's
annual budget requests. The attached Travel Authorization Form shall be used
as a planning /cost estimation guide. For unbudgeted, unplanned travel, the
same form shall be prepared at the time travel is requested.
B. All requests for travel advances shall include the original Travel Authorization
Form signed by the Department Head.
C. The Travel Expense Claim Form shall be used to file the final travel claim with
the Administrative Services Director. A copy of the Travel Authorization Form
must be attached.
D. The Administrative Services Department shall make a record of all travel
payments on the original Travel Authorization form, which will be returned to
the traveler, with a copy retained by the City.
(Refer to Travel Authorization/ Travel Expense Claim Forms)
3
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CONTINUITY OF CITY GOVERNMENT POLICY
With the advent of different modes of rapid transportation, there is the possibility of
accidents injuring or killing several people simultaneously. Since Council Members are
required to attend conferences, conventions and meetings outside City Hall, it is
desirous to require that whenever possible, no more than three members of the City
Council use the same transportation at the same time.
When it comes to the Council's attention that a conference, convention, or meeting in
which transportation is required, Council Members shall make an effort to arrange their
itinerary so that no more than three members of the City Council use the same
transportation. The City Clerk shall be utilized to provide alternate travel
arrangements where necessary in order to comply with this policy.
This policy will help insure that there will be a continuity of City government and that
there is always a majority of Council members capable of fulfilling the responsibilities
placed upon them by the City.
In addition, the City Manager, Department Heads and other key personnel should use
the same guidelines in traveling separately on official business whenever practicable.
Adopted - June 8,1992
Amended - January 24,1994
Amended - February 26,1996
Amended -- April 23,200
Formerly F -25
4(e
F -11
ACQUISITION, CUSTODY, AND DISPOSAL OF CONTROLLED PROPERTY
PURPOSE
To set forth the City's policy concerning establishment of procedures and assignment of
responsibilities regarding acquisition, custody, and disposal of controlled property.
The primary focus of this policy, and the procedures to which it refers, is security of the
City's property and equipment.
DEFINITION
Controlled Property is defined as property having an initial value greater than $500,
with two exceptions. At the discretion of the City Manager or a Department Head,
individual items of City property of less than $500 value may be designated as
controlled property. This should be done with items especially subject to theft or
misuse. Conversely, major fixed assets with no potential for theft, such as buildings,
land, water and sewer lines, and other assets affixed to the earth are exempted from
some aspects of this policy, such as custody control. For a discussion of the distinction
between "end items' of equipment, which are subject to property control procedures,
and components of that equipment, which require a different level of control, see the
City's Property Control Procedures.
PROPERTY CONTROL RESPONSIBILITIES
The Administrative Services Director shall establish and maintain citywide property
control and disposal procedures. However, basic accountability for City property,
along with the responsibility for maintaining appropriate day to day measures to keep
it reasonably secure, lies with the Department Head whose budget appropriation was
used for original procurement of the property (unless transferred to another
Department).
Items designated to be included in the property control system will be entered into the
system at the time they are acquired and removed from the system when they are
disposed. Custody of assets will be established to the Department Head level.
Department Heads may establish sub custody to their Divisions, or other subordinate
levels within their Departments, if they desire. Department Heads must advise the
Administrative Services Director of any transfers of property between custodians, or of
any other adjustments or realignments to be effected.
1
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F -11
An inventory of property control items will be conducted at least annually by the
custodians (Department Heads), at the direction of the Administrative Services
Director. A report of this inventory will be prepared by the Administrative Services
Director and submitted to the City Manager. The Administrative Services Director will
specifically report any discrepancies (such as missing items) arising from these
inventories, and recommend appropriate action in each case. The City Manager will in
turn advise the City Council on the completion of each inventory and of any specific
items deemed appropriate including the identification of any theft or missing property.
In the event any item of value greater than $5,000 is missing as a result of
misappropriation or other illegal activity, or without adequate explanation, the City
Council will be so informed.
DISPOSAL
Property and equipment being removed from City Service by Departments will be
turned over to the Administrative Services Director (Warehouse Manager), who will
arrange for proper disposal and removal from the property control system. City
property shall be disposed of in a manner that results in the greatest financial
advantage to the City. For items of relatively significant value, this usually means a
competitive bid process. For items of no value, this usually means least -cost disposal.
Donations made by the City must be approved by the City Council and whenever
possible, local charities and homeowners associations will be given first choice. The City
Manager has the authority to waive Council approval for surplus property donation
based on recommendation by the Administrative Services Director if the estimated total
value of the surplus property is less than $2500 and if he deems the donation is in the
best interest of the City.--Specific procedures for disposal of property are contained in
the City's Property Control Procedures.
Controlled Property procured with City funds and authorized for use off -site by
designated individuals must be returned to the City Manager or Administrative
Services Director in the event of retirement, termination or reassignment, or purchased
from the City at the current value of the equipment.
Adopted - January 24,1994
Corrected - February 26, 1996
Amended - August 12,1996
Amended -- April 23, 2002
2
49
• The property owner show evidence of all approved permits as
required by the Regional Water Quality Control Board and other
jurisdictional agencies;
• The discharge flow must not be continuous and be shown to be less
than five (5) gallons per day; and that
The permitted flow shall not create continuous standing water within
City street gutters, pose a hazard to safe motor vehicle or pedestrian
use, or create a nuisance such as odor or algae growth.
5. Construction Dewatering - Construction dewatering as permitted by the
Building Department may discharge pump flow into the City's street
drainage system provided that:
• The property owner show evidence of all approved permits as
required by the California Regional Water Quality Control Board and
other jurisdictional agencies; and
The permitted flow shall not create continuous standing water within
City street gutters, pose a hazard to safe motor vehicle or pedestrian
use, or create a nuisance such as odor or algae growth.
• An encroachment permit be executed in accordance with City Council
Policy L-6, including authorization for the City to revoke this permit at
any time for non - compliance.
Adopted -- April 23, 2002
49
ELECTRONIC COMMUNICATIONS
PURPOSE
F -17
The purpose of this policy is to provide direction for retention and deletion of electronic
communications.
POLICY
A. Electronic communications via the City's computerized Integrated Messaging
Systems (IMS), including, but not limited to, e-mail or voice -mail systems are an
important and effective tool that facilitates the conduct of the City's business
through efficient, expeditious and cost effective communications. Electronic
communications, by their nature, are not customarily preserved and retained by
the City or its officers or employees, but are transitory in nature similar to, and
often used as a substitute for, telephonic or person -to- person communications.
The City Council recognizes its legal obligations relating to the preservation
and /or public disclosure of public records pursuant to the requirements of
destruction of records laws and /or the PRA. However, the City's electronic
communication systems have a limited capacity and routinely purges, (deletes)
e -mail and voice -mail communications from the system. Each system, to
function as intended, anticipates or requires that employees regularly delete the
communications from the system. Accordingly, an electronic communication
shall not to be used by any City official or employee as the exclusive means to
memorialize information when it is necessary or intended that the informational
content of the communication be preserved for future City use or reference.
B. All electronic communications to, from, between or among any City officials or
employees by use of an electronic communication system to facilitate any
business of the City, where it is neither necessary nor intended that the
informational content of the communication be preserved for future City use or
reference, may be deleted from the City's computer system without preserving
the informational content of the communication or any portion thereof, unless (1)
a law expressly requires such communication to kept; or (2) preservation of the
communication is necessary or convenient to the discharge of the public officer's
or employee's duties and the communication was made or retained for the
purpose of preserving this informational content for future City use or reference.
C. If the City is required to maintain any electronic communication as a permanent
record, it must be printed out in hard copy form for permanent filing or an
electronic file should be copied, archived and stored separately from ordinary
entries or message logs, capable of being retrieved in readable or audible and
comprehensible form.
Adopted -- April 23, 2002
1
PRESERVATION OF SPECIAL TREES
WAN -9I0YA 4
G -1
TREES Balboa Library
Eucalyptus globulus
Balboa Library
Phoenix canariensis
West Jetty (near Historical Marker)
Phoenix canariensis
Dover Drive at Westcliff
Liquidambar styraciflua
400 block Poinsettia
Eucalyptus corynocalyx
Ocean Blvd. Corona del Mar
Phoneix canariensis
Westcliff & Dover (Groves)
Eucalyptus globulus
Main Street (between East Bay
Ficus nitida
Ave. and Balboa Blvd.)
DEDICATED
TREES No. Mariners Park (Marcie Schrouder)
Pinus radiata
Mariners Park (Frank Tallman)
Pinus radiata
No. City Hall grounds (Billy Covert)
Ficus benjamina
City Hall grounds (Walter Knott)
Pinus halepensis
City Hall grounds
(Calif. Bicentennial)
Pinus halepensis
Las Arenas Park (Ed Healy)
Melaleuca linarifolia
Mariners Park (Isy Pease)
Pinus halepensis
City Hall grounds
(U.S. Bicentennial Freedom Tree)
Harpephyllum caffrum
Buffalo Hills Park (Bahia
Community Earth Day Celebration)
Erythrina caffra
Peninsula Park
(Gray Lunde Memorial Tree)
Chamaerops humilis
Cliff Drive Park
Quercus agrifolia
(Gary Lovell)
Begonia Park
Prunus cerasifera
(Cheryl Bailey Ringwald)
Castaways Park
Quercus agrifolia
(Jan Vandersloot)
(Jean Watt)
Peninsula Park
Ravenea rivularis
(Don Perdue)
Grant Howald Park
Metrosideros excelsus
1 (Pete Munro)
2 (Mark Munro)
Attachment 1
51
G -1
Bob Henry Park
Ficus rubiginosa
(Bob Henry)
DEDICATED Cliff Drive Park
Quercus agrifolia
TREES (contd.) (Dr. Vandersloot)
Veterans Park
Lagenstroemia
(Rosemary Rae Hill Hansen)
indica faueri
Mariners Park
Stenocarpus
(N. Beach Sunrise Rotary Club)
sinuatus
(Christopher & Marisha Thomposn)
Pinus eldarica
(Meghan & Camielle Thompson)
Pinus eldarica
West Newport Park
Spathodea campanulata
(Brownie Girl Scout Troop 2072)
Buffalo Hills Park
Stenocarpus sinuatus
(N. Beach Sunrise Rotary Club)
Castaways Park
Ouercus agrifolia
(Nancy & Tack Skinner)
(Bob & Susan Caustin)
Bayside Park
I�rus calleryana
(Newport- Irvine Rotary Club)
Castaways Park
Quercus agrifolia
(Eva Victoria Najera)
Begonia Park
Bauhinia blakeana
(Dr. Leo V. Turgeon)
L Street Park
Cassis le to h lla
(Tim Van Ostenbridge)
Castaways Park
Platanus racemosa
(Tohn D. Woodruff)
Grant Howald Park
Cassis leptophylla
(lean & Coalson Morris)
Old School Park
Cassis leptophylla
(Tean & Coalson Morris)
Mariners Park
Bauhinia variegata
(Sierra Beth)
Cliff Drive Park
Cassis leptophylla
(Francis P. Hemenway)
Grant Howald Park
Hymenosporum flavum_
(Skipper Mark Howes)
Attachment 1
2
52
G -1
NEIGHBORHOOD
TREES Parkway in Shorecliffs
Erythrina caffra
Marguerite Avenue
Phoenix canariensis
Goldenrod Avenue
Washington robusta
Dover Drive (Mariners to Irvine)
Eucalyptus globulus
15th Street (Newport Heights)
Eucalyptus cladocalyx
Irvine Avenue Median
Eucalyptus globulus
Holiday between Irvine & Tustin
Eucalyptus globulus
Along Avon Avenue
Eucalyptus globulus
Via Lido Bridge
Eucalyptus globulus
Marine Avenue (Balboa Island)
Eucalyptus rudis
Seaview Avenue (Corona del Mar)
Pinus radiata
Poppy Avenue (Corona del Mar)
Eucalyptus rudis
Heliotrope Avenue (Corona del Mar)
Pinus radiata
Candlestick Lane, etc. (Baycrest)
Eucalyptus citriodora
Commodore
Eucalyptus citriodora
Starlight
Eucalyptus citriodora
Glenwood
Eucalyptus citriodora
Candlestick
Eucalyptus citriodora
Sandalwood
Eucalyptus citriodora
Adopted -• May 9,1966
Amended - November 9,1976
Amended - November 28,1988
Amended - October, 1993
Amended - July 14,1997
Amended - January 25,1999
Attachment 1
y J
PARK FEE POLICY
PURPOSE
I -1
The City of Newport Beach maintains an extensive park and open space system. The
acquisition and development of our park and open space properties is funded, in part,
through the payment of park fees paid by subdivi 1er-spersons or entities who subdivide
properties. The Subdivision Map Act requires park fees to be used only for the purpose
of developing new or rehabilitating existing neighborhood or community park or
recreational facilities to serve the subdivision that paid the fees. The City is required to
develop a schedule specifying how, when and where the park fees will be used. The
purpose of this Policy is to establish the criteria to be used in deciding which facilities
serve subdivision residents and schedule whereby park fees are properly and timely
committed to appropriate projects.
POLICY
A. Service Criteria.
The Recreation and Open Space Element of the General Plan states that
community parks and view parks serve the entire City. Community parks
are those with improvements such as community buildings, parking,
swimming, facilities for picnicking, active sports and other facilities that
serve a larger population. Neighborhood parks which include unique
recreational facilities, such as basketball courts, tennis courts, turf areas,
active sports fields, community buildings, unique play areas or view
parks are also considered City -wide resources used by all citizens.
Accordingly, park fees generated by any subdivision within the City may
be used to develop new or rehabilitate existing community parks, view
parks, and those neighborhood parks listed on Exhibit A.
The Recreation and Open Space Element divides the City into 11 services
areas consisting of relatively discrete residential communities. These
service areas were created for the purpose of determining whether
particular geographical areas were deficient in terms of park and
recreational facilities and to identify acquisitions or improvements which
would provide residents with greater recreational opportunities.
Accordingly, park fees generated by a subdivision within any services are
may be used to create new, or rehabilitate, existing park or recreational
facilities within that services area and as provided in the Recreation and
Open Space Element.
54
I -1
(continued)
Implementation Schedule.
Park fees shall be placed in the General Fund immediately upon receipt with a special
designation as Park Fees. These funds, after special designation, shall be used solely for
the acquisition or establishment of new, or the rehabilitation of existing, park, open
space and recreational facilities. The park fees shall also be placed on a schedule that
lists the location of the subdivision, the fees paid, the date on which the fees were paid
or the date on which building permits had been issued for 1/i of the lots created by the
subdivision (whichever occurs later), the service area within which the subdivision is
located, the neighborhood park, recreation and open space facilities eligible for park
fees generated by that subdivision, the date on which the park fees must be committed
to specific project of improvements. The park fees shall be used only for the park and
recreation facilities identified in the Recreation and Open Space Element and shall be
utilized in accordance with the policies and standards specified in the General Plan.
Designations for expenditures will be made as part of the annual budget adoption.
[Attachment - Exhibit A]
Adopted - June 27,1994
Amended -- April 23, 2002
�5
1_:0a001W.1
PARK DEDICATION POLICY
PARKS GUIDE
The following view parks serve as citywide resources by reason of their unusual beauty
and the view provided:
Bayview Park Jasmine View Park
Begonia Park Kings Road Park
Channel Place Park Lido Park
Cliff Drive Park Lookout Point
Corona del Mar State Beach Park Newport Island Park
Ensign View Park Peninsula Park
Galaxy View Park Rhine Wharf Park
Inspiration Point West Jetty View Park
Irvine Terrace Park Westcliff Park
The following Community and Neighborhood Parks serve as citywide resources by
reason of the unique recreational opportunities they offer:
Arroyo Park - Lighted multi- purpose field, basketball court,
picnic areas and playgound.
Bonita Canyon Sports Park - four youth baseball fields, one
multipurpose field, one soccer field, tennis courts, basketball
court and connecting trail to Arroyo Park
Bonita Creek Park - Community center, lighted softball and
multi- purpose field, and basketball court.
Buffalo Hills Park - Basketball court, baseball/ softball
diamond, volleyball court, multi- purpose fields.
Carroll Beek Community Center and Balboa Island Park -
Basketball court and community center.
041
Exhibit A
(continued)
Community Youth Center /Grant Howald Park - Basketball
court, tennis courts, community center, softball and multi-
purpose field.
Eastbluff Park - Baseball diamond, multi- purpose field, and
view of the Back Bay.
Harbor View Nature Park - Natural vegetation area.
Las Arenas Park - Lighted tennis court and basketball court.
Lincoln Athletic Center - Gymnasium, lighted
baseball/ softball diamond and multi- purpose fields.
Mariners Park - Multi- purpose room, baseball/ softball
facilities, racquetball courts, lighted tennis courts, multi-
purpose fields, and an ADA equipped play area.
The Oasis Center - Multi- purpose senior facility with
classrooms and large multi- purpose room.
Peninsula Park - Beach sited multi- purpose field, picnic and
barbecue facilities, baseball/ softball diamond and gazebo.
San Joaquin Hills Park - Tennis courts and lawn bowling
facility.
San Miguel Park - Ball diamond, athletic field, four
racquetball courts, basketball court and an ADA equipped
play area.
Theater Arts Center - Ninety seat community theater.
West Newport Park - Tennis courts, racquetball courts,
basketball court.
38th Street Park - Basketball courts.
5'7
I -5
OASIS SENIOR CENTER OPERATION AND RELATIONSHIPS
In today's era of limited resources, support groups have formed to render essential
assistance, both in time and money, to worthwhile public programs and facilities. In
the contest of a philosophy which encourages people to help themselves in their leisure
pursuits, the Community Services Department is committed to a cooperative effort to
provide senior programs and services at the Oasis Center. The Department welcomes
volunteer support and intends by this policy to identify the relationship, roles and
control between the City of Newport Beach and Friends of Oasis.
FACILITY USE AND SCHEDULING
A. The City, through the Community Services Department, is responsible for
determining priorities of use and overall scheduling of the Oasis Center.
B. Senior - citizen activities shall have priority of use, in accordance with Council
Policy I -25, Public Use of City Facilities.
C. The senior - citizen programs at Oasis Center are cooperative efforts of the
Community Services Department and the Friends of Oasis; as Department
programs -- and in consideration of the significant volunteer contribution by
the Friends of Oasis -- facility use fees are not appropriate.
D. Planning and coordination S of activities at the Oasis
Center will be done by the Senior Services staff with input from in
ceelgeratieR with the Friends of Oasis Board �.
E. The Department maintains a master calendar for the Oasis Center; use by
other Department programs and outside groups will be handled by
Department staff as specified by Council Policy I -25, Public Use of City
Facilities.
PROGRAMMING AND ADMINISTRATION
A. The Senior Services Manager is responsible for day -to -day operation of the
Oasis Center.
B. Within the context of cooperation, programming decisions will be made
jointly by the Senior Services Manager and the Friends of Oasis President.
C. The Senior Services Manager and Friends of Oasis President shall be ex-
officio members of each Friends of Oasis Committee.
D. The Senior Services Manager will be an ex- officio member of the Friends of
Oasis Executive Committee and the Board of Directors.
E. Any improvement or physical change of the Oasis Center must have advance
approval by the Community Services Department.
FINANCIAL
A. The City is responsible for financing the Oasis Center operation only to the
extent of the annual City Council approved budget.
B. Equipment, services and financial contributions provided by the Friends of
Oasis are welcome and are in keeping with the cooperative philosophy.
C. Friends of Oasis shall maintain accurate records of all finances. A copy of all
Friends of Oasis financial reports will be forwarded to the Community
Services Department.
D. Fund raising or activities that provide private monetary gain must comply
with Council Policy I-4, Commercial Uses In Public Parks.
E. A total of 10% of the rental fees collected from the public use of facilities at
Oasis Center shall be set aside annually for equipment replacement and /or
required refurbishments at Oasis Center.
INSURANCE
Friends of Oasis shall provide evidence of adequate insurance coverage as determined
by the City.
Adopted - January 21,1980
Amended - November 28,1988
Amended - January 24,1994
Amended - May 8, 2001
Amended — May 23, 2002
Formerly I -17
�`I
PUBLIC USE OF CITY FACILITIES
PURPOSE
I -25
City facilities, which include parks, playing fields, gymnasiums, community rooms and
swimming pools, are available to the public for civic, social, educational, athletic and
cultural activities. It is the intent of this Policy to provide use regulations and
application and scheduling procedures to accommodate all groups that wish to use City
facilities.
PROCEDURE
A. Applications to use the City facilities must be made on forms provided by the
Community Services Department. Applicants must provide all information as
may be required by the Department to assure compliance with the requirements
and regulations of this Policy.
B. Applicants will be required to pay a security deposit in an amount that will
promote use of the Community Services facilities in an orderly manner without
damage to the facilities. Security deposit will be refunded upon inspection of
facilities and confirmation that no property damage has occurred.
C. Applicants will be required to acknowledge that neither the City nor the
Community Services Department assumes any liability for injury or loss of
personal property. Prior to the use of the facility, the application must have
approval of the Community Services Director /City Librarian or designated
representative.
D. Approval or denial of an application will be provided within five working days
of receipt of a completed application.
E. Reservations for use of Community Services facilities may be made up to six
months in advance, but no later than five working days before the event. Any
organization using City facilities on an ongoing basis shall notify the Community
Services Department when there is a change of officers or of organizational
policy.
F. The City of Newport Beach is not liable for any and all accidental injury to any
and all persons or loss or damage to group or individual property. When it is
deemed to be in the best interest of the general public, the City of Newport Beach
01
will require the permittee to furnish a Certificate of Insurance naming the City of
Newport Beach as an additional insured. The amount of the insurance shall not
be less than $1,000,000 per occurrence of commercial general liability insurance.
G. A contract shall not be transferred, assigned or sublet. All contracts will be issued
for specific facilities and for specific hours, and the premises must be vacated as
scheduled.
H. The application must be completed and signed by one of the adults who will
attend and supervise the entire event or activities.
REGULATIONS AND RESTRICTIONS
All uses of Community Services facilities will be subject to the following regulations
and restrictions:
A. Alcoholic beverages are prohibited and shall not be permitted in or on any
municipal facilities operated by the Community Services Department, except
beer and wine may be served for special occasions at the OASIS Senior Center
multi- purpose room when done in compliance with State Alcohol Beverage
Control regulations and approved in writing by the Community Services
Director. Approval to serve beer and wine at the OASIS Senior Center shall not
be deemed to approve service of alcohol in violation of Section 25604 of the
Business and Professions Code. The Community Services Director will require
the permittee to pay City costs to provide additional security.
B. Smoking is prohibited in all City facilities including restrooms.
C. For all indoor facility rentals involving young people, 18 years and under, there
shall be at least one adult for every 20 minors, or increments thereof, in
attendance, who shall remain in the facility for the duration of the activity.
D. No group's activities shall interfere with the administration of the Community
Services Department.
E. Non - profit 501 (c) (3) groups may use the facility for fundraising activities and
charge entrance fees and collect donations provided that a detailed plan of the
event, including the expenses, marketing plan and procedure for collecting fees,
is submitted with the rental application. The group treasurer will be required to
submit a financial report following any such activity.
1,1
F. Facilities and equipment are to be left in the same condition as they were prior to
the rental. The permittee is responsible to pay for any damage to property or loss
of property. A fee equal to total replacement cost will be charged. It shall be the
responsibility of the permittee to see that unauthorized portions of the facility are
not used. Continued or repeated use of City facilities will be contingent upon
care of the facility, property and equipment, and observance of all approved
rules and regulations.
G. No gambling of any kind shall be conducted on, or in, City facilities, and the
permittee shall insure that no disorderly or illegal conduct shall be allowed in
any facility.
H. The use of public address equipment will be limited to that provided by the
facility, unless written approval has been secured by the Community Services
Department through a Special Event Permit.
I. Private groups wishing to collect fees, donations or admission charges will be
considered commercial users.
J. The capacity of City facilities shall not be exceeded.
K. Storage space will not be granted to any ongoing activity or uses.
L. Facilities are not available for reservations on the following holidays: Christmas
Eve Christmas Day, Easter, President's Day, Independence Day, Labor Day,
Memorial Day, New Years Eve, New Years Day, Thanksgiving and Veteran's
Day.
ML. All persons using the facilities shall observe and obey regulations of this policy,
the rules of the Community Services Department and all applicable City, State
and Federal laws, rules and regulations.
FEE CLASSIFICATIONS - PRIORITIES OF USE
Permission for use of City facilities shall be granted on a first come first served basis,
subject to the following priorities:
A. All official Community Services Department initiated and /or conducted
activities, including those of the Friends of OASIS at the OASIS Senior Center.
B. All official City of Newport Beach activities.
&a.
C. All official City co- sponsored groups and /or activities such as community
groups and activities which are non - profit, self governing, privately organized
and of an educational nature which may be brought under the sponsorship of the
Community Services Department.
D. Official public agency sponsored programs and activities not included in A, B,
and C above.
E. Recreational, social or civic activities of groups which are resident promoted and
sponsored by local non - profit* organizations which are open to the public and
have 50% or more of memberships consisting of Newport Beach residents.
F. Recreational or social activities of private Newport Beach residents which are not
open to the public.
G. Recreational, social or civic activities and /or groups which are non - resident
promoted and sponsored by non - profit organizations which are open to the
public, but not qualifying under D above.
H. Schools, colleges, hospitals and other similar civic groups not qualifying under
the definition of non - profit.
I. Others.
FEES, DEPOSITS AND CANCELLATION PROCEDURES
Fees may be charged for the use of City facilities and shall be established and
periodically adjusted by the Parks, Beaches and Recreation Commission and approved
by the City Council. Fees are imposed to cover overhead, processing, deposits,
maintenance and replacement costs for application and scheduling and maintenance of
the facilities.
A. A security deposit will be required for all room rentals. All or a portion of the
deposit may be retained by the Community Services Department after inspection
of the facility by the Community Services Director or a designated representative
and a determination that the facility has not been left clean and /or in good
repair.
0
* Non -profit status is defined as an organization that is so defined by the
Internal Revenue Service, § 501(c) (3) and has a State of California Tax
Identification Number.
B. A separate additional cleaning fee will be charged for rental of the OASIS Senior
Center multi- purpose room.
C. No fee or deposit shall be charged for use of City facilities by the City of
Newport Beach, the Friends of OASIS when utilizing the OASIS Senior Center, or
events co- sponsored by the City of Newport Beach or its departments, with the
exception of set -up charges and fees for lighting usage.
D. Cancellations for any facility other than the OASIS Senior Center multi - purpose
room may occur seventy-two hours prior to the scheduled use of facilities
without forfeiting fees collected by the City, with exception of a City service
refund processing fee. Cancellations with less than seventy-two hours notice will
be charged a cancellation fee established by resolution of the City Council. In the
event of cancellation by the City, notice will be given as far in advance of the
scheduled use as possible.
E. Cancellation of rentals by users for the OASIS Senior Center multi- purpose room
that occur less than thirty days prior to the scheduled use of the facility will be
charged 25% of the rental fee. Cancellations with less than seventy-two hours
notice will be charged the entire rental fee.
Adopted - May 26,1998
Amended - May 8, 2001
Amended -- April 23, 2002
fey
DETERMINATION OF CONVENIENCE AND NECESSITY FOR
ALCOHOLIC BEVERAGE OUTLETS
PURPOSE
K -7
This Policy grants to the Police Department the authority to make determinations of
convenience and necessity for the sale of alcoholic beverages, and provides criteria for
situations when the public convenience and necessity will not be served by granting
additional retail licenses for the sale of alcoholic beverages.
F-UNMORTSINNE, ED
The Business and Professions Code of the State of California, Section 23958.4 permits
the City of Newport Beach under certain conditions to make a determination regarding
the public convenience or necessity of granting or transferring retail licenses for the sale
of alcoholic beverages.
Pursuant to this law, such determination by the City will be required by the State
Department of Alcoholic Beverage Control before approving any new or upgraded
license or premises -to- premises transfer of an existing license when the establishment is
located in either one of the following:
A. A census tract wherein the ratio of liquor licenses to population exceeds the
average ratio of Orange County.
B. When an establishment is located in a Newport Beach Police reporting district
where crime exceeds the average of all reporting districts by 20% or more. If an
applicant establishment for an off -sale beer and wine license is located within 100
feet of an adjacent Newport Beach reporting district, the crime rate of the
adjacent reporting district may be considered when making this determination.
DEFINITIONS
Bars and Cocktail Lounges. Establishments with the principal purpose to sell or serve
alcoholic beverages for consumption on the premises or any establishment having any
of the following characteristics:
A. Is licensed as a "public premises" by the Department of Alcoholic Beverage
Control, or
B. Provides an area for serving alcoholic beverages that is operated during hours
not corresponding to regular meal service hours. Food products sold or served
�S
incidentally to the sale or service of alcoholic beverages shall not be deemed as
constituting regular meal service.
Cabarets and Nightclubs. Establishments with the principal purpose of providing live
entertainment and /or dancing occupying more than 20% of the net public area in
conjunction with the serving of food and/ or beverages.
Alcoholic Beverage Outlet, On -Sale. "On -sale alcoholic beverage outlet" means any
establishment wherein alcoholic beverages are sold, served, or given away for
consumption on the premises and which is applying for or has obtained an ABC license
type 40, 41, 42, 47, 48, 51, 61, 63 and /or 75.
POLICY
It is the policy of the City Council that the public convenience and necessity will not be
served by the approval of any new or upgraded license or the premises -to- premises
transfer of any license for bars and cocktail lounges or cabarets and nightclubs in a
location that meets the following criteria:
A. The location is within an area where the number of crimes is at least 75% higher
than the average of all reporting districts in the City; and
B. The location is within 200 feet of property in residential use.
The provisions of the Policy shall not prevent the Chief of Police from making a
determination of public convenience and necessity in the case of a premises -to- premises
transfer of any license from (1) a location within an area where the number of crimes is
at least 75% higher than the average of all reporting districts to an area where the
number of crimes is less than 75% higher than the average of all reporting districts; or
(2) a location within 200 feet of a property in residential use to a location more than 200
feet from a property in residential use. The provisions of this policy shall not apply to
transfers that are the result or the death or incapacity of the licensee, any order of a
court of competent jurisdiction, or the operation of law.
The City Council designates the Chief of Police or his /her designee to make such
determination in all other cases.
The Chief of Police shall notify the Department of Alcoholic Beverage and Control and
applicant of his /her determination within fefty r_. (45) as °^ _` etiee of an
the time period specified by the Business and Professions
Code. Any applicant not satisfied with the determination of the Chief of Police may
appeal to the City Council by filing a written appeal with the City Clerk within fourteen
(14) days. The City Council shall render its decision within thirty (30) days after the
filing of an appeal.
MA
The Planning Department shall assist the Police Department in maintaining the census
tract and reporting district statistics required to make such determination. Further, the
Planning and Building Departments shall, prior to issuing any Planning or Building
permit for the construction, remodeling or operation of a bar, cocktail lounge, cabaret,
nightclub or retail business engaging in the sale of alcoholic beverages, first obtain a
determination of convenience and necessity from the Police Department, if it is
required.
The Administrative Services Department shall, prior to issuing any Business License for
the operation of a bar, theater/ nightclub or retail business engaging in the sale of
alcoholic beverages, ensure that the applicant has obtained a determination of
convenience and necessity from the Police Department consistent with the provisions of
this policy and State law.
The City Clerk shall insure that this Policy, as amended, is transmitted to the
appropriate official in the Department of Alcoholic Beverage Control as the notification
of delegation of authority to make a determination of convenience and necessity
pursuant to the California Business and Professions code.
Adopted -- May 5,1995
Amended -- February 24,1997
Amended -- April 23, 2002
N
C-7
IM11
TEMPORARY SIGNAGE FOR CITY- SPONSORED,
CO- SPONSORED OR FOR NON - PROFIT AND CHARITABLE ORGANIZATIONS
AND EVENTS
PURPOSE -- The purpose of this policy is to establish definitive standards and to set
forth City policy concerning the administration, control and placement of temporary
off -site and on -site signs, which recognize City- sponsored, co- sponsored or charitable
organizations and events at various locations or facilities within our community. It is
not the desire of the City Council to promote a facility, event, or activity that is not
located within the community.
The Zoning Code allows off -site signs in a commercial or industrial district with first
securing approval through the Modification Permit process. It is the desire of the City
Council, however, to obviate that process by recognizing and allowing the use of
temporary off -site and temporary on -site banners for appropriate organizations and
their activities.
In cases involving City- sponsored, co-sponsored or charitable organizations there is a
need to allow for the placement of temporary off -site or on -site banners. Therefore, if a
nexus exists between the location of the event or facility and the location of the off -site
or on -site sign, then it would be the City Council's desire to allow such off -site or on -site
signage with the first securing and approval of a temporary sign permit.
POLICY — It is the policy of the City Council to allow temporary off -site or on -site
signage on public property for City - sponsored, co- sponsored or charitable
organizations and events at various locations or facilities within the community subject
to the following standards:
• The size of the sign shall not exceed 100 square feet in area.
• The temporary sign shall be allowed to remain in place for a period not to exceed
90 days.
• One temporary sign per site shall be allowed.
• The event being promoted shall be for an event within the City of Newport
Beach.
Signs shall not be placed within the City by out -of -area promoters or by any other
organization, charitable or other otherwise, without first having obtained a Temporary
Sign Permit.
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K -11
Additionally, no person shall place, maintain, or display upon or in view of any
highway or street any unofficial sign, signal or device or any sign, signal or device
which purports to be or is an imitation of, or resembles, an official traffic sign or signal
or which attempts to direct the movement of traffic or which hides from view any
official traffic sign or signal. Also, no sign shall be installed that blocks or obstructs
from view any traffic safety/ control signs.
Note: Any temporary sign for a charitable or non - profit organization located on
Newport -Mesa Unified School District property shall be exempt from these restrictions.
Adopted —April 23, 2002
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L -18
PROTECTION OF WATER QUALITY:
DRAINAGE - PUBLIC RIGHTS -OF -WAY
PURPOSE: This policy, along with Policy L -22 (Water Quality Management
Plans), is intended to minimize dry- weather runoff and runoff from small rain
events (collectively referred to as "runoff" in this Policy) in an effort to improve
water quality of Newport Bay, water quality- limited receiving waters (like Buck
Gully) and the near -shore ocean environment. The motivation for this Policy, in
addition to the community's interest in clean water, is in part the adoption of
new regulations upon the City of Newport Beach by the California Regional
Water Quality Control Board, Santa Ana Region ( "Regional Board ") contained in
the Regional Board's Order # R8- 2002 -0010, NPDES No CAS618030.
FINDING: Runoff from irrigation overspray, overwatering, roof drains, patio
and deck drains, and washdowns of hardscape areas contribute flow to the street
drainage systems and natural watercourses which then convey pollutants such
as pesticides, fertilizers, pet waste, oil, engine coolant, gasoline, hydrocarbons,
brake dust, tire residue, and other pollutants into surface waters.
POLICY: Whenever possible, runoff should be retained on private property to
prevent the transport of these pollutants in the manner described below.
Reduction, retention or diversion of runoff can benefit property owners through
water conservation and reuse of water that would otherwise drain to the City's
street drainage system and our harbors, bays, and ocean.
Curb Drains - Curb drains have been utilized as a means of draining
sump areas and roof drains within a property by conveying flows via
subsurface piping systems to the curb gutter. Curb drains typically
convey runoff directly to the City's street drainage system without the
benefit of absorption by permeable surfaces and natural treatments such
as landscaped areas and planters. Whenever possible, runoff shall be
diverted through planted areas or sumps that recharge the groundwater
dry wells. The use of permeable surfaces affords the opportunity to use
the natural filtration properties of the earth to prevent the transport of
harmful materials directly to our water resources. The use of curb drains
to drain private residential and commercial property shall only be
permitted as follows:
A. New Development/ Redevelopment -see Policy L-23.
B. Reconstruction or Grading of Existing Properties - The
grading/ drainage for additions and /or modifications to existing
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L -18
properties including the construction of patios, decks, roof drains,
downspouts, gutters or substantial grading remodel (grading
affecting over 50% of the existing yard/ setback areas that alter
existing drainage patterns) shall be designed to retain and /or direct
urban runoff into planted/ permeable areas. Curb drains and
subsurface piping shall be permitted for secondary or overflow of
hardscape or planted areas to prevent dwellings from flooding due
to significant (defined for this Policy as more than 3/4" of rain in
any 24 -hour period) storm events only. Curb drains may be
permitted to correct existing drainage problems on a case -by -case
basis after all reasonable alternatives are explored. Curb drains,
when approved, shall have a French drain system of perforated
pipe and gravel unless site - specific circumstances endanger public
safety so as to prohibit its use as determined by the Public Works
Director.
2. Parkway _permeability - The City's parkway areas represent the last
opportunity to retain and allow urban runoff to percolate into the earth
before entering the City's street drainage system. Non - sidewalk areas
within the City's parkway areas (defined as the area between the curb and
the street right of way /property line) shall utilize permeable surfaces that
permit the percolation of urban runoff. Non - permeable parkway
surfacing within the area between the street curb and sidewalk for
decorative (non - pedestrian) purposes, installed at grade, not to exceed
25% of the parkway area (between back of curb and sidewalk) less
driveways and carriage walks when installed in conjunction with
landscaping, irrigation, and street trees is permitted in accordance with
Council Policy L -6. Decorative materials include colored, stamped, and
patterned concrete; brick, pavers, and stone masonry, pavers, flat stone,
and brick set in sand; and other materials as approved by the Public
Works Department.
3. Down Slope Drains - Wherever practical, private property drainage shall
be diverted away from bluffs or steep slopes (2:1 slopes or greater). The
design shall include:
A. Hydrological and hydraulic calculations in conformance with the
latest edition of the Orange County Drainage Design Manual;
B. Subsurface piping system utilizing approved piping materials
which incorporate sealed joints;
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L -18
C. The drainage system shall have a French drain system of perforated
pipe and gravel, dry well, or similar device to percolate low flow
urban runoff unless site - specific circumstances endanger public
safety or improvements so as to prohibit its use as determined by
the Public Works Director.
D. The outlet of any slope drain shall be directly connected to the
City's subsurface drainage system when the property abuts any
public right of way containing subsurface drainage facilities. If no
City subsurface drainage facilities are present, the slope drainage
shall discharge into surface street drainage improvements and
incorporate appropriate energy dissipation.
E. Any permitted flow shall not create continuous standing water
within City street gutters, pose a hazard to safe motor vehicle or
pedestrian use, or create a nuisance such as odor or algae growth.
The property owner will accept responsibility to maintain the slope
drainage facility and will execute a non - standard permit agreement
with the City. The City reserves the right to revoke this agreement
at any time for non - compliance.
4. Sump Pump discharges into the public right of way - Permanent sump
pump discharges shall be permitted as follows:
A. Permitted sump pump discharges shall be piped directly to the
City' storm drain system whenever that proposed discharge occurs
within 50' of the City's storm drain. Connections to the city's storm
drain shall be in accordance with City standards and executed
under a valid encroachment permit from the Public Works
Department.
B. The permittee and the City have executed a non - standard permit
agreement which authorizes the City to revoke the permit at any
time for non - compliance.
C. Discharges from permanently installed sump pumps of basement
garage spaces (areas with motor vehicle storage) shall not be
permitted within the public right of way.
D. Storage areas and living areas below natural grade as permitted by
the Building Department may discharge sump pump flow into the
City's street drainage system provided that:
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L -18
• The property owner show evidence of all approved permits as
required by the Regional Water Quality Control Board and other
jurisdictional agencies;
• The discharge flow must not be continuous and be shown to be less
than five (5) gallons per day; and that
The permitted flow shall not create continuous standing water within
City street gutters, pose a hazard to safe motor vehicle or pedestrian
use, or create a nuisance such as odor or algae growth.
5. Construction Dewatering - Construction dewatering as permitted by the
Building Department may discharge pump flow into the City's street
drainage system provided that:
• The property owner show evidence of all approved permits as
required by the California Regional Water Quality Control Board and
other jurisdictional agencies; and
• The permitted flow shall not create continuous standing water within
City street gutters, pose a hazard to safe motor vehicle or pedestrian
use, or create a nuisance such as odor or algae growth.
• An encroachment permit be executed in accordance with City Council
Policy L -6, including authorization for the City to revoke this permit at
any time for non - compliance.
Adopted -- April 23, 2002
SIDEWALK CAFE STANDARDS AND PROCEDURES
PURPOSE
L -21
These standards and procedures are adopted pursuant to Chapter 13.18 of the
Municipal Code in order to encourage appropriate outdoor activities in the public right -
of -way, to ensure that the space used for outdoor dining in the public sidewalk will
serve a public purpose, to ease the process of obtaining permission to operate an
outdoor dining facility, and to ensure adequate space for pedestrians on the sidewalk
adjacent to sidewalk cafes.
DEFINITIONS
Sidewalk Cafe. An outdoor dining area on a public sidewalk where patrons may
consume food and /or beverages provided by an abutting food service establishment.
Such establishments may either provide table service in the outdoor dining areas or sell
take -out items to be consumed in the outdoor dining area.
These regulations do not apply to outdoor dining on private property.
GENERAL PROVISIONS
A. Permit required. Outdoor dining on a public sidewalk may occur only pursuant
to a Sidewalk Cafe License Encroachment Permit (hereinafter "Encroachment
Permit ").
B. Prohibited locations. Outside dining will not be permitted on sidewalks
designated by City Council resolution as shared bicycle and pedestrian facilities
(see Attachment B).
C. Permit transfer. An Encroachment Permit may be transferred to a subsequent
operator of the same establishment subject to approval by the Public Works
Director and payment of an Encroachment Permit transfer fee established by the
City Council. Prior to approval of the transfer the Public Works Director may
modify the terms of the permit as deemed appropriate to protect public health,
safety and welfare.
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L -21
D. Zoning requirements. Outdoor dining on a public sidewalk shall be subject to
the requirements and limitations set forth in Section 20.82.050 (Accessory
Outdoor Dining) of the Municipal Code. An Encroachment Permit may be
processed concurrently with an Accessory Outdoor Dining Permit.
E. Conditions of approval. The Public Works Director shall have the authority to
apply conditions to the approval of Encroachment Permits as appropriate to
ensure compliance with the provisions of this policy. Standard conditions of
approval are provided as Attachment A to this Council Policy. In addition to
these standard conditions, special conditions may be applied as deemed
appropriate by the Public Works Director.
F. Authority of the Public Works Director; Appeal. The location and configuration
of any sidewalk cafe shall be subject to approval by the Public Works Director,
who shall consider public safety issues unique to the pedestrian and vehicular
needs of the specific location when reviewing Encroachment Permit applications.
Notwithstanding any other provisions of this policy, the Public Works Director
shall have the authority to deny any Encroachment Permit application or revoke
any existing permit if it is determined to be detrimental to public health, safety or
general welfare. The decision of the Public Works Director may be appealed to
the City Manager by the applicant. The decision of the City Manager shall be
final.
G. Indemnification. The Permittee shall defend, indemnify and hold the City and
its employees harmless from and against any loss or damage arising from the use
or existence of the improvements or encroachment authorized under an
Encroachment Permit.
H. Insurance. The Permittee shall obtain and maintain in force comprehensive
general liability, broad form property damage and blanket contractual liability
insurance in a combined single limit amount, per claim and aggregate, of at least
one million dollars ($1,000,000.00) covering the Permittee's operations on the
sidewalk. Such insurance shall name, on a Special Endorsement form, the City,
its elected and appointed boards, officers, agents and employees as additional
insureds. A Certificate of Insurance shall contain provisions that prohibit
cancellations, modifications, or lapse without thirty (30) days prior written notice
to the City.
L -21
I. Revocation. The Public Works Director may revoke this permit at any time if it is
determined that continued operation of the sidewalk cafe is detrimental to the
public interest or the Permittee is in violation of conditions to the permit.
J. Abatement. In the event that the Permittee fails to abide by the terms and
conditions of this permit, the Public Works Director may summarily abate any
prohibited improvements and the Permittee shall pay all costs incurred b1 the
City in such abatement.
K. Inspection. The Public Works Department may inspect improvements within the
public right -of -way at any time without notice to the Permittee.
L. Indemnification. The Permittee shall defend, indemnify and hold the City and
its employees harmless from and against any loss or damage arising from the use
or existence of the improvements or encroachment authorized under this permit.
M. Insurance. Permittee shall obtain and maintain in force comprehensive general
liability, broad form property damage and blanket contractual liability insurance
in a combined single limit amount, per claim and aggregate, of at least one
million dollars ($1,000,000) covering the applicant's operations on the sidewalk.
Such insurance shall name, on a Special Endorsement form, the City, its elected
and appointed boards, officers, agents and employees as additional insureds. A
Certificate of Insurance shall contain provisions that prohibit cancellation,
modifications, or lapse without thirty (30) days prior written notice to the City-
N. Permit limitations. This permit is issued in conformance with Newport Beach
Municipal Code Chapter 13.18 and Council policy L -21 relating to outdoor
dining on public sidewalks. However, issuance of this permit does not imply
that all governmental agency requirements for starting a new restaurant or
expanding an existing one have been satisfied. Business owners are responsible
for securing and complying with all required licenses and permits from other
agencies including the state Alcoholic Beverage Control Board, the County
Health Department, and the City of Newport Beach. Sale of alcoholic beverages
in outdoor dining areas shall comply with Section 10.04.010 of the Newport
Beach Municipal Code and Council Policy K -7 (Determination of Convenience
and Necessity of Alcoholic Beverage Outlets).
O. No alterations. The floor of the outdoor dining area shall be maintained at the
same level as the sidewalk and no alterations to the sidewalk or coverings on the
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L -21
sidewalk (e.g., borings for recessed sleeves) shall be installed unless expressly
approved by the Public Works Director.
P. Disabled access. The outdoor dining area shall be accessible to the disabled, and
buildings adjacent to these dining areas shall maintain building egress as defined
by the Uniform Building Code and State of California Title 24 Disabled Access
Standards.
with the terms and conditi
assign the responsibility. The Permittee shall ensure that sidewalk caf@ patrons
do not disturb persons on the adjacent right -of -way by loud, boisterous, and
unreasonable noise, offensive words or disruptive behavior.
R. Maintenance. Restaurant management shall keep the outdoor dining area clear
of litter, food scraps, and soiled dishes and utensils as all times. Trash
receptacles shall be provided in outdoor dining areas used for consuming take-
out items unless public trash receptacles located nearby are determined to be
adequate by the Public Works Director. At the end of each business day,
establishments are required to clean (sweep and wash) the entire sidewalk in and
around the outdoor dining area and remove debris to a closed receptacle. No
debris shall be swept, washed, or blown into the sidewalk, gutter or street, If
disposable materials are used, the establishment shall comply with all applicable
City recycling programs. Awnings and umbrellas shall be washed whenever
they are dirty and, in any event, no less than two times each year. Private trash
receptacles shall be emptied daily,
S. Furniture removal. When the establishment stops serving for the day and
patrons already seated in it leave, further seating in the outdoor dining area shall
be prohibited and the outdoor dining furniture shall be removed from the right -
of -way unless otherwise approved in the Encroachment Permit.
T. Plans and permits. All City - approved plans and permits for the outdoor dining
area shall be kept on the premises for inspection at all times when the
establishment is open for business.
U. Smoking. Restaurant management may permit smoking in the outdoor dining
area consistent with all applicable statues and regulations. Management may
also prohibit smoking in the outdoor dining areas.
reas.
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V Permit transfers This permit may be transferred to a subsequent operator
subject to approval by the Public Works Director and payment of a transfer fee as
established by the City Council. Prior to approval of a transfer the Public Works
Director may odify the terms of the permit as deemed appropriate to protect
public health, safety and welfare.
W Termination Upon termination of the Encroachment Permit, the Permittee shall
immediately remove the barriers around the outdoor dining area, return the
sidewalk to its original condition and remove all personal property, furnishings,
and equipment from the sidewalk. Any12ersonal property remaining on n the
premises shall be removed pursuant to the laws of the State of California and the
9!�L
X Locations where sidewalk cafes are prohibited. Sidewalk Cafes shall be
Campus Drive - south side
Irvine Avenue - east side
Jamboree road - west side
Mac Arthur Boulevard - east side
Ocean Front
Riverside Avenue - North side
San Toaquin Hills Road - south side
San Miguel Drive - west side
Von Karman Ave. to Jamboree Rd.
Orchard Ave. to Bristol St.
Eastbluff Dr. North to Campus Dr.
Jamboree Rd. to Campus Dr.
F St. to McFadden Place & westerly line of
Ocean Front parking lot to 36th St.
Cliff Dr. to 150 feet north of Avon Ave.
MacArthur Blvd. to Marguerite Ave.
Port Sutton Dr. to San Toaquin Hills Rd.
San Miguel Drive - both sides San Toaquin Hills Rd. to Avocado Ave.
APPLICATION PROCEDURE
A. An Encroachment Permit shall be required for all encroaching furniture and
improvements. The application shall be filed with the Public Works Department
on a form provided by the Public Works Department. The application shall be
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L -21
signed by the owner of the property, or his authorized agent. Authorized agents
shall submit written authorization. The application shall be accompanied by a
site plan, drawn to scale and fully dimensioned, which accurately depicts the
location, height, nature and extent of all proposed improvements and objects
within the encroachment zone. All fixed features such as tree wells, sign posts,
parking meters, fire hydrants, news racks, etc. within twenty feet (20') of the
encroachment zone shall be depicted on the site plan.
B. Prior to issuance of the Encroachment Permit the applicant shall provide both the
Certificate of Insurance and the completed standard Special Endorsement in a
form meeting the approval of the Public Works Director and the City Attorney.
TERM
Valid encroachment permits shall remain in effect until modified or revoked.
SIDEWALK CAFE DEVELOPMENT STANDARDS
A. Horizontal Clearance. A clear, continuous pedestrian path not less than six feet
(6') in width shall be required for pedestrian circulation outside of the outdoor
dining area, provided that the Public Works Director may require more than six
feet (6') if necessary to protect the public safety. Areas with heavy pedestrian
traffic may be required to maintain a minimum of eight feet (8') clear width on
the sidewalk. As used herein, pedestrian path means a continuous obstruction -
free sidewalk area, paved to City standards, between the outside boundary of the
dining area and any obstruction, including but not limited to parking meters,
street trees, landscaping, street lights, bus benches, public art, and curb lines.
These requirements may be modified at the discretion of the Public Works
Director in locations where unusual circumstances exist and where public safety
would not be jeopardized.
B. Allowable uses. An outdoor dining area may incorporate street trees or street
furniture, provided that the required pedestrian path is maintained outside of
the outdoor dining area.
C. Setbacks from corners, streets and alleys. When an outdoor dining area is
located at a street corner, a ten -foot (10') setback from the corner of the building
shall be maintained along both frontages. When an outdoor dining area is
located adjacent to a driveway or an alley, a five -foot (5') setback shall be
6
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maintained from the driveway or alley. These requirements may be modified at
the discretion of the Public Works Director in locations where unusual
circumstances exist and where public safety would not be jeopardized (e.g., the
sidewalk adjacent to the proposed outdoor dining area is wider than usual or the
perimeter of the building has an unusual configuration).
D. Extension to adjacent properties. Subject to approval of the Public Works
Director and the limitations of NBMC Sec. 20.52.050, an outdoor dining area may
extend onto the sidewalk in front of an adjacent business with the written
consent of both the adjacent business owner and property owner.
DESIGN STANDARDS
A. Barriers.
No barrier shall be required if the applicant proposes to limit the outdoor dining
area to one row of table and chairs abutting the wall of the establishment and if
no alcohol will be served.
Establishments that serve alcoholic beverages in the outdoor dining area shall
provide a physical barrier that meets the requirements of this policy and of the
Alcoholic Beverage Control Board.
Barriers should compliment the building facade as well as any street furniture
and be somewhat transparent (such as wrought iron) and shall be able to
withstand inclement weather. Barriers must be 70% transparent and shoe
drawings showing the design must be submitted to the Public Works
Department for approval upon request.
Barriers shall conform to the Public Works Department installation standards
and be removable. Barriers and furniture shall be removed at the end of each
business day unless otherwise approved by the Public Works Department.
Barriers shall be designed to be sectional in nature and easily
removed by no more than two people. Barriers may be anchored through the use
of recessed sleeves and posts, by wheels that can be locked into place, or
weighted bases, however, when they are removed the resulting surface must be
flush with the sidewalk.
The height of any barrier shall not exceed three feet six inches (3'6"
7
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B. Awnings and Umbrellas. The use of awnings over the outdoor dining area and
removable table umbrellas may be permitted, provided they do not interfere
with street trees. No portion of an awning shall be less than eight feet (8') above
the sidewalk and no portion of an umbrella shall be less than seven feet (7)
above the sidewalk. Awnings may extend up to five feet (5') from the building
front or cover up to fifty percent (50 %) of the outdoor dining area, whichever is
less. Awnings shall have no support posts located within the public right -of-
way. A building permit must be obtained prior to installation of an awning.
Heaters electrical lighting and /or planting shall not be attached to the awning
structure.
C. Lighting. Outdoor lighting fixtures should compliment the style of the building.
Lighting fixtures shall not be glaring to motorists or pedestrians on the adjacent
right -of -way, and shall illuminate only the outdoor dining area. Outdoor
lighting may be installed on the facade of the building. Electrical fixtures shall
not be permitted in the public right -of -way. Lighting shall be installed by a
licensed electrician under an electrical permit from the Building Department.
Battery operated lamps or candles will be permitted.
D. Design. The design, material, and colors used for chairs, tables, umbrellas,
awnings and other fixtures should compliment the architectural style and colors
of the building facade and street furniture.
E. Si s. Notwithstanding any other provision in the Municipal Code, signs and
logos shall be permitted on umbrellas in outdoor dining areas.
F. Heaters. Portable propane heaters shall be allowed within the outdoor dining
area.
G. Landscaping. Any landscaped pots or planters, if desired, shall be placed within
the permitted barrier. Such planters shall be portable and not line the barrier in a
continuous fashion. The height of planter and plantings shall not exceed 42-
inches. Barriers and awnings may not be 121anting with vines. All planters and
Rots must be placed on the interior of the barrier.
Plants shall be properly maintained and stressed or dying plants shall be
promptly replaced. Because plant fertilizers contain materials that can stain the
pavement water drainage from any 121ants onto the adjacent sidewalk shall not
be allowed. Potted plants shall have saucers or other suitable systems to retain
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seepage and be elevated to allow for air flow of at least on inch (1 ") between
saucers and sidewalk.
FEES
A. Anylication fee. An application fee established by resolution of the City Council
shall be paid at the time an Encroachment Permit application is submitted to the
Public Works Department.
B. Transfer fee. A transfer fee established by resolution of the City Council shall be
paid at the time an Encroachment Permit transfer application is submitted to the
Public Works Department.
C. Annual use fee. An annual use fee established by resolution of the City Council
shall be paid upon annual renewal of an Encroachment Permit. No use fee shall
be charged during the first year of operation.
VIOLATION /REMEDY
In the event that a Permittee fails to abide by the provisions of this policy or the terms
and conditions of an encroachment permit, the Public Works Director may summarily
abate any encroachment or improvement that is in violation of this policy. The
Permittee or property owner shall pay all costs incurred by the City in abating the
encroachment or improvement. The Permittee or property owner may appeal the
decision of the Public Works Director to the City Manager. The determination of the
City Manager with respect to abatement shall be final.
Adopted - March 11, 1996
Corrected - May 25,1996
Amended - March 22,1999
Amended -- April 23,200
Note: This policy was adopted as L-19 on 3- 11 -96, however this number was already
assigned to Leased Street Lights (approved 2- 26 -96).
9
2a
L -22
PROTECTION OF WATER QUALITY:
WATER QUALITY MANAGEMENT PLANS
FOR NEW DEVELOPMENT AND REDEVELOPMENT
PURPOSE: This policy, along with Policy L -18, is intended to minimize dry -
weather runoff and runoff from small rain events (collectively referred to as
"runoff" in this Policy) in an effort to improve water quality of Newport Bay,
water quality- limited receiving waters (like Buck Gully) and the near -shore
ocean environment. The motivation for this Policy, in addition to the
community's interest in clean water, is in part the adoption of new regulations
upon the City of Newport Beach by the California Regional Water Quality
Control Board, Santa Ana Region ( "Regional Board ") contained in the Regional
Board's Order # R8- 2002 -0010, NPDES No CAS618030.
FINDING: Runoff from irrigation overspray, overwatering, roof drains, patio
and deck drains, and washdowns of hardscape areas contribute flow to the street
drainage systems and natural watercourses which then convey pollutants such
as pesticides, fertilizers, pet waste, oil, engine coolant, gasoline, hydrocarbons,
brake dust, tire residue, and other pollutants into surface waters.
POLICY: New development or redevelopment presents the City and the public
with the opportunity to reduce the impacts of runoff that would otherwise drain
to the City's street drainage system and our harbors, bays, and ocean. At the
time of submittal of an application for a new development or redevelopment
project, an applicant shall submit a Water Quality Management Plan (WQMP) to
the City. The WQMP's purpose is to minimize to the maximum extent
practicable dry weather runoff and runoff from small storms (less than 3/4" of
rain falling over a 24 -hour period) during construction and post - construction
from the property. The following are components of any WQMP:
Design Elements -- All Development Ty2es. Each applicant's WQMP shall
attempt to infiltrate or treat projected runoff for the new development by
an amount equal to or greater than the volume of runoff produced from a
storm event through incorporation of design elements that address one or
more of the goals set forth below. The design elements utilized by an
applicant may, but are not required to, include those provided on the list
below so long as the required projected runoff infiltration or treatment is
achieved:
A. Maximize permeable areas to allow more percolation of runoff into the
ground through such means as biofilters, green strips, landscaped
swales, planters, and other retention/ percolation devices as
u.:
L-22
approved. The use of permeable materials in lieu of or to replace
hardscapes will increase the amount of runoff seepage into the ground.
B. Maximize the amount of runoff directed to permeable areas and /or
maximize stormwater storage for reuse or infiltration. For the
purposes of this Policy, pools, spas, and water features shall not be
considered permeable surfaces.
Acceptable and encouraged design elements include:
(i) Orienting roof runoff towards permeable surfaces, drywells,
French drains, or other structural BMPs rather than directly to
driveways or non - permeable surfaces so that runoff will
penetrate into the ground instead of flowing off -site.
(ii) Grading the site to divert runoff to permeable areas.
(iii) Using cisterns, retention structures or green rooftops to store
precipitation or runoff for reuse.
(iv) Removing or designing curbs, berms or the like so as to avoid
isolation of permeable or landscaped areas.
(v) Remove pollutants through installation of treatment control
BMPs such as filters, clarifiers, and other devices as approved.
2. Design Elements -- Commercial, Retail, and Multi- Family Residential.
These design elements shall be required for all new development except
single- family residences:
(A) Urban runoff shall not be allowed to come into contact with the
following areas:
• Loading and unloading dock areas;
• Repair and maintenance bays;
• Vehicle and equipment wash areas;
Fueling areas.
(B) Where new development /redevelopment will include outdoor
areas for the storage of material that may contribute pollutants to
the storm water conveyance system, these materials must be:
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• Placed in an enclosure such as, but not limited to, a cabinet,
shed, or similar structure that prevents contact with runoff
or spillage to the storm water conveyance system; or
• Protected by secondary containment structures such as
berms, dikes, or curbs.
(C) The outdoor materials storage areas subject to this section must
be:
Paved and sufficiently impervious to contain leaks and
spills;
Covered with a roof or awning to minimize collection of
storm water within the secondary containment area.
(D) The area where a trash receptacle or receptacles are located for
use as a repository for solid wastes must meet the following
structural or treatment control BMPs:
Drainage from adjoining roofs and pavement must be
diverted away from the trash storage areas.
The area must be covered with roof or awning (to prevent
rain from entering the area and sewer or storm drain
conveyance system), screened or walled to prevent off -site
transport of trash, and connected to the sanitary sewer.
Trash bins must have solid covers and be covered at all
times except while being emptied.
(E) Any construction project adding down spouts, gutters and
subsurface pipes directing stormwater to the curb face shall have
a French drain system of perforated pipe and gravel unless site -
specific circumstances endanger public safety so as to prohibit its
use as determined by the Building Department or Public Works
Department.
3. Use of Moisture - Detecting or Weather -Based Irrigation Systems. All
WQMPs must describe how the applicant plans to use irrigation systems
that are automated and controlled by either a weather -based satellite system
or by direct moisture detection in the soil.
4. Long-Term Maintenance. The WQMP must also include the applicant's
plan for the long -term and continuous maintenance of all BMP's requiring
ongoing maintenance and the applicant's signed statement accepting
responsibility for the maintenance of all structural and treatment control
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BMPs. Any transfer or sale of property subject to a Water Quality
Management Plan must include as a written condition to the transfer or sale
such that the transferee assumes full responsibility for maintenance of any
structural, and /or source or treatment control BMPs.
5. Evaluation of WQMPs. The City's evaluation of each Water Quality
Management Plan will ascertain if the proposed plan meets the standards
set forth in this Policy. Each plan will be evaluated on its own merits
according to the particular characteristics of the project and the site to be
developed. The Building Director or Public Works Director, or their
respective designee shall approve or disapprove the plan. If the plan is
disapproved, the reasons for disapproval shall be given in writing to the
applicant. Any plan disapproved by the Building Director or Public Works
Director or their respective designee must be revised by the developer and
resubmitted for approval. No building permit shall be issued until the final
WQMP has been approved by the Building Department or Public Works
Department.
6. Waiver. The WQMP required under this Policy may be waived by the
Building Director or Public Works Director or his or her designee if the
applicant demonstrates the impracticability of implementing this Policy's
requirements. Recognized circumstances demonstrating impracticability
may include:
A. Extreme limitations of space for treatment;
B. Unfavorable or unstable soil conditions at a site to attempt infiltration;
C. Risk of groundwater contamination because a known unconfined
aquifer lies beneath the land surface or an existing or potential
underground source of drinking water is less than ten feet from the
soil surface.
Any other justification for impracticability must be separately petitioned by
the applicant to the City Manager and, where applicable, the California
Regional Water Quality Control Board for advice and consideration.
If a waiver is granted for impracticability, the petitioner will be required to
transfer the savings in cost, as determined by the Building Director or
Public Works Director, to the City's Runoff Mitigation Account. This
Account shall be used to promote regional or alternative solutions for
runoff pollution in Newport Beach -area watersheds. Funds payable from
the Account may accrue to a public agency or a non - profit entity.
P, I-
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6. Compliance Required. Compliance with an approved Water Quality
Management Plan shall be a condition of any required planning approval.
Adopted -- April 23, 2002
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